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Music Theory Through Improvisation

Music Theory Through Improvisation presents a unique approach to basic theory and musical training, examining the study of traditional theory through the art of improvisation.The book follows the same general progression of diatonic to non-diatonic harmony inconventional approaches, but integrates improvisation, composition, keyboard harmony,analysis, and rhythm.

Geared toward the diverse interests and abilities of today’s student, Music Theory ThroughImprovisation places the study of harmony within improvisation and composition instylistically diverse formats, including jazz and popular music. Keyboard realization, forstudents with little or no keyboard training, is the primary mode of assimilation of harmonicmaterials.

FEATURES

• Based on a user friendly system of improvisation study• Combines Jazz, Popular, Classical, and other musical sources• Enhances understanding of the creative process and the inner workings of music• Includes an Audio CD of play-along tracks for improvisation and a companion website

with resources for students and instructors,www.routledge.com/textbooks/9780415997256

Edward Sarath is Professor of Music in the Department of Jazz and Improvisation Studiesat the School of Music, Theatre, and Dance at University of Michigan. He is the presidentand founder of the International Society for Improvised Music.

Music Theory Through Improvisation

A New Approach to Musicianship Training

EDWARD SARATHUniversity of Michigan

First published 2010by Routledge270 Madison Ave, New York, NY 10016

Simultaneously published in the UKby Routledge2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN

Routledge is an imprint of the Taylor & Francis Group, an informa business

© 2010 Taylor & Francis

All rights reserved. No part of this book may be reprinted or reproduced or utilized in any form or by anyelectronic, mechanical, or other means, now known or hereafter invented, including photocopying andrecording, or in any information storage or retrieval system, without permission in writing from thepublishers.

Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are usedonly for identification and explanation without intent to infringe.

Library of Congress Cataloging-in-Publication DataSarath, Ed.Music theory through improvisation : a new approach to musicianship training / Edward Sarath.p. cm.1. Music theory. 2. Jazz–Instruction and study. 3. Improvisation (Music) I. Title.MT6.S2547 2010781–dc222009009413

ISBN 10: 0–415–80453–1 (hbk)ISBN 10: 0–415–99725–9 (pbk)ISBN 10: 0–203–87347–5 (ebk)

ISBN 13: 978–0–415–80453–0 (hbk)ISBN 13: 978–0–415–99725–6 (pbk)ISBN 13: 978–0–203–87347–2 (ebk)

This edition published in the Taylor & Francis e-Library, 2009.

To purchase your own copy of this or any of Taylor & Francis or Routledge’scollection of thousands of eBooks please go to www.eBookstore.tandf.co.uk.

ISBN 0-203-87347-5 Master e-book ISBN

Contents

Preface xiAcknowledgments xvii

Chapter 1 Improvisation Across Boundaries: A Trans-stylistic Approach 1Getting Started 2Non-syntactic Catalysts 4Tension and Release, Variety and Unity, Motion and Stability 5Melody 7Ostinato, Motive, Sequence 7Antecedent-consequent Structure 9Melodic Contour 9Pitch-based Melodic Improvising 10Pulse-based Improvising 11Form-based Improvising 12Graphic Formal Analysis 13The Inner Dimensions of Improvisation 13Silence 17Solo Pieces 17Free or Open Collective Improvising 19Clarity of Ideas 20Transparency, Laying Out, and Soloing 21Endings 21Culminating Exercises 23Concluding Thoughts: Template for Artistic Development 24Listening Resources 24Further Reading 27

Chapter 2 Music Fundamentals 28Staff, Clefs, Scales 29Key Signatures 31Major Scale 31Minor Scale 33

Intervals 34Modes 38Pentatonic Scales 40Aural Transposition 41Melodic Cells 42Aural Transposition with Pentatonic Scales 45

Chapter 3 Modality and Rhythm I: Time Feels 48Importance of Aural Immersion 48Core Elements of Time Feels 49Further Aural Immersion Strategies 50Modal Etude 1 52Two-player Improvisation Practice Frameworks 56Rhythmic Templates for Time-feel Grooves and Melodic Improvising 58Listening Resources: Time-feel-based Music with African and African-American Roots 61Suggested Recordings 62Further Reading 64

Chapter 4 Modality and Rhythm II: Small Group Framework 66Call and Response 66Strategies for Generating New Ideas 68Mode-rhythmic Formats 76Minor Blues 77Indian Rhythmic Practices 80Small Group Ensemble Performance and Project Format 82

Chapter 5 Basic Tonal Materials: Triads and Seventh Chords 84Triads 85Seventh Chords 87Two Roman Numeral Systems 89Inversions 90Close Position and Open Position or Spread Voicings 92Keyboard Realization 95Fortification Exercises: Aural and Analytical 97Modes 98Modemaster Drills 98

Chapter 6 Harmonic Functions 102Tonic–Subdominant–Dominant Functions 103The Dominant Seventh Chord 104Cadence 105Keyboard Application 107Improvising on the II–V–I Progression 109Integrating Diverse Forms of Musical Knowledge 111Chord-scale Analysis 111

vi Contents

II–V–I in Minor 113Writing and Analysis Exercises 116Voice Leading 117Idiomatic Progressions 121Turnarounds 123Free-tonicization Strategies Level I 124

Chapter 7 Swing: Global Rhythmic Gateway 128Elements of Swing 129Swing Articulation 130Blues 131Transcription Format 133Scale and Chord Exercises for Cultivating the Swing Concept 135

Chapter 8 Melodic Line Construction and Harmonization 137Composing Melodic Lines on Chord Changes 138Diatonic Target Notes 140Problems with the Root of the Major Seventh Chord in the Melody 141Melodic Analysis 142Guide Tones 143Written Application 145Incorporating Guide Tones in Melodic Lines 147Two Approaches to Composing Melodies on Chord Changes 150Harmonizing Melodic Lines 151Top–down Harmonization at the Keyboard 151Harmonic Rhythm 155Small Group Application 156

Chapter 9 Chord Inversion Present and Past 158Chord Inversion in Jazz 158Non-harmonic Tones 161Analysis of Bach Chorales 163Pedal Point and Inversion 166

Chapter 10 Non-diatonic Harmony I: Applied Chords 168Secondary Dominant Chords 169Secondary II–V7 Sequences 171Secondary Dominant Chords of Non-diatonic Target Chord/Key Areas 172Delayed Resolution of Secondary Dominant Chords 173Secondary or Applied Leading Tone Chords 174Passing Diminished Seventh Chords 175Substitute Dominant Chords 177Improvising on Chord Sequences with Applied Dominant and Leading Tone Chords 180Free-tonicization Strategies Level II 183

viiContents

Chapter 11 Non-diatonic Harmony II: Modal Mixture 185Modal Mixture on Diatonic and Non-diatonic Roots 186Passing and Structural Functions in Modal Mixture Harmonies 187Improvising on Modal Mixture Progressions 191Composing 192Analysis Exercises 193The Neapolitan Sixth Chord 195Free-tonicization Level III 196Modal Mixture As an Entry Point into Modal Composition Techniques 197Creative Synthesis 199

