Theory I Course Packet

Updated Summer 2020

1
Piano keyboard reference sheet

2
 Handout: Intervals, Key signatures, and Triads

Intervals:

An interval is the space between two notes.

Generic interval: measures the distance on the staff only. Labeled as a second, third, etc.
Specific interval: adds a quality to the generic interval. Labeled as minor third, diminished fifth, etc.
These qualities can be abbreviated like so:
M = major
m = minor
A = augmented
d = diminished

An augmented interval is one half-step larger than a major or perfect interval

A diminished interval is one half-step smaller than a minor or perfect interval

name m2 M2 A2 m3 M3 P4 A4
half 1 2 3 3 4 5 6
steps

name d5 P5 m6 M6 d7 m7 M7
half 6 7 8 9 9 10 11
steps

Inversion: reversing the pitches so that the lower one is now on top (A-C becomes C-A)
Inverted intervals follow certain rules:
• They add up to nine (a second becomes a seventh; a fourth becomes a fifth)
• They take the “opposite” quality: major becomes minor and vice versa, augmented becomes diminished
and vice versa. Perfect inverts to perfect (a minor second becomes a major seventh; a perfect fourth
becomes a perfect fifth)

Shortcuts for finding intervals:

1. For major or minor intervals, think of the corresponding key signature. For instance, if I want a major
sixth above E, I think of the key signature for E major (4 sharps) and I know that the C a sixth above E
should be sharp.
a. Exception: seconds are major in both major and minor scales
2. For sixths and sevenths, you can mentally invert them (seconds and thirds are easier to calculate)

3
Key signatures:

Best to just memorize these.

Circle of fifths:

Relative keys are major and minor keys that

share the same key signature (for
instance, C major and A minor; Bb major
and G minor). The minor key is always a
minor third below the major key.
Parallel keys are major and minor keys that share
the same ^1 (for instance, C major and C
minor; Bb major and Bb minor)

Shortcuts:
1. In major keys, the last sharp is ^7; the last
flat is ^4
2. Moving up and down the circle of fifths.
Remember, the only “white-key” fifth that isn’t
perfect is B-F

Triads

A triad is a three-note chord comprised of two thirds

stacked atop one another. There are four different kinds—
major and minor have one major and minor third each;
augmented has two major thirds; diminished has two
minor thirds.

Shortcuts:
1. Figure out the fifth first—it will narrow your triad
into either one or two options. If it’s perfect, it will be a
major or minor triad; if it’s diminished, it will be a
diminished triad; if it’s augmented, it will be an
augmented triad.

4
 Handout: Chords in Context
Theory I

Steps for analyzing chords in context:

1. Collect the “chord tones,” or notes in the chord, and make a triad in “snowman” formation (either mentally
or on your own staff paper)
a. Watch out for sharps/flats from the key signature
b. Watch out for notes holding over from the previous chord
2. Name the chord by its root, or the base (bass!) of the snowman
3. Figure out your chord quality (major, minor, augmented, or diminished) by counting your thirds
4. Find the inversion by looking at the bass note on the music
a. If it’s the root, it’s in root position and you don’t need a symbol
b. If it’s the third, write a superscript 6 next to your roman numeral
c. If it’s the fifth, write a 6/4 next to your roman numeral

Example:
Label this chord. Steps match those above

1. I see F, Ab, and D in this chord (taking account of the key signature), and I
want to arrange them in the maximally efficient “snowman,” or triad shape.
Which will look like the picture below.

2. In this triad position, D is in the bass, so it is the root of the chord.

3. I see a minor third between D and F, and a minor third between F and Ab,
so this is a diminished chord
4. Looking back at the music, I see that F is in the bass. That is the third of
the chord, so I’ll need a superscript 6.

I would label this chord as Do6 or Do/F

5
6
7
 Handout: Roman Numeral Analysis and Figured Bass Realization
Theory I

Steps for completing a roman numeral analysis:

1. Collect the “chord tones,” or notes in the chord, and make a triad in “snowman” formation (either mentally
or on your own staff paper)
a. Watch out for sharps/flats from the key signature
b. Watch out for notes holding over from the previous chord
2. Name the chord by its root, or the base (bass!) of the snowman
3. Figure out your chord quality (major, minor, augmented, or diminished) by counting your thirds
4. Label the chord with a roman numeral
a. The number matches the scale degree of the root
b. Symbols:
i. Major = upper case (I)
ii. Minor = lower case (i)
iii. Diminished = lower case with degree sign (viio)
iv. Augmented = upper case with plus (III+)
5. Find the inversion by looking at the bass note on the music
a. If it’s the root, it’s in root position and you don’t need a symbol
b. If it’s the third, write a superscript 6 next to your roman numeral
c. If it’s the third, write a 6/4 next to your roman numeral

