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Abstract. In this paper we take the three tonal functions tonic, sub-
dominant, dominant out of their usual theoretical domicile – the com-
binatorics of fifth-related triads enriched by a dialectical interpretation
– and redeploy them within an alternative theoretical framework: the
combinatorics of the modes of the musical tetractys, enriched by musical-
theoretical interpretations of selected mathematical facts. Section 1 intro-
duces tonal perspectives of the analysis of the fundamental bass. Section
2 provides a short overview of the combinatorics of the three modes of
the musical tetractys. The concluding Section 3 binds the two strands of
investigation together.
With the present investigation we act on a suggestion, which has been made
more than two decades ago. A side remark in Norman Carey and David Clampitt’s
article on well-formed scales [1] draws a link between what they name the struc-
tural scale and Riemann’s tonic-subdominant-dominant relationship. Basically,
this link interprets the roots of the tonic, subdominant and dominant triads in
terms of a well-formed fifth-generated 3-tone-scale. One of the three modes of
this scale is also known under the name musical tetractys. The tones C – F – G –
(C’) exempify this mode in ascending order. The tetractys plays an established
theoretical role in the derivation of the diatonic modes and is associated with
early music rather than common practice harmonic tonality. The arguments of
the present article will contribute to an augmentation of its theoretical role for
the study of musical harmony.
In our first joint paper [3] we explore the descriptive and explanatory power of
a two-dimensional grid – spanned by perfect fifths and minor thirds – for the
analysis of fundamental bass progressions. The idea of regarding these two inter-
vals as basic generators of all possible progressions involves the assumption that
other intervals, such as the major second or the major third, are compounds. As
to the major second this viewpoint is compatible with Jean Phillippe Rameau’s
postulate of the double employment. For the major third though, there is doubt
as to whether it should be regarded as a basic interval, or a compound one. With
respect to the Ramists’ corps sonore paradigm of fundamental bass contiguity,
one would give equal importance to both major and minor thirds. However, we
intend to reinforce the position, taken in [3] regarding the importance of the
minor third with stronger theoretical arguments.
To begin with, the free P5/m3 grid provides a useful framework for the ex-
ploration of unlimited pathways of the fundamental bass. The fact that common
fundamental bass progressions seem to have relatively simple pathways in the
grid is particularly intriguing. Many passages from classical pieces and jazz stan-
dards can be simply described by progressions of descending minor thirds and
falling fifths. A suggestive example is the opening bars of Victor Young’s My
Foolish Heart.
Fig. 1. The arrow # stands for descending fifths or ascending fourths in the fundament.
The arrow stands for descending minor thirds in the fundament. Thus the entire
progression is represented by the arrow chain # #####.
Fig. 2. Real Bass Line of Clare Fischer’s Canonic Passacaglia. The open note heads
represent the fundamental bass line. The arrows below the sta↵ denote the occurrence
of descending minor thirds ( ) and descending fifths (or ascending fourths) (#)
identify the fundamental bass in actual musical textures? There are situations
where this task is relatively straightforward, such as in the homophonic C-major
Prelude of J.S.Bach’s WTK I. However, in most musical textures there is con-
siderable room for interpretation. Generally, to identify the fundament, a basic
principle is to follow the rule of the stacked thirds, according to which any chord
can be rearranged into a chain of thirds. However, there are exceptions. It is
beyond the scope of this article to investigate these exceptions in depth, but
nevertheless we list here some guidelines to which we adhere in our own analy-
ses:
The three modes are not of the same importance in common practice tonal
music. First and second modes can be found throughout the repertoire of baroque,
classical and romantic pieces. The same holds for jazz harmony, even though sec-
ond modes appear here more often than first ones. The third modes however,
are the odd ones out. We find them in pop music, as the Sting-example suggests.
We propose to draw a connection between di↵erences among the three modes
with regard to their presence in the music – on the one hand – and di↵erences
among them with regard to their mathematical structure, on the other. The
latter shall be dealt with in subsection 2.2.
