DAMSCHRODER David 2008 Thinking About Harmony Historical Perspectives On Analysis

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Thinking About Harmony
Focusing on music written in the period 180050, Thinking About

Harmony traces the responses of observant musicians to the music
that was being created in their midst by composers including
Beethoven, Schubert, and Chopin. It tells the story of how a separate
branch of musical activity music analysis evolved out of the desire
to make sense of the music, essential to both its enlightened performance and to its appreciation. The book integrates two distinct areas of
musical inquiry the history of music theory and music analysis and
the various notions that shape harmonic theory are put to the test
through practical application, creating a unique and intriguing synthesis. Aided by an extensive compilation of carefully selected and
clearly annotated music examples, readers can explore a panoramic
projection of the eras analytical responses to harmony, thereby developing a more intimate rapport with the period.
D D is Associate Professor of Music Theory at the
University of Minnesota School of Music, where he teaches courses on
tonal harmony and form, the history of music theory, and Schenkerian
analysis. His current research is focused on harmony in the music of
Franz Schubert, complemented by performance activities on fortepiano. His previous books include Music Theory from Zarlino to
Schenker (with D. R. Williams), Listen and Sing, and Foundations of
Music and Musicianship.

Historical Perspectives on Analysis

The University of Minnesota
CAMBRIDGE UNIVERSITY PRESS
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David Damschroder 2008
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Contents
Preface
page vii
1 Chord identification
[1]
Arabic and Roman numerals [1]

Daubes three chords and the emergence of a function theory
Chordal roots [17]
Mendelssohns Wedding March and British harmonic theory
2 Chordal embellishment
[9]
[24]
[31]
Rameau on suspensions [31]

Kirnbergers incidental dissonances [37]
Embellishment in a phrase by Chopin [40]
Kochs Stammakkord and the dissonant 64 [43]
A Beethoven/Schubert connection [46]
Berlioz and Ftis on embellishment [49]
3 Parallel and sequential progressions [58]

Parallel motion in thirds or sixths [58]
Chains of descending fifths [65]
Langles Tours de lharmonie [75]
Schuberts transformation of the ascending 56 sequence
4 Harmonic progression
[85]
The artistic progression of harmonic triads [85]

Rankings of chord successions [86]
Portmanns rules of succession [90]
The privileged fifth [94]
Succession by third [98]
Succession by second [100]
Kochs model: Schuberts composition [106]
5 Chordal hierarchy
[113]
Passing note, passing chord [113]

Reductive analysis in the nineteenth century
Hierarchy in fifth-related chords [126]
Dehn on Beethoven [132]
[123]
[79]
vi
Contents
6 Modulation to closely related keys [139]

An analytical pioneer: Lampe [139]
Chromatic pitches as modulatory triggers [141]
Non-modulatory analysis [149]
Multiple meaning [156]
Prouts modulatory practice [161]
7 Chromatic chords: diminished/augmented
Chords via licence [166]
Enharmonicism [173]
[166]
Diminished seventh chords in Webers Euryanthe [177]

Marx on diminished thirds (augmented sixths) [185]
Weitzmann on diminished sevenths [190]
8 Chromatic chords: major and minor [198]

bII: the strategy of denial [198]
bII: strategies of inclusion [204]
Non-diatonic goals of modulation [210]
Rossini and the major mediant [213]
Seyfrieds and Schuberts modulations [220]
A Wagnerian antipodal conundrum [224]
A parallel progression in Verdis Luisa Miller [230]
Epilogue
[238]
Biographies of music theorists [244]

Notes and references [287]
Select bibliography of secondary literature
Index [328]
[322]
Preface
In the following Sheets I presume to lay before the Public, an Essay, calculated
for the use of those who wish to study musical composition, to teach music with
propriety, or to judge of the music they hear, practise, and encourage. So begins
the Preface to Augustus Frederic Christopher Kollmanns An Essay on Musical
Harmony, According to the Nature of That Science and the Principles of the Greatest
Musical Authors (1796). And so begins mine. Kollmanns premise that ones
engagement with music is enhanced through attention to the mechanics of its
construction has withstood the test of time, even if what goes by the name
music in Western culture by now has become so variegated that few essayists
could presume to address it globally. I certainly am not so qualified or so disposed. Instead, I propose to focus my investigation of how harmonic analysis
emerged as a field of musical endeavor principally on how musicians during the
first half of the nineteenth century practiced it. My scope widens beyond that
frame to accommodate eighteenth-century ideas that formed the foundation for
developments after the turn of the century and to engage authors who refined
existing approaches even as compositional and analytical practices headed in
new directions later. Practitioners of a wide range of modern methodologies will
find antecedents in abundance, though the authors I address did not regard their
contributions as antecedent to anything: they were in the thick of things, coparticipants in the musical culture defined by the composers whose works they
scrutinized, and thus they felt themselves to be ideally qualified to make judgments and to propose productive modes of thought. Though I mention
Riemann, Schenker, and Schoenberg on occasion, my principal interest is in
assaying what the analytical landscape was like before those well-studied giants
emerged. There was never a unified analytical practice that composers, critics,
performers, and music lovers of the early nineteenth century all embraced; nevertheless the ideas I present are representative of what at least some citizens of
that period regarded as worth the eort and expense of publication. Even if from
our modern perspective their conceptions occasionally seem peculiar or o the
mark, a careful exploration of their contributions oers a means for developing
a more vibrant and intimate relationship with the music and the era.
We now take it for granted that professional musicians will possess the array
of skills necessary for analyzing musical scores. How this aspect of musicianship
viii
Preface
evolved in conjunction with the shaping of the tonal music repertoire is a fascinating story. Aided by an extensive compilation of carefully selected and clearly
annotated music examples, readers are invited to explore a panoramic projection of the eras analytical responses to harmony, thereby developing a keener
rapport with the period and at the same time expanding their own capacities to
think carefully about the art.
On the pages that follow I endeavor to integrate two distinct areas of musical
inquiry: the history of music theory and music analysis. The intersections and
juxtapositions that permeate the work should oer much to researchers and
analysts who generally confine themselves to a narrower purview. Various
notions that shape harmonic theory are put to the test through practical application. The synthesis of these two areas of study should prove to be one of the
books most intriguing and revelatory features.
In his Observations sur la musique (1779), Chabanon ponders the relationship between musical creations and the principles of the art: One has never
seen basic principles spring up before exempla, nor reason dictate to genius
what it must do. Genius operates under the influence of a guiding sensibility,
creating laws inadvertently. Later, contemplating the works borne of genius, the
faculty of reason reveals to their creator the secret of their inner workings. From
such exempla, reason formulates the principles of the art. I introduce and assess
a broad range of analytical techniques with the intent of vividly recreating
modes of thinking current in the nineteenth century. These ideas are not all congruous: the process of exploration and invention that unfolded over centuries
is a story of competing priorities, conflicting strategies, and clashing notational
systems. Readers whose prior exposure to analysis stems from a single source
say, the ubiquitous undergraduate harmony textbook written by a seemingly
infallible author may be in for a shock: hardly anything you have learned is
accepted universally. Be forewarned that my account does not dismiss or temper
the conflicts, contradictions, and occasional dead ends that were and remain
inevitable in a communal creative process that has as its focus such a wondrous
and complicated subject as the corpus of music written by the likes of
Beethoven, Schubert, and Chopin.
As author I have learned to play the role of chameleon, adopting whatever
analytical and notational practices I am presenting at a given moment. It is my
hope that a clear presentation, extensive and abundantly annotated music
examples (many of them reprinted directly from the original sources), and
informative endnotes will provide a framework congenial to my readers. Also
note that a thumbnail sketch of each author appears in the Biographies of music
theorists at the end of the book (beginning on p. 244). (These sketches include
a listing of the treatises cited, along with an English translation of each title.)
Preface
Idealistically I might hope that all musicians for whom the performance and
study of tonal music is a daily occupation would find the contents of this book
pertinent and fascinating, yet I suspect that its most avid readers will be scholars in the disciplines of music theory and musicology at the graduate level and
beyond. My coverage emphasizes breadth, under the assumption that readers
stimulated by what I present will want to proceed directly to the treatises cited.
(Though my research was done the old-fashioned way microfilms, interlibrary
loans, visits to rare book rooms certainly many readers will live at a time when
the sources cited are available on a virtual internet library.) I have purposefully
steered clear of influences from modern agendas as much as possible. I gratefully acknowledge my debt to several generations of scholars who have come
before me. For any translation that I borrow, the source is named within the
citation. All other translations are my own.
I wish to thank the University of Minnesota Graduate School for a Grant-inAid of Research, Artistry and Scholarship, which enabled me to acquire an
immense collection of microfilms and antiquarian editions of theoretical treatises to supplement the holdings of the University library, and for the support
of a Bush Supplement Sabbatical Program Award. The digital photography
units of the Sibley Music Library (Eastman School of Music), the Yale University
Library, and the University of Minnesota Library have created a collection of
vivid images that allow the authors under discussion to communicate directly
with modern readers. My work has evolved from formative study under several
inspiring teachers, whom I wish to acknowledge here: Allen Forte, John
Rothgeb, David Russell Williams, and the late Douglass Green and Claude
Palisca. I also thank four of my students who assisted in the projects final stages:
Christopher Brody, Carl Heuckendorf, Peter Purin, and Peter Smucker.
Conventions regarding note relations, chords, keys, and Roman numerals

Throughout the book, harmonic (vertical) pitch combinations (such as
C-E-G on p. 9) are indicated with a hyphen (-), while melodic (horizontal) pitch
successions (such as CEGC on p. 26) are indicated with a dash ().
Keys and chords are distinguished as follows: C Major (with a capital M) is
the key of C Major; C major (with a small m) is a C major chord.
During the discussion of a historical analysts methodology, his analytical
notation will be adopted. In all other contexts Roman numerals are presented
in capital letters regardless of a chords quality, though modified by an accidental if the chord is altered. Thus C Major: IIIVI and not IiiVI; and
C Minor: IIIVsIs (closing on a major tonic), not iiiVI.
ix
Chord identication
Arabic and Roman numerals

The pitches C, E, and G are used in three of the most basic chords of Baroque
G
C
thoroughbass practice: EC (a chord in 53 position), GE (a chord in 63 position), and
E
C (a chord in 6 position). The esteemed Berlin theorist Johann Philipp
G
4
Kirnberger, writing in 1771, asserts that these three consonant chords are
really just three dierent representations of one and the same chord, the
perfect triad.1 Though the chords could be compared in ways that emphasize their dierences, pitch content is here proposed as their dening
G
B
C
feature. GE is more closely allied with EC than with GE or other chords with bass
D
E, or with AF or other chords in 63 position. The principle of chordal inversion,
rst disseminated by German authors in the early seventeenth century, has
by now become a potent tool for simplifying the classication of chords.2 As
had Jean-Philippe Rameau,3 Frances preeminent authority on music
theory, Kirnberger espouses a root-oriented approach, as the traditional
thoroughbass perspective organized around characteristic intervallic
numbers gradually waned. Though neither Rameau nor Kirnberger develops a practice of analytical chord labeling akin to modern Roman-numeral
usage, their persuasive assertion of the chordal roots importance became a
bedrock within the analytical practice that was emerging around them.
John Frederick Lampe, a German musician who migrated to London in
the 1720s, charts two divergent paths for analysis in his 1737 thoroughbass
manual for keyboardists [1.1]. First he analyzes the scores bass line (labeled
Thorough Bass). For performing musicians, these notes were the traditional
focus of attention, since the gures of thoroughbass practice were dependent upon them. For example, the symbol 63 (or its abbreviation 6) placed
above or below a bass note instructs the performer to play the bass along
with a simple or compound sixth and third above it. Without mentioning
Rameau, Lampe mirrors the Frenchmans occasional practice of labeling
these bass pitches according to their positions within the scale. Rather than
translating Rameaus space-demanding terms not[t]e tonique (or son
principal), seconde note du ton, and mediante, he employs conveniently thin symbols: K. for the key note (tonic), 2d. and 3d. for the second
1.1 Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737), plate
6 (adjacent to p. 29), ex. XVI.
But let the 4th [G above bass D] be sounded or not sounded, it is still the Fifth Cord with the
seventh Note to that, which accompanies the second Note to the Key (p. 31). Lampe here displays
the kinship between D-F-G-B and D-F-B, both derived from the dominant seventh, G-B-D-F. K.
is Lampes abbreviation for Key Note (tonic). Lampes commentary spells out in words what we
now often abbreviate with symbols: the Fifth Cord with the seventh Note to that is our V7; the
second Note to the Key is our 2.
and third scale degrees.4 Another potential source for Lampes practice is a
German tradition, surviving in several manuscript copies of compositions
by J. S. Bach, in which the bass notes are marked by numbers and the letter
f (for Finalis).5 In the second layer of analysis in 1.1, Lampe focuses on the
progressive element, the progression of chordal roots, which he displays on
a separate sta labeled Natural Bass. (Lampes natural bass corresponds to
Rameaus basse fondamentale, or fundamental bass, which likewise is often
presented on its own sta below the bass, as in 1.17.6) The symbols K . . .
5th. . . . K, simple though they may seem, and appearing within this unassuming manual for keyboardists, mark the inauguration in print of harmonic analysis in the modern sense. What Lampe conveys corresponds to
what the symbols IVI convey today. Falling within a theoretical outlook
generally referred to by the German term Stufentheorie (scale-step theory),
the procedure tracks the positions of a harmonic progressions roots within
the scale of the prevailing key. The parenthetical G below Lampes fth
chord hints that determining a chords root (natural bass or fundamental
bass) is not necessarily a mechanical process. It is in fact a topic we shall
explore in detail later in this chapter.
Whereas Lampes analysis of the natural bass translates comfortably into
Roman numerals as IVI, that of the thorough bass into IIIIII may now
seem peculiar. Yet similar analyses, employing either Roman or Arabic
numerals, persist among authors both renowned and obscure well into the
nineteenth century, as examples by Christoph Gottlieb Schrter, Emanuel
Aloys Frster, Siegfried Dehn, and Johann August Drrnberger illustrate
[1.2]. Even past the middle of the twentieth century Carl Dahlhaus questions
Chord identication
1.2a Schrter: Deutliche Anweisung zum General-Ba (1772), p. 191.

Scale of the most common harmonic settings in C Major. Schrters Roman numerals indicate
the scale degrees of the bass pitches not the roots.
1.2b Frster: Anleitung zum General-bass [1805], examples appendix, p. 16, ex. 140.
The use of Arabic numerals both for traditional gured bass and to indicate the scale degrees of
the bass pitches could easily cause confusion. An Arabic 6 was inadvertently omitted above bass E
at the downbeat of measure 2.
1.2c Dehn: Theoretisch-praktische Harmonielehre (1840), table 1 (adjacent to p. 106).

Chart of the perfect triads with their inversions. The complete chart from which this sample is
extracted lls an entire page. The root-position chord (Stammakkord) is transformed into both
rst and second inversions (Umkehrung I, Umkehrung II). The Roman numerals I., III., and V.,
corresponding to the scale degrees of the bass pitches, are employed. Dehns perspective
perpetuates an eighteenth-century tradition: for example, the Carte des accords de musique in
Pierre-Joseph Roussiers Trait des accords, et de leur succession (1764) contains chords
corresponding to Dehns, under which the terms tonique, mdiante, and cinquieme-note are
positioned; whereas Louis-Charles Bordier employs the terms tonique, mediante, and
dominante for these chords in his Trait de composition ([ca. 1770], p. 10).
1.2d Drrnberger: Elementar-Lehrbuch der Harmonie- und Generalba-Lehre (1841),

plate XIII.
As did Lampe over 100 years earlier, Drrnberger indicates the positions of both the bass and the
root pitches within the prevailing key. The label ernied. VII. abbreviates the German verb
erniedrigen (to atten a note), acknowledging bass Bb as the lowered seventh scale degree in C
Major.
the importance of dierentiating between 53 and 63 sonorities that share the

same bass pitch. Chordal connection is based on the actual bass, not on the
abstract basse fondamentale.7
Though on occasion Lampe applies analytical notation to a natural bass,
most of his examples and keyboard exercises display only the thorough
bass, which he often analyzes lavishly. In contrast, in Two Essays on the
Theory and Practice of Music (1766) the Irish musical amateur John Trydell
analyzes the natural bass progression even when a sta displaying the
root progression is not shown [1.3]. The incorporation of Trydells work
as the Music article in the Encyclopaedia Britannica (Edinburgh, 1771)
helped acquaint a wide, mostly British audience with a root-oriented
perspective.
Clearly Arabic numerals are overworked in these analyses. Using the same
symbols for traditional gured bass, for measuring intervals above the bass,
and for indicating the scale-degree positions of either bass or root pitches
likely stymied some readers. John Holden, a Scotsman who was inuenced
by both Lampe and Rameau, uses Lampe-inspired Arabic numerals for harmonic analysis in the early portion of his Essay towards a Rational System of
Music (1770) but converts to Roman numerals later, in the context of yet
another use of numbers, intervallic ratios (in a chapter he calls Of
Harmonical Arithmetic). He explains: The degrees of the scale are here
denoted by numeral letters, instead of gures, to avoid the confusion of too
many gures.8
Both Lampe and Holden are sensitive to alteration via an accidental:
Lampe employs symbols such as 6 th. and 7th. for raised pitches, while
Holden employs the symbols sIV. (which occurs in the Scale of the
adjunct fth: V. VI. VII. K. II. III. sIV. V.) and VIIb. (which occurs in the
Chord identication
1.3 Trydell: Two Essays on the Theory and Practice of Music (1766), plate 19, ex. 49.
Trydell employs Arabic numerals for two contrasting purposes. The lower three rows of numerals
represent interval sizes, calculated from the bass. The top row of numerals indicates the scale
degrees of the chordal roots. As with Lampe, K identies the key note. This analysis conveys
approximately the same information as the modern notation
I
IV6
I6
I64
IV
I.
Scale of the adjunct fourth: IV. V. VI. VIIb. K. II. III. IV.). Trydell employs
b6 and b7 in his analyses of minor-key progressions: for example, for F
major and G major chords in the key of A Minor.
Meanwhile in Germany the analytical deployment of Arabic numerals,
mentioned as a possible source for Lampes practice, begins to appear in
print. Georg Andreas Sorge oers the following chart of triads in his
Vorgemach der musicalischen Composition [174547]:
5. g
3. e
1. c
1
a
f
d
2
h
g
e
3
c
a
f
4
d
h
g
5
e
c
a
6
In his Compendium harmonicum (1760) Sorge employs the terms

Grundharmonie, Secundharmonie (major keys only), Terzharmonie,
Quartharmonie, Quintharmonie, Sextenharmonie (or Sextharmonie), and
Septimenharmonie (for the subtonic in minor keys).9 Georg Joseph Vogler,
the most creative, productive, and inuential practitioner of harmonic
analysis in the late eighteenth century, employs similar language in his
1.4 Vogler: Grnde der Kuhrpflzischen Tonschule in Beispielen [1778], table XXI, g. 5.
In this example of Ten Cadences, Vogler employs both consonant chords (diatonic I, IV, and V)
and some more colorful options: half and fully diminished seventh chords and augmented sixth
chords. Inverted chords receive two gured-bass analyses: one for the original chord, another for
its root-position formulation. Vogler pays careful attention to alterations of pitches above the bass
(note the numerous accidentals beside the gured-bass numbers) but has not yet formulated
notation to mark a corresponding distinction between diatonic and modied roots (e.g. the label
IV is employed both for root F and root Fs in C Major). Justin Heinrich Knecht borrows from
Voglers model, including the use of Roman numerals, for the Cadence article in his Kleines
alphabetisches Wrterbuch der vornehmsten und interessantesten Artikel aus der musikalischen
Theorie (1795). He adds two additional cadences: VVI and III.
Tonwissenschaft und Tonse[t]zkunst (1776): denn betrachtet man den

siebenten ohne die Siebente, und den fnften mit der Siebenten z. B.
fnfter
siebenter
G h d f:
H d f . . .,
whose translation merits some bracketed amplication, as: for if one looks
at the [chord on the] seventh [scale degree] without the seventh and the
[chord on the] fth [scale degree] with the seventh . . .10 He also employs
a Roman numeral:
VII vom C
as
indicates that the pitches of the VII chord in C Minor are (capitalized) root
B, D, F, and Ab, which he juxtaposes with its enharmonic equivalent:
VII vom A
Gis,
(B, D, F, and root Gs in A Minor).11 A Roman-numeral label appears below

each chord in his table of cadences published two years later [1.4]. At this
point he does not acknowledge chromatic alterations of roots. In his later
and more denitive Handbuch zur Harmonielehre (1802) he incorporates the
analytical labels IVs and VIIs, in which the sharp indicates a raised root. This
increased precision may reect the inuence of Johann Gottlieb Portmann,
Chord identication
1.5 Crotch: Elements of Musical Composition (1812), plate 10, ex. 148.
This example employs the three principal major chords in the key of C Major. In other examples
the labels do, fa, and sol (with underlines) denote minor chords on A, D, and E, respectively.
who in his Musikalischer Unterricht (1785) employs the label 47 for a seventh
chord on the raised fourth scale degree (e.g. Fs-A-C-E in C Major).12
Roman-numeral, Arabic-numeral, and non-numeral strategies competed as notation for harmonic analysis. In England, William Crotch dispenses with numbers altogether, instead employing sol-fa in his Elements of
Musical Composition (1812) [1.5]. In Germany, Heinrich Christoph Koch in
his Versuch einer Anleitung zur Composition (1782) presents a chart in which
the roots of various inverted chords are indicated by Arabic numerals. For
example, the number 6 is placed beside C-E-G-A in C Major. The
added number in each compartment containing a six-ve, four-three, or
[four-]two chord indicates the scale degree on which its root-position chord
is built.13 The Roman numerals in Gottfried Webers Versuch einer geordneten Theorie der Tonse[t]zkunst (181721) appear in one of three guises
capital, small, or small preceded by a degree circle to indicate each triads
quality (major, minor, or diminished, respectively), while an Arabic 7, if
present, is either unadorned or slashed to indicate the chordal sevenths
quality (minor or major, respectively) [1.6]. Translations of Webers treatise
had appeared in Copenhagen, Boston, and London by mid-century. In
France, Daniel Jelenspergers harmonic analyses in Lharmonie au commencement du dix-neuvime sicle (1830) incorporate a variety of supplementary symbols applied to Arabic numerals [1.7]. Whereas Webers
symbols announce every chords quality, Jelensperger is selective: he
employs additional notation only when a chords construction departs from
the diatonic norm, be it major, minor, augmented, or diminished. The publication of Jelenspergers work in a German translation in 1833 provided an
impetus for the Arabic-numeral analysis in the treatises of Johann Christian
Lobe after the middle of the century, contrasting the Weber-inspired Roman
numerals of Ernst Friedrich Richters popular Lehrbuch der Harmonie
(1853).14
1.6 Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 21824),
vol. 2, table 1112, g. 193 [Warner, p. 347].
This example shows the full range of Webers qualitative symbols. Ernst Friedrich Richter adds a
prime after a capital Roman numeral (e.g., III) to designate an augmented triad, which Weber
avoids, and places the circle after rather than before a small Roman numeral to designate a
diminished triad in his Lehrbuch der Harmonie (1853). Salomon Jadassohn follows Richters
practice in his Lehrbuch der Harmonie (1883). Concerning the augmented sixth chord, here
labeled II7, see pp. 166171, below.
1.7 Jelensperger: Lharmonie au commencement du dix-neuvime sicle (1830, 21833),

p. 49 [Hser, p. 44].
In Jelenspergers system an ascending virgule ( ) through a number indicates a raised root, while a
descending virgule ( ) indicates a lowered root. Parentheses signify modications of chordal
quality from the diatonic norm: a left parenthesis for minor quality, a right parenthesis for major
quality, both left and right parentheses for diminished quality. The leading tone serves as seventh
scale degree in Jelenspergers minor scales. In this example the second chord, because major in
quality and built on the lowered seventh scale degree, is labeled 7 ). In that the 3 chord in
Jelenspergers minor keys is of augmented quality, a right parenthesis here accompanies the 3 below
the third chord to indicate major quality. (Jelensperger regards C-E as a representative of C-E-Gn.)
Likewise since 2 in a minor key is of diminished quality, a right parenthesis is applied to indicate
the modication to major. For further discussion of this example, see pp. 310311, n. 31, below.
Harmonic analysis organized with reference to scale steps (the

Stufentheorie perspective) was pursued and developed chiey by British
and German musicians. Though Jelensperger worked in and published
from Paris, he had arrived there from German-speaking Mulhouse (near
Basel), and his treatises German translation appears to have had a greater
impact than did the French original. (Jelenspergers death the year after
the work was published certainly was a blow to scale-step thinking in
Chord identication
France.) The gradual extension of the Stufentheorie perspective how it

was adapted to chart modulation from key to key, how it absorbed a wide
range of dissonant and chromatically altered chords, and how a sense of
chordal hierarchy gradually evolved among some of its practitioners
will be a central focus in the chapters ahead.
Yet we should acknowledge from the outset that not all musicians who
concerned themselves with issues of harmony followed this path. The
music examples in most French treatises lack a chord-by-chord harmonic
analysis. And in Germany an alternative premise for analytical investigation was formulated early on. In 1756 a young musician named Johann
Friedrich Daube published a provocative work called General-Ba in drey
Accorden Thoroughbass in Three Chords. Only three chords? The idea
was in the air it had even been hinted at by Rameau, whose perspective
was beginning to make inroads east of the Rhine and a number of musicians gave it serious attention. A few even proposed some analytical terms
and symbols for practical application. Before continuing our discussion
of the Stufentheorie, we now take some time to explore the early formulation of this competing conception, now generally referred to by the
German term Funktionstheorie (function theory). Its development during
the period on which our study is focused was not extensive, compared to
the ourishing of numerous strains of Stufentheorie. Yet it blossomed
belatedly with bursts of insight and analytical savvy at the end of the nineteenth century.
Daubes three chords and the emergence of a function theory

Each analytical chord label in the preceding examples corresponds to the
position of a favored pitch bass or root within a diatonic scale, as bets
a theory of scale steps (Stufentheorie). Johann Friedrich Daube takes a
dierent tack: he reduces a keys harmonic substance to three principal
chords (Haupt-Accorden). He explains:
We turn now to those chords that one must know in every key when learning thoroughbass. These are the perfect, governing chord, which occurs at the beginning of a
composition and also at its close, and its two subordinate chords, namely the second
and third chords, which occur over the course of the melody. Their harmony is thoroughly dierentiated from the governing chord. This will be explained presently.15
In C Major these chords are constructed using most or all of the following
pitches: (1) C-E-G; (2) F-A-C-D; and (3) G-B-D-F. Daubes perspective is
10
1.8 Rameau: Gnration harmonique (1737), ex. X.

Rameaus two examples demonstrate how consecutive numbers within a geometric progression
correspond to compositional practice. The chords in the rst example are generated by the triple
progression 1:3:9, wherein 3, the middle number, represents tonic (the son principal) in G Major
(sol). The chords in the second example correspond to 3:9:27, wherein 9 represents tonic in
D Major (r). In a geometric progression, each pair of adjacent numbers is in the same
proportion: x is to y as y is to z. Whereas 1:2:3 and 1:3:5 are arithmetically arranged, 1:2:4 and
1:3:9 are geometrically arranged. In musical terms, only the geometric progression generates
intervals of the same size: 1:2:4 corresponds to octaves, 1:3:9 to twelfths. Observe that Rameau
compresses the 1:3, 3:9, and 9:27 twelfths into fths.
closely allied to some of Rameaus thoughts on chord progression, though

now geared to a more explicitly analytical enterprise through the use of the
numerical labels 1, 2, and 3.16 The roots F, C, and G derive from the triple
progression 1:3:9, a fact that Rameau had exploited [1.8].17 That Daube
regards F, rather than D, as his second chords root (Grundton) accords with
Rameaus notion of a chord of the added sixth (accord de la grande sixte),
discussed below (p. 22).
Daubes mature perspective develops out of an earlier formulation, boldly
declared in the title of his rst treatise of 1756: General-Ba in drey Accorden
(Thoroughbass in Three Chords). From that point onward, early formulations of a function theory (Funktionstheorie) oered an alternative to the
scale-step (Stufentheorie) approach. Between 1756 and 1770 Daube removed
traces of scale-step thinking suggested by his original terminology for the
second and third chords: Accord des 4ten Intervalls and Accord der 5 der
Tonart, which reference the fourth and fth scale degrees. Beginning in 1770
he adheres to the rigorously functional labels 1, 2, and 3. Two years later his
septuagenarian compatriot Schrter mimics the conception, employing
Roman-numeral labels that advance the dominant to second in rank: C-E-G
is I, G-B-D is II, and F-A-C is III.18
On occasion Daube analyzes an extended progression [1.9]. Since this is
a novel undertaking he oers a careful explanation:
Chord identication
1.9 Daube: Der musikalische Dilettant: Eine Abhandlung des Generalbasses (177071),
p. 89.
The numbers 1, 2, and 3 serve as labels for the three principal chords of C Major. Additional
examples of Daubes numerical analysis appear in Der musikalische Dilettant: Eine Abhandlung der
Komposition (1773), page 26 [Snook, p. 56], and in Anleitung zur Erndung der Melodie und ihrer
Fortsetzung (179798), vol. 1, p. 7. The continuation of this example, demonstrating modulation
to G Major and then to F Major, appears as 6.5, below.
To facilitate the learning of thoroughbass in the key of C Major we here have marked
the bass line with slurs placed below the notes in such a way that one sees exactly
how many bass notes are played for one chord, and which of the three chords it is.
A practitioner who has correctly understood the three chords can often play the
chords as they appear there: the keyboardist may simply observe the number placed
inside the slur and accordingly perform the chord which it represents without
paying attention to the chords published in music notation. Likewise it does not
matter if the keyboardist plays the three chords in another range or conguration
from how they are presented here on the upper sta it yet remains always one and
the same chord. It is anyway by no means intended that the practitioner should
always perform the chords as they appear here: for these have no other purpose than
to demonstrate when and where a chord can be sounded with a bass part, which to
a beginner is no small service.19
Koch espouses a similar perspective, though without the numerical

analysis that Daube occasionally supplies. In his Versuch einer Anleitung zur
Composition (1782) he distinguishes between essential triads (wesentliche
Dreyklnge) rooted on tonic and its upper and lower fths and incidental
triads (zufllige Dreyklnge) on the other scale degrees.20 Several authors of
later generations group triads in a similar fashion. For example, scale-step
advocate Gottfried Weber refers to the most essential harmonies of the key
11
12
En ut mode majeur.
r
sol
ut
si
mi
la
SOL la si UT r mi FA
2
1
3
En ut mode mineur.
r
sol
si
mi b
SOL la b si UT r mi b
2
1
ut
la b
FA
3
1.10 Momigny: Entry Ton in Framerys Encyclopdie mthodique, vol. 2 (1818),

p. 529.
Other accounts of the fth scale degree y in the face of usage by naming this note dominant.
Considering its inuence and its role in caesuras, through which one may reasonably determine
the rank and importance of notes, one must name it the second note of the key, because it is indeed
the most meritorious after the tonic, equipped with its perfect chord, just as is the tonic with its.
The third note of the key, with regard to importance and merit, is the fourth scale degree, such
as C Majors F. One must observe carefully that each of these notes is the foundation for a major
triad in the major mode, and that, in the minor, the dominant is the only one that retains its
major quality.
[Cest abusivement que, dans les autres relations de la cinquime note de la gamme ou de
loctave de la tonique, on appelle cette note dominante. En gard son inuence & aux repos, par
lesquels on peut juger avec raison du rang & de limportance des notes, on devroit la nommer la
seconde note du ton, parce quelle est en eet la plus digne aprs la tonique, arme de son accord
parfait, comme la tonique du sien.
La troisime note du ton, relativement limportance & la dignit, est la quatrime note de
loctave de la tonique; cest le fa en ut, & lon doit observer avec attention, que chacune de ces
notes porte son accord parfait majeur dans le mode majeur, & que, dans le mineur, la dominante
est la seule qui conserve le sien majeur.]
(wesentlichste Harmonieen einer Tonart) and to the kindred or appropriate accessory harmonies of the key (eigenthmliche Nebenakkorde der
Tonart).21 The imaginative French author Jrme-Joseph de Momigny
employs the labels 1, 2, and 3 in Daubes manner (though with Schrters
ranking) in a single example but does not pursue the notion further [1.10].
And the Bohemian August Swoboda, a Vogler pupil who worked in Vienna,
distinguishes between three fundamental harmonies (Grundharmonien)
and various derived chords (knstliche Accorde), such as the diminished
seventh on the leading tone, that imbue the harmonic progression with
many an unexpected turn and furnish greater variety.22 As with Daubes
chord 2, his fundamental Unterdominante (subdominant) chord may be
constructed employing a fth, a sixth, or both (i.e. in C Major: F-A-C, F-AD, F-A-C-D and their inversions), its principal roles being to create variety
(so that one doesnt have to listen to the tonic and dominant all the time)
and to serve as intermediary between the other two chords.23
More sophisticated in conception and abundantly illustrated in examples,
the functional system of Portmann (whom we have already encountered for
Chord identication
his earlier contribution to analytical notation within the scale-step perspective) comprises six foundational chordal structures (Grundharmonien) from
which a large number of chords (Grundaccorde) can be derived. For C Major,
these structures are as follows:
a
f
d
h
g
e
C
1
f
d
h
g
e
c
A
2
Hauptprimenharmonie
d
h
g
e
c
a
F
3
e
c
a
f
d
h
G
4
Quartenharmonie
Sextenharmonie
h
g
e
c
a
s
D
5
e
c
a
s
d
h
G
6
Wechseldominantenharmonie
Dominantenharmonie
Doppeldominantenharmonie24
Each structures dissonant side extends as far as the thirteenth, though

when present in a chord these upper pitches often resolve into lower ones,
as in a Dominantenharmonie that proceeds from G-c-e (root-elevenththirteenth) to G-h-d (root-third-fth). The root, and even the third, may be
omitted: e-g-h, a chord of the second order, derives from the Hauptprimenharmonie C (with seventh); while h-d-f, a chord of the second
order, and d-f-a, a chord of the third order, derive from Dominantenharmonie G (with seventh, or with seventh and ninth).25 The Wechseldominantenharmonie is of particular interest. This compound noun merges
three individual terms, two of which have English cognates. The German
verb wechseln has the sense of exchange or change places. In the context
of a major key, the Wechseldominantenharmonie relates to the Dominantenharmonie in the same way that the Dominantenharmonie relates to the
Hauptprimenharmonie. (Nowadays this relationship is often described as an
applied or secondary dominant, or as V of V.) In a minor key, it takes
on a more potent dissonant aspect. In A Minor the Wechseldominantenharmonie is spelled as H dis f a c e g, from which chords containing the augmented sixth f a dis, f a H dis, and f a c dis are derived. Portmann uses
the numbers 1 through 6, corresponding to the six Grundharmonien, as analytical symbols only in his introductory demonstration [1.11a]. More characteristically he supplies letter names surmounted by various symbols to
indicate the Grundharmonie roots and chordal functions [1.11b].26
A little-known treatise proposing a three-chord functional theory much
like Daubes appeared in London in 1850, the work of Spaniards Jos
Joaqun de Virus y Spnola (who died a decade before the work was
13
14
1.11 Portmann: Die neuesten und wichtigsten Entdeckungen in der Harmonie, Melodie und
dem doppelten Contrapuncte (1798), pp. 20, 123. (Tablature realized in sta notation.)
(a) In Portmanns system the numbers 1, 2, and 3 correspond to Primenharmonien: chords rooted
on the tonic (Hauptprime), the sixth scale degree, and the fourth scale degree, respectively; while
4, 5, and 6 correspond to chords with dominant function: the Dominantenharmonie (built on the
fth scale degree), the Wechseldominantenharmonie (built on the second scale degree and including
the raised fourth and diatonic sixth scale degrees), and the Doppeldominantenharmonie (used in
the context of a pedal point on the dominant and containing elements of both other dominants).
(b) In an alternative notational system that he employs more extensively, Portmann places
functional symbols above alphabet letters corresponding to the chordal roots. (In what appears to
be an almost anorexic obsession for thin symbols, these letters may be followed by raised or
lowered commas in lieu of accidentals: for example, c stands for cs.) Among the functional
symbols are a horizontal line and a curved line ( and ) placed above a letter to indicate a
Primenharmonie with major and minor quality, respectively; an ascending virgule ( ) to indicate a
Dominantenharmonie in a major key and an ascending virgule followed by a dot ( .) for such a
chord in a minor key; a double virgule ( ) to indicate a Wechseldominantenharmonie in a
major key and a slashed circle () for such a chord in a minor key. This example shows
how a Dominantenharmonie in C Major (g) becomes a Wechseldominantenharmonie in B Minor
(c, = Cs-Es-G-B-D-Fs-A) through the reinterpretation of F as Es. Though Portmanns conception
and symbols contrast Webers [1.6], both regard what is nowadays referred to as a German
augmented sixth chord as the third, fth, seventh, and ninth of a chord rooted on the prevailing
keys second scale degree.
published) and F. T. Alphonso Chaluz de Vernevil (who brought the work to

fruition). Each chord is given a convenient name: Since the chord hitherto
called perfect, and composed of the notes 135 of the heptachord, takes
the name of Cadence; the chord of seventh sensible, composed of the notes
2457 of the heptachord, will henceforth be called the Precadence; and the
chord of subdominant, composed of the notes 146 of the heptachord,
which naturally follows the cadence, will take the name of Transcadence.27
In fact, the authors sometimes work with three functions [1.12a] and sometimes with only two [1.12b].
Hugo Riemann, a distinguished German musicologist whose voluminous
theoretical writings span nearly half a century, from 1872 to 1918, is often
regarded as the founder of Funktionstheorie.28 Indeed, in his hands the
notion took on a sophisticated new life, replete with highly developed
Chord identication
1.12 Virus y Spnola and Chaluz de Vernevil: An Original and Condensed Grammar of
Harmony, Counterpoint, and Musical Composition (1850), pp. 123, 395.
(a) This excerpt from an analysis of Paesiellos Cavatina, Nel cor pi non mi sento, which
continues through 20 measures and includes key shifts from Do to Re and to Sol, displays scaledegree numbers for all pitches: thus 1, 4, and 5 below the Typometrical Bass refer to bass rather
than to root values (though in these measures the bass and the root pitches coincide). The
harmonic analysis is placed above these bass pitches, using abbreviations for the terms Cadence,
Precadence, and Transcadence.
(b) Our readers may have inferred that, in music, all consists in going towards or seeking for the
tonic, and shunning or ying from the tonic. We have demonstrated that there are no more than two
sonorities; viz. the precadence and the cadence. It is obvious, therefore, that they must be the two
terms and the two objects of that attraction, as well as that repulsion of that research, as well as of
that ight (p. 395). Here the word research is employed in a now uncommon sense: The act of
searching (closely or carefully) for or after a specied thing or person (Oxford English Dictionary).
15
16
(though sometimes dubious) foundational underpinnings and an array of

new analytical symbols. That development had repercussions in German
scholarship and pedagogy throughout the twentieth century and is being
explored anew today. It is curious that, as author of a monumental
Geschichte der Musiktheorie im IX.XIX. Jahrhundert (1898), Riemann
barely acknowledges his functional predecessors.
Our narrative traces the emergence and development of strategies for
harmonic analysis across the swath of territory from the British Isles
through Bohemia. The far north (Scandinavia and Russia) and far south
(Spain and Italy) remain for the most part spectators to this enterprise.
To be sure, some books with progressive contents penetrated these
regions (mainly German writings northwards and French writings
southwards), and a few works were translated early on. (For example, the
erudite Giovanni Battista Martini studied several of Rameaus treatises in
manuscript Italian translations before reporting on the Frenchmans theories before Bolognas Accademia delle scienze in the early 1760s.) Yet
even conning ourselves to this more limited territory, our plot is sometimes tortuous. Though it might be convenient to regard function theory
as essentially a German enterprise, we noted a hint of it from Momigny
in France. And how can we explain the aberration of a system much like
Daubes early formulation being oered by two Spaniards, in English no
less?
Concerning function theory, the relatively obscure Portmann oers
the most interesting ideas and analytical methodology to emerge during
the era that is our principal focus. Unfortunately he did not have a powerful immediate successor, someone comparable to Gottfried Weber,
whose major thrust in Roman-numeral scale-step analysis began just
three years after Voglers death. Thus the functional perspective lay
dormant during much of the nineteenth century.
Whether an analyst subscribes to the scale-step or to the function perspective, or simply notates each chords fundamental without further
analytical observation, achieving a persuasive correlation between the
chordal entities of a composition and the foundational entities operative
within the theoretical framework is of critical importance. For example,
a D-F-A chord in C Major would be interpreted by a practitioner of
Portmanns method as a representative of the Dominantenharmonie,
rooted on G. One wonders how persuasive that notion was, particularly
to musicians inclined towards the scale-step perspective. Though a larger
Chord identication
number of basic entities seven roots, some occasionally modied

chromatically are available when scale steps ground the system, even
then some chords may be assigned to categories in a way that arouses
controversy. Already we have observed disagreement regarding the chord
B-D-F. Is its root B, as Vogler would assert? Or G, as Lampe would assert?
It is time to take a closer look at practices of assigning chordal roots.
Chordal roots
Crafting chord labels for a progression of fundamental pitches within a
single key is a mechanical process. Though the symbols employed in a scalestep perspective may vary from analyst to analyst, and though some may
pack more information regarding quality, chord components, inversion,
and chromatic alteration into their symbols than others, the outcome is predictable. In contrast, determining a chords fundamental can be an engaging, challenging occupation. Analysts guided by contrasting basic principles
may oer wildly divergent views concerning a chords root; or, the same
chord may be interpreted in dierent ways depending upon its context.
Recall that Lampe regards a pitch not even present in a chord as its root
[1.1]. What justies such a choice?
A chord may in certain contexts be understood as an incomplete or
modied representative of some other chord. Gottfried Weber, expanding
upon Voglers discussion of multiple meaning (Mehrdeutigkeit) in music,
presents an apt example: a chord consisting of two Bs and a D. He suggests
numerous possible interpretations: it could represent a G chord (G-B-D),
or G7 (G-B-D-F); or h (B-D-F), or h7 (B-D-F-A), or h (B-D-Fs), or h7
(B-D-Fs-A); or E7 (E-Gs-B-D), or e7 (E-G-B-D); and so on.29 Mendelssohn
exploits the multiple meanings of a similarly meager chord in his Song
without Words in D Major (op. 102, no. 2), where two Fss and an A (measure
20) may represent fs (Fs-A-Cs) to follow the preceding Cs7 chord or D
(D-Fs-A) to inaugurate the return of D Major [1.13].
If a four-note chord can be represented by two of its component pitches,
then Lampes analysis [1.1], in which three of a chords four members
are present, may seem less wayward. Yet whereas any chord that contains
only two pitches must be analyzed in terms of some imaginative chordcompleting operation, Lampes imaginative eort is triggered instead by the
theoretical premises of his analytical practice. He simply will not sanction
having a diminished fth above the chordal root: There are only six Cords
which consist of Sounds distinguished to be all natural.30 (For C Major, he
17
18
1.13 Mendelssohn: Song without Words in D Major, op. 102, no. 2 (1845), mm. 1921.
Do the pitches Fs and A at beat 2 of measure 20 represent tonic in Fs Minor, tonic in D Major, or
both?
1.14a Kirnberger: Die Kunst des reinen Satzes in der Musik (177179), vol. 1 appendix,
p. II [Beach and Thym, p. 272].
Kirnberger regards the diminished seventh chord to arise from the rst inversion of the seventh
chord with the suspended minor ninth (vol. 1, p. 90 [Beach and Thym, p. 107]). These seventh
chords appear on the lowest sta of Kirnbergers analysis, while the suspended minor ninths are
displayed among the gures above the second-lowest sta.
For example, the progressions rst chord is:
As
E G.
(Sixteenth-note A is a suspension, resolving to G.)
As C(s?) E G.
It represents n7 on As, whose complete realization would be:
9
The origin of this chord is 7 on Fs, where G is a suspension:
Fs As C(s)
E G.
s
Resolving the suspension, that chord becomes 7s on Fs:
Fs As C(s)
E Fs.
Chord identication
1.14b Vogler: Handbuch zur Harmonielehre (1802), table IV, ex. l.

Vogler takes the diminished seventh chord (beat 2) at face value, interpreting Ds as its root and
treating C as an essential chord member. (Kirnberger would analyze C as an incidental dissonance
a suspension resolving to root B in a chord that spans beats two and three.) Voglers
progression of roots (Hauptklnge) contains an augmented second. (The German adjective
bermig means excessive or, in the context of an interval, augmented. Yet the augmented second
to which Vogler refers in his caption is that between bass C and soprano Ds on beat 2, not the
melodic augmented second that appears among the Hauptklnge.)
displays minor triads on A, D, and E and major triads on C, F, and G.) Thus
he is compelled to regard B-D-F as an abbreviation of G-B-D-F, a perspective shared by musical thinkers of many generations.31
Chords such as B-D-F-Ab and B-D-F-A oer additional challenges. As
does Vogler [1.4], one could take them at face value, with no imaginative
insertions or substitutions. Yet the diminished fth B-F would again induce
some to posit G as root. Rameau regards Ab as a substitute for G:
We may accept the diminished seventh chord as long as the fundamental is
not destroyed by the transposition of the lowest sound [up a minor second, as in
G-B-D-F to Ab-B-D-F]. We must therefore consider this lowest and fundamental
sound to be implied in the sound substituted for it, so that the source continues to
exist.32
In a related conception, Kirnberger in Berlin juxtaposes the absent root and

the ninth, displaying 97 chords beneath diminished seventh chords and
resolving their suspended ninths to produce conventional seventh
chords [1.14a]. The ninths are incidental dissonances and therefore can
be removed, whereas the sevenths are essential dissonances, or bona de
chord members.33 Comparing Kirnbergers and Voglers perspectives
[1.14a, b], we observe that the resultant fundamental bass lines are of
distinctly contrasting characters: Kirnbergers is dominated by perfect
fourths and perfect fths, while Voglers includes an augmented second.
19
20
1.15 Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858),

pp. 204, 206.
In Lobes Jelensperger-inspired notation a dot above an Arabic numeral indicates a minor seventh
(here A above root B) and a circle indicates a ninth (here A above absent root G). Similar
examples employing Roman numerals, such as one in Friedrich Schneiders Elementarbuch der
Harmonie und Tonse[t]zkunst [1820], p. 28, appear as well.
1.16a Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737),
plate 7, ex. XX (near p. 35).
To achieve a perfect fth above the root, Lampe chooses E as foundation for D-F-A-B despite what
may seem a curious alliance with the chord that follows.
Concerning B-D-F-A, Lobe presents a nuanced reading that takes context

into account: its root is B if a chord rooted on E follows, but G if a chord
rooted on C follows [1.15].
.
.
Lobes C: 7 3 and a: 2 5 readings reect a tolerant attitude towards the
diminished triad, B-D-F, as a chord-building component. Certainly its
justication does not emanate from Bs overtone series.34 More conservative
analysts were compelled to nd alternative solutions. Seeking the root of
D-F-A-B in the context of A Minor [1.16a], Lampe rejects not only B
(because its fth F is diminished) but also Bs lower third, Gs (because its
fth D is diminished as well). He embraces E, which supports a fth (5 is
absent from his gures), a seventh (7), a ninth (9), and an eleventh (gured
as 4). As a result his example displays natural bass E as a shared foundation
for D-F-A-B and the E-Gs-B-D chord that follows. Portmann oers a
similar interpretation of B-D-F, as either an incomplete dominant seventh
chord in a major key [G-B-D-F], from which the root has been omitted, or
Chord identication
1.16b Portmann: Die neuesten und wichtigsten Entdeckungen in der Harmonie, Melodie
und dem doppelten Contrapuncte (1798), plate 3, gure 35.
1.16c Rey: Exposition lmentaire de lharmonie [1807], p. 61.
(b) Portmanns example corresponds to a chart (p. 62) that labels the third chords D, F, A, and C
as the 5th, 7th, 9th, and 11th, respectively, of C Majors Dominantenharmonie. (See p. 13, above.)
Root G and third B are absent, though they arrive later in the measure when the dissonant 9th
and 11th resolve to lower elements of the Dominantenharmonie.
(c) Reys caption for this example is Emploi de lAccord de Septime de Seconde the use of the
seventh chord on the second scale degree. C, the seventh above bass D, is an eleventh (gured
as 4) above root G, shown in the unperformed basse fondamentale line. Reys P indicates
dissonant Cs preparation and R its resolution.
1.16d Halm: Harmonielehre (1900, 21925), plate XI, ex. 30a.

A subordinate triad can represent one of the two primary triads from which it is constituted, and
indeed the one we expect in accordance with the rhythm . . . Consequently [in this example] the
subordinate triad VI, on a downbeat and appearing when we expect IV, has the meaning of a
suspension chord of this IV; . . . the subordinate triad II arises through a similar substitution:
certainly . . . it is meant as a suspension [chord] that delays the arrival of V.
[Ein Nebendreiklang kann auf einen der beiden Hauptdreiklnge, deren Kombination er ist,
bezogen werden, und zwar auf denjenigen, welchen wir dem Rhythmus nach erwarten . . . So hat
bei a der Nebendreiklang VI, betont und auf eine Zeit eintreend, wo wir die IV erwarten, die
Bedeutung eines Vorhaltsakkords zu dieser letzteren; . . . demselben Wechsel unterliegt der
Nebendreiklang II: er wird . . . schon als Vorhalt auf V bezogen (pp. 6263).]
an incomplete dominant ninth chord in a minor key [E-Gs-B-D-F], from

which two chord members [root and third] have been omitted.35
Such interpretations are pursued not only in order to avoid placing diminished triads in foundational roles. Portmann in Germany and JeanBaptiste Rey in France employ a similar strategy even in a major key, where
21
22
D-F-(A)-C contains no diminished interval [1.16b, c]. The analysis hinges

on the question of whether A and C derive from D, or whether they instead
displace pitches derived from G. That issue was still generating provocative
commentary a century later, in the writings of August Halm [1.16d].
While descending a third or a fth below the lowest pitch of a chords
stacked-thirds conguration may restore a missing or displaced root,
ascending a third or a fth above that pitch in quest of the root was practiced
as well, especially by Rameau and his followers. Heeding the view of his
Italian predecessor Gioseo Zarlino, Rameau rejects the viability of a chord
that extends in thirds beyond an octave above its fundamental. If one
extends beyond the seventh to a ninth or an eleventh, the fundamental of
the harmony will then be confused. By placing the root within, rather than
at the bottom of, these stacked-thirds congurations, he also converts the
stacks highest element into a seventh.36 Limiting himself to the third, fth,
and seventh above, his chordal constructions must extend below the fundamental by a third or a fth as well, in a practice he calls supposition (supposition), or sub-position, because the added sound will suppose the
fundamental, which will be found immediately above it37 [1.17]. Pitches
gured as 9 or 4 above the sounding bass function as 7 above their fundamentals, and at least in theory they will behave as would a seventh. The
notion initially found some favor, and was expanded to include the thirteenth in the writings of Rameaus champions Jean Laurent de Bthizy in
France and Friedrich Wilhelm Marpurg in Germany. Yet, as we shall see,
even Rameau did not consistently adhere to this formulation.
Rameaus Irregular cadence incorporates perhaps the most celebrated
instance of a root residing among the interior pitches of a chords stackedthirds conguration [1.18]. Whereas the chord F-A(b)-C-D may in some
contexts represent an inversion of D7, here F is indicated as basse fondamentale, while D converts the triad into a chord of the added sixth (accord
de la grande sixte), the sixth serving as a sort of dissonance to propel the
chord onward just as a seventh is added to the dominant triad for that
purpose.
Contrasting these various modes of interpretation, which reduce the
number of distinct chord types and eliminate some problematic intervallic
relationships between adjacent roots within a progression, is the option of
simply embracing all common pitch combinations as chordal and categorizing them according to their stacked-thirds congurations. One particularly robust inventory along these lines appears in Johann Anton Andrs
Lehrbuch der Tonse[t]zkunst (1832).38 The triangle symbolizes the triad. A
number placed within the triangle indicates which of ve basic triad types
Chord identication
1.17 Rameau: Trait de lharmonie (1722), p. 278 [Gossett, p. 296].

Rameau interprets the rst chord of measure 2, E-G-D-F, as G7 with supposed third E and the
rst chord of measure 4, G-G-C-D, as D7 with supposed fth G. The fundamental-bass
progression CDG in measures 2 through 4 warrants further explanation, which Rameau was
not yet prepared to supply in 1722. Later, in his Gnration harmonique (1737), he would promote
the concept of double employment (double emploi): F-A-C-D (measure 3) could be regarded,
upon arrival, as a chord of the added sixth (accord de la grande sixte) with root F. Upon
departure, D takes over as root. The resulting fundamental-bass progression CF/DG
emphasizes Rameaus preferred interval of the fth and notably eliminates the problematic
C-to-D root succession. (The issue of consecutive roots separated by a step will be addressed
in chapter 4, below.) Following the model of Gnration harmonique (e.g. Example XV), a cursor
( ) representing F might be placed below fundamental-bass D at the downbeat of measure 3 to
indicate the alternative foundation pitch for this chord.

These examples display the irregular cadence. In his Gnration harmonique (1737), p. 72, Rameau
employs the term imperfect for this cadence type: Cadence imparfaite ou irrguliere. In both
examples Rameau indicates that the chordal dissonance (a second or a seventh) occurs between two
upper voices, not against the bass. (In this instance the line labeled as basse fondamentale is the
sounding bass.) Observe that Rameaus caption for the rst example includes the terms 4me.
Notte. and Notte tonique, a model that Lampe would have rendered as 4th. . . . K.
23
24
is employed: 1 for major, 2 for minor, 3 for diminished, 4 for augmented, 5

for doubly-diminished (e.g., Cs-Eb-G, upon which augmented sixth chords
depend). One or two vertical marks through the triangles base indicate rst
or second inversion, respectively. The square symbolizes the seventh chord.
The numbers 1 through 5 again distinguish the triadic foundations from
one another, while the sevenths quality is either minor if no further marking
appears, major if a line intersects the square from lower left to upper right,
or diminished if a horizontal line runs through the middle of the square. Up
to three vertical marks may intersect the squares base to indicate inversion.
Ninth, eleventh, and thirteenth chords appear as triangles (if the seventh is
lacking) or squares (if the seventh is present) with one, two, or three thin
vertical rectangles appended to the right.
Mendelssohns thrilling Wedding March was a well-known and beloved
staple of musical life in Victorian England. Yet the full orchestras rst
chord A-C-E-Fs comes as something of a shock. This combination of
pitches was destined to arouse controversy among analysts. We have
already encountered analyses of a similar chord in examples by Lampe
[1.16a, second chord] and Lobe [1.15, third chord] which, if transposed
to Mendelssohns context, would pit B against Fs as the chordal root.
Mendelssohn goes so far as to utilize this chord, neither consonant nor
diatonic within the marchs C Major tonality, to begin the tunes rst
phrase. What audacity! And what a challenge to Victorian analysts, who
would elicit disdain from the musical public if they branded Mendelssohn
as unruly or inept.
Though the discussion that follows may seem a tempest in a teapot, it
nevertheless conveys the mental processes of two prominent British
authors who build upon bits and pieces of existing theory in coming to
terms with the Romantic musical heritage, which in the case of
Mendelssohn they regarded as their very own.
Mendelssohns Wedding March and British harmonic theory

During a London visit in the mid-1840s Mendelssohn met with the surgeon
and music theorist Alfred Day and his protg George Alexander Macfarren.
Day, the author of a Treatise on Harmony (1845), was intent upon testing his
ideas with Mendelssohn. But, as Macfarren relates, Days interrogation was
unsuccessful, for Mendelssohn displayed a countenance suggestive of his
having taken a dose of nauseous medicine.39
Chord identication
1.19 Mendelssohn: Wedding March from A Midsummer Nights Dream (1843), mm. 19.
The chord progression that opens Mendelssohns Wedding March [1.19]

aroused considerable interest among Victorian analysts. The sixth measure
appears in John Stainers A Theory of Harmony (1871), where a single
ground-note B is assigned to the entire measure.40 Mendelssohn was no
25
26
longer around to protest, or even to display a chilly countenance. The 6s

chord
5
on A is admittedly a surprising intrusion upon the culminating C of the
ascending CEGC trumpet fanfare. Its presence at the head of a fourmeasure phrase attracts notice both because it is dissonant and because it is
foreign to the key of C Major.
Stainers perspective echoes Lampes discomfort in positioning a diminished fth above a chordal root. His analysis of both chords in measure 6 as
B (dominant root of E Minor) corresponds to Lampes analysis of equivalent chords in 1.16a as E (dominant root of A Minor). Alternatively, a succession like that in Mendelssohns sixth measure might be understood as
two distinct chords with roots a fth apart: Fs and B. Rameau interprets
such a succession in this manner in a fundamental-bass analysis from his
Trait de lharmonie. That analysis reached English audiences in an anonymous partial translation, A Treatise of Musick, Containing the Principles of
Composition, published in 1752.41 Similar analyses by many authors, including Lobe a century later [1.15], conrm a widespread adoption of that viewpoint. The diminished quality of the chords fth was not of concern to
Rameau, nor to Macfarren, whose Rudiments of Harmony (1860) instructs
that a chord of the 7th may be taken on the second degree [in the
minor mode], in which the 5th as well as 7th is a discord.42 (Though
Mendelssohns phrase ultimately establishes C Major as tonic, locally Fs
serves as the second scale degree of E Minor, within a brief tonicization of
the mediant.) Macfarren even presents this chord in 65 position, the exact
equivalent of Mendelssohns chord. In the context of the Wedding March,
one might make a creative application of Rameaus notion of double
employment [1.17] to oset the awkward CFs root succession: root C (the
trumpet fanfare) would proceed to root A, a chord with added sixth that is
reinterpreted as a seventh chord on Fs for continuation to B.
Thus Stainer and Macfarren in the nineteenth century perpetuate a
dierence of opinion evident between Lampes and Rameaus perspectives
in the eighteenth. Stainers harmonic theory emanates from a scale drawn
out in thirds in two distinct ways: one manifesting the sense of Tonic, the
other the sense of Dominant [1.20a].43 Stainer explains:
The simplest and most natural way of arranging chords is evidently to begin with
the tonic, and to go on adding thirds from the scale, until the whole of the notes of
the scale are exhausted . . . The musical value of the subtonic [leading tone] as a note
which has a natural tendency to ascend to the tonic, and which cannot of course be
harmonized by the tonic, has involved the necessity for a subtonic harmony or
chord. The note in the scale which presents itself at once as best adapted to the
accompaniment of the subtonic, is the fth or dominant.44
Chord identication
1.20 Stainer: A Theory of Harmony, (1871, 8A Treatise on Harmony, 1884 or later), p. 21.
(a) Having dened a chord as a combination of thirds taken from a scale, it is necessary to
exhibit a scale in thirds instead of single degrees, and to give names to the chords formed (p. 21).
(b) The above diagram shows the chief diatonic chords used in music (pp. 2122). Observe that
both dominant eleventh chords (Chords 9 and 19) contain the pitches of the supertonic seventh
above the dominant root during their initial half notes.
Both of these stacked-thirds congurations contain the same seven pitch

classes and may occur in both major- and minor-key colorings. They are
abstractions from which the chords of actual music are derived. Stainer
forms twenty such chords [1.20b] which, along with their counterparts in
keys to which the composer might modulate, provide the grounding for his
analytical endeavors. He asserts that chords on the second, third, fourth,
and sixth degrees of the scale are so limited in their growth as to be practically unimportant.45 Recall that a similar reduction in harmonys foundations had recently hit British shores in the work of Virus y Spnola and
Chaluz de Vernevil [1.12].
27
28
Stainers rejection of independent harmonic status for Mendelssohns

A-C-E-Fs chord hinges on the fact that it conforms neither to a tonic nor to
a dominant rooted on Fs. He specically addresses the chords major-key
equivalent: Fs, A, Cs, E cannot be derived from Fs. If it were a seventh on
Fs as the dominant of B, the A would be sharp; if it were on Fs as a tonic,
both A and E would be sharp; if it were on Fs as the tonic of Fs minor, the E
would be sharp. Therefore Fs cannot be the ground-note.46 Mendelssohns
Fs-A-C-E would be prohibited for similar reasons: if it were a seventh on Fs
as the dominant of B, both A and C would be sharp; if it were on Fs as a
tonic, A, C, and E would be sharp; if it were on Fs as the tonic of Fs Minor,
both C and E would be sharp. Stainer instead interprets it as a Chord of the
11th from the Dominant Series of E Minor [1.20b, Chord 19, transposed].
Mendelssohns chord is in third inversion: the chordal seventh is the bass. Its
root, B, is omitted. As was also the case in Portmanns analyses [1.11b,
1.16b], two of the higher components of the chord (here the ninth and
eleventh) displace lower components, which arrive in the second half of
both Mendelssohns and Stainers measures.
Only one issue troubles Stainer in this interpretation: the dominants
seventh (A, the bass that opens Mendelssohns measure 6) unfortunately
ascends to B. C and E, the chordal ninth and eleventh, drive out the root
B and third Ds from the measures rst chord and resolve to those pitches
conventionally via descending step in the measures second chord. Yet A
ascends. This unwonted ascent of the minor seventh so scandalizes some musicians that they promptly deny that the chord is derived from [B]. But as the
student proceeds to trace out the progression of chords, he will nd that the following may be called a principle of progression. When a chord contains several
discords, reckoning from the ground-note, the ear is often satised by the resolution of part of them. Thus . . . the downward progression of the eleventh
and ninth completes the resolution of two of the three discordant notes, the ear
willingly therefore bears with the irregular movement of the remaining one, the
seventh.47
Alas, our story does not end so tidily. In his Six Lectures on Harmony
(1867) Macfarren again addresses measures 6 and 7 of the Wedding March.
Though the passage from his Rudiments of Harmony quoted above might
lead us to expect that he will choose Fs as root for the rst chord, he now
concurs with Stainer, choosing B as root, but for a dierent reason.
The chord here [with bass A] bears somewhat the aspect of a diatonic 7th of which
the supertonic [in E Minor] would be the root. That it is not this, is now shown
by the non-preparation of either the 7th or the diminished 5th [Macfarren here dis-
Chord identication
1.21a Mendelssohn: Chorale harmonization (1819), transposed.

1.21b Mendelssohn: Figured bass exercise (1819), transposed.
These examples were transcribed by R. Larry Todd and published in his Mendelssohns Musical
Education: A Study and Edition of his Exercises in Composition (Cambridge: Cambridge University
Press, 1983), pp. 118, 109 (transposed).
(a) In its larger context, this excerpt spans the major third from mediant to dominant in a minor
key, whereas the opening of the Wedding March spans the major third from tonic to mediant in a
major key.
(b) Note the error in Mendelssohns voice-leading (parallel fths). The gures for the rst chord
(97) are incorrect; 65 should appear instead. The abbreviations d and m refer to chord quality (dur =
major; moll = minor).
regards the E and C of the preceding trumpet fanfare]; whereas preparation is an

exceptionless exaction of the strict style for all the discords it includes.48
It is curious that Macfarren instead fosters an interpretation in which

three chord members function as dissonances (seventh, ninth, and eleventh
above B). Yet in that both the root and third are absent from Mendelssohns
chord, those dissonant associations do not occur in sound, but instead
emerge only in relation to the fth, Fs.
Mendelssohn posthumously challenges Stainers and Macfarrens choice
of B as root for the rst chord of measure 6 through various surviving exercises completed under the tutelage of the Berlin composer Carl Friedrich
Zelter, a pupil of Kirnberger. (Kirnberger had studied under J. S. Bach in
Leipzig. Thus through Zelter there is a direct link between the Baroque
master and his foremost nineteenth-century advocate.) In a chorale harmonization of 1819 [1.21a] Mendelssohn composes the very progression
of chords that opens the Wedding March! Some of his exercises contain a
separate sta showing the root progression (Grundbass). Mendelssohn
places the second scale degree below a 65 chord on the fourth scale degree
[1.21b]. This and other surviving exercises of this type are in major
keys, wherein the chord is spelled as Fs-A-Cs-E (thus akin to Chord 9,
rather than Chord 19, of 1.20b). Kirnbergers writings give the same
29
30
1.22 Kirnberger: Die Kunst des reinen Satzes in der Musik (177179), vol. 1,
pp. 113114 [Beach and Thym, p. 131].
(a) Because this progression is harsh, Kirnberger oers example b as an alternative.
(b) Adding a 6s to the implied 53 above bass A would result in the distinctive chord progression
that Mendelssohn employs in the opening measures of his Wedding March.
status that of Essential Seventh Chord to its minor-key equivalent,

Fs-A-C-E.49
Kirnberger provides a table of thirty progressions oering the fastest
way of modulating from each key to every other key. His progression for
modulating from the tonic chord to the third, E minor [1.22a] is accompanied by the following footnote: This transition from the C chord to the
cadence in E minor is harsh. Usually the chord on A [or other possibilities]
precedes the dominant, as here [1.22b].50 Though we understand the
examples second chord to be in the default 53 position, Kirnberger often
employs a 65 in the same context.
Chordal embellishment
Rameau on suspensions
The major triad and its two inversions, our starting point in Chapter 1, represent a primordial harmonic stability that grounds the tonal system. The
pitches indicated by the gured-bass numbers 5 and 3 correspond to low
partials of the root pitch.1 Thus musicians regard the 53 position as a chords
most basic state. The numbers 6 in the 63 chord and 4 in the 64 chord represent the inversions of the 53 chords 3 and 5, respectively. The pitches that correspond to 6 and 4 are consonant and stable chord members.
Most analysts would have concurred with what has been stated thus far.
But let us consider a dierent context for the 64 chord, from two perspectives.
E
Perspective 1: The bass of a 64 chord (for example, G in GC) may assert itself as
a root (as in C Majors V chord), so that the low partials of G take over as
the principal chord members. In that situation the fourth and sixth
(regarded by some for example, by Portmann as the chordal eleventh and
thirteenth to emphasize their dissonant character) typically will yield to the
E
D
third and fth (GC resolving to GB). This view informs the analytical decisions
apparent in 1.5, measure 6, and 1.11b, measure 2. Perspective 2: A 64 chord
always represents a 53 chord built from the same pitch classes. Its root is the
5
chords bass. Context plays no role in determining the root. What per3
spective 1 proposes to be a dominant harmony not yet fully in place is
instead a tonic harmony in second inversion. This view informs the analytical decisions apparent in examples 1.2d, measure 7; 1.3, chord 6; 1.6, chord
7; and 1.9, measures 2 and 8.
A serious problem has emerged: incompatible views regarding whether
some chordal formations should be perceived as harmonic entities or instead
as the embellishment of harmonic entities led to severe disagreements with
respect to one of the most basic endeavors of harmonic analysis determining chordal roots and resulted in wildly divergent interpretations of certain
chords roles within their tonal contexts. Whereas the situation concerning
the 64 chord, described above, was and remains especially contentious, there
are in fact many situations in which some analysts would interpret all of a
chords members as harmonic, while others would regard the chord as a
combination of harmonic and embellishing pitches.
32
In widely varied terminology,2 four broad categories of embellishment

were proposed: the passing note, when one or more subordinate pitches
connect two dierent harmonic pitches; the neighboring note, when a subordinate pitch relates by step to a single harmonic pitch; the suspension,
when a pitch lingers beyond the duration of the harmony to which it
belongs, clashing with the new harmony; and the anticipation, when a pitch
arrives ahead of the chord to which it belongs, clashing with the continuing
harmony.
The gures in traditional thoroughbass practice are created without
consideration of such distinctions. They serve simply as an inventory of
what pitches sound above the bass at a particular moment. For example,
(n)9
Kirnbergers 7 notation, which appears three times in 1.14a, provides no
s
information regarding the roles of the three pitches that it designates. Unlike
most of his predecessors, Kirnberger understood the raised third and
seventh to be chord members of harmonic stature and the ninth to be an
embellishment an incidental dissonance even if his gures do not
convey this conception. He opposed the tendency, endemic to thoroughbass
practice, to deal with all chord components together and in the same
manner.3 The tension between these two conceptions has persisted within
the arena of harmonic analysis to the present day.
The gured-bass symbol 7 might occur in two contrasting contexts. A
seventh, once sounded, may persist for the duration of a chord (in which
7
case 7 stands for 53), or it may function as a suspension, resolving by descending step to a sixth over a stationary bass (in which case 76
would be a char3
acteristic context). In an embellishment-sensitive perspective such as

Kirnbergers, the pitches indicated by the notation on the upper two staves
in 2.1a, measure 1, would be segregated into two groups: A-C-F and G, the
latter lingering from the preceding upbeat and playing only an embellishing
role. Rameau, in contrast, interprets the measure as two separate entities
A-C-G and A-C-F, the rst a realization of A7, the second not an inversion
of F53, as we might expect, but instead an incomplete realization of D7 (for
reasons unrelated to the suspension, as explained in the caption to 2.1a).
The unperformed fundamental bass reects Rameaus conviction that a suspension pitch warrants the same sort of harmonic derivation as the other
sounding pitches.4
Yet Rameau sometimes adopts a suspension-as-embellishment perspective when other factors are in play. Two examples in his Gnration harmonique (1737) show contrasting contexts for the same pitches, E gured
as 98 in the second measure of each [2.1b]. In the rst example, E-G-B-Fs
(E9 in the continuo bass) is analyzed in the fundamental bass as G7, with
2.1a Rameau: Trait de lharmonie (1722), p. 242 [Gossett, p. 261].

Example of the seventh prepared and resolved in the soprano. Rameau assigns distinct roots to
the preparation, the suspension, and the resolution phases. (Each resolution is preparation for the
next suspension.) Complicating matters, he supplies an imaginary root for each 6 chord for
example A6 (A-C-F) in the continuo bass coordinates with D, rather than with F, in the
unperformed fundamental bass. By this means the progression of fundamentals proceeds mainly
in fourths and fths (C | A D | G C | F . . .), thereby avoiding the undesirable ascending seconds
that otherwise would have resulted over the bar lines (C | A F | G E | F . . .).
2.1b Rameau: Gnration harmonique (1737), ex. XXX.

In both of these progressions the same gures (9 8) appear over bass E in measure 2. Their
contrasting contexts lead to diering analytical interpretations of the ninth: supposition (E below
G7) in the rst progression versus suspension (Fs above fundamental E) in the second. Rameau
appears to favor supposition, for when he instead resorts to a suspension analysis he remarks that
he has been compelled to do so (suspension forcee = obligatory suspension).
supposed third E. Supposition, as noted on p. 22, is his typical means of

accounting for chords whose stacked-thirds formations extend beyond an
octave. It is applied here so that Fs may be justied in the same manner as
the other sounding pitches. The following chord, E-G-B-E (E8), is analyzed
in the fundamental bass as C7, echoing his analysis of G-B-E as C7 in 2.1a.
33
34
In this way a root progression in fths results (though one should note the
CFs succession between the second and third measures). In the second
example, both chords are assigned E as fundamental, impelled by the DsE
bass succession (yielding the preferred fundamental succession by fth,
BE, here presented in inversion as a fourth) that leads into measure 2. In
this case, Rameau accepts that downbeat soprano Fs is not derived from the
same principle as the other sounding pitches. Clearly Rameaus eye is on the
intervals formed by adjacent fundamental-bass pitches: his standards for
chordal membership are intentionally wobbly, so that a favorable outcome
will result in the fundamental bass.5
In a surprise move, Rameau embraces the embellishment perspective
wholeheartedly in a manuscript treatise, Lart de la basse fondamentale
[ca. 173845], where he states that the suspension is no more than a note
of taste, lacking a fundamental bass, which, if supplied, is justied only
because it oers the satisfaction of comprehending that the suspended note
typically traces its origin to the supposition principle. But since this is of no
practical value, it is preferable to disregard the suspension note and, when
assigning the fundamental bass, to take into account the consonance that it
suspends and that follows directly after it.6 Though Rameau still prefers a
supposition analysis in certain contexts, the rigidity of his earlier formulation appears to have softened considerably.
Lart de la basse fondamentale served as the foundation for Le guide
du compositeur (1759) by Rameaus student Pietro Gianotti.7 Each of the
rst two downbeats in one of Gianottis examples contains a suspension in
the soprano, analyzed as such by Gianotti [2.2]. At the third downbeat,
where soprano ED is situated like CB and DC of the preceding measures, the analytical treatment is contrasting. Though D would be an
appealing root in this context, Gianotti here takes pains to avoid the
fundamental-bass ascent of a second (C to D). In the Trait Rameau states
that whenever it is permissible to have the fundamental bass ascend a tone
or a semitone, the progression of a third and a fourth [or their inversions]
is always implied.8 In compliance with that prescription, the fundamental bass for measures 2 and 3 appears as CAD. After two downbeats
embellished by suspension, Rameaus theory of supposition is invoked: F97
is analyzed as A7 with supposed F. Jean Laurent de Bthizy, another theorist writing in Rameaus wake, provides a matter-of-fact description of the
contemporary practice: there are two ways to obtain the chords of the
ninth and of the eleventh, namely, supposition and suspension.9
Gianotti demonstrates that these two strategies may be invoked in close
proximity.
2.2 Gianotti: Le guide du compositeur (1759), p. 281 and plate 35, ex. 16.
While the unperformed fundamental bass (on the bottom sta) displays Gianottis principal analysis,
which accords with the bass line supplied on the middle sta, he concurrently oers alternative
harmonizations for the soprano via cursors. For example, soprano C at letter A could be supported
by C or by D instead of by G, while soprano D at letter C could be supported by G instead of by C.
2.3 Beethoven: Symphony No. 5 in C Minor, op. 67 (1808), mvmt. 1, mm. 3344.
We care about distinctions such as that between harmonic and embellishing interpretations of suspensions because they aect our perception of
musical structure. In the rst movement of Beethovens Fifth Symphony [2.3]
the violin C of measure 34 is a suspension, resolving to Bn in measure 35.
35
36
2.4a Structural diagram for 2.3.

2.4b Structural diagram for Beethoven: Sonata in C Minor, op. 13 (1799), mvmt. 1,
mm. 1113.
Without its suspensions (displayed as lled-in noteheads), the excerpt from Beethovens
Symphony in C Minor reveals a kinship with a passage from his Sonata in C Minor (Pathtique).
Violinists should convey this sense of descending resolution, as well as the

similar descents from D in measures 3637 and from the sforzando Eb, F, G,
Ab, Bb, and C in later measures. If these pitches are performed as embellishments, a coherent structure emerges [2.4a], one that relates to another
C Minor composition by Beethoven [2.4b]. In an analysis that instead invokes
Rameaus principle of supposition, this relationship would be concealed.
Certainly Rameau was a force to be reckoned with. Once dAlemberts
lmens de musique (1752), an appealing practical digest of Rameaus
basic ideas, appeared in German translation in 1757, circulation east of
the French border was extensive. Friedrich Wilhelm Marpurg,
dAlemberts translator, acted as a defender of the faith, even if his understanding of Rameaus thought was not reliable. A jumble of Rameauean
ideas from one or another of Rameaus treatises (which often do not
concur with one another), from the 1752 English translation, from
dAlemberts synopsis, from Marpurgs translation of that synopsis, or
from another author whose outlook was inuenced by Rameau circulated throughout musical Europe.
Those ideas did not always garner praise. Examples such as 2.1a raised
eyebrows: a simple descending 76 sequential pattern, familiar from
numerous thoroughbass manuals, requires twelve structural roots in
Rameaus interpretation. Several of these roots contradict the progressive
stacked-thirds notion of chord-building. Certainly a backlash was to be
expected, in the interest of greater simplicity and old-fashioned musical
common sense. Kirnberger was a leader in this assault.
2.5 Kirnberger: Grundstze des Generalbasses als erste Linien zur Composition
[ca. 1781], part 1, plate 2, g. 17; part 2, plate 3, g. VII/2; part 3, plate 9, g. XLI.
The rst example contains only consonances. The second incorporates an essential dissonance
(F in the third chord). The third incorporates both an essential dissonance (F in the third chord)
and incidental dissonances (Ab in the third and fourth chords, Bn and F in the fourth chord).
Kirnbergers incidental dissonances

In the rst volume of his magnum opus, Die Kunst des reinen Satzes in der
Musik (1771), Kirnberger asserts that suspensions are incidental or nonessential (zufllig) in character and thus not harmonic in the way Rameau
asserted they were. One must distinguish between these incidental dissonances, which embellish the underlying harmonic formation, and the consonances and essential (wesentlich) dissonances that constitute the
harmony.10 A chord will fall within one of four distinct categories, which
Kirnberger describes as follows:
Thus there are altogether four types of chords used in music: (1) the consonant, (2)
the dissonant with an essential dissonance, (3) the dissonant with one or more
nonessential dissonances, and (4) those resulting from a mixture of types 2 and 3,
where nonessential and essential dissonances are combined. The triad with its inversions belong to the rst type, the seventh chord with its inversions belong to the
next, the suspensions of the consonant chords belong to the third, and the suspensions of the [essential] dissonant chords belong to the fourth.11
Grundstze des Generalbasses als erste Linien zur Composition [ca. 1781],
a little book that Kirnberger wrote as an introduction to his Kunst, illuminates his perspective. The rst of its three sections addresses music fundamentals, culminating in the triad and its inversions. The second section
addresses essential dissonances, and the third incidental dissonances.
Considering an example from each section will reveal how a single harmonic idea fares in the context of Kirnbergers three-stage pedagogy [2.5].
Kirnberger presents the rst of these examples directly after progressions
with bass CGC or CFC. Here he extends and prepares the cadence.
37
38
2.6 Kirnberger/[Schulz]: Die wahren Grundstze zum Gebrauch der Harmonie (1773),
pp. 5152 [Beach and Thym, p. 207].
To eliminate the FG step of the upper fundamental-bass analysis, Schulz asserts that it would be
more correct (richtiger) to reinterpret the F53 chord as an F65 chord with absent D. One may then
invoke Rameaus principle of double employment (double emploi) to generate preferred
fundamental-bass intervals (CF and DG), shown in the lower fundamental-bass analysis.
Modern scholars disagree regarding whether Die wahren Grundstze, which was published under
Kirnbergers name and was assumed during his lifetime to be by him, is in fact his own work or
instead that of Schulz, who declared himself to be its author after Kirnbergers death. (Dahlhaus
calls Schulz Kirnbergers ghostwriter.) Numerous instances of stepwise ascent occur in the
fundamental basses of Kirnbergers Die Kunst des reinen Satzes in der Musik, suggesting that the
author of Die wahren Grundstze was more inuenced by Rameau than was Kirnberger himself.
Kirnbergers claim that the subdominant is the most natural triad to

precede the dominant contrasts Rameaus diculty with stepwise root successions such as F to G, which he rationalizes through double emploi (CF
G becomes CF/DG). Clearly Kirnberger here intends nothing but
consonances, not an interpretation of the second chords C as an essential
dissonance above an imaginary D. Unfortunately Kirnbergers pupil Johann
Abraham Peter Schulz injects this notion into Die wahren Grundstze zum
Gebrauch der Harmonie (1773), his synopsis of Kirnbergers teachings [2.6].
The second example contains an essential dissonance. Observe the attentive treatment of the dominants seventh, F: it is prepared in the preceding
chord, and it resolves by descending step in the following chord. This procedure characterizes the strict style, from which composers could assert
certain freedoms, such as resolution of a dissonance in another voice, in the
galant style. Kirnberger calls the F an essential dissonance because it can
resolve only when the chord gives way to its successor. Context is a factor in
Kirnbergers analytical thought process. Not all instances of G, B, and F
sounding simultaneously would imply root G. For example, F might instead
displace the E of a 63 chord (G-B-E), in which case E would serve as root and
F would function as an incidental dissonance. This 76 situation appears in
Kirnbergers Kunst des reinen Satzes in der Musik as an example of The sixth
chord with its suspensions in a Table of Consonant Chords with One or
More Nonessential Dissonances as Suspensions. Contradicting that view,
an example probably by Schulz in Die wahren Grundstze displays a series
of 76 suspensions in which the suspension and resolution phases are given
separate roots, mimicking Rameaus practice [2.1a].12
Kirnbergers third example likewise employs the fundamental-bass progression CFGC, though here incorporating chordal inversion and presented in the key of C Minor. Kirnberger classies the third chords Ab (above
bass D) as an incidental dissonance whose resolution to G is postponed (verschiebet). Though both Ab and F extend beyond this chord and resolve at the
same moment, F is an essential dissonance because it cannot resolve above
bass D, whereas Ab is an incidental dissonance because it could so resolve,
even if in this instance it does not. Because G, though absent, serves as the
chords root, the seventh formed between Bn and Ab, here inverted to a
second, is neither essential nor incidental, but instead unauthentic
(uneigentlich; uncht).13
The examples nal measure begins with an abundance of dissonances,
all prepared in an exemplary manner. Whereas Rameau might have installed
G as the fundamental (with supposed Eb), followed by C in the second
half of the measure, Kirnberger would interpret Bn, F, and Ab as incidental
dissonances. C not G serves as root from beat 1 onward, even if suspension Bn sounds where C belongs for half of the measure.
The rift between Kirnberger and Schulz regarding embellishing versus
harmonic interpretations of suspensions resulted in an inconsistent
treatment of the topic in various works published under Kirnbergers name.
Advocates of either perspective could thus claim both Rameau and
Kirnberger as progenitors.
An interesting symmetry has emerged with regard to the suspension:
Rameaus harmonic interpretation was moderated to a more embellishment-accommodating conception in his student Gianottis treatise (following Rameaus manuscript Lart de la basse fondamentale, which did
not circulate widely), while Kirnbergers embellishment interpretation
was nudged in the harmonic direction by his student Schulz.It should thus
not be surprising that the determination of just which sounding pitches
constitute a harmonic chordal entity remained a contentious issue.
39
40
2.7 Lobe: Vereinfachte Harmonielehre [1861], p. 75.