Chapter 12 Figured Bass Realization at the Keyboard 201Basic Principles 201Triads 202Seventh Chords 203Accidentals 204Voice Leading and Doubling Considerations 205Four-part Chorale Writing 210Figured Bass Lines Applied to Jazz Chord Changes 211

Chapter 13 Extended Chords 213General Principles of Chord Extensions 213Types of Chord Extensions 215Replacement Tones and Chord Superimposition 216Extended II–V7–I Voicings 217Smooth Voice Leading 218Multiple Configurations of Extended Voicings: A and B Voicing Patterns 221Extended II–V–I Voicings in Minor 225Extended Substitute Dominant Chords 229Further Reading 232

Chapter 14 Altered Extensions 233The Altered Dominant Chord 233Chord Superimposition Strategy: Build a Maj7(b5) on the Third to Yield V7(#9,b13) 235Extended and Altered Substitute Dominant Chords 237Further Keyboard Work 240Substitute Dominant Chords as Augmented Sixth Chords 245Improvising on Altered Harmonies 248Integrating Scales into your Melodic-Harmonic Palette Through Improvising and Composing 251Improvising with Altered Scales 251Composing Lines with the Scales 252Reharmonization 252Rhythm Changes 254

viii Contents

Administrator

Administrator

Chapter 15 Diverse Approaches to Analysis 257Tonicization and Modulation Revisited 257Tadd Dameron’s “Lady Bird” 259Jerome Kern’s “All the Things You Are” 261John Coltrane’s “Moment’s Notice” 262Chopin, Prelude No. 4 267Schubert, Waltz 269

Chapter 16 Fine-tuning and Expanding the Jazz Palette 272Rhythmic Layers for Melodic Clarity 273Registral, Density, and Contour Variety 275Intervallic Variety 276Motivic and Multi-motivic Development 278Integrating Strategies 279Expanding the Harmonic Palette 280Cross-stylistic Melding 285Final Composition Project 290Final Creative Synthesis 290Concluding Thoughts 291

Appendix 1 Introduction to Species Counterpoint 293Overview of Species Principles 294Creating Contrapuntal Lines: General Principles Pertaining to Writing Species Melodies 296First Species 1:1 299Second Species 2:1 300Third Species 4:1 301Improvising with More Florid Lines 303Fourth and Fifth Species 304Fourth Species: Suspensions 304Fifth Species: Integration of the Previous Four Species 306

Appendix 2 Overtone Series and Equal Temperament 308

Appendix 3 Rhythmic Exercises 310

Appendix 4 Jazz Etudes 313

Appendix 5 Additional Keyboard Exercises 334Seminal Keyboard Projects 334Advanced Guide Tone Exercise 334Advanced Two-hand, Non-tertial Open Voicings 335

Appendix 6 Instrument Ranges, Transposition, and Score Excerpts 339

ixContents

Appendix 7 Aural Transposition 351Triads 351Seventh Chords 352Pentatonic Scales 353Idiomatic Lines 354Repertory 355

Appendix 8 Sample Syllabus 356

Appendix 9 CD and Web Audio Tracks 363

Index 365

x Contents

Preface

Music Theory Through Improvisation is a hands-on, creativity-based approach to musictheory and improvisation training designed for classical musicians with little or nobackground in improvisation. It is also designed for jazz musicians who are interested innew approaches to improvisation, music theory, and forging connections with the broadermusical world. The book may serve both purposes as a primary or secondary text in a variety of educational formats, ranging from coursework in jazz improvisation and jazztheory, contemporary improvisation and music technology, as well as music theory course-work that seeks to integrate improvisation in the learning process. MTI has evolved in the latter capacity over the past 15 years in conjunction with a musicianship course at theUniversity of Michigan School of Music, Theatre, and Dance that fulfills two terms of coremusicianship requirements for classical and jazz students.

Conventional musicianship training has long been largely focused on interpretiveperformance and analysis of European classical repertory. While the richness of this traditionis beyond dispute, the diversity of today’s musical world calls for a much-expanded skill setthat includes engagement with diverse musical traditions and robust creative processes—improvisation foremost among them—and that bridges the divide that has long separatedmusical study from the musical world. Music Theory Through Improvisation (MTI), one ofthe very first musicianship textbooks of its kind, bridges this divide through the combinationof a unique breadth of creative processes and carefully selected content that derives fromwide-ranging sources. While jazz factors prominently among these sources, the aim is notjazz-specific training but skills that open up connections to the broader musical landscape.

Features

• Based in a “user-friendly” system of improvisation study that is specifically designedfor classical musicians with little or no experience in this age-old musical practice. Thesystem is also effective in expanding the boundaries of experienced style-specificimprovisers (e.g. in jazz, baroque, or other improvisatory genres).

• Integrates improvisation, composition, performance, keyboard realization, writing,analysis, rhythmic training, and multiple approaches to aural skills.

• Integrates jazz, popular, European classical, and other musical sources.• Harmonic materials follow the same general trajectory as most conventional approaches,

moving from diatonic to non-diatonic chords and functions (e.g. secondary dominants,modulation, modal mixture, extended and altered harmonies).

• Keyboard realization system—designed for non-keyboard principals and keyboardprincipals alike—juxtaposes jazz, pop, and European classical harmonic models.Students learn to play jazz/pop as well as baroque “chord symbols,” and all writingextends from keyboard realization practice.

• Rhythmic training derives from Indian, Arabic, African, African-American, andEuropean classical sources.

• Grounded in a cross-cultural aesthetic that enables musicians to understand andappreciate differences between musical traditions as well as identify connectingthreads.

• Introductory exposure to concepts in music cognition that enhance understanding ofthe creative process and the inner workings of music.

Why Music Theory Through Improvisation is Needed

The breadth and eclecticism of the contemporary musical world presents both untoldopportunities for musicians as well as challenges in its sheer magnitude. Indeed, the musicalpulse of our times lies as much in the intersections between genres as in the genresthemselves, at which point musicians and music schools must face the daunting task ofidentifying and gaining the skills needed to engage in this cross-cultural melding. A shiftis needed in musicianship training from the conventional, content-based approach—whichin the realm of music theory focuses on analysis and written work with European classicalrepertory—to a process-rich model in which carefully selected content is integrated withhands-on, creative engagement. This is where improvisation excels, particularly whenframed within a process-content spectrum that is designed with the contemporary musicalworld in mind.