Example:
Label this chord in Eb major. Steps match those above

1. I see F, Ab, and D in this chord (taking account of the key signature), and I
want to arrange them in the maximally efficient “snowman,” or triad shape.
Which will look like this:

2. In this triad position, D is in the bass, so it is the root of the chord.

3. I see a minor third between D and F, and a minor third between F and Ab,
so this is a diminished chord
4. D is ^7 in Eb major, so the roman numeral will be VII/vii. I know it’s a
diminished chord, so the full roman numeral will be viio
5. Looking back at the music, I see that F is in the bass. That is the third of
the chord, so I’ll need a superscript 6.

I would label this chord as viio6

8
Steps for realizing a figured bass in keyboard style:
1. Looking at the first chord, identify the chord tones by building a triad around the bass note. If the chord is
in root position, the bass is the root; if the chord is in first inversion, the bass is the third; if the chord is in
second inversion, the bass is the fifth.
2. Draw a 3-note chord in the treble clef and above the bass note with correct chord tones; it should span no
more than an octave. For triads, you will have to repeat a note—for now, any note will do.
3. Repeat step 1 with the next chord. Then identify the most efficient (parsimonious) way to get from chord 1
to chord 2, making sure you have a complete chord
a. Keep repeated notes
b. Most other notes will move by step or maybe by third
4. Repeat for subsequent chords. For your last chord, consider which scale degree you want to put on top. ^5 is
an especially weak option, and rarely used; ^3 leaves some room for ambiguity; ^1 will give you the most
closure

Example:
Realize the given figured bass. Steps match those above.
1. For the first chord to the left, I
see an E in the bass with no figure
below, which means it’s in root
position. So I need an E major
chord, E G# B

2. I could have put this chord in

any number of places—all I need is
those three notes close together—
but I decided to start with ^1 on
top. The E is doubled.

3. My second chord has the figure

of 6 beneath it, meaning it’s in first
inversion. That means that C# is
the third of the chord, which
means I want an A, C#, and E. I
can keep the E right where it is
(maintain common tones) and
then move both the C# and A
down a step to make a complete
chord.
4. I decided to end on ^1 here

9
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----
 Triads within a key
The staffs below show all of the triadic possibilities for major, natural minor, and harmonic minor
scales. Below each staff, write the correct roman numeral. Remember, major triads have CAPITAL
roman numerals, minor triads have LOWER CASE roman numerals, augmented triads have a capital
roman numeral with a plus, and diminished triads have a lower roman numeral with a superscript circle.
The first is done for you.

## www www www www

www www www
D major
& www
I

## www www www www

www
B natural minor
& www w www
ww
i

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www # www www # www
B harmonic minor
& # www
www www
i

11 ©
 Your Song
Elton John
D Gmaj7 A F#m
It's a little bit funny, this feeling inside
Bm Bm/A Bm/G# Gmaj7
I'm not one of those who can easily hide
D A F# Bm
I don't have much money, but, boy if I did
D Em7 G A
I'd buy a big house where we both could live

D G A F#m
If I was a sculptor, but then again no
Bm Bm/A Bm/G# G
Or A man who makes potions in a travelling show
D A F# Bm
I know it's not much but it's the best I can do
D Em7 G D
My gift is my song, and this one's for you

[Chorus]
A/C# Bm Em7 Gmaj7
And you can tell everybody this is your song
A/C# Bm Em G
It may be quite simple but now that it's done
Bm Bm/A
I hope you don't mind, I hope you don't mind
Bm/G# Gmaj7
That I put down in words,
D Em G A
How wonderful life is while you're in the world

D G A G

D Gmaj7 A F#m
I sat on the roof and kicked off the moss
Bm Bm/A Bm/G# Gmaj7
Well a few of the verses, well they've got me quite cross
D A F# Bm
But the sun's been quite kind, while I wrote this song
D Em7 G A
It's for people like you that keep it turned on

D Gmaj7 A F#m
So excuse me forgetting, but these things I do
Bm Bm/A Bm/G# Gmaj7
You see I've forgotten if they're green or they're blue
D A F# Bm
Anyway, the thing is, what I really mean
D Em7 G D
Yours are the sweetest eyes I've ever seen

