Preface Chapter 1. The Basic Syntactic Structure Introduction Syntax in Language Syntax in Music Chapter 2.

Static and Dynamic armony Static armony Dynamic armony Chapter !. "on#functiona$ Chords Introduction %uxi$iary Chords Passing Chords %ppoggiatura Chords Chapter &. Linear Progressions Chapter '. (xtensions )ithin the Basic Structure Introduction The Dominant Pro$ongation The Static Coda The Dynamic Introduction Chapter *. (xtensions to the Basic Structure Chapter +. Modu$ation Basics In Dynamic armony ,sing Chromatic Chords Tonic to Tonic

Chapter -. (xamp$e Musica$ %na$yses .enera$ Introduction Schumann # /inders0enen "o 1. Brahms # St %ntoni Chora$e 1ariations Others to follow in the book Chapter 2. (xamp$e armonisation Chapter 13. istorica$ Bac4ground

Appendices
A: Voice Leading Overview B: 20th Century opular !usic C: "lossary of #er$s %: "lossary of &y$bols Bibliography and 'eb Links (nde) of !usical *)a$ples

CHAPTER 1 THE BASIC SYNTACTIC STRUCTURE

Introduction
Con5entiona$ theories of structure in tona$ music concentrate either tota$$y on root progression patterns 67ameau. Schoen8erg9 etc: or tota$$y on 5oice $eading. 6Schen4er etc: This 8oo4 is the first to exp$ain ho) root progression patterns and 5oice $eading )or4 together. This 8oo4 is 8ased on a systematic ana$ysis of root progression patterns in a $arge num8er of tona$ 6and tona$$y inf$uenced: pieces of music and sho)s ho) chord progressions 6once 5oice $eading patterns ha5e 8een addressed: create musica$ phrase structures simi$ar to sentence structures in natura$ $anguage. ;hi$st 5oice $eading princip$es are fair$y )e$$ understood9 )hat is ne) in this 8oo4 is the exp$anation of ho) root progressions )or4 in tona$ music and ho) they interact )ith 5oice $eading. ;hen 5ie)ed from this perspecti5e9 it is possi8$e to demonstrate that musica$ phrases are constructed in )ays that sho) simi$arities )ith the )ay sentences are structured in natura$ $anguages. This ma4es it possi8$e to exp$ain e5ery chord in its context )ithin the musica$ phrase rather than <ust in terms of the chords surrounding it. This 8oo4 is a8out )hat is norma$$y referred to as tona$ music or music )hich is 8ased on tona$ity. By tona$ music I mean music that is composed in a recognisa8$e system of sca$es and chord patterns as exemp$ified 8y the (uropean c$assica$ tradition of the 1-th and 12th centuries and to some extent the 23th century. Most of the music )e $isten to= c$assica$9 popu$ar music9 <a009 )or$d music9 etc. is constructed to some extent a$ong tona$ $ines. Peop$e are often pu00$ed a8out )hy this system9 )hich at first sight9 is so simp$e # <ust a sca$e of se5en diatonic notes 6p$us ' chromatic notes: arranged in different patterns # actua$$y produces such a )ea$th of possi8i$ities. ;hat I hope to sho) is that )hat gi5es tona$ music the a8i$ity to form these 5aried structures is9 the )ay 5oice $eading and root progression patterns )or4 together and the )ay chord progressions are organised into $usical phrase structures simi$ar to $anguage structures in natura$ $anguages. Some )riters such as ;e8er9 Schoen8erg9 Mc ose and Piston ha5e descri8ed chord progressions 8ut on$y in terms of ta8$es of pro8a8i$ities. These ta8$es te$$ us nothing a8out the re$ationships 8et)een the chords themse$5es or 8et)een the chords and musica$ phrases. Schen4er proposed a theory of musica$ structure 8ased tota$$y on 5oice $eading 8ut this does not ade>uate$y exp$ain ho) root progressions )or4 or ho) musica$ phrases are structured. P$ease refer to the ?ut$ine Thesis and the @ and % section of this site for further information on the history of such theories. % more comp$ete history is 8eing prepared for inc$usions as chapter 13 6 istorica$ Bac4ground:. In demonstrating the ro$e that chord progressions ha5e in creating syntactic structures9 the author does not intend to imp$y that other components of music do not a$so p$ay a ro$e. Chapter -= Au$$ Musica$ %na$yses sho)s the $in4 8et)een 5oice $eading and chord progressionsB the $in4 8et)een 8et)een 5oice $eading and moti5ic and me$odic structures9 and the $in4 8et)een chord progressions and musica$ phrase structures. !

Chapter *= (xtended Musica$ Structures )i$$ further exp$ore this su8<ect. The ?ut$ine Thesis exp$ains some of the e5idence for the theory presented.

The Connection with Language

Language has e5o$5ed )e$$ organised structures 8ecause it gi5es human 8eings an e5o$utionary ad5antage. It a$$o)s us to communicate= # to pass information a8out our en5ironment9 a8out the $ocation of food and )arnings of danger. It ena8$es us to agree p$ans and to pass traditions9 ideas and techni>ues from person to person and from generation to generation. Because this is so important to our sur5i5a$ as a species it is an a8i$ity )e ha5e e5o$5ed o5er tens of thousands of years. It communicates messages9 fee$ings and emotions and )e en<oy the experience. Based on the e5idence co$$ected a8out the patterns in chord progressions9 it seems $i4e$y that the mindCs innate a8i$ity to understand $anguage structures has 8een transferred to the )estern system of music )e descri8e as tona$ music. %na$ysis of moda$ music and tona$$y re$ated music sho)s that these musica$ systems 6at $east )hen harmonised: a$so share some of the patterns that are e5idenet in tona$ music. %s tona$ music e5o$5ed o5er se5era$ centuries9 it seems that composers ha5e subconsciously emu$ated the under$ying grammatica$ structures )hich exist in $anguage. Because the under$ying structures are common to a$$ $anguages9 these musica$ structures can 8e understood 8y anyone9 any)here in the )or$d. ence tona$ music is accessi8$e to many cu$tures and the harmonic structures in tona$ music ha5e inf$uenced the popu$ar music of many other musica$ traditions. Composers ha5e not p$anned things this )ay or designed the tona$ system. It has e5o$5ed through a series of experiments and disco5eries that ha5e gradua$$y 8ui$t on each other. This )as necessary as )estern art music de5e$oped 8eyond accompaniment to song or dance into a se$f#contained art form )ith interna$ structures of its o)n. ;hi$st Chord synta) and voice leading synta) are )e$$ documented and understood. ;hat is missing is chord progression synta). This theory is the first that attempts to accurate$y descri8e chord progression syntax. By fi$$ing this gap )e can more fu$$y descri8e the syntax of musica$ $anguage. In $anguage9 structures are formed in sentences made up of parts of speech. The <oining of these parts of speech into sentences is go5erned 8y the ru$es of sentence syntax. Aor examp$e9 the 8asic structure of a sentence in the (ng$ish $anguage can 8e represented in a parsing diagram as fo$$o)s=

&

This diagram indicates that a sentence is di5ided into t)o parts= the su8<ect and the predicate. The predicate is itse$f di5ided up into t)o parts= the 5er8 fo$$o)ed 8y the o8<ect. This represents the simp$est comp$ete sentence structure and a$though more comp$ex structures are possi8$e they a$$ deri5e from this simp$e structure. ?ne method of adding comp$exity is 8y further di5ision of the 8ranches. Aor examp$e9 the su8<ect cou$d 8e a noun or cou$d 8e expanded into a pronoun D noun or further expanded to inc$ude a noun phrase or 5er8 phrase. #hese underlying principles also apply to $usical structures+ #here is one basic phrase structure in tonal $usic and all other phrase structures are derived fro$ this basic structure,

For more on synta in !anguage c!ic" here

For more on the ro!e o# synta in music c!ic" here

The Basic $usica! %hrase Structure

It might 8e assumed that the 8asic e$ement of the syntactic structure in music is the chord9 8ut in order to ma4e the connection 8et)een the chord and the musica$ phrase an intermediate $e5e$ is re>uired. This is the syntactic e$ement )hich is identifia8$e as 8$oc4s of harmony of one of t)o types= static harmony and dynamic harmony. 6This ana$ysis of harmony is anticipated 8y Schoen8erg and others 8ut they do not ma4e the connection )ith the musica$ phrase.: In the 8asic syntactic structure in music9 harmony that is static is made up of on$y the tonic chord 6e$a8orated 8y 5oice $eading patterns: or an osci$$ation of the tonic chord )ith other structura$ chords. armony that is dyna$ic is made up of chord progressions. It is 8ecause chords can 8e formed into these t)o 8asic types of grouping that music can 8e formed into structures simi$ar to $anguage structures. The 8asic phrase structure in music ends )ith the cadence )hich in tona$ music is norma$$y made up of the dominant and tonic chords 6chords 1 and I:9 )hich comp$ete the 8asic musica$ phrase structure. In this )ay9 the phrase in music is the e>ui5a$ent of the sentence in $anguage. The 8asic syntactic structure for tona$ music can 8e represented as fo$$o)s=

'

The 8asic musica$ phrase structure is 5ery common and occurs at important points in compositions. Aor short pieces9 it is sometimes the )ho$e structure. In $arger pieces9 it is often the first phrase and a$so the $ast phrase in the piece and occurs at other important positions in a piece. It is so pre5a$ent that )e hear it su8conscious$y as the 8ase standard that modifications are measured against. Eust as there is one 8asic structure in $anguage9 that is modified in 5arious )ays9 the 8asic structure in tona$ music is modified in simi$ar )ays. Modified structures are not ar8itrary 5ariations9 rather they are used as )ays of creating shorter or $arger sca$e structures <ust as su8ordinate c$auses and phrases in $anguage are used )ith the 8asic $anguage sentence structure to create $arger sca$e structures. They are important in creating form. More )i$$ 8e co5ered on these 5ariations in Chapters ' and *. %8rre5iations can 8e used if desired as fo$$o)s

;here= P ? C S. . D. . Cad 1 I F F F F F F F F Phrase ?pening Section of the Phrase C$osing Section of the Phrase Static armony Dynamic armony Cadence Dominant Chord Tonic Chord

The parsing diagram sho)s the se>uence of the e$ements of the 8asic structure 8ut it a$so sho)s the $ogica$ re$ationship 8et)een the static and dynamic e$ements and the cadence. Aor instance9 )hi$st the static harmony is independent of the other t)o e$ements9 the Dynamic armony and Cadence are sho)n under one heading. This is 8ecause the Dynamic armony and Cadence com8ine to create a $arger dynamic harmony structure. So )hat is mar4ed as Dynamic armony is in rea$ity Gthe dynamic harmony $eading to the CadenceG. I on$y point this out to sho) the meaning of the hierarchy. The Cadence is sho)n separate$y 8ecause it has an important syntactic function in its o)n right. It determines the 8oundary of the phrase9 anchors the static and dynamic e$ements in their p$ace in the phrase and determines the 4ey )hich is arri5ed at9 at the end of the phrase. The static harmony esta8$ishes the tonic at the start of the phrase and creates the context of the music 8y indicating the sty$e and introducing the main me$odic e$ements. The dynamic harmony de5e$ops these and ma4es the mo5ement to the cadence. It either supports the 4ey esta8$ished in the static harmony or it can modu$ate. The dynamic harmony usua$$y e$a8orates on me$odic e$ements from the static harmony. The Cadence confirms the 4ey arri5ed at and indicates the end of the phrase. The most common and structura$$y important cadence in tona$ music is the 1 to I Gperfect cadenceG or Gcomp$ete c$oseG )hich is )hy the cadence is 8ro4en do)n in this )ay. ?ther 5ariations are possi8$e 8ut this is the Greference standardG that other 5ariations ma4e reference to. Aor more on cadences 6inc$uding moda$ cadences: see cadence in the g$ossary of terms. %s a short examp$e9 of this simp$e structure9 $et us examine the fo$$o)ing - 8ar phrase from the &cher-o of aydnCs &onata in . $a/or+ 0ob 1V(: 2:

;e 4no) that this is a comp$ete musica$ phrase 8ecause it starts at the 8eginning of the me$ody and ends )ith a perfect cadence9 C ma<or to A ma<or 6chord 1 to chord I:. Arom 8ar 1+ to 8ar 219 the phrase is composed of tonic harmony 6A ma<or: )ith <ust one mo5ement to a dominant chord 6C ma<or: at 8ar 12 and 8ac4 to the tonic at 8ar 23. %s +

the harmony <ust osci$$ates around the tonic there is no o5era$$ mo5ement and conse>uent$y the harmony is static harmony. %t 8ars 22 to 2&9 in contrast9 the harmony changes to a chord progression as fo$$o)s= I 6A ma<or: to II 6. minor: to 1 6C ma<or: to I 6A ma<or:. There is a c$ear root mo5ement here. In chord progressions9 it is the root of the chord that is important rather than the 8ass. The chord root rises a sing$e step 6a rising 2nd: from A to .9 then rises three steps9 6a rising &th: from . to C9 then rises a further rising &th from C to A. This creates a sense of mo5ement up to and inc$uding the 1 # I cadence. This is dynamic harmony. #he full book will contain further e)a$ple3s4, There are a$so further examp$es in demos 1 and 2. This s)itching 8et)een static harmony and dynamic harmony happens in a$$ tona$ music and the simp$e structure a8o5e is the 8asis of a$$ chord progression syntax in tona$ music. In con5entiona$ theory chords are c$assified in terms of their function in re$ation to 4eys. This tends to disguise under$ying progressions especia$$y )hen they go across 4ey structures. This topic is further discussed throughout the remainder of the 8oo4. Aor further examp$es of simp$e harmonic structures then p$ease refer to the animated demonstrations. Longer phrases )i$$ ha5e $onger static e$ements andHor $onger dynamic harmony e$ements. More comp$ex musica$ phrases can 8e exp$ained as expansions of this 8asic structure 8y com8ining comp$ete and incomp$ete structures in 5arious )ays and 8y expanding some e$ements of the standard structure. These extensions are summarised in Chapters ' and *. The reader )i$$ at this point no dou8t 8e as4ing the >uestion= C;e$$9 if this is so simp$e )hy has no one e5er noticed it 8eforeIC ?ne reason for this is that most theories of musica$ structure concentrate tota$$y on 5oice $eading or assume that root progressions can 8e exp$ained )ithout any reference to 5oice $eading. In order to esta8$ish the true chord progressions9 )hether static or dynamic9 it is necessary to determine )hich chords are significant 6or functional: in the progression and )hich chords are passing in nature 6non5functional:. These non#functiona$ chords arise out of 5oice $eading patterns <ust as the surface detai$ of the music does. ;hi$st in many examp$es 6inc$uding the ones a8o5e: there are no non#functiona$ chords to muddy the )aters9 )hen they are present they can disguise the under$ying static and dynamic structures so that the 5oice $eading patterns need to 8e ana$ysed c$ear$y in order to determine )hich chords are significant and )hich are not. Some theorists argue that the ana$ysis of root progressions is a futi$e exerciseB that it is not a$)ays easy to determine )hat the correct root of a chord is9 and that for some note com8inations it is not possi8$e to determine roots at a$$. Schen4er 8e$ie5ed that a$$ chords arise from counterpoint and he gi5es particu$ar importance to the ro$e of $inear progressions in creating chord se>uences. The correct ana$ysis of chord progressions depends on decisions a8out )hich 5ertica$ note com8inations are significant in the ana$ysis and )hich note com8inations do not constitute structura$ chords. .i5en this necessary se$ection process9 the suspicion may 8e that in finding patterns in chord progressions9 the theorist has in some )ay se$ected chords and progressions that fit the theory and has re<ected note com8inations that do not fit the desired resu$ts. In fact9 this

is one of the princip$e o8<ections to Schen4erCs Aundamenta$ Structure # that the means of its deri5ation are not independent of the resu$ts themse$5es. 61: To o5ercome this pro8$em9 the se$ection of note com8inations must 8e app$ied in a consistent manner and in such a )ay that is independent of the end resu$t. In other )ords9 the reduction of music to an harmonic out$ine that $ends itse$f to ade>uate root progression ana$ysis9 must 8e carried out 8y a system of ru$es that is as o8<ecti5e as possi8$e. These are 8ased9 here9 on the )e$$ esta8$ished princip$es of 5oice $eading 6or more correct$y Gdi5isionsG:. This is exp$ained more fu$$y in Chapter !. By )or4ing this )ay9 it )i$$ 8e sho)n that chord progressions sho) c$ear patterns and that these patterns are simi$ar to the grammatica$ structures in $anguage. Aor more on 1oice Leading see the 1oice Leading %ppendix.

Summary
This theory may 8e summarised as fo$$o)s= %$$ phrases in tona$ music are organised into syntactic structures9 simi$ar to those in $anguage. These are constructed in three $e5e$s= The phrase9 the syntactic e$ements 6of the type static harmony or dynamic harmony: and the chords. In tona$ music9 comp$ete phrases usua$$y terminate in a perfect cadence 6chord 1 to I: . Static harmony in the 8asic structure is made up of a pro$ongation of the tonic chord 8y 5oice $eading on$y or 8y osci$$ations 8et)een the tonic chord and other structura$ chords. Dynamic harmony is made up of chord progressions constructed main$y from strong root progressions 6rising &th9 fa$$ing !rd and rising 2nd:. This se$ection of progressions for dynamic harmony I )i$$ refer to as the po$arisation of chord progressions. In order to ma4e 5isi8$e the under$ying chord progression the surface 5oice $eading must 8e first accounted for. This means some chords might appear to 8e structura$ 8ut in fact arise pure$y out of 5oice $eading. These are not significant in the root progression ana$ysis. This concept can 8e descri8ed as functiona$ity. "on5functional chords inc$ude passing chords and chords )hich do not ha5e c$ear roots such as the diminished se5enth chord. The 8asic syntactic structure may 8e extended 8y the further expansion of one of the syntactic e$ements in the 8asic structure. Aor examp$e9 the cadentia$ 1 chord may 8e extended 8y dominant static harmony to form a dominant pro$ongation and the cadentia$ I chord may 8e extended 8y tonic static harmony to form a static coda. See Chapter '= Interna$ (xtensions. Comp$ete and incomp$ete structures may a$so 8e Gcon<oinedG to form $arger structures. In some situations incomp$ete structures can 8e em8edded )ithin comp$ete phrase structures. 1ariations on the 8asic structure )i$$ 8e furhter expa$ined in Chapter *= (xtended Phrase Structures. 61:. "armour9 Beyond &chenkeris$

CHAPTER 2 (PART 1) STATIC AN& &YNA$IC HAR$'NY

Introduction
In the $ast chapter9 I introduced the concept of static and dynamic harmony and its importance in the construction of syntactic phrase structures. In this chapter9 I )i$$ further exp$ore the nature of static and dynamic harmony and exp$ain ho) the form of these can 5ary according to the sty$e and period in )hich the music )as )ritten. In order to retain interest throughout their execution9 a$$ tempora$ art forms= music9 the no5e$9 theatre9 cinema etc. Must 5ary their degree of tension and re$axation. ;hen you )atch a p$ay or a fi$m9 o8ser5e ho) the tension 5aries9 at one moment9 static= scene setting9 mood esta8$ishing9 character introducing and then at another moment dynamic= something happens9 tension is 8ui$t up9 )hat )i$$ happen nextI The mood constant$y a$ternates 8et)een these static and dynamic states. This is necessary to maintain the interest. These states are easy to identify once you 4no) a8out them. They 5ary in $ength and in the degree of tension or re$axation 8ut they are a$)ays there. In music9 these static and dynamic episodes are created 8y the use of different types of harmony. % pro$ongation of a sing$e chord creates a sense of 8eing stationary. I )i$$ refer to this as static harmony, Progressions of chords create a sense of mo5ing for)ard. I )i$$ refer to this type of harmony as dynamic harmony. %s )e$$ as 5arying the tension in music these episodes form the 8asic 8ui$ding 8$oc4s or syntactic e$ements that are necessary to ma4e syntactic phrase structures simi$ar to $anguage sentence structures.

Static Harmony
The simp$est form of static harmony is the sustained tonic chord e$a8orated on$y 8y surface 5oice $eading. In the fo$$o)ing examp$e9 the tonic A chord is sustained for t)o 8ars=

The hori0onta$ s>uare 8rac4et is used to sho) the extent of the tonic chord 6A: and )i$$ 8e used to under$ine static harmony patterns. The tonic chord is e$a8orated 8y arpeggios9 passing notes and auxi$iary notes9 8ut no ne) chords are introduced. The same chord may 8e sustained o5er se5era$ 8ars. The Pre$ude to ;agnerCs 6heingold is made up entire$y of a sustained (#f$at harmony )hich $asts for 1!* 8ars. o)e5er9 the 13

most common type of static harmony is that made up of an oscillation 8et)een the tonic chord and other chords. T)o common$y used chords for this purpose are the primary triads= chords I1 and 19 as fo$$o)s= I ( ) I* + ( I and I()*+(I The s>uare 8rac4et )i$$ 8e used to indicate that a chord is used 6in this case in con<unction )ith the tonic: to form static harmony. This type of chord )i$$ 8e referred to as an auxi$iary chord 8y ana$ogy )ith the auxi$iary note. %n auxi$iary note is a non# harmony note that returns 8ac4 to the harmony note. These are further discussed in the 1oice Leading %ppendix and Chapter ! 6part 2:. These auxi$iary chords do not create chord progressions since they return to the chord )hich precedes them. The examp$e in Chapter 1. inc$uded chord 1 as an auxi$iary chord. The fo$$o)ing examp$e a$so uses chord 1 as an auxi$iary chord=

In this examp$e the dominant auxi$iary chords are dep$oyed in root position and ta4e on a ro$e a$most e>ua$ in importance to that of the tonic chord. This type of tonic#dominant osci$$ation is 5ery common and is dep$oyed in many )e$$ 4no) me$odies. The use of chord 19 especia$$y 1+9 as an auxi$iary chord is a characteristic of c$assica$ secu$ar music. The choice of auxi$iary chord is thus an indicator of the sty$e of the music. The extent of the static harmony is indicated 8y the hori0onta$ s>uare 8rac4et and the auxi$iary chords are sho) in s>uare 8rac4ets. The figured 8ase notation G+G is sho)n )here a +th is added to the dominant chord. The fo$$o)ing examp$e uses chord I1 as an auxi$iary chord=

11

In this examp$e the su8dominant chords are a$so in root position. The &th 8ar of the phrase is a 8rief pro$ongation of the dominant. The hori0onta$ s>uare 8rac4ets indicate the extent of the pro$ongations. Chord I1 is fre>uent$y used in sacred music and is thus an indicator of the sty$e of the music. Chord I1 as an auxi$iary chord is a$so common in popu$ar music under$ying one of its origins in gospe$ music )hich inherits its harmony from chora$ church music. The purpose of auxi$iary chords is to pro$ong the tonic 6or sometimes the dominant: harmony. They do not create a for)ard mo5ing chord progression. The static harmony norma$$y occurs at the start of the phrase9 introduces the me$odic ideas 6moti5es: and esta8$ishes the 4ey at the start of the phrase. Chord 1 6especia$$y 1+ : is more genera$$y associated )ith secu$ar music and chord I1 6especia$$y in root position: is more genera$$y associated )ith sacred music9 as indicated in the examp$es a8o5e. The choice of auxi$iary chord thus contri8utes to the style of the music. The fo$$o)ing examp$e demonstrates the use of 8oth chord I1 6not in root position: and 1 as auxi$iary chords=

The appearance of the tonic chord in root position )hi$st the chord I1 auxi$iary chords are emp$oyed in second inversion emphasises the su8ordinate nature of the chord I1

12

auxi$iary chords in this examp$e. In contrast9 the t)o occurrences of the chord 1 are in root position9 indicating the arri5a$ of the cadence. The hori0onta$ s>uare 8rac4et sho)s the extent of the static harmony. In this examp$e9 the static harmony encompasses the 1 # I cadence9 and so9 this 8rief phrase is made up of tota$$y of static harmony. This topic )i$$ 8e further discussed in Chapter *. In this examp$e9 the I1 chords cou$d 8e interpreted as simp$y the resu$t of auxi$iary notes 6sho)n in the examp$es 8y the $etter GAG: and not functiona$ chords in their o)n right= the .J and B of the tonic chord ascending to form the % and CJ of the su8dominant chords at 8ars +9 - and 2 and return immediate$y to the .J and B. There are thus t)o types of auxi$iary chord= a: "on#functiona$ chords that arise mere$y as a resu$t of auxi$iary notes i.e. 5oice $eading. 8: Aunctiona$ chords 6 in root position: These cannot 8e due pure$y to 5oice $eading 8ecause of the mo5ement of the 8ass to a ne) chord therefore they are structura$ in their o)n right. In either case9 theses chords create static harmony. The main difference is that the second type can ta4e on further $e5e$s of 5oice $eading e$a8oration. The type of chord used for the auxi$iary chord can a$so 8e an indicator of the period of the music. In the 12th century9 harmonic possi8i$ities are extended 8y the use of chords ii and *I as tonic pro$onging auxi$iary chords. In the fo$$o)ing examp$e9 Schu8ert uses chord ii, in the minor 4ey=

1!

ere9 again9 the static nature of the harmony is emphasised 8y the retention of the tonic note in the 8ase. This is usua$$y referred to as a tonic pedal. "ote that since the ii, chord arises as a resu$t of the auxi$iary and passing notes in the accompanying harmony9 conse>uent$y the +th of the chord is re$ie5ed of its norma$ o8$igation to reso$5e do)n)ard. %s this piece is in the minor 4ey chord ii is in fact a diminished chord 6in this case )ith an added +th: )hich is )hy this is sho)n as ii-. The auxi$iary and passing notes are sho)n in the armonic ?ut$ine as GAG and G%G. Peda$ notes are fre>uent$y used under static harmony to under$ine the static nature of the chord succession. Peda$ notes can 8e dep$oyed under any auxi$iary chords regard$ess of )hether the tonic note forms a norma$ part of the auxi$iary harmony. In the armonic out$ine9 IC5e introduced some of the sym8o$s to 8e used throughout this 8oo4 and the Au$$ %na$ysis Chapter to represent the under$ying structure of the music. The structura$ notes are represented as )hite note heads and the 5oice $eading as 8$ac4 note heads. The figured 8ass notation further documents the 5oice $eading patterns. The cadentia$ Chord * is e$a8orated 8y t)o appoggiaturas )hich create a cadentia$ * & chord 6)hich is chord I in in5ersion: o)e5er9 this is sho)n in the harmonic out$ine as 8$ac4 notes )ith tai$s 6crotchets:. This is to high$ight the fact that they do not a$ter the under$ying chord succession. "on# functiona$ chords such as these )i$$ 8e exp$ained in Chapter !. It can 8e seen from these examp$es9 the choice of auxi$iary chord in the static harmony contri8utes to the style and period of the piece of music. #he full book will contain further e)a$ples of static har$ony fro$ different periods of $usic,

1&

The range of auxi$iary chord possi8i$ities can 8e further extended 8y the use of chro$atic chords. The type of chromatic chord is a further indicator of sty$e and period. (xamp$es of these are gi5en $ater in chapter !. CHAPTER 2 (PART 2) STATIC AN& &YNA$IC HAR$'NY

&ynamic Harmony
The function of dynamic harmony is to pro5ide a sense of mo5ing for)ard9 the change of status 8et)een static and dynamic harmony is critica$ in creating 5ariety9 ena8$ing the ear to fo$$o) the phrase syntax and in creating musica$ form. 7ather than an osci$$ation 8et)een chords9 dynamic harmony in tona$ music is made up of a succession of strong chord progressions. %s roots of chords can exist on se5en possi8$e sca$e steps= I. II. III. I*. *. *I. *II each indi5idua$ root has * possi8$e roots to mo5e to 6ignoring octa5es and chromatic notes:. Conse>uent$y9 roots may rise or fa$$ a 2nd9 rise or fa$$ a !rd9 rise or fa$$ a &th. Dynamic harmony in tona$ music is made up a$most exc$usi5e$y of three of the six possi8$e types of root progression. These )i$$ 8e referred to as the three strong chord progressions and )i$$ 8e $a8e$ed= a$pha9 8eta and gamma 6/. 0 and 1: progressions9 as fo$$o)s= / # root progression 8y rising &th 6or fa$$ing 'th: 6 e.g. * ( I. I ( I* etc.: 0 # root progression 8y fa$$ing !rd 6or rising *th: 6 e.g. I ( *I. *I ( I* etc. : 1 # root progression 8y rising 2nd 6or fa$$ing +th: 6e.g. I ( II. I* ( * etc. :

