ISTANBUL TECHNICAL UNIVERSITY !

GRADUATE SCHOOL OF ARTS AND SCIENCES

A NEW THEORY OF HARMONIC MOTION AND ITS APPLICATION TO

PRE-TONAL AND TONAL REPERTOIRE

M.A. FINAL PROJECT

Sami Tunca OLCAYTO

Dr. Erol Üçer Center for Advanced Studies in Music (MIAM)

Music Master’s Programme

Project
Anabilim Dalı :Dr.Herhangi
Advisors: Adam ROBERTS
Mühendislik, Bilim
Dr. Paul WHITEHEAD
Programı : Herhangi Program

JANUARY 2015
To my family, Parla and Sofia; for their love and support,

vii
viii
FOREWORD

I would like to thank my colleagues in ITU MIAM, Aslı, Enis, Rina and Sibil, as
they’ve never neglected me from their incredible musical tastes and mind stimulating
ideas; my professors, Adam Roberts, Paul Whitehead, Jerfi Aji and Alexandros
Charkiolakis, who were always available and helpful when I faced an obstacle; and
finally my parents, Beste and Selçuk and my siblings, Tuna, Osman and Can, for
their endless love, compassion and support, even in the darkest of times.

December 2014 Sami Tunca OLCAYTO

ix
x
TABLE OF CONTENTS

Page

FOREWORD ............................................................................................................. ix!

TABLE OF CONTENTS.......................................................................................... xi!
ABBREVIATIONS ................................................................................................. xiii!
LIST OF TABLES ................................................................................................... xv!
LIST OF FIGURES ............................................................................................... xvii!
SUMMARY ............................................................................................................. xix!
ÖZET ........................................................................................................................ xxi!
1. INTRODUCTION FOR A TONAL THEORY ................................................... 1!
1.1 Definition of Tonality ......................................................................................... 1!
1.1.1 Components of tonality ............................................................................... 2!
1.2 Emergence of Tonality ....................................................................................... 3!
1.3 Tonal Theories on Functional Harmony ............................................................ 5!
1.3.1 Rameau and harmonic motion .................................................................... 5!
1.3.2 Scale-degree and function theories: harmonic identity ............................... 8!
1.3.3 Neo-Riemannian Theory ........................................................................... 11!
2. PRESENTATION OF THE THEORY .............................................................. 15!
2.1 The Octatonic System ...................................................................................... 15!
2.1.1 Resolution of the tritone ............................................................................ 16!
2.1.2 Minor third relationship ............................................................................ 16!
2.1.3 Major/minor dualism and mixture ............................................................ 17!
2.2 Three Octatonic Collections or “Functions” .................................................... 18!
2.3 Root Motion and Tonal Syntax: Progressive and Retrogressive Motions ....... 20!
2.4 Diatonicism and Root Motion .......................................................................... 22!
2.5 Insights on Tonal Harmonic Practice ............................................................... 23!
2.5.1 Tonicization and Modulation .................................................................... 23!
2.5.2 Prolongation .............................................................................................. 25!
2.5.3 Chromatic chords ...................................................................................... 26!
2.5.4 Major third relationship ............................................................................ 29!
2.6 Further Speculations on Progressive and Retrogressive Motions .................... 32!
3. APPLICATION OF THE THEORY ................................................................. 37!
3.1 Introduction for the Analyses ........................................................................... 37!
3.2 The Analyses .................................................................................................... 38!
3.2.1 Machaut, “Puis que la douce rousee” ....................................................... 38!
3.2.2 Agricola, “Je n’ay dueil”........................................................................... 39!
3.2.3 Palestrina, “Agnus Dei” from Missa Papae Marcelli ................................ 40!
3.2.4 Monteverdi, “Era l’anima mia” from Fifth Book of Madrigals ............... 41!
3.2.5 Gesualdo, “ O tenebroso giorno” from Fifth Book of Madrigals ............. 41!
3.2.6 Carissimi, recitative “Plorate colles” and final chorus “Plorate fiili
Israel” from the oratorio “Jephte” ..................................................................... 42!
3.2.7 Corelli, “Prelude” from Violin Sonata in E Minor Op.5 No.7 ................. 43!

xi
 3.3 Analytical Results ............................................................................................. 44!
4. CONCLUSION ..................................................................................................... 47!
REFERENCES ......................................................................................................... 49!
APPENDICES .......................................................................................................... 55!
CURRICULUM VITAE .......................................................................................... 87!

xii
ABBREVIATIONS

D : Dominant function
Fr +6 : French augmented sixth chord
Ger +6 : German augmented sixth chord
IMSLP : International Music Score Library Project
It +6 : Italian augmented sixth chord
M/m : Major/minor intervals
T : Tonic function
Tr : Tritone
P : Perfect intervals
S : Subdominant function
RM : Root Motion
+
: Augmented triad
Δ
: Major seventh chord
O
7 : Diminished seventh chord
Ø
7 : Half-diminished seventh chord

xiii
xiv
LIST OF TABLES

Page

Table 1.1 : Riemann's Schritte & Wechsel transformations ...................................... 11!

Table 2.1 : Motion types according to root interval between chords. ....................... 21!
Table 2.2 : Meeus's classification of tonal chord progressions ................................. 22!
Table 2.3 : Conceptual Voice-Leadings for Root Motions ....................................... 34!
Table 3.1 : Statistical results for harmonic motion ................................................... 45!

xv
xvi
LIST OF FIGURES

Page

Figure 1.1 : Example of fundamental bass progression under a chord progression ... 6!
Figure 1.2 : The perfect and imperfect cadences in major .......................................... 7!
Figure 1.3: An example of Riemann’s functional notation ....................................... 10!
Figure 1.4: Hyer’s Table of Tonal Relations ............................................................ 12!
Figure 2.1: An octatonic collection .......................................................................... 17!
Figure 2.2 : The octatonic system ............................................................................. 19!
Figure 2.3 : Beethoven, Symphony No.7, ii, mm.1-18 ............................................. 24!
Figure 2.4 : Mozart, Piano Sonata No.7 in C Major, K309/284b, iii, mm. 1............ 25!
Figure 2.5 : Mozart, Symphony No. 40 in G Minor, K.550, mm. 1 ......................... 26!
Figure 2.6 : Wagner, “Prelude” from Tristan und Isolde, mm.1 ............................ 27!
Figure 2.7 : Beethoven, Piano Sonata No.14, Op.27 No.2 (“Moonlight”), mm. 1 ... 28!
Figure 2.8 : Beethoven, Piano Sonata No.21, Op.53 (“Waldstein”), mm. 257......... 28!
Figure 2.9 : The four hexatonic systems ................................................................... 30!
Figure 2.10 : The combined system .......................................................................... 30!
Figure 2.11 : J.S. Bach, Prelude and Fugue in C major, BWV 846, mm. 7 ............. 31!
Figure 2.12 : Beethoven, Piano Sonata No.21, Op.53 (“Waldstein”), mm. 274....... 31!
Figure 2.13 : Summary of the table of conceptual voice-leading ............................. 35!
Figure 4.1 : Tymoczko's map of tonal grammar in major........................................ 48!

xvii
xviii
 A NEW THEORY OF HARMONIC MOTION AND ITS APPLICATION TO
PRE-TONAL AND TONAL REPERTOIRE

SUMMARY

In the introduction of the paper, the components of tonality, its emergence in the
Renaissance period and also important concepts from the tonal theories of last three
centuries will be explained, in order to provide a background for the theory.
The next chapter, which constitutes the main body of the study, is the presentation of
the octatonic system. The construction of the system from components like tritone
and minor third relationship, its connection with the concept of function and
diatonicism will be explained in detail. After that, analytical examples from the
common practice period will be presented in order to demonstrate the approach of
the theory for typical tonal idioms.
In the third chapter, the system will be applied to musical examples from Guillaume
de Machaut, Alexander Agricola, Pierluigi da Palestrina, Carlo Gesualdo, Claudio
Monteverdi, Giacomo Carissimi and Arcangelo Corelli, in order to investigate the
relationship between harmonic motion and the emergence of tonality.
In the final chapter, the evaluation of the theory will be made, in the context of the
preliminaries from the first chapter also with the data from the analyses.

xix
xx
 ARMONİK HAREKETE İLİŞKİN YENİ BİR TEORİNİN SUNULMASI VE
TONAL İLE TONAL ÖNCESİ REPERTUAR ÜZERİNDE UYGULANMASI

ÖZET

Giriş bölümünde tonalite kavramı tanımlanırken bileşenlerine ayrılır ve bu bileşenler

ayrıca açıklanır. Sonrasında tonalitenin ortaya çıkışı, Rönesans dönemi müziği
içerisinde oluşum süreci bağlamında ele alınır. Sonrasında, başta Jean-Philippe
Rameau ve Hugo Riemann olmak üzere 18., 19. ve 20. yüzyıllarda müzik teorisi
alanında çalışmalar yapan müzik insanlarının tonalite ve fonksiyonel armoni
kavramlarına bakış açısı incelenir.
Sonraki bölüm çalışmanın ana bölümü olup, armonik harekete ilişkin bir teori olan
oktatonik (sekiz-ton) sisteminin sunumundan ibarettir. Sistem, triton çözülmesi ve
minör üçlü ilişkisi gibi bileşenlerden oluşturulduktan sonra armonik hareket,
diyatonik ve oktatonik bağlamlar içerisinde tanımlanır ve fonksiyon kavramı, sistem
ile ilişkilendirilir. Bu aşamalardan sonra sistem Barok, Klasik ve Romantik dönem
müziklerinden alınan örnekler üzerinde uygulanarak; devam ettirme (prolongation),
modülasyon, kromatik akorlar ve majör üçlü ilişkisi bağlamlarında açıklamalar
yapılır.
Üçüncü bölümde, bir önceki bölümde detaylı bir şekilde açıklanan sistem, Guillaume
de Machaut, Alexander Agricola, Pierluigi da Palestrina, Carlo Gesualdo, Claudio
Monteverdi, Giacomo Carissimi ve Arcangelo Corelli gibi Geç Ortaçağ, Rönesans ve
Barok dönem bestecilerinden alınan müzikal örnekler üzerinde uygulanır ve
eserlerdeki armonik hareket istatistiksel olarak saptanır. Bu veriler bölüm sonunda
değerlendirilip sonuç kısmına aktarılır.
Sonuç bölümünde sistem, ilk bölümde aktarılan kavramlar ve uygulama bölümünde
elde edilen veriler ile bağdaştırılır. Bundan sonra teorinin doğruluk, kapsam,
faydalılık, tutarlılık, pratiklik ve anlaşılabilirlik gibi ilkeler üzerinden
değerlendirilmesi yapılır.

xxi
xxii
1. INTRODUCTION FOR A TONAL THEORY

This study focuses on functional harmony, or more precisely, the harmonic motion
component of functional harmony, in order to create a new perspective on the
investigation of vertical sonorities. The employed methodology is the octatonic
system, which will be explained in a detailed way in the next chapter. The goal of
this study is not only to present the octatonic system, which provides a better
understanding of the reciprocal relationship between harmonic motion and identity;
but also to point out the increasing percentage for progressive motion while moving
from modality to tonality.

In this introductory chapter, the definition of tonality, in terms of its components will
be made, which will be followed by a short history of its emergence in Renaissance
music and a brief presentation of the concepts from different traditions of tonal
theories, which are synthesized into a theory of harmonic motion in the next chapter.

1.1 Definition of Tonality

Even though “tonality” is one of the most used terms in the musical vocabulary since
its coinage by Choron in 1810, there is no consensus on its definition among music
theorists, musicologists or musicians in general. Hyer touches on this issue and lists
eight different and equally valid definitions, but according to him, its most common
use is “to designate the arrangement of musical phenomena around a referential tonic
in European music from about 1600 to around 1910” (2008: 728). According to this
rather specific definition among others, tonality is a compositional tool or a cognitive
process that regulates both dimensions of pitch space, melody and harmony, and by
doing that, it creates a sense of directionality or goal-orientedness through different
forms of musical experience. As the temporal boundaries of the above definition
suggests, common practice tonality is also used to express the stylistic features of the
period and to avoid confusion with other meanings of the term.

1
1.1.1 Components of tonality

A better understanding of tonality, in my perspective, requires a certain amount of

deconstruction. In that sense, tonality can be seen as a system of relationships
between different musical concepts. According to the definition of tonality above,
firstly, a fundamental sonority that all of the melodic and harmonic pitch events
relate to must be present: the tonic triad or its root in the most basic form. The
centricity of the fundamental sonority, whether in the form of a chord or a single
pitch class, constitutes the first component of tonality.

Diatonicism is another of these elements that is frequently presented in conjunction

with the element of centricity; as the two forms of tonality, major and minor, are
defined by the quality of their tonic triad and also by the corresponding scales or
modes, which originate from the diatonic collection1. However, centricity and
diatonicism are mutually exclusive musical concepts, as there are examples of non-
centric diatonic music, like Medieval and Renaissance polyphony, in which there is a
sense of floating tonality; likewise, examples of non-diatonic centric music, as in
post-tonal works of 20th-century composers, like Bartók, Debussy and Stravinsky.
Nevertheless, the musical significance of the diatonic scale is not exclusive to the
common practice period, since at least from the times of Ancient Greeks, it has been
and still is the primary background pitch space of musical organization.

The idea of multi-layered structure in music originates from the works of dualist
theorists like Hauptmann and Riemann, but it has been fully developed into a body of
comprehensive musical concept in the theories of Heinrich Schenker. Hierarchy
among the tones of a scale and harmonic prolongation constitute the heart of this
component concept, which states that tonality exists and is perceived in several
structural levels, just as layers of different materials in visual art.

Last but not least, functional harmony is also one of these component concepts,
which constitutes the central point of this study and may be described crudely as
logical ordering of harmonies. This description creates more confusion than clarity,
as what “logical ordering” means is not clear at all.

1
The two forms of minor scale, Harmonic and Melodic minor scales are seen as derivations of Natural
minor scale, which coincides with the sixth mode of diatonic scale, Aeolian. This issue was central for
dualist harmonic theory and will be dealt with in the corresponding section.

2
As Kopp suggests, functional harmony can be better understood as a concept that
unifies two components: harmonic identity (or meaning) and harmonic motion
(1995). According to this distinction, harmonic identity is the special meaning that
chords receive in relation to the tonic pitch class or chord; which is generally referred
to as three functions: tonic, dominant and subdominant. On the other hand, harmonic
motion (or action) is the transition between these meanings, or functions.

In order to help clarify this definition, an analogy can be drawn from linguistics:
syntax is the logical sequence of word types in order to create meaningful sentence.
In the context of functional harmony, word types are harmonic identities and syntax
is harmonic motion.