[Chorus]

Bm Bm/A
I hope you don't mind, I hope you don't mind
Bm/G# Gmaj7
That I put down in words,
D Em G D G A G D
How wonderful life is while you're in the world

12
You are the Sunshine of My Life
Stevie Wonder

C F6 Em7 Bbdim
You are the sunshine of my life
Dm7 G7 C Dm7 G7
That's why I'll always be around
C F6 Em7 Bbdim
You are the apple of my eye
Dm7 G7 C Dm7 G7
Forever you'll stay in my heart

[Verse]
C F6 Cmaj7 F/C Cmaj7
I feel like this is the beginning
Cmaj7 F/C Bm E7
Though I've loved you for a million years
A D E/G# Eb/G
And if I thought our love was ending
Am11 D7 G7
I'd find myself drowning in my own tears

[Chorus]

[Verse]
C F6 Cmaj7 F/C Cmaj7
You must have known that I was lonely
Cmaj7 F/C Bm E7
Because you came to my rescue
A D E/G# Eb/G
And I know that this must be heaven
Am11 D7 G7
How could so much love be inside of you?

[Chorus]

13
 Handout: Seventh Chords
Chord Types and Inversions:

Note that the numbers in parentheses are not usually written in analysis. So triads in root
position have no figure, seventh chords in root position usually only have a “7”, etc.

Seventh Chords in Jazz:

ii V I
One of the most common progressions in jazz music is ii V I. These chords will usually have
sevenths, which are not dissonant in jazz. In major, the diatonic progression is ii7 -V7 - Imaj7,
while in minor it’s iiø7 - V7 - i7. Often this progression comes at the end of a phrase, but it can
also occur in different keys at different points in the music.

14
Realizing a Lead Sheet in Keyboard Voicing
…is very similar to any other kind of figured bass work at the piano. One difference is, because
of all of the sevenths, you will most often have four distinct tones in your four voices. I will run
through a simple iiø7 - V7 - i7 progression here, in F# minor.

First, I write in my bass line.

As you can see, I’ve decided to
keep all of the chords in root
position.

iiø7 V7 i7
For the first chord, iiø7, I have
my G# (^2) in the bass, which
means that the three notes I
need for the right hand are B,
D, and F#. I decided to put the
iiø7 V7 i7 third of the chord on top, for
no particular reason.
For the second chord, I keep
the common tone (B) and see
that I can move both the D
and F# up by step to complete
my chord. I make sure to raise
iiø7 V7 i7 that ^7, since I want my V to
be dominant-quality.

I follow the same steps to

complete the third chord.

Seventh Chords in Classical Music

…are almost always on ii, IV, V, and vii chords in both major and minor. We will soon identify
these as predominant chords.
• Unlike in jazz idioms, seventh chords in classical music are dissonant—the chordal
seventh likes to resolve downward
• To label a seventh chord in classical music, it’s not necessary to specify its quality—the
roman numeral does that for you (for instance, a IV7 in major will always be a major
seventh chord)
o Exception: you should write the diminished or half-diminished symbol over
appropriate chords (iiø7 and viio7 in minor; viiø7 in major)

15
 Seventh Chords
Theory I

www www
Prof. Pierson

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MAJOR

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______ ______ ______ ______ ______ ______ ______

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NATURAL MINOR

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16
17
Seventh Chords in Context: Beethoven Piano Sonata No. 10, Op. 14 No. 2

18
 Handout: Cadences and Syntax

Classical Syntax:
Tonic PreDominant Dominant
In classical music, we can place each common chord within one of the three categories above.

TONIC chords feel like home. They are often where a piece begins and almost always where it ends. They
rarely have sevenths added. Tonic chords include:

Major Minor
I i
iii III
vi, when following V VI, when following V

PREDOMINANT chords bridge tonic and dominant, without feeling too strongly tied to either one. They
occur less frequently than tonic or dominant—you can often have a phrase without any predominant chords at
all. They sometimes have sevenths added. Predominant chords include:

Major Minor
ii(7) iio(Ø7)
IV(7) iv(7)
vi, when not following V VI, when not following V

DOMINANT chords point back toward home, mostly due to the leading tone (^7) in each of them. A phrase
may end on them for a half cadence, but that phrase will beg for another with a more final (authentic) cadence.
Unless you add sevenths, dominant chords are the same in major and minor due to the raised leading tone:

Major Minor
V(7) V
viio(Ø7) o o
vii ( 7)
I 6/4, when followed by V i6/4, when followed by V

***A note on ordering: although numerous exceptions occur on a chord-to-chord level, on a deeper level,
dominant chords will never move to predominant chords. Predominant chords are much more likely to progress
to dominant than they are to return to tonic.***

19
Cadences:

Cadences form the ending part of a phrase. Sometimes the chords of a cadence (like V – I) can occur in the
middle of a phrase, but it isn’t a cadence unless it matches this harmonic content with “ending” thematic
content. There are three kinds of common cadences in classical music:
1. Half cadence (HC): a one-part cadence, where a phrase ends on a V chord. V7 is possible, but much less
likely because that active seventh interferes with the “resting” state of cadencing.
2. Authentic cadence: a two-part cadence, where a phrase ends by a root position V(7) followed by a root
position I chord. The root-position part is important: cadences not in root position are sometimes called
“contrapuntal cadences.” An authentic cadence can take two forms:
a. Perfect Authentic Cadence (PAC): where the final I chord has ^1 in the highest voice
b. Imperfect Authentic Cadence (IAC): where the final I chord has ^3 or ^5 in the highest voice.
^3 is more common than ^5
3. Deceptive cadence (DC): a two-part cadence, where a root position V(7) chord moves to a vi/VI instead
of back to I/i, as expected.

20
Level-Based Analysis:

In classical music, almost every phrase will boil down to 2-4 parts: a phrase ending with a half cadence will look
like T (PD) D, and a phrase ending with an authentic or deceptive cadence will look like T (PD) D T (note
that the predominant chords are optional in both cases). Exceptions to this rule include:
1. Incomplete progressions, which don’t start on I
2. Relatedly, a dominant anacrusis or upbeat
3. Phrases with expansions (also called prolongations)
4. Weirdo phrases that don’t conform for other reasons (it has to be said, these exist)
The third of these options calls for something called level-based analysis, where we think in terms of a
foreground and various stages of background. For example, a granular roman numeral analysis of the beginning
of Haydn’s Piano Sonata No. 48 would look like this:

I V7 I6/4 V V7 I

V4/2 I6 ii6 V I
I see two phrases here; the first ends in a half cadence (m. 4) and the second ends in a perfect authentic cadence.
In terms of syntax, the first phrase is fairly straightforward—it contains a tonic (I) followed by a series of
dominant chords (V7, I6/4, V). The second phrase is trickier though—it alternates between dominant and tonic
chords before running through a PD – D – T at the end. On one level, this is D – T – D – T – PD – D – T,
which works syntactically, but is a bit fussy for my hearing. This is the foreground. If we take it to one further
level of abstraction, however, the two V chords in mm. 5-6 seem more like decorations of the more important I
chords that follow them. So

D – T – D – T – PD – D – T becomes
…. T ….PD – D – T

Both levels of analysis are “correct” – it’s just a matter of what you’re looking for, or what you want to
understand about the music.

21
Harmonizing Melodies with Proper Syntax:

This is a matter of reconciling the harmonies suggested by the melody notes and the proper syntax outlined
above. Let’s look at an example in Eb minor:

It’s best to make sure I’ve got a good plan before I start filling in chords with good voice leading. I develop my
plan by asking myself several questions:
1. What is my harmonic rhythm? Is it one chord per bar, one chord per two beats, one chord per note?
a. Answer: it seems in this case that each measure outlines a chord, so I’ll try one chord per bar
2. Is there a cadence at the end?
a. Answer: it looks as though the penultimate measure could be a dominant chord, and the final
measure could be a i (or VI if I’m feeling sneaky!)
Having answered these questions, I’m ready to start sketching in my piano part. It looks as though the first
measure could fit within a i chord. The second measure contains scale degrees ^2, ^4, and ^6, which outline a ii
chord. I think I will use a iiÆ7 chord so that I can keep the Eb from the previous measure. The third measure
outlines a V7 chord, and the fourth has to be a i if I want my PAC. Now that I know my chords are i iiÆ7 V7 i,
I can fill in my harmonies.

i iiÆ7 V7 i

22
23
24
25
 Melodies to Harmonize

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3 4 5
&

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7 8
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26
2 Melodies to Harmonize

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18 19 20 21 22 23 24

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26 27 28 29 30 31
& œ œ œ #˙ œ œ œ œ ˙

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27
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Write the following chord

progressions in keyboard
style. Add at least two
sevenths
to each progression
(remember--predominant
and dominant chords only!).
If you have
time, write a melody above
the progression that uses 28
mostly chord tones.
 Handout: Non-Chord Tones
Non-Chord Tones (also called "non-harmonic tones" or "embellishing tones")
- In each case, only ONE note is the actual dissonance, and that dissonant note is "approached" (by the
note before) and "resolved" (by the note after) in a certain way.
- Most dissonances happen on a weak beat, and usually are approached/resolved by step.
- The interval that involves the dissonance is measured by its distance from the bass note.

