A M e t h o d of A n a l y s i n g H a r m o n y , B a s e d on Interval P a t t e r n s or " G e s t a l t e n "

Roland Eberlein Musikwissenschaftliches Institut, Universitt K61n, Albertus-Magnus-Platz, D-50923 KSln (Cologne), Germany A b s t r a c t . Although in the last decades the traditional theory of harmony in tonal music has often been sharply criticized, it is still in use and a better alternative has not yet been elaborated. Since it is used today mainly for the purpose of describing and teaching tonal harmony, a modern alternative should offer, above all, a better method of describing any succession of harmonies. Starting from a recently evolved system of encoding harmony objectively as a succession of harmonic interval combinations and melodic bass steps, a similar shorthand writing of harmonies with additional mnemonic qualities is suggested. This shorthand may be used in describing and teaching tonal harmony. Moreover, its use within the scope of a modern Gestalt theory of musical perception concentrating on the learning and recognizing of patterns of harmonic and melodic intervals is outlined.

Introduction

Today, the traditional teaching of tonal harmony - based either on the scale step theory of G.Weber or on H.Riemann's theory of harmonic functions - is often regarded with deep scepticism. A great number of articles published in the last decades (Borris, 1950, 1967; Dahlhaus, 1969; Ganter, 1983; Jeppesen, 1949; Hoyt, 1990; MSllers, 1976; de la Motte, Birnstein, & Kfihn, 1972; Rischel, 1988/1989; Smith, 1974; Wiinsche, 1965) subject it to an often scathing criticism. Nevertheless, this criticism did not alter the practice of teaching tonal harmony in the least: in Germany, tonal harmony is analyzed and taught today hardly any differently than 65 years ago when Maler published his Beitrag zur durmolltonalen Harmonielehre for the first time (Maler, 1931). One of the main reasons for this persistence might have been the lack of better alternatives: all the criticism of the traditional teaching of harmony did not lead to the elaboration of a fundamentally different m e t h o d of harmony description avoiding the criticized flaws. This is a serious failure of systematic musicology and the present article presents some thoughts on how it might be corrected.

Criticism of the Traditional Theories of H a r m o n y

The first step on the path to a better alternative must be a collection and evaluation of the criticism uttered till now. At this place only the most impor-

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t a n t points of earlier criticism can be m e n t i o n e d shortly w i t h o u t discussing them: - T h e traditional theories of h a r m o n y have been accused of being the product of u n s u b s t a n t i a t e d speculations all the way from the first axioms up to the last conclusions. In a lecture at the congress of the International Society of Musicology in Bhle 1949, Jeppesen (1949) briefly described the ideas f u n d a m e n t a l to the traditional theories of h a r m o n y and continued then with the words (p.30): "A haughty, solid edifice of thoughts ... on the basis of unrestraint impulses of fantasy. If one asks what its empirical basis is, it turns out that this basis is altogether meaningless or at any rate ambiguous. Neither Riemann nor his predecessors were able to prove their theorems, indeed, they did not even seriously try to prove them. The whole system has been elaborated on the basis of mere speculations." 1 - Some axioms f u n d a m e n t a l to the traditional theories of h a r m o n y are in contradiction with the practice of composition. In the lecture just mentioned, Jeppesen (1949)called attention to the fact t h a t e.g. the idea of free invertibility of chords is in crass contradiction with the considerably differing use of chord inversions (p.33): "For example, the use of harmony in the 17th century shows us especially clearly that triads in root position, sixth chords and six-fourth chords are essentially differing objects which demand an extremely differentiated treatment. Whereas triads in root position are used with much greater harmonic freedom, sixth chords are always horizontally motivated resulting from voice leading, not to mention the six-four chord. "2 More recently, Hoyt (1990), for one, has a d v o c a t e d doing away with the inversion principle in h a r m o n y altogether. - Some axioms f u n d a m e n t a l to the theories of h a r m o n y are in contradiction with musical perception. Already in 1974 F . J . S m i t h wrote: "The sad fact is, that in the light of both historical studies and research into musical perception the framework of "traditional harmony" and the attitudes derived therefrom simply do not stand up. One wonders why such a system is allowed to persist (Smith, 1974)." 1 "Ein stolzes, festgef/igtes Gedankengeb~iude ...auf Grundlage von freien Eingebungen der Phantasie. Fragt man sich nmlich, was an Empirik daran haftet, zeigt es sich, daft dies ganz nichtig oder jedenfalls zweideutig ist. Weder Riemann noch seine Vorg~inger haben es vermocht, ja nicht einmal ernstlich versucht, ihre Lehrs~itze zu beweisen. Das ganze System ist rein spekulativ entwickelt." 2 "So werden wir besonders deutlich von der Harmonik des 17. Jahrhunderts (...) darfiber belehrt, daft Grunddreiklang, Sextakkord und Quartsextakkord wesensverschiedene Tatsachen sind, die eine ~iu/~erst differenzierte Behandlung verlangen. Wghrend die Grunddreikl~nge mit viel grSflerer harmonischer Freiheit gesetzt werden, sind die Sextakkorde immer horizontal motiviert als Ergebnisse der Stimmf/ihrtmg, vom Quartsextakkord gar nicht zu reden"