From an analytical point of view, it is not always possible to unambiguously
decide wether or not a given chord progression has to be identified as a first or
as a second mode. The following example from the 2nd movement of Haydn’s
symphony No. 94 (see fig. 7) contains the celebrated ambiguity between a root
position IV-chord with added sixth and a II 7 -chord in first inversion (II 65 ). Tra-
ditionally, the ambiguity is either attributed to the music itself (Rameau) or it
remains in a frozen aggregate state between the conceptions of coexisting the-
oretical traditions (Riemann functions, Roman numerals). Rameau’s argument
about a double employment of the tones of both chords uses this ambiguity for
the purpose of fundamental bass analyses. Ramists would therefore acknowledge
a substitution of the fundament F by the fundament D. In the tradition of Rie-
mann one would subsume the IV -chord with (or without) the added sixth as
well as the II- and II 7 -chord (with their inversions) into the category of the
Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 7
subdominant function and one would attribute a fundament F to the first half
of the second bar. In the traditions of scale degree theory and Roman numeral
analysis one would adhere to the third-chain-structure of the II 7 -chord and
would disregard the option of a IV with added sixth. Hence one would attribute
a fundament D to the first half of the second bar.
The functional mode approach as such does not dissolve this ambiguity. It
rather amplifies it by o↵ering three alternative analyses (see figure 7):
The first and the second analyses both attribute a first mode C1 to the music.
The unusual notation S] in the first (“Ramist” double employment) analysis
C1 : T SS] DT will be explained in subsection 3.2. Our preferred analysis in this
case is the second (“Riemannian”) option, namely C1 : T SDT .
This section familiarizes the reader with the tetractys2 modes as instances of
well-formed modes. It illustrates the approach taken in [2] in a situation, which
is simpler – but perhaps less familiar – than the diatonic modes. Thus it is useful
to refer to the diatonic case for comparison. Figure 8 opposes the structure of
the first tetractys mode (left) from Figure 3 and the structure of the authentic
Ionian mode (right). Both subfigures show in the lower sta↵ an ascending pattern
of large and small steps and in the upper sta↵ a folding pattern in ascending
fifths and descending fourths. In both modes the ascending step intervals are
designated by the letters a and b, while ascending fifth and descending fourth in
the folding patterns are designated by the letters x and y respectively.
2
Traditionally, the chain of integer ratios 6 : 8 : 9 : 12, has been called the musical
tetractys. In its ancient interpretation in terms of string length ratios the number 6
represents the highest tone. The outer ratio 6 : 12 = 1 : 2 corresponds to a descending
octave. In its modern interpretation in terms of frequency ratios the direction (of
encoding the tetractys) is inverted accordingly.
8 Karst de Jong and Thomas Noll
Fig. 8. Analogy between the tetractys and the authentic Ionian mode. The thick dotted
lines as well as the crossing thin lines refer to the authentic division of the step interval
patterns (see subsection 2.2)
In the case of the Ionian mode, the two-letter word aabaaab of length seven
is the plain adjoint of the two-letter word yxyxyxy of that same length (see
[8] for details). The mutual adjointness of these words is a modal refinement
of the well-formedness property of the diatonic scale. The scale folding with
the pattern yxyxyxy fills the interval of the augmented prime F–F] while the
ascending scale with the step pattern aaabaab fills the interval of the octave
C–C 0 . Thus, these two intervals themselves are dually related to each other in
the context of the adjointness. The ascending augmented prime is the di↵erence
between the ascending major and minor step intervals. Dually, the octave is the
sum of an ascending fifth and an ascending fourth, or — in order to highlight
the duality we can say — it is the di↵erence between an ascending fifth and a
descending fourth.
In the case of the first tetractys mode, the two-letter word bab of length three
is the plain adjoint of the two-letter word yxy. The mutual adjointness of these
words is a modal refinement of the well-formedness property of the tetractys
scale (see also Figure 9). The scale folding with the pattern yxy fills the interval
of the minor third F–D while the ascending scale with the step pattern bab fills
the interval of the octave C–C 0 . Thus, these two intervals themselves are dually
related to each other. The descending minor third is the di↵erence between
the ascending major second (being the small tetractys step interval) and the
ascending perfect fourth (being the large tetractys step interval). Dually — as
above — the octave is the di↵erence between an ascending fifth and a descending
fourth. The minor third is the alteration interval in the world of the tetractys
modes, and might therefore be called augmented tetractys prime. This analogy
is the driving idea for the present paper.
Aside from the analogy between the tetractys and the diatonic there is a
‘genealogic” connection between them in a mathematical sense. This relates to
the historic derivation of the diatonic modes as tetrachord fillings of the P4-
Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 9
Fig. 9. The table lists five instances of fifth-generated well-formed scales. The pie charts
represent the associated cyclic scale-step patterns. The bold numbers n = 2, 3, 5, 7, 12
in the center of these diagrams denote the cardinalities of the scales. The tiny numbers
along the circumference denote the tones of the scale in generation order. Primary
steps are displayed in dark and secondary steps in light gray. The di↵erence between
the two is the comma. Depending of the sign of the comma we distinguish between the
upper series (positive comma) and the lower series (negative comma).