Lobe here analyzes a passage from Beethovens Sonata in C Minor (op. 10, no. 1), mvmt. 2. All
embellishing notes are marked and are absent from the display of foundational harmonies
(Grundharmonien) placed below Beethovens score. The numbers 1 and 2 above the score reference
textual comments acknowledging the employment of two embellishing notes concurrently.
To assess how Kirnbergers perspective developed in the nineteenth

century, and how it was integrated with scale-step notation, we move
ahead ninety years to an analytical strategy practiced by Lobe, notable
not for its employment of numerals to indicate the structural roots
(which had by this time become a common attribute of analyses, especially in Germany), but instead for how it deals with embellishing pitches.
First, each embellishing note is marked in the score with a special symbol
indicating its role; and second, the pitches that constitute the core harmonic fabric are fashioned into block chords, constituting a somewhat
crude yet compelling reduction of the composition to its harmonic
essence. We then apply this method to music by Chopin.
Embellishment in a phrase by Chopin

Lobe presents several detailed harmonic analyses in his Vereinfachte
Harmonielehre [1861], treating scores by Drrner, Gnsbacher, Hummel,
and especially J. S. Bach and Beethoven. In a passage from a Beethoven
Adagio, plus signs (+) and circles (o) indicate embellishing passing notes
(Durchgnge) and neighboring notes (Wechselnoten), respectively [2.7]. In
other examples Lobe employs a dash () for a suspended note (Vorhalt) and
a circumex (^) for an anticipation (Vorausnahme). (Though Lobe acknowledges that a suspension may be either tied over from its preparation or
rearticulated, he likely analyzes F at the downbeat of the second measure and
Ab at the downbeat of the fourth measure instead as neighboring notes
2.8 Chopin: tude in E Minor, op. 25, no. 5 (1837), mm. 14.
This analysis conforms to the procedure of Lobes model [2.7]. The essential sevenths E
(measure 2) and A (measure 3) are prepared in the preceding chords and resolve by descending
step. Kirnberger observes that whoever wants to take pains to strip the most beautiful arias of
all embellishment will see that the remaining notes always have the shape of a well-composed and
correctly declaimed chorale (Die Kunst des reinen Satzes in der Musik, 177179, vol. 1, p. 224
[Beach and Thym, p. 234]).
because they do not persist for a full beat.) Below the score, Lobe displays the
foundational harmonies (Grundharmonien) as root-position block chords,
as well as Arabic numerals indicating the scale degrees of the chordal roots.
Four steps are apparent in Lobes analytical procedure: (1) mark and
eliminate from further consideration all embellishing pitches; (2) arrange
all bona de chord members into foundational harmonies in root position
on a separate sta; (3) determine the key in which the passage is composed;
(4) label each chord according to the scale degree of its root within the key,
making special note of all chord components beyond the three triadic
pitches. (Like Jelensperger, Lobe places a dot above the numeral label to
indicate the presence of a chordal seventh.)
In the opening measures of Chopins tude in E Minor (op. 25, no. 5)
[2.8], the inner-voice sixteenth notes are Chopins written-out equivalent of
standard eighteenth-century embellishments. Carl Philipp Emanuel Bach
states in words what Chopin puts into practice: Appoggiaturas are one of
the most necessary of embellishments. They oer improvement to both
melody and harmony . . . and vary chords that would have been too plain
without them.14 Measure 1 is an arpeggiation-enlivened proclamation of
tonic even if tonic is contradicted at every beat.
The second measures rst chord contains three dissonances. Its B
continues the eeting inner-voice displacements of chord tones. Its G is
likewise an incidental dissonance (the middle phase of a preparation/
suspension/resolution cycle), delaying the supertonic 65s root Fs until
41
42
the second beat. Concurrently its E functions as the chordal seventh, an

essential dissonance resolving (after transfer up an octave) to Ds with the
arrival of the dominant in measure 3. Chopins dissonant concoction
during the last beat of measure 2 includes the third, fth, and seventh of the
prolonged supertonic chord as well as anticipation B, root of measure 3s
dominant chord.
G on the downbeat of measure 3 displaces Fs. Whereas Lobe likely would
have regarded it as a neighbor to Fs (thus labeled o), an analysis as an
accented passing note (+) is also viable. Kirnberger states that in the free
style, passing notes need not always be passed over quickly and lightly as in
the strict style.15 Here it falls on a downbeat what Kirnberger calls an
irregular passing note. The G at the end of measure 3 clashes with the
other sounding pitches. Kirnberger relates plain melodies to walking and
embellished melodies, like Chopins, to dancing: Just as each step in
walking can be embellished by various little motions before the foot comes
down again, melodic steps can also be decorated by several notes . . . during
the time that the downstep would have been held in a simple melody.16
Chopins melody connects the step from Fs to E with an upward kick to G
followed by a downward glide that delays the landing until the second beat
of measure 4, reminiscent of similar delays in measures 2 and 3.
Rameaus analyses from the 1720s and 1730s and Lobes from the 1860s
dier not only in how the harmonic progressions are displayed and in
their treatment of embellishment, but also in the fact that Rameau
usually deals with articially fabricated block-chord progressions,
whereas Lobe puts his method to the test by applying it to actual compositions. Of course, in the latter strategy a greater density of embellishing pitches may be expected. As it should be: any musician who seeks to
develop a perceptive responsiveness to the musical art must be able to
deal with it in all its parameters, not only in an articial world in which
the chords are denuded of their teeming vitality. Lobes unembellished
Grundharmonien, though certainly a part of what the performer and listener should understand about the piece, do not in themselves constitute
the artwork.
One thread from the opening pages of this chapter competing interpretations of the 64 chord is subtly woven into Lobes Beethoven analysis [2.7]. Observe that in the third measure two concurrently sounding
pitches are marked with a plus sign (+) to indicate their role as passing
notes. At that moment, the sounding pitches (Dn, G, and Bb) form a 64.
Here it is not the bass Dn that asserts itself as root (as in the cadential
2.9 Koch: Handbuch bey dem Studium der Harmonie (1811), col. 118, g. 24.
Since a keys Stammakkorde are all arrangements of the same seven pitch classes, it is possible for
the same set of four pitches to represent either the C Stammakkord (at a) or the G Stammakkord
(at b).
6
4
to 53 formulation), nor is it the fourth G (which resides at the bottom of

D
the GBb triad that could be derived from the three sounding pitches).
Instead, according to Lobe the root remains Bb. Root Bb and third D are
stable chord members of the 5 harmony, and the minor third FAb formed
by the fth and seventh is lled in concurrently in both directions, as a
b
voice exchange (FGA
). Lobe asks listeners to interpret the two Gs as
AbGF
passing, not as harmonic chord members, even though these Gs are held
longer than the thirty-second notes F and Ab that follow.
Another notion mentioned at the beginning of the chapter is that the
fourth and sixth were sometimes interpreted as the chordal eleventh and
thirteenth. Let us call upon Koch to oer an explanation.
Kochs Stammakkord and the dissonant 64

In his Handbuch bey dem Studium der Harmonie (1811) Koch gives budding
contrapuntists the lesson that context determines function. His fundamental seven-note parent chord (ursprnglich siebenstimmige Stammakkord),
akin to Portmanns Grundharmonien (see p. 13, above), places the seven diatonic pitches in vertical alignment, as stacked thirds. In a playful yet instructive example Koch reiterates the same four pitches on two consecutive
downbeats [2.9]. In the rst instance they derive from the C Stammakkord,
C-E-G-B-D-F-A. D and F are the chords ninth and eleventh, respectively. In
the second instance they derive from the G Stammakkord, G-B-D-F-A-C-E.
Bass C is the chords eleventh. These dissonances are prepared and resolved
conventionally. The dissonant F in the chord labeled b is of a dierent type.
The C below it, which resolves within the chord, is the main dissonance
(Hauptdissonanz); F, which persists until the next harmony, is the subordinate dissonance (Nebendissonanz). The distinction, though not the terminology, stems from Kirnberger.17
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44
This example triggers two perennially controversial questions:
Is C or G the root of the chord at the downbeat of measure 2? (Kochs answer: G.)
Is this chord consonant or dissonant? (Kochs answer: dissonant.)
Here C and G alternate as root in one-measure shifts. Hauptdissonanzen on the downbeats of
measures 2 through 4 resolve by descending step (marked by slurs).
Because Kochs abstract Stammakkord contains the full complement of

diatonic pitches, it can be used to generate an extraordinarily wide range of
chords employed in compositions. One such chord controversial in Kochs
day as in ours is the 64 [2.10]. Koch rejects dissonant 64 chord (dissonirende
Quartsextenakkord) as a suitable label. How could something that is consonant in its initial state (for example, C below E and G) become dissonant
upon inversion?18 Koch asserts that the chord is no inversion at all, and
though the numbers 6 and 4 might appear in its gured bass, they merely
substitute for the true numbers, 13 and 11 the most extreme components
of the G Stammakkord. These dissonances (of the Haupt type) resolve conventionally to the chords fth and third. Koch applies this perspective only
when both the thirteenth and the eleventh are prepared in the preceding
chord. It coexists with other instances of 64 chords that he identies as second
inversions and as consonant.
Taking the argument a step further Koch rearranges the root-position
G-C-E conguration (root-eleventh-thirteenth) into inversions: E-G-C and
C-E-G [2.11]. All of measure 2 derives from the G Stammakkord. The dissonant thirteenth (bass E) resolves to the fth, while the dissonant eleventh
(alto C) resolves to the third. The alto and bass exchange roles in measure 4.
2.12 Stainer: A Theory of Harmony (1871, 8A Treatise on Harmony, 1884 or later), p. 89.
Stainers analysis of an excerpt from Beethovens Sonata in D Major (op. 10, no. 3), mvmt. 3,
highlights the chord marked by an asterisk. The pitch A, though absent, serves as its root. Whereas
Stainer accommodates bass F within his harmonic analysis (as root As thirteenth), Lobe likely
would have placed a circle underneath the F, indicating its role as neighbor to chord member E
and freeing him from the need to formulate a Grundharmonie that includes F.
Bass C, a Hauptdissonanz, is not the generator of E and G. Though C-E-G

often represent a chord with root C (for example, at beat 4 of measure 3), G
serves as root in the context of measure 4.
Echoes of Kochs perspective resonate throughout Stainers A Treatise on
Harmony. In an example by Beethoven [2.12], bass pitch F is analyzed as a
member of a chord he describes as the sixth inversion of the chord of the
minor thirteenth of A.19 As with Koch, Stainers chordal foundation is a
stacked-thirds arrangement of seven pitches (see 1.20a, chord 2), here A-CsE-G-Bb-D-F, from which he regards Beethovens F-G-Bb-Cs to have derived.
Investing so heavily in harmonic explanations unfortunately sties the sense
of pitch hierarchy that Kirnbergers concept of incidental dissonances had
infused into the analytical process. Lobes analytical method, with its circles
and exes and dashes, accommodates such hierarchy well: only the unmarked
notes in 2.7 and 2.8 enter into consideration for the harmonic analysis. Koch
and Stainer likely would protest the removal of Beethovens Fs (due to their
role as neighbors) in 2.12 from harmonic consideration, but only by taking
that step is an analyst in a position to observe that voice exchanges between
E
E
the outer voices (Cs
Cs
Cs
) are the controlling factor in Beethovens strucE
ture throughout this passage.20
Lobes Grundharmonien, the unadorned block chords that he places
below a musical score, are an outcome of analysis. A score made vibrant
through a composers varied application of embellishing pitches will
often boil down to a surprisingly modest essence. We now turn the tables:
from a few modest chords, how can embellishment be applied to form a
vibrant musical composition? Though the process of artistic creation
dees full explication, perhaps we can be forgiven the whimsy of
45
46
imagining how a composer such as Beethoven or Schubert might have

gone about his business.
In most of the analyses presented within this book I inhabit the
methodologies of other authors mimicking Lobe in the analysis of a
phrase by Chopin [2.8], for example. For the discussion that follows,
however, I wear no mask. The conceptions of thinkers like Kirnberger,
Koch, and Lobe gained momentum as the decades passed, going through
a major synthesis and transformation under Schenker in the early
decades of the twentieth century before being transmitted to the twentyrst century. Even if analysts working today do not know how the ideas
they employ emerged (a defect that this book is intended in part to
remedy), much of what we do resonates with ideas that were already in
play during the era of Beethoven and Schubert.
A Beethoven/Schubert connection
The relation between harmonic and embellishing functions is at the core of
composition-building. In the progression from I to V, with intervening IIn
(V of V) [2.13a], the initial tonic is particularly susceptible to elaboration.
Applying neighboring notes may result in a tonic-prolonging IVI (or
IVIII) progression,21 and a passing note may ll in the bass third from Ab
to F [2.13b]. Tonic may be restated in an inversion [2.13c], an event that
invites a preparatory dominant [2.13d].
Each added feature makes the model more distinctive, until the boundary between model and composition is crossed. The nishing touches determine just what that composition will sound like.
One set of nishing touches leads from 2.13d to 2.14a:
At chord B , the placement of Eb above or below the other treble-clef
pitches is of little consequence.
At chord D , lingering on soprano Eb before descending to Db decreases
the harshness of the dissonance.
The connection between chords E and F involves the stepwise ascending
root succession from Ab to Bb. As we have seen, Rameau and Schulz
suggest that such a succession should be understood as AbFBb.
That conception is realized when a chord rooted on F actually occurs: bass
F arrives before chord F , while the Ab and C of chord E are still operative.
The expanded progression between chords E and F invites expanded
melodic content. Inner-voice Ab from chord E migrates up an octave for
2.13 A harmonic progression and three variants.

Just as a painter might rst sketch a basic outline and then gradually ll in details, these four
examples show how a basic IIInV progression can be eshed out.
2.14a Further elaboration of 2.13d.

2.14b Beethoven: Sonata in C Minor (Pathtique), op. 13 (1799), mvmt. 2, mm. 14.
Chords B , D , and F are altered from the model of 2.13d. An F minor chord occurs between
chords E and F .
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48
2.15a Further elaboration of 2.13d.

2.15b Schubert: Moment musical, op. 94, no. 6 (1828), mm. 18.
Chords B , C , D , and G are altered from the model of 2.13d. A Bb minor seventh chord occurs
between chords A , and B .
the chord rooted on F. This migration aects how chord F is congured:

Bb is placed above Dn, rather than below it.
These renements shape the model into the opening measures of a movement by Beethoven [2.14b].
Another set of nishing touches leads from 2.13d to 2.15a:
Before chord B (a variant of V), a II chord is employed. A suspension
delays its Bb.
In chord B , G-Bb-Db-F substitutes for Eb-G-Bb-Db. F is suspended into
chord C , delaying the arrival of Eb.
Chord D appears in an inversion, enhancing the linear sweep of the bass
(DbCBbAbGFEb).22
The Ab and Dn of chord F are suspended into chord G .
These renements shape the model into the opening measures of a movement by Schubert [2.15b].23
Though the relationship between these passages should not be dismissed
as mere chance,24 it does not prove that Schuberts creative process involved
a conscious paring down of passages by Beethoven to their bare bones, upon
which fresh embellishments could be applied. Schuberts classmate Johann
Leopold Ebner led the following report in 1858:
The very day Schubert nished the song Die Forelle, he brought it to us in
the Seminary to try out, and we performed it again and again with the most lively
pleasure; all of a sudden Holzapfel exclaimed: Good heavens, Schubert, you

snatched that out of Coriolan.
To be sure, in the Overture . . . there is a passage that is similar to the piano accompaniment in the Forelle; Schubert immediately saw the resemblance and wanted
to do away with the song; but we prevented that from happening and thus saved that
delightful song from destruction.25
Schubert biographer Brian Newbould proposes the sympathetic assessment

that Schuberts way of building (possibly subconsciously, who knows?)
upon ideas already in the air is instructive, the results often a far-reaching,
sublime re-creation.26
We turn our attention now to two musicians living in Paris in 1830: the
composer Berlioz and his critic Ftis. Berlioz went on to create a wonderful though perennially underappreciated body of work, while Ftis
attained prominence as a musicologist and produced one of the centurys
most celebrated treatises on harmony. Ftis, the elder by nineteen years,
was a professor at the Paris Conservatory at the time that Berlioz, who
was working with a rival teacher, was attempting to break through as a
composer. The two men did not get along. Witness now a clash of titans.
Berlioz and Ftis on embellishment

Were it possible, it would be immensely interesting to travel back in time to
December 5, 1830, for an afternoon concert at the famed hall of the Paris
Conservatory. The composer is Hector Berlioz, who at age twenty-six had
just been awarded on his fourth try the Prix de Rome. First we hear his
winning composition, the cantata Sardanapalus,27 and then a new fantastique symphony based not, like Sardanapalus, on ancient legend, but on the
composers own imagined experiences. (A few members of the audience are
aware that the symphonys story was sparked by the composers infatuation
with the Irish actress Harriet Smithson.) The performance is a success. Liszt
spurs our applause. And though our ears have been receptacles for all sorts
of musical experiments that Berliozs contemporaries could not have imagined, we discern that the sensibilities of our fellow audience members are
being stretched and that the course of instrumental music is at this moment
taking a consequential turn.
Over the next few years Berlioz went to Rome, wooed and married
Smithson, composed Llio and Harold in Italy, and began work on
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50
Benvenuto Cellini. Then, in 1834, Liszts piano transcription of the

Symphonie fantastique appeared, inviting a detailed exploration of Berliozs
compositional practice. The following year Franois-Joseph Ftis, a
respected critic, professor of composition, and author on both the theory
and history of music, assessed this score in the Revue musicale. First he
recounts some earlier encounters with Berlioz: the harmonic horrors of
his youthful exercises, the orchestra bursting with laughter during a
rehearsal in 1828. Of the Fantastique only the orchestration receives praise.
Otherwise Ftis is severe: his harmony, formed of aggregates of notes that
are often dreadful, was nevertheless dull and monotonous; in this drawn
out composition . . . there are nothing but harmonic monstrosities, without
charm, without stirring eects.28
Another leading journalist and musician Robert Schumann soon
came to Berliozs defense. His ecstatic and detailed report in the Neue
Zeitschrift fr Musik counters many of Ftiss charges. The following is a
brief sample from a review that rewards careful reading:
If ever something appeared to me incomprehensible, it is the summary judgment by
Herr Ftis in the words: I saw that he lacked melodic and harmonic ideas. He might,
and indeed has, denied Berlioz everything: imagination, invention, originality but
richness of harmony and melody? There is no answer for that. I have no intention
to inveigh against this otherwise brilliantly and intelligently written review, for I perceive nothing like personal invective or injustice in it, but frankly blindness, the
complete absence of any feel for this sort of music.29
With Ftiss Trait complet de la thorie et de la pratique de lharmonie

(1844) in one hand and a passage from the Symphonie fantastique [2.16] in
the other, let us seek some common ground between these two titans of the
Parisian musical world.
In their broadest outlines the rst two phrases of our Fantastique excerpt
(measures 72 through 86) do what almost any tonal composition will do:
they progress from tonic to dominant and back. Ftis accomplishes this even
in his rudimentary demonstration of melody, harmony, and chord [2.17a].
One of Rossinis melodies [2.17b], which Ftis describes as beautiful and
meaningful (belle et signicative), is remarkably similar to that in measures
72 through 75 of the Fantastique. Its construction incorporates arpeggiation
of the tonic (GCE) and neighboring embellishment of 3 (EFE) in a
syncopated context. Berliozs melody shares these features, and after descent
to 1 a 43 suspension (CB over bass G in measures 7879), demonstrated
by Ftis in his harmonie model [2.17a], occurs.
Dominant harmony often aords the opportunity to juxtapose 4 and 7,
which form Ftiss intervalles attractifs of the quarte majeure (augmented
2.16 Berlioz: Symphonie fantastique (Episode from the Life of an Artist) (1830),
mvmt. 1 (Dreams, Passions), mm. 71/72111.
51
52
2.16 (cont.)
fourth) and its inversion, the quinte mineure (diminished fth). Yet in this
case F, Bs attractive accomplice, is absent until measure 85, by which time
tonic has returned. In the manuscript version of these measures, a diminished fth in fact does occur.30 In Berliozs revised version, tonic reasserts
itself sooner than expected in measure 84.31 (Since in the preceding phrase
tonic extends for six measures, followed by a two-measure suspension/resolution on dominant, we expect six measures of dominant followed by a
two-measure suspension/resolution on tonic. Measures 84 through 87
would read
| G G | F | F | E |
V
I
.)
The frenetic arpeggiation of the tonics root and fth in the cellos and
contrabasses in measures 84 and 86 resembles bass activity that Ftis
encountered in Mozart [2.18]. These CG fourths are reminiscent of
the melodys initiating interval (GC), just as the dominant GD fourths
2.16 (cont.)
(measures 7879) relate to the second phrases initiating interval (DG in

measures 8081).
The revised harmonization of measures 84 through 86 creates a tonic
context for the melodys GE third, matching that of the EC third in measures 73 through 77. Both thirds are lled in by a passing note. Berlioz continues by incorporating the upper-neighbor embellishment of the lower
third (EFEDC) in the context of the upper third: GAbGFE in
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54
2.17 Ftis: Trait complet de la thorie et de la pratique de la harmonie [1844], pp. 1,

196 (transposed).
(a) Music is the product of successive and simultaneous combinations of sounds. [La musique
est le produit de combinaisons successives et simultanes des sons.] The Harmonie model
includes an example of what Ftis calls succession retarde, in which the pitch C, a compound
fourth above the bass, functions as a suspension.
(b) Rossini, Serenata from Les Soires musicales, quoted by Ftis (original key: Bb Major).
Rossinis work was composed a few years after Berliozs.
2.18 Ftis: Trait complet de la thorie et de la pratique de la harmonie [1844], p. 118.

(a) Mozart: String Quartet in C Major, K. 465, mvmt. 2, quoted by Ftis.
(b) Reduction by Ftis.
(c) The fundamental note (note radicale), according to Ftis.

This example shows the derivation of Ftiss dominant ninth chord (accord de neuvime de la
dominante) via substitution. Ftis explicitly condones modal shifts such as the replacement of A
with Ab: Now, this transformation could give rise to so many dierent cadences, which will
multiply further through changing the major mode into minor, or the minor mode into major.
[Or, cette transformation pourra donner lieu autant de cadences direntes, qui se
multiplieront encore en changeant la mode majeur en mineur, ou le mineur en majeur
(p. 179).]
2.20 Ftis: Trait complet de la thorie et de la pratique de la harmonie [1844],

pp. 124125.
Ftis demonstrates how Beethoven should have employed pedal point in his Pastorale Symphony.
He faults the grand artiste for delaying the tonic pedal F until the dominant harmony (measure 5)
instead of allowing it to take hold during the preceding tonic, a correction that Ftis does not
hesitate to make. Though Beethovens transgression (faute) at rst caused astonishment
(tonnement) and a painful sensation (sentiment pnible), Ftis reports that his contemporaries
eventually accustomed themselves to it. (A typographical error E instead of C at the downbeat
of the penultimate measure has been corrected.)
2.21 Structural diagrams for 2.16, mm. 73103.

(a) The thirds EC and GE and the sixth EC (shown in open noteheads connected by slurs)
occur in a tonic context. The third BG occurs in a dominant context. The AFs third occurs
during a sequential passage that comes between the tonic and dominant.
(b) The extension of the nal third (BG) to F in measure 101 results in a melodic presentation of
the intervalle attractif BF, which Berlioz answers with a melodic presentation of its resolution, EC.
(c) This sketch shows the ascending contour of measures 73 through 103.
measures 86 through 90. A dominant ninth chord [2.19] over a tonic pedal
supports the neighbor. Though Ftiss example of tonic pedal [2.20] is
leaner than Berliozs concoction, his examples of dominant pedal reveal a
great tolerance for jarring combinations of pitches, such as Ab-C-Eb-Fs
against bass G.
55
56

In this example of succession retarde (suspension), the dominant chords B, D, and F extend into
the domain of the tonic that succeeds it.
2.23a Ftis: Trait complet de la thorie et de la pratique de la harmonie [1844], p. 129.

2.23b Structural diagram for 2.16, mm. 108110.
(a) The sustained sounds of pedal point are also sometimes employed in the middle and upper
voices. [Les sons soutenus en pdale sont aussi quelquefois employs dans les parties
intermdiaires ou suprieures.]
The GA(b)GFE motive works its way upwards: starting on A in

measure 94 and on B in measure 98 [2.21a]. The bass follows suit, reaching
D in measure 98 and E prematurely in measure 100. Berlioz prevents BG
from unfolding as fth and third of III, providing instead a context in which
the interval is understood as third and root of V (measure 101). The descent
extends to F. Finally a legitimate intervalle attractif (BF) [2.21b], denied us
in measure 85! In the following measure, nally a suspension resolution,
denied us in measure 86! (Ftis could have created his example of multiplepitch suspension [2.22] by consulting Berliozs measures 101 and 102.) The
c3 in measure 103 caps an upward arpeggiation of the tonic pitches: e2 in
measures 73 (itself the goal of the melodys local g1c2e2 arpeggiation), g2
in measure 84, and nally c3 in measure 103 [2.21c].
Diatonic and chromatic passing notes connect the tonic chords of measures 102 and 106. The cellos and contrabasses ll in the ascending third from
E to G, while the violas ll in C to E. Ftis provides an apt model for Berliozs
procedure [2.23a]. The dominant chords of measures 108 and 110 follow
suit in the descending direction, with three active voices [2.23b]. Even
2.24a Structural diagram for 2.16, mm. 102111.

2.24b Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 2, p. 276
(transposed).
(a) The pitches of | I | V7 | I | appear as open noteheads. Each lled-in notehead is a passing note
(diatonic or chromatic), a neighboring note, or a suspension. Regarding the analysis of measure
110, see 2.24b.
(b) Though the melody of measure 110 spans a diminished fth, it is analyzed in 2.24a as
F-E-D
two integrated thirds. Using Schenkerian terminology, D-C-B
(the analysis) unfolds to become
F-E-D
(the
melody).
A
similar
conception
is
lacking
in
Ftiss
Trait complet. Yet this intriguing
D-C-B
analysis by Simon Sechter, published a decade later, strongly supports such an interpretation: the
melodic thirds F-Eb-D and D-C-Bn (the rst ve pitches of his melody) represent appear statt
F-D
(instead of) the harmonic thirds D-Bn
, shown in the chordal version on the right.
wilder things were displayed in harmony treatises long before Berlioz wrote
his symphony. For example, Antoine-Joseph Reicha, whose students
included Berlioz, Liszt, and Franck, published a succession involving chromatic descent of a diminished seventh chord in all four voices in his Cours
de composition musicale [1816].32
An extension of the GAGFE motive [2.24a] coordinates with
these chromatic lines. GA occurs in the second violins in measures
103104. The A is picked up by the utes and rst violins in measure 105 and
then suspended over tonic in measure 106. Its resolution pitch G is delayed
until measure 108, over dominant harmony, followed by F in measures
109 and 110. Contrasting the motives typical closure on E, the line
now leads to C in the context of a perfect authentic cadence. In essence, the
original EFEDC motive and its GAGFE ospring here merge into
GAGFEDC.
57
Parallel and sequential progressions
Parallel motion in thirds or sixths

Strategies for determining chordal roots, symbols for indicating a chords
position within a key or function within a progression, and procedures for
segregating embellishing pitches from harmonic chord members are all
important components of the analytical process. Yet these techniques do not
tell us much about how and why one chord follows another. In fact, they
may inject a bias into our analytical deliberations, for they were developed
with certain chordal behaviors in mind. The contrasting behaviors characteristic of progressions that we explore in this chapter will not only alert us
to some of the lacunae in early analytical procedures, but also expand our
vista to include alternative analytical responses triggered by this broader
range of chordal motions.
Johann Georg Albrechtsberger, a distinguished composer who counted
Beethoven among his pupils in Vienna, launches two fast-paced lines in
coordinated ascent, each spanning an octave [3.1a, beat 1 to beat 3].
Their overall eect is to reinforce the tonic chord articulated at the
endpoints. Though scale-degree harmonic analysis is not employed in
Albrechtersbergers thoroughbass manual, his more progressive German
contemporary Portmann places the analytical Arabic numeral 1 (representing tonic in his scale-step theory) below the start of a similar ascent in
eighth notes.1 Observe that the tonic-chord pitches in Albrechtsbergers
progression do not always align [3.1b]. Alternative interpretations, with
a change of harmony at beat two [3.1cd], seem forced, at least when
sixteenth notes are involved and when articulation slurs are not provided.
Gottfried Weber makes similar observations concerning a pair of parallel descending lines [3.1e]. The nonalignment of P and Q within his
progression reects the unevenness of tonic-chord pitch distribution.
With the choice of allowing the nonalignment to persist or altering some
of the notes (for example, converting Webers Bs and As into eighth
notes) to form more ideal convergences, composers would often elect the
former. The harmonic label I in 3.1b suggesting that, despite the
variety of other pitch combinations that Albrechtsbergers ascent oers,
3.1a Albrechtsberger: Kurzgefate Methode den Generalba zu erlernen [ca. 1791], p. 6.
3.1b Structural diagram for 3.1a, opening.

3.1c An alternative to 3.1b.
3.1d Another alternative to 3.1b.
3.1e Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 3183032),
vol. 3, ex. 168 [Warner, p. 580].
3.1f Harbordt: Lehrbuch der Harmonie, Melodie und des doppelten Contrapuncts
[late eighteenth century].
(e) Webers preferred analysis concurs with 3.1b: he marks the tonic-chord pitches in each line
(Prinzipal, Terz, and Quinte) and refers to the other pitches as non-harmonic (harmoniefremd). In
a parenthetical remark he suggests something akin to 3.1c: unless indeed we choose to consider
[the F and A] as essential intervals of a transient F-harmony (vol. 3, p. 242). That he does not
also propose a transient G-harmony akin to 3.1d likely results from his progressions prolonged
bass C, alien to the G-harmonys B and D.
(f) Harbordt, a pupil of Portmann (whose functional analytical terms and symbols were
introduced in 1.11, above), penned this example about two-thirds through his manuscript
treatise, housed at the Library of Congress. (The pages are unnumbered.) Merging ascending and
descending lines in thirds, it nevertheless amounts to no more than a prolonged C
Primenharmonie.
59
60
tonic prevails as the harmonic focus of the entire passage concurs with
Gottfried Harbordts tonic interpretation of an even more varied concoction of simultaneous ascending and descending lines in thirds [3.1f].
Though none of the chords interior to Harbordts progression correspond
to tonic, and though they could be separately labeled D-F-B-D an
inverted Dominantenharmonie with absent root, E-G-A-C an inverted
Sextenharmonie with seventh, F-A-G-B an inverted Dominantenharmonie
with seventh and ninth, etc. Harbordt eschews that analytical strategy. His label c emanates from a potent alternative perspective, one based
on the conviction that not every chord corresponds to a distinct harmonic
event.
Like his contemporaries Albrechtsberger and Portmann, Daube is
fascinated by progressions in thirds. He comments on the use of parallel thirds in the vocal improvisational practice of the population at
large:
That the Greeks are said to have had no other harmony than just the unison, octave,
fourth and fth is dicult to believe, since progressions of thirds are so natural and
eortless in singing that frequently one hears people singing who have not studied
music at all and nevertheless know how to sing in thirds.2
Though Albrechtsbergers parallel progression in 3.1a is more virtuosic in

character, it stems from the same improvisational impulse.
Not all intervals are equally viable within a parallel progression.
Momignys explanation is characteristically colorful. Posing the question,
At what intervals may two melodies proceed together?, he rst displays
examples of two lines moving successfully in octaves, in thirds, and in sixths.
Then he presents lines moving in fths (mauvais bad), in fourths (plus
mauvais worse), in sevenths (dtestable wretchedly bad), and in seconds
(areux ghastly)!3
Of course, all this was enshrined within the extant thoroughbass tradition. Long before the principal manuals of the eighteenth century (such as
those by Johann David Heinichen and C. P. E. Bach) had appeared, Gottfried
Keller, a German musician working in England, penned parallel progressions of 63 chords [3.2]. Keller understands that placing thirds and sixths
above successive bass pitches achieves rich sonorities while avoiding parallel fths, which he prohibits.4 To reposition the notes of Kellers 63 chords to
form fths and thirds would seriously compromise the progression, as
Momigny attests.
Such parallel progressions t uncomfortably within the emerging
3.2 Keller: A Compleat Method, for Attaining to Play a Through [sic] Bass
[4ca. 171521], p. 5.
Composers (especially in few voices) may Compose as many Sixes either Ascending or
descending by degrees as they think t.

If the two upper parts are inverted, we would nd as many fths as there are fourths. The
insipidity of several fths is so diminished by inverting them, however, that we should not
attribute to the fourth that which aects only the fth and the octave.
harmonic perspective of the eighteenth century. Cognizant of the natural

order provided by the series of partials, Rameau asserts that adjacent fundamental pitches should relate by fth or third, or their inversions (corresponding to the partials represented by the low-integer ratios 2:3, 3:4, 4:5,
5:6, 5:8, etc.) not by second (8:9, 9:10, 15:16).5 The musician Rameau
understands that parallel progressions cannot simply be banished, so the
theorist Rameau contrives an explanation that falls within his systems
purview, despite its awkwardness. In a progression similar to Kellers,
Rameau analyzes the second and fourth chords straightforwardly as inversions [3.3a]. For example, E appears in the fundamental bass below the
chord G-B-E. In contrast, the rst, third, and fth chords are analyzed as
comprising the thirds, fths, and sevenths of chords with phantom roots that
are exposed only through analysis. For example, A-C-F is understood not as
derived from F53, but instead from D7. In this manner what would otherwise
be for him a frightful progression of descending fundamentals (FEDC
BA) is moderated at least in part. The ascending seconds (DE, BC) that
61
62
3.3b Sechter: Die Grundstze der musikalischen Komposition (18534), vol. 1, p. 86.
Whereas Rameau avoids the stepwise descent of fundamental-bass pitches FEDC. . . by
interpreting some 63 chords as incomplete seventh chords [3.3a], Sechter here avoids the
unpalatable analysis AGFE by interpolating an additional root between each pair of chords.
The sounding pitches become the fth, seventh, and ninth above an imaginary root, integrated
into the progression via a chain of fths (ADGCF. . .).
appear in his fundamental bass are interpreted as examples of the Cadence

rompu (broken cadence), his oft-invoked justication for ascendingsecond successions. The chordal sevenths (C in measure 1, A in measure
2, F in measure 3) are unprepared dissonances. Even scholars sympathetic
to Rameaus perspective may nd this analysis to be contorted and admit
that Rameau cannot t [the progression] into his cadence-oriented notion
of harmony.6
The motivation that fed Rameaus imagination was still reaping analytical
consequences in the Viennese theorist Sechters inuential Die Grundstze
der musikalischen Komposition (18534) [3.3b], where descending seconds
are interpreted as a contraction of two descending fths: AG in place of A
DG, for example. The contrast between Sechters and Harbordts [3.1f]
analyses epitomizes the extreme disparities that one may encounter among
nineteenth-century analytical views: ve chords with eight labels versus
eight chords with one label.
Alternatives to Rameaus view appeared on various fronts. On the one
hand, Vogler blithely proceeds in determining the fundamentals in a parallel progression strictly according to the stacked-thirds conguration of each
chord [3.4a]. IVIIVIV is for him a forthright and informative analysis.
On the other hand, Crotch leaves the internal chords of a similar progression unlabeled [3.4b]. Reicha oers a particularly intriguing analysis [3.4c]
that both sifts out numerous pitches within a parallel progression of six 63
chords and realigns those that he retains, a strategy consonant with the
relationship between 3.1a and 3.1b proposed above. Crotchs and Reichas
examples demonstrate the two principal roles of such progressions: to
connect two dierent harmonies (such as Crotchs do and sol or, I and V
in C Major) or to prolong a single harmony (such as Reichas B-major
dominant in E Major). Aware of the diversity of views on this topic,
Gottfried Weber endorses them all in his analysis of a progression like
Voglers:
3.4a Vogler: Handbuch zur Harmonielehre (1802), table XII, g. 4.

3.4b Crotch: Elements of Musical Composition (1812), plate 18, ex. 253.
(b) In the species of faburden [sic], called in this work a Succession of Sixes, the bass may
ascend or descend throughout the octave, in the major key, every note being accompanied with a
sixth and a third. . . . Such a succession is not considered as an inversion of triads (21830,
pp. 2930).
3.4c Reicha: Cours de composition musicale [ca. 1816], p. 269 [Bent, Music Analysis in
the Nineteenth Century (1994), vol. 1, p. 52].
VII
VI
versus
versus
VI
V.
He advises the analyst to select that mode of explanation which may be the
most natural, in the given circumstances.7
63
64
3.5a Beethoven: Sonata in C Major, op. 2, no. 3 (1795), mvmt. 4, mm. 18.
Observe Beethovens subtle intervention at the end of measure 2. The stepwise ascent of a tenth
might outline an interval of tonic, as in c2e3 or e1g2 (beginning of measure 1 to the end of 2), or
it might not, as in g1b2. Beethoven reinforces the tonic thrust of these measures by substituting c3
for b2 at the end of measure 2. No such alteration is required in measures 3 and 4 because the
dominants seventh appears in the chord. Rootthird, thirdfth, and fthseventh outlines (all
expanded into tenths) occur. The same sort of dominant prolongation (B7 in E Major) occurs in
the rst measure of 3.4c, where the connection is by descending sixths rather than ascending
tenths (B down, rather than up, to Ds, etc.).
3.5b Analysis of 3.5a, mm. 0/12 and 4/56.
Adopting the perspective of Crotch, Reicha, and Webers second option to

analyze a passage by Beethoven [3.5a], we observe that a large number of
chords are employed to project a few individual harmonies. Beethovens
melody arpeggiates the pitches of tonic (GCE) and of dominant (DGB)
[3.5b]. The CE and GB thirds are expanded into tenths, with passing notes
and their chordal support lling in the gaps. A harmonic interpretation of
these parallel progressions for example, Vogler might analyze the rst
measure as I VII I II III IV is just one among several ways of interpreting
such motions. A repudiation of Voglers perspective did not need to await
Schenkers arrival on the scene a century later, though his condemnation
of such thinking was indeed particularly vituperative and consequential.
Discerning analysts of Beethovens own time here represented by Crotch in

England, Reicha in France, and Weber in Germany sought alternatives to a
harmony-saturated perspective.
A parallel progression has a purity and no-nonsense simplicity that can
be very appealing if not overused. Of course, such motion is not exactly
parallel: though uniform interval sizes are usually retained throughout
such a progression, qualities generally will conform to the prevailing
tonality. (For example, both major and minor thirds and sixths appear
throughout the parallel passages in the phrase by Beethoven examined
above.)
A somewhat more complex sort of motion propels a sequence. Though
usually some of the voices will proceed by step as in a parallel progression,
at least one voice will engage in a contrasting trajectory, in a cycle that
repeats at a dierent pitch level every two chords. Sechter coincidentally
displays the relationship between parallel and sequential progressions in
3.3b. If treated as an actual four-voice sequential progression, the
examples upper three voices would proceed in parallel motion, with the
bass alternating descending fths and ascending fourths.
I call upon Sechter again to launch our investigation of the familiar
circle of descending fths sequence (or chain of fths, to borrow Sechters
more poetical term). Once we get our bearings, we will proceed by considering the following notion: that diatonic sequences may have held a
certain fascination for Baroque musicians, but by the nineteenth century
this interest had waned. (Or, more precisely, composers of the rst rank
would shun the unadorned sequences that still appeared regularly in
theory manuals.) Composers would often elect to modify a sequential
progression in some way, both to forestall tedium and to demonstrate
exceptional skill and creativity. Extending beyond an explanation of
how the chain of fths operates, I will show how composers such as
Schumann, Chopin, and Liszt made of it something unique and wonderful even to the extent of transforming it into what may appear to be
a parallel progression of forbidden intervals.
Chains of descending fths

Parallel progressions of 63 chords cover relatively small spans of musical
terrain. A chain (Kette) of descending fths, in contrast, cannot persist
beyond a few chords without exceeding the normative range of composition.
65
66
3.6 Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 13.
We now mention the possibility of letting the seven triads of the major scale progress in an
ordering similar to the cadence, where the fundamental leaps about by fth downward or by
fourth upward, namely:
Triad of the 1st scale step, that of the 4th, the 7th, the 3rd, the 6th, the 2nd, the 5th, the 1st
scale step.
[Und nun ist die Mglichkeit gegeben, die sieben Dreiklnge der Dur-Tonleiter in einer dem
Schlussfall hnlichen Ordnung, wo das Fundament um eine Quint abwrts oder eine Quart
aufwrts springt, folgen zu lassen, nmlich:
Dreiklang der 1ten Stufe, jener der 4ten, der 7ten, der 3ten, der 6ten, der 2ten, der 5ten, der 1ten Stufe.]
Thus such chains are generally realized as an alternation between descending fths and ascending fourths [3.6]. Several types of creative modication
are possible. In one of Sechters models a diatonic seventh is added to each
chord [3.7a]. Gottfried Weber (borrowing from Kirnberger) instead employs
inverted dominant seventh chords [3.7b]. Both authors provide a Romannumeral analysis. Sechters progression employs diatonic pitches only, and
thus his numerals correspond to the scale degrees of each chords root within
the operative key. Weber analyzes his chromaticism-intensied progression
as a series of thwarted dominants, each interpreted in a dierent key. He nds
continuity principally through his key choices: A Minor, D Minor, and G
Major are all closely allied to C Major. Analysis in A Major and D Major
would more accurately reect what actually occurs (A major and D major
chords appear in Webers second model, after all), but those keys do not reinforce the concluding tonic C Major.
Because Sechters examples contain only diatonic chords, the chains weak
link, dissonant FB, is called into service. Henri-Montan Berton, for many
years a professor at the Paris Conservatory, pursues the opposite priority:
employing only perfect fourths and fths, whatever the consequences may
be [3.8]. That, combined with a determination to make every seventh chord
a dominant seventh, results in chromatic lines falling in half-steps for an
entire octave. Tonic closure would be impossible without temperament.8
Bass Dbb must coincide with C. If, instead, perfectly tuned intervals
(descending fourth, ratio 3:4; descending fth, ratio 2:3; ascending fourth,
ratio 4:3) are employed, the ratio of the initial bass C and the concluding Dbb
would be 131072:531441, which exceeds a double octave. (A perfectly tuned
fteenth would be perceptibly smaller, with ratio 1:4, or 131072:524288.)
3.7a Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 19.
The chain of all the major scales seventh chords in succession is founded likewise on the natural
ordering of the cadence-emulating steps. One begins with the best of the seventh chords, namely
with that of the 5th scale step, and allows it to progress to the seventh chord, instead of to the
triad, of the 1st scale step, which is novel only in that the third above the 5th scale step does not
ascend, but holds over as the seventh of the 1st scale step. The seventh chord of the 1st scale step
will then proceed to the seventh chord, rather than the triad, of the 4th scale step. Then follows the
seventh chord of the 7th, then that of the 3rd, then that of the 6th, then that of the 2nd, then that of
the 5th scale step, which nally resolves itself in the triad of the 1st scale step, concluding the
protracted restlessness.
7
V
7
I
7
IV
7
VII
7
III
7
VI
7
II
7
V
3
I.
With the exception of the initial seventh on the 5th scale step, which has the freedom to enter
without preparation, all the subsequent sevenths in this chain are prepared and resolved properly,
as can be seen in the following example in ve voices.
[Die Kette aller Septaccorde der Dur-Tonleiter nach einander beruht auch auf der natrlichen
Ordnung der dem Schlussfall hnlichen Schritte. Man beginnt mit dem besten der Septaccorde,
nmlich mit jenem der 5ten Stufe, und lsst statt des Dreiklangs den Septaccord der 1ten Stufe
folgen, wozu weiter nichts Neues gehrt, als dass die Terz der 5ten Stufe nicht steigt, sondern als
Sept der 1ten Stufe bleibt. Der Septaccord der 1ten Stufe wird sodann statt in den Dreiklang der 4ten,
in den Septaccord derselben Stufe bergehen. Dann folgt der Septaccord der 7ten, dann jener der
3ten, dann jener der 6ten, dann jener der 2ten, dann jener der 5ten Stufe, welcher sich nach langer
Unruhe nun in den Dreiklang der 1ten Stufe auset.
7
V
7
I
7
IV
7
VII
7
III
7
VI
7
II
7
V
3
I.
In dieser Kette sind ausser der ersten Sept auf der 5ten Stufe, welche die Freiheit hat,
unvorbereitet einzutreten, alle folgenden Septen gehrig vorbereitet und aufgelset worden, wie
man in folgendem fnfstimmigen Beispiele sehen kann.]
Rameau cautions: We should not . . . stray too far from the initial key, and
as soon as an occasion to return arises, we should take advantage of it.9
The impetus that generates Bertons progression need not persist to the
end. A chain of descending fths may enter the terrain charted by Berton but
then, as Rameau advises, veer back to its diatonic foundations [3.9a]. The
location of the weak link (diminished fth or augmented fourth) may shift
as a result, or even be skipped over [3.9b]. This latter version corresponds to
a passage from Schumanns Sonata in Fs Minor [3.10a]. The concluding
links, CFsBEA, contract to become CEA. Rudolf Louis and Ludwig
67
68
3.7b Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 21824),
Juxtaposing two versions of the same progression, Weber displays how passing notes (marked in
the second example) can take over the full time value of their measures. Consequently the pitch
that resolves the preceding measures leading tone is elided. (This procedure is characteristic only
of the free style not the strict style.) The pitches of Webers example, though not the analysis, are
from Kirnbergers Die Kunst des reinen Satzes in der Musik (177179), vol. 1, pp. 8990 [Beach
and Thym, p. 108]. Other eighteenth-century authors, including Rameau, Marpurg, and Bthizy,
likewise were fascinated by this progression.
3.8 Berton: Trait dharmonie [1815], p. 134.

In Bertons chain of descending fths, each dominant seventh chord (7eme D:) except the last
proceeds not to its tonic but, like Webers in 3.7b, to another dominant seventh chord, through
successive interrupted perfect cadences (suites de Cadences parfaites interrompues). The
progression had long fascinated musicians. For example, it appears in Giorgio Antoniottos Larte
armonica; or, A Treatise on the Composition of Musick (London, 1760), plate 33, canon 48.
Antoniottos version is not accompanied by analysis, however, and he avoids Bertons provocative
double-at spellings by executing the enharmonic shift at Gb/Fs. Georg Friedrich Lingke does
employ these spellings in his Kurze Musiklehre (1779), p. 78. Sechter presents a similar
progression in Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 206. In his
version, minor chords and major-minor seventh chords appear in alternation:
a
D7
C7
Bb7
ds
Gs7
cs
Fs7
E7
a.
Each minor chord is understood initially as a tonic, but is reinterpreted as a supertonic (of minor,
rather than diminished, quality) in the minor key a whole step lower. Louis and Thuille follow a
similar strategy in 3.10b.
3.9a A chain of descending fths.

3.9b A variant of 3.9a, constructed to conform to 3.10a.
(a) This progressions opening closely resembles the rst six chords of Bertons model [3.8]. Its
bass and inner-voice lines are transpositions of the models bass and soprano lines, respectively.
After the bar line the progression no longer corresponds to Bertons model (which would
continue with bass notes F, Bb, Eb, Ab, . . .). Instead roots Fs, B, and E lead back to tonic A.
Observe that the chromaticism shifts the location of the bass diminished fth from its diatonic
position, DGs (47), to CnFs.
(b) Though 3.9a is presented as an abstract model derived from Berton, its construction was
guided by a passage from Schumanns Sonata in Fs Minor [3.10a]. Here further renements that
reveal Schumanns distinctive stamp are incorporated. One chord is added (in measure 120) and
two chords are deleted (in measure 123). Anticipations and chromatic passing notes, shown as
lled-in noteheads, embellish the basic structure.
Thuille, working in Munich at the beginning of the twentieth century,

analyze this music [3.10b] with a saturation of dominants rivaling Bertons.
Because not all of these chords contain sevenths, the primary analysis shows
only one key change per measure. The major-to-minor shifts in measures
121 through 123 provoke these modulations. The bracketed bottom line of
analysis increases the density of dominants, responding to the chromatic
alterations at the end of measures 121 and 122 so that, for example, the EbG-A-Cs augmented sixth chord (measure 121) is interpreted as a supertonic.10 That makes the following D-Fs-A come across as V.
Honor Franois Marie Langl, another member of the Paris
Conservatory faculty, shows how, through careful attention to chordal
inversion, the chromatic lines we observed in Bertons model [3.8] can be
positioned strategically in both outer voices [3.11a]. Charles-Simon Catel,
69
70
3.10a Schumann: Sonata in Fs Minor, op. 11 (1835), mvmt. 4, mm. 120125.
3.10b Louis and Thuille: Harmonielehre ([1907], 41913), p. 364.

Louis and Thuilles analysis presents a sophisticated application of the notion, also present in the
examples by Weber and Berton above, that successive chords within a chain of descending fths
may each function as a dominant. The bracketed G Minor and F Minor segments never achieve
their tonics; the parenthesized Bb Major (German B) segment never achieves even its dominant.
also employed at the Conservatory, ups the ante, showing how descending
chromatic lines may occur simultaneously in all four voices [3.11b]. Here
the resolutions are modied not only by elision [as in 3.7b] but also by the
substitution of diminished sevenths for dominant sevenths [3.11c]. Given
such precedents, it is not surprising that composers boldly expanded the
contexts in which chromaticism might ourish.
Both Chopin and Liszt employ ear-opening chromatic progressions that
derive ultimately from the same chain of descending fths, in ever more
imaginative transformations. Three operations transform the rudimentary
chain of 3.12a into 3.12b: (1) incorporating the passing seventh into the
initial statement of each chord (as did Weber in 3.7b); (2) adding chordal
ninths in the second chord of each measure, thereby transforming the
melodys whole steps into successions of half steps; and (3) adding chromatic passing notes in the tenor register. In 3.12c the dissonant ninths are
3.11a Langl: Trait de la basse sous le chant [ca. 1798], p. 138, ex. 69.
Among numerous examples of chromaticized sequences in Langls treatise is this alternation of
6
- and 42-position dominant seventh chords, with parallel chromatic lines in the outer voices.
5
3.11b Catel: Trait dharmonie [1802], p. 54.

By substituting diminished seventh for dominant seventh chords, Catel brings new life to the
chain of descending fths. A similar progression, without fundamental-bass analysis, appears with
attribution to J. S. Bach in Kirnbergers Die Kunst des reinen Satzes in der Musik (177179), vol. 1,
p. 132 [Beach and Thym, p. 148]. Compare Catels analysis with that of Macfarren [3.11d].
softened through the suppression of the roots (shown in parentheses), while

each chromatic passing note (shown as a lled-in notehead) takes over the
time value of its diatonic predecessor (compare with 3.9b). This selection of
pitches (root, third, fth, and seventh of the rst chord of each measure;
71
72
3.11c Three stages in the development of 3.11b, measure 2.

By eliding bass C and substituting Db for inner-voice C, two diminished seventh chords related by
half step occur in succession. They represent the fundamental-bass succession of a descending
fth: GC.
3.11d Macfarren: Six Lectures on Harmony (1867), p. 137.

Macfarren pursues a chromatic descent in diminished sevenths for nearly a full octave.
Only three spellings occur: all inversions of Fs-A-C-Eb are supertonic (s), all inversions of
B-D-F-Ab are dominant (d), and all inversions of E-G-Bb-Db are tonic (t) chords in C Major.
The roots D, G, and C, respectively, are all suppressed until the nal cadence. The Arabic
numbers indicate which chord components (with reference to the absent roots) appear in
the bass.
third, fth, seventh, and ninth of the second chord of each measure) corresponds to a passage from a mazurka by Chopin [3.12d]. A dierent selection of pitches (root, third, and fth of the rst chord of each measure; fth,
seventh, and ninth of the second chord of each measure) corresponds to a
passage from a composition by Liszt written a year or two later [3.12e].
Chopins example is both astonishing and dangerous: dangerous because
it appears to open the oodgates for parallel progressions of traditionally
prohibited intervals. (Recall that Momigny, also a resident of Paris,
characterized progressions of fths as mauvais bad and of sevenths as
dtestable wretchedly bad.) Its meticulous derivation from the chain of
fths counters that reading. The Cn that appears above bass Fn in the
excerpts rst measure, like Kirnbergers ninths [1.14a], is an incidental
pitch, substituting for B, whose third, Ds, Chopin spells as Eb (compare
with 3.12c); while the Fn is a chromatic passing note that asserts itself
3.12a A chain of descending fths.

3.12b Variant of 3.12a.
3.12c Variant of 3.12b.
(c) The interpretation of a seventh chord as a ninth chord with absent root is frequently
encountered in analyses, as in 1.6, chord 6; 1.11b, chord 3; 1.14a, passim; 1.15, chord 5; 2.5, chord
11; and 3.11d, passim.
3.12d Chopin: Mazurka in Cs Minor, op. 30, no. 4 (1837), mm. 129132.
Schenker addresses the mazurkas voice leading both in Kontrapunkt (191022; book 1, ex. 184)
and in Der freie Satz (1935, 21956, gure 546). He recomposes the passage to display his view of its
essence, as follows:
Cs
Fs
5,
Cn
Gb
4
Fn
5,
B
Fn
4
E
5,
Bb
E
4
Eb
5,
Though all but one of these pitches appear in 3.12b, Schenker endorses the opposite hierarchy.
For example, he regards the second chords elided Gb (Fs) as a bass suspension delaying a
structural Fn, rather than Fn as a chromatic passing note following a structural Fs.
73
74
3.12e Liszt: Il penseroso from Annes de Plerinage, Deuxime Anne: Italie

(183839), mm. 1719.
within the chord, rather than in its conventional position after the chord
sounds. These concurrent creative adjustments transform the normative BF#
perfect fourth [3.12a] into an Cn
perfect fth. The Fn also forms a minor
Fn
seventh with Eb. But, as mentioned above, Eb is an enharmonic respelling
of Ds, while Fn occurs in place of Fs. Thus the minor seventh Eb
is a substiFn
D#
tution for a major sixth F# [3.12a]. Though Liszts example is less extreme
there are no sevenths, and the judicious use of chordal inversion prevents
the direct succession of fths it too partakes of the chromatic intensity
that was so boldly proposed by theorists such as Berton [3.8] earlier in the
century.
One can almost imagine the expatriates Chopin and Liszt spending an
afternoon together in Paris, taking turns at the Pleyel churning out wilder
and wilder transformations of the humdrum circle of fths progression.
By then the notion that a chord could function with an absent root or
even an absent root and third had been bandied about for nearly a
hundred years [1.1, 1.6, 1.11b, 1.14a, 1.15, 1.16a, 1.16c]. These forwardlooking composers certainly put that idea to the test, bending the sequential principle so far that their progressions become indistinguishable in
sound from parallel progressions.
Analysts who advocated Roman- or Arabic-numeral scale-step analysis tended to apply numerals to all the chords of a sequence, while those
who did not tended simply to display a variety of sequential possibilities
in music notation, often including gured-bass numbers and perhaps
adding some brief commentary. The numeral analyses were often peculiar. Labeling thirteen consecutive chords using the same symbol, as does
Berton (or even four consecutive chords, as does Weber) may be modestly informative concerning each individual chords tendency, yet the
larger question where is this sequence leading us? is left unanswered.
Because sequential progressions are governed by a repetitive pattern,

their individual chords resist cogent analysis either according to scale
degree or function. But whereas in parallel progressions a numeral-saturated analysis [3.4a] seemed so obviously out of kilter that many
eschewed labeling each chord, a sequence usually contains elements, such
as a succession by descending fth within each cycle, that mimic nonsequential harmonic activity, thereby inducing a liberal application of
labels, sometimes with about as many key changes as chords [3.7b,
3.10b]. Of course, in the post-Schenkerian era alternatives to such saturation labeling and key-changing are more widely practiced and encouraged, making some of the more extreme of the early analyses seem more
bizarre now than they would have seemed to musicians of the nineteenth
century.
Just as artists generally kept drawings and engravings on hand as
models for a variety of visual compositional elements, composers
beneted from theory manuals that displayed a wide range of sequential
possibilities. At the turn of the nineteenth century, Langl distinguished
himself as an especially resourceful and creative guide in this domain.
Though his models may extend to the point of tedium, the skilled composer would know where to snip. We ask Langl to lead us as we investigate sequential progression by ascending fths.
Langls Tours de lharmonie

The excitement of taking a tour is not limited to physical travel. Literature,
drama, and painting give audiences panoramic impressions of a wider world.
In music the tour de lharmonie, an occasional feature in eighteenth-century
treatises, oers the opportunity to visit the various regions that constitute
the world of pitch. No one published more extensive itineraries for such
tours than did Honor Franois Marie Langl, a native of Monaco who
trained in Naples and eventually became a professor of harmony at the Paris
Conservatory.
A progression of ascending perfect fths touches on all twelve tonal
regions before returning to the initial tonic. Though few composers would
elect to follow such an exhaustive course to its end, Langl demonstrates that
it is feasible [3.13a]. As with physical travel, one soon forgets about home,
even if the itinerary ultimately leads back to where it starts. The bass succession must proceed without deviation. Altering the BFs perfect fth (the
third and fourth bass notes) and the corresponding chords to diatonic BF
would shorten the journey while limiting its scope to closely allied regions.
75
76
3.13ad Langl: Trait dharmonie et de modulation [ca. 1797], p. 57, ex. 4; p. 82,
ex. 41; pp. 8485, ex. 48 (two versions).
(a) Had Langl not undertaken an enharmonic shift (Eb minor substituting for Ds minor) the
nal chord would appear as GSBsDS rather than as ACE. Compare Langls model with
Bertons progression of descending fths [3.8], where the enharmonic day of reckoning is
postponed until the end.
(b) Here the twelve major keys are interspersed among the twelve minor keys, in alternation.
(c)(d) The antiseptic character of the preceding progressions is here disguised through the
insertion of cadences. These accretions, while making the progressions more palatable, expand
the models to such length (25 chords and 73 chords, respectively) that their viability for
unabridged application is compromised.
Langl instead forges ahead to the end of the world, from which return is
possible only if sharp notes are metamorphosed into at ones.
Langl oers an expanded itinerary encompassing both minor and
major tonal regions in alternation [3.13b]. Each melodic fth of the
earlier bass is here replaced by two thirds. Langl persists through the
3.14a Reicha: Cours de composition musicale [ca. 1816], p. 50.

Reichas modulations correspond to three steps within Langls progression of ascending thirds:
from E Minor (Mi mineur) to G Major (Sol), from G Major to B Minor (Si mineur), and from B
Minor to D Major (R). Reicha marks the dominant chords that instigate these shifts with a plus
sign (+). (Note the typographical error in the second dominant chord: the upper sharp should
appear beside the A notehead.) The fourth dominant leads directly back to E Minor.
3.14b Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 21824),
Weber pursues the progression of ascending thirds to its sixth chord, though with less
regimentation than does Langl. Weber proceeds from D through fs, A/a (!), C, and e to G. Langls
itinerary would have led to the more distant key of Gs Minor (via the route DfsAcsEgs).
twenty-fth chord, visiting every minor and every major tonal region along
the way.
Though these examples may prove their point, they do so with
dubious musical interest. That fault can be mitigated by fortifying each
arrival point with a cadence [3.13cd]. Though Langl here limits his
commentary to a caption stating with common nal cadences (par des
cadences nales simples), other authors supply greater analytical detail in
similar progressions. For example, Reicha reports each shift of key, while
Gottfried Weber additionally oers a detailed Roman-numeral analysis
[3.14ab].
77
78
3.15a Beethoven: March from Fidelio, op. 72 (180514), act 1.

3.15b Chords 64 through 70 of 3.13d.
(b) These seven chords from 3.13d (within the region marked by an ellipsis) are an expansion of
three chords from 3.13b, namely, Bb major, D minor, and F major. Keeping this perspective in mind
will help avert disorders in performing Beethovens March. Though positioned at a downbeat, the A
major chord of measure 4 should not be projected as an arrival point. It resolves to the midmeasure D minor chord. Likewise the C major chord in measure 5 resolves to the F major chord.
Since each of Langls examples encompasses either twelve or twenty-four

keys, it is of no consequence where one begins. In every case the sequential
progression, if pursued for long enough, will return to its chord of origin.
As Reicha and Weber demonstrate, however, even music theorists had little
patience for such a tedious endeavor run to its conclusion. They employ segments of the total progression to whisk them o to a new tonal region but
return via a quicker strategy.
In Beethovens stylish March from Fidelio, the chordal activity in measures 3 through 5 connects more stable regions in Bb Major and F Major at
the perimeters of the phrase [3.15a]. The chord choices are almost exactly
what Langls tour de lharmonie prescribes [3.15b]. (Beethovens Bn in
measure 4 is a chromatic inection of Langls Bb.) Like Weber [3.14b],

Beethoven devotes some time to establishing his initial key before proceeding on his journey. Whereas Langls model places the roots of the ascending thirds (or descending sixths) in the bass (BbDF), Beethoven places
ascending thirds (linking the fths of the Bb, D, and F triads) in the soprano:
F (measures 2 and 3), A (measure 4), and C (measure 5). This frees his
chords to assume a wider range of inversional congurations. Beethoven
exploits that potential by creating a bass line that descends by step, countering the soprano melodys ascent.
Straightforward and predictable patterns like those presented by Langl

were a part of the composers craft throughout the tonal era. In
Beethovens March a tour de lharmonie segment serves as the guiding
principle for several measures, after which an autonomous harmonic progression (F Major: I6VIII6V7I . . .) seamlessly takes over, prolonging
the goal key. Despite or perhaps because of their inherent repetitive
nature, composers will often intervene when traversing a tour de lharmonie. None of this chapters sequential progressions from compositions
have pursued their course without modication: Schumann injects chromaticism into several chords in 3.10a, Chopin and Liszt selectively omit
chordal members to create memorable voice-leading in 3.12de, and
Beethoven employs a chromatic inection (Bn) and creatively refashions
the outer-voice lines in 3.15a. Yet in each case a basic contour established
at the outset guides the continuation. This security and relative predictability contrast the dynamic of an autonomous harmonic progression, our topic in chapter 4.
Before proceeding to that discussion, let us consider one more category of sequence, the ascending 56, which Schubert employs in a
breathtaking way in Aus Heliopolis II. Like Chopin in the mazurka discussed above, Schubert in his lied so modies the basic workings of the
sequential progression that it eventually comes to resemble a highly
unorthodox parallel progression.
Schuberts transformation of the ascending 56 sequence

In a diatonic context the ascending 56 sequence will proceed on a gradual
upward course, with each diatonic scale degree serving as bass for both a 53
and a 63 chord, until the tonic triad returns. The complete tour de lharmonie
79
80
3.16a Langl: Trait de la basse sous le chant [ca. 1798], p. 208, ex. 20 (top).
Langl pursues the sequential progression from tonic C through dominant G, after which a
cadential progression concludes the example.
3.16b Langl: Trait dharmonie et de modulation [ca.1797], p. 83, ex. 46

(transposed).
In Langls unabridged example, the sequential progression traverses an entire octave twentyve chords in all and is followed by a four-measure cadential progression.
thus contains fteen chords, a length that risks tedium. Composers often
employ an abridgement of the full sequence. Langl demonstrates its use in
traversing the path from tonic to dominant [3.16a]. Perhaps even more
common is the span from I to I6, a six-chord segment. In the major mode
the six-chord segment possess an assertive momentum and appealing
brevity. IV follows naturally, and at that point the sequential operation will
often give way to an autonomous harmonic progression. In contrast, this
span of six chords is rather problematic in the minor mode [3.16a, chords
1 through 6]. First, the third chord is of diminished quality, dampening the
momentum a sequence is designed to achieve. (We will see later how Lampe
substitutes the lowered second scale degree in the bass to alleviate this
awkward moment [6.1].) Second, the fourth and fth chords so strongly
signal a mediant arrival that the sixth chord, if terminal, may seem more an
appendage of III than the return of I.
Langl shares Lampes instinct, mentioned parenthetically above: he
senses that bass C in the second chord of 3.16a could justiably proceed
to Db instead of to D. (Whereas D preserves the diatonic integrity of the
key, Db taps the potential for C-Eb-Ab to behave locally as a dominant.)
Unlike Lampes modest overhaul, however, Langls revision is substantial:

the half-step motion from C to Db becomes the template for each sequential cycle [3.16b]. Thus every pitch in the chromatic scale (in the soprano)
appears in two consecutive chords, and the complete tour de lharmonie is
thereby expanded to twenty-ve chords. (Langl unfurls the 63 chord of the
basic sequence cycle of 3.16a into the corresponding 53 chord in 3.16b: thus
C56 appears as C53 to Ab53. This is principally a voice-leading matter the prevention of parallel octaves that in no way aects the overall pitch content
or upward thrust of the sequence.) Traversing this sequence requires frequent enharmonic adjustments in the chordal spellings, without which the
twenty-fth chord would be spelled Abbbbbbbbb-Cbbbbbbbbb-Ebbbbbbbbb rather
than C-Eb-G.
Probably independently of any treatise, Schubert modies an ascending
56 sequence in a manner similar to Langls model for deployment in his
Aus Heliopolis II (D. 754), a setting of a text by Mayrhofer [3.17].11 In fact,
he ups the ante: whereas Langl employs consonant Ab-C-Eb to lead into Db
(the second and third chords of 3.16b), Schubert adds the chordal seventh:
C-Eb-Gb-Ab (3.17, measure 30). As is the case in Langls progression,
Schuberts Db chord is of minor quality: Db-Fb-Ab in measures 31 through
34. The sequence then continues its upward course in half steps with Db-FbAbb-Bbb (enharmonically respelled by Schubert as Cs-E-G-A) leading to
D-F-A (measures 35 through 38).
Then something unexpected happens. Langls sixth chord in 3.16b is
spelled Bb-D-F. Schubert concurs, again adding the minor seventh and presenting the pitches in 65 position: D-F-Ab-Bb (measure 39). But the expected
succession to Eb-Gb-Bb does not occur. Things begin to run amuck: one 65
chord leads into another. Despite some hesitation in measure 40, 65 chords
on D, Ds, and E occur in succession (measures 39 through 41), the last of
these nally resolving normatively to IV, which prepares the phrase-ending
V. Having initiated a sequential progression that is inherently plodding,
Schubert must confront a potential disaster: tedium is on the horizon. His
response is both assertive and ear-opening: he jettisons some of the sequential chordal content, as follows:
m.
2628 2930 3134 3536 3738 39

C53
C65
Db53
Cs65
D53
D65
x
39 x 41
5
Ds3 D#65 E53 E65
As a consequence of eliding the 53 components of these last cycles, what

remains appears to have morphed into a parallel progression of dissonant 65
chords, parallel fths included! The poetic text, which oers a set of prescriptions for leading a worthy life, is well served by a sequence that starts
81
82
3.17 Schubert: Aus Heliopolis II (D. 754), mm. 2647. Text by Johann Mayrhofer.
its ascent slowly and methodically. But as does a life that is thriving through
honorable pursuits, eventually the arduous becomes a joyous and energetic
striving ever upwards, and in the ethereal atmosphere of that higher order
of existence, the friction of earthbound life dwindles.
3.17 (cont.)
From a broad perspective, we understand that the sequential progression

connects the C minor tonic chord of measure 26 and the inverted C major
chord with minor seventh (nowadays often called V65 of IV) in measure 41.
Despite the chromatic inections, the addition of dissonance, the ascent via
half-steps, and the eventual breakdown of the sequential cycles, Schubert is
nevertheless following a long tradition of pursuing the sequence through
the diatonic models sixth chord.
Yet Schuberts creative impulse will not subside. As mentioned above, the
progression leads to V as goal in measure 42. Another initiative must commence to lead through V to I. At its outset (measure 43) Schubert backtracks,
but not all the way back to the root-position tonic (as in measure 26). Instead
he reinstates measure 41s E65 chord, the modied tonic. He then proceeds not
to IV, as before, but instead traverses the next two 65 chords in the elisionridden sequence: E65 F65 Fs65 (measures 4345). This Fs65 (nowadays often called
V65 of V) leads to V, which this time heralds the goal tonic of measure 47.
It was important for composers to understand the basic workings of
sequences and their variants. Langls treatises and others like them were a
83
84
convenient source of information and ideas. Yet the models presented in

textbooks are not in themselves works of art. The analyst, whose familiarity
with sequential progressions should rival that of the composers, must not
only sense which basic model grounds a sequential progression, but also be
cognizant of how the composer incorporates the progression, both in terms
of what part of the unabridged sequence is included and how it has been
altered. Certainly a composer of Schuberts talent could extract such patterns directly from existing scores without recourse to theoretical abstractions. But that was just the rst step: giving a sequential progression a
personal stamp through creative modication appears to have been as vital
to Schuberts artistic expression as it was to Chopins and Liszts. As a result,
we are the beneciaries of compositions that are both astonishing and
memorable, unlike anything one could nd in a harmony treatise.
Harmonic progression
The artistic progression of harmonic triads

Sorge, writing around the middle of the eighteenth century, claims that one
gradually comes to understand that all music is nothing but an arrangement of
one harmonic triad after another; and all that occurs therein is focused principally on its harmonic progression.1 For those who shared Sorges view,
attempts to clarify the principles governing harmonic progression would
constitute a primary goal of musical speculation. Composers, who daily
confronted the task of shaping cogent harmonic progressions, were a
primary audience for such eorts,2 though elite performers, who often put
notes together themselves in the form of improvisations, cadenzas, or their
own compositions, would likewise be receptive to clear prescriptions that
might enhance their artistry.
The extent to which any set of guidelines for harmonic progression could
succeed was itself a subject of dispute. In the early nineteenth century
Momigny asserts that the genius is guided by a natural and almost divine
instinct . . . in the absence of written laws3 and suggests that if the music
examples in a harmony treatise are of high quality it is likely because they
were composed by a ne musician, not because that musicians rules are particularly discerning. Such rules are almost always feeble or false.4 A century
later Heinrich Schenker, in Rameau or Beethoven? Rigidity or Spiritual
Vitality in Music?, charged Rameau and those who had built upon his foundations with misguided and detrimental notions of harmony:
There was something mechanical already in Rameaus basic musical outlook, because
he turned away from dynamic voice-leading principles; and from that initial wrong
turn a host of mechanical ideas has ensued . . . Where organic musical coherence
ought to have reigned there were only mechanical successions: Motives came and
went, . . . musical tones itted by without being certied through composing-out
(Auskomponierung). Indeed, the feeblest cookbook promises more coherence in its
recipes than do composition texts based on Rameaus musical outlook in theirs.5
If, following Schenkers precedent, many modern practitioners of analysis integrate harmonic thinking within a broader conception of musical
86
structure, basic questions of harmonic progression nevertheless remain at

the forefront of our pedagogical and analytical enterprises, and notions
propagated centuries ago echo still today. One wonders, though, how
common it was for practitioners to map out in any systematic way a harmonic perspective for compositions under consideration. We must be cautious to read a historical treatise as documentation of what its author
suggested his readers should think rather than as conrmation of what they
did think.6 And, as Schenker reminds us, the gap between the thinking of a
Beethoven and that of a treatise author may be wider than that between the
author and his readers. As Dahlhaus muses, how musical works are interpreted analytically . . . is a process that never achieves closure, in that the
current state of composition inspires the detection of technical facts that do
not cease to be facts even if none of the composers contemporaries noticed
them.7
Compared with parallel and sequential progressions, autonomous harmonic progressions are characterized by considerably greater variety and
unpredictability, and thus greater challenge to the composer and analyst.
From any point within such a progression, many continuations are possible. This state of aairs could lead to creative composition of a very high
order, at least among Momignys genius composers. Yet potent theoretical explications were not so readily forthcoming. In fact, in the early nineteenth century discussion of chord progression usually amounts to little
more than the consideration of two-chord successions.
The prescriptions for proper chord succession explored below suggest
that edgling composers could nd some sensible advice, if they knew
where to look. But unwieldy or indierent formulations were on hand as
well. In addition, we must keep in mind that our notion of nineteenthcentury repertoire is not a representative sampling of what actually was
heard at the time. For example, a number of harmony instructors at the
Paris Conservatory were prominent composers of operas. Their theories
probably coordinate much better with the Parisian fare of their time
than it does with the more rareed repertoire that now constitutes early
nineteenth-century music for many serious music lovers.
Rankings of chord successions

The enterprise of harmonic analysis asks practitioners to make judgments
concerning the merits of various successions. For example, encountering
an ascending-second root succession, such as GA in C Major, might

induce more analytical urry than encountering a descending-fth root
succession, such as GC. Though both may function in cadential roles, only
GC follows a descending path (from third to second partial) within the
Nature-ordained harmonic series. How an event is processed depends
upon the operative analytical precepts. GA might be regarded as motion
by ascending major second, where the interval between roots is the critical
factor. Or, it could be regarded as motion to a triad that shares no common
tones, perhaps inducing the insertion of an imagined linking chord within
the analysis. Or, as motion from scale degree 5 to scale degree 6, which
might be viewed more favorably than some other ascending-second
motions.
Notions of harmonic sense emanated either from abstract theorizing
(much of it acoustically derived) or from observation of compositional
practice. From the latter, Gottfried Weber concludes that no class of harmonic successions admits of being pronounced good or bad universally,
none can be approved or reprobated in the gross.8 He posits that there are
in all 6888 possible successions, and that the bad eect of some could be mitigated by employing a somewhat slower grade of time; for, in this case, the
ear has more time to comprehend, digest and reconcile itself to the succession, though the latter be in itself rather foreign and unnatural.9 Berton, in
contrast, presents a systematically arranged collection of two-chord successions, each awarded the rating bon (good) or mal (bad), in a voluminous
supplement to his Trait dharmonie [1815].10 He evaluates motion from
one chord in 53 position to another chord in 53 position, with stationary bass
or with bass ascending or descending by second, third, or fourth. (All of
these are bon.) Then he repeats the procedure for a chord in 53 position followed by one in 63 position. Then every other chord in his rmament serves
5 4
as the second chord: 46, 45, 25, 47, 9, 70 (= doubled root, third, and seventh), 60, 59 and
on and on. Once that cycle is complete each other chord takes its turn at the
head of the succession. On occasion Berton species a preferred pair of scale
degrees for the succession (e.g., Chiey from the 6th to the 5th degree [Surtout du 6eme au 5eme dgr]), thus softening the rigidity of his crude
thumbs-up/thumbs-down evaluation system. The eect is daunting, suggesting that acquiring harmonic sense requires a monstrous task of memorization and that the purview of such thinking need never extend beyond
two adjacent chords.
Other authors focus on the more limited number of scale-step successions, without the added dimensions of inversion and dissonant chordal
constructions: for example, from a chord rooted on the fourth scale
87
88
degree, where might one proceed? Crotch, in 1812, starts from a foundation of six Simple Diatonic Successions (up or down a fourth, third, or
second). He may rule out a succession either if the continuation chord is
dissonant (as in an ascending fourth from the fourth scale degree) or if a
succession is peculiar to ancient music and thus to be avoided unless
writing professedly in the church style (as in an ascending third or a
descending second from the fourth scale degree).11 Crotch ends up endorsing only IVI, IVII, and IVV (translating his symbols into Roman
numerals).
Two decades later Jelensperger oers a more variegated (though still
manageable) perspective to his French and German readers. First he divides
all root successions into two basic classes:
Successions of the First Order:
Successions of the Second

