Robert Gauldin - Harmonic Practice in Tonal Music-W. W. Norton & Company (2004)

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S EC ON D EDITION
HARMONIC PRACTICE
IN ON A L MUS IC
Robert Gauldin
PROFESSOR EMERITUS OF MUSIC THEORY, EASTMAN SCHOOL OF MUSIC
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Library of Congress Cataloging-in-Publication Data

Gauldin, Robert, 1931-
Harmonic practice in tonal music / Robert Gauldin —2nd ed.
cm.
Includes bibliographical references and indexes,
ISBN 0-393-97666-1
1. Harmony. I. Title.
MT50.G286 2004
781.2'5—de22
2003066237
W. W. Norton & Company, Inc. 500 Fifth Avenue, New York, NY 10110
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FOR
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CONTENTS
PREFACE (TO THE TEACHER) XXi1
INTRODUCTION (TO THE STUDENT) Xx1x
PART ONE THE BASIC ELEMENTS OF MUSIC
CHAPTER 1. Pitchand Intervals

Pitch Notation and the Diatonic Pitch Spelling Intervals with Accidentals 13
Collection 4 Interval Inversion 14
Pitch Register and Pitch Class 6 Consonant and Dissonant Intervals 16
Half Steps and Accidentals 7 TERMS AND CONCEPTS FOR
The Natural or White-Key Intervals 9 REVIEW 1S
Simple and Compound Intervals 12 A BRIEF REVIEW SELF-QUIZ 1S
Vil
Vili CONTENTS
2
Rhythm and Meter I: Beat, METER, AND RHYTHMIC NOTATION 20
The Beat and Tempo 20 Meter Signatures in Moderate Tempo 26

Metrical Grouping and Meter 22 Some Guidelines for Rhythmic
Division and Subdivision Notation 28
of the Beat 28 TERMS AND CONCEPTS FOR
REVIEW 29
Rhythmic Notation 24
The Beat Value 25 A BRIEF REVIEW SELF-OUIZ 30
3 Tonic, Scale, and Melody 32
Tonic and Tonality 32 The Function of Scale Degrees

The Major Mode and Major Scale 35 in Melody 44
Diatonic Scale Degrees 36 Melodic Phrases 45
The Minor Mode and Minor Scale 36 Melodic Cadences 46
The Transposition of Scales Two Melodic Analyses 49

and Melodies 40 TERMS AND CONCEPTS FOR
Relative and Parallel Keys 41 REVIEW 92
The Circle of 5ths 42 A BRIEF REVIEW SELF-QUIZ 52
Key Signatures 43
CHAPTER 4. Triads and Seventh Chords 55
Root-Position Major and Minor Triads 56 Seventh Chords 62

Inversions of Major and Minor Triads 57 Inversions of Seventh Chords 64
Dirninished and \igimerted Triads 5S TERMS AND ©CONCEPIS FOR
Triad Spelling and Notation 59 REVIEW 65
59 A BRIEF REVIEW SELF-QUIZ 65

Figured Bass
cuapteR 5 Musical Texture and Chordal Spacing 67
Basic Categories of Texture 67 Voice Movement within the Same

Triad 76
Strict vs. Free Texture 71
_72 Chordal Implication in Two-Voice
Four-Voice Texture Texture 77
Chordal Spacing in Four-Voice TERMS AND CONCEPTS FOR
Texture 74 REVIEW 79
Doubling in Four-Voice Chords 75 A BRIEF REVIEW SELF-OUIZ 79

CONTENTS 1x
CHAPTER R 6
Partwriting in Four-Voice Texture 82
Criteria for Melodic Writing 82 Perfect Intervals in Succession 87

Melodic Motion between Voices 83 Chordal Spacing or Structure 89
Voice Leading 85 Chordal Doubling 90
Partwriting 85 TERMS AND CONCEPTS FOR
Principles of Melodic Writing 86 REVIEW 9

A BRIEF REVIEW SELF-QUIZ 92
Connecting Chords 86
cHuapter 7 Melodic Figuration and Dissonance I:

CATEGORIES OF EMBELLISHING TONES Q4
Essential and Embellishing Notes 95 Accented/Leaping Embellishing

Chordal Embellishment and Compound Tones 107
Melody 96 Free Tones 108
Categories of Dissonant Embellishing Consonant Embellishing Tones 109

Tones 98 The Pedal Point 110
Unaccented/Stepwise Embellishing The Perception of Embellishing
Tones 99 Tones 110
Unaccented/Leaping Embellishing TERMS AND CONCEPTS FOR
Tones 102 REVIEW 112
Accented/Stepwise Embellishing A BRIEF REVIEW SELF-QUIZ 112
Tones 104
PART TWO DIATONIC HARMONY
CHAPTER §S Introduction to Diatonic Harmony iam
Aspects of Harmony 117 The Influence of Melodic Sequences

Roman Numerals 118 on Harmonic Tendency 123
Harmonic Tendency 120 Harmonic Models 123
The Underlving Basis for Harmonic TERMS AND CONCEPTS FOR REVIEW 124
Tendency 121 A BRIEF REVIEW SELF-QUIZ 124

x CONTENTS
sg The Primary Triads: TONIC. DOMINANT, AND SUBDOMINANT CHORDS 126
Tonality as the Extension of Tonic The Half Cadence 134

Harmony 126 The Plagal Cadence 135
The Prolongation of Tonic Harmony 127
Voice-Leading Reduction 137
The Tonic, Dominant, and Subdominant Cadential Expansion within
Triads 128 the Phrase 137
Relationships between the Primary Harmonizing Melodies 140
Chords 129
Elaborating Harmonic Models 142
Partwriting Connections between TERMS AND CONCEPTS FOR
the Primary Triads 129
REVIEW 145
The Polarity between Tonic and Dominant
Chords 131
The Authentic Cadence 133
CHAPTER 10. The Dominant Seventh: emBeLLISHING TUE TONIC HARMONY 146
The Dominant Seventh in Root Melody Harmonization 159

Position 146 The Elaboration of a Harmonic
Preparation and Resolution of the Vi 147 Model 160
The Cadential Dominant Seventh 149 TERMS AND CONCEPTS FOR
REVIEW 162
Arpeggiated Tonic Prolongation within
the Phrase 151 A BRIEF REVIEW SELF-QUIZ 162
Prolongation of Tonic Harmony using

Embellishing Chords 154
cHuaerer ait The Tonic and Subdominant Triads in First Inversion:

THE IV AND LAS EMBELLISHING CHORDS 164
Partwriting with the I® and IV® 165 Melody Harmonization 172

The Use of the I® 166 Elaboration of Harmonic Models 175
The Use of the IV° 167 TERMS AND CONCEPTS FOR
The IV as an Embellishing Chord 169 REVIEW J77

The I as an Embellishing Chord 170
CONTENTS xi
cuHaprer 12. Phrase Structure and Grouping 179
Phrase Length 179 The Internal Anatomy of Phrases:

Sub-Phrases and Sentence
Larger Phrase Grouping: The Period
Structure 192
Family 181
Double Periods 184 Motives and Their Development 193
Some Miniature Formal Designs 186 Pitch and Rhythmic Motives 196
Phrase Periodicity 187 TERMS AND CONCEPTS FOR

REVIEW 197
Phrase Extension, Contraction,
and Elision 189 A BRIEF REVIEW SELF-QUIZ 195
Varied Phrase Lengths 191
CHAPTER 13. Linear Dominant Chords: vie. AND INVERSIONS OF V7 200
The V°, vii°®, and Inversions of 200 Exceptional Treatments of the Chordal
Vi
Uses of the V° and vii® 202

Tth 213
Embedded Voice-Leading Motion 204 Extended Embellishment of the Tonic

Harmony 215
Examples of the V® and vii® in Music
Literature 205 Melody Harmonization 216
TERMS AND CONCEPTS FOR
Inversions of the Vi
205
REVIEW 219
Examples of Inversions of V' in Music
Literature 208
Arpeggiated Extensions of Dominant

Harmony 211
The Pre-Dominant II and II’ Chords

bo
bo
ho
CHAPTER 14.
The Supertonic Family 222 Prolongation of the Pre-Dominant

Function 234
Partwriting with Supertonic Chords 224
The Pre-Dominant ii® and ii? in Cadential Melody Harmonization 237
Formulas 225 TERMS AND CONCEPTS FOR
REVIEW 239
Supertonic Harmony in Embellishing
Progressions 229 A BRIEF REVIEW SELF-QUIZ 240
Examples of Supertonic Harmony in Music

Literature 230
xil CONTENTS
cHaptreR 15. Melodic F iguration and Dissonance II:

SUSPENSIONS AND OTHER USES OF EMBELLISHING TONES QAI
Suspensions in Two-Voice Texture 242 The Interaction of Consecutive

or Simultaneous Embellishing Tones 256
Suspensions in Four-Voice Texture 246
Some Analytical Problems with
Omamental Resolutions 249
Embellishing Tones 256
Additional Suspension Techniques 249
The Affective Nature of Melodic
Multiple Suspensions 251 Dissonance 260
Suspensions as a Compositional Embellishing Tones in Partwriting
Device 253 and Melody Harmonization 262
Melody Harmonization 254 TERMS AND CONCEPTS FOR

Other Features of Embellishing REVIEW 264
Tones 255 A BRIEF REVIEW SELF-OUIZ 264
The J and Other Linear Chords 267
The Accented or Cadential §

Chord 268 The Extended § and the Cadenza 279
Elaborating the Cadential $

270 Melody Harmonization 280
The Passing$ Chord 278 Other Diatonic Linear Chords 281
The Pedal§ Chord 275 TERMS AND CONCEPTS FOR
The Arpeggiated$ Chord 277 REVIEW 257
Other Treatments of the Cadential } 278 A BRIEF REVIEW SELF-QUIZ 257
iz The VI, II, and Other Diatonic Triads 290
The Submediant and Mediant Triads The “First-inversion” VI and III as Voice-
in Major and Minor 290 leading Substitutes for land V 300
The Root-position VI between Tonic Modal Chords 302
and Pre-dominant Harmonies 291 Other Diatonic Triads: The v° and VII
The VI as a Substitute for I: The Deceptive in Minor 303
Cadence and Progression 294
Melody Harmonization 304
Other Treatments of the V-vi TERMS AND CONCEPTS FOR
Progression 295 REVIEW 305
The Root-position IJ Triad within the A BRIEF REVIEW SELF-QUIZ 305
Phrase 297
CONTENTS xili
CHAPTER 18 Rhythm and Meter II: appDITIONAL METER SIGNATURES

AND RHYTHMIC-METRICAL DISSONANCE 307
Meter Signatures in Very Slow or Very Fast Rhythmic Dissonance 311

Tempo 307 Metrical Dissonance 315
Asymmetrical Meters 309 TERMS AND CONCEPTS FOR
Fast Complex Meters 310 REVIEW 32]
Rhythmic-Metrical Consonance 311 A BRIEF REVIEW SELF-QUIZ 322
19 The Leading-tone Seventh Chord and Other

Seventh Chords 323
The Leading-tone Diminished-seventh Melody Harmonization 334

Chord in the Minor Mode 323 Other Diatonic Seventh Chords: The IV’,
Partwriting with the vii’ in the Minor I’, Vi, and Hl’ 335
Mode 325 TERMS AND CONCEPTS FOR
Other Uses of the vii?’ 328 REVIEW 340
The Leading-tone Seventh Chord A BRIEF REVIEW SELF-QUIZ 340
in the Major Mode 333
CHAPTER 20 Harmonic Sequences I: ROOT MOVEMENT

BY 5TH, 2ND. AND 3RD 342
Sequential and Cyclical Root Sequences of Root-position Triads

Movement 342 in Stepwise Motion 355
Harmonic Sequences 344 Root Movement by Descending
Triadic Root Movement by Descending and Ascending 3rd 357
5th 346 Harmonic Sequences in Melody
Triads in Descending 5th Sequences 347 Harmonization 360
Triads in Ascending 5th Sequences 351 TERMS AND CONCEPTS FOR

REVIEW 36-4
Root Movement by 2nd: Successive
First-inversion Chords 352 A BRIEF REVIEW SELF-QUIZ 364
|
XiV. CONTENTS
CHAPTER 21 Tonicization and Modulation I:

SECONDARY DOMINANT CHORDS 365
Tonicization and Modulation 366 Tonicizations of ITI, VI, and VII in the
Minor Mode 376
Secondary or Applied Dominant
Chords 366 Cross Relations 378
Approaching Altered Notes in Secondary Extended Successions of Secondary

Dominants 367 Dominants 379
Tonicization of the Dominant 369 Melody Harmonization 383
Tonicization of the Subdominant 371 TERMS AND CONCEPTS FOR
Tonicization of ii, vi, and iii in the Major REVIEW 354
Mode 378 A BRIEF REVIEW SELF-QUIZ 354
CHAPTER 22. Tonicization and Modulation II: moriox ro © AND OM 386
The Strength and Duration Modulation to the Relative Major

of Tonicizations 386 in the Minor Mode 396
Modulation 388 Intramovement Tonal Schemes Involving

Methods of Modulation 390 Modulation to the Relative Major 398
Modulation to the Dominant Key Melody Harmonization 401

in the Major Mode 393 TERMS AND CONCEPTS FOR
Intermovement Tonal Schemes Involving REVIEW 403
Modulation to the Dominant 394 A BRIEF REVIEW SELF-QUIZ 403
CHAPTER 23. Harmonic Sequences II: ssQUENCES OF SEVENTH CHORDS

AND OTHER SEQUENCES 406
Diatonic Root-position Seventh Chords Unusual Treatment of Seventh Chords

in Sequences Descending by 5th 406 in Sequential Movement 417
Sequences using Inverted Diatonic Seventh The Elaboration of Sequences 421

Chords 409 TERMS AND CONCEPTS FOR
The Use of Secondarv Dominants REVIEW 422
in Harmonic Sequences 412 A BRIEF REVIEW 423
SELF-QUIZ
Other Diatonic Sequences 415
Sequences as Means of Modulation

a 417
CONTENTS XV
CHAPTER 24 Simple Forms 426
Content and Form 427 Baroque Continuous Variations 438

Formal Design and Tonal Structure 427 Sectional Variations, or Theme
and Variations 441
One-part Form 427
Rondo Form 445
Binary or Two-reprise Design 429
The Two-reprise Design in the Baroque The Five-part Rondo 446
Period 429 Seven-part Rondo Form 450
The Two-reprise Design in the Classical TERMS AND CONCEPTS FOR
Period 431 REVIEW 451
Ternary Form 432 A BRIEF REVIEW SELF-QUIZ 452

Variation Form 436
25 Analytical Comments on a Menuetto

and Trio by Beethoven 453
Larger Formal Considerations 453 Middleground Voice Leading

Formal Characteristics of Beethoven’s inthe Trio 464
Menuetto and Trio 454 Overall Voice Leading in the Menuetto
Motives and Phrase Grouping and Trio 465
inthe Menuetto 455 Unifying Factors in the Movement 466
Voice Leading in the Menuetto 460 TERMS AND CONCEPTS FOR
Motives and Phrase Groupings REVIEW 467
inthe Trio 46]
PART THREE CHROMATIC HARMONY
CHAPTER 26 Introduction to Chromatic Harmony 471
The Historical Evolution of Non-Diatonic Using Roman Numerals to Designate

Tones 472 Chromatic Harmonies 481]
Chromatic Melodic Motion 474 TERMS AND CONCEPTS FOR
Enharmonic Duality 477 REVIEW 45]
Decorative versus Structural A BRIEF REVIEW SELF-OUIZ 482
Chromaticism 478
Xvi CONTENTS
CHAPTER 27. Tonicization and Modulation III:

MODULATIONS TO CLOSELY RELATED KEYS 483
Close] Related Key 185 Tonal Schemes Within a Movement t91

Relative Frequency of Closely Related Melody Harmonization 494
Keys 486 TERMS AND CONCEPTS FOR
The Fatent of the Tonicized Area 186 REVIEW {9S
The Process of Modulating to Closely A BRIEFED REVIEW SELF -ovuIz [99
Related Keys 488
CHAPTER 28 Modal Exchange and Mixture Chords 501
Modal Exchange 502 The Relationship between Scale Degrees #5
Mixture Chords 505 versus }6 518
Mixture Chords Major Mode

in the 505 Melody Warmonization 520
Mixture Chords in the Minor Mode 516 VLEMS AND GONCLI YS LOR
REVIEW 52]
The III Triad as a Secondary Mixture Chord
A BRIEF REVIEW SELPF-QUTZ 5!
lo
in Major 516
CHAPTER 29 The Neapolitan or bII Chord 524
A Question of Terminology: iv }6—5 Tonicization of the Neapolitan

versus bII® 525 Harmony 533
The Neapolitau Sixth ii Miitur and Majoi Melody Hariionizauon 554
Modes 525 TERMS AND CONCEPTS FOR
The 511° as an Embellishing Chord 527 REVIEW 536
Other Characteristics of the nae 529 VBRIEE REVEPW SET E-OLIZ 355
Other Uses of the Neapolitan Chord 530
CHAPTER 30
Augmented Sixth Chords 535
The Three Common Forms of Augmented Other Resolutions of Augmented Sixth

Sixth Chords 539 Chords 550
The Italian, French, and German Enharmonic Augmented Sixth Chords 531
Augmented Sixth Chords in the Minor More Exotic Augmented Sixth Chords 553
Mode 541
Melody Harmonization 555
Augmented Sixth Chords in the Major TERMS AND CONCEPTS FOR
Mode 544
REVIEW 5955
Secondary Augmented Sixth Chords 545
A BRIEF REVIEW 556
SELF-QUIZ
Inversions of the Augmented Sixth
Chords 547
CONTENTS XVii
CHAPTER 31 Extended Homophonic and Contrapuntal

Formal Designs 558
Sonata Form 558 TERMS AND CONCEPTS FOR

Sonata-Rondo Form 567 REVIEW
——
975
+
Concerto Form 567 A BRIEF REVIEW SELF-QUIZ 579
Contrapuntal Forms 569
cHaprerR 32 Embellishing Chromatic Chords 580
Augmented Triads as Passing Additional Chromatic Chords in the Major

or Neighboring Chords 58] and Minor Modes 594
Altered V' Chords 585 The Use of Chromaticism to Create Modal
Embellishing or Common-Tone Ambiguity 597
Diminished-Seventh Chords 587 Melody Harmonization 598
Common-Tone Augmented Sixth TERMS AND CONCEPTS FOR
Chords 590 REVIEW 599
Unusual Linear Chords 593 A BRIEF REVIEW SELF-QUIZ 600
CHAPTER 33. Dominant Prolongation 602
Short-Term Chromatic Prolongation Dominant Prolongations as Preparation

of Vi" 603 fora Climax 608
Prolongation of the Dominant in TERMS AND CONCEPTS FOR
Introductions 604 REVIEW 610
Prolongation of the Dominant in A BRIEF REVIEW SELF-QUIZ 610

Retransitions 605
Prolongation of the Cadential

Formula 606
CHAPTER 34 Modulation to Foreign Keys I 612
Modulations to Foreign Keys in the Major Foreign-Key Modulations in Development

Mode 613 Sections 626
Change-of-Mode Modulation 614 Melody Harmonization 627

Third-Related Modulations by Common TERMS AND CONCEPTS FOR
Tone 619 REVIEW 625
Modulations to Foreign Kevs by Pivot A BRIEF REVIEW SELF-QUIZ 628
Chord 621
Modulations to Foreign Kevs in the Minor
Mode 624
XVlii CONTENTS
cHAprerR 35. Ninth, Eleventh, Thirteenth, and Added-Note Chords 630
General Considerations 631 Added Notes Gths and 9ths 642

Dominant Ninth Chords 631 TERMS AND CONCEPTS FOR
Non-dominant Ninth Chords 636 REVIEW 645
Eleventh and Thirteenth Chords 638 A BRIEF REVIEW SELP-QUIZ 645
cCuaptTeR 36 Implication and Realization 647
Music as Communication 648 Application to Musical Analysis 664

Reforentialistn versus Absolutisna 648 PE RAIS ANID CONE PIS FOR
The Origins of Emotion in Music 649 REVIEW 665

A BRIEF REVIEW SELB-QUIZ 665
Implication and Realization 649
Surprise and Ambiguity 663
CuareTrer 37 Harmonic Sequences LIT: Crrovtaric ELABORATIONS

OF DIATONIC SEQUENCES 666
Fifth-Related Chromatic Sequences 667 Extended Use of Chromatic 5-6

The Role of Diatonic Tetrachords Sequences 679
in Stepwise Chromatic Sequences 669 TERMS AND CONCEPTS FOR
Chromatic Elaborations of Diatonic REVIEW 652
Stepwise Sequences 671 A BRIEF REVIEW SELE-QUIZ 655
3s Analytical Comments on Wagner's Trista Prelude 685
PART FOUR ADVANCED CHROMATIC TECHNIQUES
CHAPTER 39. Chromatic Voice Leading 703
Sequences Based on Half-Step Extended Use of Non-sequential

Movement 704 Chromaticism 714
Strict Chromatic Parallelism 706 TERMS AND CONCEPTS FOR
Chromaticism by Contrary Motion 708 REVIEW 717
A BRIEF REVIEW SELEP-QUIZ 717
Non-sequential Chromatic Passages 713
CONTENTS Xix
40 Modulations to Foreign Kevs I 719
Enharmonic Modulation 719 Modulation by Chromatic Linear

Chromatic Alterations of Diminished Progression 729
Seventh Chords 726 TERMS AND CONCEPTS FOR
Modulation by Strict Harmonic REVIEW 733
Sequence 727 A BRIEF REVIEW SELF-QUIZ 733
CHAPTER 41. Symmetrical Divisions of the Octave 735
Symmetrical Root Movements 737 TERMS AND CONCEPTS FOR

Extended Root Movement by Perfect REVIEW 752
Sth 744 A BRIEF REVIEW SELF-QUIZ 752
The Omnibus Sequence 746
Tonal Schemes Using Symmetrical
Divisions of the Octave 749
CHAPTER 42. At the Limits of Tonalitv: ALBAN BERG'S FOUR SONGS. OP. 2 754
TERMS AND CONCEPTS FOR

REVIEW 77]
APPENDIX 1 Some Fundamentals of Acoustics AQ
Frequency and Pitch AO Vibration Form and Timbre A3
Intensity and Loudness A2 Duration and Length A5
APPENDIX 2. The Diatonic Church Modes and Other Scales A6
The Ecclesiastical or Church Modes A6 Other Scales AQ
APPENDIX 3. An Introduction to Species Counterpoint Al4

Melodic Characteristics A16 Fourth Species A22
First Species A16 Fifth Species A23
Second Species A19 Underlying Species Technique in Two-
Third Species A21 Voice Passages A25
Xx CONTENTS
APPENDIX 4 Chord Symbols for Jazz and Commercial Music A26
Triads A26 Extended Tertian Chords A28

Seventh Chords A27
APPENDIX 5
Conducting Patterns A3l
Duple Meter A32 Quintuple Meter A33
Triple Meter A32 Sextuple Meter or Divided Beat A34
Quadruple Meter A32 Complex Meters A34
Single Meter A233
APPENDIX 6
Transposing Instruments A385
Concert Instruments A35 Classical Brass Instruments, Crooks,

A36 and Transpositions A37
\
Transposing Instruments
ANSWERS TO REVIEW SELF-QUIZZES A39
GLOSSARY A87
INDEX OF MUSIC EXAMPLES AQI1
CREDITS ALOO
INDEX A102
PREFACE
( T O T H &E T E AC R )
Harmonic Practice in Tonal Music takes a linear, functional approach to

tonal music in the common-practice era, not only showing students how in-
dividual chords function within the larger realm of harmonic tendency, but
also the interaction between melody and harmony. Through comprehensive
revisions, this new Second Edition ultimately aims to achieve the same ob-
jective as the First Edition—to provide students with a thorough treatment
of harmony and voice-leading principles in tonal music. Traditionally this
body of music has been approached through vertically oriented system of
a
harmonic analysis. While this method provides a thorough classification of

the various chords and their harmonic tendencies in progressions, it tends to
ignore the melodic aspects of the music and the way these linear forces
shape the harmony. This text has attempted to correct this imbalance by cor-
relating harmony with the interaction of melodic lines, especially the so-
prano and bass voices. Therefore, harmonic function is largely derivative of
this contrapuntal framework, the voice-leading analysis of which may form
the basis for more-insightful performances of the music itself.
NEW TO THIS EDITION
In response to feedback from professors at colleges and universities around

the country, the following revisions have been implemented to make the text
maximally useful to students and teachers alike:
e The prose has been thoroughly rewritten for clarity and precision.
Definitions of fundamental vocabulary have been simplified and dif-
ferences between similar concepts emphasized.
Xxi
XXli PREFACE (TO THE TEACHER)
¢ The chapters covering diatonic and chromatic harmony have been re-
ordered to increase the accessibility of core concepts. Specifically, the
subdominant chord is now introduced along with the tonic and domi-
nant; mediant and submediant chords are introduced earlier; se-
quences are presented in a single chapter; and an entire chapter
devoted to secondary dominants occurs before the introduction of
basic modulation.
¢ The harmony chapters have been restructured internally as well. Each
of these chapters now begins with a short introduction that relates the
new chord to those discussed in previous chapters, followed by a section
on chord type, spelling, and terminology. An explanation of practical
partwriting considerations follows. Short excerpts from the literature
occur throughout the chapters, providing contexts for the chords’ typical
uses and functions. Exceptions or rare applications are now reserved for
the end of the chapter, and additional sources for study may be found in
footnotes. Each chapter concludes with explanations of ways in which
mode] chord progressions may he embellished, guidelines for melody
harmonization, a list of terms for review, and a short self-quiz.
Summary boxes have been added throughout the text to highlight key
¢
information, recapping and providing straightforward descriptions of

the more complex concepts and procedures. Students will be able to
easily refer back to these boxes in order to remind themselves of these
ideas.
¢ Guidelines boxes have also been added to offer clear outlines for such
procedures as partwriting, making voice-leading reductions, and har-
monizing melodies.
Self-quizzes have been included at the end of each chapter, enabling
¢
students to review the material and test their understanding of con-

cepts. The answers to each of these quizzes are included in a section
at the end of the book.
Many new music examples, by a broader range of composers, have
¢
been added throughout the book, resulting in the inclusion of more

world music, popular music, rock, jazz, and music by women.
e An appendix covering the transposition of instruments has been
added, and the appendix explaining chord svmbols for jazz and com-
mercial music now incorporates more standard commercial symbols.
e A single CD-ROM accompanies the Second Edition, replacing the
three-CD set that accompanied the First Edition. This one disc con-
tains all excerpts from the music literature cited within the text (ex-
cept for most single-line melodies), and is both Macintosh- and
PC-compatible. A special “CD” icon (@)) appears next to each
recorded excerpt in the book.
PREFACE (TO THE TEACHER) Xxlii
e While the underlying principles of the First Edition of Harmonic
Practice in Tonal Music are maintained in the Second Edition, the ap-
proach is now more flexible in its presentations of linear ideas. The
graphing procedures have been simplified and the voice-leading re-
ductions have been clarified, with more emphasis on the elaboration
of framework models.
ORGANIZATION
Like the First Edition, the text is divided into four parts. Part One surveys
the basic elements of music; Part Two introduces functional diatonic har-
mony, modulations, and sequences; Part Three explores the most common
procedures of chromatic harmony; and Part Four examines some advanced
chromatic techniques. Separate chapters on formal organization occur in the
first three parts.
The chapters are arranged to provide a gradual progression from sim-
ple to more sophisticated issues. In Part One, for instance, Chapter 3
(“Tonic, Scale, and Melody”) places the topics introduced in Chapter 1
(“Pitch and Intervals”) and Chapter 2 (“Rhythm and Meter I”) within the
larger context of tonality and melody. Likewise, Chapter 7 examines the
chordal figuration and embellishing dissonance arising from the interac-
tion between melody (Chapter 3) and chords (Chapters 4 through 6). The
initial chapters on music findamentals have been especially revised and
rewritten for clarity, and new music examples have been added to Chap-
ters 1, 3, and 7.
A working knowledge of the fundamental topics found in Part One is
prercquisite to the study of tonal harmony (covered in Part Two and be-
yond). In addition to understanding meter (Chapter 2), keys (Chapter 3),
partwriting errors (Chapter 6), and embellishing or non-harmonic tones
(Chapter 7), students must develop facility in spelling and playing intervals
a
(Chapter 1), scales (Chapter 3), chords (Chapter 4), and figured bass (Chap-
ters 4 and 5).
The review of fundamental materials in Part One provides the basis for the
largely harmonic topics in Part Two. The chapters of this portion of the text
systematically present the various diatonic chords and their harmonic func-
tions in different musical contexts, from the three primary tonic-dominant-
subdominant triads (Chapters 9, 10, 11, and 13) to the remaining diatonic
triads and seventh chords (Chapters 14, 17, and 19). The other chapters in
Part Two mostly treat broader topics, such as phrase-grouping (Chapter 12):
suspension technique (Chapter 15); linear chords, including the “(Chapter 16):
rhythmic and metrical dissonance (Chapter 18); and harmonic sequences
XXIV PREFACE (TO THE TEACHER)
(Chapters 20 and 23). Secondary dominants are given their own chapter
(Chapter 21), thereby providing a basis for the discussion of simple modula-
tion in Chapter 22. As in Part One, the concepts introduced in one chapter
provide the necessary foundation for those introduced later. For example,
the introduction of suspensions in Chapter 15 establishes the basis for the
cadential in Chapter 16.
Chapters 24 and 31 (formerly Excursions I and II in the First Edition)
deal with formal design in homophonic and contrapuntal music Although
they can be introduced and discussed at various times during the course of
study, they have been strategically repositioned near chapters that raise
larger issues of formal organization, such as modulation.
Part Three is patterned after Part Two. Some of its chapters focus on
specific altered harmonies, such as mixture chords, the Neapolitan triad,
augmented-sixth sonorities, and embellishing chromatic chords. Others ex-
amine the use of chromaticism in larger contexts, such as chromaticized dia-
tonic sequences and modulations to foreign keys. Separate chapters are
devoted to extended tertian chords, dominant prolongations, and melodic
and harmonic implication and realization.
Finally, Part Four extends the study of chromaticism into more-
advanced areas. These include chromatic sequences, chromaticism by paral-
lel and contrary motion, more-unusual ways of effecting foreign modula-
tions, and tonal organization based on symmetrical divisions of the octave.
The chapters in Parts Two and Three stress the interaction between
the melodic and harmonic forces in tonal music. Those chapters that focus
on the function of specific chords proceed from generalizations (spelling
and partwriting), through musical examples from literature, to practical
applications (melody harmonization). Couventioual terminology is em-
ployed for the chords and devices, although a few recently coined theoreti-
cal terms that have gained wide acceptance are incorporated when
appropriate. Several innovative approaches to traditional classification or
symbolization are also utilized. For example, emphasis is placed on the ac-
centuation of various types of embellishing tones, bringing their terminol-
ogy wore in line with the way we tend to perceive Uhem. Furthermore, in
modulatory passages, a giveu tonality is denoted by its relation to the
previahng tonic designated by Roman numerals cuclosed im boxes: rather
than by key designation.
The more common harmonic progressions first appear in each chapter as
basic harmonic models in C major or C minor, allowing us to see and hear
their essential voice leading, Excerpis from iiusic literature then demou-
strate how these models aay be fleshed out aud elaborated in various kevs,
meters, rhythms, and textures. This “model-to-music” format is often re-
PREFACE (TO THE TEACHER) XXV
versed by the reduction of music excerpts back to their essential harmonic

basis and voice leading. Thus, quotations from music literature are fre-
quently followed by one or more layers of reductive analvsis. The student is
carefully guided through each step of this reduction process. Such analvses,
when carried out on complete pieces, provide insight into the role of tonal
function within shifting musical contexts, and may thereby lay the founda-
tion for more coherent performance strategy.
a
The appendixes contain a wealth of supplementary information. Since

some teachers prefer to introduce the basic principles of two-voice linear or
contrapuntal writing in the first year of music theory, Appendix 3 provides a
short introduction to species counterpoint. Some minor changes to the
Renaissance-oriented Fuxian species approach bring this appendix’s presen-
tation in line with the tonal procedures of the common-practice period. A
new appendix covering the transposition of instruments has been added
(Appendix 6), and Appendix 4 now incorporates more standard commercial
chord symbols. The remaining appendixes address such diverse topics as
basic acoustics, modes and other scales, and conducting patterns. The text
concludes with a section containing answers to all of the self-quizzes, a glos-
sary of terms often found in musical scores, and indexes of both music exam-
ples and terms.
Music EXAMPLES
All
core concepts in the text are illustrated by carefully selected music ex-
amples. These excerpts are drawn from an exceptionally wide range of lit-
erature that extends from the Baroque stvle of the early common-practice
period to the popular music of the twentieth century. Representing vari-
ous vocal and instrumental media, these examples include not only the tra-
ditional “classical” genres (such as sonatas, svmphonies, concertos, and art
songs), but also excerpts from hymns, chorale harmonizations, folk songs.
waltzes, marches, rags, popular and jazz standards, and rock music. Al-
though the music examples are seldom longer than eight or sixteen mea-
sures, three in-depth analvses of complete compositions have been
included at the ends of Part Two (a Beethoven Menuetto), Part Three
(Wagner's Tristan Prelude), and Part Four (Berg's Four Songs, Op. 2).
The majority of the text's examples require only moderate keyboard ability
to perform; in fact, some of them have been simplified or are shown only
in voice-leading reduction. With the exception of lieder and solo sonatas.
ensemble works employ condensed two-stave scores rather than open full
scores,
fa
Xxvi PREFACE (TO THE TEACHER)
CD-ROM
Recognizing that many students now prefer to listen to music on their com-
puters, the First Edition’s set of three audio CDs has been replaced with a
single CD-ROM, which features all of the examples from music literature
discussed in the text (with the exception of single-line melodies). As visual
reminders to students, all music examples included on the CD-ROM are
marked in the text with a special “CD” icon (@). In using the CD-ROM,
students can easily navigate through the chapters or an index of the music
examples and simply click on ones they wish to hear. Listening to the exam-
ples will help students understand the melodic, rhythmic, and harmonic
concepts explained in the text, while aiding in the transition from theory to
ear training and performance. The excerpts on the CD-ROM were recorded
at the Eastman School of Music and performed by its faculty and students.
WORKBOOK
The written exercises in the accompanying Workbook, which serve as ample

assignments for students, include such tasks as filling in short harmonic pro-
gressions, completing sequential patterns, realizing figured basses, harmo-
nizing melodies, analyzing excerpts from music literature, and composing
original music. By working through these exercises, students learn in a tangi-
ble way how harmony functions within a large-scale melodic organization,
and thereby develop the tools they need to write and analyze music and to
plan convincing performances. In the Second Edition of the Workbook, ex-
ercises have been added to each chapter to give students more thorough
practice in basic concepts and procedures, and to reflect the revisions incor-
porated in the Second Edition of the text. More-detailed descriptions of
changes to the Workbook are noted in its preface.
Acknowledgments
The author would like to thank the reviewers of the Second Edition—
including Allen Anderson (University of North Carolina, Chapel Hill),
Steven Cahn (University of Cincinnati), Stefanie Crumbley Dickinson (Uni-
versity of Georgia), David Smyth (Louisiana State University), Charles
Stokes (Illinois State University), and J. Kent Williams (University of North
Carolina, Greensboro)—whose extremely useful suggestions were instru-
mental in this revision. For their numerous suggestions regarding the First
Edition, I am likewise indebted to the theory faculty and teaching assistants
PREFACE (TO THE TEACHER) XXVii
of the Eastman School of Music. I also wish to acknowledge the following

staff at W. W. Norton & Company for their work on the Second Edition:
Maribeth Anderson Payne (editor), Allison Benter (assistant editor), and
Christopher Miragliotta (project editor); thanks, too, to Richard Wingell,
who copyedited the manuscript. Furthermore, I would be remiss if I failed
to mention the continued encouragement and patience of my wife during
the long task of both writing and revising this book. Finally, in response to
the many inquiries I have received concerning the rather obscure dedica-
tion, they are simply “nicknames” for my four children.
I N T C T ION
( T O T H E S T U DEN T )
As children we memorized songs the same way we learned to speak a

language—by repeating the music or words over and over until we could sing
them perfectly. We call this method rote learning. However, before we can
play music that is notated or written down, we must first know certain basic in-
formation about music notation, such as clefs, rhythmic durations and meter,
keys, intervals, scales, and even chords. These are fundamental subjects that
all practicing musicians must master. As we continue to hone our skills in the
basics of music, we begin to focus on what might be called the “chemistry” of
music—that is, how music is constructed and how it operates. This inquiry
forms the basis of the discipline called music theory. In the same way that our
study of grammar and syntax enables us to better express ourselves in speech
and writing, our study of music theory allows us to better express ourselves
when performing, interpreting, and explaining music. Learning about how the
essential components of music are organized and how they influence each
other provides us with a better understanding of what makes music so aesthet-
ically pleasing and satisfying to our ears. It also suggests ways of examining
how we may best perform and hear musical works.
We can summarize the relation between acquiring skills in language and
music as follows:
Language Music
1. imitating speech 1. learning by rote
2. learning to spell words 2. learning notation and music fundamentals
3. studying grammar 3. studying the organization of music (music
theory)
Xxix
XXX INTRODUCTION (TO THE STUDENT)
This text focuses primarily on music composed during what we call the
common-practice or tonal period. Extending roughly from the early—
eighteenth century to the beginning of the twentieth century, this period en-
compasses the music of the late-Baroque composers (such as Bach and Han-
del), the masters of the Classical era (Haydn, Mozart, and Beethoven), and
the figures of the Romantic period (Schubert, Schumann, Wagner, Brahms,
and Tchaikovsky, to name a few). The text also includes examples of popular
genres of the twentieth century (such as ballads, jazz, and rock), which con-
tinue to employ tonal procedures introduced and developed during the
common-practice period.
We will begin our study of music theory with a review of the rudimen-
tary elements of music, as found in Part One (Chapters 1 to 7). While some
of the information in these chapters may already be familiar to you, other
material may be new. Since all of the subject matter in this rudiments survey
is prerequisite to the study of harmony, it is essential that you thoroughly un-
derstand the underlying concepts and master the preliminary skills outlined
in Part One before going on the topics discussed in Part Two (“Diatonic
Harmony”), Part Three (“Chromatic Harmony”), and Part Four (“Advanced
Chromatic Techniques”).
Aside from the introductory chapters that begin each of the last three
parts of this text, you will find that the remaining chapters are organized in
approximately the same manner. Following a short lead-in, which links the
material in the new chapter to concepts introduced previously, we will dis-
cuss the spelling, notation, and context of the new chord(s), and then exam-
ine ways of connecting or partwriting the harmonies in question. Basic
models that demonstrate their customary or normative use are followed by
examples from actual musical literature. As the chapter proceeds, you may
find instances of less-traditional procedures, with possible additional sources
provided in footnotes. Following some further “practical” applications, such
as elaborating harmonic models or harmonizing melodies, each chapter con-
cludes with a list of terms and concepts for review, and brief self-quiz.
a
The accompanying CD-ROM includes recordings of each chapter’s ex-

cerpts from music literature, not only allowing you easier access to the text’s
music examples, but also providing a resource to widen your knowledge of
Western music. In addition to listening to these recorded examples, you
should also try to play through them on the piano whenever possible. Since
most of the harmonic models (given in C major and C minor) and analytical
reductions are not included on the CD-ROM, you should always attempt to
play them to establish their sound in your ear.
The accompanying Workbook is designed to follow the text closely and
offers many types of written assignments and keyboard exercises for each
chapter. These assignments should always be supplemented with oral drills,
INTRODUCTION (TO THE STUDENT) XXxi
ear training, sight singing, and aural dictation—exercises which allow you to
further develop your skills in basic musicianship.
The purpose of all these aids is to help you better assimilate the material
in the text, to establish a solid foundation in music theory. Mastering music
theory represents a major step toward becoming a complete musician. It
provides listeners with the vocabulary necessary for discerning the tonal and
formal frameworks of the works they hear. It supplies composers, arrangers,
and improvisers with an essential language for musical communication. And
it enables singers and instrumentalists to achieve deeper insights into the
tonal drama and coherence of the works they perform.
P A R T O N
ELEMENTS
OF MUSIC |
Se
RAGA
C H A P T E
Pitch and Intervals
HIS BOOK WILL DISCUSS THE MUSIC of what we call the common-
practice era—the span of music history that extends from the late Baroque
period, about 1700, to the close of the Romantic period, about 1900—and
the tonal system on which this music is based. The music we are concerned
with includes the art music beginning from Corelli, Vivaldi, Bach, and Han-
del and extending to Liszt, Wagner, and Debussy, as well as most genres and
styles of twentieth-century commercial music. Before we can begin our
comprehensive study of harmony and voice leading in the music of this pe-
riod, we must first review the fundamentals of music theory and the skills
necessary to study music theory, such as the ability to read pitches in the tre-
ble and bass clefs, to notate intervals and chords correctly, to understand
rhythmic notation, to interpret meter and key signatures, to write chords
correctly in four-part texture, to detect errors in partwriting, and to identify
and analyze non-chord tones. We begin this preliminary survey by examin-
ing the most distinguishing characteristic of music, its use of musical tones
and the pitch, or relative highness or lowness, of those musical tones.
4 [CH. 1] PITCH AND INTERVALS
PITCH NOTATION AND THE DIATONIC PITCH COLLECTION

Our first concern is the notation of pitch—that is, our system of writing down
the music we hear or perform. Note that music does not always exist in written
form; much of the world’s music, and much of the folk and popular music of
our own culture, is not written down, but transmitted orally, through perfor-
Mance Or one-to-one stu
With aoriaster Writing minsic down, however, can
be useful for several purposes, it enables society, for whatever reason, to estab-
lish a definitive version of its music and preserve it acerrately for fiture gencra-
tions. One of the earliest attempts to notate music employed the first seven
letters of the alphabet, A-B-C-D-E-F-G, to represent the musical tones.! Mov-
ing forward through the letters represented moving upward, raising the pitch,
and moving backward represented moving down To extend the range, these
same letters were repeated, sometimes using uppercase and lowercase letters
to distinguish different octaves. In our present notational system, we call the
seven tones represented by these letters the white-key or diatonic pitch col-
lection. We will return to the term “diatonic” in Chapter 3; for now we can de-
fine these diatonic notes as the group of pitches that occur in the same
repeating pattern as the white keys of the piano keyboard (Figure 1.1).
C DE —F
GA BC D EF GA BBCODE F GA B
Figure . | | |
r
Tf you start from any white key and play successive white keys up or down,
each new key will have a different sound or pitch until you reach the key that has
the same letter name as your starting key. That key will sound higher or lower
than the note vou started with, but, allowing for that, the two notes will sound the
same. This recurnig sonority occurs on the eivlith white key frou your starting
point, and is therefore called an octave, from the Greek word okta, meaning
“eight.” The reason for the nearly identical sound of anv note and its octave lies in
the physics of musical sound, or acoustics. Pitch results from the frequency of a
sound—that is, the number of complete vibrations or cvcles per second pro-
duced by a sound. All sounds result from vibrating bodies of some sort—a string,
1
Fark nofation Svstoris Ne traced dack as far as T3500 Be in Bal tenia The: svstenn dee
scribed here was used by the ancient Greeks about the second century B.C.. and appears in
treatises on music in medieval Europe around A.D. 900.
PITCH NOTATION AND THE DIATONIC PITCH COLLECTION 5
a column of air in a wind instrument, a drumhead. Measuring the frequencies of

notes reveals that an octave above a given note is exactly twice its frequency, and
that an octave below it is exactly half its frequency. For example, A above middle
C (the note we use as a reference for tuning) has a frequency of 440 cycles per
second; the A an octave higher has a frequency of 880 cycles per second, and the
Aan octave below A 440 has a frequency of 220 cycles per second.”
If musichad remained a single melody, letter names would probably
have sufficed for notating pitch. As music became more complex, however,
new ways of indicating pitch were developed in the early medieval period,
from roughly a.p. 900 to 1200. One of the first such methods attempted to
indicate relative pitch by drawing the notes higher or lower on the unlined
page (Example 1.la). Later a single guideline was added as a point of ref-
erence (Example 1.1b), and then two, and this system evolved into staff
notation, in which the various lines and spaces of a four-line staff desig-
nated specific notes (Example 1.1c). A fifth line was added later, and the
five-line staff became the standard system for notating music throughout
the common-practice period (Example 1.1d).
Example 1.1
V7
B.
=4a
a
- a
ge
a4
.
C u
ae
*
a
|
D.
fh.
x =
= |
E. o
= = =
e
oe
pis
2. The term hertz named after the German physicist Heinrich Hertz, is commonly used to in-
dicate frequency—for example, 440 hertz. For a more extensive discussion of the acoustics
of musical sounds, see Appendix I.
6 (CH. 1] PITCH AND INTERVALS
Clefs are signs that designate the lines and spaces of the staff to repre-
sent the various pitches of the scale. The most important clefs in use in the
common-practice period are the treble clef and the bass clef. The treble
clef, also called the G clef, assigns the second staff line from the bottom to G
above middle C; middle C is the first extra or ledger line below the staff.
The bass clef, or F clef, assigns the fourth staff line from the bottom of the
staff to F below middle C; middle C, therefore, is the first ledger line
above the staff. These two clefs bracketed together form the grand staff
(Example 1.le), used for piano music or keyboard reductions of music writ-
ten for other performing groups.
There is another clef, the C clef, that locates middle C on one of the staff
lines. Two C clefs are still in use; the alto clef, which locates middle C on
the middle staff line, is used in music for the viola, and the tenor clef,
which locates middle C on the fourth line from the bottom, is used occasion-
ally in music for the cello, bassoon, and trombone. In Example 1.2, a series
of five pitches beginning with middle C (C-G-A-B-C) is written in four dif-
ferent clefs. This example makes clear why we have different clefs; even this
narrow-range melody fits better on some staves than others.
Example 1.2
treble clef alto clef tenor clef bass clef
h wey rita 2 eo eo
LVe haul
I XY
ant 1
1h a Wall
2. HW
ij
eo
The musical examples in this text will employ the treble and bass clefs. It
is imperative that you can read pitches in both these clefs quickly and accu-
rately; see Chapter | in the Workbook for drills in rapid pitch reading.
PITCH REGISTER AND PITCH CLASS

When discussing or writing about music, we often need to refer to a note in
a specific octave range or register. One system for specifying the octave loca-
tion of a pitch designates middle C “cl” and calls the C’s on the piano, start-
ing from the lowest, CC, C, c, ce! c?, c?, and so forth. In this book we will use
a system now in common use among music theorists and acousticians that
designates the lowest C on the piano C! and calls the C’s in the following oc-
taves C’, C?, and so forth, up to C’. The same superscript numbers are used
for all the pitches in that octave, so that we can designate any pitch in its
specific octave.
HALF STEPS AND ACCIDENTALS 7
Example 1.3
A c4 octave
es
aT
C* octave 2 octave
C*
C3 octave ct
— “
e
~
ce i}
e oc,
eo
v0 ©&
2,
[112
gva
HITJ
Hite
it:
[119
[119
[1p
—
||
lI¢
‘Ig
p
Ib
C5 eg Qa
|
|
C? octave ou octave C! octave C8
Our familiar middle C is therefore C*, and the A above middle C, the
note we use as a reference point for tuning, is A‘, Study the various octaves
illustrated in Example 1.3, and then locate the following pitches on the
piano keyboard: E*, A’, B*, and G°.
Sometimes when we refer to a particular note or letter, we have no spe-
cific register or octave in mind. For example, when we speak of the “kev of
F.” we mean that all F’s function as the tonic of the key. We refer to a note
identified by its letter name, regardless of its position in a specific octave or
register, as a pitch class. The pitch class E refers to anv E, regardless of its
register; E?, E*, and E’ all represent the same pitch class.
HALF STEPS AND ACCIDENTALS

In the early Middle Ages, Gregorian chant and secular song were built on
modal scales that used mostly what we call the “white-key” pitches—that is,
the white notes on the modern piano, plus one accepted accidental, B-flat.
Note that we are referring to the modern piano kevboard; early keyboard in-
struments often reversed the colors, using darker keys for what we call the
white kevs and lighter kevs for what we call the black keys. Since the white
notes are designated by the letters of the alphabet alone, without modifving
accidentals, we will refer to these pitch classes—A, B, C, D, E, F. nat- G—as
ural or white-note pitch classes. However, these seven notes are not the
§ [CH. 1] PITCH AND INTERVALS
only pitches that tonal music has used. As early as the Renaissance, additional
notes were added to the scale, often to create leading tones in cadences, and
by the late sixteenth century, keyboard instruments had the same set of white
and black keys as the modern piano. If we count all the keys between middle
C (C*) and the C an octave higher (C”), we see that the octave is divided into
twelve different pitches, not seven. The distance between any two adjacent
keys is called a half step or semitone. It is the smallest distance between
two pitches commonly used in Western music. In the tuning system in use
since about 1800, called equal temperament, each of the twelve half steps
within the octave is exactly equalin size. The twelve-note scale, including all
the white kevs and black keys of the piano, is called the chromatic scale.
We write these additional pitches through the use of accidentals. A
sharp sign (#) raises the pitch of a note by one half step, a flat sign (5) low-
ers the pitch by one half step, and a natural sign (4) cancels a previous
sharp ov flat (Fxunple Tota’ The notation of pite tches aOccasionall roe
quire a double accidental: a double sharp (x) raises a note by two O half steps.
or a whole step, and a double flat (b) lowers a tone by two half steps, or a
whole step (Example 1.4b). Accidentals allow us to expand the seven natural
or white-key pitch classes into the twelve different pitch classes within the
octave, the chromatic pitch collection that includes all the pitches nor-
mally emploved in Western music (Example 1.4d).
Example 1.4
A, B.
4
y
4
T
—T | t
Mt
mo
t tt
bw vw
C.
a.
|
va
Hh,
|
eT
|
MN
|
W
i
Accidentals also allow us to notate a single pitch in different wavs. The

black kev between C and D, for example, mav be called C¥ or Db, depending
on the context. We sav that such notes are enharmonic spellings of the same
pitch class—identical sounds written, or spelled, different ways. Some other
examples of enharmonic notation appear in Example 1.4c. The reasons why
different situations and musical contexts require different spellings of the
same note will become clear in the course of our discussion in later chapters.
THE NATURAL OR WHITE-KEY INTERVALS 9
THE NATURAL OR WHITE-KEY INTERVALS

Since music theory is primarily concerned with relationships between two or
more pitches, we need an accurate way of measuring the distance between
pitches. Two pitches considered as a unit represent what we call a dyad, and the
distance between the two pitches of a dyad is called an interval. The interval
between two pitches sounded successively is called a melodic interval; the in-
terval between two notes sounded at the same time is called a harmonic inter-
val. Example 1.5 illustrates these two types of intervals. The upper and lower
lines played separately form a series of horizontal or melodic intervals; when
they are played together, they form series of vertical or harmonic intervals.
a
Example 1.5
We can determine the class of the interval (2nd, 4th, 7th) between the
two pitches of a dyad by counting the letter names of the pitches from one
to the other, including the first and last notes. For example, the interval
from A up to B is a 2nd (A-B), from D up to G is a 4th (D-E-F-G), and from
C down to E is a 6th (C B A G F E). For the moment, we will restrict our
discussion of spelling and notating intervals to natural, white-note pitch
classes. Cominit the intervals between all the natural pitch classes to mem-
ory, since they will form the basis for spelling intervals with accidentals.
L Major and minor Pnds As vor Took at the piano Kevhoard Val see
that adjacent white kevs (or notes) are a 2nd apart. Since most of these
white kevs are separated by a black kev, the seconds between them
consist of two half steps (C-D, D-E, F-G, G-A, and A-B). Two pairs of
kevs, however, E-F and B-C, do not have an intervening black kev, and
therefore the 2nds between them consist of only one half step. In order
to distingnish Che (wo sizes of Inds. we call the larger secoricl, which
consists of bvo half steps. a major 2nd, abbroaiated M2. The major
2nd is also called a whole step or whole tone. The smaller second.
consisting of one half step, is called a minor 2nd, abbreviated m2.
Example 1.6
natural major 2nds natural minor 2nds
' 1 i LJ
T I T 1 1
I
|
I
_| _
i
T
|
|
ra
bad
TT
TT
a) mel
eo I
Ht t
D E F G G A A
lee
Ty
B
7
~
10 (CH. 1] PITCH AND INTERVALS
2. Major and minor 3rds_ Since there are two basic sizes of thirds that
differ by one half step, we distinguish between them by adding the same
qualifiers we use for seconds—major” and “minor.” The major 3rd,
abbreviated M3, consists of four half steps or two whole steps. The
minor 3rd, abbreviated m3, consists of three half steps or a whole step
and a half step. The three natural major 3rds are C-E, F-A, and G-B; the
four natural minor 3rds are D-F, E-G, A-C, and B-D (Example 1.7).
Example 1.7
natural minor 3rds natural major 3rds
i q
LJ
Qa
I T
ro ] ay Ty
So
aad Yj
fe ]
eo |
—* a) iia ay it]
7A LO} ~~ ;™~ i TT «ty I
if
| 18]
ay I I ni I
ia Hi
A C B D D F E G C E F A G B
3. Perfect 4ths and perfect 5ths With one exception, all the natural or
white-key 4ths are the same size, five half steps, and all natural or white-
key 5ths are the same size, seven half steps. In addition, all unisons and
octaves with the same letter names, consisting of two notes on the same
pitch or of the same pitch class, are also the same size. We call this group
of dyads perfect intervals because of their purity of sound and the fact
that they occur in nature as the first three intervallic relations in the har-
monic or overtone series.” Six different perfect 4ths occur as natural or
white-note intervals: C-F, D-G, E-A, G-C, A-D, and B-E (Example
1.8a). Likewise, six perfect Sths occur as natural or white-note inter-
vals: C-G, D-A, E-B, F-C, G-D, and A-E (Example 1.8b). We abbrevi-
ate the perfect intervals as follows: PU for perfect unison, P8 for perfect
octave, P4 for perfect 4th, and P5 for perfect 5th.
Example 1.8
A.
natural perfect 4ths
i 1
~N
vd T J J <> i
VW
Lr
Tes.
|
J “<
I
if as
T
(er
qT
i
T cy “* jf]
oOo
Le) I
o =~ — | I
C F D G E A G C A D
B. C.
natural perfect 5ths
nt ,_ augmented 4th diminished 5th
|
im |
ra |
[@) i “* |T]
LV
V4
[fan
T
af LO]
|
T
Pa
—*
i
|
(@) T ~* T
| a} yal
iat
ra
~~
¢y ] “Ty oF}
e oo
x“* I
o |. T I U
C G D A E B F C G D A E F B B F
3. The overtone series is discussed in detail in Appendix 1.

THE NATURAL OR WHITE-KEY INTERVALS Il
The one unusual case among the natural or white-note 4ths and 5ths
involves the pitch classes B and F. The interval from F up to B is a 4th;
since it contains not five but six half steps, one half step more than a per-
fect 4th, we call it an augmented 4th, abbreviated as A4. On the other |
hand, the interval from B up to F is a 5th; since it too contains six half
steps, one less that the seven of a perfect 5th, we call it a diminished 5th,
abbreviated as d5 (Example 1.8c). Another term for both the augmented
4th and the diminished 5th is the tritone, since both consist of six half
steps or three whole tones. The term “augmented” is also applied to inter-
vals that are one half step larger than a major interval—for example, C-D}
is an augmented 2nd; the term “diminished” is also applied to intervals
that are one half step smaller than a minor interval—for example, B-Db isa
diminished 3rd.
4. Major and minor 6ths As is the case with 2nds and 3rds, there are
two distinct types of 6ths, which differ by one half step. The major
6th (M6) consists of nine half steps (a perfect 5th plus two half steps
or one whole step), and the minor 6th (m6) consists of eight half
steps (a perfect 5th plus one half step). The four natural or white-note
major 6ths are C-A, D-B, F-D, and G-E. The three natural or white-
note minor 6ths are E-C, A-F, and B-G.
Example 1.9
A. natural major 6ths natural minor 6ths
fh
i rn tf
e
foe ©}
i
] & T
J _—
I
i [@}
mit
|
it]
H
ma."
—at
My
_} Tg Tt «yy
2
|
aw ~— ay
— I gy I
e uv
at
a C A D B F D G E E C A F B G
B. natural major 7ths natural minor 7ths
fh.
~Yy
'
I
ma
ay
I
J <>
a
~~ i
oO
J Pa
he
ja]
—
4ey—
ra |
bat
im (@} |
a
iit
ai
if
©
2 ay if |
rT
IT j pn
eo Le)
C B F E D C E D G F A G B A
5. Major and minor 7ths There are also two distinct varieties of 7ths,
and the difference between them is one half step. The major 7th
(M7) consists of eleven half steps (a perfect fifth plus a major third):
the minor 7th consists of ten half steps (a perfect fifth plus a minor
3rd). The two natural or white-note major 7ths are C-B and F-E; the
five natural or white-note minor 7ths are D-C, E-D. G-F. A-G. and
B-A.
Summary of Intervals
When dealing with the natural or white-note intervals, remember:
1. Unisons, octaves, 5ths, and 4ths are normally perfect intervals; the
exceptions are the two different spellings of the tritone—the aug-
mented 4th and diminished 5th.
2nds, 3rds, 6ths, and 7ths are either major or minor, depending on
bo
the number of half steps thev contain.

3, Augmented intervals are one half step larger than perfect or major
intervals; diminished intervals are one half step smaller than perfect
or minor intervals.
SIMPLE AND COMPOUND INTERVALS

An interval that spans an octave or less is called a simple interval. Example
1.10a-b illustrates all the natural or white-note simple intervals, perfect,
major, and minor, up to an octave; below each interval is the number of
semitones it contains.
Example 1.10
A. Major and Perfect Intervals B. Minor and Pertect Intervals
h fa’
V7
ts
Wd TL
tt oes
xa}
eo 3 e+ oc vo ov fC eo
© $ —_o—_o__
PU M2 M3 P4 P5 M6 M7 PS PU m2 m3 P4 P5 m6 m7 PS
0 2 4 5 7 9 Il 12 () 3 5 7 § 10 12
C. Compound Intervals
Qa Qa
= ou
= 8 i
HE =
= ;
H
fam)
NY == Lb
e oo oe
bat
oo oe
id
M10 PS M3 P12 PS P5
Intervals that exceed the range of an octave are called compound intervals.
If we add a major 3rd to an octave, for example, we form a major 10th, and if
we add a perfect fifth to an octave, we form a perfect 12th. These two com-
pound intervals are included in Example 1.10c. Note that the math seems
strange when we add intervals—how can 8 (the octave) and 3 (the third) add up
to 10? The reason is that the upper C (C*) in our example is counted twice, as the
upper note of the octave and the lower note of the third. The number of any
compound interval, therefore, is one less than the sum of its constituent intervals.
SPELLING INTERVALS WITH ACCIDENTALS 13
SPELLING INTERVALS WITH ACCIDENTALS

So far our discussion of intervals has been restricted to the natural or white-
key intervals. Following are some basic guidelines for spelling intervals thatin-
clude accidentals (sharps or flats) in their notation. These guidelines are based
on what we have already established about the natural or white-key intervals.
1. If the new interval is the same size as the natural interval using
the same notes, both pitches will have the same accidental. For ex-
ample: G-B is a major 3rd; therefore, the major third on G#is Gf Bg the
major third on Gb is Gb-Bb. Since the interval from C down to F is a per-
fect fifth, a perfect fifth down from Cf would be C#-F¥, and a perfect fifth
down from Cb would be F>. Further examples are found in Example 1.11.
Example 1.11
;: A. B.
M2 , (M2) Py (P5)
-f- cC_ — bo he C bo
SSS
T
iW]
“oto ——\ te te
SS
C. D.
m3 4 (m3) M7¥ (M7)
+}
>> Hh —
LC
Hh
—
+
—T +t J
—+—tao
t
aI
—— | Tt wae! tt ——tt i i” +—
Pay +H
TT vl "! ye
2. If the new interval is one half step larger than the natural in-
terval using the same notes, the upper note will have a sharp
or the lower note will have a flat. For example: E to C is a minor
6th; a major 6th up from E is E-C§; a major sixth down from C is
C-E). D-F is a minor 3rd: a major 3rd up from D is D-F% a major
i third down from F is F-Db.
|
Example 1.12
A. B.
M3 4 (m3)
yoy bein o. Z|
T
[
on 2 “I i
__t
TT
H ___|
|
uy?
L
_t _—_>
blll
ja
D.
M2 9 4 9
(m2) M64 (m6
oe bo oe
Tel
si
aeee
|
"
|
i
rte
3. If the new interval is one half step smaller than the natural in-
terval using the same notes, the upper note will have a flat or
the lower note will have a sharp. For example: G-D is a perfect
fifth; a diminished 5th up from G is G-Db: a diminished fifth down
from D is D-G¢. G-B is a major third; a minor third from G is G-Bb: a
minor third down from B is B-G§.
Example 1.13
A. B.
An
d 4
(M6)
= — (P5)_
ie
.
bo
_mé
be —_ “te
.
S tr
7
ay [te it I
C, D.
m6 4 (M6) P4y (A4)
he Le Q 2 Qa
Vv. I
=
\
7
J uy ] ii ial | |
{ 10 tt t i
eT I pas
I I _
4. These same guidelines apply to augmented and diminished in-

tervals and extend to double sharps and double flats. The way to pro-
ceed is always to use the natural or white-note intervals as your point of
reference. Do not be confused by enharmonic relationships. For exam-
ple: A-C is a minor third; a major third whose lower note is Ag has Cx as
its upper note. The upper note has to be a half step higher than Cf since
a major third down from C@ is A, not A#. The fact that Cx enharmonically
the same note as D is irrelevant; AD
is a diminished fourth, not a major
third, because A-D is a perfect fourth, and the interval between anv form
of A and any form of D must be some variety of fourth. The two tritones
E-Bb and E- Ag are exactly the same size, and are played on the same two
piano kevs. Still, E- Bbis a diminished 5th and E- Agis an augmented 4th,
and the two intervals have entirely different theoretical meanings and
functions. Always start from the natural, white-note intervals.
INTERVAL INVERSION
Some pairs of intervals share a unique sonic quality that sets them apart
from the sounds of other intervals. Perfect 4ths and perfect 5ths, for exam-
ple, have such similar sonic characteristics that students sometimes confuse
the two. There is a logical reason for this similarity; a perfect 4th is a perfect
Sth “upside down,” or inverted, and therefore the two dvads are closely re-
lated by interval inversion.
Look at Example 1.14. When we turn a perfect interval upside down, by
moving the lower note up an octave or moving the upper note down an oc-
INTERVAL INVERSION 15
tave, the new interval consists of the same two pitch classes as the first
one, but the size of the interval is changed, from a perfect 5th to a per-
fect 4th. The two intervals together add up to an octave. Once again the
math seems strange—5 plus 4 = 8? Remember that we are counting one
note twice; in this case the top note of the 5th is also the bottom note of the
4th. Another characteristic of intervals and their inversions is that the total
of the half steps they contain is twelve.
Example 1.14
A. B.
:
fh
mises
Aan
at
“<3
T
To}
t
i ™ay xXvi
———
iH
Tr
eo
= <q}
wil
|
ry) oe r=%
P5 P4 P5 P4 P5 P4 PS
All diatonic intervals are joined to companion intervals that use the same
pitch Classes curraned different. as Shown in Pxaniple Da. the following 1
euidclines apphy toall such pairs of intervals

1. If the classes of two intervals add up to 9 (or an octave), they
are inversions of each other. These pairs of intervals—unisons and
octaves, 2uds and Tths, 3rds and Gths, fths and 5ths all contain
bvely ce half steps and are said to be invcrsioually related.
2. The inversion of a perfect interval is a perfect interval. The in-
version of a perfect mmison is a perfect octave, the inversion of a per-
fect 4th is a perfect 5th.
3. The inversion of a major interval is a minor interval, and vice
versa. The inversion of a major 6th is a minor 3rd; the inversion of a
minor 7th is a major 2nd, and so forth.
4. The inversion of an augmented interval is a diminished inter-
val, and vice versa. The inversion of a diminished 5th is an aug-
mented 4th; the inversion of a diminished 7th is an augmented 2nd.
Example 1.15
|
4.
|
4
HI
:
]
J ys =. __|
AN ¥ Yl 1 1 —_I
PU PS m2 M7 M2 +
mr m3
+
M6
+ +
(O 12) (1 11) (2 10) (3 9)
x xX
Lal
—s— |
I
]
Lat [=
——
J ij J
> U
M3. m6
8)
PH PS
7) (6
d5
6)
(4 (5
2
Play the two two-voice passages in Example 1.15b and c. The only differ-
ence between the two versions is that the upper voice of 1.15b has been low-
ered an octave in 1.15c, so that all the harmonic intervals have been
inverted; compare the two sets of intervals.
B.
M3 (P4) M6 (P5) m3 (M2) M3 M6 m3 m6 m7 M6 PS
o = o —
— Zz =
2 —H
had —s— —g- - >
C
m6 (P5) m3 (P-4) M6 (m7) in6 m3 M6 NI3 M2 m3 PU
Ne” 3
bad oe we
=
—s—
bad
—
oe
——H
Summary of Interval Inversion

1. The sum of the half steps contained in an interval plus its inversion is
always 12.
2. The sum of an interval’s class (2nd, 3rd) plus that of its inversion is al-
ways 9.
3. The inversion of a perfect interval is a perfect interval.
4, The inversion of a major interval is minor interval and vice versa.
a
5. The inversion of an augmented interval is a diminished interval and

vice versa.
CONSONANT AND DISSONANT INTERVALS
When we hear a succession of harmonic intervals, we sense that each has it own
distinctive sonic quality. It is difficult to put these unique characteristics into
words, but the differences are unmistakable. For example, plav the major 3rd C-
FE, and then the major 7th C-B. The 3rd sounds stable, pleasant, complete; it
could be the final sound of a piece. The 7th, on the other hand. sounds harsh, in-
complete, unstable; it is hard to imagine a piece from the common-practice pe-
riod ending with this interval. We can feel the 7th pulling to its resolution: if we
play the 7th and then the octave C-C, we have a satisfactory conclusion or ca-
dence. We call these two tvpes of intervals consonant and dissonant intervals.
There are several explanations for consonance and dissonance. The inter-
vals we regard as consonant are at the lower end of the harmonic series, and
CONSONANT AND DISSONANT INTERVALS 17
the mathematical ratios between their frequencies are simpler than those of
dissonant intervals. There must be more to the question of consonance and
dissonance than mere physics, however, or people of all cultures and histori-
‘ cal periods would define the terms in the same way. Clearly, the concept of
consonance and dissonance is conditioned by the music we are used to and
varies from culture to culture anid period tO period Ottr sense of consonance
and dissonance is also influenced strongly the musical contest. In the com-
mon-practice period of Western art music, we divide intervals into consonant
intervals, either perfect or imperfect, and dissonant intervals,
1. Perfect consonances include the perfect unison, the perfect

octave, and the perfect 5th. Note that the perfect 4th is missing
fron the list. for reasons explained iia the next paragraph.
include 3rds and 6ths, both major and
lo
Imperfect consonances
minor.
3. Dissonant intervals include 2nds and 7ths, both major and minor.
4, The perfect 4th and tritone are generally considered disso-
nant, but may be consonant in some contexts. If acoustical science
alone were the basis for judging consonance aud dissonance, the per-
fect 4th would always be cousouaut aud the tritone, in either of its
forms, would ahwavs be dissonant. The immediate musical contest is
the basis on which we classify these two intervals as consonant or dis-
sonant. Example 1.16 sorts the natural diatonic intervals into four
groups based on their consonance or dissonance.
Example 1.16
Consonances Dissonances
1
UJ Tr LI
Perfect Imperfect
-_Y_
| -———- i
+ it cE eo
jag
it oO
1]
iat
mf. | TT sal
}
il
&
“* alii ce]
e ©2 oe
Pa"
nad uv
[@] HT
Pp U
PS PU P5 M3 m6 m3 M6 M2 m7 m2 M7
Usually dissonant
‘iF
oo 1-15 H
P+4 A4 d5
Example 1.17 illustrates how consonant and dissonant intervals work in a

tonal comtert. The dissonant mtervals are circled. Note that the dissomait iua-
tervals are nsed in particular wavs: in this case, they ahwavs share common
tones or stepwise tones with the consonant intervals that precede and follow
them. Appendix 3 discusses more fully the treatment of consonance and dis-
sOndlce TW fWO-\ OLCC writing Tha sense, this entire teat deals with issues of
consonance and dissonance, as well as the other basic concepts about pitch
and intervals explained in this chapter.
Example 1.17
9/9
N
Terms and Concepts for Review
pitch minor interval
pitch class augmented interval
diatonic pitch collection diminished interval
octave melodic interval
frequency harmonic interval
chromatic pitch collection unison or prime
equal temperament whole step or whole tone
half step or semitone diatonic interval
accidentals: simple interval
sharp compound interval
flat tritone
natural interval inversion
double sharp consonant interval
double flat dissonant interval
enharmonic spelling perfect consonance
dyad imperfect consonance .
interval:
perfect interval
major interval
1. Match the letters (right column) to the numbers (left column):
1. Dissonance a. Greater than an octave

2. Diatonic intervals b. Involves octave displacement
3 . Interval inversion C. Notated several different wavs
4 . Enharmonic d. Six half steps
.
Compound interval e. Unstable, wants to resolve
6 . Tritone f. Perfect, major, minor
2. In Example 1.18 information about seven specific intervals is given

below the staff, where 1. denotes the interval name, 2. denotes its num-
ber of half steps it contains, 3. denotes its inversion, and 4. denotes
whether it is consonant or dissonant Circle any decorreet statements and
supply the right answer.
A. B. C. D. E. F. G.
h h $0 a’
ba A’
“VW A i ©
Le) MY 4 I 0 ] Ve T 4 T]
Fe as
amy
a |
iw ]
io T ‘Ge
Oo
0 iw .¢
if
he TZ
Tey
aiit
| 4 ty
XY L@) i “_~ Prey
e f
J ]
me
ew
ey
TT 1)
@) @)
¢
Example 1.18
M3 M6 P5 M7 mlQ M2 A4
3 § 7 10 16 2 3
u
M6 m3 P5 M2 does not m7 d5
invert
C D C D C C D
ae
3. Using an accidental (either a 4 or b) convert each natural dyad into the

interval indicated below. Apply the accidental only to the black note-
head (consult the first example).
Example 1.19
o 2 Q
=o
] T | I
=
|
oe t ts"4 = t—— |
m3 P5 M6 m2 M7
2 Q | = =
Oo
oe te f + {=oS 4
oh
=H
P4 M2 m7 M3 d5
Note: The answers to all end-of-chapter quizzes may be found at the end of
the book, beginning on page A-39.
C H A P T E R- 2
Rhythm and Meter I:

Beat, Meter, and
Rhythmic Notation
‘T... PREVIOUS CHAPTER introduced us to some spatial elements of

music, such as pitch notation and interval relationships. This chapter will
shift our attention to the temporal elements of music or what we collectively
call rhythm. Rhythm deals with the articulation and passing of time in musi-
cal compositions, in which the present is continually becoming the past, and
that past is giving rise to certain expectations in the future. Aural perception
and memory play significant role in how we hear or perform a piece of
a
music. We will therefore concentrate first on how we hear different levels of

metrical organization, such as the beat, its smaller divisions, and its larger
groupings. We will then discuss how the proportional divisions and multiples
of the beat are represented in rhythmic notation. Armed with this informa-
tion, we can then interpret various meter signatures.
THE BEAT AND TEMPO

When we listen to a piece, we sometimes keep time to the music by tapping
our finger or foot, marking what we feel as a regular pulse. We call this
evenly spaced or regular pulsation the beat. The beat in turn becomes the
basis against which we compare or measure other rhythmic durations.
20
THE BEAT AND TEMPO 2)
Tempo is a term for the speedof the regular beat of a composition. It is

customarily indicated by approximate Italian terms, such as Adagio (slow),
Andante (moderate), Allegro (fast), and so on. Figure 2.1 shows list of the
a
more common tempo markings from very slow to very fast.
Yigure 2.1
very slow slow moderate fast very fast
Grave (Larette) Adagio (Adagictto, Moderato (Mllegretto® Allegro (Vivace; Presto
Largo Lento Anelante Prestissimo
A more precise way to denote tempo is to specify metronome setting; a

a
metronome is a device that can be set to beat at a precise number of beats

per minute, The typical metronome markingin a score includesa note value
and an equal sign, followed by the number of beats per minute (eo = 120).
Sometimes the abbreviation M.M. (“Maelzel’s Metronome,” for its inventor)
is added before the number. A good approximation of moderate tempo is
the normal heart rate of between 70 to 80 beats per minute.
When listening to a CouIposilign Lo determine its basic beat and pe
iis important to ry to match the specd of your perceived beat to the tempo
marking indicated in the score. For instance, in a typical Sousa march your
beat should correspond to a brisk marching tempo (or Allegro), which is
about M.M. 120. You could mark only every other pulse, perceiving this beat
as only half as fast (at M.M. 60), but since that tempo more properly denotes
a slow Adagio, it is hardly in keeping with the spirit of a march. It is there-
fore important that the tempo or rate of speed of the beat vou choose in a
piece agrees with the rhythmic character of the music.
Changes in tempo are denoted by terms such as accelerando (gradually
speed up), ritardando (gradually slow down), and a tempo (return to the
original speed). In slow movements performers often make subtle changes
i
of tempo or rubato in the beat for expressive purposes, even though these
fluctuations are not usually indicated in the score. Play the Chopin Prelude
found in Chapter 2 of the Harmonic Practice in Tonal Music CD-ROM and
tap the beat along with the music, noting any variations in its regularity.
The precise meaning of some tempo indications has changed over cen-
turies of use. For instance, in the time of Bach and Handel the term Adagio
(literally, “at ease”) referred to a relaxed tempo, whereas by 1800 the indica-
tion had come to mean “extremely slow.” As you become better acquainted
with various musical styles, you will learn to distinguish between these dif-
ferent meanings.
22 [CH. 2] RHYTHM AND METERT: BEAT, METER, AND RHYTHMIC NOTATION
METRICAL GROUPING AND METER
Sing the familiar melodies “Yankee Doodle” and “America” (“My Country
‘Tis of Thee”). You will observe that your mind tends to group the beats
in the music into larger units of equal duration, each of which begins with
a stressed pulse. Each initial stronger downbeat is followed by several
weaker beats, creating a series of regular groupings or units that contain
the same number of beats. This pattern of stressed and unstressed beats
results in a sense of metrical grouping or meter. Each unit, called a mea-
sure or bar, is set off in notation by bar lines. There may be a weak an-
ticipatory beat that precedes the initial downbeat. Both “Yankee Doodle”
and “America” begin on the first strong beat, but “America the Beautiful”
has a weak beat before the first downbeat, on the syllable “Oh.” The an-
ticipatory weak beat is called an anacrusis or upbeat. Since “Yankee
Doodle” has two beats per measure, we say that it is in duple meter;
since “America” has three beats per measure, we say that it is in triple
meter.
If we denote the stressed or stronger beats by the symbol —, and the un-
stressed or weaker beats by the symbol v, then duple meter is represented
— »
by-» |
—
y, and triple meter by-vv
| | |
—»». The melody
“America, the Beautiful” is in quadruple meter or four beats per measure,
with the primary stress on beat | and a secondary stress on beat 3:
(-)v |
(-) A measure of quadruple meter may also be heard as
two measures of duple meter. Once a meter is firmly established. we tend
to hear this grouping as continuing, even in the face of conflicting rhythmic
evidence.
Figure 2.2 gives a visual representation of the various types of simple
meters, using the symbols for strong and weak beats.
Figure 2.2
Duple meter Triple meter Quadruple meter

Meter level
Beat level
What forces in music give rise to a sense of metric regularitv? Metric

grouping mav be established in a varietv of wavs: (1) dvnamic accents on the
DIVISION AND SUBDIVISION OF THE BEAT 23 |
regularly recurring downbeats, sometimes written with an accent mark >,

(2) the repetition of the same rhythmic pattern(s), (3) the placement of
longer note values at the beginning of a measure, and (4) the rate of chord
change and bass notes in an accompaniment. Sing some songs with which
you are familiar and see how these methods play a role in establishing their
sense of meter.
DIVISION AND SUBDIVISION OF THE BEAT

Another way to differentiate meters is by the number of divisions in each
beat. The three songs discussed so far are in different meters— ‘Yankee
Doodle” is in duple meter, “America” in triple meter, and “America the
Beautiful” in quadruple meter. They are similar in one respect, however, be-
cause in all three the beats are divided into two parts. Division of the beat
into two parts is called simple division. Thus, “Yankee Doodle” is in sim-
ple duple meter, “America” is in simple triple meter, and “America the
‘
:
Beautiful” is in simple quadruple meter.
Now sing “Yankee Doodle” and then “For tes a Jolly Good Fellow
~
Sing them slowly enough to mark no only the main beats but the divisions
of the beat as well ATthouh both are exaiptes of diiple meter 600 heats
iM a mieastire?.
you will note that the beat is divided in different w. Ns
In “Yankee Doodle” the beat is divided into two equal portions, while
ll “For He’s a Jolly Good Fellow” it is divided into three equal por-
tions. This procedure is called beat division. In the former the beat un-
dergoes simple division into two equal parts (Fi ba
Pi Ba Pe), and
Ba
in the latter it undergoes compound division into three equal parts

Gio dia bia ba. Beats may be further subdivided into even
smaller durations of equal length, as the charts on rhythmic notation will
demonstrate.
The overall micter of a piece is generally ideutilicd by the type of beat
division (sumple or compound) followed by the twpe of meter iduple,
triple, or quadruple): “Yankee Doodle” is an example of simple duple
meter while “For He’s a Jolly Good Fellow” is an example of compound
duple meter.
Sing some other tunes vou know, analyzing each in the same way. You
want to beat time along with the music, using the standard conduc-
, might
tor’s pattems for two-, three-, and four-beat measures. These patterns are il-
lustrated in Appendix 5.
Our discussion suggests a three-tiered metrical pyramid or hierarchy of
relationships. Figure 2.3 shows one possible representation of this metrical
hierarchy, which moves upward from shorter to longer pulses: (1) beat
24 [CH. 2] RHYTHM AND METER TI: BEAT, METER. AND RHYTHMIC NOTATION
division — (2) beat — (3) meter or measure—producing a sense of recur-

ring stresses at different pulse or rhythmic levels. The stresses are called
metrical accents. They may occur at the measure level, the beat level, or
even the beat-division level.
Figure 2.3
Simple duple Compound duple

Meter level | i
Beat level 1 ot I I
Beat division| i 1 |
Simple triple Compound triple

Meter level I I
Beat level on |
Beat division 1) 1 1 11
Simple quadruple Compound quadruple

Meter level |
Beat level
Beatdivision
11 1 di tt
RHYTHMIC NOTATION
In order to express rhythm in musical notation, we must use various svm-
bols or note values to represent tones of different lengths. None of these
note values, however, represent any finite or fixed duration in real time
until they are associated with a specific beat and tempo. Rather, these vari-
ous note values indicate proportional relations between the different
rhythmic durations, such as the beat or durations shorter or longer than
the beat. We use two basic types of values—the undotted note and the
dotted note. A dot increases the note’s duration by half again, so that any
dotted note is 1 and 1/2 times as long as its undotted equivalent. Undot-
ted notes are successively divisible bv two (6 = ee, ¢ = ee, and so on): dot-
ted notes mav be divided into two dotted notes or three undotted notes of
equal value (4. =0.¢.0rd. =e). Atie (7 b ) adds together the values of
the notes it connects. Figure 2.4 displays these relationships in standard
music svmbols.
THE BEAT VALUE 25
Figure 2.4
Value Note Rest

Double whole '
io io
Whole o
7 o
Half d = d d o
Quarter d i d d o
Eighth a 1 & Fo oe dl US
Sixteenth + By im cege ode
(Etc.)
Value Note Rest

Dotted whole oO:
Dotted half dd. d.

Dotted quarter d. J. J a. d.
Dottedeighh ff +r
ff fy f J . we
Dottedsixteenth ON AAA OD dc we ww oe
(Etc.)
(ro=adddidad d died dd: dco o «:etc)
THE BEAT VALUE

We must now choose some note value to represent the beat. This choice is ulti-
mately up to the composer. In judging a piece by ear alone, we can only guess
the beat value the composer may have selected. The beat in “America” (simple
triple meter) is normally notated as a «, but vou could just as easily choose an-
other value to represent the beat, such as a gorane. In simple meter the beat is
always an undotted note, so that in the case of “Yankee Doodle” (simple duple
meter), the beat value could be a ¢, 2, or In
compound meter, on the other
hand, it is alwavs a dotted note, so that in the case of “For He’s a Jolly Good
Fellow” (compound duple meter), the beat value could be a «., or
We choose a meter by identifving strong beats and rhythmic patterns in
a melody. Sing the first phrase of “America the Beautiful.” The words fall
into the following pattern:
Oh BEAU- ti- ful for

SPA- cious skies for
AM- ber waves of
GRAIN
26 iCH. 2] RHYTHM AND METER I: BEAT, METER. AND RHYTHMIC NOTATION
The pattern is immediately clear. “Oh” is an upbeat; starting the first mea-
sure with that note would displace the repeated pattern of the first two units,
creating an awkward syncopation. The tune is clearly in simple quadruple
meter; each accented syllable (the ones in capitals) falls on the downbeat of
a measure.
METER SIGNATURES IN MODERATE TEMPO

Meter signatures, also called time signatures, are placed at the begin-
ning of a piece to provide information about its metric characteristics. It
would be much simpler if meter signatures were written as * or in where the
bottom note value is the beat and the top number is the number of beats in
a measure. Unfortunately, we continue to use an antiquated system that
consists of two numbers, one over the other. Since the way we interpret a
meter signature is dependent on the tempo or speed of the beat in a piece,
for now we will assume a moderate tempo between M.M. 60 and 120. The
'
two numbers of the signature tell three things: (1) the note value assigned as
the beat; (2) the type of beat division, siinple or compound; aud 3° the type
of meter, or number of beats in each measure.
The interpretation of moderate-tempo meter signatures depends on the
type of beat division used in a piece. This beat division (simple or com-
pound) is always indicated by the top number of the signature.
1. If the
top number is 2, 3, or 4, the meter is simple duple. triple, or
quadruple, and the rhythmic value of the beat will be an undotted
note. In these time signatures, the bottom number represents the
J
note value of the beat: 2 stands for 4, 4 for and 8 fore. The top num-
ber represents the number of beats of that value in each measure.
Thus, } means that the beat is a quarter note and there are 2 beats to
the measure; 3 indicates that the beat is a half note and there are 3
beats to the measure.
2. If the top number is 6, 9, or 12, we read the time signature differently.
First, we are dealing with compound meters, and the note value of the
beat will be a dotted note. In this case, the bottom number, instead of
indicating the note value of the beat, represents the compound divi-
sion of the beat. The beat, therefore, will be the sum of three of the in-
dicated note values. If the bottom number is 8, the value of the beat
will be three eighth notes or ,.; if the bottom number is 4, the value of
the beat will be three quarter notes or g.; if it is 16, the value of the
beat will be three sixteenths or ¢.. In order to determine the number
of beats in each measure, vou must divide the top number by 3.
METER SIGNATURES IN MODERATE TEMPO 27
This system of reading compound meter signatures is contrary to the

system many of us learned, which interpreted compound signatures in
the same way as simple signatures. In that older system, ° means that the
value of the beat is iy and there are six beats to the measure. The reason
for changing this system for compound meters is that music in 3 does not
have six beats to the measure, but two. Sing or play anything in moder-
ate tempo @, and you hear that it is actually in compound duple meter—
there are two beats to the measure, not six. There are many marches in
®;
humans have two feet, and we take two steps per measure, not six.
Memorize the charts in Figure 2.5, which illustrate the various meter
signatures in moderate tempo. (Some of these signatures may not be famil-
iar to you.) Then scan through the text or Workbook and analyze the meter
signatures you find, always assuming a moderate tempo.
Figure 2.5
SIMPLE METERS
Beat value
< Number of
LY
| Ow |
beats in measure
| KW | WW]
:
BO|
WNW
Simple Duple | Simple Triple | Simple Quadruple | < Meter type
COMPOUND METERS
Beat value
L 2 3 4 < Number of
beats in measure
6 9 12
16 | 1G | 16
ao 5S
wD | WS
d.
J.
Compound | Compound | Compound — Meter
Meter t type
Duple Triple Quadruple
Two early symbols for meter signatures still survive to the present: €
for 4
and ¢ (or alla breve) for either 3 or more rarely }. Some twentieth-
century composers use signatures whose interpretation is more obvious,
the beat value,

‘
such as or is replacing the bottom number with the notational symbol of
the top numberis the number of beatsin a mea-
while still
sure. In this system,° would be notated is
SOME GUIDELINES FOR RHYTHMIC NOTATION
When you write down music, you discover that it is one thing to see music
neatly printed on the page and quite another to remember how to use cor-
rect rhythmic notation when writing your own. Here are a few guidelines re-
garding the notation of rhythm.
1. Make sure your meter signature is placed at the beginning of the first
staff. Unless the meter changes, it need appear only once (Example
2. 1a).
2. In instrumental music, groups of eighth notes or smaller values are
beamed together according to the beat and meter. In simple
meters
the beat division or subdivision is beamed in multiples of two: in
eighth notes are beamed in groups of two or even four Jitdor
J JJ),while sixteenths are beamed in groups of four (
Idd). On the other hand, in compound meters the beat division is
beamed in multiples of three: in 3 eighth notes are beamed in groups
of three JJ) andtheresixteenthsseveralin groups ofnotate
(J.JSometimes six (
). are ways to a passage

correctly. For instance, you might write } . or d. Mn,or
evens. dda.
3. In notating vocal music with text, the custom for years was to let the
text determine whether notes were beamed or not. Any note that car-
ried a new syllable stood alone, with its own flag or stem, not beamed
to preceding or following notes (Example 2.1b). When one syllable ex-
tended over several notes, those notes were beamed together, oy if the
notes were larger than an eighth note, a slur mark was placed above or
below the passage, making clear how long a single syllable lasted (Ex-
ample 2.1c). This practice is falling into disuse; many modern publica-
tions use the same system of beaming notes for vocal music as they do
for instrumental music, regardless of where the syllables of text fall,
Always strive to notate rhivtthanin sucha Wat that the place ment of the
beats in the measure is made as clear as possible. It is often necessary
to use ties to make rhythms clear. One way to keep things clear is to
TERMS AND CONCEPTS FOR REVIEW 29
notate the durational patterns so that each beamed group begins on

its strongest beat: id 2, not : ’ ; J ; d. LF IT) not
d FT] D6 LTI FT) not IT es and afd not
d’ FITT. J. Compare the correct and incorrect measures shown
in Example 2.1d.
Example 2.1
A. B.
mY AE > It fa)
Vg ral IN
a IN
(>) ta .4 Lo] }
1
MAIS % Hie} (el o 4
1) TZ — ava | 7
e) e) 4
No - ta - ting - thm in mus - ic with text.
rhy
C. D.
NO YES
ray
Ve rp]
+
] I }
5
‘
a
\
|
T
I
T
a
i
ii 7
0
C1
+
yy,
a
Vl
r
Le
!
it
2.
lad
ry
"4 —————
|
|
—| i
YY [
7 \
if
l
r
]
Hold the note.
NO YES NO YES
cee SSS SS ! ===
—
rhythm metrical grouping

pulse downbeat
beat upbeat
tempo measure, bar
tempo markings: bar line
adagio duple meter
andante triple meter
moderato quadruple meter
allegro beat division
presto simple meter
changes in tempo: compound meter
accelerando metrical hierarchy
ritardando metric accent
a tempo beat value
rubato meter (time) signature
1. Match the letters to the appropriate numbers:
1. Quadruple meter a. Gradually speed up the beat

2. Beat division b. The rate of speed of the beat
3. 9/8 c. Four beats in a measure
4, Accelerando d. Simple or compound
5. Dotted note e. Grouping of beats into regular units
6. Tempo f. First stressed beat of the measure
7, Allegro g. Gets the beat in compound meter
8. Meter h. Compound triple meter
9. € i.Fast tempo
10. Downbeat j. alla breve
2. Using the meter signatures in Figure 2.6, identify (1) the type of beat di-
vision (simple or compound), (2) the note value receiving the beat, and
(3) the number of beats in each measure.
Figure 2.6
Simple/ Note value No. of beats

compound of beat in measure
0olor)
we
Se)
16
Se)
A BRIEF REVIEW SELF-QuIzZ 31
3. Rewrite the rhythm in each bar of Example 2.2, using correct notation
and stemming. You may have to use some ties.
Example 2.2
kb
J ===
oe
TIN
+
>
oxen
xe
|
Te
4
C H A P T E
Tonic, Scale, and Melody
N CHAPTERS | AND 2 we discussed some aspects of pitch and inter-

vals and rhythm and meter as separate topics. Now we will see how pitch
and rhythm interact to create melodic lines.
Melody is the most accessible aspect of music—we memorize and recall
tunes more readily than harmonic progressions, we tend to identify pieces by
their melodic themes, and above all, we sing melodies. Yet despite the primacy
of melody in the art of music, it has often been neglected in treatises and text-
books and frequently forced to take a back seat in favor of harmony. In this
chapter we will lav an introductory foundation for understanding melody by
presenting some ways in which it is organized tonally and formally. After a dis-
cussion of tonic and tonality (perhaps the single most important characteristic of
music in the common-practice period), major and minor modes, scales, and key
signatures, we will examine some basic characteristics of the melodic phrase.
TONIC AND TONALITY
Sing or play the first four measures of the carol “Jov to the World” (Example
3.1la), which is written with white-key pitches. This phrase gives us a sense of
32
TONIC AND TONALITY 33
tonal conclusiveness, finality, or closure because it begins and concludes on

the tonic tone, the pitch class of greatest centrality, stability, and finality in a
tonal composition. Trv ending the phrase on some other note than C; does it
sound as conclusive or final?
Example 3.1
A. “JOY TO THE WORLD” (CAROL)
al : a— ts I
——
t a
fs et
© ie
oe hal I wl
©
it
it it
!
eo V
B,
fh il
-
|
oe 5 = = =
© = =
C.
la
~~ ja]
fn nN
—_o___ |
H
In Example 3.1b the pitches of the melody are notated without rhythm,
and the tonic pitches are stemmed and beamed together with dots. Finally,
in Example 3.1e¢ all the pitches of the tune are gathered together and
arranged in a stepwise, ascending collection to form a seale (from the Italian
scala, “ladder™). This scale is bounded on both ends by the tonic. The notes
of this tune constitute a diatonic pitch collection—that is, a group of seven
pitch classes which forms the pattern of adjacent white kevs on the piano.
One ancient wav to create this diatonic collection was to construct a series of
ascending perfect 5ths from F to B and then gather all the notes within a
C G D A E B, when assembled in the same
single octave: the series F oc-
tave, becomes C D E F G A B. Many early tuning systems were based on a

series of 5ths as well. Example 3.1c illustrates this diatonic pattern, marking
its stepwise relations with \—” for whole steps and /~\. for half steps. If we
tabulate the number of intervals between consecutive pitches, we can see
there are five whole steps and two half steps, a characteristic shared by all
seven-note diatonic collections that span an octave.!
1. These stepwise intervals are usually grouped into units of three and two whole steps that
are separated by half steps: for instance. D E FGAB C CD E. ete.
.
IM L |
34 [CH. 3] TONIC, SCALE, AND MELODY
Now sing or play the tune “Home on the Range” (Example 3.2) and see
if you can locate where the tonic notesoccur. The first part of this song is di-
vided into two sections; which do you feel is the more conclusive and why?”
In “Joy to the World” the tonic lies at the top and bottom of the melodic
range; is this true with “Home on the Range?”
Example 3.2
“HOME ON THE RANGE” (FOLK SONG)
—f-
y4
TfN.
y
£, L
T
T
|
an
1 I
es
I if ee. i
5
\ ]
a I
}
I
T
——
I
!
IJ I
if l 1
_k_
1
T
|
|
ft
I
ee
=|
zt ¢
|
2 74 _—__ ee _| I __I
a
i I it
|
if
| |
LT) T | T
e) oe oO eo oe
4Lr. __I|I
T
| —
| J I
—T
JI
T
J il
-o aw
| T
Tey
i i
a
1
II it
J TtI
a
T I Ty J
v
i i |
a
I T I | | I
if
XY
|
o if L if
oe .
I
a oe
1 mil
Tonality is the broad organization of pitches around

tonic in a a central
passage or piece of music. The diatonic pitches in a composition form a

tonal hierarchy, or relative levels of importance, in which all the other tones
are subordinate to the tonic. We will soon learn how these other diatonic
pitches are related to each other. Although this hierarchy also represents the
underlying foundation of tonal harmony, for the present we will focus on the
single melodic line and reserve our examination of the role that harmony
plays in tonality until Chapter 8.
The fact that you use only white-note pitches to compose a melody is not
an automatic guarantee that its tonic will alwavs be C. It is possible to estab-
lish a tonic on A, G, or even D with these same pitches.” In order to under-
stand those characteristics of a melodic line that lead us to perceive a
particular tone as tonic, play or sing the short tune in Example 3.3,
H a I “T]
—¥
Example 3.3
You doubtless agree that the tonic of the short phrase is also C. This tune
exhibits at least four characteristics which tend to reinforce this sense of fi-
nality on C: (1) the frequent occurrence of C through repetition, (2) the fre-
The second part

de Oo LO
. is more conclusive, since it ends on the tonic.

. No: the tonic lies in the middle of the melodic range of the tune.
. For a discussion of white-kev melodies that display a tonic other than C, see the Diatonic
Modes in Appendix 2.
THE MAJOR MODE AND MAJOR SCALE 35
quent placement of C on the downbeat, stressing it metrically, (3) the tonal

reinforcement of C by preceding it with a G, producing a perfect 4th up ora
perfect 5th down (in both cases, the root of the interval is C), and (4) the
strong tendency of the upper B to resolve upward by half step to the C.
These observations may also be applied to other diatonic tonal melodies as
well. We will return for a more detailed discussion of some of these general
traits in the section on scale degrees.
|
Improvise or compose a short melody, using white keys only, that estab-
lishes a sense of F as its tonic, keeping in mind the observations listed above.
: THE MAJOR MODE AND MAJOR SCALE

Two basic systems of pitch organization are employed in the music of the
common-practice period: the major mode and the minor mode. We will
consider the major mode first. To represent the basic tonal content of the
major mode, the white-key diatonic notes can be arranged in ascending order
above the tonic C to form a scale (Example 3.4a); the symbols \—” and
again indicate whole and half steps respectively. This scale represents the
pitch classes available for composing a wide variety of melodies in the major
mode. Compare the first phrase of the carol “Joy to the World” (Example
3.1a) to that of “The First Noel” (Example 3.4b). Both employ white-key
pitches whose range spans an octave from the tonic C to C. Although the lat-
ter phrase does not end on C, one still senses that C is the tonic. Yet the two
melodies are different one from the other. Composers throughout the ages
have used this same diatonic collection (the major scale) in various arrange-
ments to create countless melodies of endless variety.”
Example 3.4
A.
op
Up
ioe)
D
a
YQ i
é
{i
THE First NOEL AROL
5. In this respect, one might view a “scale” as the unordered collection of pitches used in a
melody.
36 ~~ [CH. 3] TONIC, SCALE, AND MELODY
The seven seale degrees, scale steps, of the major scale are num-
or
bered from the tonic to the note a 7th above (Example 3.4a). Arabic num-
bers with small carcts denote the various scale de‘TOUS’ LIS 4567 The
next note, the upper tonic, is also called scale degree 8 .
DIATONIC SCALE DEGREES
In tonal music the individual scale degrees have been specific

names based on their association either to 1, the tonic, or assignee
5, the dominant.
Example 3.5 charts the various scale steps and their names arranged in a
symmetrical fashion around the central tonic of C.
Example 3.5
4 6 7 ] 2 3 i)
fh Pa LO]
Qa
(Oe)
ar
— =~
NY a6.
subdominant submediant leading tonic supertonic mediant dominant
tone
The dominant, which takes its name from the Latin dominus (“lord” or
“ruler”), is the next most important note after the tonic, partly because of the
acoustical stability of the perfect 5th formed by Land 5, whose root is the
tonic. The dominant scale degree divides the major scale into two unequal
segments of five pitches (C-D-E-F-G) and four pitches (G-A-B-C); refer to
Example 3.4a. The major scale may also be thought of as a pair of tetrachords,
or four-note spans: C-D-E-F and G-A-B-C. Scale step 3, called the mediant
because it lies midway between tonic and dominant, determines the mode of
the scale; the interval between Land 3is a major 3rdin the major scale. The
prefix “sub” (Latin for “below”) denotes that the subdominant and submediant
lie below their respective namesakes; the prefix “super” (Latin for “above”)
denotes that the supertonic lies above the tonic. The descriptive leading tone
suggests its tendency to resolve or lead upward by half step to the tonic.
Play or sing several simple folk songs that you know by ear in C major on
the piano or your own instrument. First identifv the tonic tone (1). then
identify the scale degree number and name of each successive note.
THE MINOR MODE AND MINOR SCALE

The minor mode is more complex than the major mode or scale, The basic
difference between the two modes lies in the minor mode’s use of a lower
mediant, or minor 3rd above the tonic or 1. In addition, the submediant and
THE MINOR MODE AND MINOR SCALE 37
leading tone (scale degrees 6 and 7) may also be lowered by half step from
a
their counterparts in the major scale. Several scales are traditionally used to
illustrate different aspects of the minor mode. In the following examples, we
continue to build the scale on C for purposes of comparison to the major
scale. In scale degree comparisons between major and minor, those scale
steps which are lowered by one half step will be preceded by a flat—h3, b6,
etc.—while scale degrees which are raised by one half step will be preceded
by a sharp, even though a natural occurs in the original 46, Kr etc.
i
The natural minor scale, shown in Example 3.6a, is perhaps the oldest
scalar form of the minor mode.° Three scale degrees are lowered from
major, as mentioned above: b3, b6, andb7. As a result of these lowered tones,
the half steps in the diatonic major
scaleswitch their positions from 3-4 and
7-8 to 2-53 and 5-66. Melodies based on the pure natural minor pitch collec-
tion occur in the folk songs of several countries. Locate the half steps in the
tune quoted in Example 3.6b.
Example 3.6
A.
C minor
Ln
—_\f_ 1 i 8]
—_———
+
<7 t
(b3) (66 bv)
B. “By Yon Castine WU se ortisth bot KR Soe

rh
C.
A minor
o ° NO
“a 7
6. The natural minor scale corresponds to the Aeolian Church mode: consult Appendix 2.
38 [cH.3 TONIC, SCALE,
|
AND MELODY
The natural minor will form our basis for constructing and comparing
other forms of minor scales. If this scale is built on A as its tonic, the
resulting notes correspond to the pitch classes found in the C major scale
(Example 3.6c).
The next two scales demonstrate how the scale degrees in the minor
mode operate in harmonic contexts. In the melodic minor
melodic and
scale the pitches from 1 to 5 remain the same as the natural minor, but
line rises
the upper, fourth from 5 to 8
undergoes change. As melodic
a
from 5 to 8, scale steps 6 and 7 are raised by a half step from their natural
minor form (Example 3. 7). This
( oe
increases their inclination to
move to the upper tonic(5- 46- 47-8 Note that we use sharps to denote
.
raised scale degrees and flats to leans lowered scale degrees, thereby
avoiding the sometimes ambiguous -use of naturals. When a melodic line
descends from 8 to 5, scale degrees 7 and 6 are lowered back to their orig-
inal formsin the natural scale, producing a strong half-step pull from L6 to
the dominant (8- b7-b6-5 ). The lowered 7th degree is called the subtonic
rather than the
tonic.
eae
tone, since in this form it does not lead to the
Example 3.7
fp a
Tr
rar { +H
1
!
—
(63) (46 47) (b7 63) (b3)
You can observe these melodic tendencies in the brief Beethoven tune
in Example 3.8; the key is F minor.
Example 3.8
BEETHOVEN: STRING QUARTET IN F MINoR, OP. 95, I
ce
§ b7 L6 5 #6 7 8
J ]
I
Ee i
a —_
| an
ii
|
| I ] J }
The harmonic minor scale incorporates the scale degrees typically

found in most harmonic progressions. The pitch classes of the chord pro-
gression in Example 3.9a have been extracted and arranged to form the har-
monic minor scale in Example 3.9b; the scale contains a lowered 6 (or b6,
which pulls downward to 5) and a raised 7
or leading tone (47, which pulls
upward to 8),
THE MINOR MODE AND MINOR SCALE 39
Example 3.9
B.
A.
3)
Actually, none of the above scalar formations give us a complete and ac-
curate picture of how the minor mode operates in actual musical practice.
But if we combine all three scales into one composite collection, we can ob-
tain a better idea of the wealth of scale degrees and the manner in which
they are actually used in minor-mode compositions. The passage shown in
Example 3.10a can only be explained in this way, since the previous scales
are inadequate to explain its pitch content. Again, by gathering all the pitch
classes together, we now arrive at a ten-tone stepwise collection, in which
the notes from 1 up to 5 are diatonic scale degrees in the three minor scales,
and in which the span from 5 up to 8 proceeds by half steps (Example
3.10b).. This latter span contains both lowered and raised 6th and 7th de-
grees: 5 b6 $6 b7 #7 S.
Example 3.10
A.
rN
4 |
if_l\
|
i ——_—-—
e) |
wane |
!
— =
C: 63) 47 #6 $7 63 L6 43 a L3
II
b2 #6
40 (CH. 3] TONIC, SCALE, AND MELODY
THE TRANSPOSITION OF SCALES AND MELODIES
Up to this point we have employed the pitches in the mode of C major or

minor in our comparison of various melodies and scales. However, it is pos-
sible to take all the pitches of a scale or melody and restate them on a differ-
ent pitch level while still preserving their same intervallic relations, Example
3.11a shows the last phrase of the “The Star-Spangled Banner” written in C
major. Since the G? is too high for most people to sing easily, the tune is cus-
tomarily performed at a more comfortable pitch level, such as Bb major, a
whole step tower (Fxaniple The Canajor scale in Example 3.11¢ Tras
been shifted both up and down—to D major, a whole step higher, and to Ab
major, a major 3rd lower."
Example 3.11
A. “THE STAR-SPANGLED BANNER”
@
o—
A 4p
0
an
e
—E
—y
— i
1
t i 7 es a |
|
ny D
Since there are twelve possible simple intervals, if we count the unison
and octave as one interval, there are twelve possible levels to which a scale
or passage of music mav be raised or lowered. This procedure is called
transposition. There are twelve such transpositions—one for each note of
the chromatic collection. For other instances of transposition, consult the
text examples cited in the footnote below. It is necessary that we use this
technique when writing out parts for transposing instruments, such as a
7. Other transpositions may be found in Example 22.4a. mm. 1- and 9-12 (a perfect 4th
lower), Example 40.Sa (a major 3rd higher), and Example 40.1a. mim. 1-3 and 7-9 (a minor
2nd higher).
RELATIVE AND PARALLEL KEYS Al
Bb clarinet or Eb alto saxophone; transposition charts may be found in Ap-
pendix 6.
RELATIVE AND PARALLEL KEYS

The term key is used interchangeably with tonality when discussing music
of the tonal period. When we speak of the keys of D major and F¥ minor,
for example, we are saying that D and F# are the tonics of the respective
pieces, and that the given mode identifies the underlying diatonic scales
used in those works. In the musical examples of this text. major keys are it
indicated with uppercase letters followed by a colon (e.g., D: = D major)
and minor keys with lowerease letters followed by a colon foc. (4: — Fe
|
minor).
For each major key or scale there is a corresponding minor key whose
tonic is a minor 3rd lower and whose natural minor scale contains the same
pitch Chisses as the original scale ‘Fxanple 3120 Likewise, for cach
minor key or scale there is a corresponding major kev whose tonic is a minor
3rd higher and whose major scale contains the same pitch classes as the orig-
inal natural minor scale. Because of their shared pitch content, we call such
relations relative keys. Thus C major and A minor are relative keys, as are
C minor and Eb major. In Example 3.12b the melody in the first four mea-
sures is repeated almost note for note in the last four bars. But whereas the |
first phrase establishes the kev of A minor, the last establishes the kev of C. ii
With the exception of two Gis in measures | and 3, the pitch content of the
melodies and harmonies is identical since thev use only natural white-kev
pitches; therefore thev are relative kevs.
Whereas relative kevs display similar pitch content but different tonics.
parallel keys share the same tonic but differ in mode (major versus minor)
and thus in the notes of their scales. Example 3.12c contrasts the parallel kevs
of C major, which has no accidentals, and C minor, which has three flats.
Example 3.12
A.
C major A minor (relative minor)
¢
C minor E} major (relative major)

4.
i
|
7
®%
42 [CH. 3] TONIC, SCALE. AND MELODY
B. GRIEG: “SOLVEJG'S SONG” FROM PEER GYNT SuITE No, 2, Op. 5
fa
Ve
MS
{¢
VT
|
10 !
I
|
wi
oe
|
Pp
yk x
ia Ne
Oo ge ry
V4 wi
On
iv,
e
aa
— a
ai if
AS
fam
o i
“fee
i
st we
to
oe
{ t fF £
fal
Ve =_— “\yp"
5
| rn
e- [#7]
$ra EE *
al
|
am
4
Tam’ CA e ~
x
4 ]
it
L I
: |
I
i
2
e :
f
C major C minor
THE CIRCLE OF 5THS

In addition to C major, which has no accidentals, there are seven other major
keys containing sharps and seven containing flats. The fifteen major keys can
be arranged along the outer rim of a cirele of Sths, as in Figure 3.1.
i
Figure 3.1 (no flats)
(no sharps)
(1 flat) F
~-———~~___ G (1 sharp)
(2 flats) Bb D (2 sharps)
(3 flats) Eb ff A (3 sharps)
(4 flats) Ab CH E (4 sharps)
ab
at eb gt
(7 sharps) C4 B (5 sharps)
(5 flats) Db Fé Cb (7 flats)
G)
(6 sharps)
(6 flats)
KEY SIGNATURES 43
As you move to the right around the circle, each successive key is a per-
fect 5th higher and therefore requires one more sharp or one less flat in its
scale. Similarly, moving to the left, each successive key is a perfect 5th lower
than the last and has one additional flat or one less sharp. Notice the three
keys at the bottom of the circle, whose scales are spelled enharmonically—
Ct = Db, Ft = Gb, and B = Ob.
Beginning with A minor, which has no accidentals, there are also total a
of fifteen minor keys, which appear on the inner rim of the circle in Figure
3.1. Relative keys are placed directly across from one another on the rim,
since they share the same pitch content.
KEY SIGNATURES
The key signature placed at the beginning of each staffin a composition
indicates the accidentals necessary to form the diatonic scale on which
the piece is based. This convenient shorthand avoids the tedious task
of notating each required sharp or flat throughout the entire score. For
instance, for the key of G major we need write only one sharp on the F
line in the signature to signal that all the F’s on that staff will be raised a
semitone.
A signature may indicate either the relative major or minor; for example,
a signature of two sharps may denote either D major or B minor. Therefore,
it is necessary to examine the content of the music itself in order to deter-
mine its correct tonic and key. As possible guidelines, look first at the open-
ing and end of the piece, as these are likely places for an emphasis on the
tonic note, and then check for the leading tone in minor, which will occur as
a raised accidental.
The various key signatures for relative major and minor keys are
given in Example 3.13. Memorize these signatures, carefully noting the
placement and succession of the accidentals on the treble- and bass-clef
staves.
Example 3.13
major minor major minor
re)
4
Pid
t
4
ei
my
a Pa
4 +
wilt
te) ra" Gy
<> ra bal —* bal
5
:
Pid a} a
:
a
+
Pod (@) <>
ae
04 Pat La
94
re) bal ba
rot hard
Q
Pe
i ap
(@)
+17 1.
g
4 ay
=
—_\
=o]
tt ay
g
Se e
fa
i
baal ye T
e GF h Te
Q
a
an
©
ay
g
a t
co LY,
}
ST
g
J
g
v Yh wv
T iO]
THE FUNCTION OF SCALE DEGREES IN MELODY

A melodic line or melody of rhythmicized pitches that forms
is a succession
a series of melodic intervals. Although some musicians argue that melody
arises from harmony, a study of history reveals that single-line melodies—
including Greek melodies, Gregorian chant, and early secular monophony—
evolved first. Other factors, such as dynamics, timbre or tone color, and
articulation can also contribute to what we call melody. Tonal melodies rep-
resent goal-oriented or directed motion that is continually moving toward or
away from certain tonal, rhythmic, and formal destinations. The path be-
tween these goals may be very predictable, or it may be ambiguous. As lis-
teners, we become involved in this unfolding of tone in time as we trace the
music’s course to its conclusion.
The scale degrees of a melody convey us on our tonal journey. The vari-
ous scale steps in the major and minor modes have distinct tonal characteris-
tics that influence their melodic tendencies. Study the C-major scale in
Example 3.14. Since scale steps 1 and 3 are associated with the tonic, they
are the stable, or inactive, degrees. The dominant(5 ) has a strong ten-
most
MELODIC PHRASES 45
to return to the tonic, but it assumes a more stable role

dency when it joins
1 and 3 in the tonic har mony. The more active scale
| _steps—2, 4,
4 6, and
=
tend to move stepwise to the more stable degrees—2 to 1, 4 to 3, 6 to 5,
or 7 to 8. Since the leading tone and submediant, in both major and minor
modes, exhibit such a strong pull to the tonic and dominant respectively
( 7-8, 6- 5, and L6-5) , they are often called tendency tones. In Example 3.14
the more stable Nope 3. and 5 are denoted with white note-heads,
while the more active steps—2, 4, 6, and 7—are denoted with black note-
heads. The arrows indicate the direction of their tonal tendencies.
Example 3.14
active
t T
tT
1
3 4 6 7
al
= 1]
iv4
fant yee rat yd
~
rn" L@)
ia]
t Ww” 3 5 §
stable
When we take a melodic line and examine it note by note, we may find
that the successive scale degrees do not always comply with the preceding
generalizations. But as we begin to peel back the melodic details and look be-
neath the rhythmic and tonal surface of the music, we will reveal the under-
lving framework on which the melody is based. In doing so, we will discover
long-range stepwise tendencies in that framework that support these conclu-
sions. The later melodic analysesin this chapter will incorporate some
simple
methods of illustrating these long-range connections between scale degrees;
in Part Two of the text more sophisticated techniques will be introduced.
MELODIC PHRASES
When we sing familiar melodies, we will observe that they are usually di-
vided into smaller sections or units. These sections, which may be melodi-
cally similar or dissimilar, are usually set off by some kind of rhythmic
punctuation. The way these sections are organized into a whole lends form
or design to a melody:
Let us draw on the analogy between words and music and employ some
terms to describe these melodic groupings. Consider the sen-
grammatical
tence: “If you go to the concert tonight, vou will hear Beethoven’s Ninth
Svmphony.” The end of each phrase is punctuated in a different way. The
opening condition (“If you go...”), held in suspension by a comma, is re-

solved by the consequent action (“you will hear .. .”), concluded with a pe-
riod. We may thus diagram the sentence as follows:
Condition Resolution
If you go to the you will hear Beethoven’s
concert tonight, Ninth Symphony.
Now sing or play the “Ode to Joy” theme from the last movement of this
symphony, given in Example 3.15, and compare its musical design to the di-
agram above.
Example 3.15 |BEETHOVEN: SYMPHONY NO. 9 (“CHORAL”), IV, “ODE TO JOY” THEME
241 1
e s
AEs
~*~
OS, SY
A if
CNS NE SAE CE
SS
pe — NE aS SO [7
i |
| ae
|RS GS | ism ]
!
This simple tune consists of two sections, called phrases. Each phrase
expresses a well-ordered musical idea that progresses tonally to a point of
musical punctuation, or cadence. In Example 3.15, brackets mark
off each phrase. As in this passage, successive phrases in tonal music
frequently contain the same number of measures, a trait called phrase
periodicity.
MELODIC CADENCES
Cadences represent the coming together of melodic, harmonic, and rhyth-

mic factors to create structural punctuation. Everv era in music history has
devised its own set of standardized melodic or harmonic cadential patterns.
We can identify two melodic characteristics typical of cadences from the
common-practice period:
1. momentary cessation of rhythmical motion on the final cadence

A
note. Is this apparent in Example 3.15?”
8. Yes.
MELODIC CADENCES A7
2. The use of certain two-note scale-degree patterns at the ends of

phrases. Which two different scale degrees end each phrase of Exam-
ple 3. 15?”
One way of demonstrating long-range melodic motion is to focus on the be-

ginning and the conclusion of a musical phrase. In the first two phrases of
the “Ode to Jor? theme in Example 8 16.we will highlight its first and its last
two cadence tones with stemmed notes and indicate its interior pitches with
unstemmed note-heads.
Example 3.16
S .
7
bho
Ww
Wa
—
The opening.3 ev entually descends to 2 at the end of the first phrase
but is stopped before it reaches 1. The second phrase starts again on 3,
and this time the phrase does descend all the way to the tonic, creating a
sense of
tonal closure, This long-range movement, which can be dia-
grammed as 3-2, 3-9- 1 shows an overall inclination to descend stepwise
fy om scale step 3 to L even
though the end of the first phrase is inter-
rupted after the active scale step 2. In Example 3.16 we denote this in-
terruption by HH mar king. This break in the tonal motion forms an
a
inconclusive cadence (3- 3) at the end of the first phrase, which is fi-
nally resolved by the conclusive cadence (2- 1) at the end of the second
phrase.
The chart in Example 3.17a lavs out the various two-note melodic ca-
dences and their scale degrees in the keys of C major and C minor. The
most conclusive cadences exhibit stepwise motion to
the tonic: 3-1 or 7-8
Less conclusive cadences end on the mediant: 2-3,5-3, or 4-3. Inconclu-
sive cadences generally: employ stepwise motion toward an active scale de-
gree, 3-9. $-7 or 45. The short Liviu in Example3.17b illustrate
phrases
’
typical uses of these melodic cadences." Play or sing each of the phrases,
9. Scale degree 2 at the end of phrase one followed by | at the end of the second phrase.
10. These tunes have been transposed to C major and C minor to facilitate comparisons.
|
48 [CH. 3] TONIC, SCALE. AND MELODY
noting the different sorts of psychological impressions you receive from the
three types of cadences. It is imperative that you memorize these various
melodic formulas now, since we will later add more types of cadences to
our present list.
Example 3.17 >MELOpIC CADENCES

A. MELODIC CADENCES
A
5 ( #) 8 5 3 5 3 4 3
Ol \ 1
YY
;
I il
T
—@
|
I
an
—_ T
_
T_T
|
=
it
i
a1
an
T
a f {
{
l
| Conclusive ———_
t
Less conclusive J
3 3 § (HT 4 5
A. @
rn ji i ___
5 er t = yaw"
LWAud9
| | I
Tt
TT
Li
e
T |
ANS UAB l |
an om
ij
l
Inconclusive J
B. CONCLUSIVE CADENCES
§
“Jesu, meine Freude” 3 j “Vom Himmel hoch” n
fh}
my Ae
,
a _] la’ —
, !
a
ao
it
! I T I T
|
by id ni
LW
oeal al
oe
|
—
4 |
t CT i oe LC I
e) Go e)
}
Less CONCLUSIVE CADENCES

“St. Magnus” 3 8 “Duntermline” 5 3
a a A oN
Ae
UY
ry)
' Pl
A
t
T
T
LL
|
!
=
if
4
.
|
I
2).
Pal
dl
i aa)
T_T
|
!
>
all
T
f
7]
i
I
vi
Lr.
Tey
XV
@)
fe
VT
oe
1
[
I
T
|
I
ri
Ce
I
aa
F
T
I
oe
;
If
I
Lot
— —t- oo
i
t
—@
7
INCONCLUSIVE CADENCES
“Bisenach” 3 3 “London New” S 7

a
a) T
is {
oO Tt { r—t io
KY T XY T L
o—_t all I I
eo? oe
im I
ul
@ e) Go T
“Rheidol” 4
Be
fh |
LvA eA T 1 i | _]
h
T
v.40 I {¢ 1 J l T i I a y _I|
[fon
rt
S
WE
a es i i i ri
ANA i I a @ Zz {
e oe
oe oc
t i
© |
TWO MELODIC ANALYSES 49
Two MELODIC ANALYSES

We will conclude this introduction to exainining two diatonic
tunes By tracme the progress from the mielorly
first note to the cadence, it is Possl- a
ble to demonstrate some interesting long-range motions that under- velo
lie the musical surface. Since both short tunes are complete in themselves,
they alow us to see how scale degrees operate within a longer melodic span
The hymn known “Old One Hundred” contains four short phrases,
as the
denoted with brackets in Example 3.18. Each phrase ends with a well-
defined melodic cadence, denoted by a fermata or
Example 3.18
Tatas Bot nebow “On ONE TEEN Fy ENS
fy
iV
4 Ae:
4
|
A
I i I [
|
L T
|
i I
fn
| T a
if
>.
1
+
1 |
42
7
'
v4 T ro
4Pat
“fie ] ££. ]
lll
T
ia
a
4
T T
it it it al |
ifaw VY PI Tl i ] !
iP] yy
Tf | al Cd |
[#1 Pal J
e)
[fi] Go a| |
|
T
| |
i
|
I
it
|
phrase |
phrase 2 phrase 3
B. (REDUCTION:
] 2 3 3 3 2 ]
fy\Z 4 \ |
|
1
if
|
I ] i
|
if
| ]
rad t t }
<P
@ |
@
YJ oe - }
hd I hall I
°-
fh
_\f
4 | |
i
e
Po
, | |
e
ty
Le
[ i | T [ I
al if 4
it T
ii
>. TA mi
J
i4 [if]
u
tay
i
rl
| I | l | ! T
it
ad Cd T
4 T ey Pi [PI Cd 18
NY Ce. Pou I i |
if]
I TL
T
id lL
hall if
i L_| Ld aj
I
@) |
nad I
phrase 4
7 8 3 4 3 2 I
fh
—s_
4 j
T
4
} Tj
rd oe
2
+
T a +
ia
t
|
aa.
Hd
e ~ ad t t
I
cI
|
As in the previous “Ode to Jov,” we will stem the initial note and last
: two cadential notes of each phrase, therebv framing their directed tonal
motion: see the reduction in Example 3.18b. Phrase 1 represents a rise
from tonic to mediant, 122-3, over two measures. Phrase2 begins
on 3 and gradually descends to spread 3 begins on the tonic and
7 phrase
while
2,
hovers around it before ending with 1. The ov erall tonal motion of the
first three phrases, then, is 1-2- 3, 353.2, 157-1, with the first ending on
a less conclusive cadence, the second on an inconclusive cadence, and the
third on a conclusive cadence. Notice that this long-range motion proceeds
completely by step. Despite the apparent close on Lat the end of the third
phrase, an additional line of text remains to be set. Since we anticipate that

the concluding phrase will likewise cadence on the tonic, its sense of clo-
sure should be even more emphatic than what has preceded it. Therefore,
after the prevailing conjunct motion in the previous three phrases, the
ap to the dominant
melodic line dramatically leaps up dominant inin the fourth
fourth1 phrase
phrease
and
makes an emphatic stepwise descentscent back to the final tonic: 5-4-3-2-1 (Ex-
ample 3.19).
Example 3.19
wp
Oa)
bo
~!
at
The familiar tune quoted in Example 3.20a aptly illustrates both short-
and long-range tonal goals in melodic writing. We have once more stemmed
ases and notated the interior notes with un-
the framing pitches of each phrases
stemmed note-heads.
Example 3.20
A.
1 1
REDUCTION 1)
5 § 7 5 2 J 5 5 7 66 4 a j
a’
1
alll]
1 T
t 1 t ¢
aa
on
I
Lf
MY
o
_
ws FF 6
REDUCTION
TWO MELODIC ANALYSES 51
This F-major tune divides into four short phrases of two measures
each, the first three of which begin with an upbeat on Ci (5 ). The F-E
(8- 7) ending of the first phrase is answered by the G-F (2- 1) of the sec-
ond, which, as we can see by the curved arrows in measures 2— 4 (Exam-
ple 3.20c), resolves the leading tone (77) to the tonic § (or 1). The octave
leap to C° (5) in measure 5, which disrupts the previous pattern, de-
scends by 3rds to Dt (6). The Bb! that opens the last phrase eventually
moves to the final tonic via scale steps 3-2-1. If we examine the tonal
summary in Example 3.20c, we can see that our tune actually consists of
two different melodic strands, as indicated by the direction of the stem-
ming. Following the dramatic octave leap to 5 in measure 5, the melodic
strand in the last three measures actually descends stepwise to the con-
|
cluding tonic: 5-4-3- 2. 1, in a similar manner to the conclusion of the

preceding tune. The 5 of the lower strand, which serves as the upbeat to
the first three phrases, now pulls up to the 6 and seems to a
stepwise ascent to 8 through an inferred leading tone, shown asSuggest an E*

parentheses, What occurs in the text of this song at the beginning of
measure 6? How is this highlighted in the musical setting?’’ Whereas
the octave range of the two opening carols of this chapter is framed by |
the tonic (1 to 8), the pitch content of the last two tunes is framed by |
the dominant (5 to 5).

i
Our three melodic analy ses ithastrate several similar Characteristics. Most
of the long-range melodic connections exhibit stepwise motion, demonstrat-
ing the tevideICN of the Hore active scale deores To 1. and ‘a Lo move fo
the more stable degrees (1, 3. and 5). In addition, the overall motion of each
melody tends to move stepwise from either the dominant or the mediant
down to the tonic: 3-3-1 or 5-4-3-2-1. Our further melodic analyses will con-
firm these generalizations.
The diagrams that reduce these last two melodies to their essential
melodic framework allow us to see more clearly the finctions of the various
scale degrees and their long-range tendencies within the kes
11. The name of the honoree is inserted. There is a momentary clash of the melody (E-D)
with the supporting harmony. thereby setting off the particular name.
5 A caret (*) placed over an arabic number denotes a scale degree.
J Black note-heads with stems represent more important or essential

melodic tones.
e Black note-heads without stems represent less essential tones.
V/A An interruption sign denotes a break in the long-range tonal

movement toward 1, usually occurring after scale degree 2.

tonic melodic minor scale
tonality harmonic minor scale
major mode natural minor scale 4
scale key :
scale degree/scale step key signature 4
tonic circle of 5ths
dominant relative major and minor keys
mediant parallel major and minor keys
subdominant tendency tone
submediant phrase
leading tone phrase periodicty
supertonic inconclusive cadence
subtonic conclusive cadence
transposition
1. Supply the correct signatures for the following keys.
Example 3.21
Bb major F minor G# minor G major Db major C# minor
=
a
—
xa’
TaN
@\*
ye
*WA
a’
fay
SV
—
7A
O
6}: yA
| fam
]
a}}
i
a8
NST
e
ANS PA
ry) @)
2. A. Add accidentals to the natural scales in Example 3.22 to produce the

indicated scale; the tonic is stemmed.
B. Write in the correct key signature for each scale.
C. Identify the name of the circled scale degree in the provided space.
Example 3.22
A. B.
major harmonic minor
f@\—_2
afha
|
i al 1
—— Ty Fe
|
|
HE
C D.
natural minor ascending melodic minor
a © f
4i —_#
fan)
mi
[ eo —_, *
mn
r J f mY }
@
I
|
Ty
i Gal
ye
7 al
z= o—* Lai A
i __|}||
nT
‘er |
3. Here is a brain-teaser on key signatures and scale degrees for you to fill
out. You may wish to refer to graphs or charts in this chapter.
Multiply the number of accidentals in the key signature of D major
by the number of accidentals in the key signature of F minor
(__ x = ). Divide this by the number that represents the sub-
dominant scale degree + = (__ ). Now add to this the number of
__ __
different scale degrees in a major scale + = ). Finally, sub- (__ __ __
tract from this the number of accidentals in the key signature of the rel-
ative minor of B major (__ — = ). Your answer should equal the
__ __
number of accidentals in the key signature for the parallel major of E

minor.
4. In the two melodies shown in Example 3.23, the phrases are denoted
with slurs. Provide the following information about the tunes:
A. The key and mode (major or minor) of each tune.

B. The number of measures in each phrase.
C. The type of cadence that ends each phrase. Use C for conclusive, LC
for less conclusive, and IC for inconclusive.
D. Circle and provide the scale degree numbers for the framing
pitches—the first and last two notes—of each phrase, disregarding
upbeats. Do you note any similarities between the two melodies? You
may also wish to check for evidence of any other melodic goals, such
as long-range stepwise motion.
54
io a)
be
=
O
=
eal
<
©
Zz
O
Zz
a
>
ea
‘o)
a
a
=
Example 3.23
A. “MARTYRDOM” (HYMN TUNE)
= jay
fy 4
TR
A a
4
A
ay
B. HUNGARIAN FOLK TUNE
QQ ¢ 2 6 oe # +
CHAPTER4
Triads and
Seventh Chords
N THE PREVIOUS CHAPTER we examined some general characteris-

tics of melody. We will now turn our attention to harmony—that is, the
study of vertical sonorities in music. Most of this text is concerned with
the way harmony operates in tonal music. However, before we can under-
stand the forces that underlie harmonic functions and progressions, we
must begin with a consideration of the mdividual sonortes or chord types
that make up our harmonic resources In this chapter we will focus on
several of these introductory topics: (1) chord types consisting of three or
four diflereut pitch classes (Wiads aud seventh chords), (2) the spelling of
these chords and their notation, 3) chord iaversions, and ti two forms of
chordal shorthand—commercial chord symbols and figured bass symbols.
The chords in this chapter will he confined to their most compact form
and written on a smagle stall We Will meorporate. the grand staff in
Chapter 5 when we begin to explore how the members of chords can be
distributed.
55
56 [CH. 4] TRIADS AND SEVENTH CHORDS
ROOT-POSITION MAJOR AND MINOR TRIADS

A chord may be defined as three or more pitch classes performed at the
same time (Example 4.1a). A chord implied by playing two or more disjunct
intervals one after the other is called an arpeggio or broken chord (Exam-
ple 4.1b). Tonal music shows a strong preference for tertian chords, in
which chords are built up of consecutive major and minor thirds above the
bottom note, or root. A tertian chord consisting of three different pitch
classes is called a triad. Some white-key triads constructed on various roots
appear in Example 4. Ic.
Example 4.1
fh 0
a fa’ | I
Ve TA
I I I I
aI
vA T
4
O
“a.
Hits
I |
Tey
RY
| |
[
i Pi Tr haul “a. U
HY
C2
ee”
|
banal haat
@) V x
eo.
Je
Q
CO) T J Rg
P=4
“*
|
I
qa) iam
TA
fh)4 J
j
§ if
i)
2 |
T
l
LO]
<q)
i!
J
I
[
I
a>
I
S18 q)} J
I
0
a1
qa)
er t¥
The most common triads consist of two intervals, each of which forms a
consonant relation to the bottom note or root. For instance, above C we may
add a major 3rd and a perfect 5th (C E G), resulting in a major triad. Or
we may add a minor 3rd and a perfect 5th above C (C Eb G), resulting ina
minor triad. The consonant major or minor triad derives its name from the
type of third above the root. When the root of a triad is in the bottom or bass
voice, we say that the triad is in root position. All of the triads in Example
4.1¢ are in root position; below each chord indicate whether it is a major or
minor triad, using M for major and m for minor.!
Musicians have emploved various abbreviations or svmbols as a quick
way of indicating chords. One of these in current use todav, commercial (or
“pop”) chord symbols of the kind found in kevboard and guitar arrange-
ments of popular songs, provides us with a handy way of indicating root-
position triads. Since no one standard system of commercial chord svmbols
exists, in some cases the text will supplv several alternatives; vour instructor
will indicate which vou are to use. In commercial chord symbols, a capital
1. Your chord types should read mim M Mom M,

INVERSIONS OF MAJOR AND MINOR TRIADS 57
letter denotes a major triad (C, Eb F%, and so on). A minor triad is denoted
by a capital letter followed by either a minus sign (-) or a lowercase “m” (C-,
Eb-, or Fgm, Dm, and so on).” Typical examples are shown in Example 4.2.
Example 4.2
A
Lares
be i LDVa@y
! ez I 1]
LF
rot qy
a>
iw =a
“*
I 1 ian
ti? @)
© | T' bl I HT
Ti
es lL,
i] | | Le
WY ay I ij
fo
I I I
ts
UV
@) Vb
F B- Ch- Ab D Bbm
INVERSIONS OF MAJOR AND MINOR TRIADS
Just as we have inverted harmonic intervals or dyads by placing one pitch an

octave around the other, we can also invert triads in a similar way: by placing
their bottom note an octave higher or their top note an octave lower. The
triad inversions that result are illustrated in Example 4.3. Taking the C
major triad as an example, each chord member of the triad (root, 3rd, or
5th) may appear in the lowest voice or bass. Putting the chord root, or C, in
the bass produces a root-position triad; putting the chordal third, or E, in
the bass produces first-inversion triad; and putting the chordal fifth, or
a
G, in the bass produces a second-inversion triad. The location of chord

members in the voices above the bass does not affect the triad’s inversion.
The commercial symbols for triad inversions appear below the chords in Ex-
ample £3) The chord type is written first. followed by a slash aid the bass
note, ifthe chord type appears alone, without a bass note, assume rool posi-
tion Thus, °C means a © Hajor chord an roct postion; “CoB means a ©
nayor Chord ai first iaversion, with Foam the bass: and "C.G" micans a
C major chord in second inversion. with G in the bass The svmbols for the
C minor chords work in exactly the same wavy.
Example 4.3
A. Major TRIAD B. MINOR TRIAD
cae) q ia) LR bey q

8 RQ eo
| re —H
H
& bd
11] ANG
e
Loul pusitioi Tst diversion Sind inversion i pusiliont Sid inversion Lsi aiveision
C C/E C/G C- C-/G C-/E}
tise of the Sig to denote tiinmer triad “De

sc is Common toca tha the
older use of astmail im tollowing the capital letter (in),

Because of the strength of the acoustically perfect 5th above the root,
root position is the most stable and consonant form of a major or minor
triad. The other inversions are less stable, since the root now appears in an
upper voice. In first inversion, the pitches that form intervals above the bass
are both consonant with the bass note (a 3rd and a 6th). In second inversion,
however, one of the intervals is a dissonant 4th.
DIMINISHED AND AUGMENTED TRIADS
Example 4.4 illustrates the two other tertian triads that occur in tonal music.
Example 4.4
A. DIMINISHED TRIAD B. AUGMENTED TRIAD
A5
d5 (=z) gg)
X—_—_ __?) +}
_(_
oa
— =< $e;
T
fiul
___L
D>
“*
T
NY asl
e)
m3 m3 FHo FRYA FRYC M3 M3 Gt G*/B G*t/D#
In both diminished and augmented triads, the stable perfect 5th above
the root is now altered by one half step, forming either a diminished or an
augmented Sth. The diminished triad contains a minor 3rd and a dimin-
ished 5th above the root, taking its name from the diminished 5th that re-
places its perfect counterpart in the minor triad. As a result, the sense of
root stability is much weaker, making it more difficult to recognize which
note is the root by just hearing the triad. The diminished triad is traditionally
found in first inversion; in its other inversions, a dissonant tritone occurs be-
tween the bass and one of the upper notes (Example 4.4a).
The augmented triad contains a major 3rd and an augmented 5th above
the root; it may be found in root position or first inversion. Since its two con-
secutive major 3rds divide the octave into three equal parts, the augmented
triad conveys little or no aural sense of root (Example 4.4b). As a result, its in-
versions sound identical to each other except for their pitch level, and any of
its tones could be seen to function as its root. Because this sonority occurs so
rarely in diatonic tonal music, we will reserve its discussion until Chapter 32.
In commercial chord symbols, the diminished triad is represented by a
capital letter followed by a superscript circle (B°
= B D F); an augmented
triad is represented by a capital letter followed by a superscript small plus
sign (C*
= C E G). As before, the inversion is denoted by a pitch class that
follows the triad symbol and a slash (Bb*/D = first inversion of a Bb aug-
mented triad); see Example 4.4.
FIGURED BASS 59
TRIAD SPELLING AND NOTATION

Musicians use the following methods to spell root-position triads. The resul-
tant chord tones can then be rotated to obtain the various inversions.
1. To spell major triad, construct a major 3rd and a perfect 5th above
a
a given root. Thus Eb G Bb is an Fb major (Eb) triad.
2. To spell a minor triad, construct a minor 3rd and a perfect 5th above
a given root. Thus B D F¥is a B minor (B-) triad.
3. To spell a diminished triad, construct a minor 3rd and a diminished
5th above a given root. Thus A C Eb is an A diminished (A°) triad.
4. To spell an augmented triad, construct a major 3rd and an aug-
mented 5th above a given root. Thus G B Dé is a G augmented (G*)
triad.
You will find some spelling drills on the various triads at the end of this
chapter and in Chapter 4 of the accompanying Workbook.
FIGURED BASS
Another form of chordal shorthand symbols arose much earlier in music his-
7 tory, about 1600. To indicate what chords to play, wiusiciaus uscd uuaibers
to represent the appropriate intervals above the bass note. This practice of
figured bass, or thoroughbass, was a hallmark of the Baroque period, the
era of Bach and Handel. Example 45 shows a typical keyboard part from
that period; the notes in the treble staff indicate what the performer would
add to the given figured bass.
Example 4.5
4
=
in
i |
t } i
S
ml l
2 “a Z
i i
2 2
+
rp
[Fe hl
- |?
H | all
|
P= 1 al ro af
}* <
—_oj—_____ tf lad
i
fod.
J
i
|
fit
ad
1
} |
i {
I
6 6 6 6
The plaver was expected to play, or realize, the harmonies from the bass
line and numerical symbols, in much the same way that a jazz pianist or ani
tarist realizes the chords when given the commercial chord symbols on a
leadsheet.” In harmony manuals written after the Baroque period, these in-
tervallic symbols came to indicate both chords and melodic motion in the
voices above the lowest or bass part.
When learning the various figured-bass numerals, remember:
. The numbers always refer to the intervals above the bass. They must
not be confused with chord members (root, 3rd, or 5th). The 3 of the
figured-bass symbol 3 represents the note a 3rd above the bass, not
the 3rd above the root of the chord. If the bass note is E, “3” refers to
the chordal 5th (G), rather than E (Example 4.6a).
2. Compound intervals are treated like simple intervals. Therefore you
cannot tell from a figured-bass symbol whether it stands for a simple
interval (less than an octave) or a compound interval (more than an
octave). A “3” can stand for either a 3rd or a 10th (an octave and a
3rd), and a “5” can stand for either a 5th or a 12th (an octave and a
Sth). You must determine which octave register is appropriate by the
context of the other voices above the hass; see Example 4.6b.
. Chords realized from the
figured bass are always affected by the key
signature. In the key of D major, the spelling of all chords above the
bass will assume the F} and C§ that appear in the key signature. Like-
wise, all accidentals affecting the bass note will obviously affect that
same pitch class in notes above the bass (Example 4.6c).
Example 4.6
A. B.
= 1
@) a4 TI ay {yy
H_| a
T
>
H
5 6 5 5 5
for
1
for
3 3 3 3 qo 3 3 10
C.
The complete figuration for triads is } (root position), § (first inversion),

and § (second inversion). These figurations are usually abbreviated, so that
root-position triads do not require any figures at all, and first-inversions tri-
ads are usually denoted by the digit 6. However, it is necessary to use both
numbers ({) for the second inversion (Examples 4.7a through c).
3. A leadsheet customarily provides only the melody and chord svmbols for a popular song.
FIGURED BASS 61
On occasion the intervals above the bass may contain accidentals not
found in the key signature. In such cases the figured-bass symbols must
make it clear what these alterations are.
1. If the 3rd above the bass is affected by an accidental, a single ¢, b, or}

denotes the chromatic alteration (Example 4.7d).
2. With all other intervals, the accidental is placed before the interval,
such as a b5, b5, and $5, or a b6, h6, and $6. In cases where the interval is
raised a half step, a slash mark through the interval is often used, such
as 3 or 6 (Example 4.7e through g).
Example 4.7
A. B C. D
& =
so i
oH
>= qy i <q) iy ah TT
ime)
i
1]
=~
La
9
“*
4)
ia
||
< ay
i (ey! Ti”
iD
ct <>
=< i} i]
pay
6 6 6 6 6 b
for
3 for 3 4 4
(
E F G.
+). be
—8 Hoy
—
ize}
bee
tee.
tLoF
ho
= =
mi
1]
{e—_— it
——*#
b5 #5 or 3 6 6 b6 16 oor 6
b
Example 4.8 summarizes the various diatonic triads and their commer-
cial chord symbols in C major and minor.
Example 4.8
C major
(@)
ie
va
3 ay
8: 3
b=< ia2
@} Tq]
eeC => xe) =4 —H

$ P= (6) u
D- E- F G 4. Be (C)
C minor
+ ro
2s oc Q
]
rn
1
Gy Lay ra"
P= wpa g> at
ha = 4
a
[@) 1]
S “
p
wry
S a>. “Da € a)
P= 4
(@)
o as = LD» ¢
(@)
4a) mak
sz OY}
@
vont
Bama
i
ad
C- b° Eb Eb* F- F G- G Ab Bb B° (Cm)
SEVENTH CHORDS
If we view chords as intervals constructed over the lowest voice, as repre-
sented in thoroughbass figuration, there are only six triads whose pitches
form exclusively consonant intervals above the bass. These are the major
and minor triads in root position and first inversion, and diminished and
augmented triads in first inversion only. These consonant triads formed
the basis for harmonic composition in Western music from about 1400 to
1650. During the late Baroque period, however, the tertian structure of
the triad was extended beyond the 5th to the 7th above the root. Such
sonorities were called seventh chords. Since the chordal 7th of a seventh
chord is a dissonant harmonic interval above the root, we must approach it
and leave—or resolve—it with special care, a task we will discuss in detail
in Chapter 10.
There are five types of seventh chords found in the music of the
common-practice period. In identifying and labeling the various forms of
seventh chords, we place two prefixes before the 7. The first denotes the
type of triad; the second denotes the size of the intervallic 7th above the
root. For instance, MMT indicates that the underlying triad is a major triad
(the first capital M) with an added major 7th (second capital M7), whereas
muny midicates Hhat the uuderlymiy tiad is a ininor triad (first lower case ti)
with an added minor Tth (secoud lower case m7) ~TMowever, these complete
labels are usnally abbreviated or commercial symbols are substituted; notice
that in commercial chord symbols the 7 always appears as a superscript (E‘).
The various root-position seventh chords are arranged in decreasing size in
Example 4.9, using E as a common root.’ The complete title appears above
each sonority, and its abbreviated form and commercial symbol are listed
below. Consult this chart while examing the following types of seventh
chords.
1. The major seventh chord (MM7)} is abbreviated as M7 or in

mercial chord symbols as either an E™ or an E™",
2. The major-minor seventh chord (Mm7) remains the same (Mm_7),
but in commercial chord symbols it appears as an E’.
3. The minor seventh chord (mm7) is abbreviated as either m7 or -7.
In commercial chord symbols it is Em‘ or E-". 4
4. Using E as the root allows us to spell all the seventh chords without having to use double
sharps or double flats.
Dili
SEVENTH CHORDS 63
4. The diminished-minor seventh is usually called a half-diminished

seventh chord (dm7); it is abbreviated as a °7 and appears in com-
mercial chord symbols either as E?’ or Em‘5).
5. The diminished-diminished seventh is usually called a fully dimin-
ished or simply a diminished seventh chord. It is abbreviated as
a “7 and appears in commercial chord symbols either as E* or
Edim‘.
Since the absence or presence of tritones in the various seventh chords is

crucial to their identity and function, we have bracketed the chordal tritones
as well.
Example 4.9
half-diminished fully diminished
MM7 Mm7 mm7 dm7 dd7
A }
=
—f_
_ .4 PJ Pa
ae
I oo JtI ra | I
Hh” Tj
a
4 = 4 T
TT
a
— i
[>
Cd
a f.n¥ abe | T cP = La D>

= <n i uy
as 4
| al
——t =e ee
es
Abbreviation: M7 Mim7 m7 ar oF
Chord symbol: E47 E7 E-7, Em7 E27 ET
Example 4.10 lists the various diatonic seventh chords in C major and
minor with both their abbreviations and commercial chord symbols.
Example 4.10
Al
m7 m7 a7 Mm 7 m7 QT
a Q pr
Gy Pn.
2h
_(@)
ty as
_4>
a> p=
bad
jf
ij
Zen zs a>
(@ 1]
a>
$
r= 4 Len 13]
(@) —* 8]
3} —t5—
C7 bt E-! Fer Ag Be"
an al Al
m! m! Mm! m! Mm! Mm‘ o4
> fe] =>

P=
¥
(@) ce)
Lap
= _R 8
Gy gi
ah
gi
+ ah
1]
ay P= 4
43
(@)
ay
b= 4
Pa ~ ah “* 1”
t
U
U
8S 3}
Ci pb?" EL? F-" Fe yt Gt Aber Bb" Bo!
INVERSIONS OF SEVENTH CHORDS
When four chordal members of a seventh chord, they pro-

we rotate the
duce not two but three different inversions. Figured-bass numbers for sev-
enth chords, like those for triads, denote the intervals above the bass voice,
and employ appropriate symbols, such as accidentals or a slash, for altered
intervals. These four inversions are shown in Example 4.11 with their com-
plete figured-bass symbols; the standard abbreviations shown in parenthe-
ses are as follows: 7 = root position, 3 = first inversion, } = second
6
inversion, and 3 = the third inversion, with the seventh of the chord in the
bass voice. The stability of these chords weakens as we move through the
higher inversions.
Example 4.11
root position Ist inversion 2nd inversion 3rd inversion
2
~
£
~*~}:
Zz
8
_ >=4 “a Pa
“ea7 Pa GO)
tq]
18]
1
>= Saal bd n
7 (7) 6 6 6
5 (2)
5\5 (3)
4\3 (3)
4\2
3 3 3 2
Examine the chords realized from the figured bass in Example 4.12, pav-
ing particular attention to the seventh chords, both root position and inver-
sions, that are marked with downward arrows. Remember that a slash
through a digit raises the pitch a half step, and solitary accidental alters the
a
third above the bass.
Example 4.12
f_| | | | | ,
a lana
—
—<—\—-
oa: —
Ha —
= as _,;
|
In the following chapter we will learn how the members of chords may
be distributed in various registers and musical textures.

chord augmented triads
tertian chord figured bass or thoroughbass
triad seventh chords
major triads major seventh chord (M7)
minor triads minor seventh chord (m7)
root (of a chord) major-minor seventh chord
root position (Mm7)
commercial chord symbols half-diminished seventh chord
|
|
triad inversions (?7)
first inversion fully diminished seventh chord
second inversion (°7)
diminished triads third inversion
A BRIEF REVIEW SELF-QUIZ

1. Indicate the chord type and inversion of each triad in Example 4.13,
using commercial symbols; the first two will serve as a model.
Example 4.13
boa bo t-o- bo ho I_o
—fe_V_| 43
Gs me T @¢> ¢y |
adr ay I
—_=~ __Ty
TL
a> = 4 T a} if q> | Pia = 4 Tydady Ti oe

—_2_ |
ju¢>
Ty ¢>) @)
To
I
qT
I
| Uj
I | ii I |
<> ||
Eb B-/D
2. Write out the chords indicated by the pop svmbols in Example 4.14, not-
ing anv indicated inversions. Use the given chord as your model.
Example 4.14
~~
ar I
T
I
T
T
J
J
J LC
T
_|
_____]
Udy I T I ]
ji
if
I I
iT
I L __]
bal
D/F# F#-/C# B/D A‘/E AWC Eb!
3. Using the figured-bass passages in Example 4.15. spell each triad to

vourself and indicate the chord type and inversion with commercial
chord symbols; the first two will serve as a model.
Example 4.15
G/B
B.
o \
a 4
t om
i
|
1]
_
Hrd
|
=a Tt
I
I 4 t
n
Hee
[ I
—
|
haul
|
}
f — oe
Bf 6 . # 6 6 6 # 4
E- A 4
ER
at
ie
i
C H A P T E R- 5
Musical Texture
and Chordal Spacing
F YOU LISTEN CAREFULLY to an orchestral composition, vou will notice

a network of relationships involving a variety of musical elements. These ele-
ments include not only particular combinations of pitches and rhythmic patterns
but also density, range, timbre, dynamics, and doublings. These relationships,
which combine to produce what we call musical texture, mav be compared to a
woven fabric—its thread, color, tactile properties. density of weave, and inter-
play of patterns. In this chapter we will address the basic textures produced by
the interaction of voice parts in a music passage, the spatial arrangement of
pitches in chords (chord structure), and choosing pitches to double.
BASIC CATEGORIES OF TEXTURE
The interactions between separate voice parts produce three basic types of
texture: monophonic, homophonic, and contrapuntal.
1. Monophonic texture—that is, a single-line melody with no accompa-
nying parts—is rather rare in the music of the common-practice period.

Most passages of monophonic texture are brief and tend to occur either
67
68 [CH. 5] MUSICAL TEXTURE AND CHORDAL SPACING
at the opening or at a later climactic point. The Sibelius

ofa composition
svmphony begins with a single clarinet (Example 5.la); the opening of
the Borodin symphony makes use of octave doubling (Example 5.1b).
Example 5.1
A. SIBEEIUS: S YMPHONY No. L,I
ee
i I 1 T ae
pe
O t | a 2 I
— LY?
a et
oe ie) oe
w Lh. i
mf
B. BORODIN: SYMPHONY No, 2. 1
5
fh 4 fw CN fn
y 4 ey" fe |
io im [ee t [
|g =a
bce { 1
|
o
if
14 @ im
e wie
sf
wie te oe
ew
WA
| |
il
ws we bay
4 vs rom
= wo
=>
Fe
=>
o\ 4 nl aes 1 | |
i
|
naar L
LL
- -
|
pe Mw re
fis |
tw hw, fi
L Tt
U
aT
ae
afl
_@.
-_
sm
iu
ag
|
Pat Ld T
—_ Li Lo 4
2
+—
2. In music with more than one voice or part, we tend to direct our atten-
tion to a single prominent melodic line, the textural foreground, and rele-
gate the other parts to secondary status, the textural background. This
relationship between foreground and background is tvpical of homo-
phonic texture. There are two types of homophonic texture. In chordal
orhomorhythmic texture, all the voices proceed in the same rhythin.
We normally focus on the PI
uppermost or soprano ipart as the foreground
if g
melody (Example 5.2a). However, the leading melodic line may occa-
sionally appear in an inner voice or the bass. Examine the two passages
from Handel’s Messiah (Example 5.2b and c); in the second passage,
which voice has the melody that the soprano has in the first passage?!
Example 5.2
@) A. Bizet: FARANDOLE FROM L’ARLESIENNE SUITE No. 2
@\*
a. ef of »
pe |
p
Fe
1. The bass voice.

