Schoenberg On Tonal Function

Schoenberg on Tonal Function
5/15/09 11:41 PM
UFPr Arts Department

Electronic Musicological Review
Vol. 2.1/October 1997
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SCHOENBERG ON TONAL FUNCTION

Norton Dudeque
Introduction
This essay discusses the notion of tonal function in schoenbergian theory.
Related to this subject are the concepts of transference of function by
imitation of a tonal model, transformation of chords, and a special category of
chords, the vagrant chords, which are the best examples of multiple meaning,
i. e., multiple function.
Tonal Function - General Concepts
Rarely found in harmony text books, the entry "tonal function" is subject of
many discussions. The texts by Arnold Schoenberg are no exception. Barely
treated in his "theoretical oeuvre", the notion of tonal function for
Schoenberg, is the subject of this essay. Before we proceed to Schoenberg's
concepts on this subject, it is necessary to make some general considerations
about tonal function.
The term "tonal function," normally employed in the sense of "harmonic
function," is far from being clearly defined and its use has been vague.
Basically, function means harmonic meaning or action, and both terms heve
been used differently (1). For example, harmonic meaning or tonal function
might be used as a scalar degree and its variations, used as a root of different
chords (2); or even it can be associated to tendencies of individual pitches of
a chord (3).
The most frequent use of the term function has been that of relating the
harmonic meaning of an element capable of expressing a tonality with a tonal
center, a tonic. The main question here concerns the identification of these
elements and the way that they express a tonality.
Generally, two distinct but complementary theories have been dealing with
the subject of tonal function. The first refers to the traditional theory of the
fundamental bass, an heritage of the XVIIIth and XIXth centuries theories,
which considers chords reductions to its root position. These chords roots are
marked with Roman numerals and they are related in this way to a tonic. The
second, Hugo Riemann's "functional theory," tries to reduce all chords
functions of a tonality to three main functions: T, S, D. The distinction
between both theories has been presented in the following manner: the first,
being melodic, for it considers degrees of a scale to define tonal function; the
second, harmonic by considering chords to define it (4).
http://www.rem.ufpr.br/REMv2.1/vol2.1/Schoenberg/Schoenberg_on_Tonal.html
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Schoenberg's notion of tonal function, as discussed below, comprises both