In short, tonality consists of separate but interrelated component concepts of

centricity, diatonicism, multi-layered structure and functional harmony. This is not to
say that tonal music consists only of these elements and other musical parameters are
trivial features. The point here is to express that tonality (not tonal music) is mostly
governed by pitch domain while other parameters - like grouping, rhythm, dynamics
and timbre - interact with it in an auxiliary manner.

1.2 Emergence of Tonality

Tonality has been thought of as a product of humanist thinking in Renaissance,

analogue to perspective in visual arts. Similarly with its definition, there isn’t an
agreement among scholars on a period for its exact origins, ranging from 14th to 17th
centuries (Dahlhaus, 1990: 3). In order to understand this divergence and to provide a
background for the examination of tonal theories in the next section, it is logical to
make a brief account of changing trends in compositional practice and also in
theoretical concepts through Late Medieval and Renaissance periods.

Polyphony has a quite slow progression between 10th and 13th centuries, starting
from the advent of organum. The parallel 5ths and 4ths, the basic material of this
earlier form of polyphony became relatively rare in the the sacred music of Notre
Dame school and also in the secular songs of Adam de la Halle; in the period
between late 12th century and 13th century, which is commonly referred to as ars
antiqua. In the 14th century, the emergence of syncopated style and the wide use of
imperfect intervals resulted with a new style of polyphony across Europe, ars nova,

3
which is represented by composers like Machaut, Vitry and Landini. The beginning
of 15th century is marked by the style of Burgundian school (including composers
like Dufay and Binchois), which esteems the melodic quality of each voice, imitation
and harmonic completeness; in that sense, the works of the composers of this era
paved the way for Renaissance counterpoint. Adding to that, the four-voice texture
had become the norm around that time.

The idea of imitation and equality among voices became the focus of compositional
aesthetics in the Renaissance, through the works of masters like Ockeghem and
Josquin. In the 16th century, developments in cadential patterns and movement of
parts, handling of dissonance and the wide use of five-six voice texture resulted with
a shift of focus towards harmonic dimension. This shift from the aesthetics of High
Renaissance can be best seen in the works of Roman school, best represented by
Palestrina.

Towards the end of the 16th century, Italian madrigal style gave a new direction to
the progress of polyphony. Starting from his Third book of madrigals, Monteverdi
has been the leader of a new style that stipulates the seperation from 16th century
principles of strict counterpoint, equality among voices and treatment of dissonance,
in favor of dramatic expressiveness, with the use of freer dissonance and hierarchy in
voices. The emergence of dramatic genres laid the groundwork for the forthcoming
of instruments as accompaniment in monodic texture, which resulted with basso
continuo and figured bass practice.

The essential concept of polyphony, interval categories, have evolved through this
timespan, not only in terms of their content, but also in the implications of their use
in composition2. Franco’s intervallic classification and contrapuntal teachings were
in force until the 14th century. During the 15th and 16th centuries, Tinctoris, Gaffurius
and Zarlino elaborated the principles of counterpoint, but only in the works of the
latter the harmonic perspective has been fully emphasized. In the same period,
Glarean introduced the twelve mode system, which has been accepted by some and
rejected by others. In the 17th century, the developments in solmization and
intonation underlined the change of tonal system, from modality to tonality.

2
For reference, see “Table of Consonance/ dissonance interval- classification systems in 9th-16th
centuries” in Tenney, 1988: 109.

4
1.3 Tonal Theories on Functional Harmony

In this section of the introductory chapter, the speculative music theory traditions of
eighteenth and nineteenth centuries will be briefly examined under two categories,
according to their focus on either of the two aspects of functional harmony, harmonic
motion and harmonic identity. The theoretical studies in the twentieth century can be
considered either as expansions or extensions of these traditions; for instance, the
more recent works of Neo-Riemannian theorists that will also be briefly examined.

However, there are exceptions, as in the case of Schenker, who focuses entirely on
another component concept of tonality, the multi-layered structure. In that sense, his
work emphasizes large-scale contrapuntal relationships, which are hidden beneath
the surface of actual music, at the expense of the vertical aspect, the functional
harmony.

The aim here is not to make a list of all theories on tonal harmony that have been
conceived in that period and to explain them in the most detailed way, but actually is
to designate the origins of the theoretical concepts that the presented theory relies on.
With that excuse, other nonconventional and interesting ideas regarding functional
harmony, such as Kurth’s energetic-based conception of melody and harmony, and
Hindemith’s acoustically-based system of intervals will not be touched upon. For a
fully-fledged history of tonal theories, Mitchell’s dissertation (1963) should be
referred to.

1.3.1 Rameau and harmonic motion

Jean-Philippe Rameau has been widely acknowledged as the first theorist to codify
the compositional principle that will last through the common practice period or put
more simply, as the founder of tonal harmony. It is undeniable that his theoretical
works paved the way for a better understanding of harmonic tonality, even though
some of the concepts that his theory relied on were not entirely new.

Parallel to the aforementioned shift of compositional technique in the 17th century -

from interval progressions to harmony as the basis for counterpoint – chords, in place
of intervals, became the primary units of vertical dimension in theoretical works.
Starting from as early as Zarlino, triads have been acknowledged and emphasized,
but it wasn’t until the works of seventeenth-century theorists, like Harnish and

5
Lippius, that 6/3 and 6/4 triads were seen as rearrangements of, and as essentially
same entities with 5/3 triads; in other words, the concept of chordal inversion made it
possible to think of harmony in terms of chords. The root, or the lowest note of a
chord in 5/3 position, has been given a central position in that perspective; as in the
work of Descartes (1618, Compendium Musicae) in which it becomes the
fundamental that generates all other intervals above it. Following these
advancements in harmonic theory, Rameau’s most important contribution to this
field is the concept of fundamental bass; in which he combines chordal theory,
diatonicism (in the form of major and minor keys), centricity of tonic triad and
resolution of chordal dissonance in order to explain the veryRoot Progression
foundation and
of harmonic · 29
tonality in hisform
triads conception, the harmonic
a context thatmotion.
establishes a , ought, on the ,..,.... ..,-1- ....,, ...
tofundamental
In the be understood as a confirmation-or
bass progression, an attempt
which consists of chordal at a confirmation-of
roots in succession,
this principle.
the only allowed intervals between adjacent roots are ascending and descending
Rameau does not expressly state that an imagined dissonance can
perfect fifths and thirds, the component intervals of a triad. The roots of these chords
be understood as a hypothetical factor and need not be deemed real
may or be different
jointlyfrom the bassYet
heard. as in inversions,
this view or may
cannotbe be present in the sonority
indirectly inferred from his
at all;analysis
in these cases, an imaginary bass pitch is considered
of the following chord progression based on the under the actual bass. In regola del-
l'ottava
that way, Rameau[rule of any
explains thesonority either19as a triad or a seventh chord.
octave].

4
Jllr _IT
""'
.,, -u- -:::;: _fl_ =&:::;: ,,,
-:::;:
-""'
_.u!'::'.
=i -u -u :n:
e-
<IP

6
6 6 5 6
__o_
_.=. .n e-
-n
Basse continue
7 _I 7 7 7 7
::"ii>•
-;;::;; -""
_fl_
-e- :::z: =& --0
Basse fondemantale

Example
Figure 1.1 :3Example of fundamental bass progression under a chord progression
demonstrating the rule of the octave (Dahlhaus, 1990:29)
In the second measure, Rameau interprets the first-inversion C-major
For motivational aspect in harmonic motion, Rameau relies on the ancient
chord as a fragment of a seventh chord on A so that by a resolution
contrapuntal rule of dissonance to consonance resolution; the chordal dissonance of
of dissonance and a fifth-progression of the- imagined basse fonda-
seventh, which may
mentale (A-d)be present
he can or implied,
link becomes
togetherthe link
thebetween theseover
chords chords.eInand f in the
terms of harmonic identity,
thoroughbass. Rameau identifies
According three chord types,
to Rameau's according
version to thefigured bass,
of the
however,
resolution the resolution
of the dissonance ofand
(if there is) the
thedissonance is irregular:
progression of the the seventh (g')
fundamental bass.
over the imagined bass (A) progresses upward to the octave a' instead
of downward to f'. And his apparent indifference toward an illegal
resolution of dissonance may 6 serve as an indication that Rameau
understood an imagined, tacitly implied dissonance to be a concep-
tualized tone that did not have to be jointly heard.
The subdominante is identified with the ascending fifth motion in fundamental bass
and the added sixth as dissonance, which creates a second with the chordal fifth.
Dominante, on the other hand, receives the seventh above the root with a progression
of descending second. A chord without dissonant seventh is identified as tonique,
which doesn’t have the impulse to move like the other two categories.

Having stated that, Rameau takes the directionality of certain cadence types as the
model for harmonic motion between his chord types. The descending fifth becomes
the preferred fundamental bass motion over its ascending counterpart, which appears
in irregular cadences. On the other hand, thirds are allowed between consonant
“tonique” chords, while stepwise motions are explained with the use of interpolation
in the fundamental
762 bass and implied dissonances.
joel lester Rameau and eighteenth-century harmonic theory

Plate 24.1 The perfect cadence, from Jean-Philippe Rameau, Traité de l’harmonie,
Plate 24.2 The imperfect cadence, from Jean-Philippe Rameau, Traité de l’harm
Book perfect
Figure 1.2 : The II, Chapterand
5, p.imperfect
57 cadences in major,
Book II, Chapter 7, p. 65from Rameau’s Traité de
l’harmonie (Lester, 2008: 762-763)
example of the cadence) reveals Rameau’s notion of how a sense of key is formed: the
dissonances in the dominant seventh for directed harmonic
chord propel motion
the chord towardinits
general.
consonant He res-
saw all music as basically a series
Looking fromolution
this perspective, Rameau’s
in the triad a fifth lower; connected
that fundamental
progressioncadences, inbass
defines the which
tonic seems
as most
the point toof repose.
be a conclusions
cadential theory of are evaded (adop
And it is the sense of motion from adapting
one chordfromto Zarlino) because one
the next connected by a (or both) of the chords has been altered to
fundamental
harmonic motion rather than of functions,
motion of the perfect fifth – andcomplete
as the
not merelyresolution:
harmonic
the content one
identity,harmonies
of theorindividual
or chord type in
both chords might– be inverted, the chord of co
that is the essence of the cadence.might
This imparts
this case, is deduced from the progression of acontain
itself adynamism
chord to Rameau’s
to theornext.
a seventh theory
an of tonal-
In
added other words,
sixth, or the third in a dominant
ity; a key is not merely a given pitch field within which harmonies and melodies move,
might be minor to remove the drive of the leading tone (in which case it is no
harmonic motion determines
but a harmonic focus thatharmonic
emerges from identity,
the dynamic
“dominant-tonic,” notofbut
themerely
the othera simple
progression. way around.“dominant” Aschord
the since it no longer
The Perfect Cadence is one of the two basic cadential types that Rameau proposes.
theory relies on
Thediatonicism power
and centricity
other is the Irregular Cadence to
ofdefine
(cadence tonic, the following
chromatic
irregulière): chord
a chord built on as
harmonies thethe tonic
that of
fourth a key). In all cases, tho
cannot
music
degree of the scale moving to a tonic, inis driven
which onward
an added sixthbymakes
the motivating
the first chord force
dis-of the dissonant seventh (or o
be explained as in modulatory
sonant, progressions
propelling it toward are
ally, the added
a resolution, not
as shown at
sixth) all considered.
involving
in Plate 24.2. largely fifth motion in the fundamental bass un
Like the Perfect Cadence, thepoint Irregular Cadence follows
of consonant repose theisnormative
attained motion of a
at the tonic.
Simon Sechterperfect
(1788-1867) expandedbass,
fifth in the fundamental the system
albeit of
ascending fundamental
rather than bass
descending.
With Perfect, Irregular, and evaded cadences, byAndemploying
Rameau tried to show how
like the Perfect Cadence, the Irregular Cadence reflects the mechanistic model of a
damental bass proceeded primarily by fifths and thirds – the very intervals g
triads and seventh chords
dissonance on aall
impelling diatonic
chord scale-degrees,
toward consonant in orderarguments
resolution. (Rameau’s to explain for chordal
from the fundamental string. He thereby explored the recently developed
justifying the added sixth as a dissonance comparable to the seventh in the dominante-
relationships. tonique
The primary rootsubtle
required some motion tonalis directionality
reasoning still
to be descending fifth, as exemplified
that di◊erentiated
discussed below.)
the music of his intime
his from that of earlie
Rameau considers these cadences ations. Heonly
not wasassotheenthralled by his
progressions ability
that to explain directed harmonic motion
end phrases
(which is the way we generally use ing the
triads
term and seventhnowadays),
“cadence” chords moving by fourths
but as the models and fifths as a series of real o
cadences7 that he attempted to extend these insights to all the chordal type
types of harmonic connections.
Cambridge Histories Online © Cambridge University Press, 2008
“All chordal types” for Rameau meant those indicated in thorough-bass sig
Thorough bass generally indicated chords to be played along with bass notes
“Sechterian chain.” The stepwise fundamental bass progressions are explained by the
concept of “concealed” fundamental, which is similar to Rameau’s interpolated
fundamental bass progressions. His actual contribution to fundamental bass tradition
is the conception of chromatic harmonies, which he refers to as “hybrid chords” with
notes derived from multiple keys, not as alterations of diatonic scale degree keys.
Sechter’s adaptation of Rameau’s fundamental bass theory has been widely accepted
in theoretical circles around Vienna and has been further extended by Mayrberger
and Bruckner, in order to accommodate with the chromatic harmonic practice of
Romantic period. The works of these theorists are regarded as the predecessors of
harmonic theories of Schoenberg and Schenker.

1.3.2 Scale-degree and function theories: Harmonic identity

As Bernstein notes (2008: 778) there are three main trajectories in the German-
speaking realm after the impact of Rameau’s theory of harmonic motion: the scale-
degree (Stufen) tradition that originates from theories of Vogler and Weber,
aforementioned extensions of fundamental bass theory by theorists like Sechter and
Mayrberger, and finally, the function theories of dualist tradition, which have been
fully expressed in the works of Riemann.

The fundamental difference between these three traditions lies in their conception of
tonality; scale-degree and fundamental bass traditions embrace the diatonic scale as
the theoretical basis, while function theories rely on chordal relationships. In other
words, scale-based conception of tonality defines harmonic identity and motion on
the basis of diatonicism and centricity of the tonic scale-degree; while harmonic
conception deduces diatonicism and harmonic motion according to harmonic identity
and centricity of the tonic triad 3.

The first theorist to create a systematic scale-degree theory was Georg Joseph
Vogler, who was the first to use Roman numerals as chord labels. He took Zarlino’s
senario4 as the starting point and extended it to 16th partial, resulting with the
“natural” scale and finally, he concluded that major and minor scales can be derived

3
Dahlhaus puts these different conceptions of tonality in comparison thoroughly, which are
represented by Fétis and Riemann (1990:7).
4
The series of ratios that expresses all of the consonances that the ear can perceive directly:
1:2:3:4:5:6

8
out of this scale. According to his theory, any of the major, minor and diminished
triads could be formed on any degrees of these two scales; the result was an awkward
system of chords with labels in respect to their fundamental scale-degrees.