BASTC CATEGORIES OF TENTURE 69
@) B. HANDEL: 4. “AND THE GLORY OF THE LORD” C. HANnbDEL: “AND THE GLORY OF THE LORD”
FROM MESSIAH
Ay po
ra @.
po ]
I
i
@)
14
i
Sian
I
.
@ 4
L
g
ie
| |
a. 2——@ es a 1 |
3
|
09 cA |
I I
{
I | i |
l I | I
In Example 5.3 Bach has taken a series of block chords and

arpeggiated the harmonies with a consistent figuration, producing
a kind of figured chordal texture. The autograph manuscript of
this prelude shows that Bach wrote out the complete figuration for
only the first few measures and then simply provided the block
harmonies for the remainder of the piece. Although the sense of a
real melody is weakened by the continual arpeggiation, we tend to
hear the upper notes of the broken chords as the principal melodic
line.
Example 5.3
'
@) Bact: PRELUDE IN C Major FROM THe WELL-TEMPERED CLAVIER, BOOK I
——————
3
2 2|
|
In the second type of homophonic texture, called melody and

accompaniment, the foreground melodic line or melody is set
apart both rhythmically and spatially from the background or ac-
companiment. Example 3.4a illustrates a typical example of this
texture, in which a simple tune with its own rhythmic pattern oc-
curs above a succession of chords that emplovs a different rhythmic
pattern. In Example 5.4b the melody that Gounod added to Bach’s
Prelude relegates the original arpeggiation to an accompanimental
role.
Example 5.4
@) A. BIZET: FARANDOLE
21
[7
XY
ry)
We
_ A
“FF
iwi
x —
i
H |
|
|
it
i
|
|
}
[7
P
t £
"
+.
raU Pd Try
Tt
4 wi +
D
t-—+t @——F
TT € —e-
a! —4f— wi
as
4 4 4
B. BacH-GouNon: “AVE MARIA”

9
D a nin
|
f
— re
— Co
e aI as va TT —= |
f) —— ——
oF
oy fF
ey
> = ¢ on
= Je {4 1d
I ha 171 {
eZ.
=
| if
TO
7 }
i
3. Contrapuntal texture consists of the simultaneous combination of

melodic lines. The term polyphonic texture is often used synony-
mously with contrapuntal texture, but polyphonic is a more general
term, describing any music that features many voices. In contra-
puntal texture, each voice retains its own melodic contour and
rhythmic identity, producing a web of interweaving parts. Rather
than concentrating on a single line, the listener tends to switch
back and forth between those parts of greater melodic or rhythmic
interest. Example 5.5a illustrates a contrapuntal combination of the
two tunes from Examples 5.2a and 5.4a. This technique of combin-
ing different contrasting melodic ideas is sometimes called free
counterpoint. Example 5.5b presents the theme from Example
5.2a in strict imitation, where the theme in one voice part is im-
mediately restated in a different voice part, usually at the octave or
5th.
2. Since counterpoint is the most sophisticated form of music texture, it is often treated as a
separate topic from harmony. Appendix 3 provides a brief introduction to the study of
Species Counterpoint, although it cannot hope to do justice to this complex topic. For addi-
tional information, the student Should consult a current comnbterpoint text
STRICT VS. FREE TEXTURE 71
Example 5.5
(f) A. BIZET: FARANDOLE
174
hu#4
a
mr
“a nd
7
I
=
—————————1 |
I
a
=.
I
{
———
t I T { 7
Zz
fy_4 |
1_yx
“7 CY
1
it CY] a
1
I
|
= f
Iof ———
vi
a I I
7
|
Ls
3 ct | | @ 1 |
[ gd. x i hal Cd
ry) eo
@) B. Bizer: FARANDOLE
p42 e
|@
= —_—*
© =
le}
(5
4
HU
hi 2
— tt =
@
| |
r
The succession of different textures found in the Farandole from Bizet’s
L’Arlesicnne Suite No. 2 provides an excellent review of the preceding discus-
sion. Listen to the entire movement on the accompanying CD-ROM and see
if vou can identify the various types of texture as they appear in the music.
Summary of Textures
1. Monophonic—single-line melody
Homophonic—iianvy voices, one prominent melody
i)
chordal or homorhythmic all voices move together

melody and accompaniment—prominent melody with
supporting chords
Contrapuntal (polyphonic)—combination of many melodic lines
STRICT VS. FREE TEXTURE

Some compositions display a strict texture, in which a specific number of
separate voice parts are retained throughout. Pieces in strict texture are no-
tated in such a wav that each voice is carefully separated from the others bv
means of its own rests and stemming. Thus we can follow each voice individu-
ally throughout the piece, and we are always conscious of the number of
voices. An example of strict texture appears in Example 26.14. Thus, we speak

of a two-part invention, a three-part fugue, or a four-part chorale setting.
Other compositions display a free-voiced texture, in which the number
of parts is not consistent. We can find such textures in much of the instru-
mental music of the Classical period. In a typical Mozart piano sonata, for
instance, a phrase may begin in two-part texture but conchide with a ca-
dence in four voices. (See, for instance, Example 24.9.) In both strict and
free texture, we must always be mindful of the actual number of parts in a
passave, What tay secon to be a six-voiee texture, for example, conte actu
aly consistof on three tuidividual lines, each doubled at the octave
Now let us turn our attention to chord voicing—that is, the distribution
of chord members among a specified number of voices. After first concen-
trating on the spacing and doubling of chord members in four-voice texture,
we will examine the wavs in which complete triads may be implied or sug-
gested through the use of only two voices. All the examples that follow are
chordal, note-against-note settings.
FOUR-VOICE TEXTURE
Since the eighteenth
g centurv,
}
music theorists have Ipreferred chordal four-voice
examples for illustrating basic harmonic progressions. This preference is sup-
ported bv a vast amount of four-voice music literature. Some familiar media using
fotr-voice texture are the choir ‘soprano.
l alto. tenor. and bass’. and the string
or section of the orchestra (violins 1 and 2, viola, and cello/bass).
quartet string
When writing& choral music, we must consider the appropriate Pprop 8 of
range
each vocal part. The normal range of the different voices is shown between
the white noteheads in Example 5.6; the outer fringes of the ranges are indi-
cated by black noteheads.
as
Langit
Example 5.6 eo *—
-9-
Ce
soprano Yas—
NV
TI
ee o uo
alto 4H
CS
oO @ 4
er oe
aul
—_
rey oe
tenor oy: 7
H
c=)
oe.
bass
daSS alt OM
4
mt
Zz
rst wil
In an open or full score each voice part has its own staff. The treble clef
(6) emploved by the tenor voice always implies that the notes sound an oc-
FOUR-VOICE TEXTURE 73
tave lower than in the standard treble clef. Most of the choral four-voice ex-
amples in this text employ a condensed score, in which the soprano and alto |
parts are written on the treble-clef staff and the tenor and bass parts on the
bass-clef staff. Each voice retains its own individual stemming.
The register span for instruments is usually wider than vocal ranges. In
|
four-voice keyboard style, the three upper voices for the right hand are writ-
ten in the treble-clef staff with a common stem for all three notes, while the
bass for the left hand is written in the bass clef. In Example 5.7 a short pas-
sage is written first in full score (5.7a), then in condensed score (5.7b), and
finally in keyboard style (5.7c). All the remaining examples in this chapter
wil] be written in condensed score on the grand staff.
Example 5.7
A. FULL SCORE
Sop.
——ry)
| |
oe
= o
:
am
ft
7a > +
|
+
|
Alto
SE 7) — oe Se
Lig
Tenor [H}x?—-¥H fi.
___
—
i =
e) T
E-—p : o a f I
B °ass 3 a =— 1
t
T
T
{
]
——_
[--o—— Oe
B. CONDENSED SCORE
HZZZIIZLZIIH
|
IIIZIIFIIIIH
>
og
C. KEYBOARD STYLE
Met
piss
1?
CHORDAL SPACING IN FOUR-VOICE TEXTURE

There are several standard methods of distributing the members of a four-
voice chord. These chord structures are distinguished by the intervallic dis-
tance between the soprano and tenor parts.
1. In close structure (abbreviated as C), there is less than an octave be-

tween the soprano and tenor. In most situations, consecutive chord
members are simply arpeggiated downward from the soprano (Exam-
ple 5.8a). However, when the chordal 5th is omitted in certain root-
position seventh chords, a chord member may be missing between
the adjacent upper voices (Example 5.8b).
2. In open structure (abbreviated O), there is more than an octave be-
tween soprano and tenor. At least one chord member is usually miss-
ing between adjacent voices (Example 5.8c).
3. First-inversion triads often exhibit exactly an octave distance between
soprano and tenor, resulting in an octave doubling of the soprano note

(Example 5.8d). We designate this spacing as open/octave (abbrevi-
ated as O/O), sometimes called neutral structure.
4, The distance between consecutive upper voices (soprano to alto and
alto to tenor) should not exceed an octave (Example 5.8e). On the
other hand, no restriction is placed on the distance between the tenor
and bass.
Example 5.8
A. B. C.
close close open
A
Ya i} —
qe
3 o
| fam’ need
ra)
e) &
¢y
Oo
So
oe
<>
—
lL | —&
ty}
&
~ Je
ay — ¢q> a}
ay cy ay (@)
<>
I
(Sth omitted)
open/octave avoid
A
\g €F}
e (@) i
5) m= t
@) oe
~
O — Ty qa
Je [@] qty — oy
ay qi}
DOUBLING IN FOUR-VOICE CHORDS 75
DOUBLING IN FOUR-VOICE CHORDS

Since there are four voice parts but only three chordal members or chordal
tones, triads in four-voice texture always present issues of doubling. One
chord member must always be doubled, either at the unison or at the octave.
The following suggestions reflect the most frequent doublings found in
music of the common-practice period. The doubled notes are bracketed
with arrows in Example 5.9. As we will see later, other choices may be called
for in certain harmonic contexts.
Example 5.9
A. B. C.
fa) Pore
Ve { w_
7A
{__
ow 2 co a [01
od
3 L. AN
Ufan’ r=" | P=
-y <3
oOo
oOo oOo oOo oOo —_— eo
\ a) i EO
~ feO
“ (@}
“\
AN
bn
CO)
8
q} q)} LS @ }
@ }
major (minor) triad major (minor) triad major (Qninor) triad

root position Ist inversion 2nd inversion
ra y™ Pa"
i L
L.
(@) L@)
e
NJ LO] LO]
Oo
e Va Qa
a
LO}
a
__
fe
A
At
S
ra Ao
diminished triad seventh chord seventh chord

lst inversion 5th omitted
1. In root-position major and minor triads, double the pitch class that
appears in the bass voice, thus doubling the root of the triad (Example
5.9a).
In first-inversion major and minor triads, double the pitch class that
lo
appears in the soprano voice, regardless of which chord member it

represents (Example 5.9b).
3. In second-inversion major and minor triads, double the pitch class
that appears in the bass, the chordal 5th of the triad (Example 5.9c).
4. In first-inversion diminished triads, their most common form, double
the pitch class that appears in the bass, the chordal third (Example 5.9d).
76 [(CH. 5] MUSICAL TEXTURE AND CHORDAL SPACING
5. In seventh chords, assign each of the four different pitch classes a sep-
arate voice part (Example 5.9e). On occasion the chordal 5th may
have to be omitted and the root doubled (Example 5.9f).
During our study of harmonyin Part Two, we will modify some of these
suggestions for doubling, depending on the progressionand chordal context.
VOICE MOVEMENT WITHIN THE SAME TRIAD

In four-voice harmonic progressions, the manner in which the individual
voice parts move from chord to chord is called the partwriting of the pas-
sage. While we will not begin a systematic study of partwriting until Chapter
9, we can gain some preliminary skills in this area by manipulating voices
within different inversions of the same triad. These preparatory exercises
will increase our ability to use various chordal spacings or structures and
doublings of chord members.
Example 5.10
A. B
6
VF —y
(@) [@) [@)
fey =
ras
= ad GSES ra (0)
=r
e) P=
o>
i)
bad
:
1 re o —* bad
oO o
Coc O- QO O>-~dQO
C+O O-+C -
“7
0
- eo
& —
©
oO
—
oo
18)
ts oo Se o—~ e—_—
Rp o
Ss
+};—
oS
© 8 e 8 |—
Le]
ff |°
(@]
8 res
a
= LO]
co
6 6 6 6 6 6
O- O C+ O/O OF O/O O/O FC 0/O> O
. When we change
positions ofa root-position triad, we can either re-
tain or change the structure. When we retain close or open structure
(Example5.10a), the upper three voices move in the same direction
CHORDAL IMPLICATION IN TWO-VOICE TEATURE 77
and the same number of chordal members. In other words, if the

soprano moves up one chord member, then the alto and tenor do
likewise.
2. When the structure of a root-position triad changes from close to
open (or open to close), as in Example 3.10b, two of the three upper
voices will exchange tones (indicated by the dotted lines), while the
third voice retains a common tone.
3. When moving from a root-position to a first-inversion triad or vice
versa (Example 5.10c), the first-inversion chord may exhibit open/
octave structure. Remember that the soprano is normally doubled at
the unison or octave in first-inversion triads. In some of the examples
in 5.10¢ above, the soprano retains a common tone, while in others
the two outer parts move to different chord tones.
CHORDAL IMPLICATION IN TWO-VOICE TEXTURE

Extended passages of two-part texture are frequently encountered in
miusic of the COMMON -Prachee period for fuistanee, Tamncroius pieces mn
the Baroque era “such as Bach’s Pwo Part Taventions*®, or in Jizz Group
When a Lrnipel and bass perform withort plano or cuitar accomip.tiitnie nt
Since harmonic dyads contain only two potential chord members, triads
and seventh chords must be implied in two-voice texture. A summary of
these chordal implications is supplied in Example 5.11. where the black
note-heads represent those pitches that complete the implied chord. You
may wish to use this example as a reference when dealing with two-part
texture.
Example 5.11
A. B. C.
aq) a,
e or
Toe =
+= TI
+- ©
18]
cy es
> tr
oO
o oO.
1
mI
tt
6
ul
bd — <7 — — —_
6 6 6 4
4 3 2
78 [(CH. 5) MUSICAL TEXTURE AND CHORDAL SPACING
Summary of Chordal Implication in Two-Voice Texture

1. The unison or octave almost always suggests the root of a triad. It usu-
ally occurs at the opening or final cadence of a phrase (Example 5.1 1a).
A perfect 5th implies a root-position triad through its root and chordal 5th. 4
lo
The missing 3rd must be supplied by the tonal context (Example 5.11).
3. The most common intervals in the middle of a phrase are the imperfect
consonances of 3rds and 6ths. Thirds normally imply root-position tri-
ads (root and chordal 3rd), although on occasion they may suggest first
inversions (3rd and 5th); see Example 5.11c.
4. Sixths usually suggest triadic first inversions through their 3rd and root
(Example 5.11d). However, a 6th made up of scale degrees 5 and 3 can
also imply a second-inversion sonority or { (Example 5.11e).
5. Seventh chord implications in two-voice textures usually involve two in-
versions of the major-minor 7th (or dominant 7th). A diminished 5th
(chordal 3rd and 7th) suggests a 3 or first inversion, while an augmented
4th (chordal 7th and 3rd) suggests a 3 or third inversion (Example 5.11f).
Carefully study the short two-voice passage in Example 5.12, which is

supplied with both traditional figures and commercial chord svinbols. Iden-
tify the chordal members in the two-part version.
Example 5.12
O _~@ |
ie
aa i
|
ml Le i
[
l
it
I i
a
on
Y_
rn"
it
il
! T
ol
hal
hae:
se a 5 al ma.
tm
| 4
im =. = J
Cy «J2 if | i I
al ual f2 ra H
o
|
I
_| Zz
I af I
if ual i
LL
|
ui T
i i 1 1
I I I I
1 1 1 1
la 4 7
welll
| |
~TORT
! | |
ae ~
ee
TRIP
Tre}
|
DW
~
>
6 6 4 6 6 6 4
2 5
‘
( GCG ¢ A- D-- GG ¢ dD’ G - C 7 Dp G


texture condensed score
monophonic texture keyboard score
homophonic texture chordal voicing
chordal or homorhythmic close structure
melody and accompaniment open structure
contrapuntal texture open/octave structure
imitation partwriting
strict texture chordal implication in two-voice
free-voiced texture writing
full score
A BRIEF REVIEW SELE-QUIZ

1. Match the following, letter to number:
1. Imitation a. less than an octave between soprano
Close structure and tenor
Homophonic texture b La type of contrapuntal texture
Usual doubling in the soprano voice
.
root position d implies 2 of a seventh chord

.
Ot
Diminished fifth . the bass voice or root

6. Usual doubling in chordal/melody-accompaniment
first inversion
2. The original melodic passage in Example 5.13A has been reset in five dif-
ferent tvpes of musical texture. Identify each in the provided space.
Example 5.13
fh
_f_
| N
zo
TD I im I 1 T
rf
1a
AS)
e Go
= 1
oe tS
f)
#
| | I
Ty, WS I T
:t ees 4
cot |
$
Hl
vi t
t t
. a t a 3
i t
eo
@ | |
|
ao
—t
e oC
- e- oe
|
5 c }-9-—_e— {
= t
t 1 z=
Oy t —— oe
t
Go
80 fCH. 5] MUSICAL TEXTURE AND CHORDAL SPACING
D. E.
f\__| —— i
. ,
[
| N
KT ——
ia
Sa!
1 I
+
|
it
”=
|
| {
it =
2
‘ ——
~ +o
a ~
=|
@) oe
6\o
7
1
|,
An On
fe
OE oP)
1ee4l¢ et
if)
+
]
Ye
i
T
Ty
"4
a
ee
ete
ee
|
i
menrees
fd. 71
eee
(a2 jal
1
J
F
iH
|
il
Ho
|
F.
| | L
VF TT, ———
a
] t
NN | fl
ht ge bial Lal
ri
l im! T ]
—
|
DN
”
ri
] I
NY
@
I
Pn o
Go
1
na? yt Janes ee i
71
ly T
vi [[H] i ili ¥
r —
T J I
hall
ne al
I T l T
:
T
ES
3. Identifv each triad in Example 5.14, indicating its chord/nversion (in

commercial chord svmbols), its chord structure (use abbreviations C, O,
or O/O), and its doubling. The answers have been supplied for the first
chord.
Example 5.14
D Ve?
Qa
i
\Z 1
ZO)
i
Ly bho <q)
if
Vay
[@] TT ey Pa
x*
Lm =< ao
“*
wn
fi
Pie = 4
1)
T,
el
€y)
T
ho
*})._ — © ie po
VE eo
eS
io. 4-2. S tho
chord/iny. F-
structure C
doubling bass
4, In Example 5.15, write out each chord in four-voice texture, according to

the fienired-hass S\ mbols “positioned below cach chord aud chord striuc-
ture (positioned above each chord). The first one has already been com-
pleted for vou.
Example 5.15 |
C O/O O O O O O/O C C C
mn
|
=
|
a
|
+ | |
a |
= | |
==
|
+
7
Cc
ees = nal oe
@
o = >
r6
!
|
B
7 r
x
f i
6
|
6
F
6
2 4 Q
4
C H A P T E R- 6
Partwriting in
Four-Voice Texture
N CHAPTER 3 we introduced some basic concepts about melodic lines

and concluded with analyses of several tunes that demonstrated long-range
tonal connections. In the present chapter we will return to this topic, first
discussing some characteristics of good melodic writing in the common-
practice period and then enumerating some features of questionable me-
lodic writing that we wish to avoid. We will then apply these principles to
the individual melodic voice parts in four-part texture, focusing on both sin-
gle-line melodic writing and on the intervallic motion or interaction between
several parts. In addition, other aspects of partwriting, such as spacing and
doublings, will be examined.
CRITERIA FOR MELODIC WRITING
Although it is impossible to formulate a set of rules that will guarantee the

composition of a good melody, we can list some stylistic characteristics of ac-
ceptable melodic writing in the common-practice period. These include:
1. A preference for stepwise motion, with occasional use of melodic

leaps, mainly 3rds and 4ths, with 5ths, 6ths, and octaves occurring less
82
MELODIC MOTION BETWEEN VOICES 83
often. The larger the leap, the greater the tendency to follow it with
motion in the opposite direction.
|
2. A preference for diatonic intervals, and restricted use of diminished
and augmented intervals.
3. The establishment of a stable tonal center at the beginning of a phrase
and a clear tonal goal at the cadence, coupled with a pronounced
sense of tonal direction in the interior of the phrase—in other words,
the sensation that the music is moving away from or toward those
framing goals. The application of these principles will result in a well-
defined melodic shape or contour.
4. A tendency to reiterate rhythmic patterns that are often associated
with reiterated pitch patterns.
Think of these criteria as you examine the two famous melodies in Ex-
ample 6.1. Although one comes from an Italian opera and the other from a
Hollywood movie, the underlying basis of both tunes is the same—a gradu-
ally descending major scale. See if you can trace it through the course of the
melodic lines.
Example 6.1
A. Puccini “CHE GELIDA MANINA” FROM LA BOHEME
55
(An
ae
9 LW +
NAP I I
@
Ta - lor dalmio for - zie - re —_ ru-ban tut-ti gio - iel - li due la-dri glio o¢-chi bel- li.
B. HaRoOLb ARLEN: “OVER THE RAINBOW” FROM TITE WIZARD OF OZ
25
30
fh 4 i
o_! i
A ,
TT
Lo. T
1 |
ae
T
ri
]
_—]
XY
ry)
T
CG
| om
T
V I
as
y
|
I
|
a oe
Some-vhere o-ver the rain-bow wav up high. There’sa land that Pheard of oncein a Jull-a -
by.
MELODIC MOTION BETWEEN VOICES

In multi-voiced nvusic we must consider the relative motion produced between
two individual voice parts. There are three basic types of relative motion:
1. similar motion, in which the voices move in the same melodic direc-
tion, either up or down (Example 6.2a). Parallel motion is a special
84 [CH. 6] PARTWRITING IN FOUR-VOICE TEXTURE
type of similar motion in which the voices move not only in the same
direction but also by the same interval; Example 6.2b illustrates paral-
lel octaves and parallel perfect 5ths.
oblique motion, in which one voice remains on the same note while
bo
.
the other moves up or down (Example 6.2c).

3. contrary motion, in which the voices move in opposite directions to
each other (Example 6.2d).
Example 6.2
A. SIMILAR MOTION B. PARALLEL MOTION
hh ~~» —_,
_
-E z
IIIUZII > =
AN rn
(m6 M6)
I
(M3 m3)
I
—?
Gn3
a.
P5)
nl
ee
oe
// 8vas
—_, ®
// 5ths
rn" [mz
//5ths
C. OBLIQUE MOTION D. CONTRARY MOTION
A >
—}{ =
ANSP m"
— —
hall ——-
|
sa)
Cy)
Contrary motion between two voices tends to accentuate the melodic

independence of those voices, whereas excessive similar motion between
two voices tends to negate their individuality. A balanced mixture of these
types of motion is helpful in delineating the separate lines in contrapuntal
texture.! Trace the different melodic relations that exist between the so-
prano and bass voices in Example 6.3.
Example 6.3
@) “DUNDEE” (HYMN TUNE)
|
EIZII ;
—|—
\ {
a 4
i t
SY
e 4
0
i
haul
P
nt
Whe
Nh
=
Ho
Ky
A
h
1. Refer to Appendix 3 tor a fuller discussion of contrapuntal texture.

PARTWRITING 85
VOICE LEADING
When we look at aharmonic setting of a hymn or chorale tune, such as Ex-
ample 6.3, we can see that, although each of the four voices has its individual
melodic profile, all the parts combine to produce a musical totality. We call
this interaction between a voice’s melodic profile and its relationship to the
other voices the voice leading of a composition. Just as we previously
demonstrated how to uncover long-range tonal connections in melodies, we
will later introduce analytical techniques that will reveal the basic voice lead-
ing underlying passages of complex music.
In four-voice texture, each voice ideally should exhibit its own distinctive
melodic profile. In actual practice, the soprano (or melody) has the greatest
degree of melodic freedom or latitude. Since the bass voice must also pro-
vide the foundations for the harmonies, it is sometimes more melodically
limited, especially at cadences. The melodic scope of the inner voices (alto
and tenor) is further restricted, since they must not only complete the har-
monies by filling in notes missing in the outer voices but also adhere to the
rules of chord doubling and structure discussed in the previous chapter.
Further information on the melodic and harmonic relations between two
or more voices may be found in Appendix 3on Species Counterpoint and in
discussions of melody harmonization in later chapters.
PARTWRITING
We discussed some principles of four-voice chord spacing or structure and
doubling of chord members in Chapter 3. In the remainder of this chapter
we will concentrate on partwriting—that is. how the individual voices move
from chord to chord. Based on a careful examination of the partwriting tech-
niques of composers of the common-practice era, theorists have formulated
guidelines or rules that represent standard procedures, providing us with a
workable stvlistic foundation for partwriting. These recommendations and re-
strictions are by no means written in stone; exceptions can and do occur. In
such cases we should bear in mind that a particular passage may require its
own individual solution, one that may involve unusual procedures.
Partwriting presents a number of potential pitfalls for the beginning har-

mony student. Four general areas where errors can occur are discussed in
this chapter: (1) melodic writing, (2) melodic motion approaching and leav-
ing perfect intervals. (3) chordal spacing or structure, and (4) the doubling
of specific chord members. You will need to consult this discussion fre-
quently as vou develop vour partwriting skills.
86 [CH. 6; PARTWRITING IN FOUR-VOICE TEXTURE
PRINCIPLES OF MELODIC WRITING

Our first concern in partwriting is that the individual voice parts should
be satisfying as melodic lines. Some basic principles of melodic writing
follow.
Stepwise motion is always preferable to leaps. Large leaps—anything

over a perfect 5th—should be avoided. Exceptions are possible, espe-
cially in the bass, or when a voice leaps from one chord member to
another as the harmony stays the same.
2. Leaps involving augmented intervals should be avoided (Examples
6.4a and 6.4b). Diminished intervals, however, are acceptable (Exam-
ple 6.4c-e). Note that all these diminished intervals occur in descend-
ing motion to the leading tone, which then resolves upward by half
step to the tonic.
3. Consecutive leaps in the same direction should be avoided unless
they outline a triad, and thev should be balanced by stepwise motion
before and after the leaps.
Example 6.4
A. C D.
avoid avoid OK OK OK
bt b
rr
A2 At a d4
—
| YNoe
— | |
gg
HY
rt d5 ravi
|
CONNECTING CHORDS
The general principle for connecting one chord to another is simple

enough: Leave any common tone or tones between the two chords
in the same voice or voices, and move the other voices to the near-
est possible chord member of the second chord. This principle works
in general. We can approach and leave imperfect consonances—3rds
and 6ths—by similar, contrary, or even parallel motion. There are a num-
ber of restrictions, however, on the wavs we approach and leave prefect
intervals.
PERFECT INTERVALS IN SUCCESSION 87
PERFECT INTERVALS IN SUCCESSION
Remember that there are several possible types of motion between two
voices: parallel motion, in which two voices move in the same direction to
form the same interval; similar motion, in which the voices move in the
same direction, but to a different interval; oblique motion, in which one
voice moves while the other one stays on the same pitch; and contrary mo-
tion, in which the voices move in the opposite direction from one another.
When moving from one perfect interval to another, all four kinds of motion
can produce problems we should avoid.
1. Parallel unisons and octaves four-voice texture of

are forbidden in
the common-practice period, since writing two voices in parallel
unisons or octaves reduces the number of real voices in the texture
from four to only three parts (Example 6.5a). Because parallel octaves
require motion in both voices, octaves that remain stationary are not
parallel (Example 6.5b). In orchestral or piano scores, you mav en-
counter melodic lines that have been doubled in octaves, a tech-
nique composers use to emphasize or strengthen that part. These
octave doublings are easily distinguishable from parallel octaves, be-
cause they generally continue for some period of time (Example
6.5¢), whereas parallel octaves are momentary or incidental partwrit-
ing errors (Example 6.5a).
Example 6.5
B
avoid OK doubled Sves
2
iat
|
| |
iN nN
2:
T
T [ i
+
$
Te]
«|
ry) | |
0
CK
o—
alg
el
r 4
/1 8
. Parallel perfect Sths are likewise avoided (Example 6.6a). Similar

motion between the soprano and bass often creates the potential for
parallel 5ths; in such cases the inner voices must leap by contrary mo-
tion (Example 6.6c). However, no restriction is placed on parallel per-
fect 4ths: in fact, they frequently occur in progressions of successive
first-inversion triads (Example 6.6b).
88 [fCH. 6] PARTWRITING IN FOUR-VOICE TEXTURE
Example 6.6
avoid Ok
VS.
Sls
o
6 6 6 6
// Pdths // 4ths // Svas, Sths OK
3. Contrary octaves or 5ths occur when the two voices in an octave or

5th move in opposite or contrary directions to another octave or 5th
(Examples 6.7a and b). They should be regarded as parallels and
therefore avoided.
A. B,
Example 6.7
avoid
vid
|
__ Je al
a |
.
|
|
contrary Sves contrary Sths
4. Unequal 5ths most commonly occur when a perfect Sth moves step-
wise to a diminished 5th, or a diminished 5th moves stepwise to a per-
fect 5th. Unequal Sths should be avoided between the soprano and
bass on a change of harmony (Examples 6.8a and b). However, thev
may occur moving by step between adjacent upper voices (Example
6.8c), or even between outer voices that leap within the same basic
harmony (Example 6.8d).
Example 6.8
A. B. C. D.
avoid avoid OK OK
t [ t t
v4 i _ if
I L
ri
4
EE
| mal
|
mw)
wt
Ned
Ul
wut
ime}
me}
5 d5
u
u
NJ)
=
=
same chord)
CHORAL SPACING OR STRUCTURE 89
5. Direct octaves or 5ths occur when two voices approach an octave or

perfect 5th by similar motion (Example 6.9a). Avoid direct octaves or
dths unless the top voice moves by step (Example 6.9a). Exceptions
may occur, especially between inner voices in instrumental writing (Ex-
ample 6.9b). Direct octaves or 5ths are frequently found in the outer
voices (soprano and bass) at cadence points, since the melodic nature of
some cadences makes them impossible to avoid (Example 6.9).
Example 6.9
A. B. C.
om
heap} at
oO
age
in nnn ie nin
e o é o
ia
=
— oe hd a
bb —4
=
CHORDAL SPACING OR STRUCTURE
The following three examples illustrate some potential problems in the way
the voices of a chord are spaced The restricted distances betwecr the so-
prano and bass will sometimes necessitate close structure.
1. In choral writing, intervals larger than an octave should not occur be-
tween adjacent
J mapper
Pl voice parts “soprano
I and alto, or alte aud tenor’,
but they are appropriate between tenor and bass (Example 6.10).
Example 6.10 avoid OK
chordal spacing
2. Voice crossing, where one voice crosses above or below an adjacent

voice. is generally avoided between the soprano and alto and tenor
and bass parts (Pxanple 6 1a composer may alow a tionmientars
AV
crossing between the alto and tenor in order to achieve a better

melodic line, as in Bach’s harmonization (Example 6.11)).
Example 6.11
A. B. “JESU, MEINE FREUD” (BACH CHORALE HARMONIZATION)
avoid
A’ a oa 1
a
Pi £2
AV A
# |
l
| |
if
| {
i
i
fe\
P|
ar
[fowl LW haat
i
|
|
a
i
Voice Crossing momentary crossing of alto and tenor
3. Voice overlap occurs when a note in one part moves higher or lower
than the preceding note of the adjacent voice; it usually appears be-
tween the tenor and bass (Example 6.12a). In most cases, the overlap
occurs between phrases or immediately after the cadence, as shown in
the Bach chorale harmonization in Example 6.12b. Although it is
probably better to avoid this procedure whenever possible, common-
practice. composers do resort to it on occasion.
Example 6.12
A. “FreU’ DICH SEHR, O MEINE SEELE” B. “Es WoL’ UNS GOTT GENADIG SEIN”
16 CN 10
| 4 | |
haat C4 G- ay 7 oe
A Ly). Pot © rn
©
—_fr- _h* __|
e |
Bad
« o |
rs
|
— A
ad Ce? I i |
—-
t fe? u
—__£ hs
Use + =.
t
|
T
overlap overlap
CHORDAL DOUBLING
The rules for chordal doubling presented in Chapter 5 apply to this discus-
sion too; we will continue to refine these recommendations throughout the
text. Refrain from doubling the more active scale degrees, such as the lead-
ing tone 7 in major and $6 and #7 in minor. Since these notes have a strong
tendency to move or resolve stepwise to an adjacent scale step, a particular
danger of parallel octaves or 5ths exists (Example 6.13a). Also avoid dou-
bling any altered notes. Similar stepwise motion between the soprano and
bass also increases the danger of possible parallels; one solution is to change
the structure (Example 6.13b).
Example 6.13
A.
doubled #7, #6 Gavoid) similar motion in outer voices
C O
wa
mm
pe
// 8vas // 8vas, 5ths change of structure to avoid //s
|
1. Keep common tones between two chords in 5. Avoid parallel or contrary unisons, octaves,
the same voices. Other voices move to the nearest and perfect Sths. Avoid unequal parailel 5ths in the
possible pitch in the second chord. outer voices between different chords. Avoid direct
2. Conjunct motion is preferable; avoid large octaves between soprano and bass except at ca-
leaps. dences when the soprano moves by step.
3. Avoid augmented melodic intervals. Diminished 6. Avoid intervals larger than an octave between
intervals are acceptable, usually in descending mo- adjacent upper voices.
tion and resolving upward by stepwise motion. 7. Avoid crossing voices, and in general avoid
Be cautious about moving all four voices in the
4. overlapping voices.
same direction, since it increases the likelinood of 8. Avoid doubling all tendency tones and altered i
parallels. scale degrees.
Terms and C oncepts for Review

voice leading contrary octaves and 5ths
partwriting unequal 5ths
similar motion direct octaves and 5ths
oblique motion voice crossing
contrary motion voice overlapping
parallel motion octave doublings
parallel perfect intervals (unisons,
octaves, and perfect 5ths)
A BRIEF REVIEW SELF-QUIZ |
1. Point out any melodic errors in Example 6.14.
Example 6.14
fa)
ANS
u
Z :
=
i |
= |
=: =
oN
|
——-—
2 te 4 4 a a
=
=
=:
f Pr
f
2. Mark any instances of improper parallel octaves, unisons, or perfect 5ths

that you find in Example 6. 15.
Example 6.15
pth — 7 = = ——
=
id id id , is i
a ee
—
3. Mark all instances of parallel, contrary, unequal, or direct octaves and

5Sths in Example 6.16.
Example 6.16
A 4 { |
i
et sof + a:
a |
SSS
4, Assuming the figured-bass symbols in Example 6.17 are correct, point

out any partwriting errors, such as melodic awkwardness, parallels, ex-
cessive spacing between voices, improper doublings, misspellings, or
other mistakes.
Example 6.17
|
fa) T &
|
I I
|
|
|
if
bh ep I Cd
al <>.
|
(G1 Pl
4 (@) [v7] ape
Lid [@1 [@} Le. nal Pat
a
— é a
2
mee 2
OQ
Pa 2.
oe a
Zz
I
o
am
“7 i ae [@)
oO = o-
P
|
4 6 [" 6
2
CHAPTER7
Melodic Figuration
and Dissonance LI:
CATEGORIES OF
EMBELLISHING TONES
HILE THE PRECEDING CHAPTERS have provided us with most of

the background necessary to begin our study of harmony and voice leading in
the common-practice period, they have not addressed the issue of the interac-
tion between melodic line and harmony. In Chapter 2 we discussed the ways
in which the metrical hierarchy is constructed from beat division to beat to
meter. We will now see that a similar multilavered pyramid structure under-
lies tonality as well—one that ranges from individual notes to the overall kev
of a composition, It is important that we learn to distinguish between what is
essential or structural in this tonal hierarchy as opposed to what is embellish-
ing or decorative. When we listen to or examine a passage, there is a natural
tendency to be drawn to the surface of the music—that is, the immediate
note-to-note, chord-to-chord, or measure-to-measure connections. While this
obvious and accessible musical surface may contain many momentary plea-
sures, it consists largely of embellishing elements that rest on a substructure of
more essential harmonies and melodic tones. It is the theorist’s task to relate
the transient beauties of the surface details to the underlying framework. As
practicing musicians, we must be aware of both the more obvious surface and
the less apparent harmonic and melodic foundation that supports it, since un-
derstanding both will enable us to perform the pieces we sing or play with in-
sight and sensitivity. Our first step in this direction is to distinguish between
94
ESSENTIAL AND EMBELLISHING NOTES 95
the essential consonant melodic tones that belong to chords and the embell-
ishing melodic notes that frequently form dissonant relations to those chords.
In this chapter we will explore the role of chordal and dissonant embellishing
tones resulting from the interaction between melody and harmony.
ESSENTIAL AND EMBELLISHING NOTES

In the block-chord harmonies and commercial chord analysis that appear in Ex-
ample 7.1a, the stemmed chord tones represent the progression’s essential
notes or tones. If we begin to elaborate or decorate the upper voice or soprano
of this essential harmonic framework with various melodic figures, we will dis- |
cover that some of the elaborated notes comeide with pitch classes thab are: pre-
sent in the chords, while other elaborated notes introduce pitch classes not
present in the chords Tn Bxaniple T Th the chord tones are deft romarked and
the non-chord tones are circled. While all of these melodic embellishing tones
|
serve to inaprart a fornvard ry thinic motion to the ninsic. ther ovhibit several
other features that warrant grouping them into two basic categories. Whereas
the unmarked chord tones, which are consonant with the background har-
monies, tend to skip or leap, the circled non-chord or non-harmonic tones,
which are dissonant with the background harmonies, tend to move by step.
These dissonant intervals include 2nds, 4ths, 7ths, 9ths, and the tritone (augu-
mented 4th or diminished 5th) measured against the consonant chord tones.
Example 7.1
A.
G: G C G D/F3 G D G
(@) B
| | |__ + | i
LC I
i
|
96 (CH. 7] MELODIC FIGURATION AND DISSONANCE I
Generalizing from this particular example, we may say that the pitches of
melodic lines are derived from either chordal figuration, which uses tones
of the supporting harmony (unmarked in Example 7.1b), or non-harmonic
figuration, which uses tones dissonant to the supporting harmony (circled
in Example 7.1b). In order to highlight the difference between its essential
and embellishing melodic features, we can make a further reduction of this
passage (Example 7.2). Now the consonant chord figurations are indicated
as stemmed notes (d), and the dissonant embellishing tones as wnstemined
note-heads (,). When appropriate, slur marks denote the melodic connec-
tion of the non-chord tone to its adjacent consonant notes. The melodic
notes are rhythmically aligned with the underlying harmonies to show the
placement of the dissonance—either on the beat or on the offbeat. Using
this reductive notation, we can now see the melodic contours and rhythinic
positioning of the different embellishing tones.
Example 7.2
7 4Ll
I
t
]
+_ _ — _|—
bull
— |_| => {
T
t
naan i. r
ee d
A
am
=
if
4 | : | =
This reduction process is our first introduction to understanding the re-

lationships between various levels of the tonal hierarchy in music. Some of
the examples in this chapter include both a commercial chord analysis,
placed above the staff, and figured-bass symbols to denote the melodic mo-
tion above the bass, placed below the staff.
CHORDAL EMBELLISHMENT AND COMPOUND MELODY

We begin by examining consonant chordal figuration before moving on to a
consideration of melodic dissonance. You should bear in mind that both cat-
egories constitute embellishing tones in the larger sense of the term, While
consonance versus dissonance is a significant feature in distinguishing be-
tween chordal and non-chord notes, it is not the only one, and as we shall
see later, in some situations, these distinctions may become blurred. In all
such cases we do better to base our analvsis on how we hear a passage rather
than how it looks on paper.
CHORDAL EMBELLISHMENT AND COMPOUND MELODY 97
Since chordal figuration involves no dissonance, a wide variety of

melodic patterns are possible. The passages in Example 7.3 illustrate both
chordal arpeggiation and melodic leaps from chord to chord.
Example 7.3
Now play Example 7.4 and examine its two successive reductions.
Example 7.4
kK 36
77 ef @ , e-
i
BEL
te
LJ
Ib. LION 1; Cl. oiton 2
—_——— = (SSS J
,
I
E
Li
T18
BL)
iL)
The distribution of pitches tie upper part unphes uot one but (ice cis-
|
tinct lines within a single melody, a characteristic we call compound
melody, Componnd melodies occur Hhronehont the range of ton Titerature
and are especial COMETH TE A ipanicd THAIS
Cott yrs rings Gy ricls iv MA
Examples 7.5a and b. the individual voices of each compound melody ex-
hibit good linear characteristics and voice leading on their own. Alberti bass
figurations in Classical piano music. using a similar technique, suggest sev-
eral different melodic strands (Example 7.5¢).
98 iClt. 7] MELODIC FIGURATION AND DISSONANCE I
Example 7.5
A. BACH: BoURREE I FROM CELLO SurrE No. 4 (REDUCTION)
=
#
- =
:
rt
14
Lam
td ul
bam
£ is: |
2 al
B. BACH: COURANTE FROM CELLO SUITE No. 3 (REDUCTION)
__84 4
.
: ry T
t > oe
I
= ae
|
| i TC I I
ao ~o-
C. Haybn: PIANO SONATA IN A-FLAT Mayor, Hos. XVI:43, |
91
£ £ oF eo ) @
ae a 5—a ——e ——— i

3 —_———
(REDUCTION)
eo
_¥
= ~
] tC
aia =
®
I
—
1
|
+ !
CATEGORIES OF DISSONANT EMBELLISHING TONES

Dissonant embellishing tones have long been studied and categorized by
musicians. They are traditionally grouped and named according to two
criteria:
1. Their melodic profile, or how the dissonant tone is approached and

left.
2. Their rhythmic accentuation, or whether the dissonant tone occurs in
a strong or weak metric position. Combining these two aspects, we
classify dissonant embellishing tones into four basic categories.Each
category in turn contains sev eral specific tvpes of embellishing tones,
which will be taken up separatelv. The accompanying abbreviations
will be useful in our analyses.
Unaccented/stepwise (US): The embellishing note is placed on
the offbeat or in a weak metric position; it is approached and/or
left by step or common tone.
UNACCENTED/STEPWISE EMBELLISHING TONES 99
b. Unaccented/leaping (UL): The embellishing note is placed on

the offbeat or in a weak metric position; it is either approached or
left by leap—in rare cases, both.
c. Accented/stepwise (AS): The embellishing note is placed on the
beat or in a strong metric position; it is approached and left by step
or common tone.
d. Accented/leaping (AL): The embellishing note is placed on the
beat in a strong metric position; it is either approached or left by
leap—in rare cases, both.
UNACCENTED/STEPWISE EMBELLISHING TONES

This first category of non-harmonic tones encompasses three different tvpes
of unaccented/stepwise melodic dissonance: passing tones, neighboring
AHCI a OHS Al Uhree are approached and resalved
faites. and Mn SECDVISC
motion, and all three are metrically unaccented.
1. The unaccented passing tone (P) bridges the melodic interval of a

Srd cor rarely a fue with stepwise miotion, either up or down Th U
embellish the pitches of the same chord or two different chords.

When pairs of passing tones occur simultaneously, they may move in
the same direction or in contrary motion. The passing tones in Exam-
ple 7.6 are notated in a reductive notation that uses slurs between
as
chord members: *%* or *7".
Example 7.6
P P
_
ILI~ P 13
nv a |
il
rl
——
4
a il
ri
————_ +
+
| |
Pp
PoP
The excerpt from Bach's “St. Anne” Fugue (Example 7.7) makes
frequent use of pairs of passing tones in both similar and contrary
motion.
100) (cH. 7] MELOD IC FIGURATION AND DISSONANCE I
Example 7.7
A. Bac: “ST, ANNE” FUGUE FROM CLAVIERUBUNG, Book TIT, BWV 552.2
4 | ah an
eer )—
| | |
1), bl I
hal 4
ASL. hall
L.
[fon
bh T fe Life
mire) bases - GE
|.
|
>.
cal 9 rn T
md
a
e
T
Da | al mall |
{—
|
AH 6 =
a T T
ii | |
!
i rr J
I
B.
P P
P
|
ry |
P Pp
P Pp
=
|
P P P Pp P P P
2. The unaccented neighboring tone (N) decorates the same chord

tone by stepwise either above (upper neighbor) or below
motion
(ower neighbor): or Illustrations of neighboring tones,
used both singly and in pairs, embellishing the same or different har-
monies, appear in Example 7S, Neighboring tones are more. static
than passing tones, since thev return to the same note rather than
moving on to a different one.
Example 7.8
N
\ N
—
| | 1 | |
SS
ni
N
_— e- e-
The melodic embellishment in Example 7.9 consists entirely of neigh-

boring tones. It appears first in its printed version and then in reduc-
tive notation.
saad
UN \COENTED STEPWISE FMBELLISHENG TONES 101
Example 7.9
Bacth Baavnevpene Coxcipe Vo JING Mayond
@,
e
"oO
®
,
7 ad
| ys PA
|
ma|
mi)
|e
“SA
~
B.
N N N N N I?
hy. J
|
i
|
T
v4
Pad
i
a
I I | I |
a I
eo, os
i T i T I
—
I I i
o
I
o o
|
t t ¢ !
—_ 7
i
—__” p
t i
==
1 | l | | I
oe
T l
oe I
_t @
i
3. The anticipation (A) anticipates the next chord tone by arriving

there early. It is approached by step from either above or below
and always falls on an unaccented beat division: wee or
*
*, While ©
a series of consecutive anticipations is possible (Example 7.10a), this
embellishing tone occurs most frequently at cadences, where it usu-

ally precedes the final soprano note (Example 7.10b).
Example 7.10
A.
=>
A A A A
«ta a.
. ak
|
om IR |
‘ o o S ej o >
e | |
|
[ e |
| |
ie
_2 |.
-__—*
2 |
7]
oe
oy
-
I
|.
i
I
ri Lanes i
| |
@) B. Couperin: "La LUGtUBRE.” SARABANDE

A
ff |
r
+ —_
{O—
t
im
@ ® eo
Ft. + id
att
a
eo
102 [CH. 7] MELODIC FIGURATION AND DISSONANCE I
UNACCENTED/LEAPING EMBELLISHING TONES

Unaccented embellishing tones that include a leap to or from the dissonant
note in their melodic contour are less common than those which are treated
stepwise. We give the generic name of incomplete neighbors (IN) to such
leaping unaccented embellishing tones, because the neighboring motion is
not completed back to the original note. Two basic melodic contours are
possible in incomplete neighbors:
1. The dissonant note of the incomplete neighbor may be approached by

step and resolved by leap (FS
or a. *). This figuration, also called
an escape tone (E), is commonly found at cadences, especially in
conjunction with an anticipation (Example 7.1 1a).
. The dissonant note of the incomplete neighbor may be approached by
°
leap and resolved by step (¢ ce or This figuration is some-7),
times called a leaping tone (LT) (Example 7.11b). Some textbooks
call this figuration an appoggiatura, but we will reserve that term for
its more correct historical meaning: an accented melodic dissonance
that resolves by step.
. The escaping tone and leaping tone may be combined to form a dou-
ble neighbor (DN)
7.11e).
or changing tone (CT): “ae CT (Example
Example 7.11
A.
IN IN
(E) (E) A
Nh iN fh ON :
vd
Lb ne ra 4
=. i
=
Tey an _f.. iXY
fan ——_— T [7 ~
Fm e
@ ry)
* id *
eo
or or
rT
IN IN IN
B (LT)
(LD) (LT)
fa
| eee |
| {
gi} ame + oe
LZ
|
4
mm
i
§
NI
UNACCENTED/LEAPING EMBELLISHING TONES 103
C.
DN DN
(CT)
_ = Q
zo,
P (CT)
—
es
*
ncaa —_——
—
« e e
am 6
1
O Om 2
io}
|
Various incomplete neighbors appear in Example 7.12, first in conven-

tional notation and then in reduction.
Example 7.12
i 4
] If
i t
i
I
ANSE 3 i
"4 al baal eo
!
/
I
it
y oe
bal
|
HIS
Hh
HAS
B.
DN IN IN .
| \ a IN
aN i
er il | ri
* — *
|
A u
1
wo
——
1
al
eo
V
| i
oa 5:
+
i
<=—
Which types of incomplete neighbors are emploved in the Handel and

Tchaikovsky passages in Example 7.13?!
TI
ing tones.
Example 7.13
A. HANDEL: ARTA FROM SUITE IX G Major
phe——
fay
e
AT I | I
SSS
bal
T t
abe
@ @ ”Y |
—
Je wt
i
I
| er
t
i l = I
P|
I
|
a
IN
a a4
L
_@.
a
i
V4 if
i a t vi
B TCHAIKOVSKY SYMPHONY No IN E Mrnon. If

179
4
Lh) IN
L
oe,
IN
eH
Au Ol
~--
q
===
K LiI Ji
re
] L
ACCENTED/STEPWISE EMBELLISHING TONES

Because accented melodic dissonance occurs on the beat and therefore clashes
directly with the harmony, it immediately attracts our attention. Such embellish-
ing tones delay their resolution, which then comes on the offbeat. We will first
discuss those accented embellishing tones that are prepared and resolved by step.
There are three basic tvpes: passing tones, neighboring tones, and suspensions.
1. Accented passing tones (AP) tend to resolve downward (Example

7.14a). In the Classical period, thev were often written with smaller
note-heads to indicate their secondary status; the Mozart excerpt and
its realization in Example 7.14b is a tvpical example.
Example 7.14
A.
I XV
A
Te
37 & >t
tT
|
oe
|
Xb TD, ft
(AP)
©
>a
a
(AP)
ry
AP)
p
== |
A »)
=|
I |
i
(<a am
&
rm
QV hl
e |
ml hal
e I
|
|
et r
|e +2 |e
¢ ele ~« |e
-¢
——
|
eo}; Cy:
=
I { |
oe 3
7 3
| =e |
T T
ACCENTED/STEPWISE EMBELLISHING TONES 105
B. MozarT: PIANO SONATA IN C Mayor, K. 309, TE

@
l
=a
=: NY
i
L i
}—
e
I
T T
a5 _——
t a
fal CY]
— v4 '
I i
= o =
| T
if
o =
8
1
= oe + oe
= ————
w ww
2. Accented neighbors (AN) Examples of both ac-

are less common.
cented passing and neighboring tones occur in the Minuet passage
of Example 7.15. Each dissonant note is marked with an accent
mark in the reductive diagram that follows (>) to indicate that it is
stressed.
Example 7.15
A. Bac (?): MINUET FROM ANNA MacpaALenaA Bacu’s NOTEBOOK, BWV Anu. 114
13
i
ees
I 7 |
MY
I I I | a | |
i t f
A
i had
o
PK)
t
>. @
al if] [PK
wus
ey rm i
“-
|
Op Yr
It
Mu yA3
i
I
r
I
|
I
I
I
I
an
,
I
Y |
i
t
Le |
he
ar
Lh
)=
Z
qh
et
ae
ele
ei |
3. A suspension (5 or susp.) is an accented dissonance that is held over

from the pitch of the previous beat and is resolved downward by step:
a
oey—~ Because the previous consonant chord tone is retained or sus-
pended, the suspension rhythmically delays its resolution to the fol-
lowing consonance. In Example 7.16 the tied C° forms a dissonant 7th
and a 4th with the lower voices. resolving with the B* to a consonant
6th and 3rd, respectively.
Example 7.16
A.
p re Pp .
susp. res,
lel
——_|
| |
fa)
v4
| |
A
A
MS b
ry)
lid
The
eC
©)
Am. ams f#
}
tT
A suspension consists of three components: (1) a consonant prepara-

tion, usually at least as long as the suspended note; (2) the suspension dis-
sonance itself, on the beat or on a stressed beat; and (3) its stepwise
downward resolution to a consonance, on the offbeat or on an unstressed
beat. Suspensions are categorized by their dissonant intervallic relation with
the bass voice, but they may form dissonances with other voice parts as well.
Identify the preparation, suspension, and resolution of each circled suspen-
sion in Example 7.17.
Example 7.17
A,
| | | | | — | |
rn (a a
ng | —
| | ae
B.
4 _| 1 —|
well)
,
Bell!
—?-—*
3
~
e|
a
]
ACCENTED/LEAPING EMBELLISHING TONES 107
We will return to the topic of suspensions in Chapter 14 for a more de-

tailed discussion.
ACCENTED/LEAPING EMBELLISHING TONES

Accented embellishing tones that contain a leap in their melodic contour
are the least common form of nonharmonic tones, because of the free-
dom with which the dissonance is approached or resolved. In such ac-
cented incomplete neighbors (AIN), the dissonant note is almost
always approached by leap and resolved by step: - or °

The
tern appoggiatura also applies to this particular figuration, since from a
historical standpoint an appoggiatura mav be defined as anv accented
melodic dissonance that resolves by step; therefore the accented incom-
plete neighbors in Example 7.18 could also be labeled as appoggiaturas.
The term can be applied to accented passing tones and accented neigh-
bors as well.
Example 7.18
i
| |
=
+
{ay oe Jry —__t
T T
[ { iN
ari
|
ah e ——
7
x 3
FZ
IN
Ly J
al
1
i HT
J
al ~_—
e) oe hal ——e
e
O
rs) Pa #1]
CO
gs
a
AIN AIN AIN AIN
IZ
Circle the accented incomplete neighbors in the two excerpts of Exam-

ple 7.19, noting the wav they are approached and resolved. The A? in mea-
108 [CH. 7] MELODIC FIGURATION AND DISSONANCE 1
sure 3 of the Schumann should be considered a chord tone of the G' chord.
This passage also makes use of some altered scale degrees.
Example 7.19
A. WEBER: OVERTURE
TO OBERON
>
92
=>
py
a
5
>,
ff
>
—e-4
6
ry ————
—F —o—
!
7
: =:
Pe EF
|
: a ‘
E! A EI A
(@ B. SCHUMANN: SYMPHONY No.2,IIL
92
— o
+}
Os
e)
Sa
ga
oe oa
Dm
Spt
SF — aie
sis »
a
lis
a
fg :
Tg
FREE TONES
Accented dissonances that resolve by leap are extremely rare. Example 7.20a
shows two accented incomplete neighbors that are approached by step and
resolved by leap. A dissonant embellishing tone that is both approached and
resolved by leap is called a free tone. One such figuration occurs in the bass
at the verv end of the third movement of Brahins’s Symphony No. I, where
the final cadence moves from an Eb to an Ab chordin the kev of Ab (Example
7.20b). The circled C° is clearly not a part of the Eb7 chord, but rather an
embellishing tone that Brahms derived from a melodic motive in the pre-
ceding Trio.
CONSONANT EMBELLISHING TONES 109
Example 7.20
A.
h — o
——_— =
i
a) i |
—————
B. BRAHMS: SYMPHONY No. 1, Op. 68, HI

@)
6.
ry)
bt rp) +.
iFee aeSS
a
Lo
|
SS |
en een,
em
fr
| |
ie
4
~
oe
.
° A
v7 Yr
¢— i] it
=
2?
i
PHHPHA
-_
-
Ab Eb! > Ab
CONSONANT EMBELLISHING TONES
Occasionally certain melodic gestures may sound like and look like typical
embellishing tones and vet are completely consonant to the supporting har-
mony. Such gestures usually involve stepwise intervals that are a 5th and 6th
above the bass note. Despite the fact that no dissonance is present, in per-
formance they nevertheless retain the melodic character of certain embel-
lishing tones. Therefore we are warranted in labeling them as passing tones
(Example 7.21a), neighbors (Example 7.21b), anticipations (Example 7.21c).
and even escape tones (Example T21e).
Example 7.21
A B. ( Dd
Pp p
ON E
——— 2——* + ——
:
!
i
|
]
* a
‘a
b|
£ ==
oe]
mi
6 6
110) (CH. 7] MELODIC FIGURATION AND DISSONANCE I
THE PEDAL POINT

A pedal point, often shortened to simply pedal, is a bass note that is sustained
for a number of measures. Its name derives from the bass notes played with the
pedals on an organ. Since dissonance usually occurs between the pedal note
and the chords above it, one might consider the pedal a form of melodic disso-
nance. In actuality, however, it is the moving chords in the upper voices that
clash with the pedal to create dissonance. Bralhmis’s First Symphony opens with
a reiterated bass pedal on the tonic tone (Example 7.22). Another type of pedal
is the inverted pedal, a long-sustained note in one of the upper voices.
Example 7.22
@ BRAHMS: SYMPHONY No. 1, Op. 68, I
|
=
@
. Loe
e *
e *
4 FF iF
|
i
rad
_—.
_t.
ale
! _— t 1
Perea |
| I
|
I
a
i
in
i
i |
ma | aera Ss
4
T i
i
I
1
THE PERCEPTION OF EMBELLISHING TONES

The above categories of embellishing tones are based largely on the way we
perceive non-harmonic tones in musical passages. Unaccented/stepwise em-
bellishing tones passing tones, neighboring tones, and anticipations—are
basically decorative in nature. Their rhythmic character is usually. more obvi-
ous than their dissonant quality, which sometimes passes almost unnoticed.
The melodic leap rentedAeaping embellishing tones (ine omplete
neighbors) makes the dissonance more prominent.
Placing the melodic dissonance on the beat emphasizes its presence by
delaving the resolution to consonance. Accented passing tones, accented
neighboring tones, and suspensions observe the normal stepwise treatment
of dissonance. Accented incomplete neighbors, on the other hand, are even
more conspicuous because of their leaping melodic motion that tends to iso-
late or highlight the dissonance.
Using the same chord progressions in the left hand, indicated with com-
mercial chord S\ mhels, pho the four short melodies in Example 7.25. First
compare the riusical effect of the various passages aud then identify the dif
ferent categories of embellishing tones in each phrase.”
pai Pvaniple 7 234 Us h UT. AS anidd AT.

THE PERCEPTION OF EMBELLISHING TONES 111
Example 7.23
a’
Fy TT
a7
{
|
it
al
1
!
|
i i
i
I
7 i
.
Cd)
aS
|
|
©
>
:
Summary of Categories of Dissonant Embellishing Tones
A. Unaccented/Stepwise (US) Embellishing Tones
1. Unaccented passing tone (P)
2. Unaccented neighboring tone (N)
3. Anticipation (A)
B. Unaccented/Leaping (UL) Embellishing Tones, or Incomplete
Neighbors (IN)
1. Escape tone (E)
2. Leaping Tone (LT)
3. Double neighbor (DN) or changing tone (CT)
C. Accented/Stepwise (AS) Embellishing Tones
1. Accented passing tone (AP)
2. Accented neighbor (AN)
3. Suspension (S or susp.)
D. Accented/Leaping (AL) Embellishing Tones, or Accented Incomplete
Neighbors (AIN)
The term appoggiatura may be applied to an AIN that resolves by
step. an AP, or an AN. An AIN approached and resolved by leap is
called a free tone.
112 (CH. 7] MELODIC FIGURATION AND DISSONANCE I

essential tones escape tone
embellishing tones leaping tone
melodic dissonance (non- double neighbor or changing tone
harmonic or non-chord tone) accented passing tone
chordal figuration accented neighbor
non-harmonic figuration suspension
compound melody accented incomplete neighbor
unaccented passing tone appoggiatura
unaccented neighboring tone free tone
anticipation pedal point or tone
incomplete neighbor
| A BRIEF REVIEW SELF-QUIZ

1. Match the following, letter to number:
1. Escape tone a. accented dissonance which resolves

2. Suspension stepwise
3. Appoggiatura b. usually fills in the span of a 3rd
4. Neighbor c. premature entry ofnext note
5. Passing tone d. approached by step, resolved by leap
6. Anticipation e. asingle melody which implies two lines
7, Compound melody f. returns to the first pitch
g. is prepared by the same note of origin
2. A number of different embellishing tones occur in Example 7 24.

Bracket any chordal figuration and circle each melodic dissonance vou
find, labelug it with the correct abbreviauou. Can you find au example of
a consonant embellishing tone?
Example 7.24
A BRIEF REVIEW SELEF-QUIZ 113
=
|
3. Supply the indicated embellishing tone in the upper voice of the two-
part texture. Make sure that your added non-harmonic tone creates a
dissonance with the lower voice.
Example 7.25
a"
mal
a
|
P
|
|
|
—-
|
5
an ‘A
= |
IN Vo P
\pp
T
P A R T T W
DIATONIC |
HARMONY
C H A P T E R- 8
Introduction to
Diatonic Harmony
ITH THIS CHAPTER we begin our study of harmony and voice

leading in the common-practice period. The general concepts introduced in
this chapter will provide the necessary foundation for the more detailed
study of individual chords and their tonal function in succeeding chapters.
These concepts include the different types of chords employed in tonal har-
mony; the use of Roman numerals for analysis; the principle of harmonic
tendency, or the inclination of certain chords to move to certain other
chords; and the influence of linear sequences on harmonic function.
Part Two will concentrate on diatonic procedures; Parts Three and Four
will introduce chromatic techniques. Some chapters in Part Two will exam-
ine the use of specific diatonic chords, others will focus on linear issues, and
others will discuss related topics such as phrase groupings, metric issues,
modulation, and sequences.
ASPECTS OF HARMONY
Our examination of diatonic chord progressions grows out of the material in-
troduced in Part One and embraces a number of different aspects of har-
mony. The most important of these are listed below.
117
118 [CH. 8] INTRODUCTION TO DIATONIC HARMONY
. The various chord types used in tonal harmony: the four forms of ter-
tian triads—major, minor, diminished, and augmented—and the five
forms of seventh chords presented in Chapter 4.
.The use of Roman numerals to designate the scale degrees on which
chords are constructed.
Harmonic function, or the way in which chords interact and relate to
each other.
Harmonic tendency, or the tendency of certain chords to progress to
certain other chords.
.Root movement, or the intervallic distance between the roots of con-
secutive chords.
6. Melodic figuration, or the use of different kinds of consonant and dis-
sonant embellishing tones.
.
Partwriting in harmonic progressions, or the connection between the
various voice parts of successive chords.
.Voice leading, or the wav in which melodic lines and vertical chords
interact within the larger harmonic context.
We will introduce only the first five topics in this chapter; the others will
be discussedin later chapters. You will find that your knowledge of these as-
pects of harmony will helpvou better understand the music you are playing
or singing.
ROMAN NUMERALS
We have previously used commercial chord symbols to identify chord roots,

tvpes, and inversions in harmonic progressions. Although these symbols pro-
vide useful information, they do not relate Ue chords in a particular key to
the central tonic or to each other, nor do they give us any indication of the
possible function of the various harmonies. Since the nineteenth century,
musicians have found that Roman numerals are better suited for this pur-
pose The following fvo ries cplain how Roman numerals are applied to
specific harmonies.
1, First, the Roman numeral denotes the scale degree that serves as the
root on which the triad is constructed. Thus, Roman numeral I des-
a
ignates a triad built on the first scale degree (1), IV designates the
triad built on the fourth scale degree, and so forth.
Uppercase and lowercase Roman numerals as well as other svmbols,
lo
are used to indicate the chord type of a triad.

ROMAN NUMERALS 119
|
Uppercase Roman numerals stand for major tri- Lowercase Roman numerals with superscripts
ads—l, IV, and V in the major scale. stand for other classes of triads, such as the dimin-
Lowercase Roman numerals stand for minor tri- ished triad on the seventh scale degree in the major
ads—ii, iii, and vi in the major scale scale—vil°.
Example 8.1 shows the triads built on the notes of the diatonic
scale, along with their Roman numeral designations, for both C
major and C minor. Note that in the minor mode, because the sixth
and seventh scale degrees appear in both lowered and raised form,
there are two distinct forms, major and minor, of the subdominant
and dominant triads, as well as two triads built on the seventh de-
gree: the vii’ built on the leading tone, and the VII built on the
subtonic or flat 7.
Example 8.1
A.
fy _ er
ax
Q
WZ
oS
Pa"
_ et com i=
“*
[@]
aa
NIA aa —_
e & = < 10
oO
ma >=
bad [@1]
Cc: J ii iii IV Vv V1 vie I
B.
ji~—_¢»-\ <_a
_t}
|
—f TY), arn T >

= qo
x
e)
—PF
P=
ty
oO
>= aa ty t
—
C: i ii° Ill iv IV V Vv VI VII vii® i
3. Inversions of chords are designated by the figured-bass symbols for

°
inversions: for a first-inversion triad, ° for a second-inversion triad,
and the svmbols for inversions of 7th chords—® for first inversion, 3
for second inversion, and 3 for third inversion. Thus, in C major ii”
designates a first-inversion minor triad built on D, and V3 designates
a third-version G seventh chord (see Example 8.2).
Example 8.2
fa’ | N L
oN lo | | | [
a-.
=
]
3) st
—#|+
==
1
———s cn 2
yb I vie 16 Vv I f: i vi 1 iv
| |
jl co
————<—
|
a |
~_pe_T Yb
te
yo 1 viic® \ I
Although figured-bass symbols and the Roman numeral system share

these designations of inversions, the two svstems should not be confused.
Figured-bass numbers are concerned with what notes to play above the
bass note; the Roman numeral system is concerned primarily with the
scale degree of the triad and indirectly with the harmonic function of
the chord.
Although they are more descriptive than commercial chord symbols,
Roman numerals tell us very little about harmonic function. To determine
how a chord functions, we must understand how it operates in a particular
harmonic context. In the chapters that follow, we will learn to distinguish
between essential and embellishing chords in harmonic progressions, just as
we distinguished in Chapter 7 between essential chord members and those
tones which embellish them.
HARMONIC TENDENCY
In tonal music. certain chords have an inclination to progress to certain
other chords. We call this propensity harmonic tendency. The various dia-
tonic chords fall into four basic categories of harmonic tendency.
1. The tonic, abbreviated as T or the I chord. The tonic is the chord to

which all other harmonies tend to progress or gravitate.
THE UNDERLYING BASIS FOR HARMONIC TENDENCY 121
2. The dominant, abbreviated as D, which includes V, vii’, and their

seventh chords. These chords tend to progress or gravitate directly to
the tonic.
3. The pre-dominant, abbreviated as PD, which includes TV, ii, and
their seventh chords. These chords tend to progress or gravitate di-
rectly to some dominant harmony.
4. Since the tendencies of the remaining iii and vi chords are less fo-
cused and more variable in their sense of harmonic motion, we will
not assign them a specific categorv. Thev often precede pre-dominant
chords, substitute for the tonic or dominant, or serve as connector
chords. linking harmonies of different lanctious
These harmonic tendencies are summarized in Figure 8.1. Although the

Roman numerals refer to triads in the major mode, the diagram applies
equally to the minor mode.
Figure 8.1
iii ep ii > Vv —!
| | |
vie =--|--- 7-77-47 yy > vic —
Variable Pre-dominant Dominant Tonic
THE UNDERLYING BASIS FOR HARMONIC TENDENCY

The continual recurrence of certain chord progressions in tonal music has
conditioned our sense of harmonic tendency, so that we tend to take such
normative progressions for granted. However, there is an underlying basis
for harmonic tendency. W’ e will focus on two O of its aspects: (1)
1) the tendency
of an active scale degree (2, 4.6. or 7) in a chord move to a more stable
scale degree (1. 3. or 5) in the following chord: andton
(2) the frequent occur-
rence of chordal roots which progress by descending the
The chords in the dominant family (V, vii? -and their seventh chords)
contain two tendency tones—the leading tone. which wants to move to the
tonic by half-step motion (7-8) and the supertonic, which likewise tends to
),
move to the tonic (2- 1). In addition, both the V and V" resolve to I by a root
movement that descends a perfect 5th. In Example §.3, plav the first two
chords (up to the brackets) of each progression and trv to imagine how the
second chord will resolve to I. Then plav the third chord to confirm this res-
olution. All of the progressions are in C major.
122 [CH. S|] INTRODUCTION TO DIATONIC HARMONY
Example 8.3
S 2
m6” a =<
tt re
-=4 = 0
+E
4)
©
O
:
Lom (om cr —
V I 8 I
T D T T D T T D T
The most active scale degree in the pre-dominant family (IV, ii, and their
seventh chords) is the submediant (6 ), which tends to move stepwise down-
(6
ward to the dominant|‘6-55°. Why
do you think this motion is especially strong
in the minor mode?! The other scale step common to IV andii is the subdom-
inant, Which likewise tends to move stepwise upward to the dominant ((4.5) in
j
progressions. In harmonic situations involving the V', the 4 may tend to move
dow award ste prrise to 3. Pho hroneh Py. unple S fasvon did in Fxaumnple §
Example 8.4
. :
-O—KG! > f—— ¢
>
>_:=a
bad
4)
<3 Pb eH
<>
o |24
Pa"
2a 1} —> <—
__ cry “*
oe
[©
oe
°
(8)
oe Oo
Qo >
e >| {ey ES
*
4) ay —_ ay __a¥-
bani [am
C: I I i i? Vv I me iy I
T PD )D T T PD D T T PD D T
Probably the most common root movement found in tonal progressions

outlines a succession of descending 5ths whose eventual goal is the tonic.
This 5th cycle, shown in Example 8.5, may originate from vi or a iii chord, a
which then works its way through ii to V to I: in the minor mode the Roman
numerals would be VI-ii?-V-i. We will encounter many versions of this basic
root motion between chords in the chapters that follow.
Example 8.5
fe
i}
> ry
oO
Ni/ V1 ll
Wl V1 1 \
PD D T
Because the distance between 66 and 5 in the minor mode is only a minor 2nd,
HARMONIC MODELS 123
THE INFLUENCE OF MELODIC SEQUENCES ON HARMONIC TENDENCY

Other forces may influence the harmonic tendency of chords. Play Example
8.6, noting the Roman numeral analvsis.
Example 8.6 ih
| | | |
h_# | | | |
i
a POOF
aa 2 4g
I T
_{ i= i" idl T
| | |
|
|
|
|
Pr
G: I yo vi iii IV 19 \ I |
In this passage all the pre-dominant chords do not progress directly to the
dominant—in measure 3, [IV moves to I°. Nor do all the dominant chords
progress directly to the tonic—in mm. 1 and 2, V® moves to vi. Here the
melodic motion of the outer voices oman and bass) plays an important role
in determining the function of the chords. The progression in Example 8.6 em-
ploys a sequence—that is, a short melodic and harmonic pattern, shown here
in brackets, that is successiveh restated on different scale degrees. In such se-
quences the strong linear direction of the melodic patterns tends to dictate the
chordal succession and therefore overrides the chords’ normal tendencies.
This passage provides a valuable lesson, for although Roman numerals
provide us with a useful means for expressing harmonic tendency, assuming
we know their tonic, dominant, and pre-dominant character, we should not
be misled into thinking that all I chords operate as tonic harmony or all IV
chords Operate as pre-domitnant harmous Rather it is the autsieal context
that ultimately determines the harmonic function of chords. We will ex-
plore this topic in much greater detail in the succeeding chapters.
HARMONIC MODELS
In order to establish the standard ways in which harmonies operate in the

common-practice period, we will concentrate throughout the text on the
more common or frequent harmonic idioms of tonal music. These idioms
will be presented as four-voice harmonic and melodic models that can be
applied to a wide range of compositions. Thev will use the familiar kevs of C
major and C minor so that we mav easily compare different chords in later
chapters. relating them to a single kev center.
Succeeding chapters will discuss the function of scale degrees and

chords in melodic lines and harmonic progressions, as well as provide analyt-
ical methods to express these functions. While the harmonic and voice-
leading analyses introduced in the following chapters could be viewed as an
end in themselves, they actually represent the means to an even more im-
portant goal—the proper performance of the music. The understanding of
how a musical passage operates provides valuable clues for playing or
singing it with understanding and sensitivity.
Each chapter will open with a presentation of the common, normative
use of the particular chords and techniques under consideration, such as
spelling, notation, customary inversions, doublings, and partwriting proce-
dures. As the chapter proceeds, less commuon procedures will be introduced
gradually; this material may be included or omitted at the discretion of the
instructor. Each chapter closes with a discussion of melody harmonization,
review terms and concepts, and brief self-quiz.
a
Terms and Concepts for Review j

root movement dominant chords
pre-dominant chords
:
partwriting
voice leading variable chords
Roman numerals sequence i
harmonic tendency harmonic function
tonic chords
1. Match the number to the letter:
A. dominant 1. 5th eycle

B. sequence 2. diminished triad
C. scale degree on which ; restatement on different scale
chordal root is built degrees
D. vii? 4, intervals between chordal roots
E. vi-ii-V-I 5. tends to progress to tonic
F. pre-dominant triads 6. Roman numeral
G. root movement 7. IV and ii
2. For the two passages given in Example 8.7, provide (1) Roman numerals
below the chords with figured-bass symbols to denote inversions, and (2)
the tendency classification of each chord—tonic (T). dominant (D), pre-
dorminant (PD*, orvariable fiction for vi aud iii é

Var The first chord is
completed for von
Example 8.7
#
[PI
~$l
4
t
sll
“Teeth
HE
:
YA IK
ALN
Sl)
om
wn
i
|
op
MH
ir
ay omegaag
C H A P T E
The Primary Triads:

TONIC, DOMINANT, AND
SUBDOMINANT CHORDS
N THIS CHAPTER we will begin our study of diatonic harmony by con-

sidering the tonic, dominant, and subdominant triads in both major and
minor modes. For the present, we will restrict ourselves to studying these
triads in the root position. This preliminary examination will allow us to ob-
serve how the harmonic tendencies of these chords operate, both at ca-
dences and throughout plirases We will discuss the standard party riting
procedures that connect these chords, and we will use simple voice-leading
diagrams to demonstrate the melodic and contrapuntal relationships that
occur between the soprano and bass parts. Finally, W will discuss introduc-
we
tory strategies for harmonizing melodies and filling out harmonic models.
TONALITY AS THE EXTENSION OF TONIC HARMONY

Works or movements composed during the common-practice or tonal period
usually exhibit what we call tonal closure—thatis, they begin and endin the
same key with a triad built on 1, the tonic scale degree. We can view tonality
as the melodic and harmonic extension of this tonic triad thr oughout the over-
all span of the composition. Each composition exhibits an individual, unique
way of extending this tonic in musical space and time. Since this process in-
volves both melody—thatis, horizontal or contrapuntal lines and harmony—
vertical combinations or chords we cannot focus on one element to the
exclusion of the other, but must consider both dimensions working together.
126
THE PROLONGATION OF TONIC HARMONY 127
THE PROLONGATION OF TONIC HARMONY

The most obvious way to extend the harmony from the opening tonic
chord to the closing tonic chord is to maintain that single chord through-
out the piece or section. In the music of the common-practice period,
pieces based on single tonic triad are rare. For one thing, our ears are ac-
a
customed to harmonic changes, and we enjov the sometimes convoluted

journey from the opening to the closing tonic. More important, there are
ways to prolong tonic harmony that involve movement through additional |
chords.
Orchestral introductions to two famous operas are based on single a
triad. The Toccata played before Monteverdi's Orfeo is a ceremonial fan-

fare based on a C major triad. A more famous example is the Prelude to
Wagner's music drama Das Rheingold, which consists of a root-position
Eb tonic chord prolonged over 250 measures. One passage from the Pre-
lude. the leitmotive that represents the Rhine, appears in Example 9. La.
Note that the harmony is prolonged by several means, including arpeg-
giation of the chord (Arp.), passing tones (P), and neighboring tones
(N). The arpeggiated chord tones are of course consonant, but both the
passing and the neighboring tones are dissonant embellishing tones (Ex-
ample 9.1b).
Example 9.1
A. WAGNER: PRELUDE TO Das RHEINGOLD
> .
499°
*
: <= tz
t
eo T i i
ae “eo
ee
1
5
a
Bt
an
t t t
t
oe oe
©
eG
o =a
N Arp.
eit
ett
ei
Eb: J
128 [cn PHINI NIH TRENDS SE DOMINANT ANT SUE BDOMINANT CHORDS
Embellishing motion may involve chords as well as indivi

tonic chord may be prolonged by chords that result from simultaneous pass-
ing notes or neighboring notes, as well as movement from one spacing of the
tonic chord to another, a chordal version of a melodic arpeggiation, Example
9.2a and its reduction in 9.2b show a prolongation of a C major triad thatin-
cludes a passing chord, a neighboring chord, and an arpeggiated chord. The
interaction bebvecu csseaitialaud ©aubellishing chords will play an iuportant
part in our later study of harmony.
Example 9.2
A. B.
aa
P Arp.
way a
==
———
|
xX
if
’ e in
oe
: # «};
fe = (2s fe
qT mi |
C: | >
THE TONIC, DOMINANT, AND SUBDOMINANT TRIADS

Other harmonies usually span the movement from opening to closing tonic.
The most important of those chords are the dominant triad, built on 5, and
the subdominant triad, built on 4. Together with the tonic triad (1), these
chords are called the primary chords, an expression that suggests an anal-
ogy to the three primary colors in the spectrum red, blue, and vellow—
from which all other colors are derived. These chords are the most
important in the tonal svstem; there are entire repertories of popular and
folk music whose harmonies never strav bevond these three chords.
Since in any major kev all these chords are major triads, they are desig-
nated by uppercase Roman numerals: I, IV, and V (Example 93a), In the
minor mode, the tonic and subdominant triads, normally minor triads, are
designated by lowercase Roman numerals—i and iv—but the dominant
chord generally remains a major triad ’), since it retains the leading tone.
or scale degree As we have seen, however, in the minor mode both the
sixth and seventh scale degrees mav be either raised or lowered: therefore, it
is possible Hoaminor mode to havea Hpor subdominant chord {TY aswell as
a minor dominant (v). In some styles of music from the common-practice
period, it is customary in minor keys to substitute a major triad for the final
minor tonic triad (I for i); this substitute chordis called a Pic ardy third. The
minor mode tonic, subdominant, and dominant triads are shown in Example
PARTWRITING CONNECTIONS BETWEEN TITE PRIMARY TRIADS 129
9.3b. Note that when we speak of chords and their tendencies in a general
sense, applicable to both major and minor modes, we use the uppercase
Roman numerals of the major mode to apply to both modes.
- Example 9.3
A. B
Picardy
"oye i
eg
43 | ap T_T |
e
Pst 46> ad I
third
(rn my qT]
E
©
——— ae
C ] I\ \ C: i iN I\ \ {
RELATIONSHIPS BETWEEN THE PRIMARY CHORDS

The relationships between these three chords in both major and minor
modes are strong and fundamental to the tonal system. There are two rea-
sons for the strong connections between primary chords. First, the distances
between the three roots are all perfect 4ths or 5ths—the subdominant is a
4th up or a 5th down from the tonic, and the dominant is a 5th up or a 4th
down from the tonic. We call such pairs of chords fifth-related. Cadences in-
volving roots fifth apart are among the strongest in the tonal system. In
a
é addition, as we noted in our discussion of harmonic tendencies (see Figure

8.1) the sixth scale degree, the third of the subdominant or pre--dominant
chord (6), tends to move downward by step to 5, the root of the dominant
chord: the third of the dominant chord (7) tends to resolve upward by half
step to 8 of the tonic chord. Therefore, the succession I-IV-V-I (tonic-pre-
dominant-dominant-tonic) is a fundamental and very common progression,
in both major and minor.
PARTWRITING CONNECTIONS BETWEEN TILE Priwtarny TRIADS
Before examining how these chords are used in cadences and within musical
phrases. we need to establish principles of party riting, or how to
nect these chords. Our first issue is connecting fifth-related chords. The
fifth-related pairs among the primary triads are LIV, IV-I, I-V, and V-L
The simplest way to connect two fifth-related chords is to move the upper
voices to the nearest members of the next triad while maintaining the
same structure—close to close or open to open. There are three possibilities.
1. The common tone stays in one voice while the other two upper voices
move by step, and the structure remains the same (Example 9.4a).
130 [ou VENEXRY PREANDS TONTO DOMINANE AND SU BDOMINANT CHORDS
2. One voice moves by step while the other two upper voices skip by a
third, and the structure remains the same (Example 9.4b). Note that
the tenor in the last downward from the leading tone to
example leaps
the fifth scale degree (7 to 5).
. In an occasional fifth-related progression (between I and V, or between I
and IV), the soprano (orinner voice) may leap from the chordal third of
one to the chordal third of the next: scale degrees, such as 3to7 (in
triad
I-V)}, or 5 to Gi(in L-TV). Tere you must chaige sdructire in order to woid
parallel octaves and/or 5ths (Example 9. de), The type of structure for
each triad will depend on the direction of the leap, either up or down.
.
Composers occasionally allow the leading tone to follow its natural
tendency and resolve upward by step to the tonic, although this re-
sults in a tripled root in the following tonic triad; we will have more to
say about this strategy later.
Example 9.4
A. B.
| | | | | | |
o> -f——" —-F |
+};
4 = : _— ha 4
if
| | | |
C Vv I IV I Cc: i 4 i iv Vv i
\
C.
O € C O
3 7 3 6
Op +
—
| —
|
a
{+—
— |
:
\ I
:
—
IV
One pair of primary chords, IV and V, are a major 2nd apart, not a 5th;
we must therefore employ different partwriting procedures to connect these
two chords.
1. If thesoprano moves downward in contrary motion to ascending

root in the bass, keep the same structure and move the
motion (4- 5)
THE POLARITY BETWEEN TONIC AND DOMINANT CHORDS 131
other voices downward to the nearest member of the next triad

(Example 9.5a). Do not add a passing tone between 4 and 2, be-
cause it may produce parallel 5ths between the other voices (Exam-
ple 9.5b).
. 2. If the soprano moves in stepwise 10ths with the bass, avoid the danger
of parallel Sths and octaves (Example 9.5c) by moving the alto and
tenor in contrary motion to the outer parts. This strategy changes the
|
structure of the chords from close in the [TV chord to open in the V
{ chord (Example 9.5d).
Example 9.5
avoid
A . B.
P
ff) }
LT,
| L L
I }
l
haat
a
W IV IV
//S8yas/Sths
- :
. C O
C C fs) HG ty
+ —
+ ome
“$ = ie
; |
a o
:
Cc: IV Vv IV Vv
THE POLARITY BETWEEN TONIC AND DOMINANT CHORDS

We will study the subdominant chord and the other pre-dominant chords
in detail later. For now we will focus on the two most fundamental chords
in tonal music, the tonic and dominant triads. There is a strong tonal op- H
position or polarity between V and I, since V has a strong tendency to re-

solve to There are two hasic types of harmonic motion in mast musical
T
132 [CH. 9] THE PRIMARY TRIADS: TONIC, DOMINANT, AND SUBDOMINANT CHORDS
phrases: IV and I>V-I. The music proceeds through melodic and har-
monic motion, represented by the horizontal arrow, to its conclusion or
cadence. As much as we need to focus on cadences and dealing with the
partwriting issues they present, remember that a cadence is not simply a
two-chord progression but an integral part of the entire musical phrase.
The cadence represents the tonal goal of the phrase. A phrase that ends
with a cadence on Vis called an open phrase, usually representing a pause
in the music, but not a full stop; a phrase that ends with a cadence on I is
called a closed phlirase. becuse it brings the music to closure, In Example
9.6, “Home on the Range,” note the two types of harmonic motion—
aut Open phrase is followed hy a closed phrase The succession of related
but distinct phrases gives the listener a sense of both symmetry and
completion.
Example 9.6
“HOME ON THE RANGE” (FOLK SONG)
Bee
Hy
(Hy
ite
ay
We
THe
ih
Stay
ett
Te
nan
HH
L
hi
{
la
ORS
“i
|
FAA
TN
Co
ENS
|
AK
a
HY
THY
|
THe
|
C7
VET
g
|
5
aN
3
+
i
a
eo
OAS
/
Fare
AN
TN
ty
NEN
iy
A cadence or cadential progression consists of two or more chords and is

characterized by certain standard melodic formulas in the bass and soprano
voices. Strong root-position triads are generally used in cadences. For exam-
ple, in aV-I cadence, the bass voice usually leaps from the dominant (5) to the
tonic (1). Next we will examine some of the common cadential formulas. As we
introduce additional chords, our list of cadential formulas will continue to
expand.
THE AUTHENTIC CADENCE 133
THE AUTHENTIC CADENCE
Examples 9.7 through 9.9 illustrate melodic phrases leading to cadences.

Note that the concluding chord generall ocurs on a trong beat.
.
he term authentic cadence is applied to a V-I cadence, the cadence
e: of a closed phrase. There are two forms of authentic cadence.
The perfect
authentic cadence (PA) is characterized by stepwise mo-
tion to the tonic (2- Lor 7--8) in the soprano voice over a root-position V-I
progression. This cadence, illustrated in Example 9.7, gives us the greatest
sense of a strong conclusion. Note that V-I cadences are usually preceded by
either a tonic ora subdominant chord, shown in parentheses Strid the so-
prano les and parts ritine CONMeCHONS Hl eateh
evariple
Example 9.7
& AO Bo TE
. 5 2 | | 3
—
nam aed
er
e fe
Ton
—
@
( \ ( 1\ \
oC. OAL ANGD 2 1) ON

ATED Hoc bt
The imperfect authentic cadence bxciiiple 9S) different in One

1s
Sp “ot from the peorleet authentic othe Soprano

ne ends on 3 or 5
rather than 1. Possibilities mclude 2-3. 5-
3. and5-5 As the name indicates, i
this cadence is yess couchisice than the perfect aithentie Cadence
134 [CH. 9] THE PRIMARY TRIADS: TONIC, DOMINANT. A ND SUBDOMINANT CHORDS
Example 9.8
@ A. “St. MAGNUS” @) B. “WEMAN”
i 2 3
45 4
A | {| _
Ae —-!
| | |
i” ]
__fa
j
ey~*~
i
an
__ ts
1
id _i4 J
Ad
ai”
I
Lj a —_
1
Town
u
Pal
SF
+ >.
dl
bh
| |
e
iF ia
|
O
fa
|g_| fd.
4 4~ Je\* Yc)
jt fd
|
£0 fa a Oi
ee
|
_—_1__— 1 i
C: I V ] C: IV V I
@) C. “MIssioNarY HymMx” @ D. “OLIVET
4
———
—
— , § I
9 S
4
4
Ve i¢
|
——|~
S
> a
E
Tey A }
_@w-
I
_@
|
___[
if [ fan AT
{ 1.2 I 2)
eo +4 OW ©) f2-
—Z rr —l = 7
a
——
fa
|
C: V J C: Vv J
THE HALF CADENCE

The half cadence, the cadence of an open phrase, ends on V, and therefore
does not create a sense of closure. The half cadence is similar to a subordinate
clause or a question in prose; both require that the material continue in order to
provide a sense of completion. The half cadences in Example 9.9 might be
viewed as incomplete authentic cadences, with the last chord omitted. The so-
prano generally tmoves by step to one of the two tendency tones in the V chord,
the supertonic (2) or the leading tone (7 ); possibilities include 3-92, 1- 2. and 8-7.
Example 9.9
(@) A. “EISENACH™ @) B. “ELLECOMBE”
i 4
3 38
a
3.
4
h— | |
EE a
—t
a
T
av 4
Jt 1
4
|
I
| |
7.2 a
€
2
es ay —_e
it
—_o—_J _—_{— fey | ——H ——|—
+
C:
au
{4%
{
rafe id©
~ -_- 17K
=
oe
ZN
t 7
a
=
|
r [
C: Iv I C: I IV Vv
THE PLAGAL CADENCE 135
@)
C. “LONDON NEw” (@)
D. “UNDE ET MEMORES”
6 8 "i 8 6 bs)
fh , | | | | fh
LyA J
|
TT |
| i | | j
_|
a0
_P|
| i | I I
| 1
if Pl _t Cd
eh.
T
Ce
[
C2. Pl Ly bh
OP
[ge I T
il
T
hd RY
oe on
hal head oe
F
°to} —
| |
— | |.
: rey
———
_f
= eo—
C: IV I Vv C: i WN \
THE PLAGAL CADENCE

The plagal cadence is characterized by root motion from the subdominant
to the tonic (IV-I). This cadence may serve as the final cadence of the phrase
(Example 9.10a), or more commonly it may function as a tag added after an
authentic cadence. Examples of plagal cadences appearing after authentic
cadences include the “Amen” chords that conclude many hymns (Example
9.10b) and the majestic plagal cadences that end many of Handel’s choral
movements.
Example 9.10
A. “ADORATION”
6 5
| | |
I i I
an ut
<
A mI
all
a:
if
e) Ps
CM
i
|
C: iv I
@) Bo
“Jesu DULCIS MEMORIA” (HYMN TUNE)
men
[@]
a)
C.
A
iv 4
§ - § 6 - §
;
4 3
L. re)
(@)
_A
il
qy. vy
(el rat
oe. = ce]
2. Rs
=—R (0)
_
|
x* yy
WA
ty
oOo
C IV | IV ] Iv i
The weaker effect of the plagal cadence is a result of root movement by
ascending 5th as opposed to the stronger descending 5th of the authentic ca-
dence. In addition, the tonic note is often retained as a common tone in the
upper voice (1-1), although other soprano lines, such as 4-3 or 6-5, are possi-
ble (Example 9.10c). Note the difference between the two phrases of the
chorale harmonization in Example 9.11. The soprano line is the same in
both phrases (6- 6-5), but the first phrase ends with a plagal cadence in F,
whereas the second phrase ends with an, authentic cadence in C: because of
the key change, the soprano lineis now 9-9-1,
Example 9.11
eS WE SCHON TE CHEER Db Monk NSTEEAT Baye dec HOR AL
ELVEMONIZVETON
1
OCCT
on
h_. — | | | | | | {oo
| ——
I\
Summary of Cadence Types

1. Authentic Cadence: root-position triads, V-I
Perfect Authentic Cadence: V-I, soprano moves to 1 by step.
Imperfect Authentic Cadence: V-I, soprano moves to 3 ord.
2.HHalf Cadence: ends on root-position V, soprano moves to 22 or 7.
3.
Plagal Cadence: IV-I.
CADENTIAL EXPANSION WITHIN THE PHRASE 137
VOICE-LEADING REDUCTION
Following our discussion of cadences, we now introduce an important tech-

nique that will help us understand the essential tonal anatomy of a musical
phrase or an entire composition—voice-leading reduction. By stripping
away the surface melodic and harmonic elaboration in the various voices, re-
ductions allow us to see the underlying tonal skeleton or framework of a pas-
sage. Reductive analysis not only reveals the music’s essential musical
features, but also suggests strategies for performing the music with greater
understanding of its structure and unity. .
Reductive analysis reveals the essential chord tones in the soprano and
bass, the notes that form a contrapuntal duet and represent the basic voice
leading. The fundamental harmonies, indicated with Roman numerals, un-
derlie the two melodic lines. We can thus see at a glance the music’s essen-
tial chordal and linear features and the interaction between them.
Voice-leading reductions are a powerful tool not only for analysis, but also
for composilion, us we shall sce later ui the chapter, Here are the steps for
constructing a voice-leading reduction, we will Continue lo use aud explain
this technique in this and later chapters.
1. Label the harmonies with Roman numerals; pay maintain a stepwise line. When several different
particular attention to the first and last chords. chord tones occur over the same harmony, choose
2. Circle all embellishing tones to expose the the one that produces the best melodic line and the
chordal notes in the various voices. best connection to the chord tone of the next har-
3. Ona grand staff notate the main chord tones of mony. When melodic leaps in the upper voice
the bass line on the lower staff with downward stems. suggest a compound melody, notate its linear
4. Notate the soprano voice on the upper staff components with different stems for each strand
using upward stems for the essential notes. Try to (see Examples 7.4-5).
CADENTIAL EXPANSION WITHIN THE PHRASE

After studving concluding cadence formulas, we now turn our attention to
the remainder of the phrase. One common wav of designing a phrase is to
spread the cadential progression over its entire length. As an example. we
can produce a four-measure phrase by spreading the progression 1-IV-V-I
over four measures, one harmony to a measure
The next four examples iustrate that process. In the voree-leadme re-
duction of the Chopm waltz Ee Xanple GY note that the embellish
tones are circled, and the remaining chord tones of the soprano line consti-
tute the underlving melodic motion (3- 4-3-1), The bass line and Roman nu-
i
merals have been notated in the bass clef, and the alto notes are added to
contplete the harmony. The Schubert example Paxample 9 12c more Bis
complex; the tenor doubles the bass line in octaves for the first three mea-
sures, and the sixteenth notes in the treble clef are figur ations of three-voice
triads; the upper voice ascends by step, 5-6-7-8, Note the parallel oths
and octaves in measures 2-3. In “Cielito Lindo,” the leap from 6 to 2 is un-
usual, but the reduction makes clear that the basic motion of the melodyis
actually downward by step. 3-2-1
Example 9.12
@ A. CHOPIN: GRANDE VALSE BRILLIANTE, Ov. 34, No.1
14
| |
{ Cal)
@ ——
LOS te = > = Va e
oe
pe \@)
be _—___
J i I J _|—
oe
a
T T T T T
3 4 2 l
4 | |
I
oe
er
|
if id
Ft.
-_
—_
Je “>.
Ab: IV Vv |
@ C.. SCHUBERT: IMPROMPTU IN A-FLAT Mayor. 1D. 899

88
ke
kL)
ig
«
ae
»
[
OF
\
CADENTIAL EXPANSION WITHIN THE PHRASE 139
>
om»
mt
Nw
-_o-
—
|
T
Al IV V I
@®
Fo Tanna” NI WN POLK SONG.
fh 4
|
4
i
F. 2
5 2 l
Oy c
_ |
— =
I i
¢
e)
—_j* #
E
, |
|
r
G: I IV \ I
When there is more than one chord tone in the melody over a single
chord, our reduction involves another step—choosing the chord tone that
best represents the basic melodic motion. Look at the first two measures of
Example 9.13a. In the last two measures, placement on strong beats and
repetition make A and Bb likely candidates for essential stemmed notes. But
metrical placement would make D and essential notes of measures 1
theWhen keCaps 111
and 2. Teading to an awkward tritone teitp)E>‘4-7. Toh sug
gest a compound melody, write both strands vertically as harmonic intervals
with separate stems, In this case, the resuitme upper Ime ascends by step.
5-6-7-S|(Example 9.13¢). To complete the lower strand, C! and D! have
been added, but thev are optional and hence enclosedin parentheses.
Example 9.13
A. “LITTLE BROWN JUG” (TRADITIONAL SONG)
{ [
Hs,
4> ° °
7
e _———
|
Bb: I IV \ I
B. . C. .
5 j °
°5 6 i °
f\ | | | f\ | ° |
———————————
Ws
{
—
* ——————————
i t+
mt
I I I
oe a 1
iT
vet
I |
? Bb: I I\ Vv I
Stem all structural or essential notes of the tonic triad and cadence
chords. Use upward stems for the soprano and downward stems for
the bass.
Do not stem pickup or upbeat notes in the dominant chord.
If the soprano part is a compound melody that implies two voices,

—~ee_
ee
stem each line separately in opposite directions.
If the soprano part is compound melody that implies three (or more)
a
voices, stem them all upward as a single chord.
Put scale degree numbers and carats over the essential soprano
2»
a___,
notes of a phrase.
HARMONIZING MELODIES
Harmonizing melodies allows us to use our knowledge of harmony and

voice-leading in a more creative wav than realizing figured-bass exercises. In
harmonizing a melody, we have some latitude in choosing chords, compos-
ing a bass line, and adding embellishing tones. Rather than just moving suc-
cessively from one chord to another until we reach the end of a phrase, we
need a systematic procedure for harmonizing a melody.
HARMONIZING MELODIES 141
|
|
Because for the present we are restricted to root-position primary triads,
| we are limited in our choice of melodies. For our example we will use the
|
concluding phrase of a folk song.
Re Example 9.14
(F) “ROLL IN My SWEET BabBy’s ARMS” (TRADITIONAL FOLK SONG)
E
: 25
Hh 4 L
al aN
_ 4 |
|
i I I I I | 1 i 1 T | T T if
at H
TAY r
hal nal |
I
|
|
I
l i
1
T
L 4
Co
i
a I
Pn
I |
I |
ov
]
oe if
!
|
i ae cal
—
T |
: G:
We notice mimediately that this plirase is 1G mayor. and that the open
ing and closing chords arc T Chords The phrase concludes with a perfect au-
thentic cadence—V-I. with2-1 in the soprano line. ornamented bv the
Appogeiatira on Bio Phe inderhing progression niplic“dl by the rielody 1S
Avo tmeastres of tonic harmony, vo measires of sttbdorminant, {Wo
sures of dounant, and two of the tome LIV-V-L, cach chord lasting for
bp two measures. The presence in the melody of two chord tones for each
chord change sugvests & compound melody, we therefore extract tye
§
strands auda
stem: the notes of both The result Shows that the real Hpper
A A A
miclody is 3--£-2-1
E
Example 9.15 5 { >
os
te.
_
$
meee Gees
$ = —__{—. ee
z
YH
ae
°
a — —
@—_+__- # “Tao ——H
eee ell (wi_| ww)
7
, mE
— wy
~
—
F
( | I\ \ |
Phe final stage of harmonizing armelods is to flesh ont the baste frarie-
; work. after first choosing a imediuiun solo with INO accomiparlient. a

plat
choral sett. ete Here we will compose a torr-voice harinonization We
il
beam by addiie the miter parts. Tsing thre: prety procedures wee cis-
cussed carher Because of the wide leaps im melody. we begin im open i”
stricture. Change to close structure When the melody leaps dowr sixth.
and back to open stricture when tt leaps mpward. Phe resaltme basic har
motization iistrates the steps vou should) follow am harnioniziie ans
melody
142 [CH. 9] THE PRIMARY TRIADS: TONIC, DOMINANT. AND SUBDOMINANT CHORDS
Example 9.16
MY
HH
NZ
@!
@
a
rr
yy
~
py ij fi} jf jt A |__|
hh
|_| |
|
Oe f2 T_T i
eS. SS
Tp tt
A MELODY
_
GUIDELINES FOR HARMONIZING

1. Decide which notes are chord tones and which 3. Determine the chords implied by the soprano
are embellishing notes; circle the embellishing notes. fine for the opening and cadence of each phrase.
2. The melodic reduction of the tune will give usa 4. Determine the supporting chords implied by
clearer picture of its essential features. the soprano in the interior of the phrase.
ELABORATING HARMONIC MODELS

Reductive analysis strips away the outer layers of music to reveal the struc-
tural skeleton. Compositional elaboration is the opposite process—putting
flesh back on those bones. We will take an abstract model of a four-part
progression as a skeleton and fill it out in successive steps to create a com-
plete passage of music. This process entails (1) the addition of melodic em-
bellishing tones, both chordal and dissonant; (2) the choice of note values
to create rhythmic figures in a specific meter; and (3) choices regarding all
the other elements, such as texture, register, instrumentation, dynamics,
and tempo. An example of this process mav be found in Example 9.17. The
harmonic framework is i-iv-V-i—the familiar basic progression, but. in
minor mode. The bass line consists of the roots of the chords, and the ap-
propriate Roman numerals are added. The soprano line is 1-6-5-3, and the
inner voices have been filledin by following our voice-leading procedures
(Example 9.17a). This elaboration keeps thefour voices, but arranges them
in a pianistic texture, with an elaborated melody in the right hand and bass
notes alternating with chords in the left. The chosen meter is }, and passing
and neighboring notes, both chordal and dissonant, fill out the melody (Ex-
ample 9.17b).
Example 9.17
A. B.
i 6 5 8
f) 4
: —
oO ee
|
>;
AA
— —
ot
e) es
aw
2 4 yl
a
—}
oe
# ¢
[tf |)
yf
#
oP
—¢—
bi iv OV i
There are of course many other compositional possibilities. Different

choices of medium, meter, texture, rhythmic figuration, and embellishing
notes would produce elaborations completely different in character from
this one. Try some possibilities vourself.
tonal closure closed phrase

tonality open phrase
tonic triad authentic cadence
dominant triad perfect authentic cadence
subdominant triad imperfect authentic cadence
tonic prolongation half cadence
by arpeggiation plagal cadence
by passing motion voice-leading reduction
by neighboring motion cadential expansion within the
cadence phrase

1. In the three short passages of Example 9.15. place the correct Roman
numeral below each chord: the kevs have been provided. Then above
each triad indicate its chord structure, where C = close, O = open. and
T = tripled root. Finally, identify the type of cadence at the end of each
phrase.
144 [CH. 9] THE PRIMARY TRIADS: TONIC, DOMINANT. AND SUBDOMINANT CHORDS
Example 9.18
A. B.
|
re ee
|
|
lr
aaj} jd te
dd
=
Se
le
2 |e |
+
e:
SSS A:
ee
C.
h__|
TE
| |
4
@)
a |@
‘s |?
_|
caer
| | | |
2. In Examples 9.19 and 9.20, do the following:
A. Indicate the key and write the correct Roman numeral below each
bass note.
B. Label the type of cadence.
C. Indicate the soprano scale steps at the cadence.
D. Fill in the alto and tenor voices, following correct partwriting proce-
dures. Your parts should include the figured-bass symbols that ap-
pear below the bass line in Example 9.20.
Example 9.19 iC C C O)
e
;
es
(2
i Zon’
ee
[e]1 > .
ry)
Z—
= ad
] ]
yj
iA
BRIEF REVIEW
+
=
A SELF-OUIZ
3
a
ea
=
Ste (O}
<
-
| =, in
f
te =
I
o—
1
t@ @
@ —@-
Tt
Bel
i
ca o |
(2
| + ——
|
C H A P T E R 1 O
The Dominant Seventh:

EMBELLISHING THE
TONIC HARMONY
O FAR WE HAVE dealt only with root-position primary triads. In the

next few chapters we will begin to expand our harmonic vocabulary, com-
mencing with one of the most common harmonies the dominant seventh
chord. Its dissonant chordal seventh increases the tendency of the domi-
nant to resolve to a tonic triad. In this chapter we will discuss the proper
preparation and resolution of its dissonant seventh and also examine how
the V' functions as both a cadential and embellishing chord. We will then
turn to more linear topics by demonstrating how tonic harmony may be
prolonged within the phrase, either through chordal arpeggiation of the
tonic chord or through the use of dominant and subdominant triads as em-
bellishing chords.
THE DOMINANT SEVENTH IN ROOT POSITION
The dominant seventh (\") is a seventh chord built on scale degree 5. Asa
frequent substitute for V, it intensifies the tendency of that triad to progress
to I. The V’ is constructed by adding a minor 7th above the root of a major
triad, resulting in a major-minor seventh chord (Mim7th). This chord retains
146
PREPARATION AND RESOLUTION OF THE VW 147
its chord type in both modes; it is spelled the same: G B(q) D F in C major
cand C minor. In this chapter we will consider only the root position of the
dominant seventh. While its figured-bass indication in the major mode is
simply7, in the minor mode it appears either or depending on the ac- k
cidental used to denote the raised 3rd above the root of the chord. Example
10.1 shows a root-position VW’ in four different settings; name the kevs im-
plied by each one!
Example 10.1 4 —_
ASSa P —
= am
a _
® baad hall
a #
\
x=
\ ho =
Oo
ey:
Fi
t
al
(om Bt =
o—
tT [em Pay
i 7 7
i
PREPARATION AND RESOLUTION OF THE V'

Two features of the V’ chord merit our immediate attention. First, al-
though the 7th of the chord, scale degree 4, is a legitimate chord mem-
ber, it forms al dissonant interval, a minor 7th, with the root of the chord,
scale degree 5. In our analytical reductions we will leave the seventh of
the chord unstemmed. This dissonant seventh must be prepared and re-
solved carefully, just as dissonant embellishing tones are handled. Re-
gardless of the approach or preparation of the 7th, its departure or
reSolution 1s aly \\ di are hy Sep, HONING from le doeree { to 3
|
Example 102 Mast cates the trost comunon type Sof melodicpre
1
for the chordal 7th.
_In Example 10.2a the 7th resembles a descending passing tone (P—
1.
5-4-3), which originates from either a I chord or a V chord.

_In Example 1(
Lo
10.2b the 7th resembles an upper neighboring tone (N—

a
3-4-3), which originates from aI chord.
3. In Example 10.2c the 7th resembles a suspension, (S—4-4-3), which
a
Ml
originates from a LV chord.
4, Finally in Example 10.2d the 7th resembles an appoggiatura (App— “A
9-4- 3), which normally originates from a V triad.
1. The implied kevs are F major, D major. C minor, and E minor.

148 [CH. 10] THE DOMINANT SEVENTH: EMBELLISHING THE TONIC HARMONY
Example 10.2 bony
A. B. C. Dd.
= P App
a
PI 4
/
== —
ma
|
——
|
rm,
\
OL var As you can see from these examples, the preparation and resolution of
None the 7th resembles the melodic contour of four non-harmonic tones—the
passing tone, neighbor, suspension, and appoggiatura—depending on its
chord of origin.
Secondly, in addition to the resolution of the chordal 7th of the \ V",
must attention to the resolution of its chordal 3rd, whichis the leading
pay
tone or 7of the
key. The interval between these two chord members (scale
degrees 4 and 7) is a tritone. As a diminished 5th, it tends to resolve in-
to a 3rd, whereas as an augmented 4th, it tends to resolve outward to
ward
“a
a
6th.
Ifthe leading tone of a occurs in an

inner voice (alto or tenor), it
a
\
normally leaps downward to the dominant (7 to 5) in order to com-

plete the following I chord (Example 10.3a). We have already seen
this partwriting in the triadic progression V to I in Chapter 9. Avoid
a inserting a passing tone ( 7-(6)-5), as it not only sounds awkward but
may alse create parallel Sths with another voice part (Example 10. 3b)
In addition, the inserted passing tone calls our attention to the non-
resolution of the leading tone.
When n the leading
iN)
tone is in the soprano Voice, iLmust resolve upward

by step to tonic 8). If the root-position V’“and are both complete
(7-8 IT
chords, this partwriting will produce undesirable parallel 5ths (Exam-

ple 10.3c). As a result, either the VW’ or the I must be incomplete. The
WV" omits its chordal 5th and doubles its root
(Example 10.3d), or the |
omits its chordal 5th and triples its root (Example 10.3e). Remember
that tripled roots occur only at cadences.
A final word of caution: Watch that vou do not resolve both the
root and 7th of the V' to scale degree 3 in the tonic triad, as this will
THE CADENTIAL DOMINANT SEVENTH 149
produce direct octaves to the undesirable doubled thirds in the T
chord (Example 10.3f).
Example 10.3
|
B
A. avoid // 5ths
IE
aim
* =o
oc =
|
ce OVE Cc: Vv! I
C. D. E. F.
// Sths 5th omitted triple root avoid direct 8vas
f) |_|
2
—
SVAN
my
+ —| he
b+ =—= _ —
a = P|
y- =
|
— ao
|
; =
: cy:
Z— =a p45 Z
~ ce Vi i Cc: Vv I vi I e Vi
THE CADENTIAL DOMINANT SEVENTH

We will first consider how the dominant seventh occurs as an essential |
(therefore stemmed) cadential chord that immediately precedes the tonic in

ct] authentic cadence, The Vi seldom: PP tS the last chord of ol half cae
dence, which prefers the V triad. In the short excerpts below, which show
only cadence formulas, find each V' and indicate which type of preparation
and resolution its seventh receives. In each excerpt the cadential V' occurs ij
unnediately betore the dast. chord P\aniple Oba approaches the: 7th
through passme motion. 10.4 throngh an appoguiatura Lodo through
BRET
nemhbornme motion. and LOdd through a suspension Also note the resolu
tion or non-resolition of the leading tone and whether both chords are com-
plete or meoriplete
Example 10.4
(@) A. BERLIOZ: SYMPHONIE FANTASTIQUE, V @) B. “NUN PREISET ALLE GOTTES BARMHERZIGKEIT”
(BACH CHORALE HARMONIZATION)
odd ibd
tp ww
h_ 4
+t
|
___|
|
Ava ay i J
@ @
Pan
i
oo
dt CS _@~—|— C77 eo —-_! (orm
| hed2
Las vi PG tg fi
T
© if
——
Eb:
@) C. MOZART: SYMPHONY No. 40 1N G MINOR, I ® D. MENDELSSOHN: ~“RETROSPECTION”

(Sones WirHout Worps, Op. 102, No. 2)
305 28
Ht
all
anid
ize +
D
Extended alternations of and V‘ sometimes tend to blur the sense of

I
musical phrasing. In evoking a gentle lullaby in his Bercetse, Chopin bases

his entire composition on an alternation between these two harmonies (Ex-
ample 10.5). The last Ab® of each measure is the root of the V’. All dissonant
embellishing tones have been circled.
Example 10.5
(@) CHOPIN: BERCEUSE. OP. 57
3
ah——_—— — — :
Y
£ Sal es
~ rat _{_ J SY
=to
T_T
2fe TZ,
A NZ _f _/—
=
fp a f it
Ds: I (VO) I (V‘) I

ARPEGGIATED TONIC PROLONGATION WITHIN THE PHRASE 151
ARPEGGIATED TONIC PROLONGATION WITHIN THE PHRASE

We will now take up the topic of how particular harmony may be pro-
a
longed, either through chordal arpeggiation or through the use of other em-
bellishing passing and neighboring chords. The initial tonic harmony of a
phrase is often prolonged or extended prior to its cadential formula (I~V-I
or I->IV-V). This prolongation is the result of chordal arpeggiation or em-
bellishing passing and neighboring tones. The passage from a Haydn piano
sonata (Example 10.6) is a typical case in point. The tonic triad is extended
through the opening two measures, first by arpeggiation and then by passing
motion between chordal members before the phrase concludes with aa
thentic cadence I-V-T).
Example 10.6
(@) Haypn: PIANO SONATA IN F Major, Hos. XVL9, II (C. F. Perers Eprrion, 1937)
4
5
ft @ee,
fy
= =
|
———_
@
= $
F: I
In such tonic prolongations the choice of essential notes to stem in voice-

leading reductions can be problematic, especially in the upper voice. It seems
obvious to stem the first chord member of the tonic, but it is not easy to ar-
rive at hard and fast rules about which pitches to stem as essential notes dur-
ing its extension. Sometimes these notes may occur on the downbeat or
stressed beats of each measure, or sometimes they may be the last chordal
members of the expansion. Try to choose the notes that make the smoothest
stepwise voice-leading connection to the essential note of the next harmony.
A slur mark denotes the extent of these tonic prolongations; less essential
chordal members mav be left unstemmed. As we shall see later, chordal leaps
in dominant and subdominant harmony are treated in a similar manner.
The two phrases of Examples 10.7 and 10.8 both open with prolonged i
tonic harmony that leads to a half cadence on V. In the reduction of the il
a
Beethoven passage (Example 10.7b), we have represented the chordal it
&
arpeggiations of the G minor tonic with two framing stemmed notes (the
i first Gt and the last Bod that CHCOMIP dss the interior Bb and D leaps The
final Bb! then moves stepwise to At, producing a typical 3-2 half cadence
Example 10.7
A. BEETHOVEN: Piano SoNaTA ING Mayor, Op. 79, II B. 3 3
>) a
ht 7a |
_kat Ly
hn}
VF TT? a
|
=
I |
red mu cs
——_——= 7 QV
T
Lf
ry) oe wv mu @) ew
iw
CO
-_ a WE ee ee SE a i
hee
i ES | ~
_TIZ
CECe)
|
«2 ge
ao > =
eo oe
A
eo
oe wr eo)
ne i V i \
Some soprano lines display such obvious compound melodies that the
different strands or chordal members may be written as vertical harmonies.
|
The well hnown Rossini tune (Pxanple 1O.Sa) can be recdaeed in this man-
ner (Example 10.$b), resulting in three-part harmony whose upper voice,
like the previous example, traces similar melodic motion (3-2) over the same
chordal background (IV).
Example 10.8
CO
NV Rossing bo Worry Ten
244
|
0-4
———
ba as
——— a - +
— i
__ i | | =
e voeltiwvvwrtrtewe = =
|
BS ee
E I — \
B.
3 a3
fA eh 3
oon eeoe
Oeil =
___ i J
5 |
4
Take another look at Example 10.6. How would vou stem the notes for
the opening tonic prolongation in a voice-leading reduction? There are com-
pelling arguments for doing it several different wavs.
ARPEGGIATED TONIC PROLONGATION WITHIN THE PHRASE 153
In passages where two successive phrases are closely linked, the second |
phrase may open with either dominant or subdominant harmony prolonged

in a similar way. The excerpt from Schumann's Album for the Young shows
an example of the latter (Example 10.9a). Following the extended tonic and |
the imperfect cadence of the first four-measure phrase (i>V-i), the second (
phrase opens with an extended iv chord that leads to a perfect cadence
(iv->V-i). Disregard the passing chord in parentheses at the end of measure
{. The reduction is given in two stages: the craph in Pvaniple 109b repre-
I
sents the prolongation of iv, and the further reduction ut Example 10.9 re.
veals Hider ine stepwise motion i the soprano [-2-5-4 Over
6
before
the S-7-S restores the original tome (iv-W-i;.
Example 10.9
@) A. SCHUMANN: “KNIGHT RUPERT” (ALBUM FOR THE YOUNG, Op. 68, No. 12)
17
“uo
Vo:
Uno
t
(
t
|
|
PROLONGATION OF TONIC HARMONY USING EMBELLISHING CHORDS
Thus far we have concentrated on the beginning and endings of phrases,

noting that the opening chord and concluding cadential progression func-
tion as essential harmonies. We will now focus on the interior of the
phrase to determine which of its chords have an essential or primary
function, requiring stemmed notes, and which chords have an embellish-
ing or secondary function, whose notes will be unstemmed. Although
such judgments are dependent on the context of individual passages, we
can establish several general guidelines. In many instances where the ini-
tial tonic harmony is prolonged, one may find examples of chordal em-
bellishment in which secondary chords serve to prolong the primary I
through passing or neighboring motion. These embellishing chords may
include the V, VW’, or even TV. Study the model and its reduction in Fxvam-
ple 10.10.
Example 10.10
A.
N Pp
h
=
i
-3—
|
A+ +t —- om
<a
nn an ta
4
|
—f- +— fe
|
ai
F: I (V) I (V) T IV v
C.
3 4 2
x
fa
— t a ==
——a
ae = |
©). eo =e eo
oe
t —9- = Ia
{— + 9
F I
|
Iv
|
\
fo
IV
I (Vv) I (Vv) I Vv
The final
represents the harmonic goal of the phrase. However, the
V
two dominant triads that precede it in measures | and

2 do not function in
PROLONGATION OF TONIC HARMONY USING EMBELLISHING CHORDS 155
the same way. Instead, they are embellishing or linear chords that result
from the passing motion in measure | and neighboring motion in measure 2
in the soprano. We can refer to them as consonant passing and neighboring
chords, whose role is to prolong the tonic harmony within the phrase.
Therefore, the harmonic motion of I-IV-V is expanded to I-(V)-I-(V)-LIV-
V, as the embellishing dominants extend the original tonic chord. We place
the Roman numerals of these embellishing chords in parentheses (Example
10.10a). While the soprano and bass notes of the embellishing harmonies are
indicated with unstemmed note-heads, the outer parts of the essential har-
monies are stemmed (Example 10 10h) Slur marks connect the passing and
neighboring motion, indicated as P and N. The further reduction in Exam-
ple 10.10¢ deletes the secondary embellishing chords to show the tonic
prolongation.
1. The Vas
Embellishing Chord to I: The dominant triad is fre-
an
quently uscd to ciibellish au inital tome harmony by either paso-
ing or neighboring motion. The two sacred works in Example |
LO.1 Poise differme
approaches The single cribelishing domincut
chord Vo ii the colomal bya eXample 10 Lae Hanetions im
\
i
a passing capacity (GAB?

in the soprano) during the three-bar
tonic prolongation; note the unstemmed chord and slurs in the re-
duction (Example 10.11b), as well as the stemmed B’s in measures
2-3, preceding the cadential 9-1. In his expressive setting of the
Sanctus (Example 10.11c), Palestrina makes effective use of sus-
P
pensions in the neighboring (measure 2) and passing (measure 4)
dominants that precede the authentic cadence. The overall
melodic contour im the reduction (Example LO.L1id) suggests a rise
to the mediant before the stepwise descent to tonic in the upper
A A
voice (1-3-2-1).
Example 10.11
@ A. “PLAINFIELD” (AMERICAN HYMN TUNE) B. (REDUCTION:
3 3
|
u
cl
ae I
A
og
4
| a es a aBoE
L
T 1” A ma
ian
|
-o- hal
=.
rn
|
it
|
ee i
—_o-—
——-
e a
} 7 qT
"
Jadadld
A
a
=
T_T TL pe
ee [OT
1
I
a
a I
+ |
G: I (Vv) I Vd G: I » V I
i
C. PALESTRINA: SANCTUS FROM Missa PAPAE MARCELLI

A ae d. = Joy
za Vat te) oe
aa ee >
e) mT wy
r*
—F*
: a — fe 2 ne
—
a ces o eo
2
5 ay (eo
C: I (V) I (V) I
D. (REDUCTION)
ts
YF
lay
oF XY
|
o- z| e — |
=
|
ye
Ja oe
iO
2
=
l
r
ee,
VA [@)
z— i"
| |
Vv J
Cc: J » \ ]
2. The V' as an Embellishing Chord to I: The Schubert excerpt in Ex-

ample 10.12a contains both cadential and embellishing dominant
7ths; the bass line and Roman numerals show that the V' in parenthe-
ses in measure 2 embellishes its framing tonic harmony, while the
function of the essential V‘ in the next bar is cadential.
Example 10.12
GA Wavirzin BMiNon, OF TS. No
> >
6 >
o
LvAe
aS "a
>
call rr". ial
Fr #
_ if
hs TD | Pr | al i
e
t — T
—t
l
oko
dll CP? AV?
&
2
a i @ i e r
TA
tt
aA rw
had
a.
@ =. as
(VW) i i
B. C
a e dot
i 3 3 1
AO}
L. =. al
ooo Ae
—
al
17 ara"
mi Pa
|
:oe
|
7
|
ae
|
| fan’
bag
i | all |
L
|
|
T
|
ZL
v4
iXY
fan bal hall
hall
‘
e) e)
\
1
rea
2. Te a.
@
°
T
a.
oe
Lf a
#9 a °
l
i=
|
Ld ml
b: i (V') i Vv! i i V' i

PROLONGATION OF TONIC HARMONY USING EMBELLISHING CHORDS 157
In this waltz the soprano notes on the first beat of the initial three
bars (B*-C’-D°) comprise the principal melodie line, while the upper F%
functions as a kind of inverted pedal. The reduction in Example 10.12b
treats this line as a compound melody whose lower voice spans the cem-
bellishing V’ with passing motion, as indicated by the slur. When the
tune shifts into the upper register, several notes have been brought up
from the middle voices to fill in the implied harmonies, indicated with
parentheses. In the final reduction (Example 10.12c) the upper D® has
been displaced an octave lower to clarify the voice- leading comections.
Nowwe see that the underlying soprano line moves from 1 to 3. followed
by stepwise descent back to the tonic at the cadence, denoted by the
scale degrees 3-2-1.
The excerpt from the Havdn Scherzo in Example 10.13 poses two analy-
tical problems—the wide range of the upper melodic line and a phrase
grouping that can be interpretedin two wavs. To address the first problem,
in our first reductive analvsis directly below the music in Example 10.13, we
employ a downward octave displacement of some notes in the upper part to
clarify the basic voice leading.
Example 10.13
@ Haypn: STRING QUARTET IN E-FLAT MAJOR JOKE”), Op. 33, No, 2. HL
a
mA
|
Allegro
>}
ob
,
7
|
Pi wit a hy
-+
=
iiss
>
a
= J
mr
“+t 2
eC Ne —_—e ne — — °
|
— —
£ 2 = 2
4A
1
ae
|
eS
'
I
+ — i !
AS
l
3 td) !
ht
7.2 +t
—~_¢
rr
_—
—e
4g
ot ro ot
mn
—
e)
—
4 i oOo
10d
— -
Eb: I (VW)
158 [CH. 10] THE DOMINANT SEVENTIHL: EMBELLISHING THE TONIC HARMONY
on
39
—@- eoyh 7 |
—
ogee df —
=
—— —” ° ‘ —— — .
:
Jy
2 +
_
bs bs
=
~
*
e
oa
1!
==
_—*
1!
— '
gag 13 5
f 4 o eo a 4
¢ a :
:
Ge ae
sae P—y-—_@
2 f—
{=
:
(VW) I Vv I
The second problem is how to interpret the passage’s phrase grouping—is

it two phrases of four measures each, or is it one long eight-measure phrase?
There are two potential difficulties with the two-phrase theory. First, the ca-
dence of the first phrase would end on a V‘ with its chordal seventh 4 ) in the
((4
soprano, both of which are unusual occurrences at half cadences. Second, the
frist | ¢ ft hie tO yAVOR nr |
Padssat re rch Cen VE
Ts sic yt fc My r-] aan phirase ‘S,
If. however. we consider the excerpt a siiiule: civlit-racastre plirase. then
the soprano 4in the middle of the phr ase can be explained as large-scale
neigh-
boring motion (3-4-3) in which the 4 is supported by an embellishing V". This
preferred interpretation, shown in further reduction in Example 10. 14, sug-
gests a soprano motion of 3. (44)- 3, followed by the obvious 3-2-1 authentic ca-
dence in the last two bars. The upper voice suggests a kind of compound
melody whose components are notated vertically a the reduction prior to
the cadence. The 3-4-3 neighboring motion is a very conmon method of
embellishing the tonic, in which the 4 may be supported by either IV or Vv
Example 10.14 (4) “a an

a
N 3 2 1
od
_—_ =.
:
a
eo —
<= —
mud
-
+
|
vw |
MELODY HARMONIZATION 159
4
The S tubols cinploy ed thus far in our reductiye analyses are ilustrated
and defined in the following chart for vour reference
—™
Do not stem the chordal 7th of a V’ chord in the soprano, unless it is
part of the final cadence. Use a slur to connect its preparation to its
resolution.
sIn chordal arneagiations that prolong tonic harmony, choose the

Bae
essential notes to be stemrred according to ther accent, length, etc

e
a
(Often they will he the first and last notes of the tonic arneagiation )
Leave the other notes unsterpmed and comnect the entire
provangaton with a slur
J chorcal arpeaqrations (such as Vor lV) stem the trstor most

in other
mportant Note and connect the otners with a Slur

f
an Ernbetlishing V and V chords remain unstemmed, use @ slur to
° connect the chords that precede and follow them. You may denote
° ° |
the melod:e nature of the entire figure with an abbreviation
(such as P = passing, etc.)

|
|
MELODY HARMONIZATION
For our further study in melody harmonization we have chosen the last sec-
tion of the folk Gane “Blue Tail Fly” whose refrain featives uiitial tonic
prolongation (Example 10.15a).
Example 10.15
REFRV\ FOO Berti Tan Biy bork
6 i6
(VY) I\
The several linear strands illustrated in the reduction (Example 10.15b)

clearly derive from the tune’s compound melodies and have been aligned to
form vertical intervals. The D° in_ measure 6 may an octave
represent
displacement of D* or scale degree 6. which moves on to 7-8 at the cadence
(DLELF*). The C°-Bb!(or 5- 4) suggests a passing V‘ whose destinationis an
i
implied At (or 3), shown inpareentheses. The underlying upper voice rev eals
an ascent from | to 5 (1- 9-3-4- 5), before resolving to an implied 3. The har-
monic scheme for the refrain suggests a prolonged J extended by an embell-
ishing V before the cadential IV-V‘-I.
We can now apply our partwriting skills to produce a four-voice setting
(Example 10.16). Since the tune rises to D? at its climax before rapidly de-
scending near the end, we should change from close to open structure on
the repeated IV in measure 5; the downward leap from © to E! will then
necessitate a change back to close structure in the final bar. Notice how the
soprano Bb! drops an octave into the tenor voice at the cadence.
Example 10.16
_f)
©
Se a“ | i——}—+
oo) = azoN
—#
C
sss veers a
og
Wt a. a =
TO Le CL LW
THE ELABORATION OF A HARMONIC MODEL
In order to better appreciate how a composer might go about elaborating a

harmonic and voice-leading model to create an actual piece of music, let us
hypothetically peek over Mozart’s shoulder as he composes the first section
of a minuet in moderate tempo. He could have started with a simple voice-
leading sketch for a pair of four-measure phrases, using a harmonic scheme
of I>V"" followed by (Example 10.17a). In his first melodic elabora-
tion, an opening two- bar prolongation of the arpeggiated tonic harmony leads
to a half cadence (S- 7): this pattern is reversed in the second phrase, w
a two-bar prolongation of the arpeggiated dominant leads to the final ner
2
authentic cadence (Example 10.17b). Since the cadence chord falls on he
third (rather than the fourth) measure of each phrase, Mozart correctly
senses that motion must be continued through these bars in order to main-
tain melodic and rhythmic interest. He therefore prolongs the cadence chord
EELABORAVIEION OF \ EP ARALONEO \LOD EI 161
through a measure of eighth-note figuration that spans the third and fourth
bars of each phrase; in the first case, this eighth-note figuration is immedi-
ately echoed i
another voice part. The redundant VOT at the end of this sec
tion (end of measure 7 to 8) merely reiterates the earlier real cadence (end of
incastire 6 to 7) ENariple LOTT strates a simplified version of Mozart's
final elaboration. In his orchestral setting of this Minuet, Mozart scores this
passage for tvo clarinets with a light String accompaniment Wile the first
clarinet states the melody, the second clarinet performs eighth-note arpeg-
gios in its low register. The echo effect in the fourth bar is played by a solo
oboe.
Example 10.17
A. B
§ 7 3
dy
1 oF
Poy
4 VF TTY, CP
| yp
ys Po 7-0)
OY
hall fie (se
" Tay *
ty eo. Ld iad Pl
fon try 7
| ~ rn
ANS 3 hal
@) ry
e
~
O t &
Oo
rr a 2pe (17,
bh Tl
es fs * {4°
1 Pau) Pou) PK)
(Je
I
[of K)
|
aoa
an it
Lamm ica
Eb Vi — ] ] Vv ]
PT
Vv!
@) CC. Mozart: Symenoxy No. 39 iN E-riat Major, LL, Trio (SIMPLIFIED)

P P
| (@) 2 p
2 (2)
P
»
p
aon eee
—"
—
= + t t ! —
E,
J
yy yy +.
~ YY
a 2. a
o a
ry >x -
ry
x
Le if 4 x aa x
~~ XxX ag
i] T
(eo) “e £f »
‘< Saal
NL = _—
|
mal
I a *
P| iz
:
T
it
I
I
I I
I
I
|
T i
wy“ nal
mai
sau
+4
mi
162 [CH 107 THE DOMINANT SEVENTIP EMPBELEISIPING TITER TONTC TEV BMONY
Obyiouslh, we have uo way of huowing whether the above description

duplicates Mozart’s actual compositional process. Still, surviving composers’
sketches do on occasion reveal remarkably similar procedures.

dominant seventh essential chords
preparation and resolution of 7th embellishing chords
resolution and non-resolution of V as an embellishing chord
leading tone V‘ as an embellishing chord
arpeggiated prolongation of tonic
1. Resolve each dominant seventh chord to a root-position tonic triad in

Example 10.18. After making sure that the partwriting between the two
harmonies is correct, supply Roman numerals. Be wary of potential par-
allels in parts b and f.
Example 10.18
A B C D E F 4
rm {
BH
tit
| Boyt t
:
a
a v5 4
Lamas [7] Pa uae eh nm “I xa
re
1
bel
22>
a
iad
rT
1 d —p-
+ da + a +
i te ett Z 4
1p
nin
i ve
aoa ore
Bote
—— i
A
ava
ar:
tT
aq
Eb: D: f: Bb: ch: A
2. Realize the figured bass in Example 10.19 by filling in the alto and tenor
voices. Supply the kev, add Roman numerals, and indicate the figuration 7
(P, N, A, or S) used to prepare and resolve each Vv a

A BRIEF REVIEW SELE-QUIZ 163
Example 10.19
_
f_| ee
|
IN |
oe
my
_ ey
1
IN ae it
T i fi
L i
fe eo
bh T
A
i I
a
I
L am!
im
a a oe
L @ eo
a ia _a| il
T
I
a. T
hl hal Thal al Pl
\
:
= eT ee ae oe —
5 7 7 2 7 7
5 Fr
3. Supply a Roman numeral analysis for the pair of phrases in Example

10.20, taking care to distinguish between essential and embellishing har-
monies. Make a voice-leading reduction of each phrase, using the guide-
lines established in the last two chapters.
Example 10.20
A.
a it bel
bs.
JN
3 ¢
I
3
+}
= —
— fa
$
+
44
°
ae OO e °
a — ee
= °
7
B.
| a — |
i
il
4!
i
|
|
x?>]
l
l
Pou)
= 4
as
am
c
T
bh
vy Ge
——
|
za mI
—_ “™., t
=
|
po pnt
= Pn eo a
hal i ry
—e baal
€
|
oe a al
_—
|
, a
a
_
ya = if
{
Lis <a ¥
I
+t
zt f
{
x£
t
C H A P T E R 1 1
The Tonic and

Subdominant Triads in
First Inversion; The IV and
Las Embellishing Chords
S INCE THE SOPRANO and bass parts are the most important structural
voices in a musical texture, they should exhibit good melodic lines. Up to this
point, however, we have limited ourselves to root-position primary triads, so that
our only choices for bass notes were three scale steps: 1, 4, and 5. We now add the
first inversions of the tonic and subdominant (I° and IV®), which will supply two
additional scale degrees in the bass (3 and 6), making it easier to create interesting
melodic lines by inserting various embellishing tones between the essential bass
notes. For instance, in the following minor-mode passage (Example 11.1), the i°
and iv’ now provide chordal anchors for passing motion in the bass.
Example 11.1
=
hf
LVe
TAN
bh
14
OD
&
mA ie]
i
i
|
|
it
[7]
CZ
| |
mal
=
aa.
L
e | |
[7]
2
a
|
nna Gey ff).

a
.
6
aa 6
|
6G
v6
-
f: i i6
164
PARTWRITING WITH THE I° AND IV® 165
We will begin this chapter by first examining some typical functions of

the first-inversion tonic and subdominant triads in musical passages. Later in
the chapter we will demonstrate how the I and IV may be used as embellish-
ing chords in prolonging harmonies before concluding with some observa-
tions on harmonizing melodies and elaborating models.
PARTWRITING WITH THE I® AND IV®
Once we introduce inversions into our progressions, we will find that the re-
sulting partwriting situations are too numerous and varied to allow us to for-
mulate any binding rules, as we could when we used only root-position
chords. In progressions involving the I° and IV’, the best partwriting policy
is to seek the smoothest connections between the different voice parts while
avoiding errors such as parallel perfect intervals, questionable melodic leaps,
and irregular chord doublings.
The standard way to handle doubling of chord notes in these two inver-
sions is to double the note that appears in the soprano at either the unison or
the octave; Example 11.2a shows how these two options produce different
chord structures. In some situations, doubling the soprano note will lead to
partwriting errors; in these cases, it may be necessary to double the note that
appears in one of the other voices.
Example 11.2
A. B.
C O/O O
: 4 —
=
4 | | | |
= ea! =o Ee
cy | |
| |
£ ro
ul
I
{
T I
i I
if
it
LT
it
Lu
D 1° ve dD: IN 1° \
C D.
Ok avoid
f)a
a | |
T —
-—— ia
d: if iyo d:
166 [CH. 11] THE TONIC AND SUBDOMINANT TRIADS IN FIRST INVERSION
Often an open/octave structure serves as a link between close and open

structure or vice versa (Example 11.2b). While the chordal 3rd ofa I chord (3)
may appear in both the soprano and bass voices, it is not advisable to double
the 3rd of the IV chord, the more active scale degree 6 (Example [1.2c). On
occasion it may be necessary to double inner voice—tfor example, when a
an
suspension is placedin the soprano of a iv’ (Example 11.2d). As a general rule
the safest scale degrees to double are 1, 4, and 5, the more ones
to double are 3 and 6, and one should
questionable
double the leading tone(7).
THE USE OF THE I[°
. : . . . . 6 .
The first-inversion tonic triad in major and minor keys (1° and i°) tends to
4
occur in two contexts:
1. The I® can extend tonic

harmony through three-note arpeggiations,
such as I-I®-I or I°-I-I°): in both instances the interior bass note is left
unstemmed in reductions (Example 11.3a). In two-note figurations
(1-I° and I°-1), however, both notes are stemmed (Example 11.3b).
Example 11.3 —
=
it
|
6 6
Cc: I I 1° 19 I
2. The I
may be used either to approach or depart from the V, IV Vor
chords. Ia such cases we will cousider the I® an essential chord, as
shown in the typical progressions in Example 11.4.
Example 11.4
A. B
tN
ba |
roi
o—
e |
Se
|
o—e
| |
+o
|
;
oa 24 +) -3—#
2ie ial ZZ
2 fe ‘
|
zz |
——
C fo woy 1 i je gf \
THE USE OF THE IV" 167
In the third measure of the harmonic model in Example 11.5a, the

scale degrees in the outer voices are switched—that is. the 1 in the
soprano (AY) moves to the bass, while the 3 in the bass (C°) moves to
the soprano. We call this device voice exchange and use crossed lines
between the two parts to denote the switching of notes or scale degrees.
In this particular case the outer voices immediately switch back again.
In addition to voice exchange between consecutive chords. an embellish-
ing chord may be interpolated between the basic harmonies, such as
1-(V)-I°. The further reduction of the passage in Example 11.4b reveals
a long-range voice exchange bridged by an embellishing dominant in
measure 2.
Example 11.5 A, voice

evchange
f)
OO
aaa
~~. aL
ape
ANSP
e
86°68
\
9%
9%
LL
~
—
ee.
oe
mill eq
o
TINA
“TTR
4
4
a
NW
a>
an
D
(\
4
—_
mn
B REDUCTION
o it?
zz ae
° SY
©
ZF = |
fF |
a 1 6 \
THE USE OF THE IV®
The first-inversion subdominant triad in major and minor (IV° or ix”) occurs
in three basic contexts, as shown in Example 11.6.
Example 11.6
Phrvgian
cadence
Hh | | | | | | |
SS
~~ ual ri am
e |
f* | |
$ ia be
7 +l)
4 if
ne —
is
——— |— yy
7
3
I
v
if
f* if
6
Cc: 79 I\ I I we oy I vo OV
D. E
a 4
ee a
| | |
a
Se eee
re p$—+——
a a
|
a
a
| | |
« « a o o a
ae
7
|
|
Iv
| |
iv® V C: I 1° v I Wwe 7B y
1. The like the I°, may extend the IV harmony through arpeggia-
IV®,
tion, allowing the insertion of passing tones (Example 11, Ga).
2. The IV°
also provides another stepwise approach to V, this time from
above (6- 5). as shown in Example 11.6b. In this progression, which
occurs frequently as a half cadence in the minor mode (iv°-V), both of
the outer voices normally move stepwise by, contrary motion to the
dominant: b6-5 downward in the bass and 4-5 upwar din the soprano
(Example 11.6c). Its particular title, the Phrygian half cadence, «le-
rives from this characteristic voice leading, which is typical of the pri-
mary cadence in the Phrvgian church mode: see Appendix 2. A 7-6
suspension over the bass is often used to embellish this progression
(Example 11.6d); doubling the inner voices in the iv’ avoids potential
parallel octaves and 5ths.
3. Finally, the IV° is sometimes linked directly with the I°, in such pro-
gressions as or IV°-1° (Example 11.6e). Since this succession in-

volves two first inver sions, vou will probably have to change the
doublingin one of the triads to avoid possible parallels.
THE IV AS AND EMBELLISHING CHORD 169
THE IV AS AN EMBELLISHING CHORD.
Having summarized the typical uses of the 1° and IV°, we now return to the
principle of harmonic prolongation to examine how the IV and I may func-
~ tion as embellishing chords. As we noted in our previous discussion of tri-
adic prolongations, the subdominant triad may sometimes function as an
embellishing chord to I. Play the Tchaikovsky excerpt in Example 11.7a, ob-
serving the relation of the pair of iv chords to the E minor tonic.
Example 11.7
@) A. TCHAIKOVSKY: SYMPHONY NO. 3 IN E MINOR, |
3 =
SS
— a: eo. \
ZZ
=f
[
om
anionon
—_——_
t t f
tT
3
\ | | | o
— £a = =
¥
ry
+
ry
£
ry ry
£ ry
€ £ £
wr Xx Ag wr LS hana | aS wr XN aS
oe oe -o oe
B.
<4
"vs +
|
az
Gv) i i (iv) oi
Here the subdominant harmony does not function as a pre-dominant

to V, but instead assumes the role of an embellishing chordal neighbor to
the tonic. Like the embellishing V and V", the embellishing IV chord is
unstemmed and connected with slurs in voice-leading reductions (Exam-
ple 7b). In most cases the IV is in root position, with the neighboring mo-
tion occurring in the upper voices (3-4-3 or 5-6-5), as shown in Examples
11.8a and b. Even passing motion (3-4-3) is possible, as Example 11.8¢
demonstrates.
Example 11.8
N P
p— z
a
! |
e =s
|
ee
eee
ot
GC: 1 (IV)
'
I I (IV)
fab
| 1° Uv) I
The context of a passage will usually establish the embellishing nature of

the IV. In most instances the subdominant is shorter in duration and metri-
cally weaker than the tonic chord it decorates. The overall progression fre-
quently takes the form of I-(IV)-I or I-IV-V-I, in which the embellishment
(I-IV-I) occurs early on before the phrase concludes with a confirming ca-
dence (IV-V-I or IV-V). The second phrase of Bob Dylan’s well-known tune is
a Ly pical lustanee, its niclody with accompanying suitar chords appears in Fx.
ample 11.9a. The reduction (Example 11.9b) requires no additional comment.
Example 11.9
& AL Bop Dylan. “Beowin in WIND?
C F C C F
B. (REDUCTION)
a\
x = S +
a =
—
e t= +
fet
e+}? rr
@
cae
{
* ! : :
Rn
C I (IV) I ] 1\ Vv
THE I AS AN EMBELLISHING CHORD

We have observed how the V or V' and IV can prolong tonic harmony
through embellishing motion within the phrase. On occasion, the melodic
motion between two dominant chords or between two subdominant chords
THE TAS AN EMBELLISHING CHORD 171
creates a consonant passing or neighboring harmony that embellishes the V

or IV. In many such progressions this contrapuntal embellishing chord turns
out to be a I or I° that has momentarily relinquished its role as the funda-
mental tonic harmony in the kev and has taken on the subservient function
of elaborating a lesser harmony—the V or IV. An example of this technique
may be found in Example 11.10a. The underlying harmonic progression is
LV, V-I. In the first measure the essential harmony is tonic (I-(V)-I°): in the
third measure the essential harmony is the dominant (V-(I°)-V). Just as the V
embellishes the tonic harmony in measure 1, the I° embellishes the V in
measure 3; the Roman numerals of both are therefore enclosed in parenthe-
ses. In the reduction of Example 11.10b, the two embellishing chords re-
main unstemmed.
Example 11.10
A. B.
(P) (P)
fa} + 4 [o/s
aS
Ht | \
No
Kili [ 4
ell!
AZ ey
] I
+
{ ]
hal il 1 I
)
y
5
ede aie |
|
i
fe i wih \ yo Gly i fo \
The following chart will serve as a handy summary and reference for the
use of analytical symbols in voice-leading reductions.
In three-note arpeggiations of tonic harmony (1-3-1 or 3-1-3), stem

the first and last notes and connect with a slur.
Intwo-note arpeggiations of tonic harmony (1-3 or 3-1), stem both

notes and connect with a slur.
Embellishing IV or chords are notated in the same manner as

|
a
embellishing V or V’ chords—that is, with an unstemmed notehead
°
and a connecting slur.
The melodies we chose to harmonize in the two previous chapters were folk-
like in nature, with a relatively slow harmonic rhythm or rate of chord
change—only one or two chords per measure. Now that we have added the
I° and IV° to our chordal vocabulary, we can create more interesting melodic
lines in the bass. Therefore, we will turn our attention to short melodic
phrases that feature a faster rate of chord change—usually one chord per
beat. Such melodies are typically found in chorale or hymn settings. The
step-by-step harmonization procedure outlined below pays particular atten-
tion to the composition of the bass line and its relation to the soprano part.
Two brief hymn-like phrases, labeled Tune A and Tune B, will serve as our
harmonization models (Example 11.11a and b).
Example 11.11
A. B.
A 4 t | | 4 a |
a
1. Always begin by determining the opening harmony, usually on the

downbeat, and the concluding cadential formula. Write the Roman nu-
merals, soprano scale degrees, and bass notes for these framing chords.
These chords will normally be in root position, unless we are dealing
with an inverted progression, such as the Phrygian cadence. It is essen-
tial that the cadence you choose features typical scale degrees in the so-
prano. As Example 11.12 shows, Tune A begins with a I chord and
concludes with a perfect authentic cadence: 7-8 over V-I. Tune B be-
gins with i and concludes with 4-5 over iv-V , a Phrygian half cadence.
Example 11.12
A A
x B. 4 5
2
A”
‘ 8
3
Ve
|
|
| | | | if tT
vom
|
Vez \med |
|
I
|
ii
|
a
=
|
ANSP
——————— ANB
————— :
ry) yy
—H-H al
—# T
TO
r
T T
f*
OT ive V
~
2. The next step is to fill in the interior of the phrase. The selection of
possible chords to harmonize the soprano notes and the composi-
tion of a good bass line to fit those chords must go hand-in-hand.
The chart in Figure 11.1 lists the different scale degrees in the so-
prano and the various available chords that can support them.
Some soprano scale degrees, such 3, 6, 2. and 7, have such strong
harmonic implications that we have little choice of supporting
chords; the implied chords are nearly mandatory. For the other
scale degrees—I, 4, and 5—we have a wider choice of supporting
chords.
When you are composing a bass line to fit your selected chords,
(1) strive for a good mixture of similar and contrary motion be-
tween the outer parts, and (2) stress the use of imperfect conso-
uances (Srds and Gths} as vertical intervals between the soprano
and bass, reserving the perfect intervals (octaves and 5ths) for the
opening and cadence of the phrase. Each tune has been provided
with Roman numerals and two possible bass lines in Example
11.13.
Aside from pointing out obvious melodic or partwriting errors,
subjective judgmicuts or evalnations of Tarmonizations or original
pieces are best undertaken under the guidance of an instructor or in
class discussions. The fact that one harmonization simply sounds bet-
ter than another one can sometimes be obvious. but the determina-
tiow of why one sounds better and wha the other sounds worse is
much more difficult to pinpoiut and ec
spa
in rational terms. T per-
sonally prefer the first setting of each tune to its second setting (Ex-
ample 11.13); for one thing, the second contains several outright
Figure 11.1
Presently available chords to support different scale degrees in the soprano:
soprano scale steps i 5 3 4 5 6 7
fr
| wl) trl]
available
chords
pf wef mo
| we | 7 "
IVs vel oy
errors. The second setting in Example 11.13a displays direct octaves

to Aon the last beat of the first bar. In addition to the doubled #6 (E4),
the second setting in Example 11.13b contains parallel Sths in mea-
sure 1 and parallel octaves at the cadence. Compare and discuss the
two settings of each tune in vour class and see what agreement you
reach among yourselves.
Example 11.13
A. B.
A rN
re -———+ 7 ry t t !
!
e) J I
fh oe
e
e
al —- 6 \* tr _@- 1
| |
-—*
mt
J
| qT
]
i
|
A Ww) | aroave vw 1° Jiweoyv ot

we
i dv) ® aw fai wn v
|=
e
,
¢
Ih
|
2
— o&
~_ Je
\*
,
i
TV ge im
r—
A WW) % 4 Povo oe | IWS iow Vv
3. The next step is to fill in the inner voices to create a four-part tex-
ture, using our standard partwriting procedures (Example 11.14).
Can you find an example of voice overlap in one of the settings?
Since Tune B= spans the upward range of an octave, we should
begin in close structure before spreading out to open structure at
its cadence; note the doubling of the inner voices at the Phrygian
half cadence.
Example 11.14
A. B.
los
.
[LN
+ !
| __|
t
o if
5e bh
€5 if
-
hal
Tv
i=
— =
faa
——
,
EEEIZE
=r 7 nn
? © =
f
i
a,
7
mi | t 1
ELABORATION OF HARMONIC MODELS 175
4. The final step is the elaboration of our note-against-note setting with

various embellishing tones. Avoid the temptation to overindulge by
using too many non-harmonic tones. At the same time, be careful that
those you employ do not create parallel octaves or fifths with other
voices. Example 11.15 shows our finished products.
Example 11.15
A. B.
lo.
_=
co
ptt
es tt
—
)
2
Gb
fo. an
Oi
|
—
=
e "
Ty) i |
— ; oan r
= [468s 5
B
"
— | |
|
>
|
Summary of Harmonization Procedures

1. Choose the opening harmony and the cadence formula, including
a typical cadential soprano line.
Choose soprano notes, appropriate chords, and a good bass line
lo
to fill out the interior of the phrase.