trends, and can be considered a complete theory on the subject. Firstly, he
considers melodic elements as capable of expressing a tonal function;
secondly, he introduces the concept of transference of function of a chord to
another chord, implying that a chord has a tonal function, not depending on
any specific pitch, such as the root, to express a function; and thirdly,
introducing the concept of multiple meaning, the function of a chord is
always established depending on its context.
Tonal Function for Schoenberg
In schoenbergian theory, tonal function depends on the relationship among
the elements which express a tonality. For example, there is no function in a
succession of chords that does not express a tonality. In this way, Schoenberg
distinguishes a progression of chords from a succession of chords. The former
expresses a tonality, either by establishing it or by contradicting it, while a
succession, does not express a tonality satisfactorily:
A succession is aimless; a progression aims for a definite goal...A progression
has the function of establishing or contradicting a tonality. The combination of
harmonies of which a progression consists depends on its purpose - whether it is
establishment, modulation, transition, contrast, or reaffirmation. A succession of
chords may be functionless, neither expressing an unmistakable tonality nor
requiring a definite continuation. (5)
In a general sense, tonal function for Schoenberg presents two aspects: one of
a specific character and the other of a general character. The first is
concerned with specific elements which express a tonality, that is, individual
pitches and chords. These specific elements do not acquire the functional
character by themselves, but they depend on the context where they are used
and they will have its specific tonal function established by its relationship
with other elements present in the same context, thus, this function is
indeterminate. Schoenberg explains that "any given chord can have diverse
functions, corresponding to its various tendencies, hence, that it is not
unequivocal, and that its meaning is established only by its environment"(6).
The general function refers to tonal functions that express a tonality by
affirming or contradicting it through the specific elements. These are: the
centripetal function, which establishes a tonality; and a centrifugal function,
which contradicts a tonality: "the centripetal function of progressions is
exerted by stopping centrifugal tendencies, i. e., by establishing a tonality
through the conquest of its contradictory elements" (7).
The concept of tonal function for Schoenberg is related to the expression of a
tonality. Many theoreticians have not considered in depth the complexity of
this concept. Schoenberg's idea of tonal function is based on the principle that
a tonal work presents its tonal function, specific and general, related to a
central tonality of the whole work represented by the principle of
monotonality. According to this principle "every digression from the tonic is
considered to be still within the tonality whether directly or indirectly, closely
or remotely related...There is only one tonality in a piece" (8). Therefore,
tonality is defined as "a network of functions, defined by scale degrees, each
related to a single tonal center in a specific way. That relation gives to each
pitch, chord, key area, to each event, its particular function" (9).
Basically, tonality and tonal function are well summarized by Patricia
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Carpenter:
Tonality for Schoenberg is not merely a certain collection of pitches of a scale,
but more importantly, a kind of centricity. All pitches of a key-collection are
related to a single tonal center, each in a specific way. The function of a single
tone is signified by the degree of the scale it represents. The function of a chord
depends upon its root, which is, in turn, the scalar degree upon which the chord
is constructed. Tonality, then, is a set of functions of scalar degrees. (10)
The specific tonal function occurs in two elements: pitches and chords, each
of them being related to a tonal center. The function of a pitch is defined by
being a scalar degree related to a tonic of a tonality, or of a tonal region.
Chords have their function expressed through their root, which is also related
to a tonic. This relationship includes the notion of region which, in its turn,
relates a fragment of a tonality to a tonal center, as if it were a scalar degree
which includes the functions of chords and pitches. With these two elements,
Schoenberg relates any segment of tonal music to a tonic, regardless of the
degree of chromaticism or its degree of distance from the tonal center.
Schoenberg's most significant contribution to the function theory is his
concept of monotonality and regions, expressed by the procedures of
substitution and neutralization, which express a tonal unity in a piece of
chromatic music. Through the principle of monotonality and the concept of
regions, one can relate to a tonal center what was formerly understood as an
independent tonality or others tonalities within a work.
The tonal relationship in monotonality is expressed in the Chart of Regions, a
well designed schema which represents all tonal relationships within a
tonality. Traditional relations are presented in the Chart, 1) vertically, the
circle of fifths; and 2) horizontally, the relative and parallel minor relations.
Schoenberg's principle of monotonality determines distances from the tonic.
This classification is based on a common-note principle in which the regions
with more common-notes with the tonic are considered "Direct and Close,"
and those with less "Indirect and Remote" or "Distant" (11).
Thus, diatonic or chromatic pitches can be assimilated within a tonality that
ultimately will be considered as an extended tonality.
Pitch Function
The possibility of expressing a tonality through characteristic pitches in major
or minor makes those specific pitches acquire its functional character in
schoenbergian theory. This functional character is accentuated when
discussing the role and the inclusion of artificial leading tones through
substitution and by the laws of the pivot tones (Wendepunktgesetze) which
can be applied wherever false-relation occurs. Thus, one can deduce that
individual pitches acquire the capacity to express a tonality through specific
functions, acquiring, in this way, a functional character.
The characteristic pitches of a tonality have the primary function of
expressing a tonality by distinguishing it from those tonalities that most
resemble it. The function of degrees 4th and 7th of a scale is of extreme
importance, and prevents a possible false interpretation of a tonality with its
closest neighbors, the tonalities on both sides of the circle of fifths. These
scale degrees, fourth and seventh, act preventing the expression of other tonal
regions:
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The 4th tone represents the subdominant region (IV and II), and thus prevents
the interpretation of a segment as expressing a tonality a fifth above. The 7th
tone represents the dominant region (V), and thus prevents the interpretation of
a segment as expressing a tonality a fifth below. To achieve a cadential effect
these two tones, or their substitutes, must appear immediately before the final
tonic. (12)
These characteristic notes are not related to a specific chord, they present the
same function in several chords and tonalities independently of their root.
They must be considered as having a specific function by themselves.
The minor mode gives us another example of pitch function. Through the
procedure of substitution and neutralization, artificial dominants can be
created by transferring the functions of altered 6th and 7th degrees, raised or
lowered. The laws of the pivot tones can be applied independently of a
specific region, for they can convert temporarily any degree of a scale into a
6th or 7th degree with the purpose of neutralization (13). These pivot tones
and the pitches in which these are neutralized constitute a model of pitch
functions which is applied wherever false-relation occurs: "This means that
every non-diatonic tone will be regarded either as the sixth or the seventh
tone of an ascending or a descending minor scale" (14). Those pivot tones
help to express a tonality. Neutralization, in its turn, or the lack of it,
determines the function of a substitute note, either as a "chromatic substitute"
or as a "quasi-diatonic substitute," the latter presenting a strong centrifugal
function (15).
Example 1 illustrates the application of the functional character of 6th and 7th
degrees of the minor mode (here they are marked with Arabic numerals,
whereas crossed numerals indicate the introduction of substitute tones). In the
last three measures of section a, Schoenberg indicates the pitches with their
respectives numbers: g (7), f (6), e (5), and the substitute notes 6 and 7 which
acquire a distinct functional character by expressing unequivocally the
tonality of A minor through the 6th and 7th raised degrees. In the second
measure of section b, Schoenberg indicates a change of the function of the
7th degree of B minor by introducing the substitute a #, 7, which acquires the
function of a leading-tone.
example 1; from Structural Functions, example 36 a, c
Root function
The function of a chord is represented by its root and defined by its
relationship to a tonal center. Schoenberg emphasizes the importance of the
root of a chord over its other tones, affirming that "from the standpoint of
structural functions only the root of the progression is decisive" (16).
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The scalar degree of a root is indicated by Roman numerals and by traditional