It was Gottfried Weber, a contemporary of Sechter, who gave the definitive form to
the scale-degree theories. He adopted the Roman numerals to label chords in relation
to the tonic from Vogler, but he didn’t speculate about the acoustical foundation of
harmonic relationships. In his system, major, minor and diminished triads and minor,
major, dominant and half-diminished seventh chords are labeled according to their
positions in a diatonic scale. As a result of this diatonic basis, chromatic chords were
explained with the concept of minor and major mixture; in other words, according to
this system, any non-diatonic chord is a modulation away from the tonic key.

Unlike Rameau’s theory of fundamental bass, the scale-degree theory doesn’t have
prescriptions for chord progressions, as these directly intelligible chords do not have
tendencies to progress anywhere. Apart from the acknowledgement of the
directionality of certain cadential progressions, scale-degree theory is not involved
with harmonic motion. In short, both harmonic identity and consequently, harmonic
motion are described from the perspective of diatonicism.

The idea of harmonic dualism originates from the works of Moritz Hauptmann
(1792-1868) who adapted Hegelian dialectic to musical context. In his work, logic is
the theoretical basis not only for the construction of the triads, but also for the
designation of primary triads in a key and also for the syntactical ordering of chords
in a cadential progression. In order to explain the consonance of minor triad, he
“inverted” the relationships of the root with the third and the fifth of the major triad;
for example, in a major chord, the root has a consonant major third and a perfect
fifth, while in a minor chord, this note is a major third and a perfect fifth of two other
notes (as in C-E-G and F-A -C). (Harrison 1994: 227)

In order to explain major and minor harmony as dual counterparts, Arthur von
Oettingen (1836-1920) took this opposition of having/being to the extreme and ended
up with the idiosyncratic system of tonicity/phonicity; which consists of overtone
series with a common fundamental and next to it, the “fundamental” series with a
common overtone. Every aspect of major harmony becomes inverted in order to
explain the so-called true nature of minor harmony (ibid., 243).

9
Hugo Riemann (1849-1919) has been heavily influenced by these two theorists while
working on his own function theory. Riemann’s harmonic system consists of two
different mechanisms for harmonic identity and harmonic motion (Kopp 1995). The
funktion component of his system takes the fifth relation as its basis to designate the
primary chords of a key: subdominant, tonic and dominant functions. The functional
meaning of diatonic secondary chords and also chromatic chords are defined
according to their common tones with these primary chords. The relationship
between primary triads and such “derivative” chords are expressed via three basic
transformations, P (Variation) R (Paralel) and L (Leittonwechsel), as in Figure 1.3.

Figure 1.3: An example of Riemann’s functional notation (Bernstein 2008:798)

The purpose of these transformations on primary chords is to account for any

progression that involves major and minor triads on all twelve pitch classes based on
their functional identity; in other words, this system only takes into account the
identities of individual chords which progressions link to each other.

The component that is accounted for harmonic motion in his system is the twofold
Schritte/Wechsel, which might be considered as the simplified version of Oettingen’s
dual system of chord relationships. While Schritte progresses a major or minor chord
to a transposition of the same quality, Wechsel inverts a major chord to minor, or
vice versa, and progresses it into a transposition of the chord with the opposite
quality (Klumpenhouwer 2008: 466).

While all possible major and minor chord progressions may be expressed by these
two transformations, there is little explanation for motivational aspect of the
harmonic motion. Logical syntax of his earlier works has been sacrificed in order to
account for all chromatic major and minor chords in dualist perspective. Therefore,
as Dahlhaus points out, because of the lack of rules and norms of harmonic
progression, Riemann’s functional system is rather descriptive than logical (Kopp,
1995).

10
 Dualist tonal space and transformation in nineteenth-century musical thought 471

Table 1.1 : Riemann's Schritte & Wechsel transformations (Klumpenhouwer 2008: 471)
Table 14.1 Riemannian Transformations

I. Schritte
Transformation Interval Klang deployment Examples

11 Quintschritt P5 I to II C↑ → G↑; E↓ → A↓
12 Gegenquintschritt P4 II to I G↑ → C↑; A↓ → E↓
13 Ganztonschritt M2 twice I to II F↑ → G↑; B↓ → A↓
14 Gegenganztonschritt m7 twice II to I G↑ → F↑; A↓ → B↓
15 Terzschritt M3 I to III C↑ → E↑; E↓ → C↓
16 Sextschritt M6 II to III G↑ → E↑; A↓ → C↓
17 Leittonschritt M7 I to II plus I to III F↑ → E↑; B↓ → C↓
18 Gegenleittonschritt m2 II to I plus III to I E↑ → F↑; C↓ → B↓
19 Gegenterzschritt m3 III to II E↑ → G↑; C↓ → A↓
10 Gegenterzschritt m6 III to I E↑ → C↑; C↓ → E↓
11 Tritonusschritt d5/a4 twice I to II plus I to III F↑ → B↑; B↓ → F↓

II. Wechsel
Transformation Definition Examples

12 Seitenwechsel Invert a klang around I C↑ ↔ C↓

13 Quintwechsel Quintschritt, then Seitenwechsel F↑ ↔ C↓
14 Sextwechsel Sextschritt then Seitenwechsel G↑ ↔ E↓
15 Leittonwechsel Leittonscritt then Seitenwechsel C↑ ↔ B↓
16 Ganztonwechsel Ganztonschritt, then Seitenwechsel G↑ ↔ A↓
17 Terzwechsel Terzschritt, then Seitenwechsel C↑ ↔ E↓
18 Tritonuswechsel Tritonusschritt, then Seitenwechsel F↑ ↔ B↓
19 Gegenterzwechsel Gegenterzschritt, then Seitenwechsel C↓ ↔ E↑
20 Gegenganztonwechsel Gegenganztonschritt, then Seitenwechsel C↓ ↔ D↑
21 Gegensextwechsel Gegensextschritt, then Seitenwechsel E↑ ↔ G↓
22 Gegenquintwechsel Gegenquintschritt, then Seitenwechsel G↑ ↔ C↓
23 Gegenleittonwechsel Gegenleittonschritt, then Seitenwechsel C↓ ↔ B↑

1.3.3 Neo-Riemannian
Monat Mai” fromTheory
Schumann’s Dichterliebe, we can assert that the piece presents in turn
the following four tonal genera: Cs minor-major, A major, Fs minor-major, D major-
minor. Moreover, the transformations given in Table 14.1 can be shown to have indi-
Neo-Riemannian theorists seek to revitalize the ideas of the influential German
vidual tonal value, by referring them to trajectories on one or more of the
theorist by overcoming
topographies. the limitations of dualist thinking and also with the use of
Secondly, the topographies form the basis from which to understand Riemann’s
various analytical technologies
theory of dissonant in events,
(non-triadic) orderwhich
to derive
analyze chromatic
ultimately triadic music that
from his conceptual-
ization of tonality – that is, his four modes of tonality – along the lines presented in
juxtaposes tonal
Figuresand post-tonal features. As the principles of tonal harmony are no
14.4–14.7.

longer adequate solely to explain the harmonic aspect of this repertoire, six
theoretical concepts have been substituted for them in the works of Neo-Riemannian
Cambridge Histories Online © Cambridge University Press, 2008
theorists: triadic transformations, common-tone maximization, voice-leading
parsimony, "mirror" or "dual" inversion, enharmonic equivalence, and the "Table of
Tonal Relations.” (Cohn, 1998: 169) These concepts originate from the works of
nineteenth-century theorists, namely Oettingen and Riemann, who employed them in
a conception of tonality that combines diatonicism, centricity and harmonic function
with dualism. However, in order to capture the significance of harmonic function,
Neo-Riemannian theory isolates the aspects of diatonic centricity and dualism from
these concepts.

11
According to Cohn, the origins of Neo-Riemannian theory lies in Lewin’s
transformational system, which consists of two classes of transformation: contextual
inversion that maps a major or minor triad to its related triad, and shift
transformation, which shifts a triad left or rightward on a series of generalized
intervals (ibid., 170). Hyer takes Lewin’s system as the basis and derives from it the
triadic transformations of PAR (P) , REL (R), LT (L) and DOM (D). The nineteenth
century idea of geometric representation of harmonic relationships reappears in the
form of “Table of Tonal Relations” in Hyer’s work (Figure 1.4), in which triadic
transformations can be seen as vectors between triadic triangles (ibid., 172).

F# - C#- G# -D# -A#

B F C. D A"
/D L R

Db Ab Eb Bb F -C

Fb- Cb- Gb Db Ab

Figure 2
Figure 1.4: Hyer’s Table of Tonal Relations (Cohn, 1998: 172)
cate Hyer's four transformationsas they act on a C-minortriad.Each of
Having a parallel trajectory,
the three contextualKopp (2002)
inversions focuses
inverts onaround
a triangle chromatic
one ofmediant
its edges, relationships
mappingit into an edge-adjacenttriangle.P, for Parallel,invertsaround
while Cohn a(1996, 1997,
horizontal 2012)
(perfectfifth)relies on parsimonious
edge, mapping voice-leading
C minorto C major;R, for Rel- in hexatonic
ative, inverts arounda secondarydiagonal (majorthird)edge, mapping
systems (Figure 2.9).
C minor Other
to Eb recent
major;and L,works from theorists like Lerdahl
inverts
for Leading-tone-exchange, (2001), Rings
around
a maindiagonal (minorthird)edge,
mapping C minor to Abmajor.The
(Tonality andfourth
Transformation, 2011)
D (forand
transformation, Tymoczko
dominant), (2011)
transposes take conceptual
a triangle to the distance
vertex-adjacent triangle as the to its
left, mapping (NoteC minor to F minor.
in pitch-space between sonorities theoretical
since it isbasis and make use of complex
that the D transformation is redundant, producedby a compo-
sition of L followed by R.) Transformationaldirectionson the Tonnetz
mathematicalare formulas or highly sophisticated geometrical models. Due to these
the directionof the arrowis reversedwhen con-
invariant,although
indirect analyticalinversions
textual are applied
interfaces, to majorof
the aspect triads.The Tonnetzthus
perceptibility in provides
the music is often
a canonical geometryfor modelling triadictransformations.
questionable inThe objects andrelations
transformational of Hyer's
theory. Also, unlikethose of most
the combination
Tonnetz, nine-
of common-tone and
teenth-centuryantecedents, are conceived as equally tempered, a cir-
grouping principles
cumstance creates
that Hyera false impression
acknowledges of equivalence
by substituting and interchangeability
enharmonically neu-
tralintegersfor the enharmonicallybiased pitch-class names favoredby
between distantly
Lewin (andrelated
used inchords.
Figure 2).Adding to temperament,
Under equal that, theretheishorizontal
often very limited
axis of Pythagoreanfifths becomes the circle of temperedfifths, and the
explanation for the preference
diagonal axes of justlyof certain
tuned thirdsprogressions, and
become the circles exclusion
of tempered of some others,
major
and minor thirdsrespectively.The table becomes circularizedin each of
in the common-practice
its dimensions, tonality.
and the entire graphbecomes a hypertorus.Such a con-
ceptiongreatlyenrichesthe groupstructureof the transformations,which
Harrison is another in detail.
theorist
Hyer explores who follows Riemann’s path, but his distinctive approach
Hyer's appropriationof the Tonnetzintensifies the relationshipbe-
is essentiallytween
different
triadicfrom theory and nineteenth-century
others. Contrasting
transformational to transformationalharmonic
theory, his work
theory.Versions of the Tonnetzappearedin Germanharmonictreatises
is based on a restatement of dualism, which has been expressed as the major-minor
172

12
This content downloaded from 160.75.22.2 on Thu, 18 Apr 2013 09:14:52 AM
All use subject to JSTOR Terms and Conditions
opposition in “sonorious materials”: keys, scales or chords (Harrison, 1994: 15).
Another fundamental in his theory is the idea of functions, namely tonic, one lower
and one upper dominant, subdominant and dominant. In his theory, the primary triads
on first, fourth and fifth degree create the link between dualism and functions; in
which the major and minor diatonic scale degrees are assigned with individual
functional roles according to their appearance in these primary triads. Secondary
triads and other sonorities that consist of different combinations of diatonic tones and
their “projections” are labeled according to this perspective and in harmonic
successions, functional discharge occurs in each voice individually.

The inevitable result of this approach is the functional mixture, when the tones of a
sonority carry multiple meanings from different functions 5. In such situations, the
relative power of each function depends on the amount of tones assigned to each
function, as well as other parameters that articulate them, like register, timbre and
dynamics. In other words, the answer to how such a sonority “functions” in relation
to the tonic is context dependent and thus, open to interpretation. In connection to
this, the need for the referential point, the tonic, in order to assign harmonic identity
is, in my point of view, another important limitation. Harrison presents two strategies
in that sense: position-finding and position-asserting; but in passages where tonal
disunity is prominent, there is a great possibility for obscurity because of multiple
interpretations that are equally likely, according to different key centers.
Nevertheless, the accuracy of his theory by means of its resolution in chromatic pitch
space is remarkable.

While Riemann used the transformations (P, R, L) in order to designate the

derivation of sonorities from primary triads, neo-Riemannian theory makes use of
them as operations in harmonic successions that transform or progress one chord into
the next. In that sense, components of functional harmony that used to be examined
seperately (as with transformation and Wechsel/Schritte systems in Riemann) have
been fused together. However, the motivational aspect and syntactical rules of
functional harmony, or in other words, the underlying principles of tonality have not
been explained in a satisfactory way. As a result of this, analytical works of neo-
Riemannian theorists appear to be descriptive rather than prescriptive.

5
Dominant seventh chord is an example for this: In C major, G-B-D are base, agent and associate of
Dominant function, while F is the base of Subdominant.

13
14
2. PRESENTATION OF THE THEORY

Before going through the technical details of the theory, it is crucial to explain
beforehand, in most basic sense, what the theory consists of, what its assumptions are
and how it aims to contribute to the existing body of tonal knowledge. The theory
makes use of the octatonic system, which provides a model for harmonic motion in
triadic and occasionally tetradic musical contexts. It explains progressive and
retrogressive motions in terms of transitions from one octatonic collection to another,
and by doing that, it bypasses the necessities of diatonicism and centrality of tonic.

The motions between chords are identified with respect to the interval between
adjacent roots; therefore, the basis of the theory is the concept of root motion, which
has its origins in Rameau’s fundamental bass theory. This subject has been explored
further by Schoenberg (1954), Sadai (1980), Meeus (2000) and Tymoczko (2003,
2010); but in all cases, the pitch space is almost entirely diatonic. The contribution of
the presented theory to this lineage is the underlining of the octatonic system, which
proves to be a useful vehicle while venturing into the chromatic pitch space.