Order:
Ascending Fourth (Descending Fifth)

Ascending Fifth (Descending Fourth)
Ascending Sixth (Descending Third)
Ascending Second (Descending
Seventh)
Ascending Seventh (Descending
Second)
Ascending Third (Descending
Sixth)
Jelensperger then proceeds to rank all seven successions of major-key diatonic chords within each of his six diatonic categories [4.1]. 51 is preeminent among the Ascending Fourth successions, while 73 is least
favored. 21 (his example shows supertonic followed by what many now
call a cadential 64) leads the list of Ascending Seventh successions, which
concludes with 76. The grids diagonal construction positions the fortytwo entries within twelve horizontal bands, thereby correlating successions of varying sizes. For example, the successions 42, 41, and 25
appear side by side, indicating an equal ranking. After devoting special
attention to 12 and 61, he suggests: For the other successions above the
center, the realization is arbitrary enough, but for those below, they are
very fragile and demand almost always, and particularly those of the
second order, that their second chord be in the rst inversion.12
Jelensperger notes with satisfaction that one of his examples contains six
successions of an Ascending Fourth, four of an Ascending Fifth, and one
of an Ascending Secondten successions from the First Order and one
from the Second Order [4.2].13
pa
ua
rq
"
"
rte
"
su
c
/= seco cess
== n io
== d o ns d
== rdr e
== e
/\
"
ns
io
cc
Su
s
p ucc
/= rem essi
== ier on
== or s d
== dre e
==
/\
re
"
te
six
p
su
te
in
qu
"
"
"
"
--
"
--
"
--
pt
se
"
e
"
nd
co
e
se
im
"
---
e
rc
tie
--
51
15
--
42
14
41
25
"
---
45
---
21
61
16
56
65
52
64
12
62
26
53
36
63
47
-----------------------------------------------24
54
35
34
43
46
31
23
32
13
74
75
71
17
57
73
37
27
67
76
72

p. 30 [Hser, p. 22].
All forty-two diatonic successions are ranked both among successions of the same interval (read
from upper left to lower right) and in relation to successions of other intervals (read
horizontally).

pp. 25, 31 [Hser, pp. 17, 23].
Jelenspergers practice of indicating the scale degrees of chordal roots below the bass is here
supplemented by an indication of the interval formed by each adjacent pair of roots. (All intervals
are calculated as ascending.)
89
90
Whether we think in terms of Webers 6,888 or Jelenspergers forty-two

chord successions, certainly the more dierent entities a system accommodates, the more complex the task of assessing their possible interactions becomes. Though some authors are so intrigued by chordal
inversions and added dissonances that they become mired in their
myriad categories, any scale-step perspective inherently must come to
terms with a considerable number of chord successions: at the very least,
forty-two, as in Jelenspergers chart of the succession from each of the
seven scale degrees to the other six [4.1].
A functional perspective has an advantage in this regard. With a greater
variety of chords falling within a single category, the analyst needs to
account for fewer successions from one category to another. Portmanns
system, based on four diatonic and two chromatic Grundharmonien
(introduced on pp. 1213, above), includes particularly elegant and
useful remarks on chord succession. Because the scale-step systems III
falls within the same functional category as I, and because VII and even
II fall within the same category as V, the number of distinct diatonic successions is quite limited in Portmanns system to just twelve successions,
nine of which are wholeheartedly endorsed, two permitted with restriction, and one forbidden. (Readers familiar with Riemanns functional
system should note some interesting dierences, especially the alignment
of diatonic scale-step II with the dominant rather than the subdominant.) Formulated in the 1780s and 1790s, Portmanns no-nonsense rules
are much easier to absorb than Jelenspergers multi-tiered chart. They
demonstrate that he took the task of establishing normative patterns of
chords succession far more seriously than did Weber, whose bandying
about of the number 6,888 may seem impressive, though ultimately it
fails to account for the norms of harmonic practice in his era.
We thus turn our attention now to Portmanns sage advice. Because his
chord names and their complete pitch content may seem daunting, a
simplied table of chord relations using modern terminology is provided
opposite as a guide for the following discussion.
Portmanns rules of succession

In that Portmanns collection of functional harmonic entities (see pp. 1213,
above) diers from that of scale-step analysts, we should expect from him a
similarly novel treatment of harmonic succession. Whereas Jelenspergers
seven diatonic chords generate forty-two possible successions, Portmanns
Note:
Tonica
Tonic
Tonic
Permitted to:
only when both chords are consonant.
Tonic
Submediant
Subdominant
Dominant
V/V
V/V over V pedal
From:
Submedianta
Submediant
Submediant
Subdominant
Subdominant
Dominant
Dominant
Dominant
Dominant
Dominant
V/V
V/V
V/V
V/V
V/V over V pedal

V/V over V pedal
92
harmonic universe is more compact. Jelenspergers 1 and 3 are both manifestations of Portmanns Hauptprimenharmonie, while 5, 7, and even 2 correspond to his Dominantenharmonie. Thus Portmann can focus on the
twelve successions of only four diatonic entities. His two remaining
Grundharmonien both contain the raised fourth scale degree, placing them
decisively within the orbit of the dominant.
Portmanns prescriptions concerning harmonic succession may be summarized as follows.14
From the Hauptprimenharmonie

[e.g., C Major: C e g b d f a; A Minor: A c e gs b d f]
A succession to a chord of the Sextenharmonie is always possible, as is one
to a chord of the Quartenharmonie, Dominantenharmonie, or Wechseldominantenharmonie. A chord of the Doppeldominantenharmonie is not a
suitable successor.
From the Sextenharmonie

[e.g., C Major: A c e g b d f; A Minor: F a c e gs b d]
A succession to a chord of the Hauptprimenharmonie is generally
avoided, though an exception can be made if both chords are consonant.
That to a chord of the Quartenharmonie, Dominantenharmonie, or Wechseldominantenharmonie is always possible. A chord of the Doppeldominantenharmonie is not a suitable successor.
From the Quartenharmonie

[e.g., C Major: F a c e g b d; A Minor: D f a c e gs b]
A succession to a chord of the Hauptprimenharmonie is always acceptable,
but not to a chord of the Sextenharmonie, though an exception can be made
if both chords are consonant. A chord of the Dominantenharmonie is a suitable successor, as is a chord of the Wechseldominantenharmonie. A chord of
the Doppeldominantenharmonie is not a suitable successor.
From the Dominantenharmonie

[e.g., C Major: G b d f a c e; A Minor: E gs b d f a c]
A succession to a chord of either the Wechseldominantenharmonie or
the Doppeldominantenharmonie is possible, as is that to a chord of the
Hauptprimenharmonie or the Sextenharmonie. A chord of the Quartenharmonie is not a suitable successor.
From the Wechseldominantenharmonie

[e.g., C Major: D fs a c e g b; A Minor: B ds f a c e g (in inversion only)]
This chord corresponds to V of V in major keys and the augmented sixth
chords in minor keys. A succession to a chord of the Dominantenharmonie
or to a chord of the Doppeldominantenharmonie is possible. A chord of the
Hauptprimenharmonie, Sextenharmonie, or Quartenharmonie is not a suitable successor.
From the Doppeldominantenharmonie

[e.g., C Major: G b d fs a c e; A Minor: E gs b ds f a c]
This chord merges components of the Dominantenharmonie and
Wechseldominantenharmonie. It is employed chiey during a pedal
point. The principal goal of succession is to a chord of the Dominantenharmonie. Neither a chord of the Wechseldominantenharmonie, the
Hauptprimenharmonie, the Sextenharmonie, nor the Quartenharmonie is a
suitable successor.
An instructive example of how such prescriptions aect analytical practice occurs in 1.11b. After an initial tonic-to-dominant succession (c g),
G-B-D-F is reinterpreted as an augmented sixth chord (c , = Cs-Es-G-B-D,
with absent root) in B Minor. As a representative of the minor-key
Wechseldominantenharmonie, the dominant but not tonic is a suitable
successor. When Fs-B-D in fact occurs next, Portmann rejects tonic as its
analysis, instead regarding Fs, B, and D as the root, eleventh, and thirteenth
.,
of the Dominantenharmonie (f ) with B and D resolving to As and Cs,
respectively, later in the measure.
We depart the domain of Funktionstheorie, with its clear and sensible perspective on chord succession (at least as articulated by Portmann), for the
more variegated and less easily codied terrain of Stufentheorie. While
acknowledging that nineteenth-century conceptions are of limited scope
and imperfectly reect the practices of composers, we nevertheless
undertake a brief survey to assay the state of aairs during that auspicious era of composition, taking for granted that the most able practitioners would transcend any textbook prescriptions. We proceed
93
94
according to the three traditional categories of motion: by fth, by third,

and by step.
The elite status of the fth is announced in its qualitative designation:
perfect. When representing the fth, the fourth shares in that status. Thus
an ascending or descending fourth may appear in place of a descending
or ascending fth in a progression without altering its harmonic
meaning. In such contexts both intervals function as consonances. In
contrast, the fourth that precedes the third in a 43 suspension is dissonant. Though we generally use the label perfect fourth in both contexts,
recall that Portmann and Koch regard the latter not as an inversion of a
fth or as a consonance, but as a dissonant eleventh above the root.
The low-integer ratios of the fth and fourth (2:3 and 3:4, respectively)
were regarded by many as Natures endorsement of their primary roles in
musical composition. Such assurance, such conviction of rightness and
inevitability, was retained throughout the eighteenth and well into the
nineteenth century. In that context, Webers assertion that any chord may
lead to any other chord likely struck some as heresy.
Thus the paeans to motion by fth, to which we now direct our attention, sometimes take on a zealous character. Roots separated by fth
oered a tried-and-true formula for compositional development that
none of the authors cited could have imagined would be so thoroughly
undermined in a later phase of musics history.
The privileged fth

In acoustically oriented approaches to chord succession, root motion by fth
enjoys a favored status. Only the octave is more conrmative in Natures
scheme. (Momigny in fact labels the descending octave as a cadence compltive ou conrmative.) Yet the 2:1 octave produces merely the continuation of
an existing harmony, rather than a succession from one harmony to another.
The 3:2 ratio of the perfect fth suggests that the most basic harmonic means
of intensifying musical activity is through root motion of an ascending fth,
while a step towards closure is through root motion of a descending fth.
Though IV and VI represent the prime instances of these tendencies, the
principle is applicable elsewhere within the tonal landscape as well: for
example, VII leads away from closure, while IIV leads towards closure.
Though initially Rameau was unaware of partials, he became cognizant
of the order they impart through experiments with vibrating strings, from
which the numerical ratios of acoustics can be formulated empirically. (For
example, if a string is divided in half, the segment will vibrate twice as fast
as the entire string and thus sound an octave higher; likewise the second
partial or rst overtone vibrates twice as fast as the fundamental.) He
announces his perspective at the outset:
Music is a science which should have denite rules; these rules should be drawn
from an evident principle; and this principle cannot really be known to us without
the aid of mathematics. Notwithstanding all the experience I may have acquired in
music from being associated with it for so long, I must confess that only with the aid
of mathematics did my ideas become clear and did light replace a certain obscurity
of which I was unaware before.15
Just as some authors sought irrefutability through an alliance with God,16

Rameau invokes the god of Science. Though he asserts that the
fundamental-bass succession of a descending fth (or ascending fourth),
forming a cadence parfaite, should be used to end a progression, Rameau
otherwise endorses a range of possibilities: We should now be able to
compose a bass in whatever manner we judge appropriate; as long as it
begins and ends with the note Do, it may proceed by any consonant intervals at all . . . The note Si should be avoided in the bass, however . . . The
arrangement of the bass depends only on fancy and taste.17
Rameau becomes more prescriptive when assessing the impact of chordal
dissonances: Remember that after a seventh chord the fundamental bass
should always descend a fth. In this way the dissonant chord dominates
the chord which follows it. The major dissonance (the chordal third) and
minor dissonance (the chordal seventh) propel the motion. Clearly Rameau
favors motion by descending fth: This bass should contain as many
perfect cadences as possible.18 (The term cadence, in Rameaus usage, is
not restricted to the succession that ends a phrase.) The reverse motion by
ascending fth characterizes the cadence irrguliere. (See 1.18.) Here, too,
dissonance propels the progression, as in F-A-C-D proceeding to C-E-G,
with fundamental bass FC.19 In this case the dissonance is the sixth, and its
normative resolution is upward: D to E.
Dissonance, sometimes assumed when not literally present, is thus a pervasive and powerful force in Rameaus conception of harmonic succession.
In an example in which only the fth and its inversion occur between adjacent pitches of the fundamental-bass progression [4.3], every bass F supports dissonance D, which resolves upward by step; and every bass G
supports major dissonance B, which resolves upward by step, and minor dissonance F, which resolves downward by step. The fth, the favored interval
within chords, is also the favored interval between roots.
95
96
4.3 Rameau, Trait de lharmonie (1722), p. 222 and Supplement, p. 14 [Gossett,

p. 243].
Whereas the Basse-Continue (the second-lowest sta) moves by step, the analytical
Basse-Fondamentale (lowest sta) is a progression of fourths and fths.
Lampe privileges motion by fth as well:

The Scholar . . . should now learn how to proceed from one Cord to another and
properly to vary their Harmonies, and to do this, he must learn in what manner
Cords are related to one another, the sixth Example [4.4a] shews what dierent
Relations a Cord may have.
. . . and in like Manner are all other Cords related to one another by Thirds or
Fifths; therefore the Scholar must be taught, how to distinguish what the rst and
nearest Relation to a ground Note is, which is the fth Note of any Cord . . . I think
I need make no farther Explaination, therefore let him now learn to move the Parts
regularly, when these relative Cords succeed one another, and for this Purpose, let
him practise the Seventh Example [4.4b].20
Though Lampes chart of relatedness [4.4a] would seem to place thirdrelated triads as rst and nearest to a given triad, he suggests that the fth,
not the third, is the closest relation. (In fact, revisiting this topic in The Art
of Musick (1740), he revises his example to show only the F, C, and G
triads.21) Some hint of his motivation comes from his music example [4.4b],
wherein motion by fth occurs without thirds, but motion by third occurs
only in a context that also includes fths. The two fth-related chords that
ank the tonic are among the principal harmonies of a key: Here the
Cord of the fourth Note to the Key makes as well a principal Harmony to its
4.4a, b Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737),
plate 4 (adjacent to p. 21), exs. VI and VII.
(b) Lampe presents these progressions in other versions as well, varying the starting positions of
the melodic lines.
Key, as the Cord of the Fifth Note to the Key, because the Relation of the Key
and its fourth Cord is of the same Nature as the Relation of the fth Cord to
its Key Cord.22
Lampes rst keyboard Lesson for practice is the succession
Key note . . . 4th . . . K . . . 5th . . . K,
presented in eleven major and eleven minor keys.23 His penchant for
fth-related roots extends beyond this domain, however. For example, it
controls the behavior of the chord on the second scale degree: Here it may
be seen, that the Cord of the second Note to the Key, is succeeded by
its nearest related, the Cord of the fth Note to the Key, to which it is a
preceeding Fifth Cord, and therefore is sounded with the Seventh, and
for which Reason the Figures of 65 are placed over the fourth Note to the
Key.24
Kirnberger is of the same opinion: Two successive chords can have a
close association by the relationship of their roots. We know that every note
carries with it the feeling of its fth, and that in general the transition from
one note to another is easier the better these notes harmonize with one
97
98
another. Thus the progression from one root to another is easiest through
consonant leaps, i.e., fths, fourths, and thirds.25 He demonstrates how
motion from dominant to tonic (the nal cadence or principal close)
and, in a somewhat less perfect guise, from subdominant to tonic are particularly suited to cadential eects at the end of a composition. In fact, when
the latter follows the former, a double cadence results. In a similar formulation, Vogler regards the three principal cadences as VI, IV, and IVI.26
The rst two are suitable for use in minor keys as well, so long as the dominants third is raised.
Sechter inaugurates his discussion of harmonic succession by extending
the descending-fth principle from VI to all other positions in the key.
Among ascending-fth successions, he sanctions only three in major keys:
IV, IVI, and VIIII. VIIIV is faulty because VIIs dissonant fth does not
resolve. (A common tone would occur instead.) Sechters conception of II
as dissonant27 likewise prevents motion to VI, for IIs fth would lack resolution. IIIVII and VII are faulty because the dissonant fths of VII and II
are not prepared.
Next we consider succession by third. Our examples thus far, admittedly
not a random sampling, contain few such successions. Some of these,
such as CA in the fundamental bass of 2.1a or FD in that of 2.6, are
analytically generated rather than part of the sonic experience of the
progression. Whereas these analyses add third-successions when they
do not actually sound, Portmanns functional system tends to delete
some third-successions: the distinct tonic and mediant chords of the
scale-step system both fall within Portmanns Hauptprimenharmonie category, while the dominant and leading tone chords fall within his
Dominantenharmonie category. (See p. 13.) That analysts could add or
delete a third-succession at will suggests a non-assertive character, contrasting the more distinctive and dynamic connections of root motion by
fth and by second.
Succession by third
Momignys distillation of cadential harmonic motion is represented numerically by his sacr quaternaire (sacred quaternary): 4 3 2 1. The 4:3 ratio
(descending fourth) corresponds to the cadence imparfaite (Rameaus
cadence irrguliere), the 3:2 ratio (descending fth) to the cadence parfaite,
and the 2:1 ratio (descending octave) to the cadence compltive ou
4.5a Asioli: Trattato darmonia e daccompagnamento [1813], p. 37.

Asiolis use of T for Tonica is akin to Lampes use of K for Key Note [1.1]. The diminished
chord at 7a. is tolerated (tollerati).
4.5b Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 13.
Though descending thirds are employed freely, the fth plays a critical role at the cadence
(Schluss).
comrmative. Only with the number 5 does succession by major third (5:4)
emerge, while 6 is required for the minor third (6:5). These numbers are too
far up the series to produce strong cadential eects, yet not so far as to be
problematical for lesser harmonic motions. Though lacking the special
cachet of motion by fth, motion by third generally was regarded in a favorable light. In fact, Momigny sanctions progressions of nothing but thirds:
CEGBDFAC
or
CAFDBGEC,
thereby omitting a cadence derived from his sacr quaternaire. A similar

demonstration by Bonifazio Asioli includes both fundamental-bass and
numerical analyses [4.5a]. Sechter, in contrast, caps such a progression with
a more conventional close [4.5b].
Sechters stance accords with that elaborated by Rameau more than a
century earlier: Since the fth is constructed of two thirds, the bass, in order
to hold the listener in an agreeable state of suspense, may be made to
proceed by one or several thirds, and consequently by the sixths which
represent these thirds. All cadences, however, are reserved for the fth alone
and for the fourth which represents it. Thus, the entire progression of the
99
100
fundamental bass should involve only these consonances.28 Motion by

third inevitably results in multiple common tones between chords [4.4a].
The art of chord progression balances the greater continuity between adjacent chords that results from progression by thirds with the greater cadential force that results from progression by fths.
With thirds, the direction of motion is a more signicant factor than with
fths or seconds. Crotch banishes ascending-third motions to the domain of
ancient music.29 In Jelenspergers chart [4.1], both ascending fths and
descending fths (ascending fourths) are ranked as rst-order successions
and both ascending seconds and descending seconds (ascending sevenths) as
second-order successions. In contrast, the ranking of the descending third
(ascending sixth) does not correlate with that of the ascending third. In fact,
61 is the only ascending third that manages to poke above his dotted line
separating the more common successions from those that warrant special
attention (such as presenting the second chord in inversion) when employed.
Only when one proceeds upwards into the next octave of partials does
one encounter seconds, which are well represented from the eighth
partial onwards. (Their diverse sizes are smoothed out when equal temperament is employed. For example, the ratios 9:8 and 10:9 both correspond to major seconds. The former interval is shrunk a bit and the latter
is expanded a bit when each half-step is dened as one-twelfth of an
octave.) Compared with fths and thirds, seconds are remote from the
fundamental. That should make them less common in usage than successions by third.
But that is not the case. How could successions as common as III,
IVV, or VVI be regarded as inferior? Since that was out of the question,
a new analytical project emerged: how can one justify successions by
second, despite their seemingly weak pedigree? This is a topic about
which many had something to say. Lets listen in.
Succession by second
Unlike chords separated by a fth or a third, two triads a second apart lack
the kinship of common tones. Succession by second involves the concurrent
shift of all chord components, a situation that might warrant its avoidance
or, at least, some mental maneuvering to recast the succession as something
other than what it appears to be. Rameau propounds the aesthetic ideal that

Rameaus example is based on an ascending and descending octave scale in the bass (bassecontinue). His selection of fundamental-bass pitches generates two chordal sevenths that do not
sound in the actual music: G (seventh against imagined A) in measure 2 and C (seventh against
imagined D) in measure 3. Curiously, neither of these sevenths resolves downward by step,
whereas all of the chordal sevenths within the sounding progression do: F in measure 1, C in
measure 2, F in measure 4, C in measure 6, F in measure 7, and F in measure 8.
each sound will . . . harmonize with the sound preceding it.30 Succession
by second lacks such harmoniousness.
Rameau reminds his readers of Zarlinos prescription regarding bass progressions: the composer should make [the bass] proceed by movements
which are rather slower and more separated, i.e., more spread out, than
those of the other parts.31 Rameau transfers this prescription from bass to
fundamental bass. Justication for ascending-second motion, when it does
occur, takes one of two forms. First, one may interrupt a perfect cadence,
creating a cadence rompu (broken or deceptive cadence). Without disturbing the upward resolution of a dominants leading tone or the downward
resolution of its seventh, the resolution chords sixth may sound instead of
its fth. For example, A may sound in place of G in the C chord of a G7C
succession. C remains the true fundamental sound, Rameau asserts, assuring his readers that there is nothing harsh in this alteration.32 Second, one
may mentally interpolate a bass pitch between second-related roots.33 An
ascent from C to D may be understood as C descending to A, then A ascending to D [4.6, measure 2]. In a related strategy, what may seem to be a stepwise succession GFG [4.6, measures 3 and 4] may be interpreted as
GD7G, with D7 represented by its third, fth, and seventh.
101
102
4.7 Kirnberger: Die Kunst des reinen Satzes in der Musik (177179), vol. 1, pp. 62, 66
[Beach and Thym, pp. 82, 85].
Each seventh above a sounding bass pitch in these examples is unauthentic because the bass
does not move by descending fth. (See page 39, above.) In each case the seventh is formed by the
third and ninth of a chord rooted a third below the sounding bass. These ninths are incidental
dissonances because they could resolve within the same chord, even if (as in 4.7a, c, d) they do
not. Root succession by ascending second (such as FG in 2.5, CD in 4.7c, and DE in 4.7d) is
unproblematic for Kirnberger so long as it does not coincide with the resolution of a dissonance.
Kirnbergers conception, though related to Rameaus, is more nuanced

in its treatment of dissonance. When a dominant resolves to tonic (for
example, G7C), the dominants seventh (F) is an essential dissonance
whose resolution pitch (E) occurs in the succeeding chord. When the submediant substitutes for tonic (seemingly G7A) [4.7a], the pitch that
appears to be the dominants seventh (F) is instead an incidental dissonance, a ninth above an imagined root a third below the sounding bass.
(Thus G7A stands for E97A.) This conception prevails regardless of
whether that incidental dissonance does [4.7b] or does not [4.7a] resolve
before the submediant chord arrives. Other examples conrm that
Kirnbergers central concern is not root succession by second, which he
employs freely, but resolution of dissonance via root succession by descending fth [4.7c, d].
Kirnbergers inuence can be discerned in the work of his German compatriot Augustus Frederic Christopher Kollmann, whose career unfolded in
London. His two general rules on which all fundamental progressions
depend single out not only dissonance resolution but also motion by
second as special concerns:
Rule I. The fundamental concord may proceed to a fundamental discord, on the same,
or on any other degree of the diatonic scale; but it may proceed to a fundamental
concord only by a consonant progression [root succession by third or fth], and not
by the dissonant progression of ascending or descending, a second, or seventh.
Rule II. The fundamental discord, has only the one real progression, of descending a
fth, (or ascending a fourth) to a fundamental concord or discord. For its progression to those chords, one degree higher, as in the interrupted cadence, is only a contraction of the former progression with a nearly related one.34
The notion that a progression might represent something other than

what it appears to be was taken up by Voglers pupil Friedrich Dionys Weber.
Presenting the outer-voice progression
F
D
F
G
E
Fs
D
G,
which appears to contain root successions of descending and ascending

minor seconds, Weber suggests an interpretation as
F
D
F
G
E
C
Fs
D
G,
a conception that eliminates the GFs second.35 The FsG second that
remains echoes Voglers own analytical practice, as in the fth cadence of 1.4.
Rameaus solution to the ascending-second dilemma is reprised over a
century later by Simon Sechter: One must know that, in the progression
from IV to V or to V7, II or II7 is actually employed between them, or imagined there (and treated accordingly), through which the following chord
progressions arise:
7
I IV II V I
or
I IV II V I
or
I IV II V I .36
Moritz Hauptmann likewise employs mediating chords to justify successions of ascending or descending seconds [4.8a]:
Two triads lying wholly outside each other (such, namely, as have no common connecting note whose transformation into another meaning might give the understanding of the passage), require to be mediated by that triad, lying between the two,
of which the rst of the two unconnected triads contains two notes, and the other
one note. And the passage from the rst into the second cannot take place otherwise
than in so far as the rst has already this preponderance of community with the
intermediate triad, and may therefore be put for it. Or, the progression from the rst
of the unconnected triads to the second is the same as it would be from the mediating triad to the second.37
103
104

a
4.8a Hauptmann: Die Lehre von der Harmonik (1868), p. 41.

4.8b Jadassohn: Lehrbuch der Harmonie (1883, 131911), p. 54.
Hauptmanns parenthetical chords connecting C and D in 4.8a reveal in music notation
the mental maneuvering he suggests as justication for an ascending-second progression.
Jadassohn transforms the mental into the actual in measure 4 of 4.8b, an example of dubious
artistry.
Unfortunately Hauptmanns silent mediating chords are elevated to fundamental harmonic entities in his pupil Salomon Jadassohns harmony textbook [4.8b]. Linking tonic and supertonic on the downbeats of measures 4
and 5 are the very chords that Hauptmann prescribes for mediation, with
full Roman-numeral analysis!
To most musicians the roster of august authorities relegating motion by
second to an inferior status likely was persuasive. Yet there were other
voices to be heard. Lampe displays none of Rameaus reserve, reasoning
that since the fourth and fth notes of the scale are the nearest related to
the Key Note, their chords may well be juxtaposed. He issues but one
caution: But whenever the fourth Note immediately succeeds the fth
Note, or the fth Note the fourth Note to the Key, each being accompanied
only with their own Harmony, . . . the Scholar must move the higher Parts
contrary to the Motion of the Bass, otherwise the Eect would be harsh
and disagreeable, or the Parts want Variety . . .38 His examples demonstrate the progressions
Key note
Key note
Key note
Key note
4th
5th
3rd
7th
5th,
4th,
4th
6th
5th
5th
6th,
4th.39
and
Though Sorge also permits motion by ascending or descending second, he

suggests that no more than two in a row should occur, for example:
F
and
in C Major, and
s
E
(but not
s
E
D)
in A Minor.40
Kirnberger employs ascending seconds when the resolution of dissonance is

not a factor.And in Voglers pioneering Roman-numeral analyses of 1778, four
of the ten model cadences contain ascending-second root successions [1.4].
In the beginning was the Tonic would be a promising opening for the
gospel of tonality. Though the tonic pitch may be the origin and goal
of harmonic progression, in itself it oers no diversity, no motion.
Choosing A as a primordial tonic, harmonic activity dawns with the
emergence of E, the only non-tonic pitch among As lowest partials, as the
dominants root. AEA exemplies the most fundamental of progressions. Though its unique role in tonal practice was later acknowledged
through Schenkers expression sacred triangle, its foundational status
was understood by early practitioners of music analysis [4.4b], even if
some would regard ADA as a model of equivalent import.
An expansion into four chords could result in the progression AB
EA, where B relates to E as E relates to A. This dual relationship may
obey tonal constraints with minor B chord and major E chord, in conformity with the A Major key signatureor it may be shaped into an
exact parallelism by raising the B chords third. (The modied B chord is
now often called V of V to acknowledge its transformed state.)
Yet the adjacent roots A and B form a major second, a problematic
interval for succession because no common tones link the two chords.
Since Rameaus time a routine means of averting that problem has been
to imagine, or to pursue, the circuitous route of a descending third followed by an ascending fourth, which both assures common tones and
E C s Fs
A(s) D(s)). The progression thus has grown
welcomes chromatic inection (Cs
A Fs B
to AFsBEA. Successive roots form a descending third and three
descending fths, all favored intervals.
105
106
Lets now watch as Schubert takes this evolved progression into his
masterful hands. Something extraordinary occurs: he allows the fths to
pierce through the boundary of the diatonic tonality. From Fs to B to E
to A normally would be the extent of the progression, with tonics return
serving to terminate the cascade of fths. Yet Schubert proceeds downwards beyond the tonic, from A to D to Gn. In the resulting progression,
A F#7B E7A D7Gn, what begins as an autonomous harmonic progression with a high density of descending fths is eventually overpowered by those fths. A sequential progression (the chain of descending
fths) results.
Though accurately recreating Schuberts thought process of course is
not possible, we can at least explore some of the alternatives that he might
have considered. That investigation will help us to understand just what
was at stake in his progression and to better appreciate why his solution
is so brilliant.
Kochs model: Schuberts composition

Consider an example by Koch [4.9a]. Its uninspired craftsmanship could not
be mistaken for the writing of a gifted composer. Its chords fulll the task of
supporting the melodic descent from 5 to 1 without fuss, without the creative
imagination that could make this musical statement unique and memorable.
It is constructed in compliance with a musical grammar that many understood, but which few could use to shape something of enduring interest.
Consider now an example by Schubert [4.9b]. Its inspired artistry could
not be mistaken for a textbook exercise. And yet its creation represents a
careful selection and amplication of ideas that were discussed in pedagogical writings from around Schuberts time. A comparison of Kochs and
Schuberts creations illuminates the distinction between craft and art.
Embellishment
Schuberts harmonic progression is enlivened by non-harmonic elements.
Sechter (the teacher to whom Schubert, in his nal year, applied for instruction in counterpoint) demonstrates alternative positionings of guration
[4.10a]. Schubert similarly redeploys the upper neighboring notes of
measure 11 in measure 13 [4.10b]. The D-Fs-A simultaneity that begins
measure 13 is neither IV in A Major nor III in B Minor, but instead is built
from tonic As root and the upper neighbors of its third and fth. Neighbor
4.9a Koch: Handbuch bey dem Studium der Harmonie (1811), col. 124, g. 36
(transposed).
Koch wrote this example to demonstrate the simultaneous occurrence of a third and an eleventh
above the bass (D and E in the second chord). The progressions continuation is straightforward,
with a harmonization that supports the descent from 5 to 1:
A Major:
5
I
4
II
3
I
2
II
1
I
The measure numbers placed above Kochs example correspond to Schuberts composition [4.9b].
4.9b Schubert: Quintet in A Major for Pianoforte, Violin, Viola, Violoncello and
Contrabass (Trout), op. 114 (1819), mvmt. 5.
The violoncello and contrabass share the same sta. The contrabass (downward stems) sounds an
octave lower than notated.
107
108
4.10a Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 95

(transposed).
4.10b Models corresponding to 4.9b, mm. 11 and 1314.
(a) Embellishment of the dominant chord in B Minor may be positioned at various locations
within the texture.
(b) Upper neighbors embellish the A Major tonics third Cs and fth E in two contexts. In
chapter 5 we will encounter Jelenspergers comparison of neighboring motions undertaken at
various speeds [5.4]. Given Schuberts Allegro giusto tempo indication, Jelensperger likely would
have regarded D and Fs as incidental notes (notes accidentalles) in both contexts.
D is doubled in the contrabass, where it both arrives and departs by leap.

The model shows the resolution of these neighbors before As, which connects the tonic and supertonic roots, arrives. In Schuberts composition
E
Css tendency towards II is strengthened
these two events converge, and As
through the addition of root Fs. The neighboring-note strategies displayed
in 4.10b recur in alternation every two measures throughout the excerpt.
Root motion by second

Many analysts of Schuberts time would have interpreted the ascendingsecond root succession that inaugurates Kochs harmonic progression
[4.9a] as a truncation of AFsB. Schubert arms that predilection by actuD D C#
ally composing AFsB [4.9b, measures 1114]. Kochs AE B E A outer-voice
structure has greater momentum in Schuberts composition both through
the impact of bass Fs and inner voice As against soprano E in measure 13
and through the expanded progression of fths in the bass (FsBEA). By
employing chromatic As, Schubert establishes a relationship between the Fs
and B chords that will be echoed not only by E and A in measures 1718
(and 2526), but also by D and Gn in measures 2122.41
G Major in A Major
Schuberts measures 19 through 22 could have been more conservatively
constructed. A less resourceful composer might have modeled them after
measures 11 through 14, since the root progression AFsB functions just
as well for soprano CsB as for ED [4.11a]. Yet that version, especially the
4.11 Alternatives to Schuberts measures 19 through 22.
repetition in measure 19 of the tonic from measure 18, seems tedious.

Schubert rambunctiously brings in the Fs7 chord in measure 19 (rather than
measure 21, as in 4.11a). What does this move portend? Perceptive listeners
might develop several hypotheses:
(1) Because the Fs chord resembles the one heard in measure 13, likely
the most common initial interpretation would be that measures 19 through
22 will turn out to be a variant of measures 11 through 14. Three structural
chords occur in the earlier passage: AFs7B. Because measure 18 supplies
an A chord, Schubert could proceed directly to Fs in measure 19. As a result
measures 19 through 22 would incorporate only the second and third of the
three chords of measures 11 through 14 [4.11b]. This hypothesis ultimately
must be rejected, however, since measures 21 and 22 do not fulll these
expectations. Why did Schubert not follow this course? Perhaps it was that
three consecutive four-measure units would repeat transpositions of the
same V7I material: E7A (measures 1518), Fs7B (measures 1922), and
then E7A again (measures 2326).
(2) Supercially measures 19 and 20 may sound like a transposition of
measures 11 and 12 to Fs Major. Though the C#
fth that begins measure 19
F#
corresponds to the EA fth of measure 11, the transposition is not exact. Why,
for example, does the pitch D, rather than Ds, occur twice in measure 19?
And why is E present in the chord? Were a harmonic progression like that of
measures 11 through 14 to emerge from this shaky foundation, a problematic juxtaposition of D and Ds might occur in hypothetical measure 21
[4.12a].
(3) Because neither of the rst two hypotheses adequately accounts for
Schuberts handling of measures 19 through 22, a fresh idea one not likely
to emerge until one hears measure 21 is called for. The two preceding
109
110
4.12 More alternatives to Schuberts measures 19 through 22.
four-measure units employ prominent fth-relationships: Fs7B, E7A.

Given how measures 19 through 22 conclude, the fth-relationship that
warrants consideration here is D7Gn. Though a direct succession from an
A chord (measure 18) to a D7 chord would be feasible [4.12b], Schubert
instead divides the descending-fth bass [4.13a] into two thirds [4.13b] and
adds a bit of chromatic spice [4.13c]. The quirkiness of this passage stems
from the fact that a chord we are inclined to regard as an applied dominant
(Fs7 poised to resolve to B as V7 of II, as in measure 13) ultimately functions as a connector between A and D.42 An analogous situation occurs in a
contemporaneous example by Justin Heinrich Knecht [4.13d]. As does
Schubert, Knecht here divides a descending fth into two thirds. And like
Schuberts interior chord, which we are tempted to perceive as the dominant
of B, Knechts augmented F chord (which he labels as III.) possesses an
untapped tendency: to resolve to Bb (D Minor: III. VI.; or Bb Major: V. I.).
Knecht demonstrates that resolution on the same page. How the internal
chord does behave as opposed to how it might have behaved reects the
controlling force of the boundary fth.
Major-mode tonality is not a symmetrical system. The chain of diatonic
perfect fths ascending from tonic is long, whereas that descending from
tonic is short. For A Major, the diatonic perfect fths are arranged as follows:
D
Fs
Cs
Gs
From this perspective the non-diatonic pitch that is closest to tonic is Gn,
achieved by descending two perfect fths from tonic: ADGn. Descending
fths are a dening feature in measures 13 through 18 of Schuberts
composition: FsBEA. The piano continues that trajectory beyond the
diatonic connes of the key, with DGn. A chain of descending fths (one
of the sequential progressions introduced in chapter 3) takes control.
4.13ac Dividing a descending fth into two descending thirds.

4.13d Knecht: Elementarwerk der Harmonie (21814), table XVIII, g. 4a (transposed).
A major triad with minor seventh [second chord of 4.13c] and an augmented triad [second chord
of 4.13d] both hold the potential to function as dominants. When that potential remains
untapped, should such chords be labeled as dominants? Knecht thinks not.
Whereas the Fs7 chord (measures 1920) might have steered the progression
onto a more normative harmonic trajectory (Schuberts dressing of the VI
chord in applied dominant seventh garb was of course purposeful and
intentionally misleads the listener), the continued descent to D7 (and the
correction of wayward As to An) followed by Gn asserts the priority of
descending fths in this region, despite the extension beyond the diatonic
realm. Sequential progression has sabotaged harmonic progression.
Return to A Major
Those who wander into remote tonal regions need to know how to get
themselves out. Schubert was exceedingly precocious in this regard, of
course. As we have seen, fths and thirds are the favored intervals of harmonic motion. Though complete cycles of fths or of thirds are feasible
[3.6, 4.5a], they can quickly become tedious. A combination of thirds and
fths has the advantages of variety and a shorter trajectory.
Because phrase-building depends upon the VI cadence, the path from the
initial I to the cadential V is the site of most harmonic creativity. An especially appealing and prevalent lling of that space employs one descending
minor third and two descending perfect fths. Three positionings of the
third among the fths are possible:
111
112
I
I
I
VI
IV
IV
II
II
bVII
V
V
V
Schubert utilizes the IVI . . . option (chromaticized as IVIs) in his

rst phrase. And though he seems for a moment (measures 19 and 20) to
be repeating this idea in the second phrase, ultimately the option pursued is
IIVbVII . . . The voice-leading connection between I and VIs is exactly the
same as that between bVII and the V that follows, though the tonal relationship is reversed: whereas IVIs leads into chromaticism, bVIIV leads
out of chromaticism, with the subtonic pitch reverting to the leading tone.
Though Kochs prosaic progression might have oered an adequate model
for Schuberts composition, the excursion to bVII, so unexpected and yet so
logical, oers listeners a compelling and memorable musical experience.43
Chordal hierarchy
Passing note, passing chord

The third is a highly favored interval in chord construction. Consequently
its diatonic lling-in connecting root and third, third and fth, or fth and
seventh is encountered frequently. Any third may be expressed melodically
as two consecutive seconds, either ascending or descending. The internal
pitch of such a line clashes with its context: it passes between pitches that
have a more secure footing within the immediate chordal framework.
A passing note occurs least obtrusively in a weak metrical position. Yet it
may be emboldened in various ways. In lling in an FD third, Friedrich
Wilhelm Marpurg places passing note E in a relatively strong metrical position, against a change of bass from G to B [5.1a]. An eighth-eighth-quarter
rhythm for FED would have resulted in the juxtaposition DB, a consonant
element of the G-B-D-F chord. Marpurgs quarter-eighth-eighth rhythm
instead places bass B against passing E. As a result, a dissonant fourth follows
a dissonant seventh. The interpretation of this situation is especially delicate
because traditional dissonance-resolution strategy mandates that the F of a
G7 chord should resolve to an E. Yet according to Marpurg it is not this E that
fullls that role, but instead the E on beat 3. The language he uses to express
this idea in 1757 is clear and persuasive:
It is wrong to think that a dissonance could resolve properly on a passing note. That
might at best happen only in a gurative sense. For who could understand harmony
and not realize that in the example [5.1a] the resolution of the seventh is artfully
delayed through the inversion of the harmony, and occurs not on the eighth note
marked by a stroke, but only on the nal half note E?1
Now consider an example published by Koch in 1811 [5.1b]. Here the

melodic line FED occurs in a context that compels the listener to hear a
direct resolution from F to E. The tendency of the diminished fth FB is
fullled by the major third CE .2
Kochs next example [5.1c] brings to the fore one of the most controversial issues of harmonic analysis: passing chords. Two contrasting interpretations of the melodic line FED are possible: either E passes between F and
114
5.1a Marpurg: Handbuch bey dem Generalbasse und der Composition (1757), vol. 2,
table III, g. 16 (transposed).
5.1b, c Koch: Handbuch bey dem Studium der Harmonie (1811), col. 237, gs. 1 and 2.
By juxtaposing regular and exceptional (ungewhnlich) resolutions Koch hopes to strengthen the
case for regarding the G-C-E chord of 5.1c as functionally equivalent to C-C-E in 5.1b. In
contrast, a passing-chord proponent might argue that a more apt juxtaposition would be that
between 5.1c and 5.1a.
D in the manner of 5.1a, in tandem with C passing between D and B in an

inner line; or E resolves the dissonant seventh F in the manner of 5.1b. Much
is at stake in how such a question is answered. Koch is an advocate of the
conservative, literalist stance:
When in the strict style the diminished fth . . . functions as the structural dissonance of the diminished triad, it is obligatory that it be prepared and resolved. In this
case the resolution is most often into the third, provided that the bass concurrently
ascends by step, as in [5.1b]. Yet it tolerates the following exceptional resolutions as
well, namely, 1) into the sixth, when the bass moves down a third, as in [5.1c] . . .3
Though many harmony treatises promoted the sort of analysis Koch

endorses (the alleged moment of resolution in 5.1c typically would be
labeled I64 during the nineteenth century), a number of voices rose in
opposition to that perspective. Schulz, writing under his teacher
Kirnbergers name, addresses the issue as follows in 1773:
In harmony there are passing chords that are not derived from any fundamental
harmony; they are to be understood in the same manner as passing notes in the
melody, and they come into being from them, when multiple voices engage in
passing motion . . . Consequently passing chords are mediating chords in which one
or more voices pass via a stepwise and usually consonant motion from the preceding to the following foundational chord. They always come between two foundational chords that are either the same or at least follow very naturally one after the
other . . . One recognizes them further by the unnaturalness of their harmonic
Chordal hierarchy
5.2a Rameau: Gnration harmonique (1737), ex. XXVIII.

D, the analytical fundamental bass, persists while passing (marchent) notes E and G ll in two of
the dominants thirds, DFs and FsA, respectively. Though soprano C is a dissonance, it
temporarily becomes consonant at letter A.
progression, in which either some dissonance possibly remains unresolved, or,

despite appearing to be a conventional fundamental chord, it nonetheless would
impede the natural progression of the fundamental harmony.4
By denition a passing chord (in contrast to a passing note) results from

at least two moving voices. In that the dominant seventh chord contains
three thirds, several varieties of passing chord between statements of the
dominant are possible. Whereas 5.1c employs concurrent seventhfth
(F to D) and fththird (D to B) stepwise descents, Rameau chooses root
third and thirdfth ascents to prolong a D dominant seventh chord in G
Major [5.2a]. This model displays perhaps the most widely used of all
passing chords, itself subject to an array of variants: the belated addition of
the dominants seventh [5.2b], inversion [5.2c], and application in the
context of tonic [5.2d] and other [5.2e] chords. The French, German, and
Bohemian authors cited uniformly resist asserting a harmonic role for the
chord formed during the passing motions.
Simultaneous passing motions may occur in opposing rather than parallel directions. Sechter shows how a GB GB voice exchange may be embellished
by means of a passing A in both directions without aecting the harmonic
meaning of the passage [5.3a]. In another example Sechter indicates the
progression of fundamentals, asserting that passing chords have no
harmonic import [5.3b]. When three voices are active, parallel and contrary
passing motions can be combined, as in an example that Gottfried Weber
quotes from Mozart [5.3c]. Here Weber refrains from labeling the second
chord of the rst measure as II7. In a similar example Lobe takes apart
Beethovens prolongation of a dominant seventh chord E-Gs-B-D and puts
115
116
5.2b Savard: Cours complet dharmonie [1853], vol. 1, pp. 7677.

One observes in fact . . . that the 63 chord positioned on the sixth scale degree (la) the rst
inversion of the triad of the fourth scale degree (fa) does not bring about a sense of cadence, but
functions as a transitional chord leading to another chord that resembles the rst. In this same
example the bass of the dominant progresses to rest on the tonic, in the process merely gliding over
the intervening scale degrees; . . . the two extreme points alone bear chords expressing a full
harmonic meaning. [On voit en eet . . . que laccord de sixte place sur le la ci qui est le premier
renversement de laccord parfait de fa ne forme plus un sense arrte, mais devient un accord de
transition menant un autre accord en rapport avec le premier. Dans ce mme exemple la basse
partie de la dominante va se reposer sur la tonique, en ne faisant qui glisser sur les degrees
intermediaries; . . . les deux points extremes portent seuls des accords exprimant un sens
harmonique complet.]
5.2c Louis and Thuille: Harmonielehre ([1907], 41913), p. 81.

As a rule the resolution of the dominant seventh chord into the subdominant is only apparent,
like the succession VIV in general; that is, it arises from suspension or passing-note structures,
in which . . . the subdominant appears between two forms of the same dominant harmony as
an interpolated chord, as an incidental structure without fundamental. [Die Ausung des
Dominantseptaccords in die Unterdominant ist, wie berhaupt die Folge VIV, in der Regel nur
scheinbar, d. h. sie entsteht durch Vorhalts- oder Durchgangsbildung, indem . . . zwischen zwei
Formen der Dominantharmonie bei liegenbleibendem Fundament der Dominante die
unterdominant als eingeschobener Accord, als fundamentfremde Zufallsbildung auftritt.]
Chordal hierarchy
5.2d Reicha: Cours de composition musicale [ca. 1816], p. 75.

5.2e Sorge: Vorgemach der musicalischen Composition [174547], part 3, table XI,
g. 1.
(d) [This example] is remarkable for the long duration of its passing notes. [Le cas suivant est
remarquable en ce que les notes de passage peuvent y avoir une grande valeur.] Reichas example
echoes numerous eighteenth-century models, including those by Rameau (Gnration
harmonique, 1737, ex. XXVIII), Sorge (Vorgemach der musicalischen Composition [174547], part
3, table XI, g. 1), Marpurg (Handbuch bey dem Generalbasse, 1757, vol. 2, table IX, g. 19), and
Kirnberger/[Schulz] (Die wahren Grundstze zum Gebrauch der Harmonie, 1773, p. 34 [Beach and
Thym, p. 191]).
(e) Sorges example occurs in the context of a chapter entitled Concerning the Passing
Seventh, rendered both in German (Von der durchgehenden Septime) and in Latin (septima
transitoria).
5.3a, b Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1,

pp. 38, 94.
(a) Voice exchange (Vertauschung) and passing notes (Durchgngen) are successively applied
to a basic progression. In all three cases the succession of fundamentals is GC. The third beat
of Sechters third example, like the third beat of 5.2c, is merely passing (nur ein Durchgang) and
does not belong to the essence (gehrt nicht zur Wesenheit).
(b) Sechters progression contains eleven chords but only ve fundamentals.
117
118
5.3c Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 21824),
vol. 3, table 47, ex. 313 [Warner, p. 248].
Here Weber analyzes a passage from Mozarts Don Giovanni. Elsewhere he displays a similar
passing chord occurring on a downbeat (3vol. 3, p. 119 [Warner, p. 621]). This plate reveals some
of the hazards that may be encountered when viewing music examples from historical treatises:
the numeral V was inadvertently omitted in the third measure, and the illegible caption above the
example is not some vital information but instead merely Mozarts text (Doch in Spanien schon
Tausend und drei).
5.3d Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858), pp. 162163.
This example is based on a passage from Beethovens String Quartet in A Major (op. 18, no. 5),
mvmt. 1. In the rst model Lobe shows the migration of the dominant sevenths pitches among
the lower three parts. Through the gradual addition of passing notes (marked with exes),
Beethovens composition is eventually fully reconstructed (the fourth model). A stroke marks bass
pitch A, which may be regarded either as a passing note (the fourth model) or as the root of a
tonic chord (the fth model).
Chordal hierarchy

p. 108 [Hser, p. 120].
When one gives certain embellishments a long duration, they function as essential notes,
whereas with a short duration the ear prefers to interpret them as incidental notes, since it is not
possible to comprehend such hurried chordal alteration. [Compare Example b and Example a.] If
one performs the mediating notes of [Example a] slowly, one perceives all the chords in
succession. At a moderate speed, the ear often is left undecided [Example c]. In that case it seems
unimportant whether one considers the embellishing notes as essential or as incidental. [Quand
certaines broderies se fout avec de grandes valeurs, elles deviennent notes relles, tandis quavec
de petites valeurs loreille aime mieux les prendre comme notes accidentelles, ne pouvant saisir un
changement daccord trop prcipit [compare b with a]. En transformant en grandes valeur les
mdiaires de la [a], on obtient successivement tous les accords. Avec des valeurs moyennes,
loreille reste souvent indcise [c]; alors il semble indirent de considrer les notes qui brodent
comme relles ou comme accidentelles.]
(a) The abbreviation m. stands for mdiaire (something in the middle).
it back together again [5.3d]. Beethovens structure gradually emerges out

of bare arpeggiation. Though not tempted towards harmonic interpretation
by the notes E-A-Cs in the third model or Fs-A-Cs-E in the fourth model,
he does oer a harmonic interpretation of the notes A-Cs-E later in the
fourth model, calling this moment ambiguous (zweideutig): the pitches
marked as passing may also be accepted as a chord.5
Neighboring notes likewise may generate chords without harmonic
meaning. Jelensperger alternates between G-B-D and G-C-E in C Major at
fast, slow, and moderate speeds [5.4]. At the slow speed he regards G-C-E as
tonic, while at the fast speed he does not. When a moderate speed is
employed he oers alternative analyses and claims not to care which option
is selected.
Of course, the examples assembled here are not a representative sampling.
.
The very chord that Reicha marks as passing in 5.2d is labeled 2 by
Jelensperger.6 This reversal the assertion that C functions as a dissonant
harmonic seventh above root D rather than D as an non-harmonic passing
note below root C brings to mind Schulzs remark, quoted above, concerning a dissonance remaining unresolved. Jelensperger sidesteps this
dilemma by asserting two categories of resolution: whereas in the succession
.
25 the supertonic chords seventh descends by step in a resolution of the
.
rst order, 21 constitutes a resolution of the second order, in which the
seventh persists as a common tone.
119
120
5.5a Durutte: Esthtique musicale (1855), pp. 146147.

5.5b An alternative analysis of the second segment of 5.5a.
(a) Duruttes use of gured-bass numbers is reminiscent of Voglers [1.4]: the numbers between
the staves correspond to the chords as written, while those above the lines below the bass
correspond to the root positions of the chords. The full-sized numbers below these lines, like
those of Jelensperger and Lobe, correspond to the scale degrees of the chordal roots, while the
superscript numbers appended to the right indicate the inversions. The abbreviation q. r. notes
that A, the chordal fth (quint), has been suppressed (rprimer).
(b) In my analysis, which explores notions not mentioned in Duruttes commentary, the pitches
represented by lled-in noteheads embellish the pitches that constitute the I and IV harmonies. In
this interpretation the two instances of D-F-(A)-C have contrasting roles. In the rst case it
occurs within a presentation of the tonic, where only its C is stable (displayed by open
noteheads); in the second it occurs within a presentation of the subdominant, in which its F, A,
and C are stable.
A most instructive example by Franois Camille Antoine Durutte, whose

analytical work extends the French Jelensperger tradition and consequently
does not embrace the passing-chord perspective, displays three contrasting deployments of the very D-F-(A)-C chord about which Reicha and
Jelensperger had disagreed earlier in the century [5.5a]. The rst instance,
in the examples second measure, shows a supertonic seventh chord in third
inversion (23) followed by a dominant seventh chord in rst inversion (51).
In this context most scale-step analysts (excepting some we encountered in
1.16, above) would agree with Duruttes harmonic interpretation. A few
measures later the same notes (this time with A omitted) recur with bass D.
.
Here Duruttes label 72 corresponds to Jelenspergers 2, thus countering
Reichas view.7 Like Jelensperger, Durutte is concerned enough about the
Chordal hierarchy
non-resolution of the seventh to comment on it: Its resolution may be

achieved through the prolongation of the sound when it has been prepared
by the same note.8 Passing-chord adherents (such as Reicha, 5.2d) would
instead regard D and F as non-harmonic in function, lling in tonics CE
and EG thirds [rst segment of 5.5b]. Two measures later in 5.5a the third
instance of the D-F-A-C chord occurs. Though Durutte likely would assert
that he was simply repeating what had occurred earlier, but in a dierent
inversion (11 21 12 instead of 1 2 11), an analyst who embraces (even in the
context of half-notes) the neighboring interpretation of 5.4 and the passing
interpretation of 5.2es second measure might suggest instead that these
measures represent a fusion of two separate embellishing initiatives: lower
neighbors of IVs root and third, followed by passing motions connecting
the rootthird (FA), thirdfth (AC), and fthoctave (CF) intervals of
IV [second and third segments of 5.5b]. In this interpretation an elision
occurs: instead of soprano D sounding after the neighboring motions of the
lower voices conclude, its arrival coincides with the return of F and A below.
The determination of a chords root thus again proves to be a controversial aspect of the analytical process. In that the pitch content of a passing
chord may be identical to that of a chord that (in a dierent context) functions harmonically, analytical investigation requires a vigilant assessment of
just which pitch combinations warrant consideration as harmonic entities.
Our examples conrm that a number of thoughtful musicians of the eighteenth and nineteenth centuries did not regard all chords as harmonic in
intent. Their analytical symbols whether Roman numerals, Arabic numerals, letter names, or music notation are placed below some chords but not
others, revealing a keen awareness of the distinction between structural harmonic entities and the various forms of embellishment that may enliven
them.
A chord succession from Bb-D-F-G to C-F-A occurs in measures 6 and 7
of Beethovens Piano Sonata in F Major, movement 1 [5.6a]. Analytical
curiosity should be aroused: the rst chords F, a seventh if G functions as
root, does not resolve by descending step. In a harmonic interpretation we
would need to adopt a perspective akin to Jelenspergers resolution of the
second order, which permits the maintenance of a common tone. Lobe,
who adopted many of Jelenspergers notions, shows that perspective in
action [5.6b]. (Compare the chords with bass A, Bb, and C in 5.6a and 5.6b.)
The resolution issue becomes moot if one instead regards F as root amidst
concurrent FGA (passing), ABbC (passing), and CDC (neighboring)
motions connecting the downbeats of Beethovens measures 6 and 7 or
Lobes measures 1 and 3. In that perspective, tonic persists for several chords
(including both 63 and 64 positions), with a shift to subdominant at measure
121
122
5.6a Beethoven: Piano Sonata in F Major, op. 10, no. 2, mvmt. 1, mm. 58.
5.6b Lobe: Vereinfachte Harmonielehre [1861], p. 140, transposed.
The similarity between Beethovens third through fth chords and Lobes rst through
third chords provides a clue regarding how nineteenth-century musicians might have
interpreted the Beethoven excerpt. (Recall that Lobe employs a dot above an Arabic numeral
to indicate the presence of a chordal seventh.) Alternatively some analysts would have
acknowledged the persistence of tonic until the arrival of the subdominant in each excerpts
nal measure.
8 (or measure 4 of Lobes 5.6b).9 Whereas the one-chord/one-label methodology held an appeal especially in elementary pedagogy due to the simplicity of its execution, the concept of passing chords nevertheless retained
a footing within more nuanced analytical discourse from the eighteenth
century onwards.
Though a consideration of chronology and geography often helps one to
understand trends in harmonic analysis, the notion of passing chords
dees categorization according to when or where a particular author was
writing. A signicant number of German authors of the eighteenth and
nineteenth centuries embraced the passing-chord concept, so articulately
enunciated by Schulz in 1773, though perhaps an even greater number did
not. Few French writers say much about passing chords, and those who
do did not match the variety of contexts that their German counterparts
explored. But the idea was alive from Rameau onwards. The British
caught wind of the idea principally as an import, since works by several
of the German authors we cite in this chapter were available in English
translation.
Chordal hierarchy
Consequently any analysis from the eighteenth or nineteenth century

is strongly colored by its authors individual stance regarding chordal
hierarchy. Whereas dierences among various symbol systems (Roman
versus Arabic numerals, indication of chordal qualities and inversions,
etc.) are relatively supercial, dierent outcomes when determining a
passages progression of roots which depends upon the analysts perspective on what constitutes a harmonic entity go to the core of the analytical process. The passing-chord dilemma has been more persistent and
more problematic to the analytical enterprise than Rameaus briey fashionable supposition perspective for suspensions or the petty disagreements regarding whether the diminished chord on the leading tone
.
should be labeled as vii (or 7 or VII) or as an incomplete V7 (or 5). Only
in the twentieth century did the passing-chord perspective achieve hegemony, at least in analytical discourse beyond the elementary level. A
signicant step away from the one-chord/one-label approach was taken
by the Munich team of Rudolf Louis and Ludwig Thuille in their
Harmonielehre [1907]. Around the same time Schenker was beginning
his potent transformation of the analytical enterprise in Vienna.
Though the termreductive analysisnow may seem synonymous with
Schenkerian analysis, its use to describe methodologies practiced by
several nineteenth-century authors is not far-fetched. Faced with progressions of chords that seemingly defy rational explication via existing
harmonic precepts, these men pursued the urge to simplify and in consequence to reveal a more essential progression underlying the complexity
at the musical surface. Even Ernst Friedrich Richter, Schenkers bte noire,
was a creative force in this experimental agenda. Lobe countered with
indignation concerning these developments emerging in his midst.Yet, as
we now know, these tentative notions could not easily be contained. I call
upon Beethovens student Carl Czerny to lead us into this domain.
Reductive analysis in the nineteenth century

In his School of Practical Composition (ca. 1848?), Carl Czerny pursues a
reductive form of analysis: reductive to the extent that the sixty-two noteheads in four measures of a Clementi sonata are represented by twelve noteheads [5.7]. The excerpts second and third measures each contain the sort
of voice exchange (DF DF) that Sechter examines [5.3a, b]. Yet in both cases an
additional element of activity creates a situation of greater interest and complexity.
123
124
5.7 Czerny, School of Practical Composition [ca. 1848?], vol. 1, pp. 53, 55.
(a) Czerny quotes this passage from Clementis Sonata in D Minor, op. 40, no. 3, mvmt. 1.
(b) Czerny employs three chords to convey the essence of 5.7a. Not all of his contemporaries
would have resisted positing a more robust harmonic content for the passage. In particular, the
B-D-F-Gs chord at the beginning of Clementis third measure likely would have generated some
analytical urry, perhaps including enharmonic reinterpretations.
In measure 2 the voice exchange begins amidst an unstable chordal situation: A is a suspension, resolving to Gs just as the passing notes (E in the
soprano and tenor registers) emerge to traverse the FD and DF thirds.
Czerny employs only Bb, D, and Gs in his reduction [5.7b]. Though F warrants inclusion as well, apparently he preferred to neglect the note (as did
Clementi at the end of the third measure) than to blemish his reduction with
bald parallel fths (FBbE
).
A
The voice exchange of measure 3 likewise competes with instability, now
coming from the bass, whose Bn forms a diminished seventh chord with the
upper parts. Where is the progression heading? Which of the many possible
implications of the diminished seventh chord is intended here?10 It turns out
that no new harmonic intent is realized. The Bn bows out unfullled, returning to the Bb from whence it came. Czerny remains silent concerning the
incident, encouraging us to interpret measures 2 and 3 as Bb-D-Gs even if
only one-third of their time value is devoted exclusively to these pitches (for
the most part including F as well).
Richters account of passing chords, published in the following decade,
focuses on passages that resist explanation via the conventional norms of
harmonic progression, thus hinting that some other principle may be
operative. For example, pondering the implications of the 64 chord in the rst
Chordal hierarchy
5.8a, b Richter: Lehrbuch der Harmonie (1853, 211897), pp. 130131.

5.8c Lobe: Vereinfachte Harmonielehre [1861], p. 144.
5.8d Tiersch: Elementarbuch der musikalischen Harmonie- und Modulationslehre
(1874, 21888), p. 148.
Each of these examples begins with descending motion in the right hand against ascending
motion in the left hand. Only Lobe (5.8c) is inclined to nd harmonic meaning in all the vertical
combinations that result. Tierschs analytical bass with gures (5.8d, bottom line) amounts to a
reductive analysis that accounts for thirty-one of the forty-seven noteheads.
measure of (5.8a), he suggests that the peculiar occurrence of the six-four

chord in the example . . . is accounted for only through the ensuing stepwise
progression of all voices to their next goal (the chord on the downbeat of the
following measure) in the manner of passing notes.11 Supplementary examples [5.8b] show the descending and ascending motions that merge to create
5.8a.
Opposing Richters stance, Lobe includes 5.8a in one of his own treatises.
Quoting Richters commentary (presented above), he adds an exclamation
125
126
point in parentheses to register his astonishment that such an idea was being
promulgated.12 His alternative analysis dutifully labels each chord [5.8c].
Despite Lobes protests, composers and analysts continued to explore
passing contexts for chordal progressions. For example, Otto Tiersch uses
Richters idea of 5.8a as the starting point for his own exuberant progression, strewn with cross marks indicating the abundant diatonic and chromatic passing motions [5.8d].
With authors like Tiersch, an instructor at the Stern Conservatory in
Berlin, pursuing a highly selective notion of what constitutes a harmonic
entity, the diversity of possible interpretations for common musical
events expanded, likely to the general bewilderment of students.
Consider his Gs-B-D-F chord [5.8d, measure 1]. Now, in addition to disputes regarding whether III (or IIIs) in C Major, or instead V or VII in A
Minor, oers the best analysis, some authorities urge the elimination of
such chords from harmonic consideration altogether! Whereas many
analysts likely would not want to venture a harmonic label for the
extraordinary concoction Tiersch places at the end of the examples
second measure (with bass Fs), fth-related chords (measure 1, beat 4 to
measure 2, beat 1; measure 2, beat 2 to beat 3) present no similar challenges to interpretation, and the absence of a harmonic label in such cases
thus was strongly provocative, especially at a time when analysis using
Arabic or Roman numerals had become pervasive.
In fact, the assertion of a hierarchical relationship between fthrelated chords has a rich history. The analyses we sample below, from a
wide spectrum of German and Austrian authors spanning a century, vindicate Tiersch from his apparent negligence. Though none pursued the
perspective to the level Schenker took it in the twentieth century, clearly
there was a strong tradition among German musicians to seek harmonic
meaning somewhere beyond musics immediate surface.
Hierarchy in fth-related chords

Jelensperger, starting with dominant G-B-D, undertakes concurrent
BCB and DED neighboring motions [5.4] and ponders whether
G-C-E represents a harmonic event (tonic) or an embellishment of dominant. Sechter, starting with tonic C-E-G, undertakes concurrent CBC
and EDE neighboring motions [5.9a, b] and ponders whether G-B-D
Chordal hierarchy
a
5.9 Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1,

pp. 158160.
(a) Sechters original progression is eight measures in length: CGEAFDGC. Each
variation likewise pursues this full course, for which we provide an adequate sampling of three
measures in 5.9b through 5.9e.
(b) First variation, whereby every triad becomes tonic for a measure, in the midst of which its
own dominant harmony is heard, which however must not be considered as a subordinate
harmony (Nebenharmonie) within the core C-Major progression of fundamentals. [Erste
Vernderung, wodurch jeder Dreiklang whrend der Dauer des Tactes zur Tonica wird, und
dazwischen seine eigenthmliche Dominantenharmonie gehrt wird, welche aber als
Nebenharmonie nicht zur eigentlichen Fundamentalfortschreitung in der C dur Tonleiter
gerechnet werden darf.]
(c) Second variation, where the subdominant of every triad, understood as a tonic, is heard
during the measure, though not regarded as a part of the core progression of fundamentals.
[Zweite Vernderung, wo man die Unterdominant jedes einzelnen Dreiklangs whrend des
Tactes, wo er als Tonica angesehen wird, hren lsst, welche abermals nicht zur eigentlichen
Fundamentalfortschreitung gerechnet wird.]
represents a harmonic event (dominant) or an embellishment of tonic.

Both authors present nuanced analyses. For Jelensperger, the speed of
motion aects the extent to which the internal chord registers as a harmonic entity; for Sechter, the internal chord has a local harmonic eect
without participating in the broader harmonic progression. The G-B-D
chords in measures 1 and 2 of 5.9b belong to dierent hierarchical planes;
only the latter warrants the label G. Then Sechter replicates Jelenspergers
127
128
5.9 (cont.)
(d) Third variation, where in the midst of each subordinate tonic (Nebentonica), as with the
primary tonic, the corresponding subdominant, 2nd scale step, and dominant are heard, but
likewise not regarded as a part of the core progression of fundamentals. [Dritte Vernderung, wo
zwischen jeder Nebentonica, so wie bei der Haupttonica, deren eigenthmliche Unterdominant,
2te Stufe und Oberdominant gehrt werden, aber auch nicht zur eigentlichen
Fundamentalfortschreitung gerechnet werden.]
(e) Without rst going through all possible variations, one can nally install in each measure all
of the roots of the main theme as subordinate roots, as can be seen here. [Ohne erst alle
mglichen Vernderungen vorzunehmen, kann man endlich in jedem Tacte alle Fundamente vom
Hauptthema als Nebenfundamente anbringen, wie hier zu sehen.]
initiative, employing upper neighbors of chordal thirds and fths [5.9c].

His measure 2 approximates 5.4c. In his view G-C-E has no aliation with
C Major certainly not as its tonic. It instead functions as subdominant in
G Major.
Such dominant and subdominant relations upper and lower fths of
a given chord are musical events for which full-edged harmonic analysis often seems overblown. Just as Sechter registers only the deeper layer of
root progression in 5.9b and c, Gustav Schilling displays one fundamental
(C, F, Bb, . . .) for every three chords in an Innite Chord Progression
(Reihe . . . Unendliche) [5.10]. In these examples, a local dominant or subdominant is sandwiched between two statements of a more elemental
chord. Or, a dominant may herald a more elemental chord. A progression
by Johann Adolph Scheibe [5.11] includes not only chords with roots C,
D, and E (in measures 1, 3, and 5, respectively) that resolve by ascending
fourth into the succeeding chords, as do those of Schilling in 5.10, but also
chords inserted on weak beats just before the arrival of more elemental
chords. The chords on E in measure 2 and on Fs in measure 4 play no role
Chordal hierarchy
5.10 Schilling: Polyphonomos, oder die Kunst . . . sich eine vollstndige Kenntni der
musikalischen Harmonie zu erwerben (1839), p. 11.
Each group of three chords in Schillings Innite Chord Progression (Reihe . . . Unendliche)
shares a single fundamental. The internal chord among each group functions as a local dominant,
with no impact upon the larger progression. Thus the rst and fth chords of the progression
(both C-E-G) are unrelated. The former functions as tonic in C Major, while the latter
functions within the realm of F Major, as dominant. (Compare with the C chords in measures
1 and 2 of 5.9c.)
5.11 Scheibe: ber die musikalische Composition (1773), p. 159.

One could proceed from the primary tonic (Haupttone) rst to its subdominant, that is, to the
key (Tonart) of the fourth [scale degree], and from there to the minor key of the second [scale
degree], and then to the major key of the fth [scale degree], after that to the minor key of the
third [scale degree], and nally to the minor key of the sixth [scale degree], and from here again
quite easily back to the primary tonic (Haupttonart). [Man knnte aus dem Haupttone zuerst
in seine Unterdominante, nmlich, in die Tonart der Quarte gehen, aus dieser in die weiche
Tonart der Sekunde, ferner in die harte Tonart der Quinte, alsdann in die weiche Tonart der Terz,
und endlich in die ebenfalls weiche Tonart der Sexte, aus dieser aber wieder ganz bequem zurck
in die Haupttonart.]
129
130
It is especially worthy of notice, that, in many cases, we have the choice whether we will consider
such combinations as transitions to intervals of the following, or of the present harmony. In [5.12],
for example, we may, if we will, regard the combination [g b g= ] as a mere apparent chord, if we
assume that the g [sic: should read g= ] is only a transition to a=, b a transition to c=, and g to f. In this
point of view, the passage would consist of only two harmonies: C and F. We may then assume,
in particular, that the C-harmony continues on to the third chord, and that during this
C-harmony the tones g , b, and g= are transitions to the intervals f, c=, and a= of the following
F-harmony, as indicated in k. Or else we may assume that the F-harmony commences at the
combination [g b g= ] as is indicated in l, where, consequently, the transition-tones g, b, and g= relate
to intervals of the F-harmony, during which they sound as transitions.
within the broader progression, which Scheibe indicates using dotted halfnotes and capital letters above the sounding bass. Instead, they are
dependent upon the chords to which they resolve: E (inversion of A7)
within D Minor, and Fs (inversion of B7) within E Minor. Swoboda calls
such chords leading dominants (fhrende Dominante).13 Tierschs
progression [5.8d], discussed above, employs leading dominants of A and
of F.
Though less common, a fth-related chord may follow rather than
precede the chord it serves [5.12]. Gottfried Weber rst presents a neutral,
arhythmic progression of three chords, with G poised ambiguously
between C and F (his example i). He then explores contexts, distinguished
by contrasting rhythmic positionings, in which G may be perceived
either as a trailer upper fth of C (his example k) or as an antecedent
of F (example l). In both scenarios the basic progression is analyzed as
C to F.
The same hierarchical precepts that guide the subordination of a single
chord may be extended to encompass several chords. Sechter, continuing the
example quoted above, gradually increases the content of each local progression to the point where it replicates in miniature his examples largescale progression of fundamentals [5.9d, e]. Likewise Portmann betrays a
hierarchical perspective in his guidelines for composing a chorale prelude.
First he numbers the six chords of a chorale phrase [5.13a]. Then he shows
Chordal hierarchy
5.13 Portmann: Musikalischer Unterricht (1785), example supplement, pp. 1718,

gs. 2425.
In Portmanns expansion from chorale (a) to chorale prelude (b), the interpolation of dominants
of the numbered chords, third-relations, dominants of the third-related chords, and alternation
between 53 and 63 congurations all occur, in accordance with his commentary.
where these chords reside within several elaborations, including that of

5.13b. His comments are as follows:
The second type of prelude [of the three types described] is composed by inventing
some melodic ideas and integrating them with the existing chorale, interpolating
the appropriate dominant chords between the chorales adjacent fundamental
chords or even, for a triad of a major key with its dominant, allowing a closely related
minor triad with its dominant to follow or by presenting a chord in 63 rather than
5
position. Example [5.13a] shows a phrase from the chorale Snder willst du sicher
3
seyn. In Example [5.13b] the dominants of these successive fundamental chords
have been interpolated.14
Indeed we observe that the dominants of chords 1 through 5 all appear,

generally preceding their tonics. The excursion from Ab major to C minor
in measures 7 and 8 exemplies Portmanns instruction about interpolating a closely related minor triad and its dominant. Though unmentioned
by Portmann, the reverse from minor to major occurs as well: an excursion from C minor to Eb major in measures 3 and 4. In this example it is
more the listeners assumed familiarity with the chorale [5.13a] that
justies the assertion of hierarchical relations among third-related chords
than any inherent structural logic that could be extracted from 5.13b
alone.
131
132
The development of strategies for harmonic analysis in the eighteenth

and nineteenth centuries thus occurred in the midst of profound
disagreement concerning just where the harmonic dimension of music
resides. Is harmony restricted to musics surface layer, shaping the chordto-chord progression? Or does it reside somewhere deeper within the
texture, with non-adjacent chords shaping the principal harmonic progression? Or does it function in dierent planes concurrently?
This awkward state of aairs is vividly demonstrated in an analysis
by Siegfried Dehn, an erudite teacher, author, and editor who was active
in Berlin around the middle of the nineteenth century. Within his
detailed analysis of an excerpt from a Beethoven string quartet we shall
witness both a plodding examination of adjacent chord pairs and a
willingness to propose daring connections between non-adjacent
chords. In the discussion that follows I will prod him to think more
broadly when he becomes mired in minutiae, and remind him of a harmonic relation he may be overlooking when he rushes ahead too
quickly.
Dehn on Beethoven
Siegfried Dehn addresses the challenging, potentially baing Introduction
to Beethovens String Quartet in C Major (op. 59, no. 3) [5.14] in his
Theoretisch-praktische Harmonielehre (1840).15 Though his analysis contains
traces of a conservative perspective, its audacious moments are astonishing.
Measures 1 through 11
Dehns assessment of the rst six measures echoes the manner of Voglers
groundbreaking analyses from the 1770s.16 Vogler analyzes a progression
much like Beethovens opening measures [5.15]:
D with seventh:
Ds with diminished [seventh]:
E with perfect fourth
and minor sixth:
F with seventh:
the fth [V] of G.

the seventh [VII] of E Minor.
an inversion, in which the fth [scale
degree] of A Minor lies in the bass.
the fth [V] of Bb.17
Dehns analysis of the opening chords from Beethovens Introduction

follows suit:
Chordal hierarchy
5.14 Beethoven: String Quartet in C Major, op. 59, no. 3 (1806), mvmt. 1, mm. 130.
The score from which Dehn worked contains an error. Beethoven wrote b as the second-violin
pitch of measure 9, where Dehns score instead reads c.
133
134
5.15 Vogler: Grnde der Kuhrpflzischen Tonschule in Beispielen [1778], table XXX,
g. 2 [reproduced in Wason, Viennese Harmonic Theory (1985), p. 17].
This excerpt is from an example constructed on a circular system an innite loop of music. A
triangle is inscribed within the circle, dividing its fteen measures into three ve-measure
segments, each devoted to demonstrating one of the three basic diminished seventh chords. For
example, the Ds-Fs-A-C chord above appears as Fs-A-C-Eb, A-C-Eb-Gb, and Bs-Ds-Fs-A in
succeeding measures. The fth measure of each segment segues into the next segment.
Measures 1 and 2:
Measures 3 and 4:
Measure 5:
Measure 6:
the diminished seventh [VII] of G

Minor.
the dominant [V] of Bb Major or Bb
Minor.
an A minor chord in 64 position.
the dominant [V] of G Major or G
Minor, followed by its third inversion.18
Dehn twice invokes the notion of deceptive succession (Trugfortschreitung) in discussing these chords: to explain why a G minor chord does
not follow the rst chord; and why a Bb major or Bb minor chord does not
follow the second chord. His view of the passage is concordant with Adolf
Bernhard Marxs more general description: the harmony loses its way and
gropes about unsteadily as if in pitch-darkness.19
While Dehn and Marx focus on what they regard as irregular harmonic
successions, practitioners of a hierarchical perspective would seek illumination by limiting the extent to which harmony is assigned the burden of
explanation. In one example by Sechter the DFs third of a D7 chord is traversed simultaneously in ascending and descending motions [5.16a]. When
the E passing notes in the lower voices sound along with the prolonged A
and C above, a chord of no consequence results. In another example an
FsD third, already lled in by passing note E in the diatonic context, is
further enriched by the chromatic pitches Fn and Eb [5.16b]. These additions do not aect his harmonic analysis. Applying the chromatic lling-in
of Sechters second example to both of the moving lines of 5.16a results in a
distinctive progression, recently dubbed the classical omnibus [5.17a].
Chordal hierarchy
5.16 Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, pp. 38,
132 (transposed).
(a) In this example . . . the chord that happens to fall between the rst and third beats should be
regarded as of no consequence. [In allen diesen Beispielen sind die zwischen dem Anfang des
ersten und dem Anfang des dritten Viertheils des Tactes erscheinenden zuflligen Accorde als
unwesentlich zu betrachten.]
(b) Observe that Sechter does not place the letter A below the A-E-A-C conuence on beat 3.
5.17a
5.17b
5.17c
5.17d
A classical omnibus.
Analysis of 5.14, mm. 16.
A prolongation of D7, incorporating all four of its positions.
Analysis of 5.14, mm. 67.
(c) The relationship between this model and its expansions [5.17b and 5.17d] is similar to the
relationships shown in 5.3d.
(d) This model associates pitches that occur in dierent instruments. For example, rst-violin A
in measure 6 is linked to second-violin B and C in measure 7. Beethovens slurring in measures
6 and 7 (C to A, D to Fs, Fs to C) counters the notion that V42 resolves to I6 (bass C to B).
Beethoven would have encountered similar progressions in a number of

eighteenth-century works.20 Whereas Dehn proposes a potential harmonic
implication for each chord, he fails to comprehend any broader order.
The tension between potential harmonic function and actual connective
function is at the heart of Beethovens strategy [5.17b], which is both
deformed (Eb substitutes for the D of the models rst chord) and truncated
135
136
5.18 Analysis of 5.14.

