CHAPTER 3 (PART 1)
NON-FUNCTIONAL CHORDS
Introduction
Many theorists from Rameau to Schoenberg and Piston have attempted to analyse chord progressions by describing patterns in their root movements. There have also been analyses into chord progressions carried out with the aid of computers. However, none of these fully describes the syntax of chord progressions. Please refer to the Outline Thesis and the Q and A sections of this site for further information on the history of such theories. A more complete description is being prepared for inclusions as chapter 10 (Historical Background) within this book summary.
This is because, in order to establish clear patterns, two factors have to be taken into account in the analysis. Firstly, it is necessary to make a distinction between the two types of harmony. As demonstrated in chapter 2, chord progressions are different depending on whether the harmony is static or dynamic. Secondly, some vertical note combinations, whilst appearing to be independent harmonies in their own right, arise out of melodic movements. These types of movement are referred to as melodic to distinguish them from movements which are genuinely harmonically based. When the former are discounted from the analysis, patterns in the root progressions become clear.
Static and dynamic harmony were described in chapter 2. In this chapter, I will deal with the second factor which I will refer to as functionality.
All theories of harmony make an assumption about functionality whether explicitly or implicitly. Most theorists would accept that certain note combinations are not chords in their own right but arise due to some type of melodic or 'linear' movement in one or more of the voices. They nevertheless differ in what they would consider to be significant. I hope to present a clear and objective way of defining what is functional and what is non-functional. This should avoid the suspicion that can arise: i.e. that chords are ignored simply because they do not fit the theory. The justification for taking the position explained in this chapter is is based on research into patterns in chord progressions. For more information on how these patterns have been established, please refer to the outline thesis.
For a theory of functionality to be credible it is important that the principles deployed to determine functionality are clear and simple and independent of the results derived. It is important that there should be some rational reason for excluding chords from the root progression analysis. The method deployed must satisfy the following conditions:
- It must be clear and unambiguous
- It must be based on concrete research data
- It must be applied in a consistent manner
- It must be applied in such a way that is independent of the end result
In other words, the reduction of music to an harmonic outline that lends itself to adequate root analysis, must be carried out by a system of rules that is as objective as possible.
Whilst many non-functional chords are totally diatonic, it is impossible to discuss functionality without discussing chromatic harmonies as these are frequently deployed as non-structural filling-in chords which decorate the underlying harmony. This is because chromatic stepwise movements lend themselves easily to the production of auxiliary notes, passing notes and appoggiaturas. These add variety and interest without causing the ear to lose track of the underlying harmony or tonality.
Chords that do not contain a perfect 4th or 5th do not enable the ear to easily determine a root for the chord. Consequently, these chords are normally used as non-functional chords. These include the diminished 7th chord, the augmented 5th chord and forms of the augmented 6th chord*. These chords are non-functional due to their very nature. Other non-functional chords are note combinations that in other circumstances would be heard as functional chords. Simple triads and 7th chords can be used as non-functional chords when they arise from linear movement rather than root progression. The latter types are ones that can lead to misinterpretation as they are easy to mistake as functional harmony.
* One form of the augmented 6th chord (the German 6th chord) does contain a perfect fifth, but due to the way the augmented 6th interval resolves outwards, the chord behaves like a non-functional chord except where it is reinterpreted and resolves like a dominant 7th chord in a new key. See Glossary: Augmented 6th chord and Chapter 7: Modulation via Chromatic Chords.
There are three basic types of non-functional chord: The Auxiliary Chord, The Passing Chord and The Appoggiatura Chord. The first type was introduced in the last chapter as it is important as a means of forming static harmony patterns. The second type occurs frequently and in many forms. The third type is significant mainly as a device for elaborating the cadence by extending the dominant (and sometimes the tonic) harmony.
Before we explore each type in turn it may be useful to summarise how we can distinguish between functional and non-functional chords. By far the most important and defining factor is the first rule i.e. That non-functional chord are made up from auxiliary notes, passing notes or appoggiaturas whereas functional chords are not. However the additional guidelines may also be helpful in correct identification.
FUNCTIONAL CHORDS:
The components of the chord do not arise as a result of auxiliary notes, passing notes or appoggiaturas.
Other factors that may help in identification:
Almost always a major or minor triad (with or without an added 7th 9th etc.)
Usually on stronger beats than associated non-functional chords
Likely to be in a stronger inversion than associated non-functional chords
Likely to be more consonant than non-functional chords
Except for alterations to the 3rd of the chord (and some cycles of 5ths), are not usually chromatic.
NON-FUNCTIONAL CHORDS:
The components of the chord arise as a result of auxiliary notes, passing notes or appoggiaturas.
Other factors that may help in identification:
Less likely to be a major or minor triad (with or without an added 7th 9th etc.)
Usually on weaker beats than associated functional chords
Likely to be in a weaker inversion than associated functional chords
Likely to be less consonant than functional chords
Are often chromatic.
Ver. 2.4a