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3.1 Mode Mixture and Change of Mode
Diatonic versus Chromatic
Diatonic = notes in the current key
Chromatic = notes outside the current key
Essential chromaticism = notes outside the current key that are chord tones
Non-essential chromaticism = notes outside the current key that are NON-chord tones

Mode Mixture
Mode = major OR minor (there are other modes, but major/minor are the most common)
Mode mixture = borrowing one chord (or a few chords) from the parallel major or minor key

Chords used in mode mixture:

1. The chords in a box together can be used in place of one another via mode mixture.
2. The only triads not used for mode mixture are dominant (V) and leading-tone (vii diminished triad).
3. Seventh chords are commonly borrowed as well (iv7, iii7, etc.).

    
 
  
 
  
 
 





G major
diatonic
 

chords:
I ii iii IV V vi vii° vii¯7 (half-dim 7


versus
     

      
fully-dim 7)
G minor
   
 

 
 
 


diatonic
chords:
i ii° III iv V VI VII vii° vii°7
VII can be
borrowed
into major keys

Roman numerals for mode mixture

1. Use roman numerals with the correct chord quality.
2. If the root is lowered, use a b in front of the roman numeral.
3. It is more common to borrow chords from minor while in a major key than vice-versa.

 
Mode mixture using chords from g minor in the key of G major (more common):
           
              
   

G: i G: ii° G: bIII G: iv G: bVI G: bVII G: vii°7

 
Mode mixture using chords from G major in the key of g minor (less common):
         
  
      
  
   

   

g: I g: ii g: iii g: IV g: vi g: vii¯7

Mode mixture versus change of mode

Mode mixture = borrowing from the parallel major or minor key (same tonic) for one chord (or a few chords)
Change of mode = changing to the parallel major or minor key (same tonic) for an extended time (many chords)

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3.2 Secondary (or Applied) Chords
Any major or minor triad can be preceded by its own V or V7, called a secondary dominant or
applied dominant. The chord with the secondary dominant is said to be tonicized.
Recognizing Secondary Dominants
Look for:
1. A major triad or major-minor seventh other than the V/V7 of the key, AND
2. The root of the secondary V or V7 will be a P4th below or P5th above the root of
the tonicized chord.
Analyzing Secondary Dominants
Use V or V7 followed by a slash and the tonicized roman numeral.

   
Read "five seven of four"
   
Read "five of two" Read "five of five"
     
  



  
  




D: V/ii ii c: V/V V C: V7/IV IV
V/IV = CEG = I,
Spelling and Resolving Secondary Dominants so must use V7/IV
1. Go up a perfect 5th from the root of the tonicized chord. to tonicize IV
2. Spell a major triad or major-minor seventh chord.
3. Resolve the temporary leading tone and seventh of the secondary chord as tendency tones.

 
 7th 
 
       
    LT 
  
  P5 up 
F: V F: V7/V V


Ex: V7 of V in F major? 1. Up a P5 from C = G 2. Spell a Mm7 3. 7ths resolve down by step;
LT up by step or down a 3rd
Circle-of-fifths sequences and the "SLIDE" in an inner voice

When secondary V7 chords occur in a sequence, temporary LTs "slide" down to become chord 7ths.
      
    7th   7th 

LT "slides" LT "slides"

     
LT "slides"
  
LT "slides"

down down
down down

7th

7th
 
Bb: V7/iii V7/vi V7/ii V7/V V7 I
Secondary leading-tone harmonies
1. Diminished triad or half-diminished 7th chord or fully-diminished 7th chord, AND
2. The root of the secondary LT is a minor 2nd below the root of the tonicized chord.
    
   

 
  


 

  




c: vii°7/V V F: vii°7 I
e: vii°6%/iv iv6 This is mode mixture because Db, the
Deceptive resolutions of secondary harmonies diminished 7th, is borrowed from f minor.
Deceptive resolutions occur when the secondary chord resolves to the VI or vi of the tonicized key.