The 143 noteheads in the rst twenty-nine measures of Beethovens quartet are here represented
by 34 noteheads, about the same level of reduction as that employed by Czerny in 5.7. At measure
9 the likely initial interpretation of Ab-F-B-D would be as representative of G-F-B-D, in which
case Ab, rather than B, would be written as a grace note in the reduction. Ultimately this
hypothesis must yield to the continuation that Beethoven in fact pursues, in which Ab-F-B(Cb)-D
represents Ab-F-Bb-D. This does not imply that Beethoven was unaware of the implications his
writing might have elicited, which in fact may in part account for the belated DG root succession
of measures 18 through 20.
(the full-chromatic models fourth chord is absent), as well as being presented at a breathtakingly slow pace even slower than the passing-chord
model that elicited Reichas comment on long duration [5.2d].
From this perspective, the rst chords resolutional tendency is yet to be
fullled in measure 6. Measure 1s diminished seventh and measure 6s
majorminor seventh are phases of a single harmonic thrust towards G.
Whereas Dehn hears the chords of measure 6 resolving to G major in
measure 7, a further application of Sechters perspective would suggest a
prolongation of the D7 chord through the end of measure 7 [5.17c, d].
At rst the diminished seventh chord of measures 8 and 9 appears to
fulll the role of resolution. (Second-violin C functions as a suspension.21)
Indeed we might expect that Ab will descend to G (cello AbG instead of
second-violin CbBb in measures 10 and 11), creating a V7 that could lead
directly to the Allegro vivaces C Major. Beethoven had other plans, however.
Any diminished seventh chord is inherently mehrdeutig capable of being
interpreted in multiple ways. (The term will recur in our exploration of
modulation in chapter 6.) Because preceded by D7, it is tempting to interpret
B-D-F-Ab (measure 9) as a representative of G-B-D-F, which the proposed
Ab-G bass motion would conrm. Yet Beethovens enharmonic respelling in
measure 10 suggests a dierent interpretation: D-F-Ab-Cb as representative
of Ebs dominant Bb-D-F-Ab. The ensuing chords conrm the BbEb succession. A compilation of fundamental chords in a manner inspired by Czerny
[5.7] and Sechter [5.3b, 5.9] would thus include only two entries thus far:
not D7 to G7, as initially supposed, but instead D7 to Bb7 [5.18].
Chordal hierarchy
In his analysis of measures 12 through 17 Dehn takes a bold step away from
Voglers style of harmonic analysis, oering three distinct perspectives from
which his readers might choose. In the manner of his analysis of the preceding measures he rst provides a standard interpretation of each chord,
despite the absence of normative resolutions. For example, the chord of
measure 14 could be regarded as an inversion of the leading tone seventh
(G-Bb-Db-F) in Ab Major. In a second view he proposes that bass F in
measure 14 be regarded as a suspension. The chord of measures 14 and 15
would then function as a diminished seventh (E-G-Bb-Db) on the leading
tone in F Minor, though again the expected resolution does not occur. His
third view, a remarkable departure from his conventional practice, is that
the leading tone chord in measure 13 (Bn-D-F-Ab in 43 position) resolves to
C minor in measure 17 (C-Eb-G in 63 position) and that the three distinct
chords between them are interpolated postponements (eingeschobene
Verzgerungen) of the resolution.22 The Bn-D-F-Ab diminished seventh
chord thus functions in the manner of Swobodas leading dominant,
totally dependent upon its goal chord. The fundamental chords that result
from this reading of measures 12 through 17 namely, from Eb at the outset
to goal C are duly recorded in our model [5.18].
In that Dehn is diligent in considering the harmonic implication of each
chord to this point, it is surprising that his treatment of the Introductions
nal measures lacks a comparable fastidiousness. He declares rst-violin C
in measures 18 and 19 to be a suspension, with no suggestion that D-F-Ab-C
(measure 19) should resolve to Eb major. Measure 18 contains melodic
non-harmonic notes (melodische harmoniefremde Noten) in the inner
voices. And in measure 21 two concurrent melodic passing notes (C in both
the rst-violin and cello lines) connect the diminished seventh chords of
measures 20 and 22.
Perhaps Dehn has become a bit excessive in his reductive thinking. Could
D-Fs-Ab-C in measure 18 represent a harmonic entity, a French augmented sixth chord in root position?23 In that the succession of fundamental chords DG in measures 1 through 9 turned out to be an illusion, it is
tting for D to return in measure 18, so that the root progression DGC
may now serve as the path to the Allegro vivace [5.18]. This is the extent to
which we might reasonably suggest such a reductive analysis would be
137
138
pursued during the nineteenth century. Certainly a twenty-rst-century

analyst might go further, asserting that Eb56 (measures 12 through 17) is a
temporary displacement of D, and that the D chord of measures 1 through
6 returns as yet unresolved in measure 18 (its fth now lowered). In this
reading, DGC serves in the broadest sense as the foundation for measures
1 through 29. Though some might assert that Beethoven conceived these
measures according to that model, it would go too far to suggest that Dehn
or any other analyst could have formulated such a notion around 1840.
Modulation to closely related keys
An analytical pioneer: Lampe

In 1737, fteen years after Rameaus novel conceptions concerning harmony
were launched in Paris, Lampe published in London an extraordinary analysis displaying a rich panorama of responses to chromatic pitches [6.1].
Though Lampe charts the progression of chordal roots occasionally (as in
1.1), here he instead documents the positions of individual bass pitches
within one or more keys. The or more aspect of Lampes analysis is its most
striking feature. Though G, A, B, and D are preceded by their leading tones
and thus are analyzed as temporary Key notes (tonics), each also receives
an analytical label acknowledging its position within the original key. The
leading tones of G and D are themselves dually analyzed. In all, Lampes
analysis reveals six distinct analytical responses:
(1) Bass Gs and As
(measure 2)
Analysis in the context of a temporary key only
(2) Bass Cs
(measure 3)
In addition to analysis in the context of a

temporary key, analysis in the original key
(3) Bass Fs
(measure 1)
Though diatonic in the original key, analysis in

a non-tonic role in the context of a temporary
key
(4) Bass Ds
(measure 4)
Acknowledgement of the major modes leading

tone in the context of the parallel minor key
(pertains also to the As of measure 2 in the
context of the temporary key B Minor)
(5) Inner-voice Cs
Acknowledgment of altered pitches (here
(measure 2) and resulting in the subdominant and dominant of
Ds (measure 5) the parallel major key) by means of
conventional gured-bass notation
(6) Bass Fn
(measure 1)
Unresponsiveness to a chromatic event (in this

case, an F major chord preceded by its leading
tone)
140
6.1 Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737),
plate 59, Lesson XV (near p. 39).
These measures are from an exercise whose rst half is a pedestrian traversal of the scale: a
sequential progression of 56 motions above bass notes E, Fs, G, A, B, Cs, and Ds lead to E, with
analysis
K [key note] . . . 2d. . . . 3d. . . . 4th. . . . 5th. . . . 6th. . . . 7th. . . . K.
The second half (presented above) is a variant of the rst half, retaining the 56 pattern in the
midst of abundant chromaticism, followed by a cadential progression. The principal analysis,
resembling that of the rst half, retains E as the key note. Below it Lampe designates four other
pitches as temporary key notes. Rameaus term Notte sensible, which Gossett translates as
leading tone, appears in the 1752 English translation of the Trait as Leading-note, or sharp
Seventh. In this example, which antedates that translation, Lampe uses the sharp Seventh
symbol (7) consistently for the leading tone. Yet it seems that the stroke through the 7 merely
acknowledges that a sharp (from the key signature or as an inserted accidental) aects the
notehead. Compare with 6.3b, where no stroke appears when the leading tone falls on a natural
pitch. Concerning the F major chord in measure 1, see p. 204, below.
A large share of the ink devoted to issues of chromaticism in the eighteenth and nineteenth centuries reects one or another of the analytical
strategies that Lampe here employs. A key change of long duration generally does not generate widely divergent responses. More insight into the
varied ways in which modulation was employed in analysis can be gained by
exploring the context of minimum provocation: a single chromatic pitch.
Will it trigger analysis in a temporary key (Lampes Gs and As)? Or will its
eect be absorbed within the original key (Lampes Ds)? Or will analysis in
two keys simultaneously (Lampes Cs) juxtapose these viewpoints?
Historically the term modulation has referred to two distinct harmonic
procedures. Swoboda alerts his readers to the confusion that may ensue,
counsel worth repeating here: In a general sense the word modulation refers
to the progression of diverse harmonies [within a single key]. But in a particular sense one nowadays understands by modulation the art of passing
smoothly, freely, sometimes surprisingly and often even abruptly from one
harmony into another [region] that diers from the rst by one or more
accidentals.1
To be in a key means to segregate the twelve pitch classes into two categories: seven pitch classes residing within the key, the other ve residing
outside. Each pitch class is a member of fourteen of the twenty-four keys.
Though the exact roster of keys for each pitch class may vary from analyst
to analyst depending upon exactly how the minor keys are formulated
(7 being especially contentious), each pitch class is both member and
non-member in the same proportion. The pitch class C is a member of
most of the most common keys, while Fs/Gb is a member of most of
the least common keys. For example, Cs membership list is C Major,
C Minor, Bb Major, Bb Minor, A Minor, Ab Major, G Major, G Minor,
F Major, F Minor, E Minor, Eb Major, D Minor, and Db Major.
Once a key is established, the occurrence of a pitch from outside its
diatonic realm will have a novel eect. The analyst is faced with the task
of justifying its presence within the composition. Certainly the most
facile explanation will rely upon the fact that the pitch in question
belongs to fourteen diatonic keys, one of which may be called into service
as a temporary tonic. Yet at the moment of its rst sounding, the listener
does not know what the event heralds. Does it launch a major thrust in a
new key? Or is the occurrence merely episodic a rue within the
expanse of the principal key?
Analytical responses to such pitches fall into two broad categories.
Either they trigger a shift (either temporary or for a longer duration) of
the tonal center, or they are absorbed as a separate class of pitches within
the original key. We explore in turn how both of these perspectives were
practiced, beginning with that in which the key shifts as needed to keep
each chord within a diatonic context.
Chromatic pitches as modulatory triggers

As does Lampe, Rameau on occasion analyzes a harmonic succession with
reference to bass pitches rather than fundamentals [6.2]. A single chromatically inected pitch Fs in place of F prompts a reassessment of the tonal
center: G becomes a tonic note. The brevity of the example reinforces
Rameaus assertion that what follows the G chord is irrelevant to its interpretation. It is solely by means of the dierence between the progression of
a tone and a semitone ascending to the note bearing the perfect chord (accord
parfait) that one forms an analytical response. Once that perfect chord
sounds, the composer may choose to but is not compelled to resume
composition in the original key, since after a perfect chord we are free to pass
141
142

The composer is thus free to make the bass proceed by a tone or by a semitone, even if he should
be in a key in which the semitone is not appropriate; for since the dominant can be treated as a
tonic note, it may be approached using all those sounds which naturally precede a tonic note.

Rameaus brackets delineating regions in C Major (Ut), G Major (Sol), and again C Major admit
no overlap. At one later point in the example Rameau interprets the same chord successively in
two keys (writing whole note G twice within the same measure): the rst G closes a region in
G Major; the second opens a region in D Minor.
wherever we desire. Though Rameaus analytical notation does not convey

both interpretations simultaneously, his prose acknowledges the chords dual
meaning: we may still continue after this dominant (which would then
appear to be a tonic note) in the original key.2
A more extended example later in the Trait displays clear boundaries
between keys [6.3a]. The C chord of measure 1, analyzed in C Major (Ut),
lies outside the domain of the following dominant region (Sol), while the
G chord of measure 2 plays no role in the restored tonic region that follows.
Lampes analytical practice is suppler [6.3b]. His E6 chord (measure 2),
unlike Rameaus second chord, relates both backward to the key of C and
forward to the key of G.
Daubes analytical response to the raised fourth scale degree conforms to
Rameaus.3 In an example that begins and ends in D Major, Daube interprets
6.3b Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737), plate
17 (near p. 31).
The notion of what we now call a pivot chord the same event interpreted simultaneously in
two keys is amply demonstrated in Lampes analysis. Observe also that Lampe employs the
symbol 7th. for pitches such as E and B, and (7th.) for pitches such as Fs and Cs. The stroke
through the 7 reects a mere happenstance of music notation and not a distinction between
diatonic and chromatic. That is, each 7th is diatonic in the key in which it functions as the
seventh scale degree.
6.4 Daube: General-Ba in drey Accorden (1756), pp. 7071.

In [this] example one observes how through the addition of a single s this chord of the fourth
scale degree in D Major [G-B-D-E, a chord with added sixth] can be transformed into the chord
of the fth scale degree in A Major [inversion of E-Gs-B-D], and how one may reattain D Major
by applying a 7 to the A-Major tonic chord. [Bey ersterem Exempel siehet man, wie durch
Beysetzung eines einzigen s dieser 4ten-Accord von D dur knne in den 5ten-Accord von A dur
verwandelt werden: und wie man durch die 7 auf dem Grundtons-Accorde A dur wiederum in
D dur zurck gelangen knne.] Recall from chapter 1 that Daube pursues a functional analysis
focused on just three chords, all of which are invoked in this explanation.
Gs in the context of A Major [6.4], just as Rameau had interpreted Fs in G

Major [6.2]. Later, in the rst volume of Der musikalische Dilettant (1770),
Daube inaugurates the practice of numbering his three chords using the
digits 1, 2, and 3 [6.5].4 Though only one digit appears beneath each bass
note (or group of notes bound by a slur), his commentary is more nuanced.
In fact his explanation concords with the notion of Mehrdeutigkeit (multiple meaning) that would dominate later accounts of key shifts.
Koch explores the implications of approaching the dominant via the
raised fourth scale degree in the rst volume of his Versuch einer Anleitung
zur Composition (178293). Once this chromatically targeted dominant
arrives, the composer is at a crossroads (Scheideweg). If the original tonic is
restored, then the modulation is classied as incidental (zufllig) or a
brief discretionary modulation (eine kurze willkhrliche Ausweichung).
143
144
6.5 Daube: Der musikalische Dilettant: Eine Abhandlung des Generalbasses (177071),
pp. 8991.
This example is a continuation of 1.9. The numbers 1 through 3 refer to Daubes three principal
chords, introduced in chapter 1, above. The + or m symbol placed beside a number indicates
interpretation in another key. The label 1+ for the second chord of measure 11 is misleading.
Either 1 or 2+ was perhaps intended. Though it is tantalizing to speculate that Daubes
manuscript read 1 2+ and that this novel juxtaposition was botched during publication, it is
unlikely that Daube actually created such a pivot-chord numerical analysis: had he, he would
have labeled the G chord in the second half of measure 12 as 1+ 3. Daubes commentary reads
as follows: The numbers below the sta marked by a plus sign (+) denote the modulation into
the most closely related key, here G Major. This occurs on beat two of measure eleven. Here one
nds the 1 chord, namely the tonic C chord, and since this perfect concord functions also, as
explained above, as the 2 chord of G Major, the modulation into another key is most
opportunely accomplished at this point. The 3 chord of G Major follows, after which the
melody returns again to C Major after a few notes. Now at this point this chord must once again
sustain a dual role: namely, it should simultaneously also function as the harmony of the 3
chord of F Major, as we have put forward and amply demonstrated above. Now the melody is in
the second most closely related key to C Major, namely in F Major. This is indicated by the
double m symbol. But here it goes immediately back again into C Major, which occurs over
stationary bass F, a member of the 3 chord in C Major, and since it appears here in the bass, the
3 chord of C Major is in third inversion. [Die untenstehende Ziern, die neben sich ein
einfaches + haben, bedeuten die Ausweichung in die nchst anverwandte Tonart, welches hier G
dur ist. Diese geschiehet im eilften Tackt bey der zweyten Viertelsnote. Hier ist der erste Accord,
nmlich der herrschende Accord C, und weil diese ganze Harmonie zugleich auch, nach der
vorhergehenden Erklrung, im zweyten Accord von G dur bendlich ist; so ndet die
Ausweichung in eine andere Tonart die beste Gelegenheit auf dieser Stelle. Auf diesen Accord
folget der dritte Accord von G dur, worauf diese Melodie nach etlichen Noten sich wider zurck
in C wendet. Hier mu nun dieser Accord aufs neue eine zweyfache Stelle vertretten, nemlich er
soll zu gleicher Zeit auch die Harmonie des dritten Accords von F dur versehen, wie wir dieses
oben mit mehrern erwiesen und vorgelegt haben. Nun steht die Melodie in der zweyten
anverwandten Tonart von C dur, mithin in F dur. Dieses wird durch ein doppeltes m
angezeiget. Hier aber geht sie gleich wider zurck in C dur, welches durch die Liegenbleibung
des Basses geschiehet, als welches F auch im dritten Accord von C dur sich bendet, und da es
hier im Ba erscheinet; so stellt es die dritte Umwendung oder Verkehrung des dritten Accords
von C dur vor.]
But if the succeeding progression reinforces the dominant key, then the
modulation is essential (notwendig). In 1787 Koch revises his terminology and expands to three classications: incidental (zufllig), passing
(durchgehend), and structural (frmlich).5 In examples that follow Koch
employs a chromatic pitch to reinforce chords on the second, third, fourth,
fth, and sixth scale degrees of C Major, asserting that these alterations are
pertinent not to the foundational key itself, but instead to these related
keys (verwandten Tonarten).6 Ernst Wilhelm Wolf rearms Kochs selection of auxiliary keys (Nebentonarten) for a major tonic. He goes astray in
minor, however. Though he correctly asserts that the third, fourth, fth,
sixth, and seventh scale degrees constitute the Nebentonarten of a minor
tonic,7 his analysis of a passage from Hndels Alexanders Feast proceeds
from B Minor ultimately to Cs Minor, a turn of events for which he provides no rationale beyond a comment that passing cadences may target
goals that are generally avoided.8 Fortunately this and other aspects of his
analysis come into better focus by taking a broader view of the works tonal
context [6.6].
The nineteenth century thus inherited both a perspective concerning
which keys were most suitable as goals for modulation and a notion that
some modulations are more consequential than others, judging from how
long the alternative key persists and the means by which it is conrmed (its
leading tone being a principal factor in the latter). In the early nineteenth
century Antoine-Joseph Reicha, a Bohemian who lived for a time in Bonn
and Vienna before settling in Paris, distinguishes between conventional
(rgulire) modulation and modest transitory modulations (petites
modulations passagres) in his Cours de composition musicale [ca. 1816]. A
ten-measure example in C Major touches on most of the same keys that
Koch employs. Reicha provides brief commentary below the score, as
follows:
A passing modulation from C Major into D Minor.
Return [to C Major].
From C Major into F Major.
From F Major into G Major.
Return to C Major.
From C Major into A Minor.
From A Minor into D Minor.
Return to C Major.
and comments that these transitory modulations are so brief that the ear
does not lose the impression of the key of C Major, and they have moreover
145
146
6.6 Wolf: Musikalisicher Unterricht (1788), plate 28, ex. Qqq, with commentary
paraphrased from pp. 5152.
Wolf s abbreviated score for a passage from Hndels Alexanders Feast includes gured-bass
numbers instead of written-out chords. His harmonic analysis (paraphrased below the score,
above) is rendered within a textual commentary. (The original German is provided below.) In
measure 4 he omits a chordal seventh E above Fs, present both in Hndels score and in a printing
of an excerpt in Johann Friederich Reichardts Kunstmagazin (vol. 1, 1782, p. 140), to which Wolf
makes reference. He oers three dierent labels for the cadence that, in his view, occurs at that
point: half, Phrygian, and plagal.
Two questions on key choice arise from a study of Wolf s analysis. First, why does Cs Minor
occur prominently in the context of B Minor? And second, why does Hndel not include a
modulation to G Major? Hndels key choices would make better sense if Wolf had indicated that
the aria from which the passage is extracted is in A Major. As the chart below reveals, Hndels key
choices within this passage (measures 72 through 82, about two-thirds of the da capo arias
middle section) are more closely aligned with A Major than with B Minor.
6.6 (cont.)
Tonic and auxiliary keys of B Minor:
Tonic and auxiliary keys of A Major:
Hndels key choices:
b
b
b
cs
cs
D
D
D
e
E
e
fs
fs
fs
A
A
A
Wolf s commentary reads as follows: So wie es hier steht, geht es mittelst des Quartensprungs
im Basse zuerst in h moll; beym dritten Viertheil im ersten Takte macht es mittelst des kleinen
Septimenenakkords auf der Dominante von s eine durchgehende Kadenz, oder einen Gang in s
moll; im zweyten Takte, vermge des kleinen Septimenakkords auf der Dominante von e, eine
unterbrochene und durchgehende Kadenz in e moll; im dritten Takte mittelst des
Septimenakkords auf der Dominante von d, eine durchgehende Kadenz in d dur, und alsdann bis
zum vierten Takte, eine halbe oder phrygische Kadenz in die Dominante von h moll; (diese
Kadenz wird sonst auch eine plagalische Kadenz genennet;) im fnften und sechsten Takte,
mittelst der Quartensprnge, eine durchgehende Kadenz in h moll, eine in a dur, und im
siebenden Takte, mittelst eines Sextensprungs und eines Septimenfalles im Basse, eine
Ausweichung in die Dominante von s, die sich vermge des kleinen Septimenakkords in die
zwote Verwechselung des Dreyklangs von s moll aust; im achten Takte ergreift der Ba den
Unterhalbenton von cis, und modulirt durchgehend in cis moll; im neunten Takte eine
Fortschreitung in die Dominante von cis, und schliet im eilften Takte in cis moll.
the benet of enlivening a musical phrase which, without them, would often
turn out to be routine.9
Though Gottfried Weber maintains that many digressive modulations
are so very transient that they scarcely deserve the name10 and that the ear,
after imperfect digressive modulations, is inclined of its own accord to resume
again its state of attunement to the yet scarcely quitted principal key,11 the
analyses of block-chord progressions in his Versuch einer geordneten Theorie
der Tonse[t]zkunst emphasize key shifts at the expense of continuity.12
Chromatically reinforced chords will inevitably appear to be the most
signicant in his analyses. In one example he calculates the intervals
between adjacent tonicized keys: C Major to D Minor is an ascending major
second (2); D Minor to F Major is an ascending minor third (3); F Major to
C Major is an ascending perfect fth (5); and so on [6.7]. Thus CdFC
is highlighted at the expense of G (the eighth chord), which, though lacking
a preparatory Fs, plays a vital role within the progression arguably more
vital than either d or F.13
Webers analytical system had a wide inuence. It became routine for
nineteenth-century analysts to extract a chord containing an altered pitch
from its tonal context and to assign it a temporary home key for diatonic
interpretation.14 This preoccupation with diatonic identity matching the
components of every chord to one of the twenty-four pitch collections of
the tonal system proliferated at the expense of connectedness. In a progression that begins in C Minor, Jadassohn interprets Fs-A-C-Eb in G
147
148
vol. 2, p. 193 [Warner, p. 411].
Weber indicates interval quality by the left/right positioning of a bullet beside an Arabic numeral:
minor/major for imperfect intervals, perfect/augmented for fourths, and diminished/perfect for
fths. Chord quality is indicated by the size of the Roman numeral.
6.8 Jadassohn: Die Kunst zu moduliren und zu prludiren (1890), p. 175.

Compare Jadassohns treatment of two successive diminished seventh chords here with that of
Momigny [6.11, mm. 1213]. Though Momigny does not analyze the harmonic progression, he
marks the chromatic elements (in the context of C Major) with lled-in noteheads and asserts
that the progression occurs entirely within the key of C Major. Jadassohn instead indicates a
diatonic context for each chord, neglecting to provide a rationale for the succession from one
chord to the next.
Minor15 even when the resolution is to G-Bn-D (which, in any event, he analyzes in neither G Major nor G Minor) [6.8]. And a surprising tierce de
Picardie is rendered humdrum by his shift to C Major before even the
preceding dominant. Jadassohn seems blithely indierent concerning the
progression of two consecutive diminished seventh chords and the apparent unconventionality of the dissonance treatment.16 The progression sits at
the boundary between what he regarded as cogent and what was considered
to be beyond concrete appraisal from a harmonic perspective. Concerning
a longer progression of diminished sevenths, Weber comments: If moreover a really equivocal chord be followed by still others which are themselves
also equivocal . . . the ear must at last entirely lose the thread of modulations
so very complicated and can really no longer know where it should be, but
is obligated as it were to uctuate hither and thither between several keys to
which the dierent harmonies occurring might belong.17
As we saw in chapters 3 and 4, an extended progression of chords was

often understood in terms of its component two-chord harmonic successions. This narrow view of chordal interaction is conducive to a similarly narrow focus concerning chromatic chords. A chords role within
its broader context often is not considered. Instead its immediate implication, based upon a diatonic interpretation of its pitch content, is the
decisive factor, and consequently the key will shift whenever the chordal
pitch content asserts elements that contradict the prevailing key. Thus
we observe Jadassohn freely juxtaposing two 7 chords [6.8], or
Weber four V7 chords [3.7b]. Yet one wonders whether the musical passages they analyze actually uctuate hither and thither, as Weber
claims, or if instead their analyses give the false impression that they do.
If the latter is the case, then alternative analytical strategies would be
welcomed.
An opposing camp indeed did emerge early on, rejecting the modulatory stance or in some cases juxtaposing broad one-key and narrow multiple-key perspectives, as does Lampe [6.1]. Consequently there was no
simple answer to the simple question: What key are we in? At issue is
whether a pitch that is external to the prevailing keys diatonic collection
should be interpreted as diatonic in another key, or instead as a chromatic
element within the prevailing key. Though the dilemma persists to the
present day, one can take comfort in the fact that both modulating
and non-modulating modes of analysis have been practiced since the
eighteenth century. We now focus on the latter perspective.
Non-modulatory analysis
Despite the appeal of the modulatory practices described above, another of
the strategies we observed in Lampes pioneering analysis that of retaining a focus in the original tonic key despite chromatic elements persisted
as well. In his Essay towards a Rational System of Music (1770), Holden
expands upon an example in G Major from Lampes A Plain and
Compendious Method of Teaching Thorough Bass [6.9]. Whereas in this case
Lampe interprets all chords containing a chromatic pitch in an occasional
key only (targeting A Minor, B Minor, C Major, D Major, and E Minor18),
Holden supplies a second row of numbers to track the locations of the bass
pitches within the original tonic key. He explains that Lampe did not
pursue the imitation [marked by brackets] but one step further to the bass
progression
149
150
6.9 Holden: An Essay towards a Rational System of Music (1770), plate VII, ex. LI
(facing page 88).
The upper row of numbers and letters below the sta is by Holden, while the lower row is
derived from Lampe. K represents the Key note, whereas k stands for an occasional key. The
gure 7# above E in measure 4 (present in Lampes treatise) was inadvertently omitted in Holdens
version.
6.10 Kirnberger: Die Kunst des reinen Satzes in der Musik (177179), vol. 1, p. 111 (n.)
[Beach and Thym, p. 129 (n.)]
Though chords rooted on G (measure 2), D (measures 3 and 6), and A (measures 4 and 5) are all
either preceded or followed by their major dominants, the lack of further conrmation induces
Kirnberger to retain C as tonic throughout, despite the abundant chromaticism.
CFnGC
\ 5 k) 5 k) /
because F falls outside the system of G.19
Kirnberger stresses the importance of a pitch foreign to the former key
one that erases its eect in establishing a new key.20 But if that new key
is not given a substantial conrmation, he advocates absorbing such chromaticism within the initial key: Although thirds taken from outside the
scale of a given key (which are indicated by accidental sharps or ats) usually
indicate a modulation, this is not always the case. Often no modulation takes
place . . . For if one does not actually go to the announced key, or if one
abandons it immediately, no modulation has occurred. Thus the following
period is entirely in C Major [6.10].21
Toward the end of the 1770s Vogler, in early experiments using Roman
numerals for harmonic analysis, makes surprising accommodation of chromatic pitches [1.4]. In C Major, the numeral IV appears below both F-A-C
and Fs-A-C-E, while in A Minor, II is used for B-Ds-F-A, IV for Ds-F-A, V
for E-Gs-B, and VII for Gs-B-D-F. By the time of his Handbuch zur
Harmonielehre (1802), he incorporates a sharp as a component of Romannumeral labels corresponding to chords with raised root: IVs and VIIs.22
(As in his earlier analyses, the accompanying gured-bass symbols acknowledge alterations aecting other chord members.) In this way Voglers system
embraces not only some of theoccasionalinections to which others might
respond by changing key, but also chords in which chromatic alteration produces the interval of a diminished third or its inversion, the augmented sixth.
To justify his procedure Vogler asserts the necessity of the leading tone in
minor keys: The cadence from the chord on the fth scale degree to that on
the rst, and that from the rst to the fth, are usable . . . in a minor key as
well; so long as the minor third above the fth scale degree is raised, the
harmony will thereby be conclusive and . . . cadential.23 Through analogy,
and through recourse to acoustics,24 he justies raising the fourth scale
degree as well:
What the seventh scale degree in a major key or the raised seventh scale degree in a
minor key is to the rst or eighth scale degree, the raised fourth scale degree is to the
fth. That one may bring about a cadence on the fth scale degree that, if not complete, nevertheless functions cadentially at a subordinate level, has been . . . established and conrmed through examples. But if one investigates the fourth scale
degree in the harmonic series, as 1/11 . . . it is closer to B than to Bb in F Major, closer
to F# than to F in C Major. Consequently the fourth scale degree can be raised even
apart from the analogy with the seventh scale degree.25
Yet in at least one case he prefers that the raised fourth scale degree be perceived as a leading tone in the dominant key:
The cadence from the chord on the second scale degree to that on the fth scale
degree occurs only in the minor mode, since in the major mode, as soon as one
wants to join a major third to the second scale degree, it would no longer be the
second scale degree but most assuredly the fth scale degree of another key, for
example:
II ia
II if
II iD
II in C
a
fs
D
V in G.26
In other cases he allows two alternative analyses to coexist (Zweideutigkeit).

Fs-A-C may be analyzed as IVs in C or as VII in G, and B-Ds-F may be analyzed as II in A or even as V in E.27
In France, Momigny ardently endorses the chromatic and enharmonic
expansion of a keys pitch palette. In the at direction C Majors seven diatonic pitches (B E A D G C F) are followed by ve chromatic pitches (Bb Eb
Ab Db Gb) and ve enharmonic pitches (Cb Fb Bbb Ebb Abb). Likewise in the
151
152
6.11 Momigny: La seule vraie thorie de la musique [1821], pp. 7778.

Example entirely in the key of C Major with the employment of chromatic pitches. Nine of
C Majors ten chromatic pitches are employed: Cs, Db, Ds, Eb, Fs, Gs, Ab, As, and Bb.
sharp direction the seven diatonic pitches (F C G D A E B) are followed by

ve chromatic pitches (Fs Cs Gs Ds As) and ve enharmonic pitches (Es Bs
FS CS GS).28 Like Vogler he endeavors to replicate common cadential formulas through exact imitation (imitation exacte). Thus G-B-D-F to C-E-G
serves as model for D-Fs-A-C to G-B-D, or for C-E-G-Bb to F-A-C, all
within the key of C Major. The allure (appat) of the half-step and our
natural love of symmetry sanction these chromatic adjustments. In
comparison, their diatonic counterparts would seem savage (sauvage),
suited to barbaric music (Musique barbare). Momigny recognizes that his is
a minority view: This Fs is in the key of C and not in G, as is generally
believed.29 And he is certain that he is correct: the title of his treatise is The
Only True Theory of Music (La seule vraie thorie de la musique). Perhaps
irked that Reicha, and not he, had been appointed to a professorship at the
Paris Conservatory, he quotes an example from Reichas Cours de composition musicale [ca. 1816] only to condemn all its modulations (petites modulations passagres, to be sure). Reichas tonic in D Minor is, for Momigny, the
second of C Major, while Reichas tonic in G Major is, instead, the dominant
of C Major.30 In a provocatively crafted example Momigny highlights the
abundant chromaticism with lled-in noteheads or the abbreviation ch.
[6.11].
Whereas Momigny seems antagonistic towards those for whom chromaticism routinely induced modulation, Jelenspergers analytical practice is
eclectic, with occasional juxtapositions of modulating and non-modulating

p. 51 [Hser, p. 48].
Chromatic alterations are acknowledged by symbols beside or through the Arabic numbers in
Jelenspergers single-key analysis. (See 1.7, above, for an explanation of these symbols.) His
multiple-key analysis leads from G Major (Sol) through A Minor (la), B Minor (si), C Major (Do),
D Major (R), and E Minor (mi) the same keys Lampe and Holden employ in 6.9.
analyses of the same progression [6.12]. His procedure is methodologically

similar to Holdens [6.9], though it treats more sophisticated chromaticism.
In the upper line of analysis frequent key shifts facilitate a diatonic interpretation of each chord. This conception echoes Gottfried Weber (though
without Webers preoccupation with chord quality) and demonstrates
Jelenspergers command of a methodology then rarely practiced with such
vitality in France. (In fact, it so aptly captured German tendencies that
within three years of its appearance in Paris, Breitkopf & Hrtel published a
translation of Jelenspergers treatise in Leipzig.) This analysis amounts to
chordal juxtaposition rather than progression: note the three consecutive
5 labels and the two consecutive 1 labels in 6.12. But Jelenspergers
treatment extends further: a second row of analytical numbers relates
each chord to the original tonic key, G Major. Though Momigny had
embraced this notion in principle, he did not implement it with such a profusion of symbols. One may wonder which method Jelensperger prefers. His
answer: Whenever the distinction between half and full modulation is
uncertain, it is of no consequence whether one indicates a dierent tonic
[full modulation], or writes with parentheses [half modulation]; in all
such cases one chooses the sort of representation which appears to be the
simplest.31
Lobe, who spent part of his career teaching and composing in Weimar
(where A. F. Hser, Jelenspergers translator, served as a choral conductor),
was strongly inuenced by Jelenspergers treatise. (Jelensperger had died at
a young age during the three-year period between the French and German
editions.) Even so he rejects non-modulatory analysis, though he nds its
practice to be suciently prevalent among the progressives as to warrant
comment:
153
154
6.13 Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858), pp. 241, 243.
(a) marks chords analyzed in a manner that Lobe endorses.
(b) marks chords analyzed in a manner that Lobe rejects.
Modern theorists do not want to interpret chords such as those at a. x and b. x in

[6.13a] as true modulating chords, but as altered chords within the key.
Why?
Because the sense of the prevailing key is not supplanted through such interpolated chords . . . It is as if [the chord] were putting in an appearance here wearing a
disguise, so to speak.32
Lobe endorses the altered-chord strategy only for cases where a chord is
formed using pitches for which a single source key does not exist. For
example, he approves of the label 2 for chords that incorporate an augmented sixth [6.13b].33 Yet he marks most of the so-called altered chords
in this example with an x to indicate that he rejects the novel analysis that
he displays.
As the century progressed, and as chromaticism became ever more

prominent in contemporary music, the clash between adherents of the two
stances continued unabated. Josef Schalk, defending the altered-chord viewpoint, sums up the situation as follows:
The notions of chromatic progression and actual change of key (modulation)
generally have been so indiscriminately applied that it has become very dicult
to distinguish between them. Above all the scope of a key must be understood in a
broader sense than formerly. As a result it should not be necessary to go through constant modulatory transitions when nothing more than chromatically altered chords
appear, and true modulation can be reserved for those situations where a second key
is operative with true independence for one or more periods or sections.34
Just as a pitch plays multiple roles in various keys, so do chords. The

German term Mehrdeutigkeit (multiple meaning) is used to designate
this capacity, as when C-E-G could represent I in C Major or V in F
Major, or when C-E-G-Bb could represent V7 in F Major or (understood
as C-E-G-As) a German augmented sixth chord (a modied II9 with
absent root) in E Minor. On the one hand, multiple interpretations of a
single chord provide an expedient means of moving from one key into
another. On the other, when each chord under consideration can be
interpreted in a variety of ways the aptness of an analysis may come into
question: if C-E-G can function diatonically as I in C Major or IV in G
Major, or chromatically as bII in B Minor or bVI in E Major, when is an
analysis neglecting important information by omitting some of these (or
other) choices? Or, once the analysis of how a chord does behave comes
into focus, what is one to make of the alternatives that a listener may have
contemplated (how the chord might have behaved)?
Ultimately every analysis is a conjecture, including some and omitting
other potential interpretations of the varied chords that parade past.
Lobe asks us to hear the Neapolitan sixth as a diatonic 4 chord in the prevailing keys submediant key [6.13a, example a]. If we do not hear it that
way, are we not hearing nineteenth-century music the nineteenthcentury way? Or is Lobes analytical practice at odds with how composers
of his time conceived of chromatic chords?
One pursues harmonic analysis despite such nagging questions.
Ultimately one develops a set of convictions, accepting the fact that
clashes (such as modulating versus non-modulating modes of analysis)
are inevitable. In the discussion of Mehrdeutigkeit that follows we will
explore, in the context of a Mazurka by Chopin, what happens when
155
156
analysis is carried out concurrently in two keys with some chords that
are diatonic in one interpreted as chromatic chords in the other, in equal
measure. Though this may seem an equitable and creative response to the
Mehrdeutigkeit dilemma, ultimately it leads to interpretive indierence.
The most eective analysis probably lies somewhere between strict diatonicism, in which the key shifts whenever triggered by a modication in
the pitch content, and free chromaticism, in which so many altered
chords are accommodated within a single key that two dierent keys may
seem equally viable for an entire progression.
Multiple meaning
The arithmetic is telling: just twelve major triads, twelve minor triads, and
twelve diminished triads are the building blocks for the diatonic harmonies of all twenty-four keys. So, as Vogler observes, A-C-E may play the
role of I (in A Minor), II (in G Major), III (in F Major), IV (in E Minor), V
(in D Minor), or VI (in C Major).35 His term for multiple meaning
Mehrdeutigkeit expands the notion of zweideutig: ambiguous, equivocal.
The concept is applied not only to chords of stable spelling (Voglers type
two Mehrdeutigkeit), but also to chords amenable to enharmonic reinterpretation (type one Mehrdeutigkeit), a topic we defer until chapter 7. Just
as Lampe provides dual interpretations of individual bass pitches in 1737
[6.3b], many later analysts provide dual interpretations of chords Crotchs
doubtful chords, our pivot chords as a means of negotiating a modulatory transition [6.14].
Gottfried Weber suggests that the meaning we assign to the chords of a
harmonic progression, or even the key we choose for analysis, will shift upon
repeated hearings. Once aware that a modulation is about to occur, we anticipate it in how we perceive the preceding chords.36
Chromaticism complicates and enriches the environment in which such
analytical assessments are made. Whereas Vogler analyzes a brief progression with the conviction that a major key contains only three major triads,
modulating from A Major to E Major in response to the pitch Ds [6.15a],
other analysts might regard such a chord as rooted on the initial keys second
scale degree (as demonstrated in 1.7, 6.9, and 6.12 in their respective keys).37
Choosing the key for analysis thus becomes a selective act of interpretation
as modulation becomes more often an option than an imperative. If a key
indeed possesses the mix of diatonic, chromatic, and enharmonic pitches
catalogued by Momigny, then each key is far less exclusive than previously
6.14a Crotch: Elements of Musical Composition (1812), plate 35, ex. 364.
Gradual modulation signies such as is eected by doubtful chords, or chords common both to
the original key, and to that into which the modulation is made (p. 87).
6.14b Savard: Cours complet dharmonie [1853], vol. 1, p. 100.

The route from C Major (UT majeur) to Eb Major (MIb majeur) passes through C Minor (UT
mineur), since C Minors submediant (sus-dominant) is Eb Majors subdominant (sous-dominant).
conceived, and the total pitch content of a passage under analysis will more
likely t within one key.38 Eventually some responded to this situation by
pursuing analysis in multiple keys simultaneously, an enterprise that even
Vogler explores in a diatonic setting [6.15b] but whose potential expands
when the chromatic oodgate is opened [8.22].
In Chopins Mazurka in A Minor (op. 7, no. 2) the middle section, governed by a three-sharp key signature, opens with eight measures during
which D major and A major chords, preceded by their respective dominant
sevenths, take turns in lling the mazurkas potent second beat [6.16]. In all,
nine of the twelve pitch classes occur within each two-measure cycle. An
analysis oering a diatonic interpretation of each chord would need to draw
upon the pitch collections of three keys:
measure:
bass:
D:
33
A
V7
D------I
a:
ii6
A:
34
E
A, etc.
V7
157
158
6.15 Vogler: Handbuch zur Harmonielehre (1802), table III, g. 2; table IV, ex. x.
(a) Without visual signal Vogler switches from analysis in the context of A Major to analysis in the
context of E Major between the third and fourth chords.
(b) This progression employs only the six pitch classes shared by C Major and F Major. Vogler
weakens his case for interpretation in F Major by constructing the C chords with doubled E
(Fs leading tone).
Such an analysis suers from the malady of unconnectedness, a concern

mentioned in connection with 6.8 and 6.12.
In this composition the question of whether D or A is the controlling
tonic is especially problematic, in part because the progression loops back
upon itself again and again. Simultaneous analysis of the principal chords
in both keys, acknowledging chromatic coloration where warranted, leads
to equivocal results:
bass: A
D:
A:
7n
IV
7
s
87
II
8 7n
7
s
87
II
IV
D...
I...
I...
Is Chopin teasing us, in a musical equivalent of the familiar diagram that

could represent either an ornate vase or facing proles, depending on which
part is regarded as solid?
In his Harmonielehre (1900), August Halm presents a progression containing, like Chopins, two seemingly equivalent segments: statement
(Vortrag) and answer (Antwort) [6.17]. Its ambiguity results from the succession of two competing descending-fth bass motions Halms axiom of
movement (Axiom der Bewegung).39 The abandonment of traditional
6.16 Chopin: Mazurka in A Minor, op. 7, no. 2 (1832), mm. 3140.

The eight measures that open the middle section of the work (measures 33-40) are shown here
preceded by the close of the opening section, with a cadence in A Major during the second ending.
6.17 Halm: Harmonielehre (1900, 21925), plate I, ex. 3a (transposed).

The example, presented by Halm in C Major, is here transposed to A Major. In contrast to
Chopins mazurka, Gn (the pitch that might erase the eect of A Major) does not occur.
voice-leading draws attention to the descending contour. Because tonics

authority is challenged in the statement, its return in the answer results in a
deeper armation of the key. Between the two halves lies a ssure (Kluft),
indicated by double vertical strokes. Halm regards the subdominant as
a mere pseudo-tonic, fostered by the legitimate tonics behavior as a
159
160
dominant (IIV functioning as VI, emphasized by Chopin with Gn above

A). We might perceive a caesura, but not a cadence, at IV. This threat to tonic
motivates the continuation: V follows IV to steer the progression back to I.
The subdominant and dominant chords bear no anity. In fact, Chopins
intervening diminished 63 (D-Fn-B) mitigates the potential harshness of the
succession from one to the other. (Compare with Rameaus notion of double
emploi [1.17].)
For Halm, tonic is the king of the key.40 Yet identifying tonic when chromaticism-fortied keys compete for supremacy can be challenging. Are A
Major and D Major indeed equally viable candidates for tonic in this region
of Chopins mazurka? Certainly not. Churning out dual labels for each
chord is lacking in illumination because it evades the very judgments that
would give focus to the passage. These judgments are inuenced by consideration of the melodys shape alternating ascending A major triads (ACs
(E)) and descending E dominant seventh chords (DBGsE) and of the
chromatic inner-voice descent that recurs once every two measures: A (Gs)
| Gn Fs Fn | E. These features establish the priority of A-Cs-E over D-Fs-A, a
point that could be missed in analyses focused either on establishing a diatonic legitimacy for each chord through frequent modulation, or on the
opposite regarding all chords as functional in all keys.
A number of our recent examples have displayed a mehrdeutig relation
between tonic in the initial key and dominant in the subdominant key
[6.3b, 6.5, 6.9, 6.14a, 6.15b, 6.16]. Whereas a chord such as Bb-D-F is
neutral it perfectly fullls the requirements of tonic in Bb Major and of
dominant in Eb Major the case of Bb-D-F-Ab is less equivocal. The urge
towards Eb is strongly felt, and the diatonic pitch collection of Bb Major
is violated.
We conclude this chapter by considering how a chord such as Bb-D-FAb may be regarded as a tonic, despite its minor seventh. To represent the
contrasting, strictly diatonic perspective, I call upon the pedagogue and
textbook author Ebenezer Prout. In one of his analyses published in 1903,
we note that such a minor seventh would trigger modulation to the subdominant key. (His symbols allow this to be displayed in two dierent
ways, one less decisive than the other.) For the alternative view that in
some contexts the presence of the tonic root is so vital to the harmonic initiative that the chords tonic role is embraced despite an errant seventh I
call upon four authors, all of whom published a harmony treatise between
1906 and 1911: the Munich team of Rudolf Louis and Ludwig Thuille, and
the Viennese luminaries Heinrich Schenker and Arnold Schoenberg.
6.18 Prout: Analytical Key to the Exercises in Harmony: Its Theory and Practice
[1903], p. 28.
The variegation of Prouts Roman numerals to indicate major, minor, and diminished qualities
stems from Gottfried Weber. The letters b, c, and d correspond to rst through third inversions,
respectively. (This is a British phenomenon. Compare with 6.19c.) Prout interprets all 64 chords
harmonically as second inversions.
Prouts modulatory practice

As the nineteenth century was drawing to a close the industrious Ebenezer
Prout churned out a new textbook or supplement almost every year. His
Analytical Key [1903] oers solutions to the exercises in the revamped sixteenth edition of his Harmony: Its Theory and Practice, rst published in
1889. Prouts readers were expected to be industrious as well: they were
asked to supply a Roman numeral and indication of inversion for every
chord of each exercise, in addition to composing three upper lines to realize
the given gured bass [6.18]. They also grappled with the implications of
chromatic pitches, invoking one of two analytical responses: modulation
(e.g., Fs in measure 2 triggers a move to G Minor); or transitional dominant41 (e.g., Bn in measure 3, En in measure 5, and Ab in measure 5 trigger
the analysis of a single chord in the key of its successor).42 The G minor
chords in measures 1 and 2 are analyzed twice, in the contexts of the keys
that precede and follow. They are what Prout calls ambiguous chords, yet
another term to describe what others refer to as mehrdeutig, doubtful,
intermediate, or pivot.
Though Prouts analysis might appear to be in order, the symbols do not
add up to a compelling vision of how the example is fabricated. For example,
161
162
G Minor in measure 2 seems unduly favored, as the focus of the exercises

only modulation. Is it not, however, just a step along the path between tonic
and supertonic? Were its dominant not preceded by a 64 (measure 2, beat 1),
Prout likely would have analyzed it via a transitional dominant, as he did the
supertonic in measure 3:
m.
Bb:
2
vi (g: V)
vi.
Moreover the half cadence in measure 4, which divides the progression into
two four-measure phrases, has received no special analytical notice. A more
selective Roman-numeral analysis, conceivable at about this time from
Louis and Thuille in Munich or Schenker in Vienna, could better convey the
similarity between the two phrases, both of which contain a bass line that
extends from Bb through G to Eb on the way to F.43 In Prouts notation, such
an analysis might appear as:
m.
1
I
2
vi
3
iib
4 5
V, I
6
IVb
7
iib V7
8
I.
An especially revealing detail of Prouts analysis occurs at measure 5,

beat 3. Viewed locally, these pitches indeed do form a dominant seventh
chord in Eb Major, in a way described a century earlier by John Callcott as a
partial modulation:
Whenever the Dominant and Tonic of a new Key are employed without the
Subdominant Harmony, such change constitutes a partial modulation.
One change of this kind arises when the Seventh of the Major Mode is attened
[e.g., Ab in 6.18, measure 5], and the Modulation returns again through the Leading
Tone to the Tonic.44
The analytical symbols for Prouts transitional dominant vividly convey the
partial nature of the modulation: only the chord containing the chromatic pitch is interpreted in the temporary key; the goal chord retains its
position within the original key. Prout thus accommodates the modulatory
practice that was on display in recent German publications by Lobe and
Jadassohn [6.19a, b] while attempting some commonality with his British
predecessor Alfred Day, who rejects modulation in this context [6.19c].
Prouts notion is appealing and, in less cumbersome notation, survives as
the secondary or applied dominant chord in modern harmony textbooks. Yet Louis and Thuille provide a more compelling analysis of a
similar passage by extending a horizontal line from Roman numeral I, fostering the notion of multiple meaning that even with an added minor
6.19a Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858), p. 159
(transposed).
6.19b Jadassohn: Lehrbuch der Harmonie (1883, 131911), p. 98 (transposed).
(a) The dot above the 5 acknowledges the chordal seventh.
(b) Prouts bass (measure 4, beat 3, through measure 6, beat 1, of 6.18) corresponds to Jadassohns
soprano.
6.19c Day: Treatise on Harmony (1845), p. 77 (transposed).

The seventh on the tonic may also be followed by the common chord of the subdominant . . .
This is not a modulation into the subdominant. The letters A and B indicate root position and
rst inversion, respectively.
6.19d Louis and Thuille: Harmonielehre ([1907], 41913), p. 383.

In this analysis of an excerpt from Brahmss Variations on a Theme by Hndel (op. 24), beat 3
of measure 1 is analyzed dually as tonic in Bb Major (B) and as dominant in Eb Major (Es).
163
164
6.20 Three perspectives on tonics prolongation (Prouts measures 4 and 5)

In the models above, bass Ab and soprano D form an augmented fourth whose resolution
tendency targets the subdominant chord, thereby strengthening tonics inherent propensity to
lead to IV. Prouts dominant (measure 5, beat 2 of 6.18) is hierarchically dependent upon the Bb
chords that precede and follow it, even if an elision (bass Ab arriving with rather than after Bb)
taints the succeeding tonic. Kirnberger displays similar instances of such elision in Die Kunst des
reinen Satzes in der Musik (177179), vol. 1, pp. 8990 [Beach and Thym, p. 108], suggesting that
resolving bass A to Bb before moving to Ab would be characteristic of the strict style. Prouts
version (AAb in measure 5) could occur, according to Kirnberger, in the free style. See also 3.7b,
in which Webers Roman numerals accord with Prouts interpretation.
6.21a Schenker: Harmonielehre (1906), p. 428, ex. 366 [Borghese, p. 326, ex. 295].
seventh, the subdominants dominant retains a tonic role [6.19d]. Thus just
as the submediant and the supertonic in Prouts rst phrase are extended
via their dominants (or dominant derivative, the leading tone chord), in
measure 5 tonic is extended via its F major dominant, even if the tonic
chord contains an added seventh, Ab, upon its return. Prouts analytical
notation makes it dicult to come to this reasonable conclusion [6.20].
A similar construction occurs in Chopins Prelude in Db Major [6.21].
Chopin lls in the tonic triads lower third (DbEbF) in the soprano
6.21b Schoenberg: Structural Functions of Harmony (1954), p. 122, ex. 128.

In their analyses of an excerpt from Chopins Prelude in Db Major (op. 28, no. 15), both Schenker
and Schoenberg regard the Dbb7 chord, which Prout would analyze exclusively in the context of Gb
Major, as a representative of tonic in Db Major.
(measures 89) while descending from tonic chromatically (DbCCb) in

an inner voice. (Compare with soprano BbCD and bass BbAAb in
Prouts measures 4 and 5.) Both Schenker and Arnold Schoenberg label the
Db-F-(Ab)-Cb chord at beat 4 of measure 9 as tonic. Schenker indicates with
an Arabic numeral and accidental that the minor seventh is utilized. He also
suggests, parenthetically, that the chord produces the eect (Wirkung) of a
dominant in Gb Major. (Compare with 6.19d.) Schoenberg acknowledges
Chopins use of substitute tone Cb by placing a horizontal line through the
Roman numeral I. In this case tonic functions as an articial dominant
seventh chord leading to IV.
Prout asserts that the value of a thorough analysis to the student who
wishes for an intelligent mastery of his subject can hardly be overrated.45
Though we may heartily support him in principle, we must acknowledge
that his analytical practice lacks the sophistication and artistry that was
emerging around this time especially in Munich and Vienna.
165
Chromatic chords: diminished/augmented
Chords via licence

The diminished seventh and the augmented sixth are among musics most
intriguing intervals. An example by the Scotsman John Holden puts
them in the spotlight [7.1]. Chords containing these intervals are products
of licence: the substitution of a special pitch for a conventional one.1
E Minors dominant root, B, is replaced by the sixth scale degree, C (measure
2, beats 1 through 4); and its fourth scale degree, A, by a chromatic variant,
As (measure 3, beats 2 and 3). These transformations, in various inversions,
appear in the thorough bass and the upper voices (represented by the
gures), while the analytical fundamental bass presents the progression
without substitutions.
Measure 2 bears the imprint of Rameau [7.2], whose Trait de lharmonie had recently appeared in an abridged English translation. Each of
the chords four members serves in turn as bass in Holdens progression. In accordance with the conventions of a regular cadence, the resolution is to the perfect chord of the key E minor on the downbeat of
measure 3.
The two chords that precede the cadential dominant of measure 3 contain
an extreme sharp (augmented) sixth or an extreme at (diminished)
third, again derived via substitution. The other inversional possibilities, for
which stepwise resolution to the dominant root is impossible, are not
shown. Holden mentions in passing that the chord on beat 2 has been
called the Italian sixth; probably because they rst introduced it.2 Though
the versions of the chord that Holden presents correspond to what we now
regard as the French and German varieties of the chord, his comment
conrms that a special nomenclature for augmented sixth chords was in use
among the British by 1770.3
Because Rameaus Trait de lharmonie does not account for augmented
sixth chords, Holden was acting without that authority in choosing A as
their fundamental pitch. He correlates the situations in measures 2 and 3 of
7.1: C a half-step displacement of fundamental B; As a half-step displacement of fundamental A. Rameau incidentally had oered a perspective on
7.1 Holden: An Essay towards a Rational System of Music (1770), plate IX (facing
page 98), ex. LXV.
The caption Substitution refers to C in measure 2 (substitute for B) and As in measure 3
(substitute for A). Unfortunately the examples concluding measures were squeezed into a limited
space at the bottom of a plate, severely compromising their legibility. Holdens commentary
conrms that the second chord of measure 3 might contain either the pitches
As
Fs
E
C
or
As
G
E
C
(that is, either 4 or 5 with raised 6 and 3), while the third chord might contain either the pitches
G
E
C
As
or
Fs
E
C
As
(that is, either 7 or 6 [with 5 and 3]). The symbols above fundamental bass pitch A likewise are
potentially confounding. They apparently imply that either a 6th Fs or 7th G belongs with the
rst chord (along with 5th E [and 3rd C]), and either a 7th G or 6th Fs belongs with the second
chord (along with 5th E [and 3rd C]). In both cases the fundamental pitch is A. (As in Rameaus
theory, where scale degree four is the site of the accord de la grande sixte, this 65 chord is in root
position. Holden, like Rameau, regards a sixth and a seventh as alternative forms of dissonance
that may be applied.)
7.2 Rameau: Trait de lharmonie (1722), p. 282 [London (1752), p. 100].

We say that the Chord of the extreme sharp [augmented] Second and its Derivatives are borrowed
Chords, by reason that the Governing-note [dominant] lends her Fundamental to the sixth Note
of at Keys, from whence this Chord of the extreme sharp Second and its Derivatives proceed.
6
the 43 chord in sources that Holden would not have known. Contrasting
Holdens fundamental A, altered to As and supporting added sixth Fs, in
the Mercure de France Rameau shows a derivation from the half-diminished
seventh chord on Fs, scale degree 2 [7.3a]. That perspective recurs in his
167
168
7.3a Rameau: Lettre de M. M. sur la Musique, Mercure de France (September 1731),

plate 1 (transposed) [reprinted in The Complete Theoretical Writings of Jean-Philippe
Rameau (196772), vol. 6, p. 64].
7.3b Durutte: Esthtique musicale (1855), p. 191.
(a) Rameau displays rst A and then As above bass C in the examples third and fourth chords.
Fundamental Fs is displayed below both chords. Holden applies this transformation to the second
of Rameaus chords as well [7.1]. Rameaus example was published in C Minor with a two-at key
signature, here transposed to an E-Minor equivalent to facilitate comparison with Holdens
example. The abbreviations s, q, si, and t beside basse continue and basse fondamentale pitches
indicate scale degree 2 (seconde note du ton), scale degree 4 (quatrime note du ton), scale degree 6
(sixime note du ton), and tonic (note tonique), respectively.
(b) An echo of Rameaus analytical notation is found over a century later in Duruttes Esthtique
musicale. Duruttes second chord corresponds to Rameaus fourth chord. Like Rameaus s
beside fundamental bass note Fs, the lowest 2 in Duruttes analytical label indicates that scale
degree 2 serves as root. (The superscript 2 indicates that the chord appears in second inversion.)
7
7
Rameaus gures s5 and Duruttes +5 are equivalent. (Compare with the last of Voglers ten
cadences [1.4].)
Code de musique pratique (1760)4 and has persisted as a viable interpretation [1.4 (cadence 10); 5.18 (measure 18); 7.3b].
Though Marpurg regarded himself as Rameaus stalwart champion in
Germany, he apparently knew as little about Rameaus thoughts on the augmented sixth chords as did Holden. He presents them as an intermixing of
diatonic elements from two keys. They belong to a special category of chords
that he calls mixed (gemischte) or fantastic (fantastische).5 Two triadic
formations ground his augmented-sixth derivation:
major diminished (harte verminderte)
diminished diminished (verminderte verminderte)
B-Ds-F
Ds-F-A
These chords employ A Minors diatonic F, E Minors diatonic Ds, and A or

B, diatonic in both keys. Upon inversion, the latter becomes F-A-Ds
[modern Italian]
Adding a seventh to the two triadic formations and inverting them, the following derivatives result:
43 chord with the augmented sixth
(Terzquartenaccord mit der bermigen Sexte)
augmented 65 chord
(bermige Sextquintenaccord)
F-A-B-Ds [modern
French]
F-A-C-Ds [modern
German]
Marpurg rejects the employment of the root-position forms

(Stammaccorde), asserting that in practice they occur in only one of their
generative keys (A Minor for the spellings above) and in only one position
(scale degree 6 in the bass).
Marpurgs major diminished chord corresponds to Sorges Triade
manca, which Sorge permits on either scale degree 2 or 5 of a minor key. In
A Minor these chords are B-Ds-F and E-Gs-Bb, which generate the augmented sixths Ds
, poised towards a dominant resolution, and Gs
, poised
F
Bb
towards a tonic resolution. Adding the seventh, he shows B-Ds-F-A
[French] resolving to E-Gs-B. His examples display bass B leaping to E,
bass Ds or F resolving by step to E, and bass A resolving by step to Gs.6
Voglers initial foray into Roman-numeral analysis in 1778 includes two
augmented sixth chords [1.4, the last two cadences]. He shows the raised
fourth and the second scale degrees as their foundational pitches, mirroring
Marpurgs view. The use of Roman numeral IV for F-A-Ds in A Minor probably reects the imprecision of an analytical methodology in its infancy
rather than any commonality with Holdens perspective [7.1]. By the time
of his Handbuch zur Harmonielehre (1802), he had adopted the label IVs,
clearly indicative that the raised fourth scale degree serves as the root, rather
than as a substitute for a diatonic root.
An elaborate circular music diagram in Grnde der Kuhrpflzischen
Tonschule in Beispielen enlivens Voglers discussion of four-note chords used
in cadences. The diagram is comprised of fteen wedges that display seemingly every possible spelling these chords might utilize in any key. Each
wedge shows arpeggiations of four closely related chords [7.4], with Roman
numerals marking the chordal roots. Single half-step alterations have a dramatic eect upon the cadential focus. Spelled as G-B-D-F, the chord functions as V and resolves to tonic C Major or C Minor. Changing G to Gs, the
chord functions as VII and resolves to tonic A Minor. Changing one more
note B to Bb directs the progression not to a tonic but instead to a dominant, that of D Minor. The chord is IV [our German augmented sixth].
169
170
7.4 Vogler: Grnde der Kuhrpflzischen Tonschule in Beispielen [1778], table XXVII.
If one wants to cadence, then I can follow only after V and after VII, and V after IV and II. [Will
man aufhren: so darf nur nach dem fnften und nach dem siebenten der erste, und nach dem
vierten und zweiten der fnfte Ton folgen (Voglers Tonschule, Tonwissenschaft und Tonse[t]zkunst:
Kuhrpflzische Tonschule [1778], p. 174.)] In his Handbuch zur Harmonielehre (1802), Vogler
employs the symbols VIIs and IVs (in place of VII and IV) for chords with a raised root. This
wedge is from an elaborate circular diagram that can be read both vertically (as shown above) and
horizontally. For example, to the left of GV-B-D-F is Ab-BVII-D-F, and to the right is G-B-CsII-Es.
Yet another half-step transformation (F to E) produces II [our French augmented sixth], which also resolves to D Minors dominant.
Diminished seventh and augmented sixth chords gure prominently in
the tables of foundational chords that were a common feature of nineteenth-century treatises. In the Tableau des Accords simples in Alexandretienne Chorons Principes de composition des coles dItalie [1809], Ds-F-A
[Italian] is ranked as one of the four Accords de premiere classe (along
with C-E-G, A-C-E, and B-D-F), while Gs-B-D-F [diminished seventh],
B-Ds-F-A [French], Ds-F-A-C [German], and B-Ds-F-A-C [!]7 are
7.5 Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 191.
The chromatic version of the succession exemplies Sechters hybrid-chord (Zwitteraccord),
here an uncommon inversion of the chord nowadays often labeled as a German augmented
sixth at the end of the rst measure. The gradually evolving pitch content incorporates elements
of diatonic harmonic successions from three keys: VIII in F Major, VI in G Minor, and IIV
in C Minor. At the middle of the rst measure the chordal ninth Eb (diatonic in G Minor and
C Minor) arrives, by which point root D is no longer sounding.
ranked as four of the eight Accords de seconde classe (along with G-B-DF, B-D-F-A, G-B-D-F-A, and E-Gs-B-D-F).8 Yet not all analysts regarded
such distinctions as necessary. Holdens substitution explanation persisted:
diminished seventh and augmented sixth chords continued to be analyzed
as modications of diatonic chords, as examples by Catel [3.11b], Weber
[3.14b], and Sechter [7.5] conrm.
Vogler had put his nger on something important: the dominant
seventh, diminished seventh, and augmented sixth chords are all closely
related [7.4]. Moving one pitch by a half-step changes the nature of the
chord, though not necessarily its resolutional tendency.
Adjusting one detail of Voglers presentation may help clarify the relationship among these chords. In his version, the uppermost of the four
chord arpeggiations is poised towards resolution to C, whereas the other
three would resolve to A (either as a tonic or as a dominant). By deriving
the diminished seventh chord from an E dominant seventh rather than a
G dominant seventh, all of the chords would resolve to A. My revised and
expanded table appears as follows:
In A Minor
B-D-E-Gs
B-D-F-Gs
V
V9 or VII7
In D Minor
B-D-E-Gs
B-D-F-Gs
Bb-D-F-Gs
Bb-D-E-Gs
II7
II9 or (s)IV7
German
French
171
172
The left side of the table displays chords in A Minor. The choice of E
or F as a chord member is of little consequence. Though some would
regard B-D-F-Gs as built on the dominant (with root suppressed) and
others as built on the leading tone, the chords both lead to A as tonic. On
the right side of the table these same chords are displayed in the context
of D Minor, in which they would precede the dominant. Nowadays many
analysts regard these chords as applied or secondary dominants, with
labels such as V/V. (As we have seen, Prout calls them transitional
dominants [6.18].) By altering the B of these two chords to Bb, we derive
the two principal forms of the augmented sixth. (The Italian version
Bb-D-Gs is derivable from the others. Alternatively, one could expand
the table to include the three-note chord B-D-Gs (VII) and its Bb-D-Gs
mutation.) From this perspective the German augmented sixth chord
is to the French exactly what the leading-tone diminished seventh is to
the dominant seventh. In that many analysts would regard both of the
latter to be rooted on E, so also could both of these augmented sixth
chords be regarded as E-rooted: a modied II leading to V. Though occasionally an augmented sixth chord will resolve to tonic, their placement
only in the tables right column corresponds to conventional practice in
the early nineteenth century. The pitch Bb is diatonic in D Minor and
easily achievable through a modal shift in D Major, but it is uncommon
in A Minor or A Major except in the context of the Neapolitan chord,
which is a dierent phenomenon.
Though the relationships displayed on this table are both subtle and
intriguing, they represent just one component in a yet more complex web
of chordal relations. Consider the tables diminished seventh chord, B-DF-Gs. In this spelling four of the twenty-four keys can easily be attained
(A Minor or A Major directly, and D Minor or D Major via their dominant). Yet through enharmonic reinterpretation any one of the chords
four pitches may be understood as the leading tone: not only B-D-F-Gs,
but also B-D-F-Ab, Cb-D-F-Ab, and B-D-Es-Gs. Thus sixteen of the
twenty-four keys can be attained from a single diminished seventh
chord either directly, or indirectly via their dominants. Through halfstep mutation(s) any dominant seventh or augmented sixth chord can be
transformed into its corresponding diminished seventh, and then that
diminished seventh can be reinterpreted enharmonically to access a wide
range of potential keys for continuation.
Ftis explores enharmonic reinterpretation in terms of both the
mechanics of chord progression and in terms of aesthetics. Thus we are
in good hands if we allow him to guide us through the practice of enharmonic modulation involving the diminished seventh chord.

Though these six progressions cadence in major keys, Ftis suggests that the parallel minor keys
would be feasible goals as well. The rst bass pitch of Progression 4 was printed in error as D in
the rst edition and was later corrected.
Enharmonicism
When Vogler rst employed a Roman numeral as a chord label in print, in
his Tonwissenschaft und Tonse[t]zkunst (1776), it was to demonstrate enharmonicism:
If one wants to go from C Minor, with a three-at signature, into A Major, with a
three-sharp signature, or likewise into A Minor, in which Gs, the major third above
the fth scale degree, remains indispensable, one need only convert the chord
on the seventh scale degree in C Minor into that on the seventh scale degree in
A Minor.
VII in C
VII in A
B
b
and then
b
mode can lead to an ordinary cadence in A.9
d
d
d
f
f
E
ab
Gs
gs in either
The word was out: diminished seventh chords are modulation-facilitators.

In 1821 Momigny states what had by then become obvious: Since the keyboard has only twelve keys per octave, there are tangibly only three dierent
diminished seventh chords, each of these chords utilizing four keys, and
three times four making twelve.10
Ftis presents six progressions as a demonstration of enharmonic modulation [7.6]. Each begins with the same diminished-seventh sonority,
written in one of four contrasting spellings. In a simple setting one of these
progressions might be preceded by other chords in the same key and thus
conclude without modulation. Ftiss point, however, is to suggest ways of
173
174
7.7 Ftis: Trait complet de la thorie et de la pratique de la harmonie [1844],

pp. 16, 21, 179.
(a) Normative resolution of the quarte majeure.
(b) Normative resolution of the quinte mineure.
(c) Inward and outward resolutions of the same intervallic sound made available through
enharmonie.
moving rapidly from one key into another. For example, the diminished
seventh chord could follow after a passage in the key of C Major and continue as in Progression 6, cadencing in the key of Fs Major.
The pairing of the fourth scale degree with the seventh scale degree (the
note sensible) creates the interval of an augmented fourth (quarte majeure)
or its inversion, the diminished fth (quinte mineure). The attractive force
of these pitches determines their resolution tendencies [7.7a, b]. These resolutions are obligatory in the ordre transitonique, Ftiss term for the sort of
music that was introduced by Monteverdi and that persisted through much
of the eighteenth century. (It had gradually displaced the ordre unitonique
of earlier composers such as Palestrina.) Transitonique modulation is
accomplished by setting up an appropriate intervallic attraction to target a
new tonic. The dominant seventh chord, whose adoption Ftis attributes to
Monteverdi, is a crucial component of such modulation, due to its potent
interval content.
Ftis credits Mozart with inaugurating the next era of musical expression
by exploiting enharmonic equivalence (enharmonie), the dening feature of
the ordre pluritonique. For example, since the sound of the augmented
fourth is indistinguishable from that of the diminished fth, resolution may
follow either of two contrasting trajectories [7.7c]. The diminished seventh
chord is extraordinarily compelling in this regard because all of its intervals
are susceptible to enharmonic reinterpretation. Since Ftis derives the chord
from the minor modes dominant seventh chord in 65 position (e.g., Bn-DF-Ab substitutes for Bn-D-F-G),11 each diminished seventh chord in his
example [7.6] represents, in accord with its spelling, a specic dominant
seventh chord. Through substitution the dominant seventh chord in one
key can be replaced by a diminished seventh chord, and in resolving, that
diminished seventh chord can be reinterpreted enharmonically to represent
the dominant seventh in a dierent key.
Ftiss six progressions appear without extensive commentary. He merely
displays how identical-sounding chords can herald diverse tonal destina-
tions, without revealing much about how the progressions are constructed.
Thus some belated remarks are in order:
(1) Three of the progressions incorporate straightforward resolutions of
the diminished seventh chord. In Progression 1, both the diminished
fth F and diminished seventh Ab above leading tone B resolve by
descending step, in coordination with Bs ascent to the tonic pitch. In
the enharmonically respelled (and, as a result, inverted) diminished
seventh chord in Progression 5, these tendencies are taken over by D and
F, respectively, against leading tone Gs. All resolutions are conventional.
Bass Bs ascent to Cs precludes the questionable voice-leading of BA
with the FE above. In Progression 6, the enharmonic respelling endows
B and D with downward tendencies against leading tone Es.
(2) Whereas the 7, 65, and 43 positions of the diminished seventh chord
resolve to favored 53 or 63 sonorities, the 42 position does not. In Progression 3, bass Cb follows its normative tendency, resulting in a resolution chord in 64 position. (Here Ftis leads the augmented fourth DAb to
Eb
perfect fourth Bb
, resulting in a doubling of the bass pitch Bb.) As in
Progressions 1, 5, and 6, this tonic (in second inversion) is then conrmed by a V7I cadence.
(3) The 64 chord in Progression 2 should be understood dierently from that
in Progression 3. (Observe the prolonged F, functioning as a suspension,
in Progression 2.) Here the diminished seventh chord targets the dominant seventh of the emerging key that is, B not to C as tonic, as in
Progression 1, but instead to C as dominant. The resolution of B-F-AbD is C-E-Bb-C. The intervening 64 chord embellishes the dominant, in a
manner similar to a 64 usage Ftis discusses earlier in the Trait [7.8].
Progression 4 follows the same strategy as Progression 2. Here the bass
descends to the dominants root, rather than ascending, because the
diminished seventh chord is now in 65 position.
(4) Why only six progressions, rather than eight? Ftis resolves a diminished seventh chord to a dominant only when that dominant is in root
position, both to facilitate embellishment by a 64 and to produce a
cadence proceeding from dominant root to tonic root.12 Only the 7 and
6
positions of a diminished seventh chord resolving to the dominant
5
achieve that outcome.13 Thus diminished seventh chords in 43 and 42 positions are presented in only one progression each. If the diminished
seventh of Progression 3 had resolved to Eb as dominant (perhaps
adding Db to the 64 to create a V43), the key of Ab Major could be achieved;
if the diminished seventh of Progression 6 had resolved to Fs as dominant (perhaps adding E to the 63 to create a V65), the key of B Major could
175
176

Sometimes the dissonance of the 65 chord, instead of resolving immediately, continues over the 64
chord built on the dominant, and descends only to the third of the following 53 chord. This delay
of the resolution is not lacking in charm. [Quelquefois la dissonance articielle de laccord de
quinte et sixte, au lieu de faire immdiatement sa rsolution, se prolonge sur laccord de quarte et
sixte de la dominante, et ne descend que sur la tierce de laccord parfait suivant: cette suspension
de la rsolution nest pas dpourvue de grce.]
be achieved. With this completion of Ftiss strategy, and taking into

account that all cadences could be replicated in their parallel minor
keys, sixteen of the twenty-four keys are accessible from one diminished
seventh chord: all except Bb Major/Minor, Cs Major/Minor, E
Major/Minor, and G Major/Minor.14
This demonstration of what was possible should not be equated with
what was often done. Though C Major and Fs Major can be linked with
lightning speed by reinterpreting B-D-F-Ab as B-D-Es-Gs, two enharmonic
shifts are required. Many composers of the era would have resisted such a
strident move. Others, including Liszt, were fascinated by the possibilities
that Ftis reveals and undertook experiments in his fourth and nal stage,
the ordre omnitonique, in which all expectations concerning pitch behavior
are confounded.15
Ftis formulated his four categories of musical practice without necessarily endorsing them all. The ordre omnitonique represented a challenging unknown. How composers might further develop the potentialities
of the tonal system remained an open question. The music of the future
(Zukunftsmusik, a term associated with mid-century progressive composers, including Liszt) had yet to be written.
Complicating matters is the variety of compositional strategies that
may interact with one another. With the diminished seventh chord, resolution of dissonance is a central concern, complicated by the potential
for enharmonic reinterpretation. Yet at the same time composers were
experimenting with strategies for the prolongation of a harmony. We have
seen how Lobe grapples with an A-Cs-A-E chord residing between two
dominant chords, Gs-B-B-E and B-D-Gs-E in A Major [5.3d]. He cannot
with certainty answer the question of whether the A chord resolves the
rst dominant and consequently represents tonic, or instead serves as a
link between the dominant chords. Despite a diminished seventh chords
greater resolutional force, it too can be prolonged via passing chords. We
have seen how the diminished seventh that opens Beethovens String
Quartet in C Major [5.14] can be understood as extending for seven
measures (eventually transformed from diminished seventh or incomplete dominant ninth into dominant seventh). So, in addition to the
quandary regarding which of several possible resolutions will occur, the
listener must also consider the possibility that a chord following a diminished seventh is no resolution at all, but instead a link to another statement of the diminished seventh.
In the analysis of music from Carl Maria von Webers Euryanthe that
follows, I emulate Lobe by oering two contrasting views: one in which
the diminished seventh chords resolve, and one in which they are linked
in a nine-measure prolongation. The latter reading results in a harmonic
progression of just three basic chords: tonic (extended through motion
to its upper third), major supertonic (or V/V, represented by its third,
fth, seventh, and ninth the diminished seventh chord), and dominant.
Though I show how various nineteenth-century analysts concur with
one or another of the assertions I make in the latter analysis, I know of
no nineteenth-century analysis that integrates all these components in
this way. That situation was to change dramatically by 1930, of course.
Whereas my analysis in 7.16 bears some resemblance to Sechter in 5.3b
or 5.16a, a few stems, beams, ags, and a 3 and a 2 would turn it into
something akin to a Schenkerian graph.
Diminished seventh chords in Webers Euryanthe

The Largo section from Carl Maria von Webers Euryanthe Overture [7.9] is
an island of calm emerging from a sea of faster notes. In Act One this material will support Euryanthes retelling of words that had been whispered to
her and to her beloved Adolar by the ghost of Adolars sister, Emma. The
recipient of Euryanthes retelling is Eglantine, who also loves Adolar and,
unrequited, is set on revenge. As the opera unfolds Eglantine makes Adolar
believe that Euryanthe has been intimate with Lysiart. Though Euryanthe
pleads her innocence, Adolar abandons her.
177
178
7.9 Carl Maria von Weber: Euryanthe (1823), Overture, mm. 129143.
This material from the Overture is employed again, in a somewhat extended form, during the
third scene of Act One (number 6), where it supports the following text: You who, heart to heart,
so blissfully shed loves tears, listen to me! Once this golden light also shone on me, for my Udo
loved me tenderly and devotedly. He was killed in bloody battle! Since my life was no longer
worth living, I imbibed death from a poison-lled ring. Woe unto this deed, which has separated
me from the light! Isolated from Udo I wander through the nights! O cry for me! I will not nd
peace until this ring, from which I drank death, is moistened by innocent tears in deepest grief,
and delity atones for the murderers monstrous deed! [Die ihr der Liebe Thrnen Herz an
Herz so selig weinet, hrt mich an! Auch mir strahlt einst dies goldne Licht, mein Udo liebte
mich zart und treu. Er el in blutger Schlacht! Da war mein Leben mir kein Leben mehr, aus
gifterflltem Ring sog ich den Tod! Weh dieser That, die mich vom Hell geschieden! Getrennt von
Udo irr ich durch die Nchte! O weint um mich! Nicht eh kann Ruh mir werden, bis diesen
Ring, aus dem ich Tod getrunken, der Unschuld Thrne netzt im hchsten Leid, und Treu dem
Mrder Rettung beut fr Mord!]
7.10 Analysis of 7.9, mm. 129134.

The critical word Schlacht (battle), the event that precipitates both Udos and Emmas deaths,
coincides with the arrival of the D Major chord when this music recurs during Act One.
The text conveys two contrasting sentiments. First Emma compares the
love between Adolar and Euryanthe with that which she shared with Udo.
But then she recounts its unraveling: Udos death in battle and her consequent self-poisoning. Now she must wander (irren) through the nights until
redeemed by the suering of an innocent being. Euryanthe will be that
innocent one, preceding her reconciliation with Adolar.
From bliss to despair

Emmas love had lost its object: Udo was no more. Torn from the state of
bliss, she entered the realm of despair an oppressive earthly torment followed by an action (suicide) that merely transferred the torment to the
ghostly realm. In musical terms Weber conveys this unhappy turn of events
by transforming tonic (B-D-Fs in measure 129) into a diminished seventh
chord (B-D-F-Gs[Ab] in measure 134). Emma rst tells of her love for Udo.
B minor is transformed into B major in measure 130,16 followed by an
incandescent ascending glide to D major in measure 132 [7.10]. But just as
B minor expands to B major, D major contracts rst to D minor (measure
133)17 and eventually to a diminished seventh chord (measure 134). This
chord might be interpreted either as a tortured D chord (D-F-Ab-Cb) or as
a tortured B chord (B-D-F-Ab). In fact, its resolution alternatives will engage
the listener during the remainder of the Largo, paralleling the forlorn
Emmas wanderings.
The diminished seventh chords of measures 129 and 130 behave in a conventional fashion. The rst, an inversion of As-Cs-E-G, comes between the
minor and major B chords; the second, Bs-Ds-Fs-A, triggers the motion to
a Cs major chord, which glides between B major and D major (measure 132)
in an evocation of Emmas blissful state of love. The Cs and D chords appear
in inversion, averting parallel fths and enhancing the ethereal eect.
179
180
7.11 Vogler: Handbuch zur Harmonielehre (1802), table VII, g. 4.1.

Each of the diminished seventh chords four pitches serves in turn as leading tone. Voglers
analytical symbol VIIs signies that the chords root is the raised seventh scale degree in the
minor key in which it is interpreted. (He does not specify the keys of analysis: A Minor, C Minor,
Eb Minor, and Fs Minor.)
The treatment of the diminished seventh chord of measure 134 is more

adventuresome.18 Webers teacher, Georg Vogler, advises:
In order to bring about more distant modulations, one must seek the benets which
the diminished seventh . . . aord[s].
For
Gs
b
d
f
can be heard as
ab
B
d
f
gs
b
d
Es
ab
cb
D
f
These are the same keys on the organ, and yet
Gs could be the seventh scale degree of
B
Es
D
A Minor
C
Fs
Eb19
Vogler demonstrates all four of these resolutions within a single music

example [7.11] in his Handbuch zur Harmonielehre (1802). Weber, depicting Emmas wanderings, likewise suggests all four of these resolutions
within measures 134 through 143.
Considering its spelling, the diminished seventh chord of measure 134
should resolve to A minor. That is what seems to occur at beat 3 of that
measure [7.12a]. Yet immediately thereafter the progression leads instead to
a C-major dominant of F minor [7.12b]. Ftis would document such a
resolving-to-a-dominant strategy. (See Progression 2 of 7.6, above.) But
Weber has more in store: the diminished seventh chord returns, respelled,
in measure 138 and resolves to Eb minor [7.12c]. In its next appearance, in
7.12 Carl Maria von Weber: Euryanthe (1823), Overture.