The fifth P5 is regarded the primary and the fourth P4 the secondary step
interval of the division scale. This confirms the markedness of the plagal division
with respect to the (unmarked) authentic division. These two exemplify the
modes of the division scale. The principle of a markedness of the secondary
scale step intervals, with respect to the primary one is inherited throughout the
10 Karst de Jong and Thomas Noll
hierarchy, as explained in the next paragraph. The pie charts for each of the five
scales in Figure 9 indicate this in terms of the two di↵erent gray levels for the
coloring of scale steps (dark gray = primary, light gray = secondary).
The di↵erence between the primary and the secondary step interval is the
associated augmented prime (also called the comma). Whenever the comma is
ascending it becomes the primary step interval at the next level of the hierarchy,
while the previous secondary step interval remains in this role. Whenever the
comma is descending its ascending counterpart becomes the secondary step in-
terval at the next level of the hierarchy, while the previous primary step interval
remains in its role. In the case of the structural scale, the major second M2 is
primary (being the ascending comma of the division scale) and the fourth P4
is secondary. The comma is a descending minor third, as already mentioned. It
eventually becomes the secondary step interval of the pentatonic scale.
Modes of a scale can either be obtained by simply cutting the pie charts at
some tone which then becomes the finalis. In this manner one gets the common
origin family of modes (see Figure 10), which di↵ers from the common finalis
family (as shown in Figure 3). The first, second and third modes result from
cutting at points 1, 0 and 2, respectively.
Fig. 10. Each tone of the structural scale serves as the finalis of an ascending mode. In
addition to the 1st mode with the step-interval pattern bab, there are two more modes:
abb and bba.
This method, however, of cutting the pie charts and thereby rotating the
scale step pattern from one mode to the next does not qualitatively distinguish
between the modal varieties. It can not explain, why the third tetractys mode or
the locrian diatonic mode are the odd ones out among their conjugates. Further-
more, the method does not grasp historical aspects of the emergence of modes.
The listing of the tetractys modes in the order 1st, 2nd, and 3rd is in analogy
to the familiar listing of seven diatonic modes: Ionian, Dorian, Phygian, Lydian,
Mixolydian, Aeolian, and Locrian. The medieval octenary system contains only
Dorian, Phrygian, Lydian and Mixolydian, each one in authentic and plagal
Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 11
division. Heinrich Glarean ([4]) extends this list to his famous Dodekachordon
by including the authentic and plagal Ionian and Aeolian modes. The Locrian
modes are explicitly rejected by Glarean. The historically motivated classification
of modes into three classes can be convincingly generalized to the modal varieties
of any n-tone well-formed scale (see [2] for details). There are n 3 inner modes
(i.e. generalized Guidonian modes), all of which come in authentic and plagal
division and which — in both cases — have the Guidonian affinities. In addition
there are two edge modes (i.e. generalized new Glarean modes)), each of which
comes in authentic and plagal divisions and which have double neighbor polarity
(di↵erent double-neighbor figures at finalis and confinalis). Finally, in each such
modal family there is the bad conjugate whose divider is altered by the associated
augmented prime of that scale. It is also amorphous in the sense, that it cannot be
generated from the authentic division (a|b) through the application of Sturmian
morphisms (see [2]).
For the present investigation it is interesting to inspect these three classes in
the case of the family of the tetractys modes. The third tetractys mode is amor-
phous in analogy to the Locrian mode. Closer inspection also shows that there
are no (generalized) Guidonian modes. The tetractys analogue to the octenary
system is utterly empty, i.e. there is no instance of identical double-neighbor
figures at finalis and confinalis. Instead we find double-neighbor polarity, which
is characteristic for Glarean’s new modes. In other words the analogue of the
Dodekachordon is a Tesserachordon. Figure 11 displays the proper authentic and
plagal tetractys modes.