The re5ersa$s of these progressions= /29 02 and 12 are )ea4 and are genera$$y 68ut not comp$ete$y: a5oided in dynamic harmony in common practice tona$ music. It )i$$ 8e o8ser5ed that this c$assification groups together root progressions )hich do not in5o$5e exact$y simi$ar inter5a$s. Aor instance9 the root progression 0 cou$d in5o$5e a descent of a ma<or or minor third depending on )hich chords are in5o$5ed and )hether the tona$ity is ma<or or minor. In practice9 8oth ma<or and minor descending third progressions are fre>uent )hereas 8oth ma<or and minor ascending third progressions are infre>uent so that this c$assification ade>uate$y descri8es the use of root progressions. This is 8ecause the use of root progressions is primari$y a diatonic and not a chromatic phenomenon. Chromatic harmony ser5es primari$y to decorate

1'

rather than create structure. Aor further discussion on root progressions p$ease refer to the Thesis section on this site. The / chord progression is 8y far the strongest and most fre>uent$y used progression in dynamic harmony and )hen used to ma4e the mo5e from * to I at the end of a phrase it forms the perfect cadence. ?f the other t)o progressions9 the 0 progression is genera$$y more common than the 1 progression9 in most compositions9 8ut the re$ati5e fre>uency 5aries according to sty$e and period of the music. ;hi$st the primary triads I* and * are the most common chords used in forming static patterns9 in one 4ey9 there is on$y one dynamic pattern that can 8e formed 6starting and ending in chord I: )ith these chords9 using on$y strong progressions9 as fo$$o)s=

Conse>uent$y9 the secondary triads are used to extend the range of possi8$e dynamic patterns. Chords II and *I are most usefu$ for this purpose. Ao$$o)ing are some common 6non#modu$ating: patterns9 starting and ending on the tonic=

The fo$$o)ing examp$e c$ear$y sho)s the use of / and 1 chord progressions. (5en though the texture of the music is contrapunta$9 and the )riting is in t)o parts9 the dynamic harmony is ne5erthe$ess c$ear. It shou$d 8e noted that in the 8aro>ue and c$assica$ periods9 / and 1 progressions are often used in preference to other progressions.

1*

In5ersions )ea4en the fee$ing of mo5ing for)ard. The chord progressions )hich ha5e the strongest sense of mo5ing for)ard tend to 8e those )here the chords are a$$ presented in root position and composers use the strongest chord progressions at the position in the structure )here the strongest sense of mo5ement is re>uired. This po$arisation of chord progressions appears to ha5e ta4en p$ace gradua$$y from around 1*33 to around 1+33 and is easi$y seen in the music of Bach and his contemporaries. Static and Dynamic harmony patterns9 ho)e5er9 can 8e seen in music 8efore that period 8ut not )ith the same degree of po$arisation. Techni>ues for strengthening progressions can 8e seen in the fo$$o)ing examp$e from Brahms=

1+

This examp$e dep$oys / and 0 progressions. The chords in 8ars 129 21 and 22 are a$$ dominant +th chords since they a$$ ta4e on an added +th and9 in case of 8ar 219 the minor third is raised to form a ma<or third. C$ear$y a$$ of these dominant +ths chords do not indicate rapid modu$ations to ne) 4ey centres. "e) 4ey centres ha5e to 8e esta8$ished 8y the presence of static harmony or a cadence in the ne) 4ey. The function here is <ust to strengthen the harmonic mo5ement and to add 5ariety and interest to the harmony. "o modu$ation is intended or heard. Bars 13+ to 11& of Branden8urg Concerto "o 2. cou$d 8e examined at this point. ere a )ho$e series of se5en dominant +th chords 6using six / and t)o 0 progressions: are used to form a 5ery strong chord progressions prior to the fina$ recapitu$ation of the main theme. They are preceded 8y a tonic chord and end )ith a tonic chord and therefore no modu$ation occurs in this examp$e. This 5ery strong se>uence is used to a$ert the user to the imminent end of the mo5ement. This .inal %yna$ic *pisode thus has a forma$ or structura$ function as )e$$ as its norma$ syntactic phrase function. The harmonic out$ine uses the sym8o$s to 8e used in the rest of this 8oo4 and in the Au$$ %na$ysis Chapter. The )hite note heads represent structura$ notes in structura$ chords and 8$ac4 note heads are used to represent 5oice $eading patterns. Aor instance9 a +th is added to the tonic chord in 8ar 12 as a passing note 8et)een the %8 of the tonic chord

1-

and the A of the su8dominant chord in 8ar 23. The passing mo5ement is high$ighted here 8y the notes 8eing connected 8y stems and a 8eam for c$arity. ?ther +ths additions to chords are sho)n as 8$ac4 note heads. The examp$es gi5en a8o5e are 8oth from pieces in ma<or 4eys. In the minor 4ey9 chords I and I1 are minor9 chord II is diminished and chord 1I is ma<or. o)e5er9 these chords are used in a simi$ar )ay to the )ay the same chords are used in the ma<or 4ey. I )i$$ inc$ude more on this topic in the fu$$ 8oo4. ;hereas in the 8aro>ue and c$assica$ periods9 a$pha and gamma progressions are often used in preference to other progressions9 in the 12th century9 8eta progressions are often used in preference to gamma progressions. In music prior to the tona$ period and in 23th century moda$ music9 the degree of po$arisation is $ess e5ident so that the )ea4er progressions are used more fre>uent$y. Conse>uent$y9 )ea4 progression create a moda$ effect or mood. The degree of po$arisation is thus a sty$e indicator. (5en in one period of music the difference in fre>uency of use of progressions can 8e o8ser5ed in different types of music. Aor instance9 in the Bach Chora$e harmonisations9 the degree of po$arisation is $ess than in the Branden8urg Concertos. This is 8ecause Bach is $oo4ing 8ac4 to an ear$ier sty$e in the chora$es. This is a fact o5er$oo4ed in some studies of root progressions. Thus the choice of root progressions is an indicator of the period+ style and $ood of the music. Aor more on po$arisation of progressions see the thesis section on this )e8site. The reader is referred to Demo 2 )hich animates a succession of se5en / progressions starting and ending in the tonic chord.

12

CHAPTER 3 (PART 1) N'N(FUNCTI'NAL CH'R&S

Introduction
Many theorists from 7ameau to Schoen8erg and Piston ha5e attempted to ana$yse chord progressions 8y descri8ing patterns in their root mo5ements. o)e5er9 none of these fu$$y descri8es the syntax of chord progressions. P$ease refer to the ?ut$ine Thesis and the @ and % sections of this site for further information on the history of such theories. % more comp$ete description is 8eing prepared for inc$usion in Chapter 13= istorica$ Bac4ground. Pre5ious attempts ha5e pro5en inade>uate 8ecause9 in order to esta8$ish c$ear patterns9 t)o factors ha5e to 8e ta4en into account in the ana$ysis. Airst$y9 as exp$ained in the $ast chapter9 it is necessary to ma4e a distinction 8et)een t)o types of harmony= static and dynamic harmony. Second$y9 some 5ertica$ note com8inations9 )hi$st appearing to 8e independent harmonies in their o)n right9 arise out of 5oice $eading. These types of mo5ement are sometimes referred to as $elodic to distinguish them from mo5ements )hich are genuine$y harmonica$$y 8ased. ;hen these are discounted from the ana$ysis9 patterns in the root progressions 8ecome c$earer. Static and dynamic harmony )ere descri8ed in Chapter 2. In this chapter9 I )i$$ dea$ )ith the second factor )hich I )i$$ refer to as functiona$ity. %$$ theories of harmony ma4e an assumption a8out functiona$ity )hether exp$icit$y or imp$icit$y. Most theorists )ou$d accept that certain note com8inations are not chords in their o)n right 8ut arise due to some type of me$odic or voice leading mo5ement in one or more of the 5oices. They ne5erthe$ess differ in )hat they )ou$d consider to 8e significant. I hope to present a c$earer and more o8<ecti5e )ay of defining )hat is functiona$ and )hat is non#functiona$. This shou$d o5ercome any suspicions that chords are 8eing ignored simp$y 8ecause they do not fit the theory. The <ustification for ta4ing the position exp$ained in this chapter is 8ased on research into patterns in chord progressions. Aor more information on ho) these patterns ha5e 8een esta8$ished9 p$ease refer to the out$ine thesis. Aor a theory of functiona$ity to 8e credi8$e it is important that the princip$es dep$oyed to determine functiona$ity are c$ear and simp$e and independent of the resu$ts deri5ed. It is important that there shou$d 8e some rationa$ reason for exc$uding chords from the root progression ana$ysis. The method dep$oyed must satisfy the fo$$o)ing conditions=

It must 8e c$ear and unam8iguous It must 8e 8ased on concrete research data It must 8e app$ied in a consistent manner It must 8e app$ied in such a )ay that it is independent of the end resu$t

In other )ords9 the reduction of music to an harmonic out$ine that $ends itse$f to ade>uate root ana$ysis9 must 8e carried out 8y a system of ru$es that is as o8<ecti5e as

23

possi8$e. In other )ords9 the method shou$d not 8e nor$ative i.e. it shou$d not $ead to predetermined resu$ts 8ut shou$d unco5er )hat is in the music itse$f. ;hi$st many non#functiona$ chords are tota$$y diatonic9 it is important to mention chromatic harmonies as these are fre>uent$y dep$oyed as non#structura$ fi$$ing#in chords )hich decorate the under$ying harmony. This is 8ecause chromatic step)ise mo5ements $end themse$5es easi$y to the production of chromatic auxi$iary notes9 passing notes and appoggiaturas. These add 5ariety and interest )ithout causing the ear to $ose trac4 of the under$ying harmony or tona$ity. Chords that do not contain a perfect &th or 'th do not ena8$e the ear to easi$y determine a root for the chord. Conse>uent$y9 these chords are norma$$y used as non#functiona$ chords. These inc$ude the diminished +th chord9 the augmented 'th chord and the 5arious forms of the augmented *th chordK. These chords are non#functiona$ due to their 5ery nature. ?ther non#functiona$ chords are note com8inations that in other circumstances )ou$d 8e heard as functiona$ chords. Simp$e triads and +th chords can 8e used as non#functiona$ chords )hen they arise from 5oice $eading mo5ement such as passing notes9 auxi$iary notes or appoggiaturas. The $atter types are ones that can $ead to misinterpretation as they are easy to mista4e as functiona$ harmony. K One for$ of the aug$ented 7th chord 3the "er$an 7th chord4 does contain a perfect fifth+ but due to the way the aug$ented 7th interval resolves outwards+ the chord behaves like a non5functional chord e)cept where it is reinterpreted and resolves like a do$inant 8th chord in a new key, &ee "lossary: aug$ented 7th chord and Chapter 8: !odulation via Chro$atic Chords and also chro$aticis$ in the Voice Leading Appendi), There are three types of non#functiona$ chord that cou$d 8e confused )ith functiona$ chords= The Au i!iary Chord9 The %assing Chord and The A33oggiatura Chord. The reason for gi5ing these chords specia$ names is not 8ecause they ha5e a specia$ significance 8ut 8ecause they are capa8$e of 8eing confused )ith functiona$ chords. In rea$ity9 they arise out of 5oice $eading <ust as other surface 5oice $eading patterns 6passing notes9 auxi$iary notes etc: do. The first type )as introduced in the $ast chapter as it is important in forming static harmony patterns. The second type occurs fre>uent$y and in many forms. The third type is significant main$y as a de5ice for e$a8orating the cadence 8y extending the dominant 6and sometimes the tonic: harmony. Before )e exp$ore each type in turn it may 8e usefu$ to summarise ho) )e can distinguish 8et)een functiona$ and non#functiona$ chords. By far the most important and defining factor is the first ru$e i.e. That non#functiona$ chords are made up from auxi$iary notes9 passing notes or appoggiaturas 6i.e. 5oice $eading patterns: )hereas functiona$ chords are not. o)e5er the additiona$ guide$ines may a$so 8e he$pfu$ in correct identification. FUNCTIONAL CHORDS: The components of the chord do not arise as a resu$t of auxi$iary notes9 passing notes or appoggiaturas. Other factors that $ay help in identification:

21

%$most a$)ays a ma<or or minor triad 6)ith or )ithout an added +th 2th etc.: ,sua$$y on stronger 8eats than associated non#functiona$ chords Li4e$y to 8e in a stronger in5ersion than associated non#functiona$ chords Li4e$y to 8e more consonant than non#functiona$ chords (xcept for a$terations to the !rd of the chord 6and in cyc$es of 'ths:9 are not usua$$y chromatic. NON-FUNCTIONAL CHORDS: The components of the chord arise as a resu$t of auxi$iary notes9 passing notes or appoggiaturas. Other factors that $ay help in identification: Less $i4e$y to 8e a ma<or or minor triad 6)ith or )ithout an added +th 2th etc.: ,sua$$y on )ea4er 8eats than associated functiona$ chords Li4e$y to 8e in a )ea4er in5ersion than associated functiona$ chords Li4e$y to 8e $ess consonant than functiona$ chords %re often chromatic. CHAPTER 3 (PART 2) N'N(FUNCTI'NAL CH'R&S

Au i!iary Chords
%uxi$iary chords are formed 8y the step)ise mo5ement 6up or do)n: of one or more of the 5oices a)ay from a harmony note in one chord to form a ne) chord. The 5oice6s: then return to the origina$s note6s: to re#form the origina$ harmony. "orma$$y the auxi$iary chord is made up so$e$y of notes from the origina$ chord p$us notes in5o$5ed in the auxi$iary mo5ement. In this case they arise tota$$y out of 5oice $eading. 6But see note 8e$o) on auxi$iary chords in root position:. These auxi$iary chords are non#functiona$ )hereas the tonic chords surrounding them are functiona$. This is 8ecause the auxi$iary chord mere$y e$a8orates the main functiona$ chord9 its purpose 8eing to pro$ong the functiona$ harmony. %uxi$iary chords are used extensi5e$y to pro$ong the tonic harmony in static harmony as exp$ained in Chapter 2. They can a$so 8e used to extend the dominant to form a dominant pro$ongation. 6See Chapter ':. Sometimes auxi$iary chords can 8e used to decorate indi5idua$ chords in dynamic harmony especia$$y )here this is s$o) mo5ing 8ut this is not as common. The au)iliary chord is named 8y ana$ogy )ith the au)iliary note, The fo$$o)ing examp$e contains auxi$iary notes mar4ed )ith an GAG= 22

The short duration of the auxi$iary note does not create a fee$ing of a change in the harmony. %n auxi$iary chord+ is an extension of the auxi$iary note such that the duration of the auxi$iary note and the )ay the note sounds in con<unction )ith the other notes of the chord9 creates a sense of a change in harmony. This type of chord has its origins in 1*th century po$yphony. See 1oice Leading %ppendix= %uxi$iary "otes and Linear Progressions for more detai$s. ,sing the ana$ytica$ sym8o$s introduced ear$ier9 the fo$$o)ing harmonic out$ines indicate some of the possi8$e auxi$iary chords )ithin the diatonic ma<or sca$e=

2!