2.1 The Octatonic System

The octatonic system consists of three octatonic collections. An octatonic collection

has eight pitch classes with alternating semitones and whole tones between its
constituents; for example the octatonic collection that starts from C is: C - C♯ - D♯ - E
- F♯ - G - A - B . Because of its symmetrical nature, there are only three different
octatonic collections (CI, CII and CIII in Forte’s terminology, starting from C♯, D
and D♯). After the third reiteration, the fourth maps onto the first collection, when we
take into account enharmonic equivalence.

The octatonic system, which constitutes the basis of the theory, should be seen as an
a posteriori analytical apparatus rather than an a priori phenomenological law that is
evident in nature. Therefore, in order to justify the theoretical significance of the
system, its construction from basic tonal elements will follow.

15
2.1.1 Resolution of the tritone

Rameau in his Treatise (1722) shows the resolution of a dominant seventh to a major
or minor tonic as the most basic progression of tonality, dominante-tonique. The
dissonances of the dominant seventh chord propel to the consonance with the root a
fifth below; in his terminology, the minor dissonance is the chordal seventh (4),
while the major dissonance being the leading-tone (7). In another perspective, these
dissonances, which are labeled in reference to the bass note, may be seen as pitch
classes that are a tritone apart.

This interval is called “minor fifth” in Fétis’s terminology, as there appears to be

nothing “diminished” with an interval that can be found within the diatonic scale.
Therefore the “appellative” consonance between tonic-fa and dominant-mi degrees6
has a central role in his explanation of the fundamental law of tonality: the resolution
of this consonance (!) to a third or a sixth in the tonic chord.

Another important aspect of the tritone is its symmetrical nature; there are only six
pairs of tritone related pitch classes, the seventh maps onto the first pair. This quality
lays the ground for the “tritone substitution” concept; the interchangeability of tritone
related dominant seventh chords, which are assumed to be cognitively similar
because of their common tones7. A reharmonization technique that is frequently used
in jazz, this concept explains the augmented sixth chord as the tritone pair of
dominant seventh chord on second degree: the dominant seventh of the dominant, or
simply II7 8. Consequently, the common pitch classes resolve in the same way in
tritone related chords.

2.1.2 Minor third relationship

Another highly symmetrical structure that has only three different forms, the
diminished seventh chord, is frequently used in tonal harmony, as it can be found on
the seventh degrees of harmonic or melodic forms of minor mode and is also used

6
In the ancient solmization system of Guido (11th century), the pitches that have a pitch a semitone
below and above are sung as “fa” and “mi”, respectively , in relation to the “root” of the hexachord.
7
For example: G7 and D 7 chords share tritone apart pitch classes: F and B (C ). The third of the
first chord becomes the seventh of the second chord and vice versa.
8
For example: in C minor context, augmented sixth chords are: A – C – F ♯ (It+6) and, D (Fr+6) or E
(Ger+6). If the German augmented sixth is taken as the representative out of the three and
reinterpreted enharmonically, A 7 is the result, which is tritone related to D 7 (II7).

16
extensively for tonicization purposes. The diminished seventh chord can be thought
of as three adjacent minor thirds and also as two tritone pairs9.

This property forms a kinship that is similar to the aforementioned tritone pairing.
The minor third related chords also have two pitch classes in common10. The circular
ordering of minor third related dominant seventh chords, which also contains tritone
pairs, would give us the one of the three octatonic collections of the system.

Figure 2.1: An octatonic collection

While minor third related dominant chords are not commonly used in successions or
as substitutions in tonal harmony, the theoretical significance of this structure will be
explicit when the last component is integrated into the system.

2.1.3 Major/minor dualism and mixture

For centuries, the consonance of a minor triad has been a central topic in speculative
music theory. Starting with Enlightenment philosophers, Descartes and Rameau,
followed by dualists like Hauptmann, Oettingen and Riemann, there has been a great
effort to justify this situation using the natural properties of sound, overtones and
resonance. Despite this long-lasting and ongoing struggle, considering its vast use in
Western music tradition, the validity of a minor triad is a cultural fact that is
impossible to dismiss.

From this perspective, major and minor triads can be seen as dual counterparts that
are equal in validity. However, the hybridization of minor tonality in Western

9
For example: B°7 as B / F and D / A tritone pairs.
10
For example: G7 and B 7 chords share pitch classes D and F.

17
tradition - with the use of major dominant degree and three different scales -
problematizes the dualistic view of major and minor tonalities. The solution for this
problem is to distinguish a minor triad (or chord) from a minor key (or tonality).

A minor key consists of primary triads that are mostly minor, but as in the case of
melodic minor - in which only the tonic triad is minor - major and minor primary
triads are interchangeable. This property was not exclusive for the triadic quality of
primary triads; what we know as modal borrowing (or “mixture” as in Schenker)
made it possible to use major scale-degree chords in minor keys and vice versa. This
technique, which has been utilized thoroughly in Romantic music, led to the total
dissolution of parallel major and minor keys into one chromatic key.

Going back to the octatonic system, the ideas of equality, interchangeability and
mixture can be integrated, in order to accommodate these features of chromatic
harmony. The pitch class content of an octatonic collection allows us to substitute
minor thirds in place of major thirds above the roots of the dominant seventh chords,
which results with another occasionally used chord, the minor seventh. In addition,
minor third related half-diminished chords and French augmented sixth chords11 can
also be derived from such a collection, in the presence of pitch classes that are a
tritone apart from the roots. In short, an octatonic collection can be thought to consist
of four minor third related tetrads that are either dominant, minor or half-diminished
seventh chords. For the sake of simplicity, only the root of the chords that belong to
the octatonic collection are shown in the next figure (Figure 2.2).

2.2 Three Octatonic Collections or “Functions”

Three octatonic collections can be arranged circularly, in order to construct a

constellation of minor third and tritone related seventh chords. It is also possible to
perceive the system on a triadic level, so that the chordal seventh is absent from the
sonority; this means that major, minor and diminished triads are also subject to our
octatonic categorization.

11
As dominant chords with 5 alteration, for example: C – E – G – B

18
 Figure 2.2 : The octatonic system

As it is possible to observe from the figure, all pitch classes are exclusive to one
collection, which means that each of the octatonic chords that are constructed on all
of the twelve chromatic pitches belongs to a single collection 12.

The grouping of these chords into three categories is only one part of the theory. The
system promises significant insights when we turn our attention to harmonic activity.
As an example; the paradigmatic I-IV-V7-I harmonic progression in C major can be
seen as a counter-clockwise circuit around the octatonic system; from the collection
on top to the bottom left, then right and finally to the initial one. The direction of the
circuit doesn’t change if we substitute ii in place of IV as the subdominant, or
transpose to the parallel minor, the dominant or any other closely or distantly related
13
key .

12
Major, minor triads and dominant, minor and half-diminished seventh chords, which are available
in an octatonic collection. The special condition with diminished triads and seventh chords will be
explained later.
13
The pitch classes on the figure symbolize the roots of all the aforementioned octatonic chords.

19
At this point, I propose that the three conventional functions of Tonic, Dominant and
Subdominant, whether in the sense of abstract categories as in Riemann or of chord
types as in Rameau, map onto these three discreet octatonic collections, according to
the tonic pitch class. Similar to the mechanistic approach of latter theorist, the
transitions between collections are motivated by dissonances, which may be present
(actual dissonance) or implied (contextual dissonance).

2.3 Root Motion and Tonal Syntax: Progressive and Retrogressive Motions14

If the notion of root interval is combined with the octatonic system, there are only
three options where one chord leads to another:

1. To stay in the same collection; RM: m3 up, m3 down or tritone up/down.

2. To progress into “next” collection; RM: P4 up, M3 down, M2 up, m2 down.

3. To retrogress into “previous” collection; RM: P4 down, M3 up, M2 down,

m2 up.

The reason for labels as next and previous is the accumulation of the “progressive”
motion in common practice tonal music. Progressive root motions are the ones that
are grouped under second category with the addition of root descent of a minor third
from the first category. Retrogressive motion, which is the dual opposite of
progressive motion, consists of root motions under third category and the root ascent
of a minor third. The motion between tritone related chords is a special case in which
the motion is neither progressive, nor retrogressive or both at the same time. In that
sense, according to the system, tritone root motion creates a harmonic stasis in which
the functional meaning of the chord remains unchanged.

The symmetrical structure of the octatonic collection creates difficulty in assigning

progressive and retrogressive motions to ascending and descending minor third
relationships within the system; however, the descending minor third is seen more
frequently in harmonic practice. Tymoczko uses the term “pre-subdominant” for the
use of vi in progressions like I-vi-ii-V-I and I-vi-IV-V-I (2003). Progressions like

14
Carter’s (2005) terminology of “Progressive / Retrogressive” in place of Meeus’s (2000) “Dominant
/ Subdominant” has been adopted for the two opposite directions of harmonic motion, in favor of
terminological clarity rather than qualitative description. In other words, the use of this terminology in
this work is a technical consideration and is free of any chronological or cultural implications.

20
ii-IV in major and i-III in minor are far less frequent than grammatical I-vi; therefore
the descending minor third is labeled as progressive motion, while its ascending
counterpart as retrogressive.

In line with the aforementioned root motion theories, the system assigns preferred
harmonic direction to progressive motion in tonal music. This doesn’t mean to say
that tonal music consists solely of progressive motion; there is always a certain
amount of retrogressive motion, while a significant portion of it consists of motion
from tonic to dominant directly, without a mediating subdominant. This situation has
been explained by giving tonic chord a primary status that enables it to progress
anywhere within the diatonic boundaries. Another important factor next to direct T-D
motion is the repetition of progressive T-S or S-D progressions, in which
retrogressive motion occurs between the first and second statements.

Irregular retrogressive motion that doesn’t fit into these two main sources can also be
observed in the common practice repertoire; but these exceptions do not affect the
primacy and frequency of progressive motion in tonal syntax, especially in less
contrapuntal, more harmonic forms of Baroque and Classical periods. The issue of
symmetrical harmonic motion in pre-Baroque music will be explored throughly in
the next chapter.

In short, harmonic identity and motion (progressive/retrogressive) are explained via

the membership of a chord to one of the three octatonic collections and the transition
from one collection to another, respectively. Minor third and tritone relationships are
exceptions to this scheme as they retain the octatonic collection or function. Table
2.1 shows the grouping of root intervals according to progressive and retrogressive
harmonic motions.

Table 2.1 : Motion types according to root interval between chords.

Motion Type Root Interval

Progressive Motion m2! M2" m3! M3! P4"

Retrogressive Motion m2" M2! m3" M3" P4!

Harmonic Stasis Tritone " or !

21
 2.4 Diatonicism and Root Motion

Meeus, in his article (2000) groups tonal chord progressions into two categories;
primary and substitute; in line with the ideas of Rameau and Schoenberg, he gives
primacy to fifth relation and defines progressive and retrogressive motions (as
Dominant and Subdominant progressions, in his terminology, respectively)
12/1/2014 MTO 6.1: Meeus, Toward a Post-Schoenbergian Grammar of Tonal and Pre-tonal Harmonic Progressions
according
Sadai�s to root
categories intervals
to two, between
each of chords. one "principal" and two "substitute"
which including
progressions. This view actually returns to Rameau�s conception of the dominant and subdominant
functions, so that Table 2.2 : Meeus's
the categories classification
may be renamed asof"dominant"
tonal chordand
progressions (2000).
"subdominant":

CATEGORY MAIN PROGRESSION SUBSTITUTES

Dominant A fifth down A third down or a second up
Subdominant A fifth up A third up or a second down

[8] LetThis
us return
table toofthe paradigmatic
root intervals intonal phrase
respect -->> IV ->
to Idominant -->> I. The progressions
andVsubdominant first and the third
is
progressions, I -->> IV and V -->> I, are ordinary dominant progressions. The second, IV -> V,
similarastoa the
now appears one for the
substitution for aoctatonic
dominantsystem; however
progression. The there is an important
characteristics difference
of this phrase are the
following:
of specific and generic intervals in the categorizations. The generic intervals of
1. traditional
it is formed root
of dominant
motion progressions
theories relyexclusively;
on the diatonic pitch space and create a false
2. it includes one substituted progression.
impression of equivalence between absolute intervals that share the same ordinal
These I take to be normal features of any good tonal progression. I -> II -->> V -->> I differs from
numberone
the previous (for
only example; minor ofand
in the position themajor thirds);
substituted contrastingly,
progression. the octatonic
More extended system
phrases evidence
the same
presents specific intervals in chromatic pitch space. While perfect fifth (or fourth),with at
features, usually with a larger number of ordinary dominant progressions, but always
least one substituted progression:
minor/major thirds and major second coincide in two categorizations, a discrepancy
I -->> occursIV with
-> minor
V -->> I and tritone.
second
I -> II -->> V -->> I
I -> VI -->> II -->> V -->> I
In diatonic context, it is possible to exclude these two problematic root intervals, for
I -->> IV -> V -> VI -->> II -->> V -->> I
etc. example, by avoiding the use of iii and root position vii° chords in a major key 15. In
onepointing
(Arrows perspective, their indicate
to the right infrequent use can
dominant be connected
progressions; to their potential
subdominant to obstruct
progressions would be
indicated by arrows pointing to the left).
the flow of progressive accumulation in the common practice tonality. In addition,
[9] The reason
since thewhy the phrases include
through-bass treatisesat least
of 17thone substituted
century, vii°progression is thatbeen
chords have this isseen
the necessary
as
condition for the phrase to return to its starting point, the tonic. A continued series of unsubstituted
rootless
dominant dominantfollowing
progressions, chords instead
a cycle ofof fifths,
independent
indeed, harmonies, because oflead
could only inexorably their lackfrom
away of the
original tonic. Afifth.
a perfect well In
formed tonal phrase
this theory, I alsocan therefore
adopt be defined,
this point of viewfrom the point of triads
for diminished view ofthat
harmonic progressions, as a series of dominant progressions of which at least one is substituted.
resolve up a semitone, which explains the resolution as a root ascent of perfect
[10] A graphic device may help illustrate this. Example 1 shows both a I-IV-V-I and a I-II-V-I
progressions. The bass roots are arranged on horizontal lines following the cycle of fifths, and
connected either by thick lines (main progressions) or by dotted lines (substituted progressions, with a
vertical dotted line linking the implied root to the real one). Dominant progressions appear as lines
15
descendingTymoczko,
from left in to
order to create
right. a comprehensive
The overall Z shape ofgrammar for diatonic
these figures, whichmajor harmony,
I take excludes it
to be characteristic of
a well from his list
formed tonalof phrase,
harmonies (2003).
differs Fétis
only in relies on counterpoint
the position when he
of the dotted forbids its use; he points out
lines.
that E and B, both mi-degrees, would create a parallel fifth in their “obligatory” resolutions to F and C
[11] Example
(1994). 2 (MIDI) shows the same graphic presentation applied to a real example, Bach�s
choral Gottlob es geht nunmehr zu Ende (BWV 321, Bpf 192). One will note the two subdominant
progressions (appearing as ascending thick lines) in the second system, characteristically followed by
22
compensating dominant progressions, in what Schoenberg calls "a mere interchange" or, in Sadai�s
terminology, forming a b a patterns, V-II-V in mm. 9-10, I-V-I in mm. 15-16. This choral counts 25
progressions in all, of which 23 (92%) are dominant progressions according to my definition; 7 of
fourth, not a minor second. Similarly, diminished seventh chords are interpreted as
dominant minor ninth chords.