names of function, i. e., dominant, subdominant, etc. This terminology shows
how a root of a chord relates to a tonic and how it expresses a tonality (17).
For instance, in C major, the major triad on the IV acts as a subdominant of
the tonic region. Schoenberg explains that "degrees are marked by Roman
numerals, and the first six of them also bear names: I, tonic; II, supertonic;
III, mediant; IV, subdominant; V, dominant; VI, submediant; VII has not
been given a name. These numbers refer to the place within the scale and
determine the functional relations of the triads (or seventh or ninth chords,
etc.) built on them" (18).
The establishment of a determined function also depends on its context: "A
Triad standing alone is entirely indefinite in its harmonic meaning; it may be
the tonic of one tonality or one degree of several others. The addition of one
or more other triads can restrict its meaning to a lesser number of tonalities.
A certain order promotes such a succession of chords to the function of a
progression" (19).
The notion of region is also applied to define the specific function of a chord.
Each region represents a segment of a tonality which involves individual
pitches and chords. These specific elements acquire their function through the
relationship established at the Chart of the Regions where any pitch or chord
can be related to a tonic (20).
Transference of function by imitation of a model
When referring to the enrichment of the tonal system by creating secondary
dominants, Schoenberg mentions the principle of transference of function by
imitation of a model, a prototype:
The principle of analogy, of imitation, which tentatively transfers the
characteristics of one object to a different object, producing, for example, the
raised seventh tone in minor. We shall adhere to this principle when in the
course of our study we repeatedly transfer to other degrees that which is
possible, for example, on the IInd degree. (21)
The principle of imitation, of analogy, is used to describe the historical

development of harmony, the development of a diatonic scale and the
incorporation of chromatic notes into the tonal system. Schoenberg refers to
the observations made by Robert Neumann(22) regarding his system of
presentation of harmony. This refers to the development of the harmonic
resources which is explained mainly "through the conscious or unconscious
imitation of a prototype; every imitation so produced can then itself become a
prototype that can in turn be imitated" (23).
Diatonic chords that are chromatically altered through substitution normally
imitate the characteristics and the function of other diatonic chords. Thus, the
function of a "prototype," a model, of a diatonic chord, is transferred to
another degree of the scale. Transferring the function of a triad or a dominant
seventh degree to other degrees of a scale has the advantage "that it allows
the transfer (imitation) of all functions manifested by the basic triad to the
new secondary dominants" (24). In this way, the principle of transference of
function by imitation of a model is present in schoenbergian theory.
The characteristics of a chord can be transferred to any other chord. For that
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purpose, it is established a rule which observes the tendency of chords with

substitutes in imitate a common prototype, such as the cadence or the
progression II - V - I:
Every chord will (if not hindered by its environment) require a continuation like
that of [some prototype] chord (consisting of entirely different tones) which has
identical intervals. Thus, the constitution of the seventh chords on II, III, and VI
in major is precisely the same. Now, since the one on II has a definite, familiar
function (II - V - I, II - I 6/ 4 - V), the ear consequently expects the same
continuation from III and VI, whose structure is the same. (25)
The transference of function of II7 to seventh chords on III and VI supposes a

correspondence of possibilities with the functions of tonic and dominant
characteristic of the I and V. For example, in C major, if the III7 imitate the
function of II7, the VI, with c# substituting c natural, will imitate the function
of V, and II, with f # substituting f natural, will imitate the function of I. Thus,
the cadence which originally reads II7 - V - I, will read III7 - V - I, with the
same functions.
Through this association with the functions of tonic and dominant,
transference acquires a centrifugal character (function) for it supposes a new
tonic chord, or another chord with the function of tonic.
Transformation
Transformation of a chord is originated through substitution. When
discussing the transformations on the II, Schoenberg writes that these "result
from the influence of D, SD, and sd. Under the influence of D, the [minor]
third of II is substituted for,..., by a major third" (26). Transformation does
not change the root function expressed as a scalar degree of a chord and its
relationship to a tonal center. Thus, a chord can be transformed, for example,
from a major triad to a minor, a diminished, or an augmented triad, even
though it will keep its diatonic root. In this way, Schoenberg keeps the
principle of monotonality still valid referring to a "monotonal root" which is
kept despite the substitution introduced (27).
Schoenberg illustrates the transformations of the II as follows:
example 2, from Structural Functions, example 50
These transformations produce a certain number of chords on II, and some of