;hite headed notes are components of the functiona$ chords and the 8$ac4 headed notes are the resu$t of 5oice $eading. The $etter GAG indicates an auxi$iary note. The examp$es mar4ed a: are not 5ery common 6at $east in the in5ersions sho)n: as they generate the secondary triads 4i and iii. IC5e sho)n these in $o)er case $etters to hight$ight the fact that they are minor. The examp$es mar4ed 8: are 5ery common since they generate the primary triads I* and * 8y the simu$taneous auxi$iary mo5ement of t)o 5oices. The fo$$o)ing examp$e inc$udes 8oth chords of 8: and a$so an examp$e of the second of c:9 the *, chord.

In 8ar 29 the $o)er C rises to D and returns9 the higher C fa$$s to B and returns9 and the ( rises to A and 8ac4. These three auxi$iary notes 6sho)n as GAG: create a dominant +th auxi$iary chord. In 8ar ! the ( rises to A and returns to the ( )hi$st the . rises to % and returns to .. The C ma<or chord is thus transformed temporari$y to an A ma<or auxi$iary chord. In 8ar & the ( and C descend to D and B and return to ( and C thus 8rief$y creating an auxi$iary dominant . chord. The me$odic $ine in 8ar & a$so contains an A )hich forms a +th to the dominant chord9 8ut in this case as a descending passing note )hich is further e$a8orated 8y a short auxi$iary note (. Aor simp$icity this is sho)n an octa5e $o)er in the out$ine. The passing note is sho)n as G%G. Simi$ar auxi$iary chords may 8e dra)n up for the minor 4ey9 In this case9 the +th degree of the sca$e is usua$$y sharpened to form the ma<or chord 1. The fo$$o)ing figure sho)s some of the common possi8i$ities in5o$5ing chro$atic har$onies=

2&

. The examp$es a: and 8: in5o$5e mo5ement in one direction on$y. a: contains t)o auxi$iary notes= one diatonic9 ( rises to A and returns to (9 and one chromatic= . rises to %#f$at and returns to .. The auxi$iary chord formed is the minor su8dominant chord )hich occurs natura$$y in the minor 4ey. In 8: a$$ three notes of the tonic triad rise a semitone and then return to the origina$ notes. This chord is usua$$y referred to as the 9eapolitan 7th chord and is usua$$y dep$oyed in first in5ersion to a5oid the para$$e$ 'ths that )ou$d other)ise arise. The next three auxi$iary chords in c: 6i:9 6ii:9 6iii: are the three possi8$e diminished +th chords. IC5e sho)n a$$ three for comp$eteness and to introduce the termino$ogy to 8e used for each of these. See 8e$o). 6i: and 6ii: are common auxi$iary formations9 8ut 6iii: is more usua$$y dep$oyed as a passing chord 8et)een I and II as the C # B#f$at mo5ement has a tendency to continue do)n)ard to % rather than to return to the C. 6see next section # passing chords:. The examp$e c: 6ii: cou$d 8e sho)n )ith a DJ instead of the (8. P$ease see note 8e$o) on naming of chromatic chords.

2'

(xamp$e d: is an examp$e of the G.ermanG 5ersion of the augmented *th chord9 created 8y three chromatic auxi$iary notes a$$ mo5ing a semitone and 8ac4. The (8 cou$d a$so 8e sho)n as a DJ auxi$iary note 8ut is usua$$y sho)n as (8 in this situation. Au i!iary Chords in Root %osition Sometimes auxi$iary chords are used in root position 6cou$d 8e any triadic chord:. In this situation9 they are not composed entire$y of 5oice $eading 6notes of the main chord p$us auxi$iary notes: 8ecause of the )ay the 8ass mo5es from one root to another and sometimes 8ecause of other 5oice mo5ements. These chords )i$$ ne5erthe$ess 8e referred to as auxi$iary chords9 8y ana$ogy )ith the auxi$iary note9 8ecause of the )ay the chord returns to its preceding chord and 8ecause these root position chords are a$so used to create static harmony. In this situation9 it is possi8$e to ha5e9 in addition9 passing chords that fi$$ in 8et)een the main chord and the auxi$iary chord. So there are rea$$y t)o types of auxi$iary chord= those that are in root position and are capa8$e of further e$a8oration are rea$$y functiona$ chords and those that arise tota$$y out of surface 5oice $eading )hich are non#functiona$. In either case9 they can 8e used to create static harmony. The distinction 8et)een these t)o types of auxi$iary chords does not norma$$y create too much difficu$ty 8ecause 8oth types are used in simi$ar )ays. In different sty$es of music9 many different chords 6diatonic and chromatic: ha5e 8een used as auxi$iary chords to create static harmony and in this )ay9 the choice of auxi$iary chords contri8utes significant$y to the sty$e and mood of the music in particu$ar as this occurs at the start of the musica$ phrase. P$ease refer to Chapter 2 and the Au$$ %na$ysis Chapter for further examp$es.

&escri3tion o# Chromatic Chords

This is an appropriate point to introduce the termino$ogy to 8e used in this 8oo4 for chromatic harmonies9 in particu$ar the diminished se5enth chord. The fo$$o)ing figure demonstrates some of the possi8$e diminished +th chords in C ma<or. Most 8oo4s treat these as borrowed from re$ated or unre$ated minor 4eys or as do$inant substitute chords. o)e5er as neither of these designations accurate$y descri8es the true function of the chords9 I )i$$ introduce an a$ternati5e9 simp$er9 termino$ogy )hich ac4no)$edges the 5oice $eading rather than harmonic function of the these chords. I )i$$ use the terms= tonic leading9 do$inant leading and supertonic leading to descri8e the three possi8i$ities regardless of the particular spelling of the chord. The tonic $eading diminished se5enth chord is named in this )ay 8ecause it contains the $eading note )hich $eads to the tonic9 the dominant $eading diminished se5enth chord contains the sharpened &th degree of the sca$e )hich $eads to the dominant and the supertonic $eading diminished se5enth chord9 8ecause it contains the sharpened tonic )hich $eads to the supertonic note. This termino$ogy ma4es identification and discussion easier and high$ights the 5oice $eading function of these chords.

2*

In the fo$$o)ing examp$e9 Tchai4o5s4y uses the tonic $eading diminished +th chord as an auxi$iary chord in the static harmony in Valse %es .leur. The static nature of the harmony is emphasised 8y the use of a tonic peda$ )hich is sustained 8e$o) the diminished +th chord in spite of the dissonance 8et)een the D9 CJ and (.

2+

This chord creates a co$ourfu$ effect that represents the f$o)ers in the tit$e and is therefore a further examp$e that demonstrates that the type of auxi$iary chord used in static harmony is an indicator of the sty$e or mood of the music. #here will be further e)a$ples in the full book, There is a$so a description of the auxi$iary note and auxi$iary chords in Chapter 2 and the 1oice Leading %ppendix. CHAPTER 3 (PART 3) N'N(FUNCTI'NAL CH'R&S

%assing Chords
Passing chords are formed 8y the step)ise mo5ement of one or more 5oices from a harmony note in one chord to form an intermediate chord or chords on the )ay to 8ecoming a harmony note in another chord. The step)ise mo5ement may 8e a fi$$ing in 8y one note or may 8e in mu$tip$e steps. If the fi$$ing in is 8y mu$tip$e steps then I )i$$ refer to this as a $inear progression. 6See Chapter &.: ?ne or more 5oices may 8e in5o$5ed in simi$ar or contrary motion. This type of chord has its origins in 1*th century po$yphony. See the 1oice Leading %ppendix= %rpeggiation and Passing "otes for more

2-

detai$s. The reason for gi5ing these chords a specia$ name is not 8ecause they ha5e a specia$ significance 8ut 8ecause they are capa8$e of 8eing confused )ith genuine functiona$ chords. In rea$ity9 they arise out of 5oice $eading mo5ements <ust as other surface 5oice $eading patterns do. Aor a chord to 8e a passing chord it must norma$$y 8e made up so$e$y of notes retained from the preceding chord p$us $inear mo5ing notes. The one exemption to this is that chromatic auxi$iary notes are sometimes used in addition to the passing notes. This is 8ecause of the )ay that 5oice $eading patterns can 8e com8ined. See 1oice Leading Patterns Com8ined. The passing chords so formed are thus non#functiona$ and the surrounding chords on )hich the mo5ement starts and ends are functiona$ chords. Passing chords are used in 8oth static and dynamic harmony. The passing chord is named 8y ana$ogy )ith the passing note, The fo$$o)ing examp$e contains a passing note mar4ed )ith a G%G=

The passing note fi$$s in the gap 8et)een notes of ad<acent chords. It sounds )hi$st at $east one note of the proceeding chord is retained. The short duration and nature of the passing note does not create a fee$ing of a change of harmony. The passing note usua$$y forms a discord )ith other notes of the chord9 as it does here. "ote= IC5e sho)n chord ii in $o)er case $etters to high$ight the fact that it is a minor chord. The passing chord is an extension of the passing note such that the duration of the passing note6s: and the )ay the note6s: sound9 in con<unction )ith other notes of the chord9 creates a sense of a change in harmony. ,sing the ana$ytica$ sym8o$s introduced ear$ier9 the fo$$o)ing harmonic out$ines indicate some of the possi8i$ities )ithin the diatonic ma<or sca$e=

22

%$$ the passing chords in the figure a8o5e are made up of t)o types of notes= 1. notes )hich are retained from the preceding chord 6sho)n here as repeated )hite note heads: and 2. notes that ta4e part in the step)ise mo5ement 6sho)n as 8$ac4 note heads annotated as G%G: "orma$$y9 if other notes are in5o$5ed9 the chord is not a passing chord. The one exemption to this is that chromatic auxi$iary notes are sometimes used. These are introduced 8e$o). The cur5ed 8rac4ets are used to indicate that the chords )ithin them are passing chords. The $o)er case $etters indicate that the chord is minor. The examp$es mo5ing from chord I to chord I* are common in 8oth static and dynamic harmony and the examp$es mo5ing form chord I to chord 1I are common in dynamic harmony9 in )hich case the progression is a 0 68eta: chord progression.

!3

%$$ the examp$es a8o5e start )ith chord I. o)e5er9 the patterns may 8e transposed so that they start on other sca$e steps. Aor examp$e9 I 5 iii 6 I* cou$d 8e transposed to ii 5 I* 6 * etc. It is not the actua$ sca$e steps in5o$5ed that matter 8ut the succession of sca$e steps. Simi$ar patterns may a$so 8e deri5ed for the minor 4ey. The fo$$o)ing is an examp$e of a: 6i:=

The )hite note heads indicate notes from functiona$ chords and the 8$ac4 note heads indicate the passing notes in5o$5ed in 5oice $eading. The note com8ination high$ighted 8y an K appears at first sight to 8e a chord iii in root position. o)e5er9 the chord iii arises as a resu$t of a passing note in the me$ody 8et)een chord I and chord I1. The AJ is a step)ise fi$$ing in note 8et)een the . in chord I and the ( in chord I1. The 8ass note B arises as an arpeggiation of the . ma<or chord in the 8ass. %s the chord iii is the resu$t of a passing note and an arpeggiation9 it )i$$ 8e referred to as a passing chord. The chord iii is thus the resu$t of a 5oice $eading mo5ement rather than an harmonic mo5ement. %s this is a passing chord IC5e sho)n the iii in round 8rac4ets in this out$ine. IC5e sho)n the 8ass arpeggiation )ith a s$ur to sho) the t)o notes 8e$ong to the same structura$ chord. IC5e sho)n the descending passing note connected to the notes it fi$$s in 8et)een )ith stems and a 8eam to high$ight this passing motion 8ecause of its particu$ar interest here. In this examp$e9 IC5e a$so fo$$o)ed the con5ention that I )i$$ fo$$o) in the fu$$ ana$ysis chapter9 that is that I ha5e not sho)n the notes repeated form the preceding chord as ne) )hite notes in the passing chord. The assumption is that )here these notes do not mo5e they are sti$$ in force )hi$st the 8ass arpeggiates and the me$ody mo5es to the passing note. The ascending passing note 8et)een ( and .9 IC5e <ust sho)n as G%G. This descending passing note pattern a$so occurs fre>uent$y )ith the passing note in the 8ass. In this examp$e9 it is fair$y easy to see the 5oice $eading nature of the passing chord. o)e5er9 it is not a$)ays so easy to esta8$ish )hich chords in a progression arise from !1

5oice $eading and )hich are harmonic. Chords that at first sight appear to 8e functiona$ may arise as the resu$t of arpeggios9 auxi$iary notes9 passing notes or appoggiaturas. Aor the harmony and syntactic structures to 8e correct$y understood it is necessary to correct$y identify and separate these non#functiona$ chords from the under$ying progression. The fo$$o)ing is an examp$e of 8: 6ii: This examp$e has a s$o)er harmonic rhythm=

So far9 )e ha5e on$y considered diatonic passing chords. o)e5er9 the num8er of possi8i$ities for chromatic passing notes is much greater. %ny t)o notes separated 8y a tone in t)o successi5e functiona$ chords can 8e e$a8orated 8y a step)ise chromatic fi$$ing in note. Aor examp$e9 CJ can fi$$ in the gap 8et)een C and D. Chromatic passing notes are e5en possi8$e 8et)een t)o notes a minor third apart. Aor examp$e9 the space 8et)een the descending C to % inter5a$9 in C ma<or9 can 8e fi$$ed in 8y a B#f$at in p$ace of the diatonic B#natura$. ;hen you consider that these chromatic notes can 8e com8ined in many )ays9 the num8er of possi8i$ities is enormous. The resu$ting chromatic harmonies add 5ariety and interest to the under$ying diatonic harmonies 8ut do not usua$$y imp$y a change in 4ey. The fo$$o)ing ta8$e sho)s sing$e 5oice on$y mo5ements=

!2

The fo$$o)ing is an examp$e of 6ii:. The augmented 'th chord arises from the fi$$ing in of the inter5a$ 8et)een chord I and chord I1=

!!