Nevertheless, as we enter the realm of chromatic harmony in Romantic music,

diatonic root motion theory loses its explanatory power in reference to the generic
intervals. The octatonic system aims to provide the remedy with the use of specific
intervals for root motion.

2.5 Insights on Tonal Harmonic Practice

A theory that doesn’t communicate with the music, I believe, is doomed to fail.
Therefore, the last section of this chapter consists of analytical excerpts from the
common practice period that examplify how the theory approaches some of the basic
tonal concepts. It is noticeable that the majority of harmonic activity consists of
progressive motion, which is in line with a previous statement about tonal harmonic
motion.

Another point to mention in these short examples is that the analytical focus is
mainly on the surface details, or foreground elaborations in Schenkerian perspective.
The reason for that is to grasp the harmonic intricacy in the local level, especially
with the use of chromatic chords; however, the system is available for use on
different levels of structural depth.

2.5.1 Tonicization and Modulation

Tonicization, or the use of secondary dominants, is a temporary departure from the

stability of the tonal center and its diatonic pitch space, while modulation can be
described as a transition from one key to another. According to Schenker, however,
the difference between tonicization and modulation is a matter of scale rather than of
type. Taking this view into account, the excerpt from the second movement of
Beethoven’s Seventh Symphony is analyzed in the home key on top of two local
keys (Figure 2.3).

23
 Figure 2.3 : Beethoven, Symphony No.7, ii, mm.1-18 (Piano arr. by Franz Liszt)

(IMSLP)

While functions coincide for relative keys of A minor and C, this is not the case for
fifth related A minor and E minor: C – B progression in measures 10 - 12 has been
analyzed as T – S and S – D, respectively. Ignoring the involvement of different
functions, both motions are progressive according to the system.

In order to create stronger tonal coherence between two keys, Reger suggests
modulation through the use of a pivot chord that functions as subdominant in the new
key (2007). The purpose of this instruction is to create chains of S – D – T motions in
different key interpretations, superimposed on top of each other. Adding to that and
recalling the circular arrangement of functions in the system, tonic can be seen as
dominant of subdominant (as in I7 – IV) or as subdominant of dominant (as in vi – II7
– V). What this shows is that, the crucial part of functional thinking is the direction
of motion between different functions, rather than the individual meanings of them,
or how the collections are labeled, which are dependent on the local tonic.

24
2.5.2 Prolongation

According to Caplin, “A harmonic prolongation is created when a single harmonic

entity is perceived in the listener’s imagination to be sustained through time, despite
the presence of an intervening chord (or chords) of different harmonic meaning”
(1989: 25). An important element of tonal harmony, prolongation makes it possible
to think of functions in different structural levels.

As an example of a typical tonal idiom, in measures 3 - 6 of the previous example

(Figure 2.3), tonic harmony is prolonged in the presentation phrase of the main
theme. Together with the intervening dominant between two tonic chord, a T-D-T
progression is present in local level. While the progression from tonic to dominant is
retrogressive, the second part of the progression is progressive. On this perspective,
these opposite directions can be thought to cancel each other and to create a
harmonic stasis, which we define as prolongation.

Subdominant and dominant functions can also be prolonged just as the tonic; for
example, in measure 8 of the previous example, a second inversion tonic chord is
labeled as a dominant six-four chord, which resolves to its root position in the next
measure. This technique has been used extensively in the common practice period in
order to achieve better voice-leading and to prolong dominant functions.

The intervening chord doesn’t have to be from the dominant side of the prolonged
function. For instance, tonic prolongation can also be created with the use of
subdominant function, as in the excerpt from the third movement of Mozart’s Piano
Sonata No.7 in C Major. Again the second inversion triad makes it possible to
interpret the subdominant harmony as a neighbor chord that is used in favor of
prolongational purposes. The resulting progression of T – S – T creates a similar
harmonic stasis, in which the only difference is the position of the progressive and
retrogressive motions.

Figure 2.4 : Mozart, Piano Sonata No.7 in C Major, K309/284b, iii, mm. 1-5 (IMSLP)

25
2.5.3 Chromatic chords

As the system covers diatonic and chromatic pitch spaces, secondary dominant,
mode mixture and other chromatic chords can be interpreted in functional terms. This
approach may be seen as an exact opposite of Riemannian transformations, as the
focus is on the progression or action of these chromatic chords rather than their
derivation from primary chords, their identities or meanings. Having stated that, I
would like to proceed with the analyses of well known passages from the repertoire,
which have instances of chromatic chords with varying degrees of complexity.

In the continuation phrase of the well-known theme of Mozart’s Symphony No.40, a

half-diminished seventh chord on sixth degree comes after thirteen measures of tonic
prolongation, which leads to the German augmented sixth and ultimately to the
cadential progression that has several measures of dominant prolongation. This
somewhat pivotal chord is actually diatonic in melodic minor, but its functional
meaning comes out when we identify it as an octatonic relative of the tonic chord and
the igniter of the T-S-D-T cadential progression.

Figure 2.5 : Mozart, Symphony No. 40 in G Minor, K.550, mm. 1-22 (Piano arr. by August
Horn) (IMSLP)

26
The famous “Tristan chord” from the prelude of Wagner’s opera is a sonority that is
very similar to the chord in the previous example, a half-diminished seventh chord
that resolves downward by half step 16. The functional property of the chord doesn’t
change if the chord is interpreted as a French augmented sixth chord (F-A-B-D♯)
with G♯ as an appoggiatura, as both G♯ and A belong to the subdominant collection.
In a similar logic, as both A♯ and B belong to the dominant, the chord on the
downbeat of the third measure can be interpreted as an altered dominant chord or a
regular dominant seventh chord with a passing dissonance.

Figure 2.6 : Wagner, “Prelude” from Tristan und Isolde, mm.1-3 (Reduction from
Wikimedia: http://commons.wikimedia.org/wiki/File:Tristan_chord.png)

A less controversial and complex chromatic chord, the Neapolitan, is the only legacy
of once popular Phrygian mode that survived through the common practice period.
Due to its common positioning right before the dominant and its common tones with
the primary subdominant chord, the Neapolitan has been, I suggest, misinterpreted as
a subdominant chord. As the octatonic system shows, the Neapolitan chord belongs
to the dominant function as it is the tritone pair of the primary dominant chord.

The Neapolitan chord that proceeds directly to the tonic - a progression that would
create the anathema of good voice-leading: parallel fifths - was unavailable for
composers of the common practice period. However, as voice-leading gradually lost
its governing position in favor of harmonic extravaganza in Romantic period, major
triads and dominant seventh on lowered second degree that resolved directly to tonic,
similar to augmented sixth chords that resolve to dominant, started to appear 17.

16
This similarity has been brought to my attention by Smith’s 1986 article: “The Functional
Extravaganza of Chromatic Chords”.
17
An example for such progression is in the second measure of Reger’s “Straf mich nicht in deinem
Zorn”, Op. 40, No. 2, mm.1-2 as Harrison points out (1994:117).

27
An evidence that supports this idea is that the Neapolitan chord almost always
appears after a subdominant chord in progressions. In that perspective, N6 – V
progression is actually a harmonic stasis rather than a progressive motion, which
obscured its dominant function in the first place. A typical use of the Neapolitan
chord is shown in the excerpt from the theme of Beethoven’s “Moonlight” Sonata.

Figure 2.7 : Beethoven, Piano Sonata No.14, Op.27 No.2 (“Moonlight”), mm. 1-5 (IMSLP)

Other chromatic chords such as the diminished triad in the next example from
Beethoven’s “Waldstein” Sonata (Figure 2.8) would avoid an easy interpretation and
an appropriate Roman numeral label below it, as it resolves atypically to the
dominant chord that shares the fifth degree (G) as a common note. In a reductive
way, it could be explained as a prolongational (or non-functional) harmony for
dominant, however, the octatonic perspective shows that the diminished triad on the
fifth degree belongs to the same collection with the dominant harmony. If we look at
the pitch content of the chord, B or A♯ may be interpreted as the raised ninth and D
as the raised eleventh (or flattened fifth) of an altered dominant chord.

Figure 2.8 : Beethoven, Piano Sonata No.21, Op.53 (“Waldstein”), mm. 257-260 (IMSLP)

28
This example shows that unusual harmonies as such may be interpreted as altered
dominant chords18 that originate from the pitch classes of an octatonic collection,
thus from one of the three functions.

2.5.4 Major third relationship

Augmented triads, major seventh chords, ninth chords and other extended tertian
sonorities are not found in the octatonic system. However, these sonorities can be
analyzed from the perspective of major third relationships in combination with the
octatonic system.

Similar to minor third relationships of the chords within an octatonic collection,

major third related major and minor triads form another symmetrical collection: the
hexatonic. This collection can also be considered to consist of two minor second
19
related augmented triads . Due to its symmetrical nature, there are only four
hexatonic collections; the fifth iteration maps onto the first collection.

Parallel to the way the octatonic system has been presented previously, the hexatonic
system may be constructed out of the four hexatonic collections. Cohn, in his articles
(1996, 1998) and his recent book “Audacious Euphony” (2011), relies on this system
in his voice-leading analyses of chromatic harmonies (Figure 2.9). However, there is
a fundamental difference between these two systems: a circuit around one of the
hexatonic cycles is a function changing progression as opposed to a function
preserving one in the octatonic cycle 20.

Taking this into account, octatonic and hexatonic systems can be collided in order to
achieve a combined system of chords, which is organized as functions and transitory
areas between them. Figure 2.10 represents the combined system graphically:
continuous lines represent the three familiar octatonic collections, while the dashed
lines between the members of different octatonic collections show these transitory
areas. The telescopic circles represent the hexatonic collections, which may be

18
Alterations and extensions like 9, ♯ 9, 5/ ♯ 11 and 13, and also different combinations of them.
19
Pitch constituents of C major, E major and A major chords are: B – C – E – E – G – A ,
constituting the hexatonic scale. This scale that alternates semitones with minor thirds in each step
could also be acquired with C, E and A minor triads or with B – C , E – E or G – A augmented
triad pairs.
20
For instance, according to octatonic system, F – A – C♯ major or minor chords that belong to one
hexatonic collection represent S – T – D functions respectively.

29
expanded outwards infinitely, or can be curved to create a three-dimensional torus.
For the sake of simplicity, however, the combined system is presented in its most
basic form.

Figure 2.9 : The four hexatonic systems21 (Cohn 1996:17)

Figure 2.10 : The combined system

21
Cohn’s use of the term “system” is different from mine; he regards the cyclic ordering of major
third related chords that belong to the same hexatonic collection as a hexatonic system, while I reserve
the term for the entire constellation of four (or three in octatonic) collections, or cycles.

30
According to this combined system, non-octatonic tertian sonorities are interpreted as
combination of triads from different octatonic collections. For instance, as in the next
example from Bach’s C Major Prelude, a C major seventh chord has been analyzed
as a transition between, or as a functional mixture of tonic and dominant, in reference
to its triadic constituents, C major and E minor.

Figure 2.11 : J.S. Bach, Prelude and Fugue in C major, BWV 846, mm. 7-9 (IMSLP)

Another non-octatonic chord, the augmented triad is one of the least commonly used
chords of tonal vocabulary because of its ambiguous character; however, there are
some rare instances of its occurrence, as in the next excerpt from the coda of the first
movement of Beethoven’s “Waldstein” Sonata (Figure 2.12). Due to its symmetrical
nature, an augmented triad can be thought as a chord with three possible roots and
therefore, three possible functions. Keeping that in mind, I propose that the
functional meaning of an augmented triad should be understood as a transition
between the preceeding and succeeding chords.

Figure 2.12 : Beethoven, Piano Sonata No.21, Op.53 (“Waldstein”), mm. 274-275 (IMSLP)

31
Other extended tertian sonorities can also be dissected into their constituent triads
and analyzed accordingly. For instance, a dominant major ninth chord on G in C
22
major context has a functional mixture of S and D . The relative force of these
individual functions is affected by parameters other than pitch, like vertical ordering
and timbre, and will not be explored further in this study.

Tonal ambiguity will increase gradually if tertian superimposition is continued, and

when the point of functional saturation is reached, all seven pitches of a diatonic
23
collection will sound together. In such a situation, it is not possible to think of
motion between different functions anymore, as all three of them would be present in
a single musical moment 24. The extensive use of such chords in the works of post-
Romantic and modernist composers in the late nineteenth and early twentieth
centuries, led to the dissolution of functional harmony and therefore, tonality.

2.6 Further Speculations on Progressive and Retrogressive Motions

In the previous sections of this chapter, the octatonic system has been presented as
well as its perspective upon the typical idioms of tonal harmony. In this last section,
the aim is to investigate why progressive motion, not retrogressive, is the preferred
harmonic motion in tonal harmony and also to see if the theory can provide an
explanation for this within its own limits. In order to do that, the voice-leading aspect
of the two categories of harmonic motion has been examined, using the theoretical
device of conceptual voice-leading.

Conceptual voice-leading basically consists of a harmonic succession in which an

octatonic seventh chord is connected to a perfect triad with the most parsimonious
voice-leading possible. As stated before (see 2.2), the seventh of the second chord
doesn’t have to be present in the actual music; but it has been included in the
procedure, in order to explain the motivational aspect of harmonic successions as
such, a strategy that is adopted from Rameau. Accordingly, the second chord has

22
While G major presents Dominant function, B half-diminished seventh and D minor present
Subdominant function.
23
Quasi-diatonic collections like Harmonic minor, Harmonic major and Melodic minor, which can be
achieved with different combinations of minor and major primary triads, are also included.
24
For example, a sonority like G-B-D-F-A -C-E (G 11 13) has G major, F minor and C major
chords; the primary triads of each functions.

32
been determined as a triad that represents the point of repose, in which there is no
motivation to move elsewhere.

The procedure for the conceptual voice-leading of such a harmonic succession is as

follows:

1. The first chord is a seventh chord which consists of root, major or minor third,
diminished or perfect fifth and minor seventh.