 
As always, double the third in the vi chord when V or V7 goes to vi (or VI).

 
 
 

F: V7/V vi/V
(Or in C major =) C: V7 vi
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3.3 Types of Key Relationships
The following five types of key relationships are in order from closest relation to weakest relation.
1. Enharmonic Keys

 
Enharmonic keys are spelled differently but sound the same, just like enharmonic notes.

  =   
C# major Db major

2. Parallel Keys
Parallel keys share a tonic, but have different key signatures. One will be minor and one major.

  D minor is the parallel minor of D major.
D major D minor

3. Relative Keys
Relative keys share a key signature, but have different tonics. One will be minor and one major.
Remember: Relatives "look alike" at a family reunion, and relative keys "look alike" in their signatures!
 
  E minor is the relative minor of G major.
G major E minor

4. Closely-related Keys
Any key will have 5 closely-related keys. A closely-related key is a key that differs from a given key
by at most one sharp or flat. There are two easy ways to find closely related keys, as shown below.


 Given key:
D major, 2 #s

One less sharp:    One more sharp:

    
METHOD 1: Same key sig:


Add and subtract
one sharp/flat, and
take the relative
   
keys (minor/major) G major E minor B minor A major F# minor
(also relative
to D major)
OR
METHOD 2:
   
 

Take all the major
and minor triads in 






 
 
  
the given key (only) D major E minor F# minor G major A major B minor X
as tonic chords (C# diminished
for other keys. is not a key!)

5. Foreign Keys (or Distantly-related Keys)

A foreign key is any key that is not enharmonic, parallel, relative, or closely-related.
Below is one of many possible examples.
 
  E minor is the foreign to Bb major.
Bb major E minor

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3.4 Modulation
Modulation = changing to a new tonal center (a new tonic) for more than a few chords, often with a cadence.
Most modulations are to closely-related keys (see 3.3 Types of Key Relationships).
There are the three very common types of modulations and some less common types.
1. Common Chord (or Pivot Chord) Modulation
- The most basic modulation uses a chord shared by two keys as a "pivot" to the second key.
- The pivot chord will function in both the old key and the new key simultaneously.


- The roman numeral analysis indicates this by using 2 roman numerals for the pivot chord (see below).
pivot

    


           
  
        
     
   

cad6$ V7
g: V i VI iv i VI
ii I
Bb: IV
(analysis V
continues in Bb)
2. Altered Chord as Common Chord Modulation
Sometimes the only chord in common is a chromatically-altered chord such as a secondary dominant.


In the example below, d minor in m. 3 cannot be the common chord because it isn't part of G major.
The pivot chord is really the D7 chord on beat 2 of m. 3, as shown in the analysis.
pivot




      




   
 
       
     
     
C: I ii V I ii6 V6%/V I vi ii6 V7 I
G: V6% (analysis continues in G)
3. Common Tone Modulation
- In a common tone modulation, one tone is common to both keys.
- Often the common tone is repeated by itself before the key change.
- Because chromatic mediants share a single tone, it is common to use them for
common-tone modulations (see 3.12 Mediant Relationships).
                     
    
G major... ...common tone stated alone... Bb major...

Less Common Modulation Types

4. Sequential modulation, in which a phrase is repeated in a different key, often up a step.
5. Direct modulation / phrase modulation, in which the key changes abruptly after a cadence w/ no common chord.
6. Monophonic modulation, in which the key changes by introducing accidentals to an unaccompanied melody.
7. Enharmonic modulation, a rare type described on 3.9 Enharmonic Reinterpretation.

