SYMMETRIES OF MUSIC

Ern Lendvai

Introduction
*Axis System
Axis substitution
Tonal reflections
On the meaning of functions
The relationship of the three functions
Tonal
asymmetricaland atonal
symmetrical
elements
Nature Symbolism
*Golden section
*Fibonacci series
Harmonic Principles
The pentatonic
chromatic system
Alpha chords
Models 1:2, 1:3, 1:5
1:2 model
1:2 model harmonic turns
1:5 model
1:3 model
Complementary (annihilating) keys
Equidistant scales
Fourth chords
Tonic
antitonic relations in pentatonic scales
Omega chords
The diatonic
overtone system
Acoustic (overtone) chord
Hypermajor and hyperminor
Alpha inversion
Authentic and Plagal Thinking
DO system and MI system
The complementary relation of the two
systems
Inverted relation of the two systems

Consonance and dissonance

Openness and closedness
Duality and synthesis
The Quadrophonic Stage of the Music for Strings, Percussion and
Celesta
Polymodal Chromaticism
Major triad
minor triad
Polar chords (DI + MA tension)
Major
minor
subminor
On the
Tristan chord
Function
Diminished sevenths
Substitute chords
Remarks on Verdi
s colour chords
*Tonality: Modality: Atonality
Summary
The Ethos of the Axis System (tonal serialism)
Pole
counterpole relations
The symmetrical correspondences of the system
Relations between parallel keys
Polar major and minor chords
Relations in content between substitute keys
Relations in content between complementary (annihilating)
keys
Function
Natural and modified keys
Upper and lower spheres
The potentialities of the axis system
Overtone relations
Wie lenktich sicher den Kiel (modal serialism)
Computer Language of Music
The
SprecherScene of The Magic Flute
Appendix (Relative Solmization)
EditorsPostscript (Mikls Szab
Mikls Mohay)

INTRODUCTION
An analysis is justified only if it leads closer to the content of music and its authentic
interpretation. Theoretical methods show their value in that like keys they help to
unlock hitherto unintelligible connections and thus enable us to penetrate deeper into
the secret of the composition.
I have frequently discussed the question of whether relative solmization is a method
or a conception? Is it suited to lead us beyond its educational purpose? If not, then its
symbols proclaim their own emptiness. What is it that transforms the symbol into
living material, the letter into explanation? Are we entitled to believe that a mere play
with solmizating letters can be used to describe structure systems which classical
theory cannot cope with?
Whereas classical harmony is bound to seven-degree diatony, in the harmonic world
of Romantic and twentieth-century music the chords move within the closed sphere
of 12-degree chromaticism; accordingly, the former reflects a static way of thinking,
while the meaning of the latter is determined by the relationship of harmonies to one
another. For within the closed sphere of the fifth-circle it is as impossible to speak of
fixed points of support or
progressas it is nonsensical to call the distance
covered on a sphere (or a circle)
progress
. For this reason the late works of Verdi or
Wagner have proved to be an impregnable fortress to classical theory: they stoutly
resist all attempts at analysis.
The effect of classical music lies in
functionalattractions, while that of Romantic
music, in modalor polymodal tensions. Modality is a relative system and it is to be
analyzed most naturally through the devices of relativity.
A classical melody is easily described with the devices of the figured bass (using
degree-numbers and figures to indicate the arrangement of the chords). The use of the
figured bass is derived from the diatonic system and is thus a completely unsuitable
tool for the analysis of Romantic music. The most typical Romantic melodies exert
their influence in quite a different manner! The sensory process undergone in our
consciousness can be described as follows:
For each successive chord we instinctively seek an answer to the question: which is
the chord that would follow according to the
naturallogic of music? And this we
compare with the chord that in fact replaces it. The meaning of the chord will be
determined by the difference in tension between the two.
The lifeblood of this music is relativity: the system of potential differences between
the tonal elements, which we may with total justification call the system of modal
tensions. Various pedagogical disasters have led me to recognize that Romantic music
will remain the terra incognita blank spot of music theory, unless it is approached
through the devices of relativity.

In our analyses, we treat the signs of relative solmization as mathematical symbols.

(Readers unfamiliar with the principles of relative solmization, should consult the
Appendix)
Each of the 12 symbols designates a musical character, and if we recognize which
sign represents light or darkness, which is accompanied by a rise or a descent, which
embodies a materialistic and which a spiritual experience, why the content of one is
expressionistic and the other impressionistic if in other words, through the help of
signs, we can differentiate between cold and warm colours, between positive and
negative tension, if we know for example that the FI lifts high and the MA hides a
painful feature if we understand all of this, then, with no more signs than are
necessary to cover the tones of the chromatic scale, we shall have conquered
something of the realm concealed behind the notes.
Kodly offers us a technique which covers all that one could wish an ideal theory to
cover:
(a) it is easily accessible to everyone a grounding in musicology is not required,
(b) it coincides with
live experience: its codes are directly perceptible,
(c) it is suitable for examining (and understanding) phenomena comprehensively;
one may without exaggeration say that it opens a whole musical universe. Kodly
s
ideas can serve to find and interpret new facts in musicology simultaneously
leading us to a wider outlook on the history and organic development of music.
(d) And above all, it gives a true image not only of the structure, but also of the
content of music itself.

AXIS SYSTEM
In European music, functional way of thinking has been established with the
recognition of I-IV-V-I affinities:

The classical theory already distinguishes between primary and secondary triads in
so far as the I, IV and V degrees may be substituted by the relative VI, II and III
degrees respectively:

Romantic music continues with this progression, naturalizing the upper relatives, too:

Axis system is none other than the recognition of the fact that the tonic A and E b (see
sketch above) not only have C as a common relative, but also the F # or Gb degree.
Likewise the common relative, between the subdominant D and A b is not only F, but
also the B. Finally, G and C# (or Db) equally the common relatives of the dominant E
and Bb degrees:
Fig. 1

A backward glance at the past and the progress of European harmonic thinking gives
evidence to the fact that the birth of the axis system was a historical necessity. As
compared to the past, the advance consisted mainly in Bartk
s having extended
these functional affinities over the entire twelve-tone series and with this, he
brought the system to a
close
.
We call it the axis system because in this system the opposite poles counterpoles (C
and F#, for example) are more directly attached to each other than the relative keys
of classical harmony.
Fig. 2

Naturally, the poles of the individual axes should not be regarded as diminished
seventh chords but as the kinship, the functional attraction among four different
tonalities, similar to the relative major-minor keys in classical harmony (such as C
major
A minor, or C minor
Eb major).
In Bartk
s Bluebeards Castle the relationship between the four poles is elucidated
by the scenes of the opera: the
night themeis counterbalanced by the
light
theme
, and the flower-garden by the lake of tears. As opposed to the
intellectualspiritualdimension of the main branch, the
emotionaldimension is represented by
the secondary branch:
Fig. 3

Each movement of Bartk

s Music for Strings, Percussion and Celesta follows the
same pattern (see: p.59).
The counterpole tension became the most fundamental
constructional principle in Bartk and Kodly
s works.
BartkAllegro
s
Barbaro is based on the polarity of F# minor and C major:
Fig. 4

The F tonic of the Divertimento turns into the B counterpole in the middle-part (b.
80). Likewise, the B tonic of the Violin Concerto is substituted for the F counterpole
in the development (b. 115).
Characteristically, Bartk organizes even twelve-degree "Reihe" themes according to
the axis principle. In the famous Reihe of the Violin Concerto the 12 tones of the
theme touch all degrees of the chromatic scale. Its opening, centre and close are roo-

ted in the A-D#-A counterpoles crossed by the broken F# major and C major
minor
counterpoles:
Fig. 5

Since this Reihe appears as the

secondary themeof the movement, conforming to
the traditions of classical composition, a dominant significance is attached to it: in the
B major basic tonality of the work the dominant is represented by the A-F #-D#-C
axis.
We frequently find axis harmonization in folksong arrangements, too. In Kodly
s
Szkely Lament, the tonal character of the main cadence is determined by the C
fourth-step which is associated with the Gb major counterpole:
Fig. 6

This Gb major is coloured by the relative Eb minor, and answered by the A major
counterpole.
Fig. 7

Axis substitution
A pole can be replaced by its counterpole without any change in its function. The first
strophe of the above folksong ends in A7, but the third strophe closes with the E b7
counterpole.
Fig. 8

Especially in their variational works both masters exploit to the utmost the
potentialities of axis-replacement: in the newer and newer variations they freely
interchange
chords
belonging
to
the
same
axis
(function).

Tonal reflections
The frequent occurrence of tonal answers and tonal correspondences in Kodly
s and
Bartk
s music bear witness to a distinctly functional thinking. Chiefly those
countermovement chord progressions are to be mentioned which rest not on
real
,
but on
tonalreflections.
In the axis system, the same function can be attained by a major second step in one
direction, or by a minor second step in the other. (E.g. departing from the G
dominant, we reach the subdominant either with a major second step downwards or a
minor second step upwards: F or Ab). As this is pictorially reflected in the
bridge
motifof Bartk
s Cantata Profana (
Coming by a foot bridge saw
):
Fig. 9

But this rule can be extended: by moving a major second, fourth, minor sixth or
major seventh interval in one direction or by moving a minor second, major third,
fifth or minor seventh interval in the other direction, we arrive at the same function in
the axis system. This principle permits much bolder counter-movements too as the
Entry of the Emperor and the Imperial Court from Kodly
s Hry Jnos indicates:
Fig. 10

*
Mention must be made of the apparent contradictions existing between the sevendegree and twelve-degree systems.
(a) According to Riemann, the diminished triad on degree VII (B-D-F) is but an
incomplete dominant seventh chord (G-B-D-F). Degree VII will have an independent
function only if a major (or minor) chord is built upon it. In this case it acquires the
significance of the SUBDOMINANT.
Fig. 11

In classical music, the VII. degree major chord strives to resolve on III
consequently, it has a
secondary dominant
, i.e. subdominant meaning.
Fig. 12

The ambivalence between 7-degree and 12-degree music is conspicuous also in that
the cadential sequence of chords

suffers a break between the F and B in the diatonic scale (a diminished fifth appears
instead of a perfect fifth). Naturally, no such break occurs in the 12-note system.
(b) According to Rameau, the Neapolitan sixth cannot be regarded as a real chord on
the II. degree. In C tonality, the Neapolitan F-A b -Db is not a triad based on Db, but
an altered IV. degree. This is why a
subdominantsense has been attached to it. In
Romantic harmony, however, the minor second degree (Db) is granted an independent
role and thus it receives a DOMINANT significance (see also pp. 92-93).
It is as much as saying that there is no contradiction between traditional harmony and
the axis system.

*
On the meaning of functions
Perhaps the most specific characteristic of the axis system is that the individual
harmonic functions receive a symbolic meaning. In traditional music, too,
subdominant was identified with the image of
sinking
, and the dominant with that
of
rising but there the various functions were dependent primarily on the
circumvolution of chords (I-IV-V-I, for example). Bartk and Kodly, however, go
much further and invest the individual functions with independent meaning: their
content is determined by their absolute relation to the tonic axis. Examining the
interaction between material and poetic content, a leading role can be attached to
works with a plot or text.
It can be assumed that it was in the opera genre that the
individuality of the three
harmonic functions developed. For example, the twelve chimes from Verdi
s Falstaff
(see Fig. 160 on p.86) could scarcely evoke without the SUBDOMINANT
atmosphere belonging to it the secret mysterious shivering which the word
"mezzanotte" (midnight) expresses.
On the other hand, Verdi elevates us into the sphere of the DOMINANT when he
wants to portray the
heavenlybeauty of his female characters, or the magic of
nature. The Aida-theme itself
although we are in no doubt as to its tonality
does not
even touch the tonic: it floats on the fifth (and major third) of the root. (See Fig. 171
on p. 91)
On Mozart
s opera stage, the mirror of the
innerstage is the subdominant, and that
of the
outerstage the dominant. Two brief examples from The Marriage of Figaro.
The outer action (which can be clearly seen
by everyone
) is accompanied by
dominant-tonic harmonies; but when the characters begin to be
secretive
, or speak
to themselves
, the function immediately changes to the subdominant.

Fig. 13

The more complex and refined individuality a Mozart figure has, the more powerful
role is assigned to the subdominant function: the frequency of the subdominant is the
sign of a rich
inner life(as with Don Ottavio or Tamino). And conversely, the
dominant and tonic gain the upper hand in the melodic world of his popular, peasant
characters (like Leporello and Papageno).
In Bartk
s Bluebeards Castle this functional
sign-languagegoes hand in hand
with the libretto. The static pillars of the opera and the points of rest are based on the
tonic. The subdominant function has a negative significance, it is reserved for the
burning, shapeless passion; on the other hand, every positive
initiativesets out
from the dominant (the possibility of elevation also resides in it).
The scene of Door VII
women of the past
is particularly illuminating in this respect,
with its almost cosmic arrangement of
dawn
noon
evening
night
. In accordance
with the basic idea of the work,
nightis identified with the tonic F #, and
noon
with the counterpole C.
Dawnlooks towards the rising dominant, and
evening
b
towards the sinking subdominant. The B major tonality of
dawnand the D minor
tonality of
eveningoccupies a symmetrical position whether in relation to F # or
C. And again, in contrast to the major tonality of
dawn and noon
, the harmonies of
evening and nightare minor in character.
Fig. 14

Mention must be made of an interesting symbolism: the

looking towards the past
face of the subdominant and the
looking into the futureaspect of the dominant
which is, on the one hand, closely connected with the subdominant character of the
ancient six-four type folksongs and, on the other hand, with the T-D-D-T (T-T-D-T)
cupola
structure
of
the
new-type
Hungarian
folksongs.

The relationship of the three functions

As opposed to the I-IV-V-I cadence of classical harmony, the tonic, subdominant and
dominant functions are most powerfully represented by the three degrees which
divide the fifth-circle into three equal parts thus constituting an augmented triad
relationship. For example C-E-Ab, in the sense of tonic, dominant and subdominant.
This is, after all, nothing new. The movements in Brahms First Symphony follow
each other in this way: C-E-Ab-C, in the sense of tonic-dominant-subdominant-tonic.
The dominant secondary theme in Beethoven
s C major (Waldstein) Sonata appears
in E, and the subdominant slow movement in the C minor (Pathtique) Sonata in Ab
major.
The first movement in Bartk
s Concerto for Orchestra rests on the five-fold
appearance
of
the
principal
theme:
F
Db
A
F
F

tonic
subdominant
dominant
tonic
tonic

(exposition)
(first part of development)
(second part of development)
(recapitulation)
(coda)

bar 76
bar 231
bar 313
bar 386
bar 488

A similar order of keys can be observed in the First Rondo for Piano: C tonic, E
dominant, Ab subdominant, C tonic.
The tonal arrangement in Movement I of Bartk
s Sonata for Two Pianos and
Percussion
is
as
follows:

C
E

tonic
(exposition)
bar 32
dominant
(first part of development)
bar 161,195
bar 232
G# subdominant (second part of development)
C tonic
(recapitulation, coda)
bar 274
Each axis contains in itself a double attraction, a twofold dimension depending on
whether we contrast the pole with the counterpole, or the
main branch with the
secondary branch(see: Fig. 2 on p. 8) which means that the individual axes divide
the fifth-circle into four equal parts.
All in all, the tonal system created by the equal divisions of the circle of fifths
matches the model of the axis system:
Fig. 15

Therefore,

the

constituents

of

the

pole
pole+counterpole = branch
main+secondary branch = axis
T + D + S axis = axis system
It is easy to understand that
given three functions
established by the distance divisions of the circle of
the
axis

axis

system

are:

(no dimension)
(1 dimension)
(2 dimensions)
(3 dimensions)

only one tonal system can be

fifths, and this is identical with
system.

Tonal
asymmetricaland atonal
symmetricalelements
It would be tempting to speak of
relativity theory
. The axis system preserves tonal

and indeed, functional

thinking, but at the same time it also satisfies the distance
laws of twelve-tone music. It represents an order which results from the meeting of
opposites. In this respect, too, the two Hungarian masters continue one of the most
peculiar traditions of European music: they
re-live in a condensed form the
historical progression which (with the advance of distance models and their gradually
increasing conquest) finally led to the free and equal treatment of the twelve
chromatic notes.
It was exactly in the interaction between tonal
asymmetrical and atonal
symmetrical elements that the harmonic world of European music became a
dialectic lingual system. In the antagonistic features of the axis system, actually, the
inherent contradiction between tonal and distance principles is reflected.

NATURE SYMBOLISM
'We are guided by nature in composition'
Bartk
GOLDEN SECTION
Golden section (sectio aurea) comes about when the proportion of the whole to the
larger part agrees with the proportion of the larger part to the smaller one. That is, the
larger part becomes the geometrical mean of the whole distance and the smaller part.
Practically, if the whole is considered as 1, the value of the larger section will be
approximately 0.618 and that of the smaller section 0.382.
Fig. 16

From a structural aspect Bartk's greatest works are the true representations of the
golden section principle - frequently from the whole form down to the smallest formcells. For example, the first movement of Sonata for Two Pianos and Percussion
consists of 443 bars. If 443 is multiplied by the key-number of the golden section (i.e.
0.618), we get 274, and indeed, b. 274 marks the 'centre of gravity' in the form: the
entry of the recapitulation.
The complete form of Sonata for Two Pianos and Percussion consists of 6432 eight
notes. In compliance with the form construction of the work:
slow-fast + slow-fast
movements, its golden section - 3975 eight notes - touches the beginning of the
second slow movement.
The first movement in Bartk's Contrasts comprises 93 bars. Its golden section - 93times 0.618 - coincides precisely with the recapitulation (at the middle of b. 57). The
first movement of Divertimento contains 563 triplet units (because of the varying
time-signatures we have nothing to do with the number of bars), and its golden
section - 563-times 0.618 - once more agrees with the recapitulation.
At a cursory glance it may seem illogical that the change in tempo does not influence
the position of section points. The contradiction, however, easily disappears if we
realize that the 'heartbeat' of music is the metrical pulse, and not the absolute length

of time measured by the clock. In music, the progress of time is indicated by bar-lines
or rhythmic beats - and the role of these metric impulses is more vigorous and
emphatic than the space of time in which the music takes place. Subjectively time
progresses more feverishly with fast beats, and more restrained in a slow pulsation.
Golden section has two possibilities: a 'positive' and a 'negative' - depending on
whether the larger part precedes the shorter, or vice-versa (long+short part provides a
positive, and conversely, short+long a negative section):
Fig. 17

A fine example of the extent to which golden section proportions may dominate
melodic structure, is reflected by the 16 introductory bars of the first movement of
Bartk's Sonata for Two Pianos (or to be more exact, bs. 2-17, since the organic life
of the work is developed from b. 2 onwards).
Fig. 18

This

is

what

happens:

Leitmotif in root position on the tonic (bs. 2-8)

on the dominant (bs. 8-11)
in inversion
on the subdominant (bs. 12-17).*
Similarly to classical period, positive and negative sections create questions and
answers. Both in the larger and the smaller details questions and answers, that is
positive and negative sections unite symmetrically - in such a way that the smaller
form-units are finally merged in a positive main section. This is why the form is
associated with a dynamic rise, from pianissimo to forte-fortissimo!
We may draw the inference that positive sections are accompanied by a dynamic
increase, the intensification or condensation of the musical material (i.e. question),
and conversely, negative sections go hand in hand with a downward tendency,
decline, lose of strength (i.e. answer, release).
From these analyses it can be seen that the golden section meets, in every case, the
most important turning point of the form.
It goes without saying that golden section appears not as a mathematical rule - it were

useless to seek a mathematical logic in these structures.

It may be added that in Bartk and Kodly's 'asymmetrical-polyphonic' way of
writing, it is not the number of bars but the number of musical impulses that
determines the proportions. To give a typical example, at the very end of the Fourth
Quartet (from b. 365 on) it can be clearly perceived that 3 motivic 'waves' are answered by 5 motivic waves (bs. 365-374 and 375-385). Or in the Hry Jnos Prelude, the
4-fold entry of the principal theme is responded by 6 theme-entries (regardless of the
distance between the individual entrances).
Accuracy controlled by perception and accuracy tested by calculation are two sides
which must be kept distinct. I discovered golden section intuitively and empirically:
my observations were founded on real experience.
Where does precision end and inaccuracy begin? I would propose that:
(a) The difference between the natural and tempered systems sometimes exceeds 1%
and
escapes
detection.
(b) The vibrato both of the singing voice and of the violin can approach 2% - and yet
remains
unobserved.
(c) Since, in the formal structure of Bartk, golden section is the 'horizontal'
manifestation of a 'vertical' (harmonic) principle, the same deviation is permitted in
formal construction, too.
Golden
section
is
subject
to
three
conditions.
(a)
It
fulfils
its
task
only
if
it
can
be
perceived.
(b) It appears as an organic element of musical dramaturgy.
(c) It represents an idea (being the symbol of 'organic' existence).
Golden mean is no more than an organic element of the musical dramaturgy and has
a meaning only in relation to the contents of music. The point of our interest is first of
all the 'effect mechanism' of the proportions: the attractive and repelling force
functioning in the positive and negative sections, the interaction between the building
elements.

*
'Two elements cannot be well coupled without the assistance of a third one, since the
two can only be united by an intermediary link; but of all the links that one is the
most beautiful which unites into a complete whole itself and the elements joined by
it.' (Plato: Timaeus)
The static quality, classic beauty of Parthenon in Athens may be attributed to the fact
that into its forefront - between the base and the tympanon - exactly two squares can
be inscribed. On the other hand, its dynamic quality - the floating effect which
invisibly draws the building upwards - is due to the golden section proportions. We
give the structural view after Zeising (see next page).
Perhaps the most beautiful literary manifestation of the golden section principle is
Dante's Divine Comedy. The golden section of the hundred Cantos comes at the end
of the sixty-second Canto: this is the point where Dante parts with Virgil and

continues his way with Beatrice. From here (Purg.XXVIII) the language, the colour,
the tone and even the atmosphere of the work change.
The great physicist Einstein, too, pronounced in favour of the golden section.
According to him, golden section provides a proportion which throws difficulties in
the way of the bad and facilitates the development of what is good.
Fig. 19

A pair of compasses can be seen in the Neapolitan museum which served for
measuring the golden section in antiquity:

FIBONACCI SERIES
The Fibonacci series covers the simplest golden section sequence which can be
expressed in whole-numbers (the golden section of 89 being 55, and that of 55 being
34, etc.):
2, 3, 5, 8, 13, 21, 34, 55, 89 ...
In it each number equals the sum of the two preceding numbers (that is, 2+3 =5,
3+5=8, 5+8=13, etc.).
The sequence approaches nearer and nearer the proportion of the geometrical golden
section i.e. the irrational key-number of the geometric mean: the square of every
number is equal to the product of the numbers preceding and following it - with the
difference of plus or minus 1.
The Fibonacci series embodies the low of natural growth. In the fir-cone starting
from the centre, a system of spirals runs in the right and left directions, in which the
number of spirals always result in the values of the Fibonacci sequence: 3, 5, 8 and
13 spirals.
Fig. 20

A similar setting can be seen on the sunflower, pineapple, chamomile, dandelion,

marguerite, cactus, likewise in the arrangement of leaves on the stem, in the horns of
some ruminating animals - to mention only the most characteristic examples.
Bartk adopted this numerical series already at the beginning of his career, in 1911.
The throbbing F # minor ostinato of Allegro Barbaro appears in groups of 3, 5, or 8
or 13 bars.
Perhaps the most beautiful musical representation of the Fibonacci sequence is the
first movement - the 'pyramid-fugue' - of Music for Strings, Percussion and Celesta
(for a detailed analysis, see pp. 56-65).
Golden mean is not merely an important factor of form and structure, but it gives a
key - almost a solution to the question of tonal and harmonic structures as well. And
this is no casual coincidence. The most elementary musical expression of the golden
section principle is pentatony itself. When a child sings the simplest pentatonic
phrases, he instinctively does nothing else than 'tunes' the motif to the proportion of
the golden section, i.e. the geometric mean.
Fig. 21

Calculated in semitones, the formula of the LA-SO-MI motif is 2+3=5; by adding

also the upper DO to it, a distance of 8 semitones issues which shows a subdivision of
5+3 and 3+2+3.
'Folk-music is a phenomenon of nature... its formations have developed with the
same organic freedom as other living organisms: the flowers, animals...' - Bartk once
declared.