2. The second chord is a perfect triad with a major or minor third.

3. All pitches of the seventh chord are present.

4. Every pitch of the seventh chord moves to the closest pitch in the triad, taking
into account the chromatic alterations; if there is any common tone with the triad,
it is sustained.

5. All pitches of the triad are present, one of them is doubled according to step 4.

The combination of every conceptual voice-leading with C major/minor as the

second chord and their groupings according to harmonic motions result with the table
of conceptual voice-leadings (Table 2.3).

The fourth step of the procedure is crucial in constructing the voice leading table and
interpreting its outcomes. According to this guideline, the pitches are allowed to
move only by major or minor seconds, taking into account the chromatic alterations
25
of the thirds of both chords and fifth of the first . The motions of twelve pitch
classes can be summarized as in Figure 2.13; the encircled pitch classes move to the
same pitch class (or pair of pitch classes, E and E). One important point to mention
is the dual roles of D and F, which is a result of their equal distance to two of the
( ) ( )
constituents of the second chord (major seconds to C – E and E – G,
respectively). The double emploi is the reason for the alternatives in descending
major third and perfect fourth successions. The fifth step, on the other hand, prevents
the occurrence of such alternatives in descending major second and ascending perfect
fourth root motions; in which there is a possibilty of doubled roots and fifths.

25
For example, F# to E is an augmented second, which is prohibited; therefore F(#) pair in descending
major second root motion goes to G.

33
 Table 2.3 : Conceptual Voice-Leadings for Root Motions
!!
Progressive

E! G! B! !!D! E ! G! B! !!D !
! ! ! !! M3!! m3!! ! ! ! !!

E ! G! C! !! !
C!!!!or E! ! G! C! C!!!

!E!!
!!!!!!!!!!!
G! B! D! !!F!
P4 ! " ! ! ! !!

G! C! C! E !!!

B ! D! F! !!A! C! ! E! G! !!B!
! ! ! !! M2"! m2!! ! ! ! !!

C! C! E! ! G! C! E! ! G! C!!!

Retrogressive

G ! B! D! !!F ! A! C! E! !!!G!
! ! ! !! M3 ! "
m3 ! " ! ! ! !!

G! C! E! ! G! G! C! E! ! G!!!

F! A! C! !!E!
P4!! ! ! ! !!
G!!!!or!
!
G! C!! E
!E!!
!!!!!!!!!!!

D! F! A! !!C! B! D! F! !!A!
! ! ! !! M2!! m2 ! " ! ! ! !!

E! ! G! G!! C!!! C! E ! G! G!!!

Harmonic Stasis

F! ! A! C! E!
Tr! ! ! ! !!
C!!!!or
G! ! ! C! E !!!
!!G
!!!!!!!!!!!

34
 Figure 2.13 : Summary of the table of conceptual voice-leading

The superiority of root over other constituents of a chord is an axiom that proves to
be useful for interpreting the table of conceptual voice-leadings. In successions of
progressive motion (with the exception of an alternative in descending major third)
the root of the triad is doubled, which is a result of the contrary motion between B( )

and D( )
pairs. On the retrogressive side, the third or the fifth of the triad is doubled,
(♯)
which is a result of contrary motions of F and A( )
or D( ♯ )
and F( )
pairs,
respectively. In addition, the absence of the root of the first in the second chords of
the progressive successions creates an essential harmonic contrast between them. In
root motion of a tritone, the two alternative thirds of the first chord, A and B( )
point
towards different pitch classes, the fifth and the root, respectively; which explains the
diffused, static character of not-progressive, nor-retrogressive “harmonic stasis”.

Another important point is that, in progressive successions, with the exception of

descending minor second26, all of the “dissonant” minor sevenths resolve
downwards. However, out of six successions of retrogressive motion and harmonic
stasis combined, only in one does the seventh resolve “properly.” In accordance with
the Rameauian perception of dissonances as sevenths above supposed basses, the
treatment of dissonances (both actual and contextual ones) may be seen as the reason
for the prominence of progressive motion in Palestrina style counterpoint.

In conclusion, the conceptual voice-leading shows that, the principles of counterpoint

in Late Renaissance, as codified by Zarlino (1968) (such as the preference of
complete sonorities as opposed to “hollow” sounding fifths, of four-voice texture
which requires doubling of a pitch in the triad, of contrary motion between voices
and also the treatment of dissonance) may be the reason for coming into prominence
of progressive motion rather than its retrogressive counterpart.

26
The augmented sixth spelling in this succession is an adjustment for the irregular resolution of the
dissonant seventh.

35
36
3. APPLICATION OF THE THEORY

3.1 Introduction for the Analyses

In the previous chapter, the theory which defines progressive and retrogressive
harmonic motions in relation to the octatonic system, has been presented.
Furthermore, the analytical examples towards the end demonstrated that the typical
idioms of common practice harmony correspond with the model that is presented by
the system. In this chapter, examples from the pre-tonal and tonal polyphonic
repertoire will be analyzed, in order to examine the relationship between the
harmonic motion and tonality, or more specifically, the individual contribution of
harmonic motion to the emergence of tonality. The examples, which range from a
Late Medieval motet to a Renaissance Mass movement and a Baroque sonata
prelude, reflect the multiplicity of genres and textures within the polyphonic setting
of the specified period. The statistical results for the harmonic motion will be
evaluated at the end of this chapter.

The method that is employed here, in fact, proves to be quite useful in many aspects.
The analyst is not bound to the diatonic scale as the norm and to interpret the
chromaticism of leading-tones and musica ficta alterations as deviations from it. In
addition, the relativistic aspect of the system makes it possible to consider modal
harmonies directly, without relating them to a tonal center.

The employed analytical method, which focuses on chords and root motion between
them, may seem to be an anachronistic approach that hardly reflects the intention and
the technique of the composer. At this point, I argue that, this criticism can be
pointed towards any analytical endeavour; as the whole process of analysis involves
a certain amount of deconstruction, in order to trace the fundamental concepts and
rules that govern the music at hand. This is not to say that the compositional
technique is ignored altogether; as in some passages, such modal features will be
emphasized. The aim here is, to position the analytical scope from the perspective of
a listener, who is assumed to be well-versed with functional harmony.

37
In the analyses, the progressive and retrogressive motions are defined according to
the root interval betweeen
6 successive
6
harmonies; but due to the linear
6 compositional
6 6
B- CB - G C CG AC- A- E- E- C AC- 6 A-
technique35of 35 music, the designation of individual harmonies turns out to be
pre-tonal
a troublesome task, in the absence of clear phrase structure and harmonic rhythm.
The musica ficta alterations over the staff create another difficulty, as their
interpretation varies not only in different editions of the same piece, but also in
different performances of the same score. With these aspects taken into account, the
harmonies are determined in reference to their prominence, metric placement and
their intervallic content is interpreted in the octatonic perspective, which allows for
alternation of the third, fifth and in some cases, the root. On the scores that can be
found in the Appendix, prolongational harmonies, such as 6/4 triads, are either
reduced or shown in parantheses, while the progressive and retrogressive motions are
6 6 6
38
D- D- G- DG- - 6 D- F F
38
labeled with counter-clockwise ( ) and clockwise ( ) symbols, respectively,
indicating the direction of rotation in the octatonic system. In the rare occurrences of
harmonic stasis, or the root motion of a tritone, the ceasura symbol takes place of the
rotational symbols. In the chord labels, parantheses are used for the alternation of
major-minor chord qualities and interpretations of diminished chords.

3.2 The Analyses

3.2.1 Machaut, “Puis que la douce rousee”

The motet that dates back to the second half of the 14th century has a three-voice
6 6
texture and its isorhytmic C E - G#
E - structure ° 6 the
provides
C A compositional
G#-° 6 A - D unity.
- 4 The - 4 A and
D initial A
(E7) of (E7)
final pitches of F in the limited ambitus the tenor give the clue for authentic
Lydian mode. The unmistakebly modal features of linear and harmonic dimensions
show themselves as early as the first phrase, even though the first regular parallel
cadence 27 occurs on G at the end of the second phrase. Other occurrences of parallel
cadence between F# -6 and G are in measures 25, 66, 77 and between E-6 and F in
measures 51, 99, 107 and 145, as well as the final cadence of the piece.

27
The parallel cadence (also known as the double-leading-tone cadence) involves a progression from
a 6/3 sonority to an 8/5 sonority. Typically, the tenor descends a step while the top two parts ascend in
a parallel way , thereby giving the name to the cadence. Fuller underlines the structural importance of
this so called directed progression, which according to her, has a syntactical succession of tendency
and resolution that is motivated by the imperfect to perfect interval progression (1992).

38
The progression at the end of the first phrase (m.8-9), which sounds like a deceptive
cadence to our modern hearing, should be seen as a variation of the regular parallel
cadence. Instead of going to F# in order to create the tendency sonority, the triplum
leaps up to dissonant G. In the next measure, C# in the motetus resolves to D, while
the triplum and the pre-existing tenor line descend to F and B , respectively.

The establishement of multiple tonal centers, which is a characteristic feature of

Machaut’s music according to Fuller (1998) and Bain (2008), is achieved by these
“stepwise” cadences. Contrastingly, root motion by an ascending fourth is infrequent
in general and in fact, there isn’t a single occurrence of C major, or the dominant in
the home “key” of F. The use of a stepwise, cantus firmus tenor line as the
compositional and harmonic foundation28 is the primary reason for this condition.

As this example shows, musica ficta alterations, non-triadic sonorities as well as

irregular dissonances create complication in such a chordal analysis. Nevertheless,
the symmetry between progressive and retrogressive motion can still be observed.

3.2.2 Agricola, “Je n’ay dueil”

A contemporary of Josquin des Prez, Alexander Agricola (1445 - 1506) is one of the
most renowned composers of his time, whose style is representative of the High
Renaissance polyphony. The piece dates back to the second half of the fifteenth
century and has a four-voice polyphonic setting, while its extensive use of imitation
is reminiscent of Ockeghem.

The entry of the countertenor that starts with the fifth degree of Dorian (A) is
imitated at the octave by soprano and tenor, while the bass imitation is at the fourth
(or the lower fifth). The emphasis on A-B semitone throughout the piece gives a
Phrygian character to the piece, but in cadences where A major leads to D minor
29
(such as the final cadence of the A section and of the piece in m. 28), the strong
impression of D Aeolian obscures the boundary between these modes.

28
While Zarlino points out the tenor as the compositional (or contrapuntal) foundation, he reserves the
harmonic foundation for the lowest voice of the texture, which defines the quality of the intervals
above it: either the tenor or contratenor bassus (or the bass) (Lester, 2008:754).
29
In this cadence, the use of unprepared dominant seventh that resolves “correctly” is a striking
feature, which exemplifies its use at least a hundred-years earlier than Monteverdi’s “Cruda Amarilli”.

39
The modal cadence in m. 6-7 is similar to the variant parallel cadence in the previous
piece in terms of root motion, but here the outer voices carry the parallel major thirds
between root position A and B major chords, therefore, sounding more like a
deceptive cadence in functional hearing. Other examples of this cadence are in m.34
and also, between E and F major chords in m. 20-21.

In terms of overall harmonic motion, the symmetry between progressive and

retrogressive motions is intact, as there are almost equal occurrences of both
directions, when the form of the piece (ABBCAA) is taken into account.

3.2.3 Palestrina, “Agnus Dei” from Missa Papae Marcelli

The next analytical example is a movement from the famous Pope Marcellus mass
(1562), which represents the contrapuntal style of the 16th century master. The
hallmark of Renaissance polyphony, imitation, is still used as the means for integrity.
The entry of the contralto, which is followed by soprano and bass entries, hints at
Mixolydian mode; the ending, however, is on C major which points at Ionian mode.
In other words, the piece either starts on the dominant that resolves to tonic in the
second harmony (m.3) or the regular ending of G in the contralto line is accompanied
with C and E in place of B and D.

Putting aside the issue of modality in a polyphonic setting as such, the prominence of
descending fifth root interval and progressive harmonic motion in general is
significant. For instance, the passage between measures 25 and 32 can be seen as a
chain of progressive motion, while the repeated progression at the end of the piece
creates an accumulation of progressive motion (m. 42 – 46 and m. 46 – 50), which
enhances the pull towards the ultimate C major. The final succession - a cadence
imparfait in Rameau’s terminology - is a retrogressive motion that counterbalances
the consistency of the previous bars with its position, which attaches a modal ending
to the piece. In general, descending fifth cadence takes the place of modal parallel
cadence, which frequently occurred in previous pieces and not even once here.

Contrasting with the previous examples, the asymmetry that leans towards the
progressive side is a distinctive feature to which Palestrina’s contrapuntal style and
treatment of dissonance contributed significantly.

40
3.2.4 Monteverdi, “Era l’anima mia” from Fifth Book of Madrigals

The pivotal figure in between the periods of Renaissance and Baroque, Monteverdi is
commonly regarded as the creator of modern music, or of tonal harmony. The piece
is from his fifth book of madrigals, which includes an introduction that serves as the
declaration text of Seconda prattica (1605). The piece has a five voice texture that is
typical for madrigal setting, while there is also a key signature that implies D minor.

The tonal organization of harmony in this first section is remarkable; the quasi-
homorhytmic texture has a notably tonal progression in D minor: i – iv6 – V!!!!
!!! – i .

The tonic chord at the end of the progression (m.9) functions as a pivot chord for the
repetition of the same progression in the subdominant key of G minor. The inner part
of the piece has a livelier contrapuntal writing and correspondingly, faster harmonic
rhythm. The frequent V-I cadences in different keys like C major/minor (m. 19, 60),
G minor (m. 21, 28, 40), F major (m. 25, 34) and in B major (m. 36) signify an
exploration of different key areas in the form of modulation, or at least of
tonicization. Also, the frequent use of V!!!!
!!! progression contributes into the sense of

centricity in these local key areas.

The peculiar final cadence of the piece inverts the bass motion of the usual V-I
cadence, while the chromatic connection is between B and A. In the absence of the
ascending “leading-tone” (C#), the penultimate harmony can only be interpreted as a
rootless dominant seventh on natural seventh degree in second inversion; a rather
awkward label for diatonic Roman numeral analysis. In the perspective of
octatonicism and functions however, the harmony can be interpreted simply as a
dominant.

The accumulation of progressive motion in outer sections heralds the arrival of tonal
harmony, but the persistance on some modal features, especially in the middle
section, decreases the steepness of the asymmetry.