Type Example Dissonant note Dissonant note Dissonant note

is approached occurs on a... is resolved
Passing Tone By step Weak or By step
strong beat. (in the same
Note: A passing tone When it’s on a direction)
that occurs on a strong beat,
strong beat is called it’s an
an "Appogiatura"
or "Accented Passing
accented
Tone" Dissonant "d" (2nd) in bar 1 is a 2nd that is passing tone
approached by step and resolves by step in the
same direction.
Neighbor tone By step above Weak beat Back by
(also called or below step to
"Neighbor note") approach
note
"Upper Neighbor":
dissonant note is
higher than the
Dissonant "d" (2nd) in bar 1 is approached by
starting note;
step and resolves in opposite direction back to the
"Lower Neighbor":
starting note. (this example = "upper neighbor")
dissonance is lower.
Anticipation Any Weak beat Same pitch

Dissonant "b" (7th) in bar 1 is approached by step

and resolves when that same pitch becomes a
chord tone in bar 2.
Double neighbor By step Either weak or By step
(to 1st note of strong (from the
upper and lower the pair) last note of
"neighbor notes" in a the pair)
pair

Dissonant pair "a" and "d" (7th and 2nd) have a

step approach before the "b" and a step resolution
after the "d".
Incomplete By step By LEAP in
neighbor tone (1) opposite
direction (to
a chord
tone)
Dissonant "d" (2nd) is approached by step from
previous note, and is resolved by LEAP in bar 2.

29
 Type Example Dissonant note Dissonant note Dissonant note
is approached occurs on a... is resolved
Incomplete By LEAP (!) By step (in
neighbor (2) opposite
direction)

Dissonant "a" (2nd) LEAPS from previous note,

and is resolved by step in bar 2.

Suspension By same STRONG By step

"4-3 suspension" pitch beat down
(see example)

"7-6 suspension"
&
"9-8 suspension are
Dissonant "c" on the STRONG beat of bar 2 is
same idea as 4-3 prepared by the same pitch in bar 1, and resolves
down by step in bar 2. [Dissonance is a 4th against
"2-3 suspension" the bass = 4-3 suspension]
(dissonance is in
the LOWER Suspensions DO NOT have to be prepared with a
voice and still tie--just approached by the same pitch.
resolves down)
Retardation By same STRONG By step up
pitch beat
(similar to a
suspension, but the
dissonant note
resolves UP)
Dissonant "b" on strong beat of bar 2 is prepared
by the same pitch in bar 1, and resolves UP by
step in bar 2.

More examples: (from Josquin Desprez's motet Ave Maria...virgo serena)

30
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All Rights Reserved
33
 Handout: Sentences and Periods
Sentences:

Beethoven, Op. 2 No. 1

Chopin Nocturne in F minor, Op. 55 no. 1

34
Periods:

Cadences from weakest to strongest: HC, DC, IAC, PAC

Beethoven, Ode to Joy

Claude-Michel Schönberg, “Do You Hear the People Sing?” from Les Misérables (1980)

35
 Handout: Blues Form
The following table shows the form of a 12-bar blues both chordally and thematically. The bottom row
indicates the normative chord progression. This framework can be altered and elaborated in myriad ways,
but the most common elaboration is to substitute the last I chord for a V, which is sometimes called a
“turnaround.”

The first row shows normative melodic structure. Blues progressions are set up a bit like a sentence, with
two basic ideas (A, A’) and a continuation (B). The differences are that there is no classical-style cadence
at the end, and the continuation is only half as long, proportionally speaking.

A A’ B
I I I I IV IV I I V IV I I

Blues scales contain the following notes:

b3, #4, and b7 are considered “blue notes,” and are often performed out of tune.