Let us take a closer look at how MTI embodies these principles. In addition toimprovisation, MTI’s broad process spectrum also includes keyboard realization, which is a central means for developing command of harmonic materials in this system,and rhythmic training, writing, and analysis. MTI’s content scope draws from jazz,European classical, and other sources. However, whereas conventional theory texts as well as jazz theory texts have been designed around a priori-style assumptions—e.g. conventional text presuming European classical as a default style source, jazz theorybooks presuming the same with jazz—MTI was created by stepping back from styleboundaries and responding to two fundamental questions. First, what skills do today’smusicians need? Second, what are the richest, most integrative, and practical sources forthose skills?

Students need training in improvisation, composition, and performance; they need todevelop fluency with a range of tonal, modal, post-tonal materials, formal structures, andcontemporary time-feels as well as other rhythmic practices; and they need to be able to

xii Preface

transcend category, in other words, to situate particular genres within the broader musicallandscape. While it is clear that no one genre is capable of providing this complete rangeof skills, it is also clear that jazz—due to its process-breadth and integrative capacities,where improvising, composing, performing, harmony, rhythm, and melody are integrated—must be cited as a particularly fertile resource. As noted above, this is not due to the idea ofjazz as a destination for all musicians, but rather to the quest for a foundational platformfrom which openings to a wide diversity of areas may be forged. MTI approaches jazz notas an end-goal but as an integrative, creative point of departure that will not only enablestudents to thrive in subsequent coursework—whether this involves European classicalmusic, further jazz study, world music, technology, or music education—but will also helpthem navigate their individual pathways through the musical world. These principles are exemplified in MTI’s units on contemporary improvisation, figured bass realization,species counterpoint, and rhythmic training that draws from Indian, African, and Arabictraditions.

While there is no denying that MTI represents a new paradigm of musicianship training,it is also important to recognize the ways in which it intersects with, if not bolsters,conventional areas of study. This was an important issue in the MTI review process, bothin the proposal stages and after the manuscript was completed, and hits at the core ofeducational reform debates. MTI, due to its broader orientation, does not venture intoEuropean classical repertory in as detailed a way as is found in conventional musicianshipbooks. However, MTI not only follows the general trajectory of diatonic (chord structureand function) to non-diatonic harmony (applied chords, modal mixture, altered andextended chords) that underlies conventional theory courses; the approach may enable levelsof assimilation that may not be likely in conventional approaches. This is due to MTI’sprocess-based application. Consider, for example, the kind of assimilation that is possiblewhen, as is central in MTI, students learn secondary dominant chords by realizing them inmultiple keys at the keyboard, improvising with chord progressions containing them, andcomposing with these structures in addition to more conventional written and analyticalstrategies. Or consider MTI’s approach to augmented sixth chords through the lens ofaltered jazz harmonies, again which are realized at the keyboard in multiple keys, and areapproached through improvisation and composition in addition to conventional modalitiesof writing and analysis. Hands-on, creative engagement enables the development of a newlevel of fluency with theoretical materials that allows musicians to traverse wide-rangingstyle boundaries.

Music Theory Through Improvisation for the Undergraduate

MTI may be used as a primary text for two or more terms in the undergraduatemusicianship core. At the University of Michigan School of Music, Theatre, and Danceit is primarily aimed toward classical musicians with little or no experience in improv-isation. Students have the option of electing the alternative track to fulfill two terms oftheir core musicianship requirements. Mounting appeals for more diverse musicianshipmodels suggest that this class may be a precursor to further curricular innovations.

xiiiPreface

Moreover, the book has also been beneficial for jazz musicians and other musicians withexperience in improvisation that has been confined to a given style; the diverse strategies ofMTI will both help expand the creative horizons of style-specific improvisers as well asfine-tune their aural and theoretical skills. Jazz musicians, for instance, benefit considerablyfrom the trans-stylistic improvising approaches, work in species counterpoint, stylisticallydiverse approaches to keyboard, and multi-ethnic rhythmic training that are included in thebook. MTI’s hands-on and efficient approach to core training also makes it an ideal resourcefor music technology students.

Using Music Theory Through Improvisation in the Classroom

MTI’s broad scope enables wide-ranging possibilities for classroom application. Whiledifferent instructors will necessarily adapt MTI to fit their particular situations, thefollowing approach has been used successfully in classes ranging from 16 to 40 students andis offered as a guide that may be of use at many institutions:

• Students are grouped in small ensembles of three to six members that remain intactfor all or most of the semester and serve as formats for improvisation, composition,rhythmic training, and aural transposition. The groups may consist of virtually anycombination of instrumental types—e.g. bassoon, voice, cello, guitar, and trombone—and among the compelling aspects of the approach are the creative results that stemfrom unusual instrumentations.

• Each class meeting begins with one or two small groups presenting their work to therest of the class. In a class of 30 students that meets twice per week, six quintets couldbe formed, two of which would begin each class session, enabling each group to playevery fourth class.

• Discussion and feedback follow the small group performances. Engaging in theoreticalknowledge provides an all-important balance between creative application andanalysis. The theoretical portion of the class session may be used for written work,ear-training, analysis, exams, etc.

• Special projects, such as transcriptions—where each student plays his or hertranscription for the class—or written exams that require the entire class period,present exceptions to the general format of class sessions.

• Individual proficiency exams are conducted outside of regular class time to monitorkeyboard work. These exams may be done in short appointments lasting five minutesper student and may be scheduled at appropriate intervals throughout a semester. Fourproficiency exam sessions per term, held over the course of two semesters, should besufficient to cover the Seminal Keyboard Projects sequence presented in the book.

xiv Preface

Teaching Resources

1 Over 300 hands-on, creative exercises integrated into the body of the text.2 Accompanying CD provides background tracks for improvisation, correlated to the

text.3 Listening lists with specific examples corresponding to specific exercises.4 Sample syllabus for two-semester sequence in the Appendix.5 Website includes:

• Listening tracks corresponding to selected examples.• Additional syllabi for shorter and longer sequences.• Chapter-by-chapter outlines that provide a sense of how the various parts of the

book fit together as a whole.• Suggestions for instructors, including advice for skills assessment.

Music examples that correspond to the play-along CD are indicated by the CDicon.

Listening examples on the website are indicated by the website icon.

To access the website, log on to: www.routledge.com/textbooks/9780415997256

Toward a New Era of Musicianship

Imagine the kind of vitality and programming that might be possible in a symphonyorchestra which largely comprises contemporary improvisers-composers-performers, wherethe music of Brahms and Beethoven is juxtaposed with new works that cross genres andengage musicians in new ways. Imagine a music school or department in which theconventional specializations that are currently the norm (e.g. in performance, jazz, theory,history, technology) unite in entirely new curricular pathways that transcend category andexemplify the creative horizons of musical innovators past and present.This kind of scenariois not only possible; it is likely the most apt description of the music school of the future.MTI is a resource to help expand, enliven, and transform core musical training in order topromote movement in this direction.