3.2.5 Gesualdo, “ O tenebroso giorno” from Fifth Book of Madrigals

The first two chords of the piece (1611) strike the listener with chromaticism right
away, which is a technique favored by the composer. Aeolian mode is the prime
suspect in terms of modality, even though major thirds have been used in initial and
final sonorities. The dominant in the second measure that is prepared by a suspension

41
doesn’t reach its destination directly, due to the syncopated imitiations in the alto and
countertenor; the “tonic” solidifies only after the entry of the bass in the second half
of the fourth measure. Tonal ambiguity persists until a somewhat proper V-I cadence
in m.12, which forms the transition to the fast-moving, imitative second section of
the piece. One extraordinary harmonic moment is in m.9, in which the “outside” C#
minor and F# major chords, which create an expectation of B minor, lead to G major
in first inversion deceptively, with a proper descending fifth in the bass.

Harmonically less extravagant middle section comes to a close in around m.32, in

which the introduction of slower rhythms implies a change of texture. The
accumulation of progressive motion that starts from m.34 creates a pull towards the
final cadence between m.38 -39. The subdominant 6/4 chord in penultimate measure
serves to prolong tonic harmony with the use of pedal bass; therefore, there isn’t a
real harmonic motion.

To sum up, the chordal outer sections contrast with the imitative middle section that
is reminiscent of the older style. As a result, the disposition of harmonic motion is
closer to symmetrical, demonstrating the essential relationship between texture and
harmonic motion.

3.2.6 Carissimi, recitative “Plorate colles” and final chorus “Plorate fiili Israel”
from the oratorio “Jephte”

After Monteverdi’s impact, dramatic musical forms of opera and oratorio rose to
prominence in the Early Baroque. One of the first masterpieces of the latter form is
written by the most important representative of the Roman school, Carissimi, and is
titled as Historia di Jephte (1648). In order to show how the parameter of texture
affects the degree of asymmetry in harmonic motion, two successive movements of
this spectacular work will be analyzed and the statistical results will be presented
separately.

The first of these movements is in the recitative style, in which the solo vocal melody
is accompanied by the basso continuo line 30. In the first section, the A- B semitone
is emphasized in the melody, which gives it a Phrygian character. The flow of

30
As there are no figures under the bass line in this edition, the analysis has been carried out by
“realizing” the accompaniment according to the implied harmony in the voice part.

42
progressive motion is interrupted in the second phrase by F major, which retains the
Phrygian quality in the local key center of E, which gets reinterpreted as the
dominant of the original key. The second section starts with a phrase in G minor,
which is followed by a cadential phrase that accumulates progressive motion until
the arrival of A major. This chord functions as Neapolitan sixth in this local key
and there is also the typical harmonic stasis between two dominants (see 2.6.3). The
third and fourth sections of this recitative movement remain in the “sharp” pitch
space of A minor and closely-related G major, as the Phrygian semitone disappears.
Remarkably, both sections consist entirely of progressive motion.

In the choral movement, the repeated first phrase is harmonized over a descending
bass tetrachord. The first inversion minor dominant in the resulting progression
serves as a “passing” harmony between tonic and first inversion subdominant chords,
nevertheless these successions are labeled as retrogressive. The next phrase, which
follows the half cadence, evokes a modal sense of harmony with the root motion of
an ascending fifth. After this phrase, the majority of the harmonic motion is
progressive, while almost all of the retrogressive motions occur between the
repetitions of cadential progressions.

The use of tonal harmony that serves for dramatic purposes, in conjunction with
modes and older style of polyphony that are preserved in Church music, reflects the
mixture of different aesthetical attitudes in mid-17th century. The third and fourth
sections of the recitative movement are especially important, as the disappearance of
the modal character directly results in an accummulation of progressive motion.

3.2.7 Corelli, “Prelude” from Violin Sonata in E Minor Op.5 No.7

Commonly regarded as the first tonal composer, Corelli is most famous for his
instrumental writing, especially for his sonatas for violin and basso continuo setting.
In the prelude of this piece (1700), rounded binary form that consists of two repeated
parts has been employed. Typically, the first part modulates to the dominant and ends
with a perfect authentic cadence. The second part, on the other hand, starts with a
descending fifth sequence that modulates to the subdominant and ends with a proper
cadence in the home key.

As the notion of tonality is complete, it is possible to perform a Roman numeral or

functional analysis; but for the sake of consistency with the previous examples, the

43
harmonic motion will be examined in terms of two directions. In the first part, the
only occurrence of retrogressive motion is in measure 18, when the local tonic of G
goes directly to its dominant. The sequence that initiates the second part possesses
the rest of the retrogressive motions; thus, the overwhelming majority and
accumulation of progressive motion in the piece exemplifies the regular tonal
harmonic motion.

3.3 Analytical Results

The statistical results show that harmonic motion gets increasingly asymmetrical, as
we move chronologically towards the common practice period (Table 3.1).
Obviously, this progression is not linear throughout the timeline, as the Gesualdo and
Carissimi examples indicate; however the tendency to accumulate progressive
motion becomes apparent at least after the 16th century. Exemplified here with
Palestrina’s work, the recognition of harmonic organisation in this period is
remarkable and deserves a full study by itself.

A fundamental association must be made between harmonic motion and tonal

system. Undoubtedly modal pieces of Machaut and Agricola have perfect symmetry
in terms of harmonic motion, while tonally-perceptable modes of Mixolydian –
Ionian mixture and Aeolian in Palestrina, Gesualdo and Monteverdi examples may
be a factor for the asymmetry in various degrees. The recitative movement of the
Carissimi example puts forth an important example in that sense; the second half of
the movement, in which the Phrygian quality has been abandoned, consists entirely
of progressive motion, while the same accompanimental texture has produced
retrogressive motion in the first part. The accummulation of progressive motion in
Corelli exemplifies harmonic motion in major/minor tonality.

Nevertheless, as the intersectional contrasts in Gesualdo and Carissimi examples

indicate, an important correlation should be also made between polyphonic texture
and symmetry of harmonic motion. In homophonic and monodic sections of these
pieces, the accumulation of progressive motion is more prominent than contrapuntal
sections that utilize imitative polyphony.

44
 Table 3.1: Statistical results for harmonic motion

100%#

90%#

80%#

70%#

60%#

50%#

40%#

30%#

20%#

10%#

0%#
Machaut Agricola Palestrina Monteverdi Gesualdo Carissimi A Carissimi B Corelli
(before 1377) (before 1506) (1562) (1605) (1611) (1648) - (1700)
Retrogressive 42 118 20 23 33 19 19 6
Progressive 39 119 43 46 49 73 36 47

45
46
4. CONCLUSION

The reconciliation of the two harmonic perspectives of earlier traditions that are
presented in the first chapter (namely Rameauian harmonic motion and Riemannian
harmonic identity) results with the octatonic system, which reveals the reciprocal
relationship between these two factors of harmonic function. The construction of the
system makes use of the principles of resolution of tritone and common-tone
relationship between sonorities, ideas that have their origins in these two respective
lines of thought. In that sense, the study aims to put forward a different perspective
upon functional harmony and to expand its range defined by traditional theories.

As the short analytical examples in second chapter indicate; octatonicism proves to

be a useful scope while examining functional harmony in place of diatonicism, which
handicaps all existing theoretical views, in conjuction with the centricity of tonic. A
perspective that will be explored thoroughly in future studies asserts that, the
“background” scale concept might be differentiated for two dimensions of pitch
events; in other words, melodic dimension can be thought to be governed by diatonic
space, while its harmonic counterpart, by octatonic space.

As Kopp points out, an ideal theory of harmony explains how chord progressions are
determined and goal-oriented in tonal music (1995). The presented theory asserts
that, the accummulation of progressive motion is a distinctive feature of functional
harmony in tonal music. However, this doesn’t mean that tonal harmony consists
solely of progressive motion; successions such as I-V in which tonic goes to
dominant without an intermediary subdominant, repetitions of cadential progressions
(I-ii-V - ii-V-I), sequences and other irregular successions that are based upon bass
functionality (rather than of root functionality) produce retrogressive motion.
Nevertheless, progressive motion and its accummulation prevail as the norm in tonal
harmony until the extravaganzas of the Romantic period. Despite the speculations in
the last section of the second chapter, the question of why progressive motion is
preferred for accummulation rather than retrogressive remains to be open until
further studies on the subject.

47
Tymoczko accurately points out that tonal musical syntax depends largely on local
harmonic relationships; therefore, challenges the idea of recursive organisation,
which is manifested by Schenker and prolonged by Lerdahl and Jackendoff with the
adaptation of linguistic techniques (2010: 19). His statistical approach upon
harmonic grammar in tonal music results in a model (Figure 4.1), which represents
the majority of the progressions that are found in the common-practice repertoire,
even though its shortcomings due to its foundation upon diatonicism and centricity.
The root motion perspective of the octatonic system is fully compatible with this
model, when aforementioned exceptions are taken into account.

Figure 4.1 : Tymoczko's map of tonal grammar in major (2010: 9)

The evaluation of the presented theory in six criteria (Brown, 2008: 15) shows that
the system provides accurate and consistent insights on harmonic motion, while the
scope of harmonic analysis is expanded to cover sonorities of pre-tonal and post-
tonal periods. The simplicity of the system shows itself even in the limited, two-
dimensional space on a paper, in which the relationships between all chords built on
twelve pitch classes can be analyzed in the most elementary way: by referring to the
octatonic collection or to the root interval. The system communicates with the
aforementioned, existing tonal theories by means of shared concepts (such as
dissonance resolution, voice-leading efficiency, common-tone relationship and root
motion) and provides new insights on harmony of modal / tonal dichotomy,
therefore, is coherent and fruitful.

The system, however, is not limited to be used in the presence of conventional

chordal structures. As the octatonic collection can be presented in various pitch
combinations in both dimensions, there is also the possibility of using the system in
conjunction with other methodologies, such as Schenkerian analysis and set-theory,
in order to analyze Romantic and post-tonal music (Newton’s 2013 article on
Schoenberg’s pre-serial music is examplary in that sense). For the sake of scope and
depth of the study, this goal is left to be fulfilled in future projects.

48
REFERENCES

Adams, Kyle. 2010. “A New Theory of Chromaticism from the Late Sixteenth to the
Early Eighteenth Century.” Journal of Music Theory 53(2): 255-304 JSTOR
(accessed 25 December 2013).
Agmon, Eytan. 1995. “Functional Harmony Revisited: A Prototype-Theoretic
Approach.” Music Theory Spectrum 17(2): 196-214 JSTOR (accessed 02 June
2014).
Allsop, Peter. 1999. Arcangelo Corelli: New Orpheus of Our Times. New York:
Oxford University Press.
Arnold, Denis. 1957. “"Seconda Pratica": A Background to Monteverdi's Madrigals.”
Music & Letters 38(4): 341-352 JSTOR (accessed 12 September 2014).
Bain, Jennifer. 2005. “Tonal Structure and the Melodic Role of Chromatic
Inflections in the Music of Machaut.” Plainsong and Medieval Music 14(1): 59-
88 Cambridge Journals Online (accessed 19 October 2014).
Bain, Jennifer. 2008. “"Messy Structure"? Multiple Tonal Centers in the Music of
Machaut.” Music Theory Spectrum 30(2): 195-237 JSTOR (accessed 19
October 2014).
Barnett, Gregory. 2008. “Tonal Organization in Seventeenth-Century Music
Theory.” In Thomas Christensen, eds., The Cambridge History of Western Music
Theory, 407-455. Cambridge, UK: Cambridge University Press.
Bent, Margaret. 1998. “The Grammar of Early Music: Preconditions for Analysis.”
In Christle Collins Judd, eds., Tonal Structures in Early Music, 15-59. Cambridge,
New York: Garland.
Berger, Karol. 1980. “Tonality and Atonality in the Prologue to Orlando di Lasso's
"Prophetiae Sibyllarum:" Some Methodological Problems in Analysis of
Sixteenth-Century Music.” The Musical Quarterly 66(4): 484-504 JSTOR
(accessed 15 January 2014).
Bernstein, David W. 2008. “Nineteenth-century Harmonic Theory: the Austro-
German Legacy.” In Thomas Christensen, eds., The Cambridge History of
Western Music Theory, 407-455. Cambridge, UK: Cambridge University Press.
Berry, Wallace. 1987. Structural Functions in Music. New York: Dover Publications.
Blackburn, Bonnie J. 1987. “On Compositional Process in the Fifteenth Century.”
Journal of the American Musicological Society 40(2): 210-284 JSTOR
(accessed 01 September 2014).
Brothers, Thomas. 1997. “Musica Ficta and Harmony in Machaut's Songs.” The
Journal of Musicology 15(4): 501-528 JSTOR (accessed 19 October 2014).
Brower, Candace. 2008. “Paradoxes of Pitch Space.” Music Analysis 27(1): 51-106
Wiley Online Library (accessed 03 March 2014).

49
Brown, Matthew. 2005. Explaining Tonality: Schenkerian Theory and Beyond. New
York: University of Rochester Press.
Brown, Matthew and Douglas Dempster. 1990. “Evaluating Music Analyses and
Theories: Five Perspectives.” Journal of Music Theory 34(2): 247-279 JSTOR
(accessed 07 June 2014).
Bukofzer, Manfred F. 1947. Music in the Baroque Era: From Monteverdi to Bach.
New York: W.W. Norton.
Carter, Paul Scott. 2005. “Retrogressive Harmonic Motion as Structural and Stylistic
Characteristic Of Pop-Rock Music” Ph.D. diss., University of Cincinnati OH,
U.S.A. Digital Dissertations (accessed 06 January 2014).
Caplin, William E. 1998. Classical Form: A Theory of Formal Functions for the
Instrumental Music of Haydn, Mozart, and Beethoven. New York: Oxford
University Press.
Chew, Geoffrey. 1989. “The Perfections of Modern Music: Consecutive Fifths and
Tonal Coherence in Monteverdi.” Music Analysis 8(3): 247-273 Wiley Online
Library (accessed 12 September 2014).
Childs, Adrian P. 1998. “Moving Beyond Neo-Riemannian Triads: Exploring a
Transformational Model for Seventh Chords.” Journal of Music Theory 42(2):
181-193 JSTOR (accessed 18 April 2013).
Clough, John. 1957. “The Leading Tone in Direct Chromaticism from Renaissance
to Baroque.” Journal of Music Theory 1(1): 2-21 JSTOR (accessed 7 January
2014).
Clough, John. 1959. “Indirect Chromaticism in Renaissance.” Journal of Music
Theory 3(1): 147-150 JSTOR (accessed 10 January 2014).
Cohn, Richard. 1996. “Maximally Smooth Cycles, Hexatonic Systems and the
Analysis of Late-Romantic Triadic Progressions.” Music Analysis 15(1): 9-40
Wiley Online Library (accessed 18 April 2013).
Cohn, Richard. 1997. “Neo-Riemannian Operations, Parsimonious Trichords and
Their Tonnetz Representations.” Journal of Music Theory 41(1): 1-66 JSTOR
(accessed 18 April 2013).
Cohn, Richard. 1998. “Introduction to Neo-Riemannian Theory: A Survey and a
Historical Perspective.” Journal of Music Theory 42(2): 167-180 JSTOR
(accessed 18 April 2013).
Cohn, Richard. 2012. Audacious Euphony: Chromatic Harmony and the Triad's
Second Nature. New York: Oxford University Press.
Cohen, David E. 2001. “ "The Imperfect Seeks Its Perfection": Harmonic
Progression, Directed Motion, and Aristotelian Physics.” Music Theory
Spectrum 23(2): 139-169 JSTOR (accessed 26 October 2014).
Dahlhaus, Carl. 1990 (1968). Studies on the Origins of Harmonic Tonality. Robert O.
Gjerdingen, trans. and ed. Cambridge, UK: Princeton University Press.
Damschroder, David. 2010. Harmony in Schubert. Cambridge, UK: Cambridge
University Press.