3. Fill in the interior voices, following standard partwriting procedures.
+. Add embellishing tones.
ELABORATION OF HARMONIC MODELS

As a complementary activity to melody harmonization, the elaboration of
harmonic models, similar to Step 4 above, also stresses creative choices. Two
such models appear in Examples 11.16a and 11.17a. The first elaboration re-
lies largely on passing tones and suspensions (Example 11.16b): the scherzo-
like § setting in Example 11.17b emphasizes unaccented stepwise motion in
the form of passing and neighboring tones. Create vour own elaborations of
these models.
a H. 11] THE TONIC AND SUBDOMINANT
1.16
TRIADS IN FIRST INVERSION
Acree
e
er
| OL
mm
OTT
—weell
ofa};
TN
Yel
i
LE
Ee
\<
6
SR
x
>
-
x
@)B
fa)
VJ
v4 [PI
[fom WI Ce fd.
2
Ce
Bad
e — wx |
) Pl
|
|
nm
-@)
HA
=)
nal
P
P
Example 11.17
iT
-$
Bb: (Iv 16 Ive
B,
Ves
Leer
1
alNN
vi
L
A BRIEF REVIEW SELF-QOUIZ 177

uses of the I°® I as an embellishing chord
voice exchange IV as an embellishing chord
uses of the IV® harmonic rhythm
Phrygian half cadence
1. The following passages in Example 11.18 contain instances of embellish-

ing tonic or subdominant triads. Write out the bass line from the given
Roman numerals, making sure that you spell the chords and inversions
correctly. Then add the alto and tenor parts.
Example 11.18
A. B.
h_}Lys
Lr bh
4 C3]
vy,
a
hall
|
Ce _, PK)
dl
la’
Ve
L.
4e)
bh oFx
£
Pl
nat
iy
bey
| | a.
od
“f
e)
~ Je TY? ay
oF ~_ pe | Op
TA bh
v
bh vA VK
Ls 3
Bb: I av Ww) I d: iv: V G®) ov i
C.
4 |
L
| | |
eis I
Pl [oR
TT
GE?
TA
rn
LA Pl
Lf hal
e Le a
_ LJ + >)
Je
ep
La 94 J,
3
b i iv (i) \
2. In Example 11.19 identify the kev and the types of cadences and supply
Roman numerals. Fill in the alto and tenor voices. using correct partwrit-
ing procedures. Mark anv examples of voice exchange and any embellish-
ing chords that vou notice.
6
eh I~ |
iA
Cc
a
G
iam
eal
Zz.
ee
fala
—d
kk
Z
iv)
a
aaa
laa
=
=
74. 6
cal
a
6
—
—
2
2
a
|
jaa
-)
DN
4
Zz.
6
ra
OU
a
HE TO
jae
ca
a
—
Example 11.19
[CH.
iy”
[e]
[eo
_T7_
+7
|
178
yp:
C H A P T E R 1 2
Phrase Structure
and Grouping
HE DISCUSSION OF long-range melodic goals in Chapter 3 introduced

the concept of melodic phrases and cadences. The increasing length and com-
plexity of our musical excerpts now compels us to explore some additional char-
acteristics of musical organization and design, ranging from larger dimensions,
formed by grouping phrases into longer formal units. to smaller dimensions, or
constructing phrases out of internal motives. In this chapter we will first discuss
some features of individual phrases; next we will consider the relationships ex-
isting between successive phrases, resulting in such groupings as periods, dou-
ble periods, and miniature formal designs. Then we will see how the recurring
periodicity of phrase lengths may be varied through extension, contraction, and
overlapping. Finally, we will explore the interior world of the phrase, focusing
on sub-phrases and manipulation of motives. Later chapters will take up the
question of the formal design and tonal structures of longer compositions.
PHRASE LENGTH
In Chapter 3 we compared musical phrases to grammatical phrases or short

sentences—open phrases, which are analogous to subordinate clauses or
questions, conclude with a half cadence on V, while closed phrases, which
179
fj
180 so [CH. 12] PHRASE STRUCTURE AND GROUPING
are analogous to declarative statements, conclude with an authentic cadence

on I. In this chapter we will provide the harmonic context for the musical ex-
amples by including Roman numerals and scale degrees at the openings and
endings of melodic phrases.
We calculate the length of musical phrases by the number of measures
they contain, depending on whether they last from the first downbeat
through the last measure of the phrase (Example 12.1a), or whether they last
from the beginning upbeat to the next upbeat of the following phrase. All
the phrases in Example 12.1 are four measures long. Phrase lengths tend to
occur in tuuftiptes of hyo measures= cither two, four, or cight hars Whereas
in the Classical era of Haydn and Mozart the four-measure phrase was the
unquestioned norm, in the preceding Baroque period, a more fluid sense of
phrasing prevailed.
Example 12.1
A. STEPHEN Foster: “BEAUTIFUL DREAMER”
4+ ineasures
Bo “FLOW GENTLY, SWEET AFTON” (EENGLISH FOLK SONG)

4 measures 4 measures
Bb: I IV Vv I Vv I
We need some guidelines to aid us in determining the extent or length of

a phrase where does it begin and where does it end? Although we do not
ordinarily tend to think of phrases in terms of elapsed real time, the duration
of most phrases is somewhere between six to twelve seconds. Two features
are especially useful in determining a phrase’s length—(1) its tempo, and
(2) the strength of its cadence. In regard to tempo, music notation can some-
times be deceiving. For instance, two different phrases can take up the same
amount of space on the page, but one mav be marked Adagio and the other
Vivace, so that the former could last twice as long as the latter in real time.
Therefore, eight-measure groupings are not unusual in fast tempos (Example
12.2a) and two-measure groupings (Example 12.2b) are not unusual in slow
tempos, as both mav take approximately the same amount of time to perform.
LARGER PHRASE GROUPING: THE PERIOD FAMILY 181
Example 12.2
A. SCHUBERT: FoUR LANDLER, D S14. No. 2
§-bar phrase
‘— A q
_>
=
(Allegro)
ty = n> ~ i
1
fh —_—— . 1
“XY Ls
| mt | al
t t = I t |
ae | I I ij
pe
ie | | iT
“eo
J
| |
Abe
B. DvoORAK: SYMPHONY No. 9 IN E MINOR (CFROM THE NEW Wor Lp’), I

2-bar phrase
Largo
—_
D!
Phrases normally conclude with a well-defined cadence, as the two

phrases in Example 12.2 illustrate. When a cadence is very weak or there
is no cadence, we should suspect that the phrase is not finished and will
continue. One such example occurred in Example 10.13—the weak ca-
dence in measure 38 of the Haydn Scherzo actually represents a continua-
tion of the phrase, with the real cadence occurring in measures 41-42. In
addition, the Scherzo’s fast tempo also suggests a single eight-measure
phrase.
Previous chapters of the text provide many examples of phrases to analvze.
LARGER PHRASE GROUPING: THE PERIOD FAMILY

Phrases in homophonic compositions, like phrases and clauses in sentences,
tend to group themselves into larger units that result in a kind of formal and
tonal hierarchy. We have already noted the tendency of many melodic
phrases in Chapter 3, 9, and 10 to link themselves together in pairs; the
“Ode to Joy” theme is a perfect example. This linked pairing creates what we
call a period. The two phrases in a period are interdependent. The first or
antecedent phrase usually finds its thematic completion and tonal fulfill-
ment in the second or consequent phrase. As a result, many antecedent
phrases are tonally open, with a cadence on V, while consequent phrases are
typically closed, with a cadence on I. Play the two periods in Example 12.3
and note that without their consequent phrases, the antecedent phrases
seem incomplete and unsatisfactory.
182 [CH. 12] PHRASE STRUCTURE AND GROUPING
Example 12.3
A. BEETHOVEN: SympuHony No. 9 (“Cuorat”), IV, “ODE To Joy” THEME
r
241
B. Mozart: STRING QUARTET INC Major (“DISSONANT”), K.465, IIE Trio

r a
a 1
f£
4 3
,
/ e =
i T ff be £ J | G
|
ae |
I I € I €
|
mu
AS
a
hall
>
Cc: i
We classify periods according to (1) their harmonic schemes, or tonal

structure, and (2) their thematic relationships, or melodic design. The first
theme in Example 12.3 is supplied with brackets denoting the extent of the
two phrases, as well as framing scale steps and Roman numerals denoting the
opening and harmonic goal of the phrases. The half cadence at the end of
the antecedent phrase, with 9
2 in the melody, creates the expectation |that the
following consequent phrase will close with an anthentic cadence on 1
This “question-answer” pairing normally emplovs one of two basic tonal
schemes. In the case of the Beethoven theme, the harmonic motion is
IV-1. The second design, illustrated by the Mozart excerpt (Example 12.3b),
outlines i~V, V—i. Here the dominant is maintained tween the phrases. At
bet,
the end of the first phrase, the soprano moves from 8 to 7, setting up a half ca-
deuce that is resolved ii Uae final 4-3, imphying au imperfect close on the
tonic. This melodic formula was a favorite idiom of the Classical period.
When both phrases conclude with an authentic cadence, the first phrase
is usually less dependent on the second for its tonal completion. The last Lin
the meJody of Fx. unple 124 givOS a serisc of finalitt\ that was missing wilth,
the less conclusive 3 of the first imperfect authentic cadence.
Example 12.4
“THE CARNIVAL OF VENICE” (TRADITIONAL)
LARGER PHRASE GROUPING: THE PERIOD FAMILY 183
We can also classify periods according to their thematic design—that

is, the similarity or difference of their melodic content. When the two
phrases of a period begin with an identical or similar idea, we refer to it
as a parallel period—the ends of the phrases need not correspond ex-
actly as to thematic content. Study the pair of operatic selections in Ex-

ample 12.5, Do any previous eXunptes in this chapter qualify as parallel
periods?
Example 12.5
A. BizeT: HABANERA FROM CARMEN, ACT I
ee”
B. Arruur SULLIVAN: “Let's GIVE THREE CHEERS” (HLALS. PINAFORE)
Nonparallel periods are also common. Even though the passage in Ex-
ainple 12.6 exhibits the typical tonal scheme of a period. the openmegs of its
two phrases are thematically different.
BS
1
{
184 (CH. 12] PHRASE STRUCTURE AND GROUPING
Example 12.6
GLUCK: 29. BALLET FROM ORPHEE ET Evripice, Act It
We use capital letters to denote similarities and differences between suc-

cessive phrases within periods (A A or A B); a prime sign (') indicates a
modified repetition (A A‘). Thus a phrase marked A‘ is a modified ver-
sion Of phrase AL whereas phrase iarked Bois substantiahy different
a
from either A or A'. For instance, Examples 12.5a and b suggest an A A'
design, whereas Example 12.6 outlines an A B design. Go back to Exam-
ples 12.1 through 12.6 and mark the phrases with the appropriate capital
letters.
Sometimes phrases resist pairing themselves into periods, preferring
to exist as free-standing units. The term phrase groups may be applied
to such situations, as shown by the three distinct phrases in Example
12.7.
Example 12.7
FRANZ GRUBER: “SILENT NIGHT”
r
BI
DOUBLE PERIODS
Similar complementary relationships mav also occur on higher formal levels.
such as between two periods. For instance, if a period ends on V rather than
I, the need for the eventual resolution to Ghe tonic frequenth requires anu ad-
ditional period, resulting in a double period. In Example 12.5, the half ca-
dence on 2. at the end of the antecedent period is resolved by the authentic 1
at the end of the consequent period.
DOUBLE PERIODS 185
Example 12.8
SAINT-SAENS: PIANO CONCERTO No. 4.
antecedent
' a] I
?
om 1
.
i
5
/ A>}
193
T a | — i —
| |
2
|
a
ae
|
a ;
[Te
aCTT o
|
| I |
a
a
i a
Oe &
Fe
a
Ld
@) oe ba oe
;
C: V
F consequent
q
- 1 r 1
A i
a7
_ |
a
T Sa ae oe T t T
te
T
:
T — a es na
oO
a al
ne
id
m=
id |
! @ oa
I
Summary of Classifications for Phrase Groups or Periods

A. By harmonic scheme:
Antecedent-consequent: First phrase ends on V, second phrase
ends on I.
B. By thematic design:
Parallel period: Phrases begin with the same melodic idea.
Nonparallel period: Phrases begin with different melodic ideas.
Phrases may relate in a combination of wavs. Pairs of phrases that resist

classification by harmonic scheme or melodic design are called
phrase groups.
These relationships mav exist on a higher formal level: double periods
may be made of antecedent and consequent periods.
As we continue considering the relationship of phrase to period, we

begin to construct a formal hierarchy—that is, an ordered svstem whose
units combine to form progressively longer and more important units (Fig-
ure 12.1). Similar hierarchical designs are common in short homophonic
pieces.
16
period |
phase |
Figure 12.1
SOME MINIATURE FORMAL DESIGNS
In shorter vocal genres, such as folk songs or hymns, each stanza or stro-
phe of different text is usually set to the same music, resulting in what we
call strophic form, Each stanza usually consists of a small number of sim-
ilar or contrasting phrases or periods. Occasionally the concluding portion
of each stanza may feature a refrain, in which both words and music are
identical; “The Battle Hymn of the Republic” and “America, the Beauti-
ful” are typical examples. Example 12.9 illustrates a common formal layout
for one such stanza or strophe, in which the four phrases produce an A A‘
B A’ design While the Bis Narmonically open NO, the At is closed and
ends on the tonic. We sometimes call this design a small song form or a
quatrain form, since it displays four distinct parts. Note that the first half
of the hymn in Example 12.9 is a parallel period, with its usual I->V, l>V-
I tonal scheme.
Example 12.9
“AMSTERDAM” (HYMN TUNE)
PHRASE PERIODICITY 187
Short compositions made up of phrase collections may also exhibit a two-

part or binary form of two contrasting sections: A B, or A A' B B'. Binary
pieces are not as common as three-part or ternary form, (A B A), probably
because the original thematic idea (A or A') does not return at the end to
a round the piece off. In simple binary designs, both sections (A and B) nor-
mally close in the tonic, as shown in the famous Brahms lullaby (Example
12.10), Exainple 12.9 is cast in aw small-scale ternary design; after the con
trasting B section, mm. 9-12, the original A idea returns. We will take up
ternary form in a later chapter.
Example 12.10
Brava “WaueceN\tappn On fg Noo f
El
PHRASE PERIODICITY
Music has been associated with word and dance throughout its long his-
tory. The repetitive nature of poetic meters and dance patterns is often
reflected in the periodic phrasing of their musical settings. The repetition
of musical phrases of equal length results in a sense of phrase periodic-
ity—that is, the regular recurrence of phrases or even periods. The com-
plete “Ode to Joy” theme in Example 12.11a_ illustrates a_ typical
four-measure phrase periodicity, as do most of the tunes cited previously
in this chapter. However, phrase lengths other than four measures mav
also set a sense of periodicity at the beginning of a piece. The opening
measures of the Brahms Hungarian Dance in Example 12.11b establish a
six-bar periodicity.
:
EM
::
))
=
|
=
New
>
\ me,
5 + on
=
[IN
Ne
au
= a
U
a
io)
oa
~
Nw
:
=
o)
_ : =.
Zz
ran p
AL
Bom
DANCE No. LING

a
:
cal
x Zz.
~ Cc
=
be oO
::
.
™
~ —
5
D> D
x
7 Need ;
Ss
: :
wn Zz
IAN
aa oc
a:
val
= = a
oy
a
2 :
:
UN
ol
a =
—_ yA
.
4
4
a
H
~ — =
2a =&8
2 a
D
Exam
Awd
oe)
:
PHRASE EXTENSION. CONTRACTION. AND ELISION 189
Another wav to demonstrate phrase periodicity is to raise the sense of

meter to a higher or hypermetric level. Here one measure of music be-
comes one beat of a hypermetric measure, which now represents the entire
musical phrase. For instance, in meter, four-bar phrase periodicity would
|
be indicated as hypermetric quadruple meter or a larger j, in which each

quarter beat represents one bar of the former and the.entire measure rep-
resents the complete four-bar phrase; see Example 12.12.
Example 12.12 i
4 4
I
LJ
la’ | |
—— as I
es
a————
|
4 I [-o
I
a I
|
a 3 i
IT measure = 4-har phrase
PHRASE EXTENSION, CONTRACTION, AND ELISION
Although shorter pieces may convey a sense of four-measure phrase period-

icity from beginning to end, in their longer works composers must fre-
quently provide the listener with some necded relief from the predictability
of an established periodicity. They have several means at their disposal.
These devices may be compared to a baker kneading a lump of dough into
various shapes—fir st stretching it out, then rolling it into a small ball, or
even chopping off a piece.
1. A phrase may be lengthened through cadential extension. In Exaim-

ple 12.13a the expected cadence occurs in measure 8, but the arrival on
the dominant is now extended an additional bar through arpeggiation,
as denoted by the dotted lines. The period consists of 4 bars + 5 bars.
A phrase may be lengthened through internal extension. In his sec-
lwo
ond version of the lovely oboe melody in Example 12.13b, Liszt takes
the original measure 2 and expands it via a sort of cadenza, making
the second phrase 5 bars versus the original 4 bars. In these two pro-
cedures. the elongation mav result from the addition or repetition of
thematic material or from some tvpe of rhythmic augmentation.
3. A phrase mav also be contracted by compressing earlier material. or
truncated by deleting material. In the second phrase of Example
12.13c¢, the shorter note values contract the first phrase from four to
three measures.
190 s[CH. 12] PHRASE STRUCTURE AND GROUPING
4. Phrase elision occurs when the cadence of one phrase overlaps the
beginning of the next. This dovetailing effect, denoted by overlapping
brackets in the examples, often produces a seamless rhythmic flow.
Phrase elision often occurs at the first orchestral tutti of Classical sym-
phonies (Example 12.13d).
Example 12.13
AO Bath? in D ANNA \ a Baciis Noe
fy» =n
(extens
Liszt: Les PREI DES
182
BakTOK: AfTKROKOSMOS. VOL No
Haybpn SyMPpHONY No. LOL (CLock”). IN
21
VARIED PHRASE LENGTHS 191
VARIED PHRASE LENGTHS

Extended periodicity may be varied by arbitrarily changing the lengths of
the phrases—for instance, making some phrases four measures long and
others only three measures. In choosing the “St. Anthony Chorale” as the
basis for his Variations on a Theme of Haydit, Braluns was doubtless at-
tracted by the different phrase lengths in this tune (Example 12.14a). This
tune, originally found in a wind divertimento by Haydn, was probably writ-
ten by Ignaz Pleyel, a noted piano maker and composer of that day.
Example I2.14
A Brats ov y Tree or N Ov 36,
T E
af
15 19
REDUC TION
TA A Te Tet
B! 3)
The original composer's insertion of an extra measure, denoted in the

hy vertical brackets. in cach of the two plirases of the first repeated SEC-
tion establishes a five-bar periodicity. The middle section that begins in mea-
sure 1] switches to a more common four-bar grouping. The original five-bar
grouping returns with the restatement of the original theme in the tonic at
measure 19, although this grouping is cut short by an elision of the second
x of the codetta. A further cadential exten-
phrase’s cadence with the
beginning
measure lengthens the codetta to seven bars. A sketch of
1
sion in 27
beginning
this piece’s basic tonal scheme (Example 12.14b) shows that the more impor-
tant half cadence occurs at the end of the second period in measure 18 at the
downward arrow, just prior to the return of the original theme in the tonic.
THE INTERNAL ANATOMY OF PHRASES:

SUB-PHRASES AND SENTENCE STRUCTURE
Some melodic phrases represent a single unified musical idea that resists di-
vision. For instance, the tonal and rhythmic motion of the phrase in Exam-
ple 12.15 continues to its cadence. Play this tune and slop anywhere in the
middle; do you feel a sense of clostire or completion?
Example 12.15 Waodin SPR MN bo VENGST sea, Nc TT
Hh» e o: ~
_ *
we fe a-
a
|
i
Some phrases, on the other hand, divide easilv into smaller units. Each
of the pair of four-measure phrases in Example 12.16 may be partitioned
into distinct two-bar sub-phrases.
Example 12.16
VERDI: “LA DONNA E MOBILE” FROM RIGOLETTO, ACT IV
Ti
/)
47 T
= = LJ
V Ve
Mae
Gir: > a = es ee
————
Whereas the two phrases of Example 12.16 divide into sub-phrases of

two measures, the Mozart melody in Example 12.17 displavs a measure
grouping of l+1+2
Example 12.17
Mozart: PIANO SONATA IN A Major, K.331. 1
\' 1
B
MOTIVES AND THEIR DEVELOPMENT 193
The relationship of melodic parts in the Mozart excerpt illustrates what

is called sentence form: the original idea in measure 1 is followed by an al-
tered repetition of the original idea (here, a step lower in measure 2), and
next comes a final motion toward the cadence (mm. 3-4). This produces an
overall design of A AES cadence. Sentence design. Which is extremely
non in the Classical eras may also he fone at the period Tovel where it ex.
tends over two phrases (Example 1218)
Example 12.18
Movin) Cr antink) Conch A Mb
yor K 622.
B
A 1 1
c
7
e
1
— '
e
ao
e
on |
y *
Ce >
es One
—
an a |
=haa
MOTIVES AND THEIR DEVELOPMENT

In some phrases we may observe repetitions or modifications of a single
short melodic fragment. This melodic fragment, which is usually not longer
(hia gue iicasdredengtl, is ideutifiable by its distiictive pitch profile aid
rhythmic characteristics. We call such a short idea a motive. Do not confuse
this term with motif, a theme with extra-musical associations that recurs
during the course of an entire opera or multi-movement svmphony. Motives
are always subjected to some hind of dev clopiicutal Geatiient to fill out the
remainder of the phrase; the most common of these treatments are listed
below.
1. Repetition: an exact or modified restatement of the motive on the

same pitch level (Example 12.19).
Example 12.19 original repetition

f) |
i T | J
—_——_———
194 2} PHRASE STRUCTURE AND GROUPING
2. Sequence: repetition of a motive on a

different scale degree. This de-
vice is usually limited to two repetitions following the original motive
(Example 12.20).
Example 12.20 sequences
=@)
T
I
= ~
1
in
CTC
et
3. Melodic inversion: a statement of the motive in which its pitch pro-

file is turned upside down, diatonic interval for diatonic interval. This
device is also called melodic mirroring (Example 12.21).
Example 12.21 inversion
4, Rhythmic modification: of the motive’s rhythm, often

an alteration
according to some strict proportion. Two standard types are augmen-
tation, in which each note value is enlarged by a given figure, usnallv
two, and diminution, in which each note value is reduced by a given
proportion, usually one-half (Example 12 22)
Example 12.22 augmentation

T Li
Ae : 3 Fe = I ]
cy _#_
| |
hall al haul ]
t
5, Alteration of the harmonic setting: resetting of the harmony that

a
imparts a different character to the original motive (Example 12.23).
Example 12.23
The passages in Example 12.24 illustrate some ways in which phrases

may be constructed out of motives.
MOTIVES AND THEIR DEVELOPMENT 195
Example 12.24
AQ IT\\ Atieonko know Afesic Strpe Noo TIN Mayon
27
Chorin Grinpre arse Or. 1S
:
5 ee — A
oe eo; . ‘ =>
C0;
|
°
TT pe T_T @
Te" 7 7 “a TT
| semi
a | | 7
]
I
|
ml —
ie
ae
T_T
|
| |
I
Le
l
|
J
| |_|
_—.
. |
| | |
) l |
ni I I hewn) |
XY haat I I ! r ]
e
| | l
if | |
| | I
Co Totharkovsay: Syvtpnony No 6 righ eT
xX
i qT
us
fy say «) mena,T
3 i
ay
|
Cv
|
arva
-
4
~
a a| a
|
r’
40
|
bin Wi | ]
IN L a | I i
IN vi i Th |
I Ty
er a 4
I |
a th
oe we
J
eo o a
rf
@
.
NNW
@ a
BEETHOVEN SYMPHON No. 6 (“PASTORAL

54
Jt I I Jot
151 a 494
The Handel tune (Exainple 12.24a) is based on a single motive denoted

with an x and its descending stepwise sequences. The sequential three-note
motive of the initial phrase of the Chopin waltz is freely inverted in the con-
sequent phrase (Example 12.24b). The Tchaikovsky excerpt exhibits a grad-
ual rhythmic compression of the original four-note motive that forms a
pattern of rising minor 3rds: D F Gt (Example 12.24c). Finally, the open- B
ing theme of Beethoven's Pastoral Symphony is actually made up of three

196 (CH. 12] PHRASE STRUCTURE AND GROUPING
separate motives (x, y, =), each of which is later subjected to sequential treat-
ment (Example 12.24d).
PITCH AND RHYTHMIC MOTIVES

We tend to recognize the subsequent recurrences of a motive by the re-
tention of its distinctive melodic shape and rhythm. However, during its
subsequent development a composer may choose to retain only the pitches
or only the rhythm of the motive. A pitch motive consists of a short series
of distinctive melodic intervals that may be restated or transposed in a va-
riety of different rhythmic settings. This technique, closely related to the-
matic transformation, was a favorite procedure of Liszt and Richard
Strauss. In Example 12.25, observe the magical metamorphosis of the orig-
inal six-note pitch motive (Example 12.25a) from the plucky little theme
that opens Don Quixote (Example 12.25b) to the peaceful resignation of
the theme in the final death scene, when the old knight regains his senses
(Example 12.25c).
Example 12.25
ata
A. RICHARD STRAUSS: DON QUIXOTE Moderate tempo
3 3
rc 3 —
oo
> te.
= been
() C
690 Very restful (slow)
Sf)
\7
4
wi
!
c—
e =o
7
{
—t
{+——
a = + hail — — a<
~
o
—___
‘7
an
On the other hand, a composer can instead employ a rhythmic mo-
tive whose melodic contour may continually change while its characteris-
tic rhythm is strictly retained. Examine the themes from Beethoven's
Fifth Symphony in Example 12.26; what they all have in common is the
rhythmic figure of three short note values, followed by one long note
value.
|
Example 12.26
BEETHOVEN: SYMPHONY No. 5, I-IV
A. 1ST MOVEMENT
4-4,
ej
1
T> 1
i
2-4, 1+ _ o_o —_|

| |
1
aa)
4
|
1
I
|
—_| +
f
i.
|
a
| |
oe
i aHHH
SS
1
—__] h—+
rs
RV
bt
59
I | |
T
oe
|
}
1 T
i |
—_]
|
]
B. 2ND MOVEMENT
!
18 21 l
2
1
88 7
+
eo —@ bal
!
ieee oe
C. 3RD M MOVEMENT
19 T 1 i 1 r 1
194.
ATH MO\ EMENT
44
phrase length contraction (truncation)

period elision
antecedent phrase varied phrase lengths
consequent phrase sub-phrase
tonal structure sentence form
melodic design motive
double period development of motives
parallel period repetition
nonparallel period sequence
phrase group inversion
strophic form rhythmic modification
refrain (augmentation or diminution)
quatrain form alteration of harmonic setting
binary form pitch motive
phrase periodicity thematic transformation
phrase extension rhythmic motive

1. Match the letters to the appropriate numbers:
1. Overlap of cadence/beginning a. Pitch motive

2, Parallel period b. Sentence form
3. Consequent phrase follows . .. c. Different words/same music
4. A A’—> Cadence d. AA’
5. Melodic inversion e. Truncated phrase
6. Deleting material f. Sequence
7. Strophic form g. Elision
8. AB h. Upside down
9. Thematic transformation i. Antecedent phrase
10. Repetition on a different j. Binary form
scale step
2. Taking the four-measure phrase in Example 12.27a as your basic

model, indicate in the provided space the various modifications it
undergoes.
Example 12.27
A BRIEF REVIEW SELF-OUIZ 199
3. Trace the opening motive in this passage In circling each occurrence.

Identify each type of developmental treatment it undergoes (Example
12.28).
Example 12.28
go
bh
La
Ea}
62
&@
}
= —
|
a
wu if if
my
o—
i
es.
i
a
Y
y|
if if
I |
oes
——$————$
‘
a
Cte =e 5 °5
t —
ee t
SS vie
jal
oe}:
r
I I
T
o
T
oe
+ =a
C H A P T E R 1 3
Linear Dominant Chords:

Vv’, vii?°>, AND INVERSIONS OF V‘
N THE PRECEDING CHAPTERS on harmony, we highlighted the im-

portant role that the outer voices play in a musical texture. While the so-
prano usually carries the principal melodic line, the bass provides the
foundation for the har mony. Until now our bass lines have been limited to
only five scale degrees: 1,3, 4.5, and 6. In this chapter we will discuss some
additional chords of the dominant family that will utilize Wie reriaining scale
steps(7, 2, aud 1, allow ing us to compose more tuclodically interesting buss
parts. These chords include the first inversion of the dominant (Ve), the first
inversion of the leading-tone triad (vii °°) and the various inversions of the
dominant seventh (V8, V3, and V4) in both major and minor modes. In their
usual function as passing or neighboring chords that embellish the tonic.
these harmonies permit richer contrapuntal relationships and a more varied
set of harmonic intervals between the outer parts.
THE V°. vir°°, AND INVERSIONS OF V'

Our two new dominant family triads are the first-inversion dominant and the
first-inversion leading-tone triad, harmonies that retain their same chord
200
THE V°.vii®. AND INVERSIONS OF VY" 201
type in both major and minor modes. Whereas the first-inversion dominant
is major triad written as VW (Example 13.1a), the diminished nature of the
a
leading tone tnad requires that we write Hie Rona nuineral of its first in-
version as vii" Exaniple As we noted carlier in Chapter t. dimin-
ished triads, such as the vii , are customarily found in first inversion, since
their root position and second inversion contain a dissonant tritone between
the bass and an upper voice (Example 13.1¢). The three remaining inver-
sions of the Many dominant seventh roundout our list of new aronies:
the first inversion (V8), the second inversion (V3), and the third inversion
(V3), with the seventh in the bass; all three appear in Example 13.1d.
Example 13.1
A B C D
,
i (ho be = (hb) 9 (4) #2
ef Ty}
e
IT
TT
nS
aia
> TT
a
iil ee Tey
“* =}
Ty
ja
ra
oo} @) AV oii 3
“Oy
Vl
bd
oi} __T]
1]
= 1
frm
DI
H
{eh \ es i
a “* = Gl
os i fe \
La Fd
ese ba
fal
\G
°
vii’? 1G
\3
.
tritone above bass V5 \4
Wo will vronp these dominant chords by the scale degrees th. tL Occur ats
their bass notes. Whereas the V° and V2 have the tone (7 or 47) in
the lowest voice, the vii and V5 have the supertoic leading1 tie lowest voice.
The subdominant appears Che bass of the Vi ATT
(2;
that i
is Tacking
bo
plete our dominant family are the already familiar V and V', both of which
have 5in the bass: these relationships between scale degrees in the bass are
plotted in Example 13.2
Example 13.2
| (Ho
A <>
(h) © b
}
-&
2;
Ty,
I a)
"cy
Po" if
J Ee.
“Cy|© I “loi TY]
—~41h
1
ee
> =
= 4
4 T
I ih
ni
in es T
T
T x
—*
4U
Dy
AWTS wer = 4 AUF ded |

I
fp
AN \" 6 vg
dl
vi
of
v4
.
\3
in bass: 5 7 2 4
The five new dominant chords contain active scale degrees in the bass
that tend to move or resolve to stable scale degrees in tonic
more
For instance, the bass7 of the V3 usually resolv es to §, the bass2 harmony.
of the\
to either Lor 3, and the bass 4 of the V5 to 3 (Example 13.3). These chords
occur most often within the phrase and typically function as linear or em-
bellishing dominant harmonies, which usually decorate the tonic triad by
their passing, neighboring, or incomplete neighboring motion in the bass.
They appear only rarely as part of the cadence formula, which normally em-
plovs the more stable V or V' in root position. As a result. we will (1) place
202 [CH. 13] LINEAR DOMINANT CHORDS a
their Roman numerals in parentheses as with our previous embellishing

chords, (2) leave them unstemmed in our reductions and models, and
(3) employ slurs to demonstrate their stepwise connection to the harmonies
that precede and follow them (Example 13.3).
Example 13.3
A. B.
fh | | {
:
Bh + a
ai |
=— T
me
7 § 2 — > 3 4 — 3 2 —»> | 7 — > 6 a
C: 1 (ve) | wiv) 18 c wh) 8 ah v)
USES OF THE V° AND vit°®

The typical functions of these two dominant triads are listed below.
1. The V°: As was the case with the first inversions ofI and IV in Chap-
ter 11, the great number of possible voice-leading situations makes it
impossible to list specific partwriting guidelines regarding the V°. You
should usually double the soprano voice at the octave or unison.
Never double the bass, which is the leading tone of the key. Correct
doublings are bracketed in the illustrations of Example 13.4. Since the
leading tone occurs as the bass of the V°, its natural tendency is to re-
solve to the tonic (7- 8), There are three typical functions of this in-
verted dominant:
A. asa lower neighbor (8-77-8) or an incomplete neighbor (4 down to
7-8) to the tonic (Example 13.4a);
B. asa delaved neighbor to the tonic (8-7-5-8), when 5 is momentar-
ilv inserted between 7 and § (Example 13.4b);
C. as a passing chord in the progression IV°-V*-1, using 6-7-8 in the
bass (Example 13.4c). Be cautious when partwriting this
sion, since successive first inversions (such as IV®-\*) are progres:
always i
potential source of parallel perfect intervals (Example 13. 4d). In
general, double the inner voice in the IV° and the soprano voice
in the V°, as shown in brackets in Example 13.4c.
ds
USES OF THE V®° AND vii?® 203
Example 13.4
a
// 8ves and 5ths
f
4
a aa +
Cc: I (ve) | I vo oy ) 4 I voy) I ave vy) |
2.
The vii®: While you may double either the chordal 3rd (scale degree
2) or the chordal 5th (scale degree 4) of this diminished triad, do not
double the root or leading tone (scale degree 7). The motion of vii” to
Tnormally features stepwise partwritingin the voices, consult dhe var-
ions iHrustrations in Example 13.5, where the correct donblings are
bracketed. Notice that nnequal Sths between HpPper vorces are accept
able in this progression (Example 13.5b).
Example 13.5
A. B. C. D.
(3rd) (3rd) (5th) (3rd)
; =
—— —
i rt
rn" NT P|
e
+
eye t
pot | —
=
a ~
—
ame
ae t
c (Ww4i°°) i (sii) iP (vii?®) i (ii) if
Since scale degree 2 oceurs in the bass of the vii”, it normally func-
tions as a passing chord between I and I°: either 1-2--3 or 3-2-] in the bass
(Example 13.6a and b). When the soprano moves 6-7-5. the vu can serve
as a convenient exit from the subdominant (IV-vii’’-I), since it avoids the
possible parallels of the root-position progression IV-V (Example 13.6c):

the IV-vii?®-I progression mav occur at cadences as well. Study the dou-
blings and partwriting used with the vii’® in the progressions of Example
13.6.
204 [cH. 13] LINEAR DOMINANT CHORDS
Example 13.6 B,
oer
x 3
i oO x 2
C: 18 (wu 1 1 (vii) 16 I ay
EMBEDDED VOICE-LEADING MOTION
In passages that employ linear or embellishing dominant triads, you may

find examples in which two different levels of voice are
unfold-
leading
ing at the same time. In Example 13.7a the bass voice’s leap from 3 down
to 7 at the end of the first measure is inconsistent with the usual behavior
of a lower neighbor (8- 7-8). In this case the initial I-(V)-I° represents an
embedded motion within the overall neighboring movement in the bass:
C-(D-E)-B-C. The upper slur connecting C® and E® and the interior stem
on E® mark the embedded progression; the lower slur marks the long-
range neighboring motion in the bass: I-(V®°)-I. A similar situation occurs
in the soprano, whose opening downward neighboring motion is embed-
ded in an ascending passing line: C-(B-C)-D-E. Thus the large neighbor-
ing motion in the bass (8-7-8) is balanced by the larger passing ascent in
the soprano (1- 9. 3), as denoted in the accompanying reduction (Example
13.7b).
Example 13.7
A. B.
8 7
| | —~1 | 4
k—e- KD
e | | | | | |
ey
« #£
—
= 2 Id 2
raX rau
———
i
6
IS |
8
C: 1
vw) Bb wh 1 ¥ j——& Vv
INVERSIONS OF THE V"° 205
EXAMPLES OF THE V° AND vil°° IN MUSIC LITERATURE
Example 13.8 provides two short phrases from chorale harmonizations that
incorporate these two embellishing dominant triads. In addition to the typi-
cal passing vii’ and neighboring ve progressions found in Example 13.8a,
observe the long-range voice exchange between C and Eb in the reduction
(Example 13.8b). Compare the first six pitches of the soprano with the last
six pitches of the bass; note that the bass has the same six pitches as the so-
prano, but in retrograde. In the opening measure of Example 13.8¢ Bach
momentarily crosses the alto above the soprano voice, an admittedly rare oc-
currence. Point out any examples of unequal 5ths you find in these excerpts.
Example 13.8
“JESU, JESU, DU BIST MEIN” (BACH CHORALE HARMONIZATION)
® A. B. .
ae pe
o>
Ww
mal
|
6
(WH (\
“DAS NEUGEBORNE KINDELEIN” (BACH CHORALE HARMONIZATION)
@® C. D. .
a
Ald
TSS SPH
Fy
Hel
re
|
|
well]
| =
“eH
a
—wileL
This
oN
ao
wh
(WY) i? wu
INVERSIONS OF THE V'

The doubling in inversions of the chords is usually not a problem, since
VW"
these chords are almost always complete seventh chords, with each of the
four chordal members assigned to a different voice part. Since they share
206 [CH. 13] LINEAR DOMINANT CHORDS
the same scale degrees in the bass, we can make direct comparisons be-
tween the V° and V§ (both have 7 in the bass), and the and V3 (both vii
have 2 in the bass). The third inversion V3 Ovith -t iu the Hass) we will treat
separately. In general, the chordal seventh (scale degree 4) in inversions of
the V' chord is treated in the same way as the 7th of the root-position V‘
chord, discussed in Chapter 10. In both root position and inversions, the 7th
is prepared by passing or neighboring motion, suspension, or appogiatura
figuration, and it invariably resolves downward by stepwise motion to scale
degree 3. In addition, inversions of the V chord function in much the same
V’
way as inversions of the V triad.
1. The V° and the V8: The V8 functions in much the same way as the
triadic V°. Example 13.9a through c illustrate some typical uses of the
V8; compare these with their V° counterparts in Example 13.4a
through c. The chordal seventh in the first two is prepared and re-
solved by neighboring motion; the last is prepared by a suspension.
You would normally avoid unequal fifths between outer parts (Exam-
ple 13.9d), but as Example 13.9e shows, you may use them when
moving from a V to a V8, since the fifths occur within the same basic
chord rather than two different chords.
Example 13.9
A B C. D E.
avoid Ok
h_|
7 an ;
—_——. ;
=
—_—— 7
f
—— ————
Za
t { 1
—= { { I
I.
!
a /| in fa
I. |
Ge i
Whi i WES VD i i dV! vy) i i (V9) i i
2. The vii®® and the Vi:

These similar dominant chords likewise tend
to function as passing embellishing chords between I and I°, or vice
versa. The tvpical uses of the V3 in Example 13.10 mimic their vii”
counterparts in Example 13.6. Various preparations and resolutions
are illustrated in these three models—by neighbor, passing, and sus-
pension figuration, respectively. Like their vii’, the 3 is also useful
INVERSIONS OF THE V' 207
in harmonizing scale steps 6-7-8 (Example 13.10c). The upward reso-

lution of the soprano 4-5 in Example 13.10b contradicts the noriual
downward resolution of the chordal Tth,. 4 down to 3 This voice Tead-
ing is acceptable because the strong melodic motion of the similar
Loths between the soprano and bass overrides our need for harmonic
resolution, Also observe the allowable unequal Sths between the so-
prano and alto.
Example 13.10
A. B. C.
P!
A_| ix ~
:
— : ———— |
| |
—"s
a
N
>}—
— — —
-* YNZ it
'
= = af | =
|
(v4) i
(v4)
iP i® dv v4)
3. The V3: Since the dissonant 7th occurs in the bass voice, the third in-
version or V3 is a noticeably striking chord. Example 13.11 illustrates
some typical settings, using passing, neighboring, suspension, and
even appoggiatira figuration to prepare and resolve the chordal 7th.
Although the leap to 4 from 1 in Example 13.11d may seem strange, it

is actually quite commonly emploved in the bass.
Example 13.11
A. B. C. D.
|
4
o——_$
|
$ —
o Py = o
|
e | | |
if | |
.
[cs 2 2 |
O
ry =. rn on
oe | oe
6
(v4) 18 rm ow 1° ce Wo
ow iva 1
EXAMPLES OF INVERSIONS OF V' IN MUSIC LITERATURE

The following excerpts provide examples of various inverted dominant
sevenths. Since the openings of slow movements in the Classical period
often display multiple uses of inversions of V‘, we will use passages from
three of Beethoven’s piano sonatas. The opening of his Opus 110 moves
from V3 to V3 to embellish the initial tonic (Example 13.12a). The first
reduction (Example 13.12b) demonstrates that the V3 arises from a voice
exchange repeated from the first measure (1-I°). The final reduction in
Example 13.1lle suggests that the entire passage represents passing mo-
tion from I to I°.
Example 13.12 BEETHOVEN Pivvo SoXavrvin A rLat Major, Ov. 110, 1
@ A.
4 K
=
|
e
F :
|
=
AL. ] ye iv vd {°
B, C
joy | fy
0 10 10
ne
Cesa
OBE
— @ ~_f*
ca a
= —
=
l |
— |
(wd) 1° Ne P
In the opening theme from his earlv sonata in Ab major (Example

13.13a), the V3 in measure 2 seems to function in a traditional passing man-
ner (1-2-3°. Wowever, the reduction in Exanple WAABD reveals that this is
merely an embedded passing motion I-(V3)-I° within the overall neighbor-
ing motion 1-(W*)-] prior to the half cadence on V. Beethoven uses an em-
EXAMPLES OF INVERSIONS OF V7 IN MUSIC LITERATURE 209
bedded technique in the soprano voice as well, a neighboring followed by a

passing motion.
Example 13.13
BEETHOVEN: PIANO SONATA IN A-FLAT Major, Op. 26, I
@)A
— a
a
.
(an k _ =
: 3
a
————— —
~_> —
oT J
;
L : : L
——=
Ab: (vA) 1° (vo) \
B.
3 3
| |
17, 5
| |
\Z ] | |
=
e
1 |
6
Ab: | I V
Finally, the voice leading exemplified in the opening four bars of the
slow movement from Beethoven's Op. 10, No. | is a good example of the
importance of om motion as a means to determine the true func-
eishing
tion of chords, While tormight he tempting to label cach chord with its
proper Roman humeral (Example 13.14a), this analysis implies that those
chords labeled with the same Roman numeral are of equal importance and
share an identical function. By disregarding the melodic influence of the
outer voices, this exclusively vertical approach gives us a misleading idea of
the real functions of the chords, bothin relation to each other and to the en-
tire passage. A careful examination of the phrase reveals something quite
different; consult the reduction in Example 13.14b. The first V§ operates as
an embellishing neighbor to I. prolonging tonic harmony for the beginning
two bars. In the next two measures (mm. 3-4) the situation is exactly re-
versed, for it is now dominant harmony that is extended, with the I chord
acting as an interior embellishing chord to the more essential V3 and V. One
might go a step further and suggest that the entire
aA
excerpt represents an ex-
pansion of the tonic through passing motion (1-2-3) in the soprano, as shown
in the final reduction (Example 13.14c).
Example 13.14
BEETHOVEN: PIANO SONATA IN C MINOR, OP. 10, No. 1, I
A.
Adagio molto
fh |
x | \
aS
A
i
tay.
=
T 7 a
Ww if is
. I
[ ; q
-
ce | 7 {f
Oe
—
0
a . fe ia
:
>ad : t
— = oe
{
i
:
“t
Ab: I
vg I Vg I V I
B C.
: i 3
N N P
A141
VF
|
|
| [4 | |
N
IN
oe
o_ Lnd 2
laud
ia
{
—
6 6
5
Ab I Vv I Ab I
The bass of the Chopin waltz in Example 13.15a suggests a kind of

changing tone figuration (scale steps 1-2-7-1) using an embellishing V3 and
V8 that act as neighbors to the tonic harmony. Here it is the soprano that
proves tricky to reduce. Clearly, measures 1 and 3 begin with an F but
how do these F¥’s connect to the Af and B in measures 2 and 4 (Example
13.15b)? The upper voice actually implies two different lines or a compound
melody; observe the upward and downward stems in Example 13.15c. The
ARPEGGIATED EXTENSIONS OF DOMINANT HARMONY 211
Bt (in measure 1) connects to the Ag* while the CH in measure 3 continues

the saine pattern to Bi
producimy a voice exchange with the bass notes of
the inverted dominant seveuths. [we now supply a couple of upper les Wi
parentheses to indicate the implied retention of the first note, the Qvo-\ oice:
implication of the soprano becomes clear (Example 13.15d). We could even
fill out the harmony by using the upper voice of the left-hand chords as our
tenor line (Example 13.15d).
Example 13.15
CHOPIN: WALTz IN B Minor, Or. 69, No. 2
@ A B.
i
A
NV
a
Le J
9 t
0
I | l I
bal
r
I
eel
t
i I
Pe |
th tT
——*
oe
eed
if if
@ e)
bl
ar: a
ay ay
}
2 .
$4 $
. 4
$o $ od
4.
She
bl OO
#
rae
b i i
(Vd VO)
C. D.
a oe ps. = “oe:
7
7
—
e Pe
oo Pi
o}: =
——
aa
am
‘te
P|
|
=
| |
i |
b: i i h i i
(vs V8)
ARPEGGIATED EXTENSIONS OF DOMINANT HARMONY

We have seen how tonic harmony I and I® can be prolonged by embellish-
ing dominant chords. In a similar manner, the V' may be extended
throwel the use of its vartous tiversious iar ascending or descending
ass arpeeaauion. These doimiitiait proloigations solmetines SCHVEG dS
troductions to the initial theme of a piece, as in the case with Sousa’s
iiarchi EAvaiiple 15.16). Here the I and 1° serve as enibellishing chords
Whose bass notes bridge the dominant chord ieiibers with passing mo-
tion, The contrary motion of Uie two outer voices generates unplied in-
versions of the V".
212 fCH. 13] LINEAR DOMINANT CHORDS
Example 13.16
Sousa: “THE THUNDERER”
(f) A. B.
+ —~
=oe
he
fa’ fal
=
|
4
|
:
ry) oe |
(1°) (i) cve
In the Beethoven excerpt (Example 13.17), the dominant is extended

near the end of the phrase, where the bass arpeggiates through the domi-
nant seventh, producing a V3, V°, and V' in succession before resolving to
the tonic. The soprano does the same thing, moving from the 3rd through
the 5th to the 7th of the V’ chord.
Example 13.17
BEETHOVEN: PIANO SONATA IN E-FLAT Mayor, Op. 31, No. 3, HI
QA.
|
|
vrrrrrirrr
Lysas r
44
bh _T if
—_ a
@
(\
EXCEPTIONAL TREATMENTS OF THE CHORDAL 7TH 213
EXCEPTIONAL TREATMENTS OF THE CHORDAL 7TH

The following excerpts represent three exceptional ways of treating the Ih
chordal 7th of the dominant seventh.
1. Ina delayed resolution the chordal 7th does not move immediately
to 3 ut is
momentarily diverted. This occurs in the Mozart Fantasia
(Example 13.18a), where the soprano G’ in measure 14 takes the
be:
form of a dangling 7th within the V5 harmony. This chordal 7th does
not resolve until the second half of measure 15, as the accompanying
voice-leading reductions demonstrate. The F >in measure 14 is not
the note of resolution because it is a dissonant passing note against
the V° harmony.
Example 13.18
Mozart: PIANO FANTASIA IN D MINOR, K.397
@ A.
tl
12 oe
I
i
i
B. C
4 3
e ZY a —
-
_— =
_
ft
@ an
i
~-+—— I
@
=> t t = t
® oe oe
te
d: i i d: i
(V3 V8)
2. The chordal 7th is sometimes moved or displaced to a different voice

part before resolving. In Example 13.19a the C? in the piano part of
measure 3 is momentarily displaced to the bass, where it then resolves
(C°-B’) before moving back up to the soprano in measure 4. Schubert

must have felt that this device was necessary to avoid the possible un-
equal 5ths that would otherwise result between the vocal part and the
bass in measures 3-4 (Example 13.19b).
Example 13.19
@) A. SCHUBERT: “HEIDENROSLEIN,” Op, 3, No.3
— oe —— @
yg
L——
Sah ein Knab’ ein Rés - lein_ stehn, Rés -lein auf der Hei - den,
fh
_\f
ee
4
red
—_——_|
es oe
e ba
_{
ad
A
a- =
j\ =
1
1X
O
mY)L ay
vo
= ey = vn
i
eo
mn
ry]
\ aq
___
| a
ww ——
A3
_ ——<__,
i 1
vi vi
Ls
i" 1
—| wl _@
”
——————
GI vs v4 1° I
B.
OH—4—_+ ' lL.

]
—. 7]
__
jay
__
eo —— T_T ua}
eo eo SSS i——_$¢-
oe
——v—X—
—¢ oe
—
o\>: &
—__f* 4 a a fll a
it
I
C77
——L
=n _ a4 C71
I
(similar 5ths)
3. Examples of transferred resolution, in which the chordal 7th re-

solves in another voice are rare. In the Beethoven passage of Example
13.20, the resolution of Ab’ in measures 7-8 is transferred to Gt in a
different voice in measure 9. As we would expect, these irregular
treatments are infrequent in the literature.
EXTENDED PMBELELISIEMENT OF TITRE TONTO ITARMONY 215
Example 13.20
@ BEETHOVEN. PLANO SunaA IN E-PLAL Major, O&, 7, I
(7th)
Se
5
_ Eerfer
o- eo
£
wo
amd
re) {———} ——
es
LT
= ee
\
+. oe -_
== }
en
|
*
: je ~ an 3
_ a oe Pek
Se
—|—
om —
ix
iJ
raat
ana
a © I
oO
Eb I (V") I
EXTENDED EMBELLISHMENT OF THE TONIC HARMONY

The initial tonic harmony in a phrase may be prolonged by more than one em-
belhshing chord prior to the cadential formaka This prolongation characteristi-
cally takes the form of a TY or TW which is uisnially: followed hy some Hnear
dominant chord, such as IN vin in inajor (example b3.2bay or rus V5 )-1
‘Faampte BAMA We have abroad nsed tywo-chord emibe ishing pro-
gressions in several of our prior models and excerpts; for instance, see Example
13.6c. In order that this interior prolongation does not resemble or anticipate
the more stable root-position progression at the final cadence, inversions of
both the embellishing chords and the tonic are usually emploved. The short
Purcell passage (Example 13.21c) is a typical instance of this technique; its re-
duction appears Fxaunple 13 24d Tn the models and reductions, the Ronan
numerals of the eubellishing progression are placed iu parentheses, and the
chords are istered and connected to the framing tome harmon with slaurs,
Example 13.21
VF
Tey
ian e
fe
|}
AL
»
te
é
SH]
ie
oe
|
re
:
|
Te
|
|
gv vie) 18 ov \ v4 6 6
216 [Ccu. 13] LINEAR DOMINANT CHORDS
C. PURCELL: “FEAR NO DANGER TO ENSUE,” FROM DIpo AND AENEAS, ACT I
A |
ZI 1
ia —s- —_——6-
alf2 m4
—e-
|
ie
|
—
+ a
|
fo
I
—T |= I
D.
a
ABU
____|
iu
al
ce (Y) I (dv vy) fF Wwoéoy I
Some additional guidelines to aid in your use of analytical symbols are

provided below for reference.
— Embellishing dominant chords (such as V°, vii°®, and V’ inversions)

ve remain unstemmed with a connecting slur from the preceding to the
following note.
In embedded voice-leading examples, the tonic note of the

@
embedded figure is stemmed in the opposite direction
(upward for the bass and downward for the soprano).
a——~, In arpeggiations of embellishing chords, do not stem any of the

° « notes.
Although we can now support all the scale degrees of a melody with our
chordal vocabulary, we should nevertheless attempt to harmonize only
those melodies that actually imply primary chords. Since we now have a
greater variety of linear dominant chords available, we can focus on the

melodic characteristics of the bass and the contrapuntal and intervallic rela-
tionships between soprano and bass, which are important aspects to con- |
sider when composing the interior of melodic phrases. The chorale

harmonizations of J. S. Bach are excellent models to study in this respect.
His bass lines, which often contain numerous embellishing chords and
tones, are sometimes better melodies than the original hymn tunes, as ex-
emplified by Example 13.22.
Example 13.22
“LIEBSTER JESU, WIR SIND HIER” (BACH CHORALE HARMONIZATION)
B.
3 3 3
i
rN ——
ne
i
—— ——————————————
—y—
7
see
see, —2 | et
a a
7
—
oe. 1
oe
t
_#
=
1
GI ive)
We noted previously in Chapter 11 that we should strive for maximal dif- i

ference between the contours of the soprano and bass voices in order to pro-
duce two distinctive melodic strands in the outer parts. We can ensure this
independence through a judicious use of contrary and similar motion. 7
Oblique motion is less common in harmonizations that feature a fast har- |
.
monic rhythm, unless the soprano note is repeated. Avoid an excess of simi-
lar motion, as it will jeopardize the independence of the parts and may result
in parallel 5ths or octaves.
Finally, in the interior of the phrase we should strive for a preponder-
ance of imperfect consonant intervals (3rds and 6ths) between the outer
'
|
parts. Occasional perfect 5ths and tritones, the result of VW inversions, are
possible, but the octave should be avoided, unless it occurs as a passing
sonority on a weak beat. The beginning and end of the phrase will continue
to employ the more stable octaves and Sths. The bass tends to leap more
dunng the cadential formula becatise of the greater use of root-position
chords.
Now examine the passages shown in Example 13.23 and analvze the
melodic characteristics of their bass lines as well as the melodic and inter-
vallic relations between the outer parts. Mark the various tvpes of
melodic motion between the staves, using the abbreviations C for “con-
trary,” S for “similar,” and O for “oblique,” and indicate the resulting har-
monic intervals
Example 13.23
A. B.
Lo Poy |
ss = a
|
o
|
{2 I
{#—
T
oe Ly
—f
HW
ANSE Le 3
}— Cr TAS. VT .
bid
e)
- 79 AD mis 4 1G
@ 4
e
: o i >
="
fmm 4
i _ 2.
|
4 |
| al ual _@
}
ie
|
|
mi mi if r
Bb: 4 66 6 6 4 6 b: 6 6 6 6 4
9 5 3
Example 13.24 is a hymn tune with three harmonizations, indicated by

the different bass lines and figured bass. Evaluate each setting in terms of
the previous discussion and point out any errors or questionable procedures,
both melodic and harmonic. Then in a class discussion, be prepared to de-
fend vour choice of bass line.
Example 13.24
1
A
|
—
=
i I
6
7 7 7 7
@.
e eo ry wm
ad ~—
T
T t t
e)
I
i |
e e P a) a!) u
| a
tas |
Dall al 0
4 a tars |
A.
[oe
il
al
eo
__ |
ae +—
r .
T
I
w 6 6 6
5
i |
——
1
B. {_——+-— :
7a <a |
#
:
=
A 6 & 6 #
3
—tHass I
: t
Cc.
ie
t
—
—
e hl
oo
. } ——t
ar 6 # 6 w
In setting folk songs, the rate of chord change or harmonic rhythm is

usually slower than in hymns, often only one chord per measure. However,
the soprano—that is, the tune will tend to be more rhythmically active
than a typical hymn tune. After vou sing or play the tune in Example 13.25a,
first observe the primary or stressed notes at the beginning of each measure
and then examine how the harmonies and bass line support these pitches. As
the chordal 7th of a V’, the last Gb! of the tune appears to lack the proper
resolution to F, but the four-voice setting (Example 13.25b) shows that it
has been transferred down to the tenor part.
Example 13.25
A.
J 7, a |
|
@ > I
a ee ae
| | I
bh
aS oe eo — a
(PJ @ Y> ==@ * =

@-
al
114 5
Sin |
Db: I
(vi) 1° (IV ro
ove
owe
cai
ae
fi
The
TR
4
1
4
oi
Ie
Mh
Es
eH
Tee
Held
1
rH
1
TR
a
,
m |
OSL
NES
oe ‘ie
—elell
7
ra
Ih)
tl
jan
alt
Ht
HO
all

embellishing dominants (V°, vii, unusual treatment of the chordal 7th
Vs, V3, and V3) delayed resolution
embedded voice leading dangling 7th
extensions of V‘ displaced 7th
extended prolongation of tonic transferred resolution
harmony

1. Fill in the missing voices in Example 13.26 according
to the Roman nu-
merals. Make sure that you prepare and resolve all chordal sevenths
correctly.
Example 13.26
A. B C D. E F
Joy
= ere
wg
£2a
| | | |
Ly
| | oy
oe {4 bp —
J
Po J
ar T
+~+——f —- aa il
or
t —+
hall ha 0d -o—e- Laan
oy
« I
1F
o—
—$
Pe #
——
t
° 4
mal
}
hom
a _—_|——
D: i Vor of iv vei Gs vg 8 ob iP PP iv VEE Ab IP vad
2. Analyze Example 13.27 with Roman numerals, noting the presence of

any embellishing dominants. Then fill in the alto and tenor voices ac-
cording to the figured bass, paying particular attention to the preparation
and resolution of chordal 7ths in the inversions of V'. Indicate the tvpe of
figuration used in each.
Example 13. 27
\y_ | ¢ I\ ,
| 2 |
aA ~P| I
&
ry
Oo
|
ae Uy
a a Y
|
© |
ion
Ant © ¥ as en
ne ae
i i a
ia
7
|
+
d
|
3. Analyze the harmonies of the dominant extension in Example 13.28,

being sure that you denote all embellishing chords within parentheses.
What kind of chords embellish the various dominant inversions? Make a it
voice-leading reduction of the passage.
Example 13.28
TH
Cd
RY [QL
Cd.
|
C H A P T E R 1 4
The Pre-dominant II
and II’ Chords
E HAVE NOW CONCLUDED our study of how the primary chords

and their various inversions operate in tonal music. The following chapters in
Part I will take up the remaining diatonic chords. Having previously dis-
cussed the function of the subdominant triad (IV and IV°) as either a pre-
dominant leading to V or an embellishing neighbor chord to I, in this chapter
we \will introduce its pre-dorminant COMP UOn- the supe rtonic trial andl its
seventh chord (ii and ii‘) and examine their typical uses as both cadential and
embellishing chords, as well as their usefulness in h harmonizing melodies
THE SUPERTONIC FAMILY

In our presentation of supertonic harmony, we will treat both the supertonic
triad and its seventh chord concurrently. Study Example 14.1, which lists
and identifies the supertonic chords in C major and C minor.
1.In the major mode the supertonic triad is a minor sonority, and its sev-
enth chord is a minor seventh (m7). The supertonic triad occurs in root
position and first inversion (ii and ii®); the seventh chord is found in root
position and all three inversions iv, ii, nf, and al Bxaniple The.
2. Inthe minor mode the supertonic triad is dimunished, so that it usualls
occurs in first inversion With an added maiinor Tth, it forms a
half-diminished seventh chord in minor keys, again occurring in all
four versions: ii?', ii?8, ii}, and ii? (Example 14.1b). A minor triad
222
THE SUPERTONIC FAMILY 223
built on the supertonic (ii) incorporating the raised 6th scale degree
(#6) is theoretically possible in the minor mode, but it has a curiously
sour sound andis almost never used (Example 14. 1c).
Example 14.1
Fo aQ »=4
Zhe a>.
—f_»
_+_~y ]
~ ye
banal
>= 4
—* Ty
>= 4
= <i>
w=
eon
a4
> ba¢ = 4 Tj
ij
Saal it 7 ay
o Le) iF
, aT :
C: ii ii il ii@
iis iid
B. RARE C. AVOID
_ -2. QR >= a
La \|
|i
4 ——_C»
6.2%]A Vrs pa 45
ii a
=< —_t]
=
\
SO
al CG
et
Tez
iH
——#
hd [© aed ay
18 L a4 © ee =
ai
m1)
iO)
o wal
C ii? 540° ii?’ ii? ii? ii? ii
The various inversions of the Supertonic seventh chord almost alwavs ise
SHISPCUSION figiiration for the preparation
and resolution of the chordal 7th
Exaniple rer
through dee however. ane oceasronal passing motion may
occur (Example 14.2e).
Example 14.2
A. B. C,
- a a
Se
TO
ee
Lf 1
— =
T —L.
a | T Bt
|
Ae —— —_l YT _{ I —_@
6 Cc 1 ii T Ce
ie
E
P om
io
a= ——— oe
+ o-
T [oT I
o t= \|e# # g ~o
|
or
I c 1 if ui Vv I
224 [CH. 14] THE PRE-DOMINANT If AND II’ CHORDS
PARTWRITING WITH SUPERTONIC CHORDS

The common partwriting procedures for supertonic chords are listed below.
1, Since their roots are a 5th apart, the progressions ii-V and i’-V repre-
sent diatonic transpositions of V-I and V"-I. Use the same doublings that
you would in the V-I and V°-1 progressions—that is, double the bass
(the root) in the root-position ii chord, and double the soprano note in
the first-inversion ii” (Example 14.3a). Handling the ii?” correctly in the
minor mode is somewhat more difficult. Doubling the bass in the
minor-mode ii” can produce either parallel octaves (4-5) or a melodic
skip of an augmented 2nd (b6-47), as shown in Example 14.3b. In ap-
proaching ii or ii’ froma I, be warv of using open structure, as parallel
a
5Sths may occur (Example 14.3c). Since the same is also true of the root-
position Lii progression, you must either move the upper voices con-
trary to the bass or double the third in the ii chord (Example 14.3d).
Example 14.3
A. B. AVOID (AUG OND. / SVAS:
( C C Cc
__ 1 | | .
_|
| L
SSS
Wy
iv a ]
—g— _—_|. 1.
oe @
—————
|
P + |
nn a |
|
————
e t —_y——} —
+
if I mn _| _— |
I
!
|
\ v I ii® yo I OU
C. 4 35THS BETTER D.
or
oe
«6
11 16 mt I 11
2. As is the case with inversions of the V’. all four chord tones should be
present in inversions of the ii‘ chord. Provided that the chordal 7th is pre-
THE PRE-DOMINANT ii? AND ii2 IN CADENTIAL FORMULAS 225
=—-
pared and resolved correctly, usually by suspension, these inversions pre-

sent no particular partwriting difficulties: review Example 14.2a through
d. However, if vou move from a root-position ii‘ toa root-position Vv", one
of the chords must be incomplete lest parallel 5ths result (Example
14.44); in this case omit the chordal fifth and double the root of the V'
(Example 14.4b) or else do the same with the ii’ (Example 14-4c).
Example 14.4
A. 4 35THS B. C.
C C C [ I C
6 6 6
lL ll 1]
Summary of Partwriting Supertonic Chords

1. When using the supertonic as a pre-dominant chord, maintain the
same doublings as in a dominant-tonic progression—double the bass
(the root) in root position and double the soprano in the first inversion.
When moving from a root-position ii’ toa root-position VW". one of the
i)
chords must be incomplete to avoid parallel 5ths.

3. In inversions of ii’,
all four chord tones should be present.
Titk PRE-DOMINANT ii) AND iis IN CADENTIAL FORMULAS

The first inversion of the supertonic triad and seventh chord occurs more fre-
quently than its other forms. The ii® and iif may be considered as close relatives
to the root-position IV: not only do they both function as pre-dominant chords,
but they also share the same 4 in the bass, whichis a crucial scale degree used
in approaching and establishing an authentic
cadence—I(or 3)-4-5-1. While
the
4
IV features intervals of a 5th and 3rd above scale degree in the bass, the
iireplaces the 5th with a 6th while retaining the common 3rd. Example 14.5
demonstrates this close relationship.
226 [CH. 14] THE PRE-DOMINANT II AND II*° CHORDS
Example 14.5 3 8
==
fh __|
|
e
— ——
| | |
— —
cane
— =
Cc: IV ii iS
f
The progression Lii®-V(")-I or its seventh-chord version i-ii2V(‘)-i is one
of the most frequent cadential formulas in the common-practice period.
One reason this authentic cadence sounds so conclusive is the convincing
stepwise descent of the soprano to the tonic (3- 9-9-1) coupled with the
|
familiar lor 3)- 4-5-1 in the bass (Example 14.6a). The supertonic seventh
requires preparation of its seventh by suspension (8-8-7), as shownin Exam-
ph 14 6b, Two passages from autsic literature that feature this psarticular cae
dence appear in Example 14.6¢ and d. The first uses a perfect cadence
(3- 9-9. 1). Note the three--voice texture of the Chopin excerpt and the
momentary leap from 4 down to 2 in the bass before mov ing to 5-1.
Example 14.6
A. B.
i 3
3 2 3 3
|
2
|
Ai
(5 |
I I
PTs — —
Cr 7 | | |
| sme
S
3 LD,—s *
= Py — t =
Cc
i 6
r
Gi I
|
oy © i
#8 YN
C. JOHANN FROBERGER: SUITE IN B MINOR (GIGUE) D. (REDUCTION)
29
iN
4y | | |
io
i
e
an
Y—t
2
: —
__T ay
b
THE PRE-DOMINANT ii? AND iif INCADENTIAL FORMULAS 227
3) E. CHoOpix: MAZURKA IN C-SHARP MINOR, Op. 50, No. 3
187
Ss |
_
oe
!
. 6 ,
*
ct F
The ii$-V-I cadence normally features an 8-7 descent in the alto (Ex-
anple 14.7a). In the triadic version of this progression (ii®-V-1), the so-
prano often descends from 2 to 7 via a passing 8: 2- (8)-7 (Example 14. b
We iLL) Mew thas progression as a Written-out linear version of thie us,
with the 8-7 functioning as an inner voice, note Uie stenuning and slursiu
Example P67 There as some justification for ASST that thas last
Ho
passave actitally iniplies orvinal D2]
soprano line. shown in
paren theses.
Example 14.7
e
=
|
r
=
ie i y i i n
—
Of course, other soprano lines are possible with the ii®. Examine the
first three passages in Example 14.8 and note the soprano scale degrees of
the last four cadence notes: in Example 14. 8a, the scale degrees
Soprano
are 5-4-2-3; in 14. Sb, 5-4-4-3: and in 14.8c, 3-4-2-1. The ii® can also pre-
cede the dominant in a half cadence (Example 14.8d); note the embed-
ded voice-leading motion in the bass reduction of its first measure
(Example 14.8e).
228 [CH. 14] THE PRE-DOMINANT II AND II’ CHORDS
Example 14.8
A. “LUTHER'S CHANT” (HYMN TUNE)
A
ES
dy 4
Le
aa
Li
6 6
(\
B. “SALISBURY” (RAVENSCROFT’S PSALTER, 1621)

5 4 4 3
GO | ——————
——
———
ry)
if
or
|
A 0 Ps
VA pb
F. |
I
wood)
|
iV
= I
ee
@ ©. W Boye SHARON TYMN TUNE

~Witt
TT
6
Eb: ® av v8) 7
@) D. BEETHOVEN: PIANO SONATA IN G Major, Op.14, No. 2, If E. (REDUCTION)

3 4 3
a a
i
a ee
*
— Gy
1 T
e
Sy
a a a a
a
od
— |
So
O e
haat
O
i ry
ay
—@—_*
77 a4 i
a7
oe
V r 4 4
if
| |
if
vb hv)
SUPERTONIC HARMONY IN EMBELLISHING PROGRESSIONS 229
Additional forms of the supertonic chord can also appear at cadences,

such as the root-position triad (Example 14.9a) and three of its seventh-
chord forms (see Example 14.2a through c). In the minor mode, however,
we rarely see the supertonic chord in root position: since the supertonic
triad in minor is a diminished chord, it usually appears in its first inversion.
As a general rule, avoid using the ii® chord in root position in the minor
mode (Example 14.9b).
Example 14.9 A. B RARE
A~— bb
we!|
¢ “wt
ai
@|
mm|
~
D>
fo}
—
—
an
ron
=
=
. SUPERTONIC HARMONY IN EMBELLISHING PROGRESSIONS
Like its counterpart the subdominant, the supertonic triad and seventh
chord often occur in short embellishing progressions that serve to prolong
7 A
tonic harmony within the phrase. stich as Pedi TP or ie Woe \
. aa oe re
As we
have noted before, such embellishing progressions avoid typical cadential

melodic formulas in the soprano voice and frequently originate and con-
clude with weaker inverted I chords. We will continue to designate these in-
terior embellishing chords with unstemmed note-heads and slurs in the
voice-leading reductions, and place parentheses around their Roman nu-
merals. Since so many of these progressions exist, we have called attention
only to some of the more common ones in Example 14.10.
Example 14.10
|
|
ll I’ 11 \4 6
LV6 il
230 [CH. 14] THE PRE-DOMINANT II AND II* CHORDS
C. AVOID D.
Aim =
a)
o
i * _____»—_y
eo _ al
— { I
@
t
—#
£ = oe «_ oe _
z—
+5
—— z
4
had |
Cc: 1 (wii) I I (ii) 16

(7g V9) i iv®
not ii
7
)
|
6
;
ll (WH [°
In Example 14.10c the third chord is best considered a vii which moves
to the tonic. Examples of a direct ii to I rarely occur. Example 14.10d and e
illustrate typical uses of the ii} in both major and minor , to
modes, resolving
either V° or V8. This embellishing neighbor progression (8- 8-7-8 in the bass)
usually occurs at the opening ofa phrase.
EXAMPLES OF SUPERTONIC HARMONY IN MUSIC LITERATURE

The following excerpts incorporate various supertonic chords. In both
Weber’s clarinet theme (Example 14.11a) and Strauss’s waltz tune (Exam-
ple 14.11c), the same four-chord cadential progression—I-ii°-V(‘)-I—is
spread out over an entire phrase. In the reduction of the Concertino pas-
sage, the notes of the compound melody are gathered together in each
measure and expressed as a vertical chord, resulting in a soprano line of
3.9.5. (44)- 3 (Example 14.11c). The same reduction technique applied to
the compound melody of the Strauss waltz vields 3-2-2-1 (Example
14.11d).
EXAMPLES OF SUPERTONIC HARMONY IN MUSIC LITERATURE 231
Example 14.11
@)
A. WEBER: CONCERTINO FOR CLARINET IN E-FLAT MAJOR
2: eo .
CY]
YZ
— |
meee ene al . | ———sF
AW
T
ft
B. (REDUCTION)
uD
o>
: (4 3
)
a
‘
—n
Te
H
-1
aA
Fl
4
@) C. JOHANN STRAUSS, JR.: “EMPEROR” WALTZ
eae ty fda aay

—
a ee ee
a
gg li lp gg ligy aa an
D. (REDUCTION)
Tad 2 3 2
— 7
2
=
j
=
e) I PS
1]
932 (CH. 14] THE PRE-DOMINANT II AND Il? CHORDS
The major-mode progression Lii'-V'-I occurs in legions of popular

songs and ballads. The first sixteen bars of the chorus in Cole Porter's tune
(Example 14.12) is based on this recurring succession. The reduction gives
a more accurate picture of this phrase’s voice leading, with the notes in
parentheses suggesting the implied preparation and resolution of the

chordal 7ths.
Example 14.12
A. Cone Porter: GET A KICK OUT OF YOU” B. (REDUCTION)
34
\
If
_ 3
_ i 3
Ty,
| 4
fp + I
:
—|? if pb if it
—}
ad ie
|
T
mT y
re oe
“id
|
28
ie
¢
P
THT
‘|
ae
ett
Ae
a
+4
EI}
In the following Mozart passage (Example 14.13), the soprano consists of

a compound melody that jumps back and forth between its two linear
strands. In fact, the reduction, which adds the implied notes in parentheses,
shows that its underlying voice leading is almost identical to that of the pre-
vious Porter song.
Example 14.13
CG)
A. Mozart: PIANO SONATA IN B-FLAT Major, K.333, 1
N
— —~~
rr
= ae
O
i
I nual
—h oe
+——_+_+ 1
———————
yD? ge ee
— ay se
_—f
ete of Y ==
|
£
A... 2 {oT aa
vi
ry
Ga /,..7
|
eo
> |
Lg a jt
[nd
| a a
a a I
oe a
SO
224
EXAMPLES OF SUPERTONIC HARMONY IN MUSIC LITERATURE 233
B. (REDUCTION)
f| ~ e
|
?
.—
——
= wr
z $
|
|
@) I
|
|
o eo o
| i I
2. 1
I I
mal I
l I
5b t
6 -
Bb: I ii Vi I
In the famous Schubert song below (Example 14.14), the voice-leading

reduction incorporates the tune, the upper two voices of the accompani-
ment, and the bass line.
Example 14.14
@ A. SCHUBERT: “STANDCHEN” FROM SCHWANENGESANG
5
A. i [>]
—
I T NN KT
— LK IN i=
| _
IN
3
ol _]
al
|
| !
asl I
ay T | i a
> o + 4 im
Ll
@)
Lei - se flie - hen mei-ne Lie - der durch die Nacht zu dir:
J [>] -
e ET
} " 1
I. it
bh oF i i I
ey 1
ay oe | 1 i I T
T i |
I T
it ia I
vi L if
= eo
o
a a
tg eo
ee
oe
ee
ca
{> ] »
J
h >] é
~
2
~
ry
~
vy XX XQ
x
or =T
CO
V E CO
(REDUCTION)
5 4 5
)_— wa rn wo
ima T
19
F
=
d \
234 [CH. 14] THE PRE-DOMINANT II AND II° CHORDS
Finally, the unstable and dissonant character of the ii?} is particularly ap-
propriate for the opening of the agitated middle section in this Handel aria
(Example 14.15), which depicts the scourging of Isaiah’s Suffering Servant.
Example 14.15
A. HANDEL: “HE Was DESPISED” FROM ALESSIAH
50
7 ie
N 1
a
I
v4
ifon
ANSP
by T
a C77
vi
mt
baal
KR
mt kK
Lh =
l
L a
~ 2
i
T —— I
K
my
® . T
r a T
He gave His back to the n
B. (REDUCTION)
fy
——
4
t ;
: T t
$
+
=
ce i
is VO)
PROLONGATION OF THE PRE-DOMINANT FUNCTION
We have previously discussed brief extensions

or prolongations of the tonic.
dominant, or even the subdominant within a phrase. In the same way, we
may also extend both the triadic and seventh-chord forms of supertonic
harmony.
1. The supertonic function may be extended by using different inver-

sions of the same chord, such as ii°-ii (Example 14.16a and b). These
inversions are often bridged with a passing first-inversion tonic chord
(1°), as shown in Example 14.16¢ and d. This device produces a voice
exchange between the F’s and D’s in the Schumann piece; his odd
title for this work remains a mystery.
PROLONGATION OF THE PRE-DOMINANT FUNCTION 235
Example 14.16
A. HAypbn: PIANO SONATA IN A-FLAT Major, Hos. XVI:43, U1
@®
5
{4
fh
_—
™'
= =
adil
= my
—~.,
ual
Z
rn
——_————
=
al =
=
|
t }
dl
oo e 7
a nal
5
Ia
ee
1
if
ana
_
3
i 7]
1
|
:
# T
i
-
it
B. (REDUCTION)
)
a oe
i
a o e o
~ pe I I
t
I if
L. abh TY" v
——— I
T
|
10d
Ab I 18 iie8) oT iif i OV
NN—_" I
@c Sc (No. 21) FRON ALBUM FOR THE YOUNC Jp. 68
a
|
a
|_—~—_|
4 l
antl td.
it
eo
f
ry 7
o< 7a + = 7}
}
+
LW
e t
D. (REDUCTION)
3 5 3 i
a
s
| |
x [
NX =
e ! |
1]
236 [CH. 14] THE PRE-DOMINANT II AND Il’ CHORDS
2. You may encounter movement from IV to ii (seldom the reverse) that

maintains or extends the pre-dominant function (Example 14.17a).
Some theorists explain this progression as the result of linear motion
over a bass note, in this case, from a 5-6 motion over 4 in the bass.
The 6 (or scale degree 2) is then displaced into the bass voice (as
shown in Example 14.17a). In such instances the ii chord is some-
times called a voice-leading chord, since it is derived from the lin-
ear 5-6 motion. An example of this procedure occurs in “Columbia,
Gem of the Ocean” (Example 14.17b). In the reduction (Example
14.17¢), the notes in parentheses complete the implied soprano line.
Example 14.17
A.
voice-leading
chore
| | |
)-—_@ rd rd m7
oe
| — °
|
Cc: 1% IV (ii) Vi I
TioMas BECKET: “Co MBIA. TH GEN OF THE Jc AN
= 13
i
Cy n
Bom
Lal T
=
9
t
x
e |
|} oe 8
ad t 5 a ©
=
|
@
~ qe 2
a
| | { | I
+ <
ry
=
Lee eo
—
|
7
A I
Lam
T
t t t
T
al i I rs
Lol
Ms As
T
T I
C. (REDUCTION)
5 4 4 3
——, = |
+
|
ud
—_——
—
oe
|
e if
7
iad
boll
Lb rn mn
=
SS
t oe
a t
had
Z =<
6
4h I IV ii V! I
The introduction of the supertonic chords expands our vocabulary for
melody harmonization. These chords not only offer us more variety in our
choice of pre-dominant harmony, but also afford us a better melodic ap-
proach at authentic cadences. For instance, previously when we encoun-
tereda 2-2-1 soprano line,
our only choice was to extend dominant harmony,
either by adding a seventh (V-V") or by using a 4-3 suspension (Example
14.18a and b). we have the luxury of approaching the V with either a
Now
pre-dominant ii® or iig (Example 14.18¢ or d). In addition, supertonic har-
mony provides more variety during embellishing progressions within the
phrase.
Example 14.18
A. B C. D
5 9 3 i 3 3 3 i 3 5 3 j 3 5 3 i
aan | |
On 4 | L | ¥ | | |
i
4 | |
| I ] !
# i | T l
Pl
I
# i ]
a
°
ha
| |
aa ely
“lh
vam
Fae
|
~
a+
ul
“6 \
|
iis
For purposes of harmonization, the soprano scale degrees may

ouowing
be linked to var ious supertonic sonorities: 2 to the chordal root, 4 to
the
chordal 3rd, and 1 to the chordal 7th. Curiously enough, scale degree 6 is
rarely harmonized with supertonic harmony; it is best supported with IV. In
inversions of supertonic sevenths, the soprano should never double the bass,
as all four chordal member must be present. In the hymn phrase of Example
PA US. several of these
particular scale
dates for SUpErboric chords We can vs
lave been circled as candi-
the first Abt. Striceat wall prepare the
use
following Ab as the chordal 7th of a ve “The F? on beat four, however, is not

acceptable, since it moves directly to 1 rather than to dominant har mony,
On the other hand, the F on beat three of the next bar is tailor-made for su-
pertonic harmony, forming an authentic cadential 2 9-1. The first three har-
monic settings (Example 14.19a through c), indicated by a bass line and
figured bass symbols, exploit some of the opportunities for supertonic
chords. While all three are acceptable, which one do vou think exhibits the
best melodic bass line?
238 [CH. 14] THE PRE-DOMINANT II AND II’ CHORDS
Example 14.19
fh
=
l
| | |
4. J
VT TT, J
——————Tt
T l I I | T I 1
qT it
¥ —————————— ¢ —- tH
TO
(i Vo) (\ 1° ll
6
(I Ho 1k
6
11 (v1 16 1]
(IV Iv (\ Vv
5
7
6 I +6 16
li Vel (Ww 1]
cv IV) (i) i vi 6
fee
G F |
I (il viio®) 1° \ dV) 16 ii” \ I
The last four settings (Example 14.19d through g) are considerably less than
ideal. Study and then critique each outer-voice duet, identifving questionable
harmonic intervals, awkward melodic contours, parallel 5ths or octaves, unusual
progressions, etc. Check vour answers against the comments that follow.
d: Direct octaves on the resolution of V' (m. 1, beats 2-3): uneven rate
of harmonic rhythm; rather disjunct bass line: too many perfect Sths
and octaves in outer parts.
e: Weak succession of I° chords (measure 2, beats 1-2); parallel octaves

(measure 2, beats 2-3); weak final cadence; rather static bass line.
f: Awkward chord progression (measure 1 through measure 2, beat 2);
weak final cadence.
g: Weak repetition of Ab and F (measure 1, beats 1-2): parallel 5ths;
(mm. 1-2).
In previous chapters we completed our harmonizations with four-voice

settings. With melodies that employ a slower harmonic rhythm, however, we
may also wish to set the tune with a simple piano accompaniment. Example
14.20a cites a four-part choral version of the German folk song “Erlaube
mir, which features a harmonic backeround of bail Tn E\aniple 1+ 205
we have converted this setting mito a PLANO piece: stich the relationship hee
tween the lower voices in the two Versious.
Faample 14.20
QA “Ta AL BE MED SG RATAN FOLK SONG.
)
)
-4
@
@ B
— —_ — a
ees t
». "4
wv T
£
gy ft
gy hy
oe; ——_@ $ hy wr
P |
G I ii®
supertonic chords as pre-dominant supertonic chords in embellishing

harmony progressions
preparation and resolution of the prolongation of supertonic harmony
ii voice-leading chord
240 [CH. 14] THE PRE-DOMINANT II AND TI’ CHORDS
1. Fill in the missing parts of Example 14.21, using four-voice texture,

and the Roman numerals as your guide. Make sure that any chordal
sevenths are properly resolved.
Example 14.21
A, B. C. D.
O_1
yon
ost =
t
3
aH
7
|
oe
4 _|
foe ;
_} be
b
||
a
|
ni =
|
e)
1h l
~ Je2 TY, |
rid
LY?
if
Pavel Pad
‘ b
2. hh“|
T
ia
Tt
Eb | A ii V8 eg
E. F. G. H.
a|
iT
| |
TT
L4 a | |
4 4 eo hh
ie
T I | T I i
i t
ha 1
p
z Tt
;
(on on n oe
ia oe
ry)
1 fe |
~ feoor TY
1,
| | mo ow
Mw T TT bh
2. ey) ow bh bh
iA 5 Tr"
EB
if vo dad
i?8 ve
6
Db: iif VOI ch ih OV i
2. Given the same soprano line in Example 14.22a through c, make four-
voice settings using a different supertonic seventh for each progression.
For the common soprano line in Example 14.22d through f, make four-
voice settings using a ii’, a ii, anda ii’.
Example 14.22
\ B C
. ° °
| , | 1 | 1 A
7
Ty l T i ] [ |
mip
{ I t H
h
ts
T I t
bh
bh
@
"te
A
->.
it
ia oe oe ia eo
wa Pn
bl P|
L635 + ball be" Th ball
e) TI
~ Fe Fy TZ
a
Zh ime =
wv
bh
uw
D. E. F.
fh 1
|
—
a
I I
| ;
oN I
|
+
,
rN
I
i it if if iH
it
I I
il
b b p
F:
3. Realize the unfigured basses below in four-voice texture, deducing the

inferred chords from the notes and intervals of the outer parts. Then
make a Roman numeral analysis of both Example 14.23a and b. Indicate
any examples you find of (1) a voice-leading chord or (2) a voice ex-
change that momentarily prolongs supertonic harmony.
cxample 14.23
A.
4H ;
———
|
a
| | |
_t T i
Pal N [ I
| I
(#1
hl TZ id | I
_—
|
hal
ay T
Lal
@)
uo
st
a
ra
im f —o_— >. 71
rr
T
o
_—__—_# o
|
|
| |
A:
B.
>] _ T
|
i
|
if
l
| I
it
I
it
l
i
——— oe
SE 3
———— r
a
ul +
—_———
i
a @
z2
t
C H A P T E R 1 5
Melodic Figuration
and Dissonance II:
SUSPENSIONS AND OTHER USES
OF EMBELLISHING TONES
|
N CHAPTER 7 we introduced the suspension as an accented embellish-
ing tone whose dissonance was prepared by common tone and resolved down-
ward by step. Since the metrical placement of the dissonance on the beat
delays its resolution to consonance until the offbeat or weak beat, the suspen-
!
sion is a particularly affective idiom, a characteristic we will discuss later in the

chapter. Because of the number of different types of suspensions, this melodic
dissonance warrants a more detailed study than the other embellishing tones.
In this chapter we will first examine how suspensions are used in two-voice
and four-voice texture before turning our attention to the other aspects of
melodic embellishment, such as consecutive and simultaneous nonharmonic
tones, some possible problems in the analysis of embellishing tones, and how
melodic dissonance may produce an affective response in the listener. The
chapter concludes with some recommendations on the most effective use of
embellishing tones in harmonizations and compositional projects.
SUSPENSIONS IN TWO-VOICE TEXTURE
Since the study of suspensions involves a number of different dissonant and

rhythriic relationships, We will begin by how this cribellishing
242
SUSPENSIONS IN TWO-VOICE TEXTURE 243
tone operates in two-voice texture. We will consider three topics: (1) the var-
ious types of suspensions, as determined by their intervallic relation to the
bass, (2) the proper preparation and resolution of the dissonant suspension,
and (3) the correct rhythmic setting of suspensions. For the first two topics,
which focus on the dissonance or pitch aspect of suspensions, we will use the
reductive notation explained in Chapter 7, in which the stemmed notes rep-
resent the consonant preparation and resolution, and the unstemmed note
represents the dissonant suspension; ties and slurs mav be added. For the
third topic we will reintroduce rhythmic values.
lL. We classify suspensions according to their intervallic relation with the

bass voice. As you can see in the first three examples, two-part sus-
pensions represent dissonant elaborations of the imperfect conso-
nances—the 3rd and its inversion the 6th. In the 4-3 suspension, the
4th moves or resolves to a 3rd (Example 15.1la); in the 7-6 suspen-
sion, the 7th moves to a 6th (Example 15.1b); and in the 2-3 suspen-
sion, the 2nd moves to a 3rd (Example 15.1c). Do not confuse these
numerical indicators of intervals with scale degrees. The dissonance
appears in the upper voice in the 4-3 and 7-6, but it appears in the
bass voice in the 2-3. In fact, this 2-3 bass suspension is nothing more
than an intervallic inversion of the 7-6 with the two parts switched; 2
replaces 7 and 3 replaces 6. Since the 9-8 resolves into an empty per-
fect octave (Example 15.1d), it is rarely found in two-voice texture.
Example 15.le and f appear to be suspensions, but are not, because in
both cases the suspension appears in the wrong voice—in Example
15.le the 4-3 should be in the upper voice, while in Example 15.1f
the 2-3 should be in the Jower voice.
Example 15.1
A. B. C. D. RARE E. INCORRECT FL INCORRECT
| — |
7
ut —
Ty
IL tt H
5 r tt
+ tt
4 34
.
2 34 fr9 4 3f
° 2 3f
>
6y st
I
we move one of the notes of a suspension an octave higher or an
octave lower, we form compound intervals that behave in the same
manner as the suspensions formed bv simple intervals. Thus, the
compound 11-10 suspension behaves exactly like the simple 4-3 sus-
pension, the compound 9-10 suspension behaves like the simple 2-3,
and so forth. For that reason, and to avoid. confusion, we label all
244 (CH. 15] MELODIC FIGURATION AND DISSONANCE II
compound suspensions as if they were simple suspensions in close po-

sition; thus, we label an 11-10 suspension as a 4-3, a 14-13 as a 7-6,
and so forth.
2. The dissonant suspension note must be immediately preceded or pre-
pared by a consonant note of the same pitch, and must resolve down-
ward stepwise to another consonant note. The first three suspensions
in Example 15.2 are supplied with proper preparations and resolu-
tions with each harmonic interval labeled. It is not absolutely neces-
sary that the suspension dissonance be tied to its preparation; in some
instances the common tone is rhythmically reiterated.
As the suspended dissonant note resolves, the other voice part in
two-voice texture is not required to remain on the same tone but may
leap to a different consonant interval. In Example 15.2d the bottom
voice skips upward a 3rdas the 7 resolves to 6, creating a 7-3 suspen-
sion; we call this a change of bass. In Example 15.2e the top voice
leaps upward a 4th as the 2 resolves to 3, creating a 2-6 suspension:
we call this change of upper part.
a
Example 15.2
D
(>) > (>)
6 4 6 7 6 2 3 6 7 (3) 3 2 (6)
3. We turn now to rhythmic considerations, Suspensions may occur at

the beat-division level or at the beat level. If the duration of the sus-
pension dissonance is a beat division (such as an 2 in y), then the
duration of its preparation and resolution should be at least that long
i 4
. iN
(either ae Oraes. da the several dlustrations y andy that appear in
Example 15.3a and b, compare the length of the suspension disso-

nance to the length of its preparation and resolution. On the other
hand, if the suspension dissouaiuce is entire beat duration wsuchi
as ae in ,), then its preparation and resolution are usually of equal
length or may be even longer, as illustrated in Example 15.3¢ and d.

In {, beat-length suspensions occur on metrically accented beats (one
and three); in j, they mav appear on either beat one or two. You can
find exceptions to nearly all rules, including these rules about the
proper duration of the preparation and resolution of a suspension.
Note that in the Schumann excerpt (Example 15.3e), the preparation
for the suspension Db is only one sixteenth-note long.
SUSPENSIONS IN TWO-VOICE TEXTURE 245
Example 15.3
sy l
al —~y)
|
van
~1
1
6 6 4 3 3 2 6 6 3
C. D.
beats ] 3 1 beats | 2
o™
P| RE
“——. way
|
| | | |
ele
Ve CC)
i” ©
LH
er
Lt
H
)
wy
nan
Nate
Fr
D
lo
D
D
; ae
Sc MANN: LIIHRINA FROM CARNAVAL O
__
4
h_|
|
IIA __ a.
|
Cr} me
bh T
ep bal .
3
Le
{
e) |
‘ =>
~ e
Je
—t ios
ap
7
2
ry
>x
1
T
=
l
3 oe
6
4
Example 15.4 illustrates two-voice suspensions in a pair of pieces whose
dates of composition are separated by some three hundred vears. 7-6 and
2-3 suspensions alternate in the Tchaikovsky svmphony. In the Galilei duet,
note that, as each suspension resolves, there is either a change of bass or a
change of upper part in the other voice.
Summary of Basic Information about Suspensions

] Suspensions are classified by their relationship to the bass—+3, 7-6,
9-8, or 2-3. Compound intervals are treated as simple intervals.
The dissonant suspension note must be prepared by a consonant note of
ho
the same pitch and must resolve downward bv step to another consonance.
3. The preparation and resolution of a suspension should be at least as
long as the suspension dissonance.
246 [CH. 15] MELODIC FIGURATION AND DISSONANCE ITI
Example 15.4
A. TCHAIKOVSKY: SYMPHONY No. 6 (“PATHETIOUE”), [TV (1893)
39
2. 2 aN 2. y
#£
aN 2
Ve ra >)
a —
¥ t
T
"2.
t
!
ry)
L. A
= = I
5r 2
im
é
| I
a
° nt ; =:
7 6 2 3 7 6 2 3
B. VINCENZO GALILEIL; DUET FROM FRONIMO (1568)

17
t
_ «>
|
71
|
=
—
!
t
|
ce) Za
|
a =
T
1] Pi
¢
|
£ 5 2 £ f
oe |
|
Mu
I
l
:
_}
|
i
|
I
,
|
I
{
all Lid
I
t
_I
I |
T
I
I
|
I
i
l
I
I
C2
i
2 6 4 6 7 3 2 6 7 3
SUSPENSIONS IN FOUR-VOICE TEXTURE
In four-voice texture, vou can continue to use the normal doublings of chord
tones, Hut you treat the resolution of the SUSPCHSiOn with special Care,
as outlined below. Suspensions tend to occur more frequently on triads than
thev do on seventh chords.
In fours oice texture, 4-3 and 9-8 Sspensions in the upper Voices are
often grouped together, since they both resolve to root-position tri-
ads. Avoid doubling the resolution note in a 4-3 suspension; it mav
turn out to be the leading tone (Example 15.5a). Instead, double the
bass, the root of the chord. Because of the presence of a complete
triad, the 9-S is common root-position suspension in four voices. It is
a
necessary here that vou double the resolution, which is the octave of
the bass note or root of the triad (Example 15.5b). Each of these sus-
pensions shows a preference for specific harmonies in both major and
minor modes: the 4-3 tends to occur on V, III, and I, while the 9-5
tends to occur on I, VI, and IV. Because it delavs the leading tone. the
4-3 is especially usctul for susiaming Wie tension aud iiotion ii Cs
tended dominant harmony (Example 15.5a). An interlocking suspen-
SUSPENSIONS IN FOUR-VOICE TEXTURE 247
sion chain of 9-8 and 4-3 suspensions, in which the resolution of one
suspension becomes the preparation of the next, illustrates these har-
monic preferences (Example 15.5c). This sequential model was al-
ready Kuowa by the late Renaissance period, as the Monteverdi
excerpt “Fxample 15 5d) demonstrates
Example 15.5
bass doubled bass doubled

resolution not doubled resolution doubled
p —
1
:
3t—\_@— —
fd.
|
rots
nal
a a
wd >
| |
|
ee a
|: o
—————
=
a +=
P
|
pr. 1 ‘ 5 f(y) 9
s
lh
rm)
—olel
m2)
TT,
||
9 S 9 8
» ye ili IV
c: yo Hl iv
@ D. MoxteverDt: “SECHTO VORREL MORIRE” (TEXT OMITTED)

68
{
{—
—eo 72
Swe”: ZZ
7
to
a ya’
ma
7) 7) ?
|
—
t |
+
=
tT I | t
+
i
t
{
t
om i
4 3 i) 5 4 3 9 S 4 3
248 (CH. 15] MELODIC FIGURATION AND DISSONANCE IL 4
2. The 7-6 and 2-3 suspensions are likewise grouped together, since thev
both resolve to a first-inversion triad. You should never double the resolu-
tion note in either suspension. The 7-6is associated with a variety of har-
monies; two of its most common uses are given in Example 15.6a and b in
conjunction with the vii
and I°. We may link several 7-6 suspensions to-
gether in a chainlike succession, as shown in Example 15.6c. The step-
wise movement of these consecutive first-inversion triads creates several
partwriting problems. The doublings must alternate between the bass or
root and the soprano to prevent parallel octaves; remember, we cannot
double the suspension resolutions, which are in the alto voice. However,
you will notice that if we remove the suspensions, there are now parallel
5Sths between the soprano and alto. Composers of the common-practice
period felt that the inserted 7-6 suspensions were sufficient to cancel
or stagger the parallel 5ths. In progressions where the successive first-
inversion triads are in close structure, there is now a 4th rather than a
5th between the upper parts, negating any danger of parallels.
"
The 2-3 sor 10-9) Dass SUSPCHSION also resolves toa, first-inversion trad
It occurs most frequently on a V°, delaying the leading tone in a manner
similar to the 4-3 over V (Example 15.6d).
Example 15.6
A. B.
(hae
7 6 6
C 1° (vie) I (vii?) 1% \
C. D.
TY,bh| ——,—
fe
— — T ; |
hull
o—— I I
bh
ee
_ J es
es or —
ee |
SH (7
amet fd
7 6
OF 6
i 6
P
6
i
>
5
2
6
3
|
7
7T
7
(\
ADDITIONAL SUSPENSION TECHNIQUES 249
ORNAMENTAL RESOLUTIONS
Suspensions are sometimes decorated with melodic embellishments. Al-

though such an embellishment is commonly known as an ornamental reso-
lution, this term is a misnomer, since it is actually the suspension dissonance
that is ornamented, not its resolution. The ornamentation can encompass a
wide variety of melodic figurations and span one or more beats in drration.
Example 15.7 illustrates some typical figurations; the resolution note is indi-
cated by an arrow. In the last two cases, the resohation is delayed by an inter-
vening leap to a consonant chord tone
Example 15.7
——
+3 —t-- es
| | | |
—+
rn __[ —
en
In Example 15.8 the prolonged cadential extension of an embellished
4-3 suspension over dominant harmony in the climactic passage from the
Meisiersinger Overture effectively heightens ot aiticipation of its cven-
tual resolution.
Example 15.8
@) WaGNER: OVERTURE TO DIE MEISTERSINGER (SIMPLIFLED)
208
Eva
‘cm
_—
N
ay _«{¥ x6) Oo
eo b=
&-+*O
os =
ay
a= a 2
é
or
<> Pat
<—- ~~
<>
<> >
oOo
Io
Ww
ee
we
ADDITIONAL SUSPENSION TECHNIQUES

Resolution of a 9-8 suspension with a concurrent change of bass is often en-
countered in four-voice texture. In the case of tonic harmony, this combination
will result in either a I° or vi (Example 15.9a). The transfer of the 9-8 to the
250 [CH. 15] MELODIC FIGURATION AND DISSONANCE II
tenor voice may result in a rare example of a 2-1 suspension (Example 15.9b).
The displaced 9-8 in the bass voice is even more unusual (Example 15.9¢).
Example 15.9
A. CHANGE OF BASS
A oN mv ame 1
Li ft
T
i
a H
i
if
i
J
]
a I
| ——
T _
| ‘| |
9 6 9
B. 2-1 SUSPENSION C. DISPLACED 9-8 SUSPENSION
a.
hast
V7 TY,
[oa
T I
[
if
we
er
A
amet rn" rn vv ha
S372
ty r
;
aN
oe |
an
_ be «
I
4"
—b
I
<="
2 1 7 8
4 5
2 3
The motion from a 6 to a5 above the bass may sometimes sound like a
suspension (6-5), even though no dissonance is actually present between the
upper voice and the bass (Example 15.10a). Play the Liszt excerpt in Exam-
ple 15.10b and study its accompanying reduction. Notice that the prepara-
tion note is a chordal ninth.
Example 15.10
A. @) B. Liszt: PIANO CONCERTO No. 1 IN E-FLAT Major, IT (SIMPLIFIED)
54
———_
eee
iv A
+ oe o
a
al It
I
(wai
e TI
_ fe-_|——*
Ty fF ry
2
7 ae fad mT
*
O
eh
Dp
wey
_
MULTIPLE SUSPENSIONS 251
C. (REDUCTION)
| | 7
—
I
6 5 6 5
Although the suspension preparation is normally consonant, it may occa-

sionally occur as a dissonant passing tone (Example 15.1 1a) or as the 7th of a
seventh chord (Example 15.11b).
Example 15.11
A. B.
(7th)
Hh —
£)
|
P| Ve T
y.“] baal y 4 bt fat I T
oe
MULTIPLE SUSPENSIONS
We have previously seen instances of multiple dissonances in Chapter 7, in-
cluding simultaneous pairs of passing or neighboring tones. Double sus-
pensions, in which two tones are prepared, suspended, and_ resolved
together, represent a third type of multiple dissonance.
Two types of double suspensions are possible: the and the 4/3. Locate
each in the two passages of Example 15.12; they are indicated by arrows in
the reductions. The Chopin uses a {3 in its second measure while the Strauss
QS
uses a=@ in its second measure.
Example 15.12
CO
AO Crorin Gravpr Varsre Or 34,No 2 Bo fpepvetian?
———
43 x4 =, |
— —
|
4 — —
=
e) a >. am Ol
e. 68D
DD Oo
4 ih.
iz
if
— I
__t
C. RICHARD STRAUSS: ALSO SPRACH ZARATHUSTRA

64
e <£ 2 +2
=< Sa
+
ee.
a a
a T
2 it |e “ ns
3 a.
q
19d Le
P |
D. (REDUCTION)
y
ao d
e == |
|
=
———
;
=3
2
On occasion even an entire chord may be suspended. As the excerpts in

Example 15.13 demonstrate, the upper members of a cadential V may mo-
mentarily hold over the final tonic of a phrase or piece before resolving. This
is a frequent practice in slow movements of the Classical period. In the
Beethoven passage (Example 15.13a) the E and G move downward stepwise
while the C# or leading tone pulls up to the D. Even an upward resolution,
given the curious title of a retardation, is possible. In Example 15.13b,
Mozart actually allows his resolution of the chordal 7th to ascend in this ca-
dence, although in similar situations (Example 15.13c) he usually resolves
the 4 and 2 down to 3 and 1.
SUSPENSIONS AS A COMPOSITIONAL DEVICE 253
Example 15.13
A. BEETHOVEN: PIANO SONATA IN D Major, @) B. Mozart: PIANO SONATA IN
Op. 10, No. 3, I G Major, K. 283, Ul
retardation
14
-
x
ct 1 | i
+ aT
a
t +— 1
oe
I
<
]
e
Pr a:
Ome:
1
fe.
all I
i Se
t
r
it
= ~
@ C. Mozart: Piano CONCERTO IN G Major, K. 453. II

———_
134 4
2. a Es ~
iJ (o>.
id x
7
Lt
Oo
e o
ry
—_—_hy3 iva vi fd. “

ie ld It
SUSPENSIONS AS A COMPOSITIONAL DEVICE
Composers sometimes choose to highlight specific musical devices in their

it SNe ST
pieces. For example, in sets of variations on a theme, they may prominently

feature a particular motive or ggesture in each variation. Bach exploits
P sus-
pension technique throughout the entirety of the twenty-second variation of

his “Goldberg” Variations. In order to appreciate how he does this, we will
reverse our usual analytical procedure and start with a voice-leading reduc-
tion, in a manner similar to our earlier harmonic model elaborations.
Example 15.14
A. Bacu: GOLDBERG VARIATIONS, No. 22, BWV 988, MIM. I-S.
=
H
o——
> —
: =
be =
|
i
5
i)
>
v
v
B.
’ |
ms
—
x
a iN
)
mt
19
“1
F
(5
6
F
Ne aid.2—
—
| | Le * |
6 I I
os ae a
— 2
The skeletal framework of the first eight measures (Example 15.14a)

demonstrates how the voices enter in an imitative fashion. We may elaborate
on this reduction by inserting an appropriate suspension in each bar (Exam-
ple 15.14b). In the score (Example 15.14c), observe how Bach treats the dif-
ferent suspension types through a common embellishment pattern. Identify
the various suspensions; note that there is a double suspension in the last
measure ({3). There is also a suspension involving a change of voice; the
tenor voice in measure 6 moves from G to A when the 9-8 in the soprano re-
solves, but the bass remains on C.
Since we cannot alter given melody that is to be harmonized, any soprano
a
suspensions must alreadv be present in the melody. If vou compose your

OTHER FEATURES OF EMBELLISHING TONES 955
own tune, you can include possible suspensions in it. Therefore, the suspen-
sions you wish to add usually occur in the inner voices (the alto and tenor),
with the occasional use of a bass 2-3 figure.
Once you have chosen your supporting harmonies, worked out your bass
line, and partwritten the inner voices, you may then determine the most ef-
fective placement of suspensions. In light of our current harmonic vocabu-
lary, you may use 4-3’s on V and I, 9-8’s on I and IV, 2-3’s on V°, and 7-6’s on
vii’, I°, and IV®; avoid using suspensions on V’ chords. Given the block
chords chosen to harmonize the tune in Example 15.15a, we have inserted
suspensions in several appropriate places (Example 15.15b). In the first full
measure there are 9-8, 4-3, and 7-6 suspensions in the alto on beats 1, 2, and
4. In the last measure there is a 7-6 in the soprano (beat 2) and a 4-3 in the
alto (beat 4).
Example 15.15 A.
= — oN
ra ce
1"
| |
ie ad
«@
= :
|
, >
B.
O_| es | |
|
|
|
oe
—~s—e
« «2 « |
=
aS ae +
Cee —
—
|
|
r r id
9 $ 43 7 6 76 43
OTHER FEATURES OF EMBELLISHING TONES

For the remainder of this chapter we will discuss some additional fea-
tures of embellishing tones—(1) their consecutive or simultaneous inter-
action, (2) possible problems in analvzing them, and (3) their affective
“nature.
THE INTERACTION OF CONSECUTIVE OR

SIMULTANEOUS EMBELULISHING TONES
Different types of dissonant embellishing tones may occur in combination, ei-
ther in immediate succession or even simultaneously. For instance, stereotypi-
cal uses of certain melodic figurations frequently occur at cadences. Bach’s
chorale harmonizations provide some idiomatic examples: (1) a 4-3 suspension
combined with an anticipation (sometimes called the Corelli clash) in Exam-
ple 15.16a, (2) the resolution of a 4-3 suspension in conjunction with a passing
tone in Example 15.16b, (3) and the simultaneous passing tone and anticipation
in Example 15.16c, The parallel 5ths in the last passage are permissible, since
they are generated by embellishing or non-essential tones rather than occur-
ring between essential chord tones. Brahms was fascinated with the topic of
what constituted “legal” parallels. In his short monegraph “Octaves and Fifths”
he collected examples from clifferent COMIPOScrs ane commented on them
Example 15.16
H
Jit) ROMA
HARMONIZATION:
ba Na brn
FIABMONIZV ELON
(Bye CHORALE SBAc dh HOB ALE
hg —
laut
gh
—
2
i
A.
}
iggy
aan|_},
bl
___|
cot
i
O44
«294
LV
mae 04
ge
{
|
_
lox
:
1
r P
©
~
e 1 6) cy
.
je oF. ay
it Y
+
CoS \\ MEN FERS MEEIN PE

it
| —t
fad.
=~ —_—)
SOME ANALYTICAL PROBLEMS WITH EXIBELLISHING TONES
There are two potential pitfalls when analyzing embellishing tones. First, we
may err in identifving non-harmonic tones in a single-line melody unless we
take into account the harmonies that accompany or are implied by them.
SOME ANALYTICAL PROBLEMS WITH EMBELLISHING TONES 257
Looking at the Brahms violin melody in Example 15.17a by itself, we might

be tempted to conclude that the longer notes on the first beat of each bar
are consonant tones. However, when we examine the chordal background in
the complete score (Example 15.1 7b), we see that our initial impression is
really the reverse of what actually occurs; all those notes now turn out to be
dissonant ApPPOGei ali ras. Us shown in the rediyction ‘Excniple LSAT
Example 15.17
A. BRAHMS: VIOLIN SONATA IN A Major, Op. 100, I
ry)
a ee
ee eeeTe
— ———————
T
4
tl
1 ] J
consonance?
@) B
6-4as
ey
e)
67
—————
ae ——— = |
pP
hal
f
Sul
Hi
«
q
Car
1 =~. ————=\
7 ——
|
N
71 Hh
att
ins th
t —
—tt — r z —
-#¢
= eo
x
4 ava ——=_ oe 2
ao
te —# a
-_
e
E I 1° ii”
Secondly. problems mav arise when two different levels of embellishing-

tone activity are operating at the same time. Most such cases are better re-
solved by listening to the passage rather than looking at the score. which
sometimes can confuse rather than enlighten us. Three such instances are
cited below.
1. At first glance the initial figure of four eighth-notes in Example 15.18a

might suggest a changing tone or double neighbor around G, as indi-
cated by the slurred notes above the question mark in Example
15.18b. However, when we hear the passage, it immediately becomes
apparent that we perceive a larger passing motion G-F-E (Example
15.18c), which in turn is embellished by incomplete neighbors (Ex-
ample 15.18d). If we apply this same principle to the Mozart passage
in Example 15.18e, we observe that the second Abt is actually conso-
nant with the supporting Ab harmony, even though it is functioning as
an incomplete neighbor.
Example 15.18
A. B. C
WU
}
TL
I ui
_ £1.
.
+
|
2
i Zam’
aI
|
uy
ty
vi
e
3 I I
@ e- ry)
P P
D.
IN IN
eo e
afa’
i anv
iH,
[os ij
xXY U
ry)
MozaRT SYMPHON No. 36 IN E-FLAT Major, K.543 II

P
P
=——}
;
-
3 {———
=
> oa
=
S
—
lad
_ IN IN IN IN
| On
V7
r
=
Ab: I Vv
2. Example 15.19a features three dissonant notes in succession. By as-

suming two levels of non-harmonic activity, we can see and hear that
the larger F-F-E in quarter notes is a suspension, which is then deco-
rated by a neighbor and an incomplete neighbor (Example 15.19b).
SOME ANALYTICAL PROBLEMS WITH EMBELLISHING TONES 259
N B.
N S.
—
___|h
H
:
i Tt
ce row
T |
Example 15.19 P
3. Finally, in the Beethoven passage below, one might be tempted to

analyze the first of each two sixteenth-notes as a upper neighbor
(B-C-B), as marked in Example 15.20b. However, when we listen
carefully, we can hear that the C really functions as a passing tone up
to D (B-C-D), decorated with a neighboring B. In the same way, the
A acts as a passing tone between G and B in the last measure; consult
the reduction in Example 15.20c.
Example 15.20
@) A. BEETHOVEN: PIANO SONATA IN G Mayor, Op. 79, II
fy 4
———_—_+—F
a
t—2 oe t
—s=
B. POSSIBLE? C. BETTER!
N P N
N N P
o
| \ 1
I
AO
LV
rd
|
Los |
oe
1
i
|
e —
@)
IN IN
#
== 1554 s —
°
owe
4—
I
+
—-
I i
+— +—
Similar examples that abound in music literature serve as confirmation

that the analysis of embellishing tones is sometimes a far from simple or
mundane task.
THE AFFECTIVE NATURE OF MELODIC DISSONANCE
Although our discussion of melodic dissonance in Chapter 7 established def-

initions and an analytical method for categorizing and graphing embellishing
tones, we did not address the question of the affective or emotional force of
melodic dissonance and its possible aesthetic impact on the listener. Com-
posers do not use non-harmonic tones haphazardly; rather, they carefully se-
lect particular dissonant notes for specific musical effect and affect. For
instance, compare two versions of the allegro passage that opens
Beethoven’s “Tempest” D minor piano sonata in Example 15.2la and
15.21b. Which one do you think better conveys he tempestuous fecling
Beethoven was trying to impart in this passage? In the first version, which
was rewritten, the upper voice employs a bland succession of unaccented
stepwise auticipations, circled on the score, which dissipates any scuse of
turbulence. On the other hand, in the second version, Beethoven’s original
version, the series of dissonant suspensions on consecutive beats succeeds in
creating an atmosphere of agitation and turmoil. Clearly the affect of the
two settings is entirely different.
Example 15.21
A. BEETHOVEN: PIANO SONATA IN D MINOR (“TEMPEST”), OP. 31, No. 2, I
f) oT a ed I
1
tL 4
—_———
é I
in
=|
_———+ [
—s —
a H
=o
_— |
7,
|
t t 1
>
——
Pp
ae i
; ; ;
=——-*
= ~4
:
=F |
( 4
Allegro 3
{ f
A brief review of the wav we grouped embellishing tones into four

categories (pages 98-99 of Chapter 7) will help us focus on the affective
characteristics of melodic dissonance. Unaccented non-harmonic tones
THE AFFECTIVE NATURE OF MELODIC DISSONANCE 261
perform an essentially decorative function, since they fall in the spaces

between chords, softening their dissonant effect. This is particularly true
ofpassing tones, neighbors, and anticipations, as noted above, since their
stepwise motion minimizes dissonant clashes with the chordal back-
ground. Unaccented leaps or incomplete neighbors are more conspicu-
ous, since melodic leaps tend to draw more attention to the dissonant
note.
However, the affective force of accented embellishing tones, including
suspensions and appoggiaturas approached either by step or leap, is quite
different. Their placement on the beat highlights the dissonance. More im-
portant, their delayed resolution heightens our expectation for consonance;
the longer the accented non-harmonic tone, the greater our wish to hear it
resolve. As a result, accented dissonance profoundly affects the character of
a passage, Tn Example 15 21, we observed that removing the SUSPCTISIONS
radically changed the nature of Beethoven’s original passage. In the climvac-
tic micustures of Richard Strauss’s Death and Traisficuration Fxanple
15 22’) accented non-chord tones transfornr at relatively banal Passage into
one of great emotional impact.
Example 15.22
() RICHARD STRAUSS: DEATH AND TRANSFIGURATION
469 ~ > ~ = =>
>
—
l I i at I eo.
xLy
1
a T
haul
-
| | I I |
,
i
$
I l
ul
rs
x |s
~~ = =
Pr
~
cy
oOo oe ei?
a.
(@! (@! CO)
[@) [@} [@}
a
yy
= 2
[@]
LO}
sa
[@)
5
>
a>
sa
474 => > > =>

nn
o
= 3
| | I
{ary ¢ 7h a <> Vann I
£ (eZ) on
Sex 4
ral a
oOo
> >
Oo = _——————J
*
5 aZ
ie
Pa’
Pad
Pa
p=
2
eit
a> [@)
¢>
_ re)
ce!
ai
Fadi td LS 4 he “a, a>
<> oO ©
oe.—_——_ ee” 2a
There is nothing especially beautiful about the harmonies in this pas-

sage, which consist of only I and V' over a dominant pedal. Nor is the
melody’s basic motive (E-D-C) particularly original or inspiring. Rather, the
spark of genius underlying this passage centers on the bridging motion of

the initial D', which generates a series of accented passing tones and sus-
pensions, circled in the example. These accented embellishing tones are
held for at least one and sometimes two beats. The consistent and cumula-
tive delay in resolving these melodic dissonances within this final transfigu-
ration section creates its strongly affective nature.
The categories of melodic dissonance listed above therefore represent
a kind of affective continuum, ranging from the simple decoration of unac-
cented stepwise notes, through unaccented leaping notes, to the more
striking accented stepwise and accented leaping tones. Composers often
tend to exploit one category at a time in a passage or piece; several such
excerpts are included in the exercises of Chapter 7 in the accompanying
Workbook.
EMBELLISHING TONES IN PARTWRITING

AND MELODY HARMONIZATION
In partwriting exercises or melody harmonization, you may be asked to add

appropriate embellishing tones to the individual voice parts. Observe the
following recommendations.
1. Do not cram a passage or phrase full of extraneous embellishing

tones. Instead, either try to develop single active part, such as a run-
a
ning bass in eighth notes with passing or neighboring tones (Example

15.23), or discreetly use various embellishing tones, selecting only
those that provide maximum effect. Exercise restraint with incom-
plete neighbors and accented leaping tones.
Example 15.23
fa)
y. {é
nm
{G4 AT
+
a
+
+
(arama!
2. Avoid excessive use of neighboring tones, since they tend to produce

a static effect (Example 15.24).
EMBELLISHING TONES IN PARTWRITING AND MELODY HARMONIZATION 263
Example 15.24
oN
V it
{é JO I i {
wv
fy
.¢ if
I |
id
cor ft +
3. Do not insert a passing tone between scale degrees 77 and 5 in a ca-

dence (7 -6- 5), as this calls attention to the fact that the leading tone
fails to resolve to the tonic 8. But passing motion between 5 and 3 is
encouraged; contrast Example 15.25a and b.
Example 15.25 A. B.
avoid better
o
eo
4
; ry
4
h
=Z 2
—_
mm|
4, Be careful when inserting embellishing tones; they mav create paral-

lel 5ths with another voice (Example 15.26).
Example 15.26 iA
P N
—<=
av
t °# ——
J
5. Finally, do not be satisfied if something looks good on paper. If vou

are not sure how a passage sounds, play it. Lf it sounds bad, it is usu-
ally incorrect.

suspension suspension chain
two-voice suspensions (7-6, 4-3, 2-3) double suspensions
preparation 6-5 suspensions
resolution retardation
correct rhythmic setting ornamental resolution
change of bass or part suspension figures in seventh
four-voice suspensions (including chords
9-8) Corelli clash
1. Bach’s chorale harmonization in Example 15.27 contains at least one ex-

ample of each of the common suspensions discussed in this chapter.
Identify each suspension by circling it on the score and writing the cor-
rect figured bass below it. Do vou find any examples of embellished figu-
ration or a change of bass?
Example 15.27
@) “DANKET DEM LERREN” (BACH CHORALE HARMONIZATION)
a *
+
os Ca
A. LZ
4 T it
|
T |
La
2. The passage in Example 15.28 contains a number of errors that are re-
lated either to suspensions in particular or to embellishing tones in gen-
eral. Circle and number each mistake on the music. and then in the
space provided, indicate the tvpe of error.
Example 15.28
I
9
i
|
|
ull
eal
om|
—.
(
“y
PH | LL
|
Eb
3. Recopy each two-chord progression in Example 15.29 and supply the in-
dicated suspension in an appropriate voice part. Be sure that vou have
prepare cll ic] POSC hy ed the ‘
lisse ME COPLE “oth i each COuNC
Example 15.29
A. B.
+
a
yaaa
F
8: +f
4+ # ff: 6 7 B
C D
_?
by
|
— LZ ]
| |
o
|
—— Bb: 6
f
9 S
—?
bb:
=
5 6
2 3
E. F.
— =
——<—s | |
“ e
———
|
d 6 9 S d 6 4 ZZ
5 4 3
4, Circle and identify with appropriate abbreviations the embellishing tones

in Example 15.30. Some of these may occur in close proximity or even si-
multaneously.
Example 15.30
oe: — a
A oe =
er
—_—_—,
Y
A ho
i
I
|
—2
if
|
C H A P T E R 1 6
The and Other

Linear Chords
INCE ROOT-POSITION TRIADS (2) and first-inversion triads (3) contain

only consonant intervals above the lowest or bass part, they may be used freely
with little concern for how they are approached or left. The "or second-
mversion triad, on the other hand, is a Very different case Because it contains
a dissonant 4th above the bass, composers as far back as the Renaissance
period justified its use only if this 4th could be explained as a legitimate disso-
nant embellishing tone that was properly prepared and resolved. As a result, in
the tonal music of the common-practice era, the } has traditionally finctioned
as a contrapuntal or linear chord between more stable harmonies, much like a
passing vii’ between I and I”, or a neighboring IV between two tonic triads.
We will discuss four standard uses of the § chord:
1. the accented cadential that normally occurs at authentic or half

|
cadences:
2. the unaccented passing $ between two harmonies:
3. the sustained or pedal $, over which a neighboring or passing chord
occurs: and
4. the arpeggiated §.
In each of these contexts the dissonant 4th is prepared and resolved ina
specific manner. After discussing these uses, we will examine several less or-
267
268 [CH. 16] THE { AND OTHER LINEAR CHORDS
thodox progressions and consider some other linear chords that originate
from contrapuntal voice leading.
THE ACCENTED OR CADENTIAL § CHORD
We have previously noted thatin the cadential progression IV-V-I or ii®-V-I, the
insertion of a passing tone in the soprano line 4- (3)-2 -1 will produce parallel
5ths with the alto or tenor part (Example 16. 1a). If, however, we were to anchor
this passing«3 with its own supporting harmony, can avoid these parallels. In
we
Example 16.1b the soprano 3 is supported with a { sonority built on scale degree
5 in the bass. Although this chordis spelled as a tonic and C over a G),
triad (E
(E
its aural impression is quite different. When we hear this§ chord d in context, we
find it lacks the stability we normally associate with tonic harmony. In fact, its
bass note G sounds more like the root of the chord, while the C seems curiously
suspended in an upper voice. Since the chord is immediately followed by a
root-position (3) dominant, together the two chords can be heard as an expan-
sion of dominant harmony. The dissonant 4th above the bassin the { is prepared
by common tone from the previous IV and resolves downward by step, outlining
a ‘typical suspension figuration. Although the
consonant 6th above the bass also
resolves in the same way (6-5 or scale degrees 2) it requires no preparation.
3-
True to its nature as a sort of suspension, this{ occurs on an accented beat
beat 1 or 3 in quadruple meter or beat 1 or 2 in triple meter. Since this progres-
sion occurs as one of the frequent authentic cadential formulas in tonal music, it
is usually called a cadential or outlines step-
accented {te The soprano normally
wise motion from the subdominant (4- 3.9. 1), as in Example 16.1b, but it may
also appear as 8-8-7-8 (Example 16.1c). This cadential ° is indicated in the
Roman numeral analysis as part of a suspended dominant function, with the
melodic motion in the upper parts indicated with figured-bass numbers.
Example 16.1
A. B C,
// STHS)
468 3 1 § § 8
ne ie rr
a4 |
2 |i sun
a
oe ee ee
—§
mow
|
oN \ I I ce ne
THE ACCENTED OR CADENTIAL § CHORD 269
Three excerpts from the literature appear in Example 16.2 with accom-
panying reductions. While the first two illustrate typical authentic formulas,
the Clementi excerpt shows how the dominant § to? may occur as a half ca-
dence, with the final tonic triad of an authentic cadence omitted. This idiom
is frequently found in slow movements of the Classical period.
Example 16.2
A. HANDEL: “REND'IL SERENO AL CIGLIO”
FROM SOSARME (1732) B. (REDUCTION)
3 4 3 2 i
[Ato
fa) | i 1
t +
o- ar RY \
eo
@
*: |
—— |
:
i
Fr
F: Wve I
TE AUDANT OMNIA (TIYMN TUNE)

~p
re
UTTER
D
were
qe
ll
_—
ca
@ D. Muzio CLEMENTE: PIANO SONATINA IN F Major, E. (REDUCTION )
Op. 36, No. 4, U

7
Lp? La) AY A Bed it
1g +
7 5
|
si 7
~
—
Ce
fe
a
TF
4
>
Ay 1
i
“- —
Je
4
eo
hall
al
-
i
nal |
v
LC 2
v
a +
a4 |
3 Bb: 18 (v8) 6 3
|
270 =[CH. 16] THE § AND OTHER LINEAR CHORDS
When the ° is preceded by a supertonic triad or seventh chord (ii or ii 3),

the dissonant 4th is now derived by accented passing motion: 3. (8)-77-8. This
j
melodic line occurs in the alto line in Example 16.3a andin the soprano line
in Example 16.3b.
Example 16.3
A. B.
ox
f
is
oN
4-3
| | |
+ =
1. “|?
| I
l I
If ——=
ai
*
; ry
———
had a
*
|}
|e ¢
o—____ =
J |e
Cc
—"—
8 ii f
“eee”
is
;
I io >
i
FG
6 4
D 3,
V
Several partwriting generalizations may be gleaned from the above ex-

In addition to resolution of the upper voices (4 down to
amples. the stepwise
3), the bass note of the 9
is almost always doubled. This doubled note (5) may
either remain on 5or descend to 4 (ofa V3) on its way to 3 in tonic har mony.
In voice-leading reductions we will stem the soprano 3, the 6th above the
bass, as a structural note in a 4-3-2-1 descent. But because of its dissonant
nature, we will not stem the 4th (scale degree 8) when it appears in the lines
8-8-7-8 or 9-8-7-8, either in the soprano or an inner voice; refer to Example
16. 1c.
ELABORATING THE CADENTIAL 4
The preceding models illustrate the normative uses of the cadential 4. In ac-
tual passages from music literature, these cadences are often elaborated in
various ways. Some instances of these elaborative techniques appear in the
excerpts below with accompanying comments. Despite the elaborations.
these passages follow the same underlving voice-leading principles outlined
above.
ELABORATING THE CADENTIAL 4 271
Example 16.4
A. SCHUBERT: “WHO Is SYLVIA?”
4 3 2 i
h_# tt ———_* ee ee
PT
,
il 1 i T
an I
hal
oe!
6 5
(§5
L
4 4 3)
3
__}
A: il
V I
HENRY BISHOP Love Has Eves
oO! So)
aaa SU
C. (REDUCTION)
be-lieve me Love has eyes.
5 4 3 i
|
_|
|
is
y | |
i= ]
|
if
_ +t
—F-
OJ
: 5
—9- _
e
_@@—
Yr
lid
—> v I
6
77
6
=
G I I\ 4 4
]
CECILE CHAMINADE: MINUETTO. Op. 23
71 ™~
|
272 [CH. 16] THE §
AND OTHER LINEAR CHORDS
E. (REDUCTION)
4
@|
+1
ik.
aq
(
DR
=I
wel
DD
o
—
—
F. Mozart: PIANO SONATA INC Major. K.309, I
145th 4, ip
al
tg Pe
the
hs
Te
Sika
BL)
N
G REDUCTION
4 3 3 i
wa) oe 5
— aPai
| |
@ rd @
.4
—— = eo
@)
—
= rd =
‘—
Ina |
-
4
V
@ H. Vero: “CELESTE AIDA” FROM AmDA, ACT I I. (REDUCTION)

39
= | | |_|
7 @
| |
\y @. mt
5
|
4 hal oT u
a:
if
a
haa
o —
: ial P|
=
e P|
~ Je TY
~.
e ©
6eke TV
t
nal al
fmm =
|
I O i |
Bb: Vv I
THE CHORD 273
Schubert decorates the authentic cadence in the piano introduction

to his “Who Is Sylvia?” with two charming suspension-like dissonances
leading to the § and its dominant resolution (Example 16.4a). Actually,
this dissonance succession was known as far back as the Renaissance
under the designation of a § followed by a so-called consonant fourth.
While the vocal line elaborates scale degrees Sand 4 in the Henry Bishop
song (Examples 16.4b and ¢), Cecile Chaminade embellishes the ii’ that
precedes the implied * in her Minuetto (Examples 16.4d and e). The
Mozart excerpt (Example 16.4f) illustrates a cadential flourish that is
typically used in the Classical period to demarcate the conclusion of a
longer section of music. The scalar motion in the first two measures
tends to disguise the underlying voice leading (Example 16.4g). In addi-
tion to the dissonant D-C in the soprano against the Eb of the V’, Verdi
inserts an expressive chromatic inner voice in the cadence of this well-
known tenor aria (Example 16.4h), which in the reduction rises from 5 to
aA
§ (Example 16.4i).
THE PASSING 5 CHORD
The § may also occur as a passing sonority between chords of similar func-
tion, linking two tonic, dominant, or pre-dominant harmonies. Like other
passing chords, the passing iH invariably occurs on an unstressed beat. Since
it functions as a nonessential linear chord, we will denote it in our reductions
simply with its figured-bass symbol rather than the customary Roman nu-
meral and leave its note-heads unstemmed.
A passing V4 (the second-inversion dominant triad) may function as a
passing sonoritv linking a root-position tonic triad to a first-inversion
tonic triad—I-(V4)-I"—or the reverse—I°-(V§)-I. This progression,
which appears in the opening chords of Musorgskw’s “Great Gate of
Kiev" (Example 16.5a), is rare in actual practice; composers usually pre-
fer to use the passing vii°® or V3 rather than the V§. The passing I} (the
second-inversion tonic triad) is commonly used to link two pre-dominant
chords with stepwise motion. The most common such progression is Iv’-
(9)-ii8, which usually continues to an authentic cadence, Vel (Example
16.5¢).
274 [CH. 16] THE AND OTHER LINEAR CHORDS
Example 16.5
(°) A. Mussorcsky: “THE GREAT GATE OF KIEV” B. (REDUCTION)
FROM PICTURES AT AN EXHIBITION
VF TY,
id L@)
ra 2.
Rg
P=
Ed.
hy T
7 A >=4 ball
B [fan WL
XY
AASV <> qj}
e ry
~ Je TY, |
(8) ras
i¢ as
4
__
1
Gis C4 pe
WA bh T
AT? L ee bh |
amr rn
ix ee amd
nd ZT
if
w
Eb 1° (5)
C. Haypn: Symepuony No. 104 (“LONbDoNn’), II
2 ir
ww
LvAe
fa t_¥
“%
|
aa
| ual
ye
o—_e.
Ao
=
[
of
ry)
sf
L G
°
a
> gs a
~
V4
fe ih
Le
im.
co]
A
3
ry
x
{
ai
I
|
1
TZ
if
T
l
i
|
|
i
rn"
|
ual
D. (REDUCTION). .
fest
a © a
im
4 (3)
4
2
ry oe
1
ANS ——__—
e
1
-
>Ta
n
ih
oan =
@ y
@ =
Ball
SS
[ I
bal i u
D: I Wwe
8) iif v" I
ee
The middle section of Malotte’s “Lord’s Prayer” features an extension of

subdominant harmony that uses a passing 6 (Example 16.6a). Its reduction in
Example 16.6b reveals a kind of double voice exchange, as indicated by the
boxes.
THE PEDAL® CHORD 275
Example 16.6
@)
A. ALBERT MALoTTE: “Trt LorpD’s PRAYER” B. (REDUCTION)
21
‘au WA
[ @]
Cy
aL rn"
Yr
| |
=
if
o-
Cv]
L
rn
last
l |a
eo
77
L
.
|
]
mal
if
|
Bi
a
L
i
@
I
al
th
|
T
y
NI
=
Y
|
XN L
rn"
if
al
rn"
Yr
fh ;
a
| |
@® i J Lv t
b
1
rd T T I I 4 % I
re
I
“4 e I l
Pri I
me
& | XY haat P|
if
|
T e) nal [
Bb ve (8) \ 1°
ee
>
THE PEDAL § CHORD

The pedal ©{ is 6so named because it features
fp. it
al]
a sustained bass note ove

L
r¢ . rn Oe
costs
which the dissonant 4th mav occur in either neighboring or passing

motion.
1. The neighboring version consists of a 3-{-3 voice-leading progression

over a
stationary bass note (Example 16.7 a); observe the neighbor
motion from 3-4-3 and 5-6-5. It is designated only with a feured- bass
svmbol and left unstemmed. The Schumann excerpt and its reduction
illustrate this unaccented embellishment of both tonic and dominant
chords (Examples 16.7b and c). The opening of the “St. Anthony
Chorale” (Fxanple 16 TY contains a pair of decorative harnioniess
the first is a { neighbor, and the second is an embellishing IV chord, as
shown in the reduction of Example 16.7e.
Example 16.7
Ub
Ub
{
Cfo.
$———”o
—_
fe
c= ~~ z = =
po
rd
~
|
6 6
4 4
276 [CH. 16] THE { AND OTHER LINEAR CHORDS
B. SCHUMANN: “THE WILD HORSEMAN” C. (REDUCTION)

FROM ALBUM FOR THE YOUNG
2
. T
if if
| | |
PUP taal wo NY I I fod

e
bv
L [*]
[@ J
]
:
a
"4
u
4 L
[
T
|
i¢—F-$— YZ
if
7
if
WA i
=
]
6 5 6 5
B Hh 8 Hh 3B
a i Vv
D. Haypn(?): DIVERTIMENTO
No, | E. (REDUCTION)
(“CHORALE ST. ANTONI”), I
A_4 a |e >|
= x]
| |
a7 PAO ml
f. sn b
>
fal
| oe
—
—
heat b — —
A @ 1
oy
\
=
— :
|
ns # = py
=
7 an
— i
a.
7
, 5 6
Bb. I (IV) I Bb: 3 ()) 3
I N |
Be careful when identifying the note that functions as the actual

bass in accompanimental parts. In most cases the first bass note of the
measure of figuration acts as the real bass. In Example 16.8a the
chords on beats 2 and 3 in the bass staff are not {’s, since the recurring
C? on beat 1 is heard as the sustained bass and root. On the other
hand, the harmony in measure 3 is a legitimate neighboring {, as
shown in the reduction (Example 16.8b). Note the curious clash of Ft
and F¥ near the end of this bar; the F* is a chord tone, whereas the
FE arises from chromatic passing motion, F-F $-G, in the soprano.
Example 16.8
A. SCHUBERT: VALSES SENTIMENTALES. Op. 50 B. (REDUCTION)
5
(sy —4
+f — i
a i t
:
pg xy
1
sy t
—_Je
C:
es oe
tt 2
ge |=
|
3
5
Cc
|
1
6
|
THE ARPEGGIATED & CHORD 277
2. The dissonant 4th may also occur as part of a three-chord passing pro-
gression over the sustained or pedal bass. In most cases this progres-
sion amounts to a kind of dominant prolongation above the bass 5
(Example 16.9).
Example 16.9
(g) A. “LYONS” (HYMN TUNE) B. (REDUCTION)
| —
—
|
A
|
_
|
3 7, is |
a
7
mee
—
= oo 7
Sa aed
bal * I L I I I | I {
———_
it
i I
—
ia
df
T i
T T T
in T T |
; (9) (8)
A: V'
THE ARPEGGIATED § CHORD

>
The three uses of the discussed so far are based on treating the dissonant
§
4th as some form of -harmonic tone. However, this sonoritv mav also
non-
occur as an arpeggiated§, the by-product of a broken chord or arpeggiation
in the bass. In Example 16.10a the B’s in the opening of Bruckner’s sym-
phony produce momentary second inversions; nevertheless, the entire pas-
sage should be viewed as an extended E major root-position, harmony,
Likewise. in the Bach passage (Example 16.10b) the Bb’s and A’s (1 and77) on
the first beat of each measure in the bottom clef act as the primary bass sup-
port, despite the incidental “s (indicated with arrows) created by arpeggia-
tions. The reduction (Example 16.10c) reveals a large-scale neighboring
motion, I-(V°)-I.
Example 16.10
@) A. BRUCKNER: SYMPHONY No, 7, I
Ww
—>
278 [CH. 16] THE $ AND OTHER LINEAR CHORDS
B. Bacu: MINUET FROM Partita No. | iN B-FLAT Major, BWV 825 C. (REDUCTION)
ial tb >1 ©
_|
——
{ I
P|
"oe
_ se i I l i | |
mi ¢
e @
ys ay
Ca
{
t
= —
>
oe + e+ }+—
fo
hl CO fA—f?#
p—
—_@—__@
t
~—_p—4y
—
t
oe
|
Bho ot (WS)
OTHER TREATMENTS OF THE CADENTIAL 4
Since the cadential form occurs more frequently than the other types of 1's,
you may expect to find occasional exceptional treatments of the standard
voice-leading procedures. The excerpts below illustrate some deviations
from the customary handling of the cadential §.
Although this chord is usually associated with the closing of a phrase,
Hassler chose to open Example 16.11la with not one but two accented 4
chords. In addition, there is a cadential | in the half cadence. Beethoven,
rather than resolving the soprano 2 in the usual way, to 8-7-8, has the second
note leap to an emphatic 5 over the " before returning to complete the ca-
dence in normal fashion (Example 16.11b). Mozart is unable to resolve the
4th of his § in a downward fashion, since he wishes to conclude with an im-
perfect cadence on 3 (Example 16.11c). In order to emphasize the final ca-
dential gesture of his sonata, Scarlatti repeats his chord no less than three {
times; in the first two instances, the bass moves through a V3 upon resoln-
tion to reach the bass 3 again (Example 16.11d).
Example 16.11
A. JOHANN HASSLER: SONATINA FOR PIANO INC MAJOR
lane’
rt 7
_
I
i i
rn"
|
= mn i
it
Bane
Z
| y
-
6 5
(G2) 3)
6 5 6
3!
THE EXTENDED $ AND THE CADENZA 279
@)
8B. BEETHOVEN: “THE GLORY OF GOD IN NATURE,’ @ ©. Mozart: STRING QuARTET IN D MINOR,
Op. 48, No. 4 k.421, I
3
-
5 (for §)
39
g
7 §
a
——
i 3 3 f
al
ee
|
ray
|
.
2
1
ao a «
]
a md |
r a,
ANA
" [@ haul haat t
oe
sf sf
d.
ae A =
i
A we
Pa
=
T
| /
ZC OY D Major, K 192
cadential extension
105
3 aoe
ad a.
i
I 1
'
os eae 2
i
| |
A
| I
—— ° P
16 IV 16 Iv $7 Iv I
—
bp:
4 4 4 &
—
3
——4
THE EXTENDED § AND THE CADENZA
The cadential progression may be extended over several measures, as illus-

trated previously in the Mozart in Example
(Example 16.4f), or
passage
15.22, where the oscillation between °1 chords and chords over a dominant 4
pedal near the end of Strauss’s Death and Transfiguration builds a harmonic
tension that is finally released in the tonic resolution of measure 475.
A more extreme case occurs in those movements of Classical concertos that |
may include a cadenza (Italian for “cadence”) for the solo instrument. These
cadenzas, whose virtuosic flourishes allowed soloists to demonstrate their tech- i
nical prowess, were originally improvisations based on earlier thematic material
from the movenent. As time went on. COTHPOSCTS increasingly began to supph
wrilken-oul caclesas. The typical cadcuza opens with a lengthy 4 chord. Fol
lowing the iuprovisations, the suluist moves tow ard thie donunant chord, which
serves as the resolution of the initial A long trill on 2.2 in the
upper voice leads
into the closing or chestr al tutti on tonic harmony. Both the and
immediately
)
its 3 (or V' are set off by fermatas. The framing sonorities of the cadenza for
280 [CH. 16] THE § AND OTHER LINEAR CHORDS
the first movement of Mozart’s C major Piano Concerto, K. 503, are shown in
Example 16.12. Since Mozart did not furnish his own cadenza for this concerto,
improvisations would be inserted between the fermatas.
Example 16.12
Mozvnr Conc para © Mayor, K 305, 1
(orch.)
ON (piano) (orch.)
410 7
= tr om
Lh P=
eyLW
Mad
wom
wud
XY o- oe
ry) o- e- 4
o-
(cadenza) St
fa.
2 :
aa CY I x
6 7
|
it 3
¢ Vv [
In order to make effective of use of chords in harmonization, you must be-|
come familiar with the idiomatic melodic lines they usually support. Some of
the more common are listed below:
A A
>
Cadential -S-7-S where the second chord

y
1. 1-3-2-17.8-8-7-S or is
the ¢.
2. Passing -(8)-2,
prolonging dominant harmony, or 4-(3)-2
and 6-(5)-4, prolonging pre-dominant harmony.
3, Pedal: neighboring }: 3-(4)-3 or 5-(6)-5 over tonic harmony or passing:
2-(3)-4 over dominant harmony.
Identify the different types of} chords used in the setting below.
Example 16.13
| | | | | | |
e) “| i
a «lg d+ |@ te:
Pt 3
ra
ae a =
+
=a
T
mn T
fee
OTHER DIATONIC LINEAR CHORDS 281
OTHER DIATONIC LINEAR CHORDS
Passing or neighboring sonorities in root position or first inversion func-

tion as contrapuntal or linear chords to connect or prolong harmonies.
We customarily indicate these embellishing chords by means of un-
stemmed noteheads and put parentheses around their Roman numerals.
It might actually be more appropriate to dispense with Roman numerals
altogether and simply write “P” or “N” below the chord to indicate its
true function. We have already discussed some instances of these contra-
puntal chords in previous chapters, such as the passing vii’? which con-
nects I and I°, or a neighboring V&, whose bass outlines 8-7-8. The
remainder of this chapter will examine some additional examples of lin-
ear chords.
1. At the beginning of this chapter we noted that the passing tone 3

between 4-2-1 in the progression [V-V-I was not permitted because of
the presence of parallel Sths (Example as we previously
16.14a). Just
inserted a cadential | to support this passing 3 in the soprano (Exam-
ple 16.1), we can also insert a root-position tonic chord in the same
manner, so that the I now acts as a consonant passing chord to con-
nect the FV to the Vowith stepwise motion in the upper voice (Exar
ple 16.14b). The phrase from Mozart’s famed “alla Turca” movement
(Trample 16.14¢. and its accompanving reduction (Example 16.14d)
illustrate how this consonant passing I occurs in typical passage
a
from music literature.
Example 16.14
.
A, B.
STHS P
po
oe
eo =——e ra
|
o
= = —
|
Py
Cc: TV Vv Vv () \
C. Mozart: PIANO SONATA IN A Major, K.331, TU

=> =>
yn
Otte oer: a 7
1g
feestese 2
¢
ITS
=
gp «
*
—
e) T T
yo
.
Ae
@ @
== _26000|. cS2. esce =
=
—
|
__ i" ff, 16 i
I I
ran tg
ate dé gd
l
Cd [|
if
oe? wo
D. (REDUCTION)
ID
3 4 2 |
| |
_|
—
oe
NV
e
Fi
a
és
i: ra
T
A: IJ I\ QQ) I
2. The retrogressive V-IV progression is somewhat curious, since it

reverses the normal tendency of the pre-dominant to dominant. One
way of viewing it is to consider the IV an interpolated chord inter-
rupting the basic dominant to tonic motion. As the few excerpts
below demonstrate, the V-IV may appear in a variety of musical
stvles, from a sequential Mozart passage (Examples 16.15a and b) to
its recurrent use in the last phrase of a standard blues progression
(Example 16.15c). This progression always seems to appear in the
major mode.
Example 16.15
(@) A. Mozart: PIANO SONATA IN F Major, K.332, II
O41
rn"
* == .
I Cv
(on A,
ORE [ 7
|XY {
—S= — Vi
r
e) |
Bat tat fot £58

B.
J. J
CO 1 q
v4
TY?
|i >
@- hall
ml
Ufa. bh
Ws
hal —"
AWA
4
a
__@ —
a
Ee i
bh
I ———— N
:
; Bb: (ve Iv°) 1°
() C. BAsic BLUES PROGRESSION
one measure = four bars

fa L
| |
f 1
i
8 $
’
;
+}:-Th
p—e A]
| 2 la =
|
:
Bb: I dv) I \ qv) I
Since the V-IV-I progression sometimes sounds like a plagal ca-

dence, it is used as the closing cadence of many sacred solos and
choral works. Example 16.16a and its reduction (Example 16.16b) il-
lustrate a typical example of this procedure. The resultant delay in re-
solving the dominant to tonic bv rerouting it through the
subdominant was often exploited by Romantic composers, reaching
its aper im the transcendent chinax to Isolde’s “Liebestod” in Wag-
ners Tristan und Isolde (Fxamples 16.16¢ and d).
Example 16.16
A. B.
an
)
mil
mil
ad
iss rm"
Od
#1 fa o
rn
ra —=
~—
| o
mn
o- Dw: Sons
T
_
|
D: I ii Vv! (Iv) oT
284 [CH. 16] THE %
AND OTHER LINEAR CHORDS
C. WAGNER: “LIEBESTOD” FROM TRISTAN UND ISOLDE. AcT
~ qe
3 3 3
60
~~
|
ms hate ugh al
:
At
law) Tied) Z
on aN
T
bil
NST
d
ND
a <a
Fare
CT
4
D. (REDUCTION)
fal 4 H
|i —
LT NI
}
e)
i lr
d
or» Tht e
mn
©). Bort
“yy I @
h | aa
Tt 9
I
~ 6 5 6 3
B OV IV I
3. Occasionally apparent seventh chords may arise as the result of

linear voice leading. We might be tempted to analvze the indi-
cated harmonies in the Chopin and Humperdinck passages (Ex-
ample 16.17a through c) as some form of supertonic seventh
chord, either ii; or ii§. However, closer inspection reveals that nei-
ther function as normal supertonic sevenths—not only do their
chordal 7ths fail to resolve properly (88-7). but thev do not
progress to dominant harmony, While the former functions as a
neighboring chord to the tonic, the passing motion of the latter's
plagal cadence carries the soprano upward, 1- (29)-3. For analytical
purposes we simply supplv the figured bass in parentheses and
use unstemmed note-heads, as we did previously with passing and
neighboring {s
Example 16.17
(7) A. CHOPIN: GRANDE VALSE BRILLANTE.
Op. 34, No.2 B. (REDUCTION)
0 —,——___+ ~~
~~” Nene”
= |—
Se
a
e
[>] [ I
oe
Ze
=
a
I
a: j
(3)
KR Ov EUR TO TPANSE PR
ANDGa di
Ve
A 240g laa
« =
7
I
ALL
CD
Np
Ta
KA)
~/
am
IN 6
4. Strange transient sonorities mav originate from the interplay of

harmony and melodic dissonance. In many cases confusion can
arise when embellishing tones are sounded simultaneously with re-
iterated chords. Resist the temptation to analvze such sonorities as
freestanding chords with their own Roman numeral function.
Three examples of this interplay occur in the passages of Example
16.18a through f; plav the music first and then examine the reduc-
tions. The Schumann excerpt amounts to nothing more than a pro-
longation of V' with passing motion in the various voices. In “The
Minstrel Boy” it is the tonic that is being prolonged with passing
tones and an appoggiatura. The dominant extension in the final
Schubert quotation is further complicated by the presence of a
tonic pedal in the bass.
Example 16.18
@) A. SCHUMANN: “AN DEN SONNENSCHEIN,” B. (REDUCTION)
Op. 36, No. 4
27
yy a L. Pa
——
JN
>
—#
| |
e eo = ‘ = @)
e 7 ad
}
dass. ich wie duo ma-chen soll
4 py
£4
—
]
i
if
__t
J
i
__) |
v4 ee JT _
€ XY
AA
A,
5 fe
—e
ry
7? a V4
im v
—
a
re
—_
a a
“a.
ae
6
G:
on
>
vo
C. “THE MINSTREL Boy” (IRISH FOLK SONG) D. (REDUCTION)
LY,
’
i nen
’ ; Of TY,
ey | |
| 1 ay, 1 T
hl
__|
v4
,
|
Le 3 I
Ts" trey"
a
VF I
may
ryt
if
ai
ag
Li 3
i}
I
iZ._|
TT }
I I
an
|
2 __ |
“T
tL
T
Eb ] ——»
EB. SCHUBERT: “IM ABENDROT.” Op. 173, No. 6 FF. (REDUCTION)

28
ay |
—__]
NY i=
e
|
d Nn Him-mer sch ul - hie
=
— a
*
e
iad +
ps ——e
1
3 a oe
___@ # _ a *
=e _| —
; :
—
2
TE :
—e—
: > om
——
m2 |
Bb: if LV‘ over pedal a i

By employing a linear approach, you will be able to explain the

true function of many sonorities that otherwise might seem strange or
puzzling.
4 linear chord cadenza

4
cadential & consonant passing I
passing V-IV progression
pedal § apparent seventh chords
arpeggiated § interplay of harmony and melodic
extended § dissonance
nN AN
va
1. Circle each that you find in this passage. Then use an abbreviation to
$
indicate the type of each ° Use C for cadential, P for passing, PN for
pedal neighboring, PP for pedal passing, and A for arpeggiated.
Example 16.19
-==
A
Hoth as
2
17K)
He 4 ; ra
!
=
gt:
Boh
ee
3
a:
e |
=
|
pe
| |
f P if Pe
4
So
4 a eo 2 + [fo
2
vg fl
=
lk
=
|
Ps is
2. Realize the figured bass in the following passages, using four-voice tex-
ture. Analyze with Roman numerals and then indicate the type of § chord
used in each example.
Example 16.20
4
a
|
—|
— T
=
t TT
——
za
¢ =
e
T
ta |
+—
a *
4 6 6 &
Ab 68) C:) | ) 6
4 5 5
6
3
C. D
u 4 1 | | yu
ei 6}
rd rial
T i il 1
- > eo
am mT
Mm
a? 2
i
t t
ur
+t —- t t
3
fi 6
2 4+ #
E:: 6 6
1 3
65.
a LD, t
a
7 7
;
=a aa 4
a
1
t
t t
o— oS
I
Za
oy:a?3J
ry’
71
;
Se.
5 teresJ 7 ms
al ex 4
|
| |
D,
.
1
6 6
.
62 6 6
4 3 4
3. Realize the following unfigured bass passages, employing an appropriate

in each; there may be more than one in the last two progressions. Add
the appropriate Roman numerals.
Example 16.21
fh}
an wi
| |
4
|
hall
|
vi
a
eS
Paar
Lan
Oi
|
Zz t
Lad
|
=
| |
za oO
ry)
—+
oe—>-—>—4 Zh t
i SS
————
A Re
C. D.
\ L h | 4
a>ee
A 1 | |
Ly Ae TTF
] I
| i
ae
l
z
T
fr
1 T | I
“iw
Lr. Ld it
I I l i
TPQ
bh
NT
|
|
z aTC 2 Pal
al
= oe hall NY haat
pS) ry) ye
1 Ub 1
ec
~ ge [Tb
~_ Je OF (22 {¢
_
aLe J
a VA bh
vy
[I]
it
+.
C H A P T E R 1 7
The VI, III, and Other

Diatonic Triads
T.. CHAPTER is the last in our study of diatonic triads. We will focus
first on the submediant (vi) and mediant (iii) harmonies and then discuss the
use of the v° and VII triads in the minor mode. Since the vi and iii lie some-
what beyond the fringe of normal pre-dominant, dominant, and tonic har-
monies, it is difficult to generalize about their functions. Sometimes they
precede pre-dominant chords, at other times they come immediately before
the dominant, and on occasion they may even act as substitutes for the tonic
or dominant triads. -
THE SUBMEDIANT AND MEDIANT TRIADS IN MAJOR AND MINOR
The diatonic submediant and mediant chords occur as minor triads in the
major mode (vi and iii), and conversely as major triads in the minor mode
(VI and III), as shown in Example 17.1. They usually appear in root position,
since their first inversions are actually functionally related to tonic and domi-
nant harmonies, a topic we will take up later in the chapter.
290
THE ROOT-POSITION VI BETWEEN TONIC AND PRE-DOMINANT HARMONIES 291
Example 17.1 $ Q
(e! ys
~ ge T
$ Q
q>
__Lpe qa) TT ap
at Lt
C: vi lil Cc: VI Ill
THE ROOT-POSITION VI BETWEEN TONIC

AND PRE-DOMINANT HARMONIES
The main use of the root- vi is to connect the tonic I to a pre-

“Position
dominant harmony, such as ii’, or IV, all iif,
built on 4, Since the bass note
(6 of the submediant triad divides the leap from 1 down to 4 into two 3rds,
6)
it functions as an embellishing chord that precedes or prepares pre-

dominant harmony; in such cases we will leave it unstemmed in our reduc-
tions. In this form it may also be thought of as a voice-leading chord, since
it is derived by a 5-6 motion over 1 in the bass, where the6 (or 6) is dis-
placed into the bass voice. The root movement from I to vi or vi to IV spans
the interval of a descending 3rd. As the bass descends by thirds in this pro-
gression, the three upper voices follow the pattern outlined in Example
17.2a. The move from I to vi is the same as the move from vi to IV; two of
the upper voices retain common tones between the two chords while the
third voice moves by step. On occasion the soprano may move in 10ths with
the bass, forcing the inner voices to move in contrary motion (Example
17.2b). Some typical excerpts and model reductions below illustrate this
voice leading in four-voice texture.
Example 17.2
A.
|
i
|
a
(|
a
el9
(vi) I\ I wi) OV (VI) i726

C. Rosstnt: OVERTURE TO L7ITALIANA IN ALGERI
rN
®)
239
NU
eo
— — oe —
—————-
— +—
a
T
wor
_
teso,| 0,
4
0-695 Sol
5 fg Ae
ra
wi it
I | [
+ 4{—_f
T
+ | |
D. (REDUCTION)
—— 4
|
ue |
Lo
e
f
| |
a= a
~_—
eo
e
4
—
l
ore | (vi) ii” \ I
E. Mozart: PIANO SONATA IN A Minor, K.310, I
ry
p13!
|
o
Le
or o s =
.
—— is
P
———=
Ze
Fo (REDUCTION)
pores treet
I i I I
=
'
|
T
]
WD ii? 2) V i
@)
mn"
al
|
{s_
Ay
292
THE ROOT-POSITION VI BETWEEN TONIC AND PRE-DOMINANT HARMONIES 293
Rossini was especially fond of this progression in his grand finale ca-
dences; a typical example appears in Examples 17.2c and d: I-(vi)-ii®-V-L
Mozart’s minor-mode version employs the ii?§ chord (Examples 17.2e and
f). The root-position submediant or its seventh chord may be found in the
opening of innumerable popular songs (such as “Blue Moon” or “The Way
You Look Tonight”), where it begins a series of falling 5ths: L-(vi)-ii(‘)-V(‘)-1.
Example 17.2¢ illustrates a familiar version of this progression that is fre-
quently heard at informal gatherings around the piano. Similarly, the har-
monic succession I-(vi)-IV was a standard progression in many of the
popular songs of the 1950s; the incessant piano triplets seem to be a neces-
sary stylistic component (Example 15.3a).
On occasion, an embellishing vi may be interpolated between I and 1°,
prolonging the tonic function; see the opening phrase of “Rule Britannia” in
Examples 17.3b and c. To avoid parallel 5ths when the soprano moves 1-2-3,
the vi may even substitute for a IV and move directly to V; in such cases we
stem the submediant chord, since it substitutes for the usual pre-dominant
(Example 17.3d).
Example 17.3
@ A
3 3 3 3 3 3 3 3
F 4 i i | | i I 4 I
t
1 1 |
| It
J
6
| I | L | i I I | |
P| we
|
a
I
P|
I
a|
a
I |
:
-o
5 € ‘eal al al
:
——~ 3-1 a ee 3
F: I (vi) IV Vi
@) B. Tomas ARNE, “RULE, BRITANNIA” C. (REDUCTION)
yt —_— I
=F [
|
o
A
Wa eit
1 3
aa
3
—
i i
|
{¢ if
L-
A
hen
Ou KX
im
T
a
2
iKY
fan
bea 7
Zz Yd z
rr Ve
oO
e
.
IN $ g\N
mM
ber Y rn
(|
u
I
mal AT
mee
ony
op)
—_
—_
—
net
=
294 (CH. |
7| THE VI, IIT. AND OTHER DIATONIC TRIADS
D. “REJOICE” (HYMN TUNE)

| ~
| | | |
oe
. °
o
A i]
H — 4
t
|
i
iu
|
t
|
(V) © (iio®) oT 16 vi OV I
THE VIAS A SUBSTITUTE FOR I: THE DECEPTIVE

CADENCE AND PROGRESSION
Another familiar use of the submediant is its substitution for the tonic in a per-
fect authentic cadence. In our previous melodic analysis of the tune “Old One
Hundred” in Chapter 3, we noted the premature arrival of scale degree lat
the end of the third phrase. In order to avoid a conclusive-sounding cadence
on the tonic before the piece is finished, we may substitute a vi chord for the
expected I (Example 17.4). This exchange of vi for I maintains the sense of
harmonic momentum until we finally arrive at the last authentic cadence.
Example 17.4
*
(@®
Louts BouRGEOIs: OLD ONE HUNDRED” (HYMN)
7 § 2 I
4 | | |
a | | | | |
= i
a
Pou
© i
iH
I
it
i 4
t
I
r
I
o 1
ag
i T
A P|
1 t r
at
hal
i
_
~
@)
id
#
ra ©) ~~ > i
— Saal
| mal
G: Vv vi y i
This cadential substitution of the submediant for tonic is called a decep-

tive cadence. Other features of the authentic cadence remain intact—it is
still by a pre-dominant or § (such as I-ii$-V) and still features the
approached |
typical2-1 or 7--8in the soprano. in place of the usual resolution to I, the
But
bass moves up a step from 5
to 6 while replacing the tonic with submediant
harmony, as shown in the first
two models of Example 17.5. Above all, avoid
asoprano line from 7 down to 6, since the leading tone’s wrong resolution
would become obvious (Example 17.5c).
OTHER TREATMENTS OF THE V-vi PROGRESSION 295
Example 17.5
A. B. C.
2 5
A A avoid 7
Be
| |
jt
+a |
| —_| |
|
| |
I I
e e
i
~
I il
|
if |
if |
:
:
!
—
it
I
I
i
I
:
OT
v
M ]
l
__
yg :
slta, i
TL
8 T
6 5
: a
4 G8
ov vi 528 V VI Cc. 1 WV Vi
The stepwise root motion in this deceptive cadence can easily foster
partwriting mistakes, such as parallel octaves or 5ths (Example 17.6a) and
even an augmented 2nd in minor keys (Example 17.6b). To avoid these,
move two of the upper voices contrary to the bass, producing a doubled
chordal 3rd in the submediant triad; refer to Examples 17.6c¢ and d.
Example 17.6
A. B. C. D.
(parallel octaves/5ths) A2 OK OK
h h
ete —
| | | | | | | | | |
ANY —e
a
OTHER TREATMENTS OF THE V-vi PROGRESSION
Deceptive progressions mav also occur within the phrase using 5-3 motion in
the soprano (Example 17.7a). In some cases these V-vi progressions seem to
form interpolations within the phrase’s interior harmonies. The V-vi in the
second measure of Handel's aria (Example 17.7b) could almost be omitted.
as indicated by the brackets, since the overall voice leading in the reduction is
hardly disturbed (Example 17.7¢). In “America” (Example 17.7d), the domi-

nant {-3 in measure 2 appears to be leading to an authentic cadence (3-2-1).
The detour to vi not only thwarts the cadential expectation but also continues
the harmonic flow until we arrive at the real cadence two bars later.
296 [CH. 1 i |]
THE VI. IIT, AND OTHER DIATONIC TRIADS
Example 17.7
Al)
oo
Gant eo
we
“jee
“4
~—
(I
tt
oa
sd
e
vel
@
ine
6
V1) iv
® B. HANDEL: RDI PRATT FROM ALCINA, ACT IT
VF
yA
TT,
V_Y_49
3
a ele
aye
Stan
ay
¥
oe
Jo 4
@
fe
o C2
_—_
pe [TY fd.
an) a
C. (REDUCTION)
—_
TT,
fey" 7
YZ
Eb: (\ vi) ll 16
@ D. “AMERICA”
N
=
4
Tee
He
=
wT
—elell
en 00ce
Stay
TN
BES
el
fel
fel
(v1 IV vi) 11
THE ROOT-POSITION IIT TRIAD WITHIN THE PHRASE 297
A deceptiye progression may occur in Larger contests to dink lengthy see-

tions of mmisie cvuripte may he found at the end of the Scherzo of
An
Beethoven’s Symphony No. 5 in C Minor. Although it is highly unusual for
an entire movement to conclude with a deceptive cadence, here the com-
poser uses ib as a bridge ig ink the Scherzo to the List moverent. After the
deceptive VT chord ‘in 3 24. tie holds the listener in suspense Willi an ex
tended uuibiguous pussace before arriving on an ciuphatic WV" that eventually
resolves into the opening C major chord of the Finale (Example 17.8).
Example 17.8
@)
Bet ihoves Syiptiony No SOT ro TV
320
@
i ——
| |
T
b
a
* * ~
one |
te
aa
ei)
btn}
bt
ae
mo
a
4
Ss
\ e
—
Cc: we
(violins)
6 hb
ht |
on = t
ia
T
ZZ r
CY I { = I
once
|
tow
~ i T
oe
i
: i} — — :
——
HI
Cs a
a ee ae ee
Allegro
g
367
Qs Qs Qs Q: Qs Qe 1
iS bie Be be ston be bez L ce .

bt
V_
b
meme ry
a
0
€ >
e |
CreSC.
Sf
.
o° fas f2* Qe
L
o » J
e TD, Lit i¢ iti
“” A ” ” P ” !
vi
THE ROOT-POSITION III TRIAD WITHIN THE PHRASE

We now turn to the submediant’s companion, the diatonic mediant triad (iii
in major and ILL in minor), and examine its role as an unstemmed embellish-
ing chord. Since the mediant, like the submediant, is also related bv third to
298 [CH. 17] THE VI, Til, AND OTHER DIATONIC TRIADS
the tonic (1-iii), its partwriting is similar to I-vi; in most cases keep two com-
mon tones and move the remaining voice stepwise, as shown in the reduc-
tive models of Examples 17.9a and b. The mediant may initiate a series of
falling Sths (iii-vi-ii-V-I), as in Wagner's familiar bridal chorus (Examples
17.9c¢ and d), or it may support the leading tone in descending 8-7-6-5 mo-
tion in the soprano. At the opening of Billings’s “Chester,” the unstemmed
iii moves directly to IV in the manner of an incomplete neighbor (Example
17.9e). The interpolated deceptive progression between measures 2 and 3 of
this excerpt (the notes between the brackets in Example 17.9f), recalls the
same procedure found in the Handel aria in Example 17.7b. The mediant
triad may even substitute for a I°, as the Johann Fischer fugue illustrates
(Example 17.9).
Example 17.9
A. B.
Aug
qd.
me
A
i!
AG
il
on
|
aL
Cc: | (iii) Vv Vv (ill) ]
C. WaGner: BRIDAL CHORUS FROM LOHENGRIN, ACT III

17
=
—_t a a:
——
e) |
°
—— s
eo
a 2 @
ee
=
I
f
=—— |
D. (REDUCTION) .
—
3 3 2 1
De v eo a al
t lad
Bb. I
(iii vi) ii® v I
THE ROOT-POSITION If] TRIAD WITHIN THE PHRASE 299
@) E. “CHESTER” (MELODY BY WILLIAM BILLINGS)
|
13 |
hoe :
——— fl 72 Lee of
f*
oe
|; “— _—— |
|
4
——$ «4 1¢
——————
| + |
| IN |
F. (REDUCTION) ,
:
(6 + 6 $) 8 j 3 5 i
——
—
te"
@)
;
—s—
=
hal a |
o-
|
==
1
—_—_
—s oe
F
| | |
6 ri
4 3
F: oI
(iii
I\ Vs) P6 I
(Vv!
~
vi) \ V I
@) G. JOHANN FISCHER: FUGUE IN F MAJOR FROM ARIADNE MUSICA (|
—oe — |
— |
i
oe 2 5
— —s
7 I
F 6
dv vii?) iti I
fou
Since the III triad in the minor mode may function as the tonic of the
relative major kev, it is tonally stronger than its counterpart iii in major. In
the Mendelssohn excerpt (Example 17.10a), the root movement by ascend-
ing 3rds produces a i-III-V progression, which is related by inversion to the
descending 3rd motion from the tonic, Ivi-IV. All three chords (i, HII, V)
share one tone in common, either 5 or 1. Although IH mav support scale de-
gree LT in the line 8-57-56-5 in minor (Example 17.10b), it rarely
substitutes for aSoprano
i°.
300 [(CH. 17] THE VI, II], AND OTHER DIATONIC TRIADS
Example 17.10
GA Mi tssoun: Fivcas Cave OVER rene, OF 26 SSM PLERIC VION OF MIM. 9-13)
CS
e)
= a 2
—— ——
a ¥
|
rst ey Q: =e
= = = = eo =
r
b: i III
B. A nw nw
8 7 6 5
—
— fh_} | | A
oe __——
f
e e |
+ a
oe}; or
ee ¥ 4,
o
V i Cc: i (III) iv V
THE “FIRST-INVERSION’ VI AND III

AS VOICE-LEADING SUBSTITUTES FOR I AND V
The first inversions of the submediant and mediant chords are rather illusion-
ary. ts Urey are not abvars what they secon We mie occasionally encounter
chords that appear to be vi’ or iii’. But since their bass notes correspond to
the strongest scale degrees of the key (i and 5), we tend to hear them as tonic
or dominant harmony. These sonorities are best explained as the result of 6-5
or 5-6 melodic or linear motion over a root-position tonic or dominant triad,
as shown in Examples 17.11a and b. We call these “voice-leading chords.”
A. B.
Example 17.11 6-3 5 6 5 6
la
i “™ Laord
+
| | .
eo fa
—— ns
oe
o
id * |
ie Li,
Cc: I Vv Cc:
+= i Vv
(i?) (iii?) (VIS?) (11+?)