Ed SarathJanuary 2009

xvPreface

Acknowledgments

Conceding that it will be impossible to identify everyone who has played a role in theevolution of this book, I will make an attempt to cite some of the most importantcontributors. Thanks to Geri Allen, Judith Becker, Andrew Bishop, Steve Bizub, GabeBolkosky, Paul Boylan, Roger Braun, Mathew Buchman, Rui Carvalho, Colleen Conway,Jason Corey, Robert Culver, John Daniel, Michael Dessen, Katherine Doversberger, DavidElliott, James Froseth, Kyra Gaunt, Michael Gould, David Greenhoe, Karri Harris,Michael Herbst, Katt Hernandez, Karlton Hester, Maud Hickey, Robert Hurst, FritzKaenzig, Christine Kapusky, Christopher Kendall, Richard Kim, Andy Kirschner, GreggKoyle, Ralph Lewis, Joe Lukasik, Andrew Mead, Marie McCarthy, Lester Monts, JanneMurto, Michael Nickens, Josh Palay, Jari Perkiomaki, Guthrie Ramsey, John Rapson,Bennett Reimer, Ellen Rowe, Steve Rush, Alex Ruthman, George Shirley, Mary Simoni,Donald Sinta, Charles Young, Betty Anne Younker, Sarah Weaver, Jackie Wiggins, DennisWilson, and Karen Wolff for the various kinds of support they have provided for the projectthrough the years. Many thanks to Lenore Pogonowski for planting the seeds over 30 years ago. My deep gratitude goes to Mark Kirschenmann who has taught much of thematerial with me for a number of years. Many thanks to Constance Ditzel, music editor at Routledge, for her pioneering spirit, to Denny Tek for preparing the book for production,and to Maggie Lindsey-Jones, Ann King, Ruth Jeavons, and Emma Wood for their greatwork in the production process. Finally, I am deeply indebted to my wife Joan Harris forher painstaking feedback and help in preparing the manuscript and materials.

Permission to use the following material:

EXAMPLE 1.3 TAKE THE ‘A’ TRAINMusic and lyrics by Billy Strayhorn and The Delta Rhythm Boys. ©1941 (Renewed) Billy Strayhorn Songs, Inc. (ASCAP)and FSMGI (IMRO).All rights controlled and administered by State One Songs America (ASCAP).All rights reserved. Usedby permission of Alfred Publishing Co., Inc. (Renewed) by Music Sales Corporation (ASCAP) and Tempo Music, Inc.(ASCAP). All rights for Tempo Music Inc. administered by Music Sales Corporation (ASCAP). International copyrightsecured. All rights reserved. Used by permission.

EXAMPLE 9.1 MY FUNNY VALENTINEControlled by WB Music Corp. and Williamson Music Co. All rights reserved. Used by permission of Alfred Publishing Co.,Inc. from Babes In Arms. Words by Lorenz Hart, Music by Richard Rodgers. Copyright 1937 (renewed) by Chappell & Co.Rights for the extended renewal term in the US controlled by Williamson Music and WB Music Corp. o/b/o the Estate ofLorenz Hart. This arrangement copyright 2008 by Williamson Music and WB Music Corp. o/b/o the Estate of Lorenz Hart.International copyright secured. All rights reserved.

EXAMPLE 14.4 INVITATIONMusic by Bronislau Kaper. Lyrics by Paul Francis Webster © 1944, 1955 (copyrights renewed) Metro-Goldwyn-Mayer Inc.All rights controlled by EMI Robbins Catalog Inc. (Publishing) and Alfred Publishing Co., Inc. (Print). All rights reserved.Used by permission of Alfred Publishing Co., Inc. © Webster Music. Used by permission.

EXAMPLE15.1 LADYBIRDMusic by Tad Dameron © 1947 (renewed) by Music Sales Corporation (ASCAP). This arrangement copyright 2008 by Music Sales Corporation (ASCAP). All rights for the British Reversionary Territories administered by Redwood MusicLtd. Reprinted by permission. Copyright 1947 Consolidated Music Publishing (renewed). Redwood Music Ltd. for the Commonwealth of Nations (including Hong Kong, Canada, and Australia), Eire, South Africa, and Spain—all rightsreserved. Used by permission. All rights reserved.

EXAMPLE FIGURE 15.2 ALL THE THINGS YOU AREFrom Very Warm For May. Lyrics by Oscar Hammerstein II. Music by Jerome Kern. Copyright 1939 Universal-PolygramInternational Publishng, Inc. Copyright renewed. This arrangement copyright 2008 Universal-Polygram InternationalPublishing, Inc. All rights reserved. Used by permission. Used by Permission of Music Sales Limited. All Rights Reserved.International Copyright Secured.

EXAMPLE A6.9 FINGERSMusic by Thad Jones. Copyright 1969 D’Accord Music. © Publishers’ Licensing Corporation, PO Box 5807, Englewood,NJ 07631, USA. Copyright renewed 1997. Used by permission.

xviii Acknowledgments

chapter 1

Improvisation Across Boundaries:A Trans-stylistic Approach

Improvisation has been central to most of the world’s music traditions and has begun toassume even greater prominence in today’s cross-cultural musical melding. In response to this emergent eclecticism, as well as for pedagogical reasons, Music Theory ThroughImprovisation begins with a “trans-stylistic” system of improvisation practice.Trans-stylisticsimply means that instead of specifying style elements in advance—such as jazz chordchanges or Baroque figured bass lines or Hindustani raga-tala cycles—we allow styleelements to manifest as a byproduct of the creative process. This not only helps foster inour classrooms the very syncretism that prevails in the overall musical world, it also laysimportant groundwork for the acquisition of musicianship skills.

A central feature of the trans-stylistic approach is its “user-friendly” entryway formusicians who are new to improvisation. The very thought of making music apart from theprinted page can be intimidating for many musicians, and this challenge may be exacerbatedwhen style-specific constraints are imposed at the outset. By contrast, the trans-stylisticapproach seeks first to elicit a creative flow that extends from each musician’s uniquebackground in order that they can gain a glimpse of the expressive power of improvisationearly on in their journeys. Everyone has an inner reservoir of influences and imagery thatis shaped by the totality of their musical exposure and life experience. When we tap into

In this chapter, we:

• Improvise with a trans-stylistic approach.• Create with basic elements such as density, dynamics, duration, tessitura, ostinato,

motive, sequence, pulse, form, and silence.• Examine basic concepts such as tension and repose and non-syntactic elements.• Consider new perspectives on listening and the inner dimensions of the creative

process.• Set the stage for systematic acquisition of music theory skills.

this reservoir and begin to experience music as a means for personalized, creative expression,we establish a new and more meaningful relationship with music and the quest formusicianship skills. Music theory is a common example of a knowledge area from whichmany musicians feel disconnected due to the lack of an outlet for creative application. Thetrans-stylistic approach plants the seeds for this connection between theory and practice,craft and creativity, and skills and artistry, to flourish.