36
37
38
 Basic Triadic Alterations, Extensions, and Substitutions in Jazz
Harmony
(Handout by Jason Belcher)
Altered triads
The most common alteration to a triad or seventh chord in jazz harmony is the raising and/or lowering
of the fifth. Alterations to triads are not usually noted in parentheses. Writing Alt. after a chord specifies
that it can be freely altered by a performer.
• C7b5 would be spelled C-E-Gb-Bb
• F7#5 would be spelled F-A-C#-Eb

Chord types
Technically, dominant chords are major-minor (Mm) seventh chords. In jazz harmony, minor chords
with raised sevenths are common.
• CmM7 would be spelled C, Eb, Gb, B

Extensions and Additions

9, 11, 13 are extensions of dominant seventh chords. Extensions are most often noted in parentheses.
• C7 (9, #11) would be spelled C-E-G-Bb-D-F#
• Possible extensions of seventh chords: b9, 9, #9, 11 (avoid in major), #11, b13, 13, #13
• To add select extensions to plain triads (instead of seventh chords), write add ___ in parentheses
next to the root. Ex. C (add 9) would be spelled C-E-G-D

Avoid Notes and results of extensions:

• In major triads, the fourth degree of a scale creates an undesirable clash in combination with
the major third. As a result, whenever the 11th appears in a major chord, it is always raised,
and in soloing, the fourth is only used in passing.
• Extensions can appear above or within a voiced texture. However, care should be taken to
avoid more than two consecutive half-steps in voicing extended chords.

Sus Chords
Sus (or Sus4 chords) are common in jazz and pop music, and replace the chordal third with a second or
fourth
• Csus4 would be spelled C-F-G
• Csus2 would be spelled C-D-G

Substitutions:
Often, predominant and dominant chords are replaced with more chromatic chords to add color and
harmonic interest.
• Relative substitutions: substitute a chord with its relative major or minor seventh chord
• Tritone substitutions: replace a dominant chord with another dominant a tritone away (replace
C7 with F#7). You will find that they have a tritone in common – E and Bb (A#). The third and
seventh of the original C chord become the seventh and third of the new F# chord.
 Handout: Second Inversion (6/4) Triads
Second inversion triads are:
1. Unstable (they want to resolve or move elsewhere)
2. Non-syntactical (that is, they don’t have a strong T, PD, or D quality of their own, but rather decorate
other chords that do)

Questions you should ask yourself when you see a 6/4 chord:
1. Which kind is it (see 4 types listed below)?
2. What chord(s) does it embellish?

The four types of 6/4 chords:

Accented 6/4 chords:
1. Begin on a strong beat
2. Have a bass that stays the same while the two upper voices resolve down by step to a root-position chord
3. Almost never resolve to a diminished chord

The most famous kind of accented chord is our cadential 6/4 chord, which is that I6/4 we’ve seen before V
chords. We will now label them as accented 6/4 chords (see below)

Neighboring 6/4 chords:

1. Look a lot like accented 6/4 chords, but in reverse: the strong beat has the 5/3 chord, and the upper
voices move by step to create a 6/4 chord on the weak beat. Sometimes, they’ll move back down again
2. Almost never embellish a diminished chord

Passing 6/4 chords:

1. Are built on a bass note that is a passing tone between two chords
a. Note that when we talk about a passing 6/4 chord, we’re talking about the bass, but when we talk
about a neighboring 6/4 chord, we’re talking about the upper voices. Your professors are humble
cogs in the music theory machine and are powerless to change this inconsistent terminology.
2. Are most often found between the root position of a chord and its first inversion: ie, V6/4 between I and
I6
3. Are usually unaccented

Arpeggiated 6/4 chords:

1. Are simply embellishing a harmony by arpeggiating its bass
2. Are not usually addressed with roman numerals

41
42
43
 Handout: Secondary Dominants
Secondary dominants are also sometimes called applied dominants or applied chords. Like 6/4 chords, they
serve to embellish other chords.

The most common kind of secondary dominant is an applied V7 chords, but secondary dominants can actually
take the form of any of our chords that we categorize as “dominant”:

V (major) V7 (dominant) viio (dim) viio7 (fully dim) viiø7 (half dim)

They can also modify any chord that isn’t a diminished chord: you can have V/vi (read “five of six”), viio6/ii, etc.