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For instance, the series of undertones proposed by Riemann (1873) was recognized early on as being non existing. Some years ago the experimental results of Cook (1987) caused a sensation since they showed that the return to the original key at the end of a composition does not influence the esthetic judgement of musically trained subjects, at least if the composition lasts more than half a minute. The concept of tonality perception accepted as a fact in textbooks on harmony is thus highly questionable. Riemann's thesis that the cadence effect is based on the tonal relationship between the root tones of chords has been experimentally refuted (Eberlein & Fricke, 1992, pp:123-124,139). These incorrect axioms, and others more, hamper not only the current scientific research - Cook (1987) justly deplores the tendency in music psychology to misunderstand concepts of traditional music theory as descriptions of musical perception - but also the propagation of new experimental results on musical phenomena to the broad public, since the latter of course assumes that the assertions heard during music instruction are assured findings and therefore it tends to refuse opposed maintainings even if these are the results of scientific investigations. - Traditional textbooks on harmony do not refer to a concrete historic style of music, but teach an ahistoric method of composition with rules abstracted from many different styles. Therefore, they do not help to acquire an intimate knowledge of historic styles; in fact they impede the acquisition of such a knowledge. Actually, music written according to these rules considerably differs from any historic style. This reproach was made already by Borris (1950) and restated by D. de la Motte, R. Birnstein and C. Kfihn (1972). In his textbook on harmony de la Motte tried to take it into account (de la Motte, 1976). Therefore, this textbook no longer teaches a single abstract system of harmony detached from any concrete style; rather, it explains the compositional practices of nine periods or composers. No rules are given, instead, numerous examples drawn from the period or composer under discussion illustrate the practice. Nevertheless, in describing practices the book uses traditional nomenclature and harmony symbols, thus implying inappropriate concepts of a later time. - The traditional methods of harmony analysis are unable to describe music of the 20th century adequately, since their fundamentM axioms (e.g. all chords are built up of thirds, all chords are representatives of either certain scale steps or three different musical functions, cadences are the foundation of all harmonic progressions etc.) mostly do not hold true in this music. This objection has been raised by W/insche (1965). I would like to add some further points to the objections of other authors mentioned so far: The traditional methods of harmony analysis are unable to describe medieval music, since all of their terms are related to major and minor triads and their ordering according to tonal cadences, whereas medieval music is based on fifth-octave chords and the opposition between perfect and
-

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imperfect consonances. Triadic harmony and tonal cadences are totally extraneous to it. Nevertheless, a modern tool apt at describing medieval harmony is urgently required since the original medieval music theory concentrates on two-part counterpoint; thus it is hardly able to deal satisfactorily with successions of multi-voiced harmonies. - The traditional teaching of harmony is by no means as simple as it should be from a didactical point of view. This especially concerns the variant predominantly used in Germany, which is based on Riemann's theory of musical functions. In this variant, already the symbol and name of the chord often causes considerable brain acrobatics since first one has to search for a - frequently missing - root and then to translate the roots name into terms based on its - often complicated - relation to the tonic. Therefore, theoretical interpretations of harmonic successions are not seldom difficult to understand. Moreover, some interpretations of chord progressions are in contradiction with intuition (e.g. it is difficult to believe that the root of the chord C / E / G / A ~ , resolved in a B-major triad, is not C, but F~). Consequently, harmony is not as easy to teach as would be desirable. It is nearly impossible to produce faultless traditional harmonic analyses by using a computer program, since in many cases there is a multitude of possible interpretations of one and the same succession of chords. The multitude of possible interpretations of a single chord structure has been strikingly shown by Piston (1957). Tasks of an Analysis Alternative Method of Harmony

The search for an alternative to the traditional description of harmony must be preceded by a definition of what an alternative method of harmony analysis has to achieve. On principle; I see at least three different goals which might be strived for in producing an analysis of harmonic successions:
J