THE “FIRST-INVERSION” VI AND LIT AS VOICE-LEADING SUBSTITUTES FOR ITLAND V 301
Some typical examples of these 5-6 or 6-5 triads appear in Example

17.12. In no way should we analyze them as vi° or iii®. The reduction of
the opening to the Schubert movement (Example 17.12a) reveals a
neighboring B-A in the soprano over I and V° harmonies (Example
17.12b). In the beginning of his famous “Du bist die Ruh” (Example
17.12c), the vocal line traces an overall stepwise motion, F-G-A-Bb,
starting with 5-6 over I, as shown in the reduction of Example 17.12d.
What seems like an augmented III° in the Bach chorale harmonization
(Example 17.12e) is actually nothing more than a V with an accented
passing tone. This 6 over the dominant may also omit the resolution to 5
(3-2), as shown in Example 17.12f; the last example shows this device
occurring over a Vv" (Example 17.12g). Some theorists prefer to call this
a V'?) but that seems inappropriate, since the 9th and 11th are not
present.
Example 17.12
(?) A. SCHUBERT: PIANO SONATA IN A Major, D. 664, II B. (REDUCTION)
@) C. Scuupert: “Dt sist bie Rui”

8
VF
Du bist die Rul’, der Frie de mild, (REDUCTION)
T T
@ |
il
t
6
Bb
302 [CH. 17] THE VI. HII, AND OTHER DIATONIC TRIADS
E. “VATER UNSER IM HIMMELREICH”

fy | ;
pee
i“ q7
t +—t t —=t t
o_¥
if
eo
b
| eal hg ig Ty)
£
6 5
C: iv Vv VI
F, G.
6 6
—™~_| |
L, _|
rf
| aac rn | mal @- @-
LY, +
. =»
| |
CG Ww) 1 v i Ww) I
MODAL CHORDS
When composers favor the submediant, mediant, and supertonic chords

(vi, iii, and ii) over the dominant and pre-dominant chords in major-key
progressions, the sense of normal harmonic function mav become less
evident. As a result, the music takes on a modal flavor. Modal music,
such as music from the Renaissance period (1450-1600) or from folk-
music repertories, does not show the normal harmonic functions charac-
teristic of common-practice period music. For this reason, these triads
are sometimes called modal chords. Russian and Eastern European
composers of the nineteenth century were especially fond of this implied
modality. A tvpical example appears at the opening measures of
Tchaikovsky's famed Nutcracker march, in which no dominant appears at
all (Example 17.13).
OTHER DIATONIC TRIADS: THE v* AND VIL IN MINOR 303
Example 17.13
A. TCHAIKOVSKY: MARCH FROM THE NUTCRACKER, ACT I B.
@)
.
3
A
may
4
a: i
+
K
+
Yr I > —
o —E *t wi 4
e
: A,
r
LZ CY)
L T i
YiL
@
TZ
i
Cvs
|
—#
ony
r
C7]
I 73
:
It
= It
_
7
vd
3 4
G I Vi iil I vi
OTHER DIATONIC TRIADS: THE v’ AND VII IN MINOR

The two remaining diatonic also exhibit quasi-modal functions. De-
triads
spite its dominant root, the v° in the minor mode shows little or no tendency
to resolve to the tonic. Instead, its subtonic or lowered 7th scale degree(7) (
propels it downward by step to a L6 before arriving at 5. This tetrachordal
progression (i--V°-jv®-V) is frequently found in continuous variation forms
such as the passacaglia and chaconne of the Baroque period (Example
17.14).
Example 17.14
@) JoHANN KUHNAU: CIACONA IN F MINOR
rb-+ ay
+ +
bh
vA
—a &
rs
jt
1
e Ls 7
Se oe |
P:
w '
;
Lama
LJ = I
it
I
i
am
i
J i T J
ee
} } ] I I
it it it
a oe
\ i 6
ut 4
4
f i ( 6
iv?)
6
\
The subtonic VII triad in minor often precedes the III, acting as its dom-
inant. In Spanish flamenco guitar music, it frequently a direct
bass descent 8-57-6-55, where VII and VI substitute for v°
occursiv’ in and
(Example
17.15). The blatant parallel Sths above the bass are typical of this stvle.
304 (CH. 17] THE VI, Hl, AND OTHER DIATONIC TRIADS
Example 17.15
FLAMENCO GUITAR PROGRESSION
1
i
=)
+ TU
Ue
cae ]
}
_. i mai
|
Oo
i}
it
g [a ef [
T
oO
]
II VI) V
In harmonizing melodies, you should attempt to associate the vi/VI triad
with scale
degrees
3 or in the soprano l
1rather
(Q
than 6), and the iii/II triad
with 3 or 7 (when the7 descends from 8 to 6). Although these two chords
can add harmonic variety to your melodic settings, be careful not to overuse
them. Also avoid employing too many deceptive cadences; the less they are
used, the more effective they are. The arrows in the three short phrases of
Example 17.16 denote likely places for either a submediant or mediant triad.
Complete the harmonic scheme of each phrase and then sketch an appropri-
ate bass line.
Example 17.16
A, B.
| | | |
fh_|
LVAe
0
rn
t
LV A 1
>
e eo
l
a+ +7]
]
=
t t i t i t t i
e) |
J
|
!
e) I | |
t
1
Zt 5
4
D gv:
C.
— |
fa
ral
|
iW (> ] if if |
>
a
ry)
tt

VI as a divider between I and IV “iii” as 6-5 over the dominant
or IT® partwriting triads a diatonic 3rd
“vi°” 5-6 or 6-5 over I
as apart
deceptive cadence modal chords
III as relative major in the minor v° and VII in minor
mode
|
1. A Roman numeral designation and several triad spellings are provided
below. Identify the key in which each triad functions as that chord, using
the first example as your model.
Example 17.17
vi G Bb D = Bbmajor BD FR = EGB = DFA =

|
in major
VI Gb Bb Db = Ab C Eb = D FEA = FAC =
in minor
= =
ili
in major
EGB BD F# G Bb D= DFA =
HI AbC E> = D FEA = FAC = G> Bb Db=
in minor
2. Provide a Roman numeral analvsis of the three passages of Example

17.18. Be sure to employ parentheses to indicate whether the chord in
question is an embellishing harmony. Observe the presence and use of
those harmonies discussed in this chapter.
Example 17.18
A
|
—O-4
|
[>]
oT
aH
e
~
i ;
Ip
306 (CH. 17] THE VI. 111. AND OTHER DIATONIC TRIADS
B.
Of |i
a
|
— | | |
‘
al | | i
5 a
OE o - —
—=—S
oe cs
|
T rot ie
4 | |
lO rots md La. Eg an $ @ tet o>

Fp |
2 a
!
o
|
f:
C.
h | | | |
rn oa
ZX-+;-2—¢e za a —
t t
ae
3
nl a ae
ff
4 |
O
hal we
| fy and
V fet (od.
3. The following four progressions in Example 17.19 contain a variety of

partwriting errors. First, analyze the harmonies in each passage with
Roman numerals and then write a corrected version by filling in the alto
and tenor in the provided staves.
Example 17.19
A. B.
— —J
a
‘ —=
r tw
ig
1G
ry) i | |
ya gd
|
1
|
at ——— t t t
———
i
To i
C: D:
C.
LY es
|
| | |
ia
1
|
1
t
|
é ml
| |
Cr
-
‘
25
Suan —~——
|
im a
'
e
|
1
C H A P T E R 1 8
Rhythm and Meter II:

ADDITIONAL METER SIGNATURES
AND RHYTHMIC-METRICAL
DISSONANCE
1. CHAPTER 2 of Part One we introduced some basic concepts of

rhythm and meter that underlie the music of the common-practice period.
We now return to discuss some additional aspects of musical time in this
chapter. These topics include the interpretation of meter signatures in verv
slow or very fast tempos, metrical organizations that displav asvmmetrical
groupings of beats or beat divisions, and some rhythmic devices that conflict
with the established metrical hierarchy, resulting in a kind of rhythmic or
metrical dissonance.
METER SIGNATURES IN VERY SLOW OR VERY FAST TEMPO

When the tempo of a composition is either verv slow, indicated in Italian by
Grave. Lento, or Adagio, or very fast. indicated in Italian by Vivace or
Presto, the meter signature must be interpreted differently from those pro-
cedures described in Chapter 2. Since in verv slow tempos the original beat
has focome too slow and cumbersome to mark the beat efficiently, we sub-
stitute the faster and more manageable beat division. For instance, in an
Adagio }. each of the three very slow quarter-note beats is divided into
307
308 [CH. 18] RHYTHM AND METER II
eighth notes, resulting in six faster beats within each bar arranged in a 2 + 2
+ 2 grouping (222.4 2); for an example, see Example 28.17. In an Ada-
gio §, each of the slow dotted quarter-note beats is likewise divided into
eighth notes, resulting in six faster beats arranged in a 3 + 3 grouping
372); for an illustration, see Example 38.1. We call this procedure a
divided beat. The distinction between these two examples of six beats per
measure (sextuple meter) lies in the different way the eighth notes or beats
are grouped, which is made clear by the way they are beamed. A conductor
will mark six eighth-note motions with the baton, but the manner in which
the motions are grouped will differ; consult Figure 6 in Appendix 5 on con-
ducting patterns. Figure 18.1 shows the interpretation of various meter sig-
natures in very slow tempos using a divided beat.
Figure 18.1
Analysis of meter signatures in very slow tempos
meter beat
signature value beat grouping
a ee
&
VO
a
Go
17
al
Ye |b
>,
oe di TY
ms
ve
Sj) FF
on
>,
The opposite effect occurs when the tempo is very rapid and the beat
becomes too fast for us to mark effectively. In such cases the slower note
value representing the entire measure substitutes for the original beat value.
For instance, when the signatures § and j are found in very fast tempos, the
ASYMMETRICAL METERS 309
respective beat values become J, and ,,

producing a compound beat divi-
sion with only one measure. As result, the meter signatures could
a
beat per
be represented as ,. and ,., respectively. This compound single meter is
frequently found in waltzes (Example 18.11A) and scherzos (Examples 18.1
and 18.10). On hearing a typical Johann Strauss waltz in }, we tend to tap the
beat on each 4. rather than on each «.
Since we now perceive each measure as a single beat, it is only natural

that these “beat measures” in turn should group themselves into larger
metrical groups called hypermeasures, each containing two, three, or
four “beat measures.” We discussed this topic briefly in Chapter 12. One
such example occurs in the Scherzo of Beethoven's Ninth Symphony,
written in a fast compound single }. The composer instructs the conductor
to “beat in four” (quattro battute), indicating that each bar gets one beat
and that each group of four bars forms one hypermeasure containing four
such beats cf). see Example 18.1. Later in the movement when the hy-
permetric grouping momentarily changes from four to three “beat mea-
sures,” Beethoven writes the instruction “tre battute” (beat in three) in
the score.
Example 18.1
BEETHOVEN: SYMPHONY No. 9 (“CHORAL”) II +
Molto vivace
57
hyperme asures
ASYMMETRICAL METERS
/
The meters we considered in Chapter 2 display regular beat groupings and

beat divisions by either 2 or 3. Asymmetrical meters disrupt this regularity
by intorporating groups of both 2 and 3. During the nineteenth centur,
Russian composers led the wav in exploring the possibilities of these uneven
metrical organizations, which tend to occur more frequently in music com-
posed after 1900.
310 [CH. 18] RHYTHM AND METER I]
The most common asymmetrical meter is simple quintuple meter,

such as 4, in which the quarter-note beats are grouped either 3 + 2 or 2 + 3.
Although one particular grouping is usually maintained throughout a passage,

we may find alternations or a mixing of the two. The Tchaikovsky excerpt in
Example 18.2, which displays a 2 + 3 grouping, suggests a kind of asymmetri-
cal dance, prompting contemporary critics to entitle it the “Pegleg Waltz.”
Note the tenor clef, suggesting that this melody is most likely performed by
the cello section of the orchestra, although bassoons are also possible.
Example 18.2
TCHAIKOVSKY: SYMPHONY No. 6 (“PATHETIQUE’), II
2, + 3 2 + 3 2 + 3 2 + 3
O
O
2
I
og
A
!
|
e+
| T_T
ff » i
I
&
T
I
Thy
T i
.
TL if
a. ae A I I |
it if I i i I T T Tt I ]
Li. 3 I I I I T T I I il I [
3 !
3
Examples of compound quintuple meter are practically nonexistent.

The unusual Debussy excerpt in Example 18.3 uses a dotted quarter note as
the beat, resulting in a signature of 1?!
Example 18.3 Desussy: “FETES” FROM NOCTURNES
28
FAST COMPLEX METERS

In fast asvmmetrical meters, the grouping of beat divisions is complicated.
Ina fast 2, for instance, the grouping of «’s into threes and twos (Coee ool
cede)
re
produces a complex beat division; the term “complex” refers to
I
eo C7 ee »>
the inclusion of both two and threes. This grouping in turn creates long
. . ——— . .
—
o of threes
beats consisting (. . . orof twos (. «
,.) and short beats consisting
or «). Since there are two of these unequal beats in each measure, either
Oe call fast an example of complex duple meter. In Exam-
2
ple 18.4a the asymmetrical grouping of eighth notes effectively pictures the
constant ebb and flow of waves on the beaches of the Isle of the Dead. The
Borodin scherzo is likewise grouped ina, .. pattern (Example 18.4b).
RHYTHMIC DISSONANCE 311
Example 18.4
A. RACHMANINOFF: THE ISLE OF THE DEAD, Op. 29
ao
]
|
o— —
B. Boropin: SYMPHONY No. 31N A MINoR, II

(Vivace)
12
Although other complex meters are theoretically possible, they rarely

appear in the common-practice literature Ta a fast meter, dhe seven
eighth notes are grouped into three long/short beats, resulting in either
BDH+ | +255 5 5° Gersh-
win’s “Fascinating Rhythm” (Example 18.16) uses 2 + 2 + 3 grouping
a
(Sold ae).
RHYTHMIC-METRICAL CONSONANCE
There are three levels within the metrical hierarchy: beat division, beat, and
meter. Assuming that the meter remains constant in a piece, the extended
regularity of these three levels provides the basis of what we might call
rhythmic or metrical consonance, to borrow a term from the realin of
harmony. However, composers may intentionally introduce deviant ele-
ments into their music that disrupt the prevailing rhythmic and metrical reg-
ularity or consonance. These devices may occur at any of the three metrical
levels given above.
RHYTHMIC DISSONANCE
/
Certain rhythmic elements may momentarily conflict with the normal beat
or beat division of the music but not disrupt our sense of meter regularity.
We call such deviations rhythmic dissonance. In some cases this disso-
transient disruptions, while in other cases it may in-
nange may produce only
fluence long passages. In a manner similar to the resolution of dissonant
intervals, this momentary rhythmic dissonance usually resolves into the
established rhythmic norm or consonance. In our categorization of these de-

vices, we will begin with those which are often barely perceptible and pro-
ceed to those which are more obvious aurally.
Substituted Beat Division involves the exchange of simple and com-
pound beat division. In most cases compound division (written as triplets) is
inserted into a simple meter (JJ for JJ in ;), or simple division (written
min
(J)
. . .
5
as duplets) is inserted into a compound meter for 2. ing). Although

.
these duplets are traditionally written as JQ in °, as Paul Hindemith points

out in his Elementary Trainingfor Musicians, they should be notated as
duplets. Examples 18.5a and b show typical examples of both procedures.
Example 18.5
A. CLARA SCHUMANN: PIECES FUGITIVES OP. 15, No. 1
4 3
—_—
~
la’ a
NY Yr Ld. haat
e) 7
D EN BATEAL (E 17 Stl
56
1 Oo
4
Ng :
2 yp —
had
°
a
ry 7)
L it
i
_@-*
oe .
id
This substitution may also occur within the subdivision of the beat. In
the Chopin Nocturne, groups of 5 and 6 thirty-second notes occur within
the eighth-note divisions (Example 18.6a). The Scheherazade violin solo
(Example 18.6b) features a kind of double substitution—smaller triplet
GYOUPMYS (eree ) Will a large Uiplet substitute grouping
RHYTHMIC DISSONANCE 313
Example 18.6
Yo CHOnN Noo TUnNb iN Fostivng Mayon On TS. No 2
12
fA 4 ty y
Caan
U_ ma ie
6
Aa bed
@ i Y
RimMsky KORSAKO\ SC HEHERAZAD
_ £ teeetat —
=
We use the term superimposed beat division to denote the simultane-

ous occurrence of both simple and compound beat divisions, which usually
Consists of a ire
-against-t0o pattern (8 Tn the introduction to the
Schubert song Example 1S i

Ta, this superiposition contributes to the de-
pichonu of the tenipestiuous torrent and wind described iin the hy nes, Cliopin
incorporates a more difficult figuration of four against three sixteenth notes
throughout the first section of his Fantaisie-Impromptu (Example 18.7b). In
cach Passage, however. OUP SCTISG of duple POT ATS nnadisturbed
Example 18.7
@ NSO ONURE NT HARD PROM SUA SANG
5
3 3 ete.
Be
a>)
ees
aw 7.1
L ___| i
a I i I 4 i 1
|
neh
|
if
rl
if if if if im
co
I
a eS
at at al
ae | t t | 1 a t en
5
FSFFEF FFFSFs
|
K
=
t
ania
o-}- a
+ |
t
o @ mt
oe
Pr I
@ B IOPIN FAN AIST OM Op. 66

5
‘
@)
See
fe o o fe o te
uy
mi | a
el
= I i I I
I ——-
=
it
3 ete.
314 (CH. 18] RHYTHM AND METER II
Syncopation shifts longer note durations, which normally occur on

strong beats or on the beat, to a weaker or unstressed beat or divisions of the
beat. For instance, in a typical pattern ood , the quarter note is displaced
and falls on the offbeat: )J 2. Syncopation can take place across the bar
line or within the measure, and at the level of either the beat or beat divi-
sion, as shown in Example 18.8.
Example 18.8
D. E.
Displaced accents, when dynamic accents or sforzandi markings, ab-

breviated as sf or sfz, occur on weak beats or beat divisions, often creates an
effect similar to syncopation. In Example 18.9 Haydn draws our attention to
the upbeat of each measure by sforzandi. In performing syncopated pas-
Saves, OU should avoid placing dy namic accents on syncopated notes unless
they are specifically called for by the composer, as is the case in Example
18.10.
Example 18.9 Haybn: SYMPHONY No, 104 (“LONDON”), TH
——™~
h_#
\7 wit a © I
ig bani
©©£ i T_T
oO
al
L. if I |
> nl i: | i
jaan al
3 —
| | | |
i fant bal vA |
I I if
I
|
I
‘eo
sf sf sf
The short passage from a Beethoven scherzo in Example 18.10 contains

three of the above devices. The passage opens with a syncopated Eb arpeg-
giation, fortified with displaced sforzandi. After the brief piano respite.
these same pitches are repeated, now using substituted beat division, two for
three, in place of the former syncopation. Rather than notate the last four
measures as half-note duplets, the composer simply changes the meter sig-
nature to €, which produces the same effect.
METRICAL DISSONANCE 315
|
i
i
Types of Rhythmic Dissonance

1. Substituted beat division: Sections in compound meter are
inserted in simple meter, or vice versa.
bo Superimposed beat division: Compound meter is imposed
simultaneously over siniple meter, or vice versa.
3. Syncopation: Longer notes are placed on weak beats or beat divisions. hy
Displaced accentuation: Dynamic accents are placed in weak metri-

cal positions.
Example 18.10
BEETHOVEN: SYMPHONY No. 3 (“ERorca”™), I
373,
aaa _ tr os
~ |
A
>
os
L
bh
it
1
Pt |
}
H J
2
~ 2 |
il
|
|
a
I
I I
iif
{
i
It
]
J
peal
ot
3 —t
eS
c=
sf sf sf we
VU”
= P
i
hy
I"
380 °
2. © © e
rt 2 £2
:
—ae
]_ O TT '
if | —. T
. ti
o
*
|
ae
|
ya
,
I
it
if
]
1 3
I
|
a
St Sf
METRICAL DISSONANCE
While the devices described above create momentary rhythmic conflicts,
they usually do not disturb our overall sense of meter—that is, the num-
ber of beats in a measure or the strong-weak positioning of those beats.
We will now examine some instances of metrical dissonance, in which
the beat groupings and their accentuation are more seriously disrupted. :
Like their counterparts at the beat and sub-beat levels, these dissonances
are eventually resolved. We will briefly discuss five such devices.
Hemiola represents a specific kind of simple-compound substitution
that is possible when there are six beat divisions in each measure, such as
6 :
It involves the switching of the G2 8.¢ ¢ 8.¢ © triple-beat grouping
:
versus
:
\.
and the (3) § 7
8
duple-beat grouping. Leonard Bernstein's catchy.
3°
cam }
song “America” from West Side Story alternates the patterns of 2 and 3 in
. \
succession: (8) JJ 2 «|.
However. this substitution mav occur
|
% ¢
simultaneously as well:| § # #
¢1.
In many pieces, the triple hemiola grouping occurs over the bar
line >
/ipl
ing three Fameasures in place of bvo 3 Measures (Fxample
Oo
18.1la). Tchaikovsky resorts to this device time and time again in his
waltz movements. The opening to the scherzo of Beethoven's Fourth
Symphony features a hemiola that begins on the second beat (Example
18.11b). Example 18.11c illustrates an uistaice of 2 in Ute place of 3, in
which an implied 2 duple grouping is substituted for the normal } triple
grouping.
Example 18.11
@) A. TCHAIKOVSKY: WALTZ FROM SLEEPING BEAUTY, ACT UI
en
133 i
y
Pid
Lia
~~
Tr
©
re |
e >-
ee ‘ft 2
bh [>]
u
—
e) TI
=
$ a
rr F
B. BEETHOVEN: SYMPHONY No. 4, II

93 I 1 oF VI 1 1
ge.
°
——
oy
| |
+ +
Th
= vw te
if
7
°
sf
sa
+):—+-3
. N
vi
ure —
|—T~ — na
.
is |
@ C. Cnopin: GRAND VALSE, Op. 42
9
beet LE + = —- . —I
Lamp
4 c — 7 —
t —
rt re
all i.
In contrast to substituted beat division, which occurs within the beat,

j4
substituted meter takes place at the beat or multiple-beat level, resulting in
a decided metrical conflict. For instance, three tr can be
quarter
substituted for the normal pair of quarter-note beats:
note iplets
ni ¢«.
Strauss’s “Science” theme from Zarathustra (Example 18.12) employs two
Richard J for
forms of this device—the quarter-note triplets in measure 205 sug-
different
a while the half-note triplets in measure 206 suggest a >
gest $ grouping,
srouping, In addition to this contrived rhythmic setting, the twelve different

pitch Chasses that appear saccession from the Tast note of measure 203 to
the last of 206 contribute to the depiction of science in this melody,
note
Example 18.12
RICHARD STRAUSS: ALSO SPRACH ZARATHUSTRA
203
7~eT I LT L 1
2
{4
1
Je tf Tf
] T
if i
—t— — t {—+
4
Substituted meter Hla he applied to ftriph Saneter as well tn Fvaupte

1S 13a. Brahms divides the into four e cite1 parts /
meastre og). SU
j westing quadriple meter. or four beats in the Space of three The conk lhave
also written it as at quadriptet ficuire, as Shown Exunple IS 13h i
Example 18.13
BRaMis ChAnINet SON IN FP MiNon, Or 120,No TT
@)A
84
4
he
J
tt
e
eo
e
> a *T al
fon A
a
a
al
om i
F
I
lL
3
.
peppy
3 3
ete — —
-¥
°
“T — oo —__ 7: Zope yp a
A related procedure occurs in George Gershwin’s song “I've Got

Rhivthi” fa the OPCHINE iS the chorus
E\anple IS eofthe: first
four notes occur in the space of three beats; an alternative notation is ap-
pended, Unfortunately. this catchy rhythm is usually performed as a simple
svncopation U4 #144) even by the ilustrions singer who first introduced rt.
318 (CH. 18] RHYTHM AND METER II
In the initial bar of Glen Miller's standard “String of Pearls” (Example

18.14b), this device is reversed, so that the 4 in 3 occurs at the beginning of
the measure. Again an alternate notation, spanning two bars, is given,
Example 18.14
Polyrhythm refers to the superimposition of different beat groupings.

Both of the excerpts in Example 18.15 use septuplets (groupings of 7), but
they are set against backgrounds of duple meter in the Schumann and triple
meter in the Stravinsky. Note the use of displaced accents in the latter, sug-
gesting * meter.
Example 18.15
A. SCHUMANN: “EUSEBIUS” FROM CARNAVAL
7
7 7 a en
1
fi ee 4
——— ee
eo
e é a e
—
fe
2
je
:
we
I
a
ht 3
3 3
STP AVINSKY PETROUSHKA Ist TABLEAU (REVISED VERSION)

-—— 7 7 —
@
1
fa)
_\f
23
| &
oF =
2 @
1
@
]
_@
|
@
| 1
o @
i
@
_|
1
@
v4
Try"
bh
oF
_—_—_— CY] | i |
= |
v7
ri
| ee a
i"
|
"
i
i.
> > >
From here it is but a short step to polymeter, the superimposition of two

different metric groupings. In Gershwin’s “Fascinating Rhythm,” successive ¢
groupings in the melody J 24) clash with the (2

regular4 ac-
companiment (ed Although(the entire PP
song is
continuing
written in 4, the polvmetric
conflict suggests that the two meters could be ‘barr ed separately, as shown in
Example 18.16; however, the bar lines will not synchronize.
Example 18.16 GERSHWIN: “FASCINATING RHYTHM,” IMPLIED STAGGERED METERS
melody dd ddds| SII AI| ST etc.

secompaniment,
pp
ye
@ pl eR
=>
Metric shift displaces our sense of metric accent forward or backward by

one or more beats. Once we have grown accustomed to this displacement of
stressed and unstressed beats, a sudden return to the original accentuation can
be SUIprising and even dramatic, as demonstrated near the end of Brahias’s
Second Symphony, measures 341-45 of the final movement. The notation of
Schumann’s pompous little march in Example 18.17 seems at odds with the
ES
Br
niusic’s uatural feeling of upbeat aud downbeat. Although die of mitial
5
each phrase ocemrs on the downbeat, it actly sounds tore like an P at
At the conclusion of the piece, an additonal beat, denoted by the arrow, sud-
denly shifts our sense of accentuation and allows the last chord of the piece to
occur on the proper dowubeat of the final measure. Ta this passage the iii-
plied stressed and unstressed beats are denoted with and ~ , respectively.
Example 18.17
‘ @ SCHUMANN “Sonbtens Mavncie brow Arse vr rip Yoru\c. Or 68. No 2
2 — w _ w —_ yw _ a5 _ vw _
N \
I A
0)
0
:
V y
7]
Vv
G r
Ui
V
.
V
ry)
1
|
—
¥
—
Vv
@ e ee
- —*—
a
[Ze
aa Ll
7)
Sn
va % ha 14
L LL 7 =
: u
vi
a
La
77
|
f.
r Ci
L
te a r
ze
Ve ~ ~ a! :
_ v _ _ y ~
4
w w w
=
_-
@N
- be *§
— jus mn
= {
i = 4
V7
V ee ba bad oe Ld V y
: 12
z7 *§$—_}- —-F
= 4 Vi 4
r aad
aa if
I
LL
4 I |
+ _ >
‘
“|
Y _ 4
Changes of meter and meter signature within a passage are rare in the
common-practice period. Again the nineteenth-century Russians were fond

of this practice; see Example 5.1 in the accompanying Workbook, in which
Musorgsky alternates between 3 and §; the former implies a grouping of
3 + 2. German Romantic composers usually camouflaged these changes
by retaining the same meter signature throughout the piece. In the intro-
duction to his First Symphony (Example 18.18), Brahms not only employs
an elaborate series of implied meter changes but also shifts the metric ac-
cent to the second eighth note. This passage uses a divided beat, in which
the » receives the beat.
Example 18.18
BRAHMS: SYMPHONY No. 1, I
4
fh]
if Ty,
°
at
o——~o a
|
jo
k — AN
haat ]
i
awe |
| =eS = T
T
__ ~
pF
\
— cr
-[ T
—_—_ __
VY ' !
if:
1 1
q
Ae |
\ ;
2h
Lb: |
G
[*] _
.
in ———— at i
*
@ ‘ad |
LA
— rt a. a. =.
rn" 1 Heal |e fl | i
wall |
I 1
i
' ' '
Y
i
iB
i
i 8
i
1
: — |
—
ty
—
e 2 —¢
-.
4
oe te
I
ry) \/ 1
— Oe
:
t I
i t
' be. 2 \
a __|
|
o \* x
li
“Ww
ri
a — ry :
te
lng,
te a
—_
| i _| I T l
a Y
The opening horn solo in Richard Strauss’s Till Eulenspiegel repre-

sents another instance of this disguised practice. The composer takes
a simple tune and distorts its rhythm so as to imply various metric
changes, although he continues to employ ¢ as the signature. This musical

portrait of the prankster was doubtless autobiographical, picturing the re-
bellious voung Strauss thumbing his nose at the reactionary critics of the
time. Study Strauss’s original 2 notation and the meter changes it suggests
in Example 18.19: the eighth-note beat division remains constant
throughout.
Types of Metrical Dissonance

1. Hemiola: In %
or ¢, three beat groupings occur in the time of two, or
vice versa.
2. Substituted meter: Large-scale triplets or duplets cut across the
measure and suggest a different meter; several beat groupings occur-
|
ring at once produce polyrhythm.
3. Polymeter: Two or more metric groupings occur simultaneously,
4. Metric shift: The primary accents of a metrical grouping are shifted
forward or backward by one or more beats.
|
5. Changes of meter: The prevailing meter is disrupted by the intro-
7 duction of different metric groupings.
Example 18.19
RicHaARD STRAUSS: TILL EULENSPIEGEL’S MERRY PRANKS, Op. 28 4
A. ORIGINAL NOTATION
fn 6
=> >
B. IMPLIED METER CHANGES
fh |
:
re tite
|
-_yYy FF | [ | i 1 GK» 1 |
es a
Toy; |
im [ Tee ° i
ad LI nel 1 I
a
|
——
The preceding catalogue of disruptive rhythmic devices only begins to 4

explore this topic. The employment of deviant gestures in one or more as-
pects of music—rhythm, pitch, texture. and dynamics—may signal the be-
te ea wine
ginning of a process that can stretch over extended passages. In great
masterworks the use of these devices is never arbitrary, but rather
is carefully calculated to plav an important role in the overall musical design.

divided beat asymmetrical meter
compound single meter quintuple meter
hypermeasure complex beat division
rhythmic consonance hemiola

rhythmic dissonance substituted meter
substituted beat division superimposed meter
superimposed beat division polyrhythm
syncopation polymeter
displaced accent metric shift
metrical consonance change of meter
metrical dissonance

1. Match the appropriate letters to the numbers:
1. Syncopation A. Lento§
2. Complex duple meter B. 3
oa.
3. Compound single meter C. > Je
4. Hemiola D. Moderato
3
5. Superimposed beat division E. 6 Dd.
6. Superimposed meter F. ty dessa da
7. Quintuple meter
8. Displaced accent H. 2
—3—
9. Divided beat 12427 277
10. Change of meter J. Vivace¢
2. Inthe space provided, identify the rhythmic or metrical device employed
in each separate measure.
Example 18.20
gods
“fp COPE
J
ale of
ir
oc
3
dice ee}
f
4 1
J
Pirerrrrer
" f°
CHAPTER 19
The Leading-tone
Seventh Chord and Other
Seventh Chords
N THIS CHAPTER we will complete our survey of the diatonic seventh

chords by first examining some characteristics of the leading-tone seventh
Vii and its inversions in both and Hlajor modes, Inthe mode.
the chord tones of the Teading-tone seventh are all notes of the diatonic
scales in the major mode, however, the seventh ofthe vii as an altered note.
the flat sixth scale degree p68 The mam use of this chord in both modes rs
as aosubstitute for the Wo oand ats mversious. We will bec our discission
with the leading-tone seventh in the minor mode. and then treat ats counter-
part. the vat in the mqor mode Later i the Chapter we will exatiime the
remianine diatome seventh chords EOIN TIE. VES and VIE
THe LEADING-TONE DIMINESELED-SEVENTEL CELORD

IN THe MEINOR NIODE
The viit'ois a dimmushed seventh chord customardy fomnd ai the miner

mode. Has constructed of three consecutye minor 3rds on scale degree #7
or the leading tone Ap in © minor? Since this sonority shares three
common scale degrees with both the wae and Veo we wall classify it wath the
323
324 [Cl]. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTH CHORDS
family of dominant he uiuoniesCEN. anple 19 Ta) The bass note

vuiheTlishing
of the various viii°’ inversions (H7, 2. 4, and L6) function as active neighbors
to the more stable chord members of the minor tonic triad (1, 3. and 5), as
shownin Example 19.1b.
Example 19.1
Vil V Vil
~
Vil
Since the vii

and its inversions normally function as embellishing har-
monies within the phrase, we will leave them unstemmed in our models and
voice-leading reductions and place their Roman numerals in parentheses. This
chord is symmetrical; it divides the octave into four equal intervals, each con-
sisting of three half-steps. Therefore, this chord has a very weak sense of root.
Its embedded pair of tritones and ambiguous sonic properties convey a greater
sense of tonal tension than the V’. Play the two passages in Example 19.2 and
note the difference between the V’’s in the first and the vii?’s in the second.
Example 19.2 \
fy
Abt
ANS
|
Lot
Key
Ae
|
2—
|
Za
+5—
7
{<— a
oe
{
“8:
2. ina eC i S- _-< Oe
—
: sal al
= a4 mer
Cc (\ 62) atc!
(\ 3) (\ rf3)
B.
—
4
| | |
“Tt
ict fA
Sa
{2
o— o-
Ip
I$
som
ih
(vii?! )
(vii?) (vii?d)
PARTWRITING WITH THE VI!I° IN THE MINOR MODE 325
PARTWRITING WITH THE vii?’ IN THE MINOR MODE

As was the case with other seventh chords, the chordal 7th (b6) of the vii
and its inversions is usually prepared by suspension, neihbor, or appog-
giatura figuration and resolved downward by step. In certain situations, the
stepwise motion found in the chord’s resolution to the tonic may produce
unequal 5ths between the soprano and bass or the upper voices (Example
19.3a.. Composers usually make an effort to avoid these hy doubling the
chordal 3rd of the tonic triad (Pxaniple 1O.3b. TWowever, in the case of the
viiz, a close cousin to the vii?’, numerous instances of unequal 5ths do occur
in the literature (Example 19 Se)
Example 19.3
A B C
;
unequal Sths neq ua Sthis doubled

sop. Hass AVOID OK 3rd OK OK
|
F
| A l
5t Bty
TS
"a B [
ig
; a. a. = a.
e
i $= oo
oe » on 2
oe > t > it
had 4? itd 4* _ ul
~ ~
- 7 iD iy
( VU Vu vn
Since the vit

is closely linked to the Wo because of their suritar pitch
class content. we Shall relate the miversions of the vio to amversionus of V
through the bass scale degrees they share in common,
‘
The vii-'
Both the Vo and via have the leading tone in the bass: Pvanple The
three models mn EXanples 194b through d show some typical bass contours,
ranwine frome the Stepwise neighbor motion S-87-S through the tritone
descent 4487-S to the dowrmvard leap of a dimmished 7th w6-27-S' Notice
that a doubled Srdas used an the last tome triad
326 [CH. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTH CHORDS
Example 19.4 A. B.
h_|LD, VF TY, 1
h in
v4 y
tT
Ly
i...
lh T I
= i
——F an a
at
Cr
— mi
c:
V8 vii?’ (VHS) i
C D.
fh} |
4A” A b 1 1
=
T ]
t —
Yr
e
r |
~ rad i=
sae hawt
ron
i
fo 7
| |
ce =~ (iv wie’) i c i (iv® viio!) i
The vii’?
The vii°S is closely related to the vii? and V3 (Example 19.5a). They share
not only the common scale degree 2 in the bass but the same function as
passing chords between i and i®. As is the case with the other two harmonies,
unequal 5ths are characteristic of progressions involving the vii°? (Examples
19.5b and c). One can avoid them by doubling the 3rd of the tonic triad, as
Haydn does in Example 19.5d.
Example 19.5
——” Nw”
6 6 6
UID
(vu06)
VIG
°
a—.
il i
—
=:
=
5
PARTWRITING WITH THE VII° IN THE MINOR MODE 327
@) D. Haypn: PIANO SONATA IN E-FLAT Major, Hos. XVI:38, I E. (REDUCTION)

—
- ) + oe
ag he vw WN a?
5
$ bolo id
—!
At 76 co!#- I
,
2 Fu
g\e
° val }
) CO
ly
0
afI
"IL CI
L C77
L L > —_—
Zz.
Lan) A [@] fi fi
|
ri
©
| oI [) LZ |
r of
4306 6
¢ i (vii 2)
The vii°3
Scale degree 4 appears in the bass of both the vii°} and the V3 (Example
19.6a). Like the V3, the vii?} may be found either as a neighboring chord
(Example 19.6b) or as a passing chord when moving from a ° (Example
19 6c) In codetta or closing sections the can also snegest an extension vi
of the plagal cadence, since both have fin the bass Th the Bach excerpt (Fy-
amples 19.6d and e), the upper Ge" acts as an inverted tonic pedal.
Example 19.6
A B. C.
f) h__| aa
=
| |
an
e .
,
ry j
oe
————
A bt ————— |
aan
iA Lama
I
t }
N B
4 +
eo
ONG vi'3
o-f
ied) ‘
1 e 8 (iid) J
1
@) D. BacH: PRELUDE IN G-SHARP MINOR E. (REDUCTION)

FROM WELL-TEMPERED CLAVIER, BOOKI Cote,
i? ,
28
O
\7
44. fe I |
hut.
Vyeile ]
“YL wil
H
Ue T i My ai if
i
t
e -
7-0 — oe
5
is id ia
7
rir f [" if
1h !
\ 2
[oR
ll
328 [(CH. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTH CHORDS
The vii?S
Since the chordal 7th (b6) of the vii?3 is in the bass, it must resolve downward
to 5. the root of either a V' or a 4 (Examples 19.7a and b). As a result, it is
the least common inversion of the leading-tone seventh. The Tchaikovsky
a
makes use of both avi Sand vii ot (Fxumnptes 19.7 and
06
Example 19.7
A. B.
oN
iV A 1 4.
oo | |
Y=
v4 ie
|
Khe eo —
XY
:
—— e I mall
eye t
2€ 2 2 «hf
2 Ome rs 2
O
Ww
Tt
—_| i
l
ra
6 3
ut 3y
C
(vii?S) Vi (vii°S) v i
@) CC. TCHAIKOVSKY: SYMPHONY No, 6 (“PATHETIQUE”), I DD. (REDUCTION)
———————= mus ——
|
G da :
=} +: =3 £ ©}: ar
|* ¢ .
= —
%
—— -o-
L Zz v7 17
—r
L
lua
iv!
¥.
an S71
@)
iB 8
b:
(iieS)
OTHER USES OF THE vii°
Leading-tone sevenths are often used to prolong a particular harmony. In

Example 19.8a the tonic triad is extended bv successive inversions of the
embellishing vii’. On the other hand, in Example 19.Sb the accentuated po-
sitions of the vii?’ chord within the measure suggest that is now the lead-
it
ing-tone seventh that is extended. In arpeggiated vii?'’s vou mav find
instances of melodic augmented 2nds (bracketed in Example 19.8c), a
melodic interval that is forbidden when used to connect two different
chords.
OTHER USES OF THE VII™ 329
Example 19.8
A. B
hn won ——~_| |
pt—*
A
: 4
TY, '
LA
Cina
——
|
ra "T
|
. 6 6 T
re
l
i i if J
prolongation of tonic ce iv? extension of vii?!
() C. MENDELSSOHN: VIOLIN CONCERTO,I
0 —
A 4 :
cm) te
—“s
J
)}——}-—
tt tt
e |
lte
Z 7s
u ry
= =
€
The symmetry of the diminished seventh chordis apparent if we observ e

how the bass and soprano lines mirror each other around scale degree 3 (Eb)
in Examples 19.Sa and b, producing the effect of a long-range vOICe eX-
change indicated bv the crossed lines. Bach puts this inv ersional symmetry
to good use near the end of his Bb minor Fugue. quoted in Example 19.9a.
Study the reduction in Example 19.9b. Note that the thirds in the tenor and
bass are an inversion or mirror of the thirds in the soprano and alto, delaved
by one beat, and that Db, 3 of Bb minor, is the axis or common note around j
which the two inversional strands revolve. :
Example 19.9
@ A. Bacu: FUGUE IN B-FLAT MINOR FROM WELL-TEMPERED CLAVIER, BOOK IU
| 4
98
ry)
T | I i
I
I i T
au
I
I
| —
| |
i
a
x if
I
sol
—
T T
2
_ !
aiI L
T |
ey { i | i i l
__f* TV, b Co] a a rt

hy oO
YT ty° At
<
as
l 1
< hall
ue
330 [CH. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTIL CHORDS
B. (REDUCTION)
(A e
eo oe ——
e |
el CO SZ
a
|
bb i®
(vii?S) i (vie!) Vi i
The lengthy tonic prolongation that opens the first movement of

Beethoven’s C Minor Piano Sonata Op. 10, No. 1 (mm. 1-18) relies heavily
on various inversions of the vii’. A voice-leading reduction is positioned di-
rectly below each line of the score in Example 19.10.
Example 19.10
BEETHOVEN: PIANO SONATA IN C MINOR, Op. 10, No. 1, I
'
ee e+
a)
i |
. ef
e.
FP
T = e|—
!
—
ry
z C4
4
Lg
1
4
f
ee: a
=
oe
| nal
St
,
A
* *
= ty 1
=
Loy
—————— ae
Ti) 2
|
i)
1 as as 1 1
|
= ire
T
e) T
a aa
ea {
(vii 3)
06
OTHER USES OF THE VII"! 331
Se . Za
o_o 5
oe
6 6 AS) Ao)
(Vi (vio)
oe ry
~~
NL! ++ Te
NU!
Cd
iw
11
6 (vu ) 1 (V1 6 ) 6
6
332 ICH. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTH CHORDS
18
3 3 3 3 3 3
se
Ze TV, N
Pores
l [ | a a ry
Bees,
|
RRs ene | my
nN
ry een i
Zs + sree”
SF Ff
PP
*
4 Dt
N . a
LZ. e
2 A L ry ry a a an 2 a ry 2
——
T
i
'
|
;
1
1
<r, 1
1
bl
;
1
'
+
x
j
1B
!
'
e
' J
=
I 1
L.al bh Tt i it
os = “|
e) eo
=a oe te oe
i
—t
es mn
“
(
I
|
|
(vii?!) i ii V i
The soprano arpeggiates upward from C°-Fb°-G? G 1-3- 5) in measures (

firsttwice. This
1-9, using the vii} upper voice then makes two partial descents
back to ©
or | (mm. 9-12) before finally moving stepwise through the octave
to Gt or 5 (in measure 16). No less than four leading-tone seventhsin various
inversions (vii°? and vii?) support this tonic prolongation (mim. 9-16). After
measure 16, the music
the section’s cadential punctuation
approaches
through a stepwise descent from G* down to C* (5- 4-3-2. 1), in which the last
note of each triplet group fills in the upper voice during the final bars.
|
i
The further reduction in Example 19.11 more clearly illustrates the oc-
|
tave descent from 5 down to 5 before the cadential formula.
Example 19.11
9 18
5 5 4 3 3 j
f Lam | - —
=
|
+
— — oe
:
—
;
|
T
t t
SY
—_———
u ——————
'
vee 4 >
§
== —_
6 4
—S—*
6 6 6 6 7
rf 6
3
—
c i 1 i °° Vv i
THE LEADING-TONE SEVENTH CHORD IN THE MAJOR MODE 333
THE LEADING-TONE SEVENTH CHORD IN THE MAJOR MODE

Because of the altered 6 scale degree, the seventh chord built on the lead-
ing tone (vii or BD F Ab in C major) in the major mode tends to stand out
more prominently than in the minor mode. Its function is almost identical to
its twin in the minor mode, since their active bass scale degrees resolve to
more stable members of the tonic triad. An example of a vii? appears in the
Mozart excerpt (Examples 19.12a and b). This chord is particularly effective
when it occurs over a tonic pedal (Example 19.12c).
Example 19.12
() A. Mozart: SONATA FOR TWO PIANos IND Mayor, K.448, | B. (REDUCTION)
182
:
q
Nel
itel
(\ ll Vu
F: I (vite! I (vito! I
A second or diatonic form of leading-tone seventh is possible in major—

a half-diminished seventh (vii?’) built on 7 and containing a minor 7th be-
tween the root and its chordal 7th (B D F A in C major). The function of this
chord is very similar to that of the vii?’. It is even more important that vou
double the chordal 3rd of the tonic chord of resolution, since the stepwise
‘motion from 6 to 5 now involves parallel rather than unequal 3ths (Example
19.13a). In Baroque compositions the vii?’ usually appears as a brief passing
chord between IV® and I (Example 19.13b). In his Moment Musical, Schu-
bert first extends the 7th (6) of this chord and then resolves it to 5in a V°, as
shown in Example 19.13¢ and its reduction in 19.13d; in this case. we might
think of this figure as a kind of 7-6 suspension over dominant harmony. Fi-
nally, in Example 19.13e, the joyful cry of the Rhinemaidens employs a
neighboring vii?’ over a tonic pedal.
Example 19.13
A. B, “JESU, MEINE FREUDE”
(BACH CHORALE
HARMONIZATION)
// 5THS
A
3 7 oi Co = |
v7
C: vii?7 I
G:_ IV’ 6, ..@7
Wii‘) I
(4) C. SCHUBERT: Moment Musica No. 6 IN A-FLAT MAJOR
ead
50
bby
——|
id |
e | 4 |
!
|
ge s 1
: be =
D. (REDUCTION) () E WAGNER: VAS RUEINGOLL SCENE
K A A
533 a:
Ae NY OF
ry
“Rhein gold”
bh TYby
J
]
T =
A Sud
cy
fae
6
C: or
Ab: I (vii? ae I (viié') I
8)
In melody harmonizations we may now harmonize the b6 scale degree in a
minor-mode melody with a vii?’ rather than the more usual iv. The leading-
tone seventh chord also presents an alternative to using inversions of the V’.
OTHER DIATONIC SEVENTH CHORDS: THE IV’, I’. VI’, AND JID’ 335
However, remember that substituting the vii?’ for the V’ will render the
character of the music more intense, dark, and foreboding, especially in the
major mode.
OTHER DIATONIC SEVENTH CHORDS: THE IV‘, I', VI‘, AND III’
Of the remaining diatonic seventh chords, only those built on the subdomi-
nant and tonic may be said to lead independent lives of their own.
The Subdominant Seventh Chord
There are three forms of the subdominant seventh chord. In the major mode
it occurs as a pungent major seventh chord Iv,
major); in Fr
minor it appears either as a

seventh ( I V’,
minor
FAC
seventh
Ein
(iv’, AbC Ebin C minor) or as a
F
minor): see Examples 19.14a and b.
i
major-minor C
The preparation and resolution of the chordal 7th normally uses suspension
figuration. It sometimes occurs in root position at authentic cadences (IV'-V-I
in major or iv’-V-i in minor) with scale degrees 3-2-1 in the soprano. Since
thereis a strong likelihood of parallel 5thsin this setting (Example 19.14c), the
alto must leap down to double the chordal 5thin the V chord. Bach often skips
back up from the 5th to the octave or 7th the V before resolving to [: 2-5-3
in
or 2-
4-3 (Example 19.14d). In his Scherzo Chopin uses a different soprano
line (5- 6-5- 5) that avoids the danger of parallel 5ths (Examples 19. 14e and f).
Example 19.14
Cc: Ww ws 7
|
;
C (@ D. “ERHALT’ UNS HERR’ (BACH CHORALE HARMONIZATION) i
!
// 5THS |
+ ==
ial rb zs
CO i 4 |
—-
e 5
| | [
; os aa
e 4 d 2+.77 J
—
t
~
ae Os O&O
wi
I i =
= _
iz all
~ c: 18 I
? §
g: i?6 (vii?) ob
i iv Vv i
E. Cuoptnx: SCHERZO IN D-FLAT Major, Op. 31
269 Qs
Re.
en ob
wt TT
~ J?
r= AP
TORY
F. (REDUCTION)
5 6 5 3
a 4h
nik
i 1
7
ey —
a
rs
oy
I\
A A
The embellishing IV§ is usually followed by a V$-I, resulting in 6-7-8 in

the bass. This progression appears in Mozart’s charming variation on the fa-
miliar “Twinkle, Twinkle, Little Star” tune (Example 19.15a). Note the vari-
ety of dissonances that appear on the first beats of measures 3-7. The G? in
measure 3 is a 9-8 suspension in IV over a tonic pedal, the F’
in measure 4 is
a4-3 suspension, the E? in measure 5 is the 7th of a IV%, the D’ in measure
6 is a 9-8 suspension, and the C’ in measure 7 is the 7th of a ii.Since the
IV 5 resolves to scale degree 2,
that tone imay support either a \ a Exainple
19.15b) or even a ii or ii
(Example 19.15c). In the opening of Schubert's
Moment Musical (Examples 19.15d and e), observe how the IV’ resolves to a
iif in the mamner of a 7-6 suspension: this dissonance is mirrored in measure
3 where a 4-3 occurs over a T°.
Example 19.15
A. Mozart: VARIATIONS ON “AH, VOUS DIRAI-JE, MAMAN,” K.265, Var. 4
o
Ty
GS,
}
I
|
OTHER DIATONIC SEVENTH CHORDS: THE IV’, 1, Vi’. AND TIL’ 337
rr}
Pe
o 7
—"*
jameson ae Se — ° .
7 oe”
38va 4
I
(Ivg V9)
@ B. “CHRISTUS, DER IST MEIN LEBEN”

i
ANGE
A 4
4 —e-
|
ze
oe
|
—#
d
=
=
e | |
|
t
”o>;
p r
|
fg
it
I
—
T
[ |
I
_i
[
G 19 v4 viie® I
@) C. Bach: PRELUDE IN C MAJOR FROM WELL-TEMPERED CLAVIER, BOOK I

#
918 —— :
. 4 -o— ay
8 8
[@] qd)
5 oe oe 8S
oe
ete.
‘
4
e
O
eo a fa
71 [ ad
<> <r
<> rat gy
3
LO
@
<>
<—
+ 7
|
So
Cc: 18 v4 ii! Vi I
—___——
@ D. Scuesert: Momenr Musica No. 6 IN A-FLAT Major E. (REDUCTION) 7
1 | nf Y°
o—™
Cae vee
‘
rn
: + <— ‘ ~——
fe
e
t
Ss | |
e |
me 2 # fa:
1;
s ——»—*
| :
—_ Je
2 Jj
ht hy
oF I
i
] a a
|
it
i
H
—
fy 4 TY
al
fe TTF TT
|
ie
V
|
¥ ul T
vw Ls
Ee
0d 7
iG 4 6 6
A I IN ig vii
3) I A) 7 6G
8 1 3
The Tonic Seventh Chord
The addition of a 7th to the tonic triad transforms the normally stable I into
an active harmony, creating a major seventh chord in major ,CEGBin
C major) or a minor seventh chord in minor Gi, C Eb G Bb in C minor). This
chord frequently appears in a progression of descending 5ths, either initiat-
ing the harmonic sequence (Examples 19.16a and b) or occurring within the
sequence (Example 19.16c). In the lovely Rachmaninoff vocalise (Example
19.16d and e), the tonic 3 is derived by passing motion. However, the most
frequent use of this harmony occurs as the cadential tonic chord in popular
or jazz compositions (Example 19.16f and g).
Example 19.16
A. BRAHMS: INTERMEZZO IN B-FLAT MINOR, OP. L117, No. 2
Joa +
—
FR om vie
———
V7 hh
vu
ima
|
BII
hall ea imi
Wa
-
wa.
haul a
=
I
=
fi eo =
L. |
—w
@
/ /
o\Je
— |
'
| &
oP
7”
A #4
of
a C7 i
| A a
i” hud
u
i
ef
7
yCI[
OE[@ J _ tT cI iS
——S=— rE]
©
LS I LS
vw aa oe bw
a
ae
RY v
~ —
|
i
ef ae
SS
*
=—
iam — I
hal
od
==
hal I
N ————|
O-
@ oe
cy: O
h
f + f ca Vima
le
ef
I CY ey 1
—
wy of
7
CY h C7
V4 iN
yj oe
[ I Ci K TY
TA
ae of[ (ri 7I
iz’ hS.
vw =!
ut LS va
oe
NN
r aT
=?
fi
bo
x a
B. (REDUCTION)
C5
SY
@
pp,
ia
oe = — = _ =
>,
o eo
=
=vr
al
N :
h
= rt ———ol
TN r
a
|
~ haul 2
-_
it
T
bb: i i VEE OE
OTHER DIATONIC SEVENTH CHORDS: THE IW, PT. AND IIL 339
q
@ C. FRIEDRICH KUHLAU: SONATINA FOR PIANO INC Mayor, Op. 88, No. 3
47 i}
T
im im a
|
2
eo £ er Ym ry |
e-
Low
:
Ls
A
3
t
—#
—_|a
oe
I
I
}
c: 1° ii’ v 1! IV
(?) D. RACHMANINOFF: VOCALISE , Op. 34, No. 14

E. (REDUCTION)
a —~
|
O —— |
a
—|
fVy
a
|
tjee
TY, I i
i>? T L eT
fr h
=
| ge is
if it
l I 7
“1 T l I lt CO
i—
bh
ae ei
x 2
Gd) WIE ii?3

2!
Jk OM KERN: “LONG AGO AND FAR AWAY”

>
17
gp
5
TZ.
i l
> Ww
{
i # i PF
=p pots
F: I
2
vi
a
i
2
V" 1
59 G RICHARD RODGERS: “YOU ARE Too BEAUTIFUL”
21
wnt
——3 se
{ T
IN
5;
tase
te i Ye
—— |! ie
——| | 4
id ie e {
NU? {
C: it vi iii’ Wii ii’ iW) I’
(for 1°)
340 (CH. 19] THE LEADING-TONE SEVENTH CHORD AND OTHER SEVENTH CHORDS
The Submediant, Mediant, and Subtonic Seventh Chords
Although examples of vi’ and iii’ in major or VI', HW, and VII in minor
rarely occur in isolation, they often form part of a sequence of seventh chords
that descends by fifths, a topic we will discuss in detail in Chapter 20. One
such sequence occurs in the Brahms Titermniezz0 (Faamples 19 16a and bs. Tn
popular ballads, the iii’ in major often substitutes for a tonic chord (see mea-
sure 2 in Fxwnple 19.16e) The use of these diatonic seventy chords is largely
a triatter of personal discretion in melody harmonization. Be wary of parallel
5dths when using the subdominant seventh in root position.

vii?’ vs. V' the subdominant seventh chord
inversions of vii?! in minor the tonic seventh chord
leading-tone seventh in major the mediant seventh chord
inversions of vii’ in major the submediant seventh chord
the vii?’ in harmonic prolongations the subtonic seventh chord
1. Given the Roman numerals, bass, and soprano of one of the diatonic
seventh chords or its inversion in Example 19.17, complete the chord.
Then resolve it correctly to tonic and prepare it properly using the indi-
cated preceding chord. Note that several examples are set in the major
mode.
Example 19.17
A. B. C. D. E.
|
t LD,
|
| yo
eye
|
PM
|
tse
ui
Lad
=|
ANZ
@)
, '
{ > # >
TL? LY, oe Botte # eo
'
bt? bt t I
+
7
ia
|
ft 7
+
7
h \ t
if
vin
-
oe)
boo Bho -
vive2 |
6
Vu
-
=i
\ ( mown l
A SHORT REVIEW SELF-QuUIZ 341
2. The following passage in minor employs a number of embellishing domi-

nant harmonies. In the bracketed space to the immediate right of the
each of these, substitute an appropriate vii*' or its inversion. Be sure that
you resolve the chordal seventh correctly.
Example 19.18
fal \ |
{
| L
|
Lf |
fo
Lf Lf
=" —=s —— ——s is
I ae aaa [FP "
ef le
id ys}
3. Realize the following figure-bass exercises in four-voice texture and ana-

lyze with Roman numerals. Make sure that all chordal sevenths are pre-
pared and resolved correctly
Example 19.19
L l
ge
|
|
— wa
| l i id
ae 4
i4
i op
ae
a a
id
T T
bal
re
|
TZ
|
NY .*7
e LA
~ e |
{4 P01 {>} fd [ev]

al
2.
|
Je
2 Ui oe = al wil op it
“iL
|
Yrn im I
I
I
{ Tl
ep
Ae |
I
mall if
i _T i
Lt | |
P
bb: “ 4 30 B3 6
43 6 6 15 D: 4 6
3 4
6
4 4 | \ \
Pan il l T I |
it
1
Fal IN it IN if kh T if
1
La sf
ba Pl
T
Prat
T
I
an
if P|
I I |
T
Vy
[oe]
mt
LU z eo
my |
oe oe
L\ I
Ww
]
I
. sl a.
2 ZZ eo te 5 ey
iH i t
al mia 18) T
|
|
| | | ¥ yz
V |
7 6
C: ce
“|
7 O77
4
2 4
2 ? 3
CHAPTER 20
Harmonic Sequences I:
TRIADIC ROOT MOVEMENT
BY 5TH, 2ND, AND 3RD
N CHAPTER 8 we introduced the idea that the natural tendency of har-

mony to proceed in familiar progressions was sometimes interrupted by
melodic lines that create sequential progressions. As we noted, in such cases
the linear movement of the voices is stronger than the harmonic tendencies
of the chords, so that resulting sequential progressions take precedence over
and interrupt typical harmonic progressions, such as the pre-dominant-
dominant-tonic model. In this chapter we will explore the topic of harmonic
sequences and their use in tonal music in greater detail, restricting our
discussion to sequences of diatonic triads whose root movements consist of
consecutive Sths, 2nds, and 3rds. In Chapter 23 we will extend this discus-
sion to sequences of seventh chords. Discussion of longer and more complex
sequences of chromatic chords will be reserved for Parts III and IV.
SEQUENTIAL AND CYCLICAL ROOT MOVEMENT

We first must define what we mean by sequential root movement. A series of
chords whose roots move in a series of similar intervals—fifths, for instance—
does not make the passage a harmonic sequence. We reserve the term “har-
342
SEQUENTIAL AND CYCLICAL ROOT MOVEMENT 343
monic sequence” for a passage in which the chord roots move in recurring
patterns and all the voices move in recurring sequential patterns. When the
recurring root movements are present but the voices do not exhibit sequen-
tial patterns, we refer to the root movement as “cyclical.”
Most tonal iausic exhibits a variety of harmonic root movement. Li the
short phrase from a hy nin setting in Example 20.72 we see an even distribu-
tion of three types of root movement—two examples of movement by Sth,
two examples of movement by 2ud, aud two caxumples of movement by 3rd.
4 Example 20.1 (@) SETTING OF “OLD ONE HUNDRED” (HYMN)
[fos
ASS
\ TIN} a
Ie
BN
F —
3rc and
ae Sg
ard
OUT
2nd 5th
Our concern here is with passages that exhibit recurring patterns of both
root movement and linear motion. Example 20.2 is a typical example. Note
that the opening two-bar phrase is repeated three times, note for note in all
the voices, moving down a diatonic step each time. The final repetition
4 changes the soprano line slightly in order to lead to a perfect authentic ca-
dence. The entire texture moves down step at a time, while the bass line,
|
44 a
made up of the chord roots, descends by a series of fifths —I-IV-vii?-iii-vi-ii-

V-I. The combination of harmonic and melodic sequences makes this pas-
sage an example of sequential root movement.
Example 20.2
(“Vive LA COMPAGNIE” (FRENCH FOLK SONG)
rie
IN V11
344 [Cll. 20] HARMONIC SEQUENCES I: TRIADIC ROOT MOVEMENT BY 5TH, 2ND, AND 3RD
&}:
ye
vi i V) I
Wagner's setting of the “Dresden Amen” in Example 20.3 is based on a sc-

ries of similar root movements in the bass line, a descending series of diatonic
3rds (I-vi-IV-ii). The other voices, however, go their individual ways, the tenor
descending with the bass, and the soprano and alto moving upward. This pas-
sage is therefore an example of cyclical root movement.
Example 20.3
(@ WAGNER: PRELUDE TO ParsiFAL, ACT I
en
v
ae
_— a
e
.
¢
a
bad
: cy
@ oO Ld
> ae {
2. bh
1
i J
eo
hae
rt
ww
Gy}
a>
TI __ ay
4 |
|
Jj | j it j
3rd 3rd 3rd
HARMONIC SEQUENCES
Examples of sequential root movement, in which the melodic motion of the

upper voices is coordinated with the bass, restating a melodic gesture as the
bass outlines its series of root movements by similar intervals, are called
harmonic sequences. In this chapter we will examine the most common
tvpes of harmonic sequences and the root movements on which they are
based. All root movements, both ascending and descending, fall into three
basic categories, based on the interval between them or its inversion; roots
move by 5th (or 4th), by 2nd (or 7th), or by 3rd (or 6th). Wherever vou start.
a series of root movements by anv of these intervals will ev entually evcle
through all seven diatonic tones. Figure 20.1 shows cvcles of descending
2nds, 3rds, and Sths, starting downward from C. Ascending evcles work in
the same way, and the cycle can be started on anv note of the scale.
HARMONIC SEQUENCES 345
Figure 20.1
By2ndC
By3rd C A F G E C A F D B G
By 5th C F B E A D G
By 2nd B A G
Notice how the various cycles are embedded or nested together. If

you pick out every other note of the cycle of 2nds, you produce a cycle of
3rds; if you pick out every other note of that evcle, vou produce a cycle of
5Sths. Choosing every other note of the cycle of 5ths produces another
cycle of 2nds, but at an elevated hierarchic level. Harmonic sequences in |
the literature often exhibit these interlocking patterns, but usually they
stop short of cycling through all seven diatonic tones. The embedded pat-
terns of 3rds and 5ths in the Brahms excerpt (Example 20.4) is a typical
example. In the reduction, the upper slur connects the surface-level root
movement by 3rds, while the lower slur connects the larger harmonic mo-
tion by Sths. Note that this series of 5ths stops short of a full diatonic
cycle.
Example 20.4
A. BrauiMs: INTERMEZZO IN KE Major, Op. 116. No. 6
29
346 [CH. 20} HARMONIC SEQUENCES I: TRIADIC ROOT MOVEMENT BY 5TH. 2ND, AND 3RD
B. (REDUCTION OF BASS LINE ONLY )

3rds_ ¥
amen |
I
eH
t
—
Tt t
5ths ¥
(gt: VI ii° Vv i)
We identify harmonic sequences by extracting the series of root move-

ments of the chords, which may appear in inversions. It is the series of root
movements that determines the type of harmonic sequence—by 5th, 2nd, or
3rd.
These progressions, as we have said, do not always follow standard har-
monic tendencies. In fact, it generally makes little sense to label the individ-
ual chords in a sequence with Roman numerals, since the movement of both
melodic lines and harmonies creates a linear pattern. In addition, sequences
are frequently used to prolong the initial harmony. Therefore, in sequences
we will label only the first chord and the last two cadence chords with
Roman numerals. The contrapuntal motion within the sequence is indicated
with figured-bass symbols, as in Example 20.5.
Example 20.5
———— j
7
@ > =
rr mn haat Zz
oy
bollCO Mf
¢ all
a
C=
A
T
7 a
|
6 6 6
|
Cc: i 6 > Vv
TRIADIC ROOT MOVEMENT BY DESCENDING 5TH

We begin our study of the common patterns of root movement, both de-
scending and ascending, with the descending 5th. We can extend a descend-
ing evcle of 5ths through all seven diatonic notes without repeating any
note C-F-B-E-A-D-G-C. Since the complete pattern creates a long-range
prolongation of a C tonic, it is especially useful in restoring a sense of tonal
stabilitv after a change of kev. Example 20.6 shows the consecutive roots of
cycles of Sths in both major and minor modes.
TRIADS IN DESCENDING 5TH SEQUENCES 347
Example 20.6
A. B.
+
ca o—
S
=H 7]
+ — — 1]
C ] (IV vii ll vi ii) Vv I Cc: 1 (iv VII III VI ii?) V i

2
Somewhere in the cycle, one of the 5ths must be diminished, or the se-
ries of perfect 5ths will take us outside the notes of the diatonic scale. Di-
minished 5ths occur between 4 and 7 in the major mode, and between L6
and 2 in the minor mode, shown bracketed above.
Voice leading in sequences allows for occasional doublings that might
not be tolerated in other contexts. Since the pattern established by the open-
ing chords is maintained through the sequence, irregularities of doubling
may occur, such as the doubled leading tone in the third chord of Example
20.7
Example 20.7
WN
le
TTTele_
|
aie
N
6 6 6
TRIADS IN DESCENDING 5TH SEQUENCES
In sequences of triads whose roots move in descending 5ths, the harmonic

intervals between soprano and bass of every other chord form a stepwise
succession of descending 6ths or 10ths. Remember Figure 20.1; root move-
ment by 2nds is embedded in the movement of every other chord in a de-
scending cvcle of root movement by 5ths. To denote this stepwise motion,
we will beam together the stems of the descending outer voices, as in Exam-
ple 20.8. Depending on the metric accentuation of the chords, this stepwise
motion will form one of two descending tetrachords in the bass, ending ei-
ther on the dominant (8- 7-6-5, as in Example 20.8a) or on the tonic
348 [CH 20° ITARMONIC SEQUPNCES T TRIADIC ROOT MOVEMENT BY STIT AND AND
(4-3-2-1, as in Example 20.8b). Typical soprano lines move either by

alternating melodic 2nds and 3rds (Example 20.Sa-c) or 5ths and tths (My.
ample 20.8d). Since these root-position triads move by descending 5ths, in
your partwriting you should keep the same chord structure. Note also that in
the minor mode the leading tone (#7) does not appear in the sequence until
the last V chord.
Example 20.8
A.
10 10 10 10 10 10 10 10
L
+1%
os
ame9
| |
w&
~p
Ol
vw
be
D
—
il Vv i
VY
ra Za
ae SS =
fa) —~, _<~
iv oe
|
10 10
|
10 10 ——— 10 10
A
$|f¢ +g 44 4
2
:
ee ee ee cE
The cyclical theme of the third movement of Rachmaninoff’s Second

Svmphony shows a complete pattern of 5ths downward from I to I, as the
reduction makes clear (Example 20.9a and b). The “storm” section of
Rossini’s William Tell Overture emplovs a cvcle of 5ths in the minor mode.
decorated with a chromatic motive that alternates between the bass and
soprano (Example 20.9c). Complete the voice-leading reduction begun in
Example 20.9d, beaming the descending stepwise 10ths in the outer
voices.
TRIADS IN DESCENDING 5TH SEQUENCES 349
Example 20.9
(g) A. RACHMANINOFF: SYMPHONY No. 2 IN E MINOR, ITE (SIMPLIFIED)
fH
qh
\
(
(
(ti
HE
Mil
(i
at
TM)
|
q
ok
|
B. (REDUCTION)
oad
Ae
CV
LV -
Tot
20
bil
1a Fa
pad
hel
eT
A:
® € ROSSINI: OVERTURE TO WILLIAM TELL
116
ab q PE she
heal: Baal
LO)
feY he 2i
abe Fal feoleoo
Ty ere
a
Pd
fie |
|
120
a)
4
ay
350 [CH. 20] HARMONIC SEQUENCES I: TRIADIC ROOT MOVEMENT BY 5TH. 2ND. AND 3RD
D. (REDUCTION)
6!
ANZ
@
. hull yt
Oe
e. 1
A common strategy for creating smoother voice leading in the outer

parts of sequences of descending 5ths is to alternate root-position and first-
inversion triads. As the models in Example 20.10 illustrate, either the first
chord (Example 20.10a) or the second (Example 20.10b) may be inverted,
after which the alternating pattern continues. Note that the succession of
beamed descending 6ths in the second model is the exact inversion of the
series of descending 10ths in the first. Also observe that in Example 20.10b,
which is in the minor mode, the leading tone (7) does not appear until the
final V chord.
Example 20.10
A. B.
6
10 10 10
— |
Identify the root movement in the Geminiani excerpt in Example

20.1la. Complete the voice-leading reduction (Example 20.11b), continuing
to beam the descending 10ths.
TRIADS IN ASCENDING 5TH SEQUENCES 351
Example 20.11
AO GEAHATIANT So vty POR VIOb EN AND CoN tint GIN TE Minow. Tiana
— 4
——— 2 —
a
|
i
4 t
e
t
ry
£ oe
t [
ry
£ oe x
£ ae
ra
J x I I “ x
a:
I
Le XN |
B. (REDUCTION)
-_ -_ FF
e) —
F- it
I
6 6
e: if
TRIADS IN ASCENDING 5TH SEQUENCES
Sequences of triads moving hy ascending 5ths are rare. since they direct he har
monic motion away from the tonic harmony. Sequences ascending by Sth ap- a
pear ooh in the major mode and rarely progress beyond. the mediarit triad
(I-V-ii-vi-iii). The reason for this limitation is clear: if the series were to continue
beyond iii, the next chord would be the triad on 7, or the diminished chord vii®.
In the voice-leading models (Example 20.12a and b). we beam every ather note :
FE
.
i the soprano and Tass. revealing a
pattern of ascendiiy Stepwise LOthis
7
a
Example 20.12 .
;
A. b. 4
ba
E
_—. \ |
os |
a
et t er
S$
— |
.
|
10 10 10 10 10 10 4
-2 e 2 a o
|
of
§ a. g a.
———
rl
=| L
> o-—+
1
=
_) wt
( { ( |
if) 6
352 [CHL 205 HARMONTO SPOUERNCES EL OTRIVDIC ROOT MOVEMENT BY STH OND AND ORD
Example 20.13a is the opening of a Bach Prelude for keyboard. Com-

plete the reduction begun in Example 20.13b. As vou see, the circled disso-
nant notes are the first notes of 4-3 suspensions.
a8
Example 20.13 “4
Gy A Baer Lirrer Prrivpr iv © Major Prom Cr wirennrcHirry, BAV 924
@) o
ih
i
!
B. (REDUCTION)
a
2
e)
ROOT MOVEMENT BY 2ND: SUCCESSIVE FIRST-INVERSION CHORDS

In sequences of root movements ascending or descending by 2nds, we
often find a series of consecutive first-inversion or root-position triads in
sequential stepwise motion. We will consider the first-inversion chords
first.
First-inversion triads (6 chords) can be arranged in two waysVs—as a3
with a 4th between the upper voices (Example 20.14a) or as a? (still la-
beled a 6 chord) with a 5th between the upper voices (Example 20,14b).
When a succession of 6 chords is set in four voices. it is necessary to
vary the doubling—first the soprano note and then the alto note of al-
ternating chords—in order to avoid parallel octaves and 5ths (Example
20. 14c).
ROOT MOVEMENT BY 2ND: SUCCESSIVE FIRST-INVERSION CHORDS 353
Example 20.14
A. B. C,
f 6th
3rd 10th tc
6th
6 6
Two examples of sequential first-inversion triads appear in Example

20.15a and b. The first is Haydn scherzo whose theme is a simple ascend-
a
ing and descending major scale. In Example 20.15b, note that the descend-
iy first-nversion Wiads are embellished with 7-6 suspensions,
Example 20.15
@MA Beri ve Majon, OF 76, No 6, TH
133
@ B
The excerpt from Debussy’s Arabesque (Example 20.16a) is a series of

first-inversion triads descending by step. The opening theme of Beethoven's
“Tempest” Sonata uses an ascending stepwise sequence of first-inversion tri-
ads. Complete the reductions that follow each example.
Example 20.16
A. Depussy: “ARABESQUE No. 1”
71
AvAe
AvAe
as ar. a
“tT LW
B. (REDUCTION)
A_# 4. eo
AvAe
Mao
i
A
VF
#.
be
bel
@ C. BEETHOVEN: PIANO SONATA

~y
4 IN D MINOR (“TEMPEST”), Op. 31, No. 2, I
29
ow ce ee
ce oe beter
of
\*
oS
—_ge |
4
ND
eL
@L
J
|
T
~
Xx
ete.
jeleleje Qiu
sty
D. (REDUCTION)
6
SEQUENCES OF ROOT-POSITION TRIADS IN STEPWISE MOTION 355
Since the contains a 5th between the upper voices, a succession of

such sonorities obviously will produce parallel 5ths (Example 20.17a). The
customary way of disguising these parallels is to use a series of 7-6 sus-
pensions; the 5ths are then staggered, being shifted to the offbeats. Com-
pare the effect of the model (Example 20.17a) to the way Haydn uses the
same progression, masking the parallels through suspensions.
Example 20.17
A. B. HaybDn: SyMPHONY No. 104 (“LONDON”), I
HW 5THS 20 (NOW STAGGERED)
| | | fh 4 | | |
| I |
wy} i I ia
i fd Pl i
e |
e) ;—"| ae r—F if
| |
oN
+}: @ iad
5
i
f2 eo ZZ o
—————— 3
=
10 10 10 10 10 10 10 10
6 6 6 6 7 6 7 6 7 6 7 6
As you complete the reduction of the Fux excerpt in Example 20.18, you
will again see that the chain of suspensions is necessary to avoid parallel 5ths
between the upper voices.
Example 20.18
@) A. J.J. Fux: GrapesAp PARNASSUM B. (REDUCTION)
7
J
be
on
it
pe
|
~ .
z —
{2 fd >. >. TR
2 + ¢
:
eo Se ©):
Z
im ea
6 7 6 7 6 7 & ¢
10 10
3
SEQUENCES OF ROOT-POSITION TRIADS IN STEPWISE MOTION

Since a series of ascending triads in root position will produce parallel 5ths
between the bass and one of the upper voices (Example 20.19a), it is neces-
sary in this case also to find a way to stagger the intervals and mask the paral-
lels. The standard wav to accomplish this is to use 5-6 motion above the bass
of each chord, once again breaking up the continuous parallels (Example
356 [CH. 20] HARMONIC SEQUENCES I: TRIADIC ROOT MOVEMENT BY 5TH, 2ND, AND 38RD
20.19b). In Example 20.19c, we alternate the doublings, first doubling the

tenor and bass, then the tenor and soprano, to avoid parallel octaves and
5ths. In Example 20.19d, the 6 of the alto’s 5-6 motion is doubled in the
bass; the result is a series of root-position triads, which are voice-leading
chords resulting from the motion of the various lines.
Example 20.19
A. B.
parallel 5ths Sths staggered by 5-6

A
y
=
| it
==
3 ! |
fan) if
oe {Gy ]
if o
a
—_—_——Ht
(|
ff
7]
DD
6 6
u
C. D.
on
I
—o +s 2
ee
yy
3 =
= 33 =
al
eo
=—
|
——= —_— ad cS
5 6 5 6 5 6
(all 3)
In Example 20.20, Palestrina begins an ascending stepwise sequence of

root-position 5-6 triads, but stops the sequence in the third measure, using
the vi chord as a pre-dominant chord to lead to a cadence on C.
Example 20.20
PALESTRINA: AGNUS Det IT FROM Missa SANCTORUM MERITIS
hn?
MUL
att
we Pe Re Serre
O|
—y
Ih_
_ gS Oo
<>
“> [@}
ROOT MOVEMENT BY DESCENDING AND ASCENDING 3RD 357
ROOT MOVEMENT BY DESCENDING AND ASCENDING 3RD

Root movement by descending 3rds usually begins with the tonic chord and
rarely progresses beyond the supertonic triad before breaking the pattern
for a cadence: I vi IV ii V I. A progression of root-position triads moving by
3rds will produce parallel Sths between the bass and one of the upper voices
(Example 20.21a). Composers mask these parallels by inserting a_first-
iversiou chord between each of the root-pusition chords. Tlus_ first-
inversion chord, a passing chord that staggers the parallel 5ths, produces an
inverted 5-6 pattern in the bass (Example 20.21b), similar to the rising 5-6
pattern in Example 20.20.
Example 20.21
A. B.
patel Sth Sth. statgered hy 6th chords

fh @
|
SV @
7 V
= Zz
rt
od
=.
= hus
-—
lm
e | ual
oOo e oO
bad
fr
| |
o——_ 2 o
—_—_— 2
Saal
C—_—,. ao 2
t
=
5 6 5D
6 5 6
The three four-voice models in Example 20.22 illustrate variants of the

basic 5-6 pattern with different soprano and bass lines. Note that the bass and
alto of Example 20.22a and b are the same; the tenor and soprano change
places Fvanple 99 990 iMustrates the same Change-of-bass procedure we SAW
in Example 20.19d, producing a series of root-position voice-leading chords.
Example 20.22
A. B.
a <—— —— —————= —
—
eo eo° eo
r > eo]
o
i °
5 £ $ s__-¢ Zz
=
“}:
= $
—
* —
=
5 6 5 6 BS)
6 5 6 5 6 Bs)
6
358 [CH. 20] HARMONIC SEQUENCES I: TRIADIC ROOT MOVEMENT BY 5TH. 2ND. AND 3RD
C,
real]
sae
Ol
$||
$|
(all 3)
In Example 20.23, all the excerpts employ root movement by series of a
descending 3rds. Complete the three reductions so that the sequential pat-
terns are clear. Note that the third excerpt, Example 20.23e, uses only root-
position triads in the changing-bass pattern.
Example 20.23
CO
A Nf ase vent INternez7o Frou CA Pl ReSTIOANA
90, 6 2
= ———————
2
===
= ee ee
\"
\*
|"
B. (REDUCTION)
fay |
esa
Lv |
il
Zz +
e
seSS =
le
a
} ¢
=
mz|
D
MOZART: OUINTET FROM THE Macic FLUTE. Act I. K.620 VOCAL PARTS OMITTED
2
O
| |
#4
oe a
_ |
+
2 2
a |
|
#1]
= i
I
x
ry ry haan J
a
€
@)
fh #
| rave
dl
ae
2 | #
5s
;
llee
I ; T
rn Tt
2 Je T 7
~< UT
a SE AD
i | ,
me I
a
| a
DB 7
a |
a
ee ee I |
il >< Es > % I
Pl it
if
x ~ | i
ROOT MOVEMENT BY DESCENDING AND ASCENDING 3RD 359
D. (REDUCTION)
O44
x—t—
| —o | |
—¢-—
|
fam) ad ml o
e
f4 a =
— z
|
fe
[
_- l
@) E. GiieRE: SAILORS’ DANCE FROM THE RED Poppy FF. (REDUCTION)

50
—_,
= =—N_ i oo h
Ve
a
7
Ya
r= — a
E
XN
™
Harmonic sequences employing root movement by ascending 3rds are

rare. Once again the standard strategy is to insert passing chords, in this
case root-position triads, to stagger and mask the parallel 5ths. Example
20.24a is a model of this procedure in the major mode. The Weber excerpt
(Example 20.24b) illustrates the same procedure in the minor mode; the
chord pattern ascends by thirds, i-III-v-VII, before coming to a cadence in
C minor.
Example 20.24
A. @ B. WEBER: OVERTURE TO DER FREISCHUTZ
73
K)
0
2 yl oe Z
3 +-—+ +
T
17) = my | | I
—
|
oe nal T T H I
—_ L J L ] l ]
C I (iii) (V) Cc:

i I v VU auc!) i
Example 20.27
@
J rs
e) |
CAe
h_|TT, 7
| |
a |
L.
T
bh I
a? Ce |
J am
LS ml | well
e) |
in ia
~ fe TT,
ap |
(a
il
m4
Zh T
yy, I I |
ana 3
if
i
"
( 6 6 )
Some melodies may be suitable for more than one kind of sequential
harmonization. In that case, if the melody repeats, we can choose to harmo-
nize it with a different sort of harmonic sequence. Example 20.28a is a non-
sequential harmonization of a familiar descending melody. Contrast this
setting with the second (Example 20.28b), which employs a sequence of de-
scending 5ths with alternating § chords and root-position triads.
Example 20.28
@ A.
! + f t t I
‘
| |
bs ri |
| |
E ‘a [
sip
== =8 = P
F I (ii Vo) I (vi) ii Vv I
HARMONIC SEQUENCES IN MELOGY HARMONIZATION 363
>
Soame
Hn
;
ao
Q
|
r
V I
Example 20.29 illustrates two harmonic sequences in Bach’s harmoniza-

tions of chorales. Identify the sequential models on which these two excerpts
are based. Also note Bach’s expressive use of suspensions in both excerpts.
Example 20.29
@) A. “HeuT ist, MENSCH, EIN GROSSER”
O B. (REDUCTION)
-
Ab
|
=
t T
aa
1 1
Nava _——— aaa

ry | et aa
ee m~™ CJ
5
=
J
Os a oe
ae :
> r=
!
|
Bb: Bb: ]
C. “IN DULCI JUBILO” (BACH CHORALE HARMONIZATION)
ral
oF — ert
= Jj
=
a
.
Q|
The
re
—
D. (REDUCTION)
5 —} _—_* |,
F:
—
IV
—F =
yb
;
cyclical root movement root movement by 2nd

sequential root movement consecutive 6 progression
harmonic sequence consecutive 5-6 progression
root movement by Sths root movement by 3rd
cycle of 5ths inverted 5-6 progression
staggered parallels change-of-bass procedure

1. Harmonize the melodies in Example 20.30, using harmonic sequences
involving root movement by 5th, 2nd, or 3rd.
Example 20.30
A. B.
fn] 1
tf Nu I 1 CN
(5
—
— — = * ew
-—t
TY, ~ fe ~#il
= bal
C. D.
Of 1 TN Niu! 1 fN
e oe, @)
———
te
wees 7 mit
7 An
C H A P T E R 2 |
Tonicization
and Modulation I:
SECONDARY DOMINANT CHORDS
N THE PRECEDING CHAPTERS we examined the characteristics and

uses of diatonic triads and seventh chords in the major and minor modes.
During this discussion we kept our consideration of harmony within the lim-
its of a single key, always assuming that the same tonic prevails throughout a
phrase, period, or more extended section. However, in the music of the
common-practice period, as composers created tonal plans for longer sec-
tions of music, including entire movements and large works, tonal contrast
became an important device for organizing musical ideas and creating
forms. Composers explored the possibility of moving to different tonics in
the course of a piece, while keeping the piece in one overall key.
Momentary chromatic inflections in a melodic line, such as an occasional
F¥ or Bb in the key of C major, scarcely disturb our sense of the primary key and
may even go nearly unnoticed. However, if both the melody and harmony be-
come involved in this chromatic inflection, we perceive momentary tonal em-
a
phasis on a different scale degree or chord from our original tonic, even while
retaining our sense of the original key. For example, the appearance of several
F-sharps in the melody of a piece in C major, when coupled with chords that in-
clude that tone, such as major triads or seventh chords built on D, may indicate
that we are momentarily leaving the kev of C and moving to G as a new tonic.
365
366 [CH. 21] TONICIZATION AND MODULATION I: SECONDARY DOMINANT CHORDS
TONICIZATION AND MODULATION
The term tonicization describes the process by which a scale degree or har-
mony other than the original tonic temporarily assumes a tonic function. For
the time being, the only scale degrees that can assume the role of a tonic are
those that are the roots of major or minor triads in the diatonic major and
minor scales. Since diminished and augmented triads cannot function as
tonic chords, they are therefore not candidates for tonicization. The leading
tone, for example, in both the major and ininor modes, cannot be tonicized,
because it is the root of a diminished triad that cannot function as a tonic
chord.
This chapter will focus on examples of momentary, surface tonicization.
Chapter 22 will take up the topic of extended tonicization, when we perceive
a clear shift from the original tonic to another key center and that new tonic
lasts for an entire phrase or even longer. A shift to another key that lasts
longer than a momentary tonicization is called a modulation.
SECONDARY OR APPLIED DOMINANT CHORDS
The usual aural clue that a scale degree other than the original tonic is about
to take on the role ofa temporary tonic is the presence of a chord that func-
tions as its dominant—thatis, V, VW" ii’, etc., of the new tonic. We refer to
the dominant harmony preceding this new tonicized chord as a secondary
or applied dominant. The terms are generally used interchangeably; the 4
term “applied” emphasizes that the temporary dominant is attached or ap-

plied to the new tonic. Secondary dominants usually occur as alterations of
diatonic harmonies, requiring accidentals that do not appear in the kev sig-
nature of the original key. For in C major the secondary dominant 4
the tonicization of V
example,
is a ii‘ chord altered by raising its third to F
signaling ;
the leading tone of the new key; the secondary dominant seventh chord to vi
is iii’, altered by raising its third to Gf. In Roman numeral analvsis, however.
we do not denote these secondary dominants as variants of chords built on ii
and iii; rather, we denote them by their harmonic function as dominants to
the new tonics. Thus, in C major, a secondarv dominant on D leading to the
tonicization of G is denoted as V‘/V: the first Roman numeral and arabic
number represent the tvpe of dominant chord, followed by a slash and the
Roman numeral for the triad it is tonicizing. In C major, a dominant seventh
on E leading to the tonicization of A-minor harmony is denoted as Vi/vi. Ex-
amples 21.1 and 21.2 illustrate the proper Roman numeral analvsis of sec-
ondary dominants. In Example 21 1, note that the tonicizations are quite
brief; most last for no more than a beat or two.
APPROACHING ALTERED NOTES IN SECONDARY DEOMINANTS 367
Example 21.1 \
~
(7) “COMBE MARTIN” (HYMN TUNE)
fh_4
o—)
| | |
~—# t+
t + Gg
+—s)
[PP ye
72
as
|
fe
2 S eZ
| I T T |
it | call a. } if
T
f*
G:
(wiv) ov
“Walt
well
{
+
“7 ==
TW
—®)
|
(Vivi) vi (V8) (V8/IV) IV
In Example 21.1 most of the chords in the passage are diatonic in the key of
G major. The secondary dominants (the first chords in the bracketed progres-
sions marked with Roman numerals), however, all contain accidentals, notes
that are not diatonic scale degrees of the scale of G major. Each of these two-
chord progressions is a small-scale progression from dominant to tonic. The
first progression is V"Tin D major; the second is V-i in E minor; the third is Ve.
Lin D major; and the final progression is V °-Tin C major. The proper Roman
numeral designations for the progressions appear below the staff: V'/V-V, VAi-
vi, W/V-V, and Vs/IV-IV. Since applied dominants usually function as embell-
ishing chords, they are unstemmed in reductions and their Roman numerals
are placed in parentheses (Example 21.2). To spell out a secondary dominant
from Roman numerals, assume that the tonicized triad is the temporary tonic
and spell the applied chord in relation to it. To spell a vii” of ii in F major, for
example, assume that G minor (ii) is the tonic, and write its leading-tone sev-
enth chord, F¥ A C Eb. Review the analvses in Examples 21.1 and 21.2.
APPROACHING ALTERED NOTES IN SECONDARY DOMINANTS
The altered or non-diatonic scale degree ina secondary dominant usually

functions as the leading tone (#7) of the kev that is being tonicized; the al-
tered notes in Example 21.2a-c all function as leading tones to the scale
368 [(CH. 21] TONICIZATION AND MODULATION 1: SECONDARY DOMINANT CHORDS
degree being tonicized. Other scale degrees may be altered as well; in Exam-
7
ple 21.2d, Diis scale
degree and F $iis scale degr ee 2 of the new key, andin
7
Example 21.2e, Bbis 4 of the new key, and Dbis b6.
Example 21.2
A B C. D E
f) {
\ —— —— |
}
D = " ?
7 |
*
ra Pi
s oe ¢ r , =
@
=
4 |
Fe
——s xe be
SS
!
/ 7
C: (VS/V) V (Vii) ii? (Vani) vi (Voviii) ii (iiAIV) I\
These altered notes are normally approached by diatonic melodic motion,

as illustrated in Example 21.1 and Examples 21.3a and b. In Examples 21.3c
and d, the altered note is derived chromatically—that is, the diatonic note that
precedes it is altered by adding an accidental. The chromatically altered note,
usually the leading tone of the new key, can occur within the same chord (Ex-
ample 21.3d) or may appear as one note of a new chord (Example 21.3c).
Example 21.3
A. B. C.
|
f__| —_ |
e e e a
J
| | | |
oo
2 2+
=
#
;
« Jo +);
«ee
—
— eo Zz
-_—
l +
C: (viii) ii C: (VO/IV) IV Cc: WO) OV
D. Epwarb PURCELL: “PAssING By”
17
L
IW
ale
ll
TONICIZATION OF THE DOMINANT 369
Next we will examine in detail some surface tonicizations of the various

diatonic triads in major and minor mode, illustrated by excerpts from the lit-
erature and typical harmonic models.
TONICIZATION OF THE DOMINANT

The dominant is the triad most frequently tonicized by means of secondary
dominants. The secondary dominant of V always raises the fourth scale de-
(
gree of the original key; the raised fourth(#4)) functions as a leading tone
upward to 5. In addition to the raised fourth scale degree, the vii’ of
pulling
V also has a second altered tone, 53 of the or iginal key.
The various secondary dominants leading to V may substitute for a dia-
tonic pre-dominant chord (IV or ii) in an authentic cadence (V 'N-N-I rather |
|
than ii'-V-I). In these cases, we mark the essential pre-dominant function of
these chords by stemming the chords and not enclosing them in parentheses
(Example 21.4a and b). When the standard diatonic pre-dominant chord is
present and the secondary dominant is chromatically inserted between a IV
or ii® and the V in an authentic cadence, the secondary dominant is not an
essential chord but an embellishing chord, and we mark that function by
leaving it unstemmed and enclosing its Roman numeral in parentheses (Ex-
ample 21.4c and d).
Example 21.4
A. B.
rN rN
| |
= | fy | | | |
e r e f
r
| | nl
_# 4 2 __*
I
Le
|
|
C: I wi) V/V \ I ce iP WV \
C D.
cn
jJ———— |
—————
ae Om | |
«.6UW e e «
“TT I
r
t
| |
a
iv (wii ‘7N \ i ( i® ii® (V8/V) \ I
Cadences that close on V exhibit various degrees of finality. In earlier

chapters we discussed the simple half cadence, in which the dominant is
preceded by the tonic (Example 21.5a) or the subdominant; we do not per-
ceive these progressions as moves to a new tonal center. However, the mo-
tion to the dominant is more emphatic when it is preceded by a secondary
dominant (Example 21.5b). Stronger still is a genuine modulation, when a
cadence on V signals a true shift into the key of the dominant; we will dis-
cuss modulation in Chapter 22.
Example 21.5
A.
ORY
@
6-
ye 2
YA LE ]
2 5
ul
LJ m 4
vi
t ——+#
G Vv 1 Pr oo V
(@ B. Ropert FRANZ: “WIDMUNG,” Op. 14, No. 1
21
fh # I
=
\
[—~
,
_
\
a [—+
|
a
\
|
—
al rl
t i
i—? t
—}|
hab’ ich sie treu lich, ab - - le sen.
ve
way
\y a |
IN
\
=
if ——— | i"
ey
u
L = |
wa.
inn
TO
ot
a
vi
7
e —+
-
. |
ew. ns
Oar >}
L Ca: ae.“ £i ey eo
aA —— a \
T
vi
ul
i
=t —t ww
cog
wn __ VIN
:
G (V‘) I Vv
Secondary dominants of V may function as embellishing chords within

the phrase, often resulting from passing motion that bridges two inversions
of the dominant, as in Example 21.6a, or through suspension figuration, as in
TONICIZATION OF THE SUBDOMINANT 371
Examples 21.6b and c. In Example 21.6c, the altered note within the series
of embellishing chords is derived chromatically and resolved diatonically; in
Example 21.6d, the altered note is derived diatonically and resolved chro-
matically to the chordal 7th of the V3.
Example 21.6
A. B.
f\__|
= a)
|
© ="
nie
>
+ $
—¢
Cn +
rh.
oe 2 2.
= = = =
i° (\ Vial VS (Wa/V Vv) |
C. D.
—$
|
@) | Ld
e
o © 2 2 a
ont
—
+f
te te te
—
o—
|?
| |
Gi (iv vit /VOOYV

V3) i® ( Vv vO/V Va 1°
TONICIZATION OF THE SUBDOMINANT
Tonicization of the subdominant frequently occurs in opening progressions.

The shift is easy at the opening of a piece; adding one altered note, LT. to
the opening tonic harmony creates the secondary dominant of TV, shifting
the harmony away from the tonic to the subdominant. In the folk song in
Example 21.7a. the tonicized IV functions as an embellishing or neighbor-
ing chord to the tonic. The Bach prelude (Example 21.7b) prolongs the
opening tonic by using a secondary dominant to move to IV over a tonic
pedal; the progression is LV /IV-IV-\"-L.
372 (CH. 21] TONICIZATION AND MODULATION I: SECONDARY DOMINANT CHORDS
Example 21.7 a
A. THomas Moore: “BELIEVE ME, IF ALL THOSE ENDEARING YOUNG CHARMS”
ll
de.
Le
Tee él
AD
de
LJ
5
Tee
is
eq
4
a
“ il
a
—a
—eelt
a nu
Qu)
dee
lel.
Eb: I WIV IV rv) I V I
B. Bact LITTLE PRELUDE IN C Major, BWV 939
g
vA a ———
re I
——
owl i
z
—,wn
r
>
Y r>
=
|
Tay
VV
sv ri | @ i
we kr. Yt
|
I I
|
i ual
og
[|
@\° 7s I
| AE,OLE © 3
[8] a} ZG
vi =
— —_— —
Cc: I (WIV IV Vv‘) I
This same progression, used to prolong the tonic, is a standard device in

closing passages or codas. Two typical examples of the progression appear in
the two excerpts of Example 21.8. Note that both set the prolongation pro-
gression over tonic pedals.
Example 21.8
A. Haypn: Symptiony No. LOT (CLock”), IV
hii
)
is
AI
fh ¥
#4
YQ)
q
O11
@
\
be 5
SHO
—— | |
Qa
——<—s=
TNT
TS <r 2 24 <<
+
D: IV LW VIV IV
>
Vv")
TONICIZATION OF ii, vi, AND iii IN THE MAJOR MODE 373
@) B. TCHAIKOVSKY: ROMEO AND JULIET

481
of
wil ge
if
Ul
w
te
4 Lee
“TL A
id POP P P P P P
(vii? ‘/iv iv
Example 21.9 is the waltz by Diabelli that was immortalized in

Beethoven’s variations for piano. The third phrase employs a sequence that
moves from IV® to V°; both are tonicized by third-inversion secondary
dominants.
Example 21.9
(@) ANTON DIABELLI: WALTZ INC Major
9
ia i
|
xy
Zz
i>
T t T I
t
mT
Om *
E $ =. a
— +
sf sf sf sf
, i ,
> oo
|
7 t — t — t
te
1 T t {
be
oo
z=
Ld Ld bd Se bf
C:
+
(V/V) yr
IV? (VA/\
TONICIZATION OF il, vi, AND ili IN THE MAJOR MODE
Typical models of tonicization of the triads on ii, vi, and iii in the major mode
in Example 21.10a. Secondary dominants of the supertonic triad, such
appear
as V'/ii, contain the raised first degree (#1)) of the original key; the diminished
seventh version of the secondary dominant to ii (vii?’) also contains a lowered
seventh degree 7): see Example 21.10b and c. The sequential progression
Vii-ii-V-I, one version of which is given in Example 21.10d, commonly ap-
pears at the beginning of the second part or reprise of Classical minuets. By
the time Mozart had reached the tender age of four, he understood this pro-
gression and used it in his early compositions (Example 21.10e and f).
Example 21.10
A.
>
f a ™~
@
|
—o
Z|
to
—=s
fe > —# o
ry) |
“=
4
—
., —
sea
=
FF eo Zoe
——F —=
C: WAI ii VAI vi V" fii iii
B. C. D.
fa)
fa
A~—| Xx —l ==
|
LS t
au
+}:
A
|
—
hal
— °
:
|
=
Fa
|
Fy —
=
|
|
|—"|
J
Cc: 1 We V8fi) ii Cob (ie) ii C: (V8fii) ii VE
E. Mozart: MINUET IN G Major, K.1 F. (REDUCTION)
bx ——¥ 4
a i
t
I 1 t
| hal {
if H
it
il
,
@ T 1
|
@) | "|
*
5 £ © @ —# eo —
a’
t
1
ul
— I
G VA i VT
Secondary dominants to vi and iii require no special treatment. The

Brahms excerpt (Example 21.1la) involves passing motion from I to vi
through a secondary V3/vi. The reduction points out that the secondary
dominant is a passing, embellishing harmony by leaving its notes un-
stemmed and enclosing its Roman numeral in parentheses. The passage
from “America” (Example 21.11c) shows the insertion of a vii’ as a sec-
ondary dominant to vi in a deceptive cadence. Another way to understand
this progression is to view the motion to vi as a prolongation of the chord. I
as indicated by the slur and arrow below the staff.
TONICIZATION OF ii, vi, AND iii INTHE MAJOR MODE 375
A secondary dominant may resolve in a deceptive cadence, in the man-

ner of a dominant chord in the V-vi deceptive cadence. Look at the turn-of-
the-century ballad in Example 21.11d; the second chordin the first measure
is Vi/vi, but it resolves not to vi but to IV, the sixth scale degree or VI chord
of vi. In the Beethoven (Example 21.11e), a secondary dominant to
vi resolves instead to ii®;excerpt
the cadence resolves not on vi but on ii, the sub-
dominant of vi. Note that in these examples (Example 21.11 and @), the
bass note of the secondary dominant resolves upward by half step. c
Example 21.11
(?) A. BRAHMS: INTERMEZZO IN E MINOR, OP. 119, No. 2 B. (REDUCTION)
ope
40 my
J. os IN i
|
a1
haat
e
a Lh
hal © 2.
.
i
i
oe: T
| nal
iz
Hom
E: I
(V3Ai) vi
@Cc AMERI
3 CT ~
| |
t
| |
Nl
a )
T—
—
t t
IN r
:
O U
|
if
I me3 o- 7 2 ye
ya
!
me
;e
a
——
=
.
°
Y
F 6 vi)
=
i \ I
@ D PAl DRESSER By TH BANKS OF TH WABASH
q 4 _
1 t
|
|
it
+.I I Tt !
rami
ii |
r
n
a
ar
t {
4
e
[
T T
#
° ["
4 /
a oy:Cnt:+ | a Z
ay<a |
ha
7
> eo —
r
G I Vii I\
376 [CH 21) TONICTZATION AND MODULATION FT SECONDARY DOMINANT CHORDS
FE. BEETHOVEN: SYMPHONY No. 1 in C Major, II

3
—=x
tr
4
ry) ¥-
i
6
6
—
VI
Two scale degrees must be altered to form the secondary dominant of iii
in Example 21.12; the second scale degree, F# in the key of E, is raised to
Fx, and the fourth scale degree, A, is raised to Ag.
Example 21.12
(2) SCHUBERT: SYMPHONY No. 5 (SUNFINISHED’), [I (REDUCTION) :
2/6 >
4
I
i= I
(ou
N34
— ods :
l
3) 4
>
_ LL
| | a
sf
EI (“ii ii
TONICIZATIONS OF III, VI, AND VII IN THE MINOR MODE

Tonicizations of the three major triads in the natural minor mode (IIL, V1.
and VII) are usually preceded by a secondarv dominant. Since W/L con-
tains no altered scale degrees (Example 21.13a), the tonicization sounds
{
like a momentary shift to the relative major key In Example 24.15b.
Fanny Hensel, the gifted sister of Mendelssohn. moves from the I{ not to
the expected V chord. but rather through a secondary dominant to V1
(VIVEVD, suggesting a kind of tonicized deceptive cadence. Toniciza-
tions of VI and VIL frequently occur in sequential progressions. In the
passage from Handel's Messiah (Example 21.13c and d), the temporary
tonicizations of VIL and VI form a descending tetrachord in the bass
(G-F-Eb-D).
Example 21.13
=> =
&
0d
=> ee |
1
=
®
ce (WV) i (WAIN) lll
@) B. FANNY HENSEL: “WARUM SIND DENN DIE ROSEN,” FROM SEcIVS LIEDER, OP. 1, NO. 3
q
a
+ T Ah. | >
N
at}
|
oe
Ti "4 v2 eo
ia!
2 |
oo
|
at
ryt
|
LT | |
haall ]
haat
ry 7
Wa - rum sind denn die Ro - senso” blass? O mein Lieb wa = rum?

sprich
(on: l
rn
=
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P| P" il
ee I ]
~ Jea =
UE 77
ub
TI
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u
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[@] L ‘ L L vi vi L L
4a
Ee ce aa
_
a=
Cy i
"
(\ OV
6 7 6
a \ 5
\ 4 3/\ VI
@ C. Haxpen: “How BReAUTIFUL ARE THE FEET OF THEM” FROM MESSIATI
| \
mae iS
@ id |
a
—>——7
>} gh
é
am
—
}
a
«
ia
t
—e
a:
cr
i ¢
Te
# a { im
|
V Y
D. (REDUCTION)
J | \ ,
Lo
rh
| |
—_———
7
I it
@ eo—
e) Sa TT
a5i SE
— * eo x + 7
lal
<
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had
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Tt
—ai—t f
ec WP) NGAI VID VSD VI iv V
377
CROSS RELATIONS
When tonicizing progressions involve chromatic motion into the secondary

dominant, the voice leading must be handled carefully. Chromatic motion
occuring between two different voice parts in consecutive chords is called
a cross relation. Example 21.14 shows three different settings of motion
through a secondary dominant of ii; the lines connect the pitches that out-
line the chromatic motion, C and C§. Since cross relations between the
outer voices, soprano and bass, create a rather harsh sound, they are nor-
mally avoided (Example 21.14a). Try to involve one of the inner voices
whenever possible; the cross relation is between the tenor and bass in Fy-
aniple 91 Vth and hetween the SOPTalo and alto in Fxanipte Ol tte Tha
chromaticized voice exchange, two voices move chromatically in oppo-
site directions, and a passing harmony is inserted in between the two
chords that contain the notes of the cross relation. Example 21.14d shows
a chromaticized voice exchange in a Mozart Mass; the inserted passing
.
harmony is a iy.
Example 21.14
A. C.
avoid better better
a a h |
(bye —
MUZAI KYRIE RON MASS IN Major( CORONATION 31
— ——— ae
Caan | 7
ra e
e
eo »
< 7 er 2
ia!
£
al iva T
ce ive
( ) VSN \
EXTENDED SUCCESSIONS OF SECONDARY DOMINANTS 379
Summary of Common Fonicizations

|
del ay TERE Tak ay ok A Gags ag aBatata dehyh Toe ah
The following tonicizations are listed in approximate order of frequency,

starting from the most common.
In major keys: V, IV, vi, ii, iii
In minor keys: V, iv, II, VI, VII
EXTENDED SUC CESSIONS OF SECONDARY DOMINANTS

A secondary dominant may resolve to minor triad, or it may re-
a major or
solve to another secondary dominant. In C Major, a VIAL(E Ge BD) may
resolve to a diatonic submediant triad (vi) or to a V’/ii (A Ce E G); that
secondary dominant in turn may resolve to a diatonic supertonic triad (ii)
or toa V/V (D FE A C); see Example 21.15. Composers can link several
secondary dominants together to form a succession or chain of secondary
dominants. In the following examples, each secondary dominant has been
supplied with its Roman numeral to help identify the chords, but in a re-
duction, since most such progressions are sequential in nature, we would
denote only the opening and closing chords with Roman numerals and
use figured-bass symbols in between, as we did with sequences in Chap-
ter 20.
Liszt's famous Liebestrdum opens with a chain of secondary dominants;
a reduction appears as Example 21.15b. The excerpt also includes two ev-
of dominant ninth chords, a sonority we will discuss in a later chap-
r. The
amps sliding chromatic tritones in the inner voices that characterize this
progression are also a trait of a kind of chromatic harmony we refer to as
“barbershop harmony.” In the middle movement of the “Moonlight”
Sonata, Beethoven writes a chain of secondary dominants; he places the
chromatic tritones in the lower voices, alternating between first-inversion
and third-inversion dominant chords of sec-
(Example 21.15¢). Chains
ondary dominants normally consist VW
of
chords, but chromatic sequences
of vii" chords are possible as well. A famous example appears in the open-
ing of Mozart’s C Minor Piano Concerto, K. 491 (Example 21.15d). The re-
duction in Example 21.15e reveals the underlying series of roots
descending by 5ths—D-G#-C#-F#-B. The vii?’ chord on B resolves finally
to the C minor tonic.
Example 21.15
A.
SS ——
|
fh 4
|
Pn
=
2
(V7 VI) vi I
5313 \I
A183 2 i
P=
Ee
= ¢ - tie Ld T
‘ad
A
Vd
Abs 1
(W4Ai VAAN) I
® C. BEETHOVEN: PIANO SONATA IN C-SUARP MINOR (“MOONLIGHT”), Op. 27, No. 2, II
—
VT
a A A | as
x O “et”
a
TEs 3
Db: (Vii Vi/V ve V4/IV) I\ 6
D. Mozart: PlANO CONCERTO IN C MINOR, K. 491, I
nh 113
Ty oe
2:
4
Pc e
J +N haa ).
ok *
be
—
RY . al ;
e i
Le
roa ba. bes

¢}-b
Z 514 —
ai
* — a*
—#
i 6 5
EXTENDED SUCCESSIONS OF SECONDARY DOMINANTS 381
bey:
5
@
4
—
*
(REDUCTION)
=
TS
1 17
rial
T
ow
TT
°
=
fee big
at
bie tg
T
|ige _¢
(ii Siti u 9/ Vil ji V1

Vii?S) 6
Wo occasionalls encotnter extended chains of seconds domiitants i

the literature. The closing D major section of the scherzo from Schu-
mauis Syiiphouy No. Liu B-flat Major iy a good eraiiple (Exaiuple
21.16a) The reduction (Example 21 16b* shows the underlying pattern A
secondary vii’ leads to what appears to be a cadential If. but its resolution
to the usual } is delayed by the insertion of two more secondary domi-
nants—first vii’’/vi takes us to vi, and then vii’'/V takes us to V. with the
customary 2 in the soprano, The composer then interrupts the resolution
to I by inserting three more tonicizations through secondary dominants:
the tonicizations move us downward through II and ii to the eventual ar-
rival at I. The soprano moves downward an octave over the course of this
|
passage, from A> to At. A simple cadential formula (ii’-V'-I) is added to

close the movement. Note that the soprano is still on A as the movement
ends. A glance at what happens next explains this A: the first note of the
following Finale is A, now the leading tone of the kev of Bb major, and an
arpeggiated statement of the Bb chord re-establishes the overall tonic of
the svmphony.
Example 21.16
A. SCHUMANN: SYMPHONY No. I (Sprinc”), HI
389
~ IT!
395
r—
+ ia
rT
ol
T
T
400
= = ON
———
—_—
— ee” oe a ==—_] = _-
——
!
vu B _pP
|
= , 4
= as ——— —
“
|
=
= > ——_—_# r
| ~ y KK —
B. (REDUCTION)
au
a ™~
{
~~ Z| |
= |
—t
| I |
£ UU
e
LO
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ee rl
=
e Ul rn
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tT t
i.
D: wii /V) 8
'Ai) VI wiie/V)
OV
(vii? iid) ILL (iii) id VOTE 8 GS
ve I
Finale
fy
—
F
i T
*
ws |
T_T
ad
—
i
oe
t+
B
In order to utilize secondary dominants in harmonizing chorales or hymns, we
have to put the altered pitches in voices other than the soprano, since the
melodies of most hymns usually consist of notes of the diatonic scale. The bass is
a good place to locate the altered notes. When given one of these melodies to
harmonize, try to work out several different harmonic settings. Study the three
harmonizations of the phrase from a hymn tune in Example 21.17. The first set-
ting is completely diatonic; there are no tonicizations and no secondary domi-
nants. The last two use several secondary dominants; study each setting carefully
and identify all the secondary dominants. Note also that, with the exception of
the inserted altered notes, the bass line of Example 21.17b is essentially the
same as the bass line of Example 21.17a. The bass line of Example 21.17c, how-
ever, is completely different. Remember that the secret to harmonization and
partwriting often lies in first composing an interesting and attractive bass line.
Example 21.17 A,
=
f\_4 | | |
e | |
=
B.
ot
|
Pal
| | { |
—
I
=
{
|
_—_L
Pt
e
ANS YA |
|
ual ml
f |
|e 2
o}:
Z z qe a :
——
if
— -_—
| )
G (VA/IN ) IV Vfl) ii
(Vo/V) Vv
C.
73
po
é
—z
A
. |
——$
e | I
HP
o le g
Se ee Se eee
a = |
G: (V8/ii) i (vii? i) vi dD
384 [CW 21) TONTCIZATION AND MODULATION T SECONDARY DOMINANT CHORDS

chromatic inflection altered scale degrees
tonicization cross relations
,
modulation chromaticized voice exchange
secondary dominant chains of secondary dominants
applied dominant

1. Write the specified secondary dominant to precede each diatonic triad,
taking care to spell and resolve the secondary dominants correctly.
Example 21.18
A_4
arr
| | |
Li,
Wd
(5
rd
l
bt, po
oe ui r I T
Be
T
| J
<
4 J
ro
Z be
Phy
>
b
= —
G:
VO/v V fp viii NV A: Vii ii d: VA yo
Be 4
lL
Zh
|
ape
his
0d
on
roan
iy
aa
A! V1 AN E: VA iii b:
b: vii OVI VI
VT Bb
Bb: V/IV
WAV IV
2. The following two passages in Example 21.19 contain a number of sec-

ondarv V''s and vii?'’s. Analvze each example with Roman numerals.
making sure that vou place the applied dominants in parentheses.
1D sos
1
3f
TTR al a> Ji} HR OL

N 7
=
te
s HALL
>
>
=a
22S _ se
:|
@! cao ee ae oon + —> 18
; 1
=
a “TOD 4 BAC.) LN
= OE
— T
ZF
= Ul
a
esl) dill.
ki
=
smn 4 _ al °
a
SES
= ~wAl
nt
x ae
i —_
Form appropriate secondary dominants,
om
g 7
iim 7 7
a 25 HR es
aS = x
= 5
||
L = |
= =
man
\ ee NO = mS
9 ae
|| eee
yess S
|
rT] aa
U 2
ae
_ —_
wa RL
=
Sl
Z =
a = x _
$1!
“sty
|
Aid
allt
app
=
=
o
Ps ll |
alt!
a \\ _
a
P Op
RYO] et
—_
SF —»
H — mi
nl
4 aus a {| il met tee
Te | SA
Example 21.20
Example 21.19
ley et
6
|
E>:
ié¢
wi
=
>]
b
i}
4
a hl
sh.
(1
thet
Ul
dl 1
ye
®
YY
A
B
22
Tonicization and
Modulation II:
MODULATION TO M AND III
N THE LAST CHAPTER, we examined surface tonicizations that did not

last for more than a few notes or a single phrase. In this chapter we will begin
to examine large-scale tonicizations, called modulations, lasting longer than
a single phrase, and see how composers utilize modulation in order to pro-
vide tonal variety and contrast and to organize their musical ideas into clear
tonal structures. For now we will restrict our study to modulations to two
specific harmonic areas—the dominant (V) in the major mode and the rela- 44
tive major (III) in the minor mode. We will begin by discussing the differ-
ence between momentary tonicization and true modulation; next we will
survey the main ways of effecting a key change; finally, we will consider the
role that modulations to the dominant and relative major play in the tonal
schemes of short pieces. The chapter concludes with strategies for incorpo-
rating modulation in melody harmonizations.
THE STRENGTH AND DURATION OF TONICIZATIONS

The difference between a surface tonicization and a real change of kev
may not always be obvious as we look at a score, but our ears can usually
tell us when a real change of key has taken place. Play the Fauré excerpt in
386
THE STRENGTH AND DURATION OF TONICIZATIONS 387
Example 22.1. Although the iv and V chords are preceded by their respec-
tive secondary dominant sevenths, these momentary tonicizations do not
alter our sense that C minor remains the tonic key of the whole passage.
These surface or embellishing tonicizations are not strong enough, nor do
they last long enough, to persuade us that we have moved to a new key
center; we do not hear this phrase as changing key from C minor to F
minor or G major.
Example 22.1
@) Faure: PIANO QUARTET IN C Minor, Op. 15, I
4
A_1
SS |
5
__]
e Na °
I
o- eo = =|
/
\y
I
TTY
| |
fh
v | a2 IN
\ a
1
ia “ \ K
it
a
1
| aL
T 1 L ia +
==
Tt
+}
eo
$ $ “wt
| |
=
0 [
I
} iat im }
—————————
= Ae"
a 3 >
c iv V8/iy iv) WV) V
Now play the chorale harmonization in Example 22.2. The first phrase
begins in F major but cadences in C major; the original dominant is trans-
formed by the harmonic context into a new tonic. Not only is the toniciz-
ing process more extensive than the momentary progressions in the Fauré
example, but it also involves a variety of harmonies and progressions in
the new key, including a deceptive cadence from vii’? to vi. Hf the next
phrase were to continue in the key of C, we would be convinced that a
clear change of key or modulation had taken place. However, since the
following phrase returns immediately to the original key of F major, we
perceive the elaborate tonicization of V as a transient modulation
within the basic F tonality. Transient modulations are somewhere be-
tween surface tonicizations and full-fledged modulations; we hear them
as stronger shifts of key than surface tonicizations, but not as true modu-
lations. We use a special svstem of symbols to denote transient modula-
tions. A bracket is placed under the Roman numerals denoting the
harmonies in the new key, and the tonicized chord is place under the
bracket, as shown in Example 22.2.
388 [CH. 22] TONICIZATION AND MODULATION II: MODULATION TO WM)
AND LL
Example 22.2
CO Das ware Gore Varbiet Nb Gore Soin” SBAC EE CHOBE ALE HARMONIZATION?
u i
cut
)
F:
Wu
6
I\ ~ 5
MODULATION
Examples of true modulation, in which the new key lasts for a phrase or
longer, are found in the two folk songs of Example 22.3. In both, there is
tonal motion away from the original tonic key followed by a return to the
original tonic. The first song, as you see, is made up of three eight-measure
periods whose melodic content is almost identical (Example 22.3a). The
first period, measures 1-8, is set in the tonic key of G major; the middle pe-
riod, measures 9-16, is set in the contrasting key of D major, V of the origi-
nal tonic; and the final period, measures 17—24, is set in the original tonic
key of G major. The change of key, departing from and then returning to
the original tonic, provides the sense of contrast that is necessary to coun-
teract the sameness of the melody. The second song is also made up of
three phrases and illustrates the same pattern of departure from and return
to the original tonic, but here the three sections vary melodically as well.
The first phrase is in the home key of F minor; the second phrase, a new
inelodic idea, is set in Ab major, the relative major of the original tonic; the
final phrase is a melodic variant of the first phrase and returns to F minor,
the original tonic key. The shift to a new key center is an important means
of providing musical varietv in both songs, whether or not the melodic ma-
terial is varied.
Example 22.3
A. “ORANGES AND LEMONS” (ENGLISH FOLK SONG)
MODULATION 389
| | | | |
Vv Ae ' 2 ] ] | T T I l i I I |
JT
|
] ] j ! TL ]
fi
if
| ] } T it
as | I
fl
! T J ]
J
a
T
if TL
}
t
@ OG
D:
THE ROSE © TRALEE” (IRISH FO SONC
4) (B)
Example 22.4 is another illustration of a true modulation. The composer not

oly remains in the new kev for some time at least a phrase—but also emplovs
a mtumber of harmonic progressions that convincingly establish the new tonic in
ourear The standard way to depict our analsis of trae modulations is to en-
close the Roman numeral denoting the new key in a box, as in Example 22.4,
Example 29.4
(@) CLEMENTI: PIANO SONATINA IN C Major, Op. 36, No. L,I
~ ‘
S
i
ao
+
wn
+
|
al
~ i
°
a i I
———
| tees | ———__
L a a
hal I
] | I
e) T ry ry T
bal
3
}
i te |
t n
=
ry
a -_ [
: ry
o a Pda
aa I
za
rn
Y ry
~€
€ € € I I
!
is
h
10
3
|
7
=
|
ye a =
7s
Y
@ ™
= Y
> Fan Fmt > 2 Py
——
eal
I I i
mal
I | I |
+
| |
CHP
Fuad Daal H 4 | |
*
it
t
!
t
— I
390 [CH. 22] TONICIZATION AND MODULATION II: MODULATION TO AND I]
METHODS OF MODULATION
There are three standard wavs to modulate from one key center to another—
sectional modulation, pivot chord or common chord modulation, and chro-
matic modulation.
Sectional modulation involves an abrupt shift to a new key at the be-
ginning of a new section, period, or phrase; one section ends in one key and
the new section begins in another key. Some theorists use the term direct
modulation as a synonym for sectional modulation, but in this text we will
use the term direct modulation only for abrupt key shifts that occur within a
section or phrase. To designate a sectional modulation, we place the symbol
for the new key, such as [VY], at the beginning of the new section or phrase.
Sectional modulations frequently occur at the beginning of the second sec-
tion of a three-part or ternary form (ABA), in which the B section is set ina
different key Short sectional pieces such as minuets and. trios, waltzes,
marches, mazurkas, rags, and polkas frequently employ sectional modulation
to the dominant or subdominant. Example 22.5 shows one such modulation
in the Minuet of Mozart's “Haffner” Symphony. The minuet section con-
cludes in D major and the trio begins immediately in A major, the dominant
([V]) of the home key.
Example 22.5
MOZART: SYMPHONY No. 35 (“HAFFNER”), K.385, III
Trio
a
gf _{is
4 :
Lo at =
|
pc
4
° a
:
[
e “@ e Cael 7
-
XY — mI ao
e
1 |
—| |
|
Car.
4
wv Y rome"
Y al
VA
oe
@
a
6
sy
ap
A
|
it:
_
“@- O oP.
A
|
.
if
a
4
DY
my it
I
I
|
=
v
Sometimes sectional modulation occurs between phrases. We saw this

process in Example 22.3. In Example 22.3a the opening eight-bar phrase
comes to a cadence in G major, the second phrase begins immediately in D
major, and the third phrase begins just as abruptly back in G major. Exam-
ple 22.3b illustrates the same process in the minor mode, with the second
phrase in the relative major (LI).
Modulation by pivot chord or common chord takes place within a
phrase or passage. The diatonic function of a chord within the original key
METHODS OF MODULATION 391
simultaneously operates as a different diatonic function in the new key,

thereby providing a pivot between the two keys. Since the pivot chord nor-
mally comes right before an altered chord functioning as a secondary domi-
nant to the new key, it usually has the function of a pre-dominant in the new
key—IV, ii, or perhaps vi. In a modulation to V in the major mode, for in-
stance, the original I can also fimction as IV of the new key, vi of the original
key can function as ii of the new key, and iii of the original key can function
as vi of the new key. In analyzing modulations by pivot chord, continue to
analyze chords in the original kev as long as possible, and remember that the
chord preceding the first altered harmony or secondary dominant is usually
the pivot chord.
Typical examples of modulations to [VJ by pivot chord appear in Exam-
ple 22.6. Notice how the double function of the pivot chord or common
chord is designated; the function in the new key of the common chord is
written directly below the symbol for its function in the original key, and
the boxed Roman numeral depicting the new kev is placed to the immedi-
ate left.
Example 22.6
@) A. SCHUBERT: STRING QUARTET IN G MINOR, D. 173, II
7
—_>
bow
opfat
* It
+ 3
# ia
a
eo
——#
B.
—=
[«]
D
D
—_
—
“
=
=
392 [CH. 22] TONICIZATION AND MODULATION I]: MODULATION TO MI AND II
(® CC. BEETHOVEN: SONATINA ATINA IN F Major (1792), TI
7-1-3no aN
—_
:cana
—_— .
oe
= =
———
| {
be
|
(V3) ] aes
IN v4 6
vi 6
Il
6
Chromatic modulation is a change of kev through chromatic alteration

of a diatonic scale degree within a phrase, For instance, a shift to the domi-
nant kev mav be effected through chromatic motion from 4 through 44 to 5:
44 of the old kev functions as the leading tone (a7 ) of the new kev. This chro-
matic line often occurs in the bass or soprano (Example 22.7a). When the
harmony returns to the original key, the chromatically altered note must
return to its diatonic form—#4 returns to b4 (Example 22.7b). Since there is
no pivot chord in these chromatic shifts to the new kev or back to the origi-
nal kev, there is no need to depict a double function of any chord; instead.
we insert the boxed Roman numeral of the new kev and continue to denote
the functions of the chords in that new key. In the Bach chorale harmoniza-
tion, (Example 22.7¢). note that the chromatic line (4- -5) occurs in the
(4-4-5
tenor voice.
MODULATION TO THE DOMINANT KEY IN THE MAJOR MODE 393
Example 22.7
A.
le
e
e
+
MALS
fe
:
— =
|
r
Boo VG | wi) I
B.
rn
: °
|
6
wy) IT]: (V3) (\ Il
Hore Jes HRIST. WAHR R MENS¢ UNI GOI (BA TORALE HARMONIZATION
wa |
—
— = |
#
1° I IV
[\]; v dv) veo

1
MODULATION TO THE DOMINANT KEY IN THE MAJOR MODE
To large extent, tonal harmony revolves around the interaction of the tonic
a
and dominant. It is therefore not surprising that the dominant is the most
commonly tonicized harmony in the major mode. Example 22.8 shows a
voice-leading model of a typical expansion of the basic progression [-V-I. In
the first half. we move from a pivot chord that functions as a pre-dominant
394 (CH. 22] TON ICIZATION AND MODULATION II: MODULATION TO NM)
AND i
i‘, to a dominant, and finally to I in the new key (V); in the second section
we return through a similar set of chords to the original harmony. The ten-
sion created by movement to the active dominant harmony is resolved by
the answering return to the tonic. Notice that the second half of this model
is a transposition of the first half down a perfect 5th; the progression I-V is
symmetrically mirrored by IV-I as the soprano descends an octave. This har-
monic progression can be found in the opening section of the second move-
ment of Beethoven’s “Moonlight” Sonata.
Example 22.8
“UP?
—
>| I
il Ve I ii! a |
(tonicvized V) (tonicized 1)
INTRAMOVEMENT TONAL SCHEMES INVOLVING MODULATION

TO THE DOMINANT
Many short pieces composed in the common-practice period are based on

an overall tonal scheme of I-V-1. The Havdn minuet (Example 22.9a) is a
typical expansion of this underlying scheme. The first section modulates to
the dominant key. Note that this is a true modulation, not a simple half ca-
dence; not only is there an extended progression in the new key, but after
the repeat of the first section, the second section starts in that new key. The
voice-leading reduction appears in 22.9b. After the expanded ca-
2
Example
dential progression in the first phrase (I-iif -vii?’-I), the D major chord is
used as a pivot chord, I in the kev and IV in the new key; the change
original
is confirmed by the cadential iif-V-I in the new kev. The dominant is ev-
tended into the next repeated section until the appearance of G§in the bass
at measure 1] suggestsV’ of the original key, so that the phrase ends in mea-
sure 12 with what appears to be a half cadence in D major. The prolonged
\" prepares the return to the original tonic, reinforced by a reappearance of
the opening thematic idea.
INTRAMOVEMENT TONAL SCHEMES INVOLVING MODULATION TO THE DOMINANT 395
Example 22.9
S
on
=
NY
a
=
N
<
Zz
Ul
o
AYDN: STRING
<
oc
Z
ia
el
=
nll
z
e)
al
5
Trio
r
|
t r l
bal
o
or oe ce
2
1 re es T
+H
Uh | |
i
ba )
— }
vw
D: L
9 PN
el
| |
=
| |
I i I
4 — rye
F
'
t 15-,
# fever t
|
ry
Olio )
ee
(
ie
Aa. « °
Th
tt
T
Le e
4
il J
7
\
13
TANS
ay
|
ry
an it
a
|
yet : =
.
==
if
f-z o—— AY
oe
0
4!
&
.
a]
oa fe
|__
| {—
I
I Lt PT
I ima
°
)
woe” e
13
5
ol
i
?5) 9
=
Tee
} | |
it Lome] +
l
e
Ht {-—*
|
Na et
| | eee”
o ote. — oe.
@]
elit
e L in
e e 6 i t
[
if
if
T
= |
D L \" |
>
396 [CH. 22 | TONICIZATION AND MODULATION Il: MODULATION TO NJ AND II
The further reduction of the piece in Example 22.10 reveals an inter-

rupted tonal structure, whose plan can be outlined as (I-VIEV(7) // (1J-V-
I. The double slash in the second section marks the point of interruption in
the soprano line where the 3-2 fails to resolve to the tonic 1. Following the
interruption, the soprano retum nh to 3 and this time descends through 2 to 1.
Note that we have placed 2 an octave lower that the original, in order to
show that the long-range voice leading descends by step.
Example 22.10 An
:3 2, M3
: 2 1
—————— ——————&
! ——
baal
ee o e
|
MODULATION TO THE RELATIVE MAJOR IN THE MINOR MODE
Modulation to the mediant or relative major (II)

is the most common key
change in the minor mode. Like modulations to VJ in the major mode, mod-
ulations to the mediant are found at various formal levels in the music of the
common-practice period—as embellishing tonicizations, as transient modu-
lations within a phrase, and as true modulations, extended changes of kev
confirmed both by their length and by cadences.
Sectional modulations and modulations through pivot chords to the rela-
tive major are common, but there are no chromatic modulations to the rela-
tive major, since the leading tone of the relative major is a diatonic scale
degree (2), not an altered diatonic note. The most common chords used as
pivot chords between [i] and II are iv, which becomes ii of the new kev:
VI, which becomes IV of the new key; and i, which becomes the new vi. In
addition, the subtonic (VII) of the original minor key mav be used as the
dominant of [II]
(V‘/I11). Three examples of typical modulations to the me-
diant through pivot chords appear in Example 22.11; study the excerpts and
their reductions, noting the pivot chord in each case. In Example 22.11b, ei-
ther of the first two triads could fiction as a pivot chord.
The Havdn passage presents a choice of pivot chords, either i = vi or
=
vi? i’
ii? (Example 22.1la and b). The second measure of the Corelli Alle-
mandais merely a transposition of the first A minor bar a third higher to C
major (Examples 22,11¢ and d). A deceptive progression V-vi introduces the
relative major kev in Bach’s Bourrée (Examples 22.1 le and f).
MODULATION TO THE RELATIVE MAJOR IN THE MINOR MODE 397
Example 22.11
@) A. Haypbn: PIANO SONATA IN E Minor, Hos. XVI, 34, HI
Oyo ie
5
_¢##@ $_
———F
»
=
»
—_——
=
Il i
@) C. CoreLil: ALLEMANDA FROM TRIO SONATA Op. 4, No. 5
Un
=
—
—
|
<a
e
6
ll 6
HII: Vl ( I° 6
398 [CH. 22] TONICIZATION AND MODULATION II: MODULATION TO AND II
E. Bacn: BOURREE FROM ENGLISH SUITE ING MINOR
4
=
Ob
ae :
a Ft oe
_ ~~]
the oe
=n I I
——
i
o
O !
|
| I |
if
——
l i
| mal
e —— T
a =e
IN
F.
a
®
r
>
Lg
:
Pa
r
,
i
i
t
oe
=
|
3
I
| om |
oe
=
|
|
oe
———po =
if (V)
6 en VI
g
UI 1\ ii Voovi) if Vv I
INTRAMOVEMENT TONAL SCHEMES INVOLVING

MODULATION TO THE RELATIVE MAJOR
Many short pieces in the minor mode composed during the common-
practice period revolve around a shift to the relative minor or mediant
key. The shift into and back out of [III], however, does not work in exactly
the same way as the shift into and out of [VJ in the major mode. A direct
return from [II] back to the tonic is usually awkward and musically un-
convincing. Hence it is customary to reroute the motion through a domi-
nant V, resultingin the overall progression GiJ-[IIJ|-V-Gi]. This long- range
scheme frequently occurs in movements in the minor mode in binary.
ternary, rondo, and sonata forms. Examine the model kev plan in Exam-
ple 22.12, which is typical of many such movements in the Classical pe-
riod. After the first section moves to III, the second section moves to V
through a temporary tonicization of iv, and the last section moves back
into the original key. Note that this model incorporates an interrupted
tonal structure: the double slash at the begining of the third section
shows that the descent of the soprano line to lis interrupted before it re-
turns to 3
and
descends through 2 to 1.
INTRAMOVEMENT TONAL SCHEMES INVOLVING MODULATION TO THE RELATIVE MAJOR 399
Example 22.12
IN| ————> (iv)
Example 22.13 shows another piece cast in two repeated sections, like
the Haydn minuet (Example 22.9a). The reduction appears directly beneath
the score. The first half begins in A minor; the first phrase concludes with a
half cadence on V. Then the harmony shifts to C major (HID) through a pivot
chord—i® in A minor also functions as vi of C major—and the change is con-
firmed by ii®-V-I cadence in C major. The second section begins with a
a
tonicization of D minor, iv of A minor, before arriving on V in measure 12.

The return of the opening theme back in A minor concludes with a trans-
posed version of the C major cadence in the original key; compare measures
7-8 to measures 15—16.
Example 22.13
@ D.G. TORK: “ABENDLIED”
ra a— —
” __————— — LZ te:
1
5
+
£
7
@
e
vA
bal
aa
I Z
Y r
a
7
————
‘
__
Oa
fe fy 1
“k
9
Z
a 7
t
sn
|
—~
_
1
a Cy —
aa
I
nal
t
L
> Ss
rn
fa fi ra
7
L
f
Qe
j
: : E : :
:
ite
=
. 1
eo t
t+.
e) Ty
tS. o
O H
bal _w—
it | ual
!
G
i
a i 6 Vv 4
400 [Ci 22) TONICTIZATION \ND MODULATION TE WODULATION TO SAND OF
)
e
a he eo al 0 T t
be T
=
he al
a erV
I t
Se
T
?
> oN
Z Oo
7
t
—— ! |
ae C7)
7
a 1
7
7
a
oe
~
_
:
he
<—
, _|
¢ = {
HE =
@
e)
a.
|
oe f —=
AJ AJ
i e
| |
6 6 l
6 8
—__|
Ill iN
13
._~»:
"2
oe
|
1
wa
aa
o
——~
f=: im
t
a
—
a
t t
t
Fs
= 7
to
—— SS
o> |
eee $ o
i 6 6 8
|
6
|
\ i ii? \ i
A further reduction (Example 22.14) eals another interrupted tonal rev

structure. The soprano’ S stepwise descent from 5 to Lis interrupted after ar-
riving at 2;
the concluding section in A minor repeats the descent from 5.
this time arriving at the final tonic 1.
Example 22.14
1 9 13
5 5 4 3 3 5 4 3 5
———
1
——
——
,
y
#8 o—
_|I al =
—_ _
| |
|
i T |
ee
ul iu
i i
|
| i
ee ee
Gl
II
Although many shorter melodies do not require or even permit a modula-

tion, in harmonizing extended melodies it is vital to move to other key
centers. Even in brief melodies, sometimes make clear that
the iinplic«d diary Hon re s ecient
Quire modulation the conchasion of the first
melody in Example 22. 15, for instance, hep
presence of an accidental, F$
or 4g. signals a possible tonicization; the F¥ functions as the leading tone
of the new kev, the dominant ((V]}). In Example 22.15b, the outline of the
last three notes of the soprano suggests a tonal shift. In the original key,
the soprano notes would be 7-6-5, hardly a satisfactory way to come to a
cadence: the same notes would work much better as 3-9-1 in the new kev
of the dominant. In the minor mode, some melodic cadences mav be har-
monized either in the original kev or in III: compare the two settings in
Example 22.15¢ and d. The first task in har monizing phrases that modu-
lateis to frame them with an opening chordin the original kev and theca-
dential chords in the new key. Only then should vou proceed to fill in the
interior of the phrase. Chapter 97 will take up the topic of modulation
again: at that point. we will discuss the use of modulation in long-range
tonal planning.
402 (CH. 22] TONICIZATLON AND MODULATION Il: MODULATION TO WAND
Summary of Modulatory Techniques

lL. To indicate transient modulations, place the Roman numerals of the
new key over a bracket and the tonicized Roman numeral under the
bracket:
1° li \ 76 i
fF
V
lo To indicate more extended modulations, place a boxed Roman nu-
meral ([III]) at the beginning of the new kev.
3. Three different types of modulatory procedure:
A. A sectional modulation or an immediate shift to the new kev occurs
between phrases, periods, or sections.
B. A pivot chord modulation within the phrase emplovs a chord com-
mon to both kevs. The chord in the new key frequently functions as
pre-dominant harmony: vi in Lj
= ii in [V].
A
C. chromatic modulation involves a direct change of kev. Jn shifting
to [V], the chromatic inflection employs scale degrees 444-5,
4 In scanning melodic lines for possible modulations to [V] or I in
melody harmonizations, look for. cadence points where the scale steps
=
may be reinterpreted, such as 5 43 in Gi] 3 2 1 in (1H),
Example 22.15
A, B.
-)
A # | | —
qs
xX
=
|
eI
[]
oa
a
v
reallly —
i
|
Tv
ea
v
vy
embellishing tonicization modulation by pivot chord or

modulation common chord
transient modulation chromatic modulation
sectional modulation modulation to V in major mode
direct modulation modulation to II in minor mode
interrupted tonal structure
1. A. Ina
pivot-chord modulation to the dominant key, indicate how the
given chord in the original major kev will function in the new kev.
Then spell each triad.
Vin E major
= in major ( )
vi in Ab major = in major ( )
Tin D major = in major ( )
B. Do the same for pivot-chord modulations to the relative major key

from a minor kev.
iv in F minor = in major ( )
iin B minor = in major ( )
VI in G minor = in major ( )
2. Add a Roman numeral analysis to the harmonic models in Example

22.16. As vou see, all three contain modulations either to [VY] or to LI,
emploving pivot chords or chromatic motion.
404 [CH. 22] TONICIZATION AND MODULATION II: MODULATION TO NJ AND II
Example 22.16
eeu ~
i I I
!
_—_| all T
!
|
)D:
B.
|
Ee L
+
=
od o L i |
|
| ——— |
CQ:
C.
Q PALL
BI
3. Harmonize the short melodic phrases in Example 22.17. In all three,

modulate either to or to [III Write a suitable bass line and add a
Roman numeral analysis of the implied harmonies. You need not fill in
the inner voices.
Example 22.17
A. B.
A_# 4. | | |
ray | | |
a A7
=
I t I I I I
y | t
a. t
t I
hal oS
a
I
1 1h
—
je Fe Tage
ihr anWI y A
i vw
E: d:
C.
A
iv
| |
id
Al
C H A P T E R 23
Harmonic Sequences II:

SEQUENCES OF SEVENTH CHORDS
AND OTHER SEQUENCES
L. CHAPTER 20 we discussed the use of triads in diatonic harmonic se-

quences. In this chapter we will examine some further aspects of sequential
technique. Following a discussion of how seventh chords are used in de-
scending cycles of 5ths, we will explore other types of sequences that involve
more complex interval patterns. In addition to demonstrating how secondary
dominants mav be used in descending cycles of 5ths to produce chromatic
lines, we will illustrate how to change key through sequential motion, how to
embellish sequences with motivic elaborations, and how to use seventh
chords in more sophisticated sequential patterns.
DIATONIC ROOT-POSITION SEVENTH CHORDS

IN SEQUENCES DESCENDING By 5th
Diatonic seventh chords normally occur in harmonic sequences that de-

scend by 5ths. They rarely occur in sequences that feature root movement
by either 2nd or 3rd, since it is difficult to prepare and resolve their chordal
iths correctly. In fact. these sequences descending by 5th seem to use
seventh chords as often as triads. Although we have heard these chains of
406
DIATONIC ROOT-POSITION SEVENTH CHORDS IN SEQUENCES DESCENDING BY 5TH 407
7ths in innumerable pieces, we never seem to tire of this familiar progres-

sion. Its common harmonic basis links such historically diverse works as tutti
passages in Baroque concerto grossi to such popular songs as “The Wind-
mills of Your Mind” and the Beatles’ “You Never Give Me Your Money.”
This sequence of root-position chords originates from a chain of descend-
ig 7-60 suspensions. Tn the sequential %
triads of Pxunple IB Tal the
7-6 suspensions in the alto serve to avoid the parallel 5ths by staggering the
stepwise descent. If we now support the resolution of each suspension with a
note a LOth lower in the bass (Example 23.1b), we create a change of bass
when the dissonance resolves. This model now resembles a sequence of in-
complete root-position seventh chords in three-voice texture. As each chordal
7th in the soprano or alto resolves, the held note in the other upper voice be-
comes lu tur a new 7th, producing a palleru of ov crlapping dissonance and
resolution The preparations and suspensions are not Ged in these models. Tn
the four-part setting shown in Example 23.1c, we must omit the chordal 5th
of every other seventh chord to avoid parallc! ~ this in the lower voices
Example 23.1
A.
t f
————— —
ParPr 10
"oe
10
o
10
F10
i
_ :
)
ill
aa
—# ° ==
7 (7) 7 (7) 7 (7
ae
Jerome Kern’s classic “All the Things You Are” (Example 23.2a) is based
almost entirely on cevcles of root-position seventh chords descending by 3th.
The soprano features a frequent alternation of chordal 3rds: complete the
408 [CH 2 HARMONICS EVEN © dS
remainder of the reduction in Example 23.2b. The Brahms passage (Exam-

ple 23.2c) cycles upward, preceding each movement up a 4th (or down a
5th) with the previous triad’s first inversion. At first glance, this passage may
not appear to be sequential, since the bass is moving in a different direction
from the falling stepwise motion in the upper voices. However, if vou com-
pare the first chord of each measure, you see that the bass is also descending
by step (C-B-A, etc.). Complete the remaiuder of the reduction ii Exciniple
23.2d.
Example 23.2
A. JEROME KERN: “ALL THE THINGS YOu ARE” (SIMPLIFIED)
A _
5
yc
| | |, |
i”
3
1 1 I i l | | I
Hie
I
{————}
T
53 wi
oo
eo *+—FZ o—s-
a ae oe
—}
oe
Naa
e) oOo.
yo oy
o FO o
2 ao
oe =
x*
ray
LO}
'
~* L@) ray
B.
VF TY, b
1. ™
o
ry)
USA
2:
CEE ARTY
bh Te =
V4
vy iy
7 7
C. BRAHMS: EIN DEUTSCHES REOUIEM, VI

— Pm
282 ~~, —~ |
=
Tq
P| |
o 2 # =
oye ul
|
i as
1
i |
[oi
ral |
i
=
mae
A
|
{
!
{2
i
i
—
I
u
t
oO
SEQUENCES USING INVERTED DIATONIC SEVENTH CHORDS 409
D. (REDUCTION)
fh e
ele
ko
SEQUENCES USING INVERTED DIATONIC SEVENTH CHORDS
Composers frequently employ chordal inversions in seventh-chord_ se-

quences. There are two standard successions of alternating inversions: either
5 alternating with (Example 23.3a and b), or ° alternating with 3 (Examples
23.3¢ and d).
In both cases the outer voices feature common-tone preparations and
stepwise resolutions of the chordal sevenths. Complete the reductions
bewin for vou in Evauples 98 3h and do the dastenmaned chordal sevenths
resolve downward, as denoted by the arrows. Whereas in the Grieg excerpt
the sevenths appear only in the soprano and alto parts, they occur in both
outer voices of the Bach fugue; note the use of ties.
Example 23.3
@) A. GrikG: MUSETTE FROM HOLBERG SUITE, Op. 40
|
13°
27.
i
rw
Go de
-1
-1
wen
410 s[cu. 23] HARMONIC SEQUENCES IT: SEQUENCES OF SEVENTH CHORDS
4 (
CC Bue? Featr in G Mayon Lire Paeropes iso bon Onc
|
= + =
WN
“a
|
“{)
|
+
_
7
a = —
H
th
—L It
|
|
4 6 6 4 4 .
2 i) 5 2 2 2
D.
—o-
ry)
. eo
= —
4 6
2 5
Example 23.4 shows two examples of triads alternating with seventh

chords. In such cases, the dissonant seventh chord usually occurs on the
accented beat, corresponding to the normal placement of a suspension.
The most common of these progressions appear as models in Examples
23.4a and b: 3 alternating with °, and § alternating with 3. The Buxtehude
and Corelli excerpts illustrate how thev might appear in actual passages of
music (Examples 23.4b and c). The syncopated bass line forms a series of
2-3 suspensions with the soprano hymn tune in Buxtehude’s chorale pre-
lude, while the inner voice supplies the rhythmic motion, This procedure
is reversed in the Corelli excerpt. where the suspension chain occurs be-
tween the soprano and alto parts, with the walking bass now providing the
motion.
SEQUENCES USING INVERTED DIATONIC SEVENTH CHORDS Al}
Example 23.4
A.
fh pam I
|g
ia
\Z rn
e oe + ia = id
@ _@ @
ey: + — —
—— _
—_
=
6 6 6 6 v4 1°
4 4 4
B.
| |
—” See y
7
~ fe
rr ra
ea —* i T
i
in
6 G6 \ 6 :
i
3 2
() C. BUXTEHUDE: “JESU CHRISTUS. UNSER HEILAND™

q te 1 Tt qd
7r
qv
A
Ay =
—t t ;
—
=
ama
+
OI Z4 ai aie
1
NST mcd <A ron t
e oO
“Jab
7
——t p
©
am
aia =I
IZ
+> +
dete
ae =
4
6 3
6 3
6 4
6
ORELLI: CONCERTO GROSS) NO IN D Major, Il
53
Ng
|e
a
|
|
9}
I\ 6 6
412 [CH. 23] HARMONIC SEQUENCES II: SEQUENCES OF SEVENTH CHORDS
THE USE OF SECONDARY DOMINANTS IN HARMONIC SEQUENCES
The use of applied or secondary dominant chords in harmonic sequences in-

tensifies the sense of resolution in chains of 5th-related chords. While the
insertion or substitution of secondary dominants does not disturb the under-
lying voice leading of the sequence, it does provide additional harmonic
color and opportunities for chromatic motion. Such patterns as the C major
model in Example 23.5a occur mostly in the major mode.
In Mendelssohn’s Tarantella (Example 23.5b), the odd-numbered
chords of a 6-5 sequence of descending 5ths are altered to form secondary
V§ chords, which in turn resolve to triadic secondary dominants (V/vi and
viv ). This sequence of applied harmonies pr oduces a completely chro-
matic line that descends from 6 to 3 in the soprano; consult the
reduction
in i
Example 23.5c. Sequences consisting entirely of secondary V’’s produce
consecutive chromatic tritones in the upper voices. Although Classical com-
posers, such as Mozart, frequently employed such sequential motion in
their development sections, we tend to associate the sliding half steps in
this progression with barbershop harmony and turn-of-the-century senti-
mental ballads, as illustrated in Example 23.5d.
Example 23.5
44 —
—— | __|
“=
=
vl (WAL
MENDELSSONN: TARANTELLA FROM LIEDER OHNE \V ORTE Op. 102. No
46
lal 4’
\
K e4 a4 n
oF 84. a4 a4
L a4
i
L
vi 1}
IN vi vi lL K vi
4.
A 7
C77 a4 oy
ge
u U
L L wa
4}
e ne
*):AE 7> SO vm
I C77
I > st 4 ar
L
7
L
eo
4 vr 2 4 7)
(> Bu
Wa UU vi
nm vi
wa
r V V
Cr (V9/iii) VAi (Vii) Ay V8 I
THE USE OF SECONDARY DOMINANTS IN TTARMONIC SEQUENCES 413
C.
[al
1
he NY
yh
Pid
q—
FF ZZ 1
—_|
oe
——_]
Cc:
6 6 6 I
# 4
8 5 5
KERRY MILLS Mtet Mr IN Str. Louis
17
po 15 4 = z=
Ln 4
gis HY iT rwK
| | | |
« ~x
ey ry
~
~__§@
C: WAG Vii VN)
la l
T
|
l
|
ai
hana
| | it
|
[
le pol ele
fa?
T
vw
Lad |
Se
aD =
-@-
a
wr . a . .
|
The stepwise descending LOths in the outer voices of the Schubert ex-
cerpt (Examples 23.6a and b) are supported by a descending 3rd sequence
(I-vi-IV-ii). Whereas we noted in Chapter 20 that passing first-inversion tri-
ads were usually inserted between such third-related chords to avoid paral-
lels, we now see that secondary dominant sevenths in second inversion (V3)
have been substituted. Although the underlying melodic motion ascends in
the following Beethoven excerpt (Examples 23.6¢ and d), the principle is
similar. Again the inserted secondary V"'s break up the successive octaves
found in the outer voices. Since the triad resolutions (I-ii-iii) fall on weak
beats, the composer emphasizes them with sf markings.
414 [CH. 23] HARMONIC SEQUENCES II: SEQUENCES OF SEVENTH CHORDS
Example 23.6
A. SCHUBERT: PLANO QUINTET IN A Mayor (“Trout”), HI
93
SSS. = SS
he
4 +t
| |
:
2
an
7
e-
XY
ry) !
[ |
i |
|
4
13 @ .
———— ——————
®) r
T
4 3
(V§ni)
vi
(Vay)
IV
(Vii) ii
(ii?) Vv I
B.
[
fl
— [ |
:
Si
AE\ ~ te~~ Z
7
—
T
bal [SS l [
i}
-
|
4 4 ;
V I
C. BEETHOVEN: PIANO SONATA IN G Major, Op. 14, No. 2, I D. (REDUCTION)

fn
16 sf sf Sf Nn
7] +——
_
1
ey i
if... UI L tL L ay \_
ewe
U
Nav
+ oe j te
rl
& feo
ri
+
Hf -
hos
e) #
ow
of sf sf sf C: I iii
CG Vv I (Wi) ii (Wii) ii VE I
Finally, in his progression by ascending 3rds from i to HI to V in CR

minor, Chopin again precedes each basic harmony with its secondary
dominant (Examples 23.7a and b). The secondary V's (with added ninths)
once more stagger the underlying parallel fifths of the ascending progres-
sion; here the final dominant tonicization is supported bv a cadential
formula.
OTHER DIATONIC SEQUENCES 415
Example 23.7
@) A. CHOPIN: WALTZ IN C-SHARP MINOR, Op. 64, No. 2
od
hud
INGE
ave
St
~Peale
cay
»
°°
Atle
|
T rs
a
I
i all T l T °
oe I
cH: (VS) i (VALID) Il
A 4 @ Bue to tt
@)
—
l
i
I
L | | 1 i | ] | i | I
It
H
if
I
—
I aa
]
T
| it
1
x
fart |
raci
al ;
R
tt
=
2
4
Tt
et
rn
i nal a
€
4 ~
ry
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at
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ry
€
314
$ ve
6 rn
ut 3,
VA
B. (REDUCTION)
Av aePy
a | 1 |
Pee | | he
=
a 3
$ dell
| I
i i
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I ic 2 J
eo
$ $ aw ea
1
ry
to ow
_ :
——* z —
mn"
Sees
ON ee |
I
ce: i I Vi
OTHER DIATONIC SEQUENCES

We occasionally encounter harmonic sequences in which several different
root movements occur within the same sequence. In the Rameau passage
(Example 23.8a) the succession of root-position triads alternates with rising
4ths and descending 3rds. The first beat of every other measure forms a
stepwise ascent with similar 10ths in the outer voices, which are beamed in
the reduction (Example 23.8b).
416 [CH. 23) HARMONIC SEQUENCES II: SEQUENCES OF SEVENTH CHORDS
Example 23.8
A. Ramat: GAVOTTE AND VARIATIONS
ir ON tr
ae \
=
|
m
ry
, +
==
I
Ne
o- _ =7 Sd wo eo (ar
: —9- a= a ad
EE ———
2
The lovely Fauré theme in Example 23.9a features a repeating pattern of

root movement, down a 3rd and up a 2nd. The root-position chords alter-
nate also, between triads and 7ths whose chordal sevenths are prepared and
resolved in the traditional way. Notice again that the sequence creates long-
range stepwise movon, marked hy the beam in the reduction ‘Facuipte
23.9b).
Example 23.9
@ A. Faurt: Pavane, Op. 50
2
fH
LV
4g SE
sae - AD tl € — SO
Cae.
ee©) o-
bel
+
zoos
ly —~—~e
pa
ND
ar
fé
UNUSUAL TREATMENT OF SEVENTH CHORDS IN SEQUENTIAL MOVEMENT 417
SEQUENCES AS A MEANS OF MODULATION

Composers sometimes use harmonic sequences as a way to modulate from
one key to another. For instance, the insertion of an altered tone that be-
comes the leading tone of the dominant kev (H4 = 7) into a cycle of descend-
ing Sths allows us to exit the sequence early and then cadentially confirm the
new V area (Example 23.10a). This technique is also possible in a minor-
mode modulation from [i] to [III], Here we can stop the sequence after the
fourth chord; no altered notes are required (Example 23.10b).
Example 23.10
A. B
—~|@
hall ri]——~ oe XN
ms
|
haat
|
—_—
rd a t
Poy ad oa
t
@)
oe a , cea eo a. @ a. @
—.
1
cy: =
I 1h a
WA nN a
|
————
—"T t 184
t
6 6 6 6 6
¢ ] > t
$
J
C
;
>
II
UNUSUAL TREATMENT OF SEVENTH CHORDS

IN SEQUENTIAL MOVEMENT
The following examples demonstrate unusual wavs of handling seventh

chords in harmonic sequences. The Schumann excerpt (Example 23.1 1a)
represents a rare usage of consecutive seventh chords in a series of root-
position chords descending by 3rds. If we look at the vocal line and the bass
of the piano part, we can see an obvious sequence occurring every two mea-
sures that outlines a larger motion descending by 5th from C to F to B (Ex-
ample 23.11b). However, the problem of the treatment of 7th chords within
the embedded descent by 3rds is more complex. In the voice-leading reduc-
tion (Example 23.11¢). we have incorporated some structurally important
notes from the right-hand piano accompaniment in order to clarify the un-
derlving stepwise motion in the upper voices. Starting in measure 2. the
outer voices of the alternating seventh-chord inversions (" and 4) outline a
stepwise descent in 10ths. While the chordal 7th of each 3 resolves properly
418 [CH. 23] HARMONIC SEQUENCES Il: SEQUENCES OF SEVENTH CHORDS
in the reduction’s soprano part, the 7th of each root-position seventh chord
is moved to the bass, as shown bv the arrows. This transfer of the chordal 7th
simultaneously prolongs the seventh harmony of the first half of each mea-
sure and creates a new passing seventh-chord harmony in the second half of
each measure. Altogether, a most remarkable and effective passage.
Example 23.11
@ A. SCHUMANN: “ICH GROLLE NICHT” FROM DICHTERLIEBE

4 \
OH
|
KT
Vy 4
if
+—}
4 1 4 I
= ‘|
Ss
|
!
wig ver-lor
bricht, e - - nes Lieb,
fh I | \ I
ue
a |
VF
Lr i
WC i i I J J i J J it
T
It it
! 1 i il it
| if
> > >

< t
ei ae
a
Z 3 = = =
>?
7
——— @
I
i
nf
iw)
"4
|
I
}
J
il
| ne
TD
¥
J
I
“*
e -
wig ver-lor - nes Lieb! ich grol
-
| | |
>
oF:
Z +—
|
= 3 4 a
Ga
B.
Ly ra
= =
nal
7)
4 o- =
Zhe od =z
—= | o—_, —
—F
e a
UNUSUAL TREATMENT OF SEVENTH CHORDS IN SEQUENTIAL MOVEMENT 419
C.
—
os |
fe
"
—__§
¢ 2
e-
—
= aN
= =
Cc: 1 4 i 4
4
\
An even freer treatment of the chordal 7th is illustrated in the Debussy

excerpt (Example 23.12). This famous piano miniature opens with descend-
ing stepwise motion with 6ths occurring between the outer parts; consult the
reduction in Example 23.12b. This intervallic framework is filled out by a se-
ries of partially sequential seventh chords. The irregular alternation between
several inversions of the seventh chord ( and $) keeps the passage from
being fills sequential This progression pre dices a somenvliat static serise of
harmonic motion that is finally relieved by the cadential ii8-V'-I in measure 7.
Example 23.12
@ A. Desussy: “CLAtR DE LUNE” FROM SUITE BERCAMASQUE
Andante
A + 7
——
.
¢ =
—
SY
hs fs 5
£
J
—
aan
© { t
® |
o
aoe
e)
] by
:' =
! t
Db: ®
4
v
=
oo
|
o }——}-
°
_
ia
NST
v
t
I t
T
*):
Z #: 1
t
@) HF
;
5
2 3 5
420 [CH. 23] HARMONIC SEQUENCES Il: SEQUENCES OF SEVENTH CHORDS
9
17 a i 1 T rm
+
f
2
A I {
a a a
1 |
¢ I
a |
ry)
P°
eo
$: e
4 Foe
oy:_ I
ans
tf
|
i oy
B. (REDUCTION)
3 3 j
vA b ty
fey
—
17
|
6 6 6 6 6 6 76
q|
$|
&\° vw
—
Je bh
pb: 1°
Summary of Further Sequential Techniques
Sequences of root-position seventh chords by descending fifths must

alternate complete with incomplete (omit 5th) harmonies.
In sequences of inverted seventh chords by descending fifths, the har-
monies will remain complete. Alternations of * with 43, or 3 with § are
possible.
Alternations of seventh chords with triads in cvcles of descending fifths
involve either 3 with °, or with 3. Both harmonies are complete.
In sequences of diatonic triads by root movement of either seconds or
thirds, each triad may be preceded by some form of its secondary
dominant: 1-(V‘/vi)-vi-(W/IV)-IV, ete. In addition, successive sec-
ondary dominants by descending fifths may be linked together: W/Ai-
THE PE ABORALION OF SEQUENCES 421
THE ELABORATION OF SEQUENCES