Analyzing Modulations
1. Find the first chord that doesn't work in the old key.
2. Back up one chord.
3. See whether that final chord before the new key works as a common chord.
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3.5 Neapolitan Chords
Definition and Harmonic Function
1. Major triad built on the lowered second scale step (b2).
2. Often in first inversion (hence the common name "Neapolitan sixth chord").
3. Usually resolves to V or cadential 6/4.
4. More common in minor keys because it requires 2 accidentals in major keys, 1 in minor keys.
5. The N can be tonicized with its own secondary dominant; modulations to the Neapolitan are also possible.
In C major:
 In Cminor:
 

  

N N

Part-writing First Inversion Neapolitan (N6 or bII6)

 
1. The b2 note resolves to the leading tone.

 
2. In first inversion, double the third in the Neapolitan.

 b  b
   
LT
   
LT
      There are many
        more possiblities.
 
C: N 6 V 42 C: N 6 V

Part-writing Root Position Neapolitan (N or bII)

1. In root position, double the root of the Neapolitan.


2. The b2 note still resolves to the leading tone.


2. The bass will resolve down a diminished 5th to V or cadential 6/4.

  b
    LT

   
 
C: N V

Delaying the Dominant Harmony


Sometimes the dominant harmony is delayed by a cadential 6/4 chord.


The b2 note still resolves to the leading tone eventually, but moves down by step first.
b

     
LT

 
  
  
i 64 V
C: N 6
V
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3.6 Augmented Sixth Chords

 
Augmented Sixth Chords (+6 chords) # 
 +6   8ve
 
1. +6 chords are based on resolving to an octave by half steps in contrary motion.
b
2. The +6 is usually between the lowered sixth scale step (already lowered in
minor keys) and the raised fourth scale step.
3. Inversions are not notated on +6 chords, but some authors use "°3" if the +6 interval is inverted.
3. There are three main types of +6 chords: Italian, French, and German.

Most Common Types

       
1. Italian +6 (It+6) 2. French +6 (Fr+6) 3. German +6 (Ger+6)

    
  
      
    
     
+6 plus M3 = It+6 It+6 plus M2 = Fr+6 It+6 plus m3 = Ger+6
above above
"center note" "center note"

Part-writing +6 Chords
1. For It+6, double the note that is not part of the +6 interval. Fr+6 and Ger+6 have 4 different notes.

  
2. The raised fourth scale step resolves up a half step.
3. The lowered sixth scale step resolves down a half step.
4. Ger+6 chords often resolve to a cadential 6/4 chord before V, to avoid parallel fifths.


Italian +6: French +6: German +6:
           
+4 M2 m3

 M3  +6
   +6
  
+6
 
      
C: It+6 V C: Fr+6 V c: Ger+ 6 cad 64 V


V
Part-writing +6 to V7: The "SLIDE"
When any +6 chord resolves to V7, the raised fourth scale degree "slides" down to become the 7th of the V7 chord.

 #    7th

 
"SLIDE"


 
C: Fr+ 6 V7

Other +6 Chords and Resolutions (Less Common)

1. A note other than the lowered sixth step of the scale may be in the bass (order of parts rearranged).
2. The +6 interval may resolve to the root of a chord other than V. In this case,
you label it as "+6/x" where x is the roman numeral for the step of the scale to which the +6 interval resolves.
3. The +6 interval may resolve to the third or fifth of a chord instead of its root.
4. Some +6 chords contain notes other than a M2 or m3 above the "center note."
5. Swiss+6 = A Ger+6 chord in a major key spelled with an aug. 2nd (not m3) above the "center note."
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3.7 SATB Part Writing 7: Chromatic Part Writing
1. Follow all guidelines and principles of diatonic part writing.
2. Resolve tendency tones FIRST (LTs, 7ths, b2 in N, +6 in +6 chords, V+, etc.).
3. Chromatically raised notes usually resolve upward; lowered notes often resolve downward.
4. Keep the chromatic tone in the same voice as the unaltered note to avoid cross-relations (see below).

A cross-relation occurs when a pitch in one voice is followed by a chromatic alteration of the same pitch in another
voice (like G#-G§). Cross-relations are best avoided in part-writing; they overemphasize the chromatic pitch.