- one might try to show how the composer produced his composition and how he might have interpreted it in terms of the compositional theory of his time; - one might try to show how a listener perceives that music; - one might try to describe harmonic successions in qualified terms in order to facilitate the communication about music and the teaching of tonal syntax to pupils. Analyses of the first type (describing the composer's way of working and thinking) require in every case the music theory of the composer's time. In today's practice, this type of analyses is rather exceptional. The second goal (description of musical perception) is of a rather Utopian nature and, therefore, analyses of this type are seldom in today's musical and scientific

229 practice. Originally, the harmony theories of J-P. Rameau and H.Riemann pursued this goal. Today, such an analysis would have to dispense with a great number of untenable assumptions made in the traditional theories of harmony. Moreover, we know today that musical perception depends on musical experience and, therefore, that it varies from individual to individual, from culture to culture, from epoch to epoch. A theory aimed at that goal would have to be able to deal with this variability of musical perception. Today, harmony analyses are generally analyses of the third type (producing a description of harmony in order to facilitate communication and instruction). An alternative to the traditional theory of harmony would therefore have to be orientated towards the third goal, at least in the first place. From this goal a number of requirements can be derived which should be met by a new method for analyses of the third type: - It should describe harmonies as objectively as possible in order to be acceptable as a communication tool to persons with different theoretical convictions. It should be well suited to didactical aims, that means, it should be easy to teach, simple to use, well adapted to the needs and the way of thinking of musicians, and it should provide a mnemonic shorthand writing of harmonies. It should be communicable by spoken speech, that means, it must not be solely graphical and it should allow verbal descriptions of even complex simultaneous and sequential musical structures. It should be suited to music of the most different ages. - It should make possible the production of harmony descriptions by computer - a demand certainly of great importance for the future.
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Earlier Attempts Way

to Describe

Harmony

in a New

An overview of earlier attempts to reform music notation may be found in a book of G. Read (1987). There already exist new methods of describing harmony in music that meet some of the above mentioned requirements. For example, R. Parncutt (Parncutt, 1990; Parncutt & Stuckey, 1992, 1995) has recently suggested chromatic chord symbols analogous to the conventional chord symbols of the scale-step theory, but based on the chromatic scale instead of the diatonic scale. In these chromatic chord symbols, the root of any chord is indicated by its distance in semitones above the tonic, and righthand superscripts specify the chord notes distances in semitones above the root, ignoring the octave position of the notes. For instance, the major triad of the dominant in root position is signalled by the chord symbol 747. For chords in inversion, the distance of the bass note above the root is written as a left-hand subscript, e.g. 4747 indicates a first-inversion dominant major

230 triad. This method is somewhat more objective than traditional harmony descriptions, but its use has to be trained for some time: as Parncutt remarked, the symbols look like hieroglyphics at first, since the value of the figures does not show an obvious relation to conventional interval names. A second problem arises from the indication of roots as distances above the tonic: in many cases the question as to which note constitutes the tonic may lead to individually varying answers, and for many dissonant chords there may be divergent opinions concerning the root of the chord. Parncutt's method of describing harmonies is not as objective as could be desired. A largely objective system of describing harmonic successions has been used by R. Eberlein in his study on the emergence of tonal syntax (Eberlein, 1994, pp.123-124,139) in order to produce statistics of harmonic successions in tonal compositions. In his system the figures of chord codes specify distances in semitones above the bass, ignoring the octave position of the notes by assuming the smallest equivalent interval. For example, a major triad in root position is signalled by the figures 47, a first-inversion major triad by 38. Between the codes of two successive chords, a figure is inserted denoting the melodic bass interval in semitones; a heading plus or minus sign indicates the direction of the interval. Again the octave position of the notes is ignored and the smallest equivalent interval is assumed. For instance, a cadence consisting of a G-major triad and a C-minor triad gets the figures 47 +5 37. A great advantage of this code system is the absence of any assumptions concerning the scale or tonal center fundamental to the music. Moreover, it does not contain any assumptions about the root note of the chords. The system is simply descriptive. It is therefore well suited for the computer-aided generation of statistics of harmonic successions. Nevertheless, it is certainly not suited for being used as a substitute for conventional descriptions of harmony in teaching tonal harmony to pupils: since the codes do not have any mnemonic quality, their use requires much training. Besides, the codes are difficult to translate into spoken speech. The figures 47 +5 37, for example, misleadingly suggest the foolish and absolutely unintelligible pronunciation "fortyseven, plus five, thirtyseven".