them combine substitutes from two distinct regions. For instance, in sections
a and b is found the substitute f #, from D, substituting the third f natural; and
ab, from sd, substituting the fifth a natural. In this way, chords of secondary
dominants, diminished triads, and dominant sevenths are produced. In section
d, the II is transformed with substitutes f # and eb, in a dominant ninth chord
(root omitted), i.e., the diminished seventh chord. In this case, Schoenberg
emphasizes root progressions considering the II as the root; if f # were
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considered as the root would occur the substitution of roots (f natural for f #),
which for Schoenberg is "an assumption which must be rejected as
nonsensical" (28). Considering the II as the root, the model of strong or
ascending root progressions (V-I or II-V) is emphasized (29).
Section g illustrates the Neapolitan sixth chord, which is justified by
Schoenberg as being borrowed in toto from subdominant minor region as is
not considered as a transformed chord on II. Schoenberg conception about the
Neapolitan sixth chord acquires a character more important than of a single
chord which substitutes the subdominant in the same function. According to
the principle of transference, the notion of Neapolitan sixth is transferred to
other degrees of the scale acquiring the "status" of an important tonal region
(30). Indeed, even though the Neapolitan sixth chord be derived from
subdominant minor region, this harmony had its potential recognized by
composers who saw in it a tonal region in its own right. Example 3, a
harmonic reduction from Schubert's Quintet in C major, Op. 163, illustrates
the "possibility of using harmonies in a manner different from their original
derivations", (31) as Schoenberg recognizes the changing of harmonic
possibilities through transformation of chords. In this example, a small
fragment of the development section, mm. 181-97, the Neapolitan sixth
region is emphasized by the context (32).
example 3
Applying the transformations of the II to other degrees of the scale,

Schoenberg creates a great expansion on the harmonic vocabulary. Some of
these transformations may seem too distant from the original tonal center and
they can endanger the supremacy of the tonic. To avoid the endangerment of
the tonal center, Schoenberg directs the transformations on I, III, IV, V, VI,
and VII to an application of the models of V-I, V-VI, and V-IV, according to
his model of root progressions. Example 4 illustrates the transformations on
the other scale degrees:
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example 4, from Structural Functions example 55
For the minor mode Schoenberg applies the procedures done in major, and
transformations on the II are applied to other degrees (see example 5):
example 5, from Structural Functions, example 63
The concepts of transference and transformation seem to contradict each

other, but actually they are complementary. Transference suggests a movable
function, while transformation does not admit the substitution of a root and is
based on the function of diatonic degrees of a scale. Both represent
complementary general functions: the first is centrifugal by alluding to other
tonics, the second is centripetal by affirming the central power of one tonic.
Transference promotes modulation among regions. The new region is
established by transferring the function of the original scalar degrees to a new
group of scalar degrees. Transformation simply enriches the harmony with
the introduction of substitute notes and keeps the original root as a fixed
point where the tonal relationships are measured.
Multiple Meaning and Vagrant Chords
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Schoenberg considers every chord as belonging to two or more tonalities. The

principle of transference of function implies a multiple meaning of a chord
and consequently its functional ambiguity (33).
To illustrate this principle we can consider two cases. In the first, a pitch
collection is fixed and the degree of the scale changes. For instance, the pitch
collection c, e, g; can be interpreted, in C major, as I; or IV, in F major; or
III, in A minor (34). The second case is concerned with different pitch
collections related to the same scalar degree: I, in C major, has c, e, g as its
pitches; I, in A minor, has a, c, e as its pitches; or I, in G minor, has g, bb, d
as its pitch collection.
The principle of multiple meaning is best exemplified by a special category of
chords: the vagrant chords. "Such chords belong to no key exclusively, rather,
it can belong to many, to practically all keys without changing its shape"(35).
These chords are derived by transformation and have its multiple meaning by
presenting a specific form. The most evident cases are the diminished seventh
chord, the augmented triad, and the augmented sixth chord.
These chords have an incapacity to express a tonal function, a tonal meaning,
mainly due to its inability to define their root. The definition of a root is due
in great part to an asymmetric form of a chord. For example, a major triad is
formed by a minor third above a major. The root is recognized by this
asymmetric form and by the definition of a perfect fifth. Vagrant chords are
symmetric and due to its specific shape the root is not defined. Generally,
they present a repetition of one interval once or more times and often the
interval of a perfect fifth is not present to define a root (36).
The diminished seventh chord is one of the best examples of this kind of
symmetrical form. It is composed of superimposed minor thirds that do not
allow an identification (in this terms) of a specific root. For Schoenberg, the
relation of its root to other chords depends exclusively on the context in
which it is found. Even when inverted, there is no new form emerging and
allowing an identification of its root:
Each of its tones can thus be the root, consequently each can be the third,
diminished fifth, and diminished seventh. If we invert the chord, no new
structural patterns emerges, unlike the inversion of a major or minor chord; we
shall still always have minor thirds (augmented seconds). It will thus be unclear
to which key it belongs whenever the diminished seventh chord appears out of
context or in an ambiguous one.(37)
For Schoenberg, the root of a diminished seventh chord is revealed only

when occurs its resolution according to root progressions. The root of this
chord is understood as being omitted and located a major third below one of
its tones, consequently, it is considered as a dominant ninth chord (V 9) in
minor. The multiple meaning of this chord is emphasized by the fact that it
belongs to, at least, eight tonalities or regions. Each of its tones being
considered as a potential leading-tone, four in major and four in minor.
Example 6 illustrates the derivation of the diminished seventh chord from a
transformed II. Schoenberg begins his explanation with a diminished triad on
II in C minor; this chord is transformed to a secondary dominant, then to a
secondary dominant seventh chord, and then to a secondary dominant ninth
chord. The diminished seventh chord appears by omitting its root:
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example 6, from Theory of Harmony, example 183.
The augmented triad is also considered as a vagrant chord. It is composed of