In the first movement of Sonata for Two Pianos and Percussion each new themeentrance rises one step higher in the Fibonacci sequence:
Fig. 22

leitmotif
3+ 5 = 8
principal theme
5 + 8 = 13
secondary theme
13,
21
The harmonic structure of the exposition gives proof of a similar arrangement: each
new harmony advances one degree in the golden section scale:
Fig. 23

principal theme
2:3:2
its middle-part
3:5:3
secondary theme 5 : 8
closing theme
8
The closed quality is one of the distinctive marks of golden section forms. This world
of form has a peculiar glow - a life-tension and an organic closedness - and this is a
direct consequence of the fact that evidence of golden section structures is found only
in living organic nature, but it is quite alien to inorganic nature, to the world of
crystal forms. (See also Fig. 58-59 on pp. 37-38)
*) For detailed analysis see: Ern Lendvai: The Workshop of Bartk and Kodly, Editio
Musica, Budapest, 1983, pp. 36-40

HARMONIC
PRINCIPLES
A) THE PENTATONIC
CHROMATIC SYSTEM

The

harmonic

types

of

the

chromatic

system,

that

is

(1) alpha chords

(2) 1:2, 1:3, 1:5 models
(3) chords of equal intervals
are characterized by the fact that they unite the tension of the Fibonacci-models with
the closedness of the twelve-tone system.
The most characteristic chromatic melodies and harmonies obey the proportions of
the
Fibonacci
sequence.
Calculated
in
semi-tones:
2 means a major second,
3 means a minor third,
5 means a perfect fourth,
8 means a minor sixth,
13 means an augmented octave, etc.
In reality, these numbers express proportion and not semi-tone steps.

(1) ALPHA CHORDS

As Mozart or Haydn had employed primarily major and minor triads or as we had
grown accustomed to seventh-chords in Romantic music, the use of harmonies built
of Fibonacci intervals became just as common and predominant in the works of
Bartk and Kodly:
Fig. 24

We call this type of chord with the collective designation: the alpha harmony
the

various sections of which can be distinguished by letters beta, gamma, delta and
epsilon.
Chord alpha consists of two layers. In order to establish tonality, at least two notes are
necessary: the key-note (C) and one of its overtones: i.e. the fifth (G) or the major
third (E). In this simple case the G or E reinforces the C
although G and E has in
itself a
dominantsignificance.
Type alpha has a strong tonal, even functional character. When, for example, in the
main cadence of the
Recruiting MusicKodly looks for a dominant alpha chord
(before the tonic E major), he moulds its upper layer from the melody itself (B-G #-FD), and the lower layer from the diminished seventh chord C-D#-F#-A:
Fig. 25

Thus type alpha is nothing less than the

axisadaptation of the simple C-E-G or CG relation (this is why type epsilon rarely occurs owing to the absence of the fifth and
major third G and E without which the tonal character of the chord is unsteady);
the sole requirement is that the chord should be constructed of two layers (two
axes).
Type alpha complies with two requirements. On the one hand it derives from
pentatony. The intervals 2, 3, 5, 8 (or their octaves) sound together with every note of
the chord.
Fig. 26

This is how in one of Bartk

s choruses the pentatonic DO-SO-LA-MI motif is
transmuted into gamma and delta harmonies:
Fig. 27

On the other hand, alpha harmonies are axis models and, as such, express the
polymodal tensions of the axis system. (See: Fig. 32 on p. 27)
Let us add: the tension of alpha harmonies may
most simply and effectively
be
expressed by the symbols of polymodality.
Fig. 28

Examples
Fig. 29.

(2) MODELS 1:2, 1:3, 1:5

By the chromatic juxtaposition of intervals 2, or 3, or 5,
closed scales are produced
(i.e. by the periodic repetition of the intervals we are taken back to the starting point).
MODEL 1:2 is an infinite chain of minor and major seconds,
e.g. C-C#-Eb-E-F#-G-A-Bb-C,
MODEL 1:3 is an infinite chain of minor seconds and minor thirds,
e.g. C-Eb-E-G-Ab-B-C,
MODEL 1:5 is an infinite chain of minor seconds and fourths,
e.g. C-C#-F#-G-C.
Fig. 30

Model 1:2
Model 1:2 should be considered the fundamental scaleof the axis system.
In the 12-note system three different 1:2 models may be established, in accordance

with the three functions: a tonic, a dominant and a subdominant. Every further form
agrees with one of these models, e.g. in C tonality:
Fig. 31.

All chords and models appertaining to the same axis constitute a functional unit.
Fig. 32

Examples
Fig. 33

1:2 model harmonic turns **)

If we combine a major seventh and a subminor chord
lying a minor third higher
we
get the 1:2 model. This combination became current among the Romantics.
Fig. 34

In Act I of Tristan, the

inner world is visualized by the
Tristan chord(F
subminor), while the
outerworld by the chorus of the Sailors at all times
appearing in the form of a
D major seventhchord.
Fig. 35

Model 1:5
Model 1:5 represents another typical axis sequence: it rests upon polar relations.
Fig. 36

Fig. 37

Model 1:2 may be split up into two 1:5 models.

Fig. 38

In the Mikrokosmos piece From the Island Bali both left and right hands play 1:5
models, which together create a complete 1:2 model.
Fig. 39

The closing chords unite these four elements.

Fig. 40

In the final chord two triads are merged: the difference of six accidentals between the
two triads create a polar tension and the two triads fuse in a perfect alpha harmony.
Fig. 41

1:3 model
While models 1:2 and 1:5 have a powerful
tonal character, the 1:3 model
annihilatestonality due to its augmented triad structure. For instance, the C-E b-EG-Ab-B 1:3 model comprehends the following triads:

The floatingquality of model 1:3 was already recognized by Liszt and Wagner.
Fig. 42

Examples

Fig. 43

Complementary (annihilating) keys

A 1:3 model can be created by uniting a major and a minor triad (the latter lying a
major third lower).
In this case one triad neutralizes the other since their notes combine in an atonal 1:3
model. This is why such triads express a contrast in their content as well.
Fig. 44.

The idea of
annihilationgoes back to Romantic models. When Wotan in the great
Monologue of the Valkyrie prophesies the Twilight of Gods, his words "Das Ende!
Das Ende!" evoke E major and C minor which tonally destroy each other.
Fig. 45

A peculiar manifestation of the

annihilationidea is Webern
s famous Reihe in
which two 1:3 models are merged:

Fig. 46

A change from major to the complementary minor (E majorC

minor) results in a
negative effect
, it is associated with gloomy, or even, oppressive and irrational
experience. (See Fig. 45 above)
And conversely, a change from minor key to the complementary major (e.g. C minor
E major) creates a
positiveimpression, it is inspired by enthusiasm and serenity
like the E major episode at the end of Beethoven
s Piano Concerto in C minor.
In the chorus The Aged, Kodly translates the life-and-death symbolism of the piece
into the language of music by means of complementary keys: G major and Eb minor
then Bb minor and D major:
Fig. 47

The entire tonal plan of Bluebeards Castle is built up of such complementary

relations. F# minor is the key of
nightand C major that of
light
. C major can be
destroyed by means of the Ab minor key thus the latter is associated with
death
b
#
symbolism. On the other hand, the night
s F minor can be defeated by B major
thus it became the symbol of
love
. The four triads together include every degree of
the chromatic scale:
light
:

C-E-G

death:

Ab-Cb-Eb

love:
night:
F#-A-C#
Bb-D-F
The basic tonality in Kodly
s Psalmus Hungaricus
A minor
is equivalent to
weeping, imploration, despair, curse. The dnouement of the action, on the other
hand, takes place in the complementary key: Db = C# major. It is the task of D b major
to absolve from the weight of the curse:
From you he removes your every burden
.

And that of C# major to become the key of elevation and apotheosis:

In honour
Thou wilt raise him on high!
Complementary keys may appear in a hidden form, too. The "Sndenqual-motiv"
from Parsifal exerts a tormenting effect because the authentic sequence (moving
authentically on the circle of fifths) is coloured by complementary chords: F major
and Db minor in b. 1; Db major and A minor in b. 2, etc.
Fig. 48

(3) EQUIDISTANT SCALES

Closed sequences may, however, be created by simpler means by composing
equidistant scales from the Fibonacci intervals 2, 3, 5, 8:
from major second intervals
from minor third intervals
from perfect fourths
from minor sixth intervals

(2)
(3)
(5)
(8)

whole-tone scale,
diminished seventh,
fourth chords,
augmented triad

can be established.

Fourth chords**)
Owing to the folksong inspiration, strikingly frequent is the theme formation and
harmonisation with fourth chords.
The characteristic fourth-accumulation in our
ancient melodies spurred us on to the forming of fourth chords: we have projected
here the horizontal succession into vertical simultaneity(Bartk: The Influence of
Peasant Music on Modern Music, 1920).
This is how Bartk transforms the fourth melody into a fourth harmony in the Violin
Concerto:
Fig. 49

Tonicantitonic relations in the pentatonic scale

Thus, fourth chords in Bartk and Kodly
s compositions derive from folk-music,
and in keeping with the folksong inspiration, also in the connection of fourth chords
the inner laws of pentatony assert themselves.
To mention the most important one: of two fourth chords which are placed at a
distance of a minor third (3) or major second (2) from each other, the
tonicmodel
is always the one which lies a minor third lower or (which means the same) a major
second higher than the other. We call one of them the
tonic and the other
antitonicmodel:
Fig. 50

In Fig. below, the

tonicmodel is represented by fourth-degrees C-F-B b, and the
antitonicby fourth-degrees Bb-Eb-Ab.
Fig. 51

The tonic-antitonic attraction originates in the SO-RE

MI (DO-SO
LA) cadence so
frequent in folk melodies: the SO-RE holds the tension, while the MI corresponds to
the tonic resolution:
Fig. 52

It deserves a special attention that this time we are faced with a two-function system
(and not a three-function one, as in classical harmony).
Incidentally, chords based on the SO-LA-DO-RE structure have a floating, soaring
effect since the tonic and antitonic (RE-LA and DO-SO) relation supports not the
lower,
but
the
upper
note.

Omega chords
In my analyses, the letter omega indicates the whole-tone scale. I have deliberately
chosen the letter farthest from alpha because Bartk himself used them oppositely.
Alpha is
tensein character, omega is
dissolvedand this quality becomes
apparent in that the whole-tone scale, as opposed to alpha and pentatonic structures,
contains not one single perfect fourth (nor a perfect fifth) without which the tonal
character of the chord becomes unstable.
In the 12-tone system two omega scales can be distinguished (6+6 notes), they are
mutually
geometrical dominantsof each other (C-D-E-F #-G#-A# and Db-Eb-F-GA-B): w1 and w2.
Fig. 53

Kodly
s chorus Fancy concludes with a complete omega harmony depicting the
peal of bells:
Fig. 54

The omega harmony

due to its fluid character
lends itself particularly well for tonepainting (landscape painting). We give a Kodly example:
Fig. 55

Because of the contrast, the direct confrontation of the alpha and omega tonalities is
very effective. In the third movement of Music for Strings, Percussion and Celesta,
the central
lighttheme accompanied by the high-pitched cymbal also includes
this duality. The motif is
centralizedaround the C note. Depending on whether it
occurs in root position or inversion,
Fig. 56

it can be accompanied by omega chords (Fig. 53 on p. 35) or by alpha chord: through

the periodic repetition of diminished triads, a closed alpha structure is created:
Fig. 57

*
In practice, the Fibonacci models
i.e. alpha and axis harmonies, 1:2, 1:3, 1:5 models
and equidistant scales
merge into each other. In Fig. below, the hunting ostinato is
quoted from the chromatic first movement of Bartk
s Sonata for Two Pianos and
Percussion:
Fig. 58

The entire chromatic scale is included in the twelve notes of the ostinato. A
polecounterpole

relationship exists between the opening and the closing notes (upper
part A and Eb, lower part F# and C), forming together an axis arrangement: F#-A-CEb. The upper part is composed of the A-B-Db-Eb-F-G omega scale (its formula being
2+2+2+2+2+2), while the lower part of the complementary omega scale F#-G#-BbC-D-E. The two parts progress in parallel minor thirds (3). Motivically, each part is
built of minor sixth (8) elements: the upper part of augmented triads A-F-D b and BG-Eb, and the lower part of augmented triads F #-D-Bb and G#-E-C (8+8+8). The
harmonic character of the ostinato is defined by gamma chords (3+5+3) and 1:3
models:
Fig. 59

The two 1:3 models can be fitted chromatically. Thus all of the structural elements
are

Fibonacci
formulas
.

B) THE DIATONIC-OVERTONE SYSTEM

ACOUSTIC (OVERTONE) CHORD
The basic form of the diatonic system is the so-called acoustic scale (DO-scale with
FI and TA), e.g.
C D E F# G A Bb C
and the acoustic harmony, for example, C major triad with natural seventh B b,
acoustic fourth F#, and major sixth A (
pastoralsixth) which is called acoustic
since its notes originate in the natural overtone series:
Fig. 60

Examples
Fig. 61

Other examples see: Fig. 87 b on p. 50 and Fig. 107 on p. 65.

The acoustic character becomes even more effective if it is the result of an expansion.
The hunting-fugue in Bartk
s Cantata Profana becomes so explosive since the
minor third changes into major and bursts with an acoustic fourth (MA-MI-FI):
Fig. 62

The perfect fifth frame of the theme and its two

points the acoustic fourth at the
half-close (FI) and the acoustic MI-TA step at the full close
only enhance the natural
atmosphere of the scene.
The acoustic chord, with the exception of one tone, contains a whole-tone scale
(omega) as well: Bb-C-D-E-F#. Therefore, the acoustic chord can easily be coloured
by the omega scale:
Fig. 63

The acoustic harmony is familiar in Kodly

s music too although he had an
affection for the brighter Lydian modality:
Fig. 64

In Kodly
s music there is often very little difference between the acoustic harmony
and the polar harmony. For example, in Fig. above the first chord is the combination
of Bb seventh and E seventh. The acoustic chord of Fig. 84 b consists of the C major
and F# major counterpoles.
Now we try to find a new path in deducing the acoustic harmony. Let us start from
our observations See: p. 77 that the relative of the C major is A minor and that of
the latter is F# subminor:
Fig. 65

The tones have a symmetrical distribution around the virtual RE (=D) symmetry
center! If we combine the tones of the three chords we obtain an acoustic harmony. In
both cases FI and TA are determinants of character. And what is evident again: FI and
TA are exact reflections of each other in relation to the RE symmetry center.
The acoustic scale became a static
colour chordbecause it lacks the two sensitive
notes that characterize the major scale: instead of FA and TI (F and B) FI and TA (F #
and Bb) notes occur.
What the spectrum of rainbow-colours is in optics, is the natural overtone scale in
music. (The term
acoustic scale comes from me 1947).

Hypermajor and hyperminor

Whenever Bartk or Kodly intends to endow the acoustic harmony with more
light
, the minor seventh of the acoustic chord is raised to major seventh.
Fig. 66

We shall call this chord type (major triad with major seventh) the hypermajor
harmony:
Fig. 67

The hypermajor embodies the most solemn sound-type in Bartk and Kodly
s music
(the opening chords of Psalmus Hungaricus and Budavri Te Deum are hypermajor
harmonies) it has become the characteristic concomitant of apotheoses.
The origin of the well-known
Bartk signaturealso goes back to the hypermajor:
Fig. 68

The hypermajor owes its light not only to its major character and major seventh, but
primarily to its consisting of two perfect fifths (see Fig. 67 above).
In the most pictorial effects the hypermajor harmony merges with the acoustic fourth
(FI):
Fig. 69

The hypermajor has a counterpart: the hyperminor. Its construction is a minor triad
with major seventh (the Eb-G-B augmented triad adds considerably to its individual
colouration):
Fig. 70

Your leitmotifwrote Bartk in a letter to Stefi Geyer. It is to be found all over

where the text speaks of pain and passion (see: Fig. 70 b above).
By inverting Bartk
s
leitmotif of love
, a peculiar kind of chord arises which in
Bartk
s works is associated with the symbolism of death:
Eros turns downwards
his torch!
Fig. 71.

It appears whenever desire is fulfilled and, as a consequence of the fulfilment, passion

ceases. Through the inversion the augmented triad of the hyperminor (E b-G-B in the
foregoing example) moves to the bottom of the chord: A-F-C #; this is the source of
the neutralizing effect. The final chord of Bluebeard
s Castle is also a hyperminorinversion, the whole opera terminates in this symbol of death:

Fig. 72

Alpha inversion
If it is true that the diatonic system is merely a mirror-image of the chromatic
system,***) then
diatonicsound-types can be produced by inverting the layers of
the alpha harmonies:
Fig. 73

The diatonic impression is the direct result of the alpha-inversion being ruled by
fifths, major thirds and minor sevenths (i.e. the closest overtones) that are precluded
by the alpha harmonies.
Oddly enough, the harmony with a major third above the root and with a minor third
below it, evokes the most
openedimpression:
Fig. 74

And to bring to an end the interconnections: the alpha-inversion carries in itself the
seed of the acoustic harmony as well:
Fig. 75

By exchanging the C and F# notes, a polar relationship can be effected (C and F #

seventh chords, or C and F# ninth chords). The recapitulation theme in Kodly

s
Hry Prelude (Fig. 84 b on p. 48) may be interpreted equally as a C acoustic or an F #
acoustic tonality.
This 4-note polar formula started gaining ground already in Romantic music. The
tonal nucleus of Station 10 in Liszt
s Via Crucis, or the fortissimo explosion
introducing the great ensemble of Act III in Verdi
s Otello, allows the following
interpretations:
Fig. 76

*
Let us summarize the basic types of the two harmonic systems:
CHROMATIC-PENTATONIC SYSTEM
Pentatony, Fibonacci-models
Alpha chords
Models 1:2, 1:3, 1:5
Equal-degree harmonies
from intervals
2, 3, 5, 8

DIATONIC-ACOUSTIC SYSTEM
Overtone chord, acoustic scale
Alpha-inversion
Hypermajor, third-tower
Equal-degree harmonies
from fifths, major thirds
and minor sevenths

*) It includes subminor chords, too (see. p. 77) (ed.)

**) Title given by the editors.
***) (see pp. 48-50)

AUTHENTIC AND
PLAGAL THINKING
The most characteristic feature of Bartk and Kodly
s technique is the dual
treatment of material.
In my analytical studies, I have used the terms
pentatonicand
acoustic(system)
to describe the two aspects of their music.
Systematically, the two basic types are mirror images of each other. If, in the most
general way, we have defined the
chromatic
pentatonictechnique as obeing the
rules of the Fibonacci series, then the diatonic overtone system is none other than the
exact counterpart
systematic inversion
of the chromatic rules.
Pentatony has its source in Eastern folk music; accordingly it is of melodic origin.
The overtone (acoustic) system, on the other hand, is rooted in Western traditional
music and is therefore of harmonic origin.
The overtone system is controlled by the laws of physical consonance. (Harmony is
perfect when the closest overtones are merged in it.) In the major triad our ears
register the most simple arithmetical proportions. A major chord represents an order
based on the simultaneous sounding of notes thus it is vertical in construction: it has
a
spatialextension.
Pentatony, on the other hand, is of melodic origin. And since melody presupposes
tones following each other in
time
, it has a horizontal, linear extension.
The primary distinguishing mark of pentatonic cultures is the descending DO-LA
minor third and LA-MI fourth (as a cadence). The derivation of DO-LA and LA-MI
cannot be traced back to the laws of physical consonance. Just the opposite.
Pentatony reflects a peculiar tension (which could well be termed
life tension
) and
is justified by the organic physiological disposition of our ears. This implies that
while the overtone system suggests arithmetical proportions, the pentatonic system
owes its tension-character to the most simple geometric progression which governs
organic
development
of

natural
growth.

DO system and MI system

In Western musical cultures the feeling of tonality is created by the triad conson-ance:
the
con
-sonanceof the third and fifth. It was the prelude and folk choruses of
Mussorgsky
s Boris Godunov that first made me feel that there exists a musical

culture radically different from European harmonic thinking. The archaic quality of
these melodies resides in their six-four structure.
Fig. 77

In the Hungarian folk song below the keynote and tonal resting point is the C. Both
the harmonic and the tonal meanings of the quoted melody are determined by the
MI
pentatonicstructure. This harmony is not F minor but it is a scale based on C as a
root:
Fig. 78

And this six-four harmony (C-F-Ab) is not the second inversion of the root-position F
minor triad; consequently, it is not a secondary formation but a musical element
equal in rank with the root-position triads.
A distinctive feature of melodies on MI as keynote is that the root is frequently
reinforced with a leading-notestep: the Phrygian FA MI turn (Fig. above).
NB: the Phrygian scale is a MI scale!
The basic step of the plagal
six-foursystem is the LA MI cadence, while the
basic step of classical harmony is the authentic V
I dominant
tonic SO DO
cadence. Perhaps nothing demonstrates better the relationship of Western and Eastern
ways of thinking than the fact that (in relation to the RE symmetry center) the
authentic SO DO cadence of classical music and the plagal LA MI cadence, are
precise mirror images of each other:

the DO and its reflection, the MI, can alike serve as the tonic fundamental note:
Fig. 79

The overtone system follows the law of free-fall (delineated in the fifth-circle, it
points towards thesinking direction) while the pentatonic system obeys the principle
of tension and, as such, acts against the law of free-fall.
If the dominant-tonic cadence, characteristic of Western music, is represented by the
G7 C chords, then we can take it for granted that the
mirror imageof this
formula (related to the RE symmetry center)gains an Oriental colouration. This
cadence is well-known to us from the Prelude of Act III of Tristan. The sensitive
notes TI and FA play an important role in both instances. But while in the V-I cadence
theTI-DO leading note step comes to the fore, the oriental colouration originates from
the FA-MI
leading notestep.
Fig. 80

As in classical harmony, the TI DO leading-note step affirms the tonic DO

keynote, so in this style of expression, the FA MI step reinforces the MI tonal
keynote. Not to mention that, in relation to the REsymmetry center, the TI DO and
FA MI leading-note steps occupy a symmetrical position and they move
symmetrically as well:

The notes of the acoustic scale are also symmetrically arranged around the RE
symmetry-axis (the mirror-image of FI being TA). (See: Fig. 214 on p. 110)

Degree RE constitutes the symmetry center not only of the pentatonic scale, but of
the major and minor scales as well (where upwards and downwards from the RE,
each interval has its exact mirror image):

The relative major and minor keys therefore show an inverted relation to each other
as compared to the RE. (See the relationship of C major and A minor in Fig. 183 on p.
96). The unison melody at the opening of Wagner
s Tristan
the Sailors Song
appears
in two basic forms: one accompanied by a SO pedal point and the other by a MI
pedal point. In the former it is the SO-DO, in the latter it is the LA-MI that
determines the tonal quality of the song thus the first takes on a
major and the
second a minorcharacter.
Fig. 81

Let us bring also degrees DI and MA into the above relation creating a polar
tension. The symmetrical position of the DO DI and MI MA steps in
comparison to RE
is again evident:

The basic scale of Bartk

s chromaticism is, as we know, the 1:2 model. If we add
degrees DI+MA to the notes of the above example, model 1:2 is created:
Fig. 82

While DI and MA appear as expressive

tensionalelements, FI and TA appear as
impressionistic
colourelements, the former taking on a dynamic, the latter a static
character.