In choosing excerpts from literature to illustrate various tvpes of harmonic
sequences, so far we have purposely selected examples that are mostly de-
void of surface melodic figuration. In many musical passages, however, the
underlying sequential movement is elaborated with a prominent motivic
idea. For instance, in the first movement of Mozart’s “Jupiter” Symphony,
this elaboration of a sequential pattern (Example 23.13a) takes the form of
imitation between the soprano and bass (Example 23.13b).
Example 23.13
A.
| b
— by ] LZ
ry
iat
V4 |
. L
it
+
i 6
°
6
B. Mozart: Sympnony No. 41 (JUPrIrer”), K.551, [ (STRING PARTS ONLY)
a
135 |.
be b b Lo e
S
AT
{—}—} —}-—}-——
SE
J
—
i
[
| t
T T
my
aS eS if oO
rs
I I rhs
LM
il
wl
t
l
r
t
x
ry)
fat
In deducing the voice leading of melodically embellished sequences, we

should not be too hasty to determine the framework of the outer parts. At
first glance, the essential bass and soprano notes in the Handel score of Ex-
ample 23.14a appear to occur on the first beat of each measure.
But this is not entirely the case. If we look more closely, we see that the
notes that begin some measures are simply the result of voice exchange. In
fact, voice exchanges permeate this entire example, as shown in the first re-
duction (Example 23.14b). The result is a kind of compound melody, some
notes of which appear in an inner voice (stemmed inward) while other more
essential notes appear in an outer voice (stemmed outward). When we
422 [CH. 23] HARMONIC SEQUENCES Il; SEQUENCES OF SEVENTH CHORDS
collect these more essential notes and place them in context, the resulting
graph gives a better indication of passage’s true voice leading (Example
23.14c¢).
Example 23.14
A. HANDEL: ORGAN CONCERTO IN G MINOR, OP. 4, No. 3, II
50
——_
a
v t TL
it
| 4 | I {
}
“i Ya
~ oF
fe_T all
a
i
~
ry
I
o—.
|
A
:
It I l
it
: |
53
9) = {—+
ra
e@)
——— »p +
~
:
I
B. (REDUCTION 1) C. (REDUCTION 2)
ANS a a
t
— * im
| ®
—
_ XK
/ > P o
2 ° ©
| |
VT
au e f u
ml
null
all
i
T
rn O !
| van
_
—"
} if
-—_b I it hal
+
I
Wa p
6 5 6 3 6 5 6 3 6 6

seventh chords in descending 5th sequence as a means of
sequences modulation
|
inverted 7th chords in sequences unusual treatment of seventh
|
other diatonic sequences chords

secondary dominants in sequences motivic elaboration in sequences

3
1. Complete the following sequences and indicate the root movement on

which each sequence is based.
Example 23.15
A.
fy | | 4 l ;
Ti? ge i | l I
v4 bh aj? [7K ] I
wm_”
XY cA4
>
oe, ‘2
i Ce?
© |
—
|g fod 1.
fe Ti?
7 mm
="
—
Uy
Jy,
|
I
|
=al [OK mad
T Pu)
6
g: 1 ]
4 | k
7
u
cy 2. “.- a:
| Y
mi )
| all
1
e: i \
Mae
|
+e
424 (CH. 23] HARMONIC SEQUENCES II: SEQUENCES OF SEVENTH CHORDS
2. Complete the following sequential progressions according to the figured

bass; be careful in the preparation and resolution of chordal 7ths. Indi-
cate any use of secondary dominants or changes of kev.
Example 23.16
A.
O | | | |
t t T
mn 7) 4
Za o
mI a t
ai al zi |
tT
fd A" 4 ie]
Oo fd.
t
t
fd e>.
f
P
T
ai
f
ZZ ca
a [ I t t t
+ f
f
—
i
4 -
i
4 =
‘ &
3 3 -t
3
f 14 | | | | , |
FF a
{ i t t t I
an
a
7) oe a t
a hel
t
t we
4
:
2 a ki ZZ
P~y 4J 1
|
4 = iad
t
ial (7K
| |
| |
7 7 bb7 B
bd
3. Make voice-leading reductions of the following harmonic sequences and

then indicate the nature of each root-movement pattern by ascending or
descending intervals.
Example 23.17
A.
(aS == ===>
da
ae
[fy
@\: t a
—pe li bh
4
oa
leet
==
i
on a
al
a
|
|
.
q
|
|
~= |
try
#
a Ca
7Ame
2 4
Simple Forms
N CHAPTER 12 we discussed short pieces, such as hymns and folk

songs, Whose structure usually results from the interaction of phrase or
period groupings. Armed with a knowledge of diatonic harmonic and
melodic techniques and modulation, we are now ready to take up the
question of musical form through the examination of complete pieces. In
this chapter and Chapter 31, we will examine the formal design and tonal
structure of some of the familiar forms that composers used in the com-
mon-practice period. We will focus on those features that these pieces
have in common, in contrast to our previous discussion of excerpts in the
text, in which we tended to emphasize the individual features that make
these compositions unique. Although this chapter does quote several
movements to illustrate the formal designs we will discuss, because of
spatial restrictions, it is not possible to include a number of additional in-
strumental scores or to engage in extensive analytical comments on the in-
teraction of formal and tonal characteristics. Rather, we will attempt to
establish the normative features of various small formal designs within a
historical context. Several lists of further pieces for reference appear in
footnotes. The accompanying Workbook also includes more scores and
lists of works suitable for analytical projects.
426
ONE-PART FORM 427
Many of these forms, such as one-part form, two-reprise form, ternary

form, variations, and rondo are characterized by a prevailing homophonic
texture. As we shall see in Chapter 31, contrapuntal forms, such as the in-
vention and fugue, are freer in their formal designs.
CONTENT AND FORM

In reading about music we frequently encounter the terms “content” and
“form.” Musical content refers to the specific compositional elements or
materials used within a piece of music, while musical form pertains to the
organization of these compositional materials. If we study only musical con-
tent on the one hand or musical form on the other, we obtain an incomplete
picture of a piece. For instance, a specific theme in and of itself, which is
one type of musical content, does not tell us anything about how the piece to
which it belongs is put together. Likewise, the fact that a composition hap-
pens to be cast in a three-part or ABA form does not tell us anything about
the nature of the themes used in each of its sections. Therefore, when we
analyze a musical work, we need to examine both its content and its form.
FORMAL DESIGN AND TONAL STRUCTURE
Form itself is made up of two distinct aspects: formal design and tonal struc-
— ture. Formal design includes the similarity or contrast of a composition’s
themes or motives, phrasing and metrical groupings, texture, instrumenta-
tion, dynamics, and proportional relations between its various parts or sec-
tions. Tonal structure, on the other hand, concerns the tonal scheme,
melodic characteristics, harmonic language, register, and voice leading of a
composition. While on occasion we may momentarily discuss either the for-
mal design or the tonal structure of a piece to the exclusion of the other, we
must never lose sight of the fact that it is the interaction of these two factors
that is the paramount issue in musical analvsis.
ONE-PART FORM
Some shorter pieces display a seamless texture that resists being divided into
well-defined parts or sections. The texture or figuration of the initial motive
or idea usually continues throughout the work, creating a one-part form.
Brief pieces. such as the C major Prelude in Bach's Well-Tempered Clavier.
Book I. or some of Chopin's Op. 28 Preludes. are typical examples.
A428 [CH. 24] SIMPLE FORMS
A short one-part prelude by Bach is quoted in Example 24.1. Notice how

the opening figuration is continued throughout—in the soprano (mm. 1-3), in
the bass (m. 12), alternating between the two voices (mm. 4-8), or in both
voices simultaneously (m. 13). The harmonic areas of the simple tonal scheme
create a pattern of four-measure phrases: following the original tonic prolon-
gation over a tonic pedal (nm. 1-4), the music moves to the dominant area
(mm. 5-8), arriving at a dominant pedal (mm. 9-12) that leads back to the
final I Gnm. 13-16).
Example 24.1
Bacu: LITTLE PRELUDE IN C Major, BWV 939
gee) ee ls
7 all
aL Pr. aa
{s hw
l i I 1
rn" rm
fr
Try | I I i #2
ry 2
N
NT i —_| a =
8
|
|
=
mall
3
eu eo J
A
e) -o oe oe ce | a
|
|
é
eo
4ye \* é
6g ey
f)
Wd
| | |
ry
£ fa
~~
NSW
e
41 ¢
i
T ~
a "
7 2
—je
“I |
© |
I
i
Y
[
=
it
I
yy
— I
I i
aS
val
4
a
~
ry
eal
i
t
{ bi I
9 o-
4
a = Y
ly
VF = =I =.
rn 4
~
TAS YY
~@2
| anal
if “-
a =. al
ea al
ANAT | a i [ I
| if | aaa a _—
e)
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| | J I
it |
aw AW aw AW at AW ———_|
1
Se i I
=
wn
if
r *
I
I
-
| H I
P| L a.
-
if
it
| | |
| ] i
i
Pi
fl
|
It
ra
Te
i
i
———
L "f@
_|il
»«@ Peo,
df
I
I
al n
=== |
it
I
e
|
ld
Wa"
|
Pl
—
|
S
———— eo
eo
2
e <> I al
4
i
" — I a i na @.
bal
!
THE TWO-REPRISE DESIGN IN THE BAROQUE PERIOD 429
BINARY OR TWO-REPRISE DESIGN
The term binary design (or form) is somewhat ambiguous. In one

sense, it is used to describe a composition that consists of two sections
of contrasting thematic material, expressed as AB. The short Brahms ex-
cerpt in Example 12.10 is a typical example; it divides into two contrast-
ing periods, cach with its own distinct melodic profile This type of
Dinary design is not particularly Common ia instrumental musie, al-
though we might cite the standard military march—for example, famil-
iar Sousa marches—as one instrumental example. Marches typically
divide into two large sections; the first A, consisting of a short introduc-
tion and two strains, is followed by the contrasting Trio or B part, usu-
ally set in the subdominant key. Thus the march is one of the few genres
in the common-practice period that do not end in the original tonic key.
These binary forms oceHr more Proquenth in tevt-driven vocal music,
such as “Trockne Blumen” from Schubert’s Die schéne Miillerin song
cycle.
On the other hand, the term “binary” can refer to pieces that simply fea-
|
ture two repeated sections, regardless of their thematic content (L: ). We
will denote this scheme by the term two-reprise design (“reprise” means
repeated). In some cases the thematic material in the second reprise or re-
peated section is not markedly different from that of the first reprise, but
rather is often loosely based on it.
Two-reprise design may constitute an entire movement or occur as a
separate section of a movement (see the later sections on variation form and
rondo). The harmonic characteristics of this scheme, including some voice-
leading models and reductions, have already been briefly discussed in
Chapter 22
THE TWO-REPRISE DESIGN IN THE BAROQUE PERIOD
The various dances that make up the typical Baroque suite are cast in two-
reprise design. Although an entire dance may be loosely based on the open-
ing or principal theme, that theme seldom returns in a literal tonic
restatement during the second part or reprise. When the first reprise ca-
dences in the tonic key, it is called a sectional two-reprise design, but
when the first reprise cadences in or tonicizes a new key area (such as (V] in
major or Il in minor), it is called a continuous two-reprise design; see
the two diagrams in Figure 24.1.
430 [CH. 24] SIMPLE FORMS
Figure 24.1
Sectional Continuous
Ik a > cadence
‘| I: A > cadence ‘I
[i] or Ly]
The cadential phrase or material at the close of the first reprise (in either
V [IL]) sometimes reappears at the end of the second reprise, but now
or
transposed to the tonic key. We call a piece that features this recurrence a
balanced two-reprise design, as shown in Figure 24.2.
Figure 24.2
Balanced two-reprise
I
closing closing
|
A short two-reprise minuet by Handel is quoted in Example 24.2. It

may be classified as continuous, since the first reprise cadences in the
dominant kev (mm. 7-8). Although this same cadence formula reappears
in the last two measures of the second reprise, suggesting a balanced
structure, the initial principal theme does not recur in the second section.
The second reprise opens with an ascending 6-5 chromatic sequence
(mm. 9-14) before cadencing in the relative kev of D minor (mm, 15-16).
The music then uses a descending 5th progression to evcle back past I to
the subdominant (mm. 17-21) before concluding with a final tonic ca-
dence (mm, 22~24). Each of the minuet’s three eight-measure phrases
features a well-defined cadence, first in the area of [VJ], then in [vi], and
then in [I].
THE TWO-REPRISE DESIGN IN THE CLASSICAL PERIOD 431
Example 24.2
(2) HANDEL: MINUET IN F MAJOR
a e_'——._# »@¢* » # «#5 ir ———_

o—
@
yo
Tf9
9
=
e |
ne
QO
I I I I
T t 1 T T ifT 7
y, T T
T
il
a
o ! I
=
e — a.
hf I Yr
+
!
az if
3 { { {
—————
i { {
im y
! ! |
@
=—
2. I
mene
it
I aQ
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al [
Bl fp © ° °
Sl
a.
|
_i P= |
2 |
,
[ | ie
e
I
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y hall an if t baal
|
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T
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| | @ 2 Y@- = a.
Y @ 1 I he
o _|Yr.
1
O
|
= 1
[
I |
of al [
I
Jif
|
i [ i
=
|
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|
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I I
if
i
an
* Pt l [ I
ST
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an I |
wo
id hall
|
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lmal all mal
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Je i i [ | i my
a
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r
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t I
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ul
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saeI I { T
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a ul if
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rd
THE TWO-REPRISE DESIGN IN THE CLASSICAL PERIOD

Several features of two-reprise design in the Classical period distinguish it
from its Baroque counterpart. For one thing, this design usually functioned in
the Classic period as a separate section of a larger movement. Certain features
of the second reprise changed as well. Following the quasi-modulatorv section
432 (CH. 24] SIMPLE FORMS
that opens the second section, the music typically moves toward an extended
dominant that serves as the preparation for the literal return of the move-
ment’s principal theme in the tonic. This thematic restatement gives rise to
what we call a rounded two-reprise design; consult Figure 24.3, noting the
interruption sign (//) after the V that immediately precedes the return of the
original A material, While the great majority of Classical two-reprise designs
are continuous and display a return of the original theme in tonic, one can al-
ways finds exceptions in which there is no modulation at the end of the first
reprise or the principal idea does not reappear in the second reprise.
Figure 3
Rounded two-reprise
| '
|; 4 cadence if: VA A cad. il
|
varied ———> V | |
This design is found in both minuet and scherzo movements of Classical

works, where it occurs as the form of both the Minuet or Scherzo proper
and the subsequent Trio. The analysis of the Beethoven Menuetto and Trio
in Chapter 25 contains a detailed discussion of its typical design and tonal
structure. Less complex examples mav be found in Examples 22.9a in a
major key and Example 22.13 in a minor key; the return of the original
theme is greatly abbreviated in the latter piece.
TERNARY FORM
Compositions in ternary form are characterized by three distinct sec-

tions—an opening A section whose initial thematic material opens and
closes in the tonic kev, a thematically contrasting middle B section, usually
set in a different key, and a return, either literal or modified, of the original
A section back in the tonic. (Since the scheme of a rounded two-reprise
form, as shown in F igure 24.3, approximates these requirements, some the-
orists refer to it as an incipient ternary form.) These pieces mav also in-
clude a short introduction and a closing coda. Ternary design is commonly
found in slow movements, such as the middle movements of Classical
sonatas or quartets, or short character pieces in the Romantic period, such
as the Chopin mazurkas or the Brahms intermezzi.
Following the conclusion of the opening A section in the tonic kev, the B
section begins immediately by introducing a new melody in a different kev or
TERNARY FORM 433
the parallel mode. A brief retransition, usually based on dominant harmony,

prepares the return of the first part, which may be literal repetition or may
a
contain modifications. In the Classical minuet, after the conclusion of the Trio,
itself a two-reprise form, the performer jumps immediately to the beginning
of the piece for the da capo (literally “to the head”) or repetition of the open-
ing Minuet section. If the trio is set in a foreign key, a retransition may be nec-
essarv to modulate back to the original tonic center; for instance, see ‘the third
iioveticiut ofTay din’ss S\ niplony No. 1040Londo’) tii D Major.
The slow movement from Friedrick Kuhlau’s Sonatina in G Major, Op.
20, No. 2, is a clear-cut instance of ternary design. The score and its voice- :
leading reduction may be found in Example 24.3. The opening A section

(mm. 1-16) consists of a parallel double period in the tonic kev of Eb major:
two contrasting four-bar phrases (ab) move from I to V, followed by their
repetition (ab) with a concluding authentic cadence on I. The middle or B
section (mm. 17-29) immediately shifts to the relative key of C minor with
new thematic material and a different texture. Its melody sequences down-
ward through Bb minor and Ab before reaching the dominant G Gneasure
26), spanning a descending tetrachordal progression (i-bvii-VI-V) in C minor,
(i
with several of its transient centers preceded by their secondary dominants.
A short chromatic retransition Gnm. 26-29), which features several dimin- |
ished sevenths, leads to literal return of the A section (mm. 30-46). A few
a
tonic chords provide the final cadential extension (mm, 47-49).
Example 24.3
A. FRIEDRICH KUHLAU: SONATINA ING Major, Op. 20, No, 2, H
Adagio e sostenuto
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TERNARY FORM 435
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The choruses of most popular songs in the 1930s and 1940s utilize a qua-
train form, a design we discussed briefly in Chapter 12. Quatrain form is ac-
tually a modified type of ternary design with an extra A (AA’BA’); B is the
contrasting section, called the bridge. The “Dance of the Reed Pipes” from
Tchaikovsky's Nutcracker ballet employs an extended quatrain design.
VARIATION FORM
The principle of variation is found not only throughout the entire corpus of
Western music but also in the musics of other cultures. Since the repetition
of a musical idea is essential to the establishment of its identity, it is not sur-
prising that composers modified or varied this idea in different ways, either
upon its immediate repetition or later on in the piece. Variation implies that
some elements of the original material undergo change while other ele-
ments remain relatively fixed. We may find examples of this procedure
within the sections of a single movement, where the immediate restatement
of a phrase mav be modified, or in the case of ternary form, where the re-
turn of the initial section mav be varied. Melodic elaboration is common and
can be heard in the ternary da capo aria, when the singer embellishes the
melodic repetition in the restated or da capo section, or in the doubles or
VARIATION FORM 437
varied repeats of Baroque suite movements. In the slow movement of his

Piano Sonata in D Major, K. 311, Mozart embellishes the successive recur-
rences of the opening melody with increasingly complex elaborations (Ex-
ample 24.4).
Example 24.4
Mozart Sonu vin D Major kK 311, Of
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We will focus on two variation procedures that serve as the formal basis
for an entire composition—continuous variations and sectional variations,
also known as “theme and variations.”
BAROQUE CONTINUOUS VARIATIONS

Continuous variations, in which the variations follow one other without in-
terruption, are typical of the Baroque period. They are customarily based on
a theme four to eight measures long and usually feature a reiterated melodic
pattern in the bass voice. They are usually characterized by slow tempo, triple
meter, and the minor mode, and thev tend to remain in the same key
throughout, although the middle variations may be set in the parallel major
key, as in Bach’s D minor Chaconne for solo violin, or the relative major, as in
Bustehhude’s Chaconne in D Minor for organ. Although some theorists have
attempted to make distinctions between various types of Baroque continuous
variations, the composers of that period used passacaglia, chaconne, and
ground interchangeably for the titles of their compositions. Some writers
claim that Bach’s D minor Chaconne for solo violin is based not on a recur-
ring bass but rather on chord progression, but careful analysis of this work re-
veals that it is based on the descending chromatic tetrachord.
In continuous variations, there are usually a large number of variations
based on fairly short theme. Pairings of similar variations or even the repetition
a
of individual variations are common. The bass theme, accompanying harmony,

and phrase length are normally retained in each variation, whereas the texture
and rhythm tend to vary. In each variation, the voices above the bass usually de-
velop one particular motivic or rhythmic figure that is introduced at the outset.
If the theme progresses harmonically from i to V, each new motivic idea is con-
fined to a single variation, as in the Bach Chaconne (Example 24.5a). However.
if the harmony concludes on the tonic, the final measure of each variation may
introduce the motivic material of the next, as in Bach’s Passacaglia in C Minor
for organ (Example 24.5b). This bass theme, as indicated in the example, was
created by extending an earlier four-measure theme by André Raison.
Example 24.5
A. BACH: CHACONNE FROM Partira NO. 2 FOR SOLO VIOLIN IN D MiINoR, BWY 100-4
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BAROQUE CONTINUOUS VARIATIONS 439
In some continuous movements, several similar variations mav be

grouped together to create a greater sense of unity. One common formal de-
SIG resultingfrom stich eroupings is the so-called double vise, in which a
gradual acceleration of rhythmic motion and increase in textural densitv oc-
curs twice.
The theme and several variations of a passacaglia by Handel are quoted
in Example 24.6. The harmonic basis of the theme (mm. 1-4) is a com-
plete ovcle of descending Sths in Goaninar The succeeding variations fol-
low one another without pause. In the initial variation (mm. 5-8) the
original 5-6 sequence is replaced by exclusive root-position triads built on
the running bass. The next two variations (mm. 9-16) are almost identical,
except that the outer voices switch their positions—the soprano becomes
the bass, and the bass becomes the soprano. In Variation 4 the running fig-
uration returns to the soprano, where it is supported by similar rhythmic
motion in the bass.
Example 24.6
() HANDEL: PASSACAILLE IN G MINOR
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Some famous examples of continuous variations from the Baroque period

and later historical eras are listed in the footnote below Jizz WISAEOTIS
|
on standard popular songs also represent examples of continuous variations,

since the Hows tinuterrupted from one Variation to Uie other.
We may also find instances of ostinato during sections of a movement,
in which the theme is nothing more than a recurring melodic fragment in
either the bass or soprano; an example is the closing section of Igor
Stravinsky's Symphony of Psalms. The following extract from the Finale of
Brahms’s Symphony No. 1 uses a descending tetrachord as the ostinato
figure.
Example 24.7
BRAUMS: SYMPHONY No, 1, IV (PIANO REDUCTION)
animato
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1. Baroque continuous variations include Dido's Lament from Purcell’s Dido and Aeneas.
Haidels Claeunite iit G Major tor hevbuaid. the Crucilixus toi tie Giede ob Backes
Mass in B Minor. and Pachelbel’s famous Canon in D Major. Examples from later periods
miclide Becthoveis darty-fieo Vaiiddions for Piano in CG Minor. WoO SO. the Finale oi
Brahins’s Variations on a Theme of Haydn and the last movement ofhis Fourth Symphony.
the Passac atlia from Britten's Peter Crtines and the cons hiding moveanent of Paul tin
d
SECTIONAL VARIATIONS. OR THEME AND VARIATIONS 44]
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SECTIONAL VARIATIONS, OR THEME AND VARIATIONS

As sectional variations or theme and variations grew in popularity dur-
ing the Classical period, these forms gradually replaced the older continuous
variations. The theme, either an original or borrowed tune, normally con-
sisted of a rounded two-reprise form, although it might contain only one or
more periods. The entire theme-and-variations set is made up of a series of
individual, relatively short pieces, each of which is tonally closed and sepa-
rated by a brief patse. Sometimes the theme may be a popular tune; some
. variations on popular tunes, such as Joseph Arban’s The Carnival of Venice
for trumpet or Arthur Prvor’s The Bluebells of Scotland for trombone, have
become virtuosic showpieces.
Theme-and-variations sets are relatively infrequent in the Baroque era:
the most famous example is Bach’s Goldberg Variations for harpsichord. In
Classical-period sets of variations, the underlying harmonies, phrasing, and
formal design remained relatively fixed while the melody, texture, register,
and rhythm vary from variation to variation. Each variation was based on a
different melodic or rhythmic motive. All variations were normally set in the
same kev, although the mode might change.
The theme and selected variations from Mozart’s variations on a well-
known tune are cited in Example 24.8. This theme is somewhat. of
an exception, since it consists ofa single two-phrase period without mod-
ulation. Compare the soprano and bass of each variation to the original
tune, noting anv significant modifications. The succession of dissonances
starting in measures 3-7 of Variation 2 serve to unify several of the later
Variations.
Example 24.8
M ‘ Vib VOUS DIALJI IN 205
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Variation sets were composed both as separate pieces or as move-

ments of sonatas, quartets, and symphonies. When variation set appears
a
in Classical multi-movement works, it is usually the slow movement. Vari-

ation form may appear in other movements: the opening movement of
Mozart’s Piano Sonata in A Major, K. 331, and the last movement of
Beethoven’s Third Svmphony (“Eroica”) are variation sets. In keyboard
variations sets of the period, the next-to-last variation was often cast as an
expressive Adagio followed by lively Allegro Finale; see the last move-
a
ment of Mozart's Piano Sonata in D Major, K. 284. Composers later wres-

tled with the problem of how to bring some degree of overall unity or
coherence to the variation set. One solution was to divide the variations
into distinct groups, using certain variations as transitions to the next
group. This approach mav be found in Beethoven's Diabelli Variations for
RONDO FORM 445
piano. 2Other famous sets of sectional variations are listed in the footnote
below
RONDO FORM
Rondo form features the periodic recurrence of an initial theme or section

in the tonic, called the refrain. Recurrences of the refrain are separated by
contrasting sections called episodes, which are usually set in a different key
or mode and introduce new thematic ideas. Generally only one episode
comes after each refrain, creating a formal design of B A C A ete.. in
A
which A is the refrain and B and C are different episodes. We will use these
letter names in our diagrams of typical rondo schemes below.
The refrain itself may be a self-contained miniature form, such as a two-
reprise design, as in Mozart's “Alla Turca” finale from his Piano Sonata in A
Major, KOSST. or temiars form as ii Beethover’s Piano Sonata in G Migor,
Op 19. No.2, TT Subsequent recurrences of Khe refrain Hitt he Titeral repe-
titions, or they may be shortened or even modified, as in the finale to
Haydn's Svniphony No TOT SClock’. in whieh cach restatement is set ina
different texture.
The episodes employ contrasting themes and textures and normally ex-
plore tonal areas other than the tonic. Their fortiual design iS sometitnes Loss
defined than the refrain. although again the use of two-reprise schemes is
common. Composers ordinarily move directly from the cadence of the re-
frain into the following episode (A to B, or A to C), but typically emplov a re-
transition after the episode to lead back to the refrain (B back to A, or C
back to A). These retransitions typically employ a dominant prolongation to
prepare the return of the refrain’s tonic kev.
Although the Classical rondo is usually found as the last movement of a
sonata, quartet, symphony, or solo concerto, it occasionally appears as the
slow movement, as in Beethoven’s Symphony No. 4, or as a separate concert
piece, such as Mozart’s Rondo in A Minor, K. 511.
2. Famous sets of sectional variations include the second movement of Havdn’s String Quar-
tet in C Major. Op. 76. No. 2. whose theme. originally a birthday hymn to the Emperor.
later became a national anthem of the Austro-Hungarian Empire. and still later the Ger-
man national anthem: the slow movement of Becthoven’s Fifth and Ninth symphonies.
whose first themes undergo extensive variation: Brahms’s Variations on a Theme of Handel
and Variations on a Theme ofPaganini. which anticipates Rachmaninott’s Rhapsody on the
thee. LI Lnigind Varidtivns. ail Biittens Young Peuple Guide to the Orches-
s
tra, a set ofvariations on a theme by Purcell.

446 (CH. 24] SIMPLE FORMS
Three basic rondo designs occur in Classical-period compositions: the

fite-part rondo, the secen-part ronda, aud the sonata-rondo, We will
ine the sonata-rondo when we discuss sonata form in a later chapter.
THE FIVE-PART RONDO

The formal design of the five-part rondo is typically A B A C A. The dia-
grani (Figure 24.4) outlines the usual key areas in both imajor aud ininor
keys.
Figure 24.4
A B (Retrans.) A Cc (Retrans.) A (Coda)

Major |
'
contrasting (V) contrasting (V) i
|
Minor key (V) key (V) tj
The brief Haydn rondo quoted in Example 24.9 is quite traditional and
straightforward. The three refrains are cast in two-reprise design. Following
the motion to the dominant at the end of the first reprise, the second section
opens with a 5th sequence (V 3 /ii-ii’-V2-1) before uriving at V in measure
11. The return of original material shifts toward the subdominant prior to
the final tonic cadence. Whereas the second refrain (mm. 40-59) is identical
with the first, the sections of the last refrain are written out without repeat
signs in order that a 16th-note Alberti bass may be added to the repetitions
(mm. 101-133). Both episodes exhibit two-reprise design. While the first
(mm. 20-39) is set in the parallel D minor with a brief excursion to F major,
the second remains in the subdominant before a retransition on the domi-
nant leads back to the final refrain (mm. 60-79). There is no introduction,
and two tonic chords at the end round off the piece.
Example 24.9
(2) Haypn: Piano Sonata iN D Mayor, Hos. XV1:37, TI
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SEVEN-PART RONDO FORM

The seven-part rondo was a special favorite of Mozart and Beethoven.
who used it frequently in the finales of their solo concertos. Its basic formal
design appears in Figure 24.5.
Figure 94.5
Cc (Retrans.) (Coda)
Major contrasting (V)
Minor key (V)
The overall groupings of the sections of a seven-part rondo form a

large ternary or three-part construction that centers around the middle
episode or C section. While the refrains (A) continue to remain in the
tonic throughout, in the first portion of the movement the B episode is
usually cast in either V in major mode or III in minor mode. The return
of B in the last section is transposed back to the tonic, thereby resolving
the tonal tension created by its first appearance. The tonal motion back
to the opening refrain after the contrasting C or middle section is usually
preceded by a retransition featuring a dominant prolongation. Occasion-
ally the last appearance of A may be abbreviated or even completely
omitted.
Space limitations preclude the inclusion of an entire seven-part
rondo movement in this text. The accompany ing Workbook quotes the
last movement of Beethoven's “Pathetiqne” Piano Sonata, which is a
model example of this form. The rondo waned somewhat in popularity
after the Classical period, but continued its close association with con-
certo finales.°

content vs. form balanced two-reprise form
formal design rounded two-reprise form
tonal structure ternary form
one-part form retransition
two-reprise form quatrain form
sectional two-reprise form variation form
continuous two-reprise form continuous variations
3. Examples of rondo forms in compositions of the Romantic period include Mendelssohn’s

Rondo Capriccioso, the last movement of Franck’s Violin Sonata in A Major, the Introduc-
tion and Rondo Capriccio for violin and orchestra by Saint-Saéns, and the “Gvpsv Rondo”
trom Brahms’s Piano Quartet in G Minor, Op. 25. In the twentieth century, the rondo ap-
pears in works in neoclassical style, such as Hindemith’s Sonata for Clarinet and Poulenc’s
Trio for Oboe. Bassoon, and Piano.
ostinato refrain
sectional variations (theme and episode
variations) five-part rondo
rondo seven-part rondo

1. Match the following, letter to number.
Qn >
1. Incipient ternary form .
Seven-part rondo
2. Refrain . Chaconne
3. Preceding the return of original . Rounded two-
material reprise design
WS
dd
Passacaglia .
Quatrain form
Tonic cadence at end of first reprise Suite
Qmnm
.
“B” episode is transposed back to tonic .

Always set in tonic
. Asuccession of dance movements .
Organization of
AA’ BA’ musical content
. Form .Retransition
I. Sectional two-
.
reprise design
wel
C H A P T E R 2.5
Analytical Comments
on a Menuetto and Trio
by Beethoven
LTHOUGH SOME OF THE EXAMPLES in preceding chapters have con-

sisted of entire movements, we have not had the opportunity to analyze them
in detail In this Chapter we will conchide our suid of diatonic harmony hy ONE
amining a complete movement from a larger work, the Menuetto and Trio of
Beethoven’s Piano Sonata in F Minor, Op. 2, No. 1. Since this short movement
contains a variety of tonal and formal idioms that we have discussed in the pre-
ceding chapters, it provides an excellent summary of the principles of diatonic
harmony. We will first consider a number of factors that characterize this piece
and then demonstrate how they interact to create its individuality. Our analvsis
of this piece should provide a possible model for future analyses, provided vou
remember that you should always approach each work on its own terms.
LARGER FORMAL CONSIDERATIONS

Since it is necessary that we first understand something about the formal na-
ture and historical characteristics of this piece, we will begin by briefly dis-
cussing the design and tonal structure of a typical minuet. A holdover from
Baroque suites, the minuet of the Classical period usually occurred as the third
453
454 [CH. 25] ANALYTICAL COMMENTS ON A MENUETTO AND TRIO BY BEETHOVEN
movement of symphonies, string quartets, or even solo sonatas. The stately na-
ture of the original minuet was sometimes replaced by a more playful or
scherzo-like quality, especially in pieces of faster tempo. This piece’s fast tempo
places it in the category of a scherzo, although Beethoven calls it a “menuetto.”
By the time of Haydn and Mozart, the minuet had assumeda three-part
or ternary form—the minuet proper (A), a succeeding trio (B), and the
subsequent return (da capo) of the minuet (A). Each of these larger units
consisted in turn of a two-reprise form, demarcated by the usual repeat
signs; the minuet’s return or da capo minuet normally omitted these repeats.
Classical composers imposed a relatively rigid thematic design and tonal
structure on the minuet. By far the great majority of both the minuet and
trio sections were cast in rounded binary or two-reprise design.
We briefly touched on some characteristics of the two-reprise design in
the preceding chapter. After the initial statement of the principal theme (A)
in tonic, the first reprise usually modulated, concluding in either [V] in major
keys or in II or perhaps [vjin minor keys. Although phrases were fre-
quently grouped into four-measure units, composers sometimes engaged in
remarkable irregular phrasing, as we shall see in this piece. The length of
the first reprise typically ran between 8 and 16 measures.
]
The first part of the second reprise tended to feature temporary toniciza-
tions, harmonic sequences, and possibly a development or elaboration of the
initial theme. The retransition, usually a brief prolongation of V, prepared
the return of the A theme and the tonic harmony. The modulation in the
original reprise had to be modified on its return so that the remainder of the
piece would remain in the tonic key. A balanced relationship between
the cadential or closing sections of the first and second reprises was com-
mon. The second reprise was, of necessity, longer than the first. Review the
presentation of two-reprise design in Chapter 24.
The voice leading of rounded binary forms frequently exhibited an inter-
rupted tonal structure, in which the interruption occurred on the retransi-
tion’s
dominant; see the discussion
of interrupted structure in Chapter 23.
The descent A3-2 A
// is common in mayor kevs. while the descent
Aa ROA
5- 4-3-2 // 5-4-3-2-1] is common in minor keys.
FORMAL CHARACTERISTICS OF BEETHOVEN'S MENUETTO AND TRIO

With few exceptions, the Menuetto and Trio sections of Beethoven’s move-
ment closely adhere to the two-reprise design we have outlined above. The
schematic designs of both parts in Figures 25.1 and 25.2 are supplied with
measure numbers. Compare these diagrams with the score (Examples 25.1
and 25.3) while vou listen to the movement.
MOTIVE AND PHRASE GROUPING IN THE MENUETTO 455
Figure 25.1
TWO-REPRISE DESIGN IN THE MENUETTO
1 5 41-14 15 17 25-28 29 35-40
I: A A ——>» cad. ‘ll A A retrans. A — cad. ‘|
tf] i i] fl — vw i
Figure 25.2
TWO-REPRISE DESIGN IN THE TRIO
41-44 45--50 51 61 65 66 70-73

(extended
Ik A ———-+ caa. ‘I dominant) A —»+cad. ‘|
F: [i] vo (IVS) v7 i]
MOTIVE AND PHRASE GROUPING IN THE MENUETTO

We will begin by examining the motivic content and phrasing grouping of
the Menuetto. For the moment, disregard the analytical reduction below the
score in Example 25.1; we will return to this graph later.
Example 25.1
(@) BEETHOVEN: PIANO SONATA IN F Minor, Op. 2, No. 1, HI, MENUETTO
Allegretto 5
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456 iCH. 25] ANALYTICAL COMMENTS ON A MENUETTO AND TRIO BY BEETHOVEN
10
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MOTIVE AND PHRASE GROUPING IN THE MEN
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In surveying the Menuetto section, notice that its thematic material is

made up of three distinct melodic motives, each with its own formal func-
tion. These are labeled x, y, and = in Example 25.2. While the x motive and
its immediate partial sequence a step lower open each phrase, the y motive
continues the melodic flow within the interior of the phrase. The = motive
forms part of the § cadence (I-ii®-V-I) in measures 10-14.
Example 25.2
A B.
Z
x x
|
, 1
4 O14ar 4
—f_ TY?
=
I
wal it It if
J 1 I I } |
Ve | = hall iT
I { i
iI j
ry) Cy)
Figure 25.3 outlines the motivic succession in the first reprise (mm.
1-14). Beethoven has slight problem with his initial four-measure phrase.
a
Since the x x y succession (mm. 1-4) prolongs the F minor tonic triad with a
single embellishing V°, this opening phrase lacks a strong root-position ca-
dence. After the literal restatement of this phrase in the relative major of Ab
or III (mm. 5-8), Beethoven repeats the last two bars of the second or Ab
phrase (notice the forte marking) and adds ay cadence (piano) using motive =
(mm. 9-12). In order to further emphasize its finality, he extends the cadence
by two bars with yet another z. Thus the successive phrase grouping for the
first reprise consists of the original F minor phrase (4 bars), its restatement in
MOTIVE AND PHRASE GROUPING IN THE MENUETTO 459
Figure 25.3
mm. 13
(ext)
(p) (p)
i
10
Ab major (4 bars), its partial repetition and cadence (4 bars), and a concluding
cadential extension (2 bars). This produces an overall phrase grouping of 4
(the first phrase) + 10 (the second phrase and its extension).
We may diagram the second reprise (mm. 15-40) in a similar fashion
(Figure 25.4). This section commences with a fourfold statement of motive
x, supported by tonal motion from II to [iv], or Bb minor (mm, 15-18). The
subdominant key is reinforced by reiterations of the cadential motive, the =
last two of which are compressed into a single measure. The resulting ten-
measure grouping, the opening 6-bar phrase plus its 4-bar cadential exten-
sion, recalls the ten-measure phrasing in the latter part of the first reprise.
At this point, we anticipate a retransition on a prolonged dominant to pre-
pare the return of the original theme and tonic key. Instead, Beethoven
inserts a four-measure passage of new material, running eighth notes in oc-
taves, which spans the harmonies iv-i-V (mm, 25-28) at afortissimo dynamic
level. The return of the opening tonic theme (m. 28) occurs in the left hand.
Since this final section must remain in F minor, the composer avoids any
reference to Ab major and instead embellishes the tonic harmony with vii?!
chords (mm. 28-34). A pair of cadential z motives lead to the final cadence.
This concluding section (mm. 29-38) again reiterates our previous ten-
Figure 25.4
10 10
15 25 29 39
kx x x x z z () (z)! retrans. | x
(p) (pp) (SP) (f) (p) (pp)
f :
[I] [iv] > iv-i-V f:[i]
measure grouping. It is interesting that Beethoven added the last two mea-
sures and ended the section with an empty F octave. Perhaps he appended
two measures at the end to lend additional emphasis to the concluding ca-
dence of the Menuetto section. The use of an F octave avoids any possible
chromatic cross relation that might occur between the last F minor chord of
the Menuetto and the opening F major harmony of the Trio.
VOICE LEADING IN THE MENUETTO

In many of our previous reductions we provided two voice-leading graphs—
the first stripped away melodic embellishments to highlight the surface voice
leading and harmonies, and the second showed the large-scale tonal motion
through still further reduction. In our analysis of this piece, we will forego
the surface details of the voice leading, sometimes called the foreground of
a composition, and concentrate instead on the larger voice-leading aspects
of the movement, sometimes called the middleground of a composition.
The elimination of the foreground’s details, such as individual chordal pro-
longations, permits us to see the piece’s overall tonal structure at a glance.
This process is particularly helpful when we are performing a piece, since
we can plan our performance to bring out the composer’s underlying
melodic and harmonic scheme.
For the following discussion, consult the voice-leading reduction positioned
directly under the score in Example 25.1. After the opening prolongation of tonic
harmony in phrase one (mm. 1-4), Beethoven employs a sectional modulation
that immediately shifts the second phrase to Ab major. The first reprise then re-
mains in the relative major key until the final ° authentic cadence in mm. 11-14.
We have employed Beethoven’s original scale degrees of 6-1-2-1 in the § ca-
dence, but it is possible to normalize this final cadential formula by inserting an
implied DP and Cin parentheses to complete the descent 4-3- 2-1.
The second reprise opens with a chromatic bass motion (G-Ab-Ab-Bb) that
uses a pair of passing vii” chords to tonicize the areas of II and [iv] (mm.
15-18). The soprano descends from ED to Bb!, 4 in the original key (mm. &
16-24). During the { cadences in Bb minor, an implied Db in parentheses sup- ig
plies the missing mediant in that key. The running eighth-note passage (mm.
25-28) continues the upper voice descent through 3 (Ab) to 2 (G5), which is
supported by the concluding V (m. 28). Again the G or 2 is implied by the
voice leading and is not actually present. Since Beethoven resolves the Bg in
measure 27 to C, he cannot resolve the Ab to G because of the octave texture.
The soprano regains the original 5 (m. 30) immediately after the restate-
ment fthe opening theme and tonic key. and then begins Aan Auninterrupted
A AOA
stepwise descent to the final tonic of the Menuetto: 5-4-3-2-1 (mm.
30-36). The final few measures represent a cadential extension.
MOTIVES AND PHRASE GROUPING IN THE TRIO 461
MOTIVES AND PHRASE GROUPINGS IN THE TRIO

The score and accompanying middleground reduction of the Trio to
Beethoven’s third movement appear in Example 25.3.
Example 25.3
@)
h
Trio A
— a | | 45
1d
———
Lv ae |
an T |
—
| | T I } T
ee
if
en I ee ee ee J
T T 1 I
bent
ry)
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oe oe oe t
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.
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DIEZIZZIIE
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F: oI (ii yo) I 16
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ai Pes
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:
a 2
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if
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hall
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L
I I \ I
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i
TRIO BY BEETHOVEN
|?
55
alk iy
6
sad roe
Fad
ead
~
ft wl)
N
cs
aan
ON A MENUETTO AND
LS
6
| SSI
) ote
NN
6
ANALYTICAL COMMENTS
|
TT
e
SHY aay
57
be
be
TT?
HTT
te
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25]
51
Senn \ Th
[CH.
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aul, mad
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de A
462
Wi dee
ee el
MOTIVES AND PHRASE GROUPING IN THE TRIO 463
61
66
ve
ey.
Wem
A
XY es es |
e ee
4 t
I
fy ~! 1
yo
| fan WA
Vy
e)
fa’
Lv A i rn
fy” nt
mal
i
NY ee |
ry)
y
tye 0]
70
Lif
*
+e
H+
ee ey +
oY
Men. D.C,
rH]
Vv) {8
6
ll
Figure 25.5
41 45
|
The Trio is set in the parallel major kev of F major. The running eighth-
|
note figuration of the opening theme continues almost without letup
throughout the entire Trio. The first reprise (mm. 41-50) consists of two
:
four-bar phrases, the second of which is extended by two measures (4 +

2)—much like the Menuetto’s first reprise—to establish a more emphatic
cadence in the dominant key (Figure 25.5). The cadence compensates for
the lack of cadential punctuation in the opening phrase, which consists
largely of harmonies that Hnearh crnibelish the Poimajor tonic: Lii-v"T
Although the second reprise begins on the dominant, it quickly returns to
F major via the stepwise motion in the soprano (E-F-G-A) and the tenor (C-
Bb- Bb- A) voices over a5 pedal (mm. 51-54). The next phrase, also four bars |
long, follows the same harmonic plan, but now its outer parts are switched, as
indicated by the arrows. Upon reaching the BD’ in measure 57, Beethoven in-
serts a lengthy interpolation (mm. 57_64) that extends the third bar of the
four-measure hypermetric grouping. This internal extension ends at measure
65 with a Bb! in the upper voice. The chromatic 5 -H4--44- 3 now occurs a third
time, leading back to the tonic oriented A* (mm. 63-66), which has been with-
held during the previous part of the second reprise. The return to LL] in mea-
sure 66is coupled with a restatement of the initial theme, which concludes the
Trio with a pair of four-measure phrases safely back in the tonic (Figure 25.6).
Figure 25.6 3 + 7 (extension) + 1
51 55 66 70
> (IVS) VL
MIDDLEGROUND VOICE LEADING IN THE TRIO
The reduction below the score in Example 25.3 reveals the middleground
|
tonal structure of the Trio. The opening phrase (mm, 41-44) prolongs the 3
|
(soprano) and 1 (bass) of the F major tonic. The 3 is then transferred into
|
the middle voice, which moves downward by step to 5 over an authentic ca-
dence in the dominant key (mm. 50). The upper covering soprano voice is
OVERALL VOICE LEADING IN THE MENUETTO AND TRIO 465
superimposed over this descent, creating a series of stepwise first-inversion

triads that lead to the § cadence.
Following the dominant pedal that opens the second reprise (mm.
51-54), the soprano moves chromatically from C° to Bk to Bb (mm. 57), at
which point the interpolation occurs. This Bb! (scale degree 4) is reinforced
by a IV® in measure 61 and provides the chordal 7th of the eventual V at
measure 65. Thus this middle section of the second reprise represents a
large-scale prolongation of dominant harmony that leads to the restatement
of the original melody and the tonic of F major in measure 66. The remain-
der of the Trio represe
nts an extension of the all-important soprano 4 Onan
66-69) before the final 3-3-1 descentin the last phrase (mm, 70-73).
‘OVERALL VOICE LEADING IN THE MENUETTO AND TRIO
Further reduction of the middleground voice leading finally brings us to the

background of a cousposition, which can be thought of as the two-part contra-
puntatal framework that prov ides the inderlving linear aud barmonic foundation
for the interplay of musical events. The
soprano line of the backgreound tends to
descend stepwise to the tonic from either 3 (3-2 -1) or 5 (5- 4-3-2 -1), The bass
line supports the basic harmonic foundation of this two-part framework. Actu-
ally, the background is probably of more interest from a purch, theorctical
standpoint, representing generalized and abstract voice-leading paradigms that
are common to many movements in the tonal era.
In Beethoven’s Menuetto, the background clearly demonstrates the inter-
rupted nature of the work's tonal structure—i-V //i-V-i, which supports the
soprano 5-4-3-2, // 5-4-3-2-] (Example25.4a). The LV-I harmonic back-
ground of the Trio, on the other hand, outlines a 3- (4)- 3-9-1 motion in the so-
prano, ini which the 4 functions as a ne iwhboring hariuiouy eAdauiple25.4b).
Example 25.4
MiMi. (5) (20) (25) (28) (30) (33) (35
O | |
Hl,
i
Le
iil
a
TWH
rr
= — :
6 5
tl J 4 3y
Ulf iv a ov i wailed) Vv i
——
466 H 2! |]
ANALYTICAL COMMENTS ON A MENUETTO AND TRIO BY BEETHOVEN
B.
MM. 41) (46 @®@
3 (4) 2
F. 1 V \ we ov I I
UNIFYING FACTORS IN THE MOVEMENT

Like every great composer, Beethoven strove to unify the different musical
elements in each of his compositions. This desire is evident not only within
individual movements but also between the movements of longer works. For
instance, the four movements of the Ninth Symphony reveal a recurring re-
lationship between D and Bb at both superficial and deeper levels. These
unifying features are not ubvays obvious at first bul sometimes le disguised
beneath the surface of the music.
This work features a number of subtle similarities between the
Menuetto and Trio. For instance, we have already observed that the initial
phrases of both the Menuetto (mm. 1-4) and the Trio (mm. 41-44) avoid
any strong cadential punctuation. The first convincing cadence of the
Menuetto appears in the relative key of Ab major, whose fornula concludes
the first reprise. Now turn to the phrase in measures 45-50 of the Trio. The
same type of cadence, a °, is employed here. The first reprise of the
Menuetto modulates to its relative major key; the first reprise of the Trio
modulates to its dominant key. Both cadences employ cadential extensions.
Voice exchange between the outer voices plays an important role in the
Trio. The initial pair of four-measure phrases (mm. 41-45 and 45-50) first
employs voice exchange; the same device is used between the outer voices
in the final two phrases of the Trio. Voice exchange appears in the Menuetto
also; look closely at the first theme in measures 6-10 and its return in mea-
sures 28-30.
We stated earlier that the thematic material of the Menuetto is con-
structed almost entirely of three short motives. There is one notable excep-
tion to this pattern—the passage of eighth-note octaves in measures 25-28,
which is different from the other motives in the Menuetto. This passage has
an important function within the Menuetto; it serves as the retransition
leading back to the first theme. But it is also closely connected to the Trio,
whose thematic material consists almost entirely of running eighth notes.
The one exception is the retransition to the return of the opening theme of
the Trio. In other words, the unique section of the Menuetto is the retransi-
tion, a passage in running eighth notes; the unique section in the Trio is
again the retransition, the only passage in the Trio that is not in running
eighth notes.
We already mentioned the lack of a strong retransition on the dominant
leading to the return of the initial theme in the Menuetto (mm. 25-28). In
the Trio, the first section of the second reprise can be viewed as an extended
prolongation of the dominant, perhaps intended to compensate for the ab-
breviated dominant in the Menuetto.
Similar musical relationships abound in this movement. If you take a few
minutes to examine it a bit more closely, you will be amply rewarded.

minuet and trio interrupted rounded two-reprise
foreground voice leading form
middleground voice leading unifying factors
background voice leading
PART THREE
CHROMATIC
2
Oar
HARMONY
See
CHAPTER 26
Introduction to
Chromatic Harmony
OW THAT WE HAVE COMPLETED our examination of how dia-

tonic triads and seventh chords operate in the music of the common-
practice period, we are ready to explore the topic of non-diatonie or chro-
matic harmony—that is, the wav in which altered scale degrees and
chords are employed in the major and minor modes.
Compare the two C major settings in Example 26.1; the first version is
completely diatonic, whereas the second version introduces four non-
diatonic pitches in the bass line. These altered notes illustrate several impor-
tant features of chromatic harmony that we will discuss in future sections
and chapters.
1. Chromatic harmony provides an enlarged tonal palette with which to

enrich or color diatonic melodies or harmonies. The term chromatic is
derived from the Greek word chroma, meaning “color.”
Chromatic harmony intensifies the tendency of
to
scale degrees
and chords to resolve. For instance, in measures certain
1-2, the lowered
scale degrees LF and b6 ( Bb and Ab) enhance the ‘hecent of the original
8-7-6-5 from tonic to dominant. Likewise, the inserted G# acts as a
secondary leading tone to the following A ((45-6)
A7]
AT2 [CH 2H INTRODUCTION PO CHROAM AVEO TEARMONY
3. Two of the altered notes represent enharmonic spellings of the same

pitch—Ab in measure 1 and Gt in measure 3. We will discuss the ram-
ifications of enharmonics later in the chapter.
Example 26.1
eons 7
aia
mm) GRE
|
$+
“s
al
—elell-
:
LY
—.
fa)
swell
co]
|
Ve
|
||
v4
elt
(?A ] I
fon
IITA Ve
|
2
Hh
e)
Oe /@
r
Part Three will explore the wide scope of chromatic harmony, ranging
from individual altered chords to large-scale tonal schemes that employ for-
eign keys. Some chapters (28, 29, 32, and 33) concentrate on specific al-
tered harmonies; others expand on topics already introduced in Part
Two tonicization and modulation, dominant prolongation, and sequences.
Chapter 31 investigates the relation of aesthetics to music. The final chap-
ter of Part LL, which deals with analvtical issues in Wagner's Prelude to
Tristan und Isolde, provides a summation of the various facets of chromatic 7
practice, much as our discussion of Beethoven’s Menuetto in Chapter 25
served as a svnopsis of diatonic practice.
THE HISTORICAL EVOLUTION OF NON-DIATONIC TONES

The introduction and use of non-diatonic tones in Western music evolved
over a long period of time. Western ecclesiastical chant and medieval secular
songs were simple melodies that emploved the natural diatonic or white-kev
notes. with an occasional Bb. Since there was no standard pitch level or refer-
ence note at that time. such as our present At = 440 hertz, these melodies
THE HISTORICAL EVOLUTION OF NON-DIATONIC TONES 473
were sung at various pitch | evels. However, they are always notated with nat-
ural pitch classes, as shownin the two melodies of Example 26.2.
Example 26.2
A. EpIrarH OF SEIKILOS (EARLY GREEK MELODY)
A mn"
| i
I
I I
i
i I
Y2. @
]
IN
mt
l
_|
]
wo.
a
I |
jt if
]
hall
I |
Yr |
eo I
t J
it |
B. Kyrik “CLEMENS RECTOR” (GREGORIAN CHANT)

a’
eo
Kv - ri-e_ c - le - i- son.
With the introduction of polyphony, individual or music with several

voice parts, composers began to focus attention on the harmonic aspect of
their music. By the mid-Renaissance, about 1500, a number of additional
notes particularly Bb F #. CR, GE and Fb—avere used to adjust harmonic ca-
dences in various wavs. Composers used them to produce major triads on
the final chord of minor-mode pieces, and performers often inserted them at
appropriate points in the music, especially in the triad preceding the final
chord of the cadence, to supply leading tones. Since these latter accidentals
do not actually appear in the score, they were called musica ficta, or “ficti-
tious music.” In most modern editions, these accidentals are written above
the affected note, as shown in the penultimate chord of Example 26.3.
Example 26.3 () PALESTRINA: “QUIA FECIT MIF MAGNA” FROM MAGNIFICAT

¢
ii
Ess
TEN
TTS
mai)
F I
He
d
ie
—
d jo)
By the time of Bach and Handel. composers emploved a variety of al-

tered scale degrees to expand their tonal resources. Notice the rich diver sity
A474 [CH. 26] INTRODUCTION TO CHROMATIC HARMONY
of harmonic sonorities and the chromatic bass line in Bach’s chorale harmo-
nization (Example 26.4).
Example 26.4
“Es IST GENUG” (BACH CHORALE HARMONIZATION)
ah
ail
alii
Hel
ya; 9
|
119]
Pal
id
i”
|
P
ml
|
mJ
7
bh
>
The bass line of Example 26.5 illustrates the various chromatic scale de-
grees used in the common-practice period; altered chords built on these
notes are also shown. The enharmonically equivalent notes (CH/DD), DE/Eb,
and GH/Ab) belong to completely different chordal harmonies within the
chromatically extended key of C major. These chords represent only a sam-
pling of the possible altered harmonies in the major mode.
Example 26.5
OI
iweb)
UU
DR
ID
—>
fa)
+
rn
hall
os
1 is
i
a -
—
#] £2 #4 b #5
CHROMATIC MELODIC MOTION

In a general sense, the term chromaticism refers to the presence of numer-
ous altered pitches in musical passages in which diatonic tones have been
raised or lowered by accidentals. These altered notes mav be approached bv
diatonic melodic motion, as shown in Example 26.6a, or by half-step chro-
matic motion, through which the F¥ in Example 26.6b is derived from F¥
on its wav to G. Altered notes mav occur either as embellishing tones in
passing or neighboring motion (Example 26.6c), or as a chordal member of a
particular harmony. In Example 26.6d we have labeled the passing chord
that contains the altered Bb with (P). Do not equate chromaticism with
dissonance as we shall see, almost all chromatic pitches form consonant
relations with their supporting harmonies.
CHROMATIC MELODIC MOTION 475
Example 26.6
A. B.
|
— |
="
ioe
|
r=
| | | |
e | | |
or
:
1 x? eS
lo" __t
! |
C, D.
P N
p +
i.
=
|
re
& ; f
33
or
_J
F f
(P)
We also use the term chromaticism to describe musical passages that

display extensive half-step motion in the individual voice parts or between
parts. In most passages of this nature, the letter name of a pitch is raised or
lowered a half step through an appropriate accidental, such as F4-F¥, BEB,
G$-G4. The technical term for such intervals as D-D# or B-Bb is an aug-
mented prim Contrast this interval with a diatonic minor 2nd, in which two
different letter names are always involved, such as G-F, Ab-G, AB The al-
tered or chromatic form of the scale degree will then resolve by minor 2nd:
C-CED, Bb-Bb-A, and so forth (Example 26.7a). However, in some instances
the altered note may not resolve in the expected way; in Example 26.7b the
G# resolves not to the expected A but back to a Gb.
Example 26.7
al
<N
bE
Example 26.8 illustrates the general tendency of raised altered notes to

resolve upward by half step, while lowered altered notes tend to resolve
downward by half step.
476 [CH. 26] INTRODUCTION TO CHROMATIC HARMONY
Example 26.8
i HG #2 3 4 #45 7 8
a t t t — =
io NA
A
7
7
T t
8 ——
j 5 3 OO i 7
Le
i fou
C2 “a) he
¥
|
C7 Vr a).
I St | T ‘
a1
v0
\ a
The bass line in Example 26.9 proceeds entirely by half-step motion: A-
G#-Gh-F#-Fi-E. Although one might be tempted to label the G# and F# are
the chromatic notes, in actuality, it is the Gk and F4 that involve the use of
chromatic alteration (G#-Gy, and F%-F%), while A-G# and G-F¥ are diatonic
minor 2nds. The bracketed section involves both forms of 6 and 7 in the
combined melodic minor scale of A minor.
Example 26.9
SWEELINCK: CHROMATIC FANTASY
75
|
TT)
|
ferrfaere fr
I
rst
t
I ‘2 Z
l | I
T
The Brahms variation in Example 26.10 illustrates a concentrated use of

surface chromatic melodic motion. Examine each chromatic note carefully
and determine the note from which it is derived and the scale degree to
which it resolves.
Example 26.10
BRAHMS: VARIATIONS AND FUGUE ON A THEME BY HANDEL, OP. 24 (Var. 20)
lea a a
2
}
ios V T
Pp
Lt|
<n
OTT
at
re
NT
NM
oa
4
qd
eq!
ENHARMONIC DUALITY 477
ENHARMONIC DUALITY
Each diatonic pitch class functions as a single scale degree in a key sys-
tem. Thus the pitch B is the leading tone (7) in the key of C major, but
in the key of G it would function as the mediant (3). However, as we
noted earlier in Example 26.1, altered notes have an enharmonic dou-
ble or twin. Since they can be spelled or notated two different ways,
they can also operate as two different scale degrees with distinct and
separate functions. The most common pair in the major mode is 45,
which tends to resolve upward to 6, and its enharmonic twin 6, which
t
tends to resolve downward to 5. Composers often exploit this duality.
For instance, in Schumann’ s “Die Lotusblume” in F major, the b6 (Db)
first appears as 4 in the foreign key of Ab major that opens the second
stanza (Example 26.11a). That section concludes with a deceptive mo-
tion from V‘ to Vs/vi (Example 26.11b), whose enharmonic C§ in the
bass refuses to resolve to a D but instead pulls back to a C§ in the fol-
lowing V3/IV. Finally, the chromatic C-C§ (as 5- 45 ) attains its goal of D
(6) near the climax of the song (Example 26.11c). Other pairs, of enhar-
monic altered notes that may operate in a similar way are 4] versus b2
and 49 versus b3.
Example 26.11
(2) A. SCHUMANN: “DIE LOTUSBLUME,” Op. 25, No. 7
10
j
=
|
4— one t
ee _—_|—
f}—_-——
@) I a |
y
4 |
Det Mond dex ist ihr Buh - le

oT
HIS
B.
16
fp}
4
“J
bh —»
I
I
|
|
|
6 —y |
i
a.
dad
!
hal
i
I
a?
Ww
mi
le
|
[
ath
|
T
|
I
a
ia
2
oa
x
2
a
x
t
l |
T
|
I
aw)
}
T
T
ihr from - mes Blu - - sicht. Sie bliiht

menge
h | | | |
i
|
i
|
!
|
it
[
|
aol t
———
| | | |
C
20
fh
LvAe |
2. LL
mabey
@ y|
mall
tis
KY
p —
I
am
i
+
as
~ ttT LT] +
wi
"4
f
T i
Yi
‘4
f if TL
| +
Mu
ry
Hoh, sie duf - tet und wei - net und zit - tert
ra\ | | | | “| | |
r
SBN
DECORATIVE VERSUS STRUCTURAL CHROMATICISM !

Most surface chromaticism in tonal music is decorative in nature, since it
involves half-step or chromatic elaborations of an underlying diatonic frame-
work. As early as the Baroque period, music theorists were already demon-
strating the diatonic basis of chromatic passages. The reduction of the royal
theme from Bach’s Musical Offering by the theorist Johann Marpurg is one
example among many (Example 26.12).
DECORATIVE VERSUS STRUCTURAL CHROMATICISM 479
Example 26.12
A. FREDERICK I: “Royal THEME,” USED BY BACH IN HIS MUSICAL OFFERING
7 ‘ ! im
“£. ge La 1 T Li aI @). ry T Ma
Bl iI
| B= nud I Lak |
]
NY
|
it
|
|
| l I T |
) a i
ii
|
oo _—__I
a
I l | |
| ul
| al
| oe T i | Lea |
haf | me T I
!
B. JOHANN MARPURG’S REDUCTION OF FREDERICK'S THEME

Qo a a a
=Tra"
.¢ lh |
7 MT
if] #7]
I
TT
|
T
I
Tr
BEd
N
ry
it
|iI T |
T
ball
i
L f7 Pat
| all
|
T ay
]
]
ae
u
I T | I
if | [ i T J l |
T I I x i 1 | oe l LU i ]
!
The decorative nature of non-diatonic pitches is readily apparent in

Kuhnau’s chorale prelude in Example 26.13, in which the chromaticism oc-
curs as passing tones. If you remove the accidentals, the underlying diatonic
basis is clearly revealed. However, as noted above, in nearly all cases the al-
tered or chromatic note forms part of a consonant harmony: you can verity
this by reexamining some of the previous examples.
Example 26.13
(@) JOUANN KUTNAU: VARIATIONS ON “JESU, MEINE FREUDE™ (Var. 9)
(7™
fh It
|
cer
Some instances of chromaticism cannot be reduced to a diatonic basis.

For example, the middle section of Chopin’s Bb-major Prelude,
opens with a direct modulation from Bb major to Gb major(1]-[bVI}), jux- wie
taposes two diatonically unrelated kevs (Example 26.14). Because the al-
tered kev of [bVI] is not equivalent to the diatonic kev of fal, this
progression represents the use of chromaticism at a structural level,
creating a chromatic key relationship that extends bevond the musical
foreground. Here, the Ds in Bb major forms a chromatic cross relation
with the Dbin Gb major.
Example 26.14
@ Crorn Prarvopr in Borrayr Mayon, Or 25. No 24
16
— aad ba
i ye
— AeeK >
|
x
rs
pips
:
eo
!
=
pigs
sz
e i
——
we!
~~
£ ¢
L
.
= pa
|b
x i
oO
oe =
i
Lo
Bb:
WI
Situations may arise in which the density of the chromaticism obscures

our overall sense of tonality. Play Example 26.15—what do you think is the
basic key? Do you even perceive a key? My suspicion is that Wagner was
thinking in terms of Bb minor, but it is far from obvious.
Example 26.15
® WAGNER: PRELUDE TO ParsiFAL, Act HI
OF
v4 bh
bh I
|
] i
Kj
I ]
1
iN
try" hh i —K
_
lanl
f
I | |
VE |
Cie
it if
i Li bh ul
e) eo bey
oOo oe:
\:
,
— Pat
L ,
6 pe |
+ 7a
a
Ves
a.
|
3 ry
a a
ry
et nl H
9 x ~ I
7). rn"
ri
vn mn"
Sa
be
+p
O14 |
———
4 bh
I
I | =
a
i I
]
ie
I
,
[
7 bh
1
Tey v | |
CA * it
Uh
im
IN |
I [
al
ai oT
e = Bed haul
4 e
it
Zhe
WA
hy
_ —Za re_| my
all
rd]
D t
tars
|
mn"
|
I i .
il
|
wy T oOo
Although most examples of non-tonal or atonal procedures are confined

to the twentieth century, we may encounter isolated instances in. the
common-practice period. We will examine some of these occurrences in
Chapter 40, which deals with harmonic relationships based on equal divi-
sions of the octave.
USING ROMAN NUMERALS TO DESIGNATE CHROMATIC HARMONIES
Along with the standard Roman wiumerals, W need to use additional aud
we
sometimes modified indicators to denote the altered nature of chromatic

chords. Most of these svmbols fall into three categories, which are illustrated
in Example 26.16.
Example 26.16
B
I] C: bVI LIT
1. We designate the chord type by an appropriate lowercase or capital

*
Roman numeral and by other symbols, such as ° for diminished and
for augmented. In the major mode, for instance, the diatonic versions
of iii, IV, V, and ii‘ mav be changed to HI, iv, V*, and ii?': refer to Ex-
ample 26.16a.
2. We indicate the altered root of a chord bv flat (rarely a sharp) imme-
a
diately before the Roman numeral: bVI, ITT, and bIL in major, or iii in
ininor Lxaniple 26. 16b).
We denote serenth chords that have certain raised or lowered chord
members, such as the 5th, in the following way: V+7 or Vo7 (Exam-
ple 26.16c).
4. Finally, in a few cases we will dispense with Roman numerals alto-
gether and emplov some other indicator, such as Ger 2. In later chap-
ters we wil] introduce symbols appropriate to the finction of other
altered chords.

non-diatonic, altered, or structural chromaticism
chromatic harmony enharmonic duality
musica ficta Roman numerals in chromatic
melodic chromaticism harmony
decorative chromaticism
1. Match the letters to the numbers.

e Enharmonic duality
1. a. augmented triad
} 2. Chromatic melodic motion b. chromatic key relations
? 3. Lowered altered notes c. denotes root is altered
9
4. V" d. tends to resolve downward by
3.5. Musica ficta half step
bh6. Structural chromaticism e. $5 versus b6
v7. “Chroma” f. elaboration of basic diatonic
4 8. ivin C major framework
~ 9. Decorative chromaticism g. denotes chord quality is changed
C10. bl
in C major h. F-FH-G
i. color
j. accidentals inserted by
performers
CHAPTER 27
: Tonicization
and Modulation II:
MODULATIONS TO CLOSELY
RELATED KEYS
1. THIS CHAPTER we will continue our discussion of modulation by ex-

tending the number of possible keys to which we can move from the tonic.
First we will look at some of the reasons why composers in the common-
practice period preferred to modulate to a select group of tonal areas called
closely related keys. Then we will examine these particular kev relationships
and discuss their relative frequency, the length of sections in the new key,
and different ways to modulate to these keys.
CLOSELY RELATED KEYS
Starting from a specific key in a tonal composition, it is possible to modulate

to as many as twenty-two other major and minor keys, not counting modula-
tions to enharmonic kevs or to the parallel major or minor mode. Although
all of these key relationships are theoretically possible, some were used very
rarely. In fact, from about 1700 onward, composers displaved a decided
preference for modulations to a much smaller group of kevs, those whose
key signatures differ from the original key by only one sharp or flat. We call
483
484 [CH. 27] TONICIZATION AND MODULATION ITI
these kevs closely related keys. It is relatively easy to modulate to these

keys, since their tonic chords already appear as diatonic triads within the
original key.
One reason for the preference for modulation to closely related keys
during the Baroque period is that in the tuning svstems of the time. enhar-
monic notes such as Cf and Db were not the same. Although musicians con-
tinued to adjust the tuning svstem, even as late as the time of Bach the
“well-tempered” svstem still incorporated slight differences between some
pairs of enharmonic notes, especially GF and1 ab. Enharmonic shifts of key
did not become common until after equal temperament was established
around 1800.
Let us begin our study of closely related keys by diagramming the major
and minor triads that are common to the keys of C major and its relative
minor, A minor. Each of the five scale degrees or triads shown in Figure
27.1 may be tonicized as a potential new key in both major and minor
modes. You will note that the diminished triad on B, either vii? in the major
mode or ii* in the minor mode, is missing from our list of kevs. Because this
chord lacks a perfect 5th, its unstable nature prevents it from functioning as
a tonic.
Figure 27.1 C major: IV vi (vii’)

Keys: F G
A minor: (ii°) VI Vil
The close kinship between the keys in Figure 27.1 is implicit in their kev
signatures, which differ by only one sharp or flat from the original kev. We
can see this more easily when we group major keys together with their rela-
tive minors.
C major/A minor: no accidentals in signature

G major/E minor: one sharp in signature
F major/D minor: one flat in signature
The keys closely related to both a major kev (C major) and a minor kev
(A minor) are given in Example 27.1. Notice the difference in mode be-
tween the members of each set: one may move from a major tonic to two
(1
major kevs [V] and [[V) or three minor kevs (fii, fail, and fiii]) or from a
minor tonic to two minor keys([¥] and fiv}) and three major keys({HI]. (VI.
and [VH)).
CLOSELY RELATED KEYS 485
Example 27.1
related keys: lil Bae I\
ay
:
major kev
Hw
Zs
>8 qy
<3 er
$ 8
Hy +1
NY eo
Pa fe)
8
qy S
P= (@] “*
Bi
related kevs: Ill WN II
minor kev
.
2 su
=> ie 3
—?2 uo
1
HU
b=4 Pa cy) —*
e
BNS94
Parallel keys such as C major and C minor are not closely related, since
their signatures always differ by three accidentals. In fact, change of
a
mode from major to minor or vice versa should not even be considered a
modulation, since no tonic shift is involved. Modal exchange and modulation
by change of mode will be discussed in later chapters.
In many common-practice compositions that modulate (and most do),
all the new kev centers are closely related to the original tonic key, regard-
less of where they occur in relation to each other. In addition, we may
sometimes find that as we progress through a piece, each new kev center is
also closely related to the previous one. In Example 27.2, which shows a
bass line and succession of keys beginning in G minor, D minor (or [v}) is
closely related to the previous G minor or tonic, F major (|VII)) is related
to the prior D minor, Bb major ([III)) is related to the prior F major, and so
forth.
Example 27.2
oo 7 i
—<— im ———
|
oe
hall
Z
!
———— o
Tq
Ly
VI Il (Vi—e[i]
kevs: & d F Bb E} c g
signature: 2b’s 1b 1b Ibs B3b's 3b's 2h’s
This affinity between successive kev centers is not always present. In

Example 27.3, the third and fourth successive kevs, A minor and D
major, are not closely related because their signatures are two sharps
apart. Nevertheless, both are still closely related to the original tonic of
G major.
486 7] TONICIZATION AND MODULATION Ill
Example 27.3
+H —— bg —
SS
SS ——— ;
SSS SSS
G: Vii
kevs: G e a D ;
signature: l# 1# 0) 2H’s 1#
In this chapter we will explore additional characteristics of closely re-

lated keys, such as their relative frequency, their comparative length, ways to
modulate between them, and their role in the tonal scheme of compositions
and melody harmonization.
RELATIVE FREQUENCY OF CLOSELY RELATED KEYS

The two most common modulations in the major mode are to the dominant
key ([V]) and to the submediant or relative minor key (vil). As we discussed in
Chapter 23, motion to the dominant area a perfect 5th higher not only pro-
vides a degree of tonal tension but also a logical way to lead back to the origi-
nal tonic a perfect 5th lower. Motion to the submediant area (vi) shares the
same pitch class content with the original key. Modulations to the subdomi-
nant ({LV)), supertonic (fii]), and mediant ([ii]) are encountered in that order
of frequency; they tend to be less favored than [V] and vil. In the case of the
subdominant, the root movement descent by perfect 5th is especially strong
and may Cause us to hear a return to the original tonic as if it were function.
ing as a V of[LV]. Compare this move with modulation to the dominant.
Compositionsin the minor mode usually modulate to the mediant or rel-
ative major ({HI]) and the dominant ([v]). We must be careful to distinguish
between dominant harmony, which is always a major triad (V) in the minor
mode, and the dominant key, which is always a minor key ([v]) in the minor
mode—we have a half cadence on V, but we modulate to [v]. Other possible
closely related goals include the areas of liv), [Vi], and [VU], in that order.
THE EXTENT OF THE TONICIZED AREA

The sense of a new key is firmly established in an extended modulation, so
that the sheer strength and length of such key changes may cause us to tem-
porarily forget the original tonic. Nevertheless, in closed tonal forms that
begin and end in the same key, we should still think of these new closely
THE EXTENT OF THE TONICIZED AREA 487
relited areas tonicizations of diatonic triads In this way we

as coxtended
never lose sight of their function in terms of the overall tonal scheme of an
entire movement. To this end, we will continue to indicate the goal of dia-
tonic modulations according to their scale degree and triadic function, as op-
posed to designating the keys by their tonic note Therefore, we will write c:
io not « Fb
of >a sc. Tr onr analyses, the new kev
arca, cuclosed within a box and followed by a colon, is followed by Roman
numerals that denote various chordal functions in the new key—for exam-
ple, II Lii®-V-I. Consult the models in Example 27.7 below.
:
As we saw in Chapter 23, some tonicizations are only transient or tempo-

rary. Although we may sense a tonal shift toward a new key at a cadence, this
shift is not always confirmed by a continuation in the new key. Instead, the
HOM phrase ties either tniediately return to the origiial bonnie, like the
Bach passage m1 Example 27.4a, or move to yet another temporary area, like
the Samt-Siieus cacerpt ui Example 27.-4b, which touicizes aud vi ui sue- i
cession, For such transient modulations, we normally use a bracket to
show the extent of the tonicization, with a Roman numeral below it to de-
note the key area that is tonicized.
Example 27.4
ON CTO DANRE DIB, O Gobi IN DRINEM THRONE B bee Hob ALE HABMONIZ\ LION)
rN
I
Pe
v4 hnem {¢
|
|
“a.
hal
rn
=
|
baal
|
hall
in
|
| |
i
_a.|
| ]
i” ]
a I
i
|
1
fou WA XA @- _@ P| |
Za i" mn m4
ltrs
iad oe oe Lad
*}:-1h {es
wolf Fw haul
ja
t
i I
l L I tT
|
“ee
II
B. SAINT-SAENS: Plano CONCERTO No. 4. HI

186
NH
{
1
i tr
e) oe
t i
ao Y oe
t
ry
6
(v1 ll
488 [CH. 27] TONICIZATION AND MODULATION III
A190.
y— —
| | |
—
+
e) I
;
e
w &
oe oe r [oJ
— +“
7 4
vd
rau :
[ ]
, nT
ok
J r =
Pa \ #2
tg 2
ul
my
I Ao
7
1 ody % I\ VD Viv oj (VooVi
1a
A196
7 |
a a
a ee
t T t t t
44 l { I
aal Le
mm
im
]
© |
|
$ 3 s £ Py
AS
I iz
ee
BS
y+
ee ee ee ~
=
f
ij
6
J L J
\ 6
oy 2 I
vi Vv
THE PROCESS OF MODULATING TO CLOSELY RELATED KEYS

Modulations to closely related kevs employ the same procedures that we
discussed in Chapter 22: sectional modulation, modulation by pivot or com-
mon chord, and chromatic modulation. Sectional modulations—that is,
abrupt key shifts at significant formal divisions or junctures—usually
. . a
. .
= .
progress from a major tonic to [V], fail, or [EV], or from a minor tonic to [LH].
7 7
[v], or [VY]. In Example 27.5, the middle section of this Joplin rag moves to
the sub-dominant I\ ({I V)).
Example 27.5
JOPLIN: “THE ENTERTAINER” (PIANO RAG)
51
2 si ss 3 a
=f
I
|
opr Pounds 4
on
re
—~
\
\
—_—
I\
THE PROCESS OF MODULATING TO CLOSELY RELATED KEYS 489
Some closely related modulations using typical pivot chords appear in

Exaple 27.6. As we noted earlier, the common chord often functions as a
pre-dominant in the new key. Since modulating passages from actual music
literature are often quite lengthy, we have employed shorter harmonic mod-
els here. Some modulating excerpts are supplied in the accompanying
Workbook.
Example 27.6
+)
~ elit
|
a
Lo
Hie
rel fe
e
lo
ry
a
»
ds,
|
etn
a
—__
|
CI yo C: J (Voi) ov .
Ve VSG
| |
i iit®) i =
iil iN aE \ i
C D.
y y om
rm
h JT
_
_ fha al
|
= |—@-—
Ltt
Lt |
| ~T
ad
om
—elel.
as
¢
$
om
re
IN
6 Il
6 6
16
E. F
Y
|
oN al} |
|
|
ty
no —‘ + ol
=
+— 7
5 amet 4
ana | oe
oe mi Tt
ry |
5
» a l« e
= LA)
ne
=
__
ry #£ = #
SS oe
oe
| Oy
4
o
|
:
@
ce (VO) i die?) i iy 1
ii?3 ve) '
iT
490 (CH. 27] TONICIZATION AND MODULATION III
Finally, Example 27.7 demonstrates some modulations to related keys

using chromatic voice leading.
Example 27.7
A. B.
ee nag | be ee
4
C I Cc: I \
11 (iio!) i i 9 3
i
il : (v8) i iv \
Vv
C. D.
|
rarer
aan.
aedes fv_|
——— =<
|__|
: ew=
NY al hal
haul
e
I ANSP
e
i
T T
| mall | wal
| | |
r
4 je oe sis t
g\*£e2ae
fe ——"s
ea, mn
——
1
+
t
aa
=
C I (v5) C i iv
iil (V3) i® i i768 \ i
[Vv]: vs) i (WD ii?8 \ i
E.
rN
|
9 9
4
ey"
5 2 9 he
|
ie
o P
|
b oe a
V4 bh IT
I !
t
|
6
(\
(V6
We may make several deductions from these models:
1. The chromaticism tends to occur in the outer parts, especially the

bass voice.
TONAL SCHEMES WITHIN A MOVEMENT 491
2. The chromaticism tends to occur early in the phrase, allowing for a
strong cadence formula in the new key.

3. The altered or chromatic note usually resolves as a leading tone to
scale degree | or the tonic of the new key.
TONAL SCHEMES WITHIN A MOVEMENT

We have of various scale degrees allow a
seen that extended tonicizations
composer to extend the tonal scheme of movement beyond a single key
a
center. Moditlations to closeh related hevs can not onl remforce contrast-
ing thematic material but also mfuse previously stated musical ideas with
fresh meaning. Within movements that are tondh closed, we nistdhy find
the following general tonal scheme: |
1.the establishment of the original tonic,

2 a modidation to a closely related key or keys, and
3 areturmn to the initial kev.
_
A retransition section that features prolonged dominant harmony often

precedes the return The choice of key sand their order affords a wide range
of possibilities to the composer. The selection of a particular tonal plan con-
tributes to the distinctive character of the piece. While some musical forms,
such as the minuet genre discussed in Chapter 25, display a fairly pre-
dictable key scheme, others may feature a unique scheme chosen specifi-
cally by the composer.
The tonal structures of three short movements by Loeillet. Mozart, and
Beethoven are diagrammed below. In the voice-leading reduction (Example
27.8b) of the short Loeillet piece (Example 27.8a), a middle alto part has
been added to fill out the harmonies.
Example 27.8
@) A. LOKILLET: SOLO FOR FLUTE AND CONTINUO IN F Major
& Yo
e
NI
bp
|
i
>}
3 i
I
|
I
a
——-—3
T
~
_
a it
ae
i
_ as
_~. i
in a rei
SSS oF
: :
6
SSS 6 6 6
492 TONICIZATION AND MODULATION III
I~
]
iad
6—_ fet
+*
mt
VA C4 ©
6 6
be
= fad
TL
me = tT
wo
6 6
16
e!
ali
wi
Hee
ry
et
é
el
ane
al]
@!
1
il
ul
|
Par
ett
oN
@.
i
q
ry
@
il
|
6 6 6 6
a
f#
@
al
WA
6 6
B, (REDUCTION)
aa an
16
Se
ay P
oy
hay
TONAL SCHEMES WITHIN A MOVEMENT 493
4 3 3 3 i
A os om ¢ oe
t__ .
|
SS
The first reprise concludes with At the opening of the

a cadence in [VY].
second reprise, the chromatic C# defines the initial A major triad as a sec-
ondary dominant of vi, which becomes a secondary dominant itself in turn,
and immediate leads to an extended Passage in fii], This supertonic her is
cadentially confirmed in measure 15. The descending root movement by
Sths that commences at the beginning of the second reprise (A-Dm-D-Gm)
continues through dominant harmony past the tonic to [Vin measure 19 be-
fore turning back via the V§ to the final chord. After the four-bar
I
¢
grouping
in the first reprise, Khe secoud reprise divides mitu iwvo sections, each seven
THeASTIFES 111
Jongth.
The scale degrees written over the soprano (Example 27 Sb) reveal the
overall voice leading iin the upper part. Following the initial 3 (A°) in the so-
prano, the 4
(Bb°) resolves back to 3, which then descends near
the end via2 to the final 1.
neighboring
The tonal scheme of the Trio to the Minuet of Mozart's “Dissonant”
string quartet, shown in reduced form in Example 27.9, demonstrates an as-
cending succession of Keys leading tu the domunant: Li} LV].
While the modulation to II is confirmed by a cadence, the motion to {ix} is
more transient in nature. The return of the tonic is preceded by a retransi-
tion based on V‘ harmony.
Example 27.9
STRING OU ETE TIN CAMB DissonwwT KR TEE paste TON AT ATE
9 17 24 29
Trio br be be o be
— =
—
>.
——___» Ill
Often an examination of the tonal scheme of a piece or movement may

give us a clue to its formal design. For instance, many popular songs of the
1930s and 1940s display a thirty-two-measure quatrain form of A A’ B A’,
The contrasting B section or bridge is frequently differentiated by a change
of key. A similar situation can be found in the key scheme of the last move-
ment of Beethoven’s Piano Sonata in G Major, Op. 49, No. 2, which has
been extracted in Example 27.10. The periodic recurrence of the tonic key
suggests that the original theme probably reappears with the tonic, while the
contrasting keys suggest locations where different thematic ideas may occur.
This conjecture is confirmed by the piece’s actual thematic material. The
movement is cast in rondo design, in which the first theme or refrain alter-
nates with contrasting ideas or episodes. Thus the underlying key scheme
supports the melodic plan.
Example 27.10
BEETHOVEN: PIANO SONATA IN G Major, Op. 49, No. 2, II, BASIC TONAL SCHEME
A B A C A
t 1
1 27 47 67 87
= LhOO
~ OI an ] Ty
f° _ Mi aa =. 1 lt |
Hl
G: IN Vv
Our brief discussion of these movements illustrates that the process of 4
tonicizing scale degrees elevates them to a higher level of structural impor-

tance. However, the series of consecutive key areas is not recursive—that is,
the succession of hevs through a anovcment does not always produce chord
progressions that are typical of measure-to-measure harmony. Thus, we
must be careful not to confuse the different levels of the tonal hierarchy.
Modulation to closely related kevs provides a significant resource for tonal
variety and contrast in melody harmonization. Modulations are especially
useful for accommodating different patterns of scale degree motion at ca- ;
dences. Since one function of cadences is to stabilize new kevs, potential ca-
|
dence tones in the melody should be examined first to ascertain whether
they reflect a move to a different tonal center. Each pair of soprano scale
steps in Example 27.11 suggests several different cadences. For instance.
scale degrees 2-3 in major could support not onlv the familiar imperfect au-
thentic cadence (V-I) but also a Phrygian cadence in the submediant key
(lvil 1V iv®-V), or even a half cadence in the supertonic key (fii]: i®-V); see Ex-
:
ample 27.1la. The succession 3-2 in the minor mode suggests settings in the
tonic GV ), mediant ({ILI]: I-V), or an inverted Phrygian close on scale de-
gree 5: ([v] : iv-V); see Example 27.11b. In an inverted Phrygian cadence the
usual outer voices are exchanged, so that 4-5 occurs in the bass and 6-5
occurs in the soprano.
Example 27.11
A. B.
2 3 4 5 i 3 3 3 8 7 6 5
A
—
i
——
is
rf |r it lr F it
— =e =
— | J
=
3
:
o—
|
—_@— oe I
r oF if
Gc VT [ifiv® ov.
fi: i Vv e i
vbw v
When harmonizing melodies that may incorporate modulations to

closely related keys, first examine the melodic lines leading to the cadence as
well as the beginning of the phrase immediately following that cadence.
Label potential related keys and then fill in the remainder of the setting, try-
ing to work out smooth transitions between the various hevs, Fvanple 97,12
illustrates this method; the cadential notes, with their tonicizing harmonies,
are sketched in first. Then the inner voices and the remaining harmonies are
Med in Note the overall progression af koys; they Hhrongh A STECCUS=
sion of descending 5ths, from |vij to Li to [VJ to [T].
Example 27.12
A. “BRISTOL” (HYMN TUNE)
# | | + 4
oN i
1
|
t |
__
| | | |
Pid a. T ]
ia |
ri
___}
3 or
NV hall £.
o——f# e+
ion
if
i"
I
f = t
it _—
= —
G: I i \ i 7)
ii?78
2
\
y .
i
j
44
vo ove I, V L,
B
rN
4 no)
SIRE
| | |
, | | | | |
___|
i
era
TL |
+; —+
|
rd +
iH
—
hf
™ a
T t —= T
—_— —————————— ~ ___#

a
i
.
o——_| SE
|
I | I
i a rn i
fw fe fe OY
———*
,
TOUT
Bach’s different settings of the chorale tune “O Haupt voll Blut und
Wunden’” illustrate his ingenuity in harmonizing this melody.' Play the three
harmonizations of the first two phrases of the chorale in Example 27.13 and
contrast the settings. In Example 27.13a, a chromatic motion (G°-G®) pro-
vides the means of modulation from to [vi]. In Example 27.13b, the sub-
mediant key starts earlier, with a pivot chord (ii in C major = iv in A minor).
allowing the first phrase to end on a Phrvgian cadence in hil. The last setting
(Example 27.13c) is more adventuresome; after the first two chords in A
minor, the phrase makes a transient modulation to D minor (iy]). The Cin
the third measure produces a cross-relation with the C# in the preceding
1. Donald Martino’s edition of the Bach chorales transposes multiple harmonizations of the same
tune to one kev in order to compare them more directh: see his 175 Chorale Harmonizations
of J. S. Bach: A Comparative Edition for Study (Newton, MA: Dentalian. Inc. 195-4).
cadence. Bach harmonizes the D with an ambiguous diminished seventh

chord to soften the jarring effect of the cross relation and to modulate back
to the original key. Even in measure 2, the partwriting has its share of pit-
falls; observe the leap G’-D” in the tenor to avoid parallel 5ths and the curi-
ous melodic 7th in the bass on beats 3 and 4.
Example 27.13
COT vote Bett Wr Bac bh CHORAL OLEABALONTZNFIONS
ar
rN
dn
"a _| +
|
TO
4 | I I
ri
{ I
iL
—— r
C I
—— .
(chrom.)
@) B
ar
A |
WN
i
~
>
oe
|
|
+
I
+
j
498 [(CH. 27] TONICIZATION AND MODULATION III
Summary of Modulations
1. During the Baroque and Classical periods most modulations oc-
ait
curred to closely related kevs whose signatures were not more than
one accidental removed from the original tonic. From each major
or minor tonic there were five such kevs (see below); since the vii
in major andii in minor are diminished triads, they cannot serve as
A
potential tonics.
Major kev: LL] to Vl IV lil Vil ill
Minor key: Li] to [ii] [Vv [vin
. [V],
The most frequent closely ‘elated keys are [V] hal, and [ii] in the
major
mode, and [11], [v], and [iy] in the minor mode. The first two keys in
each mode normally comprise the more extensive tonicizations.
3. Modulations to these kevs employ the three techniques mentioned
in Chapter 22:
A. Sectional modulations usually involve direct shifts to [¥]. [IV or
V1 in major, and [U1]. liv], and V in minor.
B. Pivot chord modulations again favor the use of pre-dominant

common chords in the new key: ii in LL] = iv in vil.
C. Chromatic modulations tend to feature the chromatic inflection
(such as 5-$5-6 in a modulation to [yi)) in the bass voice.
4, In melody harmonizations, scan the scale degrees near cadence
points for possible confirmations in new related keys. Try
slosely
to reinterpret the scale steps, such as 332asa
possible half ca-
dence in C major (E E D) could also appear as2 2 1 in D minor
or [ii].
Since the process of tonicization is one of the most important means of

injecting tonal varietv into melody harmonizations, it is imperative that we
become sensitive to the possibility of re-interpreting melodic scale degrees
from one key to the other.
ms
Ter and Concepts for Review
closely related keys extended modulation
change of mode transient modulations
closed tonal forms tonal scheme
1. Figured-bass symbols have been provided for the two-voice frame-

work in the exercises that follow. Using the figured bass to aid you in identi-
fving the chords, provide a Roman numeral analysis; it is not necessary to
realize the figured bass in partwriting. Since each passage contains a number
of short modulations to closely related keys, be sure that you use the correct
method of denoting a pivot chord or chromatic modulation. Below each ex-
ample list the closely related kevs that are not used.
Example 27.14
A.
O14
“2
\
=
| | | | | | | |
Ago
t
—-——
|
Te
re =
t
7 os =
ry
2p Oe |
b
_—
6
u
6
ez
|
4
t ———
|
6
|
4
6
T
=
|
“"t
i 6
Pe pt
m i OR) .
oe
I
———Yr
|
o—* TT
re.
i
I
[ | mal
f
an
f
|
|
>
| | | } |
|
ge 6 4 6 B® 6 B 6 6 4
|
4 5 4 5
3 4
{ t
4
i A Lal “Te
a Dud
ry
fae
te
Pid
4
SU
D>
GER
D
6
D
asl
500 [cHl. 27] TONICIZATION AND MODULATION III
bs
|
te
| |
i
|
l
|
i= +
| |
f f }
a
T
it
—
| |
=
|
e) Lo
Dot
—y—H}
6
ete 6 6 6 4
6 6
5 5 Gg
5
2. Provide a four-voice setting of the three-note melodic cadences

below. Use a different key and appropriate cadence for each pair and pro-
vide a Roman numeral analysis.
Example 27.15
A. B C.
Awan | | | | | 4 | | , | | | |
oN i ! Om
+
|
=
z= z—?=
[ 1 | t t t
= = = 7. ! t
o — =
——— o
|
Ky o
e)
nd CN —
I
pe
C H A P T E R 2 §
Modal Exchange
and Mixture Chords
N THIS CHAPTER AND THE FOLLOWING TWO, we will focus on spe-

cific altered or chromatic chords that are used in tonal music. The altered
scale degrees in these chords afford us the possibilitv of expanding the spec-
trum of harmonic color available in our previous diatonic progressions. To il-
lustrate this, let us examine the passage in Example 28.1, which starts in C
minor and then, following the half cadence on V in measure 4, changes its
mode to C Hor While the second phrase 1S cleark in the Hao mode, the
music still retains certain scale-degree inflections that derive from the parallel
minor key of the first phrase. These inflections produce three different chords,
tiarked with arrows, each of which contuns at least one altered scale degree.
Example 28
O
2 | 4
= ll
1
Pa jane
haul
HIF a
i
Lae
] | }
eo
I he. fe lal T _a
—
I
he
I
it im
' a beeen
|
| T
I
C ~~ ata
—
1
501
502 [CH. 28] MODAL EXCHANGE AND MIXTURE CHORDS
egg
y
=—
oo r
e 2 2 o the lhe
t
._ |_|" to
——————————
!
In this chapter we will focus our attention on relationships existing be-

tween the major and minor modes by examining the use of contrasting par-
allel keys, and the chords that are exchanged or borrowed from one mode to
the other.
MODAL EXCHANGE
The major and minor modes were clearly delineated in the tonal composi-
tions of the later Baroque period (ca. 1670-1750). A movement or an en-
tire piece of music exhibited tonal closure by starting and concluding in
the same kev and the same mode, although interior modulations were
possible. Later composers began to experiment with blurring the modes
by introducing passages in the parallel major or minor key. This tech-
nique, known as modal exchange, was frequently employed bv
Beethoven and Schubert during the opening decades of the nineteenth
century. The use of modal exchange increased throughout that century to
the point where in some cases it was difficult to tell whether a passage
was in major or minor. Indeed, this modal ambiguity became distin-
a
guishing trait of late Romantic music, providing an additional means of

heightening its expressiveness. The later music dramas of Richard Wag-
ner tvpifv this tendency.
In vocal compositions, modal exchange is often utilized in order to
highlight the dramatic contrast between two passages of text. Changing
from major to minor mode creates the effect of changing the mood from
bright to dark: changing from minor to major creates the opposite effect.
The French national anthem, “La Marseillaise” (Example 28.2), contains
an example of this practice of text painting. The change to minor during
the third phrase (m. 16) heightens the effect of the following major-mode
call to arms.
MODAL EXCHANGE 503
Example 28.2
RoOUGET DE LISLE: “LA MARSEILLAISE” (FRENCH NATIONAL ANTHEM)
16
=
{.
ca
t
le
= ro
4.— ee
Il vien - nent jusque dans nos {bras - vos fils; ss vos. com -
Wh.
gor ger
-|
)
ss
t
IIIIZIII
e-
5 5 ¢_
ew
it
ye : ~
: va
,
abe I i
i 4 ee 2
L
a ome
I I
on
ih
pag
- nes. Aux ar - mes ci - tov- ens!
te 2 A #/|8
oO
#
°
tte |
ry ye e |
ib t t
x vi
ae
|
A:
Hs viennent jusque dans nos bras They are practically in our midst, coming
Egorger vos fils, vos compagnes. To slaughter vour sons, your dear ones.
AUX armes citovens! To arms, citizens!
The alternation of modes in Schubert's famous song “Der Lindenbaum”

(Example 28.3) reflects the changing moods of the wandering lover as he
sadly recalls his beloved while beholding their favorite tree now wrapped in
the winter snow.
Be
Example 28.3
SCHUBERT: “DER LINDENBAUM” FROM WINTERREISE
4
9
a
_ |
ue
or. | I IN A IN T I 1 I KX | |
woe? Tome
ri
a
=. my
t
mt
T
my
t
T | i ay ix |
rT
Lh if
LT
l
iJ
4 |
Am Brun - nen vor dem Tho - re da steht ein Lin - den-baun:

BoE. N |
_
. {ih U
|
it
I |
if
I
im
il
fl
I ay IN
it
1
IN
$: a I L 5 Th
e @
U
NLL¥
vw we wv ao
fam ,
. ,
|
|.
e . La aI fi
—A.
_|\ a LC
a ri
K
a
__}
=
J P|
14
A
t t [
had
{ @ Ty
504 (cH. 28) MDAL EXCHANGE AND MIXTURE CHORDS
29
h_4
Ve Cp]
_K K AT I = LT
Af
T ] 1 T
IN
Lf C7] rn mT i i ay i i ae!
-
T
tT
IN im
=
V i
-_
Ich musst’ auch heu - te wan - dern vor - bei in tie-fer Nacht,
f 3
= ==
4 —
4 ep 2
TAN vA L
eo
| FT =>
= wv?
3
—
7
4
1
oye 6D O
rn 1 ry
L| Or '
vA3 “a. a 2.
i fi
a rm wal l
|
SS
1 1 I l [ T
| |
e:
Am Brunnen vor dem Thore By the well before the gate

da steht ein Lindenbaum: There stands a linden tree
Ich musst’ auch heute wandern I had to pass by it now
vorbei in tiefer Nacht, In the deep night
Modal exchange is especially effective in instrumental pieces based on a

narrative or story, such as nineteenth-century program music, During his pic-
torial odyssey of the Moldau, Smetana associates this famous Bohemian river
with a recurring minor melody (Example 28.4a). As the river finally surges into
the open sea, the mode triumphantly switches to major (Example 28.4b).
Example 28.4
A. SMETANA: “THE MoLpau” FROM M4 VLAST
—
=>
40 _ =. >
=
°
——~
04 .
£. Uy ee |
PA
AVY ie im
Zaz Em i
___¥ !
l
,
I
@)
V
Pp
oy ae 0] —+ <a 5
ae cy ava a oy je YZ ay xm CY] ge “@.

lf 7 i e
C77
T
e i T
if qT
V
|
e:
C) B,
333 e
tity
e
44 we
7.
UY
©
~~
a.
Ty i
:
LLa
f s
I
#:
jf
TAN J —__|
_l—
\4
CF Ty
ry) 4 4
a.
6
WA
\o 4.
,
ae a
Of
UE
|
C77
I Ci ©
C)
#: e
¢:— e
e
e
OD
E:
MIXTURE CHORDS IN THE MAJOR MODE 505
MIXTURE CHORDS
We will now direct our attention to an examination of individual mixture or
borrowed chords—that is, harmonies that contain chromatic inflections or
scale degrees borrowed from the parallel major or minor mode. Example
28.5 compares the scale steps of the major and natural minor systems. The
notes in the major scale are marked with upward stems; those in the minor
scale are marked with downward stems. Since the differing degrees turn out
to be 3, 6, and7, these are the notes or scale steps that can be borrowed or
exchanged from one mode to the other. Remember that the raised 6th and
7th scale degrees in minor are already present in the major mode.
Example 28.5
major
b3 43 L6 46 7 yy
1 4
hi i + ] i
"I ‘Tl
av
aPl h he
|
it
v4
i
i |
0 im v _t]
a
_
i fam! ] 1 Beall
po
I
Ao
XY
|
rl
oe i
| UT
| |
|
minor
MIXTURE CHORDS IN THE MAJOR MODE

Most modal borrowing involves scale degrees that are transferred from the
minor mode to the major mode. These minor exchanges mav be found at
all levels of the major mode’s tonal hierarchy, ranging from individual
chords to entire kevs. The primary mixture chords in major feature the
lowered scale steps b3, b6, and to a lesser degree b7. Since these degrees im-
part a somber harmonic color to passages in a major kev, thev are particu-
larly valuable iu suveesting darker associations arising from cither a
musical or extra-musical origin, such as the text of a song. Example 28.6
lists these chords with their Roman numerals.Carefully observe how we
denote each harmony: A lowercase or capital Roman numeral indicates the
chord type (iv), while a flat sign before the Roman numeral denotes that
the root of the triad has been Tow ered (V1). Identify the borrowed modal
scale degrees in each chord.
imple 28.6
66 L347 6 LG. 5 a 6
fh cr G
| e
rr? be
~—58
8
—THay thes ibs
a
C:
.
i
sex
By
ii!
th —
LETT
tots
:
iv
i
LVI
+
|
LV- On
vii?!
mI]
—H
As vou see, all of the diatonic chords in the minor mode may occur as
mixture chords in the parallel major. Because of its characteristic b6, the vii
ia
Hei
he COT sick ‘TE “dl rena lint Tre cl ord il ity WoaS \We ai Yo 1 shor le] AN ‘ich don-
1
C
4
bling an altered scale degree in these chords unless it functions as the root of
the chord.
We will now discuss each of the individual mixture chords and their dif-
fering harmonic functions.
The i Chord
The minor tonic (i) normally occurs transient harmony in a passing or

as a
neighboring capacity. It may follow the normal I as a chromatic inflection, as

in the Becthoven excerpt (Example 28.70), or momentarily snbstitute for the
major tonic, as in the Brahms quotation (Example 28.7b). In popular songs
the tonic (I) is sometimes followed by its minor-seventh mutation (i'), which
then functions as a pivot chord (ii') to initiate a tonal shift to a key one whole
step lower (Example 28.7c). Charlie Parker’s “Ornithology,” based on the
harmonics of the tune “How High the Moon,” opens with several examples
of this progression.
Example 28.7
A. BEETHOVEN: KYRIE FROM Missa SOLEMNIS
f\_4 37 ’ 4 4]
ts =
£5 — AT Yr
+
ge zt
oO
* —_ as ay) C4 ES
a eo #£ 2 é
oe il |
if If
ye
TT
|
I dl
I
:
aq
D: 18 i)
B. BRAHMS: EIN DEUTSCHES REQUIEM. IV a
43 ’
poe
XY
P—ry
+
°
:
|
P=) I
as
. oe
:
i
!
hese
~
Ht
;.
4 =
CE
WA YY
t
fy_T v2 | »
I
Leta’
|
i
fe
|
=ni
iH
|
fe
I —
+
ra——
et rt
_@—
{
T
I
|
ani
wo
————
i
i
|
hh
La
eo
AWA
“
It
as
Bb WV) ii?’ (i) V/V
Ai > m'
ied
-
x oe
|
11 B! i
The iv and ii?’ Chords

The iv and ii?’ chords and their respective inversions may function as pre-
dominant chords at cadences, mav appear in embellishing progressions
within the phrase, or may act as neighboring harmonics to the tonic Th all
eases the crucial altered scale step is LG. Which resolves downward to 5 Fy-
cach of four models ui Example 28.5 aud determine the basic fuic-
tion of each mixture chord. wn Example 2S5-Sa the iv and ie
act as
extended pre-dominant to the cadence: im Example 28.Sb the i?) appears im
an cmbelishing progression that opens the plirase. while the harmonies iy
ENarmples 28 Se and d sugeest neighborny chords to the tonic
Example 28.8
A B C Dp
gp —
este
|
5 T
Vere
obe espe rey
- $ he fe eee
(
€
1 i (bo 1 qv! I 1 (i 6
In the Bach harmonization (Example 28.9a) the bass of the first isIV
lowered, changing it to a iv’ (6 to b6), which then resolves to VW" and on to I.
In the opening of the Saint-Siiens aria (Example 28.9b), the L6 in the bass
(m. 3) intensifies the ii?) pre-dominant function; this note is already antici-
pated in measure 1 of the vocal line (Bb). In Mozart's slow movement (Ex-
ample 28.9c). the use of the ii?2 during the momentary tonicizations of V
and IV is particularly haunting. Compare this passage to Example 28.7c.
Example 28.9
“HELFT Mik GoTTES GUTE
>?
@) A. PREISEN” (BACH CHORALE HARMONIZATION)
fh 4
#
AZ Y
uy
|
Lin l
E: V4 ve iv? vi Vo
C Bo Suni eSakANS SMON COPUESOUVT LV PAVOIN FROM Savisox pb 2) Act TE
fh |
32
———— a — TT
|
ae,
i T J ‘amet. T T
LT
|
1 [T i
+—- —+ t + +
Jj i?
t
v —_
— T l
ee
I
Sen Le
Ah! ré a ma ten - dres - se,

ponds
[Db
bh {4 ee
T
|
it
|
ry
een
T
ry ea
L
"| T {
T
yy Cv
ri iT
T
3
bb
.
e
-@ = LT _
Y. ry
a ry ry
a me vy 7
|
bh TT wi ~ bh
VY
ve Dew il aS aS —
Db: I 1°
ii” \"
MoZar1 STRING QUARTET EN B-FLAT MAJOR HUNT K.458. I
37
6
Il v4 ll v4
II
I\
During the Romantic period, increasing disenchantment with the overly

familiar authentic cadence (V‘-I) led composers to explore new harmonic
means of cadentially approaching the tonic. As a result, they frequently re-
sorted to the old plagal formula with a new twist—the added use of a mixture
chord. This procedure can be traced in three successive stages in Example
28.10. The first progression (IV-L) in Example 28.10ais altered |in Example
28.10b through the ‘introduction of L6, turning the subdominant into a mix-
ture chord. Then the soprano traces a passing 5-6 motion above the 4 in the
bass, on its way to the 3rd of I (Example 28.10c).
Example 28.10
A. B. C.
A | A |
e e |
e
_.
| | | |
2£ «#
_« 2 # a
St
|
———
5 6
(IV) | (iv) I av I
Wagner associated this cadence with transfiguration in the concluding

harmonies of several of his operas, one of which is shown in Example
28.1la. Popular songwriters of the 30s and 40s later adopted this progres-
sion, frequently using it to underpin the climax near the end of their tunes.
The last A section of Jerome Kern's “All the Things You Are,” which appears
as Example 23.1, ends with the progression IV'-iv'-L-ii'-V-I (Example
28.11b).
Example 28.11
@) A. WAGNER: GOTTERDAMMERUNG, Act II
tbpt-qy
dnd ef oe ————
o
—
2
Por
be — :
f
; vA
A
a:
@)
ey
4 —_¢ te
; }—
FT
—
Y vi
@—| Z
ne _—
ao
|
| |
Db: I
iif
PN J bb
a
<. ial
[fy OP hb
~ J? eo
f a bbe
Hh
TPT
Lamp by
Ns IV iv (i OG2)
+
pe Th
fy
bh
6
Db: IV iv
»
B. JEROME KERN: “ALL THE THINGS YOU ARE
ay
io)
a)
(@)
Ab: (Vi ll IN iv
Jy,
an,
[@]
He
Bh
as
|
—
fe Th
2h Tr
4 ay
6
(° il
MIXTURE CHORDS IN THE MAJOR MODE OI]
The iv and ii®' are particularly well suited to interject a sense of ominous
foreboding in the major mode. In nineteenth-century opera, pre-dominant

mixture chords were frequently and effectively exploited in arias when the
composer wished to project a feeling of dread. A beautiful example occurs in
the final act of Verdi’s Otello, when the innocent heroine Desdemona sings
her aria “Ave Maria” as she prays before the Virgin Mary (Example 28.12).
The pronounced b6 or Fb (notice the iv® and ii*) at its ethereal close antici-
pates the enharmonic modulation to V (E
= FS) at Otello’s entry, which is
depicted by the deep tones of the double bass, suggesting that his intentions
are other than making love.
Example 28.12
@) VerbI: “AVE MARIA” FROM OTELLO, ACT IV
2 2 2 2 2
—— —,
49 «2
O14 — — — — — —
YZ AT
{65
e)
7 amare A
b
= |Steve
s [oe |e +e
I
[=
2
|
re —
oF
mA
e
Abs TV (iv) 1®——> 1 IW? ii?) rov®) 68%) 6
Abt?
Tey"
= = =
ry)
4 A
iN
rau
aa
4
|
IN
—a
|
ieee
S\
( b\ ) enharmonic
The >VI Chord
The lowered submediant (bVI) is an especially striking harmony and is

found in a variety of contexts. It probably occurs most frequently as a sub-
stitute for the diatonic vi in deceptive cadences V-VI (Example 28.13a).
512 (CH. 28] MODAL EXCHANGE AND MIXTURE CHORDS
In this case the chordal 3rd (1) of the bVI is doubled to avoid either an
augmented 2nd or parallels in the partwriting (Examples 28.13b and c). A
common-tone is often used to bridge the motion from I to bVI (Example
|
28.13d); the striking chromatic relation between 43 and b3 is typical of this

progression, This chord is often followed by a mixture iv triad (Example
28.13e).
Example 28.13
A. “VATER UNSER IM HIMMELREICH” (BACH CHORALE HARMONIZATION)
fh
ye |
|
en
|
ri
|
I
_ I iH
|
J
|
J 1
A
ay
__—_}
=
rw rm
=
| nal sd
—
am
|e,
—? be
4
— —
Ce
— if I I
ue
|
F: I (vi) iid VV oOOVI
B. C D.
woid OK avoid OK
f__| h
:
| | | | | | |
——
rt
|
rnd rn nd eo |
be oe
b\
6
(\ H
In the scherzo of Beethoven’s Sixth (“Pastoral”) Symphony (Example

28.14), the tonicized bVI of the deceptive cadence abruptly interrupts the
“Merry Gathering of the Country Folk” with a premonition of the impend-
ing F minor “Storm.” The appearance of bVI at the opening of the new “|
section initiates a series of modulations to distantly related keys not shown
here.
Example 28.14
BEPTHOVEN: Syatprtony No 6 “Pastors. TEE ro FV
attacca
A 261 5 I
otmI TD,
_
6b.
Allegro
j
:
al
sfmee
oe Leela | |
Pp
+) 3 ¢
|
|
$ +
I
—$
i
s
——
| |
t
\
rb
an a
—
o
P=
i
=
a
| |
- -
3
i f
{
rf
:
F: ] Vi
h a
vA bt?
|
= be
re
=
=
—_
bl
i sd
v
—
~
ano
BS
s
| I
= =
i
oO j :
LNT :
The UI Chord
The major triads bHI and bVIT are found less commonly. The familiar aria
in Example 28.15a substitutes a bIII® for a cadential ©: the V' that immedi-
ately follows also resolves deceptively to a bVI. In the Beethoven intro-
duction (Example 28.15b) the bIII® in measure 8 is preceded by its
secondary dominant and moves to a bVI before resolving to the dominant.
Notice that this passage’s bass line moves chromatically from A down to E
(A-G#-G E)
Example 28.15
A. WAGNER: “HYMN TO THE EVENING STAR” FROM TANNHAUSER, ACT ITI
42 —
ron
LZ.
a os
#
t
l
i
the-
¥. J
|
4
5
a
al
i
y)
E
2
LZ
|
T_T
|
be—_—_—_— a
{
I
o
io!
"4
1
=
___]
1]
“UF l r
I I | 1
O du mein hol - der A - bend - stern,
4 »
pf? 4 Ue ay =z
it
I aL he
i rt aL aL a?
L. L >. x wal
mi @
2 _| |
it
XN
= wv oe
|
oe _
GI ii (b11®) v! LVI
for 46
B. BEETHOVEN: SYMPHONY No. 7, I 4
a J
VA/T
bP
ss
2
ib
rp
emp
)
Pe +
new
Sea
™e
iam
q
am
Lie
N
Sa
eL
DR
verb LT
1
bIIT Vv
=
“
The bVII Chord
Although the LVI is comparatively rare in classical music of the common-

practice period, it occurs with greater frequency in certain popular styles of
the twentieth century. In addition to appearing as a quasi-modal substitute
for V in folk and rock ballads (Example 28.16a), it often serves as an embel-
lishing IV/IV, producing an ascending 4th progression: LbVIL-IV-I (Example ;
28.16b). This succession occurs as the underlying harmony in many rock
choruses, such as the Beatles’ “Hey, Jude.”
Example 28.16
(@) A. GEORGE HARRISON: “SOMETHING”
13 Zz
fu
ry}
ae
#
~
VY
r
]
—
| a TJ |
a
— Y u
|
x
=
T
I — Tv He
You're ask- ing me —__ will my _ love grow, I don't know, _ fa
f) 4 , — —_| ZN g: |
ii.
0
e
Fe
e \ @ a @ I |
et
yu
O — 1
‘i fl
4
I ]
it i”
a. a.
i
] i
i"
I
if if
i
i
ri
|
4
I |
|
if
ri
|
i :
P|
ind
hl
oe it
os *
T
il
-o ee {_———
oe a
4
bd
\ !
hem
Lt
~a-
6
don’t know.
Af
yee
TT ” ¢
haa. w
4
Te
IV bVH
(for V)
@ B LENNON AND MCCARTNEY: “YOU NEVER GIVE ME YouR MONEY”
32
A
|
\ 5
= UW
a T i
Lv 4
7
Try
ANAT
a ©)
VT
LZ
a a "4
iw
"4 TT
T
i
CY]
L
|
5 py
oh, that mag - ic feel-ing no-where to go.
fa) |
aN
—
AZ
Li qe
|
ba
! I [
= |
I
T
]
ry ay
———
1
~ a
|
Tm VT x
4
e
{
Go
we ~@
is
|
th 1 |
2) t
|
ec vs @ |
C: I bVII IV I
(or IV/IV)
MIXTURE CHORDS IN THE MINOR MODE

We have focused primarily on mixture chords in major that have been bor-
rowed from the minor mode. Although individual mixture chords in the
minor mode borrowed from the parallel major are actually quite rare (exam-
ine Example 28.17), we may find such relationships occurring at a deeper
level, such as between sections of a movement or even between entire
movements. We can hardly regard the major tonic (I) as one such example,
since it occurs either as a Picardy third at the end of minor-mode composi-
tions or as a secondary dominant to iv. The minor mediant (iii) and submedi-
ant (vi) appear more commonly as key centers than as individual chords.
Example 28.17 |
I 1
mV mp =
4
I
ai
C: ii fii Ri
THE II] TRIAD AS A SECONDARY MIXTURE CHORD IN MAJOR
Although the III triad (E G§ B in C major) normally functions as a VAi ina

major key, on occasion it mav appear in a different context—as a cadential
goal of a phrase or progression (see Example 28.18a). Some theorists have
classified this harmony as a secondary mixture chord—that is, a diatonic
triad such as iii whose altered 3rd (G) does not result from modal mixture. It
is normally preceded by a ii’, suggesting a Phrygian cadence in the relative
THE II] TRIAD AS A SECONDARY MIXTURE CHORD IN MAJOR 517
minor:
if? II = Vi ‘iv’-V. Notice the typical soprano 6-7 in “St. Anne” or
1-2-3 in “Annie Laurie.” The chord that follows this is
progression, however,
not but rather a tonic triad in 28. V‘ in Ex-
I
usually a as Example 18b ora as
Mi
ample 28. 18@that immediately returns to I. In the Verdi excerpt, the is
extended through the insertion of its secondary Vi(A (A Cf G) in measure 3. CHE
Example 28.18
@ A. “St. ANNE” (HYMN TUNE)
= , royoF Pf
—LZ. AT |
oe -¢
— 4
ll III lv IV (I ll
@) B. “ANNIE LAURIE” (SCOTTISH FOLK SONG)

; 5 5
4 i
5
ha oo
7 | | |
Ll
toh
im
+s
GS
ro r ore id
| A
<
£)
|
Cm"
J
Cd iow) Pot Pi
{¢ 2 1
ry Ld Ss
=
_
—
+ eo t .s (2 >
|
ii !
ie
G1 ii” I
J @) C. VeERpI: “CELESTE AIDA” FROM AlpDa, ACT TI
i t
:
a
=——— =
te 3
a=
i
t
ee a oe =
ry
mi - sti - ser - to di lu - fior, del
CO cee
.
bv a
] i
} | | I
ia
J
all |
rl ry
lh i"
g it
e
|
ig .
th e | | i
= i [
ae
|
fo oe oe
1 I | I
2
. Tt
@)
ie
°
e 2. ey
one
Dual
»
ry (YI
t+.
el
ms
O
o@
T
oe
huff
am 24
L ay
.
je a)
A A
5 es eo e Wi ial e L | al {
L Jun L
e o [
al
| |
.
Bb: IV Il] VALI Ill I

THE RELATIONSHIP BETWEEN SCALE DEGREES $5 VERSUS }6
One of the most frequent enharmonic relationships in the major mode oc-
curs on the half step between scale steps 5 and 6. If you spell this note as a
5, you indicate its tendency to resolve upward to 6, but if you spell it as 6,
you indicate its tendency to resolve downward to 5. This enharmonic conflict
between 45 (CR) and b6 (bD) occurs throughout the introduction to Sousa’s F
major march “Hands Across the Sea,” spawning two completely different
harmonies—a secondary dominant (the C% implying V%/vi) and a mixture
chord (the Db implying ii”3). Play the excerpt in Example 28.19 and examine
the accompanying reduction, noting the voice-leading tendencies of the
pitches to either rise or fall. The interaction between these two enharmonic
scale degrees plays a significant role in much of the German Lieder litera-
ture of the early nineteenth century.
Example 28.19
A. Sousa: “HANDS ACROSS THE SEA” (MARCH)
. . A A A A A
A 5
>
[ 1 a Cana ry
I
Jt I i
e Cs! e —
||
t
i |
A A
. A
]
4
| = }
i
a
|
it
bh 4—
+—
vi
Le it
bet bweow we
Vv
i 74)
F: J (VOAi) vi (ii?4) V VIA vi
B. (REDUCTION)
: to ig
$7
ra I
*
a
t
bal
it
Ne
V1 V1
THE RELATIONSHIP BETWEEN SCALE DEGREES $ VERSUS }6 519
A related example
occurs in the Finale of Beethoven’s Eighth Symphony
(see Example 28.20). An unexpected forte (45) octave is heard near the C
end of the opening theme (m. 17). Although we tend to hear it as a b6 or Db,
it is never resolved. Upon the third presentation of the initial material later
in the movement, this same curious note appears again. The music gives us
an aural picture of Beethoven pondering the question “What am I going to
do with this note?” First it is respelled enharmonically and set in the key of
Db major (mm. 372-73), but that possibility is immediately rejected. Then
the parallel minor (C# minor) takes a turn (mm. 375-76), but with no better
results. Finally, after several emphatic restatements, it functions as the dom-
inant to F# minor, to which the movement momentarily modulates (mm.
377-383).
Example 28.20
(f) BEETHOVEN: SYMPHONY No. 8 IN F Major, [IV
A370 ,
| - ee antes i —
= =
a
\Zg
fry bh ome 1 1
eel bh
| I
| |
|
|
| T ]
ii
i TL
i
NT IF—
ba!
| rn
I I T T I H [ i
aa
NT NN
A
3
ppNNT
3
pp IF
~ e
Je
|
=
4 T
Nl
I T
b
be.
j
H
eae
| L
1
——t
nq
———
°
=
°
Or_@
be itS
#
F k
_]
3
375 we
3 4
P La4 es ena + ie te: la a
=
i 1 i | I
Cy
|
ee ee al bi
SS
T
ee | a
TI
og
:
e VF ii 3
Le
Se
La
te| fens
_ fe =
i wnt
Laie onl Pid
~
T
b
| l
I
m4
Th fe bet Th
l
TL a
Pi duel
T
14
te
A
v
bal — J 4
' ut
4
r Te
380
e
aw e
aN a
3
3 aw
ts lOs 4 s £ s 4
£
| T
t
if it
}
“a.
—
=. |
rn
ual
T
|
| I if
| [ {
4
e
f
"
T } y 1
sempre ] /
~ iL I
— — = = —
ual
=
J*
#4 I aaa
I
wall
I
aaa i
mall I
al i wall
T
—_
| | | | | |
ith #4 [ I I i | [ T
it
I
if
I
fT
Ht
tl mt ] T i
if
i | l
it
[
>
if
520 285] MODAL EXCHANGE AND MIXTURE CHORDS
Summary of Modal Exchange and Mixture Chords

1. Modal exchange involves switching the mode of a passage from
major to minor, or from minor to major.
2. Mixture chords feature scale degrees borrowed from the opposite
mode, usually b3,b6, and in minor transferred into a major kev.
rr
These chor ds, such as i, ii?”, DIL, iv. bVI, and bVII retain their same
harmonic function. Avoid doubling the altered notes unless they
are the root of the chord. ;
3. The HI in major, a secondary mixture chord, typically occurs at 4
a quasi-Phrygian cadence: ii’-II1, which then will return to tonic
harmony.
MrLODY HARMONIZATION
Since most melodies do not employ lowered scale degrees such as b6 or b3.
these altered notes must be inserted into other voices when harmonizing a
diatonic tune. Be discriminating in vour use of mixture chords—overuse can
make vour harmonization sound trite and affected. If your tune has a text.
vou may wish to use certain altered chords to set par ticular words with ap-
propriate musical text painting.
Cadencing on the III triad provides an alternative to using an imperfect
authentic close. especially if the soprano moves 1-2-3. Remember that
partwriting with the JIT chord in this context is similar to using a Phrygian
cadence.
Several examples of mixture chords are illustrated in the melody harmo-
nizations of Example 28.21. In the initial setting (Example 28. 21a). the
melody and its harmonic support are entirely diatonic. The following three
passages (Examples 28.21b through d) incorporate various mixture chords
that change the underlying harmonies and the bass lines. Make a Roman nu-
meral analvsis of these last three settings, noting the wavs in which the dif-
ferent altered chords are employed.
A BRIEF REVIEW SELF-QuUIZ 521
Example 28.21
A. B.
lx
rN
|
O. ||
oa
= —-
|
0 Hes
St i
— ri a
@)
PI
= i"
2 + _2+ fou my e_|l;
[
@ |
ia
2 al
Ca «) T
___ a |
Ee =:
C. t G
ge 4
ve J Toy 4 C Pose ive

.
2 iG ET Ly
DT
|
C D.
tN tN
for
(2.
~——
OR
:
prre sper
a
a 2 —(5—
=
7
I
4
10
. ae
yt
7
lee
lg 6 6
ee ————— =
qo 7 _
C 4 viiS bVY apt
7 C 4
vii?! ii? Vy Il

modal exchange LVI
text painting LILI
mixture or borrowed chords bVIL
mixture chords in major: IIlasa secondary mixture chord
i III as a cadential goal
iv and ii?’
1. Spell the indicated mixture chords in the given major kevs: use the
provided models,
Example 28.22
RN D major Ab major F major B major
iv G BD
bIH FAC
bVI
ii*’
2. Analyze the following two passages with Roman numerals, noting the
various mixture chords. Be sure you use the correct symbols to denote the
various harmonies.
Example 28.23
A.
ee 2 a be be |
aCe
Lich
scr.
HY
aa
oh
—it
ah
fo a
o
Ip
—h
[SB
¢
Kae
Ot)
[RH
PALA
g
Bis
et
Q
[
=
5 |
[oa
Pat_ CF
i
—t,
vo o
|
.>—_—
. =
3. In the following brief exercises, the key, Roman numerals, and so-
prano line are provided. Complete the bass line and the inner voices. Watch
your spelling of mixture chords.
Example 28.24
A B C. D
Cyo—4
4
en
cinta
—-
= —
!
y- —_——
: i am
Pd
4 im
aiasar
bh
Eb: iv® V D: Vv! IVT B: ii”8 V Bb: ii® ill
E F.
¥ | i [ | 1
———— {—
e -e—
= om
ty,te
G: I bVII IV ] Ab: I DIL iv Vv

C H A P T E R 2 9
The Neapolitan
or bII Chord
L. THE NEXT TWO CHAPTERS we will examine several altered chords

whose striking aural properties have prompted musicians to identify them
with specific names. Play and contrast the pair of pre-dominant to dominant
to tonic progressions in Example 29.1.
Example 29.1
A. B.
k |
:
y
au
TTF
==
4
The only note that is changed in the second passage is D> (or scale de-
gree b2), the root of a triad that we call a Neapolitan sixth or bIT®. The ori-
gin of the term is obscure; while the “sixth” refers to the first inversion (or
524
THE NEAPOLITAN SIXTH IN MINOR AND MAJOR MODES 525
6), the “Neapolitan” probably alludes to its use in operas composed in the
Italian city of Naples during the seventeenth century.
Despite the alteration of one note in the pre-dominant harmony of the
second passage, the resulting musical effect is altogether different. The
half-step relationship to the tonic (Db in C minor) gives it a peculiarly
dark and forbidding quality that is unique among chromatic chords. As a
result, composers often reserved it for texts or dramatic situations suitable
for its dark nature. In his later songs Schubert time and again makes di- a
rect correlation between the Neapolitan and despair or death. The

Neapolitan is tonicized in the closing measures of his “Erlkénig,” when
the child is found dead in his father’s arms. This harmony is especially
prominent in the depiction of tragic wanderings in his song cycle Winter-
reise Tn his operatic Ring evele, Wagner continually associates it: with
decay and destruction.
A QUESTION OF TERMINOLOGY: iv b6—5 VERSUS bII°
You will notice in Example 29.1b that the Db moves through C on the way
(
to the Bg of the V harmony(b2-8- 47) forming a 6-5 linear motion over 4 in
the bass. Because this voice leading occurs so frequently, some
theorists
prefer to think of this chord as a b6-5 over a subdominant triad or iv 6-5.
Lowever, since this chord may also appear without the passing 8 motion
b2 going directly to 47) or in root position, we will consider it a
triadin its own right andgive it the Roman numeral designation of distinct
"IT®: the
flat before the Hf denotes that its root has been lowered(&2 to b2). As such,
it is a major triad built on the b2 scale degree Db F Ab in the key of C
minor or major.
THE NEAPOLITAN SIXTH IN MINOR AND MAJOR MODES
We typically find the bII° in the minor mode, where it usually substitutes for
a diatonic pre-dominant (iv or ii?) in authentic cadences. When partwriting
this progression in four-voice texture, vou should double the bass (4) of the
Neapolitan triad rather than its more active L6 or b2 scale degrees. Com-
posers make no attempt to avoid the resulting chromatic cross relation be-
tween b2 and b2:; see the dotted line in Example 29.2a. When the bII® moves
directly to V, the missing 8 creates a diminished 3rd between b2 and Hr This
melodic interval appears in the opening of Beethoven's
permissible Sonata in No. Acagio
“Moonlight” C-sharp Minor, Op. 27, 2 (Example 29.2b); this
_ famous movement makes frequent use of Neapolitan harmony.
526 (CH. 29] THE NEAPOLITAN OR bl1 CHORD
Example 29.2
b2
hh?
Tat ee
blI
—
B. BEETHOVEN: PIANO SONATA IN C-SHARP MINOR, Op. 27, No. 2 (“MOONLIGHT”), I
62 87
48
A eile
4 __| L
z
|
Pal ivi = £).

fe
1 | I
@
4 Cw
yer u
as
A?
—H rd 5 > LO)
sr oe = oOo
td we CO
cH (V8) i bI vi
The passing 8between b2 and #7 is frequently supported with its own har-
mony, either a cadential } (Example 29.3a) or a vii’'/V (Example 29.3b). In the
Bach excerpt (Example 29.3c), the V then moves through a vii’’/VIV and V8 before
arriving at i; incidentally, this is the only bIT® that occurs in. all of Bach’s extant
chorale harmonizations. When the soprano moves from 5-4-3-2-] (rather than
our previous 349-847 -8), it is necessary to double the chordal 5th of the V to
avoid unequal 5ths between the vii’ and V in the upper voices (Example 29.3d).
Example 29.3
A.
+
wT
7
||e_
\e_
le
Th
6
4
6
v ce if bm die/V) OV i
THE bt T6 AS AN EMBELLISHING CHORD 527
fF @ C. “AcH Gort, VOM HIMMEL SIEH’ DAREIN” (BACH CHORALE HARMONIZATION)
| \
a
fa’ T
|
—_ly
| | |
=
al
CJ
oe
——
on
aot oe OTC
—__|
|
‘s— +
!
Vv It
| |
7
e Vo be Witty) ov
——_____
(iis) V8 Vo—
D. I
———
5 4 3 2
ON
al tT
bal
7 i I
_ _ |
—(wii/V)
The Neapolitan sixth is less common in the major mode, although it

is occasionally found. While no particular adjustments are necessary,
the soprano line cannot descend from 3 because of the following aug-
mented 2nd between 3 and b2 (E-Db in C major). In the major-mode
passage of Example 29.11b, the bII® is preceded by a soprano b3 in V/bII
harmony.
THe bIL° as AN EMBELLISHING CHORD

In addition to its customary use at cadences, the Neapolitan sixth mav as-
sume an embellishing role within the phrase. Following a Neapolitan used
this way, the dominant harmony frequently resolves to a weaker i° through
either a V3 or a vii°3 (Example 29.4a). Note the function of the circled
tones in the upper voice of the Schumann excerpt—they are dissonant ap-
poggiaturas that resolve upward. Although the sustained Neapolitan under
the fermata forms the climactic point of Bach’s C minor Passacaglia and
Fugue (Example 29.4b), it nevertheless appears in an embellishing role:
i- (DU1°-V3)-i9.
528 [cH. 29] THE NEAPOLITAN OR bI] CHORD
Example 29.4
(®) A. SCHUMANN: PAPILLONS, Op. 2, No. 10
be call
on oe } + To Uc
ae7
tas =
be
bef| + he o al
35 eo r eo
_——
~—-
—— t
|
—t
—t— t
—t— t T
Cc: 1]
vied) iP (vg)
GC Bo Bacty Passscvctiy aso Prot in © Mixon. BWV 582
281.0)
+t
V Tr
——~o— e
i
—-- — ==
i! V3) i® iv
In the sequence of stepwise sixth chords in Mozart’s sonata (Example

29.5), the bIL® moves directly to i’.
Example 29.5 50 Movzivntr Privo Sony IN D Mayon K 2S 4. TH
10
; 1 2 rc
e = | 7
—
—
Vv
d: 6 6 L6 6 6
OTHER CHARACTERISTICS OF THE DI 529
OTHER CHARACTERISTICS OF THE ’IL°

In order to emphasize its particularly dark quality, composers sometimes
prolong or elaborate the Neapolitan harmony with some kind of melodic
flourish or gesture. In the last movement of his “Moonlight” Sonata (Exam-
ple 29.6), Beethoven extends the bIT® over three measures before resolving
to the cadential ° via a
Example 29.6
@ Ber x PI wo SoNvivtn Costin Nbinon Or 27 Na 2 MooNttotiy
131
tr
Lv
Ly A Yh [7] mn
fy
ry Tt
ANS —Tt
Pp
$
ft ft,
1
6 rm"
ot 3
6
ch: Vv
CKESC.
4th
a
|
a
|
gy an
CP wl
{—
wr? >
7Ae ox
t
tl
oe
~ _j=f
as mel
ge 4
e
°
7
=Traao #
6 4
_ fia
3 4
by vii /V i
Composers may also intensify this chord through the use of dissonance.
Amy Beach elaborates her Neapolitan cadence by adding 7-6 and 4-3 sus-
pensions to the bIT® and V chords ‘Pvanpte 99 Ta’. On the other hand. Saint-
Siens employs a tritone leap in the top voice (C°-F#) to reinforce the
demonic character of his Danse macabre (Example 29.7b).
530 [CH. 29] THE NEAPOLITAN OR bil CHORD
Example 29.7
® A. AMY BEACH: “FIRE-FLIES” FROM FouR SKETCHES Op. 15, No. 4
56.
fae
.
ri
ae =
LZ. wen
o ot #
Nn
War i
i
1 lat! @
———
e |
=
3
>
ei 7 6 4 = 3 I
br V'
@) B. SAINT-SAENS: DANSE MACABRE

tritone
\7
416
Ti & Y
| Jidae
be
a
e
Wha
+
Ls J
T
— l [
!
a
|
nd
Sf
sal
LC
-
ual
|
!
geen] L
t + t
o—_9—_9—_9— 2
v
°a °a
t
] [ [
Le | H T
g: i (iv VI Ill VI bIT) by Vv i
OTHER USES OF THE NEAPOLITAN CHORD 4
Composers have used the Neapolitan sixth in other interesting ways. In the
first three measures of Chopin’s Ballade in G Minor, Op. 23, we see a rare
use of the Neapolitan as the opening harmony of the piece. Strauss, in the B
major conclusion of Also sprach Zarathrusta, emphasizes b2 (C) in the bass,
recalling the “nature” motive—C*-G*-C? in the trumpet—that opens the
work. Another way to use the Neapolitan as a unifying device is to hint at the
Neapolitan early in a work to suggest that it will play an important role later
in the movement, a procedure that Edward Cone calls a “promissory note.”
Examples of this procedure may be found in Beethoven’s “Appassionata”
Piano Sonata, Op. 57; his String Quartet Op. 59, No. 2; his String Quartet
Op. 95, in F Minor; and Brahms’s Clarinet Sonata in F Minor, Op. 120.
No.1.
We occasionally find the
Neapolitan
chordin root position rather than its
customary first inversion, so that the b2 instead of 4 occurs in the bass. The
final cadence of Chopin’s funereal C minor Preludeis frequently cited as an
instance of the bIT in root position (Example 29.8b).The opening two
OTHER USES OF THE NEAPOLITAN CHORD 531
measures of this short piece (Example 29.8a) reveal the chord’s origin. After
the initial i-iv’-V-i, the same progression is repeated in V (Ab major), in
which the Db triad functions as IV. The return of this material in the last
: measures (Example 29.8h) sets tp the expectation that a cadence in the sub-
q‘ mediant area will again follow the cadence in i, but instead the dominant of i
substitutes for VeVT, directing us back to the final tome, so that we tend to
hear the last Db triad as a root-position Neapolitan in C minor.
Example 29.8
(@) A. CHopin: PRELUDE IN C MINOR, Op. 28, No, 20 B.
Zo
1
™ ia
: g—-
°
hd 5
crese.
a
= rer
; .
=
|
ny
ay
rer rif
Cc zi
id
=
Voi,
iow
i
OE
IV
VI
VOL, ioiv VO 4G VE by i
Cc:
A poignant example of the root-position bIT may also be found in the final
scene of Wagner's Die Walktire, where the god Wotan bids a touching
farewell to his daughter. Here the Neapolitan extends the pre-dominant
function—iv°-bI (Example 29.9).
Example 29.9
OO Worwn’s WW Din War ater. Wor TP Osten ieiep)
:
3 :
fa ao- — e
a
—
rg me i —yr-—— t
I”
”“ vm
}
T 7 T | T
i 4 14
Der | Au - - - chelnd ge kos't

gen leuch ten-des | Paar. das oft ich Ja |-
~ s
jf:
¥
a [en
—FI to.
fia =4
—©-
eo
e:
.
(WI) iN
7 i iv el \
——____
Der Augen leuchtendes Paar, The radiant pair of eves.
lichelnd gekos't
das oft ich which I often caressed with a smile
532 (CH. 29] THE NEAPOLITAN OR bll CHORD
The Neapolitan functions as a neighbor to the tonic in the Brahms

excerpt of Example 29.10a, substituting for an embellishing iv. In the
conclusion of his Ring cycle, Wagner further extends the final plagal ca-
dence from IV to iv to br. all over 4 before the eventual resolution to
the tonic (Example 10c). The theme above the bII harmony is the final
appearance of the motif “The Destruction of the Gods” This passage
again demonstrates the close relationship of the mixture iv to the
Neapolitan.
Example 29.10
@) A. BRATIMS: VARIATIONS ON A THEME OF HAYDN, OP. 56a (VaR. 6)
286 b
be
—
fe Ty fy
sy
B. (REDUCTION)
=
Ao), b
___ == I
L
imi
Oi)
VF |
|
5
rd
|
ry e)
im
sf
4 ' —————— | o e e
mi
; ,
Oa
[ [ |
yi
'
|
vi F be oe. é EVw a
eo
Bb: I (b®) I (iv) I
Co. WAGNER: IMMOLATION SCENE FROM GOTTERDAMMERUNG, ACT TIL (SIMPLIFIED)
345 bbe
6 T Ly
Ty
t Ko
Lihh =
bh
fal it it
GE44.W4
ew?
a a
I i
NY ian Pq) Pp"

LO]
e v.“] imi hanell haat i”
|
haul
o
6»? i.) ad L 1
TT
bba re) ce
P=
fe
_— 7“) ey Qa DY «ty [@)
~* 4
TT 1 baal
fat
eo eo Se
uo
Ds: IV liv bt) I
TONICIZATION OF THE NEAPOLITAN HARMONY 533
TONICIZATION OF THE NEAPOLITAN HARMONY

When the Neapolitan chord is momentarily tonicized, it is by its sec-
ondary dominant, the VI triad, which we then analyze as V/ I.
preceded
Example 29. 11a
illustrates this progression in minor and Example 29.11b shows it in major.
Example 29.11
A.
rm )
|
—————== rd
—
—— rs oe
| |
—? « $ bra
baw
o — 7
hal
v—2 rs
|
I
(W/L 4) bU® (ii?“/V) Vv
@) B. Mozart: CLARINET QUINTET IN A Major, K.581, IV

°
13 e
a —.
se e e
. .
i. ¢—_ —
| |
=
|
= —_J oe
I
wi
ae te
a ae ee
ee
BASS
depp
Thy
Lv]
As (vii?
ii) ii (vii?) I (V/bID) bi vi
FE
We may also encounter extended tonicizations or modulations to the
:
realm of bIL. In the Chopin passage (Example 29.12), the bIT is first tonicized
and then prolonged for several measures before it moves back to i® via a VE. |
Study the approach to and departure from the Neapolitan in the voice-leading
: reduction, which shows that the entire passage is actually prolonging the tonic
chord ina simple embellishing progression with very slow dartionic rivthin
TT Thomeasures 75 SS of Schtumanis Dat idsbundlertunze No. 8, the
long progression of tonicized triads is framed on both sides by a bIT chord. A
more extended movement to the area ofbII mav be found in measures 107-14
of Beethoven’s Rondo in C Major, Op. 51, No. 1. Entire movements of multi-
movement works cast in bII are quite rare: see the slow movement of
Schubert's F meyor Octet anid his Fo minor Pantasy for piano four hands Th the
latter, the scherzo is set in the Neapolitan (F# minor) and the middle trio is set
in.adouble Neapolitan relationship (G minor) to the home key,
534 [CH. 29] THE NEAPOLITAN OR bIl CHORD
Example 29.12
A. CHOPIN: PRELUDE IN B MINOR, OP. 28, No. 6
h_4 |
It
I |
it
| f i
it
| | | i i |
_|
ee.
AY | I
a
@&
I T
o.
—“&
|
we
dl
|]
oe
it
@.
ad dl
mn
|
oe
|
ae.
fl
P| &
i
P|
i
P|
|
if
a
BL
i
=H
Je
t
S | i
2
i
~~
~
te
a
I
yy
i i
inn :
TT oe oe bil :
t
B. (REDUCTION)
fh +
ei
| | | |
Ve i I
NSW inl Te
|
@ \ i
I
|
bi b° v4) i®
Unless the given tune actually emplovs a b2 scale step, 4 must occur in the
soprano to permit the use of the Neapolitan chord. Its function is normally
that of a pre-dominant harmony in an authentic cadence; refer back to Ex-
ample 29.3. Always double scale step 4 in the bass.
Examine, the first two passages in Example 29.13. The descending so-
prano (5-4-3-2-1) is usually harmonized with a $ cadence, as shown in Ex-
ample 29.13a. Contrast this with the alternative setting in Example 29.13b,
where the use of the bII® and secondary dominant vii /V imparts an entirely
different character to the passage. Now plav the root-position progression by
descending 5ths in Example 29.13c, first with a Dh in the bass of the third
measure and then with a Db, noting the contr asting musical effect. An inter-
esting example of an extended 5th progression with bIL substituted for ii?
may be foundin the theme from the movie The Godfather.
Example 29.13
A. B
-_, _|
|
le_
Tse
be
TRIO
|
T
I a.
if
i
T
i i
—
i ii
.
6 5 ~ -
ec if 11 4 i
| |
"
a a ba YJ
[7
|
Summary of Neapolitan Chords

1. The Neapolitan 6th (bII°) normally functions as an altered pre-domi-
nant in minor-mode cadences; bIT®-V-i. The melodic motion from ba
to is often bridged with a passing 8, supported by either a vii" /V
Hi The chordal third of the
ora
4. Neapolitanis usually doubled.
_In addition to extending the pre-dominant function
Wo
(iv® to bIT®), the

Neapolitan mav occur as an embellishing chord within the phrase
(bITS-\’ 4-1). or as a neighbor to tonic (i-bIT®-i).
3. The root--position
bIT may occur within a cvcle of fifths, where the
root (b2) can be doubled.
4. In minor-mode melody harmonizations, look for cadential lines
za A A AOA
using5-4-3-2-lowthere the Neapolitan will support 4.
536 [CH. 29] THE NEAPOLITAN OR bil CHORD
Neapolitan sixth Neapolitan as a neighbor to the

bIT® tonic
LIT in root position tonicization of the Neapolitan
bII° as a cadential chord (V7/bIT)
bII® as an embellishing chord
1. Write out the indicated Neapolitan chord in four-voice texture, using

the given soprano scale degrees and keys. Avoid doubling the flatted super-
tonic in first inversions.
Example 29.14
4 2) L6 4 69
h_|
jf
4 ud. Ly ue
Ly b my et Hh mi
oy Vv ha) ia bal
e)
Pd on tI
LJA
ath
ei
|
wil
ao my “i
WA bh wt by
Vv TT 1
g: bu® b: bri cf: b1® f; bLI A: b1®
2. The following progressions contain some typical uses of Neapolitan

harmony. Realize the figured bass by composing an appropriate soprano line
(refer to the previous models), filling in the inner voices, and then adding a
Roman numeral analysis.
Example 29.15
A, B C.
4
a w T
+—__@# Pe
ry
4 1 u 4 i
O T wn
: Pid
mn Pavel rd Ke
= {+ —»—te——*
| [
—— |
LG —5 i 4G 7 57 8S 9 7
$
ff
E,
—h—
eo _be he
="
_
—
—
—
—2
= — ———
—_———
6 4 7 an) b6 6
4 2
C H A P T E R 8 0
Augmented
Sixth Chords
1. THE PREVIOUS TWO CHAPTERS we have seen how altered scale

degrees in mixture and Neapolitan chords intensify their tendency to re-
solve—the 66 in mixture chords pulls downward to 5 by half step, the 2 in
the Neapolitan pulls downward through 8 to 47, The harmonies in this chap-
ter exhibit a similar tendency, since they exert a strong linear pull or motion
toward dominant function—either a V or cadential §. We see this tendency
of these half steps as far back as the late Renaissance period. Examine the
diatonic Phrygian cadence in Example 30.la and contrast it to the two vari-
ants that follow. In Example 30.1b a chromatic passing tone (D#) is inserted
between the D and E, while in Example 30.1c the 7-6 suspension resolves
not to D but to Dk. In both cases. the intervallic distance between the bass
note F and the upper Dg is an augmented sixth rather than a major 6th.
While the F tends to pull downward to E, the Dg tends to pull upward to E
an octave higher. It is this characteristic double half-step resolution of the
augmented sixth outward to an octave that distinguishes the family of aug-
mented sixth chords.
538
THE THREE COMMON FORMS OF AUGMENTED SIXTH CHORDS 539
Example 30.1
A. B, C
o 4
>
eo ce
2eo= a
wet
(8)
1
tS
1
clean
i
T
eo
oOo
rt
5 @e
#
4
|
P #P 4
Bia
a= eo
*= ane rel
cy
Did ee i
o
>
— = re! > a e
=
r=
=
oO
O
tT | ©”
an
ae
| It
T it T
ua
(ari i V) Aug6 Aug6
Following an examination of typical occurrences of these harmonies in

minor and major modes, we will discuss some less common usages of
these chords, such as their movement to secondary dominant chords,
their inversions, and other chord types that resolve the same way as aug-
mented sixths.
THE THREE COMMON FORMS OF AUGMENTED SIXTH CHORDS

After limited use in the Baroque period (see Example 30.5b), aug-
mented sixth chords were found more Proaienth during the Classical
era, when composers commonly employed them to intensifv the ap-
proach to the V at important cadential and structural points within a
:
movement for example. in preparing the dominant that precedes the
te
second theme Broup tl sOoitalea formi, aiid in iitensifving the motion to
the dominant prolongation that is typical of retransitions in sonata,
ternary, and rondo form.
The sonoritv containing an augmented 6th, such as the EbG C$ chord in
Example 30.2a, is somewhat of a harmonic maverick, since it is the only har-
monv we have studied thus far that is not constructed entirely of major and
ininor dreds. The mversion of the Gth frou: Ep tip to CE is
Cb», a ditiished
3rd. Do not confuse the interval of the augmented 6th (and its L6-5 and 4-5
octave resolution: with its cnlariionic (win, the minor 7th. whieh lias the
same number of half steps. The upper note of the minor 7th resolves down-
ward, as in the resolution of a V’: contrast Example 30.2b with Example
30.2¢.
540 [CH. 30) AUGMENTED SIXTH CHORDS
Example 30.2
A. B. C.
1,
Tey
4
> -&
Aug6
— in 74 @ 1] @ | —————
>
1 © )
dim3 Aug6 ——+ Sva m7 M3
The typical augmented 6th chord functions embellishing chord as an

whose components demonstrate a strong tendency to pull to the dominant
by half-step motion (Aug6th-V). This harmony usually results from passing
(Example 30.3a) or neighboring (Example 30.3b) melodic motion. While
the augmented 6th may be approached diatonically (Example 30.3c), just as
often it is derived from chromatic linear motion (Example 30.3d). In analy-
sis augmented 6th chords will usually remain unstemmed with their har-
monic designation placed in parentheses. Due to the presence of b6 and a
possible 3, augmented 6th chords occur more frequently in the minor
mode.
Example 30.3
A. B. C, D.
P N
NO”
Ty, A
had oe.
rd
Aug6) V V (Aug6) V i (Aug6) V i Iv (Aug6) V
The names of three varieties of augmented 6th chords in tonal music

were coined by an obscure English theorist, John Calcott, in A Musical
Grammar (1806). He based these terms on a highly subjective correlation
between his perception of the chord’s traits and his biased notions of various
nationalistic characteristics: the “elegance” of the Italian sixth (or It’, Ab C
F#, as in Example 30.4a), the “strength” of the German sixth (or Ger5, ADC
PENG TE CE RALAN VU PED SINTEE CTEORDS TN PELE MEIN GE 541
P> Ire, Example 30 tb, anid the “fechTeness” of the French sixth Pr,
AbCD Fg. as in Example 30.4¢). Because of their linear derivation. emplov-
me fictional Roman nuruerals hardly scetis appropriate with these chords.
Therefore, we will use the abbreviations given above, with figured-hass svm-
bols to indicate the various inversions. You should practice spelling these
chords upward from the b6 scale degree, which customarily appears in the
bass.
Example 30.4 A B. C
LV |
v4 bh T ay a)
mn
+ Way wz
1 1
2 2 =
V4 bh TI
am
0
e:. 1° Fr3 Geri)
We will now treat the separate forms of the augmented 6th chords in
succession, beginning with how each one is used in the minor mode.
THE ITALIAN, FRENCH, AND GERMAN AUGMENTED SIXTH CHORDS

IN THE MINOR MODE
The Italian sixth (It®) in the minor mode consists of only three scale
steps: b6, 1. and 44 (= Ab C F¢ C minor). in
In partwriting in four-voice
texture, necer double the b6 or #4. since both are active scale degrees.
Rather, double the tonic note (1); the two tonics then resolve in opposite
directions to the 3rd and the 3th of the dominant chord that follows hy
ample 30.5a). We noted in a previous chapter that when a secondary
dominant substitutes for a pre-dominant at a cadence, it is stenmmed in
analvsis. The same holds true for the augmented 6th as well: see Exan-
ple 30.5b, where Bach uses a 7-46 suspension on the It® chord. On the
other hand, since the soprano neighboring motion of Example 30.5¢ is
part of a larger passing motion from i to V (through v° and the It"). it is
not stemmed. The same is true of the double-chromatic approach from
IV° in Example 30.5d, in which the unstemmed It” finctions as a passing
chord,
542 [CH. 30] AUGMENTED SIXTH CHORDS
Example 30.5
A. B. “ICH HAB’ MEIN’ SACH GOTT HEJIMGESTELLT”
: A ——
|
c i 1° V ij 6 Vv
ne
C D.
ry)
—
_—_—
a
=t
ANG t
og gg=
T
am
T
2
22g is
- —. val 3
ce i We) ce i
(VA/ivy) IV® ae®) Vv
Adding scale degree 2 to the It6 produces the French sixth (Fr 4), ADC
D F¢ in C minor. The construction of this exotic chord is curious; it contains
two tritones separated by a major 3rd (Example 30.6a). Partwriting with this
chord presents no problems, since the 2 is common to both the 3 and the Fr
following V; the suspended 7th (scale degree 8) of the former resolves to
In Donizetti’s sextet the
fi Fr
(Example 30.6b). (Example 30.6c), 4
immortal
functions as a neighbor to the tonic § before moving on to V‘.
Example 30.6
A. B.
ani
Ah
a
——— ——_|
| |
6e Cte
Ke
|
er
roa MB
Py « o ¢
7
|
=}! =~
T
Ge i
(rb ov
THE ITALIAN, FRENCH, AND GERMAN AUGMENTED SIXTH CHORDS IN THE MINOR MODE 543
(7) C. DONIZETTI: SEXTET FROM Lucia DI LAMMERMOOR, ACT IU (VOCAL PARTS OMITTED)
41
@- ~
HAS
|
|
bt
7G, Se
D! 0% (W3/i) ll (vu /\
The German sixth (Ger 6 ) substitutes a b3 for the 2 of the French sixth
(Ab C Eb F¥ in C minor). Here the partwriting is trickier, since a direct reso-
lution to V will produce parallel Sths (Example 30.7a). There are two ways to
avoid this problem, both of which delay the motion from b3 to 2. You may ei-
ther progress to a cadential 5 (Example 30.7b) or use an accented 6-5 sus-
pension over the dominant (Example 30.7c). The ° is more common, as
illustrated in Example 30.7d.
Example 30.7
A. B. C.
parallel 5ths
oN
ON
ft | | f__| | |
|
4 al
7 Sp
=
tr 2
oe a =
(Ger
(Gerz
C: yee)
(Ger) \
D. Mozart: PIANO CONCERTO No. 24 IN C Minor, K. 491, III
aan
|
14
mn
¢ ¢
z =
r
c: ( ser) a
AUGMENTED SIXTH CHORDS IN THE MAJOR MODE
The Fert, and Ger 2 are spelled exactly the same was in major keys
166,
as they are in minor,
although now most of their chord members are al-
tered scale degrees: L6, 44, and possibly b3. One common way of ap-
proaching an augmented 6th chord in major is from a IV® via double
chromatic motion, as Beethoven demonstrates in Example 30.8a. Here
the It® results from a chromatic descent in the bass that precedes the
tonicized dominant (V‘/V-V) at the cadence. In another major-mode
passage (Example 30.8b), Beethoven resolves the 44 of the It to the
chordal 7th of a V‘ rather than the usual dominant octave (5), a less
common procedure.
Example 30.8
(OA Bebittoven Stan rin G Mayon 1S No 20111
—
la
44
tr tr aa
i
Lv AE >
|
nm
v7.4 <7. i {
~ a
ry
{
{aS x
iy ai
i | I |
4.
@—_2—_a-—.
|
-@ oa
nf eo
4 haul *
sre ?i”
©
e ve?
a t
bi Dd os
ly
it
[?
It aS
Ty
JP IJPP oa
3
I I I
—y%—*
70
re b
v
$s =
——t{—t tye
t
#
#
——
Vite
| a oe
C I (v8 V3/IV) ve at®) ov wy) \V

SECONDARY AUGMENTED SIXTH CHORDS 545
B. (REDUCTION)
a
|
“______ |
Cc: I ve V
@) C. BEETHOVEN: “THe GLory OF Gop IN NATURE,” Op. 45, No. 4
9
h |
ae
| N |
AVe
PA
ie [fl
|
haat
my
am
hal
(om
T
ay
er = ate oa
o}; i¢
AT
1
2
LZ. }
V Ce
=]
= =T
oc a a
( ctt®) I
Composers of the Romantic period became increasingly interested in

the augmented 6th sonorityv anc consequently expanded its usage into new
areas. The remainder of this chapter will document some of these possibili-
ties, but note that these uses are relatively infrequent compared to the stan-
dard augmented 6ths presented above.
SECONDARY AUGMENTED SIXTH CHORDS
The voice leading found in an augmented 6th to V progression may also be

transposed to other harmonies and scale degrees. spawning a family of see-
ondary augmented sixth chords that resolve to a major triad substituting
for the normal V. For instance. in a major kev an augmented 6th may resolve
to a secondary dominant. In the sequence of descending Sths in Example
ee
30.9, each secondary dominant is preceded by an It". Observe how these

harmonies are designated in the analvsis.
Example 30.9
I
ba
|
oe —<4
$ tram =
Le le |
ae
oe .
oe}:
Z = be my += be al
—H x
== =——
Cc: (t®) Vii ae) owe) V ca®) I crt®) IV
Mozart puts this pattern to good use in the ingenious elaboration

found in the Finale to his “Jupiter” Symphony (Example 30.10). The
chromatic motive in the upper voice (Ck-C#-D, F4-F¥-G) not only provides
additional spice but also effectively avoids parallel 5ths. A more complex
version of this procedure may be found at the beginning of the recapitula-
tion of the first movement of Brahms’s First Symphony, measures 333 to
343,
Example 30.10
MOZART: SYMPHONY No. 41 (Juprrer”), K.551, TV
pees 2 te
ba
a
4
Ce dl
++
DF.
@ WN
=
bd
eS
#O
—,
= ————+#ps —
oo3
———
(8) fu
P—O> re!
C:
(Ger$) ———*
V'Ai (Ger8) ——>_ Vii (Ger$) ———>
The secondary dominant V'/V and the Ger? function in a similar way.
since they both tend to move to V. In the opening of his Second Piano Con-
certo (Example 30.11), Liszt precedes the V “with a Ger? anda V'/V in suc-
cession, suggesting resolutions in the bass by half step and descending
perfect 5th, respectively. This relationship is sometimes called a tritone
substitution; the roots of two chords that function in a similar way are tri- a
tone apart, in this case F and B. Notice that the Df in the Ger? becomes the
chordal 3rd of the V‘/V, which then pulls down chromatically to the 7th of
the V'.
INVERSIONS OF THE AUGMENTED SIXTH CHORDS 5AT7
Example 30.11
(@) A. Liszt: PlANO CONCERTO No. 2 B. (REDUCTION)
# 6}
BH |
| ye
o
ae ap
F~ “yh I
bis
u
~~ mn
haa
GerS V/V Vv! Vv"
Tritone substitution is a favorite technique in jazz harmony. However,

rather than using both chords, players substitute one for the other. For in-
stance, in a of seventh chords by Sths (Example
progression descending
30.12a), a Ger? on Db, a tritone removed from the V“, takes the place of the
expected dominant, producing a progression of descending half steps (Exam-
ple 30.12b). A similar example occurs near the end of the bridge to Cole
Porter's “P've Got You Under My Skin.” In a normal cycle of 5ths (Am‘-D'-
Gin'-C"), an Ab’ is substituted for the D”, so that the V/ii becomes a Gerv/ii.
Example 30.12 A. B. NOTE CHROMATIC // 5THS

O
HW t }
=
it
ra
_#
————
— obs
|
a I ii’ Ger$
INVERSIONS OF THE AUGMENTED SIXTH CHORDS
Although the of an Aug6th chord normally occurs in the bass voice, we

b6
. may sometimes find other chord members there. When the H4 appears in the
: lowest part, a diminished 3rd (the inversion of the augmented 6th) results be-
tween it and the upper b6. Since thisiinversion, known as a diminished third
chord, usually employs the German form of the chord, it will be denoted as a
Ger®3 (or sometimes simply °3). By the way, this inversion eliminates the
danger of parallel 5ths inherentin the normal Ger (Example 30.13).
Example 30.13
~o-
Th
~pl
the it ——
Mg
2
fo
Ped
PBs
r
u
aa I
[ —=—_—1
6 5
I
4 3 \
c: (Ger?) Vv i (Ger?) Vv
Example 30.14 illustrates three examples of Ger?3 chords. The “Cruci-

fixus” movement of the Credo of Bach’s B Minor Mass is based on the reiter
ation of a descending chromatic tetrachord in the bass. Near the end of the
movement the music begins a modulation to the relative major (G major), the
key of the triumphant “Et resurrexit” that follows (Example 30.14a). Rather
than descending to the dominant of E minor, the C® in measure 3 pulls up-
ward to CR, producing a Ger®3 chord that prepares the authentic cadence in
G major. Near the end of Chopin’s E minor Prelude (Example 30.14b), the
composer inserts what appears to be a V3/ bIT chord. This harmony actually
functions as an enharmonic Ger3, pulling back instead to V. Finally, in the
excerpt from Verdi’s Requiem (Example 30.14c), the use of the Ger®3, each
preceded by a}II°, successfully avoids parallel 5ths.
Example 30.14
CoN Baer Craccirixnus prox BAfiNvon Afiss, BWV 252
49
A_4
\7 4
.
| I 1
CN
i
Lr r
ap | 1 l 1
rs) i] T l T I I
e ad r= we
ray
Fe
l | I
yee He
2
o~ D
F SoS
# FG:
|- ~~ 5
a L
a
oye
| | |
ub
e
[ii laws i ZZ L Uttie oo af o*
L. r
ro} I = Had wr)

i “* —_4
“1 I Lae at
T
mall
l 1!
|
ui |
{
cal
©
co? uJ
e: G: (Gere?) V I
® B. CHOPIN: PRELUDE IN E MINOR, Op. 28, No. 4

21
AB a a
Qe
+
a
—— a
i : 6
cs |
——| a A a
.
Ev
= Z +o
'
al ha al I all
| la
#
=
had
| | | | | | | |
4 : oO
oz
Pr oOo
e: 6 Vv i
(Ger?3(1))
INVERSIONS OF THE AUGMENTED SIXTH CHORDS 549
® C. VERDI: “DIES IRAE” FROM REQUIEM
__| 40) pop |
> > - > > > $ > > > SS > ;

H
Sie i
7
Ps
|
7
2 |
t
zg
7
=—}—
is oe
t
oe oe t
c: II (Ger®®) Vv (ete) 7 ;
‘
oa \
On occasion we may encounter other inversions of augmented 6th

chords. Examples 30.15a and b are voice-leading reductions of the opening
twenty-five measures of Brahms’s Piano Concerto No. 1 in D Minor. The
prolonged first chord, which Brahmins spells as a Vo/bII (DFA'B’), actually
turns out to be an enharmonic Ger6th chord in 3 inversion. Its resolution to
a W jnitiates a chromatic descent in the bass voice. eventually reaching a
normally spelled Ger ® that moves on to the ° halfeadence The excerpt from
the Chopin Nocturne (Esample 30.15¢e) extends a dominant triad mb
{
minor. In the motion to V. the composer first uses a vii?'-V in measure 1. fol-
yy
lowed by a Ger8-V in measure 3. anda Gert-V in measure 5, 4
Example 30.15
(@) A. BRAUMS: PIANO CONCERTO No. 1, 1
(MM. 1-25) (REDUCTION 1) B. (REDUCTION 2)
1 11 21 23 24 25
ON
J
© de
Am
bal
hi
45
ul
|
yy oe be te
bal
u fa
V7 T
bo et "oo
Ty)
Nar
e
1 y
ike
—_
Je 1 i=
H
i
ist
bal
I
4923 “Tt + ia 1
T
|
}
d: (Gerd) vy (Ger®) 6 d Gers ———_» Gerd
6
@) C. Cropix: NOCTURNE IN G Minor. Op. 15, No.3

79 aN
Ay-— a
4
—
;
ote £
= #
fy" re
“ite
=
4
—_ aire
Ht
3
yf
2.
he iga sid
;
at ie
——— YU
—
I t i i +
*
= =—
sf ie
I T
ite
fe 11 /N
iGerg) V4 Gerd VP
OTHER RESOLUTIONS OF AUGMENTED SIXTH CHORDS
During the later Romantic pe riod, COLIPOSers e\perimented With new wi Ws to

resolve augmented 6th chords. While the augmented 6th interval itself nor-
mally resolved to scale degree 5 via b6 and 44 ( Example 30.16a), it was possible
to construct augmented 6th chords whose augmented 6th would resolve to
1 in a tonic triad via b2 and
scale
degree - 47 (Example 30.16b) or even to scale
degree 3 via 4 and 49 (Example 30.16c).
Example 30.16 A, . B. . C.
to5 to 1 to3
CH | 1
-
Vy
Az ©} rst
ay Pa
fis _—
~—*
TF
e)
Le ———
a
os (@]
oc 2
&-}* 1-2 15
r= ¢ re}
Cc: it® Vv I (Aug6th)
The concluding cadence of the last movement of Schubert’s C major

String Quintet (Example 30.17a) employs a Fr} on b9 that resolves directly to
the tonic. A basic blues progression adds another twist—in Example 30.1 Tb, |
the F’ in C major may be considered a transposed Ger’, in which the 4and

enharmonic 49 move to the chordal 3rd of tonic harmony, as shown in the |
reduction of Example 30.17c.
Example 30.17
@) A. SCHUBERT: STRING QUINTET IN C Major, IV
tr
fn
Ve
425
ees Sa |
3
7
a ~*
P|
TY) 2.
ir
uy ei
Ps
aa
N
“fl
d
—¥|
+
dee
lan
es]
—
—
—
ENHARMONIC AUGMENTED SIXTH CHORDS 551
@) B.
Tyrical “BOOGIE” BLUES
fh
A 2 FiL IN iN
nua
ry
<
-_ ey
ii Lye
ri
T
bs Xx bh
u
P|
$
=
>Sy, ~Y
t —— t t
©)
=
) CM i I |
wl
T T
=
I i 1 | T T T
et ee — —
CC. (REDUCTION)
Ht I
wi il
i im a
2 = 71
|
kK
Lh
Pod
orI
a5 T
AY —_
> =
FZ
+ t
I
I t
,__|
1
t
1
eo
rev
Oo
VY ete C: I (Aug6th)
ENHARMONIC AUGMENTED SIXTH CHORDS
When a Ger$ is used in the major mode, it is occasionally written with an en-
harmonic 49 in place of the b3. producing a triple chromatic approach to the °
harmony that usually follows it. This sonoritv is sometimes called a doubly
augmented fourth chord (AA4th); in C major the interval of the doubly
augmented 4th lies between Ab and D§, ADC Dé FE in C major (Example
30.18a). This enharmonic notation, however, does not negate the parallel
perfect Sths that we hear between the tenor and bass in 3 of the
Beethoven sonata (Example 30.18b).
Example 30.18
A. B. BEETHOVEN: PIANO SONATA IN F MINOR. Op. 57
(“APPASSIONATA)), TI
5 —
:
t
rt?
t
Wa
wa
| mal rn" b T l
ai
sfp
Lx e
=o —=
oO
Toe 2
a
eh
re
bbe
——
\ | +—
a e
|
.
6 2
.
en bbw
C: iid (Ger8 Vv I Db: I od) I
(Ger8) VV I
(AAS) (AAMSth)
~
Although an isolated Ger’ and V' are spelled differently, thev sound ex-
actly the same; play Example 30.19a. Composers have exploited this sonic
similarity in various ways. The Ger$ (in C major, ELF #) can be spelled AC
enharmonically as a V'/bIL (Ab C Eb Gb). Therefore, it is closely related to
Neapolitan harmony. The poignant passage from Schubert’s “Frozen Tears”
appears to prolong bIL in F minor via a cadential ° figure (mm. 1-3 in Exam-
ple 30.19b). The secondary dominant seventh (Db F Ab Cb) suddenly re-
solves to V of the original key via its enharmonic spelling as a Ger$ (Db F Ab
Bb). Later we will see how the enharmonic relation between these two
chords can prove useful in creating startling modulations to foreign kevs a
chromatic third or half step away.
Example 30.19
A.
rN
al TY, bh
te [7
sounds like
rat t
7a
A fy
hb
v
C Ger$ Db: Ve
@) B. SCHUBERT: “GEFROR'NE THRANEN” FROM WINTERREISE
35
a
{7
jd I
zer - schmel - zen des gan-zen Win-ters_ Eis, des gan-zen Win - ters Eis.
Oh 14 | |
|
r=
UT
|
l I
|
eI |
I I i T i
|
1 I I
if
|
(Guana
fi fi
{Tt Pe = = =
|
=
! |
a= =
i i i i i
ra 7
1
I
iad
I
oe
| {
o
I
oe
if
ul if if
—_— |
—_— | |
> > >

6 V43 6 6 5
fe 4, fe
‘ 3:06
vii Lay
.
\
Rin bY]
Ger i
.. zerschmelzen des ganzen Winters Eis ... would melt all of Winter's ice.
MORE EXOTIC AUGMENTED SIXTH CHORDS 553
MORE EXOTIC AUGMENTED SIXTH CHORDS
The defining interval in augmented 6th chords is the augmented 6th itself;
the other notes in the chord merely produce sonic variants of this basic har-
monic function. In rare instances, composers experimented with adding dif-
ferent pitches to the augmented 6th. Some of the results are illustrated in
Example 30.18. In the so-called “Tristan chord” that opens Wagner’s music
drama (Example 30.20a), the F-D# is accompanied by a B and G, producing
the sound of a half-diminished seventh chord; in this case the D¥ resolves to
the 7th of the following V‘. We will have occasion to speak more about this
remarkable sonority in our analysis of the Tristan Prelude in Chapter 38.
The “Till Eulenspiegel chord” in Richard Strauss’s famous tone poem also
uses the same half-diminished seventh sound, but its augmented 6th (Bb-G#)
resolves to the 3rd of the tonic F major triad (Example 30.20b). The intro-
duction to Duke Ellington’s theme song “Take the A Train” uses a whole-
tone chord (Ab C E F$) that resolves directly to the tonic (Example 30.20c).
Finally, the Schoenberg progression in Example 30.20d includes two aug-
mented sixths (Gb/Ed and Bb/Gh), both of which resolve correctly.
Example 30.20
@ A. WAGNER: PRELUDE TO TRISTAN UND ISOLDE, ACTI
—_ =
a FE |
1.
G
2)
4 - t +
I\
ta |}
= 4 .
eo
#
O
[@ ] | tf
T
Lf
7‘
a: 4 \
a
“Tristan” sixth ?
@) B. RicHarp Strauss: TILL EULENSPIEGEL’S MERRY PRANKS, OP. 28
16 ,
: "
ew — aS:
= |
——— at
— ———~
»
| V4 bags 4 i
i TT
ia ©) Lal It
m4
I
}
6
F: 1°
|
“Til sixth ?
554 (CH. 30] AUGMENTED SIXTH CHORDS
C. BILLY STRAYHORN: “TAKE THE A TRAIN”
— >_> _-—
ab
(Aug6th)
D. SCHOENBERG: CHAMBER NO. 2

SYMPHONY E.) (REDUCTION)
A_4
Ay a
4. be. | |
| =
| f_4wipe4. |
er a | I
L . fr Se;
If ~1.
a Vere
<>. iat < Duel
jo.
FU
|
e) e)
LL
ba in —
be
=I
V4 a,Ws he bal hs» um
"T
yo C7 wy
q
F) double \¢
Summary of Augmented Sixth Chords

.
Augmented 6th chords typically feature scale degrees-b6 (in the
bass) and #4 (in an upper voice), each of which resolves to the
dominant 5. These linear harmonies most frequently occur as
neighboring or passing chords in the minor mode.
The three forms of these chords retain their characteristic Aug6ths
lo
between 66 and #4. In terms of © minor, the Italian 6th (t®) adds 1
(Ab C F#), the French 6th (Fr4) adds land 2 (Ab C D F#), and the
German 6th (Ger) adds 1 and b3 (Ab C Eb F#). While the first two
resolve to V, the Ger$ usually resolves to 4 in order to avoid parallel
A
Sths. Double the tonic scale degree (1) in the It’,

.
Transpositions of the Aug6th to V progression produce Various sec-
ondary augmented 6th chords, such as It® toa W/V. or Fr} to I.
. In addition to other inversions, such as the diminished-third chord
or Ger’3 (F# Ab C Eb), different tvpes of Aug6ths featuring more
exotic chord types may occasionally appear.
In harmonizing diatonic melodies in the minor mode, we can use aug-
mented 6th chords to support scale degrees 1 (the It®), 3 (the Fr3), and 3
(the Ger). The altered scale degree 44 can, of course, be used with all three
versions. These chords usually occur at either a half cadence or an authentic
cadence. The three passages in Example 30.21 illustrate how these chords
may be put to effective use in setting diatonic notes in the soprano voice.
Play each progression first with the diatonic harmonies, and then add the
suggested F¥, which turns each chord into an augmented 6th.
Example 30.21
A. B
4H 1 | | | 4H 1
\y |? TY, oD
po
ot
ge
eee
yTey bh |
(al 3-|___ oF
7 7
var‘
hee = ug wy i
BNSPA
ry)
wv
hal e
— ane
-—* I
_—
at
it
18 Frf
C,
® 7
_ $
!
bh
=
2
Ger?
augmented 6th diminished third chord (Ger’3)

augmented 6th (Aug6th) chords enharmonic relations between V‘
chromatic linear chords and Ger
Italian sixth (It®) doubly augmented fourth chord
French sixth (Fr3) (AA4th)
German sixth (Ger$) other Aug6th chords and their
tritone substitution resolutions
secondary augmented sixth chords
1. A variety of augmented sixth chords appear in the key of D minor.