There are two ways to notate a secondary dominant; either of them is fine.
• You can write it with a slash: V/ii
• You can write it with an arrow: V ii

To analyze a secondary dominant

1. Look for a chord with an accidental. A chord must have at least one accidental to be a secondary
dominant.
2. Determine if that chord is one of the qualities listed above (major, dom7, dim, fully dim, half dim). A
chord must be one of these qualities in order to be a secondary dominant.
3. If the chord is one of these qualities, determine what its roman numeral will be.
a. If it’s major, it’s V
b. If it’s dom7, it’s V7
c. If it’s dim, it’s viio
d. If it’s fully dim or half dim, it’s vii7
4. Make sure that chord resolves to its “I”
5. Label it as above
6. In terms of syntax, group it with the chord it resolves to. V/IV, for instance, would be predominant

Example: Bach Chorale #106

1. The second beat of m. 2 has an accidental, D#

2. This is a B major chord
3. So it would be a V
4. If B is V, this chord should resolve to E major, and it does!
5. V/V
6. Dominant

44
To write a secondary dominant

1. Identify the chord you’d like to modify with a secondary dominant. It should be diatonic (or major V in
minor), and not diminished
2. Figure out which dominant chord you’d like to use: V, V7, vii, viio7, viiÆ7
3. Think in the key of the chord you’d like to modify, and build your chord

45
 Ain’t No Cure for Love
Leonard Cohen
G G7
I loved you for a long, long time I see you in the subway
C And I see you on the bus
I know this love is real I see you lying down with me
G And I see you waking up
It don't matter how it all went wrong I see your hand, I see your hair
D Your bracelets and your brush
That don't change the way I feel And I call to you, I call to you
G B But I don't call soft enough
And I can't believe that time's There ain't no cure
Em C There ain't no cure
Gonna heal this wound that I'm speaking There ain't no cure for love
Eb7
of I walked into this empty church
G I had no place else to go
There ain't no cure When the sweetest voice I ever heard
D Whispered to my soul
There ain't no cure I don't need to be forgiven
C G For loving you so much
There ain't no cure for love It's written in the scriptures
It's written there in blood
I'm aching for you baby I even heard the angels
I can't pretend I'm not Declare it from above
I need to see you naked There ain't no cure
In your body and your thought There ain't no cure
I've got you like a habit There ain't no cure for love
And I'll never get enough
There ain't no cure (There ain't no cure for love)
There ain't no cure (There ain't no cure for love)
There ain't no cure for love All the rocket ships are climbing through the sky
The holy books are open wide
Em G The doctors working day and night
(There ain't no cure for love) But they'll never ever find that cure, that cure for love
Em G (No cure for love, there ain't no cure for love...)
(There ain't no cure for love)
C
All the rocket ships are climbing through the sky
C
The holy books are open wide
D
The doctors working day and night
D Em
But they'll never ever find that cure
G
for love

C
(There ain't no drink, no drug)
A
(There's nothing pure enough to be a
D
cure for love)

46
Beethoven, Piano Concerto No. 5 in Eb Major, “Emperor,” Op. 73, Second Movement

47
48
 Handout: III and VII
iii/III is a unique chord in that it acts very differently in minor and major. In major, iii is
relatively rare and is used as tonic chord, usually a replacement for I6. In minor, III is still tonic
quality but used extremely frequently, usually with a tonicization. We’ll focus on III in minor
here.

Both of the chords we’ll talk about here, III and VII, contain a diatonic ^7 (rather than the
raised ^7 we see with V and viio). This is the most common use of minor diatonic ^7 in classical
music, although diatonic ^7 is used much more frequently in other ways in popular music.

In minor, i has a strong pull toward its relative major, III (this is non-reciprocal; I in major
doesn’t pull to vi nearly as much). In fact, as we’ll see, many minor pieces contain extended
sections in the key of III.

III is often preceded by its V, which is VII in the original key. The example below shows how in
D minor, the C major chord is both VII in D and V in the relative major of F:

d minor: i VII III

tonicization of F major: V I

You could also tonicize III with a V7/III, which would be VII7 in the minor key, or even viio6/III,
which would be iio6 in the minor key (this is relatively rare).

In classical music and some popular music, the most common syntactical use of III and VII is to
extend the tonic zone: T (VII III) PD D T

49
 Nick Mulvey, “Imogen”

Dm C F Gm7 Dm

I always thought that I knew where

I came from

And I always thought that I knew how

And I was wrong

It ain't over now yeah

No it ain't over now yeah

50
51
52
 Handout: Modulation

Tonicization versus modulation

Sometimes the difference between tonicization (relatively brief emphasis with a chord’s dominant) or
modulation (full-scale shift to a new key) is unclear. However, a good rule of thumb is that a modulation
includes a cadence in its new key, usually with a predominant.