The complementary relation of the two systems

The harmonies of the chromatic and diatonic systems are
Janus-facedharmonies.
They form contrast in unity. The two harmonic spheres complement each other to
such an extent that the 12-note scale can be separated into a
golden section
b
sequence and an acoustic sequence (D
Phrygian step!
and B, as chromatic degrees,
require a chromatic interpretation).
Fig. 83

The characteristic intervals of the two harmonic worlds complement each other like
the
positive
and
thenegative
of
a
photograph:

PENTATONIC SYSTEM
ACOUSTIC SYSTEM
minor third (3)
major third
fourth (5)
acoustic fourth
minor sixth (8)
fifth and major sixth
In the Hry Prelude, Kodly opposes the MI scale to the DO scale: the C=MIpentatonic theme of theexposition returns with DO character in the recapitulation:
Fig. 84

Inverted relation of the two systems

But the relationship between the two systems is multidimensional. The elements of
the pentatonic and acoustic systems not only complement but also reflect each other:
through the inversion of the 8, 5, 3, 2 steps, acoustic intervals are produced, and viceversa:
PENTATONIC SYSTEM
minor sixth ( 8)................
fourth (5)........................
minor third (3).................
major second (2)..............

ACOUSTIC SYSTEM
major third
fifth
major sixth
natural seventh

In Bartk
s Cantata Profana, too, D represents the tonal key-note. The beginning
scale and closing scaleof the work are each other
s mirror images note for note.
Fig. 85

The opening of the work rises out of MI pentatony (D-F-G-Bb-C framework)

while
#
the framework of the closing theme is DO pentatony (D-E-F -A-B)
and both scales
are coloured by degrees FI and TA. The closing scale will therefore take the shape of
an
acousticscale (DO-RE-MI-FI-SO-LA-TA-DO), whereas in the opening theme
we find a diminished fifth
TA
instead of a perfect fifth.

In his Harvard Lectures Bartk himself made reference to the MI scale in question.*
The basic tonal idea of Bartk
s Cantata Profana had already been realized by Liszt
in his Via Crucis its form built on the
reflectingrelationship of the DO and MI
systems. The beginning and end of the work are alike rooted in the D keynote. But
while the former develops from MI pentatony (D-F-G-B b theme of six-four character)
the latter shows its exact inversion, thus closing the work with a DO scale.
Fig. 86

Bartk
s Sonata for Two Pianos and Percussion reflects a similar structure: the
principal theme ofMovement I fills out the MI pentatonic frame: C-E b-F-Ab, while
the principal theme of the final movement gains a firm DO character (C major
chord!) being at the same time a perfect acoustic (overtone) scale.
Fig. 87

In Bartk
s and Verdi
s music alike, the direct confrontation of the two systems form
the mainmastsofthe work. In Bartk
s Sonata for Two Pianos and Percussion, the
dramatic metamorphosis takes place on the border-line of Movements II and III. The
end of the second movement is a six-four chord based on C (C-F-Ab), the beginning
of the third movement, however, is founded on a C major chord with an acoustic

scale.
In Beethovens Missa Solemnis, "sepultus est" is associated with a six-four chord
based on C (C-F-Ab-C), whereas "et ascendit" with a C major harmony (cf. Fig. 79 on
p.45).

Consonance and dissonance

It follows from the very nature of the acoustic system that its formations are
consonant: owing to theovertone relations only consonant intervals take place in it;
whereas elements of the Fibonacci system are precisely those regarded as dissonant
by classical theory.
In the acoustic system the most powerful dissonance is embodied in the Fibonacci
intervals 2, 3, 5, 8 (thatis: minor subdominant harmonies). Within the pentatonic
system, however, this is also inversely true! In melodies based on the 3, 5, 8 structure,
the most vigorous dissonance coincides with the appearance of the perfect fifth.
The opening theme of Kodly
s Hry Jnos (Fig. 84 a on p. 48) rests upon the C=MI
pentatonic scale (C-Eb-F-Ab-Bb) in which the perfect fifth marks the point of highest
tension (TI degree!) and this C-G dissonance calls for a resolution (as in classical
harmony, the fifth-dissonance is also to be treated heavily: the accentuated G note
occurs in a strong metrical position).
We give a typical folksong example, too:
Fig. 88

Openness and closedness

The most direct experience (the most profound at the same time) is the duality
existing between the closedworld of chromaticism and the
opensphere of the
acoustic system. The closed Fibonacci-models produce a tense and dynamic effect;
the open overtone harmonies create a balanced and static impression. Also the
melodic lines follow this principle: in the closed world of the chromatic system, the
themes are most naturally joined with circular, rotary motions whereas in the open
diatony, with straight scale-lines (see Fig. 105 on p. 63).
It evolves from the dynamic nature of the chromatic system that its formations are in
a continuous progress of expansion or contraction hence the frequency of
scissor
themes,
funnel motifs, canons in ever-widening distances,
fanshaped
progressions, and so on. In the diatonic technique, however, there is no trace of these

pulsating progressions; acoustic harmonies are characterized by stability and

constancy.
The duality of openness and closedness is also expressed in the number relations. The
acoustic system rests on whole numbers (multiplying the fundamental tones vibration
by 2, 3, 4, 5, 6, 7, 8, etc., we obtain an overtone scale). On the other hand, the keynumber of the pentatonic system is irrational just like the p of the circle (about the
role of the geometric mean in Bartk
s music, see chapter Nature Symbolism). Also
the 3:5:8 proportion is only roughly accurate.
Finally, let us raise the question: how can we pass over from the plagal six-four
system to the authenticmajor-minor system? There are two possibilities.
(a) By means of a tonal answer, we can change the E-A-C six-four chord into the
A-C-E root-position triad. The unison principal theme of Psalmus Hungaricus is a
model of this procedure:
Fig. 89

NB., in the middle of the melody (bs. 5-6) the antitonic C-G-D, and the modal
dominant G major emerge: within the theme these represent the
tension function
.
(b) But the change is even more effective if the six-four chord based on E (E-A-C
or E-A-C#) is resolved by the triad of the same name: i.e. E major or E minor. In fact,
a similar change happens to the melody of the Bartk's Second Quartet, too, at the
very end of the first movement:
Fig. 90

*
The question here is why DO and MI are the most static points of the two tonal

systems. As we know, tonality can be established only through the asymmetrical

division of the tonal system. If the tones of pentatony are arranged in a fifth-order
(see: Fig. 214 on p. 110), the most perfect asymmetry is realized in the outer degrees:
in DO and in MI. The individuality of DO pentatony is decided by the fact that it can
be exclusively built up of perfect fifths. The character of DO pentatony is therefore
the most materialistic
. On the other hand, that of MI pentatony is the most
incorporeal and disembodied, as not a single perfect fifth can be built on the MI root.
Consequently, the DO scale is
material
, while the MI scale is
spiritual (abstract)
in character, suggesting an
innerworld.
This dualism was already realized by Wagner. The Parsifal-bells
sound differently
in the first and in the third act. The four-note motif C-G-A-E gains a
Cmeaning in
the former and an
Emeaning in the latter:
Fig. 91

This difference in character was already recognized by Verdi in Otello.The

inaccessible figure ofDesdemona is painted with MI-centered pentatony, whereas
Jago
s down-to-earth materialism is depicted with DO-based pentatony. It is
remarkable that the notes of the two scales are identical.
Fig. 92

On the other hand, degree RE

as symmetry center
proves to be the most unstable
point in the scale: symbolically speaking, within the pentatonic scale the RE
represents the point of
atonality
, which is why it has such a floating effect. One
single pentatonic harmony (the opening chord of the opera!) is enough for Verdi to set
the
storm musicof Otello whirling. The secret of the effect is that the chord is
founded on RE; the RE-character is further emphasized by the LA-DO-MI-SO
meaning of the G-Bb-D-F notes:
Fig. 93

In our 12-degree system (and this is well shown by the external look of white and
black keys on our keyboard instruments, or by our system of notation),
besides
degree RE
there is to be found one more symmetry center and this is the tritone of
RE: the
SIdegree (in case of C tonality, the G#=Ab note).
Thus chromatic and diatonic systems are phenomena which have developed not
unrelated to each other but they represent the two sides
negative and positive aspects
of the same musical cosmos. They affirm and deny, exclude and at the same time
presuppose each other. They form contrast in unity.

*
Duality and synthesis*)
I would like to attempt here an intepretation of Bartk
s dual world, his
yang-yin
technique, in terms ofan equation, contrasting some special elements encountered at
every step in Bartk
s compositions. This interpretation is particularly applicable to
the construction and content of the Sonata for Two Pianos and Percussion.
First, Infernomovement
chromaticism
golden-section system
closed world
circular pattern of melody
presence of central tone
rhythm with strong ending
uneven metre
asymmetries

Third, Paradisomovement
diatony
acoustic system
open world
straight pattern of melody
presence of fundamental tone
rhythm with weak ending
even metre
periodicity

C major end
F# minor beginning
demoniac world
serene world, festive and playful
instinctive existence
intellectual existence
organic
logic
love
hatred
perfect understanding
irony
tension
freedom from tension
emotional nature
sensuous nature
inspiration
thought
experience
knowledge, solution
feminine symbols
masculine symbols
dependency on fate
law, order, form
permanent change
validity at all times
augmentation
diminution
stabilized forms
occurrence
existence
process in time
extension over space
origin
development
conclusion division
finite: circular motion
infinite
geometric nature
mathematical nature
(key figure to golden section:
(key figures to overtone system:
irrational figure)
integrals)
The principle of duality meant the possibility of synthesis for Bartk. He was not
only aware that F# and C were counterpoles but also knew what it meant to get from
darkness into light; he does not only teach us to see dialectic opposites in
chromaticism and diatony but also shows the way from Inferno to Paradiso.
*) from the essay with the same title (ed.)

THE QUADRPOHONIC
STAGE OF THE
MUSIC FOR STRINGS,

PERCUSSION AND
CELESTA
As far as concentration and closeness of form are concerned, none of Bartk
s works
surpasses the opening movement of the Music: the famous
pyramid-fugue
. Its
closeness, resembling a circle, is already manifest in the key structure. The entrances
of the fugue-theme are based on the circle of fifths. Starting from the central A note
and the middleviola part, the entrances progress in two directions up and down
round the circumference of the fifth-circle, till they meet at the centre of the
movement on the opposite side (the
counterpoleEb):
Fig. 94

then continuing their progress, they find their way back to the starting-point: from E b
to A.
The dynamic line also follows this arc-form: the movement is based on a singlesweep crescendo-decrescendo: starting from pianissimo, it rises steadily to attain the
climax, the fortefortissimo and then step by step sinks back to pianopianissimo (this
is why the movement is also known as the
scissor-fugueor
fan-fugue
). In
addition, the entrances become more and more frequent up to the culmination, and
from there they become rarer and rarer: the first five theme-entrances are presented
one by one, entrances 6-7 appear in canon, and entrances 8-11 simultaneously (in a
narrow sequence); while after the culmination the same process is reversed. This
means that the pyramid form is also effected in the condensation and thinning-out of
the material. In fact, the fugue-theme itself is inverted from the peak of the pyramid,
and proceeds in mirror fashion:
Fig. 95

Faced with such a degree of concentration, we can be justified in asking whether this
is merely a technical stunt or whether, on the other hand, the visible form itself
represents the projection of the poetic conception.
As far as my own impressions are concerned, I would define the place of the fugue in
the work as follows. The opening movement is born in the spirit of the Bartkean
creationidea. Bartk evokes the elementary explosions at the movement
s central
point in order to create the transition from chaos into a dialectically articulated world.
At the moment of culmination, the swirling, shapeless material a resound-ing chaos
is organized into
intelligiblepairs of antitheses (questions and answers): the
material separates into mutually complementary elements; set against the
homogeneous, impersonal whirling of the first part, it is precisely this dialectical
separation of light and shade that signifies the appearance of personal elements and
individuality in the work:
Fig. 96

In the qualitative transformation of the material, a significant role is played by the

double sound stage: the double orchestra. The piece engages two string orchestras,
between which the piano-celesta-harp group and the percussion are placed. Thus the
arrangement of instruments not only polarizes the tonality (as the title vividly
expresses, from the resounding drum to the ethereal celesta), but through the
stereophonic effect of the strings on the right and left polarizes the musical
stageas
well.
The introductory part (the exposition) of the fugue takes place in the acoustical area
to the right of the centre; the movement, however, comes to an end on the opposite,
left-hand side of the stage. The concepts of left and right even in ancient philosophy
were identified with the
innerand
outerworlds. On modern stereo stages (
sonic
stages
) this identification has actually become the rule! The special content of


rightand
leftmay be connected with the asymmetrical construction of our body
in particular with the fact that our heart is on the left side.
A stereo record-player easily persuades us how completely the character of the
movement would change if the orchestras on the left and right were exchanged. (My
art history teacher once put slides of Giotto
s fresco, The Mourning of Christ, and
one of Rembrandt
s landscapes became in the projector in
mirror-view
, reversing
the left and right sides in order to illustrate how the change radically altered the
effect, mood and message of the picture; for example, the landscape
impressionistically open or intimately personal in character, depending on whether
the tree came to the right or left of the picture.) All this coincides with our previous
observation that the shapeless swirl in the first half of the movement contains
impersonal, while the clarification in the second half, personal elements.
This is how the fugue-theme rises from the depths to the heights: to the dream-like
swaying of the final part and from the
outer(right-hand) stage to the
inner
(left-hand) stage. (The progression from the right to the left corresponds to the
Eastern way of thinking similarly to the pentatonic system of the movement.)
The foregoing reveals that the severity of the composition reflects not the laws of
formal logic but those of organic development. This is all the more evident in the
formation of the proportions, for these follow not the principles of classical symmetry
but the laws of natural growth. For example, if each branch of a tree grows a new
branch every year, but the fresh branches grow their first young branch two years
later, the number of branches shows an annual progression as follows:
2, 3, 5, 8, 13, 21, 34, 55, 89
The 89 bars of the fugue are divided by the climax into 55 + 34 sections. The removal
of the sordino divides the first part of the movement in a 34 + 21 ratio, while the
second part of the movement is chopped by the renewed con sordino effect into 13 +
21 bars with sharp contours. The exposition ends in b. 21, and even the final 21
bars of the movement show a 13 + 8 proportion. The section
points like the nodes
of a longitudinal wave are attracted towards the centre (in keeping with Blow
s
Beethoven analyses, the movement must be completed by a rest bar):
Fig. 97

The form of the movement thus creates one single wave-arc.

The centre of the movement has the task of bringing about the metamorphosis that
transformation which is the basis of every real dramatic action. The form constitutes

one single magnetic field

: crossing the centre the poles of attraction are exchanged!
So the appearance of the
counterpoleat the climax also has a fairly essential
function of content.
The transformation of the material is also indicated in the other movements by the
appearance of the counterpole by this means the four movements, collectively as
well as individually, are enclosed in a polar circle:
Fig. 98

MOVEMENT I
beginning and end: A,
middle point: Eb (56).
MOVEMENT II
beginning and end: C,
middle point: F# (263).
MOVEMENT III
beginning and end: F#,
middle point: C (46).
MOVEMENT IV
beginning and end: A,
middle point: Eb (83).
In order to illustrate the dual plan of the Second movement, let us place the themes of
the exposition and recapitulation side by side. The movement springs to its feet with
an irritated reflex. Observe how (with a tigre-like gesture) the second orchestra cuts
into the theme-entrance of the first!
Fig. 99

(And vice versa, from b. 10 the first orchestra into the second.) It would scarcely be
possible to bring about this effect with mono sound! The parts
bite into one another
savagely. (The collisions and sharp clashes of the parts also determine the character
of the exposition in what follows.)
On the other hand, in the principal theme of the recapitulation the instrumental
groups of the two orchestras unite. The rapid, tearing motions of the exposition pass
into a balanced
rocking
:
Fig. 100

this is why the role of the timpani alters (see: Fig. above).
The sharpest contrast is nevertheless produced by the closing theme. Its entry in the
exposition is equivalent to
conflict
: the broad flashing lines and flashes of lightning
(accompanied by side-drum crescendos and crackings of the bass) lead to a
wrestlingof the parts: the various instrumental groups struggle resolutely with one
another without arriving at a result (b. 141). The essence of the exposition is that its
plot remains unsolved. Not so in the recapitulation! The closing theme of the reprise
is meant to bring about fulfilment: Un poco largamente (b. 466, taking the place of
the previous wrestling!).
After the unresolved, unaccomplished exposition, the secco clatter and high tension
spark-discharges of the development ensue with the certainty of a physical
reaction. Behind the string-rending staccatissimos and murderous excitement of the
rhythmic flashes, there once more stands the fugue-theme note for note:
Fig. 101

At its every step, the score of Music for Strings, Percussion and Celesta betrays that
the composer
s inner hearing was stereo. What is more, Bartk was acquainted with
principles which the pioneers of modern stereo recordings did not begin to develop
until the early sixties.
In the principal theme of the second movement, the left group of strings is taken over
by that on the right (see Fig. 99 on p. 59), while in the principal theme of the fourth
movement, the right orchestra is answered by the left, in accordance with the fact that
as opposed to the energetic short-tempered impulses of the beginning of Movement
II the mood of the finale is relieved and joyous. We have already experienced the
crucial importance of the fact that the two orchestras are united at the recapitulation
of the second movement (likewise the sound becomes
centralizedin bs. 74 and 114
of the finale).
Melodies appealing to
emotionsas the secondary themes of Movement III
come forward consistently from the left, whereas thoughts of
spiritualcontent
come from the right. It is not even conceivable otherwise: at the end of Movement IV,
where the fugue-theme returns in
diatonicform, the tune is heard from the righthand stage the spiritual quality of the thought is in this way significantly extended.
Further it can be observed that the
impressionisticcharacter goes hand in hand with
the spatial polarization of the tonality; and conversely, the more
expressionisticthe
character of the music, the more the external space loses its importance and the
tonality becomes homogeneous mono-sounding. This in itself conceals exceptional
possibilities! E.g., at the climax of Movement I when all our attention is focused on
the inner dynamics and tension Bartk suddenly transforms the polarized sound
into monosound, that is, he makes the two orchestras play the same parts. The

reverse is just as effective; but as opposite laws apply to the

chromatic and
diatonictechniques, in the diatonic world this also comes to pass the other way
round: the homogeneous sound becomes a
stereosound at the climax in much the
same way as when we have ascended a hilltop, the landscape all at once opens up
before us. The opposition of the left and right often produces the sensation of
here
and
away(the music of the next movement offers an interesting example of this).
Ferenc Liszt also writes about this symbolism in a poetic letter (Florence, 1839) on
Raphaels painting Saint Cecilia.
The painter places Paul and John on the left of the
picture: the former is deeply absorbed in himself, the outer world ceases to exist for
him; behind his giant figure immense profoundities are lurking. John is a man of
"attractions" and "feelings"; an almost feminine face looks out at us. On the other
hand, Augustine on the right of Cecilia, maintains a cool silence ... he abstains even
from the most sacred emotions constantly fights against his feelings. On the right
edge of the picture stands Magdalene in the full splendour of her worldly finery; her
whole bearing suggests worldliness, her personality radiates a sensuousness
somewhat evocative of Hellas... Her love stems from the senses and adheres to
visible beauty. The magic of sound captivates her ear faster than her heart is
possessed by any supernatural excitement.
Movement III is a magic nature music. Its form again rests on symmetry on a fivepart
bridge form(the order of the themes being A-B-C-B-A): on the one hand, the
dirge melody of the first and last sections, and on the other, the alluring siren music
of the second and fourth sections rhyme with each other; the sharp flashes of the third
theme mark the centre of the bridge. To put it another way, the form of the movement
delineates a spacious cupola, rising from the sobbing dirge-melody (A) up to the
ethereal siren-song of the secondary theme (B); then an undulation stirring up the
whole orchestra prepares the midpoint: the
lighteffects of the climax (C), (see:
Fig. 56 on p. 36) in order to lead back to the starting point, in reverse order of the
themes (melody B and finally, A).
Erich Doflein believes the xylophone rhythm at the beginning of the movement to
have been inspired by the wooden drum of Japanese No dramas. That Bartk resorts
to such sound-effects not for their own sake is proved by these very pages of the
score. From theme 1, the sobbing lament song, the
fumeof a gong-stroke rises to
the ethereal clear dolce-melody of the celesta-violin (theme 2); in the recapitulation,
however, since the order of themes is reversed, the previous dolce-melody is
suddenly stopped by the
snappingof the strings (produced by slapping the strings
against the fingerboard), and leads back to the dirge. And whereas the dirge-melody
and its nocturnal F# tonality is deepened by the shuddering sound of the timpani (i.e.
the lowest drum effect), a high-pitched cymbal effect indicates the centre of the
movement and the key of light: C.
Fig. 102

As in the previous movements, the peak of the cupola (the counterpole of the
movement) also transmutes the action in its content and this is movingly expressed
by the recapitulation of the secondary theme:
Fig. 103

The most essential effect often escapes the attention of performers: this theme
reappears in canon, and from the
imitatingpart of the canon (cello) Bartk requires
a more intensive dynamism than from the
leadingviolin: the cello is piano, the
violin pianissimo. Thus the effect arises: the melody becomes a recollection, a
memory image: with the help of the canon, it shifts in space and time (attention and
mind are divided into two) it takes place on a divided double-stage and, owing to
the stressed imitating part, a stronger light is thrown on the more distant stage. We
point this out because in Bartk
s recapitulations, canon melodies of slow space
usually play the role of memory
, remembrance, reminiscence.
Here the reminiscence effect is enhanced by something else. The violin is heard from
the left, and the imitating cello from the right side of the stage. As on modern stereo
stage, the left is associated with ideas of
inside and herewhile the right with
ideas of
outside and far
.
Thememorycharacter makes us realize why the tune must end with the break of
the strings (a strong pizzicato so that the string rebounds off the fingerboard). As a
consequence of the crack, the basses groan and the dirge-melody returns.
The finale contains the poetic solution of the work. The solution lies in the fact that
the leitmotif of the work, the
closedfugue-theme which hitherto occurred in a
narrow a chromatic form reappears towards the end of this movement in a wide
diatonic form: in the
opensphere of the natural overtone scale (see Fig. 107 on p.
65).

The transformation from closeness to openness is already revealed by the principal

theme: the
circularmelodic lines of the first movement are here extended to
straightscale-lines:
Fig. 104

Bartk
s closed chromaticism can be represented by the symbol of the
circle
,
while his open diatony can be seen in the symbol of the
straight line
. The themes
also become assimilated to these emblems: the chromatic system is most naturally
combined with the circular, whereas diatony with the straight melodic line (scaleline). The opening and closing themes of the Sonata for Two Pianos and Percussion,
Music for Strings, Percussion and Celesta, and of the Fourth String Quartett are
shown here:
Fig. 105

In Dante
s Divine Comedy, the symbol of the Inferno is also the circle, the ring,
whereas his Paradise is symbolized by the straight line, the arrow, the ray. The
concentric circles of the Inferno narrow till they reach the Cocytus the circles of
Paradise, however, expand into the infinite Emphyreum. In the Comedy we frequently
come across the transformation of the circle into straight line, and vice versa. The
poet approaches, for instance, the denizens of the Purgatorio in this way:
You, who
are bent by life, keep circling to straighten out again(Purg. XXIII); or later on,
looking into the light-river:
Into roundness it seemed to change its length (Purg.
XXX).
How characteristic of Bartk
s simplicity that when the diatonic fugue-theme returns,
he is satisfied with a unisono melody (on the G string) the artistic solution is
achieved virtually without the assistance of technical means. Even when repeated, the
melody is coupled only with simple major-triads, through which the sound becomes

solid and solemn, like an organ signifying that the fugue-theme which was born out
of the resounding chaos of the first movement, through the piercing humour of the
second movement, and the spell of nature in the third, has finally arrived at its poetic
fulfilment.
But what does this
opennessactually mean? The hypnotic effect of the first
movement is the result of the fact that
during the progress along the fifth-circle
at
every moment, in every phase of the circumvolution, we are necessarily aware of the
positions the theme occupies in relation to the centre. Bachofen
s mythological
analyses call our attention to how deeply and indelibly the ritual act of
going round
has its roots in human nature (the excitement of ancient circus-games or of modern
horse-races, Dantes journey through the rings of hell or the lovers of the Magic
Flute going round the circles of the
fire and water ordealwould produce quite a
different impression on us should we disrupt this outer framework of the action).
In the closing movement all this happens differently. Here each new episode opens up
before us with the result that the material of the former section
bursts open
:
Fig. 106

What at first appears as a sort of

montageor
mosaicform, is in reality a
conscious constructional principle, thus constituting a striking contrast to the singlearched
wave-formof the first movement. If our earlier observations were correct,
we should expect to find the decisive turn again after the central theme: in the
unexpected
change of sceneof b. 114 (a change in key, too, because instead of the
expected C major, it switches over to the F# counterpole!). (See: Fig. 176 on p. 93).
The diatonic entrance of the fugue-theme marks the most beautiful
opening of this
kind. This is already reflected in the scale of the melody: its notes are derived from
the natural overtone sequence (C-D-E-F#-G-A-Bb-C) that is, the theme is
introduced not as a melody but rather the projection of a harmony:
Fig. 107

This is the source of the pervasive clarity, the hymnic floating of the theme and, as
mentioned earlier, its open spatial effect. Over the theme
again from the right
a
piping major-sixth organ point particularly underlines this effect (the major sixth in
Bartk
s tonal world may justly be called the
pastoral sixth
). This theme is the key
to the comprehension of the work. Is it not conspicuous how vividly this tune
this
unisono melody
is pervaded by the metrical pulsation of ancient hymns, suggesting a
text, the Hellenistic sense of form: infinite in its asymmetry, but at the same time,
clear in cadence and lilt like the conscious revival of the famous Seikilos hymn,
Fig. 108

of that Seikilos ode which is simultaneously both a drinking-song and an epitaph,

wisdom and love of life a balance between life and death.