9ote: #here is a further description of the passing note and passing chords in the Voice Leading Appendi),

#he .ull book will contain further e)a$ples CHAPTER 3 (PART 4) N'N(FUNCTI'NAL CH'R&S

A33oggiatura Chords
The appoggiatura chord is named 8y ana$ogy )ith the appoggiatura note. %n appoggiatura is a note9 not norma$$y part of a chord9 )hich disp$aces a norma$ note of a chord. The appoggiatura reso$5es onto the disp$aced note )hi$st the chord is sti$$ sounding. %n appoggiatura9 usua$$y 68ut not a$)ays: creates a dissonance )ith the norma$ notes of the chord. More than one appoggiatura may 8e dep$oyed in a chord concurrent$y. The fo$$o)ing examp$e contains appoggiaturas as indicated at K1 and at 2K=

!&

%t K1 in 8ar 139 the t)o appoggiaturas form discords )ith the norma$ notes of the chord and then reso$5e onto consonant notes of the chord. The C appoggiatura is a compound ninth discord against the B#f$at 8ass and reso$5es onto a B#f$at. This is sho)n as 2 # - in the figured 8ass under the harmonic out$ine. The (#f$at appoggiatura is a dissonant +th a8o5e the A of the chord and a &th a8o5e the 8ass. This reso$5es onto the consonant D. This is sho)n as & #! in the figured 8ass. %n appoggiatura note does not create a sense of a change in harmony. o)e5er9 an appoggiatura chord is an extension of the appoggiatura such that the the )ay the notes sound in con<unction )ith the other notes of the chord create an impression of a change in harmony. %ppoggiatura chords are non#functiona$ and the chords onto )hich they reso$5e are functiona$. This is 8ecause appoggiatura chords mere$y e$a8orate the functiona$ harmony. Their purpose is to pro$ong the functiona$ chord. %ppoggiatura chords are used most common$y to decorate and extend the cadence. The reason for gi5ing these chords a specia$ name is 8ecause they are capa8$e of 8eing confused )ith genuine functiona$ chords. In rea$ity9 they arise out of 5oice $eading mo5ements <ust as other surface 5oice $eading patterns do. %t K2 in 8ar 2 6in the a8o5e examp$e: the t)o appoggiaturas= B#f$at and D ta4e o5er from the norma$ notes of the chord 6% and C: and here #orm a new chord # the tonic chord in second in5ersion. This is norma$$y referred to as the cadentia$ * & chord 8ecause the upper notes are a 6compound: *th and &th a8o5e the 8ass of the dominant chord of the cadence. This is the most common type of appoggiatura chord. The appoggiatura chord is sho)n here as 8$ac4 note heads )ith a stem. IC5e sho)n them this )ay 8ecause cadentia$ * & chords are fre>uent$y e$a8orated 8y further $e5e$s of 5oice

!'

$eading and this )i$$ ena8$e us to distinguish the $e5e$s. See 1oice Leading Patterns Com8ined in the 1oice Leading %ppendix for more on this. "ote that in the examp$e a8o5e9 the appoggiatura chord in 8ar 2. is of shorter duration than the appoggiatura notes in 8ar 13. Duration is not the main consideration for this type of 5oice $eading e$a8oration. There are three main types of the appoggiatura chord as indicated in the fo$$o)ing harmonic out$ines= These are a$$ most$y associated )ith the e$a8oration of cadentia$ dominant and tonic chords 68ut not exc$usi5e$y:. They are used extensi5e$y as means of emphasising that the chords are part of the cadence.

The chord mar4ed as K2 in the examp$e a8o5e is an examp$e of Aigure + a:. Cadentia$ * & chords9 )ith or )ithout further e$a8oration are 5ery common and the reader )i$$ find further examp$es 5ery easi$y. (xamp$es of the appoggiatura chord 8: are not as common as the cadentia$ * &. o)e5er9 they are are sometimes used to decorate a dominant se5enth chord at the cadence or in a chord progression or as a me$odic de5ice. In the fo$$o)ing strong chord progression the %#f$at decorates the dominant +th chord at 8ar 112 to form a temporary diminished +th appoggiatura chord=

!*

This same chord progression can a$so 8e seen in Beetho5en= atheti:ue &onata= "rave9 8ars + to 2 and in the first pre$ude of BachCs &- Pre$udes and Augues. It is important at this stage to emphasis the difference 8et)een a passing chord and an appoggiatura chord. % passing chord is made up of passing notes p$us notes from the preceding chord. %n appoggiatura chord is made up of one or more appoggiaturas p$us notes from the fo$$o)ing chord. In the $ast examp$e9 the %#f$at is an appoggiatura and the remaining notes are notes from the fo$$o)ing 6.+: chord. The passing chord mo5es a)ay from a chord and the appoggiatura chord $eads into and decorates the fo$$o)ing chord. The fo$$o)ing is an examp$e of c: in )hich the appoggiatura chord decorates the cadentia$ tonic chord. "ote that the appoggiatura chord appears in root position 6if )e ta4e the $o)est note of of the arpeggiated 8ass $ine: suggesting its status as an independent chord. It is9 ne5erthe$ess made up of t)o appoggiaturas p$us notes from the fo$$o)ing tonic chord and is conse>uent$y a non#functiona$ chord= The do)n)ard mo5ement of one of the appoggiaturas is further e$a8orated 8y a chromatic passing note as indicated in the harmonic out$ine. This high$ights the reason for sho)ing the appoggiatura chord notes )ith stems as exp$ained a8o5e.

!+

This progression is of particu$ar interest to readers studying harmony in popu$ar music as it forms the 8asis of the standard cadentia$ pattern for the ;2 bar blues progression. This norma$$y has the +th added to each of the chords as fo$$o)s 8ut the chord progression is the same= * , ( I* , ( I , Aor more information on this then p$ease refer to %ppendix %= The B$ues Progression PucciniCs aria 9essun %or$a ends )ith the same cadentia$ pattern9 sho)ing the inf$uence of the 8$ues on this ear$y 23th century piece. 9ote: #here is $ore infor$ation on the appoggiatura and appoggiatura chords in the Voice Leading Appendi

!-

CHAPTER 4 LINEAR %R'7RESSI'NS ;here a chord progression arises out of a step 8y step mo5ement in one or more 5oices rather than 8y root progression9 I )i$$ refer to these progressions as C$inear progressionsC. #hose readers who are fa$iliar with &chenker<s theory should note that the use of the ter$ <linear progression< in this book is si$ilar to+ but not e)actly the sa$e as that by &chenker, (n this book+ the ter$ is used $ore in line with ;7th century polyphony and the traditional rules of voice leading+ rather than in the e)tended way used by &chenker, By li$iting its use in this way+ the relationship between root progressions and voice leading can be $ore clearly described than in pure &chenkerian theory, In the $ast chapter9 the passing chords )ere created 8y passing notes in one or more 5oices resu$ting in a sing$e chord fi$$ing in 8et)een t)o functiona$ chords. %n important extension of this pattern is a series of chords created 8y a step 8y step mo5ement in one or more 5oices. I )i$$ refer to this as a $inear progression. The succession of fi$$ing in chords is neither recognisa8$e as static harmony nor as dynamic harmony. This does not mean9 ho)e5er9 that the $inear progression is a third type of mo5ement. This is 8ecause $inear progressions are a$)ays incorporated )ithin static or dynamic patterns. The chord succession resu$ts out of the $inear mo5ement of one or more 5oices rather than a root mo5ement. % $inear progression may 8e either diatonic or chromatic or a mixture of 8oth and may in5o$5e more than one 5oice in para$$e$ motion or in contrary motion. ;here there are concurrent $inear progressions these may sometimes mo5e at different rates. This type of mo5ement has its origins in 1*th century po$yphony. 6See %uxi$iary "otes and Linear Progressions in the 1oice Leading %ppendix: The reason for gi5ing this type of mo5ement a specia$ name is not 8ecause it has a specia$ significance 8ut 8ecause it is capa8$e of 8eing confused )ith a genuine functiona$ root progression. In rea$ity9 it arises out of 5oice $eading mo5ement <ust as other surface 5oice $eading patterns do. The on$y rea$ difference )ith other types of 5oice $eading patterns is that $inear progressions can operate o5er a $onger duration. The step)ise mo5ement is a$)ays contiguous. If there is a 8rea4 in the step )ise mo5ement then the progression is not a $inear progression. In genera$9 the same ru$es as for passing chords are apparent= The passing chords in the $inear progression are made up main$y 6if not comp$ete$y: of notes retained from the starting chord and $inear mo5ing notes. ?ccasiona$$y9 chromatic auxi$iary notes are a$so dep$oyed. This is 8ecause of the )ay that 5oice $eading patterns can 8e com8ined. See Com8ined Species.

Linear %rogressions in Static Harmony

Linear progressions in static harmony can $in4 successi5e tonic chords or $in4 the tonic chord to an auxi$iary chord in5o$5ed in the static harmony9 in )hich case the auxi$iary chord 8eha5es as a functiona$ chord and is norma$$y in root position.

!2

The fo$$o)ing examp$e contains <ust a8out the simp$est 4ind of $inear progression possi8$e. It is tota$$y diatonic9 it is created 8y a $inear mo5ement 8et)een t)o successi5e tonic chords and is not extended 8y any further e$a8oration other than surface arpeggios and passing notes.

It may seam at first sight that this is a I ( * ( I* ( I progression 8ut on further examination it is c$ear that the succession is dri5en 8y a $inear descending 8ass pattern= D # CJ # B # %9 $in4ing the D in the tonic chord in the up8eat 8ar to the % in the tonic chord in 8ar 2. %s )e$$ as this $inear mo5ement there is a para$$e$ do)n)ard step)ise mo5ement= AJ # ( # D and a$so= % # . # AJ. %$though9 neither of these $inear mo5ements stays in the same 5oice and 8oth are effecti5e$y <ust passing note patterns as there is on$y one note 8et)een successi5e structura$ notes. "ote that the common properties norma$$y o8ser5ed in $inear progressions are present= The chords in5o$5ed in the $inear progression are made up of the notes of the starting chord and notes )hich are mo5ing 6i.e. ta4ing part in the $inear progressions:. ence9 the % 6first 8eat9 8ar 1: and the D 6first 8eat 8ar 2: are retained as starting chord harmonies against the other notes that are in5o$5ed in the mo5ement. This is a 5oice $eading mo5ement rather than a chord progression. The static harmony then continues for se5era$ 8ars. The harmonic out$ine sho)s the structura$ notes as )hite note heads and the 5oice $eading fi$$ing in notes as 8$ac4 note heads. The 8eam is used to connect the notes in5o$5ed in the $inear mo5ement. S$urs are used to connect notes arpeggiated )ithin the structura$ tonic chord. The t)o passing chords created 8y the $inear progression are sho)n in 8rac4ets to high$ight the fact that they are not structura$ chords. See 1oice Leading %ppendix. Chromatic $inear progressions are more common than diatonic $inear progressions as there are more possi8i$ities. Ao$$o)ing is an examp$e of a chromatic $inear progression &3

)ithin static harmony. Li4e the pre5ious examp$e9 the 8ass 5oice descends from the tonic note to the dominant 8ut this time 8y ' semitone steps. % midd$e 5oice fo$$o)s the $inear progression in para$$e$ minor thirds9 )hi$st a further 5oice decorates )ith a chromatic auxi$iary note. The minor third9 or the compound inter5a$ of the minor 13th or its in5ersion9 the ma<or *th9 are the most common inter5a$s for chromatic $inear progressions mo5ing in para$$e$ motion. The $inear mo5ement is accompanied 8y notes sustained from the staring chord 6% minor:= ( and %9 as is norma$ for $inear progressions. In this instance9 the harmonic mo5ement is from Chord I to chord 1. "ote= This piece is in D minor 6hence the D minor 4ey signature: 8ut this section is in % minor.

%t 8ar 2*9 in the same composition9 Mo0art emp$oys a com8ination of diatonic and chromatic $inear progressions in contrary motion. There are three $inear progressions in a$$= t)o rising in para$$e$ thirds and one descending. In spite of this comp$exity the harmonies produced ma4e perfect sense. o)e5er9 it is important to note that the preparation and reso$ution of the discords are go5erned here 8y the ru$es that app$y to $inear progressions rather than the ru$es that )ou$d norma$$y app$y to structura$ chords. This fact underscores the 5oice $eading nature of this and other 5oice $eading progressions. The progression is again )ithin static harmony and starts and ends on the tonic chord.

&1

The descending $ine is in semitones apart from one tone 6from . to A: and the ascending sca$es are diatonic apart from an augmented 2nd from A to .J.