This extraction of chords from Webers composition is strikingly similar to an example Ftis
would publish in France twenty-one years later. (See 7.6, Progressions 5, 2, 3, and 6.) Within the
limited context of a), the pitch A seems to perform the role of chordal root, heralded by leading
tone Gs; whereas within the broader perspective of b), it instead embellishes a C major dominant
chords fth, G. (Employing a 64 rather than a 63 on C would be a more typical construction, but
it would lack the momentary A minor resolution potentiality that Weber may have been seeking
to achieve.) Without the embellishing A, the diminished seventh chord in this context might have
been spelled as D-F-Ab-B.
measure 142, it resolves to Fs major [7.12d]. Weber thus accomplishes, with

innitely greater artistry, the same feat that Vogler displays in his example
[7.11].
Losing ones way

When Euryanthe and Adolar encounter her, Emma is doomed to lose her
way (irren20) in wanderings through the nights, an invitation for Weber to
exploit harmonic wanderings. Not only are diverse resolutions of the same
diminished seventh chord explored, as described above; in addition, diminished and half-diminished seventh chords are juxtaposed in measures 135
and 136, with no apparent resolutional intent. These seventh chords occur
in the context of a neighboring chord and inversional shifts [7.13].
Gottfried Weber explores the neighboring-chord concept: lower neighbors
embellishing the third, fth, and seventh of a C7 chord [7.14a]. He argues
against a harmonic interpretation of the resulting diminished seventh
chord. He also presents an example containing the downward slithering of
diminished seventh chords [7.14b]. In the context of Euryanthe (measures
135 and 136), a similar reliance on copious Roman numerals to reveal
multiple meanings is countered by the fact that, when dealing with the
diminished seventh chord, ascending or descending three half-steps in each
voice results in a chord equivalent to the initiating chord [7.14c]. Yet
perhaps composer Weber had something akin to theorist Webers imposing
collection of keys and Roman numerals in mind as a tting depiction of
Emmas wanderings.
181
182
7.13 Analysis of 7.9, measure 134, beat 4, through measure 137, beat 1.
The passage begins and ends with a C7 chord in 42 position, embellished by means of three lower
neighboring notes that, together with the prolonged root C, form a diminished seventh chord (1).
This diminished seventh chord is prolonged by means of inversional shifts: down a minor third
and then back (2). Passing chords of diminished or half-diminished quality ll in the descending
minor third (3).
7.14a, b Gottfried Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst

(1817-21, 3183032), vol. 3, p. 124 (transposed); (181721, 21824), vol. 2, table 1212, g.
204q [Warner, pp. 624, 373].
Compare this model and the second measure of 7.13. Gottfried Weber comments as follows: In
[this example] the combination [C Fs A Ds] perfectly resembles the chord of B7 with the
fundamental tone omitted and an added small [minor] ninth . . . The ear, however, does not
receive it as such; because it is evidently much simpler to regard the notes [Fs, A, and Ds] of the
three upper voices as mere transitions [lower neighbors]; for, then the whole measure appears to
rest on the principal fourfold chord C7, while, otherwise, we should have to assume three
fundamental harmonies for this measure, viz. rst C7, then B7 . . . with small ninth, and then
again C7, which would give, for this measure, the following far less simple harmony succession:
F:
V7
===
e:
V7
===
F:
V7 .
Competing hierarchies
The strategies generally employed to analyze progressions such as those in
7.12 would dictate that the dissonant diminished seventh chords resolve as
indicated by the arrows. A nineteenth-century analyst would be inclined to
create a string of modulations, with a variety of pitches taking a turn as the
local tonic, leading ultimately to Fs Major (major dominant of the Largos B
Minor tonic) in measure 143. Could one possibly imagine the opposite: that
the diminished seventh chord rst presented in measure 134 holds up against
less dissonant chords that prolong rather than resolve it?21 Vogler oers an
7.14 (cont.)
Compare the fth through eighth measures of this model and the fourth measure of 7.13. Rey
(1806), Reicha (1816), and Asioli (1832) also include examples of successive diminished sevenths
in their treatises, though without elaborate Roman-numeral analysis. Gottfried Weber comments
as follows: If, moreover, . . . many combinations of tones . . . are equivocal on their rst
appearance, yet such combination of tones . . . still acquires in many cases from the subsequent
portion of the musical phrase and of course afterwards, a more denite meaning.
7.14c Hasel: Die Grundstze des Harmoniesystems (1892), p. 352.

Compare the second measure of this model and the fourth measure of 7.13. Hasel positions
fundamental bass pitch E below the rst diminished seventh chord and draws a horizontal line,
thereby asserting that only the rst and fourth chords (with identical spellings) in the
progression of four chromatically ascending diminished sevenths play a role in the larger
harmonic structure.
intriguing model for such an analysis. In a creative circular example, he

devotes one measure each to the twelve pitches within the octave, supplying
appropriate letter names as captions [7.15]. C (measure 1), which will lead to
F (measure 2), is prolonged by means of passing and neighboring notes connecting chord members. For example, A in the alto and bass registers connects
G and Bb (or Bb and G), while F is neighbor to E. Vogler here refrains from
labeling the chord on beat 3 as F.22 Pursuing the same line of reasoning in the
context of Webers Largo results in an extended prolongation of a diminished
seventh chord [7.16]. (Enharmonic spellings are employed freely to clarify
this reading.) In Webers composition some of these passing chords are themselves prolonged. That of measures 134137 has been discussed above, while
that of measures 139141 employs strategies that echo measures 129130.
183
184
7.15 Vogler: Grnde der Kuhrpflzischen Tonschule in Beispielen [1778], table XXIX,
g. 1 (excerpt).
The diagram from which these measures are excerpted is circular. Voglers caption for the entire
diagram reads: Circular progressions from any note back again via fths through all the others
[Zirkelmssige Fortschreitungen von einem willkhrlichen Tone in alle andere Fnftenweis
zurck]. There are in all twelve measures, corresponding to the chords C, F, Bb, Eb, Ab, Db, Fs, B,
E, A, D, G, then back again to the initial C.
7.16 Analysis of 7.9.

This example explores the hypothesis that the diminished seventh chord of measure 134 does not
resolve until measure 143. In this interpretation, a progression of three chords (BCsFs) forms
the essential harmonic fabric.
Modern ears, stretched by more radical tonal (and atonal) experiments,

will never quite recapture the extraordinary impression this music must
have made upon its initial audiences. Though Euryanthe did not receive the
critical acclaim that had greeted Der Freischtz, it fullled another role very
well, for passages like the Largo were as much a textbook on modern harmonic procedures for pupils such as Schubert, Liszt, and Wagner as any
tome written by a pedagogue.
Chords containing an augmented sixth inevitably have appeared in some
of our earlier examples. Though we did not focus upon them at the
time, mention was made of how Portmann accommodated such chords
within his minor-key Wechseldominantenharmonie category (see p. 13
and 1.11b, above). Examples show how Vogler uses the numerals IV and
II [1.4], Weber the numeral II7 [1.6], and Lobe the numeral 2 [6.13b] to
label augmented sixth chords. Their incorporation within the purview of
harmonic analysis was both early and pervasive, a contrast to the
diculties surrounding the Neapolitan sixth chord (a topic of chapter 8).
From many quarters it was asserted that the second or (raised) fourth
scale degree grounded the augmented sixth chords. (In addition to the
examples mentioned above, see those introduced earlier in this chapter:
7.1 (Holden), 7.3a (Rameau), 7.3b (Durutte), and 7.4 (Vogler).) A contrasting perspective was oered by Adolf Bernhard Marx, a prominent
scholar working in Berlin around the middle of the nineteenth century.
His criticism of the prevailing view is enlightening, and the alternative he
presents would warrant adoption at least in part were other views not
now so entrenched.
Marx on diminished thirds (augmented sixths)

The standard English terminology for the augmented sixth chords seems
beyond hope of revision. The colorful labels Italian, French, and German are
arbitrary23 and distracting and are rarely encountered in analytical writings
published outside of Great Britain until the twentieth century. It is refreshing to go back to Germany in 1841, when the University of Berlin professor
Adolf Bernhard Marx, criticizing the recently published Harmonielehre of
Siegfried Dehn, voiced opposition even to the word augmented (bermssig) being used in the chords names.24
Marx is both exhaustive and contrary in his approach to these chords
[7.17]. He presents all eleven possible bass positionings for B-Db-F, G-BDb-F, and B-Db-F-Ab. His resolutions are to tonic not dominant.
Countering Dehn and others he rejects the label bermssige Sext-Akkord
because the root positions of all three chords lack augmented intervals.
Though B appears above Db in seven of Marxs eleven models, a redistribution of the upper voices could eliminate the augmented sixth in all but
three examples 38b, 39f, and 40i. Db replaces D to create these sonorities
just as Ds replaces D to create the augmented dominant triad G-B-Ds. He
suggests that the triad B-Db-F might be called a double-diminished triad,
if we were in want of a new name.25 Following this reasoning, B-Db-F-Ab
would be a triple-diminished seventh chord. Marx wonders why one would
name any of these chords using an adjective that applies only in the context
of inversion.
185
186
7.17 Marx: Die alte Musiklehre im Streit mit unserer Zeit (1841), p. 127 (fn.), exs. 38,
39, 40.
Marx presents the three basic chords rst in their root positions (examples 38a, 39d, and 40h).
Then the other pitches of each chord take a turn as bass. Wilhelm Tappert, in his study Die
bermssigen Sexten-Accorde (Allgemeine musikalische Zeitung 3 (1868), p. 275), expands upon
Marxs Mozart annotation (example 40i) as follows: Mozart has more than once resolved the
augmented 6/5 chord directly and thus produced parallel fths; he has done this so often that
one can speak of Mozartean fths [Mozart hat mehr als einmal den bermssigen QuintSexten-Accord direct aufgelst und also Quinten gemacht; er hat das so oft gethan, dass man
von Mozartschen Quinten reden darf ].
Marxs discontent concerns not only the adjective augmented (or

superuous in Saronis English translation), but also the noun sixthchord. In English the term augmented sixth chord is ambiguous: does it
imply a chord containing the interval of an augmented sixth (an augmented-sixth chord) or a sixth chord whose quality is augmented (an augmented sixth-chord)? The German bermssige Sext-Akkord is
unambiguous. In fact it is even more specic than English-speakers might
realize. Sext-Akkord is one of several German terms, such as QuintsextAkkord and Terzquart-Akkord, that correspond to specic gured-bass
6
6
symbols 63, 53, and 43, respectively, for these three terms. Though all three sets
of gures contain the number 6, Sext-Akkord is correctly employed only
for the inversion of a triad (not of a seventh chord) and thus corresponds to
only one of Marxs eleven examples 38b. Riemann describes the use of the
term in other contexts as uncalled-for, . . . unsystematic, misleading, and
inadequate.26
Though terms such as Tonika and Dominantakkord appear occasionally
in Marxs prose, his abundant music examples seldom show gured bass
and never a Roman-numeral harmonic analysis, in stark contrast to the
practice of Gottfried Weber, whose Versuch einer geordneten Theorie der
Tonse[t]zkunst (181721) had given a strong impetus to Roman-numeral
usage among German-speaking musicians. As does Marx, Weber presents all
eleven congurations of the three augmented sixth chords.27 Whereas
Marxs chords resolve to tonic, Webers chords precede dominant E-Gs-B in
A Minor.28 He employs the symbol 7 for all of these congurations. In A
Minor the supertonics pitches, including its ninth, are
B
C.
Through selective omission (including possibly the root) and modication

of the third Weber achieves the three standard spellings
B
Ds
Ds
Ds
F
F
F
A
A
A
[modern French]
[modern Italian]
[modern German].
Weber demonstrates contexts for II7 in longer progressions, including exit

voice leading to I64 (our cadential 64) and the potential for enharmonic reinterpretation [7.18a, b]. His disciple Philipp J. Engler adds the number 9
when the supertonics ninth is a chord member [7.18c].
Marxs discussion of these chords in his Die Lehre von der musikalischen
Komposition (vol. 1, 1837) occurs in a chapter on the passing note (Der
Durchgang), where he examines the elevation and depression of the
dominants fth in turn.29 A chromatic passing note that follows after or
even substitutes for its diatonic precursor may generate a distinctive chordal
variant. Chopins Mazurka in C Minor (op. 56, no. 3) demonstrates what
Marx has in mind. In measures 78 through 81, in the key of Bb Major, a half
cadence on dominant F is followed by a return to tonic Bb, which begins a
consequent phrase [7.19a]. The dominants soprano C (= 2) in measure 79
is in the same register as the D (= 3) that initiated the phrases melody in
measure 73. For the consequent phrase, Chopin employs the D an octave
higher (measure 81). The Cs that precedes it (measure 80) is elevated in
two senses: it is a compound augmented fth above root F (Marxs
meaning), and it is positioned an octave higher than its diatonic precursor.
Later, in measures 201 through 205, D (now 2 in C Minor) is modied
[7.19b]. Here the depression to Db in the B-Db-F-Ab and G-B-Db-F chords
corresponds to Marxs examples 40l and 39d, respectively [7.17]. In both
chords Chopins conguration incorporates a diminished third, not an augmented sixth: melodic DbBn (with intervening passing note C, all over
187
188
7.18a, b Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721,

3
183032), vol. 2, table 1112, ex. 192i; vol. 2, p. 137 [Warner, pp. 346, 356].
(a) Weber analyzes the augmented sixth chord in measures 2 as a diminished supertonic,
indicated by a degree symbol () above a small II. Though rooted on B, only the chords raised third
(Ds), diatonic (diminished) fth (F), seventh (A), and ninth (C) are present. Webers chord
corresponds to Marxs example 40i [7.17]. The third measures 64 osets the parallel fths that Marx
allows on the authority of Mozart. In fact, Webers table of augmented sixth resolutions includes a
parallel fth resolution as well (vol. 1, table 8 (opposite p. 255), ex. 123s [Warner, p. 210]).
(b) Here Weber reveals the potential for enharmonic reinterpretation. Though the spelling and
resolution of the third chord (bass Es) might justify analysis as II7 in B Minor (German h), his
label corresponds to how one likely would hear the chord when preceded by G-Bb-D: as a
dominant seventh (G-Bn-D-F) in C Minor rendered in 42 position.
7.18c Engler: Handbuch der Harmonie (1825), p. 18.

The examples rst two augmented sixth chords, in G Minor and F Minor, respectively, include
the supertonics raised third, diatonic fth, and seventh. The third augmented sixth chord, in C
Minor, includes the supertonics ninth as well.
tonic pedal C) in measure 202 and harmonic Db

in measure 204. Though
Bn
joining Db and Bn within such close quarters may be exceptional, Chopin
appears to have had no reservations in doing so.30 He might have been chastised by Marx [7.20a], though not by Knecht [7.20b].
7.19 Chopin: Mazurka in C Minor, op. 56, no. 3 (1844).

(a) Measures 7881 and analysis.
(b) Measures 201205 and analysis.
So who, then, are the contrarians Marx and Chopin or modern textbook authors?31 Are augmented sixth chords actually diminished in
quality? Should they be regarded as chromatic variants of the VI succession, or of a similar succession applied to V? Though one may nd Marxs
answers to these questions intriguing or even persuasive, probably for as
long as tonal harmony textbooks are published in English there will be
little change in the chapter on the Italian, French, and German augmented sixth chords.
189
190
7.20a Marx: Die Lehre von der musikalischen Komposition, vol. 1 (1837), p. 259, ex. 499.
7.20b Knecht: Elementarwerk der Harmonie (179297, 21814), table XVIII, g. 6.
(a) The passing chord Ds-F-A is well employed in examples a and b, but spoiled in example c
due to the positioning. [So ist der Durchgangs-Akkord dis-f-a hier . . . bei a und b wohl
angebracht, bei c aber durch die Lage verdorben.]
(b) In transforming the triad B-Ds-Fn into a chord, Knecht does not hesitate to place Ds and Fn in
close proximity. In that the plate on which these examples were engraved contains several other
oddities of Roman-numeral employment and alignment, it is probable that the omission of V
between II and I is an oversight.
Each of Marxs augmented sixth chords is focused on a particular goal

[7.17]; Ftiss one diminished seventh chord is not [7.6]. Yet even Ftiss
roster of resolutions is far from complete. Consider Gottfried Webers
example of C-Fs-A-Ds leading to C-G-Bb-E [7.14a]. This usage is of an
entirely dierent nature from those assembled by Ftis. Due to the
common tone C, its CFs augmented fourth does not expand outwards as
FsG
convention would dictate (CB(b)
). As a result the chord functions as an
embellishment of certainly not the dominant of its successor.
Note 14 in the midst of the Ftis discussion earlier in this chapter
credits Swoboda with demonstrating a variety of interesting strategies for
diminished seventh resolution. It is now time to follow up on that hint.
Music by Liszt analyzed according to theoretical principles enunciated by
his friend Carl Weitzmann provides a fruitful vehicle for our exploration
of cutting-edge diminished seventh usage.
Weitzmann on diminished sevenths

Franz Liszt maintained close ties with his native Hungary throughout his
life. Funrailles is his response to the news that Hungarys prime minister
and thirteen generals had been executed on October 6, 1849.
Over the next decade Carl Friedrich Weitzmann published several
treatises that assess the practices of composers such as Liszt and his progressive contemporaries. Der bermige Dreiklang (The Augmented Triad)
was published in 1853; Der verminderte Septimen-Akkord (The Diminished
Seventh-Chord), dedicated to Liszt, appeared the following year. In 1860 his
Harmoniesystem won a competition sponsored by the Neue Zeitschrift fr
Musik to honor the work that best elucidated recent advances in composition. Lobe and Liszt were the competitions judges.
Measures 89 through 108 of Funrailles [7.21] conclude a section in Ab
Major, the mediant of the works F Minor key. The Ab chord, initially a stable
tonic in Ab Major, is eventually destabilized to become dominant in Db
Major, whose tonic arrives in measure 109. The sudden shift of Liszts notation to sharps at measure 100 is of no structural importance: notation in
ats is restored in the bass at the end of measure 108 and continues thereafter.
Weitzmann classies many dissonant chords as Vorhalte. The term
conveys the sense of suspension chord something that delays the arrival
of what follows, either a consonant chord or another Vorhalt. The diminished seventh chord of measure 89, which resolves to tonic Ab in measure
90, is a Vorhalt conforming to one of Weitzmanns models [7.22a]. Whether
one, a few, or all pitches move to resolve a Vorhalt is not a factor. All such
chords are Vorhalte as long as the resolution pitches are not already present
in the chord.32 The same pitch classes, with B transformed into Cb, recur in
the second half of measure 95, resolving to dominant Eb in measure 96 to
end the phrase. Because the dominants seventh, Db, is present, the Vorhalts
consonant resolution [7.22b] is averted: a deceptive succession
(Trugfortschreitung) occurs, with one Vorhalt leading to another.33
Suspensions F and Ab and chromatic passing notes An and Bn embellish the
Eb chord. At no point do the dominant sevenths four component pitches
sound at the same time.34
Liszts traversal of the span between tonic Ab and dominant Eb in
measures 92 through 96 is accomplished via what Weitzmann likely would
have regarded as a progression of seventh chords (Septimenakkordfolge).
Weitzmanns models in Der verminderte Septimen-Akkord employ diatonic,
dominant, or diminished sevenths.35 Liszts version is a hybrid progression,
with dominant seventh and diminished seventh chords in alternation
[7.23]. Following the model exactly, measure 95s second bass note would
be spelled Ebb. By employing Dn instead, Liszt provokes an enharmonic reinterpretation. The upward resolution to Eb terminates the Septimenakkordfolge, and the phrase concludes in a half cadence.
The new phrase that begins in measure 97 has much in common with its
predecessor. Its rst three measures are nearly identical to measures 89
191
192
7.21 Liszt: Funrailles (1849), mm. 89108.
through 91. In addition, both phrases contain a bass descent to a diminished

seventh chord with bass Dn (measures 95 and 102). Yet the chords associated
with these descents and the resolutions of the diminished sevenths are contrasting.
When Ab is tonic, the tonic/dominant axis from Ab to Eb guides the tonality. A descent to Dn is an ideal means of targeting the dominant, because Dn
7.21 (cont.)
is Ebs leading tone. On the other hand, when Ab is dominant (thinking

ahead to measure 109), the tonic/dominant axis is Db/Ab. Descending from
Ab to Dn does not have the same eect in this case. The chord of measures
103 and 104 is the Phrygian II or Neapolitan (Ebb-Gb-Bbb) in Db Major.36
It follows its normative role for this context, leading the way (back) to
the dominant, Ab7 (spelled as Gs7) in measures 105 through 108. (The
Neapolitan appears in its normative 63 position in measures 103 and 104.)
Due to the abundant embellishment, all of the dominant chords members
sound together only during the second half of measure 108, and that due
only to the retention of the left-hand pitches by the pedal.
How Liszt deploys diminished seventh chords in this phrase illustrates
their capacity for enharmonic reinterpretation, a concept distinct from the
additional complication of their notation in sharps. The second halves of
measures 97, 99, and 102 contain the same four pitch classes. In each case
the resolution follows the strategy of 7.22a: one of the Vorhalts pitches is
193
194
7.22a, b Weitzmann: Der verminderte Septimen-Akkord (1854), pp. 13, 33

(transposed).
7.22c Lobe: Vereinfachte Harmonielehre [1861], p. 58.
(a) The resolution of this diminished seventh chord to tonic, employed in measures 89 and 90 of
Funrailles, corresponds to that of Gottfried Weber in 7.14a (there resolving to a dominant
seventh chord). Compare the Weber/Weitzmann view with that of Lobe [7.22c].
(b) Weitzmann shows how the enharmonic equivalent of 7.22as diminished seventh chord may
resolve to an Eb chord.
(c) Lobes analysis of an excerpt from Beethovens Sonata in C Minor (op. 10, no. 1) juxtaposes
the keys of Eb Major and G Minor, an analytical strategy that Weber had disparaged [7.14a].
retained as the root of the resolution chord. Each resolution is to a dierent

chord, in a progression of ascending minor thirds: AbCb(B)Ebb(D)
[7.24]. Thus in terms of their chordal content, the two phrases are quite
dierent: the rst gradually descends, whereas this latter phrase ascends in
minor thirds to achieve D. (By placing the Cb chord rst in 64 position with
bass Gb (Fs) in measure 100 and then in 63 position with bass Eb (Ds)
in measure 102, Liszt nevertheless achieves a descending bass line reminiscent of that in the preceding phrase.) In both phrases the diminished
seventh Vorhalt on Dn is decisive: in measures 9596 it resolves to Ab
Majors dominant, Eb; in measures 102103 it resolves to Db Majors
Neapolitan, Ebb (Dn).
The juxtaposition of Ab, Cb, and Ebb [7.24] demonstrates Weitzmanns
perspective on chord progression, as articulated in his Harmoniesystem:
Any consonant chord may follow after any other consonant chord.37
Weitzmann likely would have interpreted Liszts measures 99 and 100 as a
Vorhalt-intensied equivalent of one of his examples demonstrating the
succession from a major tonic to its lowered mediant (AbCb) [7.25a].
Measures 102 and 103 repeat the succession starting on Cb (Bn) [7.25b].38
The combined span of a diminished fth (AbEbb) is characteristic of the
7.23 Analytical models for 7.21, mm. 8996.

Examples (a) and (c), based on models by Weitzmann, present descending Septimenakkordfolgen
that employ dominant seventh and diminished seventh chords, respectively. Example (b), which
corresponds to Funrailles, incorporates elements from both (indicated by arrows). At the
downbeat of measure 95 inner-voice G occurs instead of Gb, forestalling a continuation into
increasingly at domains. The Funrailles melody departs from the model of measures 93 and 94
by means of incomplete upper neighbors: CDb, BbC in place of C, Bb.
relationship between the dominant and Neapolitan chords. When root Ab

returns (Gs, measure 105) and is destabilized by its seventh Gb (Fs, measure
107), its role as dominant is conrmed.
Weitzmanns Vorhalt principle thus aptly responds to chordal behavior in
works by progressive nineteenth-century composers. Whereas Rameau is
justied in interpreting a diminished seventh chord as a dominant seventh
with one pitch altered via substitution (B-D-F-Ab representing G-B-D-F, for
example), the array of resolution strategies for the chord expanded greatly
thereafter. Many of Weitzmanns (or Liszts) resolutions do not readily
accommodate a root-oriented conception.39 For example, a fundamentalbass reading of 7.22a would yield a bizarre outcome, GAb. Weitzmann
bypasses thorny questions of roots and their succession by placing a Vorhalt
within the domain of its resolution chord.
195
196
7.24 Three diminished seventh chords from 7.21 and their resolutions.
Here Weitzmanns resolution model of 7.22a is replicated at other pitch levels. These successions
are fundamentally dierent from those presented by Ftis [7.6] in that the diminished seventh
chords and their resolutions share a common tone. In common with Ftiss models, they illustrate
the diminished seventh chords capacity for enharmonic reinterpretation. Liszts notation in
sharps (measures 100 through 108) allows him to avoid the cumbersome notation Ebb and Bbb.
Because the Ebb chord functions as Neapolitan in Db Major (whose tonic arrives in measure 109),
the at-key spellings are reinstated above to foster a meaningful analytical understanding of the
passage.
7.25a Weitzmann: Harmoniesystem [1860], p. 18 (transposed).

7.25b The progression of 7.25a transposed up a minor third.
(a) This model is a transposition of one of twenty-three examples created by Weitzmann to
demonstrate the direct succession from a C major chord to the eleven other major chords and to
all twelve minor chords.
(b) The succession from Ab to Cb is replicated a minor third higher in the succession from Cb
to Ebb.
Yet there is a danger: the Vorhalt principles imposition of hierarchy can

be perfunctory. For example, is the Dn diminished seventh chord in measure
95 of Funrailles merely a local embellishment of the following dominant?
Or is it instead part of an important and extended harmonic initiative
between tonic and dominant? A dierent hierarchy, one that forges a relationship between Bb-Dn-F-Ab in measure 94 and Dn-F-Ab-Cb in measure 95,
deserves consideration here. Countering the notion of Septimenakkordfolge
[7.23b] a sequential progression is the potential interpretation of the
passage as a harmonic progression [7.26], wherein some chords play harmonic roles and others play connective roles. A more complex hierarchy
may be operative, as follows:
m. 8992
bass: Ab
root: Ab
93
G
()
Gb
F
94
95
96
F
Fb
Eb
Dn
Eb
Bb Eb
7.26 Analysis of 7.21, mm. 8996 (in three states of development).

Viewed as a sequential progression [7.23], the potential harmonic implications of the phrases
internal chords are not called into service. In contrast, the harmonic view displayed above
depends upon two hierarchical assertions: (1) that the chord in the rst half of measure 93
performs a connective role between the preceding Ab and following F chords, the latter of which
is signicantly altered (the scores soprano Db functions as a neighbor to C); and (2) that the BbD-F-Ab (measure 94) and D-F-Ab-Cb (measure 95) chords are connected by means of two passing
chords. (Compare Liszts bass FFbEbD and the analysis above with Hasels bass BCCsD
and his analysis in 7.14c, measure 2.)
In this view the major supertonic (IIn or V/V) plays its role as fulcrum
between tonic and dominant. Thus we confront yet again the question that
emerged in our analyses of Beethovens String Quartet in C Major [5.14]
and of Webers Euryanthe [7.9]: namely, whether a diminished seventh
chord functions only within its local context or instead participates in a
broader prolongation, relating functionally to another diminished seventh
chord or to a dominant seventh chord, from which it is separated by
intervening passing motion.
197
Chromatic chords: major and minor
bII: the strategy of denial

The chord we call the Phrygian II, bII, or Neapolitan sixth was too conspicuous a presence in compositions to be overlooked by nineteenthcentury analysts. Yet among their diverse responses was a tendency by some
to regard the lowered second scale degree as a half-step substitution: for
example, as a chromatic neighboring note or suspension displacing diatonic
1, the minor subdominant chords fth. Whereas the similar half-step substitutions that result in the diminished seventh and augmented sixth chords
add dissonant intensity, out of context the sound of the Neapolitan is consonant. Yet in context the lowered second a minor sixth above the fourth
scale degree may be perceived as a wrong note within what should be a
minor IV chord. From that perspective the Neapolitan does not register as
a harmonic entity in its own right, with root on the lowered second scale
degree, but instead as an embellishment of the subdominant. Just as a
diminished seventh chord (the dominants third, fth, seventh, and ninth)
may never settle into a dominant seventh (with the dominants ninth resolving to the octave), the Neapolitan may never settle into the subdominant
(with the sixth resolving to the fth).
When pursuing harmonic analysis one identies and eliminates from
further consideration pitches that perform a non-harmonic role. The
remaining pitches are then arranged to form meaningful combinations.
How one analyzes the harmonic progression in two measures from
Rminiscences de Don Juan [8.1a], Liszts bravura rendering of popular
numbers from Mozarts Don Giovanni, depends upon just which combinations of pitches one accepts as harmonic. Charles Rosen oers a vivid yet
misleading account: Bernard Shaw called the variations on the duet conventional, but they contain passages harmonically in advance of their time
and which predict the Richard Strauss of Der Rosenkavalier. . . A delicate
suggestion of the harmonies of G major and B at major laid over A major
is purely coloristic.1
By granting harmonic status to G major (near the end of measure 84) and
Bb major (after the D major chord that opens measure 85), Rosen confronts
8.1a, b Liszt: Rminiscences de Don Juan (1841), mm. 8485, 5859.

8.1c The foundational chords of 8.1a and 8.1b.
8.1d Catel: Trait dharmonie [1802], p. 56 (transposed).
(b) These measures from the Duetto theme are the model for Liszts variation in 8.1a.
(c) This straightforward harmonization of the chromatic melodic descent from A to E
resembles models by Jadassohn [6.19b], Day [6.19c], and Catel [8.1d]. If accepted as the
foundation for 8.1a, then our appreciation of Liszts writing in this passage should focus on his
command of non-harmonic procedures (what is absent from this example) rather than
harmonic ones.
(d) Catels example, intended to demonstrate Pdale (pedal point), coincidentally contains a
melodic/harmonic framework similar to Mozarts.
the need to assess their roles. The description purely coloristic is a disappointment. Rosen seems to deny the possibility that the Bb chord might
function as a Neapolitan. (It is followed by A Majors dominant in the
second half of measure 85, a typical Neapolitan context.) But a more basic
199
200
8.2 Vogler: Handbuch zur Harmonielehre (1802), table IV, gs. 4 and 5.
Voglers examples demonstrate contexts for the diminished sixth and the augmented third. (His
rst example is adapted from one in C. P. E. Bachs Versuch ber die wahre Art das Clavier zu
spielen (175362), vol. 2, p. 54 [Mitchell, p. 216].) Vogler regards Bb as a Vorhalt, a pitch that
delays the entry of the essential, harmonic tone [der wesentliche, zur Harmonie gehrige Ton
seinen Eintritt verzgert] (p. 11).
concern is whether the pitch combinations G-B-D and Bb-D-F form harmonic entities in the rst place. Comparison with Mozarts opera or an
earlier passage from Liszts Rminiscences [8.1b] suggests that E and Cs not
B and D, which in this view function as accented passing notes2 harmonize soprano G at the end of measure 84. (Thus measure 84 is akin to the
progression examined in 6.19 and 6.20.) And Bb might be perceived as a
chromatic neighbor to A, with D serving as root for the entire rst half of
measure 85 [8.1c]. Instead of coming up empty-handed in assessing these
chords harmonic roles ( la Rosen), one may instead question whether they
warrant a harmonic interpretation at all. Though certainly many analysts
would acknowledge the presence of a Neapolitan here (with A and Cn on the
third eighth note of measure 59 and sixth sixteenth note of measure 85 functioning as passing notes connecting BbGs, and DB, respectively), others
would assert that the subdominant persists through a chromatic neighbor
(ABbA), a modal shift (FsFn), and the addition of the dissonant seventh
(DCn). Rosens stance is idiosyncratic: he both declares the Bb major chord
to be harmonic and neglects to regard it as a Neapolitan.
Vogler stumbles upon a potential bII (DBb or DBb in A Minor) in the process
of demonstrating some uncommon intervals [8.2]. His commentary suggests that he does not regard Bb as harmonic at all, but instead as a displacement of A. Thus the progression is from IV to V, even if by the time IVs
A arrives, its D has undergone chromatic mutation.
In his Die Grundstze der musikalischen Komposition (18534), Sechter
argues that chromaticism emanates from a diatonic foundation. Juxtaposing diatonic and chromatic formulations, he challenges his readers to
hear beyond the intense dissonances of key-bending chromaticism and
pitch displacements to a straightforward underlying progression [8.3]. His
diatonic model is uncomplicated, even drab.3 Its only dissonant moment is
at measure 3, where root D fullls the utilitarian role of averting the stepwise succession of fundamentals F and G.
8.3 Sechter: Die Grundstze der musikalischen Komposition (18534), vol. 1,

pp. 155156.
Much has changed in the rst of his ve chromaticism-enhanced progressions. Sechter oers a harmonic explanation for each alteration without
employing Roman numerals, which have been constructed below from his
commentary and in his manner.
201
202
Measure 1: E, G, Bb, and Db are four of the ve pitches that constitute F

Minors dominant ninth chord. Root C is suppressed. This could be displayed as
measure:
C Major:
F Minor:
1
I
2
V
Measure 2 and the rst half of measure 3: Though measure 2s chords

assert tonic in F Minor, the rst chord of measure 3 contradicts that key
(which would require Db) but is diatonic in C Minor. This could be displayed as
measure:
F Minor:
C Minor:
2
I
IV
II
The second half of measure 3: Fs, An, C, and Eb are four of the ve pitches
that constitute G Minors dominant ninth chord. Root D is suppressed.
When G arrives, the chords quality is major. This could be displayed as
measure:
C Minor:
G Minor:
G Major:
3
II
4
V
I
Measure 4: Gs status as a tonic is contradicted by F. The G7 chord instead

should be interpreted in C Major. This could be displayed as
measure:
G Major:
C Major:
4
I
5
V
Though there is no bII situation as yet, the requisite pitch Db, diatonic in
F Minor, has been introduced.
In the second chromaticism-enhanced progression, two pitches are suspended: Db (measure 2) and C (measure 4). Sechters analysis (capital letters
below the bass) is not aected by these modications: bII does not register as a harmonic event, even though F, Ab, and Db sound together for half
a measure. Instead, the Db displaces the C acknowledged in the notation F
(for F-Ab-C) below the sta. In addition, the F-D-Ab-C chord of measure 3s
downbeat is elided. Sechter consequently interprets measure 2s F minor
chord as a representative (Stellvertreter) of D7. D is retained as fundamental
for the Fs-A-C-Eb chord in measure 3.
In the third chromaticism-enhanced progression, even the F-Ab-C chord

is elided. The Db suspensions resolution coincides with activity in the other
voices, leading away from F Minor to form Gs dominant.4
The suspension Db has resolved to C rst before and then with the arrival
of Fs, Eb, and An. In the fourth chromaticism-enhanced progression, it
resolves after those other pitches arrive. D is indicated as the chords fundamental even though Db is sounding: the lingering ninth of F Minors dominant mingles with pitches from G Minors dominant.
Whereas in the fourth chromaticism-enhanced progression F Minors Db
sounds against G Minors Fs, in the fth progression F Minors F lingers as
well (measure 2). Despite the complexity of the sonority at this moment,
each pitch performs a specic role. That is for Sechter the exemplary state
in which chromaticism should ourish.
In none of these contexts does the pitch combination Db-F-Ab register as
harmonic. After the rst bar line, Db functions as a displacement of C, the
perfect fth above fundamental F. That status persists in Sechters thinking
even when an unadulterated F chord fails to materialize in the actual sound
of the composition.
Thus at least some of the contexts in which a Neapolitan chord might

appear result from the behavior of a wobbly note: scale degree 1. It joins
a family of wobbly chords:
V7:
II7:
II7:
IV:
G-B-D-F
D-F-A(b)-C
D-F-A(b)-C
F-A(b)-C
versus
versus
versus
versus
Ab-B-D-F (diminished seventh)

D-Fs-Ab-C (French)
Eb-Fs-Ab-C (German)
F-Ab-Db (Neapolitan)
(If II7 or IV appears in a major key, then A is among its wobbly pitches.)
Though the issue was and remains contentious, one of the principal
justications for some of musics most striking chromatic chords hinges
upon their relationship with simpler dominant, supertonic, or subdominant chords.
An obvious alternative is to take the Neapolitan sixth chord at face
value, as the inversion of a stacked-thirds triad emanating from the pitch
a minor second above tonic. Yet how should one contextualize its root?
As with other events that extend beyond the keys diatonic pitch collection, analysts were sharply divided regarding whether that pitch should
be interpreted chromatically within the original tonic key, as its lowered
second scale degree, or diatonically within a subsidiary key. For example,
203
204
a Db major chord in C Minor might be interpreted as the subdominant

within C Minors submediant key, Ab Major.
Though a phenomenon common in music since the eighteenth
century, the Neapolitans analytical acceptance within a keys society of
chords was slow in coming. Well into the nineteenth century trepidation
and indecisiveness typify discussions of the Neapolitan chord. Our
exploration of the topic, below, traces some of the high points in the
chords struggle for recognition on an equal footing with the diatonic
chords. One brave commentator, Loquin, goes so far as to remove any
presumption of diatonic hegemony from his analytical notation.
bII: strategies of inclusion

Our introduction to modulation drew upon an example from 1737 by the
German-trained, London-based author John Frederick Lampe in which
ve dierent scale degrees take turns as the key note [6.1]. Its rst
measure contains an unlabeled major chord built on Fn, the lowered second
scale degree of E Minor. Lampe seems not to know what to make of it: the
absence of analytical notation hints of a discomfort with the situation, an
unwillingness to sanction something so deviant with a legitimizing label.
Since the diatonic triad on E Minors second scale degree (Fs-A-C) is unstable, a modication is particularly welcome here. The two viable adjustments are:
Lower Fs to Fn
5 6
5 6
E
Fn
Fs | G
5 6s
s
Es
Raise C to Cs
5s 6
Fs
Fs | G
In lowering Fs to Fn Lampe may be condemning the commotion of

moving from E-G-B to Es-Gs-Cs (on the way to Fs-A-Cs) more than
endorsing the lowered second as a root.5
In eighteenth-century German theory the lowered second scale degree
has its place among the Chord elegantiores of a minor key. Fn, As, C, and
D are the graceful pitches in E Minor, according to Johann Mattheson.6
Daube suggests that chords such as A-C-Fn in E Minor would delight lovers
of exotic harmony (die Liebhaber fremder Harmonie).7 The elderly Rameau
appears to concur, for in his Code de musique pratique (1760) he fearlessly
provides an extraordinary fundamental bass, ABbEF, for a progression
rendered in modern analytical notation as A Minor: IbII6V7#VI.8
8.4a Langl: Trait de la basse sous le chant [ca. 1798], p. 164, ex. 95.
Only through enharmonic reinterpretation does this chromatic progression retain an aliation
with the diatonic pitches in C Major. Left untended it would proceed via bass CAbDbBbbEbb
Cbb to Fbb and beyond, ultimately reaching Abbbbbbbbb rather than C at its twenty-fth measure.
8.4b Momigny: La seule vraie thorie de la musique [1821], pp. 7879.

Momignys caption asserts that the entire progression is in the key of C Major (UT majeur).
Enharmonic reinterpretation (e.g., Db = Cs) plays a crucial role.
Certain sequential progressions endow the lowered second scale degree

with an inevitability unmatched in conventional harmonic progressions.
Langl passes through both the lowered and diatonic second scale degrees
in quick succession [8.4a]. Momignys commentary on a variant of the same
progression [8.4b] asserts his anti-modulatory stance:
Although the octave span here would seem to arm Db as tonic in the key of Db
Major, Db nevertheless is merely the chromatic lowered second of the key of C
Major, taking into account that the establishment of C Major has preceded it and
that the remainder of the progression conforms. Likewise, and for the same reasons,
the octave span Cs B A Gs Fs E Ds Cs is not in Cs Minor, but in C Major. To conceive of each octave span in this example as if it were the set of diatonic pitches in
a dierent key is the misunderstanding of those who know nothing about the
chromatic genus.9
Bertons circle of descending fths (CFBbEbAbDbGbCb . . .)

eortlessly touches upon the lowered second in a sequential progression
that persists to the point where enharmonic shadows dwell [3.8]. More
cautious souls, sensing danger ahead, would be more inclined to breach
205
206
8.5a Frster: Anleitung zum General-bass [1805], examples appendix, p. 14, ex. 126a.
For analysts who chart bass rather than root progressions (see 1.2b), the succession 45
corresponds to a broad range of possibilities including, as here, a 4 surmounted by a minor sixth
(the lowered second scale degree) and a 5 surmounted by a sixth and a fourth.
8.5b, c Crotch: Elements of Musical Composition (1812), plate 30, exs. 328, 331.
In addition to the two successions shown, Crotch displays successions from the Neapolitan sixth
to a diminished seventh on the raised fourth scale degree (also labeled fa) and to a 64 on the fth
scale degree (labeled sol). Each of these successions is displayed in both major- and minor-key
contexts.
the pattern than to enter territories populated by such eerie shapes, in

some cases placing the lowered second and the dominant in direct succession. Weitzmann, for example, displays the progression CFBbEbAb
DbGC.10
In that a bass, as opposed to root, orientation to chord progression (as
in 1.2) persisted in some quarters well into the nineteenth century, several
early attempts at labeling the chord do not distinguish it from the subdominant. For Langl it consists of a minor sixth on the fourth note of the key,
a license that he permits only in the minor mode and only when its altered
sixth and the dominants diatonic fth are not juxtaposed in adjacent
chords, but instead separated by a 64 (his cadence double).11 Frster employs
the Arabic numeral 4 in his bass-oriented analysis [8.5a]. Crotch employs
the label fa [8.5b, c], explaining: The Neapolitan sixth is a minor third
and a minor sixth to Fa, and is never inverted.12
Accepting the chord at face value as an inversion of a major triad rooted
a minor second above tonic triggers a concern for what Lobe calls nahe
Beziehung: the close relationship between successive roots.13 1 b2 and b25
hardly qualify. Vogler, who sometimes fails to acknowledge the Neapolitan

p. 40 [Hser, p. 34.]
We shall use the term half modulation when one only touches upon another key in passing, with
just one or a few chords, and without making a cadence. [On appellera demi modulation, celle
o lon ne touche un autre ton que passagerement, avec un ou quelques accords seulement,
et sans y faire de cadence.] This example is paired with one that begins in the same way but
cadences in F Major, creating a full modulation (modulation entire).
[8.2], also employs a Roman-numeral strategy in which this foreign (fremd)

chord is interpreted not in the prevailing key but instead in a closely related
key. The labels IV (in F Major) and V (in A Minor) are juxtaposed:
bass:
root:
6b
D
Bb
IV
of F
5n
3s
E
V
[of A]
3n
A
I14
The keys F Major and A Minor are related in a sort of nahe Beziehung even
if the roots Bb and E are not. The ears condence in the progression results
from a certain elevated taste (gewisser haut gout).15 Thus Vogler justies,
through a shifting focus of the tonal center, the freedom of succession that
Weber would later espouse: there is not a single harmonic succession which
we should be able absolutely and unconditionally to forbid.16 Though Bb and
E are antipodes (Antipoden), they follow one another without incident.17
Jelensperger concurs with Voglers perspective in an example whose captions assert that despite a half modulation to accommodate the foreign
chord, the phrase as a whole is in a single key [8.6].
Around mid-century authors began to speak openly of the chord as an
altered supertonic in the prevailing key. In his Esthtique musicale (1855),
Durutte employs the symbols
207
208
bF
21
and
b5
b21
(conveying the sense of a rst-inversion chord on the second scale degree of

a minor key with lowered fundamental (bF), and a rst-inversion chord on
the lowered second scale degree of a major key with lowered fth, respectively) to represent a harmony that is very beautiful and often employed.18
In 1862 Anatole Loquin relates, this is, properly speaking, a diminished
chord on the supertonic, in rst-inversion, in which the supertonic pitch has
been lowered by a half step.19 Lobe took up his pen in battle against the
trend: In other words, Bb-D-F [in A Minor] is not Bb-D-F, but B-D-F!20 A
few years later George Alexander Macfarren denes it matter-of-factly as a
chromatic major common chord of which the minor 2nd of the key is the
root, . . . employed with admirable eect in both minor and major keys.21
Given such a variety of explanations, the status of the chord remained
unsettled. John Stainer seems inclined to embrace all views simultaneously.
Within the rst two pages of his six-page exposition on the chord, he accomplishes all of the following:
Employs the term chord of the attened supertonic
Derives the chord from scale degrees 1, 3, and 6 of the minor subdominant key
Employs the term Neapolitan Sixth
Resolves the chord to a cadential 64, to the dominant, and to tonic
Permits continuation from the dominant to either a major or a minor
tonic
Derives the chord from two roots: for example, the minor seventh (F) and
minor ninth (Ab) of G plus the minor ninth (Db) of C
Permits construction in any of its three positions.22
Accepting the Neapolitan chord and its succession to the dominant as
normative events within a key encouraged the accommodation of other
chords and chord successions as well. Loquins analytical notation in
Lharmonie rendue claire et mise la porte de tous les musiciens (1895) is
designed to be minimally restrictive in this regard. He dispenses with traditional diatonic/chromatic distinctions altogether, naming chords according
to their positions within the chromatic scale.23 In C Major his premier son,
second son, and sixime son represent not C, D, and A (the rst, second, and
sixth diatonic pitches), but instead C, Db, and F (the rst, second, and sixth
chromatic pitches). In contrast to Sechters notion that chromaticism
emanates from a diatonic foundation, Loquins terms and symbols grant no
8.7a, b Loquin: Lharmonie rendue claire et mise la porte de tous les musiciens (1895),
pp. 27, 148.
In Loquins system each chord type (taking into account both interval content and inversion) is
assigned an individual number. (For example, his chart of Chords containing three tones
consists of thirty entries labeled using numbers ranging from 16 through 60.) Such numbers
appear below the chords in his analyses. Relations between adjacent chords are indicated by
capital letters interspersed between these numbers. For example, the letter T corresponds to a
descending perfect fth, while the letter G corresponds to an ascending augmented fourth.
(a) The number 35 corresponds to a minor triad in root position (tat 1), while the number 36
corresponds to a major triad in rst inversion (tat 2). Loquin describes this succession as From
the premier son to the second son. (Ascending chromatically from tonic, C = 1 and Db = 2.)
(b) Additional numbers and letters account for the more varied chord types and relationships of
this example, which demonstrates the use of the second son in root position.
favoritism to any pitch combination or succession beyond placing tonic

(premier son), root position (tat un), and major quality (1e espce) ahead of
all the remaining chordal permutations. His analyses are fascinating in their
idiosyncrasy [8.7].
Expansive tendencies are apparent in both the music and in the analytical tools of the late nineteenth century. Though extreme, Loquins transformation of scale-step theory from a seven-entity into a twelve-entity
enterprise asserts a universality that extends well beyond the Neapolitan.
His second son is no mutant of a diatonic chord, but instead a legitimate,
independent player in an analytical system no longer rigged to favor the
diatonic.
As with chord relations, likewise with key relations. With respect to
modulation the eighteenth century was surprisingly accommodating in
theory, though certainly composers at rst did not utilize the options
proposed as fully as their successors would. As we expand now beyond
209
210
modulation to closely related keys (our focus in chapter 6) to consider

more distant relations, we should note especially any advice oered
regarding which keys are more and which are less accessible, as well as
regarding how their connection may be accomplished directly, or via
one or more intermediate keys.
Non-diatonic goals of modulation

Introductory demonstrations of modulatory practice favored a small set of
closely related keys: those whose pitch collections overlap with the original tonics to a large extent. Even so, the existence of extraordinary or
strange modulation was acknowledged in the eighteenth century and its
potentials explored. In his Vorgemach der musicalischen Composition Sorge
quotes Andreas Werckmeisters invocations of Nature and of God in defense
against eccentrics (Kautze) who might lead from C to Fs.24 Though
Kirnberger grumbled about how unpleasant and contrary to our sensibilities25 the rapid key changes of some of his contemporaries were, his
three-tiered system nevertheless accommodates all possibilities:
Major keys (C Major as model)

Direct modulations (in ranked order):
From C Major:
d26
Distant modulations:
First level:
Second level:
From C Major via F Major:

Bb
From C Major via G Major:
D
From C Major via F Major and Bb Major:
From C Major via G Major and D Major:
g
b
Eb c
A fs
Modulations to remote keys, via direct modulation from the dominants of

the original tonics directly-related keys:
From G Major (dominant of C):
From D Major (dominant of G):
From E Major (dominant of a):
From B Major (dominant of e):
From A Major (dominant of d):
b
D
E
B
A
D
fs
fs
cs
b
A
gs
ds
cs
b
A
E
D
B
Fs
E
cs
gs
fs
The remaining remote keys achieved via modulation from one of these keys.
Minor keys (A Minor as model)

Direct modulations (in ranked order):
From A Minor:
G27
Distant modulations:
First level:
Second level:
From A Minor via D Minor:

g
From A Minor via E Minor:
b
From A Minor via D Minor and G Minor:
From A Minor via E Minor and B Minor:
Bb
D
c Eb
fs A
Modulations to remote keys, via direct modulation from the dominants of

the original tonics directly-related keys:
From E Major (dominant of a):
From B Major (dominant of e):
From G Major (dominant of C):
From A Major (dominant of d):
From D Major (dominant of G):
E
B
b
A
D
fs
cs
D
b
fs
gs
ds
A
E
B
Fs
cs
gs
cs
A
D
b
fs
The remaining remote keys achieved via modulation from one of these
keys.28
Kirnbergers and similar schemes are pre-compositional plans, expedient
routings for harmonic journeys either commonplace or exotic. Instruction
manuals featured circular diagrams incorporating all the keys, inviting compositions that Kirnberger dismisses as only a curiosity and . . . of no use
otherwise.29 Tables of twenty-three modulations from any tonic, such as
that to which Daube devoted over seventy pages in his General-Ba in drey
Accorden (1756), were published as well.30
Rarely are rankings such as Kirnbergers invoked in a harmonic analysis. For example, though Weber occasionally displays a precise measure of
the distance between adjacent tonics [6.6], he does not concurrently arm
that these are close relationships. Jelensperger does address this issue,
drawing upon his own segmentation of all key relationships into three
classes [8.8].
Momigny documents how, in modulating from C Major to Gs Minor, an
intermediate key can mitigate to some extent the brusqueness of the transition [8.9]. The Gs of measure 1 is understood initially as a chromatic pitch
within C Major. Only with the Cs of the following chord is the listener
inclined to abandon C as tonic and to interpret the new chord in A Major.
Likewise the As that follows is understood at rst as a chromatic pitch
211
212

pp. 4344 [Hser, p. 39.]
This example displays the relationship between A Minor (la) and Ds Minor (res ), designated as a
modulation of the third class (3.e ordre). Jelenspergers division of key relationships into three
classes is as follows:
from C Major:
from C Minor:
First Class
G F Ab
aced
Eb C Ab Bb G
gf
Second Class
Eb E
fg
F Db
d bb
Third Class
Db A B D Bb Fs
b fs db bb ab eb
D Gb B A E
eb e a ab b db gb
In comparison with Kirnbergers system, the relationship between C Major and C Minor is
favored, as is the minor modes major dominant (G). Also more favored are the major modes at
submediant (Ab), major mediant (E), and minor subdominant (f). Conversely a number of
relationships are positioned lower than in Kirnbergers ranking. The modulation from A Minor to
Ds Minor in Jelenspergers example corresponds to the very last relationship displayed in his
chart: C Minor to gb.
within A Major. But the Ds that follows opens the way for Gs Minor. To
prevent oense, Momigny recommends that modulations of this nature be
undertaken only at a very slow tempo.31
Finlay Dun, writing in The Harmonicon in 1829, agrees with Momignys
procedure, though he does not share Momignys enthusiasm for the
practice:
Tables of modulation . . . often put a dangerous weapon in the hand of inexperience.
The frequent use of abrupt and surprising modulation, has, for half a century
past, been a besetting sin of ambitious composers; but in the present day, the rage
for this species of writing, and also for chromatic harmonics and accompaniments,
has infected the style and composition to a remarkable degree. This practice has
undoubtedly been resorted to by the best masters, but only on t occasions, and even
then sparingly . . . In modulating from a tonic to a non-related or remote key from
C major to F-sharp major, for instance the ear must be made to lose gradually the
impression of the original key; and be led to a satisfactory reception of that which
is to be established. This is eected by means of intermediate chords. These form the
links which connect a series of keys and of musical ideas together. The art of modulation will be found, therefore, to consist in the selection and application of these
intermediate chords.32
8.9 Momigny: La seule vraie thorie de la musique [1821], p. 96.

In order to ascend an augmented fth. [Pour monter dune quinte superue.]
Poor Finlay Dun! Already in 1829 he was sounding the alarm, and yet he
lived nearly a quarter century more, enduring further developments
that some regarded as musics future and others as its downfall. The
Wagner/Brahms split was taking shape by 1860. Wagners successors
eventually succeeded in abandoning tonality as Dun had known it, while
Schenker declared Brahms to be the last of the great composers. But that
takes us beyond our purview.
Let us return to 1829. Rossini was the rage in Paris, where Jelensperger
was writing his treatise on harmony in the early nineteenth century
(Lharmonie au commencement du dix-neuvime sicle), for which he
undertook a mammoth statistical analysis of key relationships in music
recently performed in Paris, including the 1829 hit, Guillaume Tell.
Rossini and the major mediant

In the ballet music from the rst act of Rossinis Guillaume Tell, two measures securely positioned in F Major are followed by two measures in which
the pitch Cs occurs as a chord member [8.10]. Since it falls outside the diatonic pitch collection of F Major, analysts must decide whether to interpret
Cs as a chromatic event within F Major or as a diatonic event in some other
key.
The pitch content of measure 3 and the rst half of measure 4 invites modulation to D Minor, wherein Cs functions conventionally as leading tone. In
Jelenspergers notation, an analysis of these chords might appear as follows:
.
5
1
5
r
A facile analysis of this sort employs a key shift as often as new pitch content
warrants, resorting to an altered-chord (chromatic) explanation only
when no diatonic collection proves accommodating.33
213
214
8.10 Rossini: Ballet music from Guillaume Tell (1829), Act I.

Cs in measures 3 and 4 may or may not be grounds for a modulation. But if so, to what key:
D Minor or A Major?
Rossinis triumphs in Paris occurred just after Momignys pleas for the
acceptance of a broad spectrum of chromatic and enharmonic pitches
within a single key.34 In this view F Major is home both to C and to Cs, and
thus modulation is not a mandatory response to a few chordal Css.
Jelenspergers notation, in which a right parenthesis indicates the shift of a
chords quality to major, easily accommodates Rossinis progression without
a full-edged modulation:
.
3)
6
3)
Fa
In the context of Momignys fortied keys the considerable overlap of
pitch content among the various keys requires a considered choice regarding which candidate key best supports the content of the music at hand. The
pitches of measure 3 and the rst half of measure 4 A, Cs, D, E, F, and G
might represent not only D Minor (with leading tone Cs) or F Major (with
chromatic Cs), but also A Major (with chromatic F and G). The choice of A
Major for Rossinis ballet music would give a plagal avor to the cadence
at measure 4. Using Jelenspergers notation, in which a left parenthesis
indicates the shift of a chords quality to minor, an analysis in A Major would

appear as:
.
1
(4
1
La
Jelenspergers Lharmonie au commencement du dix-neuvime sicle,
issued in 1830, draws from his analysis of over 31,000 measures of music
selected from compositions performed in Paris during the preceding
fty years: Haydns Creation, Mozarts Don Giovanni, Beethovens Fifth
Symphony, and works by Auber, Boieldieu, Cherubini, Hummel, Reicha,
Spontini, and Weber. Rossini is represented by Guillaume Tell.
Among the fruits of Jelenspergers labors are two ordered lists of the
twenty-four tonal regions one list for compositions in a major key [8.11],
another for those in a minor key. From these lists readers could determine
which regions were employed frequently, and which rarely.
The nebulous character of what Jelensperger measured compromises his
enterprise, despite the formidable exertion. Though measures 3 and 4 of the
ballet music from Guillaume Tell are among those that helped shape these
statistics, it is impossible to reconstruct exactly how he interpreted them.
Were they understood in the key of F Major (57.0%), D Minor (4.4%), or A
Major (0.7%)? Among possible modulations from F Major, Jelensperger
ranks D Minor as one of seven relationships of the First Class, while A
Major is one of four relationships of the Second Class (outranking twelve
relationships of the Third Class).35
The case for D Minor

Choosing D Minor as a modulatory goal would be the logical course
for musicians with a conservative outlook on chromaticism. Choron
describes a progression akin to FA7D in measures 2 and 3 as viable only
as a means of attaining the relative minor key.36 Lobe demonstrates that
even when the A chord lacks a seventh it may target D Minor [8.12a].
Yet the D chord of measure 3 has a less robust impact than is typical of a
tonic.
If a modulation to D Minor in fact occurs, then dominant-to-tonic successions pervade the entire period: in F Major (measures 1, 2, 5, and 6), in
D Minor (measure 3), and in C Major (measure 7). Had measure 4 continued the pattern of measure 3 (as in A7d | G7C), a transitory modulation
to D Minor might be persuasive. As it stands measures 3 and 4 articulate a
voice-leading formulation and metrical positioning that subordinate the
215
216
Jelenspergers
key symbol
I
V
IV
III
VI
VI
III
VII
II
II
VII
V
IV
Sample key
name (based
on F tonic)
Number of
measures
F Major
C Major
F Minor
Bb Major
D Minor
Ab Major
Db Major
G Minor
A Minor
C Minor
Bb Minor
D Major
A Major
Eb Major
G Major
Eb Minor
Gb Major
E Minor
E Major
Ab Minor
Db Minor
Fs Minor
Cb Major
B Minor
13844
2659
1260
1089
1075
946
790
625
392
369
317
209
171
117
81
62
61
48
42
41
37
28
16
4
Statistic
converted
into percent
57.0
10.6
5.2
4.5
4.4
3.9
3.3
2.6
1.6
1.5
1.3
0.9
0.7
0.5
0.3
0.3
0.3
0.2
0.2
0.2
0.2
0.1
0.1
0.0
8.11 Jelensperger: Lharmonie au commencement du dix-neuvime sicle

(1830, 21833), p. 42 [Hser, p. 36] (cols. 1 and 3), with explanatory additions
(cols. 2 and 4).
Jelenspergers statistics show that, at least in the repertoire that he analyzes and given the
analytical methods that he employs, some of the traditionally close relationships, such as from F
Major to G Minor or A Minor, occur with less frequency than some that involve fewer common
tones, such as F Major to F Minor, Ab Major, or Db Major. (This data is reected in his ranking of
modulations [8.8].) A Roman numerals size distinguishes between the major and minor keys on
that scale degree. A diagonal line through the numeral indicates a chromatically raised ( ) or
lowered ( ) tonic. In Hsers German translation the diagonal lines are replaced by acute and
grave accents placed above the Roman numerals. The second and fourth columns amplify
Jelenspergers data. A typographical error of the French edition has been corrected: IV in the fifth
row should read VI, as it does in the German edition.
8.12 Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858), pp. 241 and
244 (transposed).
(a), (b) Cs might induce modulation to D Minor or to A Major.
(c) This example appears without analysis. It demonstrates the sort of progression that
Lobes opponents would analyze entirely within one key, regarding the second chord as
altered (alterirt). (Perhaps hinting at the nationality of some of these opponents, Lobe
here employs a term derived from the French word altrer to adulterate or corrupt.) In
Lobes view an A major chord is foreign (fremd) to F Major and requires the
establishment of a temporary diatonic context: perhaps d: 5 or A: 1, as in the A-Cs-E chords of
(a) and (b).
8.13a Trk: Kurze Anweisung zum Generalbaspielen (1791), p. 33 (transposed).

8.13b Schenker: Der freie Satz (1935, 21956), Anhang, p. 38, ex. 795 [Oster,
Supplement, ex. 795] (transposed).
In both the originals and in these transpositions, the prevailing key signatures suggest that the
authors regard the chords that conclude their examples as tonic.
members of the D chord to those of the A chords that surround it [8.13],

weakening the case for D Minor as tonic.
The Case for A Major

Typically A Major would be conrmed via its dominant, as Lobe demonstrates [8.12b]. Here A Major is conrmed, if at all, via its minor subdominant.37 This reading of measures 3 and 4 is appealing, even if the initial tonic
contains a lowered seventh (Gn), pulling towards As subdominant. Part of
the appeal is that, unlike our reading in D Minor (above), here the D chord
is dependent upon the A chord. Yet the D subdominants quality is minor. If
the key is in fact A Major, then it is an A Major in which vestiges of its predecessor, F Major, linger.
217
218

p. 62 [Hser, p. 61] (transposed).
This example contains, as does Rossinis ballet music, a major triad on the initial tonics third
scale degree. Jelensperger does not establish a diatonic context for the Cs in the nal chord but
instead retains continuity with the initial tonic, F. His label 3) indicates a major triad on the
third scale degree of F Major. In both the French and German editions this chords sharp is
positioned incorrectly beside the middle upper-sta notehead.
GnFn in measure 3 (Violin II) reiterates a motive of measures 1 and 2,

here extended a step to E in measure 4. Both versions could be regarded as
truncations of longer, chord-dening descents:
GF
abbreviates AGF,
connecting scale degrees 3 and 1 of

F Major
GFE abbreviates AGFE, connecting scale degrees 8 and 5 of
A Major.38
This A major chord weakly asserts itself as a tonic. Both melodically and harmonically, its trappings remain allied to F Major.
The case for F Major

Upon encountering an A major chord surrounded by diatonic chords of F
Major, Lobe would modulate out of F and then back in again [8.12c]. In the
same circumstance, Jelensperger likely would remain in F Major throughout [8.14]. By accepting chromatic pitches such as Cs as chord members
within F Major, broader issues of phrase construction, such as the substitution of IIIIs for the conventional IV formula in Rossinis phrase, come to
the fore [8.15] and make Lobes painstaking scrutiny of diatonic pedigrees
seem fussy.
A frustrating aspect of harmonic analysis is the diversity of responses a
passage may elicit among commentators. Some matters, such as Arabic
versus Roman numerals, or all-capital Roman numerals versus a mix of
8.15a A model for antecedent/consequent phrase construction.

8.15b A variant of 8.15a, corresponding to 8.10.
8.15c Pitches of 8.15b migrating to a lower range.
Though an antecedent phrase will typically cadence on the dominant (a), the major mediant
provides an interesting variant (b). The label IIIs (indicating a chord on the third scale degree
with diatonic root and fth and sharped third) possesses a neutrality that other labels imputing a
dominant function (V of VI; D Minor: V) lack. In comparing (b) with Rossinis composition,
observe the migration of pitches to a lower register (c). The models foundational soprano and
bass pitches are displayed in open noteheads.
capital and small Roman numerals, are of little signicance. Yet it would
seem that something as critical to the analytical process as the assessment
of what key a passage is in ought to result in a unied response. But it
does not. Lobe exuded an Im right attitude every bit as potent as
Momignys, and yet clearly they could not both be right on many areas of
contention. (Of course there were no exchanges between them: Momigny
died before Lobes rst treatise appeared in 1850. Singled out on account
of their especially vivid prose and the persistence of their endeavors, they
serve as representatives of two opposing tendencies that persisted
throughout the century.)
We shift now from Paris to Vienna, where Schuberts candle had gone
out in 1828. On the one hand, we lament his early departure from life and
the resultant loss of compositions from one of musics most sensitive and
prolic voices; on the other hand, one wonders if the profundity of his
late works would have been achieved had he not been condemned by an
incurable disease to torment, to unfullled interpersonal relationships,
and to the certain prospect of a reduced lifespan. Though the brief illness
that killed him did so unexpectedly, catching his friends by surprise,
219
220
Schubert knew that his health was beyond repair. The last years of his life
were an uninterrupted winter journey.
In chapter 2 we explored a Beethoven/Schubert connection. Passages
from works by those composers were shown to be constructed along
similar lines. Is it possible that Schubert also was an attentive reader of
music theory treatises, using modest modulating examples from a work
by Ignaz Ritter von Seyfried as the impetus for one of the Winterreise
songs? Alas, that is another question that we cannot answer with certainty. In any event, let us consider the evidence.
Seyfrieds and Schuberts modulations

A year or two before the Vienna publisher Tobias Haslinger issued the rst
part of Schuberts Winterreise in February 1827, he oered a weighty theoretical set called J. G. Albrechtsbergers smmtliche Schriften ber Generalba,
Harmonie-Lehre, und Tonsetzkunst, compiled by Albrechtsbergers pupil, the
distinguished Kapellmeister Ignaz Ritter von Seyfried. Albrechtsberger had
died in his early seventies in 1809. It is probable that much of the pedagogical material on harmony for this work was constructed by Seyfried.
Auf dem Flusse, the seventh lied in Winterreise, opens with a progression that leads from E Minor to a cadence in Ds Minor (measure 12) [8.16].
These keys are not closely related: their signatures dier by ve sharps. In
line with Kirnbergers strategy, E Minor and Ds Minor nd common
ground in E Minors dominant, B major (measure 8).39 Schuberts friend
Anselm Httenbrenner, writing in 1854, recounts an exclamation made by
Schubert during his study of scores by Hndel: Ah, what do you think of
these for bold modulations! Such things could not have entered our heads
even in a dream!40 From a minor tonic the major key a whole step lower
would be a natural and conventional goal [8.17]. Roots descending by
perfect fth (such as ADG in 8.17, measures 79) lead straightaway to a
new and happier domain, one that might endure or might lead onward to
the mediant. The sentiments of Schuberts text do not warrant such a benign
turn of events. Ds Minor, alien to E Minor, is a more suitable choice.
The opening seven measures of Seyfrieds progression [8.17] closely
resemble Schuberts introduction, which in turn serves as model for the
initial vocal/piano material (measures 5 through 8), where the accompanying bass twice ascends from E to G (inverting the descending sixth of measures 1 and 2) on its way to B, while the dissonant second Fs
(from the
E
supertonic 65 of measure 3) occurs above the dominant root. The melodic
You who so gaily rushed, you clear, turbulent river,

How still you have become, you give no farewell!
8.16 Schubert: Auf dem Flusse from Winterreise, D. 911 (1827), mm. 113. Text by
Wilhelm Mller.
8.17 Seyfried, ed.: J. G. Albrechtsbergers smmtliche Schriften [ca. 1825], vol. 1, p. 152.
Intended by Seyfried to demonstrate modulation from A Minor to G Major, the example begins
with a chord progression similar to that which opens Schuberts Auf dem Flusse. Ludwig
Stoels, in Die Winterreise; Band 2: Die Lieder der ersten Abteilung (Bonn: Verlag fr systematische
Musikwissenschaft, 1991, p. 222), juxtaposes Schuberts opening progression with an excerpt by
G. P. Telemann. The SeyfriedSchubert connection is more compelling, however.
221
222
8.18 Seyfried, ed.: J. G. Albrechtsbergers smmtliche Schriften [ca. 1825], vol. 1, p. 162.
This example is one of forty-six presented by Seyfried to demonstrate how, through skillful
turns, modulation from C Major to all other keys and from C Minor to all other keys can be
achieved.
8.19a Model for 8.16, mm. 712.

8.19b Model for 8.18 (transposed).
Schuberts composition (a) and Seyfrieds model (b) share a number of distinctive features.
third GAB is presented prominently: in the bass of measures 23 and in

the vocal line of measures 56 and 78. Its chromaticized retrograde bass
BAsGs in measures 811 triggers the modulation to Ds Minor, while its
diatonic restoration (in both directions), embedded within the keyboard
texture of measure 13, signals the return to E Minor.
Seyfried had just published an extraordinary modulation from C Minor
to B Minor [8.18]. Schuberts move from E Minor to Ds Minor follows a
very similar path [8.19]. In fact, Schuberts is a bit tamer than Seyfrieds:
Schubert employs diatonic Gs for Ds Minors IV7 chord (measure 11), proceeding by whole step to the dominant root (GsAs); whereas Seyfried
approaches the dominant via its leading tone. By consulting Seyfrieds
model as a hypothetical plan for Schuberts phrase, we appreciate how beautifully the word still is set. In tandem with extraordinary sehr leise and ppp
performance indications, the passing note As connecting B and Gs stalls for
two measures, representing the frozen, lifeless river.41
8.20 Seyfried, ed.: J. G. Albrechtsbergers smmtliche Schriften [ca. 1825], vol. 1, p. 29

(transposed).
Compare Seyfrieds EADnB root progression with Schuberts EAsDsB (measures 17, 11,
12, and 13). Though Seyfrieds third chord, D Major, lies outside the diatonic realm of E Major, it
is attained easily via a chain of descending fths (EAD).
The foreignness of Ds Minor to E Minor may raise concerns regarding

how or when tonic might return. Schuberts strategy is quite simple,
however: he does with Ds Minor exactly what was commonly done with D
Major [8.20]. The subtonic-to-dominant succession requires that the
leading tone replace the subtonic pitch. In E Minor, that would be
followed by
D
Ds
Fs
Fs
A
A
[8.20, measure 3]
[8.20, measure 6].
Seyfried in fact supplies an intermediate step,

B
Fs
[8.20, measure 4].
With Ds Minor instead of D Major, As is the pitch that must move, as in

followed by
Ds
Ds
Fs
Fs
As
B
[8.16, measure 12]

[8.16, measure 13].
It is indeed tempting to speculate that Schubert modeled these measures

of Auf dem Flusse on Seyfrieds examples. Perhaps that was the case. Yet
perhaps Schubert and Seyfried shared a common source: the music performed in Vienna during the centurys opening decades, with Seyfried
responding by assembling a theory text, now remembered principally by
scholars, and Schubert by synthesizing what he saw and heard to create some
of the most sublime works in the lieder repertoire.
As our study draws to a close, we turn to two composers whose careers
dominated the latter half of the nineteenth century: Wagner and Verdi.
Though their most characteristic and celebrated works are from beyond
the centurys midpoint (the topic for another book), we should nd some
rapport between their early style and the analytical apparatus developed
for works of their immediate predecessors. First Wagner.
223
224
Readers likely need no reminder that Wagners music is saturated with

chords that possess specic resolutional tendencies, generated through
the chromatic modication of a triadic chord member, the addition of a
dissonant pitch, or both; and that often a tendency chords expected resolution does not occur. Sometimes a tendency is generated even without
dissonance. For example, a major chord rooted on F followed by a major
chord rooted on B is so characteristic of bIIV that we may expect the progression to continue to E (I). An example from Lohengrin (to be explored
below) contains such a succession, which in fact does not so resolve.
Two contrasting analytical agendas will be juxtaposed in our discussion: rst, a label- and modulation-intensive analysis that maximally
accounts for each chords potential tendencies, pursued even when
conrming resolutions do not occur; and second, a perspective that
absorbs the chromaticism of individual chords within the broader C
Major tonality and that asserts a chordal hierarchy resulting in a nonharmonic interpretation of some of the chords. Though a large share of
the Wagner analysis published since the mid-nineteenth century pursues
the rst approach, I hope to show that the second approach also develops out of ideas current during the era of Wagnerian hegemony. Thus its
further exploration and application is especially warranted.
A Wagnerian antipodal conundrum

F and B are antipodes, maximally distant positions within the tonal system.
That fact does not prevent an occasional interaction between them. They are
co-members of two diatonic pitch collections: as 6 and 2 they appear
together in A Minors supertonic chord, for example, and as 4 and 7 they
appear together in C Majors dominant seventh chord (often borrowed for
use in C Minor as well).42 Beyond the diatonic realm their most common
interaction occurs in the succession from the Neapolitan to the dominant:
in E Major or E Minor, Neapolitan root F is followed by dominant root B.43
An antipodal succession from F major to B major occurs in Athmest
du nicht mit mir die sssen Dfte? from Wagners Lohengrin [8.21, measures 46]. It attracts our attention not only because F and B are juxtaposed,
but also because a B major chord occurs rarely in C Major.
The various examples of historical analysis we have explored up to now
fall into two basic categories: those that hold all chordal activity to be harmonically generated; and those that regard chordal activity as an interplay
between harmonic and connective functions. In that chordal density and
Dont you breathe, with me, the sweet fragrances?

Oh, how so pleasingly intoxicating to the senses they are!
8.21 Wagner: Athmest du nicht mit mir die sssen Dfte? from Lohengrin (1848),
Act III, Scene 2.
chromatic daring in music increased as the nineteenth century progressed,

advocates of the former viewpoint found themselves grasping for small
spans of continuity, sometimes subdividing coherent-sounding phrases into
an incoherent array of snippets in a range of keys. We will consider our
example from Wagner rst from this intensely harmonic perspective, but
then will broaden our scope to include alternative explanations for some of
the chordal behavior.
A harmony-intensive perspective
Five of the excerpts eight measures contain at least one chromatic pitch. Gs
in measure 2 and the rst half of measure 3 has a destabilizing eect. Though
measure 1s V7 prepares for tonic C-E-G in measure 2, tonics G is elided, so
that a stable tonic chord is absent at the outset of the progression. Because
augmented chords such as C-E-Gs often progress via a descending-fth root
succession, in the manner of a dominant to tonic, some analysts would
interpret C-E-Gs as Vs5 in F Major, rather than as Is5 in C Major. The context
changes with Gs in the second half of measure 3, where an E7 chord targets
A Minor. Consequently the EF root succession from measure 3 into
225
226
measure 4 possesses a deceptive avor, as V7VI in A Minor.44 A consideration of the local harmonic implications of the rst four chords reveals a
quick turnover of keys, each of which is inaugurated by a dominant that
does not resolve as expected:
measure
C Major:
F Major:
A Minor:
1
V7
V7
VI
Vs5
Ds and Fs in measure 6 result in a chord of major quality rooted on B,

foreign both to C Major and to the G Major goal of the phrase. E is the most
viable tonal center:
measure
E Major
:
Minor
3
In7s
4
5
6
nIIn5 Vs5s
Here the antipodal FB inhabits its most common chromatic context

that from Neapolitan to dominant. As we have seen, the Neapolitan was
sometimes regarded as a modied subdominant (A-C-F as displacement of
A-C-E). Thus its occurrence after a tonic (E) that takes on the character of
the subdominants dominant (V7 of IV) is not too disconcerting. Of
course, in a strictly diatonic perspective, neither the E nor the F chord would
fall within either E Major or E Minor. The E chord instead might be regarded
as V7 in Es subdominant key, A, and the F chord as IV in E Minors submediant key, C Major. (Compare with 8.6.)
Fs in measure 7 occurs in the context of a chromatic retreat: the Ds of
measure 6 reverts to Dn in measure 7, and thus a diatonic connection between
these two chords is elusive. Instead, dominants in the keys of E and G appear
to be juxtaposed. (Compare with 6.12.) Alternatively, from a chromatic perspective the B major chord relates to what follows as a major mediant:
measure
G Major:
6
IIIs
7
V7
8
I
In all, the seven distinct harmonies of these eight measures might induce
analysis within ve keys: C Major, E Major
, F Major, G Major, and A Minor. It
Minor
is time now to give the alternative perspective the attention it deserves.
A hierarchical harmonic perspective

We saw earlier in this chapter how Rossini refrains from shaping an
antecedent phrase within the familiar IV framework. IIIIs was proposed
as a viable analysis for his alternative path. Deformations of conventional

structural shapes are of course common in music, their incidence increasing during the nineteenth century. Wagner deforms the beginning, rather
than the ending, of his phrase: C, E, and G never sound together.
Nevertheless they constitute the governing tonic triad. Gs in measure 2 is a
premature chromatic passing note that usurps the time normally allotted
for a stable G. The label I tonic in C Major fully warrants use at this point
(perhaps amended as Is5 to acknowledge the chromatic modication) even
if a less conventional, less stable combination of pitches occurs in place of
the legitimate tonic.
Of course, music requires motion away from tonic. The most apposite
succession to initiate the departure is IIV, with roots related by descending
fth. That succession is often propelled through the insertion of a dissonance. Most often a minor seventh, targeting the subdominants third from
above, is incorporated [6.20]. Yet the chromatic melody 5s56, attaining
the subdominants third from below, is also eective. In measure 2 of our
excerpt, the initial consonant phase of this latter trajectory is elided, thereby
extending the dissonant eect of s5.
Regardless of how Wagner complicates matters, the essential harmonic
content of measures 2 through 5 is encompassed by the root motion from
C (measure 2) to F (measure 4). In a hierarchical comparison of C (measure
2) and E (measure 3), C emerges as the more potent chord. Of course in
other contexts E-Gs-B-D will often proceed to A minor, and of course composers sometimes play with listeners expectations and pursue paths seldom
taken. Yet in the context of these measures, the E7 chord serves as an expansion of the C tonic. The omission of the root, a feature of our very rst
example [1.1], allows Wagner to mitigate the abundant dissonance of the
full chord (C-E-Gs-B-D). Louis and Thuille endorse this view in their analysis of one of their own chord progressions [8.22].
As Wagner well understood, IV often leads to V; the direct succession
from IV to V is often expanded into IVIIV [8.22]; and II, when preceding
V, will often adopt the character of Vs dominant (IIs or V of V) [6.15a].
For the moment omitting consideration of measure 6, we observe that
Wagners phrase proceeds from IV (measures 4 and 5) through II7s (measure
7) to V (measure 8).
Perhaps not every pitch of the B major chord (measure 6) is harmonically
generated. Sechter oers an instructive model [8.23]. Though he labels
only the second example, both are intended to represent the root succession
GD in G Major. In each, the pitches at the second measures downbeat are
not analyzed as an independent harmony. The 63 chord of 8.23a results from
227
228
8.22 Louis and Thuille: Harmonielehre ([1907], 41913), p. 256.

This examples rst three measures and measures 2 through 8 of Wagners Athmest du nicht
share a number of features. In the analysis, note especially the parenthetical I in the second half of
measure 1, by which Louis and Thuille assert that the chord they label as III functions as an
extension of the opening tonic, on the way to IV. Though the principal analysis is in C Major
throughout, the perception of a region in A Minor is acknowledged by a secondary analysis
within brackets. That view accords with the Harmony-Intensive Perspective for Wagners phrase
provided above. (See page 226.)
8.23 Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 49

(transposed).
The B-D-Fs chord combines elements from the preceding (G-B-D) and following (D-Fs-A-C)
harmonies.
a merger of elements from the preceding 53 and following 53 chords. Though

it contains the same pitches as the mediant in G Major, Sechter does not
acknowledge that role. The same outlook pertains to the 53 chord of 8.23b,
which results from the merger of elements from the preceding 63 and fol6
lowing 43 chords. In both cases B functions as a suspension (Vorhalt), not as
a chordal root.
Returning to Wagners progression, rst consider diatonic passing notes
applied to a IVIIsV progression [8.24a, b]. (Because Wagners progression is not identical to Sechters, B is a suspension in 8.23a and a passing note
in 8.24b.) Then consider that the bass fourth AD can be broken up into the
succession of a second and a third: ABD [8.24c]. (Sechter likewise oers
either B or D as bass for his B-D-Fs chord, though when he places B in the
bass he resolves it there [8.23a, b].) Then consider a chromatic expansion of
the FED descent, with Ds connecting E and D [8.24d].45 No Roman
numeral appears below the B chord.46
8.24 Analysis of 8.21, mm. 58.