POLYMODAL
CHROMATICISM
Should the modal character and
from a birds-eye

view
the organization of the twelve
solmizating letters be summed up in a few lines, it might run as follows: The twelve
degrees of the chromatic scale can be arranged in three groups.
First: the most peculiar feature of the system is that its center is being marked by a
Black Hole
. The center the zero point coincides with the point of
atonality
.
#
Up- and downwards from the RE or SI (D or G ), every degree occupies a
symmetrical position. (E.g., on the piano keyboard
related to D or G #
each interval
has its exact mirror image). Symbolically speaking, an element that is symmetrical to
everything represents the state of
physical death
. The symmetrical division (the
repeated bisection) of the circle of fifths
around the RE symmetry center
results in
the
tensionpoints of the system. (See first diagram of Fig. 214 on. p. 110)
Thus, if we separate these symmetry points from the chromatic scale, we arrive at the
RE
SI and TI
FA tritones creating the so-called
sensitive notesof the major and
minor scales (in the major: B and F in the minor key: D and G#).
However, if we omit these 4 notes from the circle of fifths, the basic scale of the
chromatic systemis obtained: in our terminology, the 1:2 model.
Second (in fact, this should be put in the first place): the most static pillars of our
tonal system are constituted by the DO-MI-SO and the relative LA-DO-MI triads
(i.e., C major and A minor belonging to it).
The third group contains typical modal colours:
The upward luring DI and FI produce a chiaro effect, whereas the MA and TA an
oscuro one. But while DI and MA (C# and Eb) appear as tense dynamic elements, FI
and TA (F# and Bb) emerge as static colour elements. DI and MA suggest a
major
and minortension, respectively. On the other hand, FI and TA determine the
character of the
acoustic (overtone) scale. ( Summary on pp. 110-112)

MAJOR TRIAD
MINOR TRIAD
I suppose it was Verdi
s Otello which made me realize that the basic concepts of our
music theory (and even the elementary particles and atoms of classical harmony: such
as the images of major and minor chords fixed in our minds) called for a reappraisal,
a better approach, a new interpretation.
Let us set out from the Db major triad (C# in fact) which crowns the first act of
Otello. Can we manage to apprehend the essence of the phenomenon if this chord is
interpreted, on the basis of our classical knowledge, as a
major chord of degree I
?
In this case precisely the most important experience would be lost: the description of
the unique
elevationwhich causes the stars to light up at the end of the act ("Vien...
Venere splende") and which raises the lovers into heaven. (See Fig. 109 on p. 67)
If the tonic E major is regarded as a DO-MI-SO chord and the C # minor as a LA-DOMI chord, the C# major harmony will then necessitate a LA-DI-MI interpretation!
Relative solmization makes a tangible distinction between the two kinds of major
triad: the E and C#. The DO-MI-SO and LA-DI-MI triads represent quite dissimilar
tonal qualities, different musical
characters
.
The principal idea of the work, the
kiss theme
, into which the end of the act flows,
leaves no doubt about the basic tonality. It takes place within the compass of the 4 # E
major and C# minor; then after a definite cadence
with a few linking notes
it opens
out in the C# major chord.
Fig. 109

Both are majorchords but because of the DI degree, the LA-DI-MI harmony is
much brighter and more exalted than the simple major triad. The DO-DI rise
produces the illusion of an elevation. This is what makes the stars vibrate, and
arouses the feeling of emotional fulfilment.
Fig. 110

The difference of 3 key-signatures between E major and C # major denotes the same
modal tension that has been called
axis tensionin the music of Bartk and Kodly.
(Chords based on identical axes for example C, A, E b, F# show a difference of 3,
or 3+3=6, accidentals.)
The famous
light chordin Haydn
s Creation oratorio blazes up with the same DODI rise! The meaning of
Eb major is DO-MI-SO,
C minor is LA-DO-MI,
C major is LA-DI-MI!
what is more, Haydn doubles the effect, by another 3-sharp elevation swinging over
from C major to A major.
The question suggests itself: what happens in the case of a descent of 3-flat keysignatures? For example, when C major is exchanged by Eb major.
Fig. 111

In this case DO major is transformed into MA major (C major into E b major). The
character of the Eb major chord is determined by the MA degree
the melody itself
expresses the MI-MA decline (E-Eb theme-opening). Thus the cited melody became
the leitmotif of
dream and sleepin Wagner
s Valkyrie. (In b. 3 a similar change is
enacted.) The difference of 3 accidentals between C major and E b major expresses
once more an
axis tension
.
The state of deep sleep (daze caused by poison) in Mozart
s Cos fan tutte, is
b
symbolized also by MA major tonality: B major following the G major key:
Fig. 112

Or let us take a MINOR triad, for example, an E minor chord, and replace it by the
key lying 3 signatures lower that is, by G minor. If we consider E minor as a LADO-MI chord, the G minor will have a DO-MA-SO meaning, and its character will
be determined by the sombre-sounding MA degree.
Fig. 113

The recapitulation of the Dies irae in Verdi

s Requiem makes a cruel impression
because the dominant B7 leads
not into the expected E minor
but into G minor: DOMA-SO chords!
Fig. 114

Verdi
s most ethereal musical formula is produced by replacing the expected A minor
tonic by F# minor: FI-LA-DI (Fig. 115). Its airy and sublimated effect arises from the
upward-luring FI and DI degrees. The music reaches, as it were, a point beyond
earthly gravitation.
Fig. 115

If a triad (either major or minor) is placed a minor-third degree lower, the DO rises to
DI
and the sound becomes brighter.

When the transposition is carried out in the

opposite direction, the tone
darkens
, because the MI sinks to MA (e.g. in the case
of a C major
Eb major change, or A minor
C minor change, the E note is modified to
Eb). The DO-DI change implies a rise of 3 sharps, the MI-MA change a descent of 3
flats.

An organic part of the cheerful atmosphere in the 2. episode from Kodly

s Dances
of Marosszk is that the theme, recurring four times (bs. 108, 120, 132, 144), moves
by minor-third steps downwards (that is, in each case it rises by 3 key-signatures)
so
that, in passing around the whole C#(Db)
BbG
E axis, it becomes brighter and
brighter.
As opposed to this, the dark and disquieting effect of sequences moving upwards on a
minor-third ladder, was already well-known to the Romantic masters. The call-todeath tone at the beginning of the Tristan Prelude would certainly dissolve without
this minor-third rise (4-4 bar sequence). In the "Liebestod" theme this process is only
accelerated: the melody moves upwards through minor-third degrees so that, in
passing around the whole Ab-B-D-F axis, it becomes darker and darker.
Fig. 116

The direct opposition of the two kinds of sequence is particularly effective

as it
happens in Bartk
s Violin Concerto: in this way does the first obtain a
joyful
, the
other a
strugglingcharacter:
Fig. 117

The refrain-melody of Dances of Marosszk acquires a fervently passionate or a

triumphant character according to which colouring element gains the upper hand: the
triad a minor third higher (on the first appearance of the theme), or a minor third
lower (on the last appearance of the theme):
Fig. 118

Tristan
s desire motif in the course of the Prelude emerges in three basic forms:
EXPOSITION
MIDDLE PART
REPRISE

F major
D major
F major
B major
F major
Ab major

and thus exhausts the complete F-D-B-Ab axis.

Fig. 119

The exposition involves an elevation of 3 key-signatures, the recapitulation implies a

descent of 3 key-signatures while in the middle part, there is no change in tension (a
difference of plus 6 = minus 6 signatures is established between F major and B major
and, as a result, the two cancel out each other
s opposite tension).
In Beethovens Missa Solemnis a breath of fresh air flows over the orchestra when in
the Gloria movement authentic (V-I) steps alternate with LA-DI-MI effects (B
A b,
DbBb, EbC, F
D major chords):
Fig. 120

In Grigory
s dream-narration from Mussorgsky
s Boris Godunov the text itself
indicates this ascension:
Long flights of stairs led me to the top of a high tower
.
The vision is evoked through harmonic sequences deepening by minor thirds:
Fig. 121

Casting our net a little wider now, we note that (related to the DO-MI-SO and LADO-MI triads), the
DI suggests a majorcharacter,
MA suggests a minorcharacter.
In my previous investigations (between 1947-1974) I worked out almost twenty
theoretical deductions of the axis system. Nevertheless, I have so far overlooked a
possibility: namely that relative solmization could be the most simple means of
making visible the attractions functioning within the system.

POLAR CHORDS (DI+MA TENSION)

On an elementary level, then, two key-words govern Romantic harmony: DI and MA.
However, the most characteristic axis tension is realized in polarity, in the relation of
the farthest keys: in the distance of 3+3, that is, 6 key-signatures (e.g. in the
connection of A major and Eb major or A major and C minor).
It follows from the above that a polar tension-character can be brought about by
modifying DO to DI and, simultaneously, MI to MA.
Let us take the simplest relation: C major and its relative A minor. If we replace MI
by MA in the C major chord, and DO by DI in the A minor chord, the result will be a
DO-MA-SO and a LA-DI-MI triad.
Fig. 122

The difference between the 3 flats of C minor and the 3 sharps of A major is 6
accidentals. (A chord based on LA calls to mind a minor triad
whereas a chord based
on DO suggests a major triad. In Figs 122-123, however, it is LA major and DO
minor that appears!)
Tristan
s death motif is, in fact, a materialization of this polar idea:
half-close cadence: A
major
full-close cadence: C
minor

= LA - DI - MI,
= DO - MA SO.

Fig. 123

The formal turning-point of Isolde

s Liebestod ("wundervoll und leise") reflects a
similar opposition: C# minor and A# major.
Fig. 124

In Bachs St. John Passion, the contrast between the soldiers and the Virgin Mary is
depicted by D minor and B major harmonies: dark DO-MA-SO and bright LA-DI-MI
chords. As B major appears, the scene is suffused by an almost celestial light:
and at
the cross of Jesus stood his mother...
Fig. 125

At the moment of Otello

s suicide, this order is reversed: the LA-DI-MI comes first,
then, with a sudden fall of six key-signatures, the DO-MA-SO chord (D major and F
minor).
Fig. 126

But let us return to the relative C major and A minor keys, and modify DO to DI and
MI to MA! The chord thus created condenses the A 7 and Eb7chords polarly (tritonic
relationship).
Fig. 127

Our next example is the appearance of Parsifal in the flower-garden scene. The basic
tonality is represented by C major and the relative A minor (C-E-G and A-C-E). If
we replace DO by DI and MI by MA, the continuation of the theme: the A-E b-G-C#
polar formula will then automatically spring from the C-C # (DO-DI) and E-Eb (MIMA) steps,
Fig. 128

again combining A7 (A-C#-G) with Eb7 (Eb-G-C#=Db). NB: A and Eb mark the
extremepoints of the fifth-circle, see diagram of the axis system.

This polar character is demonstrated with an almost sensuous force by Fig. 129. At
the beginning of Act III, Desdemona and Otello greet each other: Desdemona is still
unsuspecting
but Otello is already tormented by the thorn of jealousy. In keeping
with this, Desdemona stays harmoniously within the sphere of the tonic E major
C#
minor, while the same melody suffers a polar distortion by Otello: he deforms the DO
to DI and the MI to MA (E-E# and G#-G turn).
Fig. 129

Without precedents of this sort it would be hard to understand how the combined use
of DO-DI and MI-MA became regular in Bartk
s music as we can see for instance
in the "Marcia" theme of the Sixth String Quartet.
Fig. 130

And finally, we must mention the

reciprocalcase of the polar DI+MA tension. Let
7
us take a D major and an F chord as an example. The meeting of the two results in a
polar effect as the DO-MI (D-F#) notes of the first chord become DI-MA (D#=Eb
and F) notes in the second.
Fig. 131

A reverse effect can be created when the two chords are interchanged: in this case the
chord bearing polar tension is followed by a sudden resolution. In the Insurrection
scene of Verdi
s Don Carlos, the distorted situation is solved by an F7-D major turn:
the forbidding figure of the Grand Inquisitor towers above the crowd and with a
single gesture forces the rebels to their knees. The effect speaks for itself.
Fig. 132

Systematizing what has been said above, we can distinguish essentially three kinds of
major, and three kinds of minor triads. Shifting the MAJOR triad by a minor-third
interval, the DO changes into DI, or the MI into MA
according to whether we move
downwards or upwards. In this manner three kinds of major character come into
being: the three types are to be distinguished from each other by the solmizating
symbols DO-MI-SO, LA-DI-MI and MA-SO-TA, respectively.
Fig. 133

If the operation is performed with MINOR triads, three kinds of minor character will
be obtained which can be differentiated by the symbols LA-DO-MI, FI-LA-DI and
DO-MA-SO.
Fig. 134

That the problem in question is not a theoretical, but a

live one is well exemplified
by Verdi
s Falstaff (Act II, scene 2) where
A major = DO - MI - SO,
F# major = LA - DI - MI,
C major = MA - SO - TA.
Fig. 135

Liszts Rkczy March (Rhapsody XV) is an

embodimentof Fig. 134: the melody

itself has an A minor signification (=LA-DO-MI) accompanied by F # minor (FILA-DI) and C minor (DO-MA-SO):
Fig. 136

It may seem paradoxical but late Romanticism discovered a new kind of harmonies:
the minorkey (LA key) that has a major third (DI) and inversely: the
major
key
(DO)
key
that
has
a
minor
third
(MA).

MAJORMINORSUBMINOR

The axis system developed from the classical major

minor tonality in two ways:
from the correspondences between relative and parallel majorminor chords. In the
simplest case, the parallel mode of C major is C minor and its relative key A minor.
This combination carries within itself the germ of a significant chord-type which
became a true emblem of Romantic music (suffice it to recall the well-known

Tristan chordsee Fig. 149 on p. 81):

Fig. 137

Since this chord proves to be the

relativeof the minor harmony, we call it the
subminor chord. In the Parsifal-motif this relative connection takes shape as follows:
Fig. 138

To make a distinction between the three basic types, in our harmonic diagrams we
shall indicate seventh chords with a major character by capital letters; seventh chords
with a minor character by small letters; and seventh chords founded on a diminished
triad by a circle under figure 7 (its seventh-note being a minor-seventh interval).
Fig. 139

In the example above, between C major and C subminor a

polartension is
established because C major and Eb minor
the latter inherent in C subminor
show a
difference of 6 accidentals (similarly to keys facing each other in the circle of fifths).
This is why Bartk and Kodly preferred the use of the G subminor rather than the
conventional dominant seventh G-B-D-F:
Fig. 140

In the refrain-melody of Isolde

s monologue (Act III), the polar tension of D major
and D subminor manifests itself!
Fig. 141

*
From a dynamic point of view, in the movement of the major, minor and subminor
chords the simplest relationship is created by the relative key connections, i.e. by a
change

from major to the relative minor, or

from minor to the relative subminor, or
from major to the relative subminor
(for example, from C major to A minor, from A minor to F # subminor, or from C
major directly to F# subminor)
and vice versa.
Fig. 142

A change in the direction of the minor or subminor involves an increase in tension,

Fig. 143

whereas a change in the opposite direction results in a lessening of tension.

Fig. 144

But it is worth mentioning that the change in the relative minor direction is what we
discern as a
naturalconnection, while the change in the other direction creates in a
certain sense an
unnatural
, violent effect. Thus did the melody of Fig. 142 become
a
cursemotif, and the harmonic motion of Fig. 144 the symbol of the
deadswan.
In Liszts oratorio Via Crucis the death of Jesus (Consummatum est XII. station)
produces a paralyzing effect because F# minor is followed by the relative A major.
Fig. 145

A modalchange is considerably more powerful than a relative change, that is

from major to the minor of the same name, or
from minor to the subminor of the same name, or
from major to the subminor of the same name
for example, from C major to C minor, from C minor to C subminor, or from C major
immediately to C subminor) and vice versa.
Fig. 146

It should be noted this time, too, that the parallel subminor-minor-major change is
what we fell to be
natural(it virtually passes unnoticed if we close Bach
s minor
#
fugues with a major triad). The C major episode in Kodly
s Dances of Marosszk
owes its serene nature-atmosphere precisely to these
natural
, positive connections,
i.e.
from major always to the relative minor, and
from minor to the parallel major.
The harmonies pass through the entire axis-circle in this way:
Fig. 147

And conversely, the parallel major-minor-subminor change creates a passionate,

short-tempered, dramatic impression!
In the middle-part of Liszt
s "R.Wagner, Venezia" (from b. 31) we hear only pure

triads, and yet, these triads receive a tragic character since they move in the
negative
unnaturaldirection, i.e.
from minor always to the relative major, and
from major to the parallel minor.
Fig. 148

It is just as one expect: Isolde

s "Liebestod" follows the same harmonic thread (see
Fig.
188
on
p.
99).

On the
Tristan chord
In vain do we challenge classical theory: what is it in the Tristan chord that
cuts to
the heartof the listener? Instead of theoretical considerations, we must follow our
healthy musical intuition. We instinctively know about the F minor triad that it
represents the relative key of Ab major, that is, if
Ab major = DO-MI-SO, then
F minor = LA-DO-MI,
creating the most fundamental musical relationship. And if we unexpectedly
exchange the MI note with the painful dark-coloured MA note, we at once perceive
the tension that almost disrupts the chord.
Fig. 149

The MA change is well demonstrated by the Tristan-quotation of the Mastersingers.

Fig. 150

The
basicform of the Tristan-motif, its typical occurrence is that which starts with
b
an A note (as at the end of the Prelude). And if Wagner starts the work with an A

note after all, then the polar tension created by the DI+MA notes also becomes
tangible.
Fig. 151

The subminor may function as a tonic, too. Fig. 150 makes clear that the Tristanchord: F subminor appears as the relative key of the tonic Ab minor quasi as a
deceptive cadence!
The
F majorcharacter of the initial step in the overture (A-F) and the B major end
of the opera reflects a
counterpolerelationship. On the other hand, the final chord
of the opera: B major represents the relative major of the
basic key(= Ab minor)
and, as such, it suggests a
deathsymbolism.
Perhaps nothing shows the axis-tension of the Tristan chord better than its resolution,
which can be performed
according to the axis system
in four different ways, in four
directions: towards E, or Bb, or Db, or G.
Fig. 152

In Parsifal, too, the love symbol is represented by F subminor, i.e. the Tristan-chord.

The emotional metamorphosiscomes about when a Db root gets below the tense
Tristan-chord, and this Db
as if by magic
changes the meaning of the F subminor at
once: the F-Ab-Cb-Eb notes are transformed into overtones (major third, fifth, seventh,
ninth) and, as a consequence, start
floatingsensually:
Fig. 153

This is how a tense harmony is transformed into

colour
. The D b bass functions like
an acoustic
prismwhich changes the sense, the colour, the atmosphere of the
Tristan-chord. Since we perceive the former basic notes as overtones, their effect will
be incorporeal and disembodied.
What these and similar solutions may have meant to Kodly is revealed by the
following Psalmus-quotation. At the moment subsequent to the dramatic dnouement
(
From you he removes your every burden
) the Tristan-chord melts similarly into
the Db ninth-chord:
Fig. 154

FUNCTION
With the aid of relative solmization, the tonal relations can be further simplified. We
place the relative connections one beneath the other (e.g. C major, A minor, F #
subminor) and the modal connections side by side (e.g. A major, A minor, A
subminor).
Fig. 155

The columns of A major, C major E b major are separated by a difference of 3

accidentals from each other. The
air pressure-difference thus created is also
expressed by the fact that the character of the left column is determined by degree DI,
and that of the right column by degree MA (C # and Eb notes, respectively). Only one
more link is required
either vertically or horizontally
to bring the axis to a close.
These
ascending, descending and collateralrelations are valid for the other two
functions: the dominant and subdominant, too.
We will turn again to Verdi, quoting the Ave Maria of Otello:
Fig. 156

We note that the upper organ point (Eb) remains common to every chord
which is
why we meet tonic and dominant chords only, the former marked below the line, the
latter above it. The dominant chords are easily dealt with, three variants appearing
altogether (the V. degree: Eb major and Eb minor, and the relative of Eb major: C
minor).
Of the tonic chords, likewise the parallel connection (Ab major
Ab minor) and the
relative connection (Ab major
F minor) prove to be the most direct. These three
chords provide the conditions for the F subminor as well (see Fig. 157 a). The F
minor and Ab minor harmonies, however, are to be connected not only
inwards(by
means of F subminor) but also
outwards
, in the direction of F major and C b
major: the parallel of F minor being F major, and the relative key of Ab minor being
Cbmajor:
Fig. 157

F major and Cb major not only polarize the sound (they are counterpoles), but also
create a homogeneous tonal unit:
Fig. 158

The continuation of Fig. 138 on p. 77 (Parsifal theme) rests on the F # majorC major
pendular movement.

Fig. 159

The 12 bell-strokes from the night-scene of Verdi

s Falstaff serves as a model
example for the subdominant. (As the F note of the bell remains unchanged in each
chord, only tonic and subdominant harmonies are to be found.) All the permutation
are exhausted by Verdi.
Fig. 160

*
As stated before in the axis system it is not degrees IV and V that most potently
represent the subdominant and dominant functions but the degrees which divide the
circle of fifths into three equal parts.
The wide emotional range of the love-duet of Otello and Desdemona is attributable to
the fact that the
depthof the subdominant and the
heightof the dominant are
strained to the utmost (Fig. 161). As compared to the tonic G b major, the negative
tension of the subdominant can be enhanced if the IV degree C b major (B major) is
replaced by its upper minor third degree: D major.
On the other hand, if the positive
tension of the dominant is to be enhanced, we must put in the place of the dominant V
degree (Db major) its lower minor-third degree: Bb major. In this way, the tonic Gb,
the D subdominant, and the Bb dominant come into an augmented triad relation.
Fig. 161

At the end of Act III, the augmented triad cadence C-A b-E almost bursts the
framework of tonality.
Fig. 162

*
It appears from the diagram of the axis system that
in the case of C tonality
a
dominant
tonic cadence may assume the following forms:
Fig. 163

(1) The fourth step upwards corresponds to the classical VIcadence (G 7 C).
(2) The major second step upwards (Bb7 C) is a typical modal dominant cadence.
(3) The III. degree dominant (E7 C) became current among the Romantics.
(4) The minor second step downwards (Db7 C), by its peculiar colouring, is
called the phrygian dominant.
Theoretically, these four forms can readily be traced back to the structure of the axis
system. Nevertheless, the clue to the individual character of each form of resolution
again lies in the modal quality of the theme.