Identify each by its proper designation and then resolve it correctly to the
indicated chord.
a
Example 30.22
h 1 m
ir oe he vy
eS— ve
41 wi
ro = ve
¥ Psd rd ey rd
te
2
cy
A+ wv
yy
=
blll
_—dl
Vv
L
ew
bg
ia
t teo
a
d:‘ Vv
id
6 2
3, V V V/V I
2. In the progressions below, fill in the indicated Aug6th chord, using

correct partwriting with the adjacent harmonies. Then complete the Roman
numeral analysis.
Example 30.23
A. B. C.
f)
iW
4
ra
|
I
|
a
lo
[17
:
T
|
:
|
-I
Le]
Zz
| i"
# +
slat
roF
= o
ry
+
2
oF
|» —
tT - J +
+
|
! |
| |
b: re f: r® e:
Ger?
D. E. F,
—— 5
—rh
Pye Z
— | sj} oft
7
z
—1 —
—
4
. ota j—4—
> |. —
| |
—
a: Frd Db: Fra/l A: TAA
oo
d 109
Ger
CHAPTER 31
Extended Homophonic
and Contrapuntal
Formal Designs
N CHAPTER 23 we discussed some of the simpler formal designs and

tonal structures found in homophonic music. In this chapter we will con-
clude our investigation of homophonic forms by examining some more com-
plex and extended designs, such as sonata, sonata-rondo, and concerto
forms. In addition, we will introduce several genres typical of works that em-
ploy contrapuntal texture, such as the chorale prelude, invention, and fugue.
SONATA FORM
Although we use the term sonata to refer to a multi-movement work for a

solo instrument with or without accompaniment. we use the term sonata
form to refer to the design and structure of a single movement. The
sonata-form scheme may be found in the first, the last. and even the slow
middle movement of a multi-movement composition. The tonal structure
and design of sonata form of the Classical period evolved from the
rounded two-reprise form, which we discussed in Chapters 23 and 25. Fig-
ure 31.1 shows how sonata form represents an expansion of the kev
scheme and formal proportions of two-reprise design as found in the Clas-
558
Figure 31.1
TYPICAL CLASSICAL TWO-REPRISE FORM

“Balanced”
“Rounded”
—> ‘ll: quasi-dev. or retransition | “A” ———-~————_* closing section

Thematic: |: “A? closing section |
sequence
—— | |
First\reprise Second reprise
Tonal: (see below)
Tonal: \(i) VII) haw) v(’) I(i) — I(i)
Measures: 71-12 13-18 18-28 28-30 31-42 43-47 48-51 52-59 59-69 69-71
Thematic: |: 1st trans- |2ndtheme cadence | free retransition | 1sttheme transition) 2ndtheme cadence
theme_ ition group (develop- group group
group mental)
| J |
Exposition
| Development Recapitulation —————_
TYPICAL CLASSICAL TWO-REPRISE FORM
Texture: concertino tutti concertino tutti varied same as exposition

(or tutti)
Dynamics: p (or S S varied same as exposition

f) Pp
TYPICAL CLASSICAL SONATA FORM

CLEMENTI: SONATINA IN F MAJOR, OP. 36, NO. 4, 1
SONATA FORM
559
560 Gil ENT ENDED HOMOPHONTO AND CONTR AVPUNTAL FORMAL DESLONS
sical minuet. The top of the diagram outlines a stereotypical two-reprise

design with its usual continuous, rounded, and balanced features. The
basic characteristics of sonata form are aligned directly beueath their
counterparts in two-reprise form.
The first reprise or first repeated section of the two-reprise form ex-
panded to become the exposition in sonata form, the section following the ]
double bar the development, and the rounded section the recapitulation.
Typical thematic and tonal characteristics are specified in the middle of the
diavraii, aud additional descriptions of iorniative textural and dy nainic
characteristics appear at the bottom. This sonata-form model with its mea-
sure numbers is based on an actual piece—the first movement of Clementi’s
Piano Sonatina in F Major, Op. 36, No. 4, the score of which appears in Ex-
unple 31.1. Although this brief movement is a diminutive version of sonata
form with an abbreviated development, it nevertheless contains all the
salient attributes of a full-blown sonata movement.
Example 31.1
Nt Cab IN FB OF 36
a
Con spirito.
—{— — 3s
ae
————
1 t
NV LJ ~.
EO
<
[#1 T i T ]
e) l
St
>] a Pn
|
i a ae.
I
ae P|
—
—*|
T
P| “a.
1
alea
a
h £ T i T
i
I
aa
_ | T
3 I
al I i 1
it
as
ae
| = = ww —~_
ree
=
e ime 1 T
baal 1
it it it
i
RY ] U Pl I J —_| C4 |
G
Sz Sz
— a _ = = _
a
—
| |
feu
le
ae —_|
—
Je
|
iy.| é
] T
4 ad P| :
Lf
T
bh if if
~
x Pi
mal
I
ri
=
if
Bal
a i
I a it
|
{
haa hal
if
————
Vv |
il
l I
ia T
\#
| |
i
if
| | |
13 y el a @ a
v
bh
a.
T
| a it
| i
ry
a
lua
I
1 1
@ @
a |
x - 4 T
|
eu
ea.
aL
a!
el
on
NJ
_ - 4. Ld I Jt i"
tt
—{
— eo —r_
eo
id
sr
oe
wees
7
Ld
|
|
ry
4
Ni
ett
My
ot
Ht
at
=‘
Q
ti
)
WHOA VLYNOS
ee
et
562 [CH. 31] EXTENDED HOMOPHONIC AND CONTRAPUNTAL FORMAL DESIGNS
@-
43
“>
hot!
re |
2!
nell
hl
el
Og!
el
—— TO |
he
Lk wetter ee tone
dimin.
dl e-
52
oe
& \* a
Sz
@. o-
59 |
mn ha
wy
| re
Sz
YF
SONATA FORM 563
a
ll — >
Pros
ra ._|_ s@##egges s by t
fee.
°
|
Sz dolce Sz
a,
Phee tr
—
gp?
— 8
° *
LJ I
— r LJ
=
WS ae
pj *¢
p—+—_—
be
= totes
I
eg”
{—|——
.
— =~
al }
= aot :
=
==
|
Sz S
2 CS
After discussing the main features of each major division of sonata de-
sign, we will outline the movement’s basic tonal structure and discuss sev-
eral modifications that subsequent composers have made to this form.
Exposition
In addition to presenting the principal themes of the movement, the exposi-
tion sets up a polaritv between two basic kev centers—in major LL and (V],
and in minor and II or occasionally J.
The tonal tension created by
the motion to the contrasting key will later be resolved by the return to the
tonic in the recapitihation section, FP enclosed with repeal signs, the U\DOsT-
tion should be repeated; omitting this instruction may distort the essential
proportions of the movement.
I. In sonata form, the opening theme of the original two-reprise form is

often expanded into a first theme group. This first theme group mav
contain several different musical ideas, all of which are related bv
their appearance in the tonic key.
A transition directs the tonal motion away from the tonic toward the
bo
new or contrasting kev, often by means of sequential patterns. In svim-

phonic works this transition is usually plaved forte by the full orches-
tra and normally concludes with an emphatic half or authentic
cadence in the new kev area.
3. The second theme group is set in the contrasting kev. This group is
generally more regular in its phrase groupings, as well as quieter and

more lyrical than the opening theme group, often emploving a smaller
564 [cl ENTEN DPD) HOMOPHONTO AND CONTRAPUNTAT. PORSEVE DESTONS
instrumental force in symphonies. Although its themes are usually

new, a composer may take a theme from the original tonic group and
restate it in the contrasting key during the second theme group, pro-
ducing what we call a monothematic exposition. This procedure oc-
curs in the opening movement of Havdn’s Symphony No. 100 in G
Major, subtitled the “Military.”
4. The closing section of the exposition serves to confirm the contrast-
ing key and is largely cadential in function. It normally displays active,
virtuosic gestures, such as arpeggios, scales, and trills, and is almost al-
ways played forte. A brief new closing theme, usually piano, or even
a codetta may occur as a final appendage to the exposition.
Development
The term “development” suggests that the material of the exposition will
now undergo expansion, fragmentation, sequential treatment, or other de-
velopmental procedures. These techniques are usually employed in the de-
velopment, but the most significant feature of the development is_ its
modulatory nature. The composer generally uses the development to ex-
plore various key relationships. Since developments usually follow no fixed
pattern, irregular phrase groupings and striking contrasts of texture, register,
and dy iaitics are typical Perhaps the term “fantasia section” would he more
appropriate. The German term for the development, Durchftihrung (“lead-
ing through”), more clearly stresses its transitory nature.
Toward the end of the development, a retransition, usually based on a
dominant prolongation, prepares the return of the original thematic material
in the tonic key at the beginning of the recapitulation.
Recapitulation
The musical events heard in the exposition return in the original order dur-
ing the recapitulation. There is one significant difference: The dominant or
mediant kev used for the second theme group and closing section of the ex-
position is now replaced by the tonic key. This difference creates an interest-
ing problem in the transition between the two theme groups. In the
exposition this transition effected a modulation to the new kev area. Now it
must somehow give the sense of modulating while remaining in the same
tonic key. In order to achieve this, the transition frequently tonicizes IV,
which then returns to I via V. The cadential section—including the closing
theme, if anv—serves to reinforce the movement's conclusion in the tonic.
In sonata-form movements from the early Classical era, the development
and recapitulation were repeated, harking back to its origins in the two-
reprise form. However, this practice was abandoned later in the period.
SONATA FORM 565
Tonal Structure of Sonata Form

The tonal structure of a sonata-form movement may be viewed in terms
of the intersection of its basic harmonic or key scheme with its long-range
voice leading or background; refer to the analysis of the two-reprise Min-
uet in Chapter 25, which shares a similar tonal plan. The voice leading
typically forms a descending pattern in the upper voice that is interrupted
at the primary dominant prolongation just prior to the recapitulation. We
have already seen thistLy pe of tonal structure in shorter LW O-Feprise OX-
cerpts of Chapter 292 Tia Hayor kev, the long-range hi ULLLOVIN within the
eaposition,development, and dominant retransition usually progresses
from T to V, and the long-range soprano line moves from 302 The re-
cupitik tion then beans again i
Toand: tmoves through V to the final I,
with the pper line tr icing 5.9.4. Tn Faxampte 31 2a, which stumnarizes
this structure, note that although the development is represented only by
its concluding dominant, in actuality there may be a succession of many
keys leading up to that retransitional V. In a minor key the long-range
harmonic motion from exposition to retransition normally incorporates
the mediant key area (i-ITE-V), with the upper voice typically beginning
ond and making a stepwise descent down to 2 Example 31.2b). The reca-
pitulation then outlines a basic i-iv-V-i pattern, with the soprano begin-
ning on 5 again and working its way down to the final 1. These
voice-leading graphs demonstrate how the three-part design, exposition
to development to recapitulation, of sonata form is reconciled with its
byvo-part fonal structure
in both major and iminor modes Typical freat-
ments of Classical sonata form include the first movement of Mozart's
Symphony No 10 in G Minor. the second movement of Beethoven's
Svtiphons No dom © Mayor, aude the dast movement of Havdivs S\tn-
pho No U2 in CG Mayor Oxford”),
Example 31.2
A.
EApositon Dev. Recap.
—1 1
3 2 3 2 ]
| ey
Lay hl od
= :ry al Pa
haul
J
f aa
ry) T
:
— *
—_f* -o—
6
—o—
7
—=__
5 - +
; \ \
B.
Exposition Dev. Recap.
3 4 3 3 5 4 3 3 1
ad
= —7_ 4 2 2
= i | a
o 2
|
Vv
b+ eG
e iT
6- CO
hana a.
f< — 72
I a
: 6
1] v iv
6
Vv
5
[i]
The Introduction
First-movement sonata forms are sometimes preceded by a slow introduc-
tion. Most introductions consist of three parts: (1) a tonic opening, (2) a tonal
transition, which often includes sequences or applied dominants, and (3) a
dominant prolongation, which prepares the tonic key that begins the allegro
exposition of the main movement. Introductions to major-key movements are
frequently in the parallel minor mode. Motivic ideas stated in the introduction
may reappear in the fast section. Typical slow introductions may be foundin
the opening movements of Haydn’s Symphony No. 100 in G Major (“Mili-
tary”) and Beethoven’s Piano Sonata in C Minor, Op. 13 (“Pathétique”).
Later composers gave their introductions grander proportions and more
important roles in the succeeding movements. In Franck’s D minor Svm-
phonv and Tchaikovsky's Symphony No. 4 in F Minor, material from the
opening introduction recurs in later movements, resultingin a cyclical svm-
phony. Although the initial material in these two works undergoes little
change, the foreboding minor-mode clarinet theme that opens Tchaikovskv’s
Svmphony No. 5 eventually recurs in the parallel major at the finale’s tri-
umphant conclusion.
The Coda
A coda is sometimes appended to the closing section of the recapitulation.
In early sonata-form movements, the coda consisted of little more than an
extension of the closing section accompanied with great fanfare, rhythmic
activity, and affirmations of the tonic. Beethoven pioneered the concep-
tion of the coda as a kind of second dev elopment section, although with
less daring harmonic excursions—see the first movement of his Sv mphony
No. 3 in Eb Major(“Eroica”). During the coda of the first movement of his
Symphony No.5 in C Minor, an apparently new theme is introduced and
developed.
CONCERTO FORM 567
Finally, examples of so-called sonatina form may sometimes be found in

slow movements or miniature piano pieces. Since the development in sonatina
form is usually omitted in order to keep the movement brief, the end of the
repeated exposition leads directly into the retransition and recapitulation.
Composers in the Classical era and succeeding Romantic period modi-
fied sonata form in various other ways, such as substituting a foreign kev for
the usual contrasting key in the exposition, or introducing false recapitula-
a
tion in the wrong kev during the development.
SONATA-RONDO
FORM
In some seven-part rondos (recall the discussion in Chapter 23), the middle
or C section does not introduce new thematic material but instead assumes
the character of a quasi-development section, exploiting prior material
through modulatory procedures Such a design is called a sonata-rondo
form, since the first part (A B A with its movement to the dominant) now
resembles an exposition, the middle or C section resembles a development,
and the last part (A B A, all in tonic) resembles a recapitulation; consult Fig-
ure 31.2. Mozart was fond of using this design for the finales of his piano
concertos. The Concerto in Bb Major, K. 450, is almost a textbook example.
and the last movement of his Piano Sonata in Bb Major, K. 333, exhibits
traits of both sonata-rondo and concerto form, including a brief candenza.
CONCERTO FORM
The opening movement of solo concertos in the Classical period presents an

amalgamation of characteristics from the extended da capo aria of the
Baroque era and the sonata form of the Classical period. Some writers trace
the origin of concerto form to the Baroque concerto grosso. but a more com-
pelling theorv suggests the form originates in the da capo aria, through the
concertos written by North German composers, and then to the concertos of
Johann Christian Bach, the “London Bach” whose concertos Mozart knew
Figure 31.2
exposition development recapitulation
—»Ept —»Rf —»Af

|
Rf | quasi-dev. retrans Rf Epi
l |
ONS NIYNS
i
[itt Po VV
568 [cH 31 |]
EXTENDED HOMOPHONIC AND CONTRAPUNTAL FORMAL DESIGNS
Figure 31.3
(orchestral exposition) (solo exposition)

T! S! T2
‘ PO |
PT TR ST CL |
PT TR ST FIG CL (?)
M: | > /
| ————>V >
m: i
a nn
|
>
(development) (recapitulation)
Se Ts S3 T4
[ 1 | — | 7
———-—RETR |
PT TR ST FIG 2 CL. (CAD) CL
M: L\I\IWIN V | =_— 6 5
7SADRV —> fe 3
PT = principal theme(s) TR = transition

ST = secondary theme(s) CL = closing/cadential
FIG = solo figuration RETR = retransition
CAD = solo cadenza
—_
and imitated.’ The typical tonal structure of sonata form was superimposed
over the succession of tutti sections, for full orchestra, abbreviated with a T.
and solo sections, abbreviated with an S, in the aria, resulting in the so-called
concerto form of the Classical era. This design is diagramed in Figure 31.3.
The opening orchestral tutti (Tl) presents the principal and secondary
theme groups in the tonic, closed off by a series of cadentialgestures or ideas:
some theorists refer to this as the “orchestral exposition.” In the following solo
section (S1) the same materialis restated but with the customary modulation to
the contrasting key, either [VJ]
or [IIL]: this part is sometimes called the “solo ex- i
position.” An appended section, abbreviated “Fig.” for figur ation, is devoted to
showing off the skills of the performer before a long trill on 2 over V brings this
part to a close. The next orchestral tutti (T2) confirms the contrasting kev, often
1. See Denis
Forman,
Mozart's Concerto Form (New York: Praeger. 1971).
CONTRAPUNTAL FORMS 569
with closing material from T1, before moving into $2, which corresponds
roughly to a development. The usual retransition brings us to T3, which marks
the beginning of the recapitulation, which quickly dissolves into $3, in which the
secondary theme group and figuration section are restatedin the tonic key. The
final T4, which completes the movement in tonic, is usually interrupted for an
improvised cadenza, consisting largely ofan elaborate dominant prolongation.
While adhering to the basic design outlined above, both Mozart and
Beethoven introduced a variety of wonderful modifications that give individual-
ity to their concertos. Although some Romantic composers such as Brahins con-
tinued to exploit the older double exposition, others, such as Grieg, Tchaikovsky,
and Rachmaninoff, resorted to a more traditional single-exposition sonata form,
with lengthy interpolations and written-out cadenzas for the soloist.
CONTRAPUNTAL FORMS
In contrapuntally oriented compositions, the term “form” often refers more

to a genre than to a fixed design or stereotypical model. We will examine
three examples from the later Baroque period—the chorale prelude, the in-
vention, and the frene.
Chorale Preludes
The Lutheran chorale was the traditional hymn of Protestant Europe in the
Baroque period. Chorale melodies were often cast in bar form (AAB), in
which the first several phrases are repeated forming the two Stollen, AA, fol-
towed Ty a differcnt set of phrase s the Mbeesaie or While thecongsregation
BO
sang the tune in unison, the organist provided differing harmonic accompani-
ments, depending on the text of each verse. In the Lutheran service the organ-
ist would first plav a verse of the chorale to remind the congregation of the tune,
since the hymnals contained only the words. As time went on,‘these preliminary
settings of the chorale became increasingly elaborate. The resulting contrapun-
tal settings of the chorale are usually called chorale preludes. Many of these
compositions set the preexisting chorale melody, or the cantus firmus, in a vari-
ety of wavs. The tune customarily appears in the soprano or bass voice. In sim-
ple chorale preludes, the melody continues without interruption through the
entire piece. while in more complex pieces the tune is segmented into individ-
ual phrases that are separated by sections of contrapuntal writing called inter-
ludes. Bach's well-known “Jesu, Jov of Man’s Desiring” is a fine example of the
latter process—in fact. the famous melody that opens this piece is an elabora-
tion of the first chorale phrase. A brief chorale prelude based on the Christmas
tune “Vom Himmel hoch” is quoted in Examyple 31.3; the phrases of the chorale
cantus. which appears in the upper voice, are separated by short interludes.
Example 31.3
FRIEDRICIE ZACHAU: “VOM HIMMEL HOCH” (CHORALE PRELUDE)
il
Yo
of @
=
12
LY
Cje
NQ
HS
Wy
ve
®
‘|
—~
a
|
|
a
KN
Nets
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vi
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.
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ot
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qd
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q
a
+
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e
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.
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ry
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a
ry
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e
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hl
Invention
In 1722 Bach composed collection of keyboard pieces called Clavierbtich-

a
lei for his eldest son Wilhelm Friedemann, who was a child prodigy. When
Bach later published some short two- and three-part works from this book
under the title Inventions and Sinfonias, he rearranged the order and key
schemes and made some revisions. Since their original purpose was peda-
gogical, they explore such practical issues as fingering, kev signatures of in-
creasing difficulty, and, more importantly, the art of composing short
unitalive Compositions. These iivcutions display great economy of ieaiis,
since most or all of the musical material is derived from each piece’s initial
motive or theme.
Even though Bach’s two-part inventions are not based on a stereotypical
formal model but rather exhibit considerable diversity or organization, we
can identify some of their general characteristics.
1, Most begin with imitation, cither at the octave or the upper 5th. The
opening statement may consist of a brief motivic idea, as in the C
major and E minor inventions, or it may be a longer theme, as in the
D major Invention. In those which open with a double theme, the
two voices are written in such a way that the soprano and bass can
later switch voices, a technique called double or invertible counter-
point (see the discussion of the second reprise of the Beethoven Trio
in Chapter 25 and note the brackets marking this device in Bach’s Eb
invention, Example 31.4).
. After the initial imitation, the theme or themes recur throughout the
piece in other keys, resulting in a general tonal scheme of tonic to re-
lated keys to tonic. In some cases the recurring thematic statements
are paired together in a kind of tonic-dominant relationship, such as
II followed by [VATE|
3. These recurring thematic statements are often separated by modula-
tory sections called episodes. Episodes may be based on motivic frag-
ments from the original thematic idea or mav introduce new material.
Thev usually employ sequential patterns and conclude with a well-
defined cadence in a new kev.
Bach’s Two-Part Invention in E-flat Major, quoted in Example 31.4, in-

corporates double counterpoint in the opening double theme of measure
1-4
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BacH: TWO-PART INVENTION No. 5
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25
Fugue
The fugue was the prevailing imitative genre of the Baroque period, ap-
pearing in both instrumental and vocal works. The fugue is a contrapuntal
and basically monothematic composition that opens with imitation. It is typi-
cally written in three- or four-voice texture, rarely for two or five or more
voices, and each voice is strictly accounted for. Unlike the stereotypical
forms of the Classical period, the fugue is actually more a compositional pro-
cedure than a form, since its design and tonal structure vary considerably
from one piece to another. Nevertheless, it is possible to generalize about
some aspects of fugue construction.
In the fugal exposition, or opening imitative section, the entries of the

voices, al] based on the same theme, occur in a predetermined tonal scheme
of tonic-dominant-tonic-dominant. Note that the term “exposition” in de-
scriptions of the fugal process means something completely different from
the exposition section of a sonata form. A statement of the theme in the
tonic key is called the subject, and a statement of the theme in the domi-
nant key is called the answer. The answer or imitating voice mav feature
real imitation, in which the original melodic interv.als of the subject are
strictly retained, or tonal imitation, in which one or more intervals are
nodified in order to fit into the prevailing tonal scheme. If the accompany-
ing counterpoint set to the thematic answer is retained through the fugue, it
is called the countersubject. The subject and accompanying countersub-
ject are always written in invertible counterpoint; this technique allows the
voices to be switched A short bridge sometimes Hinks the end of the auswer
in V to the tonic of the following subject in 1,
There is no set pattern for the entry of the different voices or the time
inten adbbetween their entries fia Bach’s Wilh Teinpies ed Clacicr the sijects
are rlativeh Short. in some of his reer organ fignes subjecttS extend
up to eight measures in length. Once the final entrance of the subject or an-
swer is completed, the exposition ends. Some composers choose to repeat
the exposition with modifications, called a counterexposition.
Following the exposition, subsequent entries of the subject in the tonic
or contrasting kevs usually alternate with episodes that emplov sequential
writing. These episodes often modulate to and cadentially confirm a new key
just prior to the subject’s next entry in that new kev. This procedure is analo-
gous to the Baroque concerto grosso: the exposition sections of the fugue
correspond to the tutti or ripiena sections. aid the episodes correspond Lo
the concerto’s solo sections.” Eventually the music returns to the original kev
with at least one last subject set in the tonic.
Various contrapuntal techniques may be eniploved in the course of the
fugue. We may find examples of inversion or mirror technique, in which
the melodic intervals of the subject are turned upside down; triple counter-
point, in which the three different voices mav be switched. producing six dif
fercn range nics betveen the parts, short Passages of strict canonic
imitation; augmentation and diminution, in which all the note values of
the subject are proportionally Jongthened or shortened. aid stretto. i Which
the temporal distance between the original entries of the theme is shortened.
Double fugues combine two distinct subjects. Thev mav be presented at the
opening of the exposition, as in the Finale of Havdn’s String Quartet in F
2, See Edward Cone. Musical Form and Musical Performance (New York: W. W. Norton,
1968). 71.
576 [(CH. 31] EXTENDED HOMOPHONIC AND CONTRAPUNTAL FORMAL DESIGNS
Minor, Op. 20, No. 5, or each subject may be accorded its own exposition,
with the thematic combination occurring later in the piece, as in Contrapunc-
tus X from Bach’s Art of the Fugue. Examples of fugues from later eras in-
clude the “Kyrie cleison” from Mozart’s unfinished Requiem, the opening
movement of Beethoven’s String Quartet in C# Minor, Op. 131. the Finale of
Brahin’s Variations on a Theme of Handel, the concluding ensemble number
of Verdi's Falstaff, the riot scene in the second act of Wagner's Die Meis-
tersinger, the set of fugues in Hindemith’s Ludus Tonalis, and the last move-
ment of Stravinsky's Concerto for Two Pianos.
The F major Fugue from Bach’s Well-Tempered Clavier, Book I, is
quoted in Example 31.5. Examine its design and tonal structure, which ad-
here fairly closely to the procedure described above; note several instances
of stretto around the middle of the fugue.
Example 31.5
GC
Foote in Myon Tin W \f Cr wink, Book I
Gag
18
| | I |
r
et
ti
et
ee
ae
65
po eee I T oe
—
SS
——_——————
oa
on
— +f
7
4
—+
L
oe
—
A |
{
@!
sonata form chorale prelude
exposition interlude
development invention
recapitulation invertible (double) counterpoint
sonatina form double theme
first theme group episode (invention or fugue)
transition canon
second theme group fugue
monothematic sonata form fugal exposition
closing section subject
closing theme or codetta answer
introduction real imitation
coda tonal imitation
sonata-rondo form countersubject
first-movement concerto form bridge
orchestral exposition (T1) counterexposition
solo exposition (S1) inversion (mirror) technique
cadenza triple counterpoint
chorale stretto
bar form double fugue

1. Match the numbers to the appropriate letters.
1. Six ways of rearranging a. Coda
the voices b Triple counterpoint
.
. Stretto C. Canon
3. Monothematic sonata form d Modulatory passage
.
4, Prepares return of first theme connecting two sections

and tonic .
Temporal distance between
Ol, Often lacks a true development subjects shortened
Transition Based on two subjects
HD
.
~1
Alternations of tutti and solo

. Sonatina form
8 Double fugue
. h Retransition
.
9 Beethoven often used as a

. Concerto form
second development Development substituted
10.Exact imitation throughout for middle section
11 Sonata-rondo form
. Second theme group uses
first theme
CHAPTER 32
Embellishing
Chromatic Chords
N CHAPTERS 28 THROUGH 30 we examined some specific types of al-

tered or chromatic harmonies, such as mixture chords, the Neapolitan, and
augmented sixths. Many of these chords function as essential harmonies in
cadential progressions. However, there are chromatic chords which function
primarily as embellishing harmonies through passing or neighboring motion
within the phrase. By decorating or elaborating the underlying voice leading,
they impart a wider range of tonal colors to diatonic progressions. These
chords constitute various types of sonorities—some are augmented triads,
some are diminished sevenths, while others are conventional chords, such as
the V', that have undergone chromatic alteration. In all cases, they are un-
stable harmonies that perform a secondary embellishing role to more stable
chords. Play and examine the passage in Example 32.1: the essential diatonic
chords are identified with Roman numerals. The slurs denote the approach
to and departure from those chromatic embellishing harmonies, which are
indicated with arrows. The chromatic embellishing chord on beat 2 of mea-
sure | is derived by neighboring motion; the chord on beat 4 of measure 2 is
derived by passing motion.
580
AUGMENTED TRIADS AS PASSING OR NEIGHBORING CHORDS 581
Example 32.1
y y
A
— —
| | | | |
= a
aN
yt le
emcee Z
|
E —— |
Cc: 1 IV 19 if vi I
In this chapter we will first demonstrate the various uses of these em-
bellishing harmonies before turning our attention to some altered chords in
both modes that defy normal functional categorization.
AUGMENTED TRIADS AS PASSING OR NEIGHBORING CHORDS

Like the diminished triad, the augmented triad is an ambiguous sonority
that cannot be tonicized because it lacks a perfect 5th (consult Chapter 4).
Consequently, the augmented triad normally functions as an embellishing or
linear chord in harmonic progressions. We have already discussed its use in
the minor mode forming a passing 6-5 over V (Example 32.2).
Example 32.2
o
# 4
|
os
r
a
|
,
=
6 5
|
ec iP iv \ i
In the major mode, embellishing augmented triads mav result from

chromatic passing motion within the successions I-IV (Example 32.3a) or
V-I (Example 32.3b), or from bridging a 5-6 motion over tonic harmony
(Example 32.3c). Some theorists prefer to use Roman numerals to denote
root-position augmented triads, denoting that last progression as I-1#5-IV.
However, a simple 5-5 linear indication written as a figured-bass svmbol is
sufficient to denote this triad’s passing nature.
582 [CH. 32] EMBELLISHING CHROMATIC CHORDS
Example 32.3
Cad &
|
ami
7"
Z— = a =
5 #5 5 £5 5 #5 6
] IV Cc: V I Cc: I
When first-inversion triad contains a raised chordal 5th, we will use the
a
Roman numeral designation I*°: the plus sign denotes the triad type (aug-
mented) and the 6 denotes the inversion. The chord symbol is enclosed in
parentheses to show the chord’s passing origin; see the Schumann passage of
Examples 32.4a and b. In the Beethoven quotation (Examples 32.4¢ and d),
we may consider the pair of augmented triads as chromatic secondary domi-
nants to [V and V. In which inversion do these altered chords appear?
Example 32.4
A. SCHUMANN: “LITTLE StuDY” B. (REDUCTION)
FROM ALBUM FOR THE YOUNG, Op. 68, No. 14
21
0 Z o am
ae
[e] L ZL.
.
-@ id “> TaN
re
[ e te e
y
+ os a
ri] eo
G a) on
C. BEETHOVEN: BAGATELLE IN C Major, Op. 119, No. 8 D. (REDUCTION)
)»_—s +
, ,__} :
—— zs
__|
=
f ——
=
&
5 66
Cc. ov wry) oy
Augmented triads also result from half-step neighboring tone motion in

embellishing progressions. Compare the two models in Example 32.5a to
AUGMENTED TRIADS AS PASSING OR NEIGHBORING CHORDS 583
the passage from Wolf’s song (Example 32.5b), whose forlorn mood is por-
trayed to a large extent by the harmonic coloring provided by the aug-
mented triads. Once again we use Roman numeral symbols enclosed in
parentheses to denote this neighboring motion.
Example 32.5
A.
a —
e | |
2
=
Cc: I (vt) oJ 1 (wt)
@) B. Wo tr: “Das VERLASSENE MAGDLEIN,’ “FROM MORIKE-LIEDER

27
_{-
|
rT rn lad T I @
ind om a
7 CY]
¥
A ££ TT}
/ :
L
?
i
ii = Zz
ry)
Plotz - lich, da kommt es mir, treu -
> ;
C. (REDUCTION)
£ ri Bad
L
1)
r >) WA
fa Th ——"
AS
\ Ff,
Zt bil
u
@ e)
be a a N
{
|
: ry)
& TL 1 1
is) } i +}: ct 1
—$——- a
> >
|
—|
rn oc
The unique pungent quality of this triad was exploited as far back as the
Late Renaissance, when it was often used to invoke or depict grief. pain, or
death. In the elaborated cadence of the Orlando Gibbons madrigal (Example
32.6a), the raised chordal 5th is spelled as a lowered 6th (Eb). Notice the word
it underscores in the text. Wagner, on the other hand, associated the aug-
mented triad with energy, fire, or fear in his operatic Ring cvcle. In Siegfried’s
forging song (Example 32.6b), the V" resolves deceptively to a VI in D minor:
notice the parallel 5ths in its reduction. In his late works, Liszt extended or
“composed out” augmented triads in several wavs. In his song “Blume und
Duft” (1860), for example, the kevs or significant harmonies of the various sec-
tions form an augmented triad—Ab, a prolongation of an augmented 6th chord
in mm. 1-4: C, in the first section, mm. 5-20: E at the end of the second sec-
22-27; and Ab
tion, mm. 22-21; again in the piano coda. mm. 28-31.
Example 32.6
~
A. ORLANDO GIBBONS: THE SINNER SWAN”
more, Fare - well all
h 14 = t
Lv a | ! I 1
eet
I
a t I
Cl) | rf
i: =
5
—
E —_
i
—
| l
wh
J
e es
|
@
my
7
, !
+
more Fare- well all jovs O
v
joy, O death come close mine eyes
ps. = Zz
as
Soap
p—
|
rd
oea
(eS
rf -
ms
f
—
as * he
+
Ze
0
(2 iad
——
Ln
death come close mine eves
|
B. WAGNER: FORGING SONG FROM SIFGFRIED, END OF ACT I

I
]
|
I
No thung! No thune!
¢
Neid li - ches Schwert!
i>} wi?
> id
A)
At |
J,
i 3
=
\wK
—_fe_ J YF
to {2
WA id ¥
C. (REDUCTION)
0 |
@
|
~~ ae
t i
INSTA | t
@)
@\*
ee ry
@
i Yo
——
Ty haat i i
WA b t
|
VI vi
ALTERED CHORDS 585
ALTERED V' CHORDS

Another type ofembellishing chord results when the chordal 5th of the Vis
chromatically raised or lowered by one half step, as shown in Examples
32.7a and b.
Example 32.7
A. B
fy a =e
ae
al
_|
a bel vy
——
t
|
— =
c: ii? (Ve!) I C: ii! (Vo°) I
7
6 I
Cc: 1
(V+2)
In both cases, the chromatic alteration produces an unstable altered Vv’

sonority which contains the interval of an auginented sixth—F up to Déin the
first model and Db up to B in the second. The Roman numeral labeling of al-
tered V" chords has never been standardized. The method we will use denotes
the quality of the chordal Sth by means of the for diminished “+” for aug-
mented, followed by figured-bass svmbols that indicate the inversion. Notice
that the° and + symbols are not written in superscript. lest we confuse themM
with the7 that follows, With the V+", we resolve the augmented 6th (4 up
to 42) xv moving outward melodically to an octave on the 3rd of the tonic
|
triad. The augmented 6th of the Vo (b2 up to 7) expands melodically to the

tonic octave Thmost cases the chromatic note is derived My ptssins motion.
alihiough its first wiversion occurs as a neighboring chord ut Exainple 32.7¢.
Only in rare instances do these chords occur as essential cadential dominants.
The serpentine chromatic motion of these altered dominants made them
a favorite harmony in sentimental ballads of the early 1900s. such as the
Ethelbert Nevin song in Example 32.8a. In other pieces, they may even
function as applied or secondary dominants. In the Strauss excerpt (Exam-
ple 32.8c), for instance, the V+‘ functions as an altered V' of TV.
Example 32.8
@ A. ETHELBERT NEvIN: “Micuty Lak’ A ROSE,” BEGINNING OF CHORUS B. (REDUCTION)
h L a
=
| |
ra E a Ta
=i
{¢ I t I +
by
e) rid r r e)
+
a
— «gh
o}: J {se I t
I
I i t
rd
—_f*_T
aes rd r
@
F: 1 (V4+') T
() C. RICHARD STRAUSS: TILL EULENSPIEGEL’S MERRY PRANKS, Op. 28 D. (REDUCTION)

|
eon.
e
pT
$1
ele
te
le
ayer
¢
Z, ml
vI
BD
Ls
te
Ei
I o
ry C7)
L iw)
hal
>.
Y mv Ya
I
i AB = ra
Lae
©
| A
¥ al —T
(V+YIV Ty)
Both the V+' and Vo" may be considered whole-tone chords, since their
constituent notes occur in the whole-tone scale. For instance, in C major all
the notes of both the V+‘ (G B Dg F) and Vo' (G B Db F) are in the whole-
tone scale F G A B Cf (Db) Db. In fact, the 3 inversion of the Vo" is identical
to the Fr 3, as shown in the following Brahins passage (Example 32.9) where
it resolves directly to the tonic. The recurring theme on which the set of
variations in his Finale is based first appears in the soprano, but after four
statements, it reverts to its usual position in the bass. Since the progression
that underlies this theme opens with an A-minor chord, we might be
tempted to consider the final E major triad as V in that kev. For the remain-
der of the movement, however, the theme usually begins and ends in the
tonic kev of E minor. What is unusual about the Vo3 in this passage is that it
functions as the cadence chord.
EMBELLISHING OR COMMON-TONE DIMINISHED-SEVENTH CHORDS 587
Example 32.9
@)
BRAHMS: SYMPHONY No. 4, IV
# p> fae
ow iw
— fp? T
°K)
Vo
Fr4 I (or VAv)
EMBELLISHING OR COMMON-TONE
DIMINISHED-SEVENTH CHORDS
We have prey joushy treated the diminished seventh chord as an cuibellish-
ing dominant (vii’') that precedes the tonic or some other diatonic triad as a
secondary dominant. In such cases, all of its chord members resolve step-
wise. We mav, however, encounter a diminished seventh chord that con-
tains a common tone with the chord that follows it We call this finils of
chromatic chords common-tone diminished sevenths. A common-tone
dinimisbed seventh may be spelled by taking the chord of resolution and
inahing its root the 7th of the diimished seventh chord. Using Tin C
major, for instance, the root is C; therefore C becomes the 7th of the di-
minished chord Dg F¥ A C.
These embellishing diminished sevenths function either as neighbor-
ing or passing chords. In the former case, they usually act as neighbor to
either I (Example 32.10a) or V7 (Example 32.10b). We denote these dimin-
ished seventh chords bv labels that stress the function of their linear deriva-
tion and resolution. Thus (N°’) is a neighboring diminished seventh chord,
‘not to be confused with the Neapolitan), and (P’) is a passing diminished
seventh chord. In order to keep stepwise motion in all voices, the chordal
5th of the Tis usually doubled.
588 (CH. 32] EMBELLISHING CHROMATIC CHORDS
Example 32.10
SSS —— ——
jie
SS
|
vi
-
I (N°‘) if vi (N°!)
In the three excerpts which follow, the latter two incorporate enhar-
monic spellings (Eb for D§). Richard Rodgers uses a pair of diminished sev-
enths that neighbor tonic harmony to invoke the swaying palm trees of
Polynesia in Example 32.1la. Wagner, on the other hand, employs this
chord to embellish his dominant seventh in Example 32.11c; the circled D°
appogiatura is particularly expressive. The enharmonic Eb is necessary in the
Schubert (Example 32.11c) to maintain a diatonic soprano line—C-D-Eb-G,
not C-D-D#-G.
Example 32.11
A. RICHARD RODGERS: “BALI HA’l” FROM SOUTH PACIFIC
7 a a ee /3
4.
J a 4 | rT
a]
t t
t
—
i t t
e “f j
: oe
-oe_/ | 4
oO
ohCO
ad
A
ee
—t
I
£ <
‘ + £
1
—£ rn
Tt i T
°
[
°
{ €
° « t €
As
1
€ a
os
B. (REDUCTION)
re
= =
io ———
@)
rt i wr
ao oe
(N°!) if I (N°
EMBELLISHING OR COMMON-TONE DIMINISHED-SEVENTH CHORDS 589
(@) C. WAGNER: Hans SAcHs’s MONOLOGUE D. (REDUCTION)

FROM DIE MEISTERSINGER, ACT II
p_
42
T
= {s
|
if
oe.
1
W
[ a
1
—
I |
—
oS i
rat
fy |
he
oe
aw
<> hea ~-@.
eo) <>
1
ve
7eo ry}
Ty
(N°
@) E. SCHUBERT: STRING QUINTET IN C Major, |
/_§
ats
|i]
ev)
ok
\
¢
bg
oo
:
uf
(N°) I
E} for D#
Examples 32.12a and b show the common models for embellishing di-
minished sevenths that use passing motion. In cases where the passing mo-
tion descends, the P™ shares a common tone with the chord that precedes
rather than follows it. The Tchaikovsky and Cole Porter passages in Exam-
ples 32.12¢ through f demonstrate the use of these chords in actual music.
The Tchaikovsky waltz employs a passing diminished seventh between I and
V (Example 32.12c); the Cole Porter tune uses it to bridge the motion be-
tween I° and ii‘ (Example 32.12e).
Example 32.12
(P° aI
C. TCHAIKOVSKY: SYMPHONY No. 5, II

=> —
212
2.
|
A.
he
ot 4at
ow
Ns
|
| |
—G-* wee
|
JT. N
r r P
4 #
i
he be te
eo
i LCerY I I
Lear a l TT] I
z=
] ] }
= a
|
—# at
——F He at
the
D. (REDUCTION)
~>
Wiha
ry
Yd
wr
ree
=
= 4
|
+} Fat
Tt
A I (pe! v4 pe’) 1
() E. Coie Porter: “Ev’Ry TIME WE Say GOODBYE” F. (REDUCTION)
a |
ean
|
2 ———
XY i “I
li
eo} >)
f
J—ht—sZ& 2<—
I
owbe
T
T
I +
ry
a <
ry
e): tb Tt im oe
i
al
>
@ l I
a ~~. I i
|
Eb: 1” (P° i
COMMON-TONE AUGMENTED SIXTH CHORDS
If we substitute a b6 for the 46 of an embellishing diminished seventh, we

create an embellishing German augmented sixth chord. As in the
case of the neighboring or passing diminished seventh (N° or P’), this
chord may function either as a neighboring (NGer6th) or passing
(PGer6th) harmony. In the neighboring version, the partwriting is identi-
cal with its diminished seventh counterpart; the chordal 5th of the tonic is
doubled (Example 32.13a); the voice leading of its resolution is now com-
pletely chromatic. Enharmonic spellings (63 for #2) are frequent (Exam-
ple 32.13b).
COMMON-TONE AUGMENTED SIXTH CHORDS 591
Example 32.13
! [ |
C: (NGer6th) I C: J (NGer6th) I
C D.
h | a 1
~
K—— {——
—
—=
s
Pom |
oo {
| 1
| |
I (PGer®) I I (PGer®) J
The neighboring German 6th is often found in Romantic literature as

an exotic substitute cadential chord, as shown in the final progressions of
the two songs in Example 32.14. The neighboring Ger6th that prolongs
he final tonic hamnony in the Schubert song (Example 32 tal produces TP
a quasi-plagal effect. Coming out of a cadential V', the Ger6th in Liszt’s
song creates a kind of Romantic retardation that eventually resolves to I

(Example 32.14b).
Example 32.14
\ Scutnery “Srerastc DS1OB 11S15)
38 v
la’ 3 oN
=
+=
ae
+E ——- +
6
(NC
B. Liszt: “Es Muss EIN WUNDERBARES SEIN” C. (REDUCTION)

30
_| | {
-
he
Lie -
|
be
|
sich nur von Sa gen.
ft.» | {4 __
1
:
—
\
aN
X eo a “al
eo
|
€
]
b4
Eb Vi = (NGer®)I
t
TT fs wy I i —_ 2
oe
bh T LW o ¢ yay
€ T ew 4 €
= > oe. @
This chord may also appear as a passing linear harmony, usually coming
out of a pre-dominant IV or ii” (Example 32.13c). Example 32.15 shows a
similar use by two nineteenth-century opera composers. Notice in both
cases that the soprano and tenor voices move by contrary chromatic motion:
the passing Ger6th resolves directly to the tonic.
Example 32.15
@ A. VeRpi: QUARTET FROM RIGOLETTO, ACT TV
100
t? CJ 7 —
van
et le Ot le yr le tt le
e) —
A tc== [|
be e bbe ew
~ | a
+ ie e e le
f°
Ai yb
ie
Ws
es. ef ey ma oe le
wa
Os
I
ele ee
ft }
Db: I (vii? fii ii! PGer®} I
) B. WAGNER: “TRAUME” FROM WESENDONCK SONGS

61
Hh \ |
Ve —_ 4 I 1 I
TT al TU TL i
t
|
e $F
santt an dei - ner Brust ver - -
glii
|
VF
a I _
jal K
3 mi
L_ 1m
@) H 4
% |_| | ,_|
~ ye 1
|
h ap
Vtse a. aho 4 ha.
ano rem
[
bh TY vy,
Ab OV YIV, iti) ii? PGer®) I (NGer®) I

UNUSUAL LINEAR CHORDS 593
UNUSUAL LINEAR CHORDS
We occasionally encounter passages in which the linear movement of the

voices produces a chordal sonority that makes little or no analytical sense
from either a vertical or a functional standpoint. In such cases you usually
find that the particular notation or spelling of such chords is determined by
the direction in which the melodic lines are moving and may therefore vary
from passage to passage. In the Beethoven excerpt (Example 32.16a), the
harmony marked with an arrow is not a misspelled C minor triad but a pass-
ing sonority that results from chromatic motion between [V° and V°, as
made clear in the reduction (Example 32.16b). The Tchaikovsky waltz (Ex-
ample 32.16c) involves a chromatic prolongation of the dominant, as shown
in the reduction (Example 32.16d). The strangely dissonant harmonies that
appear in the Mozart symphony (Example 32.16e) are all chromatic neigh-
bors to the V‘, some of which clash with each other, As you can see from the
above illustrations, it is probably best to avoid labeling such voice-leading
harmonies with Roman miamerals and just iidicate their peassiig or ncighbor-
ing nature with a (P) or an (N).
Example 32.16
@) A. BEETHOVEN: PIANO Sonata IN D Mayor, Op. 28, III B. (REDUCTION)
43 rN
— =@4
os
’~@’
4 3
lax
A
o_o
if [ a >
Gai
a WI "oe
RY Le J x { I
x
<=
t—t
|
{ hs
ry) @)
Card >]
ap
I
|
T
os
I
bo
nn
Th
tea
~~
il
oe T
i
~ Je Paul
u
|
ea fote
| i
yh
I [
“i if i
ZL
yl 7FF, PO)
dl
I
bal
T i
—"
b: Voi vi ve (P) Vo D w° 6
@®
€ TCHAIKOVSKY: “WALTZ OF THE FLOWERS” FROM THE NUTCRACKER
>
. r 4
78 y y y
4
——S y — <4 Cr
es
> ct Po
ial
fan’ bal tA
Ls 7
— P|
| al *
“a.
t t
L i
r
if
er #1
|
i a
i,
Ae
ann
Ye]
F
y
(passing chords)
594 [CH. 32) EMBELLISHING CHROMATIC CHORDS
D. (REDUCTION)
p 4 —
‘ea’ “g-
i
D:
=
1
—
2
ve > 6
@)
E Mozart SYMPHONY No. 40
v
— — ~
st
149
did te
—>
ood ody
—~ —~ bony
ie ss
e | | | a | |
_ @ele tee tele d ted J eee

iA
5 4
WH — I
ase
j I
—
g ve
ADDITIONAL CHROMATIC CHORDS IN THE MAJOR AND MINOR MODES

There remain number of altered major and minor triads that appear to
a
fall outside any clearly defined category of tonal function. These chords
are spelled out in Example 32.17 in both C major and C minor. We have
arranged the triads in each mode in a descending 5th progression moving
toward the tonic, first on the sharp side and then on the flat side, al-
though this grouping has little to do with their actual usage in passages of
music.
Example 32.17
A. MAJOR B.
not applied chords double mixture chords

1 T a
fh
—
qT |
T murs
hE th ER
1] amy ;
may poem
HES Oo
A © 1
XY Uy) GF 2 i >= a i Dt (8)

HHU
TES BS vam
HIV Vil ll VI Il I bvii biti vi bii by

ADDITIONAL CITRMONATIC CHORDS IN THE MAJOR AND MINOR MODES 595
C. MINOR D.
se,
Hiv Avi li V1 Vil VI
Certain major-mode chords with sharps may resemble secondary domi-

nants (Example 32.17a), but they do not always function that way. For in-
stance, in Schumann’s Fantasy (Example 32.18a), the composer interpolates
an A major triad between I and IV. This altered chord does not act as a V‘/ii
but rather stands in a chromatic 3rd relation to the diatonic harmonies on ei-
ther side.
Example 32.18
(@) SCHUMANN: PIANO FANrasy IN C Mayor, Op. 17, II
[*t
C: I (VT) TV
The chords in Example 32.17b represent mixture harmonies that are

mutated into minor triads. These sonorities are sometimes called double
mixture chords, since they represent a two-stage borrowing from the
minor mode; first the chord itself is borrowed and then its minor version. so
that bIIT becomes biii, and bVI becomes bvi. In the Chopin Prelude (Example
32.19a). the tonicization of the Neapolitan (IL) is followed by a sequential
tonicization of biii indicated by the arrow before the final cadence in
E major. César Franck seemed especially fond of the bvi chord in major (Ex-
ample 32.19b).
Example 32.19 i
( A. Corin: PRELUDE IN E Major, Op. 28, No. 9
oe _
I ual iI il iI tT
e+
it
fe
—
a)
—— SSS
=
3
Ks
Tr ee il
—
oe oe e ——-
bee. we
bo
wu ew
4
he
cl Vv I IV 4
E: ] iv bII biti V/bIII bUI Vv
oN
pz Ps
W
(@) B. FRANCK: PIANO QUINTET IN F MINOR, I

90
leg
4
-sigit. ate tote i.

hee
ty rw wr te ty :
.
ret
if
= ESESEES
Wf a
_——
il
———
ft
Hie:
WL
is =
(bvi) \
The two groups of triads in the minor mode of Example 32.17 include
some mixture chords borrowed from the major mode (Example 32.17c) and
diatonic chords mutated into minor triads (Example 32.17d). The triads
listed in Example 32.17 are infrequent and typically occur as vagrant
chords, a term coined by the twentieth-century composer Amold Schoen-
|
4 THE USE OF CHROMATICISM TO CREATE MODAL AMBIGUITY 597
berg, that provide a momentary chromatic coloring to diatonic progressions.

In some harmonic sequences they may lack any sense of tonal function and
can even contribute to a temporary suspension of key feeling. For a good ex-
ample of this, refer to Example 26.6.
THE USE OF CHROMATICISM TO CREATE MODAL AMBIGUITY

On occasion composers in the late Romantic period infused their major key
compositions with so many mixture harmonies that the mode of the piece
became uncertain. An excellent example of this procedure may be found in
the beginning of Brahms’s Symphony No. 3 in F Major. The movement's
initial three-note motive contains an ambiguous b3 (F-Ab- F). The opening
modal duality is extended by other harmonies containing mixture scale de-
(
grees (b2, b3, b6, and b7). This passage provides a good review of the chro-
: matic chords we have discussed thus far in Part III. In the voice-leading
7 reduction (Example 32.20), the essential diatonic harmonies have been pro-
vided with Roman numerals. Supply an analysis of the remaining chords in
the parentheses.
Example 32.20
BRAHMS: SYMPHONY No. 3, I (REDUCTION OF MM. I-15)

5
paras
h ~J~——. oe oe
£16 T —
he oT |
5)
6
a 3
r i. I
1 (i°) )
v4
10
rite
‘
1)
i
-@-
o e e o e e eo
THe
@
py
j i
i
1° ( )
vaIv IV ¢ ) 16 (yy em oy I
The rest of this movement continues to exploit large-scale toniciza-

tions of mixture chords: ({III] in the exposition and bv in the develop-
ment). Parallel modes appear in the symphony’s other movements as well.
For instance, a change of mode, F major to F minor, occurs between the
first and fourth movements, and another, C major to C minor, between
the second and third movements. The symphony ends with a parting
cyclical reference to its original opening motive, now safely in the tonic
major.
When harmonizing a melody, look for places where embellishing chro-
matic chords might be effectively used. Half-step motion in the melody,
such as 949-3 or 5-4-5, can usually be harmonized with a passing or
neighboring altered chord. However, resist the temptation to indulge in
excessive chromaticism.
A diatonic melodic phrase and its setting are given in Example 32.21a. In
the following harmonization (Example 32.21b), the tune is underlaid with an
assortment of embellishing chromatic chords. Make a Roman numeral
analysis of this passage and indicate each altered harmony.
Example 32.21
A.
————
a |
|
a
__f T
L
IN
{
ae
|
=
|
["
e
oe 2
ad.
@ 7 2 6
t + a
J
,
| |
I I
av) 1°
v4) 18 ii’ \"
* +
|
|
RD
E
e0
=
Summary of Chromatic Embellishing Chords

1. Chromatic embellishing chords normally occur as passing or
neighboring motion between the same or two different harmonies.
They usually involve more unstable or exotic types of vertical
sonorities.
;
Ww
Typical examples include augmented triads
. (Ior V~), altered
dominant sevenths which contain augmented 6ths or diminished
3rds (Vo' or V+‘), and common-tone diminished sevenths and/or
German sixths, which function as passing or neighboring chords
(such as a P’ or NGer6).
q
3. Unusual spelling of major or minor triads may also indicate the
|
possibility of a passing or neighboring chromatic embellishment.

4, Some vagrant chords do not seem to fall into any neat categories of
tonal function. They may include double mixture harmonies, which
are two-stage, borrowing from the minor into the major mode
(such as bvi).
5. These embellishing chords are difficult to work into melody har-
7{ |
monizations unless the tune itself already contains chromatic
inflections.
j passing or neighboring embellishing Aug6ths

4 embellishing chromatic chords common-tone Aug6ths
q embellishing augmented triads linear chromatic chords
altered V‘ chords double mixture chords
embellishing diminished 7ths vagrant harmonies
common-tone diminished 7ths modal ambiguity
600 (CH. 32] EMBELLISHING CHROMATIC CHORDS

1. Analyze the short progressions in Example 32.22. Provide the proper
Roman numerals or symbols for the chromatic embellishing chords.
Example 32.22
>
es)
EO
y
~
VA
CaP:
fo iit_ —
bil
a Y=
H
|
Ww
~
wet}T
|
ar
,
mal
TY,
ky
1
I = —5s.
+
i
u
4.
el
Pid
£
{
l
Lt
ee
.
ly rn
ae
a
I
im
|
a
a
|
2
5
*
ee...
|
bbe
@.
=.
hal
Y
t
A Eb G: Db
E. F.
4 |
=
|
i I 1
tr —H a.
ele
b
sh
rT Pel
t
Ma
F D:
2. The Roman numerals for several short progressions are provided in

Example 32.23. Write the chromatic embellishing chords, preceding and re-
solving them with the specified harmonies. Be sure to use the correct dou-
bling and denote whether each chord is derived by neighboring or passing
motion.
Example 32.23
A B. C.
Ho,
VF
ins bt
—t
~ i
+—
rete
bona mie aa9
Lam
_ uJ
5 5
Bh \ I E I (P°") V4 Ab:
i$) (Ger)6 I
601
BRIEF REVIEW SELF-QUIZ
A
@ [5
4
Te —
+N
. tary
GH Het
tH
.
x
isa
4 ch TE
~
® MG
<
.
= Ta oe
Nw
ele
OQ Owe
GN
C H A P T E R 3.3
Dominant Prolongation
E ARE ALREADY FAMILIAR with various ways of prolonging

tonic harmony through the use of arpeggiated tonic triads or embellishing
passing and neighboring chords. We have also seen how these same tech-
niques may be used to extend dominant or pre-dominant harmonies. Exam-
ples of short-term dominant prolongation using embellishing chords
appear in Example 16.9 and Example 21.1 (mm. 9-12). In this chapter we
will examine some examples of extended dominant prolongations, some of
which play an important structural role in compositions.
The psvchological effect of a protracted dominant is quite different from
that of an extended tonic. Whereas the prolongation of I results in a sense of
tonal stability, the prolongation of V creates a sense of tonal suspense, height-
ening our expectation of the eventual resolution to the tonic. These dominant
prolongations, which may employ various chromatic harmonies, are usually fea-
tured in predictable parts of a composition, such as introductory passages, re-
transitions, extensions of§ cadences, and passages preceding musical climaxes.
After first examining two short passages that employ chromatic embel-
lishment in prolonging the dominant, we will focus on the various musical
situations in which dominant prolongations are typically used.
602
SHORT-TERM CHROMATIC PROLONGATIONS OF VU) 603
SHORT-TERM CHROMATIC PROLONGATIONS OF V(‘)

The two excerpts of Example 33.1 illustrate how dominant harmony may
be momentarily prolonged by chromatic passing motion. In the Mozart
passage (Example 33.la) the root of the V’ is retained in the bass and so-
prano while the inner voices ascend chromatically. The Brahms excerpt
(Example 33.1c) rhythmically staggers the chromatic motion between the
bass and an upper part while the root and 7th of the V‘ are sustained in the
two highest voices.
Example 33.1
(@) A. Mozart: PIANO SONATA IN B-FLAT Major, K.333, III
178
47£6 al Tile. ~ oi ia al * Y inf ud

i — —
mal lua dl
bh ié |
l j
ia J) |
|
if
aaa
ive CY) iw!
mad |
l
uaa
as a
AZ |
Vv | | a | L "4
if
i i LV
LES ——
@)
a> a ~
~_—~
YT
I
YL h
—
I i ~
—
i T i
____ _
f } i f t as
}
B. (REDUCTION)
f.
fan}
5
lo.
Vv au —
I ]
J _i CY]
an
ae
Vv
A
l
I
i
ey
L
©
TT
"4
&
Ti
"4
ph tee
ry
Vv
hal
|
ud
ry) @
|g
a te 6e tw
——L
[bs
= aaa pesse 4
:
|
| gig # ts |F
—
Bh Ht? OV > V'
(@) C. Brauos: Capriccio t8 D Minor, Op. 116, No. 1
21
L
o\* tI ] J 4 \
>|
t +
a
ta rl
bwK_# te ire ee
604 [CH. 33] DOMINANT PROLONGATION
D. (REDUCTION)
4 —J
> x= =
|
css) =———te
° =
fe = =
°
=
—
T
7 ve
F:;
Vv > ve
PROLONGATION OF THE DOMINANT IN INTRODUCTIONS
Some compositions open with an introductory passage based on an extended

dominant harmony that acts as a preparation for the initial tonic theme. Sec-
tionalized pieces, such as marches, rags, or polkas, frequently display an
elaboration of dominant harmony in their brief introductions (see Example
13.16). The concert waltzes of Johann Strauss provide extended examples of
this same technique.
An interesting example of dominant prolongation occurs in the introduc-
tion to Chopin’s Polonaise in A-flat Major. Since this section is rather
lengthy, Example 33.2 provides a voice-leading reduction of its first seven-
teen measures; listen to the passage on the CD-ROM while following this
reduction.
Example 33.2
CHOPIN: POLONAISE IN A-FLAT Major, OP. 53
13 17
be:
be
Ab. OI
LIT viv vi
V > \'
The initial dominant triad is tonicized and prolonged through a rising

chromatic progression over a 5 pedal—through bIT and V/V. each of
which employs
Pp
an embellishing harmony (Ger® and vii°’). Once the domi-
a
7 ~~
PROLONGATION OF THE DOMINANT IN RETRANSITIONS 605
nant harmony is finally established by its own secondary dominant sev-

enth, it resolves to the tonic in measure 17. Observe that the soprano as-
cends chromatically E>! Fb-F The last F (in m. 12) then acts as an upper
b.
neighbor that anticipates the 6-5 (F-Eb) motive of the first Ab major theme
in measure 17.
PROLONGATION OF THE DOMINANT IN RETRANSITIONS
In those formal designs in which the original theme returns in the tonic kev
(such as two-reprise, ternary, rondo, or sonata form), the retransition leading
to this return frequently includes a prolongation of dominant harmony,
often supported by a pedal on 5. The resulting sense of anticipation psycho-
logically prepares us for the return of the tonic and the original theme. An
instance may be found in Example 31.1, where the extended V' in mm.
43-47 immediately precedes the return of the initial tonic theme in m. 48.
Methods used to prolong retransitional dominants are quite varied and lim-
ited only by the imagination of the composer. For instance, in Example 25.3,
the dominant prolongation occupies most of the initial section of the second
reprise (mm, 51-64).
A typical case of dominant prolongation in sonata form may be found in
the retransition of the Beethoven sonata movement in Example 33.3.
Example 33.3
(@) A. BEETHOVEN: PIANO SONATA IN C MINOR, OP. 10, No. 1, I

136
— S—.|
44 bh |
ay Ld
=
|
|
Pr >
|
. | |
decrescendo
606 (CH. 33] DOMINANT PROLONGATION
B. (REDUCTION)
3 5 5 i
So a = =
ug rt
rn
;
oe a
a
is ad oOo
[oe
Nt
)
“a
|
m=)
4
aD
~l
D
fo}
oat
v
-
The harmonic motion into the retransition is prepared by the chromatic

ascent 3-4- 44. 5 in the Once the V is established in mea-
bass (mm. 136-38).
sure 138, a series of § triads descends stepwise over the dominant pedal.
After regaining the upper octave, a second sequence of triads descends to 2,
which signals the final resolution to the tonic 1, The entire passage repre-
sents a prolongation of scale degree 2 over V, as the voice- leading reduction
illustrates.
PROLONGATION OF THE CADENTIAL 4 FORMULA
We noted earlier in discussing Example 16.12 that the improvised cadenza

of a Classical solo concerto consists of the “composing out” of a cadential §.
Similar extensions of cadence formulas are often exploited by composers in
form. In the retransition from Mendelssohn’s cantata (Example
written-out
33.4), the{ in the parallel minor (m. 53) is prolonged by series of mixture a
and applied harmonies.
Example 33.4
A. ONMPEN DRE SSOHAN: ]
>
vw SEA PROM ]\ Ob SHINING. PROM CHATSFF
(ENGLISH TRANSLATION)
53
b
8
a th ry t
7} t
! }
{
T
ry)
To in | glo - o - ver the - tions. to in | glo -
reign rw | na reign rv
be 7
e 7
@lse
we? 12
o-
oO
7
@: #2 o
7
L e @ |
T i 104
ye TT, i¢ L
yi i
syd bt
a td
AT
4
PROLONGATION OF THE CADENTIAL § FORMULA 607
63 Be-hold a
LIZ
|
_
bh}
| I iN I
= L
Vv
a
e
e
T
= ©)
ry
x
oe x
1
-@-
-=. al
1
Oo. eo i
o - ver the | na - tions. _ Be - hold a star from
x i
ds 4
e Ty,
T
T
12
f
(@) } ,ob I a nal
_@
|
[04
2
Ly.
weer Vay a) Yr
I
it
<
hal
—_
Lamm
hall 3} hall l
OT
|
Be
B. (REDUCTION 1)
be ys
be
@
C. (REDUCTION 2)
63 1
be
7a bt <— (am
|
Po —
———oe _ Cw) e
a+=an @. = F-4 —,. = tre

o— ra 1
te
6 6 4
Eb: \ 1°
Although there are several transient resolutions to i° and i (see mm. 56 and
58), the consistent texture and the repeated text of this excerpt indicate a long-
range arpeggiation of the §, spanning the octave Eb to Eb! in the soprano. The
dominant eventually resolves via 2 overa V3 to the [° (mm. 63-64), which marks
the retum: of the orginal theme an De Her, consult the two reductions The
harmonies that Mendelssohn uses with this change of mode provide an excel-
lent review of the chromatic chords we have already discussed Make a Roman
mumeral analvsis of this passage, remembering that the tonic kev is Eb major.
A more radical handling of this procedure mav be found in the first
movement of Gustav Mahler’s Das Lied von der Erde (Example 33.5). The
uiderling | cadence that begins in 25 is overlaid with exotic
sohoritics resulliny from Cliromatic icar motion, Note the bref chromatic
608 [CH. 33] DOMINANT PROLONGATION
voice exchange between the vocal part and the upper orchestral voice in the
approach to the final resolution, which itself is temporarily diverted by an
embellishing§ over I.
Example 33.5
@) A. MaAnu_er: Das Lipp VON DER ERDE, I
p24 - > > |S

Lf pe
= = =
Sma
-y, L lL
| T
T Tt |
it
it
l ___| |
doch trinkt noch

tr , trans tr
Ma GQ “Po hele xAe. tr
aac
fuel
|
i=
Ath
V
nicht
B. (REDUCTION)
ee Oye 4
UJ
6 7 6 3
l
+ 3 J ut 3J
a:
Ger§ V I
DOMINANT PROLONGATION AS PREPARATION FOR A CLIMAX
Composers in the Romantic period were fond of utilizing a lengthy domi-

nant prolongation to build toward a musical climax. Beethoven had already
realized the potential of this device: for example, see mm. 99-109 in the first
movement of his Third Symphony, the “Eroica.” After the first presentation
of Romeo's theme in his orchestral fantasy Romeo and Juliet, Tchaikovsky
could not resist employing an extended dominant preparation leading to the
impassioned repetition of the theme (Example 33.6a). Observe the rising se-
ries of transient tonicizations over the dominant pedal, which is highlighted
in the reduction (Example 33.6b),
|
DOMINNANT PROLONGATION AS PREPARATION FOR A CLIMAX 609
Example 33.6
A. TCHAIKOVSKY: ROMEO AND JULIET (SIMPLIFIED)
220
Ott 4
a
© a
TZ.
1
I
oS: I
eS eo
oe
——
Puna
z
| ae
L ~
hed hed
CFSE.
ao ef) Q of? re)

ty
os |
oF (6) aS
7 id on
ama re) uo
i“
ot ta —
Ne
| | hl ve
XY 7 ay
Sh
—
$H
q
B. (REDUCTION)
« wy 2
—-,
6 6
(i VIi)
ii iii
11] 2
4 3
Db: \ ie
Extended dominant prolongations remained common in late Romantic

music. In the mature music dramas of Richard Wagner, the role of the tonic
chord diminishes to the point that anv sense of a kev must be inferred from
its dominant seventh. As we shall see in Chapter 38. the Prelude to Act I of
Tristan und Isolde contains a prolongation of V" that spans the opening six-
teen measures: the first true tonic triad does not appear until measure 24.
Although the tonic and dominant are the most commonly prolonged har-
monies, other chords may undergo similar treatment as well.
610 (CH. 33] DOMINANT PROLONGATION

dominant prolongations: in retransitions
by chromatic embellishment as an extension of the cadential
in introductions as preparation for a climax
1. The Mozart passage below features a dominant prolongation. Analyze

the passage for chordal function and indicate which types of dominant pro-
longation are employed.
Example 33.7
Mozart: ALLEGRO AND ANDANTE IN F Major, K.533
p
206
<2 2 = fie £ te he fhe 2 ere @
Wi
N
be wt. wham aL ml”
eS
@ @
H+
“Cth —~ TTT
rte
ha
rte
I?
THT
Ht
He
ile
||
eND
)
Lh
E
=
Tt
z
Rie os thee
'
Ke oS —=
d
STI
(
611
N
o&
By
ea
nN
=
—
fx]
nl
a
ea
mm
fo
Gd]
—
cc
ae
eo
j—__
eo
ei»
———.a
CHAPTER 34
Modulation to
Foreign Keys I
UR DISCUSSION OF MODULATION in the preceding chapters has

focused on tonal schemes employing closely related keys—that is, keys that
have signatures with only one accidental more or less than the original tonic.
Baroque composers, such as Bach and Handel, were usually content to work
within this limited range of keys, although fantasias, toccatas, and recitatives
of the period occasionally ventured into more distant realms. By the Classi-
cal era, composers were exploring remote tonal regions as goals within the
modulatory development sections of sonata-form movements and other
large-scale pieces.
Plav Example 34.1; this passage begins in C major (no sharps and flats)
but ends in the key of A major (three sharps). Such tonal shifts are called
foreign modulations, which move to non-diatonic keys whose signatures
differ from the original tonic kev by more than one accidental. The substitu-
tion of foreign keys for more traditional, conservative. closely related kevs
led the music of the Classical and Romantic periods into more diverse and
complex tonal schemes.
612
MODULATIONS TO FOREIGN KEYS IN THE MAJOR MODE 613
2 @) Example 34.1
—o) ALL
q
7a te
| |
. {
ay
fe
hall 1
o
hi
d
HH
ay
C major
A major
In this chapter we will begin by categorizing the foreign key relationships

found most frequently in the common-practice period. We will then discuss
three basic procedures for effecting these modulations—(1) by change of
mode, (2) by common tone, and (3) by pivot chord. Some additional ways of
modulating to foreign keys will be examined in Chapter 40 of Part IV.
MODULATIONS TO FOREIGN KEYS IN THE MAJOR MODE
Since modulations to foreign keys tend to occur more frequently in major

keys, we will focus on the more common foreign key relationships in that
mode. These relationships may be divided into two groups and charted on a
six-pointed star (Figure 34.1).
Figure 34.1
Db
3 bI
} bI
Eb E
bs bv VI Ab A
/
\ b
flat-key side sharp-key side

|
kb
alt
#
__—_t —_I]
bi bil
Lt Vi Lu]
614 [CH. 34] MODULATION TO FOREIGN KEYS I
The firstgroup consists of chromatically 3rd-related keys, which in

Figure 34.1 form the sides flanking original tonic, denoted by I (C
major), The two sharp-key areas of
aeLU VI
and [VI are to the right, while the
two flat-key areas of and are to the left. Both a chromatic and a
common-tone relationship connect the chord members of a 3rd-related
triad and the original tonic triad, as shown in Example 34.2.
Example 34.2
—e—
> oe | Res oOo

————
=
— —-fa
[viJ-— fn] fy]
The second group of foreign keys, positioned directly above and below
the tonic in Figure 34.1 are related to I by half step, either or Lyi],
Since modulations to the major supertonic ([LI]) or subtonic keys (bVH]) are
comparatively rare except in harmonic sequences, they have been omitted
from the chart. We will now concentrate on how we modulate to these for-
eign keys.
CHANGE-OF-MODE MODULATION
Modal exchange, discussed previously in Chapter 28, provides an efficient
means of modulating to certain foreign keys. These change-of-mode mod-
ulations involve changing the original key from major to minor, or vice
versa. By substituting C minor for C major, for instance, we can move to any
key that is closely related to the parallel mode (C minor) but foreign to the
original tonic (C major). Change-of-mode modulations are especially com-
mon in the Classical period; indeed, a modal change is usually a signal that a
foreign modulation is in the offing.
The possible tonal connections arising from a change-of-mode modu-
lation are summarized in Figure 34.2. The left-hand diagram uses Roman
numeral designations; the right-hand diagram shows C as a theoretical
tonic. The a sign denotes the original mutation between major and
minor.
Change-of-mode modulations tend to occur either in a developmental
section that explores a variety of different keys, or in a contrasting middle
CHANGE-OF-MODE MODULATION 615
Figure 34.2
vi a
iil d e
ii
t t
° Lee
Vey
|
V Fe!
iv <— /+—> V f <«— t—» g

| C
vi v7 Ab Bb
|
HI Eb
part of a sectional work, such as a ternary or rondo form. In Example 34.3,

the exposition section in the first movement of Mozart’s familiar sonata
closes with an arpeggiated flourish in the dominant area. At the beginning of
the development section denoted by the repeat sign, G major suddenly
changes to G minor. A pivot chord (i-iv) then leads into D minor or key via
area foreign to the original G major.
q Example 34.3
(?) A. Mozart: PIANO Sonata INC Mayor, K.545, I
I |
ove
re
te
\
{||
ly
il,
[; re
i
i
ui
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ey
feet thee. iy
=
2
t ———
wv
616 [CH. 34] MODULATION TO FOREIGN KEYS |
B. (REDUCTION)
— he
te
Lal
hal
3) He bow
N—_
+}:
YA
_
oe.
aN= i
>
nal
—
——
tht
Oo
Cm
x
—
e-
>
= _——
it it
=
oa
itu
Y
@
NL @
J i I |
ft
_ | “—— |
G I Vi | Vv I i Vi i Vi i
In Havdn’s D major rondo (Example 34.4), the shift to the parallel minor
coincides with the opening of the first episode or contrasting section. D
minor then moves to its relative key of F major, resulting ina relation-
ship with the original tonic. The music later retraces its path back to D
minor, after which the opening refrain theme of the movement reappears in
the original tonic of major. I
Example 34.4
A. Haypn: PIANO SONATA IN D Major, Hop. XVE37, I
lai
va
19
Mm
o— . !
> ly
= =
a is : |
> T
th
7
3 A -—-—#
=——|
i
i
|
Cs WA
t
t
v1
1
eo
Nav t
t
ri
; S i
i P
4
4 @
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4
rx @ 1
5
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|
AL. 4 4.
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t
a t
mi
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sae
ee
t
i ta
Tt“a
7
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ro
t
tt oe
T
\ i
fo: 5 —SCVCV_"_—
THe:
Le
|
il
@!
aL
te!
be
7
is
tT
anal |
He
CHANGE-OF-MODE MODULATION 617
B. (REDUCTION)
:
— fl eo oe
CN”
im
—
mt mn
=
APS
D: A L Lil iio? NX, ul

II
In change-of-mode modulations from major to minor, the foreign goal is

often of the original key, as was the case in the Haydn above. However,
when the mode shifts from minor to major, a procedure more typical of the
Romantic period, a common tonal goal is \viJ of the original key. In the sec-
ond strophe of Schubert's “Der Wegweiser,” for instance, after G major re-
places the tonic G minor, the music moves to an implied hal, E minor, the
relative minor of the new key, through two deceptive cadences and a half
close. marked hy brackets in the score of Pvwunpte 345. Observe the re-
markable and unexpected return of the original kev, marked with an arrow,
near the end of the excerpt. The translation of the German text reveals the
close correlation between text and music.
Example 34.5
SCHUBERT: “DER WEGWEISER” FROM WINTERREISE
20
SN
—y
fo
Lah
44
oh
Py
i
ad
&
LL
Ha-be ja doch nichts be

-
gan
-
gen. dass ich Mensch-en soll - te
i it
VF +
t
oy ss
M
Vv
dass ich Mensch-en_ soll - te chew thé-rich tes Ver - -

scheun, welch ein Tan gen treibt mich
eo +4
= @
ee
N
|
VI
_ |
L
N
2
T
T
]
]
a
I
lund
|
TJ LZ YT T_T x HN
I }
e)
5
V r 4 |
in die Wii-ste - nei-en, treibt mich in die Wti- ste - nein?
=~|e \
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+
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t
l
[
mn
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eye s = eo @- @ ££ £¢ ¢ |
V4 [I
it
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T
I
it
I
if
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t
l a
bs
i‘
| [
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1]
K
I
T
Wei-ser
4 h
a a oa oa h h a
i I —_—_—_—_—
e
fi
Habe ja doch nichts begangen I have vet done nothing

dass ich Menschen sollte scheun. that should shun men.
I
welch ein thérichtes Verlangen What foolish desire

treibt mich in die Wiisteneien? drives me into the desert?
THIRD-RELATED MODULATIONS BY COMMON TONE 619
THIRD-RELATED MODULATIONS BY COMMON TONE

The one common tone between chromatically 3rd-related chords (for in-
stance, C in C-E-G and Ab-C-F}) may serve as a modulatory link between
two foreign keys such as [1] and LVU, giving rise to what we call a chromatic
common-tone modulation. Four such modulations are possible, depend-
ing on which scale degree serves as the link (Example 34.6).
Example 34.6
7 old} = new3 old3 = new | old3 =) new5 old5 = new 3
4 —
2
a
h ] ay ay aT @)
Q we)
>
]
v4 imi
+
1a} i © |
Le)
Lc» i © } Uap
|
]. ay 4a
|]
J]
]
8 e e ‘ic
=
i T @) |
be
@
I
et
|
AES |
]
be 3S
LJ) Ly] Lb] —-> Ly [x] —— [1] [1]——-}m
The three excerpts that follow illustrate this modulatory technique. In the
Beethoven scherzo (Example 34.7a), a sustained A in the violins, held over
from the previous F major section, ushers in the D major Trio, in which the old
3 becomes the new 5. This common tone then proceeds to function as an in-
verted dominant pedal throughout the entire new section. Something similar
occurs in the Brahms scherzo (Example 34.
7b).
Here a tonicized dominant 5,
Ebin the original key of Ab major, becomes 3 in the enharmonic (LUTI key area
of B, or Cb major. Vincent Youmans’s perennial “Tea for Two" (Example 34.7c)
shifts to [1] by repeating theopening phrase a major 3rd higher; the common
tone is 3, C in Ab major, now 1, CinC major. Earlier we encountered an exain-
ple tvpe of modulation in Example 26.14, where the sudden lurch into
a os
theLV pentatonic section of Chopin's Bb major Prelude made use of a com-
mon eh 1 in the original kev and 3 in the new key. As the excerpts illustrate,
this abrupt manner of changing kevs usually occurs at formal or cadential junc-
tures in the music, such as the beginning or end ofa section or phrase.
Example 34.7
@) A. BEETHOVEN: SYMPHONY No. 7, III
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[CH, 34] MODULATION TO FOREIGN KEYS
TT FO] we
(ir
an co STS oh
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alli ae
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Bratims: SyMpuony No. 1, III

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it
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Ab:
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AE an Ae TN
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MODULATIONS TO FOREIGN KEYS BY PIVOT CHORD 621
@) C. VINCENT YOUMANS: “TEA FOR TWo”

3 >
25
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MODULATIONS TO FOREIGN KEYS BY PIVOT CHORD
We have seen that in common-chord modulations to closely related keys,

the chord used as the pivot chord usually functions as a diatonic harmony in
both keys; for instance, vi in = ij in [VJ]. This same method is
frequently
used to modulate to a foreign key, but in such cases an altered harmony
normally serves as the pivot chord in one or both keys. Some possibilities
are shown in Figure 34.3, which illustrates shifts from C major to Eb major
(C1 to DH).
Mixture and Neapolitan chords are frequently used as altered pivot
chords. For instance, the modulation to A major in Example 34.1 makes
use of a ii? in C major, which becomes a mixture iv® in A major (mm.
Figure 34.3
Old key (C major) New foreign key (E> major)

diatonic (I) CEG altered (V/ii)
altered (bV1) AoC Ep diatonic (IV)
altered (V7/V) D FRAC altered (V7/iii)
4—5). The dramatic shift in kev in Example 34.8a occurs during the final
duet in Bizet’s Carmen, when the focus shifts from Carmen and Don
José to the bullfight. The V’ in Db major of Caren’s sustained cadence
resolves deceptively to bVI, which then becomes I in the enharmonic
new key of A (Bb) major. The mixture chord that serves as the common
harmony in the modulation from to DILL (Db major to Fb major) in
Verdi’s famous vocal ensemble (Example 34.8b) is bVI® in Db major,
which now becomes a diatonic IV° in Fb major. Even the original tonic
can function as abII when the key moves a half step lower to VII (Examn-
ple 34.8c). This progression may be heard in the practice rooms of al-
most any music school when singers are vocalizing major scales on
successive chromatically descending steps. The ascending version of this
pattern is illustrated in Example 40.4.
Example 34.8
A. BIZET: Final. DUET FROM CARMEN, ACT IV
147
A E 7 77 77 L I 7 L 77 I L 7 774I4 7 LS
HA74FI77777777LH
Y u 4A I
"4 Vv. ima 2
® r
de-vant la mort mé - me - -
Je Paime et je ré-pé-te rai que je Tai
b rN
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|
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mili ¢) he ue
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bal
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(\ ) (\
MODULATIONS TO FOREIGN KEYS BY PIVOT CHORD 623
@) B. VERDI: QUARTET FROM RIGOLETTO, ACT IV (VOCAL PARTS OMITTED}

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In the opening mov of his C major “Waldstein” piano sonata,

ment
Beethoven appends an It° to vi’, directing the tonal motion toward the foreign
key of LI]in his exposition, which substitutes E major for the usual dominant
key of G. A similar progression is used to direct the tonic toward VI). a fifth lower
than (1) in the recapitulation. These can be seen in the reductions of Example
34.9. In each case, the dominant of the new kev is prolonged some twelve mea-
sures to ensure that the new tonic is adequately prepared in the listener's ear.
Example 34.9
BEETHOVEN: PIANO SONATA IN C Major, Op. 53 CWALDSTEIN”). I
A. EXPOSITION (REDUCTION OF MIM. 1-35)

h —~_| I
~
1
it
fr L rid
oo |
oe ¢
|
}
eo P|
—.— oo oe e
e o
i
|
(VA/N vy) ii VSAi vi?)

wel: 6
te) v I
4
B. RECAPITULATION (REDUCTION OF MIM. 174-96)
h |
Ap.
rs
Cor V8) ll IN
© iv? at) OV I
MODULATIONS TO FOREIGN KEYS IN THE MINOR MODE
The most common foreign key connections in the minor mode are illus-
trated in Figure 34.4. With the exception of the Neapolitan, whose toniciza-
tion we discussed in Chapter 29, these modulations normally move from the
minor tonic to another minor key.
In contrast to most movements to the Neapolitan area, which typically
has a darkening effect, the modulation to bf during Elsa’s scene from Act I
of Wagner's Lohengrin has a dreamlike, redemptive quality. This passage
(Example 34.10) anticipates the later appearance ofA major (Bb), the key of
her eventual champion, the knight Lohengrin.
Figure 34.3
db
eb Le|
tvi |\ ab La
tv
flat-key side sharp-key side

|
[
—}— tty. a q
bt
oT
tvi | | sili | | #v
MODULATIONS TO FOREIGN KEYS IN THE MINOR MODE 625
Example 34.10
OWayesnth CTR psvs Drea hee Act I
a
te5—— ——
~ I
Sey bh
ahd
fa
a
ae Abbe
P
vv
Tif
ba vv
bd
an
bel
<=
|
—— rer
ad
tasers
alr rn ane
2 i]
Ai
v L y}
e —e— \3)
—
(6 5)
abs
OV
(i) \ Ul Vil— vii 4 3 bUT V6

| |
Bbb: vi V I
Enharmonically spelled pivot chords normally introduce these exotic

tonal goals. A particularly dramatic tonal shift from LJ to [fii], C minor to E
minor, occurs in the sixth movement of Brahms’s German Requiem (Exam-
ple 34.11), when the text turns from a morbid contemplation of death to the
exultant resurrection of the dead. In measures 4-6. the pivot chord Viiv
serves as an enharmonically spelled Ger? in the new key.
Example 34.11
(2) BrauMs: EIN DECTSCHES REQUIEM, VI
128
. aa
5
|
4 —e#-
|
ae
oS
|
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an
34
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a es
al
|
co
a
tT
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ee
|
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3
+
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¢ i Viv = Ger$ in li
| i bee 1 “be “hoy

rt
a
af 5
ani
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3
ee | |
Js t
$ lho
ST
pg
t t 4
= ag
TT
lie
te
fe
sn
tate,
+t t
Sin
FOREIGN-KEY MODULATIONS IN DEVELOPMENT SECTIONS

The development sections in sonata movements are rich sources of foreign
modulations. The tonal schemes of two of Beethoven’s development sec-
tions are given in Examples 34.12 and 34.13. Both make extensive use of for-
eign keys, demonstrating how far afield a composer may wander from his
original tonic center. As noted in Chapter 33, most such developments con-
clude with an extensive dominant prolongation, in preparation for the return
of the initial tonic key.
In Example 34.12, after the conclusion of the exposition in the usual [VJ,
the ensuing development opens with a statement of the original tonic theme
in the parallel minor, G minor. This change of mode introduces a succession
of keys that almost exhausts the flat keys that are distantly related to the
original tonic of G major—LU) (Bb major), (Ab major), (F minor), i
and b\ (Eb major). A lengthy dominant prolongation prepares the return of 4

the original G major tonic.
Example 34.12 ‘
(°) BEETHOVEN: PIANO SONATA IN G Major, Op. 14, No. 2,1
63 64 74 81 85 91 98 106 .
-@ r « . aN “SS
:
LW
rad >
@) rt ied oe oe oe ow te
rT
be
o}
! f
ee 4 :
7 #
ud O —
—" y # eo
SS” a
= hdl
4
;
=F |
G: III bIT bil WI} rt ov
On the other hand, the development section of the opening movement

of Beethoven's Svmphony No. 6 in F Major (“Pastoral”) focuses almost ex-
clusively on sharp-key foreign relationships (Example 34.13). An applied
dominant directs the motion from the initial [¥] at the end of the exposition
to the tonicized (Bb major) in measure 151. The musical material used in
the succession of kevs that follows is based on the melodic motives listed in
Example 12.24d. Notice how the composer uses common tones in these
modulations. In the shift from Bb major to D major, scale degree 3 (D) in Bp
major becomes linD major; in the shift from G major to E major, scale de-
gree 3in G major (B) becomes Sin E major. A progression by descending
5Sths leads to a prolonged dominant that ushers in the recapitulation back in
the original tonic of F major.
MELOGY HARMONIZATION 627
Example 34.13
CD)
BEETHOVEN: SYMPHONY No. 6 (“PASTORAL
), I
3 = ] 3 = 5
135 139 151 163 193 209 239 273 289
h
Hf 7
a
|
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ik
+
7 +
:
= =
+— __ ee. .
oe
> :
=
—zZ
a —
-o— {
—~J
| |
F fn] [vn TI voudw 1
Summary of Foreign Modulation Techniques

1. In the major mode, modulations to foreign-related keys usually
move from an original tonic to either an upper or lower chromatic
third-relation(1) to(OW), (EU, (WH, or WH), or to a kev lving one
half step away (LI
or Lvii]), Foreign modulations from a minor-
mode tonic are less common.
Ww
In change-of-mode modulations the

. tonic is mutated into the
opposite mode ({1] to or [i] [T])
to mea before shifting to the new
closely related key, which results in afon eign relation to the origi-
nal kev (such as 1] to [i] to [bIT]}). Rev ersing this procedure will ef-
fect a return to the original key.
3. Third-
related modulations which use a common tone (where lin
will become 3 in LVI)) usually occur at formal or sectional juncture
4. In pivot-chord modulations to foreign kevs. one of the common
chords is normally an altered harmony in one of the two kevs.
5. Foreign modulations occur more frequently in tonally unstable
passages. such as recitatives, development sections, or fantasias,
You mav find it difficult to emplov modulations to foreign kevs when harmo-
nizing diatonic melodies. In tunes that contain altered notes, it is sometimes
possible to create a harmonic setting that can either remain in the original
kev or move to a foreign kev. In such cases, vou should first scan the melody
628 [CH. 34] MODULATION TO FOREIGN KEYS J
to determine which foreign-key modulation you will employ and how you
will change key. The melody in Example 34.14 suggests two possible set-
tings. The first remains in the original key using a tonicized iv; the second
shifts to the key of Eb major (IIE), using an altered pivot chord.
Example 34.14
A.
a__+
4—
4 | iN i N
——_—S_—
yal 1. IN {_ +
a
++}
, |
—_+—
e ole
me
gh
a |
—— ~ p—
6
C: I
V8 viv
iv Vv
C: I \ 763/iN +
iN
EL]: ii V I
foreign key modulations by common tone

change-of-mode modulation modulations by altered pivot
chromatically 3rd-related keys chords

1. The phrases of Example 34.15 in block-chord harmonies contain
modulations to various foreign keys. Make a Roman numeral analysis of
each, indicating the new key relationship and demonstrating how the modu-
lation was effected.
Example 34.15
A.
||
~ B. a
fa)
=r
Hh 4 L
| !
oe
! | | | | |
Cor
|
ty
{
a 1 t
aes
ee
a?
elea
=== lbe In «
eee oe
@
yp
—
e
D
ieee
Hl
Al
I
8 e. NK
il
i
>
yal
HI
a
L
i]
LD
+
—T9/4
pst
Hl
iT
ai
J
i
=)
C H A P T E R 3.5
Ninth, Eleventh,
Thirteenth, and
Added-Note Chords
N THEIR QUEST for more expressive musical means, composers of the

Classical and Romantic periods and in the twentieth century, jazz and rock
musicians—gradually enlarged their chordal vocabulary. We are already fa-
miliar with some of the chords that make up this expanded harmonic vocab-
ulary, such as the various types of seventh chords and altered chords, which
include secondary dominants, mixture chords, the Neapolitan, augmented
6th chords, and embellishing chords. Another means of expanding the har-
monic spectrum involved the superimposition of 3rds on top of seventh
chords, resulting in extended tertian harmonies. Some of these har-
monies are present in the typical jazz progression below.
(2) Example 35.1
fl
ae
1
T
iv]
t
Te
=
i
t T t —
s
ms ! ! l I ! T I I
Pa psi Psi Pl
Pal Cea
a
I }
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G- +G+ mi +-D-E>
8S
ul
eo
Ss bf 8s bres |b eR
Qa a
P=
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=< q> qi). ao <> im
dl “*
1
ye fie ~~ Gy as sk @)
YW ty
qy < }
ul
U
7 7
ny
C: 1! I\ 9
ix
9
iii VK ii
1]
vo I
+9
630
DOMINANT NINTH CHORDS 631
In all but the fourth chord, at least one additional 3rd is superimposed
above each seventh chord, producing a series of ninth chords. Locate the
interval of the 9th above the root in each sonority; several accented nonhar-
monic tones are enclosed in parentheses. If we add another 3rd above a
ninth, we produce an eleventh chord.
In this chapter we will discuss the various types of extended tertian
sonorities and list their commercial chord symbols and possible harmonic
Roman numeral functions, using C major and C minor as our home keys.
Since these sonorities are used extensively in jazz, you should become famil-
iar with their commercial chord symbols, which are found in Appendix 5.
This chapter will conclude with some triadic harmonies that contain added
notes, such as added 6ths or 9ths.
GENERAL CONSIDERATIONS
The additional stacked 3rds in 9th or 11th chords are dissonant not only to
the root but to some of the other chordal members as well. In most cases
we will treat these added notes as suspension or neighboring figures, much
like the chordal 7ths in seventh chords. These chords usually occur in root
position, with the 9th or 11th in one of the uppermost voices. In order for
a sonority to be considered a legitimate ninth chord, rather than simply a
triad with a suspended or added 9th, it must contain a chordal 7th. Ninth
chords normally uppeadr in five-voice texture, with cach chord member as-
signed to a different voice part. In four-voice texture, the chordal 5th is
ustially omitted,
The various forms of ninth chords are classified by the type of triad.
7th, and 9th that appear above a given root. In chord labels, these indica-
tions are written in consecutive order. For instance, using C as the root, a
major-minor-major (MmM) ninth chord is spelled C E G Bb D (in com-
mercial chord symbols, C’); C E G is a major triad, C up to Bb is a minor
vt, and C up to D is a major 9th. Ta similar fashion, a iiajor-iaior-ninor
(Mmm) ninth chord is spelled C E G Bb Db. In the commercial chord svm-
bol, a small minus sign is placed directly before the 9 to denote a minor
9th (C~”),
DOMINANT NINTH CHORDS
We will begin by examining dominant ninth chords—that is, ninth chords

that are built on the dominant scale degree. The illustrations use the kevs of
C major or minor. If the interval of a major 9th appears above a V", the
632 (CH. 3:5] NINTH. ELEVENTH. THIRTEENTH. AND ADDED-NOTE CHORDS
result isa V? (a MmM ninth chord), which usually occurs in the mode
major
35,2a). If the interval of a minor 9th appears above a V", the result
(Example
isa V-? (a
Mmm ninth chord), which usually occurs in the minor mode (Ex-
ample 35.2b). The pop symbols are G” and G”?
Example 35.2
B.
MinM ninth Mimm ninth Mmm ninth
\Z
A
Ve
L. bt
C: vy? yo e V9
The dissonant 9th (scale degree 6 or 56) usually resolves downward

to scale degree 5, either in the same chord (Example 39.3a) or in the
tonic triad (Example 35.3b). Ninth chords are typically approached
and resolved by a neighboring or suspension figure, as in Examples 35.3c
and d,
B. C D.
x
* 5
= —
———
o—™s Pt oe he e oOo
he
e
—
——————— bf
'
— =
( y? a Vv? I C 1 awe) i € ii76 yo i
Example 35.3
In Schubert's Scherzo (Example 35.4a) two forms of the dominant ninth
appear in succession in the bracketed passages. Note that both are prepared
by suspension figuration and resolve to 5 over a V'. On the other hand, the
ninth of the dominant harmony in Tchaikovskw’s Nutcracker is treated as a
neighbor5-6-5 (Example35.4¢ and d).
Example 35.4
A, SCHUBERT: SCHERZO IN B-FLAT MAJOR, D, 593
V—~
7AsOA
4ry” bh CF]
|
_——> a ay rn a a NN rn YlL ry
Keo
T
Logo T 2 |2
l i l me iva a4
Ty?
I
L. lm L 1 2
lua YY L oe i it
I T
[ r L I
il
|
Le 3 {7 r
—
AASV ivi |
ry "4
4 4
3 3
~ Jo
2. bh
eos
La
> a I
+| al ry
~ a
_f Yr
T
ry
a.
Ll
t
]
£
atl
if
:
—_)-
~
xt
1
T
|
I
>
v
ry
I {
oe
VTS
| I r b we SSS
N
J K
a =
ce —— 7 f
ry)
heme
3
— a
—}
~ Je TY
ii rn"
A rn
oe
eo.
Y=
* ry
i £
all
o—
1 ry ry ia |
2—> + ¢
is
| l J
B. (REDUCTION)
fh
VF
5 o ‘eo tbe |
haat
Tt
$
ANS
a
i T
ry) |
—— +
+
|
—
9 L9 S
BL I IV Vi I
C. Torarkovsky: THE NUTCRACKER, ACT I No.5

a
49
|
T
| |
-_
— \
bh
NS aN aN a
634 [CH. 35] NINTH, ELEVENTH, THIRTEENTH, AND ADDED-NOTE CHORDS
D. (REDUCTION)
(\
Another way of approaching the ninth involves arpeggiation up through

the dominant chord, leaping to the ninth in the manner of an appoggiatura.
Compare the three examples of the procedure in these passages from the
Baroque, Classical, and Romantic periods.
Example 35.5
A. Bacu(?): MINUET IN D MINOR FROM ANNA MAGDALENA BACU’S NOTEBOOK, BWV ANtt, IL:132
n>
a >
—
a
|
| |
ie
(9th)
3 i
=a l
d: Vi i
@ B. Kuntav: SONATINA IN C Major, Op. 20, No. 1, II
9
= o~
mill
e
alk
—
i
he
le
bh
C. WAGNER: GOTTERDAMMERUNG, ACTI
[wr
i
mk)
REDUCTION
e (@)
)
|
I \ (9) ye
By the middle of the nineteenth century, composers used prolonged

dominant ninths quite frequently. Franck’s Violin Sonata daringly opens
with various inversions of an extended V” that does not resolve to the tonic
until measure 8 (Example 35.6a). Wagner often lingered on this same
chord, as his initial presentation of Briinnhilde’s motif illustrates (Example
35.6b).
Example 35.6
A. FRANCK: VIOLIN SONATA IN A Major, I
t Oo
P=0
TRY
£42 lPK)
ry)
oF roe
me w
A Vv’
636 [CH. 35] NINTH, ELEVENTH, THIRTEENTH, AND ADDED-NOTE CHORDS
fH 4 4 ——
Tr rr
|
T 4 T
-)- oH T t i
a.
I
it
NY fae e .
2 e g e q e
.
Ce wt) Ce ° Q °
voter: am
: 7
!
:
G
=
°
= ye
|
Ge oe
=t
De we = rm.
=
we
ag
6 !
Vv? (ii) Vv? I
@ B. WAGNER: PROLOGUE TO GOTTERDAMMERUNG, ACTI (BRUNNHILDE’S MOTIVE)
al
| _ +-—¥#
NON-DOMINANT NINTH CHORDS ry
Since non-dominant ninth chords lack a tritone in their makeup, they

cannot function as dominants. Two types are encountered most fre-
quently. Examples of the minor-minor-major (mM) ninth chord, called
Cm? in commercial chord symbols, may be found as the ii? (D F A C E)
and vi? (AC EGB)ofa major key, or the iv’ (F Ab C Eb G) andi? (C EbG
Bb D) of a minor kev (Example 35.7a). The major-major-major (MMM)
ninth chord, expressed as C°(“") in commerical chord symbols, is limited
largely to the imajor key, occurring as BD) or(CEG AC EG). IWF
as shown in Example 35.7b. The so-called “augmented 9th” chord is less
NON-DOMINANT NINTH CHORDS 637
common; it is dominant seventh with an augmented 9th (G B D F Ag =

a
V~’ or G*°), but the ninth is often notated enharmonically as a minor 10th,
Bb rather than
Ag. This “bluesy” sonority contains two different thirds, By
and Bb. A good example of this chord may be found in measure 5 of Exam-
ple 42.1.
Example 35.7
A. B C.
mmM 9th 1
MMM 9th 1 of
Aug. 9th
t { 2.
;
L
= =
|
tht Heb
$— tt 4
ry
Cc: ii? vi? ce iP iv? c: 19 Iv? vr
Ravel was fond of using non-dominant ninths in some of his slow move-
ments. In the middle movement of his Sonatine for piano, most of the ninths
resolve downward by step (Example 35.8). Roman numerals are provided in
this sequence of roots descending by Sths. Identify the chord type of each
ninth chord. The use of a minor dominant gives the cadence a pronounced
modal flavor.
Example 35.8
@) Raven: SONATINE, I
—
aaa
e
?
T
| oy
re
a T T
=
{
id
oy) 3 £ £
ra 7
b
=
i
"
*
te : =
inv? V9 ot" VI" i?’ i
2
Now go back to Example 35.1 and identify the various tvpes of ninth
chords. Can vou find any parallel Sths between measures 2 and 3? Although
the treatment of 7ths and 9ths is rather conservative in this example, some-
times in jazz they are used freely, with little regard for traditional approach
and resolution.
638 [CH. 35] NINTH. ELEVENTH, THIRTEENTH, AND ADDED-NOTE CHORDS
ELEVENTH AND THIRTEENTH CHORDS
Although freestanding eleventh and thirteenth chords occur frequently in

20th-century literature, in the Romantic period most of these sonorities
are best explained in terms of nonharmonic activity. Like ninth chords,
eleventh chords occur in both dominant and non-dominant functions. In
the first category, a perfect 11th may be suspended over a dominant ninth in
a major key, resulting in a Vv" (G [B] D FA or G"’); the 11th usually re-
F
solves to the 10th over the same harmony as 11 — 10, similar to a compound
4 — 3 (Example 35.9a). When the 11th is suspended over a minor 9th chord
in a minor key (G [B} D B Ab C), we enclose the minor 9th in parentheses in
both the commercial chord symbol and the Roman numeral and
V''(~°), as shown in Example 35.9b.
In both forms of the V"', you may have noticed that the chordal 3rd
was enclosed in brackets. This chord member is normally omitted, since
it is the resolution note of the suspended 11th and produces a harsh
clash with that tone: G (_) D F A C =
(B). Since this eleventh chord al-
most always includes a 7th and 9th, it is difficult to find it in four-voice
texture. In such cases, both the 3rd and 5th have to be omitted (Example
35.9¢).
Example 35.9
A. B. C
SUSp.
—— ge
i
oy
{ | {
i I i
—
e) e)
=
————
Zz C
c— Py a 2 mim
cam
C yl c \ 11(-9) ( yl
In the second act of his opera Die Meistersinger, Wagner superim-

poses the open strings of Beckmesser’s lute. which has the same tuning
as a guitar, over an A* to produce a V!'!. Notice in Example 35.10a
that the 11th resolves in the next measure (D-C§), producing a Vi in D
major. On the other hand, the 11th (C°) in the prolonged dominant of
the Grieg excerpt (Example 35.10b) completely avoids the expected res-
olution to B*.
ELEVENTH AND THIRTEENTH CHORDS 639
Example 35.10
™
A AW GONE Bre wtp sseics SRRENADE PROM Dy Afeisrepsixcen Ac TO
lute
a [>] mat
fan A
Le 7
ll@ 1
®
oP
a } 0
~~? ] O ST O
rd AY
% LJ
e
1] » 10
D: vil
©) B. GRIFG: PIANO CONCERTO, I

43
Ag
6 6
{é
Examples of so-called “augmented 11th” chords are less common (in C

major, G GBD F A Cf
= Vt" or G7"): note that the 3rd (B) is now retained.
These chords function as quasi-dominants or dominant substitutes (see mea-
sure 3 in Example 33.11b). Non-dominant elevenths are usually mmM ninth
chords with a superimposed perfect 11th (in C major, F AC E G = ii!! or
D
Dm!'). Thev are generally restricted to the supertonic function and are usu-
ally complete. Examples may be found in the excerpts by Ravel and Victor
Young in Example 35.11.
Examples of legitimate thirteenth chords are extremely rare in music
before 1900. Because they contain six different pitches, multiple alterations
are possible in thirteenths. We will mention four basic types with their com-
mercial chord svmbols, spelled in C major: (1) the G?.G(B)DFACE
with B omitted, which usually occurs as a V"*: (2) the Dm"?, FAC E GB.
D
which usually occurs as ii!®: (3) the G2?

G (B) DF ACE.
normally a
and its minor form G~'(~°). G (B) D F Ab C Eb. normally a VB 9)
(Example 35.11).
640 (CH. 35] NINTH. ELEVENTH. THIRTEENTH. AND ADDED-NOTE CHORDS
Example 35.11
A. B, C. D.
/¢
9/9)
Although the Ravel passage (Example 35.12a) appears to follow twentieth-

century compositional techniques, its tonal language is completely diatonic.
The bridge from Victor Young’s haunting ballad in the movie The Uninvited,
shown in reduction in Example 35.12b, contains several 11th and 13th chords,
all of which resolve downward by proper stepwise motion.
Example 35.12
AL RAVEL: “RIGAUDON” FROM TOMBEAU DE COUPERIN
rt n
& > | :
Md
=>
=
e
e
="
_
——
a
l
=> > a
- >
C: IV! iil! y's I
TOL YOUNG: “STELLA B STARLIGHT (REDUCTION)

17
| |
aa i i
=:
Mu
i It
G: I apt
MAJ
(functions
as a dominant)
ELEVENTH AND THIRTEENTH CHORDS 641
Sometimes in the common- practice period we may encounter a sonority

which appears to be an incomplete dominant thirteenth chord, with its 9th and
11th missing (in C major, G B D F plus E). In reality, this chord d is nothing more
than aV with a melodic 6-5 over the root (Example 35.13a). Occasionally the
chordal 5th (scale degree 2) may be missing altogether (Example 35.13b), giving
rise to our pseudo-13th chord. In fact, nonharmonic linear motion is probably
the best explanation for most of the seemingly weird harmonies one finds in the
Late Romantic period. For instance, in Cecile Chaminade’s Air de Ballet, the
final cadence contains several unusual sonorities, marked with arrows in Exam-
ple 35.13¢. The reduction in Example 35.13d suggests that these sonorities are
the result of a vii?'/ii-ii'/ -V"-I progression over a dominant D pedal, with several
of the resolutions missing, as indicated by the notes in parentheses.
Example 35.13
A. B.
6
|
eo
2 =
a, a y
q
* ‘ = Zz e =
1 6 5 |
a |
Cc: Vv ] C: ii! V' ]
C. CECILE CHAMINADE: AIR DE BALLET, Op. 30
a
2
Py
158
_ | I t
ay
li
7
=—
|
'
I
7
~
a wv
4
5 5 3 i
+ =— 7 ry é
k++ v7
ind ry
f
—4—- £ ——7
s
I
rg —t
D. (REDUCTION)
4 |
‘
a hall
J _@.
i"
:
Hae o
————F
6
|
ae 7
°
on
G: 4 (vii> 7ii ii‘) \ ]
642 [CH. 35] NINTH, ELEVENTH, THIRTEENTH. AND ADDED-NOTE CHORDS
Although the 6-5 over the dominant also occurs in the Bizet quotation
(Example 35.14a), the harmonies on the third beat of measures 21 and 22
are eleventh chords that are created by neighboring motion, as shown in the
reduction (Example 35.14b). Note the distinction between stemmed and
unstemmed note-heads in this and the preceding examples. In summary, re-
member that in most cases the chordal 9th, 11th, and 13th above the root
are treated as dissonant embellishing tones.
Example 35.14
A. BIZET: MICAELA’S ARIA FROM CARMEN, ACT III
21
J rey t i __|
——_
t { + T
bh
6) Og
= I
0
l
s e
4 7
oe
ray
TT, ge ai
“My [af
@]
oe
a
>X L ° 77
1 —_f- Oo
B. (REDUCTION)
ca fa)
|
|
2 es a
A
A | 1 |
_I I
IN ft
Ly I |
il
7 }
* *
ye
=
Je TY,
—t
h | e 0 O
v7
A
Eb: Vi (\
ADDED NOTES: 6THS AND YTHS
In Chapter 17 we discussed 5-6 or 6-5 linear motion above the tonic triad or
tonic root. An example of the melodic motion occurs in measure 8 of the
earlier Franck excerpt (Example 35.6a). It is also possible to add a major 6th
to an existing major tonic triad so that the added 6th forms part of the es-
sential harmony. The chordal spacing in Example 35.15a suggests an F
major triad with an added 6th (F A CD, or [46) rather than a minor sev-
enth chord over D (D F A C). Compare this model to the chord in the Wag-
ner excerpt (Example 35.15b).
ADDED NOTES: 6THS AND 9THS 643
Example 35.15
A. B. WAGNER: RHINEMAIDENS’ SCENE FROM GOTTERDAMMERUNG, ACT III
51
a Ve oO mio = 1
t +
3 : :
:
Sav G :
j Vs.
a
:
—
—
cr
=
cy» Q L
7 2 So @- ry >
3 =
5 PrP")
“
Zye TF eo
a
= @)
3
|
7 3
Ido6)
: pliadc Du F- pia d6
We may also add a major 9th to a triad (C E G D, or Do not confuse I“)

this added 9th with a ninth chord, since no chordal 7th is present. The addi-
tion of a 6th or 9th is not confined to tonic harmony alone. Analyze the caden-
tial progression shown in Example 35.16, identifying any added-note chords.
Example 35.16
eo ww
gy
HTD] ALL
Q
cA
VA
ay
Adding both a major 6th and major 9th to a major triad (C E G A D, or

pets. 9) produces a harmony with distinctly pentatonic Study the two
a flavor.
excerpts from Mahler’s Das Lied von der Erde in Example 35.17.
Example 35.17
A. MAnHLER: Das LIED VON DER ERDE. |
>
>
K
a - > >
|
> ra
224 +. #
© (€ «= 7, |
A
0K) tee =
al
ANA
° 1
en
:
ie |
_———S—
|
4
7 Cees
): z
~ a
= =
~ a
iA -¢
er x. I
x x
cadd 6 and 9}
6
~zl
=
<a
“
644 [CH. 35] NINTH, ELEVENTH. THIRTEENTH, AND ADDED-NOTE CHORDS
B. MAH Ler: Das LIED VON DER ERDE. V

571 |
Tey. a. 2
~ ~
ry
: bs
—t—
ad
oe
uy oie Pl ms
——s
=
oe
—>>-esee—
—_—___
The climactic harmony in the second measure of Example 35.17a is an

®
chord to which is added a 9th (Bb®) and a 6th (F°) in the upper voices:
both resolve stepwise to the chordal Ab and Eb by parallel 5ths in the follow-
ing measure, only to reappear once more before the 6 eventually moves to
the V’ in the last bar. Although both the 9th and the 6th mav be explained as
dissonant embellishing tones, their extended length gives them a kind of
chordal status. Since this colossal five-movement work continually shifts be-
Summary of Extended Tertian Sonorities

1. Harmonic sonorities involving appendages of thirds beyond seventh
chords (such as ninth, eleventh, and thirteenth chords) are typically
found in five- (or more) voice texture and tend to feature root posi-
tion, with the higher “partials” occurring in the upper voices.
The harmonic function of these chords is largely dependent on the
bo
presence or absence of a tritone in their makeup. Those containing

a tritone normally function as some form of dominant (such as VY”).
while those lacking a tritone tend to have a tonic or pre-dominant
function (such as or ii!),
3. The preparation and resolution of the upper dissonances (such as
the 9th or 11th) are often dependent on the historic stvle of the
music in question.
4. In commercial chord symbols = major 9th.
° ~” =
minor 9th. and
aug 9th. Thus Dim’ is D F AC E, where the “m” stands for
a
°
the type of triad and the for a major 9th; a m7th is always as-
sumed unless othenvise indicated.
5. Adding a major 6th ¢"") or a major 9th (“"") or both ("" °) to a
major tonic triad imparts a distinctive pentatonic flavor.
tween the key centers of A minor and C major, it is not surprising to find
that the last movement’s final C-major triad (Example 35.17b) contains an
added 6th (A). This may be Mahler’s attempt to reconcile both keys into one
chord—C E Gand ACE.
While some composers from the late-nineteenth to the mid-twentieth
century, especially in the field of jazz, continued to exploit more complex al-
tered versions of extended tertian sonorities, other composers abandoned
the tradition of building chords by thirds altogether and substituted other in-
tervals as their principal components.

extended tertian sonorities eleventh chords
ninth chords the suspended 4th in eleventh
dominant ninth chords chords
non-dominant ninth chords thirteenth chords
preparation and resolution of 6-5 or 5-6 in V' chords
ninth chords added 6ths and 9ths
1. Analyze the harmonies in the following passage, first providing appro-

priate Roman numerals in the two keys that are marked.
Example 35.18
A 1) $$
pe
| | | | | | i
e
- “
ed =
eee
3
is |
fe
ie
it
tie
|
vn om
te
|
~ JeO TY I
i>] T TT
x n
a i i
i
bh
aeOF
A a it ry
]
. YY
a. J l I ~
° Te
if
—* € T
bs
€ a As
1
As
ei]
| —————|
l t ia |
BL Al
646 [CH. 35] NINTH, ELEVENTH, THIRTEENTH. AND ADDED-NOTE CHORDS
2. Write the indicated chords on the staff, using an appropriate number

of voices to fill out the harmonies. Assume root position; the soprano note is
given,
Example 35.19
a
5 oo te
a
z= HH
Po
SI
ctl alade
6
pry EU 7/309) Giles
3. A soprano line and Roman numerals are provided in Example 35.20.

Complete the four-voice texture and indicate with an appropriate abbrevia-
tion how the ninth of the chord is treated.
Example 35.20
A B C. D
a oa ~] Ly
or
|
Ape
| | | |
NY
oe
ry
ZheeT tc +-T
Th TI,TYbh
7
tT Hh
do i v9 1 BE (8 yw Ab 18 Than | f Vi wd |i
4, Provide the cycle-of-fifths progression in Example 35.21 with the ap-

propriate commercial chord symbols (not Roman numerals); there may be
some thirteenth chords.
Example 35.21
9 |
f
7
4
|
4 a +—
_h a
+
aS
2
# {2 2 go b e
ie
Co
|
=
a
=
C H A P T E R 3. 6
Implication and
Realization
HROUGHOUT THIS TEXT we have directed our attention to the tech-

nical aspects of music, such as harmony, voice leading, phrase grouping, and
so forth. While this approach provides us with detailed information on the
inner workings of compositions, in order to understand the art of music more
fully we must also take into account the affective or emotional responses that
it evokes. Topics such as the sense of beauty, artistic merit, and satisfaction
that we derive from music fall within the realm of music aesthetics, which
attempts to explain the meaning and significance of music in our culture.
Few people question the ability of music to induce emotional responses
in the listener. However, the ways in which this affective process takes place
have been the subject of speculation and debate throughout the history of
Western music. Leonard Mever has written extensively about how music
may convey meaning; his ideas form the basis of the following discussion.!
Poo Teauard Messer aud Meanuws te Vie Olea University of (lace Press,
IN56 Masi the Arty and Ideas Clucago Craversity of Chicago Press 1967 bapletuins
Mrse Tne Uravcisity of CTicage Press, $9730 and Sty wich \ftise Phatadelptig
Viiiversity of Penossh iia Press T9S9* See abse Puvene B, youd Shien kerisin
(Chicago: University of Chicago Press. 1977).
647
648 [CH. 36] IMPLICATION AND REALIZATION
MUSIC AS COMMUNICATION
Although we often hear the familiar expression “music is an international

language,” this statement is misleading in several ways. As we noted in
Chapter 3, there are similarities between the syntax and grammar of lan-
guage on the one hand, and music on the other. But the ways in which thev
convey meanings are different.2 We cannot combine individual music stim-
uli such as an eighth note, an F#, and a C- major triad to form musical words
with specific embedded meanings in the same way that language combines
letters of the alphabet to form words. Music does communicate meaning to
us, but it does so in a different and less concrete manner. Nor are these
communicated meanings perceived in the same way by different cultures.
When we hear the familiar wedding marches by Wagner or Mendelssohn,
we immediately associate them with a well-defined social function. This as-
sociation is based on a learned response that is common to our culture. On
the other hand, when we hear a piece of Ethiopian or Tibetan music, our
lack of familiarity with the customs of these countries prevents us from mak-
ing any connection between the music and its meaning in those cultures. We
can only guess what purpose or general character such pieces have within
their social context—the Wagner bridal chorus would be as meaningless to
an Australian bushman as his hunting music would be to us. Nor can we rely
on some common theoretical system that underlies all world musics, for the
organization of pitch and rhythin in various musical cultures is often vastly

different.
REFERENTIALISM VERSUS ABSOLUTISM
Meaning in music originates from two basic sources. On the one hand.
music may communicate referential meanings—that is, meanings derived
from extramusical sources or references outside the music itself. These
meanings may be of a personal nature—for instance, the romantic memories
awakened by hearing “our song’—or they suggest broader cultural meanings
based on commonly acquired associations, such as the wedding music re-
ferred to above. When we listen to the closing passage of William Walton's
score for the film Richard IIT (1955) without anv prior knowledge of the
music or the film, our reactions consist largely of images or impressions that
originate outside the music—“It sounds like a procession,” “It sounds Eng-
2. The relation of linguistics to music is explored in Fred Lerdahl and Rav Jackendotf, A Gen-
erative Theory of Tonal Music (Cambridge: MIT Press. 19633).
IMPLICATION AND REALIZATION 649
lish.” “It sounds like the triumphant ending to a movie.” and so on. T have
plaved that passage for several different classes over the years, and the re-
sponses are always the same.
In distinction to this referential viewpoint is the notion that meaning in
music arises from relationships between forces within the music itself. For
the remainder of this chapter we will focus on this latter, absolutist view,
which holds that meaning in music must come from the music itself, not
from anything outside.
THE ORIGINS OF EMOTION IN MUSIC
Psychologists point out that one way our emotions are aroused is when our
tendency to respond to a particular stimulus or situation is inhibited. For in-
stance, we do not ordinarily attach any emotional significance to habitual ac-
tions of our everyday life, such as removing clothes from a clothes hanger. If,
"4
however, the hangers become tangled, our customary response is delaved,
and we may experience minor irritation, clearly an emotional reaction.
Mever observes that affective experiences in music usually differ from
nonmusical experiences in the amount of aesthetic consequence they cause.
Daily events, such as the encounter with the clothes hangers, may be rela-
tiv ely accidental and therefore produce little aesthetic consequence. In the
arts, however, and music in particular, delaved or inhibited responses take
on amore explicit meaning. Therefore, in order to be aesthetically relevant
in the arts, tendencies that are inhibited or delaved must be provided with
meaningful resolutions. For instance, our enjoyment of a typical swashbuck-
ler or horror movie is derived from the extended delay of the resolution pro-
duced by a succession of escalating crises. Nev ertheless, even in the most
hopeless predicament, we always sense that the hero or heroine will eventu-
ally dispatch the villain or monster.
IMPLICATION AND REALIZATION
The common-practice period (roughly 1650-1900) may be considered a par-

ticular style system—that is, a collection of preferred tendencies within a
large group of musical compositions. Each of the different stvle svstems that
have evolved throughout the history of Western music consists of standard
or normative procedures that occur over and over again. The voice-leading
models in this text are good examples of these recurrent tendencies within
common-practice stvle, Each model sets up a harmonic and melodic impli-
cation or expectation, which is followed by its realization or resolution in
one or another way. Because of their frequent occurrence, these familiar

models imply a predictable realization. Deviations from these norms are
largely limited to irregular procedures, such as the transferred resolution of
a seventh chord, or outright stylistic errors, such as parallel Sths. Because of
their relative improbability, these deviations are less predictable. If the devi-
ations are so extreme that they cannot be rationalized in terms of the estab-
lished norms of a style, we respond with amusement. The wrong notes in the
horn parts of the Trio to the Minuet from Mozart’s Musical Joke are a case
in point.
Certain inhibitions momentarily block or delay the tendencies of our
normative models. We can accept these deviations as musically valid, pro-
vided that they can be rationalized within the accepted style. Example 36.1a
illustrates a typical harmonic model of the common-practice period. Even
when heard out of context, we can identify it as an authentic $ cadence for-
mula. The tonic goal, or realization, is clearly implied by the pre-dominant
IV and suspended dominant ({-3). We will now supply this familiar progres-
sion with four different resolutions that progressively deviate more and
more from the established norm (Example 36. 1b-e).
Example 36.1
A, B. C.
== —
| | | | |
== e)
- @
: :
+ { i=
f f
D, E,
=
|
e
|
=
;
|
HP r
In Example 36.1b the substitution of vi for I, a typical deceptive ca-

dence, while not as common as the final tonic in Example 36.la, neverthe-
less implic S continuing harmonic motion toward a stable BOc ul, such as Lor V.
In Example 36.1c theWI is slightly more puzzling, since it raises the possi-
bility of mmamy modes and the role it may play m the ensumg music. The di-
timshed seventh chordin Example 36, ld is Stranger sul, since it leaves us
even more in doubt about the tonal course the progression will take. Finally,
the absence of aly resolution in Exaiiple 36,12e Opens up a lost of future
possibilities. In the last four progressions, our expectation of a tonic resolu-
tion has been blocked or delayed, and we sense that the next harmonic mo-
tion is less certain or predictable. In each case these frustrated expectations
have aroused our emotional curiosity. The extent to which affective inhibi-
tion and its eventual outcome play significant role in musical meaning will
a
become evident as we continue to listen.

