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The Death and Resurrection of Function THE DEATH AND RESURRECTION OF FUNCTION A Dissertation Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By John Gabriel Miller, B.A., M.C.M., M.A. ***** The Ohio State University 2008 Doctoral Examination Committee: Approved by Dr. Gregory Proctor, Advisor Dr. Graeme Boone ________________________ Dr. Lora Gingerich Dobos Advisor Graduate Program in Music Copyright by John Gabriel Miller 2008 ABSTRACT Function is one of those words that everyone understands, yet everyone understands a little differently. Although the impact and pervasiveness of function in tonal theory today is undeniable, a single, unambiguous definition of the term has yet to be agreed upon. So many theorists—Daniel Harrison, Joel Lester, Eytan Agmon, Charles Smith, William Caplin, and Gregory Proctor, to name a few—have so many different nuanced understandings of function that it is nearly impossible for conversations on the subject to be completely understood by all parties. This is because function comprises at least four distinct aspects, which, when all called by the same name, function , create ambiguity, confusion, and contradiction. Part I of the dissertation first illuminates this ambiguity in the term function by giving a historical basis for four different aspects of function, three of which are traced to Riemann, and one of which is traced all the way back to Rameau. A solution to the problem of ambiguity is then proposed: the elimination of the term function . In place of function , four new terms—behavior , kinship , province , and quality —are invoked, each uniquely corresponding to one of the four aspects of function identified. The meanings of these new terms are elucidated by such harmonic topics as secondary dominants and six-four paradigms. A notation system is developed for behavior , in particular, which is ii used in conjunction with two standard systems of harmonic analysis to form a Three-fold System of Analysis that yields deeper explanations of harmony characteristics. Part II of the dissertation reveals how my theory of behavior leads to new explanations for chromatic harmonies. A definition of tonicization is proposed based on behavior paradigms. The models suggest that tonicization is a better explanation than is mixture for many chromatic notes and harmonies that are typically explained with mixture. Further, so-called linear or voice-leading chords (such as augmented-sixth chords, common-tone diminished seventh chords, chromatic mediants, etc.) are examined through the lens of the theory of behavior. Finally, I discuss ramifications of the theory of behavior for musics beyond the realm of classical diatonic tonality, including 19 th - century chromatic tonality, jazz, and popular music. Part III of the dissertation traces the history the four aspects of function from Rameau to Riemann. This account includes such figures as Rameau, Béthizy, Daube, Kirnberger, Koch, Vogler, Momigny, Weber, Fétis, Sechter, Hauptmann, Helmholtz, and Riemann. iii ACKNOWLEDGMENTS I would like to thank my advisor, Gregory Proctor, for inspiring this study, carefully considering my ideas, and helping me to refine them. Thanks to my committee members, Lora Gingerich Dobos and Graeme Boone, for time and effort in helping me achieve clarity. Thanks also to Burdette Green for his helpful suggestions. I am indebted to Blake Henson, David Tomasacci, and Ben Williams for their enthusiastic feedback. Mom and Dad, thank you for everything. To Samantha, thank you for your support and encouragement. And last, but certainly most, I would like to give thanks to God for all good gifts. iv VITA November 25, 1977....................................... Born – Winter Haven, Florida 2000............................................................... B.A. Music, Florida State University 2001-2002..................................................... Director of Bands, Wildwood High School Wildwood, Florida 2003.............................................................. M.C.M., Church Music, Lee University 2005-2008..................................................... Graduate Teaching Associate, The Ohio State University 2005............................................................... M.A., Music Theory, The Ohio State University PUBLICATIONS Miller, Gabriel. “The Death and Resurrection of Function.” The Ohio State Online Music Journal 1, no. 1 (Spring 2008): 21 pages. FIELDS OF STUDY Major Field: Music v TABLE OF CONTENTS Page Abstract..................................................................................................................... ii Acknowledgments..................................................................................................... iv Vita............................................................................................................................ v List of Tables............................................................................................................ ix List of Figures........................................................................................................... x List of Examples....................................................................................................... xi Chapters: Introduction................................................................................................... 1 Part I. The Death of Function: A Solution to the Problem of Ambiguity................ 4 1. Historical Foundations: Sketching the Many Faces of Function...... 5 1.1 Riemann and Function............................................................... 7 1.1.1 Daniel Harrison........................................................... 12 1.1.2 Joel Lester and Eytan Agmon..................................... 15 1.1.3 Charles Smith and William Caplin.............................. 18 1.2 Rameau and Function................................................................. 20 1.2.1 Gregory Proctor........................................................... 25 1.3 Summary.................................................................................... 30 2. A New Approach to Function Theory............................................... 32 2.1 Preliminary Assumptions........................................................... 35 2.2 Characteristics of the Dominant Triad and Seventh Chord........ 36 2.3 Characteristics of the Tonic and Subdominant Harmonies........ 37 2.4 Definitions.................................................................................. 38 2.4.1 Kinship........................................................................ 40 2.4.2 Province....................................................................... 42 2.4.3 Quality......................................................................... 43 2.4.4 Behavior...................................................................... 44 vi 2.5 Reexamining the problem of V 7/V with the new terms............. 45 2.6 Behavior and Province............................................................... 46 2.6.1 Behavior complementing Province: Six-four paradigms.................................................................. 47 2.6.2 Behavior contradicting Province................................. 49 2.7 Notation...................................................................................... 50 2.8 Analysis: Beethoven, Piano Sonata no. 9 , Op. 14, no. 1, mm. 1-16........................................................ 55 2.9 Diatonic triad motion explained by the theory of behavior....... 57 2.10 Summary.................................................................................. 58 Part II. The Resurrection of Function: Practical Applications for the Theory of Behavior........................................................................................................ 60 3. Tonicization Versus Mixture: The First Explanatory Power of the Theory of Behavior is Revealed........................................... 61 3.1 Tonicization codified with the theory of behavior..................... 62 3.2 Downward pointing leading tones.............................................. 66 3.3 Tonicization (d-t and s-t)............................................................ 67 3.3.1 Combining d-t and s-t tonicization.............................. 69 3.3.2 Incomplete tonicization............................................... 70 3.4 Quasi-tonicization....................................................................... 75 3.5 Pseudo-tonicization.................................................................... 82 3.6 Microtonicization....................................................................... 84 3.7 Analysis: Beethoven, Waldstein Sonata , I, mm. 1-35................ 86 3.8 Chromatic notes in classical diatonic tonality not explained by tonicization............................................................................ 92 3.9 Alternatives to tonicization.......................................................... 93 4. The Theory of Behavior as an Explanation for Chromatic Harmonies............................................................................. 96 4.1 The Death and Resurrection of Roots........................................ 98 4.2 Distinguishing seventh chords from added-sixth chords............ 100 4.3 S, D, and their characteristic dissonances................................... 103 4.4 Root motion down by step.......................................................... 104 4.5 The diminished
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