The authentic and plagal divisions of the 1st tetractys mode are analogous
to the Ionian and Hypo-Ionian modes and the authentic and plagal divisions of
the 2nd tetractys mode are analogous to the Aeolian and Hypo-Aeolian modes
(see [2] for details).
forms (see [6]) and other work can be suitably adopted to the situation of the
tetractys modes. In the present paper we mention the two elementary types of
parsimonious modal transformations. Figure 12 displays three tetractys modes
with a common finalis C. The ascending step interval patterns of these modes are
shown in the top systems, while the associated fifth/fourth foldings are shown
at the bottom of each example. The foldings contain the active chromatic tone
of each mode – the minor third alteration of its origin.
Fig. 12. Three tetractys modes with a common finalis. The associated fifth/fourth
foldings contain the active chromatic tone of each mode.
Fig. 13. Errol Garner: Frantonality (1946, Pastiche of Love Me or Leave Me)
The specific position of the minor third in the folding pattern is characteristic
to a mode. In the first mode it is always the subdominant which is about to be
altered, while in the second mode it is the tonic. This is perhaps the most
important aspect wherein our approach could be an addition to Ernö Lendvai’s
functional axis system. Figure 16 visualizes the modal distinctions in comparison
with the neutral “amodal” axis system.
Fig. 16. Comparison of the three functional modes with Lendvai’s axis system.
Fig. 17. Analysis of the complete diatonic cycle of fifths as an interaction of two func-
tional modes. The double arrow symbolizes the interval of a diminished fifth.
In this minor mode song the fundamental bass traverses the whole diatonic
cycle of fifths in G-minor (see Figure 17). But this song also shows a typical
feature of the harmony in minor keys: a decomposition into two regions, both of
which are organized as first functional modes: G1 and Bb1 . What prevents the
suspension of tonality in this case could be based upon the constitution of the
minor mode as a kind of “double star”. The diminished fifth between A and Eb
decomposes into two minor thirds (A C, C Eb), both of which are the active
alteration intervals in the modes G1 and Bb1 , respectively.
Fig. 18. Real Bass and Fundamental Bass (open note heads) of Benny Golson’s Whis-
per Not.
18 Karst de Jong and Thomas Noll
Despite of the obvious similarities with Whisper Not, the Canonic Passacaglia
by Clare Fischer does not show the same kind of hierarchical organization. It is
a chain of modulating 2nd modes, each of which provides a clear tonal anchor.
Fig. 19. Clare Fischer’s Canonic Passacaglia as a modulating chain of second func-
tional modes.
4 Conclusion
The present paper is a first attempt to envision the meaning of the side remark
in Norman Carey and David Clampitt’s article [1] in some detail. The functional
mode approach to tonality is based upon the assumption that the presence of
tonality is linked to the experience of a tetractys mode and that the mode
is typically expressed through its folding pattern. These tetractys modes can
be chromatically extended. The active chromatic tone is already included in
the associated folding pattern and constitutes a minor third (as the augmented
tetractys prime) with the origin of the folding. As soon as the finalis and the
position of the minor third as the boundary of the folding are in place, the mode
in question will be active.
Modulations on the tetractys level rely on the opening of a mode and thereby
on a moment of tonal instability. The Canonic Passacaglia example shows a first
level of such instability, as the closing fifth in each modal trajectory is missing.
A sequence of perfect fifths between the modes is established.
A second level of instability occurs, whenever two fifths are taken away. Such
is the case in the Monte Sequence (e.g. Air, 3rd Orchstral Suite D-Major/ /
ii; BWV 1068, by J. S. Bach, bars 13 - 14), where a sequence of ascending
major seconds is established. When the third, and final fifth is taken away, all
that remains is the minor third, and tonality is about to dissolve. We think,
that omnibus progression is a good example, where this happens. Figure 20
provides a fundamental bass analysis of the Monte sequence and of the Omnibus
progression.
The other possibility to dissolve tonality is the avoidance of the comma (ei-
ther explicitly or as the boundary interval). Nothing, but progressions of freely
falling and rising fifths remain.
Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 19
Fig. 20. Fundamental bass analyses of the Monte Sequence (here in J.S. Bach Air, 3rd
Orchstral Suite D-Major/ ii; BWV 1068, bars 13 - 14) and the omnibus progression.
References
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Theory Spectrum, 11(2),187-206.
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Handschin’s Tone Character, Music Theory Online, 17(1).
3. De Jong, Karst and Thomas Noll, 2008, Contiguous Fundamental Bass Progressions.
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4. Glarean, Heinrich, 1547, Dodecachordon, Basel. Reprint: Hildesheim: Olms 1970.
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