Now play the harmonic progression in Example 36.2
(?) Example 36.2
= eo
eo i
i al
I
6
4
Since the normative resolution of the § cadence has been circumvented

by the music within the bracket, there is some doubt about our final goal.
Nevertheless, a roundabout succession of tonicized chords does eventually
bring us back to the original *, which then resolves properly via V to L. It is as
though we have taken a ramp off the expressway for a brief detour through
the countryside before getting back on the highway to our destination. We
do not begrudge the additional time, since our extended journey has proved
rather enjovable. In a similar wav. one might hypothesize that a straight line
is not necessarily the most griatifying route between two O points in music. Our
sense of immediate aesthetic pleasure results from “the arousal and suspen-
sion of fulfillment of expectation, which are products of many previous en-
counters with works of art.”
Procedures that block or delay a tonal goal may occur in melodic writing
as well. Example 36.3 quotes the opening eight-measure phrase of a waltz
from Richard Strauss’s Der Rosenkavalier.
3. H.D. Aiken. “The Aesthetic Relevance of Belief” Journal

of Aesthetics 9 (1950). 313
Example 36.3
RICHARD STRAUSS: WALTZ FROM DER ROSENKAVALIER, LAST PART OF AcT IT
5
4
f_|
AA
a
L ly _T
EF
T_T OE
Tt
T_T
all i]
i = I
I
T =
T
[
iI
ry
Sn
|
if
|
i
a
rd
Le J I ) | ome T_T I | I rd T
e) if |
|
Eb: I Vv!
The melody outlines a stepwise descent from 3 down to 4 against a fram-
ing harmonic background of LV. Drawing on our knowledge of the style, we

anticipate that the next phase will be a complementary sequence from 9
down to 3 (V‘-I)in the succeeding eight bars (Example 36.4).
Example 36.4
IMPLIED CONTINUATION
y|
eS
|
L_i ) I
e
aa | |
|
I
J
|
Eb: Vi I
When we look at the composer’s own version, however, we see that after
beginning the consequent phrase on 4, the music suddenly veers offin such
an unexpected manner that the eventual tonic goal seems in jeopardy (Ex-
ample 36.5). At the last moment, Strauss regains his original course, leading
to the anticipated final 3 over tonic harmony. The motion we ex-
stepwise
pected in the phrase is still apparent in the composer's version, although it
has been cleverly disguised in the inner voice with b7 and b6 scale degrees
and some notes are implied. Play both versions and note vour affective re-
sponse to each.
Example 36.5
() STRAUSS'S CONTINUATION
[
= | a
+ Tt
1
a
7
q
==Ti oo 1
1
Eb |
Another example of this process occurs in the phrase periodicity of the

Minuet from Haydn's “London” Symphony No. 104 in D Major; Exainple
36.6 quotes only the primary melodic line. With the exception of one six-
measure extension in the second reprise, practically all of the phrases are
based on a recurring 4 + 4-measure pattern. The return of the original
theme in the tonic at measure 35 appears to signal the final eight-bar period
ofthe piece. At this crucial moment, the composer veers off to the subdomi-
nant (mm. 43-48), completely disrupting our sense of regular periodic
grouping; observe the effect of the two measures of silence. The final phrase
then restores the previous four-measure periodicity.
Example 36.6
@) Haypn: Symproxy No. 104 (“LONDON”), TH
17
21
27
31
35
f
I
39
.
————N . eae
;
Thaw 43 trae £ 4
>-
i { mn! i
TL
RT rk) of!
|
4.
t I
t
= a i
Wi I T i T_T i im
Tet ja ON OO nl iH
| —_|
NY T_T _JI
|
,
|
I i =.
as
I
|
The climax of the development section of the first movement of

Beethoven's “Eroica” Symphony No. 3 in Eb Major (Example 36.7) provides
an excellent opportunity to observe how simultaneous deviations in several
different musical areas harmony, rhythm,
7 phrase grouping, and dynamics—
7 7
can work together to create an overpowering emotional experience and

sense of climax. The passage that opens this excerpt establishes a sequence
of rising 5ths (F minor-C minor-G minor-D minor). A strict continuation of
this sequential pattern would bring us through A minor to minor, the E
minor enharmonic Neapolitan of the tonic Eb major. But after the D minor
passage, Beethoven breaks off the sequential motion by introducing a host
of deviant elements (ineasure 248)—a change in the basic harmonic rhythm
from four to six measures, extensive svncopation and hemiola that conflict
with the established triple meter, and increasingly chordal pro-
ambiguous
gressions (mim. 248-71). The culminates on the C °
, in measure 274
passage
and its move to the dissonant F$ in measure 278: note the emphasis on the
minor 2nd in this last chord. Following a sudden rhythmic break with a
quarter note rest, we now perceive the chord on B (measure 280) as a domi-
nant, which finally leads us to our originalgoal of E minor. Notice that the
bass line finally reaches the destination of E2 by descending stepwise mo-
tion: D®-C-B- Ad Ab-G-(F§)-E*. Concurrent with this gr adual relaxation of
tension, Beethoven now introduces an entirely new theme in measure 254
to complement his new tonal center. In hindsight, we may understand the
progression F2-B'-E as bIIS-V E minor. But the combined tonal, metric, ‘in
and periodic elements that deviate from the normal course of this piece give
us a very different impression as we listen to the passage in real time.
Example 36.7
® BEETHOVEN: SYMPHONY No. 3 (“Erotica”), I
232
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t i
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F minor
236 sf
fy | NY
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Beethoven is not the only composer who sometimes toys with our sense
of expectation. In the opening measures of his C minor Piano Fantasia, K.
475 (Example 36.8), Mozart presents a two-measure statement that moves
from ito V°.
Example 36.8
Mozart: PIaxo FANTASIA IN C MINOR, K.475
1
fal 4
!
mia
A I I — I
°
Ye }
|
St P
. Ca A 7 ] ey
as x |
Oo Ul
oe 4 eo +4
1
6
Cc.
Based on our familiarity with Classical stvle and phrase grouping, we an-
ticipate a consequent phrase that will return to the tonic via the dominant:
V4 (Example 36.9).
Example 36.9
(IMPLIED CONTINUATION
= | a ZL
Vz
;
_—_ I
Lj
—§— i |
=A i
3 i
Ee _t
St P
O \ vL Ll
A iJ 1
sd i
Amn. e
I |
3
ee . te a
—
—”
6
Instead Mozart discards the expected progression in favor of a descend-

ing chromatic sequence that mimics the first phrase: C-B4 followed by Bb-Ab
in the bass (Example 36.10).
Example 36.10
MOZART’S CONTINUATION
la
3 (h)
i a —
2
im
ra
5
o—
as =
SF Pp
O
N
5 T
A
= = I ———
fa
JT tT) I
7 :
Av . “tts
=
ry f
ka oi
=
c: bi VO/bvii
We now must readjust our expectations again and opt in the third phrase
for a Ger?, which, together with the first two phrases, outlines a typical chro-
matic descent from 1 to 5 in the bass: C-Bk-Bb-Ab-(Ab-G).
Example 36.11
@) IMPLIED CONTINUATION
i¢
be oe =a
St P
4
dll
|
mm
~1
G
4
Although the third phrase does begin with the expected Abin measure 5.
this note fails to function as a Ger§ preparation for V and instead acts as V'
of the Neapolitan bIT, resulting in a complete evasion of our anticipated
dominant goal (Example 36.12).
Example 36.12
4 MOZART
’S CONTINUATION
+—~J-
ha
{ _
{vow
|
|
}
iN T
}+—~ ——
c: WAI Il bIT4
6
The composer has not completely forsaken the dominant G, however,

for after a second chromatic descent from B to F¥ (in mm. 10-17), the G
@. . 7 .
Harmony reappears as an extended and Gers in Baninor, as shown in the VE
reduction of Example 36.13.
Example 36.13
10 15 20
rau
2 I
]
|
T
} T,
T
J
| a im
T
©
|
-J
1
T
|
|
—T
a
T
|
T
_|
T
T
an
i
tire
ae
=
eee east antl
bi V (VI Ger$) \
yodiite as Vou Co tition)
In the return of this theme near the end of the work (mm. 167-74),
Mozart abandons his prior setting in favor of a more direct approach to the
tonic, emploving the previous Db triad (measure 5 of Example 36.12) as bIT®,
which eventually resolves via V to i (Example 36.14).
Example 36.14
Oo
pn 167 (4)
5
Ht
Te be
——
I ia
+ eS wo
_—_|
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I | L
|
>
=:
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=
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+
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hs
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L
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a:
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This Mozart excerpt is typical of musical situations when we are forced

to reevaluate our expectations of the direction the music will actually take as
it continues. This process of reevaluation can operate in the area of form and
design as well. Any Chopin waltz with a stereotypical succession of repeated
sections, such as his Gb major Waltz, Op. 70, No. 1 (Example 36.15), will
serve as an illustration. We have labeled the first four sections of this waltz
A, B,C, and D.
Example 36.15
CHOPIN: WALTZ IN G-FLAT Major, Op. 70, No. 1
A
.
b 2. “a
oeoN (2=
a .
—_
i
*
=.
a_ |
I J
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if
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ON AND REALIZATIC 61
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SURPRISE AND AMBIGUITY 663
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As we hear each successive section without repeats, we can continually

project possible continuations of the piece by anticipating which section we
will hear next. For instance, after the first period (mm. 1-8), we might hear
one of three possible continuations an exact repetition (AA), a modified
repetition (AA'), or new material (AB). As we progress through the composi-
tion in this manner, the number of possible continuations increases almost
geometrically. For instance, on reaching the C section, there are seven theo-
retical possibilities for continuation—A, A', B, B', C, C', or D. However, be-
cause we draw on previously established patterns in making our future
predictions, the number of musically logical continuations actually is more
limited. The information we receive and process as we listen to the composi-
tion is coupled with the prior knowledge we bring to our hearing. In this
case, the more Chopin waltzes in sectionalized form that we have already
heard, the more certain we will be about our ability to predict what will hap-
pen next.
SURPRISE AND AMBIGUITY
An abrupt. unexpected change in dynamics, texture, register, or harmony

in a passage qualifies as a musical surprise. When we hear these musical
surprises, we must quickly reevaluate the new situation and reconcile it to
the events that immediately preceded it. Although the surprise forte chord
in the slow movement of Haydn's “Surprise” Symphony hardly raises an
eyebrow today, the unexpected fortissimo tutti chord that opens the devel-
opment section in the first movement of Tchaikovsky's Sixth Symphony al-
ways succeeds in catching a few concertgoers off guard.
Extended ambiguity is another matter. The suspense created because
we are unaware of a clearly defined path to a tonal goal can powerfully influ-
ence the way we perceive the achievement of that goal. The ingenious tran-
sition between the last two movements of Beethoven’s Fifth Symphony in C
Minor is a classic example (Example 17.8). The composer wished to build up
to the triumphant C major triad that opens the symphony’s Finale. But the
usual tutti ending to a scherzo is normally followed by a pause between the
movements, which would hardly prepare the listener for the dramatic entry
of the last movement that Beethoven had in mind. He therefore concludes
the scherzo pianissimo in pizzicato strings with a deceptive cadence (mea-
sure 324). The Ab and C of the VI chord are extended for some fifteen mea-
sures, underpinned by little more than a monotonous timpani rhythm. Even
the tentative entry of the violins fails to clarify our sense of the tonic goal.
We are held in suspense until a belated V‘ finally propels us toward
Beethoven's intended C major resolution. The ambiguity generated by this
transition is what makes the sun-filled opening of this Finale so effective.
Beethoven has also held his trombone section in reserve for the previous
three movements in order to make their entry at the opening of the Finale
even more dramatic.
C major also represents the tonal resolution and goal of similar am-
biguous passages of at least two other famous works. The introduction to
Haydn's Creation, appropriately entitled “Chaos,” builds up considerable
psychological suspense, which is finally dissipated during the following
recitative in the magical C major setting of the words “Let there be light.”
Likewise, the somber and ambiguous diminished seventh harmonies at the
opening of the Finale to Brahins’s First Symphony give way to the famous
horn solo in C major, with its strong suggestion of the Westminster
chimes.
APPLICATION TO MUSICAL ANALYSIS

We may apply the principles discussed above to the analysis of musical
compositions. In addition to considering harmony, voice leading, rhythm.
and form, we should also direct our attention to the wavs in which stvlis-
tic norms or deviations from these norms operate within individual
pieces. One such work is quoted in the Workbook with suggestions for
analvsis.

music aesthetics norms and deviations in harmony,
referential music melody, phrasing grouping, and
absolute music form
style system reevaluation of expectations
implication and realization surprise
tendency and expectation vs. ambiguity
resolution
1. Fill in the blanks:

A. Our emotions are aroused when our tendency to respond toa partic-
ular situation is
B. Extramusical sources outside the music give rise to
meanings.
.Extended unpredictability may give rise to
D. A collection of preferred tendencies for a large group of music com-
positions isa
. Musical meanings derived from relationships within the music are
. The implication set up by harmonic and/or melodic tendencies is re-

solved by its
C H A P T E R 3.7
Harmonic Sequences III:

CHROMATIC ELABORATIONS
OF DIATONIC SEQUENCES
OW THAT WE HAVE COMPLETED our survey of individual altered

chords, we can step back and see how chromaticism may influence the voice
leading of an entire passage or composition. In this chapter we will discuss
how diatonic sequential patterns, such as those presented in Chapters 20
and 23, may be elaborated chromatically. In the final chapters that make up
Part Four of this text, we will examine a range of advanced chromatic tech-
niques, both sequential and nonsequential, that do not have a diatonic basis.
In order to understand the nature of chromaticism in sequential writing,
we must first extract the underlying diatonic pattern behind the chromatic
elaboration. Examine the bracketed portion in Example 37. 1a.
Example 37.1
@® A. B.
chromatic diatonic
r
aq
J
Ve {4
Wi 0) bh
=
|
b
—
17
4Ve ’
aS Aad
e
y
—_
{4
¢
_|
|e
ia
te be
“2. ~ je
O
g
il
ec
eS pn
A
{Ee
pe
Li
T |
A.
6 4 6 4 L6 6 4 6 4 6
5 2 b5 49 b5 5 2 3 2 fs)
|,
666
FIFTH-RELATED CHROMATIC SEQUENCES 667
We can see that although the passage appears to begin in C major, there
are numerous altered notes in the chords that follow. The figured bass shows
that we are dealing with a sequence § of
and 3 seventh chords, which in this
case function as consecutive secondary dominant sevenths; all are major-
minor seventh chords. Both the tenor and bass lines are totally chromatic
since they move exclusively by half step. But if we remove the accidentals
from this progression (Example 37.1b), a familiar pattern of diatonic sev-
enths descending by 3ths is revealed. This diatonic pattern forms the under-
lying basis for the chromatic elaboration shown in the first model. As we
shall see, almost all the chromatic sequences in this chapter may be similarly
reduced to a diatonic foundation.
FIFTH-RELATED CHROMATIC SEQUENCES

As we observed in Chapters 20 and 23, sequences proceeding by descending
Sths sometimes Consist entireh of applicd dorinants, such as consecutive
V's or even vii’’’s. When dominant sevenths are used, a pattern of alternat-
ing 7 and 3 or 8 and inversions is produced with resulting parallel tritones
3
that move by halfsteps Fxample 387 ha. But as we continue this pattern we
move further aud further way from our original tonic, as was the case
above. So the problem becomes—how can we effect a return back to I?
Mozart solves this dilemma in the passage from his Minuet (Example 37.2).
When the applied V's threaten to move too far afield, he respells the last Bb
(Bb D F Ab) as an enharmonic Gers ( BDE
Ge), which then resolves back to
the safety of a dominant cadence in the original key of D minor. For ex-
tended 5th progressions. some of which do not exhibit tonal closure, consult
Eaaiiples 41.5 aid 41.9.
Example 37.2
@) A. Mozart: STRING QUARTET IN D Minor, K.410, TI
ore
o_—_ +
ee xX
—
io ee
Xt i” i
S
Fo} Tt?
|
aa 5
-_
—— . re
a t - TO
=
o—
N |
AS
ad
t |
ri
668 [CH. 37] HARMONIC SEQUENCES III
= *
rot ir
ni i
B. (REDUCTION)
e
|
$e
aaa. te he—
I
>
fe
—
|
_«
:
¢
— t
J
eo oe
|
o— |
7 7 7 7 6
a
[\]: ii% v Viiv >
[i]: Gerd \
Sequences of secondary diminished sevenths (vii’’’s) can also function in

a similar manner. The coda of Chopin’s Nocturne in Db Major, Op. 27, No.
2, features a chromatically descending succession of diminished 7ths which
span the opening I and the cadential ii?’-V'-I (Example 37.3), Although
some composers were meticulous in their spelling of such chords (see
Moazart’s pattern of
$ and £ chords in Example 21.15d), Chopin simply uses
the most convenient enharmonic notations in writing his consecutive dimin-
ished sevenths.
Example 37.3
Cuortx: NOCTURNE IN D-FLAT Mayor, Op. 27, No. 2
= > >
bo
62
zs Wo
abe
SNbe ci
be
—s-
or r
=+ r i
oe
ry}
a
ey
ene
— od
of. en
—#@
=
©
eo—{—+
qe
ep
—{— oe
(tes,
t
tbe
—_-—
Ors
Db: J
be
THE ROLE OF DIATONIC TETRACHORDS IN STEPWISE CHROMATIC SEQUENCES 669
am
ew
N
<
bb ToS — Z|
oy
Me
el
I
I
fF
—
mma oe
a 4
£
| —
TRS
eS ESS
t ee a al
ia
—|—_
SS
—,
t
+ e
—|—# —_
ii?! Vv! I
THE ROLE OF DIATONIC TETRACHORDS

IN STEPWISE CHROMATIC SEQUENCES
In addition to 5th-related patterns, sequences featuring stepwise root move-

ment, either up or down, are frequently subject to chromatic elaboration. In
such cases, the added half-step motion within one or more voices fills in the
whole steps that are generally prominent in such diatonic sequences. In the
bass of the progression in Example 37.4, for instance, the diatonic notes,
shown as beamed white notes, are filled in with chromatic notes, shown as
stemless black notes.
Example 37.4
Ol Olt
~
eo
fa
1
{
S #] 2 BD 3 3 4 al 5 £5 6
ll I\ \
If we wish to remain within a given key center, we can extend strict chro-
matic patterning only so far. For instance, in Example 37.4 the strict succes-
siott of secoudary doiiiants aud tonicized rool-pusition triads CL, ii, aud iii)
cau Comtitiie oul as faroas the mecdicant
Hartiony A further extension in
strict fashion (Ef-F#, Fx-G# in the bass) would quickly take us outside the
realm of C major. The workable span we have for this short sequence (B to
E) consists of a diatonic tetrachord—that is, a diatonic pattern of four notes
that spans a perfect 4th. Here the motion is bv half step, whole step, whole
me
step (BC D E}), which is then elaborated chromatically. If we wish to con-
tinue the chromaticism further within the diatonic framework of the original
key, we must begin with another diatonic letrachord, using Our last FE as its
first note."This new tetrachord has the same intervallic construction as the
first—(E F G A), as shown in the second measure of Example 37.4. Thus,
the range of the underlying diatonic tetrachord precludes any further con-
tinuation of a strict chromatic stepwise sequence.
Let us examine the nature of these tetrachords before we proceed to
identify how they serve as the foundation for chromatic sequential passages.
The of two such diatonic tetrachords, which span scale
major scale consists
steps 7-3 and 3-6 (Example 37.5a). These same notes occur in the natural
minor between scale steps 2- 5 and 5-8 (Example 37.5b).Each pair is con-
nected by a common tone 3 in major and 5 in minor.
Example 37.5
manor
C minor
C.
descending ascending
e
a
= TC = > = — °
Le he
~ Je TY, T
__ aw
ul
I
i
y
is
] 5 5 |
+ same accidentals —»
In Example 37.5¢ we have transposed the pitches of the minor-key tetra-

chords to C minor in order to compare them better to C major. Within a
given harmonic context, composers tend to use the same chromatic acciden-
tals and chromatic harmonies, regardless of whether the chromatic line as-
cends or descends within the tetrachords.
CHROMATIC ELABORATIONS OF DIATONIC STEPWISE SEQUENCES 671
CHROMATIC ELABORATIONS OF DIATONIC STEPWISE SEQUENCES
There are four basic diatonic sequences whose stepwise root movement is
frequently chromaticized—two ascending versions and two descending ver-
sions. As in other harmonic sequences, the first and last chords normally
serve as the tonal pillars of the progression. We will label these framing
functional chords with Roman numerals and indicate the interior contrapun-
tal motion of the sequence with figured-bass symbols. The underlying dia-
tonic stepwise motion will be stemmed and beamed.
Descending Chromatic '; Sequences

We chromatically elaborate a succession of § triads that descend from
imay
tonic to dominant (1 down to 5). The frequency of this progression has
engendered the term the chromatic tetrachord, in which one voice,
usually the bass, moves by half step (8 47 L7 46 L6 5), while the remaining
parts, usually the upper voices, are essentially diatonic. In the basic model
of this progression (Example 37.6a), the first-inversion triads will change
chord type, usually from major to minor triads. In Mozart’s elaboration
(Examples 37.6b and c), the second chord of measure 2 is a diminished
triad.
Example 37.6
A.
v4 42
“4
{ T i
i
+-
lz a. a.
. . 6 6 6 6 6 5 :
'
4 3
V
M ZAR Piano SONATA IN D Major, K.31 I]
f)
119
bs | T I i
e
i ir
T
J ]
aad ead
I I 1 }
if
Yan’ ‘L T i |
T | J T 1
CF T
|
) if L
4
af.
a rt a.
;
je 4
~ Car: 2 ral iN (a) ] T ] | |
ar? wat La Lt mn
UF
tLa~ a oa i
}
|
Mi 62 Pp" aa i iets nal

| EE | Th a-ta- baal
haat
ba
C. (REDUCTION)
ee
* = a
6 6 6 6
The descending chromatic 8-5 tetrachord was often used in the Baroque
period as the harmonic basis of variation sets in the minor mode, forming
the melodic foundation for numerous passacaglias and chaconnes. In the
Handel excerpt (Examples 37.7a and b), the consecutive 6th chords are em-
bellished with 7-6 suspensions. The Chopin waltz is somewhat different; all
the voices proceed chromatically to the { cadence in the penultimate mea-
sure, which concludes the sequential movement (Examples 37.7¢ and d). Al-
though parallel 5ths seem to occur between the inner voices in measures
25-28, the tenor line (C*-Bb-Bb-A) simply consists of octave doublings of the
soprano; in the reduction, we have eliminated this line.
Example 37.7
A. HANDEL: CHACONNE IN G MAJOR FROM TROIS LECONS (G. 230), van. 16
= = = =
—————
e
fa)
=——
|
e-
— ———————
he _@ be
le
a
WA
ui
B. (REDUCTION)
ih
te Po
Is
$|
we
r- dud
he
4
@ C. CHOPIN: WALTZIN E MINOR,

OP. POST.
A 25 o >
2
i#—3
wy,
—
| mall
= —
I
(ea >
Y 4
Ml atl
4
T
nal al dl
am |
|
|
oe
$ £ ig
6}: 2-3
|
=
|
te =
a
hoe t
-_
°
7
oe
t
T |
fy 4 ! —
—
] ] [ ] { i
ate
I
Pid | | f
e |
#
|
| |
(ey
=<
=
=
al -—s?
—
oe
—ar-
_—
=
ted
>
°=
&\°
1 |
oe_
|
+
1
e a
~
I
#4 i i
il I
aa
a
|
pe I I
all wr"
fe
i
“I 1 al if 1 ll +
7 f
D. (REDUCTION)
a 4 l t t
bo
I
@ [
ul
e |
e +t
: 4 5
ilas
ad had t
> ia
—
|
“I oe led t
6 6 6 6 6 6 5
ul 3
eC i i
Ascending Chromatic Stepwise Sequences

(Ist Inversion and Root Position)
The inversion of the above sequence, in which the pattern ascends step-
wise is much less common. It mav continue to emplov triads. as in the
Mozart passage below (the extended bass G in Example 37.Sa is a pedal).
or sometimes even incorporate root-position triads. as in the Vicentino ex-
cerpt (Example 37.8b). As vou might imagine. there is a real danger of

parallel octaves and 5ths in this last progression. Examine the passage
carefully and see if vou can determine how the composer's partwriting
has avoided this problem between measures 1-2 (D to E) and measures
2-3 (E to F).
Example 37.8
A. Mozart: WIND SERENADE IN C MINOR, K.388, I
171
a be _ybd y ho
—— = ve
re)
S re)
e b8 +. |
om
f
°
|
uo
x
qy el
°
+
=
6 6
ec OV (6
NIc OLA VICENTINO MADONNA IL POCO DOLCE. FROM Lo ANTICA MUST
h 14
fy tg
vm Pa
=
(8)
po
fo
val
je |
Ly
“Tt
Ascending Chromatic 5-6 Stepwise Sequences

The ascending and descending diatonic 5-6 pattern is one of the most com-
monly chromaticized sequential progressions. In Chapter 20 we discussed
this tvpe of linear motion as a means of preventing the formation of parallel
5ths. As the underlying roots of the 3 chords rise or fall by step, the 5-6
voice-leading motion occurs above the bass. In such patterns it makes no
difference whether the first chord is a § or a 3, just as long as the two con-
tinue to alternate throughout the sequence. We will begin with a discussion
of the ascending version.
The diatonic tetrachord from 7 up to 3ina major kev (Example 37.9a) is
elaborated with a chromatic bass line in Example 37.9b. The resulting se-
quence may be viewed as successive tonicizations of I, ii, and iii by their sec-
ondary dominants.
Example 37.9
A.
i
4
|
—"" 7
(€ 6 6 5 6 5
c: (Vv Lo V8 Il Sit iii)
In the Handel fugue (Example 37.10), the bass moves chromatically

from 1 all the way to 6 in D major. Two underlying tetrachords are uti-
lized; the first one (C#-D-E-F) is incomplete, since the C$ is not present,
and the second one (F¥-G-A-B) is complete. The common tone is F¥, scale
degree 3.
Example 37.10
(2) HANDEL: FUGUE IN B MINOR
CO
Oo
~
Bt
=
=
ie
He
x
TT{O|
zy
Me
pet
™“®
Ba
T9]
LU
—le
{ef
A1 A i y = ial he ‘||
r>y 7
+i
eo |
Y
—f*_
_Z
me
mall
el
oo
i =
I
fi
|
i
aa im
¥
Ty
I
I Z mt
u vi
¥
'
it 14
|
id
I
aa
Chromatic elaborations of 5-6 patterns may also feature secondary V§ or

chords, as shown in Examples 37.1 and b. In Example 37.11c, the ad-
dition of chromatic motion in the alto and soprano voices, shown with slurs,
creates passing augmented harmonies. All the underlying chords. stemmed
and beamed in the model, are major triads.
Example 37.11
A. B.
f)
Fs |
|
lay
Ve
| — | — |
oS —— —
| i | I I | | 4 il
|
{¢
a
vt
|
I I ] I
+——t
= (a
wet |e
= — !
| | |
[| |
6 b7 by
C °
° 4
C.
—ty
al
,
aN
X—o-—-fe- =
ne
oo oe
& = —
d _ P|
~
|
6 5 6 5 6 5
The last three measures of the Humperdinck passage are based on an as-
cending tetrachord, 3 to 6. in C major (Example 37.12). However , the com-
poser has extended the sequence backward by one measure. Tw o altered
chords are employedin this extension —V8/bITT and bi.
Example 37.12
@) HUMPERDINCK: PRELUDE TO HANSEL AND GRETEL
9 ~
on | L
i
—~-
TRL |
Descending Chromatic 5-6 Stepwise Sequences

In descending 5-6 sequences, the underlying diatonic triads are followed,
rather than preceded, by their dominants, as illustrated in the model (Exam-
ple 37.13a). This voice leading is shown clearly in Mozart’s D minor minuet,
in which the opening D minor triad is followed by its V°, and the next C
triad is followed by its ve producing a pattern of 5-6’s (Example 37.13b).
The bass Bb in measure 5 is supported by an It6, which then leads to an ex-
tension of the final authentic cadence back in the tonic. The reduction (Ex-
ample 37.13c) reveals how the parallel 5ths of the essential stemmed
diatonic triads are staggered by the interpolated 6 chords.
Example 37.13
A.
\7f i J
th bt
it
4
2b —fore —fF
T
——_ eo —— =
c 5 6 5 6 5 6
tc
@) B. Mozart: STRING QuARTET IN D Minor, K.421, HI
+ -—_
att
fa 3
e
pep
sand,
we)
|
—_z—# ft: # ite be lhe. be @:_@

t |
C. (REDUCTION)
—,
|
eNe } .
os |
Lr b
e re” \
My ——— nN
ve VY e)
wee,
vy T
jogs
dines
al
T
|
a
ate u
be |
Tr
T — t
L T
ia
i"
4
44 11
d
Examples of the descending 5-6 chromatic sequence generally occur in

the minor mode. When this pattern appears in a major key, as in the open-
ing of Beethoven’s “Waldstein” Piano Sonata shown in reduction in Example
37.14, the underlying harmonies pass through the mixture chords of VII
and iv’. Beethoven has inserted two chords marked with arrows in Example
37.14 into the 5-6 progression; both are third-inversion secondary domi-
nants—V3/V-V° and V3/IV-IV®.
Example 37.14
(8) BEETHOVEN: PIANO SONATA IN C Major (“WALDSTEIN”), I (REDUCTION OF MM. 1-13)
—_ y
a
nae
|
ae
=|
ry
5 6 5 6 6
(4) (3) 7 b
Il W
A tetrachord that descends from 8 to 5 forms the basis for the Sweelinck
excerpt in Example 37.15a; a D minor tonic is assumed. At first glance, the
voice leading does not resemble our standard model, but as the reduction in
Example 37.15b demonstrates, the upper two parts continually exchange
voices, as denoted by the arrows. When these voice exchanges are normal-
ized (Example 37.15c), the underlying 5-6 voice leading can be seen. Notice
that Sweelinck does not arrive at the dominant with his bass A? but rather
what we would consider a V°/VI.
Summary of Chromatic Sequences

1. Most chromatic sequences are simply chromatic elaborations of un-
derlying diatonic sequences; a common example is a fifth-related suc-
cession of secondary dominants.
2. Assumingyou wish to remain in the
same key, the framing scale de-
grees in diatonic tetrachords, such as 7-89-3 or 3-4-5-6 in major, serve
as boundaries that preclude the further continuation of strict chro-
matic sequences.
EXTENDED USE OF CHROMATIC 5-6 SEQUENCES 679
3. Chromatic sequences are usually based on a diatonic root movement

by either fifth or second; the use of 5-6 or 6-5 motion in the latter con-
tinues to avoid possible parallel fifths. The so-called descending “chro-
matic tetrachord,” which spans the tetrachordal distance from lto5
by half-step motion, is especially common.
Example 37.15
@) A.
SWEELINCK: CHROMATIC. FANTASY
11
a {¢ =n t ; [ —t
a
T | ! i | I if
VY
T
Pat
Ue
i
P|
banal
|
a a
©
I L—_]|
ti7 ee
®) oF
;
HE—9 |
I
halt
| te:
at }- hte
am
<A
tS ZZ
|
B. (REDUCTION I) C. (REDUCTION 2)
fay |
Wi ié
]
Ve {é
I 1
rT
la
|
if... GI
XY
|
Oe rn a.
ry} Bol al baal r rf
a
oh
e
if
|
Shin
atl
=
ND
A
ah
4 ‘ 6 Wt 6
4 di
EXTENDED USE OF CHROMATIC 5-6 SEQUENCES

Two passages can serve to illustrate various treatments of the ascending
chromaticized 5-6 sequence. The Trio (pitt lento) of Chopin's haunting C%
q
minor Waltz displays an exquisite elaboration on the pattern. In order to ap-
,: preciate the composer's imaginative handling of the opening section, begin
by plaving the middleground reduction in Example 37.16a, which represents
the passage’s underlying diatonic framework.
680 (CH. 37] HARMONIC SEQUENCES III
Now play the chromatic elaboration in the second reduction (Example

37.16b). The falling 3rds in the soprano artfully disguise the passage’s overall
stepwise ascent. Finally, perform Chopin’s setting (Example 37.16c), ob-
serving how the composer first fills out the double chromatic motion of the
5-6 sequence in the tenor and bass voices, and then writes a curiously chro-
matic soprano line over the authentic } cadence.
Example 37.16
CHOPIN: WALTZ IN C-SHARP MINOR, OP. 64, No. 2, TRIO
A. (MIDDLEGROUND REDUCTION)
at
Ly,
Ab
Wet
mises
—eleut
6 5
4 3
v
|
Db: I ii® I
B (FOREGROUND REDUCTION)
y
Oot a ma
x = :
ra
e |
et :
ra
Py
hal
oe
Pee
a fe
1
J= —
The
“I
Pa
aa
ma
yo
an a.
{——~
5 ul
+
+
|
5 6 5 6 5
Db. i [ii] iii!
a
VF bh
W
Wa
7 wv
15
I
Zh
ta, + J fe a
6 6 3
4 3
ii” vic /V I (emb.2') I

PVTEN DRED USE OF CHROMVEEO 3-6 SEQUENCES ~»6681
@) C
— —
Aon
A
LY
a“7s
>
a j=
t
ad
}
=+ Cod.
t
mi
o
T
f
}
+ —~
Z.
e
eT bh
.
|
yh [VE
>
ep
i,
1
2
oe. tL
££l
£
|
L
al i
|f
I
wl
#
im
at __fat
£.,
cl F
I
Ne
I
_—_t rt
wal
wn
ye
: i u
TT om
5 _——— YK
an t |= eo
~ a"
ia
apn 1
_|
| [
~ i I |
+ T T T T if
x
~@
es al
=7
nal eo
|
[
TL
a
i
_ [
= isl
bal it
I
ee
_@ 1 Yi, ,
YS
=
=
[ ao
__ |
I
T
[
ul
t u
f.rs
rn ft.— —_—_— A
inal
[ a FA
l
{
e
ow~___ oe vw ov
_f+va T=
t t
bbe a tebe
I
—t
[
5
o
T ee
ma t
ba
T
‘ yd e —_—
t
—
=n
v
i I t
The Beethoven passage in Example 37.17a shows a more innovative ap-
proach to the ascending 5-6 chromatic sequence. In the development of the

second reprise of this Minuetto, the composer has modulated from the origi-
nal kev of C major to the Neapolitan center of Db major. The tonicization of
this remote kev. which begins our excerpt. poses the problem of how to re-
turn to the initial C major tonic tor the restatement of the opening theme.
The composer first begins an ascending chromatic sequence from bl using
a 5-6 technique that alternates between the outer voices. The reduction in
Example 37.17b uses octave displacement to show the underlving voice

leading and omits the redundant bass chromatic notes. On reaching first- a
682 [CH. 37] H ARMONIC SEQUENCES III
inversion C major chord, Beethoven has achieved his goal and so immedi-
ately restates his initial theme in C without recourse to the usual dominant
prolongation that is typical of such retransitions.
Example 37.17
A. BEETHOVEN: SyMPHONY No. 1,
33 it
. ry rf ry
=
be. >
&
’
jl
~ Je J nN
I J [7 Tt
=
WA
@F
J,3
hh
v a
€
é
a €
2
~
€
a
€ Le. bh
7
I
{Asi ee YY
—T
a
¢
~
ry
€
ni
“4
—
+3NY Lo Lo
NS
Ve I I | ] I t a I ! I | I [
v4 I I I a I i l 1 i I I i I I
ee
O +
rN
Uy 7Pan ware|
a
= ov:
Je V ld
WA
|
94 fa’, |
©
a ~ 7 aa
Cie Oe
=
€ € |
a —
l
be
!
—_~
le oe
B. (REDUCTION)
fh
ee
|
al i
| |
eye
I
avs Pa
il 4 im
Do @
or {
f
a
I
ji i
t
if il
| I
——— 1 i J
5
C: I]

chromaticized 5th-related ascending and descending
sequences stepwise chromatic sequences
diatonic tetrachords as limiters in ascending and descending 5-6
chromatic sequences stepwise chromatic sequences
chromatic tetrachord
1. Complete the chromatic sequences below and then provide an appropri-

ate harmonic analysis.
Example 37.18
A.
—
fy
T
al _+—
t t
{
Aiea 2
__ Ce
ia
PI
ZZ
=
<_ =
i
e |
|
: =P
bt : = |
10]
f: i 6 6 4 4
B.
1
Lf
4 |
—a at
@ | |
al
One
_
20
2 2
ial
t EE
|s 4
my
—°
qt 1 1 t ZZ
t T
A: oI 6 4
5 2
C.
a +
at t t
: P
Z|
:
ae
I i
e: i 6 6 5
4
684 [CH. 37| HARMONIC SEQUENCES III
a
LVAeA rsd
e)
, ;
6\ qs
be)gi
LIA
[@]
© |
F (
Eb: b7 b7
C H A P T E R 8
Analytical Comments on
Wagner's Tristan Prelude
HE ANALYSIS OF BEETIIOVEN’S MINUETTO from his Piano

Sonata Op. 2, No. | in Chapter 25 served as a summary of the diatonic tech-
niques presented in Part Two of this text. In a similar manner we will focus
on the orchestral Prelude to Richard Wagner's opera Tristan und Isolde to
conclude our review of chromatic procedures in Part Three. The harmonic
characteristics of this work present a number of interesting analytical issues,
not the least of which is its lack of tonal closure.
This music drama is one of the significant watersheds in the history of
Western music. In loosely basing his libretto on the medieval epic Tristram
und Yseult, Wagner returned to a dramatic theme that continually recurs in
his operas the heroine’s self-sacrifice for the hero. The libretto is filled
with svmbolic references, such as the longing for night that svmbolizes the
death wish of the lovers. Completed in 1859, Wagner's Tristan und Isolde
represents the first major attempt by a composer to sustain a high degree of
chromatic voice leading and tonal fluidity over the span of an entire opera.
For vears to come, its harmonic innovations continued to exert a strong in-
fluence on subsequent composers, including such diverse figures as Richard
Strauss and Claude Debussy.
The Prelude or Introduction (Einleitung) to Act I has fascinated musicians
ever since Wagner composed it in 1856, prior to beginning work on the re-
685
686 [(CH. 38] ANALYTICAL COMMENTS ON WAGNER’S TRISTAN PRELUDE
mainder of the opera. Some scholars suggest that it represents a summary of

the opera’s narrative, portraying the tragic plight of the star-crossed lovers in
purely orchestral terms; Wagner's own program notes reinforce this hypothesis.
Several problems arise immediately in an analysis of the Prelude. The
complex interaction of dissonant embellishing tones and altered seventh
chords makes it difficult to extract individual chords and determine their
exact spelling. In addition, the intense linear chromaticism often obscures
their tonal function. The frequent use of mixture and applied chords creates
an ambiguous sense of modality; it is often unclear whether a specific pas-
sage is in a major or minor key. Key signatures are particularly unreliable.
For instance, the passage in measures 25-31 is written with a key signature
that implies A minor (Example 38.6), but in a later exact restatement (mim.
45-49), Wagner uses a signature of three sharps, implying the parallel kev of
A major. Actually, as we shall see, E major is the real key underlying both
passages. In addition, there is little sense of tonal stability during the toni-
cization of a particular key center since root-position triads are often absent.
In fact, the tonic harmony of a passage may never actually appear but may
simply be implied by its dominant seventh. Finally, the piece does not ex-
hibit tonal closure; its opening section (mm. 1-16, Example 38.1) suggests
the key of A minor through a prolongation of its V‘, while the concluding
section (mm. 100-110, Example 38.8) centers around an extended half ca-
dence in C minor, the key that opens Act I.
In this chapter we will examine several illustrative passages within the
Prelude and ascertain some of the ways in which the musical material is
taken up in the opera itself.! The initial seventeen measures of the Prelude
are given in Example 38.1.
Example 38.1
boa Tristan dsoppe. Aer
1B
Langsam >
—
wy rs
tes oe a ro
£
vo } 1
2a
a ae
CS
=
e eo a7
—~J anne
Qe Lf:
:
Cy
= v4
= =
=
l J
1A
1. A piano reduction of the full score mav be found in various music anthologies. including
Charles Burkhart’s Anthology for Music Analysis. 5th ed. (Fort Worth: Harcourt, Brace.
1992 which abso provides listof the Prehide’s important leitratifs
ANALYTICAL COMMENTS ON WAGNER’S TRISTAN PRELUDE 687
~ 10
= a
——_—=—=
“Wl 2
a ©
a ras= al
aan a
————4--¥4 ¢ eo e—e t+—#F t
ms
7 Ne” wt
O { | J ©
iat
as
: a
A
£ = = y
¢
+
<3}
—=—t
tint —_— =
ae
Q
wo T
iota 2
le) ; on~~
ie 16
fay
A “$—_*#
o\
cae
aaa
|__|}
t f
4 4
4
tt PJ
-
“o™
ia .
Pk
Y
—Y
st :
se]
re)
This first section consists of a threefold statement of two important

themes or leitmotifs of the opera (themes 1A and 1B), which are linked to-
gether. With one exception, the initial minor 6th leap, characteristic of
Theme 1A, turns into a major 6th leap beginning on Ab? for the remainder
of the opera. The sketch for the Prelude, interestingly enough,
original
shows the first tone as B® , forming a tritone with the following F. Although
many of the leitmotifs in The Ring of the Nibelung, which preceded this
work, are directly associated with specific people, objects, or emotions, in
Tristan these relationships are much less tangible, so that the actual naming
of motifs is counterproductive. As a result, they will be given numerical
designations.
The opening two chords of Theme (or motif) 1B represent one of
the most famous and frequently analyzed progressions in the historv of
music. Although the resolution of the E‘ chord in measure 3 suggests
VW of an implied A (minor), the soprano Ge in measure 2 obscures the
nature of the first chord (F B Dg G). This sonority is usually referred to
as the “Tristan chord,” abbreviated here as TC1. Does Wagner wish us
to hear the G# as the essential chord tone, which would create an enhar-
monically spelled half-diminished seventh sonority, or does he mean the
following A to serve as the essential chord tone, which then produces a
688 (CH. 38] ANALYTICAL COMMENTS ON WAGNER'S TRISTAN PRELUDE
Fr3? This question can be resolved only by consulting other passages

that contain the Tristan chord in the remainder of the Prelude and
opera. Such an investigation confirms that Wagner considered the half-
diminished seventh as the essential chord type. TCI recurs throughout
the opera, often in conjunction with two of its other forms that we will
cliscuss momentarily (TC2 and TC3), and usually retains its original
pitch classes, although they are often notated enharmonically (see mea-
sure $83 and the bass notes in measures 1O7—109 of the Prelude). For
other examples in the opera, see the following excerpts in the Schirmer
vocal score: measures 11-12 on page 223, measures 2—3 on page 163,
and measures 16-18 on page 161, where all three Tristan chords are re-
arranged in succession. The presence of the vertical interval F-D§ in
this first Tristan chord indicates that it probably functions as some type
of augmented 6th chord; the D# resolves to Db’, the 7th of the E'
chord.
Instead of moving to the anticipated tonic of A minor, this progression is
immediately presented in sequence a minor 3rd higher in measures 5-7,
concluding on V" of an implied major tonic. The chord in measure 6 (Ab D
C
F$ B) is a literal transposition of the original Tristan chord in measure 2: we

will refer to it as TC2. A third statement of this basic progression (mm.
S—11) likewise suggests a half cadence in E major. Although not an exact
transposition of TC], the chord in measure 10, which we will call TC3 (C F
GD), retains its half-diminished chord quality by resolving to a B’ chord
another third higher. In fact, considering the restraints of the previous voice
leading in the outer parts, this sonority is the only one that was available to
the composer.
The reduction of this opening passage (Example 38.2) reveals an as-
cending 3rd sequence of half-step sighing figures in the bass, which are
derived from the F?-E* motion within the original 1A motif (A°-F-E-Dp):
F-E, Ab-G, and C-B. A descending half step that occurs at various pitch
levels to represent sighing was well established in Baroque music and
used throughout the common-practice period. Although Wagner with-
holds the resolution of the three dominants (E, G, and B), he neverthe-
less anticipates the three basic key centers of the entire Prelude—A
minor (or major), C major, and E major, or, expressed in terms of A
minor, [i], (U0). and (VJ. In a broader sense, the opening passage repre-
sents a of the V‘ of A (minor), over which the sopranoas-
prolongation
cends from 7 to 7 (G#T- Ge ) by successive half steps before resolving to Ew
in measure 17. The essential notes of this chromatic ascent outline the
enharmonic spelling of TC2 (G$ B D F¥), shown by the upward stemming
in the reduction.
ANALYTICAL COMMENTS ON WAGNER'S TRISTAN PRELUDE 689
Example 38.2
REDUCTION OF MIM. 1-17
2 16
bey
P”
t
Bal
Le ow
yr
he
_
(TCD
V Vi (TC2) VT (TC3) VIN VE V1
The return to E' in measure 16 sets up an expectation of its resolution to

the A tonic chord, but instead the semitone descent in the bass reverses di-
rection (FE and leads to a deceptive cadence to VT. The transient matire of
these first seventeen measures masterfully portravs the frustrated love that is
plaved out in the remainder of the opera. The intensity of the lovers’ desire,
depicted by the rising reiterations of the Tristan chord and their attendant
dominant sevenths, is continually thwarted by each dominant seventh’s lack
of resolution.
The F major chord in measure 17 introduces Theme 2 in the cellos (Ex-
ample 38.3). This motive has been called the “Glance motif” by most com-
mentators, since in the opera it appears when the eves of the lovers first
meet. (Wagner himself attached specific titles to very few of his thematic
motifs.) Its diatonic melody and setting form a striking contrast to the chro-
maticism of the previous section.
Example 38.3
—
17
: “L oe ™ fj |
pPo—e
=
ae 0
. 5
— J. Pl sail ee
HPs
j — | :
: isi
9 > =
690 [CH. 38] ANALYTICAL COMMENTS ON WAGNER’S TRISTAN PRELUDE
a —— —
s— Fee
—
a "
T
—
ee
PP Grip
|
— A acts _|————~Hoo
o
=
0
a 4_~.
24
TF
The tonal motion in these measures is now directed toward C major or
[IH]: 1V-(V8/V)-V-I°. D ininor, liv] of the original A minor, is briefly tonicized
in the following passage (mm. 20-22) before V/V prepares the Prelude’s
first and only authentic cadence in the original key of A (m. 24).
Example 38.4
A. (REDUCTION 1)
17
fh
2 1
[
Pee
5
T I
aN
be
—
I
6
|
ul if
—s
@ 4
ry:
s poe.
———
we 2= 5
————h
ry
A VI
IN vS/V)
‘
V 16
]
(ii?!)
t
ib
Il
6
@
y
24
t+
ii a
CO
(W/N
B. (REDUCTION 2)
17 24
i 2 3
f)
:
| | |
=
+ =
adi it
4
+4
ij
—~
== ==
= ——
2 2
+=
tthe iv (V/V) vi I
The foreground reduction in Example 38.4a extracts the basic chords

.
in measures 17-24 and assigns them harmonic functions. The continuing
melodic dissonance and linear derivation of chordal sonorities, however,
make some of our chord labels less than certain. For instance, the second
chord in measure 23 (the second arrow in the reduction) is especially dif-
ficult to extract. The middleground reduction in Example 38.4b suggests
the large-scale progression (V')-VI-III°-iv-V'-I in terms of A (minor). The
soprano ascends from A to Cf if we assume the octave displacement of the
initial A°. Observe how the upper line splits into two separate melodic
strands.”
In his earlier monograph On the Overture (1841), Wagner stated that
orchestral introductions to operas should establish two basic themes or
motifs of contrasting nature that will continue to interact with each other
throughout the overture. The Tristan Prelude is a faithful example of this
principle. The prevailing chromaticism of Themes 1A and B is plaved off
against the diatonicism of Theme 2. These two motivic ideas generate the
subsequent melodic material of the entire Prelude, and for that matter,
much of the material in the opera itself. They are related by an underly-
ing projection of linear thirds—G#-D-B-F$-(G#) in the soprano of mea-
sures 1-16 and A-C-E-G in the Glance motif of measures 17-20. If
combined, these two sets of thirds form an almost complete melodic
minor scale starting on A, the implied kev of the opening of the Prelude
(Example 38.5).
2. These voice-leading reductions represent modified versions of the elegant graphs given bv
William Mitchell in his “The Tristan Prelude: Technique and Structure.” The Music Form
2 (1967): 162-203.
692 [CH. 38] ANALYTICAL COMMENTS ON WAGNER'S TRISTAN PRELUDE
Example 38.5
A.
1 7
chromatic diatonic
aa
Lf *
rn" o@
ae a
wr I mn
—
> oo
. e)
:
— —al
| =
t
i
a Vi > VI n°
B.
oe
f)
iv Zz
—H
aS
The authentic cadence on A in measure 24 serves both to conclude the first
part of the Prelude and to introduce its middle section. Functioning as a IV in
the dominant key of E major, this chord leads us through vii?; to I° in the new
key, which is then reinforced by a succession of 5th-related seventh chords
(FR'-B’) (Example 38.6a). Since the voice leading is often obscured by voice ex-
change and shifts of register (see the foreground reduction in Example 38.6b),
we have provided a middleground reduction that neutralizes these devices and
normalizes the voice leading (Example 38.6c). Notice that the melodic gesture
that begins this new section (mm. 25-26) represents a combination of previous
motifs—Themes 2 and 1B in the soprano and the end of 1A in the alto.
Example 38.6
@) A.
24 =
ee eS te RL
— | J u _|
—|
| |
z im =
2
HPs He | |
32
:
: or i
-
t
A
To #
_L te
Pd
wists lyse ee
SF ie
—
ar aT we tar} t en
bat
—
oe Te ae
B. (REDUCTION 1)
28
iF
| |
=
SS eT 4
si st
iw
I
a ~ -
vii?d) 1° VIN v'
A
=,
|
i
it
32
_
——~}
Pam oe eo,
: te
Dall
RF 6
C:
(V4/ii) ii® (vii? /V)
CC. (REDUCTION 2)
24
28 32
~
a. r 2
—¢
. id tt =
jo
=
[le fo [fe
=
te
ry)
| | is Lf
. ry
| eo be
ry iL i
-
fl
am 2 wren oe we
asd _ _
E: IV 1° (V/V) Vv!
Cr
(VS/ii) ii
Thus, the three tonal centers that were implied earlier in the opening
statements of the Prelude (mm. 2-3, 6-7, and 10-11) are now tonicized in
succession—A minor/major (mm. 1-16), C major (mm. 17-20), and E major
(mm. 25-28), with particular emphasis given to their V‘ harmonies.
The chromatic motion under the sustained soprano At (mm. 28-32) pre-
pares the return of the C major Glance motif via (V3/ii)-ii?-(vii?3/V)-V (mm.
31-33). Similar successions of transient tonicizations are typical of the Pre-
lude and the opera as a whole. Although some of Tristan’s individual scenes
operate within the loose framework of one central tonal center, the har-
monies at the surface level of the music never establish a definite key for anv
extended length of time.
694 [CH GSD ANALY TIO AVL COMMENTS ON WAGNER S PRISTAN PRELUDE
During the Prelude’s climactic section (mm. 74-84), Wagner intention-

ally emphasizes the tonal ambiguity of the TC] by exploiting its dual enhar-
monic function. In Example 38.7 it is respelled as a ii?” in Eb (minor).
moving to that key’s V but not its tonic.
(?) Example 38.7
81
0 be
— hey*ee
nano
br
I 1
=——pe—fe— tm
Ln
he
to oe ———
|
a be) “ a i
x be) 4 Le) Lo) Lol Lo) .
hae
aa Lo Re
iw
eb: ii?! v? ii?! v9 «
Tel
a
Not only are the principal motifs (Themes LA, 1B, and 2) contrapun-
tally combined (Example 38.7), but the repetitive root movement by
falling perfect 5ths provides a diatonic setting for the tonally ambiguous
1B progression that opened the Prelude. The clearest reference to this
passage in the opera occurs in Act ITI, where the falling 5th motion im-
parts a sense of renewed hope and deliverance when Tristan’s faithful
companion discovers that the knight is still alive. See measures 21ff. on
page 259 of the Schirmer vocal score. At this crucial moment in the Pre-
lude, Wagner respells the ii?’ as TC1 (in m. 83), so that its half-step reso-
lution to the E' reintroduces the despondent mood of the work's
beginning. This ingenious enharmonic change, occurring at the climax of
the gradual buildup begun in measure 63, must qualify as one of the most
moving and psychologically adroit instances of enharmonic interplay in
Western music literature.
The passage discussed above, which forms the climax of the return of the
Prelude’s first section, in turn leads to another restatement and extension of
the three motifs that began the work (mm. 83-94). The deceptive cadence
on F (VI)
in measure 94 now prepares the final tonal area of C
and its subse-
quent dominant prolongation (Example 37.5).
ANALYTICAL COMMENTS ON WAGNER'S TRISTAN PRELUDE 695
@ Example 38.8
inelody in F
=
|
A 94 ——
“Jie oy |
= +—
|
* :
fi
—— Yd
a :
aes o, =
| | NYS
N33
Tas hig oO
es
a.
eo.
la. © T
bp
——taa
4
2. e
pe. 1
l
T
ry
i= T
POs
rs
|
Cc: 1V ii?
1 100
6\ -+- 1 O
\
(TC! vii) >
(Ger$)
:
ad
a0 es he
107
= = = =
eee
eee oe f
al
TC!
t t
jl
, |
5 ry t
—t- b C 1
it 4
oe Vise =
bo
5 ty > +
4
= =
YS’
(TC2 Vi)
_ Lo Tt
wv bee E oe a 2
\ >
The setting of the ensuing Glance motif is now fragmented and under-
laid by darker pre-dominant mixture chords in measures 94-97; compare
this treatment with the original setting in measures 17-21 (Example 38.3).
Theme is transposed to F or IV of C (mm. 96-100), using the same promi-
3
a nent ii?3 in measure 97. The climactic half cadence in measure 100 intro-
4 duces a prolonged pedal on G*, over which a final allusion to the opening
two statements of 1A and 1B is presented. The earlier E* sonority is now
transformed into a vii?} of C. An enharmonic melodic reference in the bass
to TC] in measures 107-109 (Eb B F Ab) resolves instead to the dominant of
the implied C (minor).
696 (CH, 2
2 8S] ANALYTICAL COMMENTS ON WAGNER’S TRISTAN PRELUDE
The fact that the Prelude opens with a dominant prolongation in A and
concludes with a dominant prolongationin C raises an interesting theoretical
question: How are we to rationalize this obvious exception to the axiom we
have stated earlier that movements in the common-practice period tend to
begin and end in the same key? The fact is that the purely practical device of
modulating at the end of an operatic overture to the key of the first act had
been exploited for dramatic reasons by previous composers; the shift from D
to F major at the conclusion of Mozart’s Overture to Don Giovanni is a case
in point. Examples of instrumental movements that lack tonal closure, how-
ever, are extremely rare in the common-practice period. Chopin’s Scherzo
Op. 31 and Ballad Op. 38, which conclude in Db major and A minor, respec-
tively, both open in their submediant keys. The absence of tonal closure is
more typical of vocal music, such as certain songs of Schubert and Hugo
Wolf, in which the dramatic nature of the text may explain the directed mo-
tion between different framing keys. Even a surprising number of American
popular ballads that begin in the minor mode conclude in the relative major
key; Richard Rodgers’s “My Funny Valentine” is a typical example.
Nevertheless, some theorists have brushed over this anomaly by basing
analyses of the Tristan Prelude on the version ending in A major that
mo composed iin 1860 for symphonic concerts in Paris, although this ver-
Wagner
sion is rarely performed today. Other scholars have viewed the primary tonic
of the Prelude as C, the kev that concludes both the Prelude and Act [2 Still
others have proposed a more radical solution—a double-tonic axis in which
the continuous vacillation between A and C sets up a dual tonal system.’
Lacking a prolonged tonic, both centers are relatively weak. The case for
A lies in its two dominant extensions (mim. 1-17 and mm. 63-73), the authen-
tic cadence in measure 24, and the use of its dominant kev of E major for the
middle section. The center of C, on the other hand, gains importance from its
associations with the Glance motif originally heard in measures 17-20 and
the final prolongation of its dominant in measures LOOff. The periodic recur-
rences of Theme 2 suggest a kind of C major ritornello that is gradually inten-
sified through higher registers, expanded orchestration, louder dynamics.
increased harmonic dissonance and chromaticism, addition of counter-
themes, and phrase overlap (see mm. 32-35, 33-37, 59-62, and 74-76).
Figure 38.1 outlines the main thematic ideas of the entire Prelude marked
with circled numbers as well as surface tonicizations and important cadential
3. Poundie Burstein. “A New View of Tristan: Tonal Unity in the Prelude and Conclusion of
Act IO Theory and Practice S/\ (September 1983). 15-41.
4. Robert Bailey. Richard Wagner's Prelude and Transfizuration from Tristan and Isolde. Norton
Critical Score Series (New York: W. W. Norton. 1985), 113ff In addition to the draft of the
Prelude. this great Wagnerian scholar also includes a number of analyses by other authors.
Figure 38.1
STRUCTURAL DIAGRAM OF THE TRISTAN PRELUDE
Secondary Primary
cadences cadences
' v
1A/B 74
Statement
ext, :
17 (2) —™
@
a
E
Vi 6
25 44
©)
juswidojanag/uo}eoljISUa}U|
ext 32 (6)—>
|
41
(VI [i] [iii]: vi Vi
45 52
3 )——_____» (2)
OR.
|
ve
(2 )——»
(2)——+ 63
ex Till
I
te
te
Viele
f
cow
[>]
neaye|d
66 1A/B 84
63 74 ext. ———_»
2
IeWII|D
vy? Vl TC
1A/B
84 ‘00
—~ 6) 94 (2) (2)-
——— ~~
. ———
Dissolution
vie fo} aw) vu]

101
~ 1A/B 4,
ho
= NN=
v7] v/ [iil]
698 [CH. 38} ANALYTICAL COMMENTS ON WAGNER’S TRISTAN PRELUDE
points. The vertical alignment reveals the remarkable similarity of motivic ma-
terial, tonal centers, and cadences. Partly because the thematic material of the
entire Prelude grows out of the ideas presented in its initial measures, the
piece appears to generate itself. Nevertheless, one can make a case for a
rather loose ternary design: Statement (A, mm. 1-12), Intensification and De-
velopment (B, mm. 24-65), and a double return of the Statement in the “Cli-
mactic Plateau” and “Dissolution” sections (A A’, mm. 66-83 and 83-111).
The melodic material and tonal relationships established in the Prelude
exert a significant influence on the remainder of the opera. In particular,
Themes 1A and 1B are constantly transformed to create new motifs with related
extramusical associations. In the Prelude, TC1 functions enharmonically as a
pre-dominant chord in three different implied key areas A (minor/najor), Eb
(minor), and C (major/minor); consult Example 38.9. These implied key centers
serve as the basis for Act I, sometimes occurring in a consecutive chain of minor
3rd relationships (A-C-E5). Beginning with the series of Love Duets in Act IT, a
new 3rd chain emerges that continues to the end of the opera—in Act TI, Ab-B-
D (minor), and in Act TH, F (minor)-Ab-B. The combination of these three
minor 3rd projections produces an almost complete octatonic scale of alternat-
ing half and whole steps—G-A-B-C-D-Fb-F—which itself is saturated with
minor 3rds; see Appendix 2 for more information on this scalar formation.
There is a deeper theoretical link between the surface harmonies of Tristan
and its overall key scheme. We noticed that the original TC1, a half-
diminished seventh, resolves to three different major-minor sevenths built on
E, G, and Bb (Example 38.9). These progressions are related through their
unique voice leading, since they retain two common tones, while the remaining
pair of pitches move by half step (Examples 38.10a through ¢). In addition,
there are three other possibilities; it can resolve to major-minor sevenths on F.
Ab, and B. In each case, notice the chain of minor 3rds. Since the half-dimin-
ished seventh and major-minor seventh are inversionally related—that is, thev
invert into each other and therefore have the same intervallic content a given
half-diminished seventh can move to six other major-minor sevenths by using
the same voice leading. Wagner began to exploit this particular voice leading
between these two sonorities early in his Ring cycle, continuing through Tris-
tan to Parsifal, his final work. He used five of the possible six resolutions, with
the half-diminished seventh alwavs appearing first. In almost every case, the ex-
tramusical or dramatic association of the progression pertains to fate, magic.
evil, or the supernatural. In Tristan, the first occurrence of TC] in Act I (mm.
16-18 on page § of the Schirmer vocal score) appears in conjunction with the
mention of Isolde’s mother, who is a sorceress.
5. The terms in quotation marks were coined by Robert Morgan and describe the fragmenta-
tion of the A themes toward the end of the Prelude.
Example 38.9
2-3 81-82 107-10
A |
Ve
te : um Ree
in
4
}:
—s 4
og.
=~
b 4= |
——_ —,_ v
a: TCl a eb: TC1 v9 c: TCI V

(Aug6th) (ii?") (iv?)
Example 38.10
———————————— ZS 7
ee
ne
a
“ 2@ 2
al hall ad @ 2
= be
@
Ze
= |
(TC] E!
l
EE
i
Abt Bb!
f
Bi
L Ll rn
We have touched on a number of significant features of this remarkable

work, but vou mav wish to examine some additional aspects, using a com-
plete condensed score. The following questions might form the basis for
class discussion.
1. How is the melodic material in measures 25-26, 36-37, and 63-64

derived from the original motifs? (Recall the melodic chains of 3rds.)
2. Can you trace the recurrences of the C major Glance motif and indi-
cate how Wagner gradually intensifies each succeeding restatement?
3. Why do vou think there is a cadence on a deceptive A major chord in
the temporary center of CZ minor in measures 42-44? (Refer to mm.
23-25.)
With this chapter we conclude our basic survey of chromatic harmony in

the common-practice period. In Part Four we will discuss some advanced
chromatic techniques that led to the dissolution of functional tonal harmony. a
tendency that began to occur around the beginning of the twentieth century.
P A R T F O U R
ADVANCED
CHROMATIC
TECHNIQUES
C H A P T E R 3.9
Chromatic Voice Leading
N PART THREE of this text we introduced the characteristics and

procedures of chromatic harmony. We examined the commonly used al-
tered chords, chord progressions, and chromatic sequences, and dis-
cussed the nature of modulation and the means of modulating to foreign
tonal areas. In this chapter and the next two, we will discuss techniques
that are more exclusively chromatic in nature. These include the use of
strict sequential patterning, chromatic voice leading. enharmonic
spellings to effect modulations to distant key centers, and progressions in-
volving svinmetrical divisions of the octave Some of these devices
weaken the underlying major and minor tonal svstem to such an extent
that our sense of harmonic function or tonic harmony is diminished or
even missing altogether.
Ta this chapter we will begin by focusing on sequences that employ half-
step rool inoveiment aud exauiples of parallel, coulrary, aid Hon-sequential
chromatic voice leading Finally, we will examine the first section of
Chopin’s Prelude in E Minor, Op. 28, No. 4, a work whose underlying dia-
tonic harmonies are overlaid with extensive linear chromaticism.
703
704 [CH. 39] CHROMATIC VOICE LEADING
SEQUENCES BASED ON HALF-STEP MOVEMENT

The harmonic sequences we discussed in Chapter 37 involved chromatic
elaborations of diatonic patterns whose underlying root movement proceeds
by diatonic 5ths, 2nds, or 3rds. However, it is also possible for sequences to
progress by successive half steps, resulting in chromatic root movement.
Compare the two models in Example 39.1.
Example 39.1
A. B.
fa) = .
|
— —
ee ——i
New
is
~e <——— bem
wa
; >—
5 5 5 ba 5
;
The first sequence represents a typical cvcle of descending 5ths, in

which the beamed notes denote the stepwise voice leading in the outer
parts (Example 39.1a). Although each stemmed note is preceded by its
secondary dominant, the voice leading in the upper voices is basically dia-
tonic. In Example 39.1b, the basic voice leading is similar, but now the
motion between the stemmed notes moves chromatically by successive
half steps.
A similar procedure appears in Chopin's Ab major Prelude (Example
39.2a); assume that this passage is in the kev of E major, the enharmonic
VI to the Ab tonic. The reduction (Example 39.2b) demonstrates that the
essential stepwise notes, which are stemmed, move chromaticially down-
ward from E to Eb to D, each preceded by its secondary dominant. The
Beethoven quotation (Example 39.2c), on the other hand, makes an ascend-
ing series of half-step transient modulations, from C minor through C$
minor to D minor, using a 5-6 chromatic sequence. Beethoven modulates bv
means of pivot chords: the VI of each kev becomes the dominant (V) of the
new kev.
SEQUENCES BASED ON HALF-STEP MOVEMENT 705
Example 39.2
A. CHOPIN: PRELUDE IN A-FLAT Mayor, Op. 28. No. 17
51
e
1-5
6 —
# +
aa tt — 7e-
a |
| |___$—_t+-
—Z (es
ray
ae
a
= A
9a t+—4
9te] —
rag Z
A
ob
NY
wee tt te 4 ey
E: VW \o
eo s
| al y
(a. —t Va
TI
t
cc res —————
Cc
ee a ae
SSA oPia
B. (REDUCTION)
2 2 o
ii ZS 1
e
ty {
E
I
{
°
“Tb ae
1
TL
= —____ to
in
ar |
St
|
ot
NT
G 6 6
) Bs)
Bs)
: ]
@) C. BEETHOVEN: SYMPHONY No.3 CEROICA™). |

Ol
—.
178
4
a
|
an
Re
.
ik
ia
I
+h
I
1
tf
+—
My
Lt
| Le
Tl
be u
T — I
fA
>.
a
aw e ¢ I LT
ri Oo
er Bs we
r “a
r
e e
bay eo
|
jit
etc
to}: ry 7
eo o
I {
Tl mi |
(d:)
STRICT CHROMATIC PARALLELISM

We have seen how the functional chords that frame sequential patterns
are connected by the contrapuntal motion within the sequence. These
two functional pillars may also be spanned by an ascending or descend-
ing succession of identical chord types. When all chord members within
these chords move in the same direction in strict half-step motion, thev
engender what we call chromatic parallelism or planing. In passages
that exhibit this device, the first and last chords continue to operate as
the framing diatonic functions, designated with Roman numerals. The
most common chord types used in passages featuring chromatic paral-
lelism are major triads and those seventh chords that contain a tritone.
such as major-minor, half-diminished, or fully diminished seventh
chords.
Several illustrations of this procedure are shown in Examples 39.3 and
39.4. In the short Duke Ellington excerpt (Example 39.3a), the sliding
chromatic motion of parallel major-minor 7th chords connects the func-
tional ii’ with the V'. The diminished-seventh chords in parallel chro-
matic motion during the opening of the “Storm” section from Liszt’s tone
poem Les Préludes graphically suggests the swirling winds of the deluge
to follow (Example 39.3c). The Rheingold excerpt (Example 39.3d) is
an interesting example of double chromatic parallelism—the first-
inversion triads that descend chromatically, each enclosed within a box.
are countered by the harmonic root movement that ascends by half step
every two measures (C-Db-D). all of which occurs over a pedal on G. The
reduction of this passage in Example 39.3e reveals the presence of paral-
lel perfect 5ths between the upper two voices, the two strands within the
upper line.
STRICT CHROMATIC PARALLELISM 707
Example 39.3
A. DUKE ELLINGTON: “SOPHISTICATED LADY”, BEGINNING OF CHORUS B. (REDUCTION )
(SIMPLIFIED)
yr
wT
|
4.
= Tt
4.
O o
~ pe
Cae
| |
Fe —
Je
a
Tes
9
bh
a
ry
An a a. ie
iv 3
am
al Lams
~*~
Ab: ii‘ (chrom. 4°s) Vt!
119
;
— |
2i =
i ian
VW it
|
it it
T ;
Tre ra)
VT
|
—t { I
al ped
te = tet
— > +e 4
1 © q oe
1
t
q TJ
4
be oe ot 7)
4
Va
~
T
Vu) (V1
OD Waedt INTO NBER HEM Das Riivconn. Serni t
ete.
he ra Le
+ @.
+— L @
|
+ he 2.
|
t
t
|
a. us
C tover 5 pedal)
.
. :
°
@ ie 1,2 * by
. |. : |
as
|
O |
Psd
|
ra ta I
eg h@
Oo |
1
u
|
@
|
a| well Oo
ee a
hal
2
—
it
eo
I
ual
{
| | :
| wal bh
fa
a
I
|
i
a a
‘
t
]
I {
'
i 2
he’bo
oe
.
{
{
. a oo te
he
I
Le hs
ai tt
.
._ be |
I
Ra:
Psd
|.
il ane
I
iid
i J
e aL a I
if I
ia i” I
Oo
Db D;
E. (REDUCTION)
be
4 fo ib
The quotation from Puccini's La Boheme in Example 39.4, on the

other hand, is different in one respect from the previous passages. Al-
though strict parallelism is still maintained between the separate chords
so that all the chords are the same chord type, half-diminished 7ths, the
harmonies do not move exclusively by half step but rather leap freely
about. The interval of a perfect fifth remains constant between the bass
and soprano.
Example 39.4
(%) Puccini La BoneMe, Act UH
150 L T
4 ait
ap —e—ty
*
oe —toe Pe te
ang
|,
t
yy
—t
| I
te te |
il \4
CHROMATICISM BY CONTRARY MOTION
Sometimes two voice parts move chromatically in opposite directions—

that is, in contrary chromatic motion. In the diatonic scales of tonal
music there are only two short melodic segments that display strict inter-
vallic mirroring or inversion by contrary motion—from 7 up to 4 in the
major scale, and from 2 up to 6 in the minor scale, both of which span a
CHROMATICISM BY CONTRARY MOTION 709
melodic tritone. Examine the C major model in Example 39.5, which

moves from 7 to 4.
Example 39.5
Fe
4 3 8 7
|@
_|I [
f-
l
Va
iow
| |
oe eo ic 1]
— t
TO)
eo)
~
|
f
f
cy: 4
=
—
|
| T I l l
hal al
|
| |
]
.
3 6 Ger 6 Ger 6 Ger
g 3 8 g 4 4 6 2 §
l J] i] aj
L i 1 _j
‘
\ f
Vv
Voice between B and F prolongs a dominant seventh chord on

exchange
G by linking 4
its
ound 3 inversions. The outer voices of this diatonic progres-
5
sion, denoted by stemmed notes, are symmetrically arranged around the
central axis note of D (22), If we now fill in this diatonic span with half steps,
denoted by unstemmed notes, the third and fourth harmonic sonorities may
be explained as enharmonic German augmented 6th chords (in °3 and § po-
sitions), while the interior D functions as an implied ° between the two aug
mented 6ths. Since all the chord tones are not present in this model,
figured-bass symbols indicate the implied chords. Starting with Example
39.7, additional inner voices will be introduced to fill out the implied
harmonies.
When a secondary dominant is being prolonged, this tritone exchange
can be transposed to other scale degrees, For instance, if the harmony is
V/V in C major, the contrary chromatic motion would span F% up to C. with
Aas the axis note.
Schubert uses a contrary chromatic progression in the final strophe of his
“Der Wegweiser” to depict the endless “road from which no traveler re-
turns,” in which the “road” svmbolically refers to death. Here the tritone ex-
change (B to F), which serves to prolong the V" of C major, is not completed
= but instead breaks off at the bass E?, which then leads back to a cadence in
4 the original tonic of G minor. If the pattern had continued in strict order, it
would eventually have cvcled back on itself in an endless manner. The
gloomy Neapolitan chord is an appropriate cadential touch: consult the
translation in Example 39.6.
710 ~~ [cH 39] CHROMATIC VOICE LEADING
Example 39.6
A CHUBERT: “DER WEGWEISER” FROM WINTERREISE
68
Ei-nen Wei-ser sel’ ich ste-hen un-ver

- riickt vor mei-nem Blick; ei-ne
f\
=
|
fe
a ae
He —
ry
= = = ee
+} =
|\rrrr ler |e
=
t
z is
+—
zt
L >
f) | i A
+
9+ h——k—}
e
io
r
an iv iwi
V r
TA A
FY
1
—
+
{—@
{>
+
id vr
Stra -sse muss ich ge - hen die noch kei - ner_— zu riick,
ging
p rh
o- = —
sas z = fe= Zs
|*
[EF |
Fits
L
|
= aa
|
B. (REDUCTION)
f\
=
|
:
be
4
bad to ow
YA be -
Einen Weiser sely ich stehen One sign I see standing

unverriickt vor meinen Blick; fixed before my gaze;
eine Strasse muss ich gehen, down one road I must go,
die noch keiner ging ziiruck. from which no one has returned.
Some compositions may employ onlv a portion or segment of this harmonic

succession. In the familiar progression of Example 39.7b based on the model in
Example 39.7a, the contrary chromatic motion in the outer voices spans only a
major 3rd, producing a voice exchange between 5 and 7 in F major. This partic-
CHROMATICISM BY CONTRARY MOTION 711
ular pattern has become almost a cliché, frequently serving as a short lead-in or
introduction to polkas,rags, or marches. Although the stvle of the music is
quite different, the voice leading in the bracketed portion of Tchaikoy sky's
lovely “Pas d'action” (Example 39.7c)is essentially the same, spanning V° toV'
in the key of Eb major; note the circled notes in the outer parts.
Example 39.7
A © ° B.
Oa
=>
e)
—
—— eo
|
a)
ty
= =
=
4
c
ry
a= t
re
2
4
| —— =
F:
2. \7 > \ \62 7,
F: VO
V2
> \
C. TCHAIKOVSKY: “PAS D’ACTION” SLEEPING BEAUTY, ACTI
2 aN aw a
i a
°
20
|
2. ‘ae: 2.
©
t
1
G6
ll
oN
Another fragment of this chromatic pattern displays voice exchangein con-

trary motion between 44 and b6 rev olving around5. thus fillingin the interval of
a diminished 3rd: see the G minor model in Example 39.8a. with its pair of
712 [cH 39) CHR OMATIC VOICE LEADING
neighboring Ger §’s and Ger®”s. This same pattem is present in the following
Brahins excerpt (Example 39.8b), although the individual chord types are dif-
ferent. The 4-3 suspension over the C in the bass resolves in the upper voice
(F-E) only in the last measure. The neighboring chords here include French
augmented 6ths in rather peculiar§ and 3 inversions. In Chapter 41 we will sce
how this idiom may be extended by linking together a series of these frag-
mented chromatic sequences, each one starting a minor 3rd from the last one.
Example 39.8
A. (*) B. BRAIMs: TRAGIC OVERTURE, Op. S1
Oo- ~O va
| |
A os =
eo
‘ 4
oo
—e—
|
oe
@)
a q
a
o
0 T I T
DT I a
|
(= — t t |
a
ii
ae ‘ (Ger) 6 (Gere?) 6
(Fr)
|
(Frd)
8
;
F: Vv
Although passages using contrary chromatic motion occasionally produce

some inexplicable harmonic clashes, our ear tends to accept them as the mo-
mentary by-product of the overall linear movement. In Example 39.9, Wag-
ner daringly juxtaposes parallel major triads in a chromatic descent, shown in
boxes, over an ascending chromatic bass. Very few of the resulting vertical
sonorities form tertian triads. Notice how this passage is bisected bv the cen-
tral B major chord, which is related by tritone to the opening and closing F
major triads. The key centers of B minor and F major/minor play an impor-
tant associative role in the first act of this musical drama.
Example 39.9
WAGNER: SIEGFRIED'S RINE JOURNEY FROM GOTTERDAMMERUNG, EXD OF PROLOGUE
‘ . . ete.
op # .
| agli
ge cha
T =
ee ee T
1
an
a 5
:
asl
= te =
4
==
ca
>
TT
~~
————
6
| |
Ue
ie
#1
NON-SEQUENTIAL CHROMATIC PASSAGES 713
——
ml 1 an
| on
3
oe
i 1
ws
NON-SEQUENTIAL CHROMATIC PASSAGES

Chromaticism need not always be associated with the devices of sequence,
parallelism, or contrary motion. In music literature we encounter numerous
non-sequential chromatic passages that are not based on these techniques.
In such instances of non-sequential chromatic voice leading, the half-
step motion results from the use of incidental applied, mixture, or embel-
lishing chords, as shown in Example 39.10.
Example 39.10
one o— o— >
e |
7_# ite gig |e |
6 4 6 + 6 7
2 3 4
3
. 6 ”
C: I I\ \ |
Example 30.Sa presents an additional illustration: its underlying

chordal succession Gi-V"-V3/IV-IV®-Tt?-V)_ is supported by a descending
chromatic tetrachord in the bass. but the harmonic progression is not
sequential,
In some instances of extreme chromaticism, the half-step motion of the
individual parts may become the sole basis for the voice leading, negating
any sense of standard harmonic function. The Introduzione from
Beethoven's “Waldstein” Piano Sonata provides a case in point. In the sim-
plification of the first six measures. shown in Example 39.1 la. notice how
the ascent of the upper voices contrasts with the descending chromatic
bass.
Example 39.11
A. BEETHOVEN: PIANO SONATA IN C Major (WALDSTEIN”), Op. 53, [TE REDUCTION OF MM. 1-6)
a.
—
fe~~~— WN
——
A — |
: —_ 4 +
ie? bea
——
ag
we oOo
NLP
— : —
it fi
4
|
| .
aa /N 1) vi
VI
L
1° v J
viicd/V
2
\6
J
Ll
iii vii
P >
B.
wy)
A wr
Le he
igi ;
5ve @-
I
yr.
fan im
A iM
| 7 wal
BASE T T
@)
I 5
6 \* i [
vg. he
2p. ue —
Tt
re
t #e
|
al ! _]
k I
~ V"
The functional Roman numeral analysis provided in Example 39.1 1a raises

more questions than it answers. As an alternative, Example 39.1 1b, a voice-
leading reduction suggested by David Beach, treats the upper parts in linear
fashion: several octave displacements are necessary. This framework suggests
a chromatic descent in LOths, outlining a descending chromatic tetrachord
from 8 down to 5 in the bass and from 3 down to 7 in the soprano.
EXTENDED USE OF NON-SEQUENTIAL CHROMATICISM
Chopin’s Prelude in E Minor, Op. 28, No. 4. is frequently cited as an example of

evtended nonescqnentiad Chromaticisny This short piece divides into bxvo Sections
The first (nm. 1-10) outlines a tonal motion from i° to VW", which extends through
measure 12. The second section repeats this basic progression between reaching
an extended dominant, which eventually resolves to the tonic. I view this Prelude
as an example of an interrupted tonal scheme—measures 1-12 (i to V\") followed
by measures 13-25 (i to V' toi).! We will consider only the first section.
1. For a ditlerent view of this piece’s voice leading, see Carl Schachter, “The Triad as Place
and Action” in Music Theory Spectrum 17/2 (Fall. 1995), pp. 149-69.
EXTENDED USER OF NON SEQUENTIAL CHROM\IOESM F15
To acquaint ourselves with this piece, we will reverse our normal analyti-
cal procedure of beginning with the score and a voice-leading reduction and
instead examine the diatonic framework this passage (Exam-
The fundamental that underlies
i°-iv’-V'
39.12a). progression and the bass line (3 to b6
ple |
to 5. are overlaid with the drawn-out soprano line that emphasizes three
basic pitches—B-A-F#, which are stemmed notes. The soprano descent 5-4-
9. omits the crucial 3. These three existing scale
degrees are derived from the
pitch motive B-A-F§, which is found several times, often in disguised form,
in the early preludes of Op. 28 (see Nos. 2, 3, 4,5, 6, and §); the notes of the
motive are sometimes reordered, but their pitch classes remain constant.
The origin of the motive is unknown. We now fill in the bass line from 3 to b6
(G down to C) with diatonic passing motion, emploving the dominant and
applied chords of iv.
Example 39.12
\ Croriny Preecpr FB Miwon, Op 2S. Noa -f THREE REDUCTIONS)
5 10
5——¢ “oO md =
+ —
=
e Need
—= $ ie T°
F-—# +- ——
1 ' I t 1 I 1
— I | ! 7
e:
6
i
i}
!
(\ 43)?'
' 4
(Vin
dys iT
' '
!
Ly
!
t
©
4
VHoR/iV)E
.
ie
6
1
.
t
1
\7
1 i ' 1 ' 1
oO t 1
i 1 1 1 ' Ly
' I 1
' ' ! ' i]

1 I 1 4
B. | | | | | | | |
| =
' I i J
a
I 1 1 1
Lf
' ' ' t
Q-4
I 1 I 1
ft
s
~o-— o—
—#e a |
b-o-
e
1 '
tee
—
1
7
_——
I
;
1 i
LK
rat
'
.
|
ae
ot
1
—|
6 \i aod) 4 4206 6 I
.
1
'
1
I
(VR, '
V3/N, I
1\ po’
‘in. '
\
i]
D4
ns |
I
(WHOS
I
i]
MiTS/INTT
ofA is
'
\
oa
1 1 1 i ' i i]
1
C. ; ; ;
iy oY iy ryoauy
2
o oe
x = z =
e T
oN am,
=
oe be-the te ore ther th
oy <n
== = — as .
|
=== ~
In the second reduction (Example 39.12b), this diatonic stepwise movement

is chromaticized with embellishing diminished and half-diminished seventh
chords. In measure 5, the pre-dominant ii?3 with A‘ in the soprano is prolonged
until the ix® of measure 9 (from E to C in the bass). A surface analysis (Example
39.12c) introduces additional chromatic chords and suspensions. A small-scale
sequence by descending step in the bass is bracketed; enharmonic notation is
used in measures 2-3. It is inappropriate to assign additional functional Roman
numerals to the harmonies that appear in this reduction, since they arise out of
linear motion. Finally, Chopin's score appears in Example 39.13.
Summary of Chromatic Voice Leading

1. Some passages may feature a foundation of almost exclusively chro-
matic voice leading that is not reducible back to a diatonic basis.
2. Some examples of techniques employed in such passages include:
A. sequences whose root movement proceeds by half-step motion
B. strict chromatic parallelism (either by triads or seventh chords)
C. chromaticism by contrary motion (usually spanning scale steps | to
4 in opposite directions)
D. the extended use of non-sequential chromatic sections.
Example 39.13
() Cropix: PRELUDE IN E Mtxor, Op. 28. No. 4
Largo
§ ~
f 4
e a
wv
fo» re
T
at
ra
|
T
| +
5y
+
CSPress.
L
=
— a
i J us
je ae
| I T T
~ h " " al if I T I
J
“|
ae
|
ae es I
I i +—
5
4
a
Oh | | |
ow a | I
—r
ri
i Zam) (PK) Ci
1
|
my
mal C2
oo
hall tie wl
e
BNST4 T
uJ
6 20000 00000000 | oo a
ES
bom
. AE RS EY
\
se Qa es RS
|
ee ee
|e al
A BRIEF REVIEW SELF-0UIZ TAT
>
Students frequently encounter difficulty in the analysis of such pieces

when they try to account for every chord with a functional label. In passages
of intense chromaticism, we should generally reserve functional Roman nu-
merals for the more conspicuous essential harmonies that we stem and take
a more linear approach to the chromatic harmonies left unstemmed, which
usually arise out of embellishing passing or neighboring motion.

chromatic root movement contrary chromatic motion
chromatic parallelism non-sequential chromatic voice
double chromatic parallelism leading
1. Examine the short passages in Example 39.14 and determine the underly-
ing chromatic technique used in each. Then provide an analvsis of each ex-
ample, using appropriate means. Remember, only the essential harmonies,
which are usually diatonic, should be assigned Roman numeral functions.
Example 39.14
A.
| | | |
= —
NH
7 aan
|
LY
TT
—_ge_
“4
oP
2 3
>
cal
Lp
oN
oe
on @
it
Aa ayAy
re]
Qc
haz
Ne
ln
BBLS
(Ol) ©] 444
Yor
e
qs
Lc} +44 AT
baghhal
|e
ee
t,
i ae
an
LL
ae
“HH
INIAGVAT AOIOA OLLYVWOUHD [6¢ HO] SIL
C H A P T E R 4 0
Modulation to Foreign
Keys I
N OUR PREVIOUS discussion of modulation in Chapter 34, we saw that

a the possibility of moving bevond the small group of closely related kevs into
remote non-diatonic or foreign realms greatly expanded the harmonic vistas
of Classical and Romantic composers. Just as the number of new tonal goals
dramatically increased, so did the means by which composers could modu-
late to these keys. We discussed four of these modulatorv techniques—by
change of mode, by common tone, by altered pivot chords, or by direct
chromatic motion. In this chapter we will explore additional wavs by which
these kev shifts can be achieved, including enharmonic pivot chords, chro-
matic alterations of diminished seventh chords, strict sequences, and chro-
matic voice leading.
ENHARMONIC MODULATION
In some foreign modulations that emplov a pivot chord, the function of that
common chord may not permit the same spelling or notation in both kevs.
Since composers cannot emplov both spellings, they must choose one that
reflects either the old key or the new one. As a result we must notate one or
719
720 [CH. 40] MODULATION TO FOREIGN KEYS II
more of its tones enharmonically to show its function within the new kev.
We call the process enharmonic modulation. In some cases only one
chord member of the pivot harmony needs enharmonic respelling. For in-
stance, when modulating from LL} to [VI], the vii?’/V in C major (FE A [3 Eb)
must be respelled as Dg FH A C to clarifv its new function as vii’ /V in A
major. In other cases the entire chord may have to be renotated. Thus, in
modulating from LL] to FI], the bVI in C major ((Ab C Eb)) must be respelled as
Ge BY Dk toc larifv its new function as V; see Example 39.2b. In our analy Ses
we will continue to denote the pivot chord with two sets of Roman numerals
to show its function in both keys.
Enharmonic spellings are sometimes used to notate the keys of a for-
eign modulation in order to avoid writing awkward double sharps or dou-
ble flats or to avoid keys with multiple accidentals. In the Act IL Love
Duet in Tristan und Isolde, for example, Wagner intends to move from Ab
major to its Neapolitan a half step higher. But since this key is Bh, he
spells the pivot chord and the new key in A major, its enharmonic equiva-
lent (Example 40.1a). Here bVI® (Fb Ab Cb) in the old key becomes VOCE
G# B) in the new, as shown in the reduction. Notice that no enharmonic
notation is required in the succeeding modulation from A to its Neapoli-
tan, Bb major.
Example 40.1
@) A. WacNeER: Love Durer FROM TRISTAN UND ISOLDE, ACT LI (SIMPLIFIED)
h
46 —
—" Pa
|
/
|
li | | | 1 |
VF TD hy aI i a.
z
i i meme
1 l l l 1
it l |
Lr. bh oF P|
hal
Woy ef im aL
T
Ww I I
fan Pi
hall
| x TA l
. 1 ]
m4
en7
cy
T
i
La
Ped
4 ad
T
@ ; ry
Pr Pr 4
P
| | |
T_T
|
feat {>} hee

v | L, 1 | !
we
Pan |
OF CAe kw Ue?
WA bh Te
: =
wT
a
le feat
yn
(Ab)
cI
TP P
$e
51
i T T
T
|
|
as
—
a 4
__ >, if K
Ww
~ 7]
A)
ENHARMONIC MODULATION 721
57
aE
(Bb)
B. (REDUCTION)
§—} —= —
= =
|
q _—— ——— = 2
‘ we
oe Do
hte
"oe
to to To oe
ve
| |
ee joa
cad baal “T See” @
Ab | wh ——
bi}. vo I I bvT®
enharmonic I] yo V' I
The Diminished Seventh as an Enharmonic Pivot Chord
The diminished seventh chord is a favorite enharmonic pivot, since it can

serve as a vii?’ or, more commonly, a vii’'/V in anv of four different kevs.
This sonoritv’s four tones, each a minor 3rd apart, divide the octave into
equal segments, which allows each tone to function as a potential root. Thus,
if we start in C major/minor, the kevs that we can modulate to through dif-
ferent spellings of vii'/V are major/minor, F major/minor. and E>
major/minor, as illustrated in Example 40.2a.
Example 40.2
A.
lal
awl
|
| i
i
i
i
T
(al |
$ =
Pid
ia
ate 3 bw
oo e
+e) o—___#* ae = a
te.
—
-
+ rt 5
ral
7] #
Yr
CL”
= T
bio
/V) Ar (iit /V) FH wile '/V) Eb: iio '/V)
B. SCHUBERT: “TOTENGRABERS HEIMWEHE,” D. 842

63
= I . aT . _]
lun
tO 1
|
ma
a.
AT
se |
Tf |
_|
v4
i
bh
Va
GV
|
J
a
~ oe
L
iw!
v‘ oe rn" I
I
2 C77
L a
ee.
Y
XY xo> uBaal
I
Waal
l x
lame
1”.
Lai
|
|
mall
1
le T _]
e) I I
Es schwin-den die Ster - ne,
i I
it i I
e | ié
IMG
4
cal
oO
Vg . | t I T
Li b
OT nN
it if
v yy C7] ink i w lan | | ry

J Ti >
tt
ry) tt
das Au ge schon bricht,
; ; :
T
i uf |
3
I I
ee |
2
}: I
»
ry
>
Ma
atl Xx
te ° h
C. (REDUCTION)
41
vi
14
LA
Eg La
|
it
4.
wn
5” Ral
t
(emb
#] vu /\ 1
In the excerpt from Schubert’s “gravedigger” song (Example 40.2b), the

transient tonicization of giv, a tritone removed from the original tonic of F. is
achieved through an enharmonically spelled diminished seventh chord
marked with an arrow. Note the F-B in the vocal line (mm. 2-3), which
serves as a link between the old and new keys while reinforcing the morbid-
itv of the song’s text. Schubert’s symbolic and intentional use of F and B re-
calls the diabolus in musica (“the devil in music”), medieval term used to
a
describe the interval between these two pitches. In this passage, the enhar-
monic diminished-seventh chord in F major functions as vii’'/V in the new
key of B minor.
The Augmented 6th as an Enharmonic Pivot Chord

As we saw previously in Chapter 30, the Ger§ chord and the WV", while no-
tated differently, share the same sound of a major-minor seventh chord.
Composers took advantage of this enharmonic relation in modulating to for-
eign keys. Thus, a Vv" might also function as a Ger6th, or a Ger6th might also
finction as a WA
striking evamiple of the former occurs ii Pohaikos Shv’s
Romeo and Juliet Fantasy, whose tonic is B minor. In the transition of his ex-
position, the composer leads us to anticipate that the next kev will be the
customary relative major, D major. But after an extended dominant prolon-
gation in that kev, the music suddenly effects an enharmonic change; the A’
(VW of II or D) instead functions as a Ger’, whose resolution to bb major
unexpectedly introduces Romeo's famous theme (Example 40.3a). When he

wrote this work, the young Tchaikovsky was under the influence of Milv Bal-
akirev, a famous Russian composer and pedagogue, who showed a decided
preference for pieces written in two sharps or five flats—hence the juxtapo-
sition of B minor and Dd major within Romeo and Jufiet At the conclusion of
the Db section, Tchaikovsky repeatedly refers to the previous A‘, but now it
a3 operates as an embellishing common-tone Ger in the context of bb major
(Example 40.3b).
Example 40.3
K\
182
4 # 14
= +
|
Be “iy = LL,
bh
bh
-_ 1
|
I
ra
i
ee be. Wi [v1
Ld.
Te
a RY v il
“a.
ii
e
I
4 Oo
\
_ 47
rae Ce io
(@1
LO}
wr
ay (8) ametA =
i =
p
bal ce] 5
D Vi P
6 4
ut 2,
Dbl. Gere3 Vv 1°
(enharmonic )
B.
244
VW
v4 bh ié¢
Lé5
ry}
AZ
—1E 1 <5 “1.¥
eo
eo.
ve ho~
|
~_pe_
e
TTA by fal
c>
>=" “ TT am
x @)
Pl
2. oe | mal hh Too oy id
|
["
|
Db: I (emb. Ger6th) I
enharmonically spelled
A’ orV/D
This process may also be reversed, so that the Ger? becomes an enhar-
monic V’ in the new key. We are all familiar with the sound of singers vocal-
izing major scales in ascending half steps, as shown in Example 40.4. This
model modulates to the Neapolitan or DIT.
(2) Example 40.4
= iam
5 JT
a i T
& 7@
O
Gq} mee:i
a
in
hea>
—~_
fe _ TA et La T VY, Vs Tih Fe
2. a> Mu il I
Ad #1 4 102 }
C: I Ger
i
bIT Vv I
Saint-Siens satirized this procedure in his Carnival of the Animals, in which

his “pianists” practice their scales in ascending chromatic order (Example 40.5).
Example 40.5
(?) SAINT-SAENS: “PIANIstTs” (No. 11) FRoM THE CARNIVAL OF THE ANIMALS
«ia
A
A? byb
z Ly
+P
|
|
Ty. {7
e
I
oe
as
oe ~—
St
A
aaa
a hall T
Se ¥
v
C: I
Gerd
[ur]: vs
Lay"
= v ~—__}
o- oe?
©
f I — i!
{ J
esef ee
I
|
i
I @
i i i
@ ©
—
@) oi
ef ef ef se fe? os
The enharmonic relationship between the Ger§ and V' can also be used
to reroute a series of fifth-related secondary dominants. For instance, if a
seventh chord that normally resolves by descending 5th root movement is
changed into a Ger$, the sonority can then resolve by half step (as shown in
Example 40.6a). This technique is similar to the tritone substitution dis-
cussed in Chapter 30, since the roots of the two resolutions are a tritone
apart.
Example 40.6
A,
i]
— Je im h w
= oe i I
6 3
Db Vio
_
J \s. C:
¢ v
3,
Ger§
@) B. C. PLE. Bacu: SoLFeccIo, W. 1171/2
a
a7 = =.aa
A
« = |2
ny +“I A
_V_@ I i
CS ee ee
©
ef cn Oy OY
PX ef #2
~ ore
e = > =
LY
fy
2s ly
|
ge
1
L
— — A .
—{— ;
|
=
4
e oe oe ae eo
C: \i >)
1
“
1
5
- LT
evcle of secondary dominants

726 =[CH. 40] MODULATION TO FOREIGN KEYS II
ee
te ft o- e-
=
1
_e
4 pt
6 Cn nN
{— —
6 5
4 3
~ .
Gere? Vv i
or
Ger 5
In the popular Solfeggio of C. P. E. Bach (Example 40.6b), a descending

succession of secondary dominant seventh chords is in danger of moving
outside the key area of C minor by measure 29. To prevent this, Bach spells
the chord that begins measure 29 not as an Ab’ (V'/bI1), which would con-
tinue the cycle on to a Db", but as a Ger’, which resolves downward by half
step to the C minor { in measure 30. The Ger’3 that precedes the is merely
a revoicing of the Ger’. This passage is similar to Mozart’s D-minor minuet
(Example 37.2).
CHROMATIC ALTERATIONS OF
DIMINISHED SEVENTH CHORDS
A diminished seventh chord, such as vii’, may be changed into a V" by low-
ering one of its notes a half step and, if necessarv, respelling some of its
other chord members enharmonicallv. For instance, we can lower the Eb of
an FR A C Eb chord to D, changing it into a major-minor seventh, a potential
V", We can lower the other chord members bv a half step and form several
other potential dominant 7ths: we can lower the F¥ to Fy (F A C Eb, VW" of
Bb). the A to Ab (Ab C Eb Gb, the enharmonic VW” of Db). or the C to B (B D#
F} A, the enharmonic \" of E). Examples 40.7a and b exploit this technique
as a means of modulating to the 3rd-related kevs of bITY and WH. In the
tempestuous F minor “Storm” movement from his “Pastoral” Symphony No.

6 (Example 40.7c), Beethoven uses this procedure to modulate from C
minor to Bb minor, Or to 1N in F minor.
MODULATION BY STRICT HARMONIC SEQUENCE 727
Example 40.7
A. B.
ft _|
blll {— ”_I a ~ ff
at
— —s-
a I
+ WA _—|-—_
a
3 , II .
I C: J
aor
v4
v4 I
: vii
|
C. BEETHOVEN: SYMPHONY No, 6 (SPASTORAL”), [IV
314
fe
1 ;
a
Do 2££.
/ te
is ty
/ bk
‘i
v ian om .
CY NY
or
St sfz
_ o- p> ge o- e p- eS
:
I
_ rid r
i
—_
ball hd
l
vite /V J 1
Vv!
f V iN
MODULATION BY STRICT HARMONIC SEQUENCE
One obvious wav to introduce a foreign kev is to state a phrase in the tonic
and then transpose it verbatim into a new kev. This modulation by exact se-
quence is especially effective when the new key is a major or minor 3rd
away. Such passages display what we call sequential modulation and are
akin to sectional modulations, in which the kev change occurs between
phrases. periods. or sections. In the opening of Brahms’s G minor Rhapsody,
given in simplified form in Example 40.Sa, the initial phrase begins with an
implied V and ends with a G major triad (V-1). This passage is then literally
restated a major 3rd higher, cadencing in B major, [I],
728 (CH. 40] MODULATION TO FOREIGN KEYS TI
Example 40.8
(2) Brats: RHAPSODY IN G Minor, Op. 79, No, 2 (SIMPLIFIED:
| = —
=
Y
7
OO
LY Cc __T
|
_
|
O 7
i
1. 1
ri
1 T
b
v0
fon
{ WA
A I ]
Pn
T
Yr 7 __|
_—_—_
l |
o
1
|
e
I
hall Ke O T Pat
> =
rr
ae
J la. é
S
haat if
1
po | ge | i
V4 win
e
T
3.
—~e}2
aT)
v
7 L }
|
original phrase
5 >
fr
A’ A ee
|
1 *
- 7 |
= 4 _ sd
4 | |
Y2.
2
Lk ny
i
a
i wn am
a
i
T
i
ial a
= ct
=F
1 Baa |
e = |
—# :
° — —
yh i ie
Ss
|
th*
bd
7 — aa mot Zo"
__!
sequence a M3rd higher
Liszt was especially fond of such sequential modulations. In the excerpt

from his “Obermann” piece (Example 40.9), note that the second phrase
Gum. 5-8) is an exact transposition of the first phrase (mm. 1-4) a minor
third higher. The first phrase begins in E minor and moves to G minor in
measure 3: the second phrase begins in G minor and moves to Bb minor in
measure 7. The two phrases form a modulating sequence.
Example 40.9
Cc Passi Vater DOOR BALANN SPOON VERSION PROM ANN Pes De AEX AGE
4
Ay a _t
_ {ey
Ae: ent
[ag a F aN
aia
i i !
7
T
| |
IN
v4 ay 77 {ft
im |
iam”) KK [ v7
Tt do
°
mee Ser
NS”
— _ a
2
rt
7 T= t
—T
t
2
I T
1 C
im
i
r
oe
7.
See
MODULATION BY CHROMATIC LINEAR PROGRESSION 729
O_4 ,
ee |a T I
Ke
[
I
oN
I
bh C77
I [
Se
e
Se |
foo Cr ae
a
betwee
Dn T
~
1 , 4 i 4
r
|
: ie
il
— —L
10
+
i
—
bee
oF
—
1
7 t
j i |
aI
t Tt
T
I |
MODULATION BY CHROMATIC LINEAR PROGRESSION
Some passages modulate to a foreign key through a series of chromatic. se-

quences or some other type of linear progression, often moving through several
transient tonal areas in rapid succession, For instance, the begining of the
Mozart excerpt in Example 40.10 first uses a sequence by descending major 2nds
(mm. 73-75) followed by descending minor 3rds (mm. 76-78) in linking B minor
to the anticipated key of C minor through its vii?’/V (min. 78-81). However, the
Ft of the FEA C Fb chord is lowered to Fk, thus changing its fimction into VW" (FA
C Eb) in the new kev of Bb major, to which it eventually resolves (im. $6).
4 Example 40.10
MOZART: PIANO FANTASIA INC MINOR, K.475
yp 1
te, 2,HPs be A —
— i —
tt
be
eee ee
(f)
__|
|
ic
SH rat B
be
A
im 7
4 4
rom bw
(Ff)
4 4 4
_ M2 M2 M2
bo VI
e
ae i
t
mt
th nal
—
an
i
mm
—
imei ay
i
| I
{)—_—_
"
: od
Zhe
—_
Je 1
ia
— — —
ce
cI —_—,
Oo e > fxs
—
4
eo
4 4 4
m3 m3
Ps
VE
an 3
—
4
_| _
e) iz q
A —
_
og 4.
0
— c— i J
IICIH t
qt st Ly
ee
82 =
o-
thes .
ee
86
Pot
ain
I
FE! = V' of Bb l
The fantasia of the Baroque and Classical periods is an especially fruitful

source of examples of frequent and unusual modulatory techniques to for-
eign keys. Measures 20-25 of Bach’s “Great” G minor Fantasia for Organ,
BWV 542 (Example 40.11), is one such passage. In consulting the first re-
duction in Example 40.11b, we can see that the ascending gesture on the
dominant of G minor (D‘) culminates in a diminished seventh, which func-
tions as an enharmonic vii?’/V in the remote key of Eb minor. The ensuing
Bb pedal gives way to a series of rising whole-step tonicizations preceded by
their applied harmonies: Cb to Db to Eb to F. A final D* propels us one step
further back to the original tonic. The final reduction in Example 40.11
suggests that this passage may be thought of as an extended interpolation
that links the first dominant chord to the last.
Summary of Additional Ways to Modulate to Foreign Keys

1. Other ways of modulating to foreign kevs include the following:
A. In enharmonic modulations, one of the pivot chords ds involv ed in the
change of key is respelled enharmonically, Diminished sevenths and
GerGths are especially suited for these roles; thus a V/IV in C major
(CEG Bb)) mav become a Gers iin E major of [111]U ( CEG Ag).
3
MODULATION BY CHROMATIC LINEAR PROGRESSION 731
B. By lowering each chordal member of a diminished seventh, four

potential dominant sevenths in four different keys are possible.
C. In sectional modulations, an entire phrase or section is literally re-
peated in a new foreign key, usually a major or minor third away.
Half-step motion is also common.
=j D. Some passages may spiral through a series of foreign key rela-
tions, based solely on a protracted succession of chromatic linear
4 progressions.
Example 40.11
A. Bact: FANTASIA AND FUGUE IN G MINOR, BWV 542 (THE GREAT")
20
be
~\2_] Ls.
;
N i"
——
4 L x Xx
oO
OE ———"
J
her
=
li
1 ry
I
t Z =
oe fd
—— eee”
L
——
t
a
I 4
if
es { 4 t
—
je _
v id
T |
zy
eo ie U
an i
ae
I
t T
|
I nA —
r q
9 9 9 3 j
E L 9
:a_7
i: t
ee — + Gl *f
J } = —
<a ——
|
mn FA
—@ bal |
—— 4
ae
(@ NOLO) 9
~<a
LA \ II
SS” ¢
02
(| NOLLoAdaH)
Par
of
IY SAAN NOTAYON OL NOILVINGON [0F HO] CEL

enharmonic modulation sequential modulation
using a diminished seventh modulation by chromatic voice
using Ger$/V‘ leading
1. Analyze the four short passages below, indicating the original and new
key and the technique used to bring about the foreign modulation.
Example 40.12
A
oN
= j I
——
Mm | | |
be
:
2 2 ft
———
!
| | |
no
e -+—* in lr
|e dy
po = ——— =
| |
1.
|
| J
| | |
$ {
|
Le.
AWA
ry
4% I
|
I { i
a TO are
7
££ [ff 2 4 fe et ek ee ak
bl L 7 ul
]
+ + + t
{
O
= +——+
—
| |
=
rn
| |
nin an. _| |
— — po———o— +
C H A P TFT
E R 4]
Symmetrical Divisions
of the Octave
UR DISCUSSION OF DIATONIC SEQUENCES in Chapters 20 and

23 established three basic categories of root movement, by 5ths, 2nds, or
3rds, and Chapters 37 and 39 outlined how these three tvpes of root move-
ment could be chromatically elaborated. As we have seen from these four
chapters, a sirict intervalle pattern mcorporatiug any of these three root
movements will eventually lead us beyond the bounds of our original dia-
tonic key area. Try playing an ascending or descending sequence of alternat-
ing major and minor 2nds, or alternating major and minor 3rds, or even an
extended chain of perfect 5ths, and see what happens to the sense of vour
original key.
In most tonal music these strict patterns are broken somewhere within
the sequence by one or more correcting intervals, so that the music remains
in the beginning key. Each of the diatonic interval projections shown in Ex-
ample 41.1 contains at least one such disruption, which we have bracketed.
In the stepwise diatonic motion of Example 41.la, the succession of two
major 2nds and a minor 2nd, a typical diatonic tetrachord, is broken by the
linking whole step B-A. In Example 41.1b, the minor 3rd D-B breaks up the
pattern of alternating major 3rds and minor 3rds. And finally, a single dimin-
ished 5th interrupts the descending perfect 5th progression (Example 41.1c).
735
736 [CH. 41] SYMMETRICAL DIVISIONS OF THE OCTAVE
Example 41.1
A. By M2/M2/m2’s B. By ALTERNATING m3/M3’s
f__| fj — so
—4 ye
Tes
———8——e
__ <.
__.
—-f]
ty
eo [| “oe
rat
M2 m3
C. By P5’s
Because of the presence of these correcting intervals within the diatonic

system, we may consider the diatonic collection as basically asymmetricalin
nature. The dominant scale degree (5) divides the tonic octave into two un-
equal segments—a lower 5th and an upper 4th. The scale steps that mark
this division (1, 5. or 8) define the octave range (1 to 8, or 5 to 5) of many
diatonic melodies. The division point at the dominant serves to strengthen
our sense of gravitational pull toward the tonic, since 5 has a mar ked ten-
dency to return or resolve to the stable 1, partly because the root note of a
perfect 5this its lower tone.
In order to loosen the ties to the diatonic tonal svstem, composers of
the common-practice period began to experiment with partitioning the oc-
tave into equal-sized interval segments by using altered or chromatic
notes. The symmetrical divisions of the octave that result may occur at
various harmonic or structural levels of the music—in a surface harmonic
sequence, ina temporary tonicization, in a transient modulation. or even
as the underlying key scheme of a complete movement. These symmetrical
root movements may or May not complete the entire interval evcle
through the octave, When they do, they often prolong a single basic har-
mony that frames the progression: when they don't, they usually serve as a
transition to a foreign kev. In all cases, normal harmonic function is mo-
mentarily suspended to a greater degree than in most diatonic root move-
ments, resulting in a more pronounced sense of tonal ambiguity. In the
continuing quest for harmonic innovation during the nineteenth century.
the increasing practice of basing harmonic schemes on svminetrical divi-
sions of the octave contributed to the gradual breakdown of the existing
tonal svstem.
SYMMETRICAL ROOT MOVEMENTS 737
SYMMETRICAL ROOT MOVEMENTS

The octave may be equally or symmetrically divided by successions of four
intervals: major 2nds (two half steps or interval class 2), minor 3rds (three
half steps or interval class 3), major 3rds (four half steps or interval class 4),
and tritones (six half steps or interval class 6). These divisions may be seen
on the clock faces in Figure 41.1, on which consecutive half steps are
marked off The sane patterns will ol Niorish result when these root move-
ments are transposed to other pitch levels.
Note the connections between these s) nametrical octave divisious that
serve to relate the different interval patterns: the major 2nd cycle overlaps with
the major 3rd cycle; the minor 3rd cycle overlaps with the tritone division; and
the major 2nd and minor 3rd cycles contain a common tritone. In this chapter
we will examine cach of these S\ mianetrical divisions of the octave, or possible
symmetrical root movements In any of the cNauiples cited below we have

dispensed with Roman numeral analysis except for framing chords and simply
indicated the roots and in some cases the chord \\ pes of the successive chords,
Figure 41.1
M2 m3
Cc Cc
B Ct B C¥
Bh Bb
5 D
De A De
Ab Ab E
G F G F
Fe Fg
M3 Tritone
C Cc
B C B Ck
Bp Bb
D D
Ds A D:
ms A> E
E
G F G F
Fe F
738 [Cil. 41] SYMMETRICAL DIVISIONS OF THE OCTAVE
Root Movement by Major 2nd

We rarel counter complete cycles of major 2nds, which would result in
an extended sequence based on the whole-tone scale (see Appendix 2). One
such progression does occur in the “Witches’ Sabbath” movement of
Berlioz’s Symphonie fantastique, in which the roots of the triads on each
beat descend by major 2nd.
Example 41.2
BERLIOZ: SYMPHONIE FANTASTIQUE, V
§Vd-——-
—\@ 317 | b aw }
=
} |
—
f
ANIUAEE | }
e "NY
| I
© 4
Nis
() N 1b
} IN
1
ia
IN
0a
+t ‘t t-—*#
RY
r
4 y
te rl
(Ab Gh E D C Bb Ab)
Such patterns, which normally break off after the fourth or fifth whole
step, tend to employ applied chords, such as secondary dominants, dimin-
ished sevenths, or even augmented 6ths, that tonicize each successive de-
gree. In Chopin’s G minor Ballade, Op. 23, one such sequential passage
forms the climax to the middle section in Eb major; a reduction appears in
Example 41.3.
Example 41.3
CHOPIN: BALLADE IN G MINOR, OP, 23 (REDUCTION OF MM. 150-159)
(Eh F G A B)
ON
SIN Oo
be
6 6 6 6 6 _
6 i)
4 3
Eb oT Ly Ger§
The consecutive§ triads, starting from G°, that form the underlying as-
cending root movement by major 2nd (marked with stemmed notes and
beamsin the reduction) are preceded by secondary vii’ chords. They ascend
from T° to an enharmonic I' (Cb° = BE)) before descending chromatically to
bVI®
a Ger§ that ushers in the concluding cadence backin Eb. Another example
of a sequence descending by whole tones may be foundin measures 229-33
of the third movement of Chopin’ s Piana Concerto in F Minor, Op. 21. Not
only does this passage traverse the entire octave, but each member of the se-
quence is preceded by its secondary dominant seventh.
Root Movement by Minor 3rd

Root movement by minor 3rds is probably the most common syminetrical
progression. The four resulting transpositions outline a diminished seventh
chord, such as C#-E- G-Bb-((C#). Such progressions are strongly octatonic in
nature, since minor 3rd projections of major triads, minor triads, major-
minor sevenths, half-diminished sevenths, or fully diminished sevenths will
produce the eight tones of this alternating half-step/vhole-step collection or
scale. For example, a succession of major triads based on C, Eb, Fe and A
will produce the following octatonic scale: C-C} ELE FE G Bb C. For fur-
ther information on this scale, see Appendix 2. Examples of both sequential
and non-sequential motion occur. Study the excerpts in Example 41.4 with
their accompanying reductions. In the brief passage from Liszt’s famous
Lor
“Un sospiro® (Fxcunple {1 favo series of
progression of chords related by consecutive minor one
triads fortis a
3rds (Bb-G-E-Db). The
triads are linked bv passing tones in the bass. The Lohengrin excerpt (Exam-
ple 41.4¢), on the other hand, features a series of momentarily tonicized
kevs (Ab-Cb-D-F), or VI]. whose roots ascend by minor 3rds,
This passage, however, is not strictly sequential.
Example 41.4
A. Liszt: “UN SoOsPIRO” FROM TROIS CAPRICES POETIOUES
66
v4 <>
$
|
—
fe
eS
fh
Kb a
|
ty
I no.
iv.
yo
oO
aeS
fo-
b=
sm
at — L
la
0s —T Lf
e >
(figuration continues)
~ t7J t T
o——
Je Th I i ft
oy. i
v
Ke
I | I
a4 fd
rn
_+—_|
4 fe
|
Fe be
B. (REDUCTION)
a
LY,
aabh t
_ +S
| ae
ce
TH
Kh
ne +
~
~ Je 1,
an
to
bh
5
at
:
= :
i"
F
Db: I (VI) (HIV) (bITT) I
C. WAGNER: LOHENGRIN, ACT I, SCENE 2

370
joy
7, | | > =
fy
bh
se
i
in | 1
Kae
it
VY TT" AZ
@ Ll,
o
|
~
im |
oe Th | 0 had
a=
jaws ia) i
v |
hl
—
}
Py
|
poo
ctl a
— t
+ — rere
Ab: LL. Ik JL
|
BIII
_
_|
|
Tbhv Fe I | |
wn
oe = Bol ore] s
“1 TTA xX
—! L.
bI
2 =
—
|
ww L ll hb@*
Os
it all
“8
|
RY a a ———a
u
¥ m4
e
|
yt v
f
1 |
be
fd
eo Ee”
Pn
Ll amd
i
haat Po os
| ne
I
A
ry
¢
I
b
I
C2
VI
Oh
Ve TI,
Ju |
h bh [OK j |
Lr
WEtT”
| j
[ XV l a.
l
ty
Pre rl Zz
. =
ae]
wy
—
D. (REDUCTION)
be —~@ tue be
Ab: LILI #1
Root Movement by Major 3rd

If we turn back to Figure 41.1, we can see that strict sequencing by major
3rds permits only three transpositions, at which point we are back in the
original chord or kev: C-E-G$-C (ascending), or C-Ab-E-C (descending). In
the Franck excerpt (Example 41.5), the descending major 3rds within the
brief but complete sequence are linked by 5-56 motion.
Example 41.5
A. FRANCK: CHORAL NO. 1 POUR GRAND ORGUE
A
19
4 tt.
as
==
ae =
=
a
iF te ,
he |
|_|
—
pF +.
-
Ae he
isl al |
A
wl “a |
A tt a a
LVI Ill I vViood
B. (REDUCTION)
f_# 4.
fas) hast
vv
fe
T
[
ry
Do aN
ino_
Pr o
7 min
UT!
ane J
I
+ if
=
ars
— | ual
ma
haat
r
5
6 5 6 5 6
CG I bVI ll I
Wagner’s “Magic Sleep” motif in Example 41.6 prolongs a C# major

harmony. The upper voice of this theme exhibits a complete descending
chromatic scale, partitioned into three equal segments. This chromatic
descent is supported by major triads on every fifth chord; the bass notes
form a series of falling major 3rds (C#-A-F) that outline an augmented
triad, as denoted by the brackets. The harmonies within each bracket are
successively transposed a major 3rd lower. There is one exception to this
exact transposition—the chord in measure 7 does not adhere to the se-
quential pattern. If this progression were extended, it would continue the
same pattern endlessly, thus portraying the “eternal sleep” of the earth
goddess Erda in this scene. Earlier in the Ring cycle, this same motif is
used to accompany Briinnhilde as she is put to sleep by her father the god
Wotan.
SYMAMLETRICAL ROOT MOVEMENTS 743
Example 41.6
\ nto OM
vite SERRE MetINE PROM ACT TT
2
f 124 yhi ts ho bo j 2
ts ees
Oy
AP pes hi
4
13 : 2ren
a yey} ¢}
i¢é “I
Tey bel rl
4
ae 6\°« a4
m
eZ @)
bo ho
“lo t-o Lo
"oOo
ee
4
2.
{9
AT
ZO)
1 bal
1
“*
fi
[@1
io @)
4
—
jo to 7O
oO
7 t | LL
(C8 A
i: —
2 b
ees ho dl be u
tor
|
= J ~~ bi ©]
ce
Wa Pa 4
>=4 v
bh
q> rat
“Ley.
a> ad ap
4 fant bid
v cy bod <> i
©)
Me ary
4 e)
a
ag
3 —
yp?
eo
7
| oF}
L
1 8)
sx }
oa
<>
2
Liz
8)
@)
LQ
isk
“T
@
1)
bt wo
ad
a
i t-o-
Lae
iit
©
<r
@
cy yy
“* Pid
T
1
ie.
[@) to Tt
] I J ot
17 CF
Bo. LION)
sae I ST
ie
ri
+ +
=
: 5
o}: = a
te = to +
if mS
CH (bVI It) I
Root Movement by Tritone
The tritone splits the octave equally in half. In the common-practice period.
root movement by tritone is usually reserved for dramatic or special effects
in isolated chord progressions. In Example 41.7. for instance. Berlioz depicts
Faust’s arrival in Hell with a demons’ chorus that alternates between B
major and F major triads (I-5V). evoking the diabolus in musica. The open-
744 (CH. 41] SYMMETRICAL DIVISIONS OF THE OCTAVE
ing of the Coronation Scene from Musorgsky’s opera Boris Godunov is

largely built around an alternating pair of major-minor seventh chords tri- a
tone apart (D' to Ab’).
Example 41.7
BERLIOZ: “HELL” SCENE FROM THE DAMNATION OF Faust, ACT IV (VOCAL PARTS ONLY)
7
a
Ay
eo |
a a
sss" —
Loe:
+
Has} I -ri-mi-ru Ka-ra-bra - o!
2
4 I |
6 4 V esy
Loge:
Lm od
aAVE
ms
t 4 2 |
|
¥
— < t yy
eo
B by
EXTENDED ROOT MOVEMENT BY PERFECT 5TH

A continuing series of half steps (the chromatic scale) will eventually
cevcle through all twelve pitch classes. Likewise, a continuous projection
of perfect 5ths, either ascending or descending, will also cvcle through
all twelve pitch classes. The descending root movement in measures
57-60 of Ravel’s Valses nobles et sentimentales traverses all twelve per-
fect fifths from D to D; some of the chords are extremely complex. Al-
though common-practice composers rarely traversed the complete
chromatic collection, in some instances they progressed far enough to se-
riously weaken our sense of the original tonic. One such case in the Bach
passage quoted in Example 41.8. After beginning in G minor, the piece
evcles downward through seven consecutive perfect 5ths (D-G-C-F-Bb-
Eb-Ab-Db) before abandoning the pattern by introducing several dimin-
ished seventh chords that eventually lead us to the foreign kev of E
minor, or $vi. By this time. of course, our original G minor tonic has been
completely obscured.
EXTENDED ROOT MOVEMENT BY PERFECT 5TH 745
Example 41.8
@) Bach: FANTASIA AND FUGUE IN G Minor, BWV 542 (THE GREAT")
A_| _|_
|
i
|
32 | oe | i |
fe
T
:
am
N
a
h
6
——— .—_
t
i
_
t ii
L
jp ee {_
name
i
(Gm Cm Fim Bbm Ebm

g: \ i
VF
| rhv
b
y Ce how
rer ey
var
Pn
T
v
L
~ fe
TIF | yy
= ef
=m af
kL Ll 4 |
] K
t
it
i
ey +} L
— f
So
1 {
ai
ia
~ Abm Dh)
|
A somewhat similar example occurs during a transitional passage in the
I Scherzo of Beethoven's Ninth Svmphony in D minor. Here Beethoven initi-
abes a SOTICSof descending triads that alternates both chord Iv pes and TOL
minor) and root movement (minor and major 3rds). Since two of these 3rds
form a perfect 5th, the result is an extended cvcle of perfect Sths. The pas-
sage uses the sequence to modulate from D minor to E minor; see Exercise
41.2 in the accompanving Workbook.
Occasionally we find two symmetrical root movements, one nested
within the other. The Chopin sequence in Example 41.9 illustrates an al-
most complete cvcle of descending perfect 5ths. The downbeat cadence (ii-
\"-T) that occurs on every fourth chord produces a series of tonicizations
that divide the progression by 5ths into segments marked by descending
minor 3rds (G-Bb-Db-E). The penultimate D in the bass does not complete
the evcle back to G, resolving instead to a vii'/V.
Example 41.9
A. CHopinx: NOCTURNE IN G Major, Op. 37, No. 2
f) 4 |
i#-§—S- 7I t——| oO
cI of ia va
he
fe be
if
ys
te be
———S
|
—S
| |
= he
:
cy rr I
G) (Bb) Eb Al
—
e T rd
rt
re
— =
_=
an
I
~e
4
Svdo
(@) Ft B
(£) N D)
B.
fh Le @
—s
| |
4
: i
1
o . , Le
be
he
—
he . — fo
2
#
—= qe Zz ra
GI IV Wii)
THE OMNIBUS SEQUENCE

The omnibus sequence, a term coined by the theorist Victor Yellin, is a
svmmietrical mirrored sequence that emplovs chromatic voice leading by

contrary motion.' This tvpe of sequence involves a three-chord pattern that
progresses by contrary chromatic motion, a concept we introduced in Chap-
ter 39; see the discussion associated with Example 39.8. The occurrences of
1. Paula Telesco. “Enharmonicism and the Omnibus Progression in Classical-Era Music.”

Music Theory Spectitnt 20/2 (Fall. 1998). pp. 242-79.
THE OMNIBUS SEQUENCE 747
this pattern are bracketed in Example 41.10. The first chord of each seg-
ment may consist of either a diminished-seventh chord (Example 41.10a, as-
cending) or a German augmented 6th Example 41.10b, desceuding). The
second chord serves as a miniature axis for the neighboring motion (e.g., Ab-
G-F$), and the last chord is usually an augmented 6th. When successive
statements of this three-note pattern occur a minor 3rd apart, a complete
chromatic scale is formed in one of the voices, usually the bass The rermain-
ing voices retain common tones between each pair of sequential segments
(separated by bar lines in Example 41.10).
Example 41.10
A.
be be ihe
KZIH
vii?! 6 etc.
Ger§
B.
hH_ —_—
~
fe oe >
¢
+
at
1
ri
1 1
Ger$ Ger? ete,
Two pieces that contain this specialized type of minor-3rd sequence ap-
pear in Examples 41.11 and 41.12. The extended Beethoven passage. which
is rather surprising for its time period, prolongs the secondary dominant sev-
enth chord that frames the sequence—V‘/IV in D major. Within the se-
quence, the diminished seventh harmony that begins cach sequential
segment remains constant, merely changing its spelling enharmonically in
measure 336 in relation to the § that follows. The Ger§ that ends each se-
quential segment continues the chromatic bass motion into the following
segment. This form of omnibus sequence usually ascends chromaticially in
the bass.
Example 41.11
BEETHOVEN: SYMPHONY No. 2, I (SIMPLIFICATION)
329
A_4ei in LI CA
|
q CA eel |
we
fg [ig > qty qy Tf (@)
NY
Li Wi “145 a, LO} T
ia [#7] i. iu
[#7]
fd
ul
qa) bw
e
l
Prat |
Tt) ed.
oe
is
.
1
4 I
~—Je ge
Z i ]
°
I
os
ia
a
i
o
[ li
Ded isk G)
ns
} 1
if |
a |
Uh
a
D: VIN (°! 6
Ger
° §
Ger
336 —
\7 wT
Ago »
=< Pol ~*
Lr. La 4
hd aS | al La Ul Lae
| fan’ bal Th Lod. sre] Ld T i al
host “TI il I I
'
I
'
|
a4»:
—
y l l aN
Jf? i [ 2 |
*V4 4 ivi rod

i
a
64 Pai
Se Ti Cd ud Lai
of
6 Ger$ 6 Ger$)
(functions
as V‘/TV)
The descending omnibus sequence in Example 41.12 is based exclu-

sively on both forms of the German augmented 6th (3 and °3).
Example 41.12
Musorcsky: Boris Gopunov, Act III
ma
|
_N
f
4
he
(>
(We
Hr
—
=~
ne
~
I~
|.
~~
bail
wast
:
aen
wnat
alll
oe
ili
we
aa
Tt
aH
aH
T
Rl
a4
Ger® § Ger®? Ger§

TONAL SCHEMES USING SYMMETRICAL DIVISIONS OF THE OCTAVE 749
4
#—
6
Ger? Ger?5
Composers may use an incomplete or partial cvcle of an omnibus se-

quence before returning to the original harmony or some other chord. In
the preceding Musorgsky excerpt, there are two complete segments of the
sequence and the beginning of a third. The four-measure phrasing conflicts
with the three-measure sequential segments. Since the upper voice retains a
single tone through most of the passage, the chromatic contrary motion is
found between the bass and an inner voice.
Summary of Symmetrical Root Movements

1. Harmonic progressions based on equidistant root motion (by m2, M2,
m3. M3, P5ths, and the tritone) will eventually cvcle through the en-
tire octave. The resulting symmetrical root movements may quickly
take us outside the bounds of the diatonic key, thereby imparting a
sense of tonal instability to the passage. As a result, they are especially
useful in transitions or to underscore the text in dramatic music or
lieder.
The omnibus is a common svmmetrical sequence based on chromatic
Ww
voice leading by contrary motion; it ascends or descends by patterns of

successive minor 3rds,
RPT
TONAL SCHEMES USING SYMMETRICAL DIVISIONS OF THE OCTAVE

a
Composers were generally reluctant to base the tonal structure of an entire

movement on one of the svmmetrical patterns discussed in this chapter.
This reluctance was probably due to the fact that such tonal schemes tend to
omit the dominant kev area, the single most important harmony after the
tonic. Nevertheless, isolated examples of this technique do occasionally ap-

pear in late nineteenth-century music, including two in Tchaikovsky's Sym-
phony No. 4 in F Minor.
The opening movement of this work is based on a progression of key
centers by ascending minor 3rds (F minor, Ab major, B major, D major,
and F major/minor), as shown in the key scheme of Example 41.13. Al-
though each tonal area is preceded by a secondary dominant, the domi-
nant key center (V) plays a decidedly subsidiary role in this movement. In
the second movement, a harmonic progression by rising minor 3rds in
measures 110-116 recalls the tonal scheme of the previous movement—
Ab-B-D-F.
Example 41.13
TH AUROVSAY Sy NY No I
Exposition Development Recapitulation Coda
ve LJ
27 104 116 134 273 282 295 313 381
f ii HIV’ |
i]
The harmonic scheme of the Scherzo (Example 41.14) is organized

around a series of roots related by major 3rd (F major, A major, Db major.
F major), producing a long-range arpeggiation of the augmented triad.
This movement is cast in a large ternarv form (ABA), with the central
kevs of A and Db functioning as a kind of double Trio around the framing
F major pillars of the Scherzo proper. A different orchestral force is de-
ploved for each kev—pizsicato strings for the F major Scherzo, wood-
winds for the first Trio in A major, and brass for the second Trio in Db
major. In the opening F major section, the later tonal centers are already
anticipated—A in measure 33 and Db in measure 65. Observe how
Tchaikovsky handles the modulatory links between the tonal centers of
the movement. In the coda. a series of chromatic 3rd-related triads recalls
the principal kev areas of the piece. This chordal succession is followed by
the only structural dominant in the entire movement, which precedes the
final tonic harmony.
TONAL SCHEMES USING SYMMETRICAL DIVISIONS OF THE OCTAVE 751
Example 41.14
TCHAIKOVSKY: SYMPHONY No. 4, [II
1 33 65 77
LZ. 1 | 4H
—H-
—_—
a, nN” NY
J ;
4 MN _ ae _—\—— ry\N
1 ]
ett
|
T |
eee | —" \ a" \ a
i" ("
FE: |
(iii) (ONT?)
I
[B] 133 137 144 161 170 185 193 210
«3s SZ
= ha
=
7
mc!
{ f
| fo.
TT
n
od
a |
t i im
\
—T
$e
T
Z|
—
iy
Li
VIIV
Hy: GerS § (vi) 6 OVD) 1 ol
wisFrg
[i]. ]
219 349 365

Coda
fa’ 4
4 a ho 5 *
ad it
,_ be
————
@)
s
T
Da Capo of
2 2 I
te rN
I
r
—————— —
———————
if
| (bVI Ill) Vv I (LV) |
Although each section appears to feature different melodic material. the

sane basic motive of a descending diatonic tetrachord (8-7-6-5) underlies each
of their principal themes (Example 41.15). The opening of the Finale also em-
plovs the same tetrachord that occurred ion the F major Scherzo: F-E-D-C.
Example 41.15
it
}
1
IIIZI
v vi I I
I I ee 24 }
174
r Vv
Constant use of symmetrical harmonic progressions and tonal schemes

tends to undermine the diatonic tonal system. As certain composers of the
late nineteenth century, such as Liszt and Wagner, intensified their use of
chromatic voice leading and symmetrical divisions of the octave, traditional
tonal function began to recede in their music. This tendency is especially
prevalent in the last brief and enigmatic pieces that Liszt wrote for the
piano. Tonality became increasingly vague and unstable, so that by the turn
of the century it was only a small step into the uncharted realms of atonalitv.
In Chapter 42 we will close our survey of tonal harmonic procedures by
investigating a composition written during the early 1900s. This brief song
cycle skirts the very fringes of tonality, combining remnants of traditional
practice with new procedures arising out of purely linear motion that would
define the new language of atonalitv.
symmetrical divisions of the octave omnibus sequence

symmetrical root movement by tonal scheme using symmetrical
major 2nd, minor 3rd, major relations
3rd, and tritone
1. Complete the following symmetrical sequences in strict fashion. Then at-

tach an appropriate harmonic analvsis.
753
N
—
_
o
on
—
aa
Nn
as
ea
al
a
ica
iar
By
a
—_
cc
a}
ce
lo
i
I
aa
>.
t
Le be he
ew
nl
444
|_|
we 4
x
“-
Le [e
M
= g
LY
a SN
.
a N
al L
C H A P T E R 4 2
At the Limits of Tonality:

ALBAN BERG'S FOUR SONGS, OP. 2
N THE LAST FEW CHAPTERS of this text, we have observed that the
intensive use of chromatic techniques began to break down the tonic-
oriented tonal language of music in the common-practice period. Although a
number of early twentieth-century composers, such as Richard Strauss, Gia-
como Puccini, Jan Sibelius, Gustav Mahler, and Sergei Rachmaninoff, con-
tinued to cultivate the tonal heritage of the 1800s, many others, such as
Claude Debussy, Alexander Scriabin, Igor Stravinsky, Béla Bartok, and the
composers of the Second Viennese School purposefully moved outside the
confines of traditional harmonic practice. Stravinsky and Bart6ék continued
to employ diatonic, folk-like melodies in their works, but often set them
within layers of complex dissonant harmonies that frequently blurred or un-
dermined their tonality. This technique is especially apparent in Stravinskv's
early ballets, such as The Rite of Spring (1913). The three main figures of
the Second Viennese School—Amold Schoenberg, Alban Berg, and Anton
Webern—consciously employed melodic and harmonic materials that were
largely devoid of any tonal basis, in a quest for what Schoenberg called the
“emancipation of the dissonance.”
The transition from tonality to whatis generallv termed atonality—that
is, the or negation of ;any tonic or functional tertian har mony—was a
absence
754
AT THE LIMITS OF TONALITY: ALBAN BERG'S FOUR SONGS. OP. 2 755
gradual process. Many compositions written during the early 1900s retain
vestiges of traditional tonal techniques interspersed with atonal procedures.
As the linear and harmonic practices of the preceding era were abandoned,
they were replaced with new compositional techniques.
In traditional tonal music, chordal progressions were controlled by ten-
dencies of harmonic function and the careful regulation of consonance and
dissonance. As Schoenberg, Berg, and Webern explored new pitch re-
sources, harmonies became freely dissonant sonorities which were the
product of the linear motion of the individual voices. These emancipated
pitch elements were often placed within complex textural and rhythmic
settings and developed in a process that Schoenberg called “continuous
variation.”
For the Second Viennese School, these atonal procedures exploited a
different and novel approach to the treatment of motives and their possible
development. In tonal music, a motive is a recognizable melodic fragment
that can be heard in a variety of contexts. In early atonal music, a small col-
lection of pitches, whether melodic or harmonic, may be emploved in the
Of a traditional motive. Li addition to being subjected to such artifi-
cial techniques as mirror inversion or retrograde, they can serve as the
pitches for vertical chords as well. Thus, the distinction between what for-
merly was melodic and what was harmonic tended to become blurred in
this music.
In this chapter we will investigate the juxtaposition of lingering tonal
procedures and radical atonal tendencies in Alban Berg's Four Songs, Op. 2
(1908-10, revised 1920). These pieces were written during the period that
Berg was courting Helene Nahowsky, whom he would later marry in 1911.
The original dedication reads: “To Helene. Alban Berg.”
Although Berg had drawn his texts for the Four Songs from two differ-
ent poetic sources, all the poems share the common theme of sleep and
death. The text for the first song is taken from Friedrich Hebbel’s “Dem
Schmerz sein Recht” (15-42). The remaining songs find their source in Al-
dred Mombert’s Der Chih nde (1889). In its focus ona single poetic motif.
Berg's Op. 2 sect resembles the true song cycles of the Romantic period
rather than the collections of textually unrelated songs often gathered
under one opus number. It has been suggested that Berg. in this “psvcho-
logical exploration of, and journey to a distant world of ‘sleep-death’ as an
escape from realitv.” looked to Wagner's Tristan und Isolde as its musical
inspiration.
1. Stephen Kett. “A Conservative Revolution: The Music of the Four Songs Op. 2in The
Berg Companion. ed. Douglas Jarman (Boston: Northeastern University Press. 1990).
67ST,
756 [CH. 42] AT THE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS, OP. 2
Although the second and third songs were probably composed first, we
will begin our discussion with the initial piece, “Schlafen, Schlafen, nichts als
Schlafen!” (“Sleeping, Sleeping, Nothing but Sleeping!”), a typical example
of this merging of tonal and atonal procedures. For instance, the D-A per-
fect 5th in the lower register (Example 42.1a), with the Fain measure 2, sug-
gests D minor tonality at the beginning of the song, as it does when this
a
interval recurs in later songs. The choice of this key is not surprising, since
Berg continually associated the key of D minor with his fiancée Helene. In
several of his letters to her during this period, Berg referred to the “most
glorious D-minor chords of your soul” and called her “my most glorious
symphony in D minor.” This key continued to recur as an important tonal
center in his later works—the Op. 6 Orchestral Pieces, Der Wein, and the
final interlude from his opera Wozzeck.
Example 42.1
@) BERG “SCHLAFEN, SCHLAFEN”
A. Mn. J-12
5
Sehr langsam —<=<
pp poco
ead
9 9
= |
tH
a
|
+—t
it
|
7 |
| ay }
_—__1
Schla - fen, Schla - fen, nichts als Schla fen!

la
7Ae eyoJ
v4 h YW = I i 1
':
{fon [@]
Ws
—
|
— # =
ert eri nS a
—— pp
ei Er -
Wa chen. kei nen Traum
=
AT THE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS. OP. 2 757
11
Bewegter
——_—
fal
4 tg
J
pes ~ —_¢ —
e Te
Je - ner We hen die mich
I€
R.H
fh. L ‘en
EF WF
poco accel. L.H
RAI
5
it
=
T mn
bh
i an
i
Do Li
| T
ia
Bi \_F “<r LII =>
mw
tra R.H fe
7]
i f.. ae i
/ RAL
~ oi?
by
ett |
te L.H.
B. (REDUCTION)
|
n
ya
5
L o
25 5 fe
| ?——
2 _—- ~~. oO 2
d: i (CT Ger. 6th) dt?)

758 [CH. 42} AT THE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS, OP. 2
BA
11 ,
] ]
q
SS T
ats
_—=
fs Gg[up “I
|g
te HP
iP ie
Fr3/i
descending Sths
Schlafen, Schlafen, nichts als Schlafen! Sleeping, sleeping, nothing but sleeping!
aye i]
Kein Erwachen, keinen Traum! No awakening, no dream!

Jener Wehen, die mich trafen, Of those griefs that afflicted me,
Leisestes Erinnern kaum, Hardly the faintest memory,
das ich, wenn des Lebens Fiille So that, when the abundance of life
nieder klingt in meiner Rul’, Rings deep into my slumber,
nur noch tiefer mich verhtille, I cover myself still more deeply,
fester zu die Augen tu! Shut my eves more soundly.
While the bass continues its D pedal in measures 1-4, the melodic line
heard in the voice part ascends chromatically: A°-Bb-Bb; see the circled notes
in Example 42.la. Berg may have been inspired by a passage in the first act
of Wagner's Parsifal, where Kundry sings in the same low register “Schlafen,
schlafen, ich muss!” See measures 3-5 on page 63 of the Schirmer vocal
score, noting the similar harmonies and the rising A-Bb-Bb in measure 5 in
the bass. These pitches form a musical acronym based on the initial letters
of the names of the composer (Alban Berg) and Helene; in German, Bb is
called “B” and Bb is called “H.” The practice of basing compositions on mo-
tives derived from a person’s name was a time-honored procedure; several
fugues of J. S. Bach use subjects based on his own name (Bb, A, C, B or H).
In fact, the rising half-step vocal line in these opening measures emplovs all
but one of the B-A-C-H pitches in rearranged order; the piano supplies the
remaining pitch (C*) in measure 5. This practice of employing names or ini-
tials continued in Berg’s compositions. The motto theme that opens his
Chamber Concerto is based on the names of Schoenberg, Webern, and
Berg. Later, in his Lyric Suite for string quartet, Berg derived a four-note
motive from his own initials (A B) and those of his secret mistress, Hannah
Fuchs, A Bb Bb F.
A D*? (an augmented ninth chord on D with an added F¥ in the upper
voice) appears in measure 5. This chord will continue to function as a kind
of referential “tonic” throughout this song and the rest of the evcle. The
pitches F# C F4 that lie within it, bracketed in the right-hand piano part in
Example 42.1a, form a three-note non-tertian pitch collection or set called
a trichord. Since this pitch set does not form a tertian triad, we will assume
its bottom tone and refer to it as a (TT/P4)—that is, its intervallic struc-
ture, spelled from the bottom note upward, consists of a tritone plus a per-
fect 4th.” Even though the augmented 9th chord’s Fk resolves to E in the
measure 5, forming a major ninth chord, the F4 is continually stressed
throughout the song by its metric placement on strong beats. The aug-
mented 9th chord first heard in measure 5 now alternates with another
sonority of the same type transposed a half step higher to Eb (Eb G CE [Db]
F%); this second chord acts as a kind of neighboring harmony and implies a
French augmented 6th ( EbGA C$), whose A appears in one of the lower
voices, with an added F%. This latter chord also contains a (TT/P4) tri-
chord—G C§ Ff. If we relate both of these chords to the referential D
sonority, the first may be considered a kind of altered thirteenth chord
based on the dominant A, while the chord on Eb lies a half step above the
D. These two alternating augmented 9th chords curiously anticipate simi-
lar harmonic sonorities and relationships that appear in jazz pieces of the
1940s. In fact, such tritone substitutions (A-Fb) are a common occurrence
in the jazz of this period.
In measures 11-12, the bass moves through a series of perfect 5ths
(C¥-F#-B-E); see the circled notes in Example 42.la. Although the har-
monies they support do not have a clear tonal function, the passage cre-
ates an overall impression of a series of descending 5ths. Notice that the
upper notes of the vocal line at this point rearrange the previous A-Bb-B-
C to form the name B-A-C-H, which is immediately restated in sequence
a step higher in the first two notes of the vocal line in measures 13-14:
C-B-D-C# (Example 42.2). This reference mav represent Berg's wav of

implying that the earlier A-B-H motive is indeed linked to his name and
that of Helene.
Theorists classify this trichord sonority as a (0, 1. 6) set class. The system of classifving and
manipulating such recurring pitch collections in twentieth-century music, called set theory.
arranges the pitch classes so that they appear in their normal order—that is. so that the dis-
tarice between the ouier lois is as stall ay possible. aid Hie simallest of Mie ited i
iiike
vals occurs at the bottom of the set. These notes are then assigned numbers, which reter to
the intervals within the set. measured in half steps. In order to arrive at the normal order of
our particular trichord. we must first displace the F¥ an octave higher, forming C F FE. and
then invert the set around C Fe GC). so that the half step occurs at the bottom. Thus. the
numbers 0. 1. and 6 represent the first pitch (alwavs denoted as 0). the pitch one semitone
above ibid. aie! the pitch sik scamitones above the first (GS. The (0.1. 6) sect class easily
be transposed to anv other pitch level and therefore take on many musical forms.
760 [CH. 42) AT THE LIMITS OF TONALITY: ALBAN BERG'S FOUR SONGS, OP. 2
Example 42.2
“SCHLAFEN, SCHLAFEN” MM. 13-16
—=—_
a 13 Pp
wn = t th N
‘
Lhe 1 ; 7
a
—
] i |
tH
—
Lei - - - - se - stes Er - in - nem kaum,
N 4 L
|
4 ly
+H
HM
|e
Breit tl dv
15
dah ich, wenn des bens Fiil Ic
L4
=——_—_
—_=_O
bt
SE rl J
CHOSC.
zy
7
The music abandons anv sense of tonal reference or function in mea-

sures 13-20 (Example 42.2), where it consists largely of complex dissonant
harmonies derived by linear motion. The prevailing linear chromaticism in
the various voice parts contrasts with the sporadic 5th motion of the bass in
measures 13-14 (Eb-GH-C#) and 18-20 (A-D-G).
In measures 20-21 Berg resumes his original A-B-H motive in reverse
order and begins to weave it within the concluding section, which recapit-
ulates much of the opening material while freely reversing the musi-
cal presentation of its elements (Example 42.3). Two references to the
A-B-H motive, now heard as H-B-A. precede the return of the aug-
mented 9th chord on D in measure 24, now with F¥ in the bass. The origi-
nal D-A 5th melodically works its wav downward through the texture: see
the circled notes in measures 24—26 and the bracketed notes in the reduc-
tion. In the last four measures the A-B-II motive recurs, but again in re-
verse order (F-Bb, E-Bb, and F-A), enabling the song to conclude in its
original D minor.
Example 42.3
BERG: “SCHLAFEN, SCHLAFEN”
@ A. Mu. 21-30
21 pp dimin. e rit.
9
fh
7 CI
\
— a
a es |
nt t ! t
a
: ee
+ +
| |
;
"N77
ver - hill - le, fe - ster. die Au gen
_ mieno
p
~~
] ba il
tte
u oe. a4 C7]
Le"
t
3
eK
T
7 Leo
ome
—
Cc in
\
4
P > I
> \
av a ._ LM pP ——
Le —
A;
? = ad I
oe
—
t i i el
oO
aa
ST
i
ma
26
fh Ppp Tempo I
= T
= I
= T
= ]
a yo | | —
(on i € { |
t I t
e
|
tt
dimin,
——————————
—————__=
— y
—~—
\ —ta ue im
of
e SS
io. Hf
tal tab Ite te! mp

Lb Lb
a
a
1
fi
wn T
ae o- 5 a
762 [CH. 42] AT THE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS. OP. 2
f I = i |
fn
la
fs?
XV
t
I
—
|
I
HW
I
@)
= a
V7 —_,
oie \
I ]
“~aw
eT
Ly bh W J
vw |
4 tee\ bl
:
1111
a fa
: bots
5 pis
eleets
— — — “T
8vao
Ne)
B. (REDUCTION)
21 H B A
H B A f =
be
v4 b a. Cha 7
==
= lal baal haa
vw
—_# — —trs
a a= a
a
=
2= = to be = to be fe
oy:
7 an oe
oe
4
—# = # —
d I*
ial B A
26
x
i = — f t
:
|
Vv
s
5 eo oe
= s
eo ie vw
Ln
—
|
—
+): —§
= |
=
o Le—_|>
=
—#
—
=
te,
The second song, “Schlafend triégt man mich in mein Heimatland”

(“Sleeping Am Borne to Mv Homeland”), carries a kev signature of six
[
flats, suggesting the kev of Eb minor, a half-step or Neapolitan relationship

to the first song. This piece opens with a Vo‘ and concludes with an altered
tonic harmony (Vo'/iv), which leads into the Ab minor of the following song
(Examples 42.4a to c). The consistent use of the Vo’, the French augmented
6th sonoritv, gives a decided whole-tone character to the song.
AT THE LIMITS OF TON ALITY: ALBAN BERG'S FOUR SONGS. OP. 2 763
Example 42.4
BERG: “SCHLAFEND TRAGT MAN MICH”
A. M1-4
Langsam (Tempo T)
h {4 PP \
Ty
\
Ww
r
I Lh@w
t
IL
——_—_—
LT
—_—_—__>-
e |} fy T TO ee wn TL hey
Ty he [7
t "4 i i
Lai a | T
4 I
| |
Schla - fend f-
triigt man mich in mein mat - land.
gvd_ —
f joe, bh 4 a4
L
=: |
le. rani
be bo
il =I
L
al
————_,
=
mei b
(53?)
bh
5a:
tT
re ; al
Pr
?
ion +
“ttve t
e q
“Thoe wl
pp
~ Jee C>] it
he
7
tl
\a 1
Fim
<7
| l
bh oF
g
lk i
i
1
2. amet
I I ] |
Li Twl imal it |= aval
tf
b > wi ae |
Vos b
l i it l ] ] J
descending 5ths
B. wh. 4-8
a Tt |
ial
|
= i = ]
- T
v4
Ts" 7h boa
Ll cd
ry
a
x
|
| i
ii I
| i
bi I I I I
e
Vv if
I
land.
7
~
; ;
.
pag
ein wenig .
Ot on ) 1) >
af
bewegter
>
(Tempo
| |
TT
Ee
UC
L _!
LY
|
accel__— |
a
|
a
T
il 4 | sd
L.
T I
bh ia 104 al il [aes ri
[Th mer
a
7
| rae
|
sae
ws
hh Pid ny +
P|
= San
i)
a
a
p—~ ae —=—_
~_
o
Je
a ae
ri
—
it
etal
CH
l
PD
a 1
b
"1 T
Lib
Ui
Aa
hall |
: t
-| ay
—
ri 4 |
+
q
=—_—_— —=_—
L i it |
Ll 1 l J]
French 6th chord types

764 (CH. 42] ATT HE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS. OP. 2
C. mw. 15-18
a tempo (I)
i
[1
dimin.,
~ re.
;
PP T a
Ci fyb he on <
I A
in mein Hei - mat - land.
a
_bee =
J
Tt I I
b jm we A KT I
ti —|—
=?
:
>
tt
oe
[
| pore
—— (ie
=a
a
bate
Pp Ppp
ly
ns
4ha | | |
{
= ha
be be
ae
e Fi T
,
a = Bul bm Z
7 rn"
b-a
T T
ie b
lo 3
LL. i l |
]
descending 5ths
Schlafend triigt man mich in mein Heimatland. Sleeping, Iam borne to my homeland.
Ferne komny ich her, I come from far away.
iiber Gipfel, iiber Schliinde, Over peaks, over abysscs,
iiber ein dunkles Meer Over a dark sea,
in mein Heimatland. To my homeland.
The opening progression (Example 4? 4a) employs an extended succes-

sion of rising perfect 4ths or falling 5ths in the bass, labeled “descending
5ths” in the music, similar to those heard in the previous song—Bb-Eb- Ab
Db-Cb-E4. The chords above the bass constitute a series of French aug-
mented 6th sonorities (or Vo'’s) that continue into the middle of the song in
partial chromatic descent. Berg may have been thinking of the “Eternal
Sleep” motif in the final act of Wagner’s Die Walktire, when Wotan puts his
daughter Briinnhilde to sleep on the rock. In this passage the upper voice
descends chromatically using major triads, while the bass outlines a se-
quence by major 3rds. See measure 18, page 297, to measure 5, page 298, of
the Schirmer vocal score. The first and last sonorities of Example 42.4a con-
tain the same pitch classes, suggesting a return to the opening chord on the
word “homeland”; we may consider this progression as a prolongation of
the opening French augmented 6th, with voice exchange occurring between
the Bb and Fb (E§) in the outer voices, In this song, Berg seems to allude fre-
quently to the opening melodic motif of the Tristan Prelude (minor 6th up.
half step down), found in Example 38.1; these are bracketed in the piano
part in Example 42.4b. In measures 15-17 (Example 42.4c¢) the bass succes-
sion of descending 5ths is and extended before cadencing on the

final Eb dominant sonority (E
repeated
0').
The third song, “Nun ich der Riesen Stirksten iiberwand” (“Now I Have
Ovecome the Mightiest of Giants”), is quoted in its entirety in Example
42.5a. Its Ab minor tonality (notice the key signature) is heard most clearly
during the opening four measures of the vocal line, which is built on arpeg-
giations of that tonic triad. We will discuss the intrusion of the Fy in measure
2 later (see the reduction in Example 42.5b).
Example 42.5
() A. “NUN ICH DER REISEN STARKSTEN UBERVAND” FROM FOUR SONGS, Op. 2
Erst ziemlich bewegt, dann langsam.
f 14
S (riten.)
Vy Tih v Cc i AT | T I
if ] : w ri
J ]
bea
a T
Po I
IN
L
| ]
vr Lh
=
O LM
al fae + 1 |
Ty T va Ty }
e
|
be T
4 li T 4 Ls el
isl
Nunich der Rie - sen Stirk - sten ii - ber - wand,

IVA
L.
StS —=
n lt tard
“eee”
_ mich ausdem dun - kel-sten Land heim - fand____
.
ans ner wei-Ben

A
\F
14
bh T
ey
—_
H
= |
i 1
Lr
fey"
h
iF bh T
on. |
ri
a = L 1 1 |
¢ I =v te —_,. |
!
ie! 1
aS vy
v
lat 7
>
La Le Xv
e
=>
3 3 ddimin. molto ritard.

LL
e I
e | 4
h
|
i 7
A 4 i
4
|
LAA 5 I I i |
|
I
mamma |
sre]
bw
T | 1 1
go
/ Lo
oe SF.
ee —
nf =< => |, > oe
r
t
(TA) (bp “av
— a.
=
oo ot reatG
L _ oe J
ar a
44
“= oe {4
ot. rel
rt ypu Ox rea
ae
|e ——
v
(NOLLOACAY) "G
an ee
_|———~ ‘ssaudso du uaydurypar
an
ddd (d) (f)
‘Up Hb “<—_S <=
OOU
-
UOD-URE 0q JEpyos Wos- sre) oIp younp OY
A | Ly A J (@
i
io —= Ti PN
ae Jie a
—=dd —== Q———____ 6
UMP OYOU
‘s6a.tdsa
—~ <=
aiet AL
WJ Pd jal
ral Pd
es La
|
Hu
(-Jo200 090d)
Hd yu HY
h < < <
aa aa h _et = ot = at
la
= (@
io
ree
me oe — —S — vam
Pear
—=— _—
_>— == ——! eee tis HY CHT
= =
yor pun uoy JOT) OIp AOAYOS USP TRY “PURY-Way-IR
IY
m sd| (@
See 2S am
— vO MUDSDUD] dd
‘dO SONOS YIOd S. OYVAA NVA TV CALVIVNOL FO SLINIT AHL LY fer OHO] 991
AT THE LIMITS OF TONALITY: ALBAN BERG'S FOUR SONGS, OP. 2 767
A B H (C) A B H
6
p rb T 7
ta
fe T
= i
+
sua mint = — be ie
VT wot 7 oH A
iy
Ij
SF. iF
d Vv
i
/V Vv
i
i
| 9 A B 11
|
hel
|
Fr Want SS
re
LAN
i
be
oa Py t
—
—_______”™
Po |
oe.
ab: VI‘) (Gerd) \V
Nun ich der Riesen Stiirksten Now I have overcome the

iiberwand, mightiest of the giants,
mich aus dem dunkelsten Land Found my way home out of the
heimfand darkest land,
!
. .
an einer weiben Miirchenhand, Guided by a white fairy hand;
hallen schwer die Glocken: The bells resound heavily,
und ich wanke durch die Gassen And I stumble through the
schlafbefangen, streets. overcome with sleep.
|
This song recapitulates some of the elements heard in the opening piece
of the set. The (TT/P4) trichord is especially prominent. It first occurs as the
last three notes of the four-note motive in the piano part of measure | (the
|
bracketed Ab-C-G-Db), which probably alludes to the “giants” in the text by
its loud dynamics and octave doublings. Transposed versions of this motive
recur in measures 2, 3, 4, 8, and 9 again; see the bracketed passages in Ex-
|
ample 42.5a. In measures 1-3 the bass ascends chromatically (Db-D-Eb-E),

|
the last pitch acting as an enharmonic pivot (Fb/E in mm, 3—4) that moves to
V/V in D minor (m. 4). the original key of the opening song, but a tritone
|
removed from the present tonic of Ab minor. As the vocal part introduces
the svllable “-heim” (“homeward”) in measure 4, a descending 5th progres-
sion moves to D minor (W‘/V-V"-i) just as the upper voice reiterates our orig-
inal A-B-H motive. Notice that Helene’s Bk (H) occurs at the same moment
as her D minor harmony on the words “a white fairy hand.” The return of
768 [CH. 42] AT THE LIMITS OF TONALITY: ALBAN BERG’S FOUR SONGS, OP. 2
the repeating A-D melodic 5th (mm. 6-8) found in the first song indeed
brings us “home,” although here it may also depict the resounding bells
(“hallen ... die Glocken”). Another reiteration of the A-B-H motive in the
piano part (im. 8) leads to the C” positioned over and emphasized by first-
a
inversion C major chord in measure 9. The motion toward the final half ca-
dence on Eb, the dominant of Ab minor, repeats the progression found from
the end of measure 2 (Abd°) through the end of measure 3 (Fb). But rather
than moving to D minor, this second F b sonority now resolves by half step
via a German augmented 6th to the final Eb cadence chord.
The harmonies on the last half of measure (Ab Cb Eb F) and the last
3
beat of measure 5 (E G# B D) employ the same pitch classes found in the

opening progression of the Tristan Prelude, although the first sonority now
occurs in a different inversion and some enharmonic notation occurs (Exam-
ple 42.6). This reference to the “Tristan” chord is probably not coincidental,
as Berg had already inserted a similar allusion in the Piano Sonata, Op. 1
(mm. 90-101), and would later quote the entire Tristan passage in the last
movement of his Lyric Suite.
Example 42.6
A. WAGNER, TRISTAN UND ISOLDE B. Bera, “NUN ICH”
i
Fe
1
os
er? 4° eo rae
The three sonorities in this third song that evoke a sense are
of tonality
stressed by their placement within the piece—the Ab minor § at the begin-
ning (mm. 2-3), the D minor chordin the middle (m. 6), and the motion to
the E> chord in the final half cadence. The first two sonorities contain an
added 6th (F? and B’). Berg’s long-range tonal organization is demonstrated
by the fact that the roots of these three harmonies (Ab D Eb) form a re-
arrangement and transposition of the Fg C Fy (TT/P4) motive in the initial
song. In addition, the basic kevs of the first three songs outline a (TT/P4) tri-
chord with the same pitch classes—D Eb Ab.
The final song of the set, “Warm die Liifte” (“Warm Are the Breezes”). is
frankly atonal and contains few references to musical material heard in the
preceding pieces. As such, it represents the completion of Berg’s transition
AT THE LIMITS OF TONALITY: ALBAN BERG'S FOUR SONGS, OP. 2 769
to purely atonal writing. In measures 18-19, the first two pitches (Bb and A)
of the original A-B-H motive recur, coinciding with the word “Stirb!”
(“Die!”). The curious harmonic progression that follows summarizes the
semitone motion and root movement by 5ths found at the opening of the
second song with the (TT/P4) motive used now as a vertical chord (Ex-
ample 42.7a).
Example 42.7
BERG: “WARM DIE LUFTE”
A. MM. 19-25
kurzer Halt.
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770 [CH. 42] AT THE LIMITS OF TONALITY : ALBAN BERG’S FOUR SONGS, OP. 2
B. (REDUCTION)
T _ =
=
7
eo
e-} ] — :
be i
be
ae
13th Aug9 13th Aug9 13th Aug9
Warm die Liifte, es sprieBt Gras Warm are the breezes, grass
auf sonnigen Wiesen, flourishes on sunny meadows.
Horch! Horch, es flétet die Nachtigall. Hark! Hark! the nightingale is warbling.
Ich will singen: I want to sing:
Droben hoch im diistern Bergforst, High up in the gloomy mountain forest,
es schmilzt und glitzert kalter Schnee, Cold snow melts and glitters,
ein Miidchen in grauem Kleide A girl dressed in gray
lehnt an feuchtem Eichstamm, leans on a damp oak trunk
krank sind ihre zarten Wangen Sickly are her tender cheeks;
die grauen Augen fiebern durch Her gray eyes burn from between
Diisterriesenstimme. the great dark trunks.
“Er kommt noch nicht. Er lisst “He still hasn’t come. He leaves
mich warten .. .” me waiting...”
Stirb! Der Eine stirbt, daneben der Die! The one dies while the
Andre lebt: other lives:
Das macht die Welt so teifschén. That is what makes the world so
deeply beautiful.
As the bass moves upward by perfect 4ths (mm. 20-22), the (TT/P4)’s
progress downward by half steps. This passage sounds remarkably contem-
porary, the resulting harmonies representing an alternation of two standard
chords in modern jazz—an augmented 9th chord and an altered thirteenth
chord (see the reduction in Example 42.7b). The final sonority of the pro-
gression, an augmented 9th built on Bk, is prolonged to the end of the song.
This allusion to a kind of B major tonalitv may well refer to the concluding
“Liebestod” (“Love-death”) or Transfiguration from Wagner's Tristan und
Isolde, which ends in the same key. It is probably not coincidental that the
two notes added to the B major triad, Ak and D&, relate directly to Helene’s
kev, D minor.
There is, of course, much more to be discussed in these pieces. In this
brief analysis we have focused on the waning of traditional tonality within an
increasingly atonal environment. Indeed, the tonal relationships within

Berg’s Four Songs are often obscured by the surrounding linear texture and
complex dissonant sonorities. In his next work, the String Quartet, Op. 3,
Berg would finally abandon any remnants of tonality and begin writing in a
purely atonal idiom, a procedure being adopted simultaneously by his com-
patriots Arnold Schoenberg and Anton Webern. We can only muse over the
prophetic words that Schoenberg set in the soprano line added to the finale
of his Second String Quartet (1908): “I sense the air of other planets.”
atonality
trichord
(TT/P4) trichord
A P PEN #1]
Some Fundamentals
of Acoustics
The field of music acoustics embraces variety of subjects, including such di-
a
verse topics as tuning systems, room acoustics, sound reproduction, psycho-
acoustics, acoustical properties of musical instruments, and so forth. In this
appendix we will limit our discussion to an examination of the four basic
properties of a musical tone: (1) its frequency or pitch, (2) its intensity or
loudness, (3) its vibration form or timbre, and (4) its duration or length. In
each case we will distinguish between a musical tone’s physical properties,
listed first, and the subjective manner in which we perceive it, listed second.'
FREQUENCY AND PITCH

Sound originates in the vibration of elastic or flexible objects. Included in
this family of vibrating objects are stretched strings, blown reeds, vibrating
lips, drumheads, and even the molecules of air in a wind instrument. Regu-
lar or periodic vibrations produce a musical tone. You can see the graphic
1 Por other acoustical topics refer to John Backus, The Acoustical Poraudations
imaterialb on
of Afisic, Ond (New York WoW Norton. T9T7T and

edo
Campbell and Clive
Greated. The Musician's Guid te Acoustics (New Yotk Schinner Books, 1987° Neither
requires an extensive background in mathematics.
AO
FREQUENCY AND PITCH Al
Figure Al.1
A.
representation of such a tone on the screen of an oscilloscope, an electronic

instrument used to view and evaluate waveform patterns. Three of these
patterns are illustrated in Figure A1.1.
One complete to-and-fro motion, or vibration, of an elastic body is called
a cycle. The frequency of a tone is determined by the speed of its vibrations,
which is measured by the number of complete cycles per second (cps) or
simply Hertz (Hz). For instance, At, which vibrates 440 times per second,
has a frequency of 440 Hz. We perceive frequency as pitch—that is, the
“highness” or “lowness” of a tone. The greater the frequency or the faster
the rate of vibration, the higher the pitch; the lower the frequency or the
slower the rate of vibration, the lower the pitch. Frequency or pitch is indi-
cated on the horizontal axis of an oscilloscope screen. The frequency of the
tone in the second pattern of Figure Al.1 is greater and its pitch is higher
than that in the first, since the distance between the successive vibrations
peaks is less. Doubling the frequency of a given pitch produces a pitch an
octave higher; conversely, halving the frequency of a given pitch produces a
pitch an octave lower. Therefore the interval ratio between successive oc-
taves is 1:2; 1 represents the original note and 2 the higher octave. Thus fre-
quencies of 220, 440, and 880 represent the pitches A’, A‘, and A°’,
respectively. Since each additional octave doubles or halves this ratio, we
perceive pitch according to a logarithmic scale, or by powers of 2 98 9! 9
2? etc?
2. The logarithm of a number is the power to which 10 must be raised to obtain that number.
Thus, if 107 = 100, then log 100 = 2; if 10' = 10, then log 10 = 1, and so on, As a number
doubles or increases by a power of 2, its logarithm also doubles. For instance. log 2 = .301
and log 4 = .602. A logarithmic scale consists of the logarithms of each number in given
a
series for mistance. the logarithrue sedle from ETOP) to LO LO would consist ofa of
numbers from 0 to 1.
A2 [APP. 1] SOME FUNDAMENTALS OF ACOUSTICS
The frequency distribution of fixed pitches within an octave on a key-

board instrument, for example, is called a fag or temperament systent,
Equal temperament has been employed as the basic tuning system in West-
em music since about 1800. In this system, each of the twelve half steps in
the octave are of equal size. This equality permits the use of enharmonic
notation—F¥ and Gb represent the same pitch. An equal-tempered half step
may be expressed mathematically as 12V 2, or 1.0595, and occurs on a con-
tinuum, in which | is the lower note and 2 is the note an octave higher.
Therefore, if we increase the length of tubing in a woodwind or brass instru-
ment, or the length of a string on a stringed instrument, by 5.95 percent, or
from 1 to 1.0595, we lower the pitch by one tempered half step.
INTENSITY AND LOUDNESS

The energy or amplitude created by the displacement of vibrating objects
carries through air to reach our ears. Amplitude is expressed as a measure-
ment of intensity compared to absolute silence and is represented on the
vertical axis of an oscilloscope screen. The intensity of the first pattern in
Figure A1.1 is greater than the second, since the extremities of its vibrations
are higher and lower on the vertical axis. In order to avoid extremely large or
small ratios, intensity is measured on a logarithmic scale of decibels (dB). In-
tensity may range from the background noise of a quiet room, about 30 dB,
to the threshold of pain, about 120 dB. Since each additional increment of
10 dB represents a tenfold rise in intensity, this decibel range involves an in-
crease of about 10°, or one billion times.
Our ear is more sensitive to the frequencies of the top notes of the
piano, about 4000 Hz, than to those of its lowest octaves, below 100 Hz.
Therefore, in softer passages the bass must be boosted either electronically
or acoustically to achieve a better balance.
Another unit acousticians use to measure relative loudness is the sone.
Each sone is equivalent to an increase of 10 dB at the frequency of 1000 Hz.
Based on an average of numerous individual responses, two sones sound twice
as loud as one sone, and four sones sound twice as loud as two sones, and so
on, Assuming that each violinist played the note B”, approximately 1000 Hz,
with the same intensity, it would take ten violins to sound twice as loud as one
instrument, because in order to be twice as loud to double the sones, there
must be an increase of 10 dB. In order to have an increase of 10 dB, the inten-
sity mist increase ten times. which means that ten violins are necessary
Because musical dynamics are so subjective, we employ the approximate
Italian terms piano and forte and the prefix mezzo- and suffix -issimo to dis-
tinguish relative loudness in music. Thus mezzo-piano indicates “moderately
VIBRATIONS FORM AND TIMBRE A3
soft,” while pianissimo indicates “very soft.” Crescendo and diminuendo de-
note a gradual rise and fall in loudness.
VIBRATIONS FORM AND TIMBRE

The tone quality or timbre of a musical tone is dependent on its phvsical vi-
bration form or characteristic waveshape. A pure or sine tone, the simplest
waveform, sounds quite uninteresting to our ears. The sound used by doc-
tors to check a patient’s hearing is a sine tone Tts characteristic wave pattern
is shown in the first two diagrams of Figure Al.1. Pure tones are rare in
most musical situations; we sometimes hear them in the tones of a tuning
fork, the low register of a flute, or the highest notes sung by a soprano. Most
instruments produce what we call complex tones, whose waveforms are more
2b
complicated. A typical example is given in the final diagram of Figure Al.1.
The diverse pattern produced by a complex tone results from the interaction
of a series of simultaneously sounding pitches, of which we actually perceive
only the lowest. This pitch, called the fundamental or first partial, is overlaid
with aseries overtones or harmonies Although we do not hear these over-
tones as distinct or separate tones, they are physically present and serve to
color the sound of the fundamental. The relative strengths or intensities of
the various harmonics add a distinctive sound or timbre to the fundamental
tone. For instance, the particular combination of differing harmonic
strengths in a tone such as A* produced on an oboe, violin, or trumpet allows
= us to distinguish one instrument from other. If we turn the treble knob on a
stereo amplifier to the left, the upper harmonics of each tone in the music
being played are gradually attenuated and finally eliminated by means of a
filtering svstem, changing their timbres by causing them to lose their
“brightness.”
This blending of natural overtones on acoustical instruments (except for
some percussion instruments) is caused by the predictabilitv of a series of
numbers that form numerical ratios between the various harmonics, num-
bers that theoretically extend to infinitv. The successive interval ratios of
these numbeis are arithmetic—1 :2:3:4:5:6:7:8, and so forth. That is. the
interval ratio between the first two harmonics (the first harmonic is the fun-
damental) is 1:2, and that between the next two harmonics is 2:3. The in-
terval ratio may be calculated bv dividing the frequency of a higher tone by
the frequency of a lower tone. For instance, At = 440 divided by A’ = 220
equals the interval ratio 1:2 or an octave. If we take C° as the fundamental
or first harmonic, this harmonic series produces the pitches shown in Exam-
ple Al.1. Only the first sixteen harmonics are given. Thus the ratio of a per-
_ fect 5th (C°-G? ) is 2:3, and that of a major 6th (G°-E") is 3:5.
A4 [APP. 1] SOME FUNDAMENTALS OF ACOUSTICS
Example AL.1
—¥
6 10 il 12 13 14 15 16
etc.
fundamental
The harmonic series not only affects the timbre of each musical tone but
also lies at the basis of our Western theoretical and tuning systems. For in-
stance, if we consider the ratio of each harmonic to the fundamental, or the
ratio of one harmonic to another, we can identify most of the diatonic inter-
vals that are familiar to us—1:2 = an octave, 2:3 = a perfect Sth, 3:4 =a
perfect 4th, 4:5
= a major 3rd, 5:6 = a minor 3rd, and so on. Each of these
ratios represents a pure harmonic interval, expressed in its simplest possible
relation. Music theorists of the medieval and Renaissance periods based
their distinction between the so-called “perfect and imperfect” consonances
on these numeric ratios. The ratios for the perfect octave and perfect 5th are
based on the indivisible and therefore simpler numbers 1:2:3. The ratios
for the imperfect intervals incorporate the more complex, mostly divisible
numbers 4:3:6:5. We can produce the harmonic series as separate tones on
certain musical instruments—on flute or trombone by overblowing, on a
a
violin by natural harmonics, and on an organ by mixture stops. On a piano.

press a key which would be a harmonic down silently and strike a fundamen-
tal note loudly below it; vou will hear the harmonic ringing. Or lightly touch
a piano string at a point that divides it either into halves, thirds, fourths, ete.
and then strike the key of that string; the harmonic will sound.
Attempts to produce a workable musical scale and tuning svstem using
the natural tones of the harmonic series have proven unsuccessful, since its
intervals produce two different sizes of melodic major 2nds—8 :9 (C-D) and
9:10 (D-E). In addition, in this so-called just tuning svstem the perfect 5th
D up to A is not a pure 2:3 ratio. As a result, Western musicians eventually
devised the svstem of equal temperament, in which the distances or ratios
between major 2nds and all other intervals remain constant. The tones of
the harmonic series are indicated with black note-heads in Example 1.1
seem severely out of tune in relation to our equal-tempered scale. Now have
DURATION AND LENGTH A5
some of your fellow students demonstrate the harmonic series on their in-
struments. Which tones sound in tune and which ones out of tune?
DURATION AND LENGTH
The duration of tones used in music is fairly short. Even a whole note in
slow tempo will rarely last longer than four seconds. There is, however, an
aural limit to a tone’s brevity. If tones occur at a rate faster than twenty per
second, the human ear can no longer keep them distinct one from the other.
The notes will then fuse together, giving us the sensation of a single sus-
tained tone or a sliding glissando between two tones.
On an oscilloscope, most musical tones exhibit a characteristic shape
consisting of intensity or loudness and duration that is called an envelope. An
envelope normally consists of an initial attack followed by a steady state or
sustained sound, and concludes with its eventual decay or release. The en-
velopes of a typical piano tone and clarinet tone, given in Figure A1.2,
a
show that a sound sharply expands in intensity just after the initial attack and
usually takes much longer to decay. The difference between these two en-
velopes results from the fact that a piano tone cannot sustain itself once the
key has been struck, while it is possible to sustain a clarinet tone.
Figure Al.2
Piano Clarinet
t f
attack decay attack sustained decay
A EN 2
The Diatonic Church

Modes and Other Scales
In this appendix we will briefly examine some scalar formations other than
the usual major and minor collections that occasionally appear in the music
of common-practice period. These include the seven church modes as well
as the five-toned pentatonic, Gypsy minor, whole-tone, and octatonic scales.
THE ECCLESIASTICAL OR CHURCH MODES

Within each octave span of a diatonic white-key scale, there are five whole
steps and two half steps. These intervals are indicated in Example A2.1,
using the symbols ~~ for whole steps (major 2nds) and -~\, for half steps
(minor 2nds). Any stepwise seven-tone scale, whether diatonic or other-
wise, will exhibit the same number of whole and half steps, although their
DE F G ABC
arrangement within the octave may varv: in the scale C
or C major scale, the whole steps are grouped 2 + 3, while in the scale C
D EDF G ABC or C melodic minor scale, the whole steps are grouped
1 + 4, You may wish to confirm this
by experimenting at the kevboard.
Example A2.1
a
\~
—
al Pl im
de Lae TW
=
im
“
|
t
Ba Z t =
o at
4 Zz —o- Ht
oe Co wa
Lp 2 — 3 ——_ eee
A6
THE ECCLESIASTICAL OR CHURCH MODES AT
In the white-key diatonic scale notice that the whole steps are always
grouped into patterns of 3 + 2 (F-G-A-B and C-D-E), which are separated
by half steps (E-F and B-C). Within this white-key diatonic collection we may
assign the role of tonic to each of the seven different tones, and then build a
white-key diatonic scale above each one. The resulting seven scales or modes
are related by their common 3 + 2 whole-step construction, as shown by the
numbers below the staff in Example A2.1. These scales form the basis of the
diatonic Church modes. Modal scales were known and employed by musi-
cians of great antiquity. The early Babylonians and Greeks derived some of
the names for the modes from geographical areas in the ancient world—
Lydia, Phrygia, lonia, and so forth. Despite some confusion in terminology,
these modes formed the pitch basis of early Western monophony, such as
liturgical chant and secular monody, and went on to provide the foundation
of polyphonic music well into the Renaissance period.
Example A2.2 illustrates the seven authentic modes, each of which be-
gins and ends with its finalis, the note that functions as a tonic.
Example A2.2
natural pitch-classes G as a common tonic
M+ #4
Q
Lydian
¥ Z Z
rel So
re cE
Er
o—}* oS
4
ry)
M
A ba Q
Tonian av
<<
= a
Fe
(major) ¥
fsa
po SS
eee ee”
aq
7
nd Pa [8]
A
M + b7
a
Mixolvdian - 4 2
ZL.
e@ SS Q
=>a ~~ oOo
ab aed
a 4e
be
@ aoe”
A
“ __» m+ #6
Le
“
D orlan —# Pa qc) ©e a} +
Te ao ~~ he. <>». Ty
m
‘Aeolian
O.
Vd ay ran
= ll
Z
ban
T Pane 0
aE
a
bad
TaN (@] ball <> a}
(natural minor)
W72 WA eo
m +52
a
fa)
_ i
ae
ap ©}
Fd
r= rst =~
Cs =
.
Phrygian Z Z
L>
IJ
é.
m+ 52.65
f) Qa
> tI yo"
—
|
.
Locrian hes So 5
eS oe
= oT
re!
A8 [APP. 2] THE DIATONIC CHURCH MODES AND OTHER SCALES
The first column in Example A2.2 shows the scale of each mode, begin-
ning and ending with its finalis. The brackets on the left indicate that these
seven modes may be grouped into three pairs of inversionally related
modes—that is, the succession of whole and half steps between the Lydian
and Locrian, the Ionian and Phrygian, and the Mixolydian and Aeolian
modes is exactly mirrored or reversed. These pairings form a symmetrical
grouping around the central Dorian mode, which you may notice is an exact
mirror of itself. Since the presence of a tritone as its 5th scale degree made it
difficult to establish a sense of tonic, the Locrian was never accorded equal
status with the other modes.
Although these modes normally employ an empty key signature of no
sharps or flats, akin to C major or C Ionian, they may be transposed to
other pitch levels. To transpose any mode up perfect 4th, simply write
a
the key signature of that major key (one flat for F major, up from C) and
build the modal scales on the same successive scale degrees—Dorian on 2
(G ), Phrygian on 3 (A(A), Lydian on 4 (Bb)), Mixolydian on 5 (C), and Aeolian
on 6 (D).
Another method of viewing the modes is shown in the second column
of Example A2.2. Here each mode is compared to an already familiar
major or natural minor scale. common tonic of G is retained through-
A
out. The first three modes are basically major modes since they contain
a major 3rd above their tonic or finalis. While the Ionian corresponds
to our G major, two of the major modes differ from major by one charac-
teristic tone or altered scale degree: for Lydian it is 44 (C#) and for
Mixolydian it is b7(Fk). The remaining modes have a minor 3rd above
their tonic or finalis. While the Aeolian corresponds to our G natural
minor, again two of them differ by one tone; the Dorian’s characteristic
tone is 46 (Ek) and the Phrygian’s characteristic tone is b2 (Ab). The
Locrian has two altered tones: (Ab) and b5 (Db). Recognizing the char-
b2
acteristic tones of each mode is especially helpful in identifying modal

melodies.
The best examples of modal melodies that exhibit a strong sense of tonic
are found in the folk music of certain countries—particularly England and
the Balkan and Slavic nations. Liturgical chant, by contrast, may sound odd
to the modem ear. Because of the construction of chant melodies, the last
tone or finalis does not always convey the impression of a real tonic. One
must remember that the theory of modal classification was imposed on an al-
ready existing literature of chant.
Interest in the modes has occasionally resurfaced in various periods of
music history—during the Impressionistic era in the music of Debussy and
Ravel, for example, and even today in many jazz and rock pieces. Some ex-
amples of pure modal melodic writing appear in Example A2.3.
OTHER SCALES AQ
Example A2.3
A. Musorcsky: A NIGHT ON BALD MOUNTAIN — PHRYGIAN ON A
82
B. “ORIENTIS PARTIBUS” (MEDIEVAL CONDUCTUS ) — MIXOLYDIAN ON G
} +
oO
a. fad ra
ff # eo ft ff 5 Q o
al
a
ia
a
{ | | 1
if |
af i
CO
JT LT al L 2 I
if
2 it
]
~
I | | I |
a
| | I
‘
it if
iA7 1 ] T l
= ys T
]
|
i
] | i I
T L I
if |
I
I
ul
|
]
Le | bi
2 a 2
2-2
YA i
,
I
___2. T
I
‘a
ry
»v
x
T_T
I
I
i=
eo
i [
it
I I
|
T
|
DD.
mv
|
|
I
al |
1
li
I
rn
~
AS
TC
T_4
77 =
]
il
ii
f
o
if
|
I
Ty
ly
la
ii
C. “SCARBOROUGH FAIR” (ENGLISH FOLK SONG) — DORIAN ON D

{ i | | i
I 4 t ]
Tif
T
if IN if
1 T
iT it
T
Th an i I | i
ry I i [
@fe
|
]
O
a I I T
]
|
I
|
i
mail we T
]
“e. [v7] rJ . .a
I
Ge
l |
T
1
T if
1
i
haat if
——
fh
Vz
|
i
|
J JI
|
jl
L i
| |
T Tj
rn" T } I 4 4 |
if 4
Bi
|
J |
|
=al a = T
i
it ii
|
1
|
|
JjL i
i
|
1
if
rd
T T
il
ri
T
I
T
I
ny
—
| ul
H
| ai | |
it
I i ] gw
T
T T ad ry
OTHER SCALES
The Pentatonic Scale
Another scale sometimes found in common-practice music is the familiar

pentatonic or five-tone scale, shown in Example A2.4 using the notes A-C-
D-E-G. Pentatonic scales that employ only the natural pitch classes may also
be constructed with the notes D-F-G-A-C and E-G-A-B-D. This scale may
be considered a five-note subset of the diatonic seven-tone scale. Perhaps
humanity’s primal tonal collection, it can be found in various civilizations
throughout the world. Its absence of tonal tension is not surprising, since it
lacks both a tritone and a minor 2nd, two intervals that usually require reso-
lution. The pentatonic scale has five possible modes, which are labeled in
AlO [APP. 2] THE DIATONIC CHURCH MODES AND OTHER SCALES
Example A2.4 with the numeric designations used by most authorities on

folk music.
Example A2.4
IL. IV, v.
SS ¢ —
ry) So
LL
—
—___}
ue eo
L }
—H
most common least common
This ancient scalar form recurs throughout the entire span of music
history. Two excerpts employing different pentatonic modes are shown in
Example A2.5.
Example A2.5
A. “AULD LANG SYNE” (TRADITIONAL SCOTTISH TUNE)
SATAN GONNA TEAR YOUR KINC (AFRICAN AMERIC AN CHURCH
SSeS] - ee
i
The Gypsy Minor Scale
Several scales appear sporadically within tonal music rather than providing
the basis for entire compositions. The so-called Gypsy minor scale is one
such instance. It is characterized by the substitution of 44 for 4
in the har-
monic minor scale, and thus contains a conspicuous pair of melodic aug-
mented 2nds b3-$4 and b6- 47)). It most commonly occurs in the folk music of
Israel, Moorish Spain, and the Balkan countries. Liszt and Brahms em-
OTHER SCALES All
ployed this scale in several of their Hungarian Rhapsodies and Dances,

| probably intending to imitate Gypsy music rather than authentic Hungarian
|
folk songs (Example A2.6).
i
Example A2.6
@ Liszt: HUNGARIAN Ruapsopy No. 13 IN A MINOR
3
0 '5 =
ro] 1
v4
Tey fui
Zz IN
jmy
2
YL
T T |
hull Y ml l
SS
NSE fo
om
i CIE
g g
Ce“) ey IN Lt a
a
i
V4 tA L
9, +f —+} t
A2 A2
The Whole-Tone Scale
The two extracted scales shown in Examples A2.7 and A2.9 occur commonly
in twentieth-century music and may be encountered occasionally in the
|
music of the late Romantic period. Both are symmetrical collections that di-
|
vide the octave into a specific number of equal segments. The first, known as
|
the whole-tone scale, consists exclusively of whole steps, therebv partitioning
the octave into six major 2nds. Since it lacks both a perfect 4th and 5th,
|
music based on this collection is tonally ambiguous; in fact, since everything

is equal, any one of the six tones can serve as the tonic.
Example A2.7
AAg
on C
q
LEA
on Db
i ;
1 a had
3]
NV Oe”
There whole-tone scales, one hased on C (Fxample A427 and

are two
the other based on Db or CE (Example A2.8b). Whole-tone scales based on
any other notes will consist of notes identical to those of the C or Db scale.
Mozart amusingly emplovs this scale in his satirical Musical Joke to parody a
violinist who has lost his wav in the higher positions during a cadenza
Al2 [APP. 2] THE DIATONIC CHURCH MODES AND OTHER SCALES
(Example A2.8a). The Debussy passage in Example A2.8b centers around an

altered dominant seventh chord (Vo'), which eventually resolves to F¥
minor. A similar prolongation of an altered dominant seventh occurs in the
introduction to Ray Charles’s “You Are the Sunshine of My Life,” where
harmonic major thirds traverse a complete whole-tone scale over a support-
ing V+
Example A2.8
A. Mozart: A Musica JOKE, K.522. III
Sl
_
ba
Mm. te p
DEBUSSY E NING IN GRANADA. FRON ES AMI
23
—
=
| |
tt eh
=
=:
im 1 t
# mt
;
fae
ts mel -@
+
ro Le 2)
+——s— : Ere
ra <¢ a
f
+= ———
fR: (Vo‘)
teh Lee t
+ | ——
if
= _- iv 4
es a
=
;
— o
+
>
———<—<—_——
e 5
a er
NE
Fe eS =
The Octatonic Scale

The octatonic scale alternates half steps with whole steps. This synthetic col-
lection results from the division of the octave into two different successions
of minor 3rds or diminished seventh chords, one starting on C and the other
starting on D (Example A2.9).
OTHER SCALES Al3
Example A2.9
m3 m3
m3
‘
fh. m3 id
1
fr.
Tre_* Jee fi
NY, _
NY he
e NY m3
m3
m3
This scale can be transposed only a half step or a whole step higher,
since any other transposition, such as a minor 3rd, will map back into one of
the three original forms, duplicating their pitch classes. The succession of
major-minor sevenths which rise by successive minor 3rds is accompanied
by the ascending octatonic scale in the Rimsky-Korsakov excerpt (Example
A2.10).
Example A2.10
fe
@) Rimsky-Korsakov: Sapko, Act IL
|
My
“As.
at
at
Ny
i
Wa
ke
+
aks
Qt
We
Sent
4
Ty
tH
ler
nH
i
|
i
I
A P PEN DIX 8
An Introduction to
Species Counterpoint
Whereas the study of harmony focuses on the vertical or chordal aspects of

music, the study of counterpoint directs our attention to the combination
and interaction of different independent melodic lines. The contrapuntal
duet between the soprano and bass in the voice-leading reductions and
melody harmonizations of this text are two examples of counterpoint. Al-
though contrapuntal writing was an optional texture in the basically homo-
phonic music of the Classical and Romantic periods, it was the prevailing
texture in other eras of music history, such as the Renaissance (the fifteen
and sixteenth centuries) and the middle and late Baroque (the late seven-
teenth and early eighteenth centuries).
Certain methods of teaching counterpoint, such as starting with two-
voice examples in first species or note-against-note style, may appear very
abstract at first, and you may well ask, “What does all this have to do with
real music?” Throughout this text we have emphasized the importance of
good melodic writing in the soprano and bass voices and how their lines in-
teract. The surface elaborations of these outer parts often tend to disguise
their underlying voice leading, which we can uncover through successive re-
ductive analyses. As the layers of elaboration are stripped away from these
parts, the passage’s underlying contrapuntal foundation is revealed, which in
many instances consists of nothing more than a simple note-against-note re-
lationship. We will see that these underlying frameworks follow many of the
principles of species counterpoint.
Al4
AN INTRODUCTION TO SPECIES COUNTERPOINT Al5
In this brief appendix, we begin with the note-against-note framework of
the soprano and bass and successively elaborate this duet, ultimately pro-
ducing a texture that resembles the actual surface of a real piece of music.
We will achieve this goal by means of the so-called species technique, a di-
dactic method advocated by the eighteenth-century composer and theorist
Johann Joseph Fux, whose treatise Gradus ad Parnassum (1725) attempted
to systematize the teaching of counterpoint.’ Although based on the musical
practice of Palestrina, a Renaissance composer who had lived nearly 150
years earlier, Fux’s treatise formed the foundation for contrapuntal instruc-
tion during the Classical period and continues to be used today.”
Fun began his Gradus by adding a melodic tine or what is called a comer
poll lo a pre-eristing melody that consisted of pitches of equal duration, called
the cantas firmus, abbreviated CF in the following musical examples. THe de-
vised five species, cach ofwhich represents a different rhy thie model and han-
dling of consonance and dissonance for the counterpointing voice or voices.
Since Fux’s method simulated the modally oriented musical practices of the late
Renaissance. we will incorporate the following adjustments in order to bring it
more into line with our study of tonal music in the common-practice period.
1. In place of the Church modes of the Renaissance, we will use the

standard major and minor modes.
2. All examples will begin and end in the same key, either C major or C
minor, and conclude with an authentic cadence. Other cadences, such
as the half, deceptive, and Phrvgian cadences, though theoretically
possible, are seldom encountered in species writing.