(a) A proposal for the skeletal progression of measures 5 through 8.
(b) Passing notes ll in the descending spans from F to D (marked by an arrow) and from C to A
(marked by a slur). Compare the second and third measures of this example with the second
measure of 8.23a.
(c) The 63 chord is recongured as a 53 chord. Compare with the second measure of 8.23b.
(d) A chromatic passing note is inserted between E and D.
Summary
The juxtaposition of these two perspectives is not intended as a competition
in which one is deemed correct and the other rejected outright. Perhaps
both are extreme in the pursuit of their convictions. The best analysis may
reside somewhere in the middle. Yet the analysis that emanates from the
hierarchical harmonic perspective is the more intriguing, in part because it
serves as an antidote to what has been historically a pervasive application
of a harmony-intensive methodology to Wagners music. The Louis and
Thuille team and Sechter supply hints of an incisive, multi-layered manner
of perception that should not be overlooked.
The juxtaposition of three root-position triads related by half-step Db

minor, D major, and Eb major would have appeared odd to most musicians of the mid-nineteenth century. Yet that is what Verdi writes in a dramatic passage from his Luisa Miller. Admittedly exceptional, such an outr
229
230
event epitomizes the direction music was to head in the decades ahead, a
time when the wisdom of past compositional practice was more and more
neglected. Or perhaps extended: the parallel progression of thirds and
sixths was routine, and we have seen how sequential progressions can
mutate into what appears to be the parallel progression of perfect fths
[3.12]. Verdis progression possesses no such facile derivation, however. It
is a raw and powerful upward thrust motivated by the dramatic moment.
Context is a critical factor. As with Wagners insertion of a B major
chord between F major and D major chords en route to G major, Verdis
Db and Eb chords can absorb a connecting D major chord because Db and
Eb are part of a broader harmonic initiative leading to Ab Major. Yet
incomprehension of the motivation for these astonishing chordal progressions was an ever-present danger. Without a justifying context, the
juxtaposition of antipodal F major and B major, or of half-step D major
and Eb major chords, becomes quirky, a strain on the normative relationships that hold the tonal system together. What may make sense
when one chord is subservient to another when a passing or embellishing chord occurs within a conventional harmonic progression
becomes senseless when, in less skilled hands, all chords are treated as
equals. Not only senseless, but also destructive. Webers and Weitzmanns
assertion that any chord may lead to any other chord ultimately was a
curse upon tonality. The nod from the theoreticians gave composers free
rein, and they indeed did succeed eventually in writing music devoid of
tonality.
Thus as we explore some vivid and daring writing by Verdi, we should
focus not so much upon the admittedly unusual juxtaposition of triads
related by half-step, but instead upon the fact that the boundary points
of the motion, Db and Eb, serve to ground the event. Verdi succeeded in
incorporating some novel local motions while leaving the broader tonal
initiative intact.
A parallel progression in Verdis Luisa Miller

Root-position chords in themselves oer no drama. Yet in the hands of
a gifted composer, they can be set in contexts that give them an extraordinary power. A progression of three root-position chords related by half-step
occurs in an excerpt from Verdis Luisa Miller [8.25, measures 6874].
Miller, an honorable man, wants his daughter Luisa to marry for love. In
fact, a recently arrived young man who calls himself Carlo has claimed her
WURM:
MILLER:
WURM:
MILLER:
WURM:
MILLER:
WURM:
MILLER:
WURM:
MILLER:
You feeble old man, your blind aection will cost you quite a lot.
What do you mean?
The favored fellow is duping you under a false guise.
Is this true? You know about it?
Hear this! He is haughty Walters son!
Oh heavens! The son?
Of your lord. Adieu.
Wait!
Did I make myself clear?
(he exits)
He has torn my heart!
8.25 Verdi: Luisa Miller (1849), Act I, mm. 5684.
231
232
8.25 (cont.)
heart. Wurm, the intendant of Count Walter, the new ruler, has other ideas.
He wants Luisa for himself and presses Miller to impose his parental will
upon her. As our excerpt begins, Wurm advises Miller that it would be a
grave error not to do so. He then reveals that the man Luisa loves is in fact
Count Walters son, Rodolfo. Luisas inadvertent transgression of societys
rules horries Miller.
Verdi must depict a radical transformation in Millers emotional state,
from devoted and carefree father to a man facing a vexing challenge. Wurm
8.25 (cont.)
must be menacing. His report of Rodolfos identity injecting a horrendous

conict into what has been a cheerful opera thus far must be set distinctively. Verdi conveys Millers dilemma by contrasting the two keys Db Major
(established before our excerpt, when Miller tells Wurm that Luisa is free to
pick her own husband) and Ab Major (established just after our excerpt,
when Miller elaborates upon why his heart is broken) [8.26]. Eb (Abs dominant) occurs between these keys.
233
234
8.26 Tonal context for 8.25.

The principal chords of measures 56 through 84 are displayed between the rst and second bar
lines. Db Major precedes these measures, while Ab Major follows them.
Even during the former counts reign, Wurm had pestered Miller for Luisas
hand. He becomes impatient listening to Miller again refuse to force Luisa
on the matter. At rst Millers key of Db Major persists, and Verdis harmonic
support is prosaic. Yet soon Wurms intense feelings register more vibrantly
through both a quickening of the tempo and a raising of the tonal center to
the unexpected region of E Major (measure 61).
E Major is the enharmonic equivalent of Fb Major, Dbs lowered
mediant.47 Though Db Major and Fb Major are not especially closely
related, they do hold a middle rank in charts of key relations such as those
of Kirnberger and Jelensperger. (See p. 210 and 8.8, above.) Lobe displays
the succession without fanfare [8.27a] (as does Weitzmann [7.25a]) and
also presents an appropriate exit strategy [8.27b]. Yet as late as 1890
Jadassohn expresses reservations: In the chord successions presented . . .
the common tone [e.g., Ab/Gs in Verdis Db-F-Ab to E-Gs-B succession]
appears suitable, as before, as a binding agent; however, many such relationships of chords from distantly related keys remain rather foreign, and
the sudden succession of such chords does not always prove suitable for
modulation.48 In this passage from Verdis opera Fb Major well prepares
what follows, however, since Db Minor (Cs Minor) supplants Db Major in
measure 68 [8.27c], in preparation for Wurms impending revelation concerning Carlo.
Moving from Db (= Cs; measures 68 through 70) to Eb (measure 73), either
as tonic to supertonic (in Db) or as subdominant to dominant (in Ab), was
a routine labor for Verdi and other composers of his time, who understood
that such successions pose a special danger of parallel fths, which were
generally proscribed [8.28]. Yet Verdis progression contains both parallel
fths and parallel octaves. Such breaking of the rules was not, however,
8.27a, b Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858),

pp. 228229 (transposed).
8.27c Analysis of 8.25, mm. 5670.
Observe that both of Lobes successions are present in Verdis chord progression of measures 56
through 70.
8.28 Momigny: Expos succinct du seul systme musical qui soit vraiment fond et
complet [ca. 1809], plate 4, exs. 14, 15.
Momigny contrasts the destroyed unity of parallel 53 chords with the conserved unity of
parallel 63 chords.
altogether unheard of.49 Carl Weitzmann includes some of his own

Albumbltter zur Emancipation der Quinten within his Die neue
Harmonielehre im Streit mit der alten (1861) and quotes a famous passage
from a Beethoven sonata in support of a more relaxed attitude towards such
parallels [8.29]. Lobe likewise quotes the Beethoven example and adds one
from Rossinis Guillaume Tell, explaining: Traditional theory the strict
style would no doubt want to clutch its head with its hands for this disregard of its two fundamental prohibitions [against parallel fths and
parallel octaves]. But Aesthetics can triumphantly call attention to its
235
236
8.29 Beethoven: Sonata in C Major (Waldstein), op. 53 (1805), mvmt. 1, mm.

196197, quoted in Weitzmanns Harmoniesystem [1860], p. 5.
superiority to Theory, for this passage makes a wonderfully charming

impression.50 Thus inventively, though with precedents, Verdi simply
hoists the previous chord up a half step when Wurm reveals Walter as father
of Luisas suitor (measure 71), at the same time changing its mode to major
[8.26]. Likewise when it sinks in to Miller that Carlo is in fact the Counts
son (glio), another half-step jolt ensues (measure 73). This is not voiceleading in any conventional sense, but tone-painting. It is seismic composition. Without forewarning Miller nds himself elevated a few notches.
For a while (measures 75 through 79) he fearfully awaits yet another
tremor, which arrives (measure 80) just as he begins to assess the damage
to his heart (cor). An astonishing eect, indeed; but not novel even for
Verdi: he employs virtually the same material (likewise connecting Db and
Eb) near the end of Macbeth (1847), when Macbeth learns to his horror that
Birnam Wood is approaching.51 (An apparition had told him, Macbeth
shall never vanquished be until Great Birnam Wood . . . Shall come against
him.) As he calls out hastily for his arms and armor, the conventions of
voice-leading go unheeded.
The nal tremor (measure 80) is less destructive. Though Millers vocal line
ascends yet another half step to Fb, the orchestral bass descends. The resulting diminished seventh chord intensies the Eb dominant (prolonged since
measure 73), aording some continuity after the preceding jolts. Though
this dominant will resolve to Ab, that resolution does not occur in measure
83. Sechter provides some intriguing models that resemble Verdis strategy
[8.30a, b]. Observe how Sechters analyses discount the rst C. Though a
C-Eb-G chord occurs, it is regarded as a passing phenomenon. Expanding
upon Sechters model [8.30c], a neighboring note (Fb) in the soprano and a
passing note (Ab) in the interior do not disturb the fundamental dominant
8.30a, b Sechter: Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 95

(transposed and converted to major).
8.30c A variant of Sechters model, conforming to 8.25.
(a) This example demonstrates the prolongation of Eb7 via a voice exchange between the chordal
fth and seventh (whrend der Dauer desselben Fundamentes die Sept und Quint vertauscht
werden). Though Sechter regards the sixth (C) above the root (Eb) to be passing (der
durchgehenden Sext), he nevertheless attempts to establish that the seventh (Db) has both a
proper resolution (eigentlichen . . . Ausung) [the C of the second measure] and a passing
resolution (durchgehende Ausung) [the C of the rst measure].
(b) The principle demonstrated in 8.30a holds even when the passing motion occurs in the bass.
(c) This model closely resembles not only those of Sechter, but also one by Vogler [7.15]. In
Verdis score Eb serves as bass in measure 84: root-position V7 is a more forceful preparation for
the ensuing Ab Major region than is V43.
prolongation. Just as Sechter refrains from indicating C below C-Eb-G, no

Ab appears below C-Eb-Ab in the analysis. Ab Major arrives not as a rstinversion chord in mid-progression (measure 83), but only after the rootposition dominant and pausa lunga of measure 84.
237
Epilogue
The books may be robust or fragile. Sturdy pages refuse to lie at: the
binding has been little exercised of late. Brittle pages break apart when
turned: to dust all shall return.
The books assert that the musical experience the composers conception, the performers interpretation, the listeners perception relies upon
skill and insight, learned gradually over time and susceptible to enhancement at any age. Analytical strategies vie for consideration because interpretation and perception encompass more than what the composers
meager instructions in a score convey. In the preceding pages we have
explored many ideas that may enhance ones relationship with music from
the rst half of the nineteenth century. Transmission of this musics essence
is more challenging today than in the past because most modern performers and listeners interact with countless styles from many lands and centuries. Schubert knew works of Bach, Mozart, Beethoven, Rossini. But not
Josquin, Berlioz, Stravinsky, Carter.
So what is the minds role in the musical experience? Whose minds from
earlier times might one seek to emulate? Is it possible, or desirable, to lter
out the many notions lacking relevance to this music that contribute to
the outlook of the modern musician? Let us examine Schuberts Das Grab
(D. 330) with these questions in mind.
Das Grab ist tief und stille,
Und schauderhaft sein Rand,
Es deckt mit schwarzen Hlle
Ein unbekanntes Land.
The tomb is deep and silent,

and horrible its edge,
Its black exterior conceals
an unknown land.
Das Lied der Nachtigallen

Tnt nicht in seinem Schoss.
Der Freundschaft Rosen fallen,
Nur auf des Hgels Moos.
The nightingales song

does not penetrate its case.
Roses of friendship fall,
but stop at the mounds moss.
Verlassne Brute ringen

Umsonst die Hnde wund,
Der Waise Klagen dringen
Nicht in der tiefe Grund.
Forsaken brides wring their hands

in vain until raw,
The orphans laments go unheard
in the deep ground below.
Epilogue
Doch sonst an keinem Orte

Wohnt die ersehnte Ruh,
Nur durch die dunkle Pforte
Geht man der Heimat zu.
Yet in no other place

does the longed-for rest reside,
Only through the dark portal
does one reach home.
Das arme Herz, heinieden

Von manchem Sturm bewegt,
Erlangt den wahren Frieden
Nur wo es nicht mehr schlgt.
The poor heart, here below

tossed by many a storm,
attains true peace
only where it beats no more.
(Johann Gaudenz von Salis-Seewis)
The works mesmerizing power results in part from the almost archaic
plainness of the chordal vocabulary. Dissonances are employed sparsely, and
only a few embellishments (double lower neighbors in measures 3 and 7)
impede the direct statement of the chordal content. The unhurried progression of fundamentals, considerably slower than the rate at which the
individual chords follow one another, results in a ponderous mood well
suited to a text that contemplates a tomb.
After the initial tonic G chord, measure 1 and most of measure 2 evoke a
single fundamental pitch, C, in a manner reminiscent of the opening measures of Beethovens String Quartet in C Minor, op. 59, no. 3 [5.14], where
fundamental D holds sway. Schuberts application of the omnibus principle,
like Beethovens, is deformed:
becomes
239
240
Instead of ascending a third, the bass descends a sixth. Thus Schubert

employs bass G in the second chord as a stepping stone to the lower register. (In eect, the chord G-G-Bb-D is an inversion of the passing 64 chord
D-G-Bb-D. Compare with 5.16.) Four processes unfold concurrently within
these measures: conversion from C minor to C major, conversion from root
position to rst inversion, conversion from a state of consonance (53) to a
state of dissonance (65), and transfer of the bass to a lower register. Who
would accuse Schubert of playing a mehrdeutig game with us in such a
solemn context? The Eb7 chord of measure 2 does not herald the key of Ab
Major: as was also the case in the Beethoven quartet, the internal region of
a prolongation may include pitch combinations that in other contexts
would convey a dierent intent. Indeed composers sometimes tap such
potential ambiguity. But when they do not, an analysis that churns out labels
corresponding to the road not taken (as Vogler, for example, generally does)
is misleading, and by proering such an analysis one may stie further
inquiry in quest of a better one.
If the performers (here Schubert intends a chorus of male singers) agree
upon and endeavor to realize this interpretation of these measures, then the
interface between their minds and their sound production should focus
upon the endpoints of the prolongation. C is a dening presence for half a
measure. Then C is absent. Finally C returns, in an altered context. The upper
tenor line (Eb to C) outlines the C minor triads lower third, its internal
pitches inducing a tension released only when goal pitch C arrives (at which
point another tension Bb
intervenes). The lower bass line (C to En) covers
En
a more tortuous route, and an additional danger awaits because the G chord
of measure 1 may tend to reignite a sense of tonic, as a restoration of the preceding upbeat chord. Instead the line should be projected as extending
through the G of measure 1, rather than to it. (Recall Kochs juxtaposition of
C-E-G in diverse roles in 2.11.) The lower tenor line moves from C to Bb. At
rst Bb resides in a consonant context, but by the middle of measure 2 bass
En converts it into a downward-tending dissonance, fullled when Bb
resolves
En
to AF at the measures end. (Recall the importance of such resolutions to Ftiss
conception of tonalit [7.7].) The upper bass line promotes continuity, with
a stable G throughout. If the performers achieve these goals, then the listener
indeed may perceive this passage in the way they intend. If the performers
fail, or if they have developed no coherent conception for the passage, then
the listener is left in the lurch and indeed in default may make a sort of sense
of the passage that corresponds to the analysis
g:
iv
Ab: V7
F: V65.
Epilogue
Three keys within two measures would poorly correlate with the text, which
invokes the tombs quietude. Instead, a C minor C major transformation
emphasizes the inevitability of the descending-fths progression in this
context. C major, with minor seventh, leads us onward to F.
If the F chord that fullls Cs descending-fth tendency in measure 2 at
rst seems eeting, with patience the listener may perceive its prolongation
through measures 3 and 4. (The FBbCF progression resembles one
explored by Sechter [5.9d].) The Bb chord that, at a broader structural level,
we expect to succeed F will duly arrive later. The Bb chord of measure 3 is
not that Bb chord; it instead falls within the domain of F. Though the ear
often relies on parallelisms when interpreting a musical structure, the
upbeat|downbeat relationships at measures 0|1 and 2|3 turn out not to represent similar structural events. Bass GC and FBb function in dierent
tonal planes: G, C, and F are components of the broad chain of descending
fths, whereas this Bb is not.
Performers come to understand that, since tonal music employs only
twelve pitch classes, inevitably various combinations and successions of
pitches take on dierent meanings in dierent contexts. In isolation the F
and Bb chords at measures 2|3 would likely be understood as VI in Bb
Major. Yet the prevailing context counters that interpretation: the presence
of En in measures 2 and 3 suggests that F serves as the local tonal center, and
thus FBb represents IIV. The local bass progression FBbCF is an
instance of perhaps the most pervasive of all harmonic motions, one that
Halm dissects carefully [6.17]. In this environment the upper tenor lines D
should be presented not as a goal, but as a diversion. D temporarily displaces
C, whose priority stems from its role as fth in the prolonged F chord.
Though the Bb in the lower bass line is the lowest pitch in the composition,
it is an internal component of a progression that continues onward to F at
the downbeat of measure 4, a goal punctuated not only by a comma or a
period in the text, but also by the works only rest. This F, a reiteration of the
one in measure 2, functions at a foundational level. The intervening Bb and
C should come across as subservient.
Throughout virtually the entire history of harmonic analysis recall
Lampes pioneering eorts [1.1] in 1737 a special relationship has prevailed between the chords G-B-D-F and B-D-F, as well as their equivalents
in the other keys. Lampe asserts that the chords are functionally equivalent:
one merely abbreviates the other. From fundamental F (measures 2 through
4), we would expect to descend a fth to Bb. Schubert accomplishes this in
the second half of measure 5 using the pitches D-F-Ab. This dissonant chord
(like the Bb seventh chord that it represents) heralds the Eb chord that
241
242
follows in measure 6. A similar third-relationship binds F-A-C (measure 4)

and Ab-C-Eb (measure 5). Here three transformations occur simultaneously:
a seventh is added to F-A-C
F-A-C-Eb;
the third is lowered, conforming

to the key of the goal chord,
Eb Major in measure 6
F-Ab-C-Eb;
the root is omitted
and
Ab-C-Eb.
(Recall that Louis and Thuille employ parenthesized Roman numerals in

the context of both upper- and lower-third chords in 8.22.) Thus both
chords of measure 5 represent other chords: what may seem like (and what
Vogler and others would analyze literally as) the fundamental succession
AbD instead represents the fundamental succession FBb.
Chromaticism helps propel the performance of this passage. Here the
inner line AAbG, like EbDDbC in measures 1 and 2, gives direction to
the connection between the F chord (measure 4) and the Eb chord (measure
6). If the upper tenor Eb that begins measure 5 indeed is derived from an
incomplete F7 chord, as proposed, then it should be sung with dissonant
conviction, and its resolution on D, accomplished in the second tenor line,
should be felt, even as F rises above it. In the lower bass line the goal pitch
Eb (measure 6) continues the descending stepwise thrust that proceeds from
the rst chord. Whereas a normative chain of fths might transpire as
G
C F
Bb Eb . . .,
here the Bb (measure 5) is felt but not heard, and bass F extends through to
the Eb (with an upper-third detour to Ab and back).
The arrows above coincide with dissonances resolving to consonances.
7
C s third is modied to achieve a dominant seventh character that leads
eectively to F, whereas Bb7s seventh is lowered (and root omitted) in preparation for Eb. The next cycle, A D, does not so readily accommodate such
modication. G Minors diatonic A-C-Eb is a diminished triad, doubly
decient in forward thrust compared to A-Cs-En. In addition its A is a
diminished, rather than a perfect, fth from the preceding fundamental, Eb
at the downbeat of measure 6. Here Schubert simply sidesteps this problematic chord, instead employing its upper third, C-Eb-G. Without the halfstep resolution of Cs to D (downbeat of measure 7), the pattern of measure
2 (bass EnF) and measures 5|6 (alto DEb) is broken. Yet the diatonic fourth
scale degree (here C) has its own special aura as precursor of the dominant:
Epilogue
the aliation of C-Eb-G, C-Eb-A, and C-Eb-G-A is as old as Rameaus

notions of accord de la grande sixte and double emploi (pp. 2223). Even
without root A, G at the end of measure 6 behaves as a chordal seventh,
resolving to Fs on the following downbeat. In addition, the C chord is the
focus for a diminished seventh chord on Bn (measure 6), in the manner of
Weitzmanns Vorhalte [7.22b]. If Schubert nds EbA so awkward as a
descending fth that he replaces A by its upper third, C, then a similar upper
third may supplant the Eb: G7 (with a Rameauean substitution of Ab for G,
in the manner of 7.2) heralds C.
The link in the chain of fths that might have occurred at the end of
measure 6 is the most awkward in the diatonic system. Performers who can
imagine what Schubert might have written instead of C-Eb-G are in a position to gauge the emotional temperature of his concluding measures. The
dissonant A-C-Eb is shunned, as is the potent chromatic substitution Ab-CEb, the Neapolitan. The sunny A-Cs-En is likewise avoided. Schuberts C-EbG is decidedly plain in comparison, and in the context of a dominant
without seventh (measure 7) and a tonic with raised third (measure 8) it
instills a sense of peace and resignation. Yet if the harmonic aspect here is
natural and sweet, the melodic aspect is disconcerting. The melody has to a
large extent been engaged in a traversal of the path from 5 (measure 0) to 8
(measure 6) and back to 5 (measure 8). Neither the persistent D of the upper
tenor line (measures 7 and 8) nor the more melodious ABn below it heeds
the protocol of closure on 1. Perhaps Schubert here wishes to convey that in
the unknown land (unbekanntes Land) that, according to the texts theological underpinnings, one inhabits after death (a land generally regarded as
upward, heavenward) a descent to the terrestrial 1 is no longer feasible.
Whereas most melodies traverse the span of 31 or 51 (as Schenker observed),
Schubert here treads 58. Death is not a termination, but the onset of the
innite.
Though our exploration now comes to an end, this termination likewise
may mark the onset of ever more dynamic and insightful study for readers
who have found value in the agenda we have pursued. The spectacular body
of music that has been bequeathed to us will become ever more inspiring
and meaningful to all who give it their devoted and careful attention.
243
Biographies of music theorists
Johann Georg Albrechtsberger (17361809)

In addition to his reputation as one of Europes leading church musicians and
organists, Albrechtsbergers skill as a teacher made his Vienna address a destination for composers, including Beethoven. During the 1790s he codied
his conservative perspective in treatises on counterpoint and thoroughbass,
including Kurzgefate Methode den Generaba zu erlernen (Simplied
Method for Learning Thoroughbass, Vienna: Artariatca 1791). (Lester
(1992) questions whether Albrechtsberger actually wrote the thoroughbass
manuals that circulated under his name.) A posthumous compilation by one
of his students had a wider impact during the nineteenth century: J. G.
Albrechtsbergers smmtliche Schriften ber Generalba, Harmonie-Lehre, und
Tonsetzkunst (J. G. Albrechtsbergers Collected Writings on Thoroughbass,
Harmony, and Composition, ed. I. R. von Seyfried, 3 vols., Vienna: Haslinger,
[ca. 182526], various French and English translations). Its rst volume
addresses harmony more thoroughly than did any of the earlier works,
leading one to wonder whether Seyfried incorporated materials from his
lessons with Albrechtsberger or instead supplemented his teachers method
on his own initiative (with Marpurgs distillation of Rameau being a likely
source). The volume oers a particularly rich treatment of modulation.
Jean le Rond dAlembert (17171783)
Though not initially inclined towards music, dAlemberts prominent position within the Parisian scientic community led him to review one of
Rameaus papers, later published as Dmonstration du principe de lharmonie
(Paris: Durand, Pissot, 1750). His enthusiasm for Rameaus ideas inspired
further study and an attempt at integration with his own scientic perspective, resulting in lmens de musique, thorique et pratique, suivant les
principes de M. Rameau (The Elements of Music, Theoretical and Practical,
According to the Principles of Rameau, Paris: David lan, Le Breton,
Durand, 1752, trans. F. W. Marpurg as Systematische Einleitung in die
musicalische Setzkunst, nach den Lehrstzen des Herrn Rameau, Leipzig:
Breitkopf, 1757). On the one hand, dAlembert irons out some of the inconsistencies and excesses of Rameaus original writings, giving his work great
clarity. On the other hand, the transfer of authorship from a master
musician to a scientist resulted in some loss of insight. For better or for
worse, the lmens became the primary source for information concerning
Rameaus theories both in France and, via Marpurgs translation, in
Germany. In addition, the Music article in the 1784 edition of the
Encyclopaedia Britannica incorporates Thomas Blakelocks partial English
translation of dAlemberts work. Relations between Rameau and
dAlembert turned sour during the 1750s, when dAlembert and Diderot
were engaged in editing the Encyclopdie, ou dictionnaire raisonn des sciences, des arts et des mtiers (175165), whose music articles, authored by
Jean-Jacques Rousseau, displeased Rameau and led to several published diatribes. This induced dAlembert to write a long Discours prliminaire for
the second edition of the lmens (Lyon: Bruyset, 1762).
Johann Anton Andr (17751842)
In a life that encompassed composing, teaching, and running the family
publishing rm, Andr is especially noted for his scholarship and editorial
work relating to the Mozart-Nachlass, which he acquired from the composers widow. Though left unnished at his death, a grand pedagogical
project, Lehrbuch der Tonse[t]zkunst (Textbook on Composition, vol. 1,
Oenbach: Andr, 1832), commences with a volume on harmony. Andr
oers a detailed accounting of the various chords employed in the music of
his time. His analytical notation indicates chordal quality and inventories
the dissonance content (through the thirteenth) but oers no information
concerning each chords role within its tonal context.
Giorgio Antoniotto (ca. 1692ca. 1776)
Antoniotto, a native of Milan, spent a portion of his adult life in London,
where his theoretical ideas found their way into print. Larte armonica, or, A
Treatise on the Composition of Musick (2 vols., London: Johnson, 1760) is
rich in examples of chord progressions, all of which utilize root successions
of thirds and fths (or their enharmonic equivalents) only. Sequences, both
diatonic and chromatic, are a topic of particular fascination for Antoniotto.
Among his models, several that traverse the octave in equal subdivisions
are particularly noteworthy: via six major seconds (C A D B E Cs Fs Ds Ab
F Bb G C), four minor thirds (C E A Cs Fs Bb Eb G C), or three major thirds
245
246
(C Eb Ab B E G C). Though gured-bass numbers are employed abundantly,

no additional symbols indicate the scale degrees of the chordal roots.
Bonifazio Asioli (17691832)
The appointment of Asioli, a prominent composer in northern Italy during
the Napoleonic period, as director and professor of composition at the
newly founded Milan Conservatory coincides with the emergence of several
pedagogical and theoretical works from his pen. His Trattato darmonia e
daccompagnamento (Treatise on Harmony and Accompaniment, Milan:
Ricordi, [1813]) oers a vigorous accounting of chord progression from a
scale-step perspective. Both Arabic numerals and capital letters (T for
Tonica, P for Producente [dominant], and S for Sensibile [leading tone])
abound below the bass pitches of his examples. Where warranted (for
example, in the chord Ab-Eb-Fs-C in C Major) the raised fourth scale degree
is indicated as the root, via the label 4.a The analyses employ frequent shifts
of tonal center, though these shifts are not announced. T may appear below
a C major chord in one measure and below A minor and G major chords in
succeeding measures (each T preceded by its P or S). T appears below what
is now often called the cadential 64 as well. Thus 4.a proceeds sometimes to
P and sometimes to T. Asioli continued his theoretical writings even after he
was dismissed from the Conservatory due to the changed political climate.
Carl Philipp Emanuel Bach (17141788)
In the service of Frederick the Great in Berlin, Bach continued in his great
fathers footsteps as a master of keyboard performance and composition.
His pedagogical interests, unlike Johann Sebastians, extended to include the
writing of an extensive and superlative manual for keyboardists, Versuch
ber die wahre Art das Clavier zu spielen (2 vols., Berlin: Bach, 175362,
trans. W. J. Mitchell as Essay on the True Art of Playing Keyboard Instruments,
New York: Norton, 1949). In addition to exploring all aspects of the keyboardists technique, Bach delves into the intricacies of voice-leading and
dissonance treatment in a wide variety of chordal contexts, which he organizes according to the gured-bass numbers. He also provides extensive
commentary on embellishment and an introduction to improvisation.
Harmonic analysis per se is not addressed, though some later authors
(notably Schenker) regarded Bachs Versuch as an ideal preparation for that
study. Haydn and Beethoven are among the composers whose training and
teaching relied upon Bachs work.
F.-B. Henri-Montan Berton (17671844)

Admired in his day as a composer of operas, Berton served for nearly fty
years on the faculty of the Paris Conservatory, teaching both harmony and
composition. His Trait dharmonie (Treatise on Harmony, Paris: Duhan,
[1815]) contains what had by this time become traditional fare regarding
harmony, sequences, cadences, counterpoint, and phrase structure. What
makes his work unique is its mammoth (three-volume) supplement, a
Dictionnaire des accords lled with two-chord successions that are either
approved of, rejected, or allowed only in certain contexts. The genealogical
tree of chords (displayed in a diagram at the outset of the Trait) has three
branches. Branch A includes the triad and its inversions, which may incorporate various displacements (of the third by the fourth and of the octave
by the ninth). Twelve chords are displayed. Branch B adds a seventh. Eight
chords are displayed. Branch C adds both a seventh and a ninth. Again eight
chords are displayed. Adding the eleventh and thirteenth chords, in all
Berton considers thirty chords. He presents all possible two-chord permutations either with stationary bass or with bass ascending or descending by
second, third, or fourth in all, an astonishing and daunting compilation of
over 6,000 successions.
Jean Laurent de Bthizy (17021781)
The French theorist and composer Bthizy, a student of Rameau, propagated his teachers method in his Exposition de la thorie et de la pratique de
la musique (An Account of the Theory and Practice of Music, Paris:
Lambert, 1754). The work covers a wide range of topics, with emphasis on
clarity. Rameaus fundamental bass is displayed in a number of examples,
while his principle of supposition is extended to the thirteenth. Bthizy
harshly criticized dAlemberts account of Rameaus ideas (lmens de
musique), which preceded the Exposition by two years.
Louis-Charles Bordier (17001764)
The French musician Bordiers posthumous Trait de composition (Treatise
on Composition, Paris: Boin, [ca. 1770]) is a brief work that relies on
Rameaus writings for its terminology and procedures. It features examples
of fundamental bass below some demonstration chord progressions. In
addition Bordier oers commentary on gured-bass usage.
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John Callcott (17661821)

Callcotts career as a composer, organist, and author transpired in London.
His A Musical Grammar (London: Birchall, 1806) proceeds from music fundamentals through melody to harmony, along the way introducing a wide
range of terms, many of which became standard musical terminology in
English. It is here, for example, that one rst encounters the terms French
Sixth (because it is only found in the Theory of Rameau) and German
Sixth (because Graun used it with great eect). (The term Italian Sixth
appears in eighteenth-century writings, though with a more inclusive
meaning than Callcott gives it.) The text is illustrated through numerous
examples from the music literature (Hndel, Corelli, Pleyel, etc.), and
Callcott frequently cites the opinions of learned authorities. In fact, he provides an impressive list of works consulted.
Charles-Simon Catel (17731830)
Catel began his teaching career in Paris and was among the founding
instructors of the Conservatoire National de Musique et de Dclamation in
1795. A committee seeking to bring some order to the teaching of music
theory there adopted his Trait dharmonie (Treatise on Harmony, Paris: Le
Roy, An X [1802]). Concise and practical, the work is grounded upon a set
of eight simple chords (triads through ninth chords), which are subject to
modications such as suspensions to form a wide range of compound
chords. (The latter category is akin to Kirnbergers chords with incidental
dissonances.) Voice-leading, cadences, and modulation (to all keys) are
introduced at a fundamental level. The Trait appeared in German, Italian,
and English translations by mid-century, the latter both in London and,
under Lowell Masons editorship, in Boston.
F. T. Alphonso Chaluz de Vernevil (active ca. 18201850)
See Jos Joaqun de Virus y Spnola.
Alexandre-tienne Choron (17711834)
With lively interests in the study of older music and of works by German
and Italian theorists, Chorons writings distinguish themselves from
those of other Parisian theorists more rmly entrenched in the avant-garde.
The harmony segment in Principes daccompagnement des coles dItalie
(Principles of Accompaniment According to the Italian Schools, Paris:

Imbault, [1804]) seems amateurish, though much improvement can be
noted in his second traversal of the topic, in Principes de composition des
coles dItalie (Principles of Composition According to the Italian Schools, 3
vols., Paris: Le Duc, [1809]). His chord types extend to the thirteenth, and
his introduction to modulation includes over one hundred samples called
Tours de clavier. Choron coined the term tonalit, which was embraced by
Ftis, whose historical perspective was strongly inuenced by Choron.
Raymond Hippolyte Colet (1808/1809after 1850)
A student of Reicha at the Paris Conservatory, Colet later joined that institutions theory faculty. One product of his pedagogical activities is La panharmonie musicale, ou Cours complet de composition thorique et pratique
(Musical Panharmony, or Comprehensive Course on Composition, Both
Theoretical and Practical, Paris: Pacini, 1837), a work whose harmonic component is in the tradition of Reicha and Jelensperger. The work also treats
contrapuntal techniques and form.
William Crotch (17751847)
The English child prodigy Crotch developed into a respected composer,
organist, and lecturer. His Elements of Musical Composition (London:
Longman, 1812, 21833) oers a unique analytical methodology based on solfa syllables. Though his commentary on chord succession may be cumbersome (The triad of Fa may be succeeded by that of Do. The triad of Do may
be succeeded by that of Sol . . .), his pronouncements are sensible, useful to
beginners, and amplied by nuanced discussions of style. The analysis of
modulation employs doubtful chords, which are simultaneously analyzed
in two keys. For example, in the progression of the triads CFGCDG (all
of major quality), the rst four represent do fa sol do in C Major, while the
last four represent the same progression in G Major. Thus the middle two
chords are doubtful. An examination of Crotchs numerous brief analytical
examples reveals a progressive stance on passing chords (for example, not
every chord in a stepwise progression of 63 chords is given a label), a subdominant perspective on the Neapolitan chord, and a dominant interpretation of the cadential 64 chord. Crotchs development of analytical procedures
here is on a par with Voglers in Germany. However, Voglers Roman-numeral
system (expanded by Weber) became a mainstream methodology while
Crotchs sol-fa syllables never found a wider following.
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Carl Czerny (17911857)

As Beethovens foremost pupil and Liszts principal teacher in Vienna,
Czernys name would be remembered even without the enduring legacy of
his keyboard exercises. His extensive corpus of original compositions has
fared less well. Music scholars might nd his theoretical magnum opus
worthy of resuscitation: his Schule der praktischen Tonsetzkunst (3 vols.,
Bonn: Simrock, [ca. 184950?], trans. J. Bishop as School of Practical
Composition, 3 vols., London: Cocks, [ca. 1848?]), an extensive treatise on
musical forms, discussed from a theme-oriented perspective and accompanied by abundant examples from the music literature. The range of composers from whose works Czerny draws is impressive, though Mozart and
Beethoven predominate. Though harmonic analysis per se is not a topic of
the work, Czerny oers some highly intriguing examples in which the
embellishment-lled textures of compositions are reduced down to their
essential block-chord progressions. These examples provide unique early
documentation regarding how elite musicians of the nineteenth century
came to terms with the music then being created.
Johann Friedrich Daube (ca. 17301797)
Daubes treatment of thoroughbass reveals a novel harmonic perspective,
perhaps derived indirectly from some of Rameaus ideas. Even the title of his
rst work, General-Ba in drey Accorden (Thoroughbass in Three Chords,
Leipzig: Andr, 1756, trans. B. Wallace as J. F. Daubes General-Bass in drey
Accorden (1756): A Translation and Commentary, PhD diss., University of
North Texas, 1983), provides an indication that a simplied system, based on
three chords, is oered. In C Major, these chords are C-E-G, F-A-C-D, and GB-D-F. (Not every pitch need appear in every instance. For example, F-A-C
and F-A-D are realizations of the same harmonic function.) After
working as a lutenist and composer in several German cities, Daube moved
to Vienna, where he prepared a new version of his thoroughbass pedagogy,
Der musikalische Dilettant: Eine Abhandlung des Generalbasses (The
Musical Dilettante: A Treatise on Thoroughbass, 2 vols., Vienna: Kurtzbck,
177071), noteworthy for its use of the Arabic numerals 1, 2, and 3 for his
three chords and for demonstrations of their employment in modulatory
contexts. Similar numerical analysis appears on a few occasions in his later
writings as well: Der musikalische Dilettant: Eine Abhandlung der Komposition
(The Musical Dilettante: A Treatise on Composition, Vienna: Edler von
Trattner, 1773, trans. S. P. Snook as The Musical Dilettante, Cambridge:
Cambridge University Press, 1992) and Anleitung zur Erndung der Melodie
(Instruction for the Invention of Melody, 2 vols., Vienna: Christian Gottlob
Tubel, 1797 (vol. 1), Vienna: In Commission der Hochenleitterschen
Buchhandlung, 1798 (vol. 2)).
Alfred Day (18101849)
In his Treatise on Harmony (London, Cramer & Beale, 1845), Day oers
British musicians a derivation of harmonies that shares features with those
of Koch and Portmann on the continent from around the turn of the
century. Foundational chords extending beyond the boundary of the
octave even as far as the thirteenth are regarded as the source for a
wide range of chordal possibilities. Three such chords ground Days
system: major chords rooted on tonic, dominant, and supertonic. Other
chords are derivative. The subdominant chord is built from the dominants seventh, ninth, and eleventh, for example. Days treatise contains
numerous brief progressions, some highly chromatic. Though he does not
indicate the root pitch of each chord, he does usually provide an indication of each chords inversion (using alphabet letters: A = root position,
B = rst inversion, etc.). Macfarren was an early champion of Days treatise, and some of its concepts are echoed in works by Ouseley, Stainer, and
Prout.
Siegfried Dehn (17991858)
Dehns avocational interest in music, pursued in tandem with diplomatic
service in Berlin, eventually became the focus of his professional life. His
scholarly proclivities were well suited to his roles as librarian of the royal
music collection and editor of both print and score publications, including
works by J. S. Bach. Esteemed as a teacher, Dehn developed his perspective
on harmony in Theoretisch-praktische Harmonielehre (Theoretical and
Practical Instruction in Harmony, Berlin: Thome, 1840), a work that establishes a strong historical foundation Boethius, Franco of Cologne, Lassus,
and Palestrina being among the authorities cited. Eventually the work enters
distinctly modern territory, with discussions of topics such as the augmented sixth chords, progressions of diminished seventh chords, the deceptive resolution of dissonant chords, and enharmonic reinterpretation.
Though Gottfried Weber is an inuence, Dehn eschews Webers rootoriented practice of Roman-numeral analysis. His numerals instead correspond to bass pitches. Another Berlin theorist, Adolf Bernhard Marx,
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attempted to expose the gaping holes in Dehns harmony system in Die alte
Musiklehre im Streit mit unserer Zeit (1841).
Finlay Dun (17951853)
Active as a composer and vocal teacher in Edinburgh, Dun stepped onto the
music theory stage in exasperation, concerned that Friedrich Schneiders text
on harmony, a work recently translated from German into English, was
leading young composers down the wrong path, particularly with regard
to modulatory techniques. In On the Elements of Musical Harmony and
Composition (The Harmonicon, 1829), Dun oers some choice observations: while acknowledging that existing texts do not bear suciently upon
the present practice of the art of composition, he warns that tables of modulation . . . often put a dangerous weapon in the hand of inexperience, suggesting that a more gradual shift, in which intermediate chords are dwelt
upon, is necessary in order to reconcile the ear to the change of key and
thus to prevent a strangled modulation. In contrast, Schneiders examples
include modulations that are uncouth and harsh almost to a stunning
degree. Reichas Cours de composition musicale [ca. 1816] is cited as an
authority on modulatory matters.
Johann August Drrnberger (active 1840s)
The Linz organist Drrnberger counted Bruckner among his pupils.
His Elementar-Lehrbuch der Harmonie- und Generalba-Lehre (Elementary
Textbook of Instruction in Harmony and Thoroughbass, Linz, 1841) oers
a particularly vigorous treatment of voice-leading. The Roman numerals in
his analyses may correspond to the scale degrees of the chordal roots (in line
with the practice of Vogler and Weber), or to the scale degrees of a progressions bass notes.
Franois Camille Antoine Durutte (18031881)
The Belgian Count Durutte became music director of the French national
guard. His Esthtique musicale: technie, ou lois gnrales du systme harmonique (Musical Aesthetics: Technics, or General Laws of the Harmonic
System, Paris: Mallet-Bachelier, 1855) is among the few French treatises of
the nineteenth century that perpetuate Jelenspergers analytical practice of
labeling the progression of chordal roots. As does Jelensperger, Durutte uses
Arabic numerals for this purpose. He also makes note of chordal sevenths
and indicates chordal inversions.
Philipp J. Engler (b. 1786)

Engler was an ecclesiastic and professor of harmony in Bunzlau. His
Handbuch der Harmonie (Handbook of Harmony, Berlin: Trautwein, 1825)
displays the strong inuence of Gottfried Webers Versuch einer geordneten
Theorie der Tonse[t]zkunst (181721). Though in some examples he interprets certain sonorities as a result of passing motion (and thus they lack
their own Roman numerals), a vertical orientation is apparent in an
example displaying parallel 63 chords, which is accompanied by the analysis
I II III IV, etc.
Franois-Joseph Ftis (17841871)
Ftis, born to a Belgian family of musicians, was drawn to Paris for study at
the Conservatory. He later joined the faculty there as a professor of composition, counterpoint, and fugue, a post he held until called back to Belgium
in 1833 to head the Brussels Conservatory. His inquisitive mind explored
and promoted a wide range of musical repertoires and traditions from
diverse eras and cultures, though errors of fact and an exceedingly opinionated outlook mar his scholarly contributions. Ftis founded the Revue musicale and wrote a multi-volume biographical encyclopedia of musicians. His
historical bent is apparent in his Esquisse de lhistoire de lharmonie (Paris:
Bourgogne et Martinet, 1840, trans. M. Arlin as Esquisse de lhistoire de
lharmonie: An English-Language Translation of the Franois-Joseph Ftis
History of Harmony, Stuyvesant, N.Y.: Pendragon Press, 1994), which traces
the development of harmonic theory up to his own contribution, which he
describes as compete and denitive. That contribution was soon thereafter
made available, as Trait complet de la thorie et de la pratique de lharmonie
(Complete Treatise on the Theory and Practice of Harmony, Paris:
Schlesinger, [1844], numerous later edns., trans. P. Landey, Stuyvesant, N.Y.:
Pendragon Press, 2007). Ftis carefully examines the attractive tendencies
of tonalit (a term that had already been employed by Choron and by
Momigny, among others), seeking a metaphysical rather than a physical
basis for music. In addition, he proposes an inuential classication of
musical developments into four phases: the ordre unitonique (music lacking
transitions from one key to another, as in Palestrinas music), the ordre transitonique (in which a composition may modulate from one key to another
through strategic use of the dominant seventh chord, as in Monteverdis
music), the ordre pluritonique (in which enharmonic modulation may
occur, as in Mozarts music), and the ordre omnitonique (in which multiple
enharmonic shifts may occur simultaneously, the cutting-edge practice of
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Ftiss day, which he suggests might become too sensual through the incitement of nervous emotions). The treatise provides a careful accounting of
the various chords employed in music, as well as the means by which these
chords may be embellished via notes trangers such as passing notes, appoggiaturas, and anticipations. It lacks any Roman- or Arabic-numeral analysis
of chords progression, by then a common procedure in Germany that had
found a foothold in France through Jelenspergers work. Ftis used his
inuential position within the press to campaign against progressive music,
particularly that of Berlioz and, later, of Wagner. He also hurled vituperative words at authors, including Reicha, whose treatises promoted such
composition.
Emanuel Aloys Frster (17481823)
A Saxon by birth, Frster eventually settled in Vienna, where he composed
and taught. His Anleitung zum General-bass (Instruction in Thoroughbass,
Vienna: Trg, [1805]) contains early Austrian examples of harmonic analysis, with Arabic numerals placed under the score to indicate the scale degrees
of the bass pitches. For example, he employs the number 4 for the chord
that is now often called the Neapolitan sixth. On occasion he analyzes a
chord in two keys concurrently, as when the progression from a C major
chord to an F major chord is labeled both as 1 4 (in C Major) and as 5 1 (in
F Major).
Philipp Joseph Frick (17401798)
The German organist Frick (or Frike) spent the latter part of his career in
London. Among the theoretical works he published there is A Treatise on
Thorough Bass (London: Frick, [1786]), wherein he provides guidance on
every chord in harmony worthy the attention of young composers. Frick
meticulously assesses the employment of accidentals, showing how interval
qualities are aected by various chromatic modications and demonstrating correct gured-bass notation for altered chords.
Pietro Gianotti (d. 1765)
Though we are uncertain of the Italian composer Gianottis date of birth, or
of when he emigrated to Paris (sometime before 1728), we do know that, in
addition to composing and playing double bass in the Opra orchestra, he
studied with Rameau. The discovery by Thomas Christensen of a long-lost
manuscript treatise by Rameau, Lart de la basse fondamentale (ca. 1738

45), led to a surprising revelation: Gianottis Le guide du compositeur (The
Guide to Composition, Paris: Durand, 1759) is actually a reworking of
Rameaus treatise, presumably published by Gianotti with Rameaus
approval. The work focuses on the practical aspects of the compositional art,
and is noteworthy for its application of Rameaus theory of fundamental
bass as a tool for learning how to compose.
August Halm (18691929)
Halms unique perspective on music had a major inuence on German
music education and thought during the early decades of the twentieth
century, extending his inuence well beyond the Thuringian region where
he taught. Halm absorbed much from nineteenth-century philosophy and
music theory (Schopenhauer, Hegel, Hauptmann), from which he developed an aesthetic view that extends from Bachs melodicpolyphonic fugal
culture through Beethovens harmonicformal sonata culture to the synthesis of Bruckners symphonies. He was a prolic author and essayist. In his
Harmonielehre (Instruction in Harmony, Leipzig: Gschen, 1900, 21925) he
focuses especially on the triad as the foundation of the tonal system, and on
the cadence as the principal generator of motion: all of music is a vast variation upon the basic form of the cadence, based on the pull of the dominant
towards tonic.
Gottfried Harbordt (d. 1837)
Harbordt, a student of Portmann, produced an interesting treatise that survives in manuscript: Lehrbuch der Harmonie, Melodie und des doppelten
Contrapuncts (Textbook on Harmony, Melody, and Double Counterpoint,
[late eighteenth century], Washington, D.C., Library of Congress Music
Division). In that it employs Portmanns idiosyncratic functional analytical
notation, it sheds light on his teachers practice.
Johann Hasel (active late nineteenth century)
Hasel perpetuated the Sechter tradition in Austria late into the nineteenth
century with Die Grundstze des Harmoniesystems (The Foundations of the
Harmony System, Vienna: Kratochwill, 1892), an extensive work that progresses from diatonic to chromatic and enharmonic contexts. The frequent
insertion of notation for chordal fundamentals in small noteheads at the
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bottom of the bass-clef sta reveals a clear distinction between individual

chords and broader harmonic scale-degrees that may extend through
several chords.
Moritz Hauptmann (17921868)
For many years a violinist at the court in Kassel, Hauptmann moved
gradually into the domains of composition and music theory, eventually
attaining important positions in Leipzig, as Kantor at the Thomasschule,
professor of counterpoint at the recently opened Conservatory, and
participant in the Bach-Gesellschaft project. His magnum opus, Die Natur
der Harmonik und der Metrik (Leipzig: Breitkopf & Hrtel, 1853, 21873,
trans. W. E. Heathcote as The Nature of Harmony and Metre, London:
Sonnenschein, 1888), was a path-breaking work, inuencing both the speculations of Riemann and others and the practical works of Jadassohn, his
former student. Adapting various strands of German philosophy to musical
purposes, Hauptmann went about generating the tonal system its chords,
scales, meters, and so on from abstract speculation. In various contexts he
subjected an initial unity (thesis) to an opposition (antithesis), from which
a mediated unity (synthesis) is achieved. For example, subjecting thesis C to
antithesis G will result in synthesis E, thus generating the major triad. Die
Lehre von der Harmonik (Instruction on Harmony, ed. O. Paul, Leipzig:
Breitkopf & Hrtel, 1868) attempts a simplication of the system, with
examples in music notation (lacking in the original volume). These examples are all brief block-chord abstractions, however. The weak interface
between the system and the music of the era, as well as oddities associated
with some of the chord derivations (the minor triad being generated from
its fth, for example), make Hauptmanns contribution appear mainly as
instigator of a owering of thought during the remainder of the century.
Johann David Heinichen (16831729)
The practice of thoroughbass during the peak of the Baroque is well documented in a mammoth work by Heinichen, a composer whose training in
Leipzig, extensive sojourn in Venice and Rome, and career in Dresden made
him eminently qualied for the task. Der General-Bass in der Composition
(Thoroughbass in Composition, Dresden: Heinichen, 1728) masterfully
treats the art of gured- and ungured-bass accompaniment. Of particular
interest are his prescriptions regarding keys for modulation. From C Major,
for example, G Major, E Minor, and A Minor are suggested as the normative
choices, while D Minor and F Major are extraordinary. Heinichen positions

all twenty-four keys on a circle, with closely related keys appearing in close
proximity: G MinorF MajorD MinorC MajorA MinorG MajorE
Minor, etc. Heinichen also writes vividly on the novel treatment of dissonance in the stylus theatralis (theatrical style).
Ernst Julius Hentschel (18041875)
Hentschel studied under Logier and Zelter in Berlin and became a music
instructor in Weienfels, near Leipzig. His contributions include the founding of the journal Euterpe in 1841. In his Streitfragen ber Musik: Fink und
Marx (Disputes about Music: Fink and Marx, Essen: Badeker, 1843), triggered by publications of Marx and Fink concerning Dehns Harmonielehre
(1840), he paints a vivid picture of the state of harmony instruction in
Germany.
John Holden (d. ca. 1771)
Active in the Scottish musical community, Holden wrote An Essay towards
a Rational System of Music (Glasgow: Urie, 1770) with the goal of bringing French innovations to an English-speaking audience, and in fact
Rameauean concepts such as supposition and double emploi are introduced.
In the works rst part he oers a wide assortment of practical information
on harmony, borrowing Lampes analytical notation (K for the Key Note,
Arabic numbers for the other scale degrees) to clarify his examples of chord
progression, modulation, and chromaticism. The second part focuses on
theoretical issues such as proportions and tuning. Here, exasperated with
the numerous duties that his Arabic numbers are required to perform, he
attains greater clarity by enlisting Roman numerals as labels for the scale
degrees.
Salomon Jadassohn (18311902)
Jadassohn held an unusual musical pedigree: conservative theoretical
studies under Richter and Hauptmann in Leipzig and progressive piano
studies under Liszt in Weimar, where he also came under the spell of
Wagners music. Added to the mix was a reverence for J. S. Bach. Jadassohns
creative activity was focused on composition and arranging. He taught
composition, theory, and piano for many years at the Leipzig Conservatory.
His output during his tenure there included a large number of textbooks
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and monographs on a range of theoretical topics, including Lehrbuch der

Harmonie (Leipzig: Breitkopf & Hrtel, 1883; later edns., trans. P. Torek and
H. B. Pasmore as Manual of Harmony, Leipzig: Breitkopf & Hrtel, 1884)
and Die Kunst zu moduliren und zu prludiren (The Art of Modulating and
Preluding, Leipzig: Breitkopf & Hrtel, 1890). Jadassohns analytical practice is modeled on Richters. It was stretched to more and more dubious
extremes as the music under scrutiny became increasingly chromatic. The
quest to place a diatonic Roman-numeral label below as many of a progressions chords as possible led ultimately to such a wild frenzy of modulating
hither and thither without pivot chords that any sense of continuity the
music may have possessed was lost sight of in the analysis.
Daniel Jelensperger (17971831)
Arriving in Paris from Mulhouse, Jelenspergers analytical tendencies bear
a strong Germanic stamp. His Lharmonie au commencement du dixneuvime sicle et mthode pour l tudier (Harmony at the Beginning of the
Nineteenth Century, Paris: Zetter, 1830, 2Paris, Krinits, 1833; trans. A. F.
Hser as Die Harmonie im Anfange des neunzehnten Jahrhunderts, Leipzig:
Breitkopf & Hrtel, 1833) advances a highly developed scale-step theory
that more closely resembles the practice of Vogler or Weber than any contemporaneous French system. Whereas Voglers analytical notation neglects chordal quality and Webers dotes on it, Jelensperger pursues a middle
path: his Arabic numerals refer to diatonic chords unless a modifying
symbol is appended. Thus the numeral 2 in C Major represents a chord of
minor quality, built on the second scale degree, and in C Minor represents
a chord of diminished quality, but 2) with right parenthesis in either key
represents a chord of major quality. His system accommodates chords with
a raised or lowered root and acknowledges chordal sevenths and ninths.
Jelensperger oers advice concerning chord progressions and choices of
keys for modulation. (No progression or modulation is forbidden, but
information that he supplies some of it statistical in nature, derived from
close analysis of a large number of musical scores helps practitioners distinguish the common from the uncommon.) Though his career began
auspiciously, encompassing close interactions with Reicha and a teaching
appointment at the Paris Conservatory, Jelenspergers untimely death
limited his inuence. Scale-step analysis never gained a prominent position in French music pedagogy. Yet thanks to a faithful translation, his
ideas migrated to Germany, where Lobes works built upon Jelenspergers
foundation.
Gottfried Keller (d. ca. 1704)

A German composer and harpsichordist, Keller migrated to England, where
A Compleat Method, for Attaining to Play a Through [sic] Bass (4London:
Meares, [ca. 171521]) appeared posthumously. This popular work equips
initiates with the fundamental principles needed to realize the Arabic
numerals of thorough bass at a keyboard.
David Kellner (ca. 16701748)
The German organist and composer Kellner beneted from Heinichens
massive thoroughbass manual in the creation of his briefer, simpler volume,
Treulicher Unterricht im General-Ba (Reliable Instruction in Thoroughbass,
Hamburg: Kissner, 1732). Foundational principles of the art are laid out and
illustrated, and modulation to closely related keys is addressed.
Matthew Peter King (ca. 17731823)
King was an English composer, particular of songs for theatrical works.
When in his twenties he published A General Treatise on Music (London:
Golding, 1801), which arms a Rameauean perspective, in opposition to
the new ideas from the pen of Kollmann then entering circulation. He proposes two fundamental chords of nature: the fundamental concord
(tonic) and the fundamental discord (dominant). All other chords are
chords of art.
Johann Philipp Kirnberger (17211783)
Though a brief period of study under J. S. Bach in Leipzig inevitably
inuenced Kirnbergers musical outlook, the prevailing state of music
theory in Germany, which had absorbed more from Rameau than
Kirnberger perhaps realized, was also a signicant factor. Kirnbergers harmonic perspective is in some respects an expansion of Rameaus basse fondamentale. His analyses of excerpts or of complete movements incorporate
extra staves below the score for notation of bass and root pitches, as well as
gured bass. After extensive service in Poland and Prussia, Kirnberger completed Die Kunst des reinen Satzes in der Musik (2 vols., Berlin: Decker &
Hartung, 177179, trans. D. Beach and J. Thym as The Art of Strict Musical
Composition, New Haven: Yale University Press, 1982). The discussion of
chords is simplied through Kirnbergers division of dissonances into
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two categories: essential dissonances, permanent members of the chord

that resolve only as the chord gives way to its successor, and incidental
dissonances that embellish a chords consonant members or essential
dissonances. The books rich agenda includes discussions of melodic embellishment, aesthetic issues, counterpoint, and modulation, a topic that
Kirnberger treats thoroughly even if he regards some key relations as too
extreme for general use. A synopsis of Kirnbergers harmonic theory was
prepared probably by or in collaboration with his student Johann Abraham
Peter Schulz and appeared as Die wahren Grundstze zum Gebrauch der
Harmonie (Berlin and Knigsberg: Decker & Hartung, 1773, trans. D. Beach
and J. Thym as The True Principles for the Practice of Harmony, Journal of
Music Theory 23, 1979, pp. 163225). A primer of preparatory materials was
published as Grundstze des Generalbasses als erste Linien zur Composition
(Principles of Thoroughbass as the Best Preparation for Composition,
Berlin: Hummel, [ca. 1781]).
Justin Heinrich Knecht (17521817)
From his base in Biberach (southern Germany), Knecht served as a teacher
and church musician and was known more widely as a result of his various
pedagogical works and periodical articles. His outlook on harmony stems
from his teacher Vogler, whose Roman-numeral analytical notation he
employs in Kleines alphabetisches Wrterbuch der vornehmsten und interessantesten Artikel aus der musikalischen Theorie (A Small Alphabetical
Dictionary of the Most Important and Most Interesting Music-Theoretical
Wares, Ulm: Wohler, 1795). Knechts most substantial work on harmony
is Elementarwerk der Harmonie, als Einleitung in die Begleitungs- und
Tonsetzkunst, wie auch in die Tonwissenschaft (Fundamental Principles of
Harmony, as an Initiation into the Arts of Accompanying and Composition,
as well as into the Theory of Music, Munich: Falter, 179297, 21814),
wherein an exceedingly (and in Riemanns view absurdly) wide range of
chords is explored.
Heinrich Christoph Koch (17491816)
Though Koch spent most of his career in the Thuringian town of
Rudolstadt, his writings address many of the aesthetic and theoretical
concerns of late-eighteenth-century musicians throughout the German
lands. His venerable Musikalisches Lexikon (Musical Encyclopedia, 2 vols.,
Frankfurt am Main: Hermann, 1802) displays a special indebtedness to the
aesthetic views of Johann Georg Sulzer and the theoretical precepts of

Kirnberger. Though harmony is among the topics addressed in his Versuch
einer Anleitung zur Composition (3 vols., Leipzig: Bhme, 178293, partial
trans. N. K. Baker as Introductory Essay on Composition, New Haven: Yale
University Press, 1983), that work is most impressive in its treatment of
phrase structure. Kochs later Handbuch bey dem Studium der Harmonie
(Handbook for Studying Harmony, Leipzig: Hartknoch, 1811) oers a more
sophisticated formulation on harmonic matters, though its perspective
remains that of the eighteenth century. One senses Kochs impatience with
his younger contemporaries, whom he accuses of paying insucient attention to grammatical correctness in their musical works. The Handbuch
oers them a convenient refresher course on a wide range of topics, including chord construction and connection, dissonance treatment, sequences,
chordal embellishment, cadences, and modulation. Though his treatment
of chord progression lacks the insight of some other authors active around
this time, his emphasis on the tonic, dominant, and subdominant as a keys
three essential chords (the others being incidental) reveals a functional
outlook.
Augustus Frederic Christopher Kollmann (17561829)
A native of northern Germany, Kollmann moved to London in early adulthood to assume duties as organist of the Royal German Chapel. During his
long career there he published some of the most penetrating studies of
music then available in English. His program includes both a grammatical
and a rhetorical component. His perspective on chords and their embellishment, which falls within the grammatical component, nds its most
potent exposition in An Essay on Musical Harmony, According to the Nature
of That Science and the Principles of the Greatest Musical Authors (London:
Dale, 1796) and its successor, A New Theory of Musical Harmony, according
to a Complete and Natural System of that Science (London: Bulmer, 1806,
London: Nicol, 21823). The rhetorical component, which addresses issues of
form and key relationships, is addressed in An Essay on Practical Musical
Composition (London: Kollmann, 1799). Kollmanns perspective on harmony is derived from that of Kirnberger (with whom he also shares a keen
and at that time rare interest in the music of J. S. Bach). Thus he opposes the
Rameauean notion of supposition that was championed by Marpurg.
Kollmann recommends the analyzing of all sorts of musical pieces . . . to be
able of accounting for every period and note we write ourselves. One must
be careful to avoid regarding a musical entity according to its appearance,
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for the more harmony is explained according to those systems, the more
perplexing it becomes. (For example, a perfect fth might in some contexts
not function as a stable entity, but instead as a displacement of a fourth or
a sixth.) Kollmann proposes that analysis must penetrate to nd a proof of
the real nature of each musical event.
Franz Joseph Kunkel (18081880)
As had Finlay Dun a few decades earlier, Kunkel, not otherwise known in the
realm of music theory, stepped forward to defend the traditional order
against new-fangled theoretical ideas that were being propagated. His
Kritische Beleuchtung des C. F. Weitzmannschen Harmoniesystems, . . . und
des Schriftchens: Die neue Harmonielehre im Streit mit der alten (Critical
Examination of Weitzmanns System of Harmony and of the pamphlet The
Clash between the Old and New Modes of Harmony Instruction, Frankfurt
am Main: Auarth, 1863) attempts to sway readers against the supercial,
unclear, contradictory, and destructive ideas that were emanating from
Weitzmann.
John Frederick Lampe (ca. 17031751)
London extended its traditional welcome to foreign musicians when
Lampe arrived from Saxony in his early twenties to pursue a career as an
opera composer. Another side of his talent emerges in A Plain and
Compendious Method of Teaching Thorough Bass (London: Corbett, 1737),
the rst published work to make extensive use of numbers for chord-bychord harmonic analysis, a practice he might have brought with him from
Germany. Lampe employs the Arabic numerals 2 through 7, corresponding
to scale degrees, along with the letter K, for Key Note. Either of two bass
progressions may be analyzed: the Thorough Bass (the lowest-sounding
pitch of each chord) or the Natural Bass (the chordal roots). For example,
in the progression labeled I V43 I6 in modern notation, the analysis of the
Thorough Bass would be K 2d. 3d., while that of the Natural Bass would be K
5th. K. Rameaus basse fondamentale and Lampes Natural Bass are equivalent concepts, though each analyst has idiosyncratic notions regarding
which pitch to regard as the fundamental in certain contexts. Lampe seamlessly moves from one key to another when chromatic pitches appear, even
analyzing the boundary chord in both keys. His model strongly inuenced
the analytical writings of Trydell and Holden in Britain and precedes by
four decades Voglers rst rudimentary Roman-numeral analyses on the
continent. The Art of Musick (London: Wilcox, 1740) is a work with less
explicitly analytical aspirations, though in it Lampe claries some aspects
of his Method.
Honor Franois Marie Langl (17411807)
Langl found his way from his native Monaco to Paris via a long stint of study
in Naples. Once ensconced in the French capital, he was active as a teacher of
singing and as a composer. Upon the founding of the Conservatory, where
he taught and served as librarian, he became active as a writer on theoretical
subjects, including harmony and fugue. His Trait dharmonie et de modulation (Treatise on Harmony and Modulation, Paris: Boyer, [ca. 1797])
addresses a wide range of chordal usage from a stacked-thirds perspective. Its
examples display a zest for chromatic coloration. In his Trait de la basse sous
le chant prcd de toutes les rgles de la composition (Treatise on the
Harmonization of Melody, Preceded by All the Rules of Composition, Paris:
Naderman, [ca. 1798]), Langl employs diatonic and chromatic scales as the
foundation for an extensive demonstration of the art of harmonization. He
also presents a variety of innovative sequential progressions.
Georg Friedrich Lingke (16971777)
Lingke was a German musical amateur whose keen interest in theoretical
topics led to several publications, including his posthumous Kurze
Musiklehre (A Brief Instruction Book on Music, Leipzig: Breitkopf, 1779),
which focuses on basic issues of scales, intervals, and triads and seventh
chords (and their inversions). Lingke was a system-builder, grounding his
theory upon the foundation of scales. Even in his lifetime complaints were
lodged regarding the abstraction of his formulations.
Johann Christian Lobe (17971881)
Lobe, a ute virtuoso and composer, resided for many years in Weimar,
where he founded an institute for musical instruction. He moved to Leipzig
in the late 1840s. While Liszt was stirring up enthusiasm for progressive
Music of the Future, Lobes pedagogical slant remained conservative. (He
attempted not to take sides in the fury that was going on around him,
regarding Liszts innovations as similar in nature to J. S. Bachs earlier transgression of rules.) His harmonic perspective is closely allied with that of
Jelensperger, whose harmony textbook from 1830 was translated by another
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Weimar resident, Hser, and published in Leipzig in 1833. Thus Arabic,

rather than Roman, numerals appear in his harmonic analyses. In the rst
volume of his Lehrbuch der musikalischen Komposition (Textbook on
Musical Composition, 4 vols., Leipzig: Breitkopf & Hrtel, 185067, 21858;
later editions), Lobe addresses harmony rst from the perspective of the 1, 4,
and 5 chords, only later adding 2, 3, and 6. He systematically displays every
possible permutation. Though Lobe considers some chords as passing, in
general he tends towards a pervasive use of harmonic labels (for example, 1
2 3 4 5 6 7 1 for an ascending progression of 63 chords). In chromatic contexts, he seeks wherever possible to nd a key in which a chord can be interpreted diatonically, even if this means that his analysis represents a
progression as moving frequently from one key into another. His later
Vereinfachte Harmonielehre (Simplied Instruction in Harmony, Leipzig:
Siegel, [1861]) was provoked by Weitzmanns recent writings dealing with
progressive harmonic practices. Lobes treatises contain numerous examples from actual music not just concocted block-chord progressions as in
many harmony textbooks analyzed from his perspective.
Anatole Loquin (18341903)
Active in the musical life of Bordeaux, Loquin wrote a number of innovative
works on music theory, including Notions lmentaires dharmonie moderne
(Fundamental Rudiments of Modern Harmony, Bordeaux: Gounouilhou,
1862) and Lharmonie rendue claire et mise la porte de tous les musiciens
(Harmonic Theory Presented Clearly and Set within Reach of All Musicians,
Paris: Richault, 1895). In his earlier writings the twelve sons within each
octave correspond, according to their spellings, to seventeen degrs (tonic,
raised tonic, lowered supertonic, supertonic, raised supertonic, minor
mediant, major mediant, etc.) performing seven fonctions (tonic, supertonic,
etc.). In 1895 he described the twelve sons as all equal and like one another,
referencing chords via their son numbers rather than via fonction labels.
Exceedingly schematic, with an extensive set of precise labels for vertical
chords (numbers) and their interactions (capital letters), Loquins analyses
are daunting and rigid. Every vertical slice of the composition is given equal
treatment, with no accommodation for hierarchical relationships.
Rudolf Louis (18701914)
Despite early leanings towards composition and conducting, Louiss renown
rests on his work as a music critic and author in Munich. In collaboration
with Ludwig Thuille, a composer and professor of theory and composition,

he wrote an innovative and inuential Harmonielehre (Instruction in
Harmony, Stuttgart: Grninger, [1907], 41913, trans. R. I. Schwartz, PhD
diss., Washington University, 1982). Thorough, engaging, provocative, and
pedagogically sophisticated, the work progresses from straightforward diatonic to innovative chromatic and enharmonic procedures. Of special interest are the numerous analyses of excerpts from recent music literature.
Though these analyses contain an abundance of Roman numerals and
resort to frequent key changes, the authors take a decisive step away from the
prevailing one-chord/one-label approach, often urging the listener to hear
in terms of broader harmonic motions.
George Alexander Macfarren (18131887)
Macfarrens fame in Britain resulted from a variety of activities, including
composition, conducting, teaching, and writing. In the latter category, he
produced both textbooks such as the popular Rudiments of Harmony
(London: Cramer, Beale & Chappell, 1860) and compilations of his public
presentations, such as Six Lectures on Harmony (London: Longmans, Green,
Reader, & Dyer, 1867). His support for Days harmonic theory led to his
temporary resignation from the faculty of the Royal Academy of Music. Late
in his career, in 1885, he edited a second edition of Days Treatise on
Harmony.
Friedrich Wilhelm Marpurg (17181795)
A prolic author and the translator of dAlemberts lmens de musique,
Marpurg was a major force in Berlins musical culture and a critical voice to
be reckoned with throughout Germany. His devotion to Rameaus theories
sometimes led him to condemn alternative viewpoints, a tendency that
erupts most pointedly in disputes with Sorge (concerning a variety of issues
including the Rameauean principle of supposition for chord derivation)
around 1760 and with Kirnberger (concerning incidental dissonances,
fundamental-bass analysis, and chromaticism) in the 1770s. Yet Marpurg,
perhaps unwittingly, had strayed from the Frenchmans tenets himself.
Marpurgs Handbuch bey dem Generalbasse und der Composition (3 vols.
plus suppl., Berlin: Schtze, Lange, 175560, trans. D. A. Sheldon as
Thoroughbass and Composition Handbook, Stuyvesant, N.Y.: Pendragon
Press, 1989) explores contemporary compositional practices, with a fresh
perspective concerning embellishing pitches. Among the many issues
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addressed in his Historisch-kritische Beytrge zur Aufnahme der Musik

(HistoricalCritical Contributions Concerning Musics Reception, Berlin:
Schtze, Lange, 175462, 1778) is a detailed listing of the chords used in
composing, part of his rebuttal to Sorge. Marpurg devotes due attention to
the classic chords but also examines fantastic chords (e.g., Fs-Ab-C) that
are derived from two keys and that occur during some of musics more colorful moments.
Adolf Bernhard Marx (17951866)
Marx distinguished himself as a professor and composer in Berlin. He wrote
numerous books on musictheoretical issues, though harmonic analysis
was not an especially prominent facet of his thinking. Innovative ideas on
form distinguish Die Lehre von der musikalischen Komposition (4 vols.,
Leipzig: Breitkopf & Hrtel, 183747, posthumous edn. by H. Riemann
(188790), trans. and ed. H. S. Saroni as Theory and Practice of Musical
Composition, New York: Huntington, Mason & Law, [ca. 1851]). Concerned
that Dehns Harmonielehre was leading music pedagogy down the wrong
track, Marx published a pamphlet condemning the work: Die alte
Musiklehre im Streit mit unserer Zeit (The Clash between the Old Mode of
Harmony Instruction and Our Time, Leipzig: Breitkopf & Hrtel, 1841).
Some of his most perceptive analytical observations appear in Ludwig van
Beethoven (2 vols., Berlin: Janke, 1859).
Johann Mattheson (16811764)
Matthesons multi-faceted career in Hamburg included activities as a
singer, a composer, a diplomat, and a duelist (contra Hndel, no less). He
was a prolic and astute author on music topics. Several of his treatises,
including his celebrated Der vollkommene Capellmeister (1737), were
completed after deafness caused him to retire from active musical service.
Though the emerging practice of harmonic analysis was not an area in
which he made contributions, his Exemplarische Organisten-Probe (A Test
of Organists through Examples, Hamburg: Schiller and Kiner, 1719)
aptly displays his expertise in the art of thoroughbass, as well as his
pedagogical gifts. (The work was revised for republication in 1731, under
the title Grosse General-Bass-Schule.) After an extensive introduction,
forty-eight test pieces are oered, each accompanied by some expert
commentary.
Jrme-Joseph de Momigny (17621842)

Within the domain of music analysis, the Belgian theorist Momigny ranks
as a true innovator, a leader in the emerging eld of musical hermeneutics.
His Cours complet dharmonie et de composition (A Comprehensive Treatise
on Harmony and Composition, 3 vols., Paris: Momigny & Bailleul, 1806),
completed after he had established a publishing rm in Paris, includes
several extensive analyses that, though lacking the sort of scale-step evaluation then emerging among German and British commentators, nevertheless
oer an attentive reading of the musical score, with particular emphasis on
phrase structure and cadences. For Momigny, a narrative or poetic interpretation (for example, the evocation of a thunderstorm or of peasants
praying) may be the appropriate device for unlocking a compositions
meaning. Momignys insights into the structure of scales, chords, and chord
progression are most fully developed and best illustrated in La seule vraie
thorie de la musique (The Only True Theory of Music, Paris: Momigny,
[1821]). Particularly noteworthy is his expansive view of a key, which he
understands to include seven diatonic, ten chromatic, and ten enharmonic
pitches. (In some keys this will entail the use of triple sharps or triple ats.)
His commentary and sample chord progressions vividly document an alternative to the modulation-intensive analyses then in vogue. For example,
Momigny opposes the notion that adding Bb to C-E-G (preceding F-A-C)
has anything to do with the key of F Major, so long as chords of C Major
follow the F chord. In this regard Momignys perspective mirrors
Kirnbergers. His audience included readers of Nicolas-tienne Framerys
Encyclopdie mthodique: Musique (Systematic Encyclopaedia: Music, Paris:
Panckoucke & Agasse, 17911818), for which he wrote hundreds of articles
on musical topics. In addition, he published several pedagogical works,
including Expos succinct du seul systme musical gui soit vraiment fond et
complet (A Concise Exposition of the Only Truly Authentic and Complete
Musical System, Paris: Momigny, [ca. 1809]).
Frederick Arthur Gore Ouseley (18251889)
Ouseley, an English church musician and Oxford professor, authored several
books on music, including A Treatise on Harmony (Oxford: Clarendon,
1868), which he describes as a consistent theory, founded in nature,
progressively expanded, and involving no purely arbitrary rules. Most of
the harmonic analysis presented therein is accomplished by placing
capital letters representing chordal roots below the individual chords of a
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progression or by placing noteheads representing these roots on a separate

sta (in the manner of Rameaus basse fondamentale). On occasion Ouseley
places the words Tonic and Dominant (or abbreviations T. and D.)
above the sta. The musical style in evidence throughout is distinctly conservative, reecting Ouseleys involvement in the English anthem tradition
and his preference for Hndel and Mozart over contemporary compositional practice.
Johann Gottlieb Portmann (17391798)
Active as a singer and teacher in Darmstadt, Portmann made interesting
contributions to both the scale-step and function theories of harmony.
His Musikalischer Unterricht (Musical Instruction, Darmstadt and Speyer:
Krmer & Boler, 1785) employs Arabic numerals to indicate the scale
degrees of chordal roots, demonstrating an expansion of the scale-step
method in Germany just a few years after Voglers pioneering Romannumeral eorts. His Leichtes Lehrbuch der Harmonie, Composition und des
Generalbaes (Basic Textbook on Harmony, Composition, and Thoroughbass, Darmstadt: Will, 1789) takes a dierent approach and includes a distinctive system of analytical notation employing various symbols atop and
beside alphabet letters. A limited number of broad chordal formulations
(ve in all in this treatise, including three distinct dominant-related formulations, six in his next treatise) represent all chordal functions within a
key. For example, E-G-B in C Major would fall within the same domain as
C-E-G. With fewer dierent basic chord types, Portmann is able to provide
extraordinarily clear guidelines for their succession. Die neuesten und
wichtigsten Entdeckungen in der Harmonie, Melodie und dem doppelten
Contrapuncte (The Most Recent and Most Important Discoveries on
Harmony, Melody, and Double Counterpoint, Darmstadt: [Heyer], 1798)
oers further renements. Portmanns student Gottfried Harbordt produced a manuscript treatise that makes ample use of Portmanns functional notation.
Ebenezer Prout (18351909)
In addition to a distinguished career teaching in England and Ireland, Prout
produced a popular series of textbooks for the music theory curriculum:
instrumentation, counterpoint, fugue, form, and harmony are each
addressed. The latter topic found its fullest expression in Harmony: Its
Theory and Practice (London: Augener, [1889], 161903) and the accompanying Analytical Key to the Exercises in Harmony: Its Theory and Practice
(London: Augener, [1903]). Though earlier editions had continued in the

acoustical speculations introduced into British theorizing by Alfred Day, the
16th edition saw a major overhaul, with a retreat from an explicitly scientic
perspective. Prouts Roman numerals, abundantly supplied in the Analytical
Key, follow the German tradition of Richter and Jadassohn, though the positioning of the letter b, c, or d to the right of a numeral to indicate rst
through third inversion, respectively, is derived from Day. One noteworthy
feature is his analysis of chromatic chords in the key of the chord to which
they resolve. For example, in the progression CA6sGE6, the rst, third,
and fourth chords are analyzed in C Major as I V Ib, whereas the second
chord is analyzed by means of a parenthetical insert in the key of G Major:
(G: viib). When not set o thus by parentheses, Prout would supplement
the viib label with a parenthetical (V7c) to indicate that the leading-tone
chord is a dominant seventh with absent root.
Jean-Philippe Rameau (16831764)
Rameaus musical career ran in two parallel streams: one as Frances leading
composer, the other as Europes most inuential writer on music theory.
Prone to revising his formulations based on fresh information or ideas, or
in response to criticism, Rameaus extensive theoretical output is spread
over forty years. Highlights include:
Trait de lharmonie rduite ses principes naturels (Paris: Ballard, 1722,
facs. in The Complete Theoretical Writings of Jean-Philippe Rameau (hereafter CTW), ed. E. Jacobi, American Institute of Musicology, 196772, vol.
1, trans. as A Treatise of Musick, Containing the Principles of Composition,
London: Walsh, 1752, trans. P. Gossett as Treatise on Harmony, New York:
Dover, 1971), which presents Rameaus initial formulation on chords,
their derivation, and their connection. The work established Rameau as a
revolutionary musical thinker and inaugurated sweeping changes in how
musicians throughout Europe conceived of harmony.
Nouveau systme de musique thorique (New System of Music Theory,
Paris: Ballard, 1726, facs. in CTW, vol. 2), in which Rameau assesses the
implications of the geometric progression (e.g., 1:3:9) and oers materials to supplement or amend his Trait.
Lettre de M. M. sur la Musique, (Letter from One Gentleman to
Another concerning Music, Mercure de France (September 1731),
pp. 21262145, facs. in CTW, vol. 6), an example of Rameaus polemical
writing, in this case incidentally displaying an innovative use of symbols
for harmonic analysis.
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Gnration harmonique, ou trait de musique thorique et pratique (Paris:

Prault, 1737, facs. in CTW, vol. 3, trans. D. Hayes as Harmonic Generation,
or Treatise on Theoretical and Practical Music, Ann Arbor: UMI Research
Press, 1974), a work that, in returning to many of the issues initially discussed in the Trait, displays a more mature appreciation of acoustical
phenomena and ratios.
Lart de la basse fondamentale (ms., [ca. 173845]), a rediscovered practical manual on composition and accompaniment, which served as model
for Gianottis Le guide du compositeur (1759).
Code de musique pratique (Code of Practical Music, Paris: Imprimerie
royale, 1761, facs. in CTW, vol. 4), Rameaus nal treatise, a practical work
on composition, wherein some rigidly applied notions from earlier treatises (for example, with regard to suspensions) are tempered.
Rameau formulates and addresses the two principal issues of any harmonic
speculation: (1) determination of the chordal entities employed in music,
the basis for their formation, and the interrelationships among them, and
(2) exploration of the rationale for movement from one to another of these
entities, distinguishing between normative successions and those accomplished via license. Incorporating recently discovered acoustical information, Rameau asserts that a single pitch (the son fondamental) serves as
generator of the major triad (accord parfait). Though the minor triad and
dissonant chords do not oer similarly indubitable foundations, Rameau
nevertheless manages to assert a fundamental pitch for every chordal entity.
Both creative and controversial, his notion of supposition to derive ninth and
eleventh chords (or, suspensions of these denominations) engages pitches
both above and below the asserted chordal fundamental. For example, in the
progression with gured bass G7C43, the pitches at C4 are C-G-F, which
Rameau would interpret as a seventh chord rooted on G with supposed
(sub-positioned) fth C. In line with other progressive writers, inverted
chords are coordinated with foundational chords in the manner still practiced today. Rameau often displays the progression of fundamentals (basse
fondamentale) on a separate sta below a music example. This visual eld is
well suited to revealing the intervallic relationship between successive fundamentals. Rameau favors the succession of a descending fth, enhanced
when a seventh is incorporated within the rst chord (as in G7 to C, an
example of the cadence parfaite), and the succession of an ascending fth,
enhanced when a sixth is incorporated within the rst chord (as in F65 to C,
an example of the cadence irregulire or imparfaite). (In Rameaus usage, the
term cadence is not restricted to the end of a phrase.) A special case,
indicative of Rameaus concern for suitable intervals between adjacent fundamental pitches, occurs in double emploi: the chord F-A-C-D is understood
as rooted on F when preceded or followed by a C chord and on D when preceded or followed by a G chord, thus the progression CF65G7C has fundamentals CF/DGC, thereby eliminating analytically what may seem
empirically to be a stepwise succession either from C to D or from F to G.
Two publications from 1752 expanded the reach of Rameaus inuence:
a partial English translation, and a summary of Rameaus ideas by
dAlembert. The latter was soon translated into German by Marpurg and
into English by Blacklock.
Antoine-Joseph Reicha (17701836)
The Bohemian Reichas formative years included interactions with
Beethoven in Bonn and studies under Albrechtsberger and Salieri in Vienna.
He resided in Paris for most of his career, composing (chamber music and
opera predominate), writing theory treatises, and, from 1818, teaching
counterpoint and fugue at the Conservatory, where he competed with
Cherubini and later Ftis for students. Among those who came under
Reichas direct inuence are Berlioz, Liszt, Gounod, and Franck. His Cours
de composition musicale, ou trait complet et raisonn dharmonie pratique
(Paris: Gambaro, [ca. 1816], trans. A. Merrick as Course of Musical
Composition; or, Complete and Methodical Treatise of Practical Harmony,
London: Cocks, [1854]) is grounded upon thirteen basic chord types,
employed in a wide range of examples displaying their progression both
within a single key and via modulation (both permanent and transient) to
another key. He recommends reaching a distant key via a series of less abrupt
modulations, though he also explores enharmonic modulation. The Trait
de haute composition musicale (Treatise on Advanced Musical Composition,
2 vols., Paris: Zetter, 18246) focuses on contrapuntal procedures and
musical forms, including the grande coupe binaire (sonata form).
Jean-Baptiste Rey (ca. 17601822)
For many years a cellist in the Paris Opera orchestra and briey an instructor at the Paris Conservatory, Rey also ventured to publish Exposition lmentaire de lharmonie (An Elementary Introduction to Harmony, Paris:
Naderman, [1807]). The work retains a strong Rameauean orientation in
procedure and terminology, in keeping with Reys own training from the
eighteenth century.
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Ernst Friedrich Richter (18081879)

Richter studied music in Leipzig and stayed on to pursue his career there,
teaching music theory at the Leipzig Conservatory and serving as cantor at
the Thomasschule. His name was spread far beyond these connes due to
his series of instruction manuals, including the popular Lehrbuch der
Harmonie (Textbook on Harmony, Leipzig: Breitkopf & Hrtel, 1853,
numerous later editions and translations). Continuing the Roman-numeral
scale-step tradition of Vogler and Weber (though without their verve and
curiosity), Richter emphasizes part-writing and oers numerous sets of
exercises: gured basses to be realized and analyzed, or melodies to be harmonized. The Lehrbuchs examples and exercises are in a conservative style.
The enormous popularity of the work over many decades was irksome to
Schenker, who regarded much of its contents as nonsense.
Hugo Riemann (18491919)
Riemann held an assortment of teaching positions that eventually led to an
appointment in Leipzig, where earlier he had undertaken theoretical
studies under Jadassohn. Both in his role as professor and through numerous books on a range of musictheoretical and musichistorical topics,
Riemanns inuence on musical thought at the turn of the twentieth
century was profound. His theoretical formulation is grounded in
acoustics, though with the curious assertion of a dual generation: the major
triad upwards through overtones (as in C-G-E), the minor triad downwards through undertones (as in C-F-Ab). The ears reception and the
minds cognitive processes also are central concerns in his purview. His harmonic perspective focuses on three chordal functions: tonic, dominant,
and subdominant. His analyses provide letter symbols for these functions
and for other chords that relate to them. The chords related to C-E-G are
its variant (Variante) C-Eb-G, its leading-tone change (Leittonwechsel)
E-G-B, and its parallel (Parallele) A-C-E. (Each related triad retains one
interval from the original triad.) Among numerous sources for
Riemannian analysis are Skizze einer neuen Methode der Harmonielehre
(Sketch of a New Method of Instruction in Harmony, Leipzig: Breitkopf &
Hrtel, 1880) and Systematische Modulationslehre (Systematic Instruction
in Modulation; Hamburg: Richter, 1887). Riemann also wrote a monumental history of music theory, Geschichte der Musiktheorie im IX.-XIX.
Jahrhundert (The History of Music Theory from the Ninth through the
Nineteenth Centuries, Leipzig: Hesse, 1898, parts 1 and 2 trans. R. Haggh
as History of Music Theory, Lincoln, Nebr.: University of Nebraska Press,

1962, part 3 trans. W. Mickelsen as Hugo Riemanns Theory of Harmony,
Lincoln, Nebr.: University of Nebraska Press, 1977).
Joseph Riepel (17091782)
Austrian by birth, Riepel served as Kapellmeister at the court in Regensburg.
During the 1750s and 1760s he published several pedagogical works devoted
to contemporary practices of phrase structure and form. These volumes had
a decisive impact upon Kochs later writings. The art of adding a bass to
support a melody is a central concern of his posthumous Baschlssel (Key
to the Bass [Bass Clef], ed. J. K. Schubarth, Regensburg: Montag, 1786). In
this work he divides the diatonic chords into two groups: those rooted on
the rst, fourth, and fth scale degrees are regarded as foundational, while
the others play a subsidiary role.
Pierre-Joseph Roussier (ca. 17161792)
Abb Roussier is one of the more prolic among the French authors on
music theory who worked in Rameaus wake. His Trait des accords, et de leur
succession, selon le systme de la basse-fondamentale (Treatise on Chords and
on Their Succession, According to the System of the Fundamental Bass,
Paris: Bailleux, 1764) is thoroughly Rameauean in perspective, though not
without its quibbles and extensions. The coordinating volume of music
examples, Lharmonie pratique (Practical Harmony, Paris: Roussier, [1775]),
supplies abundant sample chord progressions, often in multiple versions
utilizing a variety of inversions, and applies an analytical shorthand for fundamental bass, placing a capital letter for the fundamental underneath a
chord in place of pitch notation on a separate sta.
Augustin Savard (18141881)
Savard taught at the Paris Conservatory, and like many of his predecessors
and successors he wrote a harmony textbook. His Cours complet dharmonie
thorique et pratique (A Comprehensive Course on Harmony, Theoretical
and Practical, Paris: Girod, [1853]) is a work in the tradition of Catel. It contains particularly thoughtful accounts of passing chords and modulation,
including enharmonic modulation. Sequences (marches harmoniques) and
chromatically altered chords are also featured.
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Josef Schalk (18571900)

Schalk, a student of Bruckner, was an instructor of piano at the Vienna
Conservatory and an ardent Wagnerian. His article Das Gesetz der
Tonalitt (The Law of Tonality) was serialized in the Bayreuther Bltter
from 1888 through 1890. Chromaticism, modulation, and passing chords
are among his main concerns. In an unpublished essay on chromaticism
(quoted in Wason 1985) he suggests that a contrapuntal voice-leading perspective may answer some questions that harmonic theory is not equipped
to resolve on its own.
Johann Adolph Scheibe (17081776)
Scheibes progressive aesthetic views caused a stir when, in 1737, he was so
bold as to characterize Bachs music as bombastic and excessively artful in the
pages of his journal, Der critische Musikus. Despite the negative stigma that
would follow him thereafter, his perceptive commentary on the new stylistic
developments that were leading away from the Baroque, particularly his discussion of musical gures derived from rhetoric, is among the most insightful of its time. After a move from Hamburg to Denmark, Scheibe pursued a
mammoth project on the theory of music, only the rst volume of which was
published, as ber die musikalische Composition; Erster Theil: Die Theorie der
Melodie und Harmonie (On Musical Composition; Part One: The Theory of
Melody and Harmony, Leipzig: Schwickert, 1773). Three hundred pages of
erudite commentary on rudimentary concepts such as intervals, chords,
chromatic pitches, keys, and passing notes are followed by an appendix of
nearly one hundred pages in which Rameaus contributions, which he knew
via Marpurgs translation of dAlemberts lmens, are critically assessed.
Heinrich Schenker (18681935)
After early studies under Mikuli and Bruckner, Schenker made his initial
marks on the Viennese musical scene as a collaborative pianist and critic.
The publications that followed document a gradual development and synthesis of a range of original ideas that transformed the analytical enterprise.
Highlights include:
Der Geist der musikalischen Technik (Musikalisches Wochenblatt 26
(1895), pp. 245246, 257259, 273274, 285286, 297298, 309310,
325326, trans. W. Pastille as The Spirit of Musical Technique, in
N. Cook, The Schenker Project, Oxford: Oxford University Press, 2007,
pp. 319332), in which discussions of melody, counterpoint, and

harmony adumbrate Schenkers later developments.
Harmonielehre: Neue musikalische Theorien und Phantasien I (Stuttgart:
Cotta, 1906, facs. Vienna: Universal, 1978, abridged trans. E. M. Borgese,
ed. O. Jonas as Harmony, Chicago: University of Chicago Press, 1954), an
analysis-intensive traversal of topics including tonal systems, a theory of
intervals and harmonies, a theory of the motion and succession of scalesteps, and a theory of the progression of keys.
Kontrapunkt: Neue musikalische Theorien und Phantasien II (2 vols.,
Stuttgart and Berlin: Cotta, 1910 (vol. 1 only), Vienna: Universal Edition,
191022 (both volumes); trans. J. Rothgeb and J. Thym as Counterpoint,
New York: Schirmer Books, 1987, revised trans. Ann Arbor, Mich.:
Musicalia, 2001), a masterful reworking of the art of species counterpoint,
emphasizing the reasons for the various contrapuntal rules and the relationship of counterpoint to free composition.
Das Meisterwerk in der Musik: Ein Jahrbuch (3 vols., Munich: Drei Masken,
1925, 1926, 1930, ed. W. Drabkin, trans. I. Bent et al. as The Masterwork in
Music, 3 vols., Cambridge: Cambridge University Press, 19947), three
volumes of theoretical and analytical essays, in which innovative analyses
consisting of score notation plus auxiliary symbols are employed extensively.
Der freie Satz: Neue musikalische Theorien und Phantasien III (Vienna:
Universal, 1935, 2rev. edn., ed. O. Jonas, Vienna: Universal, 1956, trans. and
ed. E. Oster as Free Composition, New York and London: Longman, 1979,
reprint trans. Stuyvesant, N.Y.: Pendragon Press, 2001), a detailed formulation of Schenkers mature thought, concisely presented and extensively
demonstrated through analysis.
Schenker disdained recent German developments concerning harmony

(both the Richter/Jadassohn pedagogical initiatives and the Hauptmann/
Riemann speculative initiatives). His analyses in Harmonielehre are closely
allied with the earlier Viennese practice of Sechter (upon which Bruckners
teaching had been grounded). His capital Roman numerals are often
adorned by accidentals (sometimes along with small Arabic numerals
that indicate which chord members are altered) to indicate chromatic
modications, a practice closely allied with Voglers of over a century earlier,
though Schenkers expanded conception of scale degrees (Stufen) results in
a less dense application of these numerals than Vogler or others had advocated. Schenkers later practice of harmonic analysis moves decisively
beyond any nineteenth-century formulation in its application in tandem
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with voice-leading and formal considerations (often in the context of his

characteristic analyses using music notation), in its hierarchical complexity,
and in the interpretation of a compositions various tonal centers as regions
within the overall tonic key.
Gustav Schilling (ca. 18031880)
The prolic author Schilling, who was born near Hanover and was
employed at the Stuttgart court, wrote his Polyphonomos, oder die Kunst . . .
sich eine vollstndige Kenntni der musikalischen Harmonie zu erwerben
(Polyphonomos, or the Art . . . of Attaining a Complete Knowledge of
Musical Harmony, Stuttgart: Weise & Stoppan, 1839) several decades before
eeing Germany in debt. (He eventually reached Nebraska.) In one of the
works examples, a conventional descending-fths sequence is enhanced by
subsidiary chordal content. Schillings analysis does not lose sight of the
deeper hierarchical layer of the basic sequence.
Friedrich Schneider (17861853)
Schneider was a prominent member of the musical communities of Leipzig
and Dessau and traveled widely beyond that region as a director of music
festivals. His Elementarbuch der Harmonie und Tonse[t]zkunst (Leipzig:
Peters, [1820], trans. Engelbach as Elements of Musical Harmony and
Composition, London: Chappell, 1828) continues in the tradition of Vogler
and Weber, making use of Webers system of capital and small-capital
Roman numerals for harmonic analysis. After it had hit British shores in
translation, Finlay Dun condemned its uncouth and harsh modulations.
Arnold Schoenberg (18741951)
Throughout his life in Vienna and in Berlin, and later in California
Schoenberg taught music theory both to prepare students for the study of
composition and to earn an income. His idiosyncratic Harmonielehre
(Vienna: Universal, 1911, 31922, trans. R. Carter as Theory of Harmony,
Berkeley: University of California Press, 1978) extends the Austrian tradition of Sechter and Bruckner, with relevance principally to the style of
music Schoenberg himself was then composing. He dispenses with
distinctions between harmonic and non-harmonic elements, so that all
simultaneously sounding pitches attain harmonic status. The most analytically sophisticated of the works derived from his teaching in California
is Structural Functions of Harmony (ed. H. Searle, New York: Norton,

1954), in which he establishes a means for relating the keys that may
appear within a composition (for example, Mm for the mediant majors
mediant minor: Gs Minor in C Major) and then develops a system of
Roman-numeral analysis, often with individual chords analyzed simultaneously in more than one key. His strategies for accommodating nondiatonic elements, including substitutes, transformations, and vagrant or
roving harmonies, are of special interest.
Christoph Gottlieb Schrter (16991782)
In his Deutliche Anweisung zum General-Ba (Clear Instructions on
Thoroughbass, Halberstadt: Gro, 1772), Schrter, a Thuringian organist
and composer, addresses forty-seven combinations of numbers that may
occur above a bass note in traditional gured-bass notation, from the foun8
6
9
7
dational 53 and 53 to rarities such as 65 and 64. Yet, coming as it does in the same
decade as Voglers pioneering analytical writings, the work holds special
interest for its reliance upon numbers in less traditional contexts. On occasion Schrter employs Arabic numerals to indicate the scale degrees of
melodic pitches. In referring to chords rather than pitches, Roman numerals are called into service. Interestingly, Schrters numerals indicate the
scale degrees of the bass pitches not the roots. What Vogler might label as
I with gure 6 is labeled auf III (on [scale degree] three), along with 63
above the bass, by Schrter. In yet another numeral construct, I represents
the tonic chord (e.g., C-E-G), II the chord of its upper fth (G-B-D), and III
the chord of its lower fth (F-A-C). (The ranking stems from a comparison
of the ratios 2:3:4, which divides the octave at the fth, and 3:4:6, which
divides the octave at the fourth. Daube had recently proposed a similar
scheme, but his 2 is F-A-C and his 3 is G-B-D.) Schrters fascination
with numbers extends into the domain of temperament as well.
Johann Abraham Peter Schulz (17471800)
Schulz held music posts in several cities of northern Europe, most notably
Berlin and Copenhagen. His principal connection with music analysis stems
from his years of study under Kirnberger and resultant collaboration with
him on Die wahren Grundstze zum Gebrauch der Harmonie (Berlin and
Knigsberg: Decker & Hartung, 1773, trans. D. Beach and J. Thym as The
True Principles for the Practice of Harmony, Journal of Music Theory 23, 1979,
pp. 163225). Though Kirnberger is named as the works author, several
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discrepancies with other writings by Kirnberger regarding fundamental

bass and suspensions suggest that Schulz may have included some of his
own Rameau-inspired ideas. Schulzs presentation on passing chords is
vivid and progressive. The treatise includes demonstration analyses of
fugues from Bachs Well-Tempered Clavier.
Simon Sechter (17881867)
An inuential teacher in Vienna for over half a century, Sechter expands
upon Rameaus fundamental-bass theory in Die Grundstze der musikalischen Komposition (3 vols., Leipzig: Breitkopf & Hrtel, 185354, vol. 1 trans.
C. C. Mller as The Correct Order of Fundamental Harmonies, New York:
Pond, 1871, partial trans. J. Chenevert as Simon Sechters The Principles
of Musical Composition, PhD diss. The University of Wisconsin, 1989).
Whereas Rameau displays a progressions fundamental notes on a separate
sta below the bass, Sechter instead uses capital letters. Capital Roman
numerals indicate the scale degrees of chordal roots in some examples. The
same progression may be analyzed in several keys simultaneously, a practice
that in chromatic contexts may facilitate a chords derivation from pitches
of two or more keys. For example, the augmented sixth chord Ab-C-Eb-Fs is
a hybrid chord (Zwitterakkord) rooted on D, merging elements from V in G
Minor and II (with ninth) in C Minor. Sechters endorsement of root
motion by fth or third only and his concerns regarding the appropriate
preparation and resolution of dissonance inform his detailed discussion of
harmonic progression. Some successions are banned, others are understood
as contractions for example, III stands for IVIII, in which VI is an
intermediate chord (Zwischenkakkord) that descends by fth to reach II.
Sechters treatment of embellishment is notably hierarchical for the time.
Numerous examples document his conviction that a progression of several
chords may fall within the domain of a single fundamental. Thus, in contrast to most contemporaneous German harmony manuals, numerous
chords within Sechters examples appear without an analytical label (capital
letter or Roman numeral). Sechter is well known for his pronouncement
that a diatonic progression must ground any chromatic progression.
Though he provides insightful examples and commentary to display how
sophisticated structures emerge out of simple diatonic foundations, these
examples do not extend into tonal territories just then being explored
by some of the more innovative composers of the time. Perhaps the
Grundstzes date of publication is misleading. Certainly its contents stem
from a teaching practice that began early in the century. Thus Sechters
analytical precepts probably correspond more closely to the music of

Schubert (who took a counterpoint lesson from Sechter) than to that of the
mature Wagner. Yet several later authors who do address the late-tonal
repertoire (for example, Louis and Thuille in Munich and Schoenberg in
Vienna) clearly borrow much from Sechter.
Ignaz Ritter von Seyfried (17761841)
Seyfried, a very successful Viennese composer and conductor, entered into
the realm of pedagogy to compile a synthesis of his teacher Albrechtsbergers
musical writings, as J. G. Albrechtsbergers smmtliche Schriften ber
Generalba, Harmonie-Lehre, und Tonsetzkunst [ca. 182526] (see
Albrechtsberger entry, p. 244, above). In that Albrechtsberger had never
published a manual on harmony, Seyfried crafted the necessary materials. It
remains uncertain whether this portion of the work bears a direct relation
to Albrechtsbergers teaching or whether, instead, Seyfried formulated it
independently. Its precepts bear a distinctively Rameauean stamp.
Peter Singer (18101882)
Singer, who spent most of his adult life at Salzburgs Franciscan monastery,
was a composer and organist whose theoretical bent led him to write
Metaphysische Blicke in die Tonwelt (Metaphysical Glimpses into the World
of Tones, Mnchen: In Commission der Literatur-artist. Anstalt, 1847), a
work that treats harmony from the perspective of three basic chords, continuing a trend that had begun in the German lands with Daube nearly a
century earlier.
Georg Andreas Sorge (17031778)
Sorge makes sophisticated use of numbers be they logarithms, ratios, or
measurements in pursuit of his musical interests: organ construction,
tuning and temperament (equal temperament is promoted), and composition. Court organist in the Thuringian town of Lobenstein, Sorge produced
an impressive array of books and pamphlets, of which the most substantial
is his Vorgemach der musicalishen Composition (Preparatory Studies in
Musical Composition, 3 vols., Lobenstein: Sorge, [174547], trans. A. D.
Reilly as Georg Andreas Sorges Vorgemach, PhD diss., Northwestern
University, 1980). Among its contents are advice on chord progression, a
ranking of closely related keys for modulation, examples of passing chords,
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and an early use of numerical chord labels. Sorge attracted wide attention
by criticizing the irascible Marpurg on a variety of issues in his Compendium
harmonicum (The Harmonic Compendium, Lobenstein: Sorge, 1760, trans.
J. M. Martin as The Compendium harmonicum (1760) of Georg Andreas
Sorge, PhD diss., The Catholic University of America, 1981). Whereas
Marpurg derives ninth, eleventh, and thirteenth chords by descending a
third, fth, or seventh, respectively, below a seventh chords root (expanding upon Rameaus supposition strategy), Sorge instead ascends from the
root, stacking thirds in accordance with numerical ratios. He accepts the
ninth chord as a foundational entity, while the eleventh and thirteenth generally behave as chordal embellishments. Sorge addresses that art of improvisation in his Anleitung zur Fantasie (Primer on Improvisation, Lobenstern:
Sorge, [1761]).
John Stainer (18401901)
In addition to careers as organist at St. Pauls Cathedral, London, and professor at Oxford, Stainer contributed A Theory of Harmony (London:
Rivingtons, 1871, editions from 1884 onward under the title A Treatise on
Harmony) to the growing mix of materials for musical instruction in
Victorian England. A protg of Ouseley, Stainer promoted an intensely vertical, stacked-thirds approach to harmony, wherein the complete thirteenth chord was regarded as a scale drawn out in thirds. Two such chords,
built upon the tonic and dominant roots, provide the foundation for his
entire system.
August Swoboda (17871856)
The Bohemian Swoboda pursued his musical career in Vienna, where
he championed and developed the ideas of his teacher, Vogler. His
Harmonielehre (Instruction in Harmony, Vienna: Haykul, 1828) includes a
broad-ranging consideration of modulatory techniques, emphasizing connections between distantly related keys. He also champions innovative
deployments of diminished seventh and augmented sixth chords. For
example, he shows how to lead from a single diminished seventh chord into
any of the twenty-four keys.
Ludwig Thuille (18611907)
See Rudolf Louis.
Otto Tiersch (18381892)

Tiersch taught music theory at the Stern Conservatory in Berlin and was
active as an author of both textbooks and articles. His Elementarbuch
der musikalischen Harmonie- und Modulationslehre (Primer on Musical
Harmony and Modulation, Berlin: Oppenheim, 1874, 21888) contains
sample analyses that show how a conuence of passing notes may create a
colorful pitch combination that does not warrant interpretation as a
harmony.
John Trydell (c. 17151776)
The Irish rector Trydell produced a concise manual of fundamental principles for musicians, Two Essays on the Theory and Practice of Music (Dublin:
Grierson, 1766). The essays address theoretical and practical issues in a
sophisticated, quasi-scientic manner. Block-chord harmonic progressions
are analyzed using a variety of symbols: the letter K for the chord rooted on
the Key (tonic), the numbers 2 through 7 for chords rooted on the remaining scale degrees, and the at symbol in the context of b6 and b7 in minor
keys. The system closely follows Lampes work of several decades earlier.
Because Arabic numerals are used as well to indicate the interval each pitch
forms with the bass, the examples may have seemed daunting to readers
unaccustomed to such a profusion of information. The work was reprinted
as the Music article in the rst edition of the Encyclopaedia Britannica
(Edinburgh, 1771).
Daniel Gottlob Trk (17501813)
For most of his adult life Trk was the leading musician in Halle, where
he taught, performed, and composed. Several of his treatises address
issues relating to the keyboard, including performance and temperament.
His Kurze Anweisung zum Generalbaspielen (Brief Instruction in
Thoroughbass Playing, Halle and Leipzig: Trk, 1791) oers a summation
of gured-bass practice, then in decline. The careful presentation, which
incorporates ideas derived from Kirnberger and other theorists, made it a
work of great utility for Trks contemporaries, and it remains so for
modern musicians who seek to acquire a command of eighteenth-century
musical practices.
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Heinrich Josef Vincent (18191901)

The forward-looking Viennese writer Vincent, whose pen name is a
simplication of his actual name, Winzenhrlein, used gures of geometry
as a stimulus for harmonic thinking in Die Einheit in der Tonwelt (Unity in
the World of Tones, Leipzig: Matthes, 1862). Circles with clocklike divisions
into twelve (representing the twelve chromatic pitches) intersect enclosed
triangles and quadrilaterals that provide visual images of the basic triads
and seventh chords of the tonal system. Kein Generalbass mehr! (No More
Thoroughbass!, Vienna: Klemm, 1860) exposes the inadequacies of the
older system in coping with modern chromatic harmony.
Jos Joaqun de Virus y Spnola (17701840)
The musical ideas of the Spanish general Virus y Spnola were assembled
after his death by F. T. Alphonso Chaluz de Vernevil in An Original and
Condensed Grammar of Harmony, Counterpoint, and Musical Composition
(London: Longman, 1850). This work develops a function theory based, like
Daubes a century earlier, on three principal chords: the Cadence (C, the
tonic chord), the Precadence (P, the dominant chord), and the Transcadence
(T, chords that come after tonic or before dominant).
Georg Joseph Vogler (17491814)
Voglers musical career took him far beyond his native Germany. In his
formative years he visited Italy, where Francesco Antonio Vallotti had a
strong inuence, and for decades thereafter his contributions to cultural life
were felt in a number of musical centers and courts, including Paris,
London, and locales in eastern Europe and Scandinavia. Though he was
esteemed as a keyboardist, organ designer, and composer, his most lasting
impact has been in the area of harmonic theory and analysis. Beginning in
the 1770s, in conjunction with his teaching in Mannheim, he published
volumes promoting an analytical perspective in which each chord of a
block-chord progression is annotated with indication of its root (presented
in sta notation), gured-bass numbers, and a capital Roman numeral corresponding to the roots scale degree within the prevailing key. Though this
practice was extended and popularized by his pupil Gottfried Weber,
Voglers mature analyses from the rst decade of the nineteenth century
conrm that it was he, and not Weber, who made the most signicant contributions to its development.
Voglers early writings include Tonwissenschaft und Tonse[t]zkunst

(Musical Science and Composition, Mannheim: Kuhrfrstliche
Hofbuchdruckerei, 1776), a compilation known as Voglers Tonschule, consisting of Kuhrpflzische Tonschule and Grnde der kuhrpflzischen
Tonschule in Beispielen (The Palatine Music School and Foundations of the
Palatine Music School in Examples, Oenbach: Andr, [1778]), and a periodical, Betrachtungen der Mannheimer Tonschule (Deliberations of the
Mannheim Music School, Mannheim, 177881). Already at this stage,
Vogler was exploring the outer reaches of harmonic practice, such as modulation via enharmonic respelling of diminished seventh chords and innovative chord progressions that proceed systematically through the keys until
the starting point is reached again. (Progressions of this sort are notated on
music systems shaped into full-page circles.)
Voglers Handbuch zur Harmonielehre und fr den Generalba (Manual of
Instruction in Harmony and Thoroughbass, Prague: Barth, 1802) is an
assured and Roman-numeral-saturated work, in which chromatic events
are acknowledged by the analytical notation. (For example, Fs-A-C in C
Major is now labeled as IVs, rather than as IV.) An entire chapter is devoted
to the concept of Mehrdeutigkeit (the multiple meanings of a chord, with or
without enharmonic respelling), an indispensable tool for modulating from
one key to another. Among Voglers later works demonstrating analysis of
complete compositions is his Zwei und dreisig Prludien (Thirty-Two
Preludes, Munich: Falter, 1806).
Johann Gottfried Walther (16841748)
The German organist and theorist Walther is known principally for his
erudite and wide-ranging Musicalisches Lexicon (Musical Dictionary,
Leipzig: Deer, 1732), an extensive work incorporating both musical terms
and biographies of musicians. Walthers sizeable personal music library was
the source for much of the knowledge represented in the Lexicon.
Friedrich Dionys Weber (17761842)
Friedrich Dionys Weber, a pupil of Vogler, was a founder of and instructor
at the Prague Conservatory. His Theoretisch-praktisches Lehrbuch der
Harmonie und des Generalbasses (Theoretical and Practical Textbook on
Harmony and Thoroughbass, Prague: Berra, 183041) oers instruction
spanning the gamut from triads through thirteenth chords. Of particular
interest are examples displaying unusual contexts for dissonance. Weber
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explains how through elision a normally required resolution pitch may be

omitted. He displays the more complete versions of such progressions in
separate music examples for side-by-side comparison.
Gottfried Weber (17791839)
Scale-step analysis using Roman numerals, practiced at a sophisticated level
by Vogler, was fully embraced by Gottfried Weber, who concurrently
pursued a legal career and musical activities in Mainz and Darmstadt. The
most extensive explication of this methodology during the early nineteenth
century is Webers Versuch einer geordneten Theorie der Tonse[t]zkunst
(Mainz: Schott, 181721, 3rd edn., Mainz: Schotts Shne, 183032, trans.
by J. F. Warner as Theory of Musical Composition, Boston: Wilkins & Carter,
184246, augmented by John Bishop, London: Cocks, 1851). Weber packs
more data into his symbols than does Vogler: each chords quality is indicated by the size of the numeral (capital versus small capital for major or
minor, respectively, or a degree circle to the left of a small-capital numeral
for diminished quality), and the presence of a chordal seventh is indicated
by an Arabic 7 appearing alongside the numeral (slashed if the seventh is of
major quality). In addition, Weber is more tolerant of passing phenomena
than was Vogler. Not all vertical entities are given separate labels (though he,
like Vogler, asserts that what is now often called the cadential 64 should be
labeled I and that those who disagree are indulging in an unnecessarily
ingenious ction). Weber also is less rigid in assigning chordal roots: for
example, to Vogler B-D-F or B-D-F-Ab would inevitably be assigned root B.
Weber might assign G instead. Both authors are fascinated by multiple
meaning (Mehrdeutigkeit), including that which incorporates enharmonic
reinterpretation. And both focus principally on connections of adjacent
chords, rather than on broader harmonic trajectories. In fact, Weber asserts
that there are in all 6,888 two-chord progressions, any of which may be utilized. His ingenious chart of key relationships places relative keys, parallel
keys, and keys related by fth in the closest alliance.
Carl Friedrich Weitzmann (18081880)
Weitzmanns writings on harmony are among the most innovative and
insightful contributions to the eld from the middle of the nineteenth
century. His bond with Liszt made him something of a house theorist for
the progressive movement in Germany (literally so, since he gave lessons to
Liszts daughter and Wagners future wife, Cosima). His systematic investi-
gation of the chords most susceptible to enharmonic reinterpretation led to

the publication of Die bermige Dreiklang (The Augmented Triad, Berlin:
Trautwein, 1853) and Der verminderte Septimen-Akkord (The Diminished
Seventh-Chord, Berlin: Peters, 1854). Though he acknowledges conventional resolutions of chordal dissonance, his exploration of a wide range of
common-tone resolutions (e.g., B-Es-Gs-CS to B-Fs-Ds) is more revelatory. He shows how one diminished seventh chord may proceed to closure
in any of the twenty-four keys. (Swoboda had developed ideas along these
lines as well.) Yet Ausung resolution into a consonant chord is not the
only option. A new dissonant chord may appear where the resolution is
expected, creating a Trugfortschreitung (deceptive succession, a term also
employed by Dehn). Spurred by a competition sponsored by the Neue
Zeitschrift fr Musik, Weitzmann composed a summation of his ideas, later
expanded for publication as Harmoniesystem (System of Harmony, Leipzig:
Kahnt, [1860]) and defended in Die neue Harmonielehre im Streit mit der
alten (The Clash between the Old and New Modes of Harmony Instruction,
Leipzig: Kahnt, [1861]). His views on chordal succession are liberating: he
follows Gottfried Weber in suggesting that any chord may lead to any other.
He especially favors the close relation between adjacent chords achieved
when only one pitch moves (e.g., C-E-G to C-E-A or to B-E-G).
Andreas Werckmeister (16451706)
The Thuringian organist Werckmeister was a prolic author of music treatises, which appeared at frequent intervals from 1681 until his death. These
works encompass a wide range of topics pertinent to Lutheran musicians of
the Baroque, with emphasis on organ construction, tuning and temperament, and thoroughbass. His fascination with mathematics is blended with
a vigorous and imaginative theological perspective.
Ernst Wilhelm Wolf (17351792)
Wolf s career as a composer blossomed in Weimar, where he performed
duties as court concertmaster and organist. Though inuenced by contemporary composers such as C. P. E. Bach, he also esteemed J. S. Bach
and Hndel. His Musikalischer Unterricht (Musical Instruction, Dresden:
Hilscher, 1788) addresses a wide range of musical topics, including harmonic
and contrapuntal practices. Especially noteworthy is an ambitious analysis
(called an Erklrung, or explanation) of a passage from one of Hndels oratorios. His prose commentary focuses on naming the keys through which the
285
286
eleven-measure excerpt modulates, identifying the dominant chords, and

making note of the cadences.
Gioseo Zarlino (15171590)
The celebrated Venetian church musician Zarlino was the voice of authority to musical authors of the eighteenth century, especially to Rameau. In Le
istitutioni harmoniche (The Harmonic Institution, Venice: 1558), Zarlino
undertakes a synthesis of speculation and practice that, in an updated
context, was mirrored by Rameau in his Trait de lharmonie (1772). Both
authors base their speculations upon numerical ratios tested on a monochord. Zarlino accepts the rst six integers (his senario) as the source for
consonant intervals both the perfect consonances of antiquity and the
imperfect consonances that had been absorbed into the practice of his time.
His pronouncements on chordal formations had a profound impact upon
later generations, and his formulation of contrapuntal rules served as a
guide for composition in the prima prattica.
Carl Friedrich Zelter (17581832)
Active in Berlin as a choral conductor and lieder composer, Zelter was an
avid correspondent with Goethe regarding musical matters and played an
important role in reforming music instruction in the German lands. He had
studied under Kirnberger, and he taught a number of younger composers,
including Mendelssohn and Meyerbeer.
Notes and references
The reader wishing to follow up a citation of a primary source, such as Kirnbergers

Die Kunst des reinen Satzes in der Musik (177179), will nd it under Kirnberger in
the Biographies of music theorists (starting on p. 244), including details of any
English translation (here, Beach and Thym). Citations of selected secondary
sources, such as Lesters Compositional Theory in the Eighteenth Century (1992), may
be found in the Select bibliography (starting on p. 322).
1 Chord identification
1 Kirnberger, Die Kunst des reinen Satzes in der Musik (177179), vol. 1, p. 27
[Beach and Thym, p. 41]. This view was widely shared.
2 Joel Lester assesses both the theoretical recognition of chordal inversion and its
spontaneous application by Iberian guitar and theorbo players in the late sixteenth and seventeenth centuries. See his Compositional Theory in the Eighteenth
Century (1992), pp. 96100.
3 Since the tonic note, its mediant, and its dominant can each bear a chord made
up of the same sounds, we should bear in mind that whenever the natural progression of the bass leads to the principal one of these notes, which is the tonic,
either of the two others may be substituted for it. Rameau, Trait de la harmonie
(1722), p. 225 [Gossett, p. 245].
4 An example of Rameaus notational practice appears in 1.18. Note especially the
captions 4me. Notte and Notte tonique. On rare occasions Rameau labels bass
pitches using thin abbreviations of his terms for the scale degrees, as shown in 7.3a.
5 Lampe, who advertised himself as a sometime student of Helmstad in Saxony,
perhaps carried this practice with him on his migration to London. For facsimile pages, selective transcription, and commentary on these rudimentary
analyses, see Lester, Compositional Theory in the Eighteenth Century (1992),
pp. 8287; Alfred Drr, Ein Dokument aus dem Unterricht Bachs?,
Musiktheorie 1/2 (1986), pp. 163170; and Heinrich Deppert, Anmerkungen zu
Alfred Drr, Musiktheorie 2/1 (1987), pp. 107108.
6 A partial English translation of Rameaus Trait de lharmonie (1722) appeared
in London in 1752, suggesting that the goings-on across the channel were being
followed with interest in England before that date. In fact, Lampe quotes in the
original French passages from the Trait in his second book, The Art of Musick
(1740), pp. 46 and 47.
288
Notes and references to pages 410
7 die Gleichgltigkeit gegenber der Dierenz zwischen dem 53- und dem 63-Klang
mit gleichem Baton. Der Akkordzusammenhang beruht auf dem realen Ba,
nicht auf der abstrakten Basse fondamentale. Dahlhaus, ntersuchungen ber
die Entstehung der harmonischen Tonalitt (1968), p. 134.
8 Holden, An Essay towards a Rational System of Music (1770), p. 131.
9 Sorge, Vorgemach der musicalischen Composition [174547], p. 115; Compendium
harmonicum (1760), p. 9.
10 Vogler, Tonwissenschaft und Tonse[t]zkunst (1776), p. 50. Those lacking prior
exposure to German musical terminology should note that B stands for Bb and
H for Bn. (The famous melody BACH is BbACBn.)
11 Vogler, Tonwissenschaft, p. 82. Observe that Vogler displays none of Lampes or
Sorges timidity concerning chords containing a diminished fth above their
root. Whereas Lampe labels B-D-F in C Major as 5.th [1.1] and Sorge avoids
diminished triads in his table, Vogler labels B-D-F-Ab as VII.
12 Portmann, Musikalischer Unterricht (1785), examples supplement, p. 12, g. 9.
13 Die in jedem Fache der Sextquinten- Terzquarten- und Secundenaccorde
beygefgte Zahl zeigt die Stufe der Tonleiter an, auf welcher der Stammaccord
derselben seinen Sitz hat. Koch, Versuch einer Anleitung zur Composition
(178293), vol. 1, pp. 9799.
14 Though Richter and Lobe represent the main branches of notation for harmonic
analysis at mid-century, there were interesting variants throughout Europe.
Franois Camille Antoine Durutte, whose Esthtique musicale: technie, ou lois
gnrales du systme harmonique appeared in Paris in 1855, merges three Arabic
numerals as an analytical symbol. For example, 723 corresponds to a seventh
chord rooted on the second scale degree, in third inversion (e.g., C-D-F-A in C
Major). Heinrich Josef Vincent, whose Kein Generalbass mehr! appeared in
Vienna in 1860, uses capital Roman numerals followed by a variety of squiggly
lines indicating triadic quality, be it hart (C-E-G), weich (D-F-A), klein (B-D-F),
hartklein (C-E-Fs), bermssig (C-E-Gs), or weichbermssig (C-Eb-Ab).
15 Wir wenden uns nun zu den Accorden selbst, die man bey Erlernung des
Generalbaes, in einer jeden Tonart, zu wissen nthig hat, solche sind: der vollkommene und herrschende Accord; dieser hebt ein Stck an, und endigt auch dasselbe. Seine beyden untergebenen Accorde, die im Laufe der Melodie vorkommen,
nmlich der zweyte und dritte Accord. Ihre Harmonie ist ganz vom herrschenden
Accorde unterschieden. Wir werden sie in der Folge erklren. Daube, Der
musikalishe Dilettant: Eine Abhandlung des Generalbasses (177071), p. 49.
16 Rameaus foundational Clermont notes, which precede his epochal Trait de
lharmonie (1722), formulate only three basic chords: the accord parfait, accord
de grande-sixte, and accord de 7e de dominante. These notes, now lost, are
described by Thomas Christensen in Rameau and Musical Thought in the
Enlightenment (1993), pp. 2326.
17 Rameau, Nouveau systme de musique thorique (1726), p. 24. Whereas for
Daube tonic is the foundation of the system, with the ascending numbers 1
through 3 corresponding to the order in which the chords would most typically
occur in a composition, Rameaus triple progression is symmetrical: for
example, in the geometric ratio 1:3:9 tonic G (3) is anked by C (1) and D (9).
The subdominant thus grounds his system. It is awkward for Rameau that tonic
is a derived chord, yet the subdominant cannot otherwise relate to the other
chords in whole-number ratios. Thomas Christensen assesses how the subdominant gradually attained status at the expense of the Renaissance-favored
mediant in Rameau and Musical Thought in the Enlightenment (1993),
pp. 179185.
18 Schrter, Deutliche Anweisung zum General-Ba (1772), p. 30. He explains:
Secondly one will recall from the preceding that the Fifth is always preferable to
the Fourth; thus one will agree that G Major is the rst and F Major the second
relation to C Major, and consequently the following hierarchy prevails among
these three: [Example]. [Zweytens errinere man sich aus dem vorigen, da die
Quinte in allen Vorfllen den Vorzug vor der Quarte habe; so wird man
berzeuget, da G dur der erste, und F dur der zweyte Verwandte vom C dur sey,
mithin unter diesen dreyen folgende Rangordnung entsteht: [Example].] Sorge
presents a similar ranking in his Anleitung zur Fantasie [1767], p. 27: C-E-G is
the Grund- oder Endigungs-Accord (foundational or closing chord), G-B-D
is the herrschende Accord (dominating chord), and F-A-C is the NebenAccord (auxiliary chord). A trace of this perspective recurs well into the following century in Peter Singers Metaphysische Blicke in die Tonwelt (1847),
where a chart shows the major triad and, in its train (im Gefolge), der I.
Hilfsharmonie auf der Oberdominante and der II. Hilfsharmonie auf der
Unterdominante (after p. 64).
19 Zu noch leichterer Erlernung des Generalbaes in der Tonart C dur haben wir
hier die Bastimme durch unten angehenkte Bgen so bezeichnet, da ein jeder
gleich sieht, wie viele Banoten zu einem Accord angeschlagen werden, und
welcher von den drey Accorden es ist. Hat nun ein Liebhaber die drey Accorde
recht gefat, so kann er etlichemale die Accorde, wie sie da stehen, nehmen: dann
darf er nur auf die, in dem Bogen stehende, Zier sehen, und nach dieser denjenigen Accord anspielen, welchen sie vorstellt, ohne sich an die in Noten ausgedrckte Accorde zu kehren. Nimmt er auch die drey Accorde in einer andern
Stelle oder Umwendung, als sie hier im Sopran vorgestellt sind; so hat es nichts
zu bedeuten, es bleibt doch allezeit ein- und der nmliche Accord. Es ist ohnehin
gar nicht gemeinet, da ein Liebhaber die Accorde jederzeit so nehmen solle, wie
sie hier stehen: denn diese haben keine andere Bestimmung, als dadurch zu
zeigen: wenn, und wo zu einer Bastimme ein Accord kann angegeben werden,
welches vor einen Angehenden keine geringe Erleichterung ist. Daube, Der
musikalishe Dilettant: Eine Abhandlung des Generalbasses (177071), p. 90.
20 Koch, Versuch einer Anleitung zur Composition (178293), vol. 1, p. 53. Similarly
Joseph Riepel, in his Baschlssel (1786), p. 6, segregates the Grundbanoten
(the foundational bass notes on the rst, fourth, and fth scale degrees) from
289
290
21
22
23
24
25
26
27
28
the others, which he names in three ways: Nebentne (subsidiary notes),

Ausfllungstne (ller notes), and, promoting their status in recognition of
their good service, Mittelbanoten (intermediate bass notes).
Weber, Versuch einer geordneten Theorie der Tonse[t]zkunst [181721], vol. 1,
pp. 219, 222 [Warner, p. 259].
Sie sind nur dewegen erfunden worden, um der Harmonie manche unvermuthete Wendung, und berhaupt mehr Abwechslung zu verschaen.
Swoboda, Harmonielehre (1828), p. 76.
Dieser Accord wird nur gebraucht, um nicht immer die Tonica und Dominante
hren zu mssen, und heit darum Mittel- oder Wechselharmonie, weil er eine
Abwechslung der Klanghren erzeugt. Swoboda, Harmonielehre (1828), p. 64.
In his Tabelle III (after p. 88), he shows progressions that incorporate both I
IVV and VIVI. (The Roman numerals, which display a retained allegiance to
the Stufentheorie perspective, are his.) The preeminence of tonic and dominant
is armed by Matthew Peter King, an English composer of theater music, in A
General Treatise on Music (1801), p. 21: The whole system of harmony is
founded on two chords; on the fundamental concord, and a fundamental
discord: and from these two chords or roots, arise all others. In a word; the two
fundamental chords, are the chords of nature, and those derived from them the
chords of art.
Portmann, Die neuesten und wichtigsten Entdeckungen in der Harmonie, Melodie
und dem doppelten Contrapuncte (1798), pp. 2733. An earlier formulation, in
his Leichtes Lehrbuch der Harmonie, Composition und des Generalbaes (1789),
contains ve rather than six Grundharmonien: the Quartenharmonie is lacking.
As mentioned above (pp. 67), his rst work on harmony, Musikalischer
Unterricht (1785), pursues an altogether dierent agenda. It is a Stufentheorie
whose Arabic-numeral symbols correspond to the chordal roots.
The interpretation of B-D-F as representative of G-B-D-F was Lampes principal point in 1.1, above. Interpreting D-F-A as a derivative of G-B-D-F-A may
not be palatable to musicians accustomed to the notion of a supertonic chord
that precedes the dominant, though Portmann is not alone in making this claim.
(See 1.16.)
Gottfried Harbordt, a student of Portmann, completed a fascinating and extensive manuscript treatise in which Portmanns analytical system is employed. This
work, Lehrbuch der Harmonie, Melodie und des doppelten Contrapuncts, is
housed at the Library of Congress in Washington, D.C.
Virus y Spnola and Chaluz de Vernevil, An Original and Condensed Grammar
of Harmony, Counterpoint, and Musical Composition (1850), p. 73.
Readers interested in exploring Riemanns perspective will nd Carl
Dahlhauss The Theory of Harmonic Tonality in his Studies on the Origin of
Harmonic Tonality (trans. Gjerdingen, 1990, pp. 765) a useful starting point.
For provocative recent resuscitations of function theory, see Daniel Harrison,
Harmonic Function in Chromatic Music (1994); and Eytan Agmon, Functional
29
30
31
32
33
34
Harmony Revisited: A Prototype-Theoretic Approach, Music Theory

Spectrum 17/2 (1995), pp. 196214. Harrison calls Riemann the celebrated
inventor of the theory of harmonic function, though acknowledging that he
so confused its explanation that the idea virtually self-deconstructs, leaving
conicting motivations some noble, some mean strewn across his eld of
discourse, leaving it to others to pick up whatever pieces they nd useful
(p. 253).
Weber: Versuch einer geordneten Theorie der Tonse[t]zkunst (181721,
3
183032), vol. 1, pp. 276277 [Warner, p. 228].
Lampe, A Plain and Compendious Method of Teaching Thorough Bass (1737),
p. 23. This perspective correlates with Sorges chart of chords (presented on p. 5,
above) published in the following decade.
Koch describes the fth scale degree as the leading tone triads true (eigentlich)
root in his Versuch einer Anleitung zur Composition (178293), vol. 1, pp. 7374;
Weber explains that a principal four-fold chord with the fundamental tone
omitted appears exactly like a diminished three-fold chord in his Versuch einer
geordneten Theorie der Tonse[t]zkunst (181721), vol. 1, p. 159 [Warner, p. 193];
at the end of the nineteenth century Ebenezer Prout calls the leading-tone chord
a dominant derivative (see p. 312, n. 42, below).
Rameau, Trait de lharmonie (1722), p. 43 [Gossett, p. 50]. As with so much else
in his theoretical output, Rameaus ideas concerning the diminished seventh
chord shifted over time. In his Gnration harmonique (1737), chapter 14,
Rameau builds the diminished seventh chord by combining elements from the
dominant and subdominant chords.
Concerning essential and incidental dissonances, see p. 37.
Likewise the origin of the minor triad was a perennial problem from an acoustical perspective. Yet theorists could not dismiss minor quality so readily as some
did diminished quality. The conundrum led to one of the most egregious wrong
turns in the history of tonal theory: Riemanns undertone series. Whereas the
major triad is derived upwards from its root ( G E ) Riemann derived the minor
C
triad by proceeding downwards F )! C
Ab
35 entweder ein verkrzter Septimenaccord der Dominante einer Durtonart,

davon der Grundton weggelassen ist, oder ein verkrzter Nonenaccord der
Dominante einer Molltonart, wovon zwei Intervalle weggelassen sind.
Portmann, Leichtes Lehrbuch der Harmonie (1789), p. 26. In this treatise
Portmann pursues a Stufentheorie perspective, not the Funktionstheorie perspective that, as we have seen, he would later adopt. Yet his treatment of the diminished triad under discussion would not change in his functional outlook: it
would be regarded as a representative of the minor keys Dominantenharmonie,
E-Gs-B-D-F-A-C.
36 Christensen, in Rameau and Musical Thought in the Enlightenment (1993),
p. 124, explains: The argument is not . . . simply that the octave is the boundary of all intervals. While Rameau indeed made this point, the real issue for him
291
292
37
38
39
40
41
42
43
44
45
46
47
48
49
50
was that dissonance should be reduced to a single source if at all possible, and
the seventh seemed to serve as that source.
Rameau, Trait de lharmonie (1722), pp. 7374 [Gossett, p. 88].
Andr, Lehrbuch der Tonse[t]zkunst (1832), vol. 1, pp. xiiixvi. Though his
symbols were not widely adopted, his penchant for presenting a wide range of
chordal possibilities is shared by numerous authors.
[Macfarrens] explanation was that Mendelssohn was so opposed to theorizing
about the beautiful art which he so enriched by his productions, not that he
rejected Dr. Days theories in themselves. See Henry Charles Banister, George
Alexander Macfarren: His Life, Works, and Inuence (London: George Bell &
Sons, 1892), pp. 117118.
Stainers most extensive discussion of this passage, in which he evaluates several
hypothetical alternative contexts for the 6s
chord, occurs in A Treatise on
5
Harmony, a revision of his A Theory of Harmony (1871). In the undated eighth
edition (1884 or later), the relevant page numbers are 7982.
A Treatise of Musick, Containing the Principles of Composition (1752), p. 107;
Rameau, Trait de lharmonie (1722), p. 290 [Gossett, p. 308].
Macfarren, Rudiments of Harmony (1860), p. 37.
We have encountered these chords before, as Portmanns Hauptprimenharmonie
and Dominantenharmonie. See p. 13, above.
Stainer, A Treatise on Harmony [1871, 8A Treatise on Harmony, 1884 or later],
pp. 1617.
Ibid., p. 100. Other degrees do, in a modied form, bear upon them certain
chords, but the number of chords thus to be formed is limited by the fact that
any attempt to construct a series of chords on the same principle pursued when
forming them upon the tonic or dominant will be found to result in the production of chords having denite tonic or dominant relations, and which have
already been explained in their proper place (p. 97). This perspective does not
prevent Stainer from later naming six common chords within a key: tonic,
dominant, subdominant and their relative minors (p. 110).
Ibid., p. 46, transposing the sample D-F-A-C chord to Fs-A-Cs-E.
Ibid., pp. 4849. Macfarren takes a more relaxed view concerning this seventh in
his Six Lectures on Harmony (1867), pp. 160161: There being then no sounded
note with which the 7th forms a dissonance, in the absence of both the root and
the 3rd of the chord, the 7th has no longer any of its septimal characteristics, but
is . . . free in its progression.
Macfarren, Six Lectures on Harmony (1867), p. 161.
Kirnberger, Die Kunst des reinen Satzes in der Musik (177179): vol. 1, table II
(between pp. 32 and 33) [Beach and Thym, pp. 4950].
Kirnberger, Die Kunst des reinen Satzes in der Musik (177179), vol. 1, p. 114 (n.)
[Beach and Thym, p. 131 (n.)].
2 Chordal Embellishment
1 Among the low-integer ratios from the root, 1:2 and 1:4 produce octave replicates, while 1:3 generates a compound perfect fth (origin of the major triads
fth) and 1:5 generates a compound major third (origin of the major triads
third). Of course, the interface between acoustics and composition falls apart
when considering the minor triad. That issue remained one of the central problems of harmonic speculation from Rameau through Riemann. Today most
musicians who think about such things regard minor as a product of human
intervention upon the major triad, not as directly derived from the acoustical
properties of the pitches involved. Rameau had proposed a dual generation
merging the roots perfect fth and the thirds major third (C-G + Eb-G), while
Riemann built the chord as a major third and perfect fth downwards from the
fth (G-Eb-C).
2 Lobe, whom we encountered briey in chapter 1 [1.15], oers an especially thorough and notation-intensive perspective on embellishment. We will explore his
terms and symbols in detail later in this chapter. (See pp. 4042, below.)
3 Of course, thoroughbass practice antedates the widespread awareness of chordal
roots and the tracking of their progression (which emerged in the early
eighteenth century). The problem became acute only as root began to displace
bass as a central concern of theoretical discourse.
4 Scott Burnham oers a sympathetic assessment of Rameaus fundamental-bass
perspective on suspensions in his Musical and Intellectual Values: Interpreting
the History of Tonal Theory, Current Musicology 53 (1993), pp. 7688.
5 The example would possess a fundamental bass with no ascending seconds if all
the fourths and ninths were treated as suspensions. An alternative fundamentalbass line might read as G | D B | E | B | . . .
6 La note de suspension nest que de got, elle na point de basse fond et si on
luy en donne une ce nest seulement que pour la prouver la satisfaction de voir
quelle tire le plus souvent son origine de la supposition. Mais comme cela nest
daucunne utilit dans la pratique il vaut mieux en reconnoissant la note de
suspension la compter pour rien et luy donner pour basse fond celle de consonance quelle suspend et qui la suit immdiatement. Rameau, Lart de la
basse fondamentale, folio 86r, quoted by Thomas Christensen in Rameau
and Musical Thought in the Enlightenment (1993), p. 126, fn. 73; see also
pp. 30912.
7 See Lauren M. Longo, Pietro Gianottis Le guide du compositeur, A Reworking
of Rameaus Lart de la basse fondamentale: An Annotated Translation and
Critical Edition of Part I (PhD diss., City University of New York, 1997).
8 Rameau, Trait de lharmonie (1722), p. 214 [Gossett, p. 234].
9 Il y a deux manieres de pratiquer les accords de neuvime & de onzime,
savoir, la supposition & la suspension. Bthizy, Exposition de la thorie et de la
pratique de la musique suivant les nouvelles dcouvertes (1754), p. 187.
293
294
10 In his Vorgemach der musicalischen Composition [174547], p. 335, Sorge

employs the same terminology, though with a dierent meaning. For Sorge
seconds (ninths) and sevenths above the bass are essential dissonances, while
consonances that form a second or seventh with an upper pitch, such as the
D
CB
fourth C in CB
or the fifth C in DF DG, are incidental dissonances.
G
[Beach and Thym, p. 46].
12 Ibid., insert between pp. 32 and 33 of vol. 1 [Beach and Thym, p. 51];
Kirnberger/[Schulz], Die wahren Grundstze (1773), p. 46 [Beach and Thym,
p. 202].
[Beach and Thym, p. 85]. For commentary on Kirnbergers derivation of the
diminished seventh chord, see 1.14a.
14 Die Vorschlge sind eine der nthigsten Manieren. Sie verbessern so wohl die
Melodie als auch die Harmonie. . . . Im andern Falle verndern sie die
Harmonie, welche ohne diese Vorschlge zu simple wrde gewesen seyn. Bach,
Versuch ber die wahre Art das Clavier zu spielen (175362), vol. 1, p. 63.
16 Ibid., vol. 1, p. 191 [Beach and Thym, p. 207].
17 Koch presents Kirnbergers conception of dissonance in the article Accord
(Chord) in his massive Musikalisches Lexikon (1802), columns 97126. In his
gure 15 (column 103), both the 6 and the 4 of a suspension 64 chord are classied
as incidental dissonances (Kirnbergers zufllige Dissonanzen), which Koch in his
Handbuch calls Hauptdissonanzen.
18 Here Koch concurs with Sorge, who asserts that a dissonant chord as little
becomes consonant through inversion as can a consonant chord become dissonant through inversion. [Ein dissonirender Satz wird durch die Versetzung
so wenig consonirend, als ein consonirender Satz durch die Versetzung dissonirend werden kan.] See Vorgemach der musicalischen Composition [1745
47], p. 113.
19 Stainer, A Treatise on Harmony [1871, 8A Treatise on Harmony, 1884 or later],
p. 89.
20 Beethoven slurs all three of the excerpts FE melodic steps and marks F with a
rinf [orzando] in the rst two instances. Stainer either was unaware of these
markings or elected to omit them. Certainly they support the interpretation of
F as a neighboring embellishment (appoggiatura). Also note that, just as a 64
chord occurs interior to the voice exchange (FAbAb
in measure 3 of 2.7 (discussed
F
E
E
above), similar 64 chords occur in the voice exchanges (Cs
Cs
Cs
) in 2.12. In the
E
.
former case, Lobes analysis is an unwavering Es: 5 (dominant seventh in Eb
Major); in the latter case, it likely would be d: 5 (dominant ninth in D Minor,
with absent root).
21 Chordal hierarchy is the topic of chapter 5.
22 The stepwise descent of a seventh (Db to Eb) does not establish a harmonic relationship between the Db (II) and Eb (V) chords. That view is espoused by Gary
E. Wittlich in his Compositional Premises in Schuberts Opus 94, Number 6,
In Theory Only 5/8 (1981), pp. 3143. Instead Db is a neighbor to tonics third,
C, as the bracket connecting bass pitches Ab and C in 2.15a suggests.
23 An interesting question concerns the hierarchical relation between the two
chords in measure 6: does bass G connect Ab and F, or does bass F connect G and
Eb? In support of the rst view, consider the other associations that Schubert has
set up within the phrase: measure 1 leads into measure 2, as does measure 3 into
4 and measure 7 into 8. At a swifter pace, the rst chord of measure 5 leads into
the second, and the rst chord of measure 6 into the second. If IIn were in root
position, then the two chords of measure 6 might have appeared as a conven87
tional 65
(all over bass Bb), in which the dependency of the rst chord upon the
43n
second would be less ambiguous. (For example, see the third measure of 6.21a,
though note that Schenker analyzes IInV as VI in the dominant key.)
24 William Kinderman provides further evidence that the inuence of Beethovens
sonatas tends to surface in Schuberts works in the corresponding keys. See his
Schuberts Piano Music: Probing the Human Condition in The Cambridge
Companion to Schubert, ed. Christopher H. Gibbs (Cambridge: Cambridge
University Press, 1997), p. 157. See also Edward T. Cone, Schuberts Beethoven,
The Musical Quarterly 56/4 (1970), pp. 779793.
25 Als nmlich Schubert das Liedchen Die Forelle komponiert hatte, brachte er
es am selben Tage zu uns ins Konvikt zum Probieren, und es wurde mit dem lebhaftesten Vergngen mehrmals wiederholt; pltzlich rief Holzapfel: Himmel,
Schubert, das hast du aus dem Coriolan.
In der Ouvertre jener Oper ist nmlich eine Stelle, die mit der
Klavierbegleitung in der Forelle hnlichkeit hat; sogleich fand dieses auch
Schubert und wollte das Lied wieder vernichten, was wir aber nicht zulieen und
so jenes herrliche Lied vom Untergang retteten. Johann Leopold Ebner, reporting from Innsbruck on May 3, 1858. Quoted in Schubert: Die Erinnerungen seiner
Freunde, ed. Otto Erich Deutsch (Leipzig: Breitkopf & Hrtel, 1957), p. 55.
26 Newbould makes this comment in reference to a Mozart/Schubert connection.
See his Schubert: The Music and the Man (Berkeley and Los Angeles: University
of California Press, 1997), p. 85.
27 The Sardanapalus legend also inspired a play by Byron (1821) and a painting by
Delacroix (Salon of 182728).
28 son harmonie, forme dagrgations souvent monstrueuss de notes, tait
nanmoins plate et monotone . . . dans ce long morceau . . . il ny a que des monstruosites dharmonie, sans charme, sans eets qui rveillent. Ftiss review
appeared in Revue musicale 9/5 (February 1, 1835), pp. 3335. A translation of
the entire review by Edward T. Cone appears in his Berlioz Fantastic Symphony:
An Authoritative Score, Historical Background, Analysis, Views and Comments
(New York: W. W. Norton, 1971), pp. 215220. For an overview of Ftiss
295
296
29
30
31
32
activities as reviewer and editor, see Katharine Ellis, Music Criticism in

Nineteenth-Century France: La Revue et Gazette musicale de Paris, 183480
(Cambridge: Cambridge University Press, 1995), chapter 11, pp. 219234.
Schumanns review appeared in Neue Zeitschrift fr Music 3/1, 913
(JulyAugust 1835), pp. 12, 3335, 3738, 4144, 4548, 4951. This excerpt
appears on p. 41. Complete English translations of the review appear in Cone,
Berlioz Fantastic Symphony (1971), pp. 222248, and in Ian Bent, Music
Analysis in the Nineteenth Century (Cambridge: Cambridge University Press,
1994), vol. 2, pp. 166194. Both Cone and Bent provide additional commentary,
and Cone oers a substantial analysis. The passage quoted reads as follows: Ist
mir jemals etwas unbegreiich vorgekommen, so ist es das summarische Urtheil
des Herrn Ftis in den Worten: je vis, quil manquait dides melodiques et harmoniques. Mchte er, wie er auch gethan, Berlioz alles absprechen, als da ist:
Phantasie, Erndung, Originalitt, aber Melodieen- und HarmonieenReichthum? da lt sich nicht darauf antworten. Es fllt mir gar nicht ein, gegen
jene brigens glnzend und geistreich geschriebene Recension zu polemisieren,
da ich in ihr nicht etwa Persnlichkeit oder Ungerechtigkeit, sondern geradezu
Blindheit, vlligen Mangel eines Organs fr diese Art von Musik erblicke.
The manuscript version of measures 82 through 86 is published in Cone, Berlioz
Fantastic Symphony (1971), p. 256. A dominant does harmonize this segment
of the melody later in the movement (measures 253254), in the tonicized key
of G Major.
Cone regards measure 84 as a 64 preparation for dominant, scantily represented
by its seventh F in measure 85. This reading of what he calls the deliberate ambiguity of the harmony is feasible, but I think it sanitizes Berlioz more than the
passage deserves. See Cone, Berlioz Fantastic Symphony (1971), pp. 254256. I
regard the return of tonic to be intentionally premature, enhancing the musical
depiction of our protagonists emotional state. The melody had been employed
previously in Berliozs cantata Herminie, which took Second Prize in the 1828
Prix de Rome competition. Based on Tasso, it is a tale of unhappy love. The text
reads, in part: But I adore you, alas! irrevocably, hopelessly. The Herminie harmonization made its way into the Fantastique manuscript, but Berlioz then tinkered with it. (Alas! Berliozs irrevocable and hopeless love for Smithson did
eventually subside. They separated in 1844, and Berlioz married his mistress
soon after Smithson died in 1854.)
Reicha, Cours de composition musicale [1816], p. 44. Similar progressions had
previously been printed in treatises by Kirnberger and Catel [3.11b]. Ftis oers
a vivid and very negative assessment of Reichas theory in the concluding book
of his Trait complet de la thorie et de la pratique de lharmonie (1844). A brief
excerpt: These observations suce to demonstrate that, no less erroneous than
the systems already analyzed, that of Reicha does not have even the merit of
logical conception, for it rests on a defective foundation. Such then is this system
that has been so much in fashion among some artists in Paris, because the
professor who conceived it would neglect these faults in the explanations and
practical applications which he would present to his students. Let me repeat,
this system is the least rational conception of the theory that it would be possible
to imagine, and the most deplorable return to the gross empiricism of the
outmoded methods from the beginning of the eighteenth century. [Ces
observations susent pour dmontrer que, non moins erron que les systmes
prcdemment analyss, celui de Reicha na pas mme leur mrite de conception logique, reposant sur une base vicieuse. Tel est donc ce systme qui a eu
beaucoup de vogue parmi quelques artistes de Paris, parce que le professeur dont
il est louvrage faisait oublier ses dfauts dans les explications et dans les applications pratiques quil donnait ses lves. Je le rpte, ce systme est une conception de la thorie la moins rationnelle quil ft possible dimaginer, et le
retour le plus dplorable vers lempirisme grossier des anciennes mthodes du
commencement du dix-huitime sicle (p. 242).]
3 Parallel and sequential progressions

1 Portmann, Musikalischer Unterricht (1785), example supplement, p. 9, g. 7.
This perspective prevails in his function-theory notation as well. (See 3.1f, an
analysis by Portmanns student Harbordt.)
2 Da aber die Griechen keine andre Harmonie sollen gehabt haben, als nur den
Einklang, die 8, 4 und 5, ist kaum zu glauben, da doch die Terzengnge im Singen
so natrlich und leicht sind, da man fters Leute singen hrt, die nicht das geringste in der Musik gelernet haben, und dennoch terzenweis zu singen wissen.
Daube, Der musikalishe Dilettant: Eine Abhandlung des Generalbasses (177071),
pp. 1920. Schenker quotes Albrechtsbergers pronouncement that more than
three consecutive thirds or sixths in similar motion in simple counterpoint
would resemble a street song (Schenker, Kontrapunkt (191022), book 1,
p. 220). In an earlier article he writes: If the intervals of the fth and the fourth
predominate in the early practice of two- or three-voice singing, this happened,
I am convinced, not because the theory deems these intervals to be consonant,
but rather because it was possible for everyone to sing the melody as they knew
it, even if some sang higher or lower than others. Is it not both touching and
natural that initially no one resolved merely to provide musical support for the
other singers, that it would not have occurred to anyone to give up the melody
that was, so to speak, an item of personal property? [Wenn man beim ersten
Anbruche der Zwei- und Dreistimmigkeit in Quint- und Quartintervallen sang,
so geschah dies, wie ich berzeugt bin, nicht etwa darum, weil die Intervalle nach
der Theorie consonirten, sondern weil es so Jedermann mglich war, die
Melodie zu singen, wie er sie kannte, trotzdem er sie aus einem anderen Tone
sang. Ist das nich rhrend und natrlich zugleich, dass sich am Anfange
Niemand gerne entschliessen wollte, dem Anderen (Mitsingenden) in Tnen
blos zu dienen, es Niemandem zunchst einfallen wollte, auf die Melodie, die
297
298
6
7
8
9
10
11
gleichsam sein persnliches Gut war, zu verzichten?] See Schenker, Der Geist
der musikalischen Technik, Musikalisches Wochenblatt 26/20 (1895), p. 258.
A quels intervalles deux Mlodies peuvent elles marcher ensemble? Momigny,
La seule vraie thorie de la musique [1821], p. 25. In La panharmonie musicale
(1837), p. 19, Raymond Hippolyte Colet conrms the superiority of thirds in
such contexts: It is evident then that two parts proceeding in [parallel] thirds
will yield an eect that is full of charm and melodiousness. [Il est vident alors
que deux parties marchant par 3ces produiront un eet plein de charme et de
mlodie.]
Of course, every 63 chord contains a fourth between its third and sixth, and thus
Kellers progression displays parallel fourths as well as parallel thirds and sixths.
However, in thoroughbass practice the third and sixth are directly derived,
whereas the fourth is incidental. Rameau touches upon this issue in his commentary to 3.3a.
Chapter 4 addresses harmonic progressions of a more conventional sort.
Introducing parallel and sequential progressions rst is intended to provide
readers with the background to weigh the convictions articulated in that chapter
in a more circumspect and critical manner.
Lester, Compositional Theory in the Eighteenth Century (1992), p. 119.
Weber, Versuch einer geordneten Theorie der Tonse[t]zkunst (181721, 3183032),
vol. 3, p. 125 [Warner, p. 624].
Vogler emphasizes the necessity of temperament by presenting the music notation for chord chains on circular systems. For example, one progression has a C
major chord at 12 oclock, F major at 1 oclock, Bb major at 2 oclock, Eb major
at 3 oclock, and onward through Ab, Db, Gb, B (enharmonic for Cb), E, A, D, G,
and nally back to the same C chord at 12 oclock. See his Grnde der
kuhrpflzischen Tonschule in Beispielen [1778], table XXX, g. 1 [reproduced in
Wason, Viennese Harmonic Theory (1985), p. 17].
Rameau, Trait de lharmonie (1722), p. 286 [Gossett, pp. 304305].
An augmented sixth chord is often analyzed as a modied supertonic. (See 1.4,
1.6, 7.3, 7.4, 7.18a, and 7.18c.) The topic is addressed in chapter 7, where derivations both from II and from V are explored.
For an extensive discussion of how Schubert employs this sequence type, see my
article Schubert, Chromaticism, and the Ascending 56 Sequence (Journal of
Music Theory, forthcoming).
4 Harmonic progression
1 Nach und nach lernt man alsdenn verstehen, da alle Musik nichts anders als eine
knstliche Abwechselung des harmonischen Dreyklangs sey; und alles was darinnen vorgehet sein Haupt-Absehen auf die abwechselnde Harmonie desselben
gerichtet habe. Sorge, Vorgemach der musicalischen Composition [174547],
p. 422.
2 Daube, like Sorge, places harmony at the core of a compositions creation:

Harmony, the synthesis of individual voices, is comprised of the progression of
consonant and dissonant chords. Thoroughbass is comprised of unadorned
chords. Knowledge of chords leads to their interchange and breaking apart, the
origin of preludes. Making preludes points the way to the invention of melodies.
All sorts of vocal music derive from melodies . . . It is absolutely essential
to know all this for vocal composition, and in other branches of composition
even more must be mastered. [Die Harmonie oder Zusammensetzung
unterschiedener Stimmen bestehet in nacheinander folgenden Con- und
Dissonanzen Accorden. Der Generalba bestehet in bloen Accorden. Die
Kenntni der Accorde fhret zur Abwechselung und Zergliederung derselben.
Aus dieser entspringen Prludien. Das prludiren ist der Wegweiser zur
Erndung der Melodien. Melodien werden alle Gattungen von Gesngen
gennenet . . . Allhier sind sie zu wissen nthig, in der Composition aber unentbehrlich, wovon im andern Theile von der Composition noch mehrers soll
gewiesen werden (Daube, General-Ba in drey Accorden (1756), p. 13).]
3 Voici la vraie Thorie de la Musique, la seule toujours daccord avec cet instinct
naturel et presque divin qui conduit le gnie en labsence des lois crites.
Momigny, La seule vraie thorie de la musique [1821], p. i.
4 presque toujours faible ou fausse. Ibid. Of course, since Momigny was writing
a work entitled The Only True Theory of Music, his own rules would be exempt
from such criticism.
5 Lag ein Mechanisches, weil von der lebendigen Stimmfhrung Abgewandtes
schon im Grundgedanken Rameaus, so zeugte das erste Mechanische nun
Mechanisches um Mechanisches auch in der Folge . . . Statt eines musikalischorganischen Zusammenhanges gab es nur mechanische Folgen: Motive kamen
und gingen, . . . Klnge kamen und gingen, ohne durch Auskomponierung
beglaubigt zu sein, wahrlich, das schlechteste Kochbuch brgt fr mehr
Zusammenhang in seinen Rezepten, als die auf Rameaus Grundlage fuenden
Kompositionslehren in ihren Rezepten. Schenker, Rameau oder Beethoven?
Erstarrung oder geistiges Leben in der Musik?, Das Meisterwerk in der Musik
(192530): vol. 3, pp. 1718.
6 In his Streitfragen ber Musik (1843), Ernst Julius Hentschel les the following
report: Among one hundred music instructors there is barely one who troubles
his pupils with instruction in harmony. Most of them even rejoice in having
nothing to do with it and willingly remain on the path on which . . . nature
points them. Nowadays especially, though with longstanding precedent, it is
routine that far too little is done to foster the necessary understanding of the
ways of chords, even in Germany. One is so preoccupied with practical exercises
and technique-building that one generally is hardly in a suitable state to think
about it. It has gotten to the point that the vast majority of instructors have to
be coaxed before they agree to oer instruction on the subject of harmony even
to a music student already skilled as a performer and melodist. [Unter hundert
299
300
9
10
11
12
13
14
Musiklehrern ist kaum ein einziger, der seine Zglinge mit Harmonielehre
behelligt; die meisten sind sogar froh, da sie nichts damit zu thun haben und
bleiben mit Vergngen auf dem Pfade, den, nach dem Ausdrucke des Hr. Verf.,
die Natur wie mit Fingern antippt. Viel eher geschieht auch in unserm
Vaterlande, hauptschlich jetzt und seit lange, fr nothwendige Einsicht in das
Wesen der Accorde gar zu wenig; man ist mit praktischer Uebung und
Fertigkeitsknsten so stark beschftigt, da man in der Regel kaum daran zu
denken im Stande ist. Es ist so weit gekommen, da sich die allermeisten Lehrer
sogar oft lange genug erst bitten lassen, bevor sie sich dazu entschlieen, irgend
einem in Praktischen und Melodischen bereits gebten Jnger der Tonkunst
Unterricht im Fache der Harmonie zu ertheilen (pp. 4243).]
die analytische Interpretationsgeschichte musikalischer Werke, nicht unhnlich der praktischen, ein niemals abgeschlossener Proze ist, in dem der jeweils
aktuelle Stand des Komponierens zur Entdeckung kompositionstechnischer
Tatsachen inspiriert, die dadurch, da kein Zeitgenosse des Komponisten sie
wahrnahm, nicht aufhren, Tatsachen zu sein. Dahlhaus, Neues Handbuch
der Musikwissenschaft, vol. 6: Die Musik des 19. Jahrhunderts (Wiesbaden:
Akademische Verlagsgesellschaft Athenaian, 1980), p. 215.
vol. 2, p. 212 [Warner, p. 429]. Though neglecting Webers early formulation,
Daniel Harrison traces the notion that any chord can follow another chord
from Weitzmann through Liszt to Reger. See his Harmonic Function in
Chromatic Music (1994), pp. 12.
vol. 2, p. 201 [Warner, p. 419].
This undertaking is accomplished in separate volumes under the title
Dictionnaire des accords in trois volumes, a compilation of almost 900 pages
of two-chord successions.
Crotch, Elements of Musical Composition (1812), p. 23.
Pour les autres successions audessus du centre, la ralisation est assez arbitraire,
mais pour celles au-dessous, elles sont trs dlicates et demandent presque
toutes, et principalement celles du second ordre, que leur deuxime accord soit
dans le premier renvensement. Jelensperger, Lharmonie au commencement du
dix-neuvime sicle (1830, 21833), p. 31 [Hser, p. 23].
Measuring intervals between successive roots had been practiced for a century
before Jelensperger. (See Rameau, Trait de lharmonie (1722), pp. 185196
[Gossett, pp. 206217].) Rameau makes statements such as [The fundamental
bass] should proceed by consonant intervals, which are the third, the fourth, the
fth, and the sixth . . . The smaller ones should always be preferred to the larger;
i.e., rather than having the bass ascend or descend a sixth, we should have it
descend or ascend a third.
Portmann, Die neuesten und wichtigsten Entdeckungen in der Harmonie (1798),
pp. 107111. An earlier formulation, made at a time when Portmann acknowl-
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
edged only ve Grundharmonien (lacking the Quartenharmonie), appears in his

Leichtes Lehrbuch der Harmonie (1789), pp. 4148. In both works he also
addresses successions involving a shift from one key to another.
Rameau, Trait de lharmonie (1722), 3rd page of the Prface [Gossett, p. xxxv].
For example, the German author Christoph Gottlieb Schrter, in his Deutliche
Anweisung zum General-Ba (1772), p. 3, appends the following question to his
discussion of overtones (Mitklnge): Who does not recognize in this connection the nger of the all-knowing and innitely good creator of nature, through
which the substance of music has been presented to us clearly on the resounding string, for intensication and emulation in singing? [Wer erkennet hierbey
nicht den Finger des allweisen und allgtigen Urhebers der Natur, womit uns der
Sto zur Musik auf besaiteten Werkzeugen, zur Verstrkung und Nachahmung
des Singens, deutlich angewiesen wird?]
Rameau, Trait de lharmonie (1722), pp. 190191 [Gossett, pp. 210211].
Rameau, Trait de lharmonie (1722), pp. 207, 269, 291 [Gossett, pp. 227, 288, 309].
Context aects interpretation. If F-A-C-D proceeds to C-E-G, then F is the
fundamental while D is the dissonance. If, in contrast, F-A-C-D proceeds
to G-B-D-F, then D is the fundamental while C is the dissonance. See p. 23,
above.
Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737),
pp. 2022.
Lampe: The Art of Musick (1740), plate 3 (following p. 54), ex. 5.
Lampe: A Plain and Compendious Method of Teaching Thorough Bass (1737), p. 24.
Ibid., plates 11 and 12 (adjacent to p. 26).
Ibid., p. 32.
Kirnberger, Die Kunst des reinen Satzes in der Musik (177179), vol. 1, p. 92
Vogler, Handbuch zur Harmonielehre (1802), pp. 4546. Vogler is careful to
point out that IV may be perceived as IVI in the dominant key; and that IVI
may be perceived as IV in the subdominant key.
Sechters tuning, anachronistic for the mid-nineteenth century, includes several
pure fths and thirds. D is the second pure fth above C. A is a pure third above
an F tuned a pure fifth below C. In this context a DA fifth will be audibly at,
motivating Sechter to impose the requirement of downward resolution upon
the A.
Rameau, Trait de lharmonie (1722), pp. 5051 [Gossett, p. 60].
See p. 88, above.
Rameau, Trait de lharmonie (1722), p. 50 [Gossett, p. 60].
Ibid., p. 49 [Gossett, p. 59].
Ibid., pp. 6263 [Gossett, pp. 7173]. In this case Rameau achieves a descending-fth root succession by interpreting G-B-D-F to A-C-E as G7 to C6 (wherein
the seventh and the sixth dissonate within their chords). On other occasions he
posits A as the second chords fundamental.
301
302
33 See pp. 23 and 38, above.