Linear %rogressions in &ynamic Harmony

The fo$$o)ing examp$e inc$udes a $inear progression mo5ing chromatica$$y from the dominant chord to the tonic. The under$ying harmony is dynamic as the dominant is preceded 8y chord II and the tonic fo$$o)ed 8y chord I1. The purpose of the $inear progression is to temporari$y de$ay and extend the mo5ement of the dynamic harmony. ;hi$st diatonic $inear progressions are dep$oyed most fre>uent$y in the 8ass and sometimes a$so in the me$ody9 chromatic $inear progressions are sometimes used in a midd$e 5oice9 as here. The $inear progression is dri5en 8y the the $ine )hich descends= B 9 B8 9 % # %8 # . in the tenor 5oice . The . from the starting chord is retained in 8ar 12 in the 8ass 8ut then forms a passing note A )hich descends to the ( in the ending chord. It in5o$5es= t)o diminished +th chords 6one supertonic $eadingB one tonic $eading: and one triad 6the supertonic:. The norma$ ru$es a8out $inear progressions are fo$$o)ed. The chords in 8ars 1! and 1& retain the D form the starting chord e5en though this is temporari$y disp$aced in 8ar 12 8y the CJ and ( auxi$iary notes.

&2

Linear %rogressions E!a8orating &ominant Harmony

The third area )here $inear progressions are important is in the pro$ongation of the dominant chord. This is simi$ar to the use of $inear progressions in tonic static harmony. o)e5er9 as )e ha5e not yet examined the pro$ongation of the dominant harmony9 I )i$$ $ea5e this su8<ect unti$ Chapter '. There is a$so a description of the $inear progression in the 1oice Leading %ppendix at= %uxi$iary "otes and Linear Progressions and Chromatic Linear Progressions.

&!

CHAPTER 5 (PART 1) E9TENSI'NS :ITHIN THE BASIC STRUCTURE

Introduction
%$$ harmonic structures in tona$ music deri5e from the 8asic phrase structure as exp$ained in Chapter 1. The 8asic syntactic structure can 8e extended in 5arious )ays9 <ust as sentence structures in $anguage can 8e. In this chapter )e )i$$ consider extensions within the 8asic phrase structure and in the next chapter extensions outside of the 8asic structure. There are three types of extension possi8$e within the 8asic musica$ phrase structure= 1. The dominant chord of the cadence can 8e pro$onged 8y static harmony in a simi$ar )ay to the )ay the tonic chord is pro$onged in the static harmony in the opening section. This has the effect of extending the cadence. I )i$$ refer to this as a dominant pro$ongation, This extension is 5ery common. 2. The tonic chord of the cadence can 8e pro$onged 8y static harmony. This has the effect of de$aying the end of the phrase. This I )i$$ refer to as a static coda, This is a$so a common extension to the 8asic structure. !. The opening section9 can 8e su8di5ided into t)o sections. In this case9 the initia$ static harmony is preceded 8y a dynamic e$ement that I )i$$ refer to as a dynamic introduction. This is a 4ind of extended up8eat or $ead#in to the static harmony. This occurs $ess fre>uent$y than the pre5ious t)o types 8ut is an important )ay of extending the opening section harmony. The fo$$o)ing diagram sho)s a$$ three types of extension in p$ace in the syntactic structure. They may 8e present indi5idua$$y or in any com8ination. This diagram sho)s the most comp$ete form of the syntactic structure )ithout externa$ extensions=

&&

CHAPTER 5 (PART 2) E9TENSI'NS :ITHIN THE BASIC STRUCTURE

The &ominant %ro!ongation

The dominant pro$ongation is the most common type of interna$ extension to the 8asic syntactic structure. ere9 the dominant chord of the cadence is pro$onged 8y the use of static harmony in a simi$ar )ay to the )ay the tonic chord is pro$onged in the opening section of the musica$ phrase. %$$ the techni>ues exp$ained in the pre5ious chapters for pro$onging the tonic can 8e app$ied to the dominant chord. These are=

Com8inations of 5oice $eading e$a8orations. Static harmony dep$oying auxi$iary chords that fi$$ in 8et)een dominant chords The use of a dominant peda$ note underscoring the static harmony. The use of passing chords fi$$ing in 8et)een the dominant and auxi$iary chords. The use of $inear progressions fi$$ing in 8et)een the dominant and auxi$iary chords or successi5e dominants.

In addition the dominant cadentia$ harmony may 8e extended in t)o )ays not usua$$y dep$oyed in opening section static harmony=

The cadentia$ * & 6see Chapter ! 6part &:: )ith or )ithout further e$a8oration. Caden0as )hich are $ong me$odic e$a8orations used at the ends of some mo5ements

Dominant pro$ongations are 5ery common and are used in some form or other in most pieces of music. They 5ary from short e$a8orations <ust dep$oying a cadentia$ * & chord to $ong pro$ongations and caden0as that extend o5er many 8ars. The more structura$$y important the position in the music9 the $onger and more e$a8orate the dominant pro$ongation may 8e. Dominant chords in5o$5ed in the dominant pro$ongations often contain added +ths and sometimes added 2ths. (5en short cadentia$ dominant chords norma$$y contain some 4ind of e$a8oration such as a cadentia$ * & e$a8oration or a suspension to high$ight the fact that it is the dominant chord of the cadence. Dominant pro$ongations are pro$ongations of the cadential dominant chord and form a syntactic function in the phrase. "on#cadentia$ dominant chords are not norma$$y pro$onged in this )ay. The fo$$o)ing figure sho)s the form of a comp$ete phrase extended 8y a dominant pro$ongation= a6 The dominant %ro!ongation

&'

;hen considering the structure of the musica$ phrase 6static harmony9 dynamic harmony9 cadence: 8ear in mind that it is important to distinguish 8et)een tonic static harmony and dominant static harmony. The first starts off the phrase and esta8$ishes the 4ey. The dominant static harmony9 if it exists in the phrase9 is part of the cadence and de$ays the end of the phrase and so each is anchored in the phrase in different positions in re$ation to the cadence. Dominant pro$ongations can 8e distinguished from tonic pro$ongations 8y a com8ination of context 6position in re$ation to the cadence: and the fact that dominant pro$ongations are $i4e$y to ha5e +ths in the main structura$ chords 6i.e. dominant +th chords: )hereas in tonic pro$ongations9 the +ths 6if present: are more $i4e$y to 8e on the auxi$iary chords. 6 o)e5er9 sometimes the tonic ta4es on a minor +th )hen mo5ing to an auxi$iary chord I1. See a$so section on the 8$ues:. The fo$$o)ing eight 8ar dominant pro$ongation from the Bach= .irst relude 6see 8e$o): is 8ased on a simp$e osci$$ation 8et)een dominant and tonic. The dominant and tonic chords here exchange ro$es in comparison )ith their ro$es in an opening section static harmony. That is to say9 in this dominant pro$ongation the tonic chord acts as an auxi$iary chord to the repeated occurrences of the dominant chord )hich is 8eing pro$onged. The tonic auxi$iary chords are sho)n in s>uare 8rac4ets in the harmonic out$ine. %t 8ar 2+ to 22 the mo5ement from chord 1 to auxi$iary chord I is further e$a8orated 8y chromatic passing notes in para$$e$ 13ths. 6D mo5es to (#f$at and then (#natura$ in the tenor 5oice and A mo5es to AJ and then . in the soprano 5oice:. The chromatic passing notes9 a$ong )ith t)o auxi$iary notes9 resu$t in a dominant $eading diminished +th chord in 8ar 2-. %t 8ars 2* and !3 the harmony is further e$a8orated 8y suspensions. These suspensions are sho)n as 8$ac4 notes )ith stems in the harmonic out$ine. The )ho$e pro$ongation is underscored and de$imited 8y a dominant peda$.

&*

The dominant pro$ongation sho)n a8o5e is preceded 8y 2! 8ars of dynamic harmony and fo$$o)ed 8y a & 8ar static coda 6see $ater:. This means that the )ho$e pre$ude is syntactica$$y in the form of a c$osing section on$y. The fo$$o)ing examp$e from ($gar= *nig$a Variations sho)s a dominant pro$ongation in context. It is preceded 8y I # II # dynamic harmony and fo$$o)ed 8y the tonic chord. %s in the pre5ious examp$e9 the dominant pro$ongation uses chord I as the auxi$iary chord and the pro$ongation is underpinned 8y a dominant peda$. %s can 8e seen from the harmonic out$ine9 the dominant is pro$onged 8y a com8ination of=

an auxi$iary chord I in 8ar 139 in second in5ersion 6auxi$iary * &: arpeggiation of the dominant chord a$ong )ith passing notes in 8ars 2 and 139 sho)n 8y s$urs and 8$ac4 note heads &+

a passing +th9 in the tenor 5oice in 8ar 2 and in the top 5oice in 8ar 139 each high$ighted )ith stems and 8eams. a passing 2th in the $ast 8eat of 8ar 29 in para$$e$ 13ths )ith the +th in the tenor.

These are sho)n in the harmonic out$ine. The hori0onta$ s>uare 8rac4et indicates the extent of the dominant pro$ongation.

The dominant cadentia$ harmony may 8e extended in t)o )ays not usua$$y dep$oyed in opening section static harmony. These are the cadentia$ * & appoggiatura chord 6discussed in chapter ! 6part &:: and the caden-a. The caden0a can 8e anything from a simp$e short e$a8oration of the dominant chord to many 8ars of impro5isationa$ music. ;hen these are used in com8ination9 the e$a8oration starts during the * & harmony and continues into the dominant harmony. ;hate5er the nature and $ength of the caden0a9 the function is to pro$ong the dominant cadentia$ harmony9 thus de$aying the comp$etion of the cadence )hi$st at the same time high$ighting the end of the phrase9 section or mo5ement. The fo$$o)ing examp$e i$$ustrates a 8rief caden0a that e$a8orates the under$ying cadentia$ * & and dominant harmony=

&-

Aor a fu$$ phrase examp$e containing a dominant pro$ongation )hich extends o5er + )ho$e 8ars see %ppendix B of the Thesis section of this site )hich inc$udes further exp$anation of ho) to de$imit the phrase 8oundaries. Lou can see the fu$$ exp$anation at= detai$s of the ana$ysis. See Demo & for an animated examp$e of a phrase containing a dominant pro$ongation . CHAPTER 5 (PART 3) E9TENSI'NS :ITHIN THE BASIC STRUCTURE

The Static Coda

The tonic chord of the cadence can a$so 8e pro$onged 8y the use of static harmony. This has the effect of extending the end of the musica$ phrase. This I )i$$ refer to this as a static coda, %$$ the techni>ues exp$ained in the pre5ious chapters for pro$onging the tonic in the opening section static harmony can 8e app$ied to the pro$ongation of the tonic chord in the cadence. These are=

%ny com8ination of 5oice $eading e$a8orations. &2

Static harmony dep$oying a 5ariety of auxi$iary chords9 interspersed 8et)een tonic chords. The use of a tonic peda$ note underscoring the static harmony. The use of passing chords fi$$ing in 8et)een the tonic and auxi$iary chords. The use of $inear progressions fi$$ing in 8et)een the tonic and auxi$iary chords or successi5e tonic chords.

;hi$st simi$ar to the static harmony in the opening section of the syntactic structure9 in practice9 static codas are often simp$e osci$$ations such as I M 1 N I or I M I1 N I. Static Codas are 5ery common 8ut occur most fre>uent$y at the ends of main sections in a piece of music. The fo$$o)ing figure sho)s the form of a comp$ete phrase extended 8y a static coda=

86 The Static Coda

The static coda is simi$ar to the static harmony of the opening section of the standard phrase structure 8ut is part of the cadence and therefore performs a different function. It often reprises me$odic ideas from opening section static harmony. %s for opening section static harmony9 in the static coda the tonic sometimes ta4es on a minor +th )hen mo5ing to an auxi$iary chord I1. In the fo$$o)ing examp$e from the Mo0art= &onata =>?>9 the fina$ chord I is pro$onged 8y a simp$e I M 1 N I chord osci$$ation. This is a common type of static coda9 especia$$y in the c$assica$ period.

'3

Ao$$o)ing is a fu$$ description of this phrase=

'1

The figure a8o5e sho)s the syntactic structure for this phrase. It forms the repeat of the second su8<ect in the recapitu$ation from the first mo5ement of the Sonata. 1. Bars '2. To *!= ?pening Section static harmony= I M 1 N I9 repeated. The extent of the static harmony is indicated 8y the hori0onta$ 8rac4et. 2. Bars *! to *-= C$osing Section dynamic harmony. This comp$etes a fu$$ cyc$e of + / progressions fo$$o)ed 8y I # II # 1 6one 1 and one / progression: The II to 1 6 D minor to . dominant: 6/: progression is e$a8orated 8y a diminished +th chromatic passing chord as indicated in the ana$ysis. The chromatic mo5ement is A # A J # . in para$$e$ )ith D # (#f$at # (#natura$.

'2

!. Bars *2 and +3= The dominant chord is pro$onged 8y a fu$$ 8ar cadentia$ * & appoggiatura chord. ;e cou$d indicate this as a 6short: dominant pro$ongation in the chart9 in this examp$e9 the cadentia$ * & chord is indicated 8y a hori0onta$ $ine preceding the dominant chord onto )hich it reso$5es.. &. Bars +1 to +!= Cadentia$ chord I is pro$onged 8y a three 8ar static coda made up of I M 1 N I static harmony repeated. The extent of the Static Coda is indicated 8y the hori0onta$ 8rac4et. See the thesis for ho) to determine the phrase 8oundaries. Static codas 8ased on I M I1 N I static harmony are a$so 5ery common9 especia$$y in church music. %s for the opening section static harmony9 auxi$iary chord 1 suggests secu$ar music and I1 suggests sacred music. % good examp$e of this is the $ast fe) 8ars of ande$= 0allelu/ah Chorus. This examp$e contains a 8rief dominant pro$ongation of one 8ar duration fo$$o)ed 8y a static coda of + 8ars in5o$5ing - repeats of the I M I1 N I pattern.

'!