Kinds of Modulations
Direct modulation: a relatively sudden modulation without a pivot chord. Since it usually occurs between two
phrases, this is also sometimes called a phrase modulation. Direct modulations happen in both popular and
classical music; one common technique in popular music is to modulate upward by a half step toward the end of
a song.

Pivot chord modulation: A more gradual modulation that makes use of a pivot chord, or a chord that belongs
to both the old key and the new key. Pivot chord modulations are quite common in classical music and very rare
in popular music.
• Pivot chords are only possible between keys that share a chord – for instance, G major and A minor
share C major, G major, and A minor triads.
• Keys where the tonic chords are diatonic in both keys (for instance, G major and A minor, because A
minor contains a G major chord and vice versa) are called closely related keys.
• Pivot chords often (although not always) serve the same syntactical function (T, PD, D) in both the new
and old key. Predominant chords tend to make especially good pivots, because they are relatively weak in
function and thus more malleable.
• More than half the time in classical music, a major key will modulate to V and a minor key will
modulate to III. These key relationships offer many opportunities for pivot chords.

Analyzing Pivot Chord Modulation

When analyzing a pivot chord modulation, use the following steps:
1. Figure out the first chord where you are unambiguously in the second key. This means that the chord
will contain notes that do not belong to the first key.
2. Figure out the last chord where you are unambiguously in the first key. This means that the chord will
contain notes that do not belong to the second key.
3. The space in between these two unambiguous chords is your pivot zone.
4. Sometimes it’s enough to specify a zone, but you might want to specify a particular chord as a pivot
chord. This will usually be the last chord before the new key that can function in both keys.

Example: Beethoven, op. 12 no. 2 mvt. III

53
 Modulation with Pivot Chords Practice
Steps:
1. Figure out your pivot chord:
a. find all of the possibilities: major/minor chords that exist in both keys
b. pick the best one, which ideally serves PD function in both keys. If not, avoid minor v,
major VII, and the tonic of the first key.
2. Establish tonic in the first key with a T-PD-D progression or tonic expansion
3. Move to your pivot chord
4. Finish the progression in the new key
5. Label your pivot chord using an open box (as shown in class)

bbb
I - ii

& b

? bb b
b

# i - III

&
?#

# # I - IV
&
? ##

54
2 Modulation with Pivot Chords Practice
i-v

&b
?b

&b
I-V

?b

# # i - VI
&
? ##

55
Schubert, “Gute Nacht” from Winterreise, mm. 1-38

56
57
 Handout: Modal Mixture
Modal mixture occurs when a composer borrows chords from the parallel key. Remember,
parallel keys on the same pitch, but are in the opposite major/minor mode: the parallel key of F
major is F minor; the parallel key of B minor is B major.

Modal mixture happens in both classical and popular music, although it might be more common
in classical music. There are a few different ways to do it: you could simply borrow one chord
from the parallel key, or you could put an entire phrase in the parallel key.

Some forms of modal mixture that may already be familiar:

• Borrowing the major V chord in minor keys
• Picardy thirds (ending a minor piece with a major chord)

You can use chords from the major key in a minor key or chords from a minor key in a major
key, but it’s much more common to borrow chords from the minor in a major key (for instance,
in C major, borrowing iv (F Ab C) rather than the diatonic IV (F A C).

Here are some common options for modal mixture in a major key:

Roman numeral and notes in C major With modal mixture

I CEG i C Eb G
ii DFA iio D F Ab
iii EGB bIII Eb G Bb
IV FAC iv F Ab C
vi ACE bVI Ab C Eb
viio BDF bVII Bb D F
Ø o7
vii 7 BDFA vii B D F Ab

Three notes about this table:

• When the root of a key is altered, you have to put an accidental in front of the roman
numeral—for instance, iii becomes bIII. Without the flat in front, we would assume that
III means E-G#-B in this case, which is not modal borrowing because it does not come
from the parallel key.
• Borrowing v is relatively uncommon, so it’s not included on this table
• When we borrow vii7, we keep the raised leading tone (Bn in this case)—only the seventh
of the chord is affected

58
 IN MY LIFE
Words and Music by
Moderately

a m- a
JOHN LENNON and PAUL McCARTNEY
A E7 A

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