Suggestion of an Improved System of Harmony Description

The usability of the system just described might be improved by altering the nature of the codes: instead of figures denoting distances in semitones one might write down two-letter abbreviations of the conventional interval names using capital letters for major intervals and small letters for minor intervals. The abbreviations should be understandable in different european languages, and to achieve this goal it might be best to choose the letters out of the corresponding latin name: As in the system used by Eberlein (1994), intervals greater than a major seventh are given the code of the corresponding interval

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Table 1. Interval abbreviations used in the proposed coding system Interval in Abbre. semitones viation UN 0 sc 1 SC 2 te 3 TE 4 QA 5 Qq 6 QI 7 sx 8 SX 9 se 10 SE i1 Latin unisonus sectmda tertia quarta Interval names German English Italian Unisono unison unisson Sekunde second seconde Terz third tierce French unisono seconda terza quarta quinta sesta settima

Quarte fourth quarte (augmented fourth/diminished fifth) quinta Quinte fifth quinte sexta Sexte sixth sixte septima Septime seventh septi6me

within an octave. For the sake of simplicity, the doubling of notes in unison or the octave might be ignored. In this case a cadence in a minor key - e.g. a G-major triad followed by a C-minor triad - gets the code T E Q I + Q A teQI. Depending on the purpose of the coding it might sometimes be wise to code unisons as well as octaves and to order the codes according to the actual pitch of the notes so that the coding retains informations about the voicing of chords and the leading of voices. To be sure, such a coding rule results in somewhat complicated codes: e.g. the cadence just mentioned might be given the code QIUNTEQI +QA teQIUNUN. The suggested description of harmonic successions - especially the first coding strategy - shows a number of advantages when compared to already existing systems of harmony description: 1. The new description system makes possible a rather objective description of harmony: it does not make use of questionable hypotheses about, for instance, the tonal center of a piece or the root note of a chord and it does not depend on any special theory of harmonies, since its sole theoretical assumption is the harmonic equivalence of notes in octave distances. Therefore, the system should be acceptable to persons with all kinds of theoretical convictions. 2. The new description system is well suited for didactical purposes: it is simple to learn and to use, since it solely consists in mnemonic abbreviations of already known interval terms which are fundamental to music, and since its abbreviations do not elicit misleading mathematical associations as do the figures used by Parncutt (1990) and Eberlein (1994). Moreover, the new description system drastically simplifies the teaching of tonal harmony since the brain acrobatics of conventional harmony descriptions are done away with.

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3. The codes can be translated into spoken speech without any difficulties (e.g. TEQI +QA teQI = a major third-fifth chord, proceeding by an ascending fourth in the bass to a minor third-fifth chord). Thus, the description system fulfills an important requirement for being used as a communication tool. 4. Owing to its objectivity, the description system can be applied to music of any style and epoch. It can describe, for example, non-triadic medieval harmony just as well as tonal harmony. 5. Harmony descriptions can be produced by using rather simple computer programs, since there is a simple relation between differences in MIDI pitch numbers and the symbols suggested above and since the description of a given chord does not depend on any theoretical interpretations of the harmonic context. Thus, the new description system meets all the above stated requirements of an analysis method aiming at a facilitation of communication and music instruction. For instance, one might select a repertory of harmony progressions often used in tonal music and teach these progressions (cadences, typical resolution of dissonances and so on) to pupils, describing them with the above proposed system. The choice should be based on the results of frequency countings like that published by Eberlein (1994). With the help of Table 1, the harmony descriptions in his tables can easily be translated into the description system proposed here. Today, such countings can be executed with the aid of a computer system. For questions on how to obtain statistics of music by means of a computer system, see Huron (1995). 6 Some Thoughts Concerning a Harmony Analysis Aiming at a Description of Music Perception

At this point, one might argue that conventional analyses of harmony do not only serve the purpose of describing harmonic successions, but also that of interpreting unusual harmonic successions like the famous Tristan chord, i.e. they try to show how the listener relates one chord to another. In comparison with these, the suggested method of analysis restricts itself to a mere description of the harmonic succession. One might therefore argue that it cannot produce any new findings, thus being uninteresting for musicologists (a similar reproach has been made by Billeter, 1971, with regard to the conventional scale step theory of harmony). But although it is not its primary aim, the suggested method of harmony description can nevertheless be used for producing interpretations of harmonic successions aiming at a description of the cognition process, if it is supplemented by a theory of music perception. A fitting theoretical framework might be the theory proposed by Eberlein (1994), and Eberlein and Fricke (1992), dealing with the recognition of harmonic-melodic interval patterns by listeners. Experiments concerning the recognition of cadences and other often repeated harmonic successions in