 
However, even Bach included cross-relations occasionally, esp. between the end of one phrase and the start of
the next. Below are some (not all) of the more common cross-relations.
Cross-relation 1: Subtonic and leading tone in minor keys
One common type of cross relation results from the raised leading tone and subtonic in minor keys.

  
 
    

      

Better
G§ = subtonic

G§ G#

  
 G# = LT 

 
Avoid!
a: i vii°7 i a: i vii°6% i6

Cross-relation 2: Tonicization of vi in major keys

   
  


  

G§ G§ G#

    
Avoid!
 
Better
 G#
 
C: I V7/vi vi C: I V7/vi vi
(The temporary LT G# can then
resolve down a 3rd in the inner voice.)
Cross-relation 3: N6 followed by V


When the Neapolitan 6 (N6) or Neapolitan (N) resolves to V, voice leading conventions allow the cross relation
between b2 and §2 so that b2 can move down to the LT.
Db = b2

  
LT!

 D§ = §2
  
OK cross-relation: allows b2 to go to LT

 
C: N 6 V

 
Cross-relation 4: +6 chords resolving to V7
When any +6 chord resolves to a V7 (or secondary V7), the raised note in the augmented sixth "SLIDES" down
to avoid a cross-relation.

Better: the "SLIDE"
 F#  F# F§  =7th
 
  F§  
    
Avoid!

C: Fr+6 V7 C: Fr+6 V7
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3.8 Chromatic Harmony: Representative Examples

SECONDARY FUNCTIONS Tonicized chord can be any diatonic major or minor triad.
            
 
Mm7 = "secondary dominant?"; dim triad/7th = "secondary LT?"
  
  
   
 
    
 
    
   
  

 
Bb: V/ii ii e: V7 /V V D: vii˚6 /IV IV B: vii˚7 /V V d: vii¯7/VI VI

MODE MIXTURE Borrowing harmonies from the parallel major or minor key.
    
Major V in minor is diatonic, not mode mixture!
  
 

   

     

    

    

C: iv D: bIII A: bVI G: bVII Eb: ii˚ F#: vii˚7

NEAPOLITAN CHORDS Major triad built on b2 pitch; usually inverted; Usually leads to V or cad. 6/4;
b2 note moves to LT of key; Double 3rd in 1st inversion or root in root position.
   LT!  
 
b2!   
b2!
   
b2! LT!
 
 LT!
  
   
 
C: N6 V f#: N6 cad. 64 V e: N V
Diminished 5th in bass
V for root position N to V.

+6 CHORDS All include augmented sixth interval; usually +6 resolves to an 8ve;

usually both notes of the +6 resolve to the 5th step of the scale
         
  
 

   
 

     
c: It+6 V c: Fr+6 V c: Ger+6 cad. 64 V
Notice: Ab - C = M3, C - F# = A4, Ab - F# = +6; also Ab and F# each move a m2 in contrary motion. V
Fr+6 adds a M2 above the "center note" of the It+6; Ger+6 adds a m3 above the "center note" of the It+6.
Other, unusual resolutions and voicings are occasionally found.

V+ / AUGMENTED DOMINANT Augmented dominant chords have two tendency tones: the LT, which
tends to go to tonic, and the #5th, which resolves up by step.
   
  

  

 
A: V+  C: V+7

I
I V+7 has 3 tendency tones. Note the LT resolving down
in the inner voice in this ex. to give a complete tonic triad.

COMMON-TONE DIM. 7th CHORDS The note that is held over (the "common tone") becomes the
ROOT of the resolution chord. (CT can be any of 4 notes in dim7.)
       5th as C.T.    
     
Root as C.T.
  
3rd as C.T. 7th as C.T.

             
  
   
B: (ct˚7 ) V7 A: (ct˚7 ) I6 G: (ct˚7 ) IV6 Ab: (ct˚7 ) V6

Vsub6 CHORDS Vsub6 is an abbreviated escape tone figure (see below). Not technically a chromatic chord.
Sub6 note on top normally, always resolves down a third. Pitches of III chord, but moves to V.