The I1 to I chord succession 6repeated - times in this examp$e: is sometimes referred to as a plagal or a$en cadence. o)e5er9 this is not in rea$ity a cadence9 mere$y the resu$t of the I MI1N I static harmony pro$onging the cadentia$ tonic chord. The true cadence in this examp$e is the mo5ement from the $ast chord of the 8rief dominant pro$ongation in 8ar -+ to the first chord of the static coda starting in 8ar --. % true p$aga$ cadence on$y occurs )hen the syntactic 1 # I is replaced 8y I1 # I. To a5oid any confusion it shou$d 8e made c$ear that there is no re$ationship 8et)een a static coda and a forma$ coda. % static coda is a syntactic e$ement and performs a syntactic function in a musica$ phrase. The on$y purpose of the expression static coda is to exp$ain the syntax of the musica$ phrase. % forma$ coda may contain a )ho$e syntactic phrase or more.

'&

CHAPTER 5 (PART 4) E9TENSI'NS :ITHIN THE BASIC STRUCTURE

The &ynamic Introduction

Sometimes the opening section of the musica$ phrase is su8di5ided into t)o syntactic e$ements. The initia$ static harmony is then preceded 8y a dynamic chord progression that I )i$$ refer to as a dyna$ic introduction. This is a 4ind of extended up8eat or $ead# in to the static harmony. It can 8e present in the first phrase of a piece of music or any su8se>uent phrase. This type of phrase extension is $ess common than the pre5ious t)o types exp$ained a8o5e. %$$ the techni>ues exp$ained in chapter 2 for creating dynamic harmony can 8e app$ied. These are=

The use of strong /9 09 and 1 chord progressions9 The addition of essentia$ se5enths and sharpening of minor !rds to strengthen the harmonic mo5ement. The use of passing notes and passing chords fi$$ing in 8et)een functiona$ chords. The use of $inear progressions fi$$ing in 8et)een functiona$ chords.

Dynamic introductions end )ith a dominant chord that mo5es to the initia$ tonic chord of the static harmony. The fina$ dominant chord can 8e extended into a dominant pro$ongation. Thus the form of dynamic introduction is simi$ar to a structure of a comp$ete c$osing section 8ut )ith the fina$ tonic chord o5er$apping )ith the first tonic chord of the static harmony. Aor dynamic harmony at the start of a phrase to 8e a Dynamic Introduction it must 8e fu$$y integrated or internal to the phrase. Dynamic harmony may a$so exist as independent $ead#ins to phrases either as introductions or as $in4ing passages. In the $atter case the dynamic introduction is an incomp$ete phrase and is e)ternal to the comp$ete phrase. 6See Chapter *.: The fo$$o)ing figure sho)s the form of a comp$ete phrase extended 8y a dynamic introduction=

''

The first su8<ect of the Beetho5en Piano Sonata9 ?pus !1 "o. !. starts )ith a dynamic introduction=

This dynamic introduction is 8ased on a simp$e II # 1 # I progression. This is e$a8orated 8y a cadentia$ * & appoggiatura chord and a passing dominant $eading diminished se5enth chord. %fter an ascending sca$e passage9 the dynamic introduction repeats and the static harmony starts at 8ar 1+ and continues to 8ar 2+ )here the dynamic harmony of the c$osing section starts. The dynamic introduction 8e$ongs to the same phrase as the

'*

static harmony in 8ars 1+ to 2+ as 8oth syntactic e$ements contain the simi$ar moti5ic materia$ 6the descending 'th dotted figure: and are 8oth part of the first su8<ect. In this examp$e9 the dynamic introduction is an integra$ part of the syntactic phrase. To a5oid any confusion it shou$d 8e made c$ear that there is no re$ationship 8et)een a dyna$ic introduction and a for$al introduction. % dynamic introduction is a syntactic e$ement and performs a syntactic function in a musica$ phrase. The on$y purpose of the expression dyna$ic introduction is to exp$ain ho) the harmony functions in re$ation to the musica$ phrase. It can exist at the start of any phrase in a piece of music not necessari$y the first phrase. % forma$ introduction may contain )ho$e syntactic phrases. Sometimes a dynamic introduction may precede a phrase )ithout 8eing integrated )ithin the phrase. This type of e)ternal phrase extension )i$$ 8e dea$t )ith in Chapter *. Demo ! is an examp$e of a fu$$ phrase containing a dynamic introduction a$though the dynamic introduction here consists of on$y a sing$e dominant chord extended o5er t)o 8ars. #he full book will contain further e)a$ples of the dyna$ic introduction,

'+

CHAPTER 7 (PART 1) $'&ULATI'N In this chapter )e )i$$ consider ho) modu$ation )or4s in the context of a theory of chord progressions and syntactic structures. Aor a description of some 8asics on modu$ation9 c$ic4 here.

$odu!ation 8y &ynamic Harmony

%s modu$ation is a process of mo5ing from one tona$ center to another and dynamic harmony is a mo5ement of chord progressions $in4ing one static e$ement to another9 dynamic harmony and modu$ation often go hand in hand. In the first examp$e9 )eC$$ consider an instance )here a common chord is in e5idence and in the second examp$e )here the modu$ation is carried out 8y a direct mo5ement to the dominant of the ne) 4ey. P$ease refer to the 8asics of modu$ation section for more detai$s of these methods. The fo$$o)ing theme from aydnCs Sonata in D ma<or contains t)o phrases. The first contains dynamic harmony )hich modu$ates from the tonic 4ey to the dominant 4ey and the second phrase contains dynamic harmony )hich modu$ates 8ac4 to the tonic 4ey=

'-

. The first phrase is a comp$ete phrase ending in the dominant 4ey 68ars 1 to -:. The modu$ation to the dominant ta4es p$ace in the dynamic harmony of the c$osing section )here the progression mo5es the tona$ity from the tonic D to the cadence in the dominant 4ey of % ma<or. ;e can descri8e the modu$ation from D ma<or to % ma<or 8y saying that the B minor chord in 8ar * acts as a common chord 6or pi5ot chord: 8et)een the t)o 4eys. It )ou$d thus function as chord 1I in D ma<or and simu$taneous$y as chord II in % ma<or. %n a$ternati5e interpretation is to say that the modu$ation is carried out 8y the dynamic harmony )hich mo5es the tona$ity for)ard from D ma<or to the % ma<or cadence 5ia the chord progression made up of one 0 progression and one / progression. The third of the ( chord is made ma<or so that it can function correct$y as the dominant chord in the cadence. The second phrase is a comp$ete phrase returning to the home tona$ity. It starts )ith a dynamic introduction )hich is responsi8$e for the modu$ation 8ac4 to the home 4ey. Aor this 4ey change9 it is not possi8$e to identify a common chord9 8ecause9 rather than use the B minor chord as a common chord to smooth the mo5ement9 aydn heightens the chromatic effect 8y using the B+ chord )hich is not a diatonic chord in either 4ey. % more satisfactory exp$anation is that the modu$ation is faci$itated 8y a chord progression constructed 8y dynamic harmony made up of one 1 and t)o / progressions9 as indicated in the examp$e. The third of the B chord is made ma<or <ust as any diatonic minor chord can 8e made ma<or to strengthen the sense of dynamic mo5ement. It creates a Ctransient

'2

cadenceC in ( minor 8ut this 4ey is not esta8$ished as a ne) tona$ 8ase 8y any static harmony in ( minor. In the fo$$o)ing examp$e from the de5e$opment section of the first mo5ement of the Mo0art /'&' sonata9 t)o static e$ements are connected 8y a short dynamic e$ement made up of one 1 and one / progression. The . minor static harmony of 8ars 22 to !1 is thus smooth$y <oined to the D minor static harmony of 8ars !! to !'=

The dynamic harmony is constructed <ust as it )ou$d 8e if it )ere non#modu$ating. The third of the % chord in 8ar !2 is sharpened <ust as it might 8e in non#modu$ating dynamic harmony 8ut in this case the % chord is the dominant chord in the ne) 4ey. %gain9 no diatonic common chord is used. In this instance the mo5ement is direct to the ne) 4eyCs dominant chord. %s can 8e seen from the examp$es a8o5e it is not an indi5idua$ chord that defines the 4ey 8ut the arri5a$ of the dynamic harmony at a sta8$e tona$ position as defined 8y static harmony or a perfect cadence. Thus9 the B+ chord in (xamp$e +.1.9 at 8ar 29 does not signify a modu$ation to ( minor since the ( minor tona$ity is not confirmed 8y static harmony and it is not the end of a phrase. It mere$y functions as part of the dynamic harmony that carries the mo5ement for)ard. The %+ chord at 8ar 119 in contrast9 does signify a modu$ation to D ma<or since the home 4ey is confirmed 8y * O 8ars of static harmony. % modu$ation Cdirect to the ne) dominantC is possi8$e for a modu$ation to any 4ey. This is carried out either 8y a secondary dominant 6a minor or diminished chord con5erted to a dominant +th: or 5ia a .erman augmented *th chord )hich is reinterpreted as the dominant +th chord of the ne) 4ey. (ither method norma$$y ta4es p$ace )ithin an episode of dynamic harmony.

*3

?ne important examp$e of Cdirect to dominantC modu$ation is the modu$ation from a minor 4ey to its re$ati5e ma<or. In this instance9 the chord progression used is a fa$$ing second progression. i.e. a 12 progression. This is a fre>uent 4ey change in the c$assica$ and romantic periods and accounts a$most exc$usi5e$y for the use of this progression in dynamic harmony.

. This use of this 6other)ise uncommon: progression supports the 5ie) that modu$ation functions as a conscious process )hereas syntax is $arge$y su8conscious. P$ease refer to the thesis section for further discussion of this. #he book will give $ore details about <direct to do$inant< $odulations, 0ere we will concentrate on the $ore co$$on types of $odulation, CHAPTER 7 (PART 2) $'&ULATI'N

$odu!ation 4ia Chromatic Chords

.erman *th chords can 8e created on a$$ chromatic and diatonic notes )ithin the sca$e. %s these are the same9 enharmonica$$y9 as dominant se5enth chords9 they can 8e reinterpretation as dominant +th chords in a$$ 4eys. o)e5er9 this is rea$$y <ust a form of Gdirect to dominantG modu$ation. % more common method of modu$ation is for a chromatic chord to mo5e onto the ne) dominant rather than 8ecoming the dominant itse$f. The diminished +th and augmented *th chords are the chords most common$y used for this purpose. These progressions norma$$y ta4e p$ace )ithin an episode of dynamic harmony. The mo5ement to a ne) 4ey is thus made 8y the use of a musica$ CpunC. The chord progressions used can 8e summarised in the fo$$o)ing ta8$e=

*1

The chromatic chord is mo5ed to as a passing chord from the tonic of the o$d 4ey and is immediate$y reinterpreted as dominant $eading in the ne) 4ey. It then mo5es on as a passing chord to the ne) dominant chord )ith or )ithout an inter5ening cadentia$ * & appoggiatura chord. The diminished se5enth chord and augmented *th chords are the most usefu$ and common )ays of ma4ing this type of modu$ation. They act as chromatic pi5ot chords. ere9 the composer is using a Ctric4 of the tradeC 8y reinterpreting the meaning of a chromatic chord. Conse>uent$y9 the norma$ strong root progression 8et)een functiona$ chords is 8ro4en and the t)o functiona$ chords may 8e re$ated 8y a )ea4 chord progression. The composer is using a conscious$y $earned process )hich is o5erriding the norma$ su8conscious use of strong chord progressions. These progressions are norma$$y used9 ne5erthe$ess as part of a dynamic harmony episode. Ao$$o)ing are t)o examp$es=

*2

In this examp$e9 8ar '1 ends in C minor. The C minor chord is immediate$y fo$$o)ed 8y a passing diminished +th chord )hich is dominant $eading in C minor. This is reinterpreted as dominant $eading in the ne) 4ey of (#f$at ma<or. The diminished +th chord is fo$$o)ed 8y the B#f$at dominant chord of (#f$at. This 8rief dynamic harmony acts as $in4 passage from the first su8<ect in C minor to the second su8<ect in (#f$at. The progression from the C minor chord to the B#f$at chord )ou$d norma$$y 8e too )ea4 a progression to use in dynamic harmony 8ut the modu$ation ma4es the chord progression accepta8$e. The modu$ation and harmony support the 8ac4ground syntactic structure.

In this examp$e9 the c$osing section of the phrase has arri5ed at a perfect cadence in C ma<or. The C ma<or chord mo5es onto the augmented *th chord 8y $inear mo5ement. This is immediate$y reinterpreted as a dominant $eading chord in the ne) 4ey of % minor. The augmented *th chord is fo$$o)ed 8y a cadentia$ * & chord and then the ( ma<or dominant harmony. This starts off a dominant pro$ongation that extends for a further 2 8ars. The dynamic harmony thus inc$udes a progression from a functiona$ C chord to a functiona$ ( chord. This rising third progression )ou$d norma$$y 8e too )ea4 a progression to use in dynamic harmony 8ut the needs of the modu$ation o5erride the expected strong chord progression. o)e5er9 the syntactic structures remain c$ear. CHAPTER 7 (PART 3) $'&ULATI'N

Tonic to Tonic $odu!ation

By far the most common type of modu$ation is modu$ation during dynamic harmony as indicated in the $ast t)o sections. o)e5er9 composers occasiona$$y modu$ate 8y <uxtaposing t)o 4eys direct$y next to each other. This can 8e 8y t)o static harmony

*!

e$ements in different 4eys <oined to form one static harmony e$ement or can 8e one phrase fo$$o)ing another direct$y in a different 4ey )ithout any dynamic harmony to faci$itate the modu$ation.. The first has its origins in the contrapunta$ )riting of fugue. In the fo$$o)ing fuga$ examp$e9 the need to 8ring the second 5oice in at the dominant pitch re>uires that the initia$ C minor static harmony 8e repeated one fifth higher )ith no inter5ening dynamic harmony. Thus t)o static e$ements are immediate$y <uxtaposed in different 4eys forming a sing$e static syntactic e$ement. The fa$$ing &th progression from the C minor chord to the . ma<or chord is too )ea4 to 8e interpreted as dynamic harmony.