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tonal music led Eberlein to the thesis that experienced listeners of tonal music have learnt a great number of harmonic successions as patterns of harmonic and melodic intervals and that they try to recognize these learnt patterns or "Gestalten" in newly sounding music by comparing the intervallic features of the passage they are hearing to the intervallic features of hitherto learnt patterns (Eberlein, 1994, pp.197-204, Eberlein & Fricke, 1992, pp.36-43,379393). In a model of this recognition process, the suggested description of harmonic successions might be used in order to describe intervallic patterns. The following schema shows the rough structure of such a model (Fig.l): Encodingof present harmonicsuccession
1st step: interpretation table of the frequencies of harmonicsuccessions

by identification ~

2nd step: interpretation by generalisation ~

tableof the frequencies

of harmonic successions

Fig. 1. Schema of the proposed process of interpreting harmonic successions

The model implies a two-step process of interpreting harmonic successions: after encoding a harmonic succession, the resulting code may be compared with a table showing the frequencies of harmonic successions in tonal music. With this frequency information in mind, it is possible to discriminate between harmonic successions which can be recognized as an often heard pattern, and other harmonic successions which will sound strange even to an experienced listener. In this first step, often heard harmonic successions are interpreted by identification with a learnt pattern. For example, the beginning of the Bach choral Du Friedefiirst, Herr Jesu Christ BWV 67/7 is characterized by the following harmonic code: TEQI +QA TEQI -sc scQAsx -SC teSX -SC TEQI -sc tesx. The first harmonic succession TEQI +QA TEQI is the harmonic succession most often occurring in tonal music; according to the frequency countings published by Eberlein (1994, p.422), its relative frequency is about 370. An experiment has shown that subjects rate this harmonic succession as sounding very familiar ("vertraut klingend"), more familiar than any other harmonic successions presented to them (Eberlein, 1994, p.387). So it may be assumed that this interval pattern has been learnt by experienced listeners and that they will identify the beginning of the Bach choral just mentioned with this learnt pattern or Gestalt. The second step consists in a search for learnt patterns which are similar to the present harmonic succession, i.e. which have some intervallic features in common with it. In this step, unfamiliar harmonic successions can be interpreted as a variant of an already known

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pattern. For example, the chord progression TEQI -sc TEQI (e.g. F major E major) which occurs very seldom in tonal music (it was not present within the sample o f tonal pieces analyzed by Eberlein) was rated amazingly high in the experiment just mentioned concerning the familiarity of harmonic progressions (mean 6,13 on a nine-step scale of familiarity Eberlein, 1994, p.387). This might be due to the similarity of its intervallic pattern to the often used Phrygian cadence TESX -sc TEQI: it might be that experienced listeners interpret the unfamiliar succession TEQI -sc TEQI as a variant of the learnt pattern TESX -sc TEQI. Similarly, experiments concerning the recognition of cadences showed that any strange harmonic succession may be accepted as a cadence if it contains harmonic and melodic intervals characteristic of conventional cadences, especially of conventional two-part cadences (Eberlein & Fricke, 1992, pp.190-192,197-201; Eberlein, 1994, pp.40-43,379-393). It is of course necessary in this second interpretational step to take into account all melodic and harmonic intervals between the different voices, not only the intervals related to the bass that are named in the code. This is possible if the more extensive encoding strategy is adopted which allows for the doubling of notes and which orders the codes according to the pitch of the notes. It should perhaps be mentioned that in this interpretational step intervallic similarities between different inversions of a chord progression may also be detected. In contrast with traditional methods of harmony analysis, the procedure described here is able to take into account the effect of differences in musical experience and cultural background by computing the frequency table on the basis of appropriately chosen musical repertories. 7 Conclusion

In the present article it is not possible to give more than a rough outline of the possible use of the suggested harmony description within the framework of a modern theory of music perception and within music instruction. But I hope this brevity encourages the reader to elaborate further ideas for a pragmatic description of harmony avoiding the flaws of the traditional description. What we need today is a general discussion about an up-to-date method of harmony description and harmony teaching, since only in the course of a broad and public discussion will it be possible to break the fossilized habits of thinking which caused the living on of a long ago obsolete theory of harmony. Acknowledgement Thanks to Stanley Hanks for improving the English of this article.

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References

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