Let us begin with the modaldominant:

Bb7 C
After the dominant Bb major seventh we would expect an E b major tonic and if
(instead of Eb) C major surprisingly emerges, this means that the place of the
expected DO basic note (Eb) has been occupied by DI (note E)! In this way, the tonic
has also become sharpened and more elevated.
Fig. 164

Bartk
s Violin Concerto is introduced by a pendulum of tonic (=B major) and modal
dominant (A7) chords.
Fig. 165

In Act I of Otello, the Jago

Roderigo duet becomes more and more tense due to the
use of modal dominants.
Fig. 166

Thus in each subsequent chord, instead of DO, DI comes; this is in perfect harmony
with the text, which speaks of ranks (of the difference between the envied captaincy
and the subaltern rank of ensign); it is as though Jago were standing on tiptoe, the
words "mio!" are amplified by the DI degrees.
By the way, perhaps these Romantic models help us better understand why Bartk
and Kodly preferred the use of the modal dominant to the dominant fifth-degree (in
which the influence of folk-music naturally played a considerable role).

The inverse procedure of the modal dominant is the III. degree dominant (majorthird step downwards):
E7 C
the dominant seventh chord is succeeded not by the usual A major (DO-MI-SO)
but
by C major: MA major chord.
Fig. 167

At the deepest point of Otello (Fig. 162 on p. 87), the end of Act III, the impact of the
E majorC
major close is the more shocking since the place of the expected MI degree
is taken by MA (C note).
This is the reason why the III-I cadence is so heavily laden with death-symbolism. In
Il Trovatore it appears when Leonore admits she is ready to die: III. degree G major
followed by Eb major tonic:
Fig. 168

Isolde
s death in Wagner
s Tristan is accompanied by a whole chain of III-I
cadences. The keys follow one another in axis order.
Fig. 169

Let me refer to the Gloria of Beethoven

s Missa Solemnis. The heroic F major
dominant in "Qui sedes ad dexteram patris" is followed by a MA major tonic (D b),
which is why the "Miserere nobis" causes anxiety and disquietude (F Db = III-I
cadence).
In Verdi
s Requiem, a III-I cadence casts a shadow of doom upon the recapitulation
of the "Dies Irae" theme: after the B major dominant a G tonic emerges
hence the
shock effect (see Fig. 114 on p. 69)!
The III-I cadence may also figure as an onomatopoeic
colouringelement. At the
start of the second scene in Act II Mistress Quickly attempts to imitate: to parody
Falstaffs deep, full-throated voice. The change of tone occurs through a III-I
cadence: E7 C (see Fig. 135 on p. 76).

*
In short, the modal dominant
tonic cadence has a positive meaning, while the III-I
cadence gives a negative impression.
From the above it follows that a contrary effect can be attained if the same key has
been prepared for by the lower major second degree (modal dominant), or the upper
major third degree (III). Two B b major themes from the Masked Ball suggest
themselves here the first introduced by an A b major, the other by a D major
dominant. Renatos first aria is the manifestation of a friend
s love and devotion. But
b
the very same B major key, following right after the dramatic turn: at the exposure of
Amelia (in the second act) has an infernal impact, expressing scathing sarcasm.
Fig. 170

If the dominant and tonic chords are exchanged, their meaning will also be reversed!
In the case of the I-III turn:

the E7 will be related to the A major key which lies 3 sharps higher than C major.
Thus the III. degree will produce the effect of ascent (a
lighteffect chiaro).
On the other hand, in the case of the modal dominant following upon the tonic I.
degree,

the Bb7 will be related to the Eb major key

which lies 3 flats lower than C major. The
modal dominant will thus produce the effect of descent (a
shadoweffect oscuro).
Here are some examples for both. The lofty effect of the Aida theme may be
attributed to the fact that the tonic is succeeded by a III. degree dominant.
Fig. 171

In contrast to this, the dramatic turning point in Rigoletto: the blast of "La sua figlia!"
is evoked by a modal dominant, subsequent to the tonic (F tonic and then E b
dominant).
Fig. 172

For Beethoven, the major-third change became the means for expressing
mystic
absorption(III-I) or
transubstantiation(I-III):
Fig. 173

To

sum

up,

modal dominanttonic
cadence
tonicmodal

dominant cadence
III. degree dominanttonic
cadence
tonicIII.
degree dominant cadence

the

has a
positive
,
has a
negative
,
has a
negative
,
has a
positive

meaning.
These regularities may also be extended over the relationship of the subdominant and
tonic (or dominant and subdominant) functions. We may consider it a general rule
that

a major-third step upwards

a major-third step downwards
a major-second step upwards
a major-second step downwards

produces a
positive
produces a
negative
produces a
positive
produces a
negative

effect.
We still owe the intepretation of the Phrygian dominant (minor-second step
downwards), for example

In the Phrygian dominant

just as in the classical V. degree seventh
the leading

role is
played by the sensitive notes TI and FA: the leading note TI pulls towards the root
(DO), and the FA towards the MI.
Fig. 174

The sensitive notes TI and FA halve the octave; therefore they are interchangeable
without any change in their relationship. Thus TI and FA are common notes in both
the V. degree dominant and in the Phrygian dominant; as we see from the example
above, the third and seventh note of the G7 is identical with the seventh note and third
of the Db7 dominant.
In the Recruiting Music of Hry Jnos, Kodly exchanges the dominant seventh (G7)
with its counterpole (Db7)
and in this way, the Phrygian dominant is reached.
Fig. 175

We quote a typical Bartk example, too: this resolution is reserved by Bartk for a
sudden
change of scene
:
Fig. 176

An interesting combination of the Phrygian dominant and V. degree dominant can be

observed in Wagner
s Mastersingers, at the appearance of the night-watchman.*)
Fig. 177

*
It is easy to survey these interrelationships if we realize that from the DOMINANT
G seventh chord four different TONIC degrees can be reached:

We quote the final scene:

ecstasy of immortal love(
l
estasi d
un immortale
b
amor
) from Verdi
s Aida. A major stands for the V. degree dominant in bs. 3-4, D
major for the Phrygian dominant (b. 7), and F major for the III. degree dominant (b.
8). In the middle of b. 4, also the modal dominant emerges for a moment: B minor (!).
The glorification (
I see the heaven opening
, bs. 5-6) is associated with a LA-DI-MI
b
rise: B major.
Fig. 178

DIMINISHED SEVENTHS
In his late style, Verdi accords a singularly large scope to the diminished seventh
chords. These diminished seventh chords, however, turn out to be not real diminished
sevenths - but such major seventh harmonies (chords of DO-MI-SO-TA pattern)
whose DO root
overstrainsto DI.
A classical example of this DI-change is the "Barrabam!" exclamation in Bach
s St.
Matthew Passion: instead of the tonic D major, the threatening D #-F#-A-C
diminished seventh emerges.
Fig. 179

The diminished seventh C-Eb-F#-A accompanying Desdemona

s murder begins as a
modification of the B seventh chord (B-D #-F#-A) and ends polarly: in an F seventh
chord (C-Eb-F-A).
Fig. 180

Authentic cadences occur at every step in Verdi

s music, like this:

It is, however, a well-tested practice to replace one or another of the major seventh
chords by diminished sevenths. In our example (the stretta from the opening scene of
Falstaff), almost every chord is replaced by a diminished seventh - without veiling or
overshadowing the S-D-T-S-D-T (subdominant-dominant-tonic) meaning of the
sequence.
Fig. 181

The diminished seventh belongs to the family of distance chords: it divides the tonal
system into four equal parts. Hence it follows that any diminished seventh can
supplant four different major-seventh harmonies. In the storm scene of Otello, Verdi
exhausts all combinational possibilities:
Fig. 182

Through the chromatic lowering of any note of the diminished seventh chord a major
seventh can be achieved (e.g. from the C#-E-G-Bb diminished seventh the C-E-G-Bb
major seventh). If the next third is also lowered, we shall obtain a minor seventh (CEb-G-Bb) - and lowering the subsequent third, a subminor chord emerges (C-Eb-GbBb).
Reversing the process, the harmonies start widening systematically (subminor-minormajor-?). Verdi takes advantage of this possibility in the tonal construction of the
"Credo".
In our tonal system three different diminished seventh chords (
constructed:

) can be

(1) a
tonic
: by raising the root of the C seventh chord, a C #-E-G-Bb diminished
seventh
is
obtained,
(2) a dominant ( , B-D-F-G#), and
(3) a subdominant (

, F#-A-C-Eb).

(Every other form agrees with one or other of the above formulae.) As we see, the
tonicdiminished seventh contains a DI and TA note. However, the root of the
major and minor keys is represented by DO and LA, respectively.

SUBSTITUTE CHORDS
The harmonies of
Grand Romanticism frequently obtain some sort of
backgroundmeaning - a secondary, transposed sense - and this occurs whenever a
major triad is replaced by the minor chord lying a major-third higher (e.g. C major
substituted by the E minor chord). Or, on the contrary, when a minor triad is replaced
by the major chord lying a major-third lower (e.g. A minor substituted by the F major
chord),
Fig. 183

that is: the DO-MI-SO major triad is substituted by MI-SO-TI - or the LA-DO-MI
minor triad by FA-LA-DO.
For example, in the Rigoletto-Gilda duet, the substitute chord (E minor replacing C
major) reflects Gilda
s spiritual purity: the substitute chord invests the melody with a
sublimeemotional content.
Fig. 184

As opposed to this, the tragic weight and baleful atmosphere of Kodly

s Psalmus
Hungaricus lies in that the melody of A minor origin is inserted into an F major
harmony - right at the beginning of the work. (See: Fig. 67 on p. 40)
Owing to the upward-pointing TI degree, the tonal quality
of the MI-SO-TI substitute chord is
positive
,
while that of the FA-LA-DO substitute chord is
negative
,
owing to the downward-pointing FA degree.
(Note the
outwardand
inwardacting forces
functioning

in TI and FA, respectively.)

Distinction must be made between a FA-MI and a MI-FA step, as is suggested by the
opening of the hymn Ode to Joy in Beethoven
s Choral Symphony. The spiritual
transparency of the song originates in the MI-FA initial notes.**)
On the one hand, MI-SO-TI became the
transcendentalunearthly element of late
Romanticism. On the other hand, the FA-LA-DO lends the music some sort of
emotional
depthor weight.
From the notes of the C major (or A minor) scale, six perfect triads can be formed:
besides C major and A minor, the 1-sharp G major and E minor - as well as the 1-flat
F major and D minor (cf. L. Brdos: Modal Harmony).
Therefore
the
highestminor:MI-SO-TI (E minor), and
the
lowestmajor:FA-LA-DO (F major)
are identical with the
positiveand
negativesubstitute chords, respectively.
The majorsubstitute chord (F major) intensifies the
minorcharacter of the
theme, while the minorsubstitute chord (E minor) intensifies the
majorcharacter
of the melody. In the former, the F-C perfect fifth reinforces the minor third (DO) of
the root (A) - while in the latter, the E-B perfect fifth reinforces the major third (MI)
of the root (C).
It is enough to glance at Fig. 183 to see that the two kinds of substitution (MI-SO-TI
and FA-LA-DO) are again each other
s reflections - precise mirror images - in
comparison to RE.
Now we can complement our previous observations (pp. 78-81): the change
from major to the minor substitute chord
is perceived as a
positive
: elated turn (e.g. from C major to E minor) - and
conversely, the change
from minor to the major substitute chord
produces a
negative downward-pulling effect (from A minor to F major, for
example).
But at the same time, the negative substitute chord makes a
natural impression while the
positivesubstitute chord creates an
unnaturaleffect.
From these facts it emerges that negative or positive effects may also be piled up! It
pertains to the dolorous atmosphere of the Parsifal theme quoted in Fig. 42 on p. 30
that two negative effects - parallel major-minor and substitute minor-major turns alternate with each other: C minor, A b major, Ab minor, Fb (=E) major, E minor, C
major, C minor. If we reverse this sequence, then parallel minor-major triads alternate
with positive (=minor) substitute chords. The theme thus created is well-known to us
from Tristan (NB: it stems from the opening cello-motif of the opera: A-F-E-Eb-D):

Fig. 185

Let us think back to the beginning of Parsifal; where C minor substitutes for the tonic
Ab major. The
elevated
, immaterial tone of the melody emerges from here:
Fig. 186

In the
death motifof Tristan, however, the tonic C minor was overshadowed by the
heavy Ab major (see: Fig. 123 on p. 73).
Let us remain within the sphere of Ab major and C minor:
the substitute chord of Abmajor is C minor,
the substitute chord of C minor is Ab major.
In other words, if we treat the A b major as a DO-MI-SO chord, the meaning of C
minor will be MI-SO-TI. On the other hand, if we consider C minor as a LA-DO-MI
chord, the meaning of Ab major will be FA-LA-DO.
Combining Ab major with C minor a symmetrical chord - the so-called
hypermajor
harmony is produced (see: pp. 40-41). Its construction is: major triad with a major
seventh - Ab-C-Eb-G.
It adds considerably to the peculiar quality of these chords that the positive substitute
chord falls within the range of the dominant, while the negative substitute chord falls
within the range of the subdominant.
Fig. 186 (in Ab major) receives a dominant tinge through the positive C minor - while
Fig. 123 (its tonic being C minor) assumes a subdominant shade through the negative
Ab major opening chord.
From Fig. 183 it emerges that the relationship of
C major and E minor is determined by the C-B step,
A minor and C major is determined by the A-G step,

F major and A minor is determined by the F-E step,

i.e., by the melodic turns:
Fig. 187

In a minor key, the deceptive cadence (VI. degree chord appearing instead of the
tonic I. degree) may play the role of the substitute chord - especially if it loses touch
with the tonic I. degree and becomes independent. The key to Isolde
s "Liebestod"
b
also lies here: in b. 3 the C major deceptive cadence emerges as the negative
substitute chord of Eb minor!
Fig. 188

The duet of Rigoletto and Gilda "Piangi, piangi, fanciulla piangi" brims over with
sorrow by appearing not in the expected F minor, but in D b major - after the dominant
C (Db = substitute chord and, at the same time, a deceptive cadence - which loses
touch with the tonic F minor).
In the minor key, the I. degree relates to the deceptive cadence (degree VI) - as degree
IV relates to the Neapolitan chord. Thus, in the minor key there exists an analogy
between the Neapolitan chord and the deceptive cadence.
In East European folk music the
leading notes FA-MI and TA-LA play a
determining role, calling forth a
plagal(subdominant-tonic) relationship and, at the
same time, a substitute relationship (F major-A minor and B b major-D minor). If we
invert the above chords - around the RE symmetry center - an
authentic(dominanttonic) cadence is produced by means of the TI-DO and FI-SO
leading notesteps:
Fig. 189

In Wagner
s "Opus Metaphisicum" (as Thomas Mann called the Tristan), these
chords suggest a high aspiration - an abstract "Gothic" passion - like in Scene 3 of
Act I, in the opening three bars:
Fig. 190

Under certain conditions, negative substitute chords may suggest a specifically

Eastern, whereas positive substitute chords a specifically Western way of thinking.
(a) It is a rule in melodies with a six-four character and MI-LA-DO structure that
the
tension-chord(the dissonant
changing chordof the tonic) is represented by
FA-LA-DO - and this comes about when the MI root is raised to the FA degree
(through a Phrygian step!).
Fig. 191

The ominous atmosphere of Desdemona

s leitmotif in Act IV is determined by the
G#-C#-E six-four chord - its dissonant
changing chordbeing A-C #-E (=a negative
substitute chord):
Fig. 192

(b) As stated above (Fig. 186 on p. 98), MI-SO-TI is the transfigured, unearthly
element of late Romanticism. In Verdi
s Requiem the beginning of the work (in A
minor) is laden with oppressive death-symbolism. But the very same A minor theme
at the recapitulation receives a transcendental character - since it reappears as the
positivesubstitute chord of F major: now it makes visual the perpetual light.
Fig. 193

Remarks on Verdis colour chord

Let me refer to the modification of the cadential I six-four chord. In almost every
significant major-theme of Otello, the I. degree six-four chord is coloured by its
substitute chord; the E major cadence, for instance, by the G # minor harmony. At the
end of the
kiss-theme
, a D# note appears instead of the usual tonic E.
Fig. 194

Verdi exchanges the SO-DO-MI six-four chord for the positive SO-TI-MI substitute
chord: we hear a TI note - in place of the accustomed DO (or, at least, a SO-TI-MI
chord colours the dominant). This relationship is even more unequivocal in the motto
theme of Falstaff:
We
ll cuckold him - neatly!(A minor-F major cadence).
Fig. 195

In Verdi
s music this most complex (and perhaps most beautiful)
colour chord
(Fig. 194 above) is composed of a major triad, and two additional elements: the
seventh note (A) ranging below the fundamental note, and the major sixth (G #)
ranging above it. Between these two notes a major seventh relationship is established
(A-G#).
Historically, Verdi
s colour chord developed from the
dominantchord.

It is interesting to note that also Debussy favoured this type, for example in La Mer
(we quote Movement III, No 44): the
acousticscale of the melody appears above a
#
B-D -A seventh chord (A=seventh note) - the top-note of the theme is G # (=major
sixth of the root):
Fig. 196

We grasp the importance of this colour chord if we call in mind occurrences like the
diatonicform of the fugue-theme in Bartk
s Music for Strings, Percussion and
Celesta (Movement IV, b. 204). The C
acousticscale is accompanied by two organ
points: the major sixth above the root (A) and the seventh note below the root (Bb):
Fig. 197

*
The most powerful contrast is created by the complementary keys (See: pp. 31-33).
After a dominant seventh (G7) we expect a C major or a C minor tonic. C major can
be substituted by E minor, and C minor by Abmajor. The
commandmotif in Tristan
7
("Befehlen liess") is introduced by a dominant G and followed by the E minor and
Ab major substitute chords - in place of C major or minor. The E minor and A b major
triads, as we know, merge in a 1:3 model.
Fig. 198

The opening theme of Bartk

s Fourth Quartet is a true
challengeto the aesthetes.
Fig. 199

Bars 1-2 and 3-4 constitute a question-and-answer relationship. Therefore the end of
b. 2 corresponds to the traditional dominant half-close cadence. (We note that in bs.
1-2 the viola part is silent and thus a contrast - a
split- is produced between the
violins and the cello.) At the end of b. 2, the last chord is a B minor triad in the cello
(= the substitute chord of the dominant G major), and an Eb major triad in the violins
(= the substitute chord of the dominant G minor). - As a result, the two substitute
chords unite in a 1:3 model. The "Klang" character is determined by the fact that in
this instance the 1:3 model consists of two separate augmented triads.
Fig. 200

The same combination (Eb major + B minor) occurs in Movement II of the

Dance
Suite- at the appearance of the Ritornello! In addition, the theme itself (taking on a
modal character) is conceived in G.
Fig. 201

In Romantic music, the individual harmonies appear not as

atomsbut as elements
of a
giant molecule(a compound arrangement of tones resulting in an organic
structure and unity) - where all particles are associated and closely interlinked; and as
a consequence, every chord has an organic connection with every chord.
Starting from a major melody, e.g. from Eb major, the substitute chord of the tonic is
G minor - and its relative key is C minor:

Fig. 202

The question arises: which is the chord that could establish a contact between these
two triads (i.e. G minor and C minor)? The
complementarykey of C minor is F b
major - while the polar key of G minor is likewise F b major (= a difference of 6 keysignatures):
Fig. 203

The melody quoted from Verdi

s Aida consists of the four chords outlined above.
Even the closing cadence - at the end of b. 4 - contains a G minor chord (and in
addition, the polar Fb-Ab-D seventh chord also blends into the Bb dominant seventh).
Fig. 204

Let us choose now a minor theme - e.g. C minor. In this case, the substitute chord is
Ab major (= a negative substitute chord), and the relative key of Ab major is F minor:
Fig. 205

This time, the connecting link between F minor and C minor is created by A major because the A major triad constitutes the complementary chord of F minor and the
polar chord of C minor (= a difference of 6 key-signatures):
Fig. 206

On p. 73 we quoted the Death-motif from Wagner

s Tristan (Fig. 123). The basic
tonality is C minor. The structure of the theme is determined by the chords described
above.
In our first example the positive substitute chord, in our second example the negative
substitute chord prevails; what is more, both examples start with the substitute chord
of the tonic.
In the Verdi example we find tonic and dominant, whereas in the Wagner example
tonic and subdominant chords only. As a matter of course, this duality predestines the
content, the character, the colour and even the
lifestyleof the two melodies.
Judging from the analysis of Romantic music, one might speak of the surprising
frequency - one might even say preponderance - of substitute chords, which (taking
into account the ambiguity inherent in Romantic harmony) reveals something
characteristic of Verdi
s or Wagner
s
double spirited harmonies.

TONALITY: MODALITY: ATONALITY

I am inclined to think that it was two linguistic elements which made possible the
development of the dialectic system of Western music: the discovery of the
tensionresolution system of atonality and tonality - and the discovery of polymodal
tensions.
Bach is credited with sowing the seeds which determined the evolution of music for
two subsequent centuries. The very first sentence of St. John Passion can give proof
of this. When the
divineelement is set against the
devilish
, what does Bach do
but oppose the idea of
tonalityto that of
atonality
: Jesus is represented by the
nearest natural overtone, i.e. the perfect fifth, whereas Judas
s symbol is the
diminished fifth - an interval expressing the distance principle in the most direct way,
because it symmetrically halves the tonal system (as well as the diminished seventh,
which quarters the fifth-circle).
Fig. 207

The characteristic
tension-resolutionsystem of Western music could scarcely have
evolved without the antagonism of the tonal and the distance principles; moreover,
this opposition - an age-old struggle between
tonal asymmetrical and
atonal symmetrical
elements - became a seminal impulse in the development of European music.
The characteristic
tensionchord of Baroque music
Fig. 208

is represented precisely by that diminished seventh harmony which divides

symmetrically the fifth-circle round the RE symmetry center (and RE-SI symmetry
axis) of our diatonic system. (See. Fig. 214, first diagram on p. 110). Every key has

accordingly a
tonalcenter and a
symmetrycenter (e.g. in the E major key, the
tonal centre is E - while the symmetry-axis of the E major scale is F# or C).
However, the idea of consonance and dissonance is only one structural element of
this tonal world. The other element is that tension-principle which is made possible
by polymodal thinking. In St. John Passion, at the very first words of Jesus, we feel
as though the very air has changed since Bach renders the miracle tangible by
replacing the F major harmony with the 3 sharps higher D major: the same elevation
arises here that caused the sound to
brightenin our first Verdi example (Fig. 109 on
p. 67).
Fig. 209

*
To give a summary, the main idea of Otello: the
kiss-theme includes in a
concentrated way everything that has been said above.
Fig. 210

It emerges literally from the

sea
: the C#-E-G-A# tones.
The modal structure of the theme would serve as a model example. In order to step
from E major into the relative C# minor, or the relative A# subminor, we have to

move the fifth of E major - the note SO - to LA or FI (the note B to C # or A#). The
opening bar of the kiss-theme is almost an embodiment of this principle.
Fig. 211

The real driving force of the melody, however, lies in the polymodal changes namely in the potential differences between E major-E minor and C# major-C# minorC# subminor.
Fig. 212

From b. 4 on (Fig. 210), the major and minor characters alternate periodically: the MI
and
MA
in
the
bass
change
from
bar
to
bar.

In b. 7

E minor is substituted by
C major
,
and by this means, it turns grave,
In bs. 8-9 E major close - which on the other hand is rendered
immaterial by the substitute
G# minorcolour (b. 8).
These two substitute chords (G # minor and C major) constitute a 1:3 model - and, as
such, annihilate each other
s tonality due to the atonal character of the 1:3 model.
The symbol of Otello
s excitement: the DI rise (E#) also plays a constructive role in
the theme: middle of the melody (b. 4)!
Note the contrast between the FI (A #) in b. 2 and the FA (A) in b. 3. The FI-FA
change is one of the most peculiar phenomena in Romantic harmony - of which more
see: pp. 144-145.***)
The middle of b. 4 contains a LA-DI-MI (C # major) triad, while b. 5 involves a DOMA-SO (E minor) triad: a difference of 6 key signatures has been reached.
It has been frequently observed in Verdi or Wagner that the
fulfilmentis realized in
the major sixth of the tonic (we have termed it the
pastoral sixth); this is
accomplished in the culminating sixth bar of the kiss-theme, too! Madch
s

psychology applies to the gloomy

C majorfollowing the fulfilment:
The price of
the kiss
s honey is in the dejection which comes after it
. NB: the MI-RE-DO motif
rounding off the theme which (after the inserted C major) continues the pentatonic
scale of b. 6, is the symbol of repose and smoothing throughout the work.
The pentatonic scale in question (Fig. 213) creates a counterpole relationship with the
pentatonic opening chord of the work (cf. Fig. 93 on p. 54):
Fig. 213

Thus, the beginning and end of the opera reflect a pole-counterpole relation.