50
Drabkin, William. 2008. “Heinrich Schenker.” In Thomas Christensen, eds., The
Cambridge History of Western Music Theory, 812-846. Cambridge, UK:
Cambridge University Press.
Einstein, Alfred and Theodore Baker. 1924. “The Madrigal.” The Musical Quarterly
10(4): 475-484 JSTOR (accessed 02 January 2014).
Fétis, Francois-Joseph. 1994 (1840). Esquisse de L’Historie de L’Harmonie. Mary I.
Arlin, trans., and ed. Stuyvesant, NY: Pendragon Press
Fuller, Sarah. 1986. “On Sonority in Fourteenth-Century Polyphony: Some
Preliminary Reflections.” Journal of Music Theory 30(1): 35-70 JSTOR
(accessed 19 October 2014).
Fuller, Sarah. 1987. “Line, 'Contrapunctus' and Structure in a Machaut Song.” Music
Analysis 6(1-2): 37-58 Wiley Online Library (accessed 19 October 2014).
Fuller, Sarah. 1992. “Tendencies and Resolutions: The Directed Progression in "Ars
Nova" Music.” Journal of Music Theory 36(2): 229-258 JSTOR (accessed 19
October 2014).
Fuller, Sarah. 1998. “Exploring Tonal Structure in French Polyphonic Song of the
Fourteenth-Century.” In Christle Collins Judd, eds., Tonal Structures in Early
Music, 61-85. Cambridge, New York: Garland.
Guillotel-Nothmann, Christophe. 2007. “Dissonance and Harmonic Progression: The
Impact of the Seconda Prattica on the Advent of Tonality.” ”Patrimoines Et
Langages Musicaux” in the website of the University of Paris-Sorbonne
http://www.plm.paris-sorbonne.fr/IMG/pdf/Dissonance.pdf (accessed 21 August
2014).
Haar, James. 1977. “False Relations and Chromaticism in Sixteenth-Century Music.”
Journal of American Musicological Society 30(3): 391-418 JSTOR (accessed 7
January 2014).
Haar, James. 1994. “Classicism and Mannerism in 16th-Century Music.”
International Review of the Aesthetics and Sociology of Music 25(1): 5-18
JSTOR (accessed 28 December 2013).
Harrison, Daniel. 1994. Harmonic Function in Chromatic Music: A Renewed Dualist
Theory and an Account of Its Precedents. Chicago: The University of Chicago
Press .
Harrison, Daniel. 1995. “Supplement to the Theory of Augmented-Sixth Chords.”
Music Theory Spectrum 17(2): 170-195 JSTOR (accessed 14 May 2014).
Harrison, Daniel. 2002. “Nonconformist Notions of Nineteenth-Century
Enharmonicism.” Music Analysis 25(1): 115-160 Wiley Online Library
(accessed 23 April 2014).
Hauptmann, Moritz. 1888 (1853). The Nature of Harmony and Metre. W. E.
Heathcote, trans. and ed. London: Swan Sonnenschein.
Hyer, Brian. 1995. “Reimag(in)ing Riemann.” Journal of Music Theory 39(1): 101-
138 JSTOR (accessed 31 October 2014).
Hyer, Brian. 2008. “Tonality.” In Thomas Christensen, eds., The Cambridge History
of Western Music Theory, 726-752. Cambridge, UK: Cambridge University Press.

51
Jeppesen, Knud. 1946 (1970). The Style of Palestrina and the Dissonance. New
York: Dover Publications.
Judd, Christle Collins. 2008. “Renaissance Modal Theory: Theoretic, Compositional
and Editorial Perspectives.” In Thomas Christensen, eds., The Cambridge History
of Western Music Theory, 364-406. Cambridge, UK: Cambridge University Press.
Kang, Youyoung. 2011. “Monteverdi’s Early Seventeenth-Century ‘Harmonic
Progressions’.” Music Analysis 30(2-3): 186-217 Wiley Online Library
(accessed 12 September 2014).
Klumpenhouwer, Henry. 2008. “Dualist Tonal Space and Transformation in
Nineteenth-Century.” In Thomas Christensen, eds., The Cambridge History of
Western Music Theory, 456-476. Cambridge, UK: Cambridge University Press.
Kopp, David. 1995. “On the Function of Function.” Music Theory Online 1(3):
http://www.mtosmt.org/issues/mto.95.1.3/mto.95.1.3.kopp.art (accessed 05 May
2014).
Kopp, David. 2002. Chromatic Transformations in Nineteenth-Century Music.
Cambridge, UK: Cambridge University Press.
Kurth, Ernst. 1991. Selected Writings. Lee A. Rothfarb, trans. and ed. Cambridge,
UK: Cambridge University Press.
Lerdahl, Fred. 2001. Tonal Pitch Space. New York: Oxford University Press.
Lerdahl, Fred and Ray Jackendoff. 1983. A Generative Theory of Tonal Music.
Cambridge, MA: MIT Press.
Lester, Joel. 2008. “Rameau and Eighteenth-Century Harmonic Theory.” In Thomas
Christensen, eds., The Cambridge History of Western Music Theory, 753-777.
Cambridge, UK: Cambridge University Press.
McClary, Susan Kaye. 1976. “The Transition from Modal to Tonal Organization in
the Works of Monteverdi” Ph.D. diss., Harvard University, MA Digital
Dissertations (accessed 06 January 2014).
McClary, Susan Kaye. 2004. Modal Subjectivities: Self-fashioning in the Italian
Madrigal. Berkeley, CA: University of California Press.
Meeus, Nicolas. 2000. “Toward a Post-Schoenbergian Grammar of Tonal and Pre-
tonal Harmonic Progressions.” Music Theory Online 6(1):
http://www.mtosmt.org/issues/mto.00.6.1/mto.00.6.1.meeus.html (accessed 05
May 2014).
Mickelsen, William C. 1977. Hugo Riemann’s Theory of Harmony: A Study.
Lincoln: University of Nebraska Press.
Mitchell, John Williams. 1963. “A History of Theories of Functional Harmonic
Progression” Ph.D. diss., Indiana University, IN Digital Dissertations (accessed
06 January 2014).
Newton, Neil. 2013. “An Aspect of Functional Harmony in Schoenberg’s Early Post-
Tonal Music” Music Analysis 33(1): 1-31 Wiley Online Library (accessed 21
August 2014).
Palisca, Claude V. 1991. Baroque Music. New Jersey: Prentice-Hall.
Parncutt, Richard. 1989. Harmony: A Psychoacoustical Approach. Heidelberg:
Springer-Verlag.

52
Perry, Lukas. 2011. “From Modality to Tonality: The Reformulation of Harmony
and Structure in Seventeenth-Century Music.” Summer Resarch in University of
Puget Sound, Paper 78 http://soundideas.pugetsound.edu/summer_research/78
(accessed 10 February 2014).
Powers, Harold S. 1981. “Tonal Types and Modal Categories in Renaissance
Polyphony.” Journal of American Musicological Society 34(3): 428-470 JSTOR
(accessed 28 December 2013).
Powers, Harold S. 1998. “From Psalmody to Tonality.” In Christle Collins Judd,
eds., Tonal Structures in Early Music, 275-340. Cambridge, New York: Garland.
Rameau, Jean-Philippe. 1971 (1722). Treatise on Harmony. Philip Gossett, trans. and
ed. New York: Dover.
Riemann, Hugo. 1896. Harmony Simplified. H. Bewerunge, trans. and ed. London:
Augener.
Randel, Don M. 1971. “Emerging Triadic Tonality in Fifteenth Century.” The
Musical Quarterly 57(1): 73-86 JSTOR (accessed 02 June 2014).
Reger, Max. 2007 (1902). Modulation. John Bernhoff, trans. and ed. New York:
Dover Publications.
Rivera, Benito V. 1971. “Harmonic Theory in Musical Treatises of the Late Fifteenth
and Early Sixteenth-Centuries.” Music Theory Spectrum 1(1): 80-95 JSTOR
(accessed 02 June 2014).
Sabaiano, Daniele and Marco Mangani. 2008. “Tonal Types and Modal Attributions
in Late Renaissance Polyphony: New Observations.” Acta Musicologica 80(2):
231-250 JSTOR (accessed 14 January 2014).
Sabaiano, Daniele and Marco Mangani. 2013. “Counterpoint and Modality in
Gesualdo’s Late Madrigals.” Philomusica on-line, numero speciale “Gesualdo
1613-2013”: 43-75
http://riviste.paviauniversitypress.it/index.php/phi/article/view/1617/1683
(accessed 05 January 2014).
Sadai, Yizhak. 1980. Harmony in its Sytemic and Phenomenological Aspects.
Jarusalem: Yanetz.
Schenker, Heinrich. 1935 (1979). Free Composition. Ernst Oester, trans. and ed.
New York: Longman.
Schoenberg, Arnold. 1969 (1954). Structural Functions of Harmony. Leonard Stein,
ed. New York: Norton.
Schrade, Leo. 1969 Monteverdi: The Creator of Modern Music. New York: W.W.
Norton.
Schulenberg, David. 1985. “Modes, Prolongations and Analysis.” The Journal of
Musicology 4(3): 303-329 JSTOR (accessed 31 March 2014).
Simms, Bryan. 1975. “Choron, Fétis, and the Theory of Tonality.” Journal of Music
Theory 19(1): 112-138 JSTOR (accessed 12 September 2014).
Smith, Charles J. 1986. “The Functional Extravaganze of Chromatic Chords.” Music
Theory Spectrum 8: 94-139 JSTOR (accessed 18 December 2013).

53
Smith, Kenneth M. 2014. “The Transformational Energetics of the Tonal Universe:
Cohn, Rings and Tymoczko” Music Analysis 33(2): 214-256 Wiley Online
Library (accessed 21 August 2014).
Swinden, Kevin J. 2005. “When Functions Collide: Aspects of Plural Function in
Chromatic Music.” Music Theory Spectrum 27(2): 249-282 JSTOR (accessed
23 April 2014).
Tenney, James. 1988. A History of 'Consonance' and 'Dissonance'. New York:
Excelsior Music Publishing.
Thomson, William. 1958. “The Problem of Tonality in Pre-Baroque and Primitive
Music.” Journal of Music Theory 2(1): 36-46 JSTOR (accessed 10 January
2014).
Tovey, Donald F. 1928. “Tonality.” Music & Letters 9(4): 341-363 JSTOR
(accessed 29 January 2014).
Turci-Escobar, John. 2004. “Gesualdo’s Harsh and Bitter Music: Expressive and
Constructive Devices in the Six Books of Five-Voice Madrigals” Ph.D. diss.,
Yale University New Haven, U.S.A. Digital Dissertations (accessed 06 January
2014).
Tymoczko, Dmitri. 2003. "Function Theories: A Statistical Approach." Musurgia 10
(3-4):35-64 Publications from personal website
http://www.mtosmt.org/issues/mto.95.1.3/mto.95.1.3.kopp.arthttp://dmitri.mycp
anel.princeton.edu/files/publications/tonaltheories.pdf (accessed 05 May 2014).
Tymoczko, Dmitri. 2010. "Local Harmonic Grammar in Western Classical Music."
Unpublished article draft, Publications from personal website
http://dmitri.mycpanel.princeton.edu/mozart.pdf (accessed 05 May 2014).
Tymoczko, Dmitri. 2011. A Geometry of Music: Harmony and Counterpoint in the
Extended Common Practice. New York: Oxford University Press.
Wason, Robert Wesley. 1985. Viennese Harmonic Theory from Albrechtsberger to
Schenker and Schoenberg. Michigan: UMI Research Press.
Watkins, Glenn. 1991. Gesualdo: The Man and the Music. Oxford: Clarendon Press.
Wienpahl, Robert W. 1959. “Zarlino, the Senario and Tonality.” Journal of the
American Musicological Society 12(1): 27-41 JSTOR (accessed 15 February
2014).
Wienpahl, Robert W. 1971. “Modality, Monality and Tonality in the Sixteenth and
Seventeenth Centuries.” Music & Letters 52(4): 407-417 JSTOR (accessed 28
December 2013).
Wienpahl, Robert W. 1972. “Modality, Monality and Tonality in the Sixteenth and
Seventeenth Centuries: II.” Music & Letters 53(1): 59-73 JSTOR (accessed 28
December 2013).
Wilding-White, R. 1961. “Tonality and Scale Theory.” Journal of Music Theory
5(2): 275-286 JSTOR (accessed 29 January 2014).
Zarlino, Gioseffo. 1968 (1558). The Art of Counterpoint: Part III of Le Institutioni
Harmoniche. Guy Marco, trans. and Claude V. Palisca, ed. New Haven: Yale
University Press.

54
APPENDICES

APPENDIX A: Analytical scores 31

1) Machaut: De bon espoir
2) Agricola: Je n’ay dueil
3) Palestrina: Agnus Dei
4) Monteverdi: Era l’anima mia
5) Gesualdo: O tenebroso giorno
6) Carissimi A: Plorate colles
7) Carissimi B: Plorate Israel
8) Corelli: Prelude!

APPENDIX A1

31
All scores are from IMSLP, except Machaut motet, which is from “Geschichte der Mensural
Notation von 1250-1460” by Johannes Wolf, p.36-41 (Accessed via openlibrary.org).

55
Machaut:

56
57
58
59
60
APPENDIX A2

Agricola:

61
62
63
64
65
APPENDIX A3

Palestrina:

66
67
68
69
70
APPENDIX A4

Monteverdi:

71
72
73
74
75
APPENDIX A5

Gesualdo:

76
77
78
79
APPENDIX A6

Carissimi A:

80
81
82
APPENDIX A7

Carissimi B

83
84
85
APPENDIX A8

Corelli:

86
CURRICULUM VITAE

Name Surname: Sami Tunca Olcayto

Place and Date of Birth: Istanbul, 20.08.1989

Address: Gayrettepe Mahallesi, Göktürk sokak 4/33, Istanbul

E-Mail: tunca.olcayto@gmail.com

B.Sc.: Istanbul University Forestry Faculty Department Of

Forest Industry Engineering - July 2011

87