two equal intervals: two major thirds. In the same manner as the diminished
seventh chord, the augmented triad belongs to several distinct tonalities, three
in major and three in minor, and its pitches are potential leading-tones.
Schoenberg defines its application explaining that "it can be introduced,
because of its ambiguity, after almost any chord"(38). It can be used in any
region as an altered chord of V or as a secondary dominant.
Augmented triads may be used to produce a tonic, and that, to this end, they
may be introduced artificially on the V of the major key in question, following
the idea of the secondary dominants. They are most simply introduced through
chromatic alteration upward of the fifth.(39)
Example 7 illustrates the alteration of a fifth of a chord in the progression VI:
example 7, from Theory of Harmony, example 176.
The augmented sixth chord has its derivation from a minor ninth chord on II
with root omitted. In example 6b, the diminished seventh chord has its fifth
altered to ab and its seventh (eb) enharmonically reinterpreted to d#. The
augmented sixth appears between ab and f # in the first inversion of the chord
(II6/ 5) (40).
Example 8 illustrates the derivation of a minor ninth chord with the
diminished fifth and root omitted in its second inversion ( 4/ 3), the augmented
sixth is located between ab and f #. Commonly, this chord is presented as
having its root altered from f natural to f # (41). In Schoenberg's explanation,
the root of the chord is not altered, even though it is omitted. He recognizes
the augmented sixth between the fifth - ab - and the third of the chord - f
natural.
example 8, from Theory of Harmony, example 184a, b, c, d
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Enharmonic reinterpretation serves as an example of the quality of vagrant

chords. In example 8c, the diminished seventh chord (f#, ab, c, eb) is
reinterpreted as V7 in third inversion of Db major - gb, ab, c, eb. For
Schoenberg "the fact that the sound of an augmented six-five (four-three,
two, or sixth) chord is identical with the sound of a dominant seventh chord
can now be easily exploited by treating (introducing and continuing) the one
as if it were the other"(42). Such enharmonic reinterpretations implies a
change of the root of the chord from d to ab, and a change of the region, in C
major, from d natural (S/T) to db (Np).
These vagrant chords, without a defined tonal function, easily fluctuate
between two or more regions and tonalities, and can have several functional
interpretations (43). These chords endanger the establishment and the concept
of tonality. They also characterize what Schoenberg called "Fluctuating
Tonality," defined by Carl Dahlhaus in the New Grove as a "vacillation
between two or more keys, though not in the sense of modulation but of
ambiguity: the capacity of being related simultaneously to different centres"
(44).
Conclusion
Tonal function for Schoenberg is based on tonal expression. His notion of
tonality as a network of functions of specific elements which always refer to a
tonal center comprises individual pitches, chords, and tonal regions. Pitches
act as a melodic element capable of expressing a tonality, acquiring in this
way their tonal function, whereas chords have their tonal function expressed
by their root. Both elements, pitches and chords, are included in the notion of
tonal region which considers scalar segments to establish a relationship
between two or more tonalities.
Introducing the concept of transference of function, Schoenberg considers the
harmonic function of a chord as present, understanding that a chord presents
specific characteristics that are transferred to other chords. This procedure is
based on the imitation of a model of tonal expression: the cadence IV(II)-V-I.
Thus, the notion of chord function is expressed not only by its root but also
by its characteristic sound, i.e., the sound of the whole chord.
The category of vagrant chords is defined as not having any specific function.
Instead, they have multiple meaning. They act as chords which can be
introduced anywhere and after any chord. Again, Schoenberg points to the
direction of defining the function of a chord by relating it to a model of tonal
expression, the cadence. The roots of these chords are defined only by the
context in which they are present.
Wason's observation of two different trends on tonal function is achieved on
Schoenberg's theory of tonal function. Reinforcing this opinion is the concept
of monotonality which presents a complex schema of tonal relationships
expressed in the Chart of Regions. The first sketches of the Chart of Regions
based on Riemann's function notation points in this direction. Even though
the function of chords for Schoenberg is expressed by their root, it can be
inferred from his texts that a whole chord also expresses a function.
Norton Dudeque teaches at the Federal University of Paran and has developed research on
schoenbergian theory. (back)
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Notes
(1) Cf. in KOPP, David. "On the Function of Function." Music Theory
Online. Volume 1, no 3, May 1995. (back)
(2) "Each scale degree has its part in the scheme of tonality, its tonal
function." Cf. in PISTON, Walter and DeVOTO, Mark. Harmony. p. 53.
(back)
(3) This approach is used by Daniel Harrison in his Harmonic Function in
Chromatic Music. p. 43-72. (back)
(4) Cf. in WASON, Robert. "Fundamental Bass Theory in Nineteenth Century
Vienna." p. 256-7. (back)
(5) See Structural Functions of Harmony, p. 1. (back)
(6) See Theory of Harmony, p. 191-2. (back)
(8) Ibid. p. 19. (back)
(9) Cf. in CARPENTER, Patricia and NEFF, Severine. In the commentary to
The Musical Idea. p. 61. (back)
(10) Cf. in CARPENTER, Patricia. "Grundgestalt as Tonal Function." p. 167. (back)
(11) Dunsby and Whittall explain that "Schoenberg is concerned with tonal
regions, rather than common-note relationship between triads, which select
only three notes from the scale of a region." Cf. in DUNSBY, Jonathan and
WHITTALL, Arnold. Music Analysis in Theory and Practice. London:
Faber & Faber, 1988. p. 78. Schoenberg's conception is unique in this sense.
Even when compared with Riemann's "functional theory" Schoenberg's is
more complete in the manner that it can relate all diatonic or chromatic
digressions from the tonic. Schoenberg recognizes an influence and "a certain
similarity to Riemann's function notation, but it avoids his error, revealed
mainly in the drastic reduction to three functions...Perhaps Riemann himself
felt this, because he states in the "Lexicon" that all modulations within a
movement stay under the influence of the main key." Cf. in The Musical
Idea. p. 331. Schoenberg's also draw an initial sketch of the Chart of the
Regions based on the main functions of Riemann's theory. See The Musical
Idea. p. 338-41. (back)
(12) See Preliminary Exercises in Counterpoint, p. 73. Schoenberg
considers the cadence I - IV (II) - V - I, as a model of tonal expression. The
characteristics pitches act in the cadence as follows: the IV (4th) after I acts
as an element that contradicts the tonic and may establish a new tonic. The
introduction of V with the 7th, contradicts the IV and its possible tonality,
confirming the tonic, I. In The Musical Idea Schoenberg illustrates the
cadence as: I=assertion (of a tonality); IV(II)=challenge; V=refutation of IV
(self-assertion of V); and I=confirmation (of the tonality). See The Musical
Idea, p. 311. (back)
(13) The laws of the pivot tones (Wendepunktgesetze), here they are
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presented in a minor, of the minor scale are:

First pivot tone, g #: g# must go to a; for g # is used only for the sake of the
leading tone progression. Under no circumstances may g or f follow g #, nor
may g # go to f # (at least for now).
Second pivot tone, f#: f# must go to g #; for it appears only for the sake of the g
#. Under no circumstances may g follow, nor, of course, f. Nor e, d, a, etc. (for
now, at least).
Third pivot tone, g: g must go to f, because it belongs to the descending form of
the scale. Neither f# nor g # may follow it.
Fourth pivot tone, f: f must go to e, because it belongs to the descending form of
the scale. F# may not follow it.
See Theory of Harmony, p. 98. (back)

(14) See Theory of Harmony, p. 178. (back)
(15) The distinction on the introduction of substitute notes depends on the
application of the laws of the pivot tones. The "quasi-diatonic" introduction is
characterized by its application and promotes "modulation" between regions;
"chromatic" introduction acts mainly as an enrichment of harmony and is
unable to produce a change of region, or tonality. (back)
(16) See Structural Functions of Harmony, p. 46. This concept is derived
from Simon Sechter's theories about root progressions. For him the root
defines the progression. As Phipps puts it: "Sechter applies Rameau's theories
of triple and quintuple progression as the fundamental principle of all
harmonic successions. The most basic of all successions is the diatonic circle
of fifths - I-IV-VII-III-VI-II-V-I- a progression illustrating Rameau's
concept of triple progression. Sechter recognizes that there is one imperfect
fifth in this progression - a diminished fifth between IV and VII in the major
mode or between VI and II in the minor mode." In this respect he proposes
that [the fifth of the vii chord] "became the octave [of the IV chord], then
the resolution of the false fifth would be in danger of being forgotten..." The
movement by third are described by Sechter in the progressions I-VI-IV-IIVII-V-III-I. All the progressions described by Sechter were taken from these
and presented isolated or not, in direct or retrograde form. The progression by
steps, up or down, for example IV-V, presents an omitted root
(Zwischenfundament) which causes the progression to consist of a
combination of root movement by third down and by fifth, IV-(II)-V. Cf. in
PHIPPS, Graham. "A Response to Schenker's Analysis of Chopin's Etude,
Opus 10, n 12, Using Schoenberg's Grundgestalt Concept." p. 548. See also
CHENEVERT, James. "Simon Sechter's "The Principles of Musical
Composition": A Translation of and Commentary on Selected Chapters." p.
34-5. Schoenberg's root progressions are defined as: 1) Strong or ascending (a
fourth up, third down); 2) Descending (a fourth down, a third up); 3)
superstrong progressions (one step up or down). See Structural Functions of
Harmony, p. 6-8. (back)
(17) According to Robert Wason, Georg Vogler was the first to use this
system of notation: "Vogler's major theoretical achievement - his invention of
Roman numeral chord notation - was obviously an important contribution to
"chord identity" theorizing." See WASON, Robert. "Fundamental Bass
Theory in Nineteenth Century Vienna." p. 21. (back)
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5/15/09 11:41 PM
(18) See Models for Beginners in Composition, p. 54. (back)