SUMMARY
We have established: asymmetry is coupled with tonal, symmetry with atonal
relations. The symmetry-center of our tonal system is constituted by the RE. If we
divide the fifth-circle symmetrically around the RE central note - by way of halving we will obtain RE-SI and FA-TI tritones (see the first sketch below). - It is not by
chance that the role of the dissonant
sensitive notesis filled by the tritone TI-FA in
the major key, and by the tritone SI-RE in the minor key. This is how the LEADING
NOTES came into existence.
PENTATONY in this system is represented by the five upper notes (second sketch in
the Figure). From the 5-note system we arrive at the 7-note system by expanding
pentatony by one degree upwards and one downwards: the extreme points (FA and
TI) thus enter into a tritonic relationship with each other (third sketch), originating
the
tensestpoints of the scale. Therefore, the major scale (compared to the REcenter) fills in the upper arc of the circle of fifths. The missing notes result in
pentatony. Thus the pentatonic and seven-note scales mutually complement each
other.
The ACOUSTIC scale (harmony) became a static
colourchord because it lacks the
two sensitive notes that characterize the major key: TI and FA (fourth sketch in the
Figure). NB: in this sense, the major scale can be considered a
tensionalscale.
If we omit the
atonaldegrees of our first sketch from the 12-degree system, model
1:2 is created: the basic scale of chromaticism (DO-DI-MA-MI-FI-SO-LA-TA eightnote scale).
The two most static points of our tonal system: DO and MI coincide with the
asymmetrypoints of the system (fifth sketch in the Figure). DO and MI reflect a
major third relationship.
Fig. 214

Let us summarize the fundamental phenomena of polymodal chromaticism (this is

how Bartk himself called his own style) - on the basis of the position the 12 degrees
occupy in the system. If we group the 12 notes of the chromatic scale into
symmetrical pairs (in relation to the RE center-note), the meaning of the individual
degrees will be as follows:
dynamic active elements (
majorand
minor
DI and MA
tension).
FI and TA
static colour elements (cf. acoustic scale).
In turn: DI and FI rouses a feeling of ascent,
MA and TA rouses a feeling of descent.
RE and SI
the symmetry centers of the system:
atonalpoles.
TI and FA
the tension-points of the scale: sensitive leading notes.
DO and MI
the most tonal pillars of our tonal system:
the roots of the
DOand
MIsystem.
As a result of the mirror relation, the
DO-MI third is impressionistic in character, the
MI-DO sixth is expressionistic in character.
SO and LA
their meaning is determined by the fact that the
DOsystem,
LA MI step downwards is the basic cadence of the
MIsystem.
Among the modal keys, the

SO-scale represents the most elevated mode (hymnic),

while the emotional depth characteristic of the minor key
is reflected by the LA scale.
Once more we may add that
compared to DO: LA is an impressionistic
pastoralsixth,
compared to MI: SO is an expressive
pentatonicthird (the SO-MI
motif is the most elementary manifestation of pentatonic tension).
The four polymodal colouring elements - DI, MA, FI, TA - enable the following
combinational possibilities.
Jointly, MA+FI produce a passionate (=MA), but at the same time, an elevated (=FI)
atmosphere.
On the other hand, TA+DI embody a specifically Hungarian (oriental) attitude (TA =
bent for melancholy
, and DI = bent for temper and impulsiveness).
The DI+FI together create a cheerful, even transcendental character. The MA+TA,
however, bring about a sorrowful or languid character.
Finally, the DI+MA bring about a polar tension (
cholerictemperament) - while
FI+TA represents balance: see acoustic (overtone) harmony.
This study has attempted at defining the place of
relative solmization in
musicology. As far as I am concerned, I believe this method to be the missing link
which might connect abstract theoretical research with living music.
According to Eddington, the theoretical mathematician working with symbols of his
own creation never knows what he is doing. It is the duty of the practical physicist to
recognize that playing around with letters might reflect or describe such structure
systems that could yield him knowledge about the existing physical world: armed
with the abstract plan of structure he penetrates external reality once deemed
unfathomable - the function and nature of which would, with traditional means, be
beyond his grasp and comprehension.
With the seemingly primitive symbols of relative solmization, I have attempted to
draw the map of a musical world that manifests itself elementarily in these symbols provided we know what the operations concern. I consider Kodly
s concept (based
on our capacity to identify any pitch in relation to a tonal center) to be a clue which
enables us to pull down that boundary which separates theory from everyday
experience and leads us directly to the structure and contents of music; and at the
same time, it is also suited to the historical analysis of the musical material.
*) Concerning the reversed turn - minor second upwards - see Fig. 188 on p. 99 (ed.)
**) Concerning FA-MI step, see p. 144 (ed.)
***) The fourth polymodal alteration (TA) is also present (D - b.4) (ed.)

THE ETHOS OF THE

AXIS SYSTEM
(tonal serialism)
Comparisons are, by their very nature, delusive. Still, I would like to venture the
following
comparative
statement: classical harmony is to modal harmony what a
geocentric world concept is to a heliocentric one. Let us arrange the tone set of the
Jupiter Symphony in a circle of fifths. In a traditional representation, the tonic C
will be placed at the top of the fifth-circle, in the center of symmetry of the system.
However, earlier we came to the conclusion and one glance at a piano keyboard (with
the white and black keys) will make us understand that the axis of symmetry of the C
major scale is not C... but D (or Ab), in relation to which every note of the C major
scale has a symmetrical counterpart both upward and down. Of course, C major, with
its zero key signature, occupies a special place in our system of musical notation.
Moreover, as we can see on the second diagram below, F major with 1 flat and E
minor with 1 sharp (or B major with 5 sharps and B b minor with 5 flats ) are
symmetrical opposites in relation to a D center note.
Wouldn
t it be more appropriate, in a depiction of the circle of fifths, to place the D
at the top of the system and the Ab at the bottom? We would thus illustrate the actual
relationship between the notes:
Fig. 215

Now let us replace the preceding fifths with their corresponding keys. In the upper
half of the circle, the chords F major and D minor, as well as G major and E minor
belong to the scale of C major (or A minor). Similarly, the chords Db major and Bb
minor, as well as B major and A b (G#) minor all belong to the Gb (F#) major and Eb
minor scales in the lower half of the circle. (See on next page.)
The relative C major and A minor keys rest on the same notes and (as it appears from

Fig. 216 on p. 114) have identical weight!

The symmetry thus obtained remains flawless even when the major triads are
replaced by their parallel minor triads, and vice versa (for example, D minor and G
major by D major and G minor respectively; D major and G minor will still occupy
symmetrical positions in relation to the D center). The above figure will henceforth
be referred to as the basic formula of our system.
Fig. 216

the basic formula

of our chapter
The subject of our study will be Verdi
s Don Carlos (we must be satisfied with a
sketchy summary only, as a detailed analysis would require a separate volume).
According to our basic formula the symmetrical counterpart of
Bb major is B minor.
Is it not striking that the opera begins in B b major
with 2 flats, and ends in B minor
with 2 sharps? Or, why is it that in the nocturnal garden scene the settling effect of
the F major terzett is followed by Eboli
s E minor revenge-aria? And why is the
effect so convincing? As has been seen,
F major
s mirror is E minor.
The dramatic turning-point of the dialogue between Posa and Filippo: Filippo
s
confession in F minor, is likewise preceded by an E major play with
colours
. The
thought of Carlos
salvationin Ab major (Eboli
s aria) and Carlos
fallin C#
minor display a similar relationship (see our basic formula). Following Posa
s Db
major farewell, the revolution breaks out
strikingly enough
in Ab minor: in this
system the counterpart of
Db major is Ab minor.
The clue to this tonal riddle comes from Verdi himself (he places, so to speak, the
clue into our hands). The KEY-SENTENCE is sung by the
Monk(whose disguise

of anonymity conceals Charles V bound for the monastery). The first half of this
sentence is about
world cares
, the second half about
heavenly consolation
. The
Cb major tonality representing earthly concerns is contrasted with the Bb minor
tonality denoting heavenly affairs. The mirror image of C b major is (as can be seen in
our basic formula) Bb minor:
Fig. 217

Incidentally, it was Verdi in his late works who brought this system to the highest
perfection. If we were to classify (to
catalogue
) the scales and themes of Don
Carlos, we would discover not only the special meaning of each key, but also the
multidimensional relationships between the keys. Let us take as an example a D
minor
triad,
which
has
the
following
characteristics:
symmetrical counterpart (in our basic formula):
counterpole:
relative major:
substitute key:

G major
Ab minor
F major
Bb major

complementary (annihilating) key:

F# major
parallel major (with the same name):
D major
polar major key (with a difference of 6 accidentals):
B major
functional meaning:
subdominant
it is the modal dominant of
E, etc.
Therefore, the meaning of a chord changes according to its relation with another
harmony. In the case of counterpoles, a difference of plus 6 = minus 6 key signatures
equalize, compensate one another
thus, these necessarily imply the existence of
common traits. The upper and lower halves (or left and right halves) of our basic
formula also conceal surprising symbols.
Each of the tables below represents a specific tonal relation and, more important still,
one of
content
. Any one of the 24 keys can form 23 direct relations with the rest of
the possible keys. Moreover, one is also led to realize that second- and third-degree
relations perforce produce identical results
indeed, they even reinforce each other!
In other terms, should we only know the
meaningof 23 keys, we could deduct the
meaning of the unknown 24th key from these relations.

Hence it follows that the system holds true only if every dimension is verified and
confirmed by the work
s dramaturgical content or poetical meaning. Our
serial
study
our musical Rubik

cube
as it appears in the tabulation below, is based on the
five-act version of Don Carlos, 1886 (Ricordi Edition, 1982). The tonic is C major.

POLE-COUNTERPOLE RELATIONS
C
the center of the
physicalworld, firm ground, the image of tangible
major: reality, natural light (its condition of existence is musical
space
).
the center of the supernatural world (the Church), the basic key of
F#
major: spiritual existence: the temple of Religion, stability and immovability.

the basic formula for

expression
, it has an emotional charge (its
A
dynamics and tension is most often created by the course of music in
minor:
time
).
the conveyor of mystical experiences, frequently expressing the
loneliness caused by remoteness (religiosity cherishing feelings and
E
minor: illusions): yearning for eternity, longing to get away to another world (as
Carlosappearance in the Court Scene in Act II).
b

C minor:

dark passion, despair, emotional revolt, opposition to the existing world

order.

F#
minor:

the forlorn hope of redemption, unrelievable and incurable heart-ache

(e.g. the beginning of Act II).

serenity - caused by the

senses(good taste, love of beauty, acceptance
of all that is good and noble), enthusiasm: the delusion of the Veil Song
A
(
the eye winks through the veil on the face of beautiful ladies
), just as
major:
Posas sensual manoeuvre (his A major romance in the Court Scene of
Act II).
humanity, benign sympathy and understanding (the reflection not of
Eb
active life but of contemplation), intellectual and human dignity, spiritual
major: wisdom, friendship.

G
major:

living force, vital impulse; desire for action, direct effect, often success.

Db
major:

fulfilmentthrough love - or through redeeming death (without any

connotation of direct action or militant deed).

E
visible greatness and strength, predominance of will, heavy Royal
major: splendour, external festive pomp (Auto-da-f Scene).
if E major is the image of strength, Bb major is that of beauty
Bb
(occasionally, glitter of mundane finery which adheres to external beauty
major: and stems from the senses), attractiveness caused by direct

impression
.

G
failure in one
s vocation; setback, fiasco, defeat suffered in social life.
minor:
ill fate caused by outside violence (e.g. violent death): Eboli
s fall,
C#
s resistance (Act V).
minor: Posas funeral music, the breaking of Elisabeth

E
elevation: through physical weightlessness, bodilessness, the cessation
minor: of constraints (e.g. social constraints).
active elevation: through a transcendental (religious) experience; someBb
times sacred anger: a sense of calling (with signs of aggressiveness in
minor: the case of the Grand Inquisitor).

shadow effect produced by an active force (the dark colour appears in

F
the form of an effective and shaping force), it may also be the image of
major:
hard-won calm.
human worries, renunciation of the vanity of this world or resignation;
B
major: the burden of bodily existence (e.g. the Cb major farewell duet).

a result achieved by volitional factors (in spite of something), or an

D
advantage obtained through rank (birth, privilege, cleverness, skilmajor:
fulness); courtly manners belong here as well.
Ab
heroism at the cost of self-sacrifice, hymnic unfolding.
major:

inward brooding, self-doubts, inclination for self-torture: the

minor: predominance of psychical aspects.

events determined not by human intervention but by
destinyand law;
B
unavoidable and unimpressionable - fateful - events (in a milder form:
minor:
the fixed order of courtly etiquette).

D
annihilation - dead point: stemming from the absence of driving forces;
minor: deadly and unconscious dream (Filippo
s aria).
annihilation through
burning- turbulence, riot and destructive
Ab
minor: instincts (cf. revolution scene).

THE SYMMETRICAL CORRESPONDENCES OF THE

SYSTEM
C
major:

the primary experience of existence, the visible world (perceivable with

the senses).

A minor: the elemental manifestation of passion.

longing for the unattainable, yearning for mystical experiences: ancient

Eb
minor: and heroic, distant and mysterious - like the ancient Tasso-songs.
F#
faith as certainty: belief in God and spiritual existence.
major:

G
major:

positive and immediate effect, the spontaneous (active) manifestation of

will and consciousness.

D
minor:

passive quietude, inclination to melancholy, the silence of annihilation

and destruction.

Ab
minor:

the overthrow of the existing world order: upheaval, revolution,

destructive forces.

Db
major:

happiness (or even happy death), the

artof ultimate love: emotional
nobility and superiority.

F
natural gravitation, intellectual depth or deep calm; often a shadow effect
major: that reinforces a subsequent light-effect.
physical weightlessness - or flight from reality (the latter will be found
E
in the form of spiritual drunkenness as well, as in Eboli
s vow for
minor:
revenge in the garden scene).

Bb minor:

transcendental elevation, the ecstasy of the soul.

B major:

the giving up of worldly thoughts - through renunciation.

C
blind passion, a feverish state: fanatic vehemence, challenge and burst of
minor: fury (see "L
ora fatale" preparing the finale of the Fontainebleau scene).
A
elation, rapture, devotedness, intellectual elevation.
major:

Eb
major:

spiritual harmony, goodwill and warmth, sympathy (sharing the worries

of others), service for mankind.

F#
minor:

spiritual sorrow and anguish: heart-sore; an emotional state of suffering

(even the weight of an anathema).

G
failure (ill-success), frustration, unfulfilled desires, defeat (conflict with
minor: the law or with social conventions).
meeting with success (e.g. a successful appearance at court), advanceD
ment and good fortune in social life; triumph over one
s self or over
major:
others.

an unselfish act, sacrifice raised to a ritual degree: the peremptory call of

Ab
humanism - which one must even be willing to die for (see the Peace
major: Song in the Auto-da-f Scene).
violence exerted upon others, falling victim to arbitrariness, tragedy
C#
minor: inflicted by tyranny - deep mourning.

F
self-torment or qualms of conscience, introversion; pensiveness, endless
minor: worry, self-reproach.
E

the external signs of Power: artificial light, pomp; energy and vitality

major: (also in the form of an excessive test of strength).

the magic of beauty (

externalbeauty), experience radiating happiness,
Bb
major: festive cheerfulness, love of live.
a climate of tragedy: the constraining force of a coercive external power,
B
predestination: as
written in the stars
; inescapable destiny or strictly
minor:
regulated order (e.g. the strict rules of etiquette).
Actually, our traditional method of notation also reflects the above principles (see the
basic formula). Those keys in which the number of sharps and flats is identical
occupy
a
symmetrical
position
in
the
system.

RELATIONS BETWEEN PARALLEL KEYS

In the case of parallel major and minor keys one of the two keys always belongs to a
family of
naturalkeys, and the other to one of
modifiedkeys. C major, for
example, differs from C minor in that the natural DO-MI-SO chord is altered to DOMA-SO.
C
static force; self-evident, popular naturalness.
major:
C
rebellious defiance, furious temper, obsessed and vehement,
minor: uncontrollable and capable of anything.

G
major:

hope, life-force, self-consciousness; desire for action, success (the art

of getting on).

G
minor:

humiliation, miscarriage, social disgrace (loss of honour, abasement,

branding).

D
victory over somebody: the rising above the commonplace, or the rising
major: above the instincts.
D
passivity, the lack or total exhaustion of life forces, oblivion, the longing
minor: for a dream; fatigue caused by excessive burden.

A major: elevated spirits - where the voice has an

impressionisticcolouration.
A minor:

passion or expressiveness - where the voice has an

emotional
quality.

E
size and weightiness: the power of the masses, luxury, heavy pomp,
major: spectacular ceremony, authority (massive, weighty forces).
E
incorporeal hovering, weightlessness, aerial quality (but also a
raised
minor: and edged voice).

B
the sphere of worldly concerns, self-surrender, passive acceptance of the
major: unavoidable, reconciliation with destiny.
B
inappellable and severe power (higher authority) that cannot be shunned;
minor: in another form: the shackles of convention and court-manners.

F# major:

the temple of everlasting life.

F# minor:

the misery of earthly existence.

Db major:

fulfilled desire - salvation.

C# minor:

a broken existence (physical death and mourning).

Ab
major:

redemption - through self-denial: absolution.

Ab
minor:

perdition, burning out - by way of self-destruction; turbulence:

rebellion against order.

Eb
major:

exalted thoughts: love and compassion with belief in mankind, friendly

devotedness.

Eb
minor:

mystery, foreignness, longing to be elsewhere, loneliness.

alluring power, force of attraction (as a vehicle of a refined outward

Bb
appearance); vain beauty or loveliness that arouses desire; the joy of
major: feast and celebration (cf. the Royal Hunt).
Bb
the appeal of the afterlife: irrational desires.
minor:

F
well-deserved repose after a time of worries and troubles, profoundity
major: of ideas and thoughts.
F
spiritual conflict and pensiveness, inner motivation.
minor:

RELATIONS IN CONTENT BETWEEN SUBSTITUTE

KEYS

C major and E
minor:

materiality and immateriality (often in the form of

spiritual
drunkennessas well).

the Beginning and the End: openness and restriction - the latter
G major and
exposed to fate or courtly etiquette. (Awakening to consciousness
B minor:
and tragic end.)

D major and F#
minor:

A major and C#
minor:

cheerfulness and sorrow (the glitter and the bitterness of

courtly life).

sensual attraction and its breaking down (e.g. Posa

s
personal charms and his fall).

E major and Ab minor:

greatness and decay; domination and revolution.

B major and Eb earthly and heavenly philosophy; the renunciation of mundane

desires and the magic of faith.
minor:

F# major and static tranquility and high aspirations (in an extreme case a
militant sense of calling, as in the scene of the Grand Inquisitor).
Bb minor:

Db major and F
minor:

redemption and remorse; sensual satisfaction and

masochistic tendencies.

Ab major and C
minor:

the hymnic and the angry word; constructive and

destructive instincts.

Eb major and G
minor:

Bb major and D
minor:

dignity and indignity, human warmth and a state of being

outcast.

impression and expression; physical beauty and spiritual

agony; love of life and depression.

profoundity of ideas and spontaneous passion; the dark and light

F major and
side of the soul; gravitation caused by seriousness and the rising of
A minor:
emotions.

RELATIONS IN CONTENT BETWEEN

COMPLEMENTARY (ANNIHILATING) KEYS

C major and Ab minor:

G major and
Eb minor:

D major
and Bb
minor:

existence and non-existence.

sense of reality and imagination; self-consciousness and

intuition; physical well-being and the longing for the hereafter.

persistent attachment to life and sacred sense of calling; thisworldly and other-worldly language (may figure as the contrast
between courtly lustre and the
sacred wrath
).

confidence and doubt; external serenity and inner

conflict.

A major and F minor:

E major and C minor:

power and the challenge of power.

B major and G minor:

F# major and D
minor:
Db major and A
minor:

resignation and excitement.

the eternal order of theology and the longing for nonexistence.

passive release (looseness) and active reaction; emotional
elevation and passion.

awareness of one
s vocation and intoxication: controlled and
Ab major and uncontrolled action (may also be the contrast between devotion
E minor:
and revenge).
Eb major and man-centered and fate-centered world; the opposition between
the personal and the impersonal (humanity and inhumanity).
B minor:
Bb major and F#
minor:

poetry of glaring light and of the night; happiness and

death-wish.

F major and C# minor:

profoundity of thoughts and senseless violence.

POLAR MAJOR AND MINOR CHORDS

The major and minor keys displaying a difference of 6 accidentals reflect the same
contrast, in terms of content, as the pole
counterpole relations. These
correspondences may be found in our first tabulation
if the connections below are
considered:

FUNCTION
TONIC chords reflect static motionlessness. This applies not only to the tonal pillars
of C major (and A minor), or F# major (and Eb minor), but to the variations of these
as
well:
the positive A major and Eb major (of LA- DI- MI
principle) and
the negative C minor and F# minor (of DO-MA-SO
principle)
are also characterized by the fact that they cannot be further developed
there is no
way out of them.
DOMINANT keys differ from tonic ones by the
activeforce they exert (complying
with
the
principles
of
the
axis
system).
This
is
how
E major became the symbol of Power,
Bb major the symbol of Beauty,
G major the symbol of Life force,
Db major the symbol of Happiness.
The dominant minor chords can engender a rise, like the E minor and B b minor keys,
but a violent and tragic turn as well, like C# minor and G minor.
SUBDOMINANT

chords

function

in

Ab major represents self-sacrifice,

D major represents nobleness and dignity,
F major represents calm and seriousness,

similar

manner:

B major represents spiritual peace.

The minor subdominant chords are distinguished by their passivity:
D minor is the key of sleep and nonexistence,
Ab minor is the key of annihilating turbulence,
B minor is the key of defenselessness,
F minor is the key of doubt.

NATURAL AND MODIFIED KEYS

The upper half of our basic formula (p. 114) makes up the diatonic scale (7-degree
scale).
The
diatonic
scale
contains
six
perfect
triads:
C major and A minor have a zero key signature,
G major and E minor have one sharp,
F major and D minor have one flat.
This is to say:
the
highestminor : E minor and
the
lowestmajor: F major
are in fact
the positive substitute chord of the C major tonic,
the negative substitute chord of the A minor tonic.
All of the above applies to the lower half of our basic formula as well (in which case
F#=DO).
If we change the
genderof the keys, that is, if we substitute a minor key for its
parallel major and a major key for its parallel minor, we may note that all
natural
thoughts correspond to unmodified keys and
stimulated emotional states to
modified ones.
Even in Eboli
s revenge melody, E minor is associated with
natural (i.e.
instinctive) emotions
while E major radiates an artificial,

intensified light (Auto-daf Scene). In the same way, Ab minor denotes self-destruction, but Ab major suggest a
heroic sacrifice at the cost of one
s own life (as in the finale of Eboli
s aria or in the
Peace Song of the Auto-da-f Scene).

UPPER AND LOWER SPHERES

The system is
closed
. The upper and lower halves of our basic formula are mirror
reflections of one another. This means that, for instance, F# minor is dialectically

related not only to F# major

but to the C major tonic as well. In the first case we
perceive it as a DO-MA-SO chord, expressing
despairas in Elisabeth
s heartrending lament ("Ben lo sapete...") after the chest has been forced open. But in
relation to the C major tonic,
F # minorrepresents the most immaterial harmony to
be found in Verdi
s music: that is why we sense the FI-LA-DI formula Elisabeth
s
F# minor melody
as being so "immacolata" (as indicated in the libretto).
Symbolically speaking, the upper and the lower halves of our basic formula relate to
each other as the empirical Aristotelian world to the Platonic one
to the world of
Ideas.