;hen ana$ysing examp$es of contrapunta$ )riting9 as here9 some interpretation is re>uired to determine )hat harmony is imp$ied 8y the sing$e or t)o part )riting. The interpretation can often 8e tested 8y ma4ing a comparison )ith a simi$ar passage e$se)here in the piece )ith fu$$er part )riting. Aor instance9 the interpretation of the third 8eat as chord I1 is supported 8y the fu$$er harmonisation $ater in 8ar +. o)e5er9 )hether this 8eat shou$d 8e interpreted as auxi$iary chord I1 or some other auxi$iary chord or <ust p$ain auxi$iary notes does not ma4e any difference. ;hate5er the imp$ied harmony is9 8ars 1 # 2 are a static pro$ongation of the C minor tonic chord. Since the second 5oice enters )ith the ans)er to the fuga$ su8<ect one fifth higher9 static harmony on . starts immediate$y. %t 8ar '9 the first fuga$ CepisodeC starts. This is a rising se>uence 8ased on dynamic harmony using / and 0 progressions. Ao$$o)ing is an examp$e of modu$ation9 Ctonic to tonicC in a non#contrapunta$ context=

*&

ere the end of one phrase in C ma<or is immediate$y fo$$o)ed 8y a ne) phrase in the unre$ated 4ey of %#f$at )ith no inter5ening dynamic harmony. The on$y connection is the common note C. #he full book will contain a further e)a$ple fro$ Brah$s of $odulation within static har$ony in a non5contrapuntal conte)t,

*'

CHAPTER 8 - EXAMPLE MUSICAL ANALYSES

IN&E9 (ach musica$ ana$ysis in this chapter shou$d he$p to put into context the concepts exp$ained in the rest of this 8oo4 and )e8site. The ana$yses sho) ho) the 5oice $eading and root progression patterns interact and ho) the 5oice $eading patterns create moti5ic structures and the root progression patterns create the musica$ phrase structures in the music and ho) these re$ate to the forma$ structure of the music. The ana$yses a$so sho) ho) the components of the music 65oice $eading patterns9 root progression patterns9 etc: contri8ute to the sty$e9 period and mood of the music. This )i$$ 8e more e5ident in the 8oo4 as this )i$$ ha5e more ana$yses from a 5ariety of types of music. This theory and ana$ytica$ method are not confined to common practice tona$ music. (ach of the ana$yses is accompanied 8y an ana$ytica$ out$ine 6in printa8$e PDA format:. These ana$yses shou$d 8e read in con<unction )ith the detai$ in the Boo4 9 the .$ossary of Sym8o$s and the 1oice Leading %ppendix )hich summarises the princip$es of 5oice $eading. Chapter *= (xtensions to the Basic Syntactic Structure )i$$ summarise the )ays that comp$ete and incomp$ete syntactic structures can 8e $in4ed together.

.enera$ Introduction Schumann # /inders0enen "o 1.

This is a short piano piece )ith simp$e 5oice $eading patterns. The under$ying root progression patterns are easy to fo$$o). It sho)s the con<oining of an incomp$ete phrase structure 6a c$osing section: and a comp$ete phrase structure.

Brahms # St %ntoni 1ariations

This examp$e contains 5oice $eading in mu$tip$e $ayers and exp$ains the moti5ic structure in more detai$. It sho)s ho) the 5oice $eading interacts )ith the under$ying root progression patterns. It sho)s the con<oining of an incomp$ete phrase structure 6an imperfect phrase: and a comp$ete phrase structure. !ore to follow in the book,

**

CHAPTER 8 - EXAMPLE MUSICAL ANALYSES

7enera! Introduction
(ach musica$ ana$ysis in this chapter is intended as a practica$ examp$e of ho) the techni>ues and theory in this 8oo4 and )e8site can 8e used )hen ana$ysing pieces of tona$ and tona$$y inf$uenced music )ith the aim of understanding the )ay each piece is structured and ho) root progression patterns and other components of the music contri8ute to the sty$e of its composition. It shou$d a$so support the e5idence for the theory summarised in the thesis section of the site and the issues raised in the Theoretica$ and istorica$ Chapter. ;hi$st IC5e tried to ma4e these ana$yses as se$f contained as possi8$e9 it is intended that you shou$d read ear$ier sections of the 8oo4 in order to fu$$y understand a$$ the detai$s. (ach of the examp$es inc$uded is accompanied 8y an ana$ytica$ out$ine. These sho) ho) the 5oice $eading and root progression patterns interact in each piece. (ach out$ine sho)s ho) the 5oice $eading surface creates the me$odic structures and ho) the root progression patterns create the musica$ phrase structures in the music. These are pro5ided in PDA format so the reader can more easi$y see the detai$ and print off the out$ines9 if desired. It shou$d 8e noted that )hi$st some of the sym8o$s used in these out$ines may resem8$e those used 8y Schen4er9 the o5era$$ approach is different. Schen4erCs ana$yses assume that a$$ $e5e$s of the structure arise out of 5oice $eading )hereas the approach ta4en here is to sho) ho) 5oice $eading9 root progression patterns9 and phrase structure syntax )or4 together to create the musica$ structure. Aor more on the theoretica$ issues concerned p$ease refer to Chapter 13 Theoretica$ and istorica$ Issues 6to 8e inc$uded as soon as is practica$:. In some of the fo$$o)ing ana$yses to fo$$o) in the future9 I )i$$ ma4e some comparati5e notes9 comparing the resu$ts of these ana$yses )ith Schen4erCs ana$yses of the same pieces. There is nothing Gnormati5eG in the ana$ytica$ approaches ta4en here. The ana$yses of 5oice $eading and root progression patterns are made in as open a )ay as possi8$e to unco5er the patterns in the music itse$f. There is no attempt to reduce e5erything to one or t)o normati5e patterns. 6Such as I # I1 # 1# I or I # III # 1 # I9 as in Schen4erian ana$ysis: nor are decisions made in the ana$ysis process <ust to pro5e any theoretica$ point. ?n$y 8y ta4ing such an open approach is it possi8$e to unco5er )hat is in the music itse$f. Aor instance9 this approach sho)s )hether the music is c$assica$$y tona$9 moda$ or some 5ariation of these. This method does not restrict itse$f to a particu$ar type of tona$ music. Ta4ing such an approach he$ps to identify )hat it is in the patterns in the music 65oice $eading9 root progressions etc: that contri8utes to the sty$e9 period and the mood of the music.

Purpose of Musica$ %na$ysis

Musica$ ana$ysis9 8y some9 is regarded as a dry theoretica$ exercise that is of $itt$e practica$ use to musicians. o)e5er9 if used effecti5e$y9 ana$ysis is a practica$ too$ *+

)hich can he$p in the understanding of ho) tona$ 6and other forms of music: are constructed. The 8asis of the musica$ ana$ysis exp$ained here is to examine the surface 5oice $eading and then strip it a)ay in $ayers in order to unco5er the under$ying structure of the music. The first step is to ana$yse the forma$ structures and then the surface detai$ to determine ho) the 5oice $eading creates moti5ic structures that create me$ody . These are then p$aced in the context of a musica$ sty$e. ?nce these ha5e 8een accounted for9 it )i$$ 8e sho)n that the under$ying structures re5ea$ patterns in root progressions that create the musica$ phrase structures. ;hy do thisI Airst of a$$9 it is )hat many performing musicians and composers do9 su8conscious$y. Performers of popu$ar music and <a00 fo$$o) chord patterns )hich summarise the music in a simi$ar )ay. The chord patterns gi5e the performer <ust enough information to )or4 out )hat to p$ay )ithout $imiting the performer to particu$ar notes or a particu$ar interpretation. Baro>ue 4ey8oard p$ayers did a simi$ar thing in the 1-th century 8ut rather than use chord sym8o$s they used num8ers )ritten under a 8ass part 6Gfigured 8assG: )hich indicated )hat the p$ayer shou$d perform9 in out$ine9 )ithout dictating a$$ the detai$s. Thus the performer can add hisHher o)n interpretation and ideas and 8e assured that these )i$$ fit in )ith )hat other performers are doing. In order to do this9 the performer needs to understand the under$ying structure of the music. It is not surprising then that these practica$ aids to performance # the chord sym8o$s of popu$ar music9 and the figured 8ass notation of 8aro>ue music are a$so of use in musica$ ana$ysis. ,nderstanding these under$ying structures can he$p performers in se5era$ )ays9 for instance9 )ith the phrasing of music. By understanding ho) the under$ying phrase structures )or49 ho) comp$ete and incomp$ete structures can 8e <oined9 it is possi8$e to understand ho) fee$ings of expectation and rea$i0ation9 tension and reso$ution can 8e created in music. ,nderstanding ho) this process )or4s can he$p )ith the phrasing and expression of the music. ,nderstanding the structure of music from different periods is an important s4i$$ for composers. ;hi$st the theoretica$ and ana$ytica$ ideas in this 8oo4 are not intended to 8e a compositiona$ method9 composers do need to understand ho) music is structured in order to create music )ith continuity9 mo5ement and shape. By understanding concepts such as= root progression patterns9 surface 5oice $eading patterns9 static and dynamic harmony and ho) they re$ate to each other and 5ary9 sty$e 8y sty$e9 the composer can use these ideas and adapt them to any sty$e he or she )ishes. Possi8$y the most important reason is curiosity. Music has a $anguage that peop$e a$$ o5er the )or$d can understand at a su8conscious $e5e$. Large num8ers of peop$e round the )or$d $isten to music that is tona$ or uti$ises tona$ harmony and tona$ structures. Tona$ harmony has spread and inf$uenced music a$$ around the )or$d. So it is )orth)hi$e trying to understand ho) this )idespread $anguage )or4s and ho) it 5aries. It is )orth trying to understand the syntax of tona$ music and the structure of indi5idua$ pieces of music simp$y 8ecause $istening to it is important to so much of humanity. It is one of those 8ig human >uestions.

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Steps in %na$ysis
Ao$$o)ing is a set of steps that summarises the approach ta4en in the ana$yses= This is a summary on$y. It shou$d 8e used in con<unction )ith the rest of this 8oo4 and the fu$$ ana$yses that fo$$o). This can 8e used for reference )hen the reader is carrying out an ana$ysis of hisHher o)n. The steps are gi5en as guide$ines. They are not intended to 8e a rigid method. The reader shou$d adapt the approach to suit the needs of the music to 8e ana$ysed. The steps can 8e app$ied9 one at a time9 across a )ho$e piece. But9 in a$$ 8ut 5ery short pieces9 once the forma$ ana$ysis has 8een carried out9 it is easier to app$y them section 8y section 8y fo$$o)ing the di5isions identified in the forma$ ana$ysis. Ste3 ; ( Identi#y the Cadences and Forma! Structure igh$ight a$$ cadences. These he$p to determine the ends of comp$ete and incomp$ete phrase structures. See Chapter 19 Chapter ' and Chapter *. These he$p to identify the correct a$ignment of the syntactic structures. Chec4 these a$ign )ith the me$odic structures. Arom these it is possi8$e to determine the forma$ structure of the music. Ma4e a note of 4ey changes identified 8y the cadences at the ends of phrases and at any other points in the music. Cadences may 8e tona$ or moda$ in character depending on the sty$e of the music. Ste3 < ( Identi#y the Sur#ace *oice Leading Study the surface 5oice $eading patterns in order to understand the moti5ic and me$odic structures in more detai$. %rpeggiation9 passing notes9 auxi$iary notes9 appoggiaturas etc a$$ ma4e up the surface 5oice $eading. See exp$anations of these and other 5oice $eading patterns in the 1oice Leading %ppendix. %s part of the 5oice $eading ana$ysis9 identify any auxi$iary chords9 passing chords and appoggiatura chords. These non#functiona$ chords ha5e the appearance of structura$ chords 8ut9 in fact9 form part of the surface 5oice $eading and are therefore not part of the under$ying root progression patterns. See Chapter ! and re$e5ant entries in the 1oice Leading %ppendix. Identify any $inear progressions. These a$)ays start and end on functiona$ chords and the $inear 5oice shou$d 8e made up of contiguous passing notes 6diatonic or chromatic: that connect the start and end notes. See Chapter & and $inear progressions in the 1oice Leading %ppendix. Ste3 = ( Identi#y the Functiona! Chord 3rogressions (xamine the remaining functiona$ 6or Gstructura$G: harmonies. Aor tona$ music 6and most tona$$y re$ated music: these are segmented into episodes of static harmony and dynamic harmony. %nnotate areas of sustained or osci$$ating chords as static harmony and areas of chord progressions as dynamic harmony. See Chapter 2. Ste3 > ( Identi#y the $usica! %hrase Structures

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?f the static harmony e$ements identified a8o5e9 determine )hich are dominant pro$ongations and )hich are tonic pro$ongations. These are the syntactic e$ements that com8ine to ma4e up the musica$ phrase structures. ?f the tonic pro$ongations identified9 determine )hich 8e$ong to the opening section of a phrase and )hich form static codas extending the fina$ tonic chord in the cadence. Identify comp$ete and incomp$ete syntactic phrase structures. See Chapter '. Identify ho) the comp$ete and incomp$ete phrase structures are <oined to form $arger units. See Chapter ' and Chapter *.

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CHAPTER 8 - EXAMPLE MUSICAL ANALYSES

SCHU$ANN ( ?IN&ERS@ENEN N'A ;

This examp$e musica$ ana$ysis is of a short piano piece )ith simp$e 5oice $eading patterns. Aor this reason9 the under$ing root progressions are easy to see. This examp$e sho)s the con<oining of an incomp$ete and a comp$ete phrase structure. The incomp$ete phrase here is a GC$osing SectionG. P$ease read the .enera$ Introduction9 first. This ana$ysis is 8ro4en do)n into the fo$$o)ing stages= a6 Introduction and Ana!ysis o# the Forma! Structure 86 *oice Leading Ana!ysis and Chord %rogression Ana!ysis c6 %hrase Structure Ana!ysis and Summary If you are ne) to the princip$es of 5oice $eading you shou$d first read the 1oice Leading %ppendix. P$ease a$so refer to the .$ossary of Sym8o$s. Chapter *= (xtensions to the Basic Syntactic Structure )i$$ sho) more a8out ho) su8#phrases can 8e com8ined.

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