(20) For the complete Chart of Regions see Structural Functions of
Harmony, p. 20 and 30. (back)
(22) Dr. Robert Neumann is identified as a young philosopher in Theory of
Harmony. There is no reference about him in Schoenberg's correspondence.
(back)
(23) Transference of function is yet derived from the principle that "affirms
that a bass tone strives to impose its own overtones, thus has the tendency to
become the root of a major triad..." See Theory of Harmony, p. 385. (back)
(24) Ibid. p. 385. (back)
(25) Ibid. p. 192. (back)
(27) Schoenberg considers the root of a chord as an immutable and fixed
point. Transformation occurs in the other tones of a chord. Thus, only the
third, the fifth, the seventh, or the ninth of a chord can be altered. Besides,
Schoenberg considers the root as "fixed points from which relationships are
measured. The unity of all measurements we have found is guaranteed by the
immobility of those points." See Theory of Harmony, 234. (back)
(28) Ibid. p. 35. (back)
(29) Schoenberg explains that the diminished seventh chords "were formerly
considered seventh chords on natural or artificial leading tones. Accordingly a
diminished seventh chord in c minor (b-d-f-ab) would be considered to be on
VII and, worse, [50d] section d would be considered as based on a
"substitute" root (f#)." See Structural Functions of Harmony, p. 35. It is
important to remember that Schoenberg follows the Viennese tradition in this
subject. Formerly, Bruckner, Sechter, and Weber, considered the diminished
seventh chord in the same way. See DINEEN, Phillip Murray. "Problems of
Tonality." p. 164, footnote 5. (back)
(30) Schoenberg's conception on the Neapolitan sixth chord is unique and
distinct from that of other authors. For example, Riemann considers this
chord originated from the substitution of the fifth of a chord by a minor sixth,
and the major third by its minor, in C major: f-a-c to f-ab - db. Cf.
RIEMANN, Hugo. Armonia y Modulacion. p. 122, 182 and 194. See also in
DAHLHAUS, Carl. Studies on the Origin of Harmonic Tonality. p. 50. For
Schenker this chord results from the Phrygian II in which the II is
descendently altered and explained in terms of voice leading. See
SCHENKER, Heinrich. Harmony. p. 109-10. More recently other authors
consider this chord in a different manner. Piston considers that "the major
triad whose root is the chromatically lowered second degree of the scale is
known as the Neapolitan Sixth." See PISTON, Walter. Harmony. p. 407.
And for Aldwell and Schachter it "is a chromatic variant of II6 with 2
Page 14 of 17
5/15/09 11:41 PM
lowered to b2; the alteration produces a major triad that replaces the normal
diminished triad where the latter might give an unsatisfactory effect." See
ALDWELL, Edward and SCHACHTER, Carl. Harmony and Voice
Leading. p. 457. (back)
(31) See Structural Functions of Harmony. p. 35. (back)
(32) Other examples of this use can be found in Beethoven's Third
Symphony, first movement, m. 284 and ff., where a change to e minor region
(fb minor) represents the Np minor region (np). See also the second
movement of Schubert's Quintet in C major, the tonal relationship between
the sections A-B-A are: section A in E major (T) and section B in f minor
(np). The structural relation is T - np - T. Certainly, this two examples does
not match to the common usage of the Neapolitan sixth chord as a substitute
chord in the function of subdominant. See also in PHIPPS, Graham.
"Comprehending Twelve tone Music." p. 39-42. (back)
(33) Even when considering root progressions Schoenberg implies the notion
of transference of function and multiple meaning. In his classification of root
progressions specific tones of a chord are promoted or degraded in its
importance in a triad. For example, in ascending progressions a fourth up, the
root of a chord is degraded to become the fifth of another chord. So, the same
pitch has two functions in this progression, it is the root of the first chord and
the fifth of the second. See Structural Functions of Harmony, p. 6-9; and
Theory of Harmony, p. 115-21. (back)
(34) See Models for Beginners in Composition, p. 54. (back)
(36) See DINEEN, Phillip Murray. "Problems of Tonality." p. 182-3. (back)
(38) Ibid, p. 243. (back)
(39) Ibid, p. 242. (back)
(40) Schoenberg's derivation of this chord is very similar to Sechter's.
According to Phipps, Sechter derives from Rameau, "the diminished-seventh
chord is a substitute for a dominant-ninth chord whose real root is a major
third below the root of the diminished-seventh chord. He extends this
principle to account for the augmented-sixth chords. Sechter describes the
chord as an illegitimate chord (Zwitterakkord), which is built on the second
scale degree with a major third and a diminished fifth." See PHIPPS, Graham.
"The Tritone as an Equivalency: A Contextual Perspective for Approaching
Schoenberg's Music." p. 55. (back)
(41) This is the conception of Aldwell and Schachter who explains that "if the
augmented sixth follows a strong IV, 4 will carry over as root (altered, of
course, to #4). See ALDWELL, Edward and SCHACHTER, Carl. Harmony
and Voice Leading. p. 484. (back)
(43) One of the best examples is certainly the "Tristan Chord", which was
Page 15 of 17
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subject to several analysis of its meaning or function. These interpretations