THE POTENTIALITIES OF THE AXIS SYSTEM

A similar
dictionarymay be compiled from the relations between relative major
and minor keys
or what is even more fascinating, those between axis-related major
or minor keys. Let us cite only one example here.
The cheerful Bb major of the Royal Hunt in Act I is transformed into D b major: into a
love-scene. (If Bb major is a DO-MI-SO tonic, then the D b major must be interpreted
as MA major!)
In Act II, too, the finest moments of the CarlosElisabeth

duet are
b
b
marked by a B major
D major turn. In the nocturnal garden scene it is just the
opposite what happens: Carlos and Eboli hidden behind masks declare their
loveto each other in Db major; but at the moment of unmasking, we immediately
return to Bb major!

OVERTONE RELATIONS
According to the classical definition, the major triad consists of the 3 closest
overtones of a basic note
while the minor triad is made up of the 3 closest basic notes
of a common overtone:
Fig. 218

This alone helps us understand why C major represents the external (visible) world
and F minor the internal (invisible) one. Using the above principle as a new basis, we
may discover a new dimension of our tonal system (which also corresponds to the
Western
and

Eastern
ways
of
thinking):

C major and F minor:

the empirical and the psychical world (Ccenter).

G major and C minor: affirmation and denial (G-center).

D major and G minor: bright cheerfulness and dark passion (D-center).
A major and D minor: wakefulness and sleep.
E major and A minor: impersonal greatness and personal feeling.
B major and E minor: immobility and desire to act.
F# major and B minor: spiritual haven of refuge and blind fate.
Db major and F# minor: fulfilment and longing (Db = C# center).
Ab major and C# minor: unfolding and failure (Ab = G# center).
Eb major and Ab minor: constructive (humane) and destructive forces.
Bb major and Eb minor: sense of beauty and sadness.
F major and Bb minor: low and high

WIE LENKTICH
SICHER DEN KIEL
(modal serialism)
The difference between
tonal serialismand
modal serialismlies in the fact that
in the former the variety and diversity of the 24 major and minor chords are
exhausted, while the latter exploits the possibilities of the 12 chromatic degrees.
The
expositionof Act I in Wagner
s Tristan brings into focus the following
sentence:

Wherever I stand,
faithfully I serve her,
the glory of all women;
were I to leave the helm just now,
how could I safely steer the ship
to King Marke
s country?
(Act I, Scene 2)
Fig. 219

Our analysis has been centered around five moments:

(1) "Auf jeder Stelle wo ich steh ... " Where is Tristan standing? Above the
maelstrom: in the gate of hell, so to speak (bs. 1-4).
(2) And where is Isolde standing? High above Tristan in social rank. Her name is
"Frauen hchster Ehr'" (bs. 5-7). She is to be King Marke
s bride.
(3) Tristan
s spontaneous reflex: he has to pull down Isolde
s pride. That
s
exactly what b. 8 implies with its slap-like MA major chord (Eb).
(4) Tristan strains every nerve (b. 10)
the colour of his face changes(b. 12).
(5) Where can this road lead to and where is Tristan guiding the boat? Over a
mystical "Styx" to the land of the dead.
Let us consider these points one by one.
(1) The MI-FA step has the pressing force of a steam boiler. Wagner begins the
melody with A minor and its negative substitute chord: F major. The precipitous fall
at the beginning of the Death motif was also effected by the motif bursting forth in
the negative substitute chord, in place of the tonic.
The
balancetips over at the meeting point of the two worlds in b. 3: the transition
is marked by the two
atonality pointsof our tonal system, RE and SI = D and G #
(and FA-TI = F-B). In bars 2-3 it is already the C minor that we sense to be the tonic
which means that the third bar (dominant diminished seventh) should be continued
like this:
Fig. 220

Nevertheless, it resolves in a polar way to A major (six accidentals away), entering

thereby into a new sphere (b. 4). The C minor triad manifests itself openly as well in
b. 9!
(2) And conversely, the musical analogy of "Frauen hchster Ehr'" is the upshooting FI-SO (the sweeping dash of notes F#-G in bs. 5-8). Wagner further
heightens the light effect by raising bs. 5-7 to the dominant (G).
Stripping all the fringes and frills off the melody, we find that the two surprises in the
first line are produced by:
the F minorA
major complementary keys (the
colour of Tristans face changes);

the A major and Eb major + C minor (bs. 8-9) polar chords (the symbolic
slap
);
the two areas are hallmarked by DI and MA!
All this is extended by another two elements. The strophe sets out from A minor and
its negative substitute chord, F major. This itself represents a big charge of tension.
But Wagner does not stop here: he submits the two chords to another
load test by
converting A minor into A major (b. 4) and F major into F minor (b. 2). And with this

he creates the possibility for a

metamorphosis
, since the F minor + A major triads
are complementary keys, annihilating each other (producing jointly a 1:3 model), as
indicated in Fig. 221:
Fig. 221

These chords act like litmus paper, which changes colour according to the acidity or
alkalinity of solutions: the change of colour in b. 4 is eloquent proof of this.
Thus, if we combine three principles:
the
substitute
relationship:
A
minor
and
F
major
the parallel major and minor relation: A minor- A major, and F major- F minor
the complementary relation: F minor and A major (resulting from the above
connection)
then the tonal structure of the theme can be clearly seen.
In addition, the end of line 1 (C minor) and that of line 2 (E major) also reflects a
complementary (annihilating) relationship. (See: Fig. 219 on p. 127)
We note that also the F minor chord (b. 2) rhymes with the D major chord (bs. 5-7) in
a polar way.
(3) "Frauen hchster Ehr'": b. 8 gives away that the praise actually conceals
contempt
. As if Tristan wanted to push Isolde off the throne! We hear a two-step
negative cadence: G minor - in place of G major, indeed, its deceptive cadence! This
is how the word "Ehr'" acquires a rough and brusque tone (E b major = MA major),
instead of reverence.
It has repeatedly been pointed out that the deceptive cadence of the minor dominant
is tantamount to MA major (Eb major), which is suggestive of sinister passions. And
(typically of Wagner) even the deceptive cadence of the deceptive cadence is
employed: C minor (b. 9).
(4) The second line of the melody (from b. 10) repeats the first line a major second
degree higher; this turn is known to represent the most powerful form of
intensification: Tristan raises his voice! [NB: A major second rise = a change based
on the modal dominant-tonic principle.]
Bar 4 emerges as if the colour of the charactersfaces had all of a sudden changed.
The litmus effect is elicited again: G minor (b. 10) and B major (b. 12) are
complementary (annihilating) keys. The four analogous chords (bs. 2-4 and 10-12)
encompass all twelve degrees of chromaticism:
Fig. 222

The divergence of the first melodic line rests on the two-directional pull of the FA
and FI. Similarly to the opposite attractions of the FA and FI, TA tends downward
while TI lures upward. This TA-TI (Bb-B) turn speaks for itself in bs. 11-12. The
character of the E subminor (b. 10) is determined by the TA, and that of the E seventh
chord (b. 13) by the TI degree. (Moreover, E subminor and E major are a polar
distance apart: the monologue is propelled by an expansion of 6 accidentals.)
The formula preparing the dnouement is one of the oddest achievements of
Romantic music. The
TI majorchord (B-D #-F# in b. 12) borrows its peculiar
quality from the MA and FI notes: D# (=Eb) gains a MA colouration, while the note
F# a FI character. The chord couples the mortal
humanelement (MA) with the
uplifting
spiritualelement (FI). It is small wonder that the chord ushering the
melody to its
destinationis the B major chord at issue. We have arrived at a point
where Tristan
s famous sentence "Wie lenktich sicher den Kiel zu Knig Markes
Land?" is uttered.
(5) I can
t be far from the truth claiming that bs. 13-16 condense the gist of the
Tristanian "Lebensgefhl" (
experience of being
). Wieland Wagner appropriately
remarks that Tristan
s boat is headed towards the realm of the night towards
Nirvana over the "Styx".
The Oriental effect of the two final chords is due partly to the Phrygian mode (bs. 1516), partly to the six-four tonality of b. 13, but first of all to b. 15, which
simultaneously condenses the A minor + F major triads (known from the starting bar):
it unites the tonic minor chord with its negative substitute chord (F major), as seen
more clearly below:
Fig. 223

This is the very moment when stage action metamorphoses into mythology: the
sea
becomes perceivable in its full depth.
With A minor we have retraced the circle to the starting point. The first half-sentence
ends with a deceptive cadence (dramaturgically, too) as it brings the process to a halt;
the second half-sentence remains open on the dominant. Consequently, the C minor
(b. 9) and the E major (b. 16) enter into a complementary relationship again.
The main conclusion for us to be drawn from this analysis is that Wagner uses the 12

degrees of the chromatic scale the way the dodecaphonists used the 12 notes of the
"Reihe". Each degree has its exact, logically defined place in the row:
besides the tonic notes LA-DO,
the degrees FA-MI and FI-SO (bs. 1-8),
the atonal RE-SI tritone on the borderline (b. 3),
the notes DI (b. 4) and MA (b. 8) in polar opposition,
then the TA and TI rise (bs. 10-12).
The modal melody exploits the potentiality of the set of tones to the full. This is what
accounts for the indivisible unity of the theme, and first and foremost for the organic
cohesion between the tones. I am not the only one to have been struck by the
ortographic
beautyand tidiness of Wagner
s score (so much in contrast with the
emotional turmoil and
debaucheriesof the work). The analyst tends to conclude
that the score of Tristan a coliseum of notes could never have been erected
without the help of an infallible
absolute pitch
. It must be one of the many
contradictions that Wagner did not have absolute pitch. This again (i.e. the
identification of any pitch in relation to a tonal center) underpins the argument: it is
the modal content of the 12 degrees in which the vital principle of Wagner
s music
inheres.

COMPUTER LANGUAGE OF MUSIC

It was the introduction of the computer that brought about the most unexpected turn
in these analyses. In 1983 I compiled a program, making use of the simplest
combinations and permutations found in Bartk
s music. After running the program,
the computer
dictatedto our no small surprise well-known melodic and
harmonic passages from Tristan, Parsifal, Otello, and Boris Godunov.
We must be content with some basic operations. In my programs no more than 3
numbers and 3 letters are employed. Each number or letter tells us something
profoundly interesting and new about music and its perception. Number 1 indicates a
perfect fifth. We mark the symmetry center of our tonal system (i.e., RE) with letter Z
while the root of the DO system is indicated by X, and that of the MI system by Y.
If Z=0, then as shown in Fig. 224:
Fig. 224

X = Z - 2 and Y = Z + 2
The difference between X and Y is a major third: of all the equidistant scales, the
augmented triad (major third + major third) is the only one in which the number of
notes (three) cannot be divided by 2!
Oddly enough, the symmetry center (Z) marks the
point of atonality
. In the axis
system, besides degree RE (=Z), there is to be found one more symmetry center and
this is the tritone of RE: the SI; in C major, this is the G # (=Ab) note. In the language
of geometry, we have:
Z + 6 = Z 6
Naturally, in the case of modulation (or the choice of a new key) the value of Z
changes.
The three notes of the major and relative minor triads show an inverted relationship:
Major: X X + 1 Y
Minor: Y Y 1 X
Number 1 is an important element here, because it determines the tonal character of
the chord (being a perfect fifth). Both X and Y are included in the tabulation above.
Number 3 expresses a modal change according to the fact that in the axis system a
modal change implies a difference of three key signatures. Let us take the simplest
case: LA-DI-MI and DO-MA-SO:
DI = Y + 3 and MA = X 3

Logically, if number 3 is related to the Z center (RE), it signifies a

dissonant note
(=sensitive note):
Z + 3 = TI
Z 3 = FA
The tritonic relationship between the two notes is expressed in the difference of six
perfect fifths. Note the
outwardand
inwardacting force functioning in TI and
FA, respectively.
It is no accident that in the subdominant D minor and dominant G major the D note
(=Z) plays the role of the common note. In the subdominant chords we find a FA note
(Z 3) and in the dominant a TI note (Z + 3). Moreover, the subdominant chord
involves a LA note (Z + 1), while the dominant chord a SO note (Z 1). And because
as indicated in Fig. 225
Fig. 225

LA: Z + 1 = Y - 1, and SO: Z - 1 = X + 1

we see that these two notes provide for the
connecting linkbetween Z and X on the
one hand and between Z and Y on the other. That is, these two notes make the
connection possible between T
S and between D
T, respectively.
The formula of the positive and negative substitute chords
TI - MI - SO: Y + 1 Y X + 1
FA - DO - LA: X 1 X Y 1
coincides with the psychological observation that we compare the former with point
Y (see the role of Y and Y + 1 in the first chord) and the latter with point X (the
second chord includes X and X - 1).
Complementary keys express their
annihilatingquality in figures as well. As we
know, the complementary key of C major is Ab minor
while that of A minor is C#
(Db) major. In both we find the Ab (G#) note, that is, the symmetry center of our tonal
system (Z + 6 = Z 6). In the Ab minor complementary key the sensitive note TI (Z +
3) manifests itself, whereas in the C# major complementary key we find the sensitive
note FA (Z 3).
The most interesting is, however, the role of the third element: in the
negative
b
complementary key (A minor) the MA figures (i.e., X 3), whereas in the positive
complementary key the DI plays the same role (Y + 3).

*
We give one single example. Let us harmonize an A minor melody with its relative
major harmony, C majorand
these, in turn, with their substitute chords: F major and E
minor, respectively (See: Fig. 183 on p. 96).
If these triads are interchanged by their parallel triads (i.e., E minor by E major, C
major by C minor, A minor by A major, and F major by F minor), the symmetry
remains untouched, as shown in Fig. 226.
Fig. 226

The difference between C minor (with three flats) and A major (with three sharps) is
six accidentals and reflects a polar opposition.
On the other hand, F minor and A major are complementary keysannihilating

each
other. Similarly: E major and C minor reveal the same relationship (the two triads
result
in
an
1:3
model.*)

*) F minor and E major are chords with a common third - see: p.140 (ed.)

THE SPRECHER SCENE OF

THE MAGIC FLUTE
When I was to give a lecture on the computer analysis of music, my colleagues,
having been asked to give me a
subject for examination
, chose The Magic Flutes
Sprecher scene. The question was whether the
artificial braincould add anything
new or astonishing to the known interpretations of the work. This analysis is no more
than the result of a comparison between the computer-made
mapand the libretto.
What can a computer do? Its inventor, the Hungarian-born John Neumann said:
the
computer is the most stupid animal
but it works terribly fast.To put it more precisely,
the computer is capable of what the human eye is useless for: it can find a needle in a
hay-stack. For some time it has been recognised that the sound dramaturgy of music
can only be partly understood through the rules of classical harmony. Therefore we
know that instead of conforming to the accustomed rules of music, Verdi
s or
Wagner
s operas are rather like organic cells where every component is organically
related to every other element. Earlier, we sought the logic of how one element is
born from another one: what logic governs the succession of chords. At the historic
moment of abandoning the heptatonic system, the tonal system immediately became
multi-dimensional: so complex and indecipherable for the human mind that without
computer programs it would be hard to give an answer to such seemingly simple
questions as to what the true meaning of the dialogues in The Magic Flute is.
Let us start our investigation with a few
test-bars
. Mozart constructed each section
of the memorable dialogue around a dramatic
breaking point which also
determines the tonal structure of the scene.
The major and harmonic minor scales differ from each other in two tones: the minor
scale contains the minor third and minor sixth (instead of the major third and major
sixth). For example, modifying the D major by ordering a minor third and minor sixth
to the root D (i.e. the notes F and B b), we obtain a Bb major triad which (compared to
D major) gives the impression of the most violent
major-minor contrast. In the
scene, the sharpest contrast comes with the command "Zurck!" sounding from
behind the temple gates: it all but gives the feeling of a physical blow: the D major
harmony is knocked down, shattered by a Bb major chord.

It is worth noting: a similarly sharp major-minor contrast is generated by the Ab major

chord within the C major tonality.
A scenic and a tonal surprise appear in each section of the dialogue. The first genuine
astonishment accompanies the sighting of the temple columns. Earlier, the
effect
mechanism of modal thinking was explained in the following way: with each
coming chord a comparison is made between the chord which would be expected,
according to the natural logic of music, and the chord which actually occurs. The
tension difference between the two determines the message, the meaning (modal
quality) of the music.
What happened now was the A major dominant being followed by a D minor tonic:
"Wo bin ich? was wird mit mir?". Now the A major dominant is unexpectedly
followed by F# major (instead of the D minor):
Fig. 1

That implies at least three consequences:

(a) F# major
in the context of the C major scene
performs the role of the
counterpole
.
(b) More important still, after the dominant A major the F# major a minor third
lower registers a 3-sharp rise; to put it in another way, an
axis-risetakes place in
#
the positive direction (F major also appearing as a dominant). As was said, the inner
elevation captures the moment when Tamino catches sight of the columns of
Sarastro
s temple.1)
(c) It must not be forgotten, however, that the F # major appeared instead of D
minor, and significantly, D minor and F# major are complementary keys: they
destroyeach other. As is indicated by the Allegro theme, our hero gets into a state
of excitement.
That is how we arrive (via the resolution of the F # dominant) into the B minor key
which depicts Tamino
s character in vivid colours (Allegro). What do this B minor
and the following E minor key mean (forte: "mutig zur Pforte hinein?") As we know,
in Romantic music the greatest contrast is created by complementary keys that

neutralize each other.

The Sprecher
s Ab major utterance followed by the Eb major reply (it is still the
Sprecher who strikes the tone of "Heiligtum") constitutes such a contrast compared to
B minor and E minor that it has no match in expressiveness even in Romanticism. E
minor and Ab major, as well as B minor and Eb major are complementary keys: they
extinguish each other. Has it ever struck anyone why Bartk gave E minor to the right
hand and Ab major to the left in Burlesque No.2 (or in the piano piece See-saw)? Or
why he put the movement II. of the String Quartet No.4 in
E minorand its
b
variation
movement IV
in A
major
? (Later it will also come to light why the
former assumes a
Phrygian character, and the latter, necessarily, a
Lydian
2)
character.)
Let us play Tristans love duet in C major and we shall immediately get a hint of the
electric charge in the contrast between B minor and E b major. The major tension of G
major can be hightened by B minor (=positive substitute chord), the minor tension of
G minor by Eb major (=negative substitute chord).3)
Fig. 2

On the one side there is Tamino

s youthful passion, spontaneous, almost militant
bravado: the challenging activity
a combination of physical strength and a keen
mental interest, fresh receptivity. We must feel from our hero's enraptured and
incalculable outbursts, his enthusiasm, his brave resolution, that he would not balk at
the obstacles in his path.
On the other side there is the world of the Sprechers mature
age, the attitude of thoughtful and profound wisdom. The always predictable spiritual
power draws on a deep experience of life
while bridled passion hides ascethic
perspicacity.
At a superficial glance, B minor and E minor might suggest a minorworld, and Ab
major and Eb major a majorworld but actually, it is the other way round. Just like
in the above example, B minor appears in the C major scene as the substitute chord of
G major of the 5th degree (cf. "das Laster nicht leicht")
positive substitute chord, we
must add. Similarly, E minor occurs as the (positive) substitute key of the tonic C
major (the resolution of the former G major chord is not C major; instead, the
monologue shifts toward E minor).
On the other hand, the Ab major chord indicating the Sprecher
s entry upon the stage
is introduced as a
deceptive-cadence
, taking the place of C minor. As a result, Ab

major appears as the negative substitute key of C minor. What, however, calls for
some more words is the perception of E b major (first of all) as the substitute chord of
the minor dominant
G minor
and not as the relative key of C minor.
An example from Romanticism comes to mind. In the Prelude to Parsifal (at the
second entry of the theme, see Fig. 42 on p. 30) Ab major appears as the suspension of
C minor while the E minor answer motif is enveloped by C major. It can clearly be
seen that
Fig. 3

the substitute chord of C minor is Ab major, while

the substitute chord of C major is E minor.
To close the circle: what gives the pith and marrow to A b major and E minor
the
negative and positive substitute chords
is that the two neutralize each other because
they enter into a complementary relationship.
As for the relationship between B minor and Eb major, B minor replaces the dominant
G major (positive substitute chord), while Eb major substitutes for the minor
dominant G minor (negative substitute chord; earlier we said that Eb major = the
deceptive cadence of G minor).
Returning to the Tristan love duet it should not pass unmentioned that although the
second step of the sequence is identical with the first, it is heard like this:
Fig. 4

Here, E minor and Ab major are none other than the substitute chords of the tonic C
major and C minor, respectively. I often used to ask why Bartk insisted on the E
minor and Ab major keys? The central turn of Cantata Profana
"A fklyk mr
gnek..." [The candles are all lit...]
was clearly conceived in C major, yet the melody
is accompanied by E minor and Ab major chords alternating from bar to bar. One
colours the motif as the positive substitute chord of C major, the other as the negative
substitute chord of C minor. And what weighs most is that the two are united in a 1:3
model, that is, their interrelation is complementary.

Fig. 5

In the second movement of Bartk

s Dance Suite, the Ritornell melody in G is
similarly buttressed by B minor and E b major chords as the substitute chords for G
major and G minor. (See Fig. 201 on p. 104)
What marked the most significant turn in the development of classical heptatonic
diatony was the birth of the SI degree as the leading note of the minor scale (upon the
model of the major scale). The
fermentationof diatony, the Romantic slackening of
the tonal system was indeed caused by the difference between SO and SI. A palpable
example of this process is the slow movement of Beethoven
s 7th Symphony (in A
minor) in wich the C major triad appears as the substitute chord of the minor (E
minor) dominant, and not as the relative key of the tonic A minor. This is aptly shown
by the refrain of the theme:
Fig. 6

In the first four bars the G # note means SI, in the next four bars G means SO. The SO
note gets a separate leading note thanks to the FI-SO (F #-G) melodic step. The
difference between SI and SO gives the impression that the character of SO is far
more
clouded
, blunter (darker), more sensitive. The same takes place when the
refrain melody is repeated (in bs. 15-18):
Fig. 7

in bs. 15-16 we hear SI, but in b. 17 the more

cloudy
SO appears again.
It can be regarded as a rule that moving from a minor to a relative major means
progressing in the
negativeunnatural
,
direction, because the leading note (SI) does
not resolve upwards, but unnaturally downwards (towards SO). In Tristans love
motif, too: the B leading note, instead of guiding us to the expected C, goes
downwards towards the Bb note.
Fig. 8

Let us return to The Magic Flute. In the dialogue the first rhetoric contradiction
also
in the libretto is the emphasized word " allein", which might be translated as
only,.... The Sprecher
raises his voice: but no matter whether the key is
interpreted as Eb major or C minor, the Bb note has the meaning of SO and the B note
means SI:
Fig. 9

Mozart puts his finger on the main feature of the mentioned

fermentation
, realizing
that the birth of SI entails the possibility of the augmented triad: the Sprecher sings an
augmented triad melody,
Fig. 10

and this possibility is exploited by Mozart at other points as well: think of "Zurck!"
Fig. 11

Reference must be made to an essential connection between chords with a common

third, of which the classical study of harmony forgets to mention the most important
fact: namely, that (in the overwhelming majority of cases) chords with a common
third appear as the VI. degree
as the VI. degree of the major and minor scale. The VI.
degree of C major is A minor and the VI. degree of C minor is Ab major. The common
third (the note C) is identical with the key note. It is not the most effective way of
pitting a major against a minor to put C major opposite C minor, but to have their VI.
degrees contrasted: A minor and Ab major, just as in the following Brangne-Tristan
dialogue. When Tristan (and with him the A b major) appears, he almost
loses his
mind, his consciousness(though in an ironical sense here): Wagner presents a

genuine minor effectto us:

Fig. 12

As for the Sprecher

s scene, the minor VI. degree and the major VI. degree
determine the formal outline of the entire dialogue: the Sprecher enters the stage on
the minor VI. degree (with an Ab major harmony) and when he exits, Tamino arrives
at the major VI. degree (A minor key). This is what carries the liberating thought:
VI.
degree
of
are
chords
with
VI. degree of C major: A minor

C
a

minor:
Ab
common

major
third.