3. In place of the traditional whole-note notation of the cantus firmus,
which may be traced back to Renaissance practice, we will use the fa-
miliar meter signature |of
and occasionally § and notate the cantus
firmus in quarter notes, each of which receives one beat.
4. We will regard the harmonic intervals between the two voices as imply-
ing or representing incomplete triads in root position or first inversion.
In many instances the succession of intervals will suggest functional
chord progressions. The handling of rhvthm and consonance and disso-
nance will continue to adhere to Fuy’s original principles.
You will find some cantus firmi near the end of the Workbook to use as
the basis for composing counterpointing lines in various two-voice species.
1. Although a similar svstem was already in use. Fux is given the credit for perfecting it. A
translation of the two-voice portion of Gradus mav be found in The Study of Counterpoint.
revised edition. thas Vfred Maui New York WOW Norton 1963. 27 67
2
For fustanee see RKamd Jeppeser’s Coriterpoint New York Proution Hall 1939 rep
New York: Dover, 1992).
Al6 [APP. 3] AN INTRODUCTION TO SPECIES COUNTERPOINT
MELODIC CHARACTERISTICS
Before beginning our study of two-part contrapuntal writing, we will first ex-
amine some characteristics of good melodic writing, as exemplified in the
counterpointing voice.
1, The counterpoint should exhibit a definite sense of melodic direction,

a feeling of going somewhere, rather than appearing static or leaping
about aimlessly with no apparent destination. The range of this voice
should lie approximately within the span of an octave.
Stepwise motion should prevail. Melodic leaps of 3rds, perfect 4ths
and 5ths, and ascending 6ths are common, but descending 6ths, 7ths
of any kind, and augmented and diminished melodic intervals, includ-
ing the tritone, are prohibited. Passages in which the counterpoint
highlights an augmented 4th within its melodic contour (for instance,
G-F-G-A-B-A) are also avoided. Melodic lines usually employ only
the diatonic tones of C major or C minor; chromatic motion is nonex-
istent.
. After a leap of a 4th or more, the melody usually changes its direction.
However, two consecutive leaps that outline a major or minor triad
may appear.
FIRST SPECIES
First species employs a 1:1 rhythmic ratio between the cantus firmus and its
accompanying counterpoint. It is also referred to as note-against-note style.
In fact, the term “counterpoint” derives from the Latin expression punctum
contra punctum, the “punctum” being a type of note in the medieval period.
The following comments characterize the use of harmonic intervals in
first species.
1, Only consonant intervals are allowed; these include unisons, octaves,

perfect Sths, and diatonic 3rds and 6ths, plus their compound equiva-
lents. Consequently, all dissonant intervals are forbidden—2nds, 7ths,
perfect 4ths, and all augmented or diminished intervals, including the
tritone.
Each phrase must begin with a unison, octave, perfect 5th, or a 3rd or
bo
10th, any of which imply a tonic triad. The final interval of the ca-
dence must be either an octave or unison on the tonic note. These
opening and closing intervals are shown in Example A3.1.
FIRST SPECIES AI7
Example A3.1 ra
2 ar: -
|
iHt
fsnY
NY
I | T {
in
a: P|
e ha oe
4 Je\*
—~
o
i
«©
l
i=
t
ole
H
I \_ I
if
l
t
I
T
I
T
I
i"
beginning intervals final intervals
3. Perfect intervals, especially unisons and octaves, are generally re-

served for the opening or closing cadence of the phrase. Imperfect
consonances (3rds and 6ths) are characteristically employed within
the phrase.
4 . The distance between the two voices, which may be said to represent
the soprano and bass, rarely exceeds a 12th. On occasion the parts
may momentarily cross each other.
The last set of observations pertains to the intervallic motion between

the voices.
\, A good mixture of contrary motion, in which the voices move in oppo-

site directions, oblique motion, in which one part holds while the
other moves, and similar motion, in which both move in the same di-
rection, ensures a sense of melodic independence between the parts.
Similar stepwise motion should not exceed three consecutive pitches.
Parallel motion between perfect consonances—the unison, octave,
bo
and perfect 5th—is avoided, as is similar or direct motion into a per-

fect consonance; see Example A3.2. However, direct motion from a
5th to an octave is allowed at the cadence.
Example A3.2 parallel direct
——
i
al
=
]
|
i=
|
-——
|
=
=
Oa)
ut
Ot
oO
ea)
Ot
—
1
'
t
3. While all types of motion between 3rds and 6ths are permissible, both
voices normally do not leap in the same direction to one of these
intervals.
Al18 LAPP. 3] AN INTRODUCTION TO SPECIES COUNTERPOINT
All the cadences in this appendix conclude on the tonic note, with either
an octave or a unison. If the cantus firmus is in the upper voice, usually pro-
ceeding 2-1 or 7- 8, the bass normally leaps from 5 to 1, implying a perfect
authentic cadence (V-I), as shown in Example A3.3a. If the cantus firmus is
in the lower voice (2- 1 or 7- 8), the soprano must move stepwise to the tonic
also, as shown in Example A3.3b. This stepwise motion in the bass implies
an imperfect cadence, either vii°°-I or V°-I.
Example A3.3
A. B.
OK
A oN oN A_} oN a
WZ e- 7) 1 ;
ra ht hoe 22 ial (om
+ |
+
= = F—4
t
ro
+
H
7) T
i
t
Lt
ZZ o- za za
Cc ov I V I V 1) ce: (vii%® yo i)
Three passages of first-species counterpoint appear in Example A3.4.

Examine the consonant harmonic intervals, the positioning of perfect and
imperfect consonances in the phrase, the individual melodic characteristics
of each part, and the intervallic motion between the voices. An interval
analysis is provided below each example, and abbreviations are used for con-
trary (C), oblique (O), and similar (S) motion. The interval of the octave in
the second measure of Example 3.4c represents passing motion in a voice
exchange; it is approached and left by contrary motion and occurs on a weak
beat.
Example A3.4
A.
oO
p. to + =
zz
CF t
C SI C SI C SI O S
:
it
o —
_.
a.
| #
it
i
_|
_—__—_#
Hi it if Ce
l
{ 4
f
8 3 3 6 3 6 6 5 §
SECOND SPECIES Al9
B.
p= = +
t
= =
ie S SI C SI C CI S C
a
5 _—ea.
|
op T
a. all J
=
|
CF
5 3 3 6 6 3 6 6 8
C.
6—+—a 7 t T + r
a
C SI C SI C C
es. @ |
[a i [vl
CF
3 6 8
SECOND SPECIES
The four remaining species may be considered melodic and rhythmic elabo-
rations or diminutions of the underlying note-against-note style. Second
species employs rhythmic motion of two equal eighth notes in the counter-
point for each quarter note in the cantus firmus, resulting in a 2:1 ratio. The
rules for first species remain in effect but with the following exception: Dis-
sonant passing notes are now permissible on offbeat eighth notes (Example
A3.5a). It is not always possible to incorporate continuous passing motion,
consonant or dissonant, in the counterpointing voice. In such cases, 5-6 or
6-5 motion (Example A3.5b) or a leap to a consonant tone (Example A3.5c)
may be used to maintain the flow of eighth notes: no accented passing tones
on the beat are permitted. The added eighth notes in the counterpoint
should not produce parallel perfect Sths or octaves with the cantus firmus
(Example A3.5d).
A20 LAPP. 3] AN INTRODUCTION TO SPECIES COUNTERPOINT
Example A3.5
A B.
| | |
xxl
t——} oe
6 6 6 6 6 5 3
avoid
el
SS
| | A | |
TT]
a}
3 6 6 3 6 FS) fs)
Study the two passages of second-species writing in Example A3.6, in

which the passing tones are circled. In each phrase the soprano and bass
notes on the first half of each beat provide an underlying first-species
basis.
Example A3.6
)
S
|
dll
all
oH
P P
i
qt
rs
(9 6) P
>
= a.
ld
I
2 —___
u
t + £ i f2
pO
|
CF
I
|
B.
hf |DJ, ro) }
L. hh T
ful
ri al
| I i it
7 FZ,
3 aI
i
~
I
P|
i T
e
{
LS hall | T
CF al oe Ld Ld Ld oOo
P P P
t
*
A.
Le
-
=.
| I i I a ee
if
i T
aa
_
V
L
— mn it
THIRD SPECIES A21
THIRD SPECIES
In third species the counterpoint employs either a 4:1 rhythmic ratio to the
cantus, in which four sixteenth notes are set against each quarter note, as in |
meter, or a 3:1 ratio, in which three eighth notes are set against each dotted
quarter note, as in meter. In addition to unaccented passing tones, disso-
nant neighboring tones are now allowed. In 4:1 settings, these unaccented
dissonances appear on the second or fourth sixteenth notes of each beat; in
3:1 settings they may occur on the second or third eighth note. In all cases,
however, the note on the beat must be consonant. Leaps to consonant tones
are found in third species, just as in second species. Examine the passages of
third-species writing in Example A3.7; these may be considered further elab-
orations of second species.
Example A3.7
A.
Bak
i
BL)
e)
»
P P P N fe
4.
P
oe
N | Pp
\
|
aan
aly
|
ia 1
1 I
{
im if
f— +
N P I
N P
eo
>
ZY
2D
Ball
t
| _oe T
=
I
ii!
{
IZIIIZZD
|
es
eVv [@ J i= Ball O
o- H
T
Go
I
CF rT
T
N \
— eo
e
i J
|
I
T
A
tT
2
dwell
i” a @
i
yi J i
fie
T I | 1 i I
f
I
TT I
ae
T I I i T { | i
ae
|
Tt it
A22 ~~ [APP. 3] AN INTRODUCTION TO SPECIES COUNTERPOINT
Other dissonant embellishing figures may occur in third species. These id-
ioms include the accented passing tone (Ap) in descending form only, which
may occur on the third sixteenth note of each beat, and the changing tone or
double incomplete neighbor; the latter contains four notes (Example 43.8).
Example A3.8
changing
P P AP N P tone AP
et —— —_—
==
—
ae ee —————
|
al CN +E — oe
4 _—
+
fe fe
—
t
CF
FOURTH SPECIES
In fourth species, eighth notes are tied over from the offbeat to the beat,
producing a continuous stream of rhythmic syncopations. The featured dis-
sonance here is the suspension, which is always prepared with a consonant
interval. The suspension occurs on the beat and resolves downward by step
on the following offbeat, delaying the of a 3rd, 6th, or 10th. The
consonance
rhythm in the counterpointing voice is ae
When it is not possible to
continue these tied-over figures throughout the entire phrase, one usually
resorts momentarily to second species.
When the counterpointing voice is above the cantus firmus, both 7-6 and
4-3 suspensions are employed (Examples A3.9a and b). The 9-8 suspension
is avoided, since in two-voice writing it resolves to an empty octave (Exam-
ple A3.9c). In the 4-3 suspension, the perfect 4th is usually preferred to an
augmented 4th (Example A3.9d).
Example A3.9
A. B. C. avoid
avoid
SS
4
4 Ad
If the counterpointing voice is below the cantus firmus, it can utilize only
one
suspension,
the 2-3 or 9-10 (Example A3.10a). As a result, some second-
FIFTH SPECIES A23
species writing is usually necessary to link the suspensions. Tied figures with
6-5 or 5-6 are also possible (Example A3.10b).
Example A3.10
A.
1(
Additional examples of fourth-species writing may be found in Example

A3.l1l.
Example A3.11
+)
eit
CF
)
a i if
9 10 9 10 7 39 3
FIFTH SPECIES
The rhythmic restrictions of the first four species are now removed in fifth
species; the counterpointing voice may employ all the melodic and rhythmic
figurations of the previous species in various combinations. In addition, or-
namented suspensions, using pairs of thirtv-second notes, or consonant an-
ticipations in sixteenth notes can occur, as shown in Example A3.12.
A24 [APP. 3] AN INTRODUCTION TO SPECIES COUNTERPOINT
Example A3.12 ———

QA |
a
Phrases from two well-known hymn tunes serve as the cantus firmi in
Example A3.13. At the end of the first measure of Example A3.13b, the F¥
in the bass produces a harmonic tritone with the C in the soprano. This can
be rationalized as an implied V8.
Example A3.13
A. “EIN’ FESTE BuRG,” LAST PHRASE
pty eS a
—
CN
Pe
P S N N P P Ss
al ge i
e @
—-o—
@
al r
i {
l i
|
CF
|
B. Louis BOURGEOIS: “OLD ONE HUNDRED,” LAST PHRASE

44 _ | |
ON
2 =
CF
N P N P P P
e
— —]
G I (vi ii® vs 1
©
vo I
Species technique can involve more than two voices, in which case the
counterpointing voices may employ either a single species or a combination
of different species. Example A3.14 illustrates a three-voice passage that
combines third and fourth species; the cantus is in the middle voice.
Example A3.14
= arts ae = ==:
cr Cc {— t
UNDERLYING SPECIES TECHNIQUE IN TWO-VOICE PASSAGES A225
| al Cd.
——————————
rN
K>
==
UNDERLYING SPECIES TECHNIQUE IN TWO-VOICE PASSAGES
Reducing the surface elaborations in most two-voice passages from the

common-practice period reveals underlying voice leading that can be related
directly back to species counterpoint. The reduction on the bottom staves of
Example A3.15 resembles a mixture of first and second species.
|
Example A3.15
(f) BEETHOVEN: PIANO SONATA IN F MINOR, Op. 2, No. 1, TRIO
4
|
AA SES
_{~—_—_t_-__f
_—! 1 | |
{
iz
{
| a
a ri
|
an
I
i i
> —
oA eo
°
| a -. i” _ oe
| #&
—_| = = Y I
Z
pe
h yy
>
x
| wae
|
T
|
,
l
_ I I r | al
T
___ | ——
T
1 i 1 i]
1 i ' '
i
1 1 I t
fh |
I i
=
Lv As
bh i
4
T i
a
.
t
4
I
Zh
Po)
|
-_
Ia
]
fis
i
P Pon)
i
= |
= +
Examples of cantus firmus technique, in which a preexisting melody

serves as the foundational voice, occur frequently in cantus firmus Masses of
the Renaissance and chorale preludes of the Baroque period.
A P xX 4
Chord Symbols for Jazz

and Commercial Music
Jazz and commercial music is often notated on a score called a leadsheet, which
simply gives the melody and a shorthand notation that symbolizes the accom-
panying chordal harmony. These chord symbols, usually written directly above
the melody notes, provide a quick and convenient way of identifying the roots
and chord d types of the harmonies to be played.’ However, they do not indicate
the chords’ harmonic function and often omit the inversions of the chords.
The commercial symbols for triads, seventh chords, extended tertian
chords, such as ninths and elevenths, and added-note chords are given below.
For the sake of comparison, all the chords use a common root of E. The rea-
son for using E rather than C as the root is that the spelling of some complex
chords is simpler and does not employ double accidentals.
TRIADS
1. A major triad uses only a capital letter for the root; the major-chord
quality is assumed (E
= E major, or E Gé B).
1. These chord symbols should not be confused with guitar tablature. which may also appear
above the melody. This tablature shows vou where to place your fingers on the strings to
produce the desired chord.
A26
SEVENTH CHORDS A2Q7
2. A minor triad uses the capital letter for the root and
is followed by a
minus sign to denote that it is minor (E— = E minor, or E G B). The
older system of indicating minor triads with a capital letter for the
root and a lowercase “m” (Em) is still in use today.
3. A diminished triad uses a capital letter for the root, followed by the
°
superscript (E°
= E diminished, or E G Bb).
4, An augmented triad uses a capital letter for the root, followed by the
(E* = E augmented, or E G# Bg).
*
superscript
Root position is always assumed. Ifa first or second inversion is required,

the note to be played in the bass is indicated after a slash: thus G/B indicates
the first inversion of a G major triad, and F—/C indicates the second inver-
sion of an F minor triad. A 4-3 suspension is often written in the form D™™.
These symbols are summarized in Example A4.1.
Example A4.1
chord type: M m dim Aug
fh
Hx- —_ +{—~
e $8
Lm 2 4
ese — T
chord symbol: E E- E° E* E/G# psusd

or En
SEVENTH CHORDS
The following are the standard symbols for the five basic types of seventh
chords.
1. Major-major seventh chord or M7th

= E*' (E Gt B Dé). One also
finds EM“.
2. Major-minor seventh chord or Mm7th
= E' (E G# B D). These
chords normally function as dominant sevenths.
3. Minor seventh chord or m7th = Em‘ (E G B D). Here it is probably
better to use the lowercase “m” for minor to avoid any confusion as to
whether the minus sign (—) modifies the triad or the seventh, al-
though one may still see E-‘.
4. Half-diminished seventh chord or 27th = E®’ (E G Bb D). One may
occasionally find this chord notated as a minor triad with an added 6th
(Em*"®),
5. Fully diminished seventh chord or °7th = E*' (E G Bb Db).
A28 [APP. 4] CHORD SYMBOLS FOR JAZZ AND COMMERCIAL MUSIC
Inversions of seventh chords are also symbolized by a slash followed by

the note to be played in the bass—Em‘/G, E‘/B, E?'/D, and so on. In some
cases, the seventh chord may occur over a bass note that does not belong to
that harmony, such as Em‘/A or E°’/A. Example A4.2 summarizes the above
discussion.
Example A4.2
half- fully
chord type: MM Mm mm diminished diminished
chord symbol: pa’ E‘ Em‘ BE? Eo! Em‘/A E‘/A

O
EXTENDED TERTIAN CHORDS
Ninth Chords
There are only four common types of ninth chords. The tritones in the first
two chords listed below give them a particularly dominant sound. Chords 3
and 4 contain no tritones and tend to function as either tonic or pre-dominant
harmonies. The full chord terminology is given first (M = major and m =
minor); the first letter denotes the triad, the second the type of seventh, and
the third the type of ninth. Notice that if the symbol “9” appears by itself, it is
a major ninth; if it is preceded by a minor sign, it is a minor ninth.
MmMo9th chord = E° (E G# B D F#)

Mmm9th chord = E~° (E GE B D Fh)
MMM¢9th chord = E®™” (E G# B Dé F#)
mmM9&th chord = Em? (EG BD F #)
The so-called augmented ninth chord actually contains a “split third’—

that is, both a major and minor 3rd appear above the root. It is less common
than the preceding four.
5. MmA9th chord = E** (E GiB D Fx or Go)
These chords normally occur in root position. If an inversion is required,

the slash method is emploved. Example A4.3 provides a summary of the pre-
ceding discussion.
EXTENDED TERTIAN CHORDS A29
Example A4.3
chord type: MmM Mim \IMM mmM MImaA
fh 4
= Lh = LHR
__ fA |
fatal
a ny
festene Hie—tttone
a {# tH ttene H
“Sy A al I
# I
ZI
I
rd
Tt
chord symbol: K EY post) Em? Et?
Eleventh Chords
The 11th of extended tertian chords may be either perfect or augmented. In
the first two chords listed below and in Example A4.4, the underlying sonority
is some form of a dominant ninth chord, either a V”, usually with the 3rd omit-
ted, ora V” chord. The augmented 11th is normally added to the V” chord.
1. MmMm I Ith chord = E'' (E [G#]B D F# A); the 3rd is omitted.

2, MmmM 11th chord = E!!~” (E [G$]B D F§ A); the 3rd is omitted.
3. MmMM IIth chord = E*!! (E GiB D F} Ag): here the 3rd is usually
retained.
A non-dominant eleventh chord is usually built on a mmM9th chord.
4. MmMP 11th chord = Em! (E G GBD F# A); again the 3rd is retained.
Example A4.4
p
Ugy Lob THe meen
Hy Hy a8
ey: thaw re)

eo eo eo eo
EI Et! Em?!
Thirteenth Chords
As noted in the text, thirteenth chords are rarely complete: they generally
omit one or more chord members. Thev mav be thought of as incomplete
ninths or elevenths with an added 6th (Example A4.5). There are four main
types.
1. MmmMm 11th chord with

A a major 13th = E' (E B D FE A C with
Ge omitted)
A30 [APP. 4] CHORD SYMBOLS FOR JAZZ AND COMMERCIAL MUSIC
2. AMmm 9th chord with a major 13th = EPO?! (RB Gt B D F C#)

3. A Mmm 9th chord with a minor 13th = (E Gi B D F Cd) E>!”
4. AmmMnm 11th chord with a major 13th = Em'° (E G B D FRA C#)
The first three usually function as some sort of dominant harmony; the
last is normally restricted to a pre-dominant function, built on the super-
tonic root (ii!”),
Example A4.5
ay} a} toy
m4
oF im “I } ar © 3
©
|
sm 8) To ipl
a a im
~= bE tras
:
@
Oo
ae
1» >
<r
o Oo
<—
Oo o
E 13 EI13(-9) 7-13(-9)
Em)?3
Added-Note Chords
Notes that are added to tertian chords, usually triads, in commercial music
and jazz are indicated in the following way:
1. Adding a major 6th to a major triad = E*""° (E G$ B CH)

2. Adding a major 6th and a major 9th to a major triad = E“""? (E GE B
CH F#)
Example A4.6 fh
7 m
u ima
q
th Oo
he
= ul
e)
T t
and 9}
Fiadd6) pindd6
he
A P N
Conducting Patterns
Most conductors keep the beat by tracing certain standardized patterns

with their right hands. These patterns indicate the number of beats in a
measure as well as exactly when each beat must be played. The conducting
pattern used for a particular piece is dependent on the interpretation of its
meter signature, a topic discussed in Chapters 2 and 18. Music students
should become so familiar with these various conducting patterns that
using them becomes an unconscious reflex. One way of achieving this fa-
cility is to practice patterns while doing other things, such as reading a
book and unconsciously conducting a pattern with your right hand. You
have not achieved success until you no longer have to think about where
your hand has to go.
A downward motion indicates the downbeat or first beat of measure,
a
while an upward motion indicates the upbeat or last beat. The ictus, or
exact point where each beat occurs, must be apparent in each pattern. One
way of marking each ictus is to think of an invisible surface, such as a table,
from which each beat motion rebounds. Thus the point of the beat always
occurs along an imaginary horizontal line at the bottom of the pattern, as
shown by the dotted lines in the first three meter patterns that are illus-
trated below.
A3l
A382 ~~ [APP. 5] CONDUCTING PATTERNS
DUPLE METER: MODERATE TEMPO SIMPLE METERS

SUCH AS 7, 5, OR COMPOUND METERS SUCH AS 2, 9, OR 7),
Each measure of duple meter consists of a basic downward and upward mo-
tion, corresponding to the two beats of the measure. Notice that each larger
motion contains two smaller curved movements, each of which rebounds off
our hypothetical surface to mark the ictus of each beat. Contrast the correct
duple-meter pattern in Figure A5.1a with a simple mechanical down-up mo-
tion in Figure A5.1b.
Figure A5.1 A. B.
ctus
ctus
Ne < table
1 (avoid)
TRIPLE METER: MODERATE TEMPO SIMPLE METERS

SUCH AS 2,
S?
7,
4? 2
>
OR COMPOUND METERS SUCH AS 2
AND 16
In triple meter, after the downbeat motion the second beat is indicated by a
sideways motion to the right, while the third beat, the upbeat, is still an up-
ward motion. Notice that the ictus of each beat remains at the bottom of the
pattern (Figure A5.2).
Figure A5.2
ictus
NAGS
ictus
table >
ctus
QUADRUPLE METER: MODERATE TEMPO SIMPLE METERS

12
SUCHE AS |
OR COMPOUND METERS SUCH AS '2 AND
In quadruple meter, the second beat is marked on the Jeff, and the third
beat by a corresponding motion to the right (Figure A5.3).
QUINTUPLE METER: MODERATE TEMPO SIMPLE METERS SUCH AS°> A338
Figure A5.3
aN
2 1 3
SINGLE METER: VERY FAST TEMPO COMPOUND METERS

SUCH AS 2
OR |
Since there is only one beat to a measure of single meter, the conducting
pattern consists of a single quick downward motion with a very rapid re-
bound (Figure A5.4). In some waltzes or scherzi, the conductor indicates the
phrase groupings by tracing a quadruple pattern, in which each beat corre-
sponds to one full measure, and there are four beat measures in each phrase
group.
Figure A5.4
QUINTUPLE METER: MODERATE TEMPO SIMPLE METERS SUCH AS >
Each measure of five beats may be divided into groupings of 2 + 3 or 3 + 2,

depending on the music. An additional motion on the left or right side will
indicate the extra fifth beat (Figure A5.5).
Figure A5.5 A. B.
3 21 4 5 1 2 3 4
slow § slow 3
A34 [APP. 5] CONDUCTING PATTERNS
SEXTUPLE METER OR DIVIDED BEAT: VERY SLOW TEMPO METERS

SUCH AS ° OR 3
In a very slow 8 the beat is divided. The conducting pattern begins with
three beats at the center and left, and is followed by three beats on the right,
producing a 3 + 3 grouping (Figure A5.6a). In a very slow =, when the beat
is divided, each of the three main beats of triple meter is in turn divided into
two smaller motions, producing a 2 + 2 + 2 grouping (Figure A5.6b).
This principle is extended to other divided-beat meters such as very slow
2),2(3 +343) or9(84+34+3 43).
Figure A5.6 A. B.
3 2 1 4 21 3 4
(3 + 2) (2 + 3)
COMPLEX METERS SUCH AS A FAST TEMPO 2

OR
In a fast 3, the conducting pattern indicates two basic beats as in duple

meter, but one of the beats must be prolonged slightly. If the basic beat-
division grouping is 3 + 2, long-short, the first beat is prolonged (Figure
A5.7a); if it is + 3, short-long, then the second beat is prolonged (Figure
2
A5.7b).
Other complex meters employ this same principle; for instance, a fast “is
conducted in three basic beats, depending on the beat-division grouping—
38424+2,24+342,0r2
+243.
Figure A5.7 A. B.
+— pause
+— pause
(3 + 2) (2 + 3)
fast 58
A P P EN 6
Transposing Instruments
There are two kinds of instruaments—concert instruments, which produce

the same pitch as the note written in a concert musical score or individual
part, and transposing instruments, which produce a pitch different from the
note written in a concert score or individual part. We will list the former
group first, indicating their practical range in concert pitch in parentheses.
Then we will categorize the latter group according to the interval of their
transposition, and discuss the relationship between their written note and
concert pitch. The practical range of most orchestral instruments is also in-
cluded; these are written in concert pitch.
CONCERT INSTRUMENTS
Excluding the obvious keyboard instruments, the following concert instru-

ments use the treble clef: violin (G° to G® ), oboe (Bb? to F° ), and flute (C*
to A°). The viola (C° to A° ) is written in the alto clef. although its upper reg-
ister occasionally uses the treble clef.
The following concert instruments use the bass clef: cello (C° to A*).
bassoon (Bb! to A"), trombone (E° to G'. although the F or E attachment
on many horns today lowers this range), and tuba (C! to C*). The first three
may occasionally use the tenor clef in their upper registers.
A35
A36 [APP. 6] TRANSPOSING INSTRUMENTS
Although the piccolo (D’ to A‘) and double bass (E! to G’) are concert
instruments, they sound an octave higher or lower than their written pitch.
The piccolo plays a written D', but it sounds an octave higher or D°’. The
double bass does the reverse when it plays an E>, it sounds an octave lower
or El: this also holds true for the contrabassoon (Bb to C°),
TRANSPOSING INSTRUMENTS
Transposing instruments are classified according to the pitch they sound or

produce when they play a written C. If they sound a Bb, then they are “Bb in-
struments,” if Eb, then “Eb instruments,” and so on. Most transposing instru-
ments sound Jower than their written pitch. These remarks are summarized
in Example A6.1.
1. Soprano Bb instruments: When these instruments play a written C',

the actual sound is a Bb? a whole tone lower: therefore, their parts
must be written a whole tone higher than concert pitch. Included are
the Bb clarinet (D® to F°), Bb trumpet (E° to Bb), and B soprano
saxophone (Ab to D®): refer to Example A6.1a. Bass Bb instruments,
such as the Bb bass clarinet (D? to C*) and Bb tenor saxophone (Ab?
to D’) transpose in a similar manner, except they sound a whole tone
and an octave Jower than their written pitch. Therefore, their parts
must be written a major 9th higher (Example A6.1b).
. F instruments: When these instruments play a written Ct, the actual
sound is an F?, a perfect 5th lower; therefore, their parts must be
written a perfect 5th higher than concert pitch. Examples of such in-
struments include the French horn (f° to D°) and the English horn
(E° to F’): see Example A6. 1c.
_ Eb instruments: When these instruments plav a written Ct. the actual
sound is an Eb’ a major sixth lower; therefore, their parts must be
written a major sixth higher than concert pitch. The most common ex-
amples are the Eb alto saxophone (Db? to F°) and the Eb baritone
saxophone (D> to F*); refer to Example A6.1d. The small E> clar-
inet (G’ to F°) is an exception, since it sounds a minor 3rd higher
than its written pitch. Therefore, its part must be written a minor 3rd
lower than concert pitch (Example A6. le).
. The A clarinet (CR to E°) sounds an A? when it plavs Ct. so that its
part must be written a minor 3rd higher than concert pitch (Example
AG.1f).
CLASSICAL BRASS INSTRUMENTS. CROOKS, AND TRANSPOSITIONS A37
Example A6.1
A. B. C. D. E. F.
oOo
written e
Iyitch eo —
Oo
fh
concert 4
pitch ee 2 a r=. oe oe oa
Bb clar, Bb tenor F horn, Eb alto sax Eb bary sax ES clar. A clar.
trumpet, Sax, English
Sop. Sax bass clar. horn
One reason for instrumental transposition is the convenience of the

player. For instance, if a saxophonist had to switch between an alto and a
tenor sax, and both parts were written in concert pitch, then he or she
would have to use a different fingering for each instrument. As it is, the
plaver uses the same fingering and lets the transposition take care of the
difference in pitch. Thus a clarinetist can use the same fingering on anv
size clarinet, even though the various clarinets sound at different pitch
levels.
CLASSICAL BRASS INSTRUMENTS, CROOKS, AND TRANSPOSITIONS
During the Baroque and Classical eras, horns and trumpets were limited to
the notes of the harmonic series! that thev could produce with their lips
alone, since valves or pistons were not invented until the earlv-nineteenth
century. These instruments were fitted with crooks or tubing of different
lengths that allowed the player to change their fundamental and the result-
me overtone series Por instance. if a tripe
player Was phavineg Movzart’s
“Prague” Svmphony in D Major, he would use a D crook. In a minor mode
composition, horns were usually crooked in the relative major key, as it af-
forded usable notes in the her scheme Tors with crooks ahvays
sounded lower than the written pitch; for example, in Havdn’s “Surprise”
Symphony in G Major, the G crook would sound a perfect 4th lower, so that
the part would be written a perfect 4th higher. The most common crooks
were pitched in C.D, Fb. E, F. G, A. and Bb. as shown in Example A6.2.
Havdn called for an unusual F$ crook in the Minuet of his “Farewell” Svm-
phony No. 45 in FR Minor.
1. See Appendix 1.
A38 (APP. 6] TRANSPOSING INSTRUMENTS
Example A6.2
Horns A C D Eb E4 F G A Bb
crooked in: Bea a ;
written 4e — oa oO co a bo
nd
o
ft
mvi
concert
ANS
e oo 2 res oe oe -o res oe
ANSWERS
TO REVIEW SELF-QUIZZES
Chapter 1
1. (Matching letter to number)

1. Dissonance e. Unstable, wants to resolve
2. Diatonic intervals f. Perfect, major, minor
3. Interval inversion b. Involves octave displacement
4. Enharmonic c. Notated several different ways
5. Compound interval a. Greater than an octave
6. Tritone d. Six half steps
2.4. B. C. D. E. G.
A A $a 4 ?2 0
H { to} **
we ; ao rel we 4
e) fs e foo
1}
3) M6 P5 M7 ml0 M2 Ad
2, 3 8 7 10 16 2 G)
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m7 d5
4. C DM) C D C (C) D
3.
fa)
AZ i
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= 2— fo —H
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i ————— tw T I ” Aaj
Pp4 M2 m7 M3 d5
Chapter 2
1. (Matching letter to number)
1. Quadruple meter c. Four beats to a measure
2. Beat division d. Simple or compound
3, 9/8 h. Compound triple meter
4. Accelerando a. Gradually speed up the beat
5. Dotted note g. Gets the beat in compound meter
6. Tempo b. The rate of speed of the beat
7. Allegro i. Fast tempo
8. Meter e. Groupings of beats into regular units
9. € j. alla breve
10. Downbeat f. First stressed beat of the measure
A39
A40 ANSWERS TO REVIEW SELF-QUIZZES
2. simple/ no. of beats

compound beat value in bar
Allegro
6
8 C I J I
2
Moderato 3 S J 3
9 C 3
Allegretto I A I
Andante
=.
> R
4 C 4
.
3 S 3
Adagietto §
Moderato” @ S I J I
4
3.
A. B.
~
i 3
vd t 7 |
= |
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er
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t
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0
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|
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Chapter 3
1.
Bb major F minor G# minor G major Db major C# minor

; f\ 4
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submediant supertonic
C. NATURAL MINOR D, ASCENDING MELODIC MINOR
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E- A D#/FR E-/G C F D- E E/G A- D/FR G E- F#/Af B E
Chapter 5
1. (Match letter to number)
1. Imitation b. A type of contrapuntal texture
2. Close structure a. Less than an octave between soprano and tenor
3. Homophonic texture f. Chordal/melody-accompaniment
4, Usual doubling in root position e. The bass voice
5. Diminished fifth d. Implies 6/5 of Mm7th chord
6. Usual doubling in first inversion c. The soprano voice
2.
A.
omnes —
| |
a
t
—— ry t it]
e) Go
Pree== C.
B.
i °
:
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Hes? = =
e ~ |
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a eo
4
y “el , |
wm
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=. ——
TA an
94
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yy
if
{
ea
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i
a I
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baal
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chordal or homorhythmic monophonic
D. E.
reat
—
o TY,
|
contrapuntal melody and accompaniment
f)
7Ae h | \
en
|
i |
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if
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i J |
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imitation (contrapuntal)
va {ay ]
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a4
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chord/inv. F- FR-/A Eb b- G-/Bb | C#°/E C4- Bb*/D Ab/E}

structure C O/O O C C O C C O
doubling bass sop. bass bass bass sop. bass bass bass
i a,
6
Chapter 6
1.
2nd
A4th
n h
2.
Ae
|
> ]
6 ry J i
~ fe ne >
es
|
o.
bh y,
a Ls a
r
similar Sths . direct 5th
3.
4
\
| | l |
LY a <2 =_nN
=
P| im@N a I ]
=
I
v4 u
fe
Li hall —— wile
[ fan’ =. 2. a8
e
i
hae oe
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l
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.
o——
Gl), ry
i i
+2)
|
AJ
a
Oy
7
JL.
i
Ws .
MS's contrary 5ths
4, ;
tripled
let
incomplete root .
d ading
ith chord notat ad aun caine
1¢
no third inversion cadence spacing
va > ) =
ra
t
q} Ce
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1 {
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av nd ay
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f
Ny,
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i)
6
ry
Na, 6 PY
Chapter 7

1. Escape tone d. Approached by step, resolved by leap
2. Suspension go,
a Is prepared by the same note of origin
3. Appoggiatura a. An accented dissonance that resolves stepwise
4. Neighbor f. Returns to the first pitch
5. Passing tone b. Usually fills the span of a 3rd
6. Anticipation c. Premature entry of next note
7. Compound melody e. A single melody that implies two lines
2.
(consonant)
P x‘ S AP “AP IN
fr 1 —) —) L\ —PS ANN
Lal
j A
++ +
Y_ Cd
—
ne”
ror F
ya : 7
dnd
a.
dn i il o
|
P
P
3.
P A IN (esc ipe} Acc App
Chapter 8
1. Match the number to the letter:
A. dominant 5. tends to progress to tonic
B. sequence 3. restatement on different scale degree
C. scale degree on which chordal root is built 6. Roman numeral
D. vii? 2. diminished triad
E. vi-ii-V-I I. 5th evcle
F. pre-dominant triads 7. IV and ii
G. root movement 4, interval between chordal roots
2.
\
1
a4
5 |
in
}
Pol Ca
|
di
a
rat
e
ow Tie Da Ca. ad aad fa
faw’
KY
bia 1B von
I Tw”
i
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I
fa. iH
e
| T
ul if +
a ¢ a= #
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t
rom
H
[on
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t "
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Dp: 1 ii” viio® = I hee \

T PD D T D T PD D
mr"
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b: VI iv
6
i
6 6 06
PD D T PD Dp
Chapter 9
1.
A.
i
Tite
TNO
BOGS
wg
===
|
rr
a
os
\
ee
~~
Olin
>
4
==
THA
or
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PA H
C,
a
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abs==|e
rTTO]
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ns
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Ky
OR
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bt
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IN
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TRIO
iis Al
is
[ep 8
SELF-QUIZZES
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mazes
aA
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THIOL
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ANSWERS TO REVIEW
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Chapter 10
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1. Overlap of cadence/beginning g. Elision
2. Parallel period d. AA'
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4. A A'— Cadence b. Sentence form
5. Melodic inversion h. Upside down
6. Deleting material e. Truncated phrase
7. Strophic form c. Different words/same music
8. AB
j. Binary form
9. Thematic transformation a. Pitch motive
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2. resolution doubled
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5. suspension not prepared
6. resolution doubled
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3.
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vi G Bb D = Bb BD Fe=D EGB=G DFA=F

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VI Gb Bb Db = Bb AbC Eb=C D Fe A = Ft
in minor minor minor minor minor
ii EG B=C BD FR=G G Bb D= Eb D F A=Bb

in major major major major major
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in minor minor minor minor minor
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1. Syncopation C. z oa
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3. Compound single meter J. Vivace 3
4, Hemiola Bg d
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1. A.
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vi in Ab major = ii in Eb major (F Ab C)
I in D major = IV in A major (D F# A)
B.
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i in B minor = viin D major (B D F#)
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Chapter 24
1. Incipient ternary form D. Rounded two-reprise form
2. Refrain x. Alwavs set in tonic
3. Preceding the retin of original material I. Retransition
+. Passacaglia C. Chaconne
5. Tonic cadence at end of first reprise J. Sectional two-reprise form
6. “B” episode is transposed back to tonic A. Seven-part rondo
7. Pavan B. Galliard
8. A succession of dance movements F. Suite
9. AA'BA' E. Quatrain form
10. Form H. Organization of musical content
Chapter 26
1. Enharmonic duality e. 56
2. Chromatic melodic motion h. augmented prime
3. Lowered altered notes ds tend to resolve dow wvward hy half step
4, Vr a. augmented triad
5. Musica ficta j. accidentals inserted by performers
6. Structural chromaticism b. chromatic key relations
7. “Chroma” i. color
8. iv in C major g. denotes chord quality is changed
9) Decorative chromaticiset f claboration of hasie diatonic framework
10. blILin C major c. denotes root is altered
Chapter 27
1.
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Chapter 28
1.
RN D major Ab major F major B major
iv G Bb D D> Fb Ab Bb Db F E GB
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bVI Bb D F Fb Ab Cb Db F Ab G BD
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Chapter 31
1. Six Ways of rearranging the voices b. triple counterpoint
2. Stretto e. temporal distance shortened
3. Monothematic sonata form k. second theme group uses first heme
4. Opens with imitation on the hymn tune h. Vorimitation chorale prelude
5. Often lacks a true development g. sonatina form
6. Transition d. modulatory passage connecting sections
7. Alternations of tutti and solo i. concerto form
S. Double fugue f. based on two subjects
9. Beethoven often used as a second a. coda
development
10. Exact imitation throughout c. canon
11. Sonata-rondo form j. development substituted for middle
section
Chapter 32
1.
A. B. Cc. D.
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G L O Ss S A R Y
The terms in this glossary appear in tempo, dynamic, and expression markings and directions that
are commonly given in Italian, French, and German in music scores. Terms in italic within a defin-
ition are cross-referenced in this glossary.
accelerando (accel.) (It.) Gradually quick- Anfang (Ger.) The beginning.

ening the tempo. animato (I¢.) In an animated style.
accent Emphasis on a specific tone, beat, or acro (It.) Using the bow (on a stringed
chord; usually through dynamic (accent instrument).
mark >) or quantitative stress (agogic or du- arpeggio (It.) The playing of a chord in bro-
rational accent). ken fashion, usually from the bottom note up.
adagio (It.) Slow; faster than lento but attacea (It.) Begin (“attack”) immediately.
slower than andante.
affettuoso ([t.) With affection. battuta (/t.) Beat (as in a battuta, “beat in
agitato (It.) In an agitated manner. strict tempo”).
agréments (Fr. ) Ornaments, embellishments. breve A double whole note.
allargando (It.) Becoming gradually slower.
allegretto (It. ) Slightly slower than allegro. calma (It.) Calm.
allegro (/t.) Fast, but slower than presto. cantabile (Jt.) In a singing or lyrical manner.
allmihlich (Ger.) Gradually. cédez (Fr.) Slightly decreasing the tempo.
andante (It.) Moderately slow (literally, coda (/t.) An additional appendage (or “tail-
“walking”). piece”) to a composition following the main
andantino (It. ) Slightly faster than andante. tonic cadence.
A87
A8§ GLOSSARY
con brio (It.) With spirit. forzando (fz) (It.) Sharply marked or
corda (/t.) String (on stringed instrument).
a
emphasized.
crescendo (crese.) (It.) Gradually increas- frei (Ger.) Freely, with license.
ing in loudness. fiir (Ger.) For.
da capo (D.C.) (/t.) Return to the beginning

ganz (Ger.) The whole, all.
(literally, “from the head”). gegen (Ger.) Against, contrasted with.
Da capo al segno (If.) Return to the begin- giocoso (It.) Playfully, merrily.
ning and play until the sign (literally, “from giusto (It.) Strict, exact (as in tempo giusto,
the head to the sign”). “strict time”).
decrescendo (It.) Decreasing in loudness.
gleich (Ger.) Equal to, alike.
détaché (Fr.) With long separate bow-
gran (/t.) Great.
strokes, not slurred. grave (It.) As slow as possible.
deux (Fr.) Two.
gross (Ger.) Large, great.
diminuendo (dim.) (It.) Gradually decreas-
ing in loudness. halb (Ger.) Half.
divisi (It.) Divided (indicates the temporary
division of an orchestral string section into
Haupt (Ger.) Head, principal (as in Haupt-
stimme, “principal voice or part”).
two or more parts).
haut (Fr.) High, shrill.
dolore (It.) In a sorrowful style.
doppel (Ger.) Double. To play on (an instrument).
dringend (Ger.) Slig htly hurrying. jouer de (Fr.)
drei (Ger.) Three.
due (/t.) Two (as in a due, “both instru- Klang (Ger.) Sound; ringing.
ments play the same part”). Klavier (Ger.) Kevboard (instrument).
dur (Ger.) Major. klein (Ger.) Little, small.
également (Fr.) Play equally or evenly. langsam (Ger.) Slowly.

ein (Ger.) One. largando (Jt.) Broadening.
etwas (Ger.) Some, somewhat. larghetto (It.) A little faster than largo.
expressif (Fr.) Expressively. largo (It.) Slow; usually slower than lento.
legato (/t.) In asmooth, connected stvle.
facile (Fr.) Ina light or “easy” stvle. leicht (Ger.) Light, easv.
fermata (It.) Hold: “bird’s eve” symbol (a) lent (Fr.) Slow.
over a note signifving that it should be held lento (It.) Slow: usually between andante
indefinitely. and largo.
fine ([t.) End. librement (Fr.) Freely.
fliichtig (Ger.) Ina fleeting manner. loco (It.) Return to normal octave or position
fois (Fr.) Time (as in premiére fois, “the (literally, “place”).
first time”). lontano ([t.) Distant.
forte (f) ([t.) Loud. louré (Fr.) In a smooth, legato stvle.
fortissimo (ff) (It.) Very loud. lustig (Ger.) Merry, cheerful.
GLOSSARY A89
mano (/t.) Hand. reprise (/t.) To repeat or recur.

miassig (Ger.) Moderate. ritard, ritardando (rit.) (It.) Get slower
mehr (Ger.) More. gradually.
meno (/f.) Less (as in meno mosso, “slightly rubato (/¢.) A gradual fluctuation of the
slower’). tempo, usually in slow movements (literally,
mezzo (It.) Medium (as in messo forte (mf), “robbed”).
“medium loud”). ruhig (Ger.) Calm, restful.
moderato (/t.) Moderate in tempo.
moll (Ger.) Minor. sans (Fr.) Without (as in sans sordine,
molto (/t.) Much, very. “without mute”).
mosso (/t.) In a rapid manner (literally, Satz (Ger.) Theme; section; movement.
“moved’). schnell (Ger.) Quick.
moto (/t.) Motion (as in con moto, “with sec(Fr.) Dry, short.
motion”). segno (/t.) Sign (as in dal segno, “repeat
from the sign”).
nach (Ger.) After. “Now follows”; continue in the
segue ([t.)
neu (Ger.) New. same manner.
noch (Ger.) Still; vet. sehr (Ger.) Very.
non (It.) No, not (as in non legato, “not
semplice (/¢.) Simply.
smooth”).
sempre (/t.) Alwavs; throughout.
senza (/t.) Without (as in senza vibrato,
obbligato (/t.) An optional part; a counter-
“without vibrato”).
melody. sforzando (sf, sfz) (It.) Accented (literally,
peu (Fr.) A little (as in peu a4
peu, “little by “forcing”).
little”). sordino (/t.) A mute.
sotto (It.) Below, under (as in sotto voce,
pianissimo (pp) (/¢.) Very softly.
“in an undertone, very softly”).
piano (p) ([t.) Softly.
poco (It.) A little (as in poco a poco, “little spielen (Ger.) To plav.
by little”). spirito It.) Spirit.
staccato ([r.) Detached, short.
portando (It.) Sliding from one note to the
next (literally, “carrving”). Stimme (Ger.) Voice, part.
pour (Fr.) For, in order to. stringendo (/t.) Accelerating.
subito (It.) Suddenly (as in volta subito,
premier, premiere (Fr.) First (as in a pre-
miére vue, to sight-read). “turn the page quickly”).
sul (/f.) On or near (as in sul tasto, “on the
pressez (Fr. ) Accelerate.
prestissimo (/t.) As fast as possible. fingerboard”).
stiss (Ger.) Sweety.
presto (It.) Very fast.
primo tempo (/t.) Plav the first tempo
indicated. tacet (Lat.) Omit. do not play.
tactus (Lat.) The beat or single motion of
quasi (/t.) Like or similar to (as in quasi the hand in a conducting pattern.
recitativo, “like a recitative’). Takt (Ger.) Time: beat; measure.
A9O GLOSSARY
tasto (It.) Touch; keyboard; fingerboard. vif (Fr.) Quick, lively.

tempo (/t.) Rate of speed. vivace (It.) Fast (literally, “livelv”), usually
tout (Fr.) All. faster than allegro.
trés (Fr.) Very. voce (It.) Voice (as in mezzo voce, “in a
trois (Fr.) Three. medium voice”).
troppo (/t.) Too much (as in ma non voll (Ger.) Full.
troppo, “but not too much”). volta (It.) Time (as in prima volta, “the first
tutti (/t.) The entire ensemble (literally, “all”). time”).
iiber (Ger. ) Above, over.

wieder (Ger.) A gal n.
unter (Ger.) Below, under.
valeur (Fr.) Value or duration (of a note). Zeitmass (Ger. ) tempo.

vibrato (It.) Varying the pitch slightly and zwei (Ger. ) Two.
rapidly (literally, “shaken”). zwischen (Ger.) Between.
I N D E X O FMUSIC
A M E S$
A Crucifixus (B-Minor Mass), BWV 232, 548

Fantasia and Fugue in G Minor (“the Great”).
Arlen, Harold
BWY 542, 731-32, 745
“Over the Rainbow” (Wizard of Oz), $3
Arne. Thomas Fugue in G Major (Eight Little Preludes and
“Rule. Britannia” 293 Fugues for Organ), 410
Goldberg Variations (Var. 22), BWV 988. 253
Little Prelude in C Major, BWV 939. 372, 428
B Minuet (Partita No. in B-flat Major), BWV $25.
1
Bach, Carl Philipp Emanuel 278

Solteggio in C Minor. W.117/2. 725-26 Passacaglia and Fugue in C Minor. BWV 582. 438.
Bach(?). Johann Sebastian 328
Anna Magdalena Bach’s Notebook Prelude in C Major (Clavierbtichlein), BWV 924.
March in D Major. 190 352
Minuet in D Minor. BWV Anh. 11:132. 634 “St. Ame” Fugue (Claviertibung., Book ITD. BWV
Minuet in G Major. BWV Anh. 114. 105 5352/2, 100
Bach. ].S.-Gounod, Charles Two-Part Invention No. 5 in E-flat Major, BWV
“Ave Maria” 70 116, 572-74
Bach, Sebastian Well-Tempered Clavier. Book 1. BWV S46—S69
Bourrée (English Suite in G Minor), 398 Fugue in F Major. 376-75
Bourrée (Cello Suite No, 4+ in E-Hat Major).
1 Prelude in C Major. 69. 337
BWV L010, 98 Prelude in G-sharp Minor, 327
Brandenburg Concerto No. 3 in G Major. BWV Well-Tempered Clavier. Book Hl. BWV S70-S93
L048. I. LOL Fugue in B-flat Minor. 329
Chaconne (Partita No. 2 for Solo Violin in D Bartok. Béla
Minor). BWW 1004. 4358 Mikrokosmos. Vol. 1. No. 7. 190
Courante (Cello Suite No. 3 in C Major). BWV Beach. Amy
1009, 98 “Fire-Flies” (Four Sketches. Op. 15. No. 4). 530
AQ]
A92 INDEX OF MUSIC EXAMPLES
Becket, Thomas A. Symphony No. 5 in C Minor

“Columbia, the Gem of the Ocean,” 236 1, 197
Beethoven, Ludwig van II, 197
Bagatelle in C Major, Op. 119, No. 8, 582 Ill, 197
~The Glory of God in Nature.” Op. 48. No. 4, 279, IT] to IV, 297
545 IV, 197
Kyrie (Missa Solemnis), 506 Symphony No. 6 in F Major (“Pastoral”)
Piano Sonata in F Minor, Op. 2, No. 1, HI, I, 195, 627
Menuetto and Trio, 455-63, A25 ITT to IV, 513
Piano Sonata in E-flat Major, Op. 7, 1. 215 IV, 727
Piano Sonata in C Minor, Op. 10, No. 1 Symphony No. 7 in A Major
I, 330-32, 605-6 1,514
IT, 210 IIT, 619-20
Piano Sonata in D Major, Op. 10. No. 3, TT, 253 Svmphony No. § in F Major, IV. 319
Piano Sonata in G Major, Op. 14, No. 2 Svmphony No. 9in D Minor (Choral”)
1, 626 II, 309
IT, 228, 414 IV, 46, 182, 188
Piano Sonata in A-flat Major, Op. 26, 1, 209 Berg, Alban
Piano Sonata in C-sharp Minor, Op. 27, No. 2 Four Songs, Op. 2
(“Moonlight”) “Nun ich der Reisen Stiirksten tibenvand
I, 526 765-67, 768
II, 380 “Schlafen, Schlafen.” 756-62
IT, 529 “Schlafend triigt man mich.” 763-64
Piano Sonata in D Major, Op. 28. THT, 593 “Warm die Liifte.” 769-70
Piano Sonata in D Minor (“Tempest”), Op. 31, Berlioz, Hector
No. 2, I, 260, 354 “Hell” Scene (Damnation ofFaust), 744
Piano Sonata in E-flat Major, Op. 31, No. 3. TH, Symphonie fantastique, V. 150. 738
212 Billings, William
Piano Sonata in G Major, Op. 49, No. 2, II, 494 “Chester.” 299
Piano Sonata in C Major (“Waldstein”), Op. 53 Bishop. Henry
1, 623-24, 678 “Love Has Eves,” 271
Il. 714 Bizet, Georges
Piano Sonata in F Minor (“Appassionata™). Op. 57, Carmen
II, 55] Final Duet, 622
Piano Sonata in G Major. Op. 79 Habajicra, 183
IT, 152 Micaela’s Aria, 642
IIT. 259 Farandole (L’Arlésienne Suite No, 2). 68. 70. 71
Piano Sonata in A-Alat Major, Op. 110. 1, 208 Borodin. Alexander
Sonatina in F Major (1792), TIT, 392 Symphony No. 2 in B Minor. 1. 68
String Quartet in G Major, Op. IS. No. 2. IIT. Symphony No. 3 in A Minor. U1. 311
544 Bourgeois, Louis
String Quartet in F Minor. Op. 95, 1. 38 “Old One Hundred.” 49. 294. 343, A24
Symphony No. 1 in C Major Bovce. William
LL. 376 “Sharon.” 228
Ill. 620-21. 6S2 Braluns. Johannes
Svinphony No. 2 in D Major, 1. 748 Capriccio in D Minor. Op. 116. No. 1, 603-4
Svmphony No. 3 in E-flat Major (Eroica™) Clarinet Sonata in F Minor, Op. 120. No. 1. 1. 317
I. 699-914. 109-6 Ein deutsches Requiem
IHW. 315 IV. 506
Svmphony No. 4 in B-flat Major, [11.316 VI. 405. 625
INDEX OF MUSIC EXAMPLES A93
Hungarian Dance No. | in G Minor, 188 Waltz in C-sharp Minor. Op. 64. No. 2. 415.
Intermezzo in E Major, Op. 116, No. 6, 345 680-S1
Intermezzo in B-flat Minor, Op. 117, No. 2, 338 Waltz in Minor. Op. 69. No. 2. 21]
B
Intermezzo in E Minor, Op. 119. No. 2.375 Waltz in G-flat Major. Op. TO. No. 1, 660-63
Piano Concerto No. in D Minor, I, 349
1 Waltz in E Minor, Op. Post., 673
Rhapsody in G Minor, Op. 79, No, 2, 728 Chorale harmonizations (]. S. Bach)
Symphony No. in C Minor, Op. 68
1 “Ach Gott, von Hlinunel siely darein,” 527
I, 110, 320 “Christus, der ist mein Leben.” 337
LT, 109 “Danket dem Herren.” 264
IV, 440-41 “Das Neugeborme Kindelein,” 205
Symphony No. 3 in F Major, 1, 597 “Das walt’ Gott Vater und Gott Sohn. 388
Svmphony No, 4 in E Minor, IV. 587 “Erhalt uns Herr.” 335
Tragic Overture, Op. S1, 712 “Es ist genug.” 474
Variations and Fugue on a Theme by Handel. Op. “Es Woll vas Gott geniidig sein,” 90
24 (Var. 20), 476 “Frew Dich Schr. O meine Seele,” 90
Variations ona Theme of Haydn, Op. 56a, 191 “Helft mir Gottes Gitte preisen”” 50S
Var. 6, 532 “Herr Jesu Christ, wahr'r Mensch und Gott.”
Violin Sonata in A Major, Op. LOO, [. 237 393
“Wiegenlied.” Op. 49, No. 4. 187 “Heut ist. OO Mensch, cin grosser” 363
Bruckner, Anton “Ich dank dir. licber Herre.” 236
Svinphony No, 7 in BF Major, 1. 277 “Ich danke dir, O Gott. in deinem Throne.” 487
Buxtehude, Dietrich “Ich hab’ mei’ Sach’ Gott heimgestellt.” 542
“Jesus Christus, unser Heiland.” 411 “In dulci jubilo” 363
“Jesu. Jesu, du bist mein” 205
C “Jesus meine Freude.” 90
Chaminade. Cecile “Komm, Jesu. komm 256
Air de Ballet, Op. 30, 641 “Liebster Jesu. wir sind hier” 217
Minuetto, Op. 23, 271 “Nun preiset alle Gottes Barmherzigkeit.” 150
Chopin, Frédéric “O Haupt voll Blut und Wunden” 497
Ballade in G Minor. Op. 23. 735 “Vater unser im Himmelreich.” 302. 312
Berceuse, Op. 97. 150 “Werde munter. mein Gemilite.” 2356
Fantaisic-Dnpromptu. Op. 66. 313 “Wie schon leuchtet der Morgenstern.” 136
Grande Valse. Op. 42. 316 Clementi, Muzio
Grande Valse Brillante. Op. 18. 195 Piano Sonatina in C Major. Op. 36. No. 1.1. 389
Grande Valse Brillante. Op. 34. No. 1. 138 Piano Sonatina in F Major, Op. 36. No. 4
Grande Valse Brillante, Op. 34. No. 2. 252. 285 1. 560-63
Mazurka in C-sharp Minor. Op. 50. No. 3. 227 I]. 269
Nocturne in F-sharp Major. Op. 15. No. 2.313 Corelli, Arcangelo
Nocturne in G Minor. Op. 15. No. 3. 549 Allemanda (Trio Sonata Op. 4. No. 3), 397
Nocturne in D-flat Major. Op. 27. No. 2. 665-69 Concerto Grosso No. Lin D Major. TW. 411
Nocturne in G Major. Op. 37. No. 2. 746 Couperin. Frangois
Polonaise in A-flat Major. Op. 33. 604 “La Lugubre.” Sarabande. 101
Preludes. Op. 25
E Minor (No, 4). 545, 715-17 D
B Minor (No, 6). 354 Debussy. Claude
EE
Major (No. 9). 596 “Arabesque No. 1° 354
A-flat Major (No, 17). 705 “Clair de line” (Suite bergamasque'. 419-20
C Minor (No, 20). 331 “En batean” (Petite Suite). 312
B-Hat Major (No. 21), 450 “Evening in Granada” (Estampes). A12
Scherzo in D-flat Major. Op. 31. 336 “Fetes” (Nocturnes). 310
A94 INDEX OF MUSIC EXAMPLES
Diabelli, Antonio “Twinkle, Twinkle, Little Star” (See Mozart,

Waltz in C Major, 373 Variations on “Ah, vous dirai-je, Maman”)
Donizetti, Gaetano “Vive la Compagnie.” 343
Sextet (Lucia di Lammermoor), 543 Foster, Stephen
Dresser, Paul “Beautiful Dreamer,” 180
“By the Banks of the Wabash.” 375 Franck, César
Dvorak, Antonin Choral no. 1 pour grand orgue, 742
Symphony No. 9 in E Minor (“From the New Piano Quintet in F Minor, I, 596
World”), IL, 181 Violin Sonata in A Major, 1, 635-36
Dylan, Bob Franz, Robert
“Blowin in the Wind,” 170 “Widmung,” Op. 14, No. 1, 370
Frederick I of Prussia
E “Royal Theme,” 479
Ellington, Duke Froberger, Johann
“Sophisticated Lady.” 707 Suite in Minor (Gigue), 226
B
Epitaph of Scikilos, 473 Fux, Johann Joseph

Gradus ad Parnasstim, 355
F
Fauré, Gabriel
G
Pavane, Op. 50, 416 Galilei, Vincenzo
Piano Quartet in C Minor, Op. 15, 1, 387 Duet (Fronimo, 1568), 246
Fischer, Johann Geminiani, Francesco
Fugue in F Major (Ariadne Musica), 299 Sonata for Violin and Continuo in E Minor, 351
Folk songs/traditional Gershwin, George
“America,” 296 “Fascinating Rhythin,” 319
“Annie Laurie,” 517 Gibbons, Orlando
“Auld Lang Syne”, ALO “The Silver Swan,” 584
Basic blues progression, 283 Gliére. Reinhold
“Blue Tail Fly 159 Sailors’ Dance (The Red Poppy), 359
“Boogie” blues, 551 Gluck, Christoph Willibald
“By You Castle Wa”, 37 Ballet (Orphée et Euridice), 184
“The Carnival of Venice,” 182 Gregorian chant/medieval monody
“Cielito Lindo.” 139 Kyrie “Clemens Rector.” 473
“Erlaube Mir.” 239 “Orientis partibus.” A9
“The First Noé]” 35 Grieg, Edvard
Flamenco progression, 304 Musette (Holberg Suite). Op. 40. 409
“Flow Gently. Sweet Afton.” 180 Piano Concerto in A Minor, [. 639
“Home on the Range.” 34. 132 “Solvejg’s Song” (Peer Gynt Suite No. 2. Op. 5).
Hungarian Folk Tune, 54 42
“Joy to the World” 33 Griiber, Franz
“Little Brown Jug.” 140 “Silent Night” 154
~The Minstrel Boy,” 286
H
“Oranges and Lemons.” 388-89
“Roll in My Sweet Babw’s Arms.” 14] Handel. George Frideric
“The Rose of Tralee.” 389 Allegro (Water Music Suite No. 1 in F Major). 195
“Satan Gonna Tear Your Kingdom Down.” Aria (Suite in G Major). 104
AlO Chaconne in G Major (Trois Legons), G.230.
“Scarborough Fair.” A9 672
~The Star-Spangled Banner.” 40 Fugue in B Minor. 675
Messiah “Eisenach,” 48, 134
“And the Glory of the Lord,” 69 “Ellecombe,” 134
“He Was Despised,” 234 “Jesu, meine Freude,” 48
“How Beautiful Are the Feet of Them,” 377 “Jesu Dulcis Memoria,” 135
Minuet in F Major, 431 “Kedron,” 133
Organ Concerto in G Minor, Op. 4, No. 3, II, 422 “London New,” 48, 135
Passacaille in G Minor, 439-40 “Luther’s Chant,” 228
“Rend'il sereno al ciglio” (Sosarme), 269 “Lyons,” 277
“Verdi prati” (Alcina), 296 “Martyrdom,” 54
Harrison, George “Missionary Hymn,” 134
“Something,” 515 “O Traurigkeit,” 133
Hassler, Johann “Olivet,” 134
Sonatina for Piano in C Major, 278 “Plainfield,” 155
Haydn, Joseph “Rejoice,” 294
Piano Sonata in F Major, Hob. XVI-9, HI, 151 “Rheidol,” 48
Piano Sonata in E Minor, Hob. XVI:34, III, 397 “St. Anne,” 517
Piano Sonata in D Major, Hob. XVI:37, HI, “St. Anthony Chorale,” 191
446-50, 616-17 “St. Magnus, 48, 134
Piano Sonata in E-flat Major, Hob. XVI1:38, II, 327 “Salisbury,” 228
Piano Sonata in A-Hat Major, Hob. XVI:43 “Te laudant omnia,” 269
I, 98 “Unde et Memores,” 135
TIT, 235 “Vom Himmel hoch,” 48, 133
String Quartet in D Major, Op. 20, No. 4, III, 395 “Weman,” 134
String Quartet in E-flat Major (“Joke”), Op. 33,
No. 2, UI, 157
String Quartet in E-flat Major, Op. 76, No. 6, III, Joplin, Scott
353 “The Entertainer,” 488
Symphony No, 101 in D Major (“Clock”), IV, 190,
kK
372
Symphony No. 104 in D Major (“London”) Kern, Jerome
I, 355 “All the Things You Are,” 408, 510
Ill, 274, 314, 653-54 “Long Ago and Far Away,” 339
Havydn(?), Joseph Kuhlau, Friedrich
Divertimento No.1 (“Chorale St. Antoni”), H, 276 Sonatina for Piano in C Major, Op. 20, No. 1, I,
Hensel, Fanny 634
“Warum sind denn die Rosen” (Sech’s Lieder, Op. Sonatina for Piano in G Major, Op. 20, No. 2, IL,
1, No. 3), 3877 433-36
Humperdinck, Engelbert Sonatina for Piano in C Major, Op. 88, No. 3, 339
Overture (Hansel und Gretel), 285 Kuhnau, Johann
Prelude (Hansel und Gretel), 676 Ciacona in F Minor, 303
Hymns and hymin tunes Variations on “Jesu, meine Freude” (Var. 9), 479
“Adoration,” 135
“Albano,” 133 L
“Amsterdam,” 186 Lennon, John and Paul McCartney
“Bristol,” 495-96 “You Never Give Me Your Money,” 516
“Combe Martin,” 367 Liszt, Franz
“Dundee,” 84 “Es muss ein Wunderbares sein,” 592
“Dunfermline,” 48 Hungarian Rhapsody No. 13 in A Minor, All
“Ein teste Burg,” A24 Les Préludes, 190, T07
A9G INDEX OF MUSIC EXAMPLES
Liszt, Franz (continued) Piano Fantasia in D Minor, K. 397, 213

Liebstrdéum No. 3 in A-flat Major, 380 Piano Fantasia in C Minor, K. 475, 657-60,
Piano Concerto No. | in E-flat Major, If, 250 729-30
Piano Concerto No. 2 in A Major, 547 Piano Sonata in G Major, K. 283, TI, 253
‘Un SOSPITG: bros eaprices pac hig s,, TSO 40 Piano Soudta PD
Migor k2Sd, TEL 528
“Vallée D’Obermann” (Annés de pélerinage), Piano Sonata in C Major, kK. 309
728-29 I, 272
Loeillet, Jean Baptiste III, 105
Solo dor Plate aud Contiiue me Nigar $b 95 Piano Sonata \ Miner 7, 292
Piano Sonata in D Major, K. 311]
M II, 437
Mahler, Gustav III, 671-72
Das Lied von der Erde Piano Sonata in A Major, K. 331
I, 608, 643 I, 192
V, 644 III, 282
Mudotte, Whert Trane Sonata F Nor, Ko 352. 11, 282
‘The: Toord’s Prayers 275 Prana Sonatain B flat Moyor R333
Marpurg, Johann I, 232
Reduction of Frederick [fs “Royal Theme.” 479 IIT, 603
Mascagni, Pietro Piano Sonata in C Major, K. 545, I, 615-16
Intermezzo (Cavalleria Rusticana), 358 Quintet (Magic Flute), K. 620, 358
Mosidelssatin, Felis Sonata for Two Pianos in D Migor RT ES. T 333
“Behold a Star from Jacob Shining” (Christus), String Quartet in D Minor, K. 410
606-7 III, 667-68
Fingal’s Cure Onertire, Op 26. 300 String Quartet in D Minor Ko 121
“Retrospection” (Lieder ohne Worte, Op. 102, No. II, 279
2), 150 IU, 677
“Varautella” (Lieder vline Worle, Op. LOZ, Now Stimy Quartet in B-flat Mayor, Lait». &. 495,
412-13 IIT, 508
Viobn Concertoan B Miner, 2, 329 Stig Quartet
©
in Mayor Dissonant he 165,

Mills, Kerry ITI, 182, 493
Nleet Meau St Taonis $13 Sviiphows No dan 1) Miegor Phdtier KO 358,
Monteverdi, Claudio II, 390
“St chloiw vorrer more, 247 symphony No. 39 in B-flat Mayor. K. 543
|
Moore, Thomas II, 258

“Believe Me, if All Those Endearing Young Il, 161
Charms,” 372 Symphony No. 40 in G Minor. kK. 550, I. 150.
Mozart, Wolfgang Amadeus 594
Claret Coneerta in A Migor, K 622.17, 193 Sviiphiany No ‘oan © Miygor fipater™ K 551
Clarinet Quintet in A Major, K. 581, TV, 533 I, 421
Kvrie (Mass in C Major, “Coronation,” Kk. 317), IV, 546
378 Variations on “Ah, vous dirai-je, Maman.” kK. 265.
Minuet in G, K. 1, 374 336-37, 442-44
A Musical Joke, K. 522, III, Al2 Wind Serenade in C Minor. kK. 388, I, 674
Piano Concerto in G Major, K. 453, If. 253 Musorgsky, Modest
Piano Concerto in C Minor, K. 491 Boris Godunov (Act IID). 748-49
I, 3S0-S1 “The Great Gate of Kiew” (Pictures at an
IIT, 544 Exhibition), 274
Piano Concerto in C Major, K. 503, I, 280 A Night on Bald Mountain, A9
INDEX OF MUSIC EXAMPLES AQT
N “Pianists” (Carnival of the Animals), 724-25

Piano Concerto No. 4 in C Minor
Nevin, Ethelbert
II, 185
“Mighty Lak’ a Rose.” 586
III, 487-88
P Scarlatti, Domenico
Sonata in D Major, K. 492. 279
Palestrina, Giovanni Pierluigi da Sonata in F Major, K. 367, 97
Agnus Dei I] (Missa Sanctorum Meritis), 356
Schoenberg, Arnold
“Quia fecit mihi magna” (Magnificat IX), 473 Chamber Symphony No. 2.554
Sanctus (Missa Papae Marcelli), 156
Schubert, Franz
Porter, Cole “Du bist die Ruh.” Op. 59, No. 3, 301
“Evry Time We Say Goodbye,” 590 Four Liindler, D. 814. No. 2. 181
“It Get a Kick Out of You,” 232
“Heidenréslein,” Op. 3. No. 3, 214
Puecini, Giacomo “Im Abendrot.” Op. 173, No. 6, 286
La Bohéme
Impromptu in A-Hat Major, D. 899, 138
Act IT, 708
“Die Lotusblume,” Op. 25, No. 7, 477-78
“Che gelida manina.” 83
Moment Musical No. 6 in A-flat Major, 334, 337
Purcell, Edward Piano Quintet in A Major (“Trout”), TIT, 414
“Passing By.” 368 Piano Sonataa \ Major, D.b6 1, Tf. 501
Purcell, Henry Scherzo in B-flat Major, D. 593, 633
Dido and Aeneas
Schwanengesang
“Fear No Danger to Ensue,” 216
“Aufenthalt,” 313
“Stiindchen,” 233
R “Sehnsucht.” D. 310B, 591
Rachmaninoff, Sergei String Quintet in C Major, I. 589
The Isle of the Dead, Op. 29, 311 in C Major, IV, 550
String Quintet
Symphony No. 2in E Minor, HI, 349 String Quintetin G Minor, IT, 391
Vocalise, Op. 34, No. 14, 339 Symphony No. § in B Minor Unfinished”), IL, 376
Rameau, Jean Philippe “Totengriber’s Heimwehe.” D, 842, 722
Gavotte and Variations, 416 Valses Sentimentales, Op. 50. 276
Ravel, Maurice Waltz in B Minor, Op. 18, No. 6, 156
Rigaudon (Le Tombeau de Couperin). 640 “Who Is Sylvia?”. Op. 106. No. 4, 271
Sonatine, IT, 637 Winterreise
Rimsky-Korsakov, Nicolai “Gefrorne Thriinen,” 552
Sadko (Act IT), A13 “Der Lindenbaum,” 503-4
Scheherazade, 1,313 “Der Weeweiser.” 617-18. 710
Rodgers, Richard Schumann, Clara
“Bali Hai” (South Pacific), 588 Pieces fugitives. Op. 15. No. 1,312
“You Are Too Beautiful.” 339 Schumann. Robert
Rossini, Gioachino Album for the Young, Op. 68
Overture (LItaliana in Algeri ), 292
“Knight Rupert” 153
Overture (William Tell. 152, 349 “Little Study.” 582
Rouget de Lisle. Claude Joseph “Soldier's March.” 319
“La Marseillaise.” 503 ~The Wild Horseman.” 276
“eI ONO, 21). 235
“An den Sonnenschein.” Op. 36. No. 4. 256
Saint-Saéns, Camille Carnaval. Op. 9
Danse macabre, 530 ~Chiarina,” 245
“Mon coeur s’ouvtre a ta voix” (Samson et Dalila), 508 “Eusebius.” 315
A9S8 INDEX OF MUSIC EXAMPLES
Schumann, Robert (continued ) Symphony No. 6 in B Minor (Pathétique”)

“Ich grolle nicht” (Dichterliebe), 418-19 I, 195, 328
Papillons, Op. 2, No. 10, 528 II, 310
Piano Fantasy in C Major, Op. 17, TT, 595 IV, 246
Symphony No. | in B-flat Major (“Spring”), UI, Tiirk, Daniel Gottlob
382 “Abendlied,” 399-401
Symphony No. 2 in C Major, III, 108
Sibelius, Jan
Symphony No. 1 in E Minor, 1, 68 Verdi, Giuseppe
Smetana, Bediich “Ave Maria” (Otello), 511
“The Moldau” (Md Vlast), 504 “Celeste Aida” (Aida), 272, 517
Sousa, John Philip “Dies irae” (Requiem), 549
“Hands Across the Sea,” 518 Rigoletto
“The Thunderer,” 212 “La donna @ mobile,” 192
Strauss, Johann, Jr. Quartet, 592, 623

“Emperor” Waltz, 231 Vicentino, Nicola
Strauss, Richard “Madonna il poco dolce” (L’Antica musica), 674
Also sprach Zarathustra, 252, 317
Death and Transfiguration, 261 W
Don Quixote, 196 Wagner, Richard
Till Eulcuspiczel’s Merry Pp; dihs, 3°), 553, 586 Citterddmmerniig
Waltz (Der Rosenkavalier), 652-53 Act I, 635
Stravinsky, Igor Act IIL, 509-10
Petrotoshha st Tableau’, 31S Britnibilde’s motive ‘Prologue’, 536
Strayhorn, Billy Immolation Scene, 532
“Take the A Yram, 534 Rhinematdens Scene, 643
Sullivan, Arthur Siegfried’s Rhine Journey, 712-13
‘Lets Give Vhiee Cheeis Pinafore), Lohengrin
183 Act I, Scene 2, 740-41
Sweelinck, Jan Bridal Chorus, 298
Chromatic Fantasy, 476, 679 Elsa’s Dream, 625
Dic Meistersinger
T Beckmesser’s Serenade, 639
Tchaikovsky, Peter Hans Sachs’s Monologue, 589
The Nutcracker Overture, 249
Act I, 5, 633-34 Parsifal
March, 303 Prelude to Act I, 344
“Waltz of the Flowers,” 593-94 Prelude to Act II, 480
Romeo and Juliet, 373, 609, 723-24 Das Rheingold
Sleeping Beauty Act I, 334
Pas @action, 711 Ascent into Nibelheim, 707-8
Waltz, 316 Prelude, 127
Svmphony No. 4in F Minor Sieg fried
1, 750 Forging Song, 584
Il, 751 “Magic Sleep” motive, 743
Symphony No. 5 in E Minor Tannhduser
1, 169 “Hymn to the Evening Star.” 514
Il, 104 “Hymn to Venus,” 192
III, 590 “Triume” (Wesendonck Songs), 592
Tristan und Isolde Y
“Liebestod,” 284
Youmans, Vincent
Love Duet, 720-21
“Tea for Two,” 621
Prelude to Act I, 553, 686-99, 768
Young, Victor
Die Walkiire
“Stella by Starlight,” 640
Wotan’s Farewell, 531
Weber, Carl Maria von
Concertino for Clarinet in E-flat Major, 231
Zachau, Friedrich
Overture (Der Freischtit=), 359
“Vom Himmel hoch,” 570
Overture (Oberon), 108
Wolf, Hugo
“Das verlassene Miigdlein,” 583
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I N D E X
In this index, a boldface number indicates the primary discussion or definition of the entry word. The compositions listed
here dre trentioned in the text without a riisic e\aiple Please see the Tades of Music Fvcaniples for Om pOsTons decom
¢
panied by examples.
Alberti bass, 97, 446

Abgesang, 569 alla breve, 28
absolute meaning, 649 Allegro, 21
accelerando, 21 altered dominant seventh chords, 585-87, 598,
accented 268-73 686 |
accented incomplete neighbors, 107-8, 110-11 altered harmony. See chromatic harmony
accented neighbors, 105, 110-11 altered mediant triad, 516-17, 520
accented passing tones, 104-5, 110-11, A22 altered root, 481
accent mark, 23 altered scale degrees, 367-68, 471, 501-2
accidentals, § altered tonic, 762
figured bass and, 61 alto clef, 6
kev signature and, 43-44 alto range, 72
modulation and, 401 ambiguity, 664, 686, 694, 736
musica ficta, 473 “America,” 22-23, 25
secondary dorinaits id, 366 BS 376 “America the Beautiful,” 22 23,25 26,1586
A clarinet, A386 amplitude, A2
acoustics, AO—5 anacrusis. See upbeat
Adagio, 21, 307-8 analytical symbols, guidelines for, 52, 140, 159,
added 6ths, 642-45, 768, A30 171, 216, 487
added Yths, 643-45, A30 Andante, 21
Aeolian mode, AT—-S answer, 575
A102
INDEX A103
antecedent period, 184-85 authentic cadences, 133-34. See also under
antecedent phrase, 181, 185 cadences
anticipation, 99, 101, 109, 110-11, 256, 26] authentic modes, A7-8
apparent seventh chords, 284-85
applied dominants, 366, 566, 667, 738. See also
secondary dominants Bach, Johann Christian
appoggiatura, 102, 107, 111. See also leaping tone concertos of, 567-68
affective force of. 261-62 Bach, Johann Sebastian
dominant ninth and, 634 The Art of the Fugue, Contrapunctus X. 576
dominant seventh and, 147-48, 149-50. 206 inventions of, 571
leading-tone seventh and, 325 “Jesu, Joy of Man’s Desiring.” 569
Arban, Joseph Mass in B Minor, Credo, 440n
The Carnival of Venice, 441 The Well-Tempered Clavier, 575
arpeggiated |, 277-78 Bach, Wilhelm Friedemann, 571
arpeggiation, 127-28 B-A-C-H motive, 758—59
dominant prolongation and, 160, 211-12 background voice-leading, 465, 565
of leading-tone seventh chord, 328, 332 Balakirev, Mily, 723
ninth preparation and, 634 balanced binarv form, 454
tonic prolongation and, 151-53, 160, 166 balanced two-reprise design, 430-31
arpeggio, 56, 97 bar. See measure
asvmmetrical meters, 309-10 “barbershop harmony,” 379, 412
a tempo, 21 bar form, 569
atonality, 480, 752, 754-55, 768-71 bar line, 22
attack, A5 Baroque period
augmentation, 194-95, 575 altered scale degrees in, 473-74, 478-79
augmented 2nd, 328, 512 augmented sixth chords in, 539
angmented 4th, 11, 12. See also tritone contrapuntal forms in, 569-78
implication in two-voice texture, 78 contrapuntal texture in, Al4
augmented eleventh chord, 639 da capo aria in, 567
augmented ninth chord, 636-37, 758-59, 761, 770. descending chromatic tetrachord in, 672
A28 descending half step in, 688
augmented prime, 475 dominant ninth chords in, 634
augmented sixth, 538 figured bass in, 59-60
augmented sixth chords, 538-57. See also French fugue in, 574-78
sixth chord: German sixth chord: Italian sixth half-diminished seventh chord in. 333
chord major-minor tonality in, 502
common-tone or embellishing, 590-92 modulation in, 498. 612
enharmonic. 551-52 phrase length in. 180
inversions of, 547-49 scales in, 8
in major mode, 544-45 sequences in, 407
in minor mode. 541-44 theme and variations in, 441
in omnibus sequences, 747-48 tuning svstems in, 454
secondary. 545-47. 554 two-reprise design in. 429-31]
unusual resolutions of, 550-51 two-voice texture in. 77
unusual types of. 553-54 variations in, 437-41
augmented triads. 58 Bartok, Béla. 754
affective quality of. 583 bass clef. 6
as passing or neighboring chords. 543, 581-84, 598 bassoon, A35
spelling of, 59 bass range, 72
A104 INDEX
“Battle Hymn of the Republic, The,” 186 B-flat tenor saxophone, A36
Beach, David, 714 B-flat trumpet, A36
beat, 20 binary form, 187, 429
divided, 308 modulation and, 398
beat division, 23-24, 307-9 two-reprise, 429-32
complex, 310, 315 “Blue Moon,” 293
compound, 23 borrowed chords. See mixture chords
meter signature and, 26-27, 310 Brahms, Johannes
simple, 23 Clarinet Sonata in F minor, Op. 120, No. 1, 530
substituted, 312, 315 concertos of, 569
superimposed, 313, 315 “Octaves and Fifths” monograph, 256
suspension duration and, 244-45 Piano Quartet in G Minor, Op. 25, 45In
beat value, 25-26 Svmphony No. | in C minor, 546, 664
Beethoven, Ludwig van Symphony No. 4in E Minor, 440n
concertos of, 569 Variations and Fugue on a Theme by Handel,
Diaheli Variations, V4 15 576
modal exchange mised hy, 502 Var 20, $15n
Piatio Sovaita in Foniner, Op 2.No 7, 153 67. Variations ond Theme of Haydn, W40n
571 Variations on a Theme of Paganini, 445n
Piano Sonata in C minor, Op. 13 (“Pathétique”), bridge, 436, 494, 575
451, 566 Britten, Benjamin
Sonahein G major, Op f9) No 2. 145 Poler Grimes Passacagtin, 110On
Paino \ppassrorala JOp a Young Ms cpl s Cielo tothe Orchestra, 145n
530 broken chord, 56
Rondo in C Major, Op. 51, No. 1, 533
rondos of, 450 C
String Quartet in EF Minor, Op. 59, No. 2,530 cadences, 46, 129, 132-36
String Quartet in F minor, Op. 95, 530 altered mediant triad in, 516-17, 520
String Quartet in C-sharp Minor, Op. 131, 576 anticipation at, 101
Sxinphiony No Tin © anager, 56% sith chords in, 539
Svinphiany No oan E-fha migor EEE atthentic [33-84 136, 690, 696, AL5
566, 60S augmented sixth chords in, 555
Symphony No. 4 in B-flat major, 445 cadential in, 268-73, 414
Symphony No. 5 in C minor, 445n, 566, 664 chromatic elaboration of, 680
Symphony No. 9 in D minor (“Choral”), 445n, deviations from, 650-51
745 imperfect, 133-34, 136, 182, 278, 494-95
Thirty-t fz Variations for Piano in C Minor Wad Neapolit.as chord in, 325 26,53
80, 440n perfect, 133, 136, 141, 226
Berg, Alban periods and, 182, 154
Chainher Concerts 758 seconds doriinants in, 369° 70
Lyric Suite, 758, 768 subdominant seventh chord in, 335
Orchestral Pieces, Op. 6, 756 supertonic chords in, 226, 237-39
Piano Sonata, Op. 1. 768 transition and, 563
String Quartet, Op. 3. 770 conclusive, 47
Der Wein, 756 deceptive, 294-95, 617, 650-51, 664, 689, 694,
Wozzeck, 756 699
B-flat bass clarinet, A36 avoiding overuse of, 304
B-flat clarinet, A36 lowered submediant chord in, 511-13
B-flat soprano saxophone. A36 mixture chords in, 622
INDEX A105
secondary dominant in, 374-75 change of mode, 485, 606-7

tonicized, 376 modulation by, 614-18, 627
direct octave or 5th at, 89 change of upper part, 244
dominant seventh chord in, 149-50 changes of meter, 320, 321
half, 134-35, 136, 151, 370, 617, 686, 695, 768 changing tone. See double neighbor
augmented sixth chords in, 555 characteristic tone, A8
cadential } in, 269, 278 Charles, Ray
modulation and, 394, 495, 496 “You Are the Sunshine of My Life,” A12
periods and, 181-82, 184 Chopin, Frédéric
supertonic chord in, 227-28 Ballade in F major, Op. 38, 696
transition and, 563 Piano Concerto in F minor, Op. 21, 739
inconeusive. {7 Schervo in B flatorainen Oy 31, 696
less conchisive, 17 chorale, 569
melodic, 46-48 chorale prelude, 569-70, A25
modulation anid. (Ob. 192 95 196 chonde settings, 172 T5217 19, 256
phrase length and, 180-81 choral music, 72-73
Phiycian, 168, 172.174 Chord, 56. See ride spree ifte chord fypes
aniienited sith chards in, 338° 39 chordal Tth, treatment off 62, 117 45 206. 207,
mechant trad and, 316 17,520 PES Pb 224 25, 232 293, 325,325 335 Sk
in submediant key, $95, 496 406, 417-19
Picardy third in, 516 chordal figuration, 96-98
plagal, 135-36, 283, 327 chordal implication in two-voice writing, 77-78
nuatuie Choid within, 509 choidal spaciiig, 74, S9-VO
prolongation of, 532 chordal texture, 68-69, 71
second-inversion triad in, 268—73 chord change. See harmonic rhythm
SHSPUMISTOTIS TL,
249 chord plowressions, Harrionic tendency in, 121 23
thirteenth chords and. 64] chords, connecting. $6
cadential °, 268-73, 414 chord tones, 95
cadenza and, 279-80 chord voicing, 72. See also doubling
elaborating, 270-73 chorus, 436
exceptional treatment of, 278-79 chromatically 3rd-related kevs, 614, 627
German sixth chord and, 543 chromatic common-tone modulation, 619-21,
Neapolitan sixth chord and, 526 627
prolongation of, 606-8 chromatic contrary motion, 708-13, 746-49
cadential expansion within the phrase, 137-40 chromatic embellishing chords. See embellishing
cadential extension, 189, 27S—79 chords
cadential formulas, 172 chromatic harmony, 471-82
bass in, 217 chromatic inflections, 365
embellishing dominant in. 201 chromaticism, 474-76, 686
supertonic chords in, 225-29 decorative, 478-80
cadenza, 279-80, 569. 606 melodic, 474-76
Calcott. John structural, 479
A Musical Grammar, 540 chromaticized voice exchange, 378
canonic initation, 575 chromatic modulation. 392-93. See also under
cantus firmus, 569 modulation
cantus firmus technique, A15, A25 chromatic parallelism. 706-8
cello, A35 chromatic pitch collection. 8
chaconne, 303, 438, 672 chromatic root movement, 704—5
change-of-bass procedure, 244, 356, 357-58 chromatic scale. 8, 742
A106 INDEX
chromatic sequences, 658-59, 666-84 in jazz, 59-60, 631

ascending 5-6 pattern, 674-76, 704-6 for ninth chords, 631, 632, 636, 644
extended use of, 679-82 Roman numerals vs., 118, 120
ascending first-inversion triads (stepwise), 673-74 for thirteenth chords, 639
ascending root-position triads (stepwise), 673-74 common chord. See pivot chord
descending 5-6 pattern, 677-78 common-practice era, 3
descending first-inversion triads (stepwise), consonance and dissonance in, 17
671-72 melodic writing in, 82, 85
5th-related, 667-69 as style system, 649
modulation by, 727-29, 731 common tone, modulation by, 619-21, 627
omnibus, 746-49 common-tone augmented sixth chords, 590-92
role of diatonic tetrachords in, 669-70, 679 common-tone diminished seventh chords, 587-90,
chromatic tetrachord, 671-72, 679 598, 716. See also diminished seventh chord
Church modes, A6-9, A15 complex beat division, 310, 315
circle of 5ths, 42-43 complex duple meter, 310
Classical period complex meter, conducting pattern for, A34
Alberti bass in, 97, 446 complex tones, A3
augmented sixth chords in, 539 compound duple meter, 23, 24, 27
chordal suspension in, 252 compound interval, 12
concerto form in, 567-69 figured bass and, 60
dominant ninth chords in, 634 compound melody, 97. See also melody
extended tertian harmonies in, 630 compound meter, 23, 28-29
melodic formulas in, 182 compound quadruple meter, 24, 27
minuets and trios in, 453-54 compound quintuple meter, 310
modulation in, 498, 612 compound single meter, 309
phrase length in, 180 compound triple meter, 24, 27
rondo form in, 445, 446, 450 concerto form (first movement), 567-69
sonata form in, 558-67 concerto grosso, 575
ternary form in, 432, 433 concertos, rondos in, 450
texte in, 72 conchisive cadence 47, 419
theme and variations in, 41, 444 condensed score, 73
two-reprise design in, 431-32 conducting patterns, A31—34
clef signs, 6 Cone, Edward, 530
climax. daminant prolongation preceding, BOS 9 conpanet motion, 50
closed phrase, 132, 181 consecutive 3-6 progression, 355-56
closed tonal forms, 486~87, 502 consecutive 6 progression, 352-55
closely related keys, 483-86 consequent period, 184-85
modulation to, 483-500 consequent phrase, 181, 185
relative Proqnenes of 186. 19S COMSONATICE, perfor fry imperfect ly
close structure, 74, 76-77, 129-31 consonant interval, 16-18, 56, 62, A4
closing section exposition’, 564 consonant passing I, 281-82
closing theme. See codetta content, 427
coda, 432, 566, 750 continuous two-reprise design, 429-31
codetta, 327, 564 continuous variations, 438-41, 735
commercial chord svmbols, 56-57, A26-30 contrabassoon, A36
for diatonic seventh chords, 63 contraction (truncation). 189-90
for diatonic triads, 61 contrapuntal texture, 70, 71, 427
diminished and augmented triads in, 58 contrarv motion, 84, 87, 217, A26
for eleventh chords. 638 chromatic. 708-13. 746-49
INDEX A107
contrary octaves and 5ths, 88 diminished seventh chords, 63. See also leading-tone
Corelli clash, 256 seventh chord
counterexposition, 575 chromatic alterations of, 726-27, 730, 731
counterpoint, Al4—25. See also contrapuntal chromatic parallelism and, 706
texture commercial chord svmbols for, A27
fifth species, A23-25 cross relations and, 496-97
first species, A16-19 embellishing or common-tone, 587-90, 598, 716
fourth species, A22—23 as enharmonic pivot chord, 721-23, 730
melodic writing in, A16 examples in music literature, 651, 664, 744
second species, A19-20 octatonic scale and, A12
third species, A21—22 in omnibus sequence, 747-48, 749
underlying, A25 root movement by minor 3rd and, 739
countersubject, 575 sequences of, 665
crooks, A37-38 svmimetry of, 329
cross relations, 378, 479 diminished third chords, 547-49
diminished seventh chord and, 496-97 diminished triads, 58, 119. Sce also leading-tone
Neapolitan chord and, 525 triad
evele, Al doubling in, 75
cvcle of 5ths, 122-23, 346-47, 417, 439 first-inversion, 58, 201
evclical root movement, 343-45 spelling of, 59
evclical symphony, 566 diminution, 194-95, 575
direct modulation, 390
D direct octaves and 5ths, 89, 149, 174
da capo, 433, 454 displaced 7th, 213-14
da capo aria, £36, 567 displaced accents, 314
dangling 7th, 213 dissonant interval, 16-18, A4
Debussy, Claude, 754 divided beat, 308
decay, A5 dominant, 36, 121
deceptive cadence, 294-95. See also under augmented sixth chords and, 538, 554
cadences modulation to, 393-96, 486, 565
decibels, A2 dominant ninth chords, 379, 631-36, 644
decorative chromaticism. 478-80 dominant pedal, 279, 465. 619
delaved resolution (of chordal 7th), 213 dominant prolongation, 602-11
development. 560 with arpeggiation, 211-12
change-ofinode modulation in, 615 in cadenzas, 569
in concerto form, 569 by chromatic embellishment, 603-4
toreign-kev modulations in. 626-27 examples in music literature, 454. 465, 686, 694.
in sonata form. 564 723
in sonata-rondo form, 567 as extension of cadential |. 606
deviations, stvle, 650-31. 654, 633. 660, 663 in introductions. 566, 604-5
diabolus in musica, 723, 748 of ninth chords, 635-36
diatonic, 4 as preparation tor a climax, 605-9
diatonic harmony. See harmony in retransitions, 491, 605-6, 626
diatonic modes, 34n, A6—Y through voice exchange. 709
diatonic pitch collection. 4, 33-35, 49-51 dominant seventh chords. 146-63
cliatonic tetrachords. 669-70. 674. 678. 731 altered. 5S5—S7_ 59S, 6S6
diminished 3th. 11, 12. See also tritone cadential, 149-50
implication in tWwo-voice texture. 7S chordal 7th treatments, 213-15
partwriting and. SS embellishing. 156-58
AIO8 INDEX
dominant seventh chords (continued) lowered submediant chord and, 512

enharmonic relation to German sixth chord, mixture chords and, 506
723-26, 730 in sequences, 347, 352, 356
first-inversion, 201, 206, 325-26 supertonic chords and, 224
dangling seventh in, 213 suspensions and, 246, 248
inversions of, 200-202, 205-21 doubly augmented fourth chord, 551
examples in music literature, 205-11 downbeat, 22, A31
leading-tone seventh chord compared with, duple meter, 22
324-25, 335 compound, 23, 24, 27
with melodic 6-5, 641-42 conducting pattern for, A32
preparation and resolution of, 147-49 duplets. 312
prolongation and, 211-12 duration, A5
root position, 146-47 Durchfithrung, 564
second-inversion, 201, 206-7, 326-27 vad, 9, 77
third-inversion, 201, 207, 327 dynamics, A2-3
dominant triad, 126, 128-45
cadences and, 132-36 E
as embellishing chord, 154-56, 167, 458 E-flat alto saxophone, A386
first-inversion, 200-205 E-flat baritone saxophone. A36
examples in music literature. 205 E-flat clarinet, A386
in minor mode, 303-4 eleventh chords, 631, 638-39
uses of, 202-3 augmented, 639
polarity between tonic and, 131-32 commercial chord svmbols for, A29
second-inversion, 265-73 Elgar, Edward
tonicization of, 369-71, 414. 604 Enigma Variations. 445n
Dorian mode, A7-8 elision, 190
dotted notes, 24, 25 embedded motion, 204, 208-9, 227
double bass, A386 embellishing augmented sixth chords, 590-92
double chromatic parallelism, 706 embellishing augmented triads, 381-54, 598
double counterpoint, 571 embellishing chords, 154-59, 167. See also specific
double flat. § chords
spelling intervals with, 14 analytical problems with, 256-39
double fugue, 575-76 augmented sixth chords as, 540
double mixture chords, 595, 598 chromatic. 580-601, 716
double neighbor, 102, 111, 210-11, A22 dominant harmonies. 154-56, 167, 201, 324. 455
double period. 184-85 first inversion subdominant, 169-70, 209-10
double rise, 439 leading-tone seventh chord. 324
doubles. 436-37 mediant. 297-300
double sharp, 8 Neapolitan sixth as. 527-28, 333
spelling intervals with. 14 secondary dominants, 366. 369. 370-71
double suspensions. 251-52 subdominant seventh chord, 336
double theme (in invention). 571 submediant. 291-94
double-tonic axis. 696 supertonic, 229-30, 237-39
doubling. See also partwriting tonicization and. 3S7
in augmented sixth chords, 541-43 tonic prolongation and. 209, 215-16, 229-30.
dominant sevenths and. 205-6 328-32
dominant triads and, 202-3 in voice-leading reductions. 251
first-inversion chords and. 165-66. 165 embellishing diminished-seventh chords. 587-90.
in four-voice Chords, 73-76. 90-91 See also diminished seventh chord
INDEX A109
eimbellishing German augmented sixth chord, 590-92 figured chordal texture. 69

embellishing tones, 95-96, 255-62 finalis, A7-S
ded ented Tepes 99,107 S TtO 1] 267 62 frstetaversion drnets BT Soy Spies ifr chords
uta crited Step we 99, TOE TO V1, 2617 62 2 Vass SHISPUCTISIOLL
aid, 24S
Chet) ies af OS 99 Tc atic sequences OT) 72
chordal 96.98 fered buss and, 60
chordal 9th, Tih and D3th as G42 iniplied TS
consonant, 109 parallel 4ths and, 87
first-inversion chords and. 164 root movement by 2nds and, 352-55
interaction of, 256 root movement by 3rds and. 357
in partwriting, 175 voice movement within, 77
perception of, 110-11] first theme group, 563
tonic prolongation and, 127-28 V-IV progression, 282-84
transient sonorities and, 285—S6 five-part rondo, 446-50
unaccented/eaping, 99, 102-4. 110-11, 260-61 flamenco, 303
unaccented/stepwise, 98, 99-101. 110-11, 260-61 flat sign. 8
emotion in music, 649, 654 spelling intervals with, 13-14
dominant prolongation and, 602 bIT chord. See Neapolitan chord
English horn, A36 bIH chord. See lowered mediant chord
enharmonic duality, 477-78 VT chord. See lowered submediant chord
enharmonic modulation. 719-26. See also flute, A385
modulation folk songs
enharmonic spellings, 8, 43, A2 form in, 186
ainbivtiiy aud. GOS7—SS. O04 hai tivihin ni, 219
function and, $72. 477 modal, 302
German sixth chord and dominant seventh, 552. foreground, 460
590, 625. 667 foreign keys. 552
inixture chords and, 31S—19 modulation to. 612-29. 719-34
J
7
Wo duhdion aid TL 20 730 “Por Mes a Wh Cod Pella 23 25
envelope, A5 formal design, 427
;
pisos HIS, 571,975 fortis FITS ab spac ifte fori
equal temperament. 8, A2. Ad closed, 486-87
escape tone TA2, 109 11 contrapuntal S69 TS
essentitheliords Pho P64, Lob 67 dowdations a O60 663
essential tones, 95 extended. 55$—79
expectations, reevaluation of. 651-64 one-part, 427-28
eNDOSTELOT 960,503
61 615 siniple ISG ST 126 52
fugal. 575 Franck. César
extended |. 279-80 Svmphony in D Minor. 566
extended modulation, 486-88 Violin Sonata in A Major. 4351n
eMtonded tatiana tatnonies 630-31, (28 30 freee miuterpoint 70
free tones. 108-9, 111
F free-voiced texture. 72
fantasia 612 627 730 Prenelo hor A386
fermata. 49 French sixth chord, 541. 542-43, 554. 688
figuration. 568 in chromatic contrary motion, 712
figured bass 99-61 evarniples Toauasic iterature 7359 762 764
chord inversions in. 119-20 in major mode, 54445
seventh chords in. 64. 147 frequency. 4-5, AQ-2
ALIO INDEX
fugal exposition, 575 harmonic rhythm, 172, 654

fugue, 427, 574-78 in folk songs, 219, 238
full score, 72-73 oblique motion and, 217
fully diminished sexenth chard, 63, See ahs lhatnonics, A3
diminished seventh chord harmonic sequences, 342-64, 406-25, 666-84
fundamental, A3 ascending 2nds, 355-36
Fux, Johann Joseph ascending 3rds, 357-59, 688
Gradus ad Parnassum, A15 ascending 5ths, 351-52, 654
ascending half steps, 724, 730
G Chromatic cliborations of GAG, 84
German sixth chord, 540-41, 543-44, 554 descending 2nds. 345, 419, 420
in chromatic contrary motion, 709, 711-12 descending 3rds_ 345, 357-39, 420
consecutive seventh chords in, 417
embellishing, 590-92, 598 dese cudines Sts 122 23. 345, 626
enharmonic relation to dommant seventh chord,
augmented sixth chords and, 545-46
625, 667, 723-26,
730 modulation and, 417
ev.aiples inqmusic Hteratire TIO TIT TS TAS
inversions of, 547-49 Neapolitan chord in, 534-35, 535
seventh chords in, 340, 406-12, 420, 667, 678,
in major mode, 544-45, 551-52
704, 725-26
as substitute cadential chord, 591
triadic root movement by, 346-51
vlissando, A5
diatonic, 735-36
grand staff, 6, 73
by half step, 704-6
Grave, 307
modulation by, 417, 727-29, 731
Grieg, Edvard motivic elaboration of, 421—22
concertos of, 569
repeating patterns, 415-16
ground, 438
secondary dominant chains, 379-82, 412-15, 420,
Gypsy minor scale, ALO-11 669
sequential and cyclical root movement, 342-43
H using seventh chords, 406-12, 417-20
half cadence, 134-35, 136. See also under harmonic series, 16-17, A3—4, A387
cadences harmonic setting, alteration of, 194-95
half-diminished seventh chords, 63 harmonic tendency, 118, 120-23, 129, 136, 159.
chromatic parallelism and, 706, 708 altered scale degrees and, 471-72, 538
cominerchad chard ‘\ tabals far, A27 anmenetited sixth Tiords and, 540
leading-tone, 333 of dominant chord, 131
Sper toric 279 93 293 SOT TW T16 resolution es 649-63
“Viistaia chord, 355, OST-SS, GUS tinder hy nig basis dor, 12) 23
half steps. 8, A2 harmony, 55. See also melody, harmonization of
Handel. George Frideric aspects of, L17-15
Chaconne in G Major, 440n chromatic, 471-72
plagal cadences of, 135 diatonic, 117-25
harmonic function, 118, 123 interplay with melodic dissonance, 255-86
harmonic interval. 9 Haydn, Joseph
harmonic minor scale, 38 The Creation, 664
harmonic models, 123-24 String Quartet in F major, Op. 20. No. 5. 576
elthoration of [60 62. 179 76 Stome Quartet a b-fhet nigyor On
Ve Nab
harmonic prolongation, 169, 764. See also specific 445n
chords Symphony No. 49 in F-sharp Minor ("Farewell").
leading-tone seventh chord and. 325-32
INDEX AIII
Svmphony No. 92 in G major Oxtord™), 565 incipient ternarv form, 432
Svmphony No. 94 in G major (“Surprise”). incomplete neighbors, 102-4, 201. 261, 298
663-64, S09 accented, JO7—-8, 110-11
Svmphony No. 100 in G major (“Military”), 564, inconclusive cadence, 47
566 instrumental music
Svmphonvy No. 101 in D major Clock”). 445 modal exchange in, 504
Svmphony No. 104 in D major London’), notation in, 28-29
433 instrument transpositions, A35—38
Hebbel. Friedrich intensity, A2—3
“Dem Schmerz sein Recht,” interlude, 569
Ut
Yt
hemiola, 315-16, 321. 654 intermezzi, 432
Hertz (Hz), 5n, Al internal extension (of a phrase), 189
Hindemith, Paul interplay of harmony and melodic dissonance.
Elementary Training for Musicians. 312 285-86
Ludus Tonalis, 576 interrupted tonal structure, 396, 398, 400, 454. 465,
Nobilissima Visione, 440n 714-16
Sonata for Clarinet. 451n interruption sign (//), 432
homophonic texture, 68-69, 71, 427 interval cvcles, 344-45
extended forms in, 55S—69 interval inversion, 14-16
phrases in, 18] interval ratios, Al, A3—4
homorhvthinic texture. See chordal texture intervals, 9. See also specific intervals
horn, A87-38 augmented, 11, 12. 14
hymns, 172, 186, 217-19 class of, 9
hypermeasures, 309 compound, 12
hypermetric. 189 consonant, 16-18, 56, 62, A4t
diminished, 11, 12, 14
dissonant, 16-18, A4
I chord. See tonic triad harmonic. 9
i chord. See minor tonic chord major, 9-11. 12
I° chord. See first-inversion tonic chord melodic. 9
I’ chord. See tonic seventh chord minor, 9-11. 12
ictus. A3] natural or white-key. 9-12
IH chord. See
supertonic triad perfect, 10, 12
UW chord. See supertonic seventh chord simple. 12
ii?’ chord. See half-diminished seventh chord spelling. 13-14
(supertonic) introductions, 432. 566, 664. 689
HI chord. See mediant triad dominant prolongation in, 604-5
IL chord. See mediant seventh chord invention. 427. 571-74
imitation. 70 inversion. 194-95
fugue and. 574-78 inversion (mirror) technique. 575, 708-9. 755
imperfect authentic cadence. 133-34, 136, 182. 275. inverted 5-6 progression. 357
494-95 inverted pedal. 110, 327
imperfect consonance. 17 invertible counterpoint. See double counterpoint
partwriting and. $6. 173. 217 lonian mode, AT—S
implication and realization, 649-63, 686. 695. Italian sixth chord. 540, 541-42, 554. 623. 677
698 in major mode. 544-45
improvisation IV chord. See subdominant triad
cadenza and. 279. 569. 606 iv chord. See minor subdominant chord
as continuous variations, 440 IV’ chord. See subdominant seventh chord
A112 INDEX
J linear chords, 267. See also embellishing chords;

voice-leading chords; specifie chords
jazz, 59-60, 77, 770
linear motion, 155, 236, 333-35, 346. See also
extended tertian harmonies in, 630-31, 637,
645 passing motion
5-6 or 6—5, 642, 674
modes in, AS
chromatic, 540, 592, 593-94, 607, 641-42, 712,
notating, A26
tonic seventh in chord in, 338 729-30, 755, 758, 760, 767, 771
subdominant triad and, 291-94
tritone substitution in, 547, 759
Liszt, Franz
just temperament, A4
“Blume und Duft,” 583
thematic transformation and, 196
K
Locrian mode, A7-8
kev, 41 logarithmic scale, Al
circle of 5ths and, 42-43
loudness, A2-3
keyboard stvle score, 73 lowered leading tone OVIL) chord, 515-16, 678
key signatures, 43-44 lowered mediant (bITT) chord, 513-14, 616-17, 628,
676
L lowered submediant (VI) chord, 511-13, 651
leading tone, 36-37 Lydian mode, A7-S
in descending Sth sequences, 34S
doubled, 347
M
half cadence and, 134 Mahler, Gustav, 754
resolution of, 130, 148-49, 202, 248 major 2nd, 9, 12. Sce also whole step
leading-tone seventh chord, 323-35 major 3rd, 10, 12
affective nature of, 335 implication in two-voice texture, 78
arpeggiation of, 328, 332 major 6th, 11, 12
as embellishing harmony, 324 implication in two-voice texture. 78
as enharmonic pivot chord, 723 major 7th, 11, 12
first-inversion, 326-27 major LOth, 12
in major mode, 333-34 major-major-major (MMM) ninth chord, 636
in minor mode, 323-32 major-minor-major (MmM) ninth chord, 631,
as mixture chord, 505 799
Neapolitan sixth and, 526 major-minor-mMinor (Mim) ninth chord, 631
prolongation function of, 325-32 major-minor seventh chord, 62, 667, 698, 726
325 26 chromatic p tedbedisin aid, 706
secondary dominants and, 366 commercial chord symbols for, A27
second-inversion, 327, 333, 739 dominant seventh as. 146-47
third-inversion, 328 octatonic scale and. A13
in tonic prolongation, 459 subdominant seventh as, 335
leading-tone triad. See also subtonic triad major mode, 35-36, ATS
first-inversion, 200-207 major scale, 505, 670
examples in music literature, 205 major seventh chord, 62, 335
uses of, 203-4 commercial chord svmbols for. A27
leadsheet, 60, A26 major triads, 56. See also specific chords
leaping tone, 102, 111 chromatic parallelism and. 706
ledger line. 6 doubling in, 75
leitmotits, 687, 659, 692, 694. 695, 698, 742 inversions of, 57-58
Lento, 307 Roman numerals for, 1 1S—19
less conclusive cadence, 47, 49 root position, 56-57
Lieder, 518 spelling of, 59
INDEX AII138
tieaches, 21.27. 390, 604. 714 vith fone seventh chord 33t 33
in binary form, 429 with linear dominant chords, 216-19
ka, 39N, 132 With miediaat and subiriediaat chords, JO4-5
meaning in risic, BIS 19,65) Is 2]
measure, 22 with modulations, 401-3
mediant, 36 with modulations to closely related kevs, 494-97
mediant kev, modulation to, 486, 565 with modulations to foreign keys, 627-28
mediant seventh chord, 340 Neapolitan chord, 534-35
with
mediant triad, 290-91, 297-301 with
primary triads, 140-42
altered, 516-17, 520 with
secondary dominants, 383
as cadential goal, 516-17, 520 with
second-inversion triads, 280
falling Sths sequence with, 298 supertonic chords, 237-39
with
first inversion, 300-302 suspensions, 254-55
with
in minor mode, 299 with
tonic prolongation, 159-60
in relative major, 299 transposition of, 40-41
root-position, within the phrase, 297-300 writing, 82-83, 56
assecondary mixture chord in major, 516-17, 520 melody and accompaniment, 69, 71
as sitbstitiite for Fo chard, 298 Mondelssohu, Felix
tomozation of te niger mode 373 76 Ronde Capricetass $n
tonicization of (in minor mode), 376-77 meter, 22-31, 307-22
melodic cadences, 46-48 asymmetrical, 309-10
melodic chromaticism, 474-76 changes of, 320, 321
melodic design, 182 fast complex, 310-11
melodic figuration and dissonance, 94-113, 118, hypermetric level, 189
2412-66. Sec ahe SHISPeTISTOTIS polmeter, 318-19, 321
affective nature of, 260-62 substituted, 317-18, 321
categories of, 98-99 meter signatures, 26-28
Chiboi alii scqucices, 42-22 Wa
Vr) slow or very bast tenupo, 501-9
interplay with harmony, 285-86 metrical accents, 24
perception of, 110-11 inetrical consonance, 311
riedodic internal 9 metrical Jissornuice 315-21
inelodic inversion, 194-95 metrical grouping, See meter
melodic minor scale, 38, 691 metrical hierarchy, 23-24
melodic mirroring, 194-95 metric shift, 319, 321
melodic motion metronome markings, 21
chromatic, 474-76, 585 Meyer, Leonard, 647, 649
diatonic, $3-S4, 139, 368 Middle Ages, scales in, 7
types of, ST-S9 middleground, 460
raehodic phieases, 19 16 minor 2nd 9, 12 Sooo half step
melody, 32, 44-45 minor 3rd, 10, 12
compound, 152, 157, 158, 160, 210, 232 implication in two-voice texture, 7S
cribclishing fones i 95 96 minor 6th, 11, 12
harmonization of implication in two-voice texture, 78
with augmented sixth chords, 555 minor 7th, 11, 12
counterpoint and. Al4 minor-minor-major (mmM) ninth chord. 636
with embellishing chromatic chords. 598-99 minor mode, 35, 36—39
i 1, 262 G4 minor scale, 36-39
with first-inversion chords 172 75 minor seventh chord, 62, 335
cnidetines for 142 360 commercial chard sinbals for \OT

with harmonic sequences. 360-63 minor subdominant triad, 507-11
Al1l4 INDEX
minor tonic triad, 506 by pivot chord or common chord, 390-91, 396,
minor triads, 56, 118-19. See also specific chords 402, 488-89, 496, 498, 615, 621-24, 627,
doubling in, 75 704, 719-26, 730
inversions of, 57-58 to relative major (minor mode), 396-401
root position, 56-57 Roman numeral depiction of, 389
spelling of, 59 sectional, 390, 396, 398, 402, 460, 488, 498, 727,
minuets and trios, 390, 433, 453-54 731
of Beethoven, 453-67 by strict harmonic sequence, 727-29, 73]
mirror technique. See inversion technique transient, 387, 402, 487
Minoly dian mode, ATS Iwo reprise design and, 429-31
mixture chords, 501-2, 505, 520 Mombert, Aldred
as altered pivot chords, 621 23 Der Clithende, 755
double, 595, 598 monophonic texture, 67-68, 71
enharmonic spelling of, 518-19 monothematic exposition, 564
e\atiples In otsic Titeratire. B78, 6S6, 695 Monteverdi Cliuidio
in major mode, 505-16 Orfeo, 127
in minor mode, 516 Morgan, Robert, 698n
modal ambiguity and, 597-98 motif, 193
within phagal cadences, FOS motives, 198. Soe deitiatifs
secondary, 516-17 in Beethoven, 455-60, 464, 466-67
tonicization of, 598 in Berg, 758-61, 767-69, 768
modal anibigiits ehroniaticisii and S97 9% dovclopricul of 19396
modal chords, 302-3 harmonic sequences and, 421-22
modal exchange, 501, 502-4, 520) pitch and rhythinic, 196-97
Moderato, 21 in Tchaikovsky, 750
modulation, 366, 386-405 motivic development, 193-96
Clromiitic, 392-93, 396 102. FSS. 190 19S rootta Crenies, 738
hy Chroniitic dteration of dininished seventh Mozart. Wolfe Aritelons

chords, 726 27. 741 comerrtos of IBF OS 309
by chromatye Tinea progression. F294 40.7351 A Al Joke 650

to closch related hes 483-500 Overtare ta Den Giow anid 696
process of, 485-91 Piano Concerto in B-flat major, K.450, 567
relative Prequencs {SO FOS Piano Sonahei Doangyor K2St ted
by common tone, 619-21, 626, 627 Piano Sonata in A major, K.331, 444, 445
in development section, 564 Piano Sonata in B-flat major, K.333, 567
direct, 390 Requiem, 576
to donunarnt kev jor mode, Yo-yo Rondo uA Minor, 445
enharmonic, 621-24, 719-26, 730, 767 rondos of, 450
extended, 486-88 Svinphony No SS iD) Majer Pranic”, K 504
to foreign keys, 552, 612-29, 719-34 AST
by change of mode, 614-18, 627 Symphony No. 40 in G minor, K.550, 565
by common tone, 619-21, 626, 627 music aesthetics. 647-49
in development sections, 626-27 musica ficta, 473
in major mode, 613-24, 627
in minor mode, 624-25 N
by pivot chord, 621-24, 627 Nahowsky. Helene. 755-56
half cadence and, 370 natural minor scale, 37-38, 505. 670, A7-8
harmonic sequences as means of, 417 natural pitch classes, 7
methods of, 390-93 natural sign, 8
INDEX A115
Neapolitan (11) chord, 524-37 non-harmonic figuration, 96
as altered pivot chord, 621 non-harmonic tone, 95
as cadential pre-dominant chord, 525-27, 709 nonparallel period, 183-84, 185
as embellishing chord, 527-28, 535 nonsequential chromatic voice leading, 713-14
German sixth chord and, 552 normative procedures. 649-51
in major mode, 527 notation
in minor mode, 525-27 of pitch, 4-6
as neighbor to the tonic, 532 of rhythm, 24-25, 28-29
other uses of, 530-32 staff, 5
prolongation or elaboration of, 529-30 in voice-leading reductions, 96. 137, 142-43, 151
in root position, 530—31 note-against-note stvle, A16
terminology of, 525 note values, 24
tonicization of, 533-34, 595, 624, 681
neighboring chords, 327, 712. See also embellishing
U
chords; specifte chords oblique motion, 84, 87, 217, A26
consonant, 109, 155, 171 oboe, A35
neighboring motion, 201 octatonic scale, 698, 739, A12-13
augmented sixth chords and, 540 octave(s), 4-5, 10, 12. See also direct octaves:
augmented triads in, 581-84 parallel octaves
in bass, 204 chordal spacing and, 74
dominant chords in, 202-3 as consonance, 17
embellishing chromatic chords in, 580, 598 contrary, 88

embellishing diminished-seventh chords in, 587 doubled, 87
German sixth chord in, 590-92, 598 implication in bwo-voice texture, 78
thirteenth chords in, 641 interval inversion and, 15
tonic embellishment with, 151, 154, 158, 169 parallel, 87
neighboring tones, 99, 127-28. See also incomplete partwriting and, 87-89, 217
neighbors symmetrical divisions of. 735-53
accented, 105, 110-11 omnibus sequence, 746-49
chromatic, 474 one-part form, 427-28
consonant, 109 open (full) score, 72-73
dominant seventh and, 147-48, 149-50, 206-7 open/octave structure, 74, 166
double, 102, 111, 210-11, A22 open phrase. 132, 134, 1S]
extended tertian harmonies and, 631 open structure, 74, 76-77, 129-31, 224
incomplete, 102-4 oral transmission, 4
leading-tone seventh and, 325 orchestral exposition (T1), 568
ninth chords and, 632 ornamental resolution, 249
in third-species counterpoint, A2 1-22 oscilloscope, Al, A2. A5
unaccented, 100, 110-11, 26] ostinato, 440
neoclassical style, 451n overtones, A3
neutral structure, 74
ninth chords, 631-37 P
classification of, 631 Pachelbel. Johannes
commercial chord svmbols tor, A28—29 Canon in D Major. 440n
dominant, 631-36 Palestrina, Giovanni Pierluigi da, A15
non-dominant, 636-37 parallel 5ths, 87
non-diatonic harmony. See chromatic harmony added sixth or ninth chords and. 644
non-diatonic kevs, 612 ascending stepwise triads and. 673
non-dominant ninth chords, 636-37, 644 augmented triads and. 583
A1I6 INDEX
parallel 5ths (continued) for chords a diatonic 3rd apart, 298

avoiding, 148, 149, 174, 175, 202-3, 497, A19 for deceptive cadences, 295
chordal doubling and, 90-91 with descending 5th sequences, 348, 350
composers uses of, 706, 712 with dominant triads, 202-4
deceptive cadener and, 295 with erohelishing diminished sevouth chards 387
enibeHishing tones ane 256 crabollishing fones iy 262 64
in flamenco music, 303 with first-inversion tonic and subdominant,
IV-V chords and, 131 165-66
German sixth chord and, 543, 548, 551, 554 in four-voice texture, 82-93
leading-tone seventh chord and, 333 with German sixth chord, 590
ninth chords and, 637 guidelines for, 91
root movement by 2nds and, 352—53, 355 with leading-tone seventh chord in major mode,
rook iavetient In Srds cad, 7 59 13 13 17 1
secondary augmented sixth chords and, 546 with leading-tone seventh chord in minor mode,
similar motion and, 217 325-28
staggered, 355-59, 407. 414, 674, 677 with Neapolitan chord, 525-26
as stvle deviation, 650 primary triads and, 129-31
subdominant seventh chord and, 335, 340 with supertonic chords, 224-25
submediant chord and, 293 suspension chains and, 248
Sper borne « ford anid 994 95,238 pessacaglin, 303, 138) 39, 672
suspension chains and, 248 passing 9, 273-74
parallel keys, 41 passing chords. See embellishing chords: passing
introduction in, 566 motion; specific chords
mivture hoards wid, GA6, 59% passing miotion 164, 169
modal exchange and, 502-4 augmented sixth chords and, 540
modulation by, 614-15 augmented triads in, 551-84
parallel minor, 616 in bass, 201
parallel motion, 83-84, 87 chromatic, 603-4
chordal doubling and, 90-91 consonant, 155, 171
first Giversion Chords and. 165 168 dominant chords in. 202 3
pobsoifingand 75) 22f 25 embellishing clrotncdic chords in SSA 585.598
prin. triads aad T3044 cribeltishinws diniinished-seycrthi chords in 387,
parallel octaves, 87 589
ANC
euding Stepwise: triads and 673 Gorman sith chord in, 390 92. 598
avidin Wt 175. 202 4 ATS Sen
oni domiinants in, 370-71
Choral doubtines ai 9] 90° tonic cnibelishinent with, 151 154
deceptive cadence and, 295 passing tones. 99, 127-28

IV-V chords and, 131 accented, 104-5, 110-11, A22
root movement by 2nds and. 352-53 chromatic, 474. 479
similar motion and, 217 consonant, 109, 168
sper tt nic Chords and 224 236 dornitant seventh ancl 147 $$. 219 50, 206-7
SHISPCTISTOn chains veri. 24S interaction of 256
pu ated peri wl 183,185 siiypenision preparation as. 251
parallel SF mn iirc spec ies Counterpoint AQT 22
Parker, Charlie unaceented, 99, 110-11. 261
“Ornithology.” 506 pedal .275-77
peabsiiting 76,85, 11S pedal point TOLSTT Ta See dhe dormir pedid
with augmented sixth chords, 541-43 tonic pedal
with cadential 270 .
pentatonic scale. 619. 643, 644, AQ-10

INDEX AII7
perfect 4th, LO, 12, 14-15 Plevel, Ignaz. 191
as dissonance, 17. 267, 275-77 polkas, 390. 604, 711
parallel, S7 polyineter, 318-19, 321
pertect 5th. 10, 12, 14-15. See also parallel 5ths polyphonic texture, 70, 473. See also contrapuntal
as consonance, 17 texture
contrary, 88 polvrhythm, 318, 321
implication in two-voice texture. 7S pop chord symbols, See coumercial chord symbols
parallel, 87 popular songs
partwriting and, S7-S9, 217 absence of tonal closure in, 696
root position and, 58 altered dominant seventh chords in, 583-86
perfect 12th, 12 embellishing diminished sevenths in, 58S—S9
perfect authentic cadence, 133, 136, 141, 226 lowered leading tone chord in, 515-16
perfect consonance, 17 mediant seventh chord in, 340
perfect intervals, 10, 12 minor tonic chord in, 506
parallel, 87-89, 131 quatrain form in, 436
partwriting and, 173, 217 sequences in, 40%—S
periodicity, 653 submediant chord in, 293
periods, 181-84 tonal scheme in, 494
double, 184-85 tonic seventh in chord in, 338
extended, 191-92 Porter, Cole
nonparallel, 143-84 “Pve Got You Under My Skin# 547
parallel, 183 Poulenc, Francis
phrase elision, 190 Trio for Oboe, Bassoon, and Piano, 4511
phrase extension, 189-90 pre-dominant chords. 121, 122. See also
phrase groups, 158, 184, 185, 454. 458-60, 464. subdominant triad: supertonic triad
653 as mixture chords, 507-11
phrase periodicity, 46, 187-89 Neapolitan chord as substitute for, 525-27, 535
phrases, 45-46, 179-99 prolongation of. 234-36, 531
cadential expansion within, 137-40 preparation (of 7th). 147-49. See also chordal 7th.
closed, 132 treatment of
extension or contraction of, 189-90 in leading-tone seventh chord, 223
lengths of. 179-81, 1ST, 191-92 in subdominant seventh chord, 335-37
open. 132 in supertonic seventh chord, 223
periods and. 151-84 preparation (of 9th). 632. 644

sub-phrases. 192 preparation (of suspensions). 106. See also under
tonic prolongation within, 151-53 suspensions
Phrygian cadence. 168. See also under cadences Presto, 2]
Phrvgian mode. AT-S primary chords. 128-31. See also dominant triad:
Picardy 3rd, 128.516 subdominant triad: tonic triad
piccolo, A36 partwriting connections between, 129-31
pitch. 3, AO-2 relationships between, 129
notation of, 4-6 prime. See unison
pitch class. 7 program music, 504, 511. 685-99. 743-44. 767-65
pitch motive, 196-97 Prvor, Arthur
pitch register, 6-7 The Bluebells of Scotland. 441
pivot chords, modulation by. 390-91, 396. 402. Puccini. Giacomo. 754
4S5—S9. 496. 495. 615. 621-24. 627. TOF. pulse. See beat
719-26. 730. 767 Purcell. Henry
plagal cadence. 135-36 Dido and Aeneas. 440n
A118 INDEX
Q rhythm, 20-31, 307-22

notation of, 24-25, 28-29
quadruple meter, 22
polyrhythm, 318
compound, 24, 27
suspension duration and, 244-45
conducting pattern for, A32-33
rhythmic consonance, 311
quatrain form, 186, 436, 494
rhythmic dissonance, 311-12
quintuple meter, 310
rhythmic modification (of motives), 194-95
conducting pattern for, A33
rhythmic motive, 196-97
ritardando, 21
R rock music, 630, A8
Rachmaninoff, Sergei, 754 Rodgers, Richard
concertos of, 569 “My Funny Valentine,” 696
Rhapsody on a Theme of Paganini, 445n Roman numerals, 118-20
wt
rags, 390, 604,711 for altered dontinant seventh Chords, 58!
Raison, Andie 138 fon
anenicrited sixth, Chords. S41
Ravel, Maurice for chromatic harmonies, 481
Valses nobles et sentimentals, 744 for chromatic parallel chords, 706
real imitation, 575 for chromatic sequences, 671
realization, implication and, 649-63 for embellishing chords, 716, 717
recapitulation, 560, 564 tor extended tertian harmonies, 631
in concerto form, 569 guidelines for, 119
recitative, 612, 627 for linear chords, 593
reductive uth SIN, See Voit cleading rechic torts for dnisture Chords, 505
referential meanings, 648-49 for modulations, 389, 391, 402, 487
refrain, 186, 445 for pivot chords, 720
relative keys, 41 for primary chords, 128
relatiy inajor, 299 for rot position aniienited triuls SSt 83
miodiubition to, 306 9S. ASG fon
secondary domiitianits, 366
relative minor, 617-18 Romantic period
mouubition to, $6 au nenited sith chords in, 545, 550
Renaissance dominant ninth chords in, 634-35
contrapuntal texture in, AV extended tertian harmonies i, 630
modal chords in, 302 mixture chords in, 509-11
musica ficta in, 473 modal exchange in, 502-4
scales in, 8 modulation in, 612, 617
repetition (of motives), 193-94 rondos in, 451n
reprise, 429. See also two-reprise design ternary form in, 432
resolution (of 7th), 147-49. See also chordal 7th. rondo form, 445-51, 494
treatment of dominant prolongation in, 605
Mi Jou tome sevetth chord 223. 328 Ave part, 446050
in subdominant seventh chord, 335-37 sectional modulation in, 615, 616
in supertonic seventh chord, 223 seven-part, 446, 450-51, 567
resolution (of 9th), 632, 637. 644 sonata-rondo, 446
resolution cof siispersions’, 106. Se dhounder root, 56
suspensions altered, 481
retardation, 252 tripled, 148, 149
retransition, 433, 564 root movement, 118, 121
in concerto form, 569 by 2nds, 352-56, 735, 749
dominant prolongation in, 454, 491, 605-6, 626 major, 738-39
INDEX A119
by 3rds, 735, 749 melodic function of, 44-45

ascending, 357-59 in minor scales, 36-39
descending, 357-59 modal borrowing and, 505
major, 741-43, 750 Roman numeral and, 118
minor, 739-41, 750 in supertonic chords, 237
by 4ths, 770 tonicization of, 366, 367-68
by 5ths, 749, 759, 760 scherzo, 454
ascending, 351-52 Schoenberg, Arnold, 596-97, 754-55
descending, 346-51, 486, 493, 694, 735, String Quartet No. 2, 771
744-46, 764, 769 Schubert, Franz
chromatic, 704—6 “Erlkénig,” 525
harmonic sequences and, 342-46 Fantasy in F Minor tor piano four-hands, 533
nested, 745 modal exchange used by, 502
symmetrical, 736, 737-44 Octet in F Major, 533
by tritone, 743-44, 749 songs, 696
root position, 56 “Trockne Blumen,” 429
root position seventh chords, 62 6% Wiiterreise, 525
dominant, 146-47 Schumann, Robert
SEC UCTIOGS of, 196 9. 120 Denvidshiindertancw: No $533
root-position triads, 56-57, 172 See dhe sper ift Scriabin, Alexander, 734
chords secondary augmented sixth chords, 545-47, 554
it ascending Std x quences, 359 secondary dominauts, 365-85, 493, 605
in ascending stepwise sequences, B73 74 altered dorinant seveuth chords as, 386, 667
at cadences, 132 approaching altered notes in, 367-69
fined Yass and, 60 aniienited sivth chords resobing to, 945 IT
implied, 77-78 chromatic, 582, 586
sequences in stepwise motion, 355-56 as embellishing chords, 366, 369, 370-7]
spelling of, 59 in half cadences, 369-70

SHSPCHISIOHS and, 246 in SECTIEHICOS, 379 $2) 472 15, 120, 669,
voice movement within, T6-77 674
Rota, Nino prolongation of, 747
The Godfather, 535 third-inversion, 373, 678
rounded binary form, 454 secondary mixture chord, 516
rounded two-reprise design, 432, 454 second-inversion triads, 57, 267-80
rubato, 21 accented or cadential, 268-73, 278-80
prolongation of, 606-8
arpeggiated, 277-78
Saint-Saéns, Camille figured bass and, 60
Tatrode tion and Ronda Cupricetr passing. 273 74
scale, 33 pedal, 275-77
relative kev and, 41 standard uses of, 267
transposition of, 40-41 second theme group, 563-64
scale degrees (or steps), 36 Second Viennese School. 754
altered, 367-68, 471, 501-2 sectional modulation, 390. See also under
#5 vs. b6, 518-19 modulation
ticadential formaias, 226 27) 495 49% sectoral [Woereprise design, 429-31
in dominant chords, 200, 201. 203 sectional variations, 441~45
harmonic tendencies of, 121-23. 471-72 semitone. See half step
in major scale, 35-36 sentence torm, 193
A120 INDEX
sequences, 123, 194-96, 652. See also chromatic introduction in, 566
sequences; harmonic sequences recapitulation in, 564
sequential modulation, 727-29, 731 sectional modulation in, 398, 615
sequential root movement, 342-43 tonal structure of, 565-66
set theory, 759n sonata-rondo form, 567
seven-part rondo, 450-51 sonatina form, 567
seventh chords, 62-63, 118. See also specific seventh sone, A2
chords soprano range, 72
altered, 481 species technique, AL5
apparent, 284-85 split 3rd, A28—30
commercial chord symbols for, A27-28 staff notation, 5
in close ending one SECTICTICES, ti7 1S staggered parallels Sei parallel Sths
in descending Stepsvise riotion, $19) 20 stead State, AS
doubling in, 76 Strauss, Johann
figiired Tats \\ rahols for, 1179 290 waltves of, BOA
implied, 78 Strauss, Richard, 754
inversions of, 64 Death and Transfiguration, 279
in sequences, 409-12 thematic transformation and, 196
sequences of, 406-12, 420 Stravinsky, Igor
wnsual treatments, 17 20 for Tivo Pinos,
Concerto 576
Siispension finiires m, 252 53 The Rite of Spring rier:
sevtniple mieten, conducting pattern for, AS Symphony of Pralins 110
sforsandi markings, 314 stretto, 575
sharp sign, 8 strict texture, 71-72
spelling intervals with, 13 14 string qinatet, 72
Sibelius, Jan, 754 strophic form, 186
similar motion, 83, 87, 217, A26 structural chromaticism, 479
siiple division, 23 sty tesystein, 649
siniple duple miele, 23, 24, 27 subdominant, 36
simple interval, 12 modulation to, 486
siniple meter, 23, 28 sabdominet seventh chard, 335-37
simple quadruple meter, 23, 24, 26, 27 subdominant triad, 126, 128-31
simple quintuple meter, 310 first-inversion, 164-78, 678
simiple triple Teter, 23, 24 27 as cmbellishing chord. 169 7A, 205 10
sine tone, A3 minor, 507-11
single meter use of, 167-68
compound, 309 plagal cadence and, 135

conducting pattern for, A33 tonicization of, 371-73. 564
* hhords: Seo firsteinversion triads uses of, 936
8 chords See second inversion triads subject, 575

small song form, 186 submediant, 36-37
solo exposition (S1), 565 modulation to, 486
sonata, 558 submediant seventh chord. 340
sonata form, 558-67 submediant triad, 290-97
coda in, 566 in deceptive cadence, 294-95
Concerto forms compared with, 36S fistamversion, 300) 302
development in, 564 in V-vi progression, 295-97

dominant prolongation in. 605 root position, 291-94
exposition ui SO3 O4 as seibstituite for sbdowianant 293
INDEX AI21
tonicization of ‘in tijor mode’ 373 76 617 in for Voice fextiire. 248 255.353. 355 107
tonicization of (in minor mode), 376-77 in Neapolitan cadence, 529
sub-phrase, 192 in species counterpoint, A22
substituted beat disision, 312, 315 ne bwo voice texte, 213 -f4
substituted meter, 317-18, 321 9-8, 336

sibtonic 38 int four voice texture, 216 AT, 249 50, 255
if modubation ta, $6 ie species counterpotit, A22
subtonic seventh chord, 340 in two-voice texture, 243-44
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subtoiie tind See ahve Touding fone trical affective force of 261 62
Drodnor mode. 303, 376 oripositionsad
device 253 54
suite, 429, 437, 453 dominant seventh and, 147-48, 149-50, 206
stipeditaposed beat division, 313, 315 double, 251-52
supertonic, 36 of entire chord, 252
half cadence and, 134 extended tertian harmonies and, 631
modulation to, 486 in four-voice texture, 246-48
supertonic seventh chord, 222-41, 224-25 multiple, 251-53
necadeaitia) formas, 225° 29 rath cliords wid, 6 32
iW
cbellishing progressions, 229 50 ormaetitab resolutions of, 2-49
exauiples tnanuisic literature 230 31 prepa ation andaresultition of 2h 246 248, 262.
supertonic triad, 222-41 325, 335
inecadetitiad formas, 2925 29 thy thanic Considerations, 244 45
i cribeTishine PLOSLeSsTOnts, IAQ BO A377
39 secondary dominants wid, 37007]
examples in music literature, 230-34 supertonic seventh chord and, 222, 225
partwriting with, 224-25 in two-voice texture, 242-46
prolongation of, 234-36 types of, 243-44
tonicization of in Tagan mock 373 76 SN
nonetrical divisions of the octave, 735-53
surprise, 663-64 syncopation, 314, 315, 654
suspension chains, 246-48, 406-7
suspension dissonance, 106, 261
T
suspensions, L05-7, 110-11, 242-55 Tchaikovsky, Peter
2-1, 250 concertos of, 569
2-3 Nutcracker ballet, 436
in four-voice texture, 248, 255 Symphony No. 4 in F Minor, 566
in species counterpoint, A22 Symphony No. 6 in B minor (“Pathétique”),
in two-voice texture. 243-44 664
4-3, 712 temperament, 8, A2
in eleventh chords. 638 tempo, 21
in four-voice texture, 246-47, 255 changes in, 21
interaction with embellishing tones. 256 markings, 21
in New titer cadence 529 sitnatiie al 26 27
in species counterpoint, A22 phrase length and. 180
in two-voice texture, 243—44 tendency tone. 45
6-5 tenor clef. 6, 310
in four-voice texture. 250 tenor range. 72
German sixth chord and. 543. 581 ternary form, 187, 432-36, 750
in species counterpoint. A22 dominant prolongation in. 605
7-6. 336 of minuet, 454
augmented sixth chords and, 535 sectional modulation and, 390. 398
descending chromatic tetrachord and, 672 sectional modulation in. 615
A122 INDEX
tertian chords, 56 closely related keys, 483-500

extended, A28-30 extent of, 486-88, 491
text painting, 502-3, 664, 688, 698, 755, 764, 767 relative frequency, 486
absence of tonal closure and, 696 of dominant triads, 369-71, 414, 604
augmented triads and, 583 of mediant chord (major mode), 373-76
change-of-mode modulation and, 617 of mediant chord (minor mode), 376-77
chromaticism and, 709 of mixture chords, 598
Neapolitan chord and, 525 of Neapolitan chord, 533-34, 595, 624, 681
pre-dominant mixture chords and, 511, 520 secondary dominant chords and, 365-85, 674
tritone and, 722-23 strength and duration of, 386-88
texture, 67 of subdominant chord, 371-73, 564
categories of, 67-71 of submediant chord (major mode), 373-76, 617
chordal (homorhythmnic), 68-69 of submediant chord (minor mode), 376-77
contrapuntal, 70, 71, 427, 569-75 of subtonic chord (minor mode), 376-77
five-voice, 631, 644 of supertonic chord (major mode), 373-76
four-voice, 72-77 transient, 693
chordal spacing in, 74 tonic pedal, 285, 336, 371
doubling in, 75-76, 90-91, 165-66 tonic prolongation, 127-28, 458-59, 460, 464
extended tertian harmonies in, 631 arpeggiated, 151-53
partwriting in, 82-93 first-inversion tonic chord and. 166
horophouic 68 69,71, 127 Isis embellishing chords, 15.4 59, 2090 10,
monophonic 267 OS. 7] 219 1h. 229 30,293, 325 32 1 78
72
SMrietis free 7) tonie seventh chard. 338-39
two-voice, 77-78 tonic triad, 120, 126, 128—45
theriatic design, 183 cadences and, 132. 36
thernatic tiaisfortmiation, 196, 69S COTSOT IIE Passi, 9S) 82
theme, 441 as embellishing chord, 17]
theme and variations, 441-45. See also sectional first-inversion, 164-78
variations as embellishing chord, 170-71
thirteenth chords, 639~42, 770, A29-30 mediant chord as substitute for, 298
thor oushbass Seu
flanred Tass of, L166. 67
tie, 24, 29 minor, 506
“Till Eulenspiege? Chard 553 polait between dominant aid. 3b 32
timbre, A3-5 second-inversion, 273, 374-75
time sigtaadtiine See tiefer signature transferred resobition fof herdal Tue, 214-15
toccata, 612 transient inodulitions, 387, 102, 487
tonal closure, 126 transition, 563
lack of. 685, 696 transposing instruments, 40-41, 435-38
tonal imitation, 575 transposition, 40-41
tonality, 34, 126 treble clef, 6
tonal schemes, 768-71 tenor and, 72-73
within a movement, 491-94 triad inversions, 57
using SV tine Erie aboctave division T1932 fined Tass a tithols fon 119 20
tonal structure, 182, 427 triad(s), 56, 111, 118, 126-45. See also specific
tone, AQ chords and positions
tonic, 33-35, 36 commercial chord symbols for, A26-27
altered, 762 in descending 5th sequences, 347-51
tonicization. 366, 738 Roman numerals for. 115-19
in closed tonal forms. 456-87 spelling and notation of, 59
INDEX A123
trichord. 759 implication in two-voice texture, 78
trios. See minuets and trios parallel. 87
triple counterpoint, 575 upbeat, 22, A31
tripled root, 148, 149
Vv
triple meter, 22
compound. 24, 27 V chord. See dominant triad
conducting pattern for, A32 \® chord. See dominant triad (first-inversion)
triplets, 312 V' chord. See dominant seventh chord

“Vristan” chord, 553, 687-88, 694, 698, 768 V8 chord. See dominant seventh chord (first-
tritone(s), 11, 12. 709. See also augmented 4th: inversion)
diminished 5th Vi chord. See dominant seventh chord (second-
as dissonance. 17 inversion)
in dominant seventh chord, 148 V3 chord. See dominant seventh chord (third-
in French sisth chord, 542 inversion)
in leading-tone seventh chord, 324 vagrant chords, 596-97, 598
parallel, 667 variable chords, 121
partwriting and, 217 variation form, 436-37
root movement by, 743-44 continuous variations, 435-41, 755
in secondary dominant chains, 379. 412 descending chromatic tetrachord in, 672
in seventh chords. 63, T06 sectional variations, 441-45
text painting and, 722-23 Verdi, Giuseppe
tritone substitution, 546-47, 725, 739 Falstaff. 576
trombone, A385 Vi chord. See submediant triad
trumpet, A37-38 VI. See submediant seventh chord
truncation. See contraction vibration tone, A3—5
(TT/P4) trichord, 759, 767, T6870 VU triad. See subtonic triad
tuba. A35 vii?’ chord. See Icading-tone seventh chord
tuning svstems, 454, A2, Ad vii?’ chord. See leading-tone triad (first-inversion)
tutti. 56S—69, 575 viola, A35
two-reprise design, 429, 493 violin, A385
balanced, 430, 560 Vivace, 307
in Baroque period. 429-31 V-INV’ progression, 282-84
continuous, 429-31 vocal music
dominant prolongation in. 605 absence of tonal closure in. 696
in minuet, 4594 modal exchange in, 502-3
rounded. 432, 560 notation in, 29
sonata form compared with. 538-61 vocal ranges. 72
voice crossing. 89
voice exchange. 167, 274. 421-22. 466. 67S. 764
U chromatic, 167, GOS. 709. 710-11
unaccented neighboring tone. 100, 110-11. 261 examples of, 692
unaccented passing tone. 99, 110-11. 261 voice leading, 85, 115
undotted notes. 24, 25 chromatic. 666-61. .03—1S. 732
unequal 5ths. 88, 206-7 by contrary motion. T4649
avoiding. 526 cross relations and. 37S
leading-tone seventh and. 325 embedded motion. 204
unifving factors. 466-67 nonsequential chromatic. 713-14
unison. 10, 12 between primary triads, 129-31
as consonance, 17 in rounded binary forms. 454
Al24 INDEX
voice leading (continued) Ww
secondary dominants and, 368

Wagner, Richard
in sequences, 347, 350, 352, 355-56
Die Meistersinger, 576
voice-leading chords, 236. See also linear motion: modal exchange used by. 502
passing motion On the Overture, 691
mediant as, 300-302
Parsifal, 758
submediant as, 291-94, 300-302
Der Ring des Nibelungen, 525, 687, 698
voice-leading reductions, 96, 137, 142-43 Tristan und Isolde
augmented sixth chords in, 540 “Liebestod,” 755, 770
augmented triads in, 581-82 Prelude to Act I, 609, 764. 768
background, 465, 565 Walton, William
cadential } in, 268
Richard HI, closing passage, 645-49
of chromatic passages, 716
waltzes, 390, 604
counterpoint in, Al4, A25 The” 293
“Wav You Look Tonight,
double slash in, 396, 398
Webern, Anton, 754-55, 771
embellishing chords in, 28]
well-tempered tuning system, 454
embellishing tones in, 256-59
white-key pitch collection. See diatonic pitch
foreground, 460 collection
guidelines for, 137 white kevs, 4, 7, 32-33
middleground, 460 whole step or tone, 9
modulation and, 393-96
whole-tone chords, 553, 586
norms and deviations in, 664
whole-tone scale, 738, 762. AL1-12
secondary dominants in, 369, 374 Wolf, Hugo, songs of. 696
sequences and, 347-48, 351
shar mark in, 151 Y
suspensions in, 243 “Yankee Doodle,” 22-23, 25
tonicization and, 487
Yellin, Victor, 746
voice overlap, 90, 174
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Bear, Stick, Gina, and Dark Angel

PREFACE (TO THE TEACHER) XXi1

INTRODUCTION (TO THE STUDENT) Xx1x

PART ONE THE BASIC ELEMENTS OF MUSIC

CHAPTER 1. Pitchand Intervals

Simple and Compound Intervals 12 A BRIEF REVIEW SELF-QUIZ 1S

The Beat and Tempo 20 Meter Signatures in Moderate Tempo 26

3 Tonic, Scale, and Melody 32

Tonic and Tonality 32 The Function of Scale Degrees

Diatonic Scale Degrees 36 Melodic Phrases 45

The Minor Mode and Minor Scale 36 Melodic Cadences 46

The Transposition of Scales Two Melodic Analyses 49

The Circle of 5ths 42 A BRIEF REVIEW SELF-QUIZ 52

CHAPTER 4. Triads and Seventh Chords 55

Root-Position Major and Minor Triads 56 Seventh Chords 62

Triad Spelling and Notation 59 REVIEW 65

59 A BRIEF REVIEW SELF-QUIZ 65

cuapteR 5 Musical Texture and Chordal Spacing 67

Basic Categories of Texture 67 Voice Movement within the Same

Doubling in Four-Voice Chords 75 A BRIEF REVIEW SELF-OUIZ 79

Criteria for Melodic Writing 82 Perfect Intervals in Succession 87

Principles of Melodic Writing 86 REVIEW 9

cHuapter 7 Melodic Figuration and Dissonance I:

Essential and Embellishing Notes 95 Accented/Leaping Embellishing

Melody 96 Free Tones 108

Categories of Dissonant Embellishing Consonant Embellishing Tones 109

PART TWO DIATONIC HARMONY

CHAPTER §S Introduction to Diatonic Harmony iam

Aspects of Harmony 117 The Influence of Melodic Sequences

Harmonic Tendency 120 Harmonic Models 123

Tendency 121 A BRIEF REVIEW SELF-QUIZ 124

sg The Primary Triads: TONIC. DOMINANT, AND SUBDOMINANT CHORDS 126

Tonality as the Extension of Tonic The Half Cadence 134

The Dominant Seventh in Root Melody Harmonization 159

Prolongation of Tonic Harmony using

cHuaerer ait The Tonic and Subdominant Triads in First Inversion:

Partwriting with the I® and IV® 165 Melody Harmonization 172

The Use of the IV° 167 TERMS AND CONCEPTS FOR

The IV as an Embellishing Chord 169 REVIEW J77

cuHaprer 12. Phrase Structure and Grouping 179

Phrase Length 179 The Internal Anatomy of Phrases:

Phrase Periodicity 187 TERMS AND CONCEPTS FOR

Varied Phrase Lengths 191

CHAPTER 13. Linear Dominant Chords: vie. AND INVERSIONS OF V7 200

Uses of the V° and vii® 202

Embedded Voice-Leading Motion 204 Extended Embellishment of the Tonic

Arpeggiated Extensions of Dominant

The Pre-Dominant II and II’ Chords

The Supertonic Family 222 Prolongation of the Pre-Dominant

Examples of Supertonic Harmony in Music

cHaptreR 15. Melodic F iguration and Dissonance II:

Suspensions in Two-Voice Texture 242 The Interaction of Consecutive

Robert Gauldin - Harmonic Practice in Tonal Music-W. W. Norton & Company (2004)

Robert Gauldin - Harmonic Practice in Tonal Music-W. W. Norton & Company (2004)

Robert Gauldin - Harmonic Practice in Tonal Music-W. W. Norton & Company (2004)