   
 
      
esc. E subs. for D
 

   

    


    
C: V I C: V I C: V sub6 I
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3.9 Enharmonic Reinterpretation
Enharmonic reinterpretation is a technique that allows composers to approach a chord in one key, respell one
or more notes, and resolve the chord into an entirely different key. It is mostly found in 19th-century music.

1. V7 and Ger+6
Respell the top note of the +6 (or the 7th of the V7) to convert a Ger+6 to a V7 (or V7 to Ger+6).

     
Modulates to a key a half step away.
  
       
 

7th!
  

BECOMES

C: Ger+6 cad 6$ V Db: V7 I

V Respell F# in the original Ger+6
as Gb to resolve to Db
2. Fully-diminished Seventh Chords
Respell any fully-diminished 7th chord using any note (3rd, 5th, or 7th) as the new root.

  
D# (=Eb)
Modulates to keys a minor third or tritone away.
 
   
C as root as root
  
A as root
      
           
F# as root


    
g: vii°7 (F# becomes Gb...) bb: vii°7 (A becomes Bº...) Db: vii°7 (equals...) c#: vii°7 (B# becomes C§...) e:vii°7

3. Fr+6 to Fr+6
Respell both notes of one of the major thirds to convert a Fr+6 to a different Fr+6.
Modulates to a key a tritone away.
This example respells the top major 3rd; at times it is easier to respell the bottom major third instead.
   
 
  
      


M3
(respell
C# to Db,
E# to F§)
b: Fr+6 f: Fr+6

4. III+ chords
Like diminished seventh chords, augmented triads can be respelled with any note (3rd or 5th) as the new root.
III+ is the only diatonic augmented triad in the major/minor key system.
    

   

  
 (G becomes FX...)
  
(Eb becomes D#...)
c: III+ e: III+ g#: III+


Example of Reinterpretation: V7 becomes Ger+6
(Bb=A#,

         

forming Ger+6 in e: C,E,G,A#)
       
           
  
        
   
     
          
f: i iv V VI iv ii°6 cad 6$ V 7 (=Ger+6) e: i V VI iv cad 6$ V 7 i
V V

Copyright © 2010 by Mark Feezell. All Rights Reserved.

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3.10 Chromatic Harmony: Identifying the Key
Harmonic analysis is impossible if you can't quickly identify the current key of the chromatic passage.
Here are four common clues:
Clue 1: Raising accidentals might be leading tones
If there are only a few accidentals, examine any accidentals that raise notes to see if they could be
leading tones. In the Mozart example below, the two "raising" accidentals are E§ (LT to F) and
B§ (LT to C). Since C major wouldn't have Bb and C minor needs Ab, F is the more likely key for


the passage. Closer inspection confirms F major.
Mozart, Piano Sonata in Bb Major, K. 333, I, mm. 23-26. 

 
            
             
        

           
   

Clue 2: A P5 down OR P4 up in bass might be a V-I
The most obvious visual clue when there are many accidentals, as in the Beethoven example below,
is often a perfect 4th up or perfect 5th down in the bass. Scanning the bass line, the B-E followed
by rests jumps out as a possible V-I progression. Closer inspection confirms E major: notice the
cadential second inversion chord and the Mm7 leading to E at the cadence.


Beethoven, Piano Sonata No. 8 in C minor, Op. 13, II, mm. 42-44.
           
        
 
  
      
       

   
           
        
 








              
   
E: V4£ I6 V4£/V cad6$ V7 I

Clue 3: A lowering accidental might be the 7th of the V7 chord

Sometimes the only accidental introduced at the modulation is a lowering accidental functioning as


the 7th of the V7 chord in the new key. In the example below, the introduction of F§ changes the G
major triad in the 3rd measure into a Mm7 chord leading to C as tonic.
Chopin, 24 Preludes, Op. 28, No. 6 in B minor, mm. 9-13.