34 Kollmann, A New Theory of Musical Harmony (21823), p. 39.
35 F. D. Weber, Theoretisch-Praktisches Lehrbuch der Harmonie (183041), vol. 1,
p. 195, ex. 23.
36 Bekanntlich muss, wenn nach dem Dreiklang der 4ten jener der 5ten oder der
Septaccord der 5ten Stufe folgen soll, dazwischen der Dreiklang oder Septaccord
der 2ten Stufe wirklich genommen oder hinein gedacht (und demnach gehandelt) werden, wodurch folgende Fundamentalfolgen entstehen:
7
I IV II V I
oder
I IV II V I
oder
I IV II V I.
Sechter, Die Grundstze der musikalischen Komposition (185354), vol. 1, p. 102.

37 Hauptmann, Die Natur der Harmonik und der Metrik (1853, 21873), p. 61
[Heathcote, p. 46].
38 Lampe, A Plain and Compendious Method of Teaching Thorough Bass (1737),
pp. 2627. Schrter likewise recommends the use of contrary motion for both
45 and 54 root successions in his Deutliche Anweisung zum General-Ba
(1772), p. 47. The issue at hand is, of course, parallel fths and octaves.
39 Ibid., plate 5 (adjacent to p. 25), exs. XII and XIII.
40 Sorge, Vorgemach der musicalischen Composition [174547], p. 422: durch
steigende oder fallende Secunden, deren aber nicht mehr als zwey hinter einander statt haben, und zwar von der Quarta Modi in Quintam, und von dieser in
Sextam, als im C dur F G A, und so auch absteigend A G F; und im A moll D
s
E F, aber nicht absteigend. In his Leichtes Lehrbuch der Harmonie (1789, plate
33, ex. 66), Portmann goes so far as to demonstrate an ascending progression
of six stepwise roots (CDEFGA), but classies its descending counterpart (AGFEDC) as bel (wrong). Even consecutive major chords (dominants) can occur in ascending progression: C majorD majorE majorF
major (plate 34, ex. 71); but again not a descent, such as C majorB majorA
majorG major. Riepel, in his Baschlssel (1786, pp. 1819), justies his prohibition of descending major triads (such as G major followed by F major) by
invoking the time-honored Mi-contra-fa rule, which is triggered when the
rst triads third and the second triads root (e.g., B contra F) create an
oensive cross-relation (ein unartiger Querstand). (F major followed by G
major also creates an augmented fourth, but that interval can be absorbed
within the G chord, as G7.)
41 The controversial issue of labeling a chord such as Fs7as VI7s, as V7s of II, or as B
Minor: V7swill be addressed in chapter 6, on modulation.
42 Some readers may assert that there is a B chord after the F#7 chord of measures
19 and 20. Yet as 4.10 suggests for the equivalent situation at measure 13, the
accented, appoggiatura-laden moment at the downbeat of measure 21 can be
(and I suggest should be) regarded as an embellishment of a D7 chord.
43 I explore this topic in detail in my forthcoming article, Schenker, Schubert, and
the Subtonic Chord.
5 Chordal hierarchy
1 Da eine Dissonanz in eine Wechselnote eigentlich resolviren knne, ist falsch.
Wohl aber kann es uneigentlich geschehen. Denn wer kennet die Harmonie, und
siehet nicht, da in dem Exempel [5.1a] die Ausung der Septime durch
Verwechselung der Harmonie grlich aufgehalten wird, und solche mit
nichten auf das mit einem Zeichen bemerkte Achttheil, sondern auf die lezte
halbe Note [e] erst geschicht? Marpurg, Handbuch bey dem Generalbasse und
der Composition (1757), vol. 2, p. 85, transposed from C7F to G7C.
2 These statements, which express Kochs view, likely would have been rejected by
Schenker and thus will seem antiquated to some modern readers. In his analysis of a very similar passage, Schenker applies the label IV (Kons Dg) V subdominant leading to dominant to chords corresponding to Kochs chords with
bass A, C, and G. The intervening C chord provides consonant (kons[onant])
support for passing note (D[urch]g[ang]) E. See Schenker, Der freie Satz (1935,
2
1956), Anhang, p. 24, ex. 561c [Oster, Supplement, ex. 561c]. This interpretation
of the C chord as the subdominants upper fth is not necessarily a notion that
emerged only in the twentieth century, as we shall see in the Hierarchy in fthrelated chords section of this chapter.
3 Wenn die verminderte Quinte in der gebundenen Schreibart . . . an und fr sich
selbst als die Dissonanz des verminderten Dreyklanges frmlich aufgefhret wird,
mu sie jederzeit vorbereitet und aufgelset werden. In diesem Falle geschiehet die
Ausung am gewhnlichsten in die Terz, wenn dabey der Ba eine Stufe steigt,
wie bey [5.1b]. Sie vertrgt aber auch folgende ungewhnlichere Ausungen,
und zwar, 1) in die Sexte, wenn der Ba eine Terz abwrts tritt, wie bey [5.1c] . . .
Koch, Handbuch bey dem Studium der Harmonie (1811), cols. 236237.
4 Es giebt in der Harmonie durchgehende Accorde, die sich auf keine
Grundharmonie grnden; sie sind wie die durchgehenden Tne in der Melodie
anzusehen, und entstehen aus diesen, wenn verschiedene Stimmen sich
durchgehend bewegen . . . Daher sind durchgehende Accorde Zwischenaccorde,
bey denen eine oder mehrere Stimmen durch eine stufenweise mehrentheils
consonirende Fortschreitung von dem vorhergehenden zu dem folgenden
Grundaccord bergehen. Sie stehen allezeit zwischen zweyen Grundaccorden,
die entweder dieselben sind, oder doch sehr natrlich auf einander folgen
. . . Man erkennt sie ferner an dem Unnatrlichen ihrer harmonischen
Fortschreitung, indem entweder irgend eine Dissonanz ohne Resolution bleibt,
oder, wenn sie auch den Anschein eines regelmig behandelten Grundaccordes
haben, dennoch dieser Grundaccord die natrliche Fortschreitung der
Grundharmonie hemmen wrde. Kirnberger/[Schulz]: Die wahren Grundstze
zum Gebrauch der Harmonie (1773), pp. 3435.
5 Die als Durchgang bezeichneten Tne knnen auch als Akkord genommen
werden. Lobe, Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858),
p. 163.
303
304
6 Jelensperger, Lharmonie au commencement du dix-neuvime sicle (1830, 21833),

p. 62 [Hser, p. 61].
7 Though Schulz claims that passing chords can occur only on weak beats,
Kirnberger suggests that this rule should apply only in the strict style. He presents a six-measure example that contains passing chords (marked by asterisks)
on two of its downbeats. See Kirnberger/[Schulz]: Die wahren Grundstze zum
Gebrauch der Harmonie (1773), pp. 3435 [Beach and Thym, p. 192];
Kirnberger: Die Kunst des reinen Satzes in der Musik (177179), vol. 1, p. 86
[Beach and Thym, p. 104]. See also a model by Sechter [4.10a].
8 Sa rsolution peut avoir lieu par prolongation de son, lorsquelle a t prpare
par la mme note. Durutte, Esthtique musical (1855), p. 146. Duruttes description corresponds to Jelenspergers resolution of the second order.
9 The Eb that joins F-A-C in Beethovens measure 7 adds an additional layer of
complexity to the situation. Such added minor sevenths are assessed in chapter
6, on diatonic modulation. See especially the discussion of 6.18 through 6.21.
10 On the one hand, many nineteenth-century analysts regard the E-Gs-Bn, E-GsBb, Gs-Bn-D-F, Gs-Bb-D, and Gs-Bb-D-F simultaneities that occur in measures
2 and 3 as ospring of a common root, E. Thus a supercial analysis might allege
that Clementi is merely juxtaposing closely related alternatives, all targeting goal
A. On the other hand, the voice exchanges powerfully enhance D and F, making
E unwelcome as a sounding chord member in their vicinity (even if E is the generator of seventh D and ninth F), thereby discouraging the interpretation of EGs-Bb (measure 2, beat 2) and E-Gs-Bn (measure 3, beat 2) as harmonic. Bass
Bn, coming from Bb, may induce the expectation that the phrase will continue
with C65
to F, a hypothesis that must be abandoned once Bb returns in the bass.
43
11 Die eigenthmliche Erscheinung des Quartsextakkords in dem Beispiel . . . ist nur
durch die im Charakter der Durchgangsnoten erfolgte stufenweise Fortschreitung
aller Stimmen zu ihrem nchsten Ziele (dem Akkord der Thesis im folgenden
Takte) zu erklren. Richter, Lehrbuch der Harmonie (1853, 211897), p. 131.
12 Lobe, Vereinfachte Harmonielehre [1861], p. 144.
13 Swoboda explores the use of leading dominants within a progression of chords
whose bass pitches descend in thirds (CAFDB6G6E6C) in his
Harmonielehre (1828), pp. 156157. For example, between the rst two chords
(C-G-C-E and A-A-C-E) he inserts B-Gs-D-E. Without explanation his basic
progression is subtly altered from his original model (53 chords descending CA
FDBGEC). The sudden switch to 63 chords beginning with B6 (B-D-G) is
certainly in order to avoid the diminished 53 chord (B-D-F), an unsuitable goal
for a leading dominant.
14 Die andere Art Vorspiele wird verfertiget, wann man sich einige Melodiearten
erndet und sie mit dem jedesmal vorliegenden Choral also verbindet, da
man zwischen dessen hug auf einander folgende Primenaccorde, ihre
Dominantenaccorde einschiebt, oder auch auf den Dreiklang einer harten
Tonart mit seiner Dominante, den Dreiklang der hnlichen weichen mit seiner
15
16
17
18
Dominante folgen lst oder anstatt des Dreiklanges seinen Sextenaccord

erwhlt. Man sehe f. 24, eine Strophe des Chorals Snder willst du sicher seyn
und f. 25, wo zwischen die auf einander folgenden Primenaccorde ihre
Dominanten eingeschoben sind. Portmann, Musikalischer Unterricht (1785),
p. 23.
The analysis is found on pp. 300 through 304.
In that both Vogler and Gottfried Weber analyze music giving diligent attention
to potential harmonic meanings that are not fullled by the compositional
context, either could have been selected for comparison with Dehn. The choice
of Vogler emphasizes Dehns application of an eighteenth-century perspective.
A more immediate model Webers 183132 analysis of the opening measures
from Mozarts Dissonance String Quartet (K. 465) is well documented elsewhere: see Ian Bents translation and commentary in his Music Analysis in the
Nineteenth Century, Volume One: Fugue, Form and Style (1994, pp. 157183) and
Jairo Morenos Subjectivity, Interpretation, and Irony in Gottfried Webers
Analysis of Mozarts Dissonance String Quartet in Music Theory Spectrum
25/1 (2003), pp. 99120. Kevin Korsyn presents a fascinating juxtaposition of
Weberian analysis and David Lewins formal model of perception in Decentering
Music: A Critique of Contemporary Musical Research (Oxford, Oxford University
Press, 2003), pp. 166175.
D mit der Unterhaltungssiebenten ist der fnfte Ton vom G. Dis mit der verminderten ist der siebente vom weichen E. E mit der kleinen Vierten und kleinen
Sechsten ist eine Umwendung, worin die Fnfte vom weichen A zum Grunde
leigt. F mit der Unterhaltungssiebenten, als der fnfte Ton vom B. Voglers
Tonschule, Tonwissenschaft und Tonse[t]zkunst: Kuhrpflzische Tonschule [1778],
pp. 180181. Vogler introduces Roman numerals for harmonic analysis in this
work, especially in the accompanying volume of music examples (Grnde der
Kuhrpflzischen Tonschule in Beispielen). (See 1.4.) While the text generally
employs fth (Fnfte) or fth tone (fnfte Ton) when referring to a dominant chord, some of his music examples (though not our 5.15) employ V. The
numeral VII appears both in the text and in his examples.
Die Einleitung beginnt mit dem verminderten Septimenakkord von G
moll; durch stufenweise Fortschreitung des Basses s nach f ndet eine
Trugfortschreitung statt in den Dominantenakkord von B dur oder B moll, Takt
3 und 4; anstatt der regelmssigen Ausung dieses Akkords folgt wieder eine
Trugfortschreitung in den Quartsextenakkord von A moll, Takt 5; Takt 6 der
Dominantenakkord von G dur oder G moll und auf dem letzten Viertel desselben Taktes die dritte Umkehrung dieses Akkords, auf der Quarte der Tonart.
Dehn, Theoretisch-praktische Harmonielehre (1840), p. 301. Dehn pursues his
analysis with words rather than Roman numerals. His use of numerals elsewhere
in the treatise is bass- rather than root-oriented. For example, he would have
labeled the dominant chord at the end of measure 6 (in third inversion, on the
fourth degree of the key) as IV, in reference to the bass, rather than as V, in
305
306
19
20
21
22
23
reference to the root. (See table IX, inserted between pp. 128 and 129 of the
Harmonielehre. See also 1.2c, above.)
irrt und tastet wie in tiefem Dunkel haltlos die Harmonie umher . . . Marx,
Ludwig van Beethoven (1859), vol. 2, pp. 5253. Beethovens Introduction has
generated a number of colorful prose descriptions. Gerald Abraham invokes the
image of mysterious chords . . . melting into each other almost imperceptibly
and goes so far as to call the passage an atonal fog. See his Beethovens SecondPeriod Quartets, London: Oxford University Press, 1942, pp. 41, 45.
Robert Wason shows how the omnibus idea develops out of progressions by
Vogler, such as that in 5.15. See his Viennese Harmonic Theory (1985),
pp. 1619. Paula J. Telesco explores eighteenth-century compositional usage of
omnibus-like material in Enharmonicism and the Omnibus Progression in
Classical-Era Music, Music Theory Spectrum 20/2 (1998), pp. 242279. See also
Victor Fell Yellins The Omnibus Idea (Warren, Mich.: Harmonie Park Press,
1998).
The score from which both Dehn and Marx worked retains C for the secondviolin part in measure 9, thus impeding their comprehension of the passage. In
fact, Dehn again invokes the notion of Trugfortschreiting to account for the
chord of measures 8 and 9, which too greatly contrasts the G chord he expects
as resolution of the preceding D7 chord.
The diminished sevenths mehrdeutig capacity is again at play. In the context of
the preceding Eb major chord, the diminished seventh of measure 13 would be
spelled D-F-Ab-Cb; in the context of the following C minor chord, it is spelled
Bn-D-F-Ab.
An examination of analytical strategies regarding augmented sixth chords
appears in Chapter 7. Nineteenth-century authors present examples in which
each chord member serves in turn as bass, validating Beethovens choice of D in
place of the more conventional Ab.
6 Modulation to closely related keys

1 Unter dem Worte Modulation versteht man berhaupt das Aufeinanderfolgen
verschiedener Harmonieen. Insbesondere aber begreift man gegenwrtig unter
Modulation die Kunst, von einen Harmonie in eine andere, welche durch ein
oder mehr Versetzungszeichen von den erstern verschieden ist, ieend,
ungezwungen, zuweilen berraschend und oft auch unerwartet berzugehen.
Swoboda, Harmonielehre (1828), p. 89. Christoph von Blumrder provides a
detailed account of the terms history in the entry Modulatio/Modulation,
Handwrterbuch der musikalischen Terminologie (ed. Hans Heinrich Eggebrecht,
1972 ). In German the term Ausweichung appears often as well.
2 Rameau, Trait de lharmonie (1722), pp. 208209 [Gossett, pp. 228229].
3 Daube claimed minimal acquaintance with Rameaus theory in a letter to
Marpurg, published in Marpurgs Historisch-kritische Beytrge zur Aufnahme der
4
5
7
8
9
10
11
12
Musik (175478), vol. 3, pp. 6970. Lester speculates that Rameaus ideas had
already entered common musical discourse by this time and that Daube was
unaware of their source. See his Compositional Theory in the Eighteenth Century
(1992), p. 202.
See also p. 10, above.
Koch, Versuch einer Anleitung zur Composition (178293), vol. 1, pp. 291296;
vol. 2, pp. 188192. See David Ferris, C. P. E. Bach and the Art of Strange
Modulation, Music Theory Spectrum 22/1 (2000), pp. 7071. Rameau had
developed a hierarchical perspective on modulation through his teaching of
composition in the 1730s and 1740s. Unfortunately the most careful explanation of his ideas was recorded in an unpublished and long-neglected treatise that
he gave to dAlembert, among whose papers it has resided ever since. Thomas
Christensens assessment, in Rameaus LArt de la Basse Fondamentale,
(1987), pp. 1841, enumerates Rameaus three varieties of tonic: (1) the
tonique principale or veritable tonique (the tonic of the composition as a
whole), a concept presented in his Code de musique pratique (1760), p. 162,
under the name ton regnant; (2) sense tonique (a temporary tonic
conrmed by its leading tone); and (3) toniques trangres ou passagres
(tonics not conrmed by their leading tones).
Crotch, in Elements of Musical Composition (1812), pp. 8588, classies modulation to these keys as natural modulation, in contrast to unnatural modulation
into such keys as have more than one at or sharp, more or less, than the original key. Such modulations may be gradual (connection via one or more chords
interpretable in both keys) or sudden. Early in the eighteenth century, even the
keys that Koch and Crotch favor had been divided into ordinary (ordentlich)
modulations, as in C Major to G Major, E Minor, and A Minor, and extraordinary (auerordentlich) modulations, as in C Major to D Minor and F Major. See
Heinichen, Der General-Bass in der Composition (1728), pp. 761762.
Wolf, Musikalischer Unterricht (1788), p. 37.
Ich mu hierbey anmerken, da durchgehende Kadenzen mit vermiedenen
einerley Zwek haben. Wolf, Musikalischer Unterricht (1788), p. 52.
Ces modulations passagres sont si brves que loreille ne perd pas l impression du Ton dUt, et elles ont encore lavantage de rendre piquante une phrase
chantante qui, sans elles, serait souvent commune. Reicha, Cours de composition
musicale [ca. 1816], p. 62.
Weber, Versuch einer geordneten Theorie der Tonse[t]zkunst (181721), vol. 2,
p. 99 [Warner, p. 330].
vol. 2, p. 143 [Warner, p. 360].
Like Koch and Reicha, Weber adopts terminology to dierentiate between a
permanent key shift perfect (vollkommen) or entire (berwiegend) modulation and a transient move to another key imperfect (unvollkommen)
or half (halb) modulation. Weber, Versuch einer geordneten Theorie der
307
308
13
14
15
16
17
18
19
Tonse[t]zkunst (181721, 3183032), vol. 2, p. 99 [Warner, p. 329]. In The

Concept of Ausweichung in Music Theory, ca. 17701832 (2003), Janna Saslaw
takes me to task for criticizing Webers modulation-intensive analytical practice.
My point is that whether his modulations are perfect or imperfect, too many
chords do not register within the broader tonal framework of the composition.
Thus in my view Lampes analytical practice of 1737 is superior in this regard to
Webers of nearly a century later: for example, the B chord of measure 3 in 6.1 is
not only the focus of what Weber would call an imperfect modulation to the key
of B Minor, but also, as Lampe reveals, a representative of the fth scale degree
in the key of E Minor.
For example, a Schenkerian analyst might contend that the rst nine
chords represent an expansion of the structure 5I V4 7 I3. I prefer to regard 6.7 not
as Webers assertion that nineteenth-century musicians were not capable of
or interested in hearing the passage in that manner, but instead as evidence
that his analytical system lacked a suciently sophisticated mechanism
for dealing with tonal hierarchies that occur even in his own concocted
examples.
Lobes prescription (Lehrbuch der musikalischen Komposition, 1850, 4th edn. of
vol. 1, p. 249) is characteristic: So long as the progression consists of diatonic
harmonies, the sense of the prevailing key is retained. But as soon as a chromatic
chord appears, one is led into another key. [So lange leitereigene Harmonien
auf einander folgen, bleibt das Gefhl in der angeschlagenen Tonart; sobald ein
fremder Akkord auftritt, wird man in eine andere gefhrt.]
It was common to regard the leading tone as the seventh scale degree in minor
keys, rather than as a borrowing from the parallel major. In that perspective, the
diminished seventh chord on the leading tone is fully diatonic in minor.
Jadassohns system is not equipped to correlate vii7 in C Minor and V in C
Major, between which a subsidiary connecting chord ows. The second through
fourth chords of 6.8 interrelate in a way that is more complicated than but nevertheless similar to the way the second through fourth chords of 5.1c relate, from
a passing-chord perspective.
vol. 2, pp. 162163 [Warner, pp. 372373]. As discussed in chapter 3, above,
alternative linear interpretations of such progressions coexisted with Webers
harmonic non-interpretation.
This is the same set of keys that Koch targets. (See p. 145, above.) To demonstrate keys related to a minor tonic, Holden analyzes a progression in D Minor
by Pasquali (his example LVI on plate VIII, facing p. 94 of An Essay). The letter
k (for occasional key) appears below the following chords, each preceded or
followed by its major dominant: F Major, G Minor, G Major, A Minor, A Major,
and Bb Major.
Holden, An Essay towards a Rational System of Music (1770), p. 87. Fn may occur
as a chord member when C is k (as in measure 1 of 6.9) but not as a k itself.
21 Kirnberger, Die Kunst des reinen Satzes in der Musik (17719), vol. 1, pp. 110111
(n.) [Beach and Thym, p. 128129 (n.)].
22 Vogler, Handbuch zur Harmonielehre (1802), table II, gs. 1315. The analytical
symbols employed in Portmanns Leichtes Lehrbuch der Harmonie, Composition
und des Generalbaes (1789), wherein Fs-A-C-E in C Major is labeled 4+, may
have inspired Voglers sharps.
23 Der Schlufall vom fnften zum ersten, und der vom ersten zum fnften sind
auch in der weichen Leiter . . . anwendbar, so bald die kleine Dritte des fnften
Tones erhhet, die Harmonie dadurch entscheidend und . . . schlufallmig
wird. Vogler, Handbuch zur Harmonielehre (1802), p. 46.
24 The subdominant resists convincing acoustical derivation. In Rameaus 1:3:9
proportion [1.8] the number 1 corresponds curiously to the subdominant,
rather than to tonic, putting into question the primacy of the latter since it
appears to be a derived entity. Vogler capitalizes upon the subdominants
tenuous acoustical position to justify the use of the raised fourth scale degree.
Working upwards from C, the tenth partial is an E and the twelfth partial is a G.
The eleventh partial is between F and Fs, closer to the latter. (Just as 2:3:4 corresponds to the lling-in of an ascending octave with the larger interval positioned
lower CGC likewise 10:11:12 corresponds to the lling-in of a minor third
with the larger interval positioned lower. Since the minor third equals three halfsteps, the internal pitch is somewhere between 112 and 2 half-steps higher than E,
audibly a pitch in the crack between F and Fs.)
25 Wie sich der siebente Ton in harter Leiter und der siebente erhhte Ton in weicher
Leiter zum ersten oder achten verhlt, so verhlt sich der vierte erhhte zum
fnften. Da man mit dem fnften Ton einen, wo nicht vlligen, doch einsweiligen Schlu bewirken knne, ist . . . erwiesen und durch die Beispiele . . . bestttigt
worden. Wenn man aber den vierten Ton in der harmonischen Fortschreitung, das
1/11 . . . untersucht, so ist es zur F-Leiter mehr h als b, zur C-Leiter mehr s als f;
folglich darf der vierte Ton, auch auer der Analogie mit dem siebenten, erhhet
werden. Vogler, Handbuch zur Harmonielehre (1802), p. 47.
26 Der Schlufall vom zweiten in den fnften Ton ndet nur in weicher Tonart
statt . . .; da hingegen in der harten Tonart, sobald man dem zweiten Tone seine
grose Dritte beilegen wollte, er nicht mehr der zweite sondern ganz bestimmt
der fnfte von einem andern Tone wre, z. B.:
a
f
D
II von C
a
s
D
V von G. Vogler, Handbuch zur Harmonielehre (1802), p. 48.
27 Vogler, Handbuch zur Harmonielehre (1802), pp. 4850. By placing two rows of
analysis (II von A and VE) below the note names H-dis-f, Vogler appears
309
310
28
29
30
31
to be suggesting that a dominant may be altered so as to contain, in its second

inversion, an augmented sixth. (This would require the lowering of the second
scale degree from Fs to Fn.) Yet the music example to which Vogler directs his
readers shows only one analysis: II.
Momigny, La seule vraie thorie de la musique [1821], p. 10.
Ce fa# est en ut et non en sol, comme on le croit gnralement. Momigny, La
seule vraie thorie de la musique [1821], p. 51. Several decades later, Franz Joseph
Kunkel expressed strong opposition to such expansion: That such a theory
leads into the abyss is clearly apparent. According to such principles, then indeed
it would even have been unnecessary to deal with the various key systems and to
deduce again quite so many dierent seven-note scales from them. It would have
been much more straightforward, novel and indeed even ingenious to remove
all restraints and make available once and for all the twelve-note chromatic scale,
or even the enharmonic scale with seventeen notes, or perhaps ultimately the
entire brigade of . . . thirty-ve notes [Cbb, Cb, C, Cs, CS, Dbb, Db, . . .] to create
a veritable universal scale of tones as the basis for diatonic chords and powerfully
protruding melodic and harmonic pitch structures!! [Das eine solche Theorie
ins Bodenlose fhrte, ist leicht ersichtlich. Nach solchen Principien wre es aber
dann auch unnthig gewesen, sich mit den verschiedenen Tonartensystemen zu
befassen und daraus wieder eben so viele verschiedene siebentnige Tonleitern
zu deduciren; viel einfacher, neu und gewi auch genial wre es, ein fr allemal
die zwlftnige chromatische Tonreihe, oder auch die enharmonische mit ihren
17 Noten, oder gar endlich das ganze Regiment der oben frs Tonsystem
aufgestellten Fnfunddreiig, so eine wahrhaftige Universaltonleiter, als
Grundlage leitereigener Accorde und mchtig hervortretender, melodischer
und harmonischer Tongebilde ganz uneingeschrnkt zur Verfgung zu
stellen!!] See his Kritische Beleuchtung des C. F. Weitzmannschen
Harmoniesystems (Frankfurt am Main: Auarth, 1863), p. 14.
Momigny, La seule vraie thorie de la musique [1821], p. 75.
Quand la distinction entre la demi-modulation et la modulation entire est
douteuse, il est indirent dindiquer une autre tonique, ou dcrire avec des
parenthses; dans tous les cas, on choisit la manire qui parait tre le plus
simple. Jelensperger, Lharmonie au commencement du dix-neuvime sicle
(1830, 21833), p. 49 [Hser, pp. 4445]. In a curious about-face, Jelensperger
goes on to suggest that his parenthesis notation is merely an abbreviation of his
modulation-intensive version. For example, though he applies only the symbols
1
la
7)
3)
2)
to the music notation of 1.7, his textual commentary states that the true succession of chords (la vritable succession des accords) is actually
1
la
5
Do
2
la
5
mi
5
la.
32
33
34
35
36
37
38
39
40
41
Perhaps he was attempting to forge a compromise position between Webers and

Momignys perspectives. But his suggestion that the non-modulatory method
merely abbreviates the modulatory method is in fact traitorous to Momigny.
Neuere Theoretiker wollen Akkorde wie die bei a. x und b. x in [6.13a] nicht als
wirkliche ausweichende, sondern als leitereigene, alterirte Akkorde gelten lassen.
Warum? Weil das Gefhl der herrschenden Tonart durch solche eingeschobene
Akkorde nicht verdrngt werde . . . [The chord] erscheint hier gleichsam nur ein
wenig verkleidet . . . Lobe, Lehrbuch der musikalischen Komposition, vol. 1
(1850, 21858), pp. 242243.
The augmented sixth chord, often labeled as 2 or II during the nineteenth
century, is explored in chapter 7.
Ueberhaupt sind die Begrie von chromatischer Fortschreitung und wirklichem
Tonwechsel (Modulation) so durcheinander geworfen worden, dass sie nur sehr
schwer zu entwirren sind. Vor allem ist das Gebiet einer Tonart im weiteren Sinne
zu fassen als bisher. Man wird dann nicht nthig haben fortwhrend Uebergnge
zu konstatiren, wo nur chromatisch alterirte akkorde auftreten, und wird die
eigentliche Modulation fr jene Stellen aufsparen, wo sich eine zweite Tonart
wirklich selbstndig fr eine oder mehre Perioden oder Abschnitte geltend
macht. Schalk, Das Gesetz der Tonalitt, Bayreuther Bltter 11 (1888), p. 195.
Vogler, Handbuch zur Harmonielehre (1802), table VII, g. 2. The chapter titled
Mehrdeutigkeit appears on pp. 101110. Voglers fascination with multiple
meaning is evident throughout his writings. For example, in his early article
Summe der Harmonik he labels B-D-F-A not only as VII in C Major and as
II in A Minor, but also as IV in F Major. (Betrachtungen, vol. 3 (1780), table 2,
ex. 6.)
vol. 2, pp. 152154 [Warner, pp. 365368]. Janna Karen Saslaw explores Webers
perspective on multiple meaning in Gottfried Weber and the Concept of
Mehrdeutigkeit (1992).
In his Harmonielehre (1906), Schenker, a fervent adversary of the frequentmodulation stance, presents a complete majorminor system in which a major
triad resides on every pitch within the octave except the raised fourth. (See especially the chart on p. 395, unfortunately absent from the English translation.
dur
Note that D moll
was inadvertently omitted from the chart.) His presentation is
assessed (and the chart reproduced) by Matthew Brown in The Diatonic and
the Chromatic in Schenkers Theory of Harmonic Relations, Journal of Music
Theory 30/1 (1986), pp. 211.
Not everyone viewed this situation in a favorable light, of course, as Kunkels
denunciation, quoted in n. 29, above, demonstrates.
Halm, Harmonielehre (1900, 21925), p. 15.
Die Tonika ist der Knig der Tonart. Ibid., p. 104.
Prouts transitional dominants are akin to Swobodas leading dominants
(fhrende Dominante), discussed in chapter 5.
311
312
42 In Prouts system the leading-tone chord is regarded as a dominant derivative.

The symbol V7 often appears within parentheses below the symbol vii, though
not in this example. Prout explains: When derivatives are used as transitional
dominants, their harmonic origin is not given, in order not to complicate the
analysis too much. The student can easily nd it for himself (Analytical Key
[1903], p. 49). A similar pairing of V7 and vii (and also of V97 and vii7) is found
in P. J. Englers Handbuch der Harmonie (1825). See especially Englers examples
53, 55, and 58 (pp. 3335). See also 1.1.
43 Emulating Schenkers mature practice, I reject the potential tonic implications
of the Bb major chord on beat 3 of measure 6 and thereby assert greater continuity between the two phrases than Prout himself might have acknowledged. In
a Schenkerian perspective, soprano D at this point would be understood as a
passing note between Eb and C. It is made consonant through the insertion of a
5
chord on Bb, the subdominants upper fth. Compare with Schenker, Der freie
3
Satz (1935, 21956), Anhang, p. 24, ex. 561c [Oster, Supplement, ex. 561c]. See also
chapter 5, n. 2 (p. 303).
44 Callcott, A Musical Grammar (1806), p. 221. The Leading Tone to the Tonic
i.e. An to Bb likely would have been regarded as occurring in measure 6 by
Callcotts contemporaries. However, as mentioned in n. 43, at least one analyst
active around the time Prouts analysis was published Heinrich Schenker
would have regarded the decisive return to tonic as occurring in measure 8, not
measure 6.
45 Prout, Analytical Key [1903], p. iii.
7 Chromatic chords: diminished/augmented

1 Holden, An Essay towards a Rational System of Music (1770), p. 100.
2 Ibid.
3 Holdens work was published in Glasgow, and a later edition appeared around
the end of the century in Calcutta! Daniel Harrison cites John Callcotts A
Musical Grammar (London, 1806) as the rst treatise to use all three national
nicknames. See his Supplement to the Theory of Augmented-Sixth Chords
(1995), p. 181. That terminology was not adopted universally. For example, John
Stainer blandly numbers the chords 1, 2, and 3: At * Ex. 3 is chord No. 3
(A Theory of Harmony (1871), undated 8th edn., p. 104).
4 See Code de musique pratique (1760), plate 4 (ex. L2), plate 15 (ex. K8), and plate
18 (ex. N[1]). In contrast to this perspective Rameau suggested to dAlembert
that augmented sixth chords are beyond the authority of the fundamental bass.
A polemic ensued. See Jonathan W. Bernard, The Principle and the Elements:
Rameaus Controversy with dAlembert (1980), p. 53.
5 Marpurg, Historisch-kritische Beytrge, 5/2 (1761), pp. 162, 167168. For the
same reason Sechter employs the term hybrid-chord (Zwitteraccord) in Die
Grundstze der musikalischen Komposition (185354). See 7.5.
6 Sorge, Vorgemach der musicalischen Composition [174547], p. 21; part 3, table

XIV, gs. 69.
7 Chords of this disposition appear in 3.12.
8 Choron, Principes de composition des coles dItalie [1809], vol. 1, p. 16. A similar
chart from Reichas Cours de composition musicale [ca. 1816], p. 8, appears in
Christensen, The Cambridge History of Western Music Theory (2002), p. 586.
Renate Groth compares charts by Reicha, Colet, Elwart, Barbereau, and Durutte
in Die franzsische Kompositionslehre des 19. Jahrhunderts (1983), p. 43. For a
German exemplum, see Swoboda, Harmonielehre (1828), pp. 151153.
9 Will man nun vom weichen C, welches 3 b hat, ins harte A mit 3 s oder auch ins
weiche A, wobei doch das gis, als die grose Dritte des fnften Tones unentbehrlich ist: so darf nur der siebente Ton des weichen C, sich in den siebenten
Ton des weichen A verwandeln.
VII vom C
VII vom A
und dann kann
10
11
12
13
14
15
16
H
h
h
d
d
d
f
f
E
as
Gis
gis der beiden Tonarten
gemeine Schlufall ins A treten. Vogler, Tonwissenschaft und Tonse[t]zkunst

(1776), pp. 8283.
La clavier nayant que douze touches par octave, il ny a, physiquement, que
trois accords de septime diminue direns, chacun de ces accords prenant
quatre touches, et trois fois quatre faisant douze. Momigny, La seule vraie thorie
[1821], p. 98.
Ftis, Trait complet de la thorie et de la pratique de la harmonie [1844], p. 55.
The substitution principle enunciated by Ftis in his Trait is closely related to
that of Rameau and Holden, discussed above.
Ftiss restriction of resolution to a root-position dominant chord echoes
Holdens restriction in the context of augmented sixth chords in 7.1, measure 3.
Even the resolution in Progression 4 is a bit strained, in that the diminished fth
F
would more conventionally lead to ECs, rather than to GA.
B
Using a greater variety of resolution strategies than does Ftis, Swoboda shows
resolutions from a single diminished seventh chord to all twenty-four major and
minor keys. For example, Gs-B-D-F may resolve conventionally to A-C(s)-E; or
with a common tone to Ab-C(b)-Eb; or via Gs-Bs-Ds-Fs to Cs-E(s)-Gs; or via
G-B-D-F to C-E(b)-G. Utilizing these resolution strategies for the various enharmonic respellings of Gs-B-D-F, all the other keys are covered. See his
Harmonielehre (1828), tab. V (between pp. 102 and 103).
The manuscript of a Prlude omnitonique by Liszt surfaced in London in
1904, but its current whereabouts is unknown. See E. Pernyi, Liszt: The Artist As
Romantic Hero (Boston: Little, Brown, 1974), p. 321.
During Act One Ds is a member of the tonic chord from the outset, sustaining an
Eb from the chord that precedes the Largo. The conventional B minor/D major
connection of the Overture thus mutates into B major/D major during Act One.
313
314
17 In the connection between D major and D minor, Weber employs a deformed

omnibus reminiscent of the one we encountered in Beethovens String Quartet
Eb E F Fs
in C Major [5.17a, b]. Its normative state proceeds D
whereas Webers
Fs F E EbD
D Ds EF
score reads Fs F E D. Beethoven modifies its first chord, whereas Weber modifies
its last chord. Both Beethoven and Weber omit the next-to-last chord. Weber
incorporates the seventh C only in its second and third chords.
18 With this third diminished seventh chord, all twelve pitch classes have now been
employed in a diminished seventh context.
19 Um entferntere Ausweichungen zu bestimmen, mu man Vortheile suchen,
welche die verminderten Siebente . . . leisten.
denn
wie
Gis
h
d
f
kann dem Gehre vorkommen
ab
H
d
f
gis
h
d
Eis
as
ces
D
f
Sie sind die nmliche Grie auf der Orgel, und doch knnte
Gis der siebente Ton vom weichen
A sein
H
C
Eis
Fis
D
Es
Vogler, Tonwissenschaft und Tonse[t]zkunst (1776), p. 81.
20 Marx uses the same verb to characterize a progression from Beethoven String
Quartet in C Major, discussed in Chapter 5. (See p. 134, above.)
21 Edward Aldwell and Carl Schachter adopt this viewpoint in their analysis of
Schuberts Der Wegweiser (Winterreise, no. 20), measures 55 through 67. See
their Harmony & Voice Leading (32003), pp. 579581. The song was written about
four years after Euryanthe. Schubert was on close terms with Weber during the
Vienna premiere of the opera. Elmar Seidel correlates this passage from Der
Wegweiser and a diminished seventh prolonging progression dubbed the
Teufelsmhle (Devils Mill) that Frster introduces in his Anleitung zum GeneralBass [1805]. See Seidels ber den Zusammenhang zwischen der sogennanten
Teufelsmhle und dem 2. Modus mit begrenzter Transponierbarkeit in Liszts
Harmonik in Liszt-Studien 2: Kongrebericht Eisenstadt 1978 (Munich:
Katzbichler, 1981), pp. 173, 182.
22 In some other examples Vogler pursues a chord-to-chord assessment. See, for
example, Handbuch zur Harmonielehre (1802), table V, g. 1m.
23 The term Italian sixth was current in the eighteenth century: we observed
Holden using it earlier in this chapter. In his Musical Grammar (1806), Callcott
coins the label French assuming that congurations invention by Rameau,
while German acknowledges eective use of that version by Graun.
24 Marx critiques the term bermssige Sext-Akkord in Die alte Musiklehre im
Streit mit unserer Zeit (1841), p. 126 (fn.). The chapter of Dehns Harmonielehre
(1840) that he condemns is titled Ueber die Behandlung der drei bermssigen
25
26
27
28
29
30
31
32
33
34
Sextenakkorde (pp. 216222). Hermann S. Saroni, whose English translation

of a part of Marxs Die Lehre von der musikalischen Komposition appeared in New
York as Theory and Practice of Musical Composition around 1851, renders bermssig as superuous, a term that fortunately did not persist for long in
American music pedagogy.
Marx, Lehre von der musikalischen Komposition (183747) [Saroni, p. 261].
Hardly new: Marpurg labels the chord verminderte verminderte nearly a
century earlier. (See p. 168, above.) In his Exposition lmentaire de lharmonie
[1807], Rey discusses the same chord under the caption Emploi de lAccord de
Quinte et Tierce diminues (p. 49).
Aber dieser Name ist nicht blos berssig, er ist auch unsystematisch, irreleitend und unzulnglich. Riemann added this language to Marxs Lehre von der
musikalischen Komposition when preparing a posthumous edition (1887, vol. 1,
p. 320).
vol. 1, table 8 (opposite p. 255), ex. 123 [Warner, p. 210].
The dominant chord is a phenomenon of scale degree 5 (e.g., G-B-D-F in C Major)
that composers replicate on the second scale degree (among others) to create what
is now often called anapplied orsecondary dominant (e.g., D-Fs-A-C). Marxs
lowering of the chordal fth (G-B-Db-F) can be extended to this applied chord,
resulting in D-Fs-Ab-C, our French augmented sixth. Webers principal derivation, in contrast, raises the supertonics third: D-F-Ab-C in C Minor becomes DFs-Ab-C. A careful reading of Webers Versuch (particularly Sections 94 and 202 of
the 3rd edn.) reveals that he permits alternative derivations: B-Ds-F-A could result
either from elevating the third of B-D-F-A (supertonic when A is tonic) or from
depressing the fth of B-Ds-Fs-A (dominant when E is tonic). In Singers
Metaphysische Blicke in die Tonwelt (1847), cited in chapter 1, n. 18, either
Hilfsharmonie may be modied to create an augmented sixth chord: for example,
Db-F-G-B may be derived either from G-B-D-F, the I. Hilfsharmonie in C Major
or C Minor, or from Bb-D(b)-F-G, the II. Hilfsharmonie in F Major or F Minor.
Saronis nineteenth-century English terms are employed here. Marx, Lehre von
der musikalischen Komposition (183747) [Saroni, pp. 258, 261].
The modied dominant of measure 204 occurs during the coda. It is preceded
by conventional dominants in measures 188 (the structural close) and 196 and
followed by conventional dominants in measures 208, 212, 214, and 216.
I plead guilty as well: Listen and Sing (New York: Schirmer, 1995), pp. 623624.
The notes in the rst half of measure 90 do not form a Vorhalt because the Eb to
which Fb resolves is present in the chord. Rejected as a chord component, Fb
instead performs a melodic role, connecting F and Eb.
We encountered the term Trugfortschreitung in Siegfried Dehns analysis of
Beethoven. See p. 134, above.
During the rst statement of this material (measure 63) Eb, G, Bb, and Db do
share a moment of time: half a beat.
315
316
35 Weitzmann, Der verminderte Septimen-Akkord (1854), p. 24.

36 A detailed consideration of the Neapolitan chord appears in chapter 8.
37 Einem consonirenden Accorde kann jeder andere consonirende Accord folgen.
Weitzmann, Harmoniesystem [1860], p. 19 (emphasis in the original).
38 Another funereal piece, the Marcia funbre sulla morte dun eroe from
Beethovens Sonata in Ab Major (op. 26), proceeds, like Funrailles, from Ab
through Cb (Bn) to Ebb (Dn). I discuss this work and its impact on Liszt in
Liszts Composition Lessons from Beethoven (Florence, 183839): Il
penseroso, Journal of the American Liszt Society 28 (1990), pp. 319.
Weitzmann oers brief comments on the march in Die neue Harmonielehre im
Streit mit der alten (1861), his response to critics of his Harmoniesystem. He
asserts that without the notion of enharmonic equivalence one would have to
regard the movement as beginning in Ab Minor but ending in Bbbb Minor
(pp. 2728).
39 n. 14 of this chapter describes several other novel treatments of the chord.
8 Chromatic chords: major and minor

1 Rosen, The Romantic Generation (1995), pp. 535536.
2 An early formulation of the concept of accented passing notes appears in
Marpurgs Handbuch bey dem Generalbasse und der Composition (175558),
vol. 2, pp. 8386. Marpurgs term for this phenomenon is Wechselgang.
3 Sechters diatonic progression likely derives from the opening measures of an
example in Rameaus Traite de lharmonie (1722), p. 195 [Gossett, p. 216], discussed by Cecil Powell Grant in The Real Relationship between Kirnbergers
and Rameaus Concept of the Fundamental Bass, Journal of Music Theory 21/2
(1977), pp. 324338.
4 In his discussion of these progressions in Viennese Harmonic Theory from
Albrechtsberger to Schenker and Schoenberg (1985, pp. 5657), Robert Wason
calls F-Ab-Db the Neapolitan. Sechter, in contrast, speaks of the pitch Db being
held up (aufhalten) and in need of resolution (Ausung). A subdominant is
understood to have occurred even if by the time its C arrives, its F and Ab have
departed. Compare with 8.2.
5 In the succession from the seventh to the eighth chord of 6.1 Lampe averts
similar commotion A-C-E to As-Cs-Fs by employing A-Cs-E rather than E
Minors diatonic A-C-E.
6 Mattheson, Exemplarische Organisten-Probe (1719), part 1, pp. 1920. See also
the article Modus Musicus in Walthers Musicalisches Lexicon (1732), p. 415
and table XVIII, g. 1, and Riepels Baschlssel (1786), p. 62. Walthers categorization of diatonic and chromatic pitches in both major and minor keys diers
somewhat from Matthesons. It is reprinted in Lester, Compositional Theory in
the Eighteenth Century (1992), p. 86. Philipp Joseph Frick employs the symbols
2n, 2b, and 2bb (the accidental varying according to the key) for the lowered
7
8
9
10
11
12
13
14
15
16
17
18
19
20
second scale degree in minor keys in A Treatise on Thorough Bass ([1786],

pp. 1215). In major keys the pitch between 1 and 2 is labeled 1n, 1, or 1.
Daube, Der musikalische Dilettant: Eine Abhandlung des Generalbasses (1770
71), p. 138.
Rameau, Code de musique pratique (1760), plate 27.
Quoique le rb ait ici son octacorde comme sil tait tonique du Ton de rb
majeur, il nest malgr cela que la seconde chromatique par bmol du ton dUt,
vu que ltablissement de ce ton dut le prcde et sassujetit tout le reste. Il en
est de mme de loctacorde uts si la sols fas mi rs uts qui nest pas en ut dise
mineur, mais en ut naturel majeur, par les mmes raisons. Prendre chaque octacorde de cet exemple pour une Gamme et un Ton direns, cest la mprise de
ceux qui nentendent rien au genre chromatique. Momigny, La seule vraie
thorie de la musique [1821], p. 79.
Weitzmann, Harmoniesystem [1860], p. 47, ex. 4.
la Sixte Mineure sur la quatrieme note du ton. Langl, Trait de la basse [ca.
1798], p. 226.
Crotch, Elements of Musical Composition (1812), p. 72. In a footnote Crotch
claims that the names for the augmented sixths and the Neapolitan sixth are
denominated after the nations which invented them (p. 71).
Lobe, Vereinfachte Harmonielehre [1861], p. 159.
In his Lehrbuch der musikalischen Komposition (1850, 21858, vol. 1, p. 241), Lobe
amplies Voglers perspective by listing several choices for a harmonic interpretation of the Neapolitan, as follows: B: 1; F: 4; d: 6; Es: 5; es: 5. He concurs with
Vogler that F: 4 is the best choice.
Vogler, Zwei und dreisig Prludien (1806), p. 10.
vol. 2, p. 213 [Warner, p. 430].
Voglers discussion of antipodes appears in Zwei und dreisig Prludien (1806),
pp. 3841. An assessment of antipodal relationships in music appears later in
this chapter, in the context of an excerpt from Wagners Lohengrin.
La Fondamentale de laccord de quinte mineure qui est le second degr de la
gamme en mode mineur, ne peut tre hausse, parce quune telle modication
introduirait un son tranger la tonalit; mais elle peut tre abaisse, et il en
rsulte une harmonie fort belle et trs-usite. Durutte, Esthtique musicale
(1855), pp. 108, 117.
Cest, proprement parler, un accord de quinte diminue sur la sus-tonique,
tat deux, dont on a baiss la sus-tonique dun demi-ton. Loquin, Notions lmentaires dharmonie moderne (1862), p. 35.
Mit anderen Worten: b-d-f ist nicht b-d-f, sondern h-d-f! Lobe, Vereinfachte
Harmonielehre [1861], p. 158. Lobe rejects a: 2 as analysis for either Bb-D-F
or B-Ds-Fs in A Minor. The former is instead F: 4; the latter is instead E: 5
[6.13]. Further discussion on this issue appears in his Lehrbuch der musikalischen Composition, vol. 1 (1850, 21858), pp. 242244, where he presents a narrow
317
318
21
22
23
24
25
26
27
denition of an altered chord: The distinguishing characteristic of an altered

chord is that it cannot be built exclusively from the diatonic pitches of any one key,
but must include a chromatically raised or lowered pitch. In other words, an
altered chord has its rightful place within a given key, though one of its pitches is
borrowed from another. [Das unterscheidende Merkmal eines alterirten
Akkordes ist, dass er in keiner Tonart aus durchaus leitereigenen Intervallen zu
bilden ist, sondern eines derselben chromatisch erhht oder erniedrigt werden
muss. Mit anderen Worten: Ein alterirter Akkord hat zwar seinen bestimmten Sitz
in einer bestimmten Tonart, aber ein Intervall davon ist einer anderen entlehnt.]
Macfarren, Six Lectures on Harmony (1867), pp. 106107.
Stainer, A Theory of Harmony (1871, 8n.d.), pp. 119120. The likely source for
Stainers dual-root derivation is Frederick Arthur Gore Ouseleys A Treatise on
Harmony (1868), p. 163.
In his earlier Notions lmentaires dharmonie moderne (1862), p. 4, Loquin had
juxtaposed lists of Sept fonctions (Tonique, Sus-tonique, Mdiante, etc.), Douze
sons (one for each of the twelve positions within the octave), and Dix-sept degrs
(seven diatonic pitches plus ve pairs of dually-named pitches e.g., raised tonic
and lowered supertonic).
Sorge, Vorgemach der musicalischen Composition [174547], p. 50.
Kirnbergers ranking of the goal keys for direct modulation displays a subtlety
not found in earlier models such as that in David Kellners Treulicher Unterricht
im General-Ba (1732, p. 52), where all the keys that require the addition of a
sharp for the leading tone (d, e, G, and a) appear on the left side of a chart, followed by the key that requires the addition of a at for the fourth scale degree
(F). Johann David Heinichens two-tiered classication in Der General-Bass in
der Composition (1728) is consistent with Kirnbergers, though without his level
of variegation. (See p. 307, n. 6, above.) On the other hand, Kirnbergers ranking
of closely related keys exactly matches that in Sorges Vorgemach der musicalischen Composition [174547], p. 53. Sorge rejects Heinichens use of the term
extraordinary (auerordentlich) for F and d. In his view that term should be
reserved for keys such as c, g, Eb, Bb, f, and Ab.
For comparison, Kellners ordering (Treulicher Unterricht, p. 53) begins with
keys that require the addition of a sharp for the leading tone (A Minor to d, e,
and G), followed by the key that requires the addition of a at for the fourth scale
degree (F), followed by the key that requires no alteration (C). Heinichen sanctions ordinary modulations from A Minor to C Major and E Minor and extraordinary modulations from A Minor to D Minor and F Major. His classication
of the connection between A Minor and G Major is ambiguous: his textual commentary places it in the second category, but both the chart that corresponds
to that passage and a later Musical Circle place A Minor and G Major in
close alliance, thereby contrasting Kirnbergers view (Der General-Bass in der
28
29
30
31
32
33
34
35
36
Composition, 1728, pp. 761762, 837). Sorges ordering is apparently nothing

more than a descent of the scale: G, F, e, d, C. (See Vorgemach der musicalischen
Composition [174547], p. 55.)
Kirnberger, Die Kunst des reinen Satzes in der Musik (177179), vol. 1, pp. 106,
121133 [Beach and Thym, pp. 124, 138150].
[Beach and Thym, p. 139]. In Heinichens widely circulated circle of 1728, the
keys are arranged as follows (converting German H to B and B to Bb): CaGe
DbAfsEcsBgsFsdsCsbbGsfDscBbgFdC (Der GeneralBass in der Composition, 1728, p. 837). Sorge revises some of the spellings for
example, Ab (As) in place of Gs (Gis) and oers an alternative arrangement (a
CGebD. . .) in his Vorgemach der musicalischen Composition [174547],
part 1, table XXVI.
Daube, General-Ba in drey Accorden (1756), pp. 110181.
Momigny, Le seule vraie thorie de la musique [1821], p. 96.
Dun, On the Elements of Musical Harmony and Composition (The
Harmonicon, 1829, p. 212). Duns title refers to Frederick Schneiders
Elementarbuch der Harmonie und Tonse[t]zkunst, recently published in English
translation, which the article attacks. Borrowing from Reicha (Cours de composition musicale [ca. 1816], p. 53), Dun adopts the term strangled modulation
(modulation trangle) for abrupt and unpleasing writing in which the requisite number of intermediate chords is not introduced . . . and further, [in which]
these chords are not dwelt upon suciently, so as to reconcile the ear to the
change of key (p. 213). On the other hand, Franz Joseph Kunkel, in reviewing
Weitzmanns Harmoniesystem [1860], emphasizes what Weitzmann calls the
mystical connection (mystischen Zusammenhang) of distantly related keys
such as C Major to Fs Major (Kritische Beleuchtung des . . . Weitzmannschen
Harmoniesystems, 1863, p. 19).
As we have seen (pp. 153154, above), this perspective was championed by Lobe.
He argues against the non-modulatory stance as follows (Lehrbuch der
musikalischen Komposition, vol. 1, 21858, p. 244): In order to remain consistent,
one would have to say that every foreign chord that appears between two chords
within a key is no foreign chord, but an altered chord within the key, regardless
of what other keys it in fact may be found in. [Um konsequent zu bleiben,
msste man sagen: jeder fremde Akkord, der zwischen zwei leitereigenen
erscheint, ist kein fremder, sondern ein leitereigener, aber alterirter, er mag in so
viel anderen Tonleitern wirklich vorhanden sein als er kann.]
See pp. 151152, above.
See 8.8, where the keys are ranked in the context of C Major.
Choron, Principes de composition des coles dItalie [1809], vol. 1, p. 42. This succession fundamentally has little more reason to exist than in the case of a chord
on a major keys rst scale degree ascending to a seventh chord on its third scale
degree, as a means of leading to the relative minor key. [Cette succession na
319
320
37
38
39
40
41
42
43
44
45
46
47
gures lieu fondamentalement que lorsque la premire dun ton majeur monte
la troisime portant Accord de septime, pour passer au mode mineur relatif.]
Alternatively, the D minor chord could be regarded as a neighboring chord to
the A major chord, similar to the relationship explored by Jelensperger in 5.4 but
with A-D-F transformed from 64 into 53 position.
The introduction that precedes the period under consideration opens with a I6
chord in which A is featured prominently.
See p. 211, above.
Ah, was sind das fr khne Modulationen! So was knnte unsereinem im
Traume nicht einfallen!. Anselm Httenbrenner reporting to Franz Liszt from
Vienna, 1854. Quoted in Schubert: Die Erinnerungen seiner Freunde, ed. Otto
Erich Deutsch (Leipzig: Breitkopf & Hrtel, 1957), p. 207.
In David Lewins analysis, measure 11s bass Gs is interpreted as a neighbor
between the surrounding Ass, putting the cadential 64s arrival at measure 9. (This
concurs with Schenkers reading in Der freie Satz.) See Lewins Auf dem Flusse
in Nineteenth Century Music 6 (1982): 4759; reprinted in Walter Frischs
Schubert: Critical and Analytical Studies (Lincoln, Nebr.: University of Nebraska
Press, 1986, pp. 126152). Seyfrieds potent contemporary model suggests a
dierent reading [8.19], as does consideration of the motivic connection
between GAB and BAsGs, mentioned above. GsAsB (or GsAAsB)
gures prominently in the E-Major section of the song (see the bass in measures
2324, 2730, 3132, 3538), while BAG occurs several times after the return
to E Minor (see the bass in measures 5253, 6667, and 6869).
Allowing enharmonic reinterpretation, equivalent relationships occur between F
and Cb in Eb Minor and Gb Major, or between Es and B in Ds Minor and Fs Major.
Allowing enharmonic reinterpretation, equivalent relationships occur between
Cb and F in Bb Major and Bb Minor, or between Bn and Es in As Major and As
Minor.
In an intensely harmonic view the vocal C at beat 3 of measure 3 would be
regarded as a chordal thirteenth, giving way to the chordal fth at beat 4. From
a voice-leading perspective C functions as a suspension. Likewise the pitches at
the downbeat of measure 4 might be regarded as an inversion of a Gs-B-D-F
diminished seventh chord (still targeting A), or as suspended components of the
E7 chord clashing against the root F of the E chords successor.
In Wagners composition the E of this descent occurs only in the vocal melody.
The orchestra presents EDsD more emphatically in the following phrase
(measures 11 and 12).
The empty-parentheses notation in 8.24c and 8.24d is borrowed from Schenker.
Though the presentation of Fb as E avoids the obvious nuisance of writing and
reading music in a key with eight ats, Verdi may have smiled at the parallel with
the operas plot: Wurm is about to tell Miller that Carlo is actually Rodolfo,
courting Luisa under a false guise (sotto mendace aspetto). The same situation
prevails between E and Fb!
48 In den unter Beisp. 10 folgenden Akkordverbindungen wird sich der gemeinschaftliche Ton wohl eher als Bindemittel geeignet zeigen; immerhin aber behalten auch manche dieser Verbindungen von Akkorden, welche entfernten
Tonarten angehren, etwas Befremdliches, und die pltzliche Aufeinanderfolge
solcher Akkorde zeigt sich nicht immer zur Modulation geeignet. Jadassohn,
Die Kunst zu moduliren und zu prludiren (1890), p. 6.
49 Nineteenth-century compilations of parallel perfect intervals from the music literature can be found in Wilhelm Tapperts Das Verbot der Quinten-Parallelen
(Leipzig: Heinrich Matthes, 1869) and Johannes Brahmss Oktaven und Quinten,
ed. Schenker (Vienna: Universal Edition, 1933). In his Kritische Beleuchtung des
C. F. Weitzmannschen Harmoniesystems (Frankfurt am Main: Auarth, 1863,
p. 11), Franz Joseph Kunkel likens an occasional parallel fth to an otherwise
successful poem with here and there clumsy lines or false rhyme [ein sonst
gelungenes Gedicht mit hier und da hinkenden Versen oder falschem Reim].
50 Die alte Theorie, der strenge Styl mchte wohl ber diese Nichtachtung ihrer
beiden Grundverbote die Hnde ber dem Kopfe zusammenschlagen, die
Aesthetik aber kann triumphirend auf ihre Uebermacht ber die Theorie hinweisen, denn auch diese Stelle macht einen wundersam reizenden Eindruck.
Lobe, Vereinfachte Harmonielehre [1861], pp. 175176.
51 In the chapter on Italian opera in The Age of Beethoven: 17901830 (The New
Oxford History of Music, vol. 8, ed. Gerald Abraham), Winton Dean relates that
Bellini had used the semitone shift in plunging from the chord of B at into B
major during Imogenes Act I cavatina [Il pirata (1827)]. Though not unprecedented (it occurs in Spontini and for comic eect in Cimarosa and Mayr), it is
not characteristic of Rossini, but was to become a favourite pattern for a strong
dramatic gesture throughout Italian romantic opera (pp. 440441).
321
Agmon, E., Functional Harmony Revisited: A Prototype-Theoretic Approach,

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Aldwell, E. and Schachter, C., Harmony and Voice Leading, 3rd edn., Belmont, Cal.:
Schirmer/Thomson Learning, 2003
Baker, N. K., Der Ursto der Musik: Implications for Harmony and Melody in the
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327
Index
Abraham, G., 306

accord de la grande sixte, 10, 2223, 167, 243,
288
Albrechtsberger, J. G., 5860, 220, 244, 271,
279, 297
Aldwell, E., 314
dAlembert, J., 36, 244245, 247, 265, 271, 274,
307, 312
Andr, J. A., 2223, 245, 292
anticipation, 32, 40
antipode, 207, 224, 317
Antoniotto, G., 68, 245246
Arabic-numeral analysis, 3, 4, 5, 7, 20
Asioli, B., 99, 246
augmented sixth chords, 6, 8, 14, 24, 93, 137,
166171, 185190, 203, 298, 306, 310,
312, 314, 314315, 315, 317
Bach, C. P. E., 200, 246
Bach, J. S., 2
Banister, H. C., 292
basse fondamentale, 2, 4, 2123, 101, 168, 270
Beethoven, L. v.
Coriolan Overture (op. 62), 49
Fidelio (op. 72), 7879
Piano Sonata in A Major (op. 26), 316
Piano Sonata in C Major (op. 2, no. 3), 64
Piano Sonata in C Major (Waldstein, op. 53),
235236
Piano Sonata in C Minor (op. 10, no. 1),
4041, 194
Piano Sonata in C Minor (Pathtique, op.
13), 36, 4649
Piano Sonata in D Major (op. 10, no. 3), 45,
294
Piano Sonata in F Major (op. 10, no. 2) ,
121122
String Quartet in A Major (op. 18, no. 5),
115119
String Quartet in C Major (op. 59, no. 3),
132138, 177, 197, 239, 306, 314
Symphony No. 5 in C Minor (op. 67), 3536
Symphony No. 6 in F Major (Pastorale, op.
68), 55
Berlioz, H.
Symphonie fantastique, 4957, 296
Berton, H.-M., 6669, 74, 76, 87, 205, 247
Bthizy, J. L. de, 22, 34, 68, 247
Blumrder, C. v., 306
Bordier, L.-C., 3, 247
Brahms, J., 321
Variations on a Theme by Hndel (op. 24),
163
Burnham, S., 293
cadence, 6
compltive ou confirmative (confirmative),
94, 98
double, 98, 206
half, 146, 187
irrguliere (irregular, imperfect), 2223, 95,
98, 270
parfaite (perfect, final), 68, 95, 98, 98, 270
Phrygian, 146147
plagal, 146147
rompu (broken, deceptive), 62, 101, 226
Callcott, J., 162, 248, 312, 314
Catel, C.-S., 6971, 171, 199, 248, 273, 296
Chaluz de Vernevil, F. T. A., 1315, 16, 27, 282
Chopin, F.
tude in E Minor (op. 25, no. 5), 4042
Mazurka in A Minor (op. 7, no. 2), 157160
Mazurka in C Minor (op. 56, no. 3),
187189
Mazurka in Cs Minor (op. 30, no. 4), 7075
Prelude in Db Major (op. 28, no. 15),
164165
chord or triad
augmented, 8, 191, 225, 227
cadential 64, 14, 31, 4245, 94, 187, 188, 206,
284, 294, 296
diminished, 1720, 26, 288, 291
diminished diminished, 168, 315
inversion, 1, 3, 287
major diminished, 168
manca, 169
minor, 291, 293
ninth, 54, 7273, 102
Index
passing, 113122, 124125, 304

perfect, 1, 12, 141, 270, 288
pivot, 143, 156, 161
root (fundamental), 1724, 293
Zwitteraccord, 171, 312
see also augmented sixth chords, diminished
seventh chords, Phrygian II chord
chord elegantiores, 204
chord of the added sixth see accord de la grande
sixte
Choron, A.-., 170171, 215, 248249, 253
Christensen, T., 289, 291292, 307
chromaticism, 4, 67, 81, 112, 139156,
166172, 187190, 213, 242, 310, 316
Clementi, M.
Piano Sonata in D Minor (op. 43, no. 3),
124, 304
Colet, R. H., 249, 298, 313
Cone, E. T., 295296
Crotch, W., 7, 6265, 88, 100, 156157, 206,
249, 307, 317
Czerny, C., 123126, 250
Dahlhaus, C., 24, 86
Daube, J. F., 911, 16, 60, 142144, 204, 211,
250251, 279, 282, 299, 306307
Day, A., 24, 16263, 199, 251, 265, 269, 292
Dean, W., 321
Dehn, S., 23, 132138, 185, 251252, 257, 266,
285, 305306, 306, 314315, 315
diminished seventh chords, 6, 12, 1820,
7173, 124, 126, 132134, 136, 137,
148149, 166184, 190, 190197, 203,
206, 291, 306, 308, 312, 313, 314
dissonance
essential and incidental, 19, 32, 3739,
4345, 102, 259260, 294
unauthentic, 39, 102
dominant, leading, 130, 137, 162, 165, 172,
227, 304, 315
double emploi, 23, 26, 38, 160, 243, 271, 301
Dun, F., 212213, 252, 262, 276, 319
Drrnberger, J. A., 24, 252
Durutte, F. C. A., 120121, 168, 207208, 252,
288, 313
Ebner, J. L., 4849
Engler, P. J., 187188, 253, 312
enharmonicism, 68, 76, 81, 172184, 191, 196,
205, 310, 316, 320
Ftis, F.-J., 4957, 172176, 180181, 190, 196,
240, 249, 253254, 271, 295296,
296297, 313
figured bass see thoroughbass

Frster, E. A., 23, 206, 254, 314
Frick, P. J., 254, 316317
function theory see Funktionstheorie
Funktionstheorie, 916, 9093
Gianotti, P., 3435, 39, 254255
Grant, C. P., 316
Groth, R., 313
Grundharmonie; Stammakkord, 3, 1214,
1617, 21, 2728, 42, 4345, 9093, 98,
169
Halm, A., 2122, 158160, 241, 255
Hndel, G. F., 220
Alexanders Feast, 145147
Harbordt, G., 5960, 62, 255, 268, 290
Harrison, D., 291, 300, 312
Hasel, J., 183, 197, 255256
Hauptmann, M., 1034, 256, 257258,
275
Heinichen, J. D., 256257, 259, 307, 318,
319
Hentschel, E. J., 257, 299300
Holden, J., 4, 149150, 153, 166167, 171, 257,
262, 308, 312, 313
Httenbrenner, A., 220
intervalles attractifs, 5052, 55
Jadassohn, S., 8, 104, 147148, 16263, 199,
234, 256, 257258, 275, 308
Jelensperger, D., 79, 8892, 100, 119, 120, 121,
126128, 152153, 207, 211212,
213218, 249, 252, 254, 258, 263, 304,
310311, 320
Keller, G., 6061, 259, 298
Kellner, D., 259, 318
Kinderman, W., 295
King, M. P., 259, 290
Kirnberger, J. P., 1, 1819, 2930, 32, 4546,
6668, 72, 9798, 102, 105, 114115, 117,
150, 210212, 248, 259260, 260261,
261, 265, 267, 277278, 281, 278, 294, 296,
304, 318, 319
Knecht, J. H., 6, 110111, 188190, 260
Koch, H. C., 7, 11, 4346, 94, 106112,
113114, 143145, 240, 251, 260261,
273, 291, 294, 307, 308
Kollmann, A. F. C., 102103, 259, 261262
Korsyn, K., 305
Kunkel, F. J., 262, 310, 319, 321
329
330
Index
Lampe, J. F., 12, 4, 1617, 20, 26, 80, 9697,

104105, 139141, 143, 149150, 156,
204, 241, 257, 262263, 287, 288, 290, 291,
308, 316
Langl, H. F. M., 6971, 7579, 8083, 205, 263
Lester, J., 287, 306307, 316
Lewin, D., 305, 320
Lingke, G. F., 68, 263
Liszt, F.
Annes de Plerinage, Deuxime Anne,
7075
Funrailles, 190197, 316
Prlude omnitonique, 313
Rminiscences de Don Juan, 198200
Lobe, J. C., 7, 20,4042, 4546, 115118,
121122, 123126, 153155, 16263, 177,
191, 194, 206, 208, 215217, 219,
234236, 258, 263264, 293, 294, 308,
317, 317318, 319
Loquin, A., 208209, 264, 318
Louis, R., 6770, 115116, 123, 162163,
228229, 242, 264265
Macfarren, G. A., 2429, 72, 208, 251, 265, 292
Marpurg, F. W., 22, 36, 68, 113114, 117,
168169, 244, 244245, 261, 265266,
271, 274, 280, 306307, 316
Martini, G. B., 16
Marx, A. B., 134, 185190, 251252, 257, 266,
314, 314315, 315
Mattheson, J., 204, 266, 316
Mehrdeutigkeit, 17, 119, 136, 143, 155161,
16264, 240, 306, 311
Mendelssohn, F., 292
Song without Words in D Major (op. 102,
no. 2), 1718
Wedding March from A Midsummer Nights
Dream, 2430
modulation, 139165, 207, 209213, 213219,
220223, 225226, 307, 308, 318, 319
Momigny, J.-J. de, 12, 16, 60, 72, 8586, 94,
9899, 151152, 156, 205, 211213, 214,
219, 234235, 253, 267, 311
Mozart, W. A.
Don Giovanni (K. 527), 118, 198200
String Quartet in C Major (K. 465), 54
Mozartean fifths, 186
multiple meaning see Mehrdeutigkeit
natural bass see basse fondamentale
Neapolitan sixth see Phrygian II chord
neighboring note, 32, 4042, 46, 119121
Newbould, B., 49
omnibus, 134136, 239, 306, 314

ordre
omnitonic, 176, 313
pluritonic, 174
transitonic, 174
unitonic, 174
Ouseley, F. A. G., 251, 267268, 280, 318
Paesiello, G.
Cavatina, Nel cor pi non mi sento, 15
parallel fifths and octaves, 60, 81, 124, 186,
234235, 302, 321
passing note, 32, 4042, 46, 113122, 316
pedal point, 55, 56, 199
Phrygian II chord (Neapolitan sixth), 193196,
198209, 224, 316, 317
Portmann, J. G., 67, 1214, 16, 2022, 28, 31,
58, 59, 9093, 94, 98, 130131, 251,
255, 268, 290, 291, 292, 297, 300301, 302,
309
progression
geometric, 10
harmonic, 85112
parallel, 5865, 75, 298
sequential, 6584, 105, 191197, 205206,
298
triple, 288289, 309
Prout, E., 160165, 251, 268269, 291, 312
Rameau, J.-P., 1, 9, 10, 16, 2223, 26, 3136, 39,
42, 46, 6162, 67, 68, 85, 9496, 101105,
115, 139143, 166168, 195, 204, 243,
244, 244245, 247, 247, 250, 254255,
257, 259, 259260, 261, 262, 265, 268,
269271, 271, 273, 274, 278, 278, 287,
288, 288289, 291, 291292, 293, 298,
300, 301, 306307, 307, 309, 312, 313, 314,
316
Reicha, A.-J., 5657, 6265, 7778, 115117,
119, 120121, 145147, 152, 249, 252,
254, 258, 271, 296297, 313, 319
Rey, J.-B., 2122, 271, 315
Richter, E. F., 78, 123126, 257258, 272,
275
Riemann, H., 1416, 90, 256, 260, 266,
272273, 275, 290291, 291, 293, 315
Riepel, J., 273, 289290, 302, 316
Roman-numeral analysis, 1, 34, 6, 7
Rosen, C., 198200
Rossini, G.
Guillaume Tell, 213219, 235
Soires musicales, 54
Roussier, P.-J., 3, 273
Index
sacr quaternaire, 98
Saroni, H. S., 315
Saslaw, J., 308
Savard, A., 115116, 157, 273
scale-step theory see Stufentheorie
Schachter, C., 314
Schalk, J., 155, 274
Scheibe, J. A., 128130, 274
Schenker, H., 46, 73, 8586, 105, 123, 162,
164165, 217, 243, 246, 272, 274276,
295, 297298, 303, 308, 311, 312, 320
Schilling, G., 128129, 276
Schneider, F., 20, 252, 276, 319
Schoenberg, A., 164165, 276277, 279
Schrter, C. G., 23, 10, 277, 289, 301, 302
Schubert, F.
Auf dem Flusse (Winterreise), 219223, 320
Die Forelle, 4849
Das Grab, 238243
Aus Heliopolis II, 7984
Moment musical in Ab Major (op. 94, no. 6),
4649, 295
Quintet in A Major (Trout, op. 114),
106112
Der Wegweiser (Winterreise), 314
Schumann, R.
Neue Zeitschrift fr Musik, p. 50
Piano Sonata in Fs Major (op. 11), 6770
Schulz, J. A. P., 3839, 46, 114115, 117, 119,
122, 277278, 304
Sechter, S., 57, 62, 6567, 98, 99100, 103,
106108, 115117, 126128, 130, 134135,
171, 200203, 228229, 236237, 241, 255,
275, 276, 278279, 301, 312, 316
Seidel, E., 314
Seyfried, I. R. v., 220223, 244, 279, 320
Singer, P., 279, 289, 315
Sorge, G. A., 5, 85, 105, 115117, 210, 265266,
279280, 288, 291, 294, 318, 319
Stainer, J., 2529, 45, 208, 251, 280, 292, 294,
312, 318
Stammakkord see Grundharmonie
Stufentheorie, 2, 89, 9394
substitution, 166167, 198
supposition, 22, 270
suspension, 1819, 3136, 39, 4042, 48, 56,
293, 320
see also Vorhalt
Swoboda, A., 12, 130, 137, 140, 280, 290, 304,
313
Tappert, W., 186, 321
Telesco, P. J., 306
temperament, 66, 298, 301

Teufelsmhle (Devils Mill), 314
thoroughbass, 1, 4, 6, 168, 293, 298
Thuille, L., 6770, 115116, 123, 162163,
228229, 242, 265
Tiersch, O., 125126, 130, 281
tour de lharmonie, 7579
triad see chord
Trugfortschreitung, 134, 191, 306, 315
Trydell, J., 45, 262, 281
Trk, D. G., 217, 281
Vallotti, F. A., 282
Verdi, G.
Luisa Miller, 229237, 320
Macbeth, 236
Il Trovatore, 209
Vincent, H. J., 282, 288
Virus y Spnola, J. J. de, 1315, 16, 27,
282
Vogler, G. J., 56, 1617, 19, 6265, 105,
132134, 150152, 156158, 169170,
171, 173, 180, 182184, 200, 206207,
237, 240, 249, 252, 258, 260, 262263,
268, 272, 275, 276, 277, 280, 282283, 284,
288, 298, 301, 305, 309, 309310, 311, 314,
317
voice exchange, 117, 123124, 294
Vorhalt, 191196, 200, 228, 243, 315
see also suspension
Wagner, R.
Lohengrin, 223229
Walther, J. G., 283, 316
Wason, R., 306, 316
Weber, C. M. v.
Euryanthe, 177184, 197, 313, 314
Weber, F. D., 103, 115118, 283284
Weber, G., 78, 1112, 16, 17, 5859, 6265,
6668, 70, 74, 7779, 87, 94, 130,
147149, 153, 156, 161, 171, 181183,
187, 190, 194, 207, 211, 249, 251, 252, 253,
258, 272, 276, 282, 284, 285, 291, 305,
307308, 308, 311, 315
Weitzmann, C. F., 190197, 206, 234236, 243,
262, 264, 284285, 316, 319, 321
Werckmeister, A., 210, 285
Wittlich, G. E., 295
Wolf, E. W., 145147, 285286
Zarlino, G., 22, 101, 286
Zelter, C. F., 29, 257, 286
Zweideutigkeit, 151, 156, 278
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DAMSCHRODER David 2008 Thinking About Harmony Historical Perspectives On Analysis

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Thinking About Harmony

Focusing on music written in the period 180050, Thinking About

Thinking About Harmony

CAMBRIDGE UNIVERSITY PRESS

Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, So Paulo

Arabic and Roman numerals [1]

Rameau on suspensions [31]

3 Parallel and sequential progressions [58]

The artistic progression of harmonic triads [85]

Passing note, passing chord [113]

6 Modulation to closely related keys [139]

Diminished seventh chords in Webers Euryanthe [177]

8 Chromatic chords: major and minor [198]

Biographies of music theorists [244]

Conventions regarding note relations, chords, keys, and Roman numerals

Arabic and Roman numerals

Thinking About Harmony

1.2a Schrter: Deutliche Anweisung zum General-Ba (1772), p. 191.

1.2c Dehn: Theoretisch-praktische Harmonielehre (1840), table 1 (adjacent to p. 106).

Thinking About Harmony

1.2d Drrnberger: Elementar-Lehrbuch der Harmonie- und Generalba-Lehre (1841),

the importance of dierentiating between 53 and 63 sonorities that share the

In his Compendium harmonicum (1760) Sorge employs the terms

Thinking About Harmony

Tonwissenschaft und Tonse[t]zkunst (1776): denn betrachtet man den

(B, D, F, and root Gs in A Minor).11 A Roman-numeral label appears below

Thinking About Harmony

1.7 Jelensperger: Lharmonie au commencement du dix-neuvime sicle (1830, 21833),

Harmonic analysis organized with reference to scale steps (the

France.) The gradual extension of the Stufentheorie perspective how it

Daubes three chords and the emergence of a function theory

Thinking About Harmony

1.8 Rameau: Gnration harmonique (1737), ex. X.

closely allied to some of Rameaus thoughts on chord progression, though

Koch espouses a similar perspective, though without the numerical

Thinking About Harmony

1.10 Momigny: Entry Ton in Framerys Encyclopdie mthodique, vol. 2 (1818),

Each structures dissonant side extends as far as the thirteenth, though

Thinking About Harmony

published) and F. T. Alphonso Chaluz de Vernevil (who brought the work to

Thinking About Harmony

(though sometimes dubious) foundational underpinnings and an array of

number of basic entities seven roots, some occasionally modied

Thinking About Harmony

1.14b Vogler: Handbuch zur Harmonielehre (1802), table IV, ex. l.

In a related conception, Kirnberger in Berlin juxtaposes the absent root and

Thinking About Harmony

1.15 Lobe: Lehrbuch der musikalischen Komposition, vol. 1 (1850, 21858),

Concerning B-D-F-A, Lobe presents a nuanced reading that takes context

1.16d Halm: Harmonielehre (1900, 21925), plate XI, ex. 30a.

an incomplete dominant ninth chord in a minor key [E-Gs-B-D-F], from

Thinking About Harmony

D-F-(A)-C contains no diminished interval [1.16b, c]. The analysis hinges

1.17 Rameau: Trait de lharmonie (1722), p. 278 [Gossett, p. 296].

1.18 Rameau: Trait de lharmonie (1722), p. 65 [Gossett, p. 74].

Thinking About Harmony

is employed: 1 for major, 2 for minor, 3 for diminished, 4 for augmented, 5

Mendelssohns Wedding March and British harmonic theory

The chord progression that opens Mendelssohns Wedding March [1.19]

Thinking About Harmony

longer around to protest, or even to display a chilly countenance. The 6s

Both of these stacked-thirds congurations contain the same seven pitch