range from a diminished seventh chord on VII by Kistler (1879); a VII7 in
f # minor by Jadassohn (1899); to SVII by Riemann (1909). Schoenberg
considers the "Tristan Chord" as a II in the Structural Functions (see
example 85). On the other hand, the discussion on the "Tristan Chord" as a
vagrant chord is defined when Schoenberg proposes many interpretations for
the same chord. One considers g# as a suspension going towards a natural;
another considers a natural as a passing (through a#) to b natural; and the
other considers the chord derived in eb minor key [?]. All these
interpretations imply that the "Tristan Chord" is vagrant and has multiple
meaning. See Theory of Harmony, p. 257. For other interpretations of this
chord; see NATTIEZ, Jean Jacques. "Harmonia." In Enciclopdia Einaudi.
v. 3. p. 245-71. (back)
(44) See The New Grove Dictionary of Music and Musicians, v. "Tonality"
by Carl Dahlhaus, vol. 19, p. 54. (back)
Bibliographic References
ALDWELL, Edward and SCHACHTER, Carl. Harmony and Voice

Leading. Orlando: Harcourt Brace Jovanovich College Publishers, 1989.
CARPENTER, Patricia. "Grundgestalt as Tonal Function." Music Theory
Spectrum 5, p. 15 - 38. 1983.
CHENEVERT, James. "Simon Sechter's 'The Principle of Musical
Composition': A Translation of and Commentary on Selected Chapters." Ph.
D. dissertation. The University of Wisconsin - Madison, 1989. Ann Arbor:
UMI Research Press, 1989.
DAHLHAUS, Carl. Studies on the Origin of Harmonic Tonality. English
translation by Robert O. Gjerdingen. Princeton: Princenton University Press,
1990.
DINEEN, Phillip Murray. "Problems of Tonality: Schoenberg and the
Concept of Tonal Expression." Ph.D. dissertation. Columbia University, 1988.
Ann Arbor: UMI Research Press, 1989.
_______. "The Contrapuntal Combination: Schoenberg's Old Hat." In Music
Theory and the Exploration of the Past. Edited by Christopher Hatch and
David W. Bernstein. Chicago: University of Chicago Press, 1993.
DUNSBY, Jonathan and WHITTAL, Arnold. Music Analysis: in Theory
and Practice. London: Faber & Faber, 1988.
HARRISON, Daniel. Harmonic Function in Chromatic Music: a renewed
dualist theory and an account of its precedents. Chicago: The University of
Chicago Press, 1994.
KOPP, David. "On the Function of Function." Music Theory Online.
Volume 1, n 3. May, 1995. http://boethius.music.ucsb.edu/mto/
mtohome.html
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NATTIEZ, Jean Jacques. "Harmonia." In Encicliopdia Einaudi. Volume 3.

Lisboa: Imprensa Nacional, 1984. p. 245-71.
NEFF, Severine. "Schoenberg and Goethe: Organicism and Analysis". In
Music Theory and the Exploration of the Past. Edited by Christopher
Hatch and David W. Bernstein. Chicago: University of Chicago Press, 1993.
PHIPPS, Graham. "Comprehending Twelve-tone Music as an Extension of
the Primary Musical Language of Tonality". College Music Symposium 24,
no 2, p. 35 - 54. Fall, 1984.
_______. "A Response to Schenker's Analysis of Chopin's Etude, op. 10, no
12, Using Schoenberg's Grundgestalt Concept". Musical Quarterly 69, no 4,
Fall, p. 543 - 69. 1983.
PISTON, Walter. Harmony. 5th edition. New York: W. W. Norton, 1991.
RIEMANN, Hugo. Armonia y Modulacin. Spanish translation by A. Ribera
y Maneja. Barcelona: Editorial Labor, 1930.
SCHENKER, Heinrich. Harmony. English translation by Elizabeth M.
Borgese. Chicago: University of Chicago Press, 1956.
SCHOENBERG, Arnold. Theory of Harmony. English translation by Roy
E. Carter. London: Faber & Faber, 1978. Reprinted 1986.
_______. Structural Functions of Harmony. Edited by Leonard Stein.
London: Faber & Faber, 1969. Reprinted 1989.
_______. Modelos para Estudiantes de Composicion. Spanish translation
by Violeta H. de Gainza. Buenos Aires: Ricordi, 1988.
_______. Preliminary Exercises in Counterpoint. Edited by Leonard Stein.
London: Faber & Faber, 1963.
_______. The Musical Idea and the Logic, Technique, and Art of Its
Presentation. Edited, translated, and with a commentary by Patricia
Carpenter e Severine Neff. New York: Columbia University Press, 1995.
_______. Letters. Edited by Erwin Stein. London: Faber and Faber, 1964.
Reprinted 1987.
WASON, Robert. "Fundamental Bass Theory in Nineteenth Century Vienna."
Ph. D. dissertation. Yale University: 1981. Ann Arbor: UMI Research Press,
1982.
copyright1997 Electronic Musicological Review, vol. 2.1/October 1997
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