                               
   
     
F§
     
               
   
 
b: i VI V4"/ N Neapolitan...
Clue 4: Cadential 6$ chords might give away the tonic
A second inversion chord on a downbeat is very often a cadential 6-4 chord. Cad. 6-4 chords embellish
the dominant of the key, and use the same pitches as the tonic triad. Recognizing the 6--5, 4--3 voice


leading of cad 6-4 chords can help speed key recognition, especially with many accidentals.
Brahms, Intermezzo in A Major, Op. 118, No. 2, mm. 61-65.

            
          
  

    

    
    
         
 
        
 
   
F#: cad6$ V7
Copyright © 2010 by Mark Feezell. All Rights Reserved.
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3.11 Harmonic Functions by Chord Quality
Chord quality indicates function. Memorize these charts.
Always start by making a “stack of thirds” out of the notes you want to analyze.

Diatonic functions:
Major triads: major keys  I / IV / V OR minor keys  III / V / VI / VII
Minor triads: major keys  ii / iii / vi OR minor keys  i / iv
Diminished triads: major keys  vii° OR minor keys  ii° / #vi°(rare) / vii°
Augmented triads: minor keys only  III+

1. TRIADS
Chromatic functions:
Major triads: mode mixture? secondary V? Neapolitan?
Minor triads: mode mixture? Vsub6?
Diminished triads: secondary LT? mode mixture (ii° in major)?
Augmented triads: V+ (augmented dominant)?

Diatonic functions:
Mm : V7 only (Mm7=“Dominant?”)
7
7
Dim7 (° 7): minor keys only  vii°
Half-dim7 (¯7 ): major keys  vii¯7 OR minor keys  ii¯7 / #vi¯7 (rare)
Min7: major keys  ii7 / iii7 / vi7 OR minor keys  i7 / iv7
Maj7: major keys  IM7 / IVM7 OR minor keys  IIIM7 / VIM7

2. SEVENTH CHORDS
Chromatic functions:
Mm : secondary V7? or enharmonic reint. as aug 6th chord?
7

Dim7 (° 7): vii°7 as mode mixture? vii°7 as secondary LT? ct°7?

Half-dim7 (¯7 ): secondary LT? mode mixture (vii¯7 or ii¯7 )?
Min7: mode mixture?
7
Maj : Almost always diatonic; try for a diatonic solution

3. OTHER SONORITIES
Augmented sixth chord? (It+6? Fr+6? Ger+6? Other +6?)
V+7 (augmented dominant seventh)?
Last resort analysis: Omnibus or directed linear motion

Copyright © 2010 by Mark Feezell. All Rights Reserved.

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3.12 Types of Mediant Relationships
Mediant relationship = chords or keys that are a major or minor third apart

1. Diatonic Mediant
This is the relationship between chords whose roots are a third apart within a given key.
1. Roots a M3 or m3 apart
2. Contrasting chord qualities (always one is major and the other is minor or vice-versa)
3. Two common tones
  
  

   
 ...and other possibilities

Eb: I Eb: iii

2. Chromatic Mediant
1. Roots a M3 or m3 apart
2. Matching triad qualities (always BOTH major or BOTH minor).
3. One common tone


  

 ...and other possibilities
D major F major

Because chromatic mediants share a single tone, it is common to use them for common tone modulations:

                           
D major... ...common tone stated alone... F major

3. Double Chromatic Mediant

The double chromatic mediant (or doubly-chromatic mediant) is the most distant mediant relationship.
Tonal motions involving the double chromatic mediant are rare before the 19th-century.
1. Roots a M3 or m3 apart
2. Contrasting triad qualities (always one is major and the other is minor or vice-versa)
3. NO common tones

REMEMBER: Double chromatic mediant involves two chord types

(major and minor) and no common tones.

  

 
   ...and other possibilities
Bb major Db minor

Copyright © 2010 by Mark Feezell. All Rights Reserved.