Mozart undoubtedly reserved the most intriguing harmonic event to the development.
It cannot be accidental that the greatest performers like Toscanini and Bruno Walter
placed this moment
"Man opferte vielleicht sie schon?"
into the focus of the plot
dramaturgically as well.
Already the polar turning-point indicates that Mozart is to
try outhis most daring
harmonic effect on us: D minor and B major are separated by six accidentals, just like
the keys a tritone apart (e.g. F major and B major).
Fig. 13

But let us go back to an earlier point. (Formerly, I devoted a detailed study to this
problem.) In a major tonality the tonal centre is DO. That causes the predominance of
the TI-DO leading-note steps. In minor keys, however, it is not necessarily LA that
constitutes the tonal centre, but much rather the note MI: the core of a melody mostly
comprises FA-MI steps (think of the main idea in Mozart
s great G minor Symphony,
or the main theme in Beethoven
s Appassionata sonata: Db-C turns in bs. 1-24). In
our tonal system, the symmetry-pair of the TI-DO leading note step is the FA-MI
step; Mi is the mirror image of DO. 4)
The note MI (note E in A minor) can most effectively be approached from two sides:
from the directions of FA and RI (F and D #). What is the
augmented six-five

chord? It is a special chord typical of the minor tonality obtained when the V. (MI)
degree is prepared not simply by the IV. degree,
Fig. 14

but the MI centre is approached from both sides with chromatic steps: with FA-MI
and at the same time RI-MI
direction notes
, (that is, with F-E + D #-E turns). In
such a case this tight harmonic relation will almost produce a
physiological effect,
as it were!
Fig. 15

Between each statement of the three-times repeated motto-theme ("Sobald dich

fhrt..."), which in terms of form expresses the attainment of the goal, the augmented
six-five chord occurs, lending special weight to the MI centre. The chord first accents
the word "Licht", then underscores the sentence "saget mir: lebt denn Pamina noch?"
Fig. 16

The nucleus of this harmony

F major
is the VI. degree of the tonic A minor. B major
preparing the development is, on the other hand, the counterpole
the tritone
of F
major. The model of the polar turn must be traced back to the Neapolitan chord. The
Neapolitan chord and the V-I step following it serve to circumscribe a tonal centre
note, with semi-tone steps, to boot; in A minor key, the notes B b and G# chromatically
head towards the note A: 5)
Fig. 17

By the way, we know from earlier experience that the B b major Neapolitan chord is
nothing else but the substitute chord of the subdominant D minor.
The above quoted polar turn ("Man opferte... sie schon?") is based on a similar

attraction
proved unquestionably by the renderings of Toscanini, Bruno Walter or
Karajan
: the melody falls over the central E note.
Fig. 18

This time, too, FA and RI play the role of the

leading notesfrom two sides (I prefer
to use the term
direction notes
: the meaning of both FA and RI is expressed by the
sphere of attraction of the MI centre).
However, the circumscription of the note LA cannot be missing, either. Before the
outburst of the motto-themerepeated ritually three times ("Die Zunge bindet Eid
und Pflicht... schwinden") the notes Bb and G# perform a similar task: 6)
Fig. 19

In terms of taxonomy, the

symmetry-pairof the G major dominant seventh is the BD-F-A subminor chord. The character of the latter is far more lyrical and melodious
(
singing
): thanks to the LA note. Instinctively, that is how it became the backbone
of the repeated motto-theme:
Fig. 20

The dialogue has a recurring

leitmotifwhich owes its existence to the directionnotes
precisely to an element that is the opposite of the leading note step. Let us do
violenceupon the leading note of the V. degree (e.g. the note B of G major) by
modifying the note B to Bb (instead of the tonic resolution): that is, let us have the
major third (B) replaced by a minor third (B b). This charges the note Bb with tension,
turning it into a dissonant element, a
direction noterequiring further leading
towards D major. From that point onwards the function of the dominant is not
performed by the G major but by D major (= the secondary dominant: the dominant
of the dominant). The task of the tonic belonging to D major (i.e. G minor) is simply
to restore the equilibrium
as it was expressed by a great conductor in connection
with "Ja, ja, Sarastro herrschet hier".
Fig. 21

Following the onerous admonition "Tod und Rache dich entznden" (concealing an
augmented six-five again), Tamino surfaces with the G major dominant:
Fig. 22

The old priest suddenly tones down his voice: instead of G major we hear G minor
and the continuation conforms to what was described above.
The G minor and D major chords shown in Fig. 21 constitute a symmetry-pair,
mirroring each other taxonomically. In this sense, the mirror image of the note Bb
(TA) is F# (FI). It would be redundant to mention this, had Mozart not made use of its
opposite upon the return of the motif. This time the emphasis is laid not on TA but on
FI, which immediately gives the motif a
challenging
, provocative character: it
becomes a threat to murder, striking the key of passionate protest, of indignation. The
key is F major (or F minor): "das ist mir schon genug". Were this to occur in a
classical oratorio, the homophonic melody would be answered in the following way:
Fig. 23

What accounts for the sharp

challengeis the replacement of the C major domi-nant
by C minor (the passionate minor dominant), and just like earlier, the natural
continuation is in G major
where the note B means FI, striking the tone of danger
and threat.
Fig. 24*)

The scale-degrees FA and FI have a distinguished place even among the

directionnotes
. FA pulls downwards (to MI), while FI pushes upwards (to SO). This is a very
modern idea in dramaturgy. The introductory part of the dialogue is tied to C major,
its middle part to C minor and its related keys, while the closing section returns to the

keys without accidentals: first to A minor and finally to C major.

The question arises what scenic moment elicits the reprise. In Tamino, the image of
the "unglckliches Weib" (disconsolate mother) evokes the tragic G minor. For the
old priest, however, the "Weib" means something quite different. At first one might
think he is only envious (that is why the sarcastic intonation) but it shows through the
music more and more apparently that she is the opponent, or even the
enemy
. Isn
t
it peculiar that "Ein Weib" as well as the image of the enemy is associated with the C
major chord? Let us take a closer look at what is happening here. In G minor the
EbD steps give the impression of emotional FA-MI steps; the guiding thread of the
harmonies is made exclusively of E bD steps (earlier I pointed out that FA
MI is the
emotional
, introverted element in music):
Fig. 25

As against that, when the Sprecher begins to speak,

what a turn!
FA is replaced
(ousted, to be precise) by FI, which ushers the dialogue towards SO:
Fig. 26 (Play before it the former example!)

In connection with the mentioned G minor, Bb7and Eb major turns let me refer to
another idiomatic turn also behaving like a leitmotif. In my analyses of Verdi and
Wagner I termed this element the turn-motif. In Mozart
s music the role assigned to it
is to give emphasis (emotionally charged emphasis) to a word. When, for instance,
the root of the A minor chord is raised a semitone higher, that is, modified to B b (NB:
the modification giving accent to the chord), a major seventh (C7) is gained which
automatically leads into the substitute key (F major).
Fig. 27

That
s how we arrive from the first "Zurck!" to the second gate, from G minor to E b
major:
Fig. 28

Later we move from the G minor of "Sarastro herrschet hier" to E b major in the same
way: raising the basic note of G minor gives edge to Tamino
s violent "nicht".
Fig. 29

The sentence "Er ist ein Unmensch" is stressed by a similar motif (G minor, B b7, Eb
major).
Fig. 30

The same takes place after "Erklrdies Rthsel" (E minor, G 7, C major; the raising
of the root note falling on the sentence "tusch mich nicht!"). 7)
Before sketching the tonal structure of the scene, let us remember an analogy:
Tristan
s
dream chords (Brangne
s first monologue in Act 2: "Einsam
wachend..."). Each group of chords springs from C# major
and the nadir is reached
#
when C major is followed by A minor and E minor triads:
Fig. 31

In the opera C# major signifies the

mother
s lap(the womb), the
dream
, the
nightthe Nirvana. The A minor and E minor nadir presupposes the renunciation
of this, too: after C# major A minor establishes an annihilating relation (not to speak

of the fact that the leading note within the C # major chord [E#] is resolved
unnaturally downwards), while E minor represents a polarly distant relationship with
C# major.
If in the cited dialogue of the Magic Flute D major symbolizes the
gateof
Sarastro
s temple, the concept of the
non-gatethe moment when Tamino gets
ready to leave disappointed and
renouncesthe gates will be represented by Bb
minor and F minor, according to the above logic. D major and Bb minor are
complementary keys: renouncing each other, while F minor is removed to the other
pole from D major: in our tonal system (e.g. the circle of fifths) the largest possible
distance is expressed by a difference of 6 accidentals. As if it were the model for the
Wagnerian technique: the very point where Mozart noted in the score "er will gehen"
(and the Sprecher asks Tamino: "Willst du schon wieder geh
n?"), we find ourselves
in the Bb minor key, followed four bars later by F minor.
The contrast becomes even sharper when it is considered that D major is prepared by
a salient, conspicuously emphatic A major dominant (almost 9 bars in length);
attraction and repulsion are made even more apparent:
Fig. 32

A similar contrast was noted earlier: Tamino

s youthful, spontaneous utterances were
expressed in B minor and E minor, while the old priest opened up the tonal scope of
Ab major and Eb major:
Fig. 33

As a result of the above-described connections, a dual, intertwining

spiral systemis
created in which each element is balanced off by its counterpole (its tritone-pair):
Fig. 34

Another two arguments are elicited by the transformation in the wake of "Zurck!".
In C major tonality, the symmetry centre of our tonal system is marked by the D or
the Ab pole. The gate is evoked by D major, the Sprecher appears on the counterpole:
in Ab major. For Bartk, the inversion of the major pentatony
DO pentatony
became
incarnated in MI pentatony, (projecting the DO pentatonic scale built on the note D
downwards of D, a MI pentatonic scale is produced). The basic idea of Cantata
Profana cannot be separated from the fact that our tonal system (notation, the
stringing of the keyboard instruments, and in many respects the string instruments) is
based on the
d symmetry axis. Bartk contrasts the DO pentatony based on D with
MI pentatony also based on D. The starting scale of the work rests on the D=MI
pentatonic frame, while the acoustic scale closing the work unfolds from the D=DO
pentatonic scale: (see Fig. 85 on p. 49) 8)
Thus the above two scales are the exact mirror images of each other. The D=MI
pentatonic scale incorporates the G minor and B b major triads. The D=DO pentatonic
skeleton of the finale contains first of all the D major triad, but also the B minor triad.
In The Magic Flute, D major symbolizes the
gate(cf. also Tamino
s rapture in B
minor upon sighting Sarastro
s temple). The D=MI pentatonic scale, on the other
hand, contains the Bb major and G minor triads: at the turning point, as a consequence
of the word "Zurck!", these very
reversedtriads get legitimation: first B b major,
followed by G minor (the former after "Zurck", the latter after "Glck").
One more thing should be touched on in connection with the outcry "Zurck!". This
is what triggers off the radical change that occurs through the entry from the
major
world into the
minorworld. On the one hand, C major and its V. degree (G major)
ensure the tonal aura that can be schematized in the following way (every second step
in the figure rhyme in perfect fifths). The formula also implies the possibility of B
minor and E minor (as was mentioned earlier, Tamino
s temper is governed by the
positive substitute chords of G major and C major: B minor and E minor).
Fig. 35

To produce the above net of fifths (Fig. 35a), a single C major (or A minor) triad
would suffice. Should we replace C major by C minor, the fifth steps would take the
shape above (Fig. 35bthe
relative key of C minor is Eb major, etc.).
Looking at the two schemata side by side, one realizes that the relationship between
the alternating major and minor third is reversed. The second row of thirds goes along
the same path as is covered by the music after the shock of "Zurck!":
Zurck!
Bb major

Glck.
G minor

Zurck!
Eb major

...hier.
C minor

Adagio.
Ab major.

Fig. 36

In the scheme above C major and C minor, G major and G minor indicate a
majorminor(modal) contrast. A more complicated case of the major-minor relationship is
the contrast of the chords with a common third: Ab major and A minor almost present
an allegoric contrast (appearance and dissappearance of the old priest). A similar
contrast is created between E minor and E b major, B minor and Bb major. By the
same token, the chord with the common third as the enthusiastic B minor emanating
from Taminos personality is to become the Bb major, which expresses the stout
resistance of the gate, the shock ("Zurck!"). Tamino
s flaring up in E minor will
also have a chord with a common third: Eb major, which projects to us the state of
mind of the old priest together with the spiritual world behind him. And if you add to
that, that E minor and Ab major, as well as B minor and E b major are spheres that
negate one another (complementary keys), while B minor and A b major are polar
spheres, then the computer may help you orientate yourself in this multidimensional
network of relations.
The broad cadences illuminate the D major episode like spotlights: Tamino is
standing in front of the temple gate. The
mapof the scene gives similar salience to
the importance and frequence of the G minor episodes: "Ja, ja, Sarastro herrschet
hier": a G minor arrival, right in the foreground of an explosion. And later: "So gieb
mir deine Grnde an!": G minor, before another explosion. And yet another G minor:

"das Gram und Jammer niederdrckt."

In C major, the simplest subdominant and dominant are represented by D minor and
G major. In taxonomic terms: the symmetry-mirror of D minor is G major. The
symmetry remains intact even if we replace D minor and G major by D major and G
minor, respectively. In this case, the notes FA and TI are replaced by FI and TA: in our
system of notation, the nearest (first) sharp and the nearest flat appears:
Fig. 37

(The frequency of D major and G minor not only illustrates how the mentioned
principle became one of the most obvious instruments of
expandingthe diatonic
system, but also suggests how the
acousticscale: DO-scale with FI and TA was
9)
born in Bartk
s style.)
Speaking of the 19th century, let it be mentioned that the dominant of the A minor
key: the E major chord also has a symmetry pair, the F minor. In the C major key the
symmetry axis of the system is constituted
besides D
by the G # = Ab note (in the
notation, it is marked by the
middle
, the third sharp or flat, resp.). One points
10)
upwards, the other downwards. The nadir of disillusionment is scored by Mozart in
the F minor key ("... nie eu
ren Tempel sehn!"), while the development (mottotheme) is born out of E major. F minor and E major not only satisfy the requirements
of the mirror relationship
, but are also chords with a common third.11)
The Mozartian chromaticism is omnipresent ensuring the organic, unbroken
connection between the chords. After the statement "Die Absicht ist nur allzu Klar!"
the note B leads to C, then (extended into a major third) gets emphasis from the C #
note so that the latter could proceed to D as the leading note. The role of the
neckbreaking polar change (D minorB
major) seems to imply that D should turn into
#
D and resolve in E. Via the
turn-motif
, however, this E also rises to F, which
eventually becomes reconciled in the central E note.
Fig. 38

The basic motif of relief, of

smoothing outis the DO-RE-MI motif (also on the

stage of Wagner and Verdi). Significantly, the three-times repeated motto-theme is

prepared by this phrase (see Fig. 19 on p. 143).
The cathartic moment follows the introduction of the motto-theme: "O ew
ge Nacht"

Mozart has the tonic (bass) and the dominant sound at the same time hence

the timeparalyzing, static effect:

Fig. 39

The true unfolding

the absolution
is brought along by the flute solo of Andante. The
dual
Eb major and C major
stage of The Magic Flute has often been discussed by
analysts (Eb major as the tonality of being initiated, being an
insiderin the sacred
secret); this dual tonal stage prevails in the examined dialogue as well.
Compared to C major, the Eb major chord assumes its expressive character from the
notes MA and TA (Eb and Bb). When the flute solo taming the beasts is intoned and
Taminos aria "Wie stark ist nicht dein Zauberton" is begun, the stage lighting also
changes: in our tonal system, the mirror image of TA and MA are the notes FI and DI
the aria is dotted with FI and DI colours, which produce the
fabulousnatural aura
of the scene:
Fig. 40

In connection with the

sanctifiedkey of E b major, let me remind you of the
Sprecher
s theme "... Heiligtum. Der Liebund Tugend Eigentum" following his
introduction. The more so, because it
rhymeswith the closing act of the above
Quintet, quoting almost
note for noteits Bb major melody "Drei Knbchen jung,
schn, hold und weise, umschweben..." and its smoothingly blissful parallel thirds.
Deepening the chords in thirds (a typical feature of the
motto
-theme as well) is
well known from the classical literature: it promotes the constant expansion of the
inner stage
, it keeps intensifying the radiance of the theme.

1. In a major key, the turn of the V-III. degree elicits a similar effect. (see. e.g. Beethoven
s
Missa Solemnis from bar 345). Here we are already in a minor key, that is, the dominant effect
is enhanced by the dominant chord built upon
DI
.
2. Bartk: Beginning of String Quartet No.4.
3. Cf. the Command motif in the Tristan.
4. See the beginning of Beethoven
s 5th Symphony.
5. Cf. Verdi
s Don Carlos (Act II), the Monk
s second half-phrase in A: F-B.
6. End of page 60, too (The Magic Flute, piano score, Universal Edition):

*) taadded by the editors

7. This motif has a counterpart, taxonomically speaking a symmetry-pair, which is created by
lowering the SO note of the major chord by a semi-tone, e.g. modifying the G of C major to
F#. The resulting F# subminor (F#-C-E, or F#-A-C-E) is a
blood-kinof the secondary
dominant (that is, it is related in meaning to the dominant of the dominant: the D7 chord), so
much so, that in Mozarts score the two usually appear simultaneously. Such is the Sprecher
s
b
b
first sentence where the fifth (E ) of the A major is modified to D, and the simultaneously appearing D
subminor + Bb7 chords unite in a Bb9chord:

Taminos very first sentence at the beginning of the finale is also governed by a similar rule: the fifth of the C
major is changed into F#, resulting in an F# subminor + D7 (= D9 chord). The
turn
-motif and the turn
described above are mirror images of each other: both belong to the basic stock of Mozart
s idiom. One
gravitates towards the subdominant, the other towards the dominant.
8. Bartk himself made mention of this MI scale in his Harvard lectures.
9. Lurking behind the gripping - moved and at the same time exalting - B major breaking point: "Man opferte ...
sie schon" and the Bb minor expressing disappointment (see the "er will gehen" instruction) one discerns a
similar symmetry relation: compared to the D centre, B major is the mirror reflection of Bb minor (the contrast
inhering in the reflection prompted Verdi to create one of his favourite dramatic motifs.)
10. That is how the F minor-C major cadence, which is none other than the counterpart, the mirror image, of the
E major-A minor cadence (customary in a minor key), struck root in Romanticism. The D subminor-C major
cadence is used with a similar meaning (as the mirror image of the E7-A minor cadence).
11. Wagner even composed a theme on the relationship between F minor and E major: the Marke theme is one of
the most enigmatic thoughts of the Tristan.

APPENDIX
The perception of music is based on our capacity to identify musical sounds by their
relationship to a given key (or root) - not immediately by their absolute pitch. (The
sense of perfect pitch is a faculty that is in most cases innate and independent of the
direct perception of music.) The advantage of relative solmization over absolute tone
names is that it also expresses the musical 'meaning' (function) of the notes.
According to Kodly
s musical concept, each major scale has a
DO-RE-MI-FA-SO-LA-TI-DO,
and each minor scale a
LA-TI-DO-RE-MI-FA-SO-LA
meaning.
By raising the DO, we obtain degree DI,
by raising the FA, degree FI,
by raising the SO, degree SI, etc.
By lowering the MI, we obtain degree MA,
by lowering the TI, degree TA, etc.
For example, in the C major (or A minor) key:
LA-DI-MI stands for the A major triad (A-C#-E),
DO-MA-SO stands for the C minor triad (C-Eb-G).
The chromatic scale in the E major or C# minor key runs as shown in the next figure:

Relative solmization is more than just a matter of learning how to write and read
music. It is virtually the only method which is capable of expressing modalpolymodal relations. In it, for example, the closedness of the system is expressed by
the fact that DO-DI and MI-MA are not only derivatives but also mirror images of
each other. This method can tell us something profoundly new about the modal
structure and semantics of music.

EDITORS POSTSCRIPT
In the last one and a half years of his life Ern Lendvai frequently entertained the
thought of giving a succinct summary of his analytic method in a sort of school-book.
His unexpected death prevented the realization of his plan. Upon the request of his
wife, Erzsbet Tusa, the editors of this volume undertook this rather difficult task.
Ern Lendvai
s professional career spanned some four and a half decades. As is
known, he began as a Bartk scholar, analyzing Bartk
s works in his first essays
(from 1947) and books (from 1955). From the early
70s on, he extended his field of
research first toward Kodly and later toward romanticism, particularly toward the
music of Verdi and Wagner, and in his last paper (1992) he put a scene of Mozart
s
Magic Flute under scrutiny. His method thus gradually evolved into an almost overall
analytic system.
The book is aimed, on however limited space, to present his theoretical statements as
fully as possible. In one of our last meetings he said such a summary could aptly be
based on his article
Symmetries of Music(in: SYMMETRY Vol. 1, 1990 VCH
Publishers, Inc.). Obviously, that was the most appropriate title to be given this book
as well. The study, however, had to be substantially enlarged because some problems
were completely missing from it and others were only touched on sketchily.
We selected passages from two major synthetizing works,
The Workshop of Bartk
and Kodly(Editio Musica Budapest, 1983) and
Verdi and Wagner(International
House Budapest, 1988). The former, containing articles written chiefly in the
60s
and
70s, was mainly used in the first half of this book, the latter in the second half.
In addition, we borrowed some passages and chapters from essays published
elsewhere.
With slight omissions, Lendvai
s study
The Quadrophonic Stage of Bartk
s Music
for Strings, Percussion and Celestawas also included in the abridged form he
prepared for the New Hungarian Quarterly, because, on the one hand, we wished to
illustrate his way of analyzing a large form, and on the other, because it addresses an
intriguing and special problem that is not discussed anywhere else.
We present in full professor Lendvai
s last essay prepared for publication (The
Sprecher
-scene of The Magic Flute) which first appears in this volume. The
manuscript being untitled, we assigned it the title by which the author referred to it.
This volume is not at all a critical edition. Our task was to unify sections of studies
published on the same topic at various points of time and space and to avoid
repetitions. Always choosing the most compact and complete wording, at times we
borrowed a passage or just a sentence from somewhere else. Appendices and notes
containing significant theoretical statements were included in the body of text, but the
ones deemed dispenseble were omitted. What entitled us to apply this procedure was
that the author himself did the same to different versions of his studies.
It cannot be stressed enough, however, that there is not a single sentence, half

sentence or even adjective that Ern Lendvai would not have put down in the same
context (the unavoidable editorial notes or references are added in footnotes and
marked /ed./).
That applies to music examples and figures as well. Not even the bibliographic data
were complemented (apart from the correction of obvious misprints). The selection of
music examples was governed by the desire to best enlighten the theoretical
statement on the one hand, and to represent as many composers as possible on the
other.
The great temporal distance between the studies and the transformation and extension
of the author
s research field (e.g., the use of relative solmization) explains the
differences (but not contradictions!) in style and partly in outlook between the first
chapters of the volume (Axis System, Nature Symbolism, Harmonic Principles, The
Quadrophonic Stage), and the later ones. This difference can sometimes be detected
within a chapter as well (e.g., Authentic and Plagal Thinking). The same explanation
applies to the preponderance of certain composers in some chapters (e.g. Bartk and
in part Kodly in the starting chapters, Verdi and Wagner in the second half), and to
the restriction of certain statements to one composer or another. That could not be
avoided nor was it our desire to do so.
The essays were translated by Mnika Plos, Judit Pokoly and the author (and
possibly by other, unknown translators), but it was impossible to determine who
translated what. The Mozart study was translated by Judit Pokoly.
Thanks are due to the Kodly Institute of Kecskemt and specifically to deputy
director Mihly Ittzs for the publication of this volume. He was the one to organize
Ern Lendvai
s first, and regrettably last, seminar in June 1992 where he could
personally meet a younger, unbiased generation open toward a new approach. It was
a source of delight both for him and for the participants.
Mikls Szab
Mikls Mohay