The trans-stylistic approach also provides tools for expanding the horizons of experi-enced, style-specific improvisers. This occurs through the use of “non-syntactic” catalysts,which are introduced in this opening chapter, that expose musicians to new ways ofgenerating and organizing ideas. Having transcended familiar style terrain, musicians cannow return to it with a newfound appreciation and understanding. Here it should beemphasized that the aim of the trans-stylistic approach is not to replace style-specificengagement but to lay groundwork that enables musicians to move freely between bothworlds. While the music of many of today’s leading innovators cuts across wide-rangingstyle boundaries, rigorous immersion in style-specific training has in most cases been centralto their development. At a single stroke, the trans-stylistic approach lays groundwork forbeginning and experienced improvisers to engage directly in the style-specific and cross-stylistic synthesis that will enable them to forge their unique pathways through the vastpossibilities of the contemporary musical landscape.

Getting Started

The following exercises may be used in a variety of formats—from private lessons, toclassroom formats, and some may even, with a little creative adaptation, be applied to large-ensemble rehearsal settings involving 30 or more musicians. They are intended to be doneusing the principal instrument or voice, unless otherwise indicated. The exercises need notnecessarily be done in the sequence given, although the very first exercises are particularlygeared to new improvisers. While the formats generally proceed from minimal constraintsto gradually more involved parameters, they should not be thought of as mere steppingstones along a linear course of growth. Rather, they are intended as stimulating vehicles thatcan yield compelling results at all stages of musical development. I often return to these veryfirst exercises with even my most advanced students as they have the capacity to elicit aninfinite range of musical responses.

2 Improvisation Across Boundaries

Reminder: The exercises in this chapter are to be done using the principal instrumentor voice, unless otherwise indicated.

Long tone exercise

Sit in a circle if possible. Select a scale that everyone knows. It could be anything from aC major scale to something more exotic, such as an octatonic scale. Each musician is to

The above exercise and its variations provide an inviting beginning format for musicianswho are intimated by the idea of making music apart from the printed page. They also callfor heightened listening from new and advanced improvisers alike. The following questionswill stimulate reflection and dialogue regarding creative decision-making that theseexercises involved: Were there times when you felt the need to change your note or yourvolume, or had to decide whether or not to play? What were the criteria by which thesedecisions were made? Were there moments when you felt that the piece really worked?Others that were less compelling? Why?

The following exercises provide more creative latitude.

After one full cycle (one rotation of the wheel) of duets, discuss the results. What wasparticularly interesting? What were some of the limitations? Might some tendencies beidentified—such as limited dynamic range, lack of clarity of ideas, all pieces ending upsounding the same? How might these problems be rectified?

3Improvisation Across Boundaries

play only long tones, selecting notes only from the designated scale. Listen carefully tothe collective sonority as you enter and try to hear in advance how your tone will fit in;it is permissible, upon entering with a tone that you feel clashes excessively with thesonority of the moment, to shift to another tone. Generally, this will be resolved by playing a tone a half or whole step above or below the first note attempted. Theduration of the tones should be determined by what is comfortable on one’s instrument.You may rest between entrances.

• Variation A: Do the long tone exercise without designating a scale. Musicians can thusplay any pitch as they add to the collective sonority. As in the above exercise, attentivelistening is essential.

• Variation B: Have individuals take turns improvising short solos, involving more floridpassages (faster notes), atop the long tone texture. Soloists should make every effortto stand out atop the collective texture. Ensemble must make every effort to playsoftly enough so that soloists stand out.

Exercise 1a

Exercise 1b

Wheel of duets

Sit in a circle if possible. Each student pairs with the student directly across from him orher in the circle. Each pair improvises a short duet—perhaps 30–60 seconds—with noparameters (e.g. key area, style) delineated in advance. The importance is listening asintently as possible to what is happening. The pieces can follow one another withoutpause (applause is allowed, though!) unless the instructor wishes to break the sequencein order to comment.

Play another cycle or partial cycle of duets with the intention of addressing the ideas thathave been expressed in the feedback session, or trying out new possibilities. Perhaps simplystriving to make each piece as contrasting as possible from the one before it may yieldsignificant results.

Non-syntactic Catalysts

The theorist Leonard Meyer identified two categories of basic musical elements. Syntacticparameters include harmony, melody, and rhythm. Non-syntactic parameters includedynamics (volume), density (amount of note activity—from highly sparse to highly dense—in a given passage), tessitura (high or low range), duration, timbre, and silence. Now thatwe have initiated a creative flow we can begin to refine our playing through the use of non-syntactic parameters as improvisatory catalysts. This will help us improve the clarity andvariety in our ideas. Later in this chapter we will begin to explore the syntactic domain,which will assume center stage beginning in Chapter 2. In the meantime, it will be helpfulto observe the syntactic elements that spontaneously emerge as by-products of ourimprovisations with non-syntactic catalysts.

Do not be concerned if your high-density playing stretches the boundaries of yourtechnique to the point where you may not feel in total control of what you are playing. Themain point here is the effect and experience of high-density music and going beyond our


Exercise 1c

Dynamics

Improvise a short piece—20–30 seconds—that includes the loudest sound you can makecomfortably and musically, without reaching a decibel level that is uncomfortable orharmful (e.g. in the case of trumpet players or electric guitarists) to anyone present. Thendo the same with your softest extreme: play a note or short phrase at your softestvolume. At first, there will be tendency to not broach the outer boundaries, and so it isimportant to be vigilant in actually reaching your extremes.

Exercise 1d

Density

Density pertains to the amount of note activity in a given unit of time. Higher-densitypassages comprise faster note activity than sparse, lower density passages, where slowernote activity and rests predominate. Play a short piece that juxtaposes high-density musicwith low-density music.

ordinary boundaries. Often we stop short of the high-density texture we are capable ofbecause it means risking the precision we work so ardently to develop. While these areadmirable ideals, the purpose of this brief exercise is to move outside of our comfort zone.Hence a different kind of vigilance is called for; instead of the usual attention we might payto issues such as tone quality and precision of execution, now our challenge is to temporarilylet go to a degree we may not be accustomed to. Occasional forays of this kind can be highlybeneficial to our creative as well as technical development.

Tension and Release, Variety and Unity, Motion and Stability

The goal of the above and forthcoming exercises is to develop the tools to create interestingimprovisations. An important factor in creating musical interest is the balance between twokinds of emotional and perceptual responses, described variously as repose and tension, unityand variety, and stability and motion. Too much familiarity breeds boredom, too muchnovelty has an alienating effect. Two common shortcomings in the above sorts of exercisesare (1) when the improviser fails to venture far enough into the extremes specified by theexercise—e.g. very soft and very loud, very dense and very sparse, very low and very high—and thus the music may lack variety; and (2) when the improviser does broach his or herextremes but provides only the briefest glimpse of a given parameter—e.g. a single low orhigh tone in order to fulfill the requirement of tessitura variety—thus failing to adequatelyestablish a given idea. In the second instance, a modicum of variety may be achieved but unityand coherence are compromised. Here it may be helpful to think of musical ideas as char-acters in a play; a character needs to be not only introduced but also developed. While a briefimprovisation does not provide much time for this to happen, even an extra few seconds ona given idea can make a significant difference in terms of establishing that musical character.

As you perform the improvisations in this chapter and throughout the book, maintain asense of how your music not only fulfills the parameters specified in each format but alsomakes a compelling musical statement. How well are you balancing unity and variety, or


Exercise 1e

Registral variety

The same exercise may be applied to registral or tessitura variety. Improvise briefpassages that traverse the highest and then the lowest range of the instrument.

Exercise 1f

Combinations of non-syntactic elements

Play improvisations that combine the various parameters—e.g. density and dynamicvariety; dynamic and registral variety; and dynamics, density, and registral variety.

repose and tension? Are you establishing your musical characters adequately? What kind ofemotional response are you evoking?

The next exercise, which may be done with any size ensemble, utilizes a two-movementformat that will result in a longer improvisation which allows us to incorporate the conceptsdiscussed above as well as introduce new ideas.

Here the importance of listening as fully as possible cannot be emphasized stronglyenough. The kind of listening that is required of improvisation calls for a total immersion—mental, emotional, physical, and transpersonal/transcendent—in the music being made. Wewill go into this further later. In short: strive to engage with the sounds happening aroundyou with the utmost urgency of attention, or as the saying goes, “as if your life dependedupon it.” This is not to overlook the playfulness that can be part of improvised music, butto ground that play in the most complete kind of engagement possible.

Another point has to do with silence, which we will also discuss more in depth later.It is not necessary to play constantly. Find places to rest in order to let the music breathe andgive space to ensemble members; you will appreciate it when they return the favor, and themusic will inevitably reach new heights as a result. As ironic as it may sound, the ability tonot play is as important as the ability to play in the development of improvisation skills.

More Duets

Duets are an excellent way to begin improvisation classes and improvising ensemblerehearsals because they give each musician ample space and exposure, yet also deal withinteractive concerns.


Exercise 1g

Two-movement improvisation

Duration 2–3 minutes.

First movement, no pulse. Second movement, introduce pulse. In movement one, striveto create interest through the use of variety in non-syntactic elements. In movement two,which is pulse-based, strive for variety in dynamics, register, and duration.

Note: Movement one can come to a complete pause before movement two begins, ormovement two can grow organically out of movement one.

Exercise 1h

Wheel of duets

Students pair with a partner across the circle—with no parameters delineated in advanceexcept for the stipulation that each duet contrasts as much as possible with the one thatprecedes it. Contrast may be created through different tempos, dynamic levels, densitylevels, etc.

Melody

While harmonic practice tends to be the focus in conventional approaches to musicianship,harmony as we generally think of it in the West is absent in much of the world’s music.Such is not the case with melody, which is virtually as prominent as rhythm in musicaltraditions across the globe. Two principles of melodic construction will be introduced herethat we will also revisit later in the book. One involves the development of basic melodicideas over time. The second is melodic contour, or shape.

Ostinato, Motive, Sequence

Music unfolds in time; in other words, one thing happens after another. The meaninginferred in a given piece or performance is significantly shaped by how the music isstructured in time. The meaning inferred in a painting, on the other hand, is generally notnearly as time-dependent; we apprehend the work in its entirety and then attend to aspectsmore according to our inclinations rather than according to a temporal sequence that mightbe suggested in the image. Even paintings that may direct our attention sequentially fromone image to another upon initial viewing leave us free to follow our own temporal pathwaysthereafter; not so in music. A central strategy in establishing a musical train of thought isthe use of repetition in one form or another. When we repeat an idea, either exactly or withmodifications, we assert its importance. Two approaches to repetition in the realm ofmelody are found in the ostinato and the motive. An ostinato is an idea that is repeatedexactly several times (many ostinati are repeated extensively). Ostinato bass lines are perhapsthe most common form of ostinato, although any line in any register played by anyinstrument can be an ostinato. A motive is a basic musical idea that is usually a measure orso in duration and which undergoes modification over time, either through alteration of itsmelodic shape or rhythm, or—as in what is called a sequence—by repeating the motive ondifferent pitch levels. Example 1.1 shows an ostinato pattern; Example 1.2 shows the samepattern treated as a motive that is developed sequentially by being reiterated on new pitchlevels (up a step with each new iteration). Notice that after three times, the initial motive,for the sake of variety, gives way to a new idea.


Exercise 1i

Flip-flop duets

Player A states an idea and begins to develop it. Player B enters with material that is ascontrasting as possible. Gradually, A begins to adopt some of B’s ideas, and B adopts A’s,until both partners have fully exchanged roles. This requires that both individuals payclose attention to the ideas generated by their partners.

The following exercises allow you to improvise with these devices.


EXAMPLE 1.1 Ostinato

EXAMPLE 1.2 Motive and sequence

Exercise 1j

Ostinato duet

Improvise freely with a partner, without pulse. After 15–30 seconds or so, one playerestablishes a pulse by creating an ostinato line. The second player then creates anotherostinato that aligns with the first one (can be a contrasting or similar idea, but shouldnot be an identical idea, and must be rooted in the same pulse) thus yielding a texturein which two ostinato patterns occur simultaneously.

Exercise 1k

Ostinato ensemble exercise

Proceed as in the above exercise, but now with a larger group. One by one, each membercreates a different ostinato pattern that aligns with the basic pulse. This may be donewith an ensemble of any size.

Exercise 1l

Motivic flip-flop duet

Player A establishes a motivic idea and develops it. Player B plays a contrasting motivicidea and develops it. Gradually A and B take segments of each other’s ideas and eithermeld them, or move on to entirely new material.

Antecedent-consequent Structure

Another melodic strategy that makes use of motives is the antecedent-consequent structure.An antecedent idea poses a melodic question, and a consequent idea offers a response(Example 1.3).

Melodic Contour

A second facet of melodic construction has to do with the contour or shape of the melody.Parameters that impact upon shape include direction—whether a melodic line ascends ordescends—and the size of the intervals between any two melodic notes. Variety along thesetwo parameters—use of ascending and descending motion and the distribution of step-wise motion and larger intervals—can open up untold melodic possibilities. In the melodiesbelow, the use of intervals such as fifths, sixths, and octaves creates interesting contours.

The next melody makes use of large intervals while still maintaining a lyrical effect at afairly rapid tempo.

In the following melodies (Examples 1.4 and 1.5) leaps are generally followed by achange in direction, an effective melodic device that is found in much tonal or modal music.Example 1.6 demonstrates exceptions to this principle, and the more jagged atonal melodiccontour that results, yielding yet another melodic strategy to add to our creative palette.In no way is this to suggest that successive intervalic leaps in the same direction are notfound in tonal or modal music, nor that these prevail in atonal music, but simply to identifygeneral principles that may serve as a helpful guide in developing our skills.


EXAMPLE 1.3 Billy Strayhorn, “Take the ‘A’ Train”

Exercise 1m

Solo format

Improvise antecedent-consequent phrases. Strive for optimal clarity of ideas.

TRACK 1

Pitch-based Melodic Improvising

In Chapter 2 we will begin formal study of pitch-based improvising, utilizing various modesand pentatonic scales. As a prelude to that work, here we will explore pitch-based impro-vising in its most basic form, involving the use of a drone. A drone is a sustained pitch thatunderlies a musical passage or, as in Indian music, an entire piece. Our purpose at hand isto improvise melodies atop the drone and draw upon our basic instincts regarding melodicshape and coherence prior to systematically studying specific melodic principles and scalarand chordal structures. An excellent listening example from the list at the end of the chapteris found in Zakir Hussain’s Making Music.


EXAMPLE 1.4 Brahms, Symphony No. 1 in C minor, op. 68, theme from first movement

EXAMPLE 1.5 Ed Sarath, Shirodara

EXAMPLE 1.6

Exercise 1n

Solo format

Improvise and explore different melodic contours (e.g. passages that move largely bystepwise motion but make use of occasional leaps; passages that predominantly makeuse of large intervals).

Pulse-based Improvising

The correlate in rhythmic improvising to the drone in pitch-based improvising is the useof a basic pulse or beat. The ability to sustain a steady pulse in your improvising is anessential skill for all improvisers given the prevalence of pulse and rhythmic time feels—or“grooves,” as in jazz, rock, funk, hip hop, blues—in much of the world’s music. In theseintroductory exercises, it is unnecessary to designate meter or a particular kind of time feel. It is simply necessary to establish a pulse and then improvise in whatever style you are comfortable. What is essential, however, is that the pulse is clearly upheld in yourimprovised lines. In other words, if someone were to hear only a single improvised linewithout hearing the establishment of a pulse prior to the piece or any instrument that might be playing the pulse as a background, that pulse should be clearly evident in yourimprovising.

Several strategies might be pointed out regarding the note values you play. You canimprovise with the basic rhythmic unit that defines the pulse. To create more interest, youcan also divide that note value by two, and in turn divide that by two—and so on—as yourtechnical capacities allow. Thinking of this in terms of notated rhythmic values: if we assigna quarter note value to the basic pulse, we would be improvising with eighth notes andpossibly sixteenth and thirty-second notes atop the pulse. We can also extend this thinkingin the opposite direction to give us longer durations, where we double the length of notes,improvising with quarter notes, half notes, whole notes, etc. These subdivisions andexpanded durations may be thought of as rhythm layers, a concept that we will return towhen we move into improvisation in time feels. Rhythmic layers may be thought of in termsof duple relationships (2:1, 4:1, etc.) and triplet relationships (3:1, 6:1, etc).


Exercise 1o

Drone improvisation

Designate a pitch to serve as the drone, and one or more ensemble members to play thedrone. Ideally, all ensemble members will take turns playing the drone, atop which allensemble members take turns improvising melodically. A key or scale can be selected (thedrone note would be the tonic or fundamental note; A is the tonic note in an A minorscale), or ensemble members can use key areas or scales of their choice when they solo.Strive to use registral variety and density variety in your melodic improvising, as well asmotivic development.

• Variation: Choose a key area or scale and have ensemble members who are notsoloing improvise sustained note backgrounds behind each soloist.

• Variation: After the drone has sounded for a while, terminate the drone and haveensemble members create pulse via one or more ostinato patterns within that keyarea.

Form-based Improvising

Musical form pertains to the overarching structure of a piece, whether composed or impro-vised. A wide array of approaches to musical form are found within and throughout the manymusical traditions of the world and reflect the different conceptions of time, language, andother kinds of sensibilities that are unique to different cultures. While we have become quiteaccustomed in the West to teleological, or goal-driven formal structures, in which ideas areintroduced, developed, and lead to some climactic point, after which the initial idea mightreturn to yield a kind of formal symmetry, much of the world’s music is not teleological innature but rather involves cyclical structures that obscure the sense of linear (past-present-future) temporality and promote a more non-linear, present-based sense of time. Jazzhappens to be an interesting blend of teleological and non-teleological conceptions.

The following are several formal frameworks that can help guide our improvisatory work.ABA form involves the statement of an initial idea A, followed by a contrasting idea B, andthe return of the initial idea. By contrast is what is sometimes called through-composed form,which might be represented as ABCDE, etc., where new material is continually spun outwith no significant use of recurring themes; this presents an entirely different and equallyvalid approach to formal design. Arch form involves a kind of retracing of formal sectionsso that the first and last correspond with each other, the second and second-to-lastcorrespond with one another, the third and third-to-last similarly correspond to each other,and so on depending on the length of the piece; this is analyzed as ABCDCBA. These area few of the many possibilities that call upon the improviser to invoke different kinds ofconcept in terms of the development of materials at hand.


Exercise 1p

Solo format

Establish a pulse and improvise lines that embody the pulse, moving freely between thevarious rhythmic layers using duple subdivisions (e.g. eighth notes, sixteenth notes) andcomposite note values (half notes, whole notes), always maintaining a solid rhythmicfoundation in your playing.

• Variation: Do the same thing with triplet subdivisions and composite note values.• Variation: Play these exercises in duets and larger ensembles.

Exercise 1q

Form-based improvisation

Select formal structures from those described above and improvise pieces that conformto them. Make sure that each section contrasts sufficiently with the one before in orderthat clear and solid landmarks uphold the sense of formal structure.

Graphic Formal Analysis

The above frameworks represent but a slice of what is possible in terms of musical form andmost schools offer upper-level coursework that will promote further understanding in thisarea, usually from the standpoint of composed-notated musical form. Application of theseformal designs to improvisation is a largely untapped area and has much to offer the con-temporary improviser. However, this is in no way to invalidate formally open improvisatoryapproaches, in which no formal or other constraints are specified in advance. Rather,engagement with formal designs can expand the palettes of improvisers by either providingthem with frameworks that may be delineated in advance, or helping cultivate strategiesthat may be invoked spontaneously as the music unfolds.

A preliminary kind of formal analysis that can be beneficial even to individuals with noformal musical training is “graphic analysis.” This involves listening to a piece of music andsketching with pencil and paper—using whatever graphic imagery you might choose—theoverall trajectory or shape of the music as you perceive it. For instance, fast sections may berepresented with highly active images, sparse sections with simpler markings, etc. You caneven include brief narrative descriptions—such as “the music gets particularly intense (or subtle, or both) at this point”—to help convey what you are hearing and feeling.The primary intention of the exercise is to gain exposure to some of the wide-rangingpossibilities regarding how music is structured over time so that you can draw upon thesepossibilities when you create. The exercise can also help you develop the capacity for adeeper and more focused engagement as a music listener; the more you perceive, the moreyou gain from every musical encounter.

The Inner Dimensions of Improvisation

So far our focus has been on exterior aspects of the improvisation process—ways ofgenerating and organizing musical ideas. Now let us explore what might be termed theinner dimensions of improvisation, which takes us to the realm of consciousness ortranscendence. Improvisers commonly talk about peak creative moments—also called“flow,” “the zone,” or being “in the moment”—that are characterized by enhanced fluidityof performance, presence, mental clarity, freedom from conditioning, well-being, mind–body coordination, group interaction, and other attributes of heightened consciousness.Whereas ordinary consciousness is prone to conditioned patterns where individuals resortto pattern responses, heightened consciousness enables new levels of freedom andspontaneity, which are naturally high priorities for improvisers. While for many individuals


Exercise 1r

Analyses

Choose three recorded samples of music from traditions or styles that are as contrastingas possible and do graphic analyses of them.

these episodes occur only on an occasional basis, even small glimpses of these states can behighly meaningful and inspiring in terms of the possibilities inherent in human creativedevelopment. Many improvisers have pursued disciplines such as meditation in order tohelp cultivate these capacities. The following are further strategies.

One approach involves a more engaged kind of listening, where hearing becomes as muchan emotional, physical, and transpersonal/transcendent activity as it is aural. It is one thingto register the various sounds happening around us; it is quite another to experience themas deeply connected with our own consciousness, as if we were creating these soundsourselves. In doing the following exercises, it is important to emphasize that expandedlistening and experiences of heightened consciousness are not so much a matter of exertingintensive effort in hopes of involving a new experience but rather a process of letting go andsimply allowing oneself to relax into a more complete immersion in the present moment.It may be helpful to think of the capacity for expanded awareness and engagement in soundas a matter of unlocking inherent possibilities that lie dormant within us as opposed tolearning to experience something that is foreign.


Exercise 1s

The sounds around you

While walking or sitting outside, whether in the woods, by the seashore, or in a city park,allow yourself to become quiet and fully engaged in the present moment. Listen to thefull array of sounds around you. Take an inventory of all the sounds that you rarely noticeand appreciate them as parts of the infinite sonic palette that exists. Imagine each ofthese sounds as parts of a piece of music. Let yourself relax into the sonic tapestry aroundyou. One thing that may help is to use your breathing as a guide; with each exhalationfeel yourself letting go and becoming more immersed in your surroundings. As you dothis, observe your inner state; you may notice that your awareness expands, your clarityof perception increases, and a heightened sense of inner calm and well-being ensues.Again, this is not a matter of forcing expanded experience, but rather simply allowingthis expansion to unfold of its own accord.

Exercise 1t

Feel the sounds

Proceed as above, but now add a new component: feel the sounds around you as facetsof your own consciousness, as if they are flowing through you, or that you are actuallycreating the sounds.

Another way of cultivating the capacity for heightened listening and heightenedconsciousness is through the lens of the present—in other words, by exploring the differentkinds of present experience that are possible. Musical moments may be experienced as partsof a linear flow, in which the meaning of any given event is largely dependent upon itsrelationship to what precedes and follows it, or as nonlinear entities that are relativelyautonomous from their temporal surroundings. While linear or nonlinear conception isusually a matter of degree and at least somewhat dependent upon the musical context, wecan cultivate our capacities for these kinds of perception as both musical listeners andperformers. The ability to shift modes of present awareness enlivens our capacity to be inthe moment and invoke heightened consciousness.

One approach to this shifting of present awareness from a linear to nonlinear orienta-tion is through directing our attention to “implication–realization” cycles. Implication–realization theory originated with the work of Leonard Meyer and was subsequentlydeveloped by him and his student Eugene Narmour. Originally oriented toward theperception of melody, from the standpoint of the listener, basic principles may beextrapolated from the theory that apply to broader musical parameters as well as theexperience of the creative musician.

Music unfolds in time; one thing follows another. In musical contexts whose meaning isdependent upon the sequence of ideas, as in the use of motivic development, each idea thatsounds, or is realized, may be perceived as related to what has preceded it and also as acatalyst for implied successors—those ideas that one expects might follow. Put another way: musical ideas (realizations) trigger expectations (implications) about what is to comenext. When expectations/implications are fulfilled, a sense of unity is promoted. Whenexpectations/implications are thwarted, a sense of surprise and variety is enlivened. Theeffectiveness of the music is dependent upon the balance between these two poles; excessivefulfillment of expectations breeds predictability and boredom, thus requiring some elementof surprise, via expectations that are thwarted. By the same token, excessive thwarting ofexpectations breeds alienation.

We can heighten our engagement in the moment by observing our response toimplication–realization cycles. The following exercises have us do this by focusing in twodifferent directions. One involves what might be called “anticipatory hearing,” where weperceive each moment as a generator of future possibilities. Another involves the attempt


Exercise 1u

Internalize sounds

Apply the above approach when you are listening to music, either live or recorded,where you experience the music as if you are the one creating it. This is an excellentpractice to use in improvisation sessions during moments in which you are not playing;the more you can engage with the sounds around you as if you were the one playingthem, the more you will be able to interact and contribute when the time comes for youto play.

to perceive moments as autonomous, self-contained moments that stand on their ownindependently of what precedes and follows them.

While it is not possible to attend to every single moment in a piece in the mannerindicated, listening with this intention will likely provide a clear glimpse of a newfoundlevel of present engagement that may be invoked when you improvise. From this linearmusical perspective, the present is the source from which the future springs and, byattending to what might unfold, we penetrate more deeply to the heart of the presentmoment.

Now let us attempt to experience heightened present engagement from a nonlinear angle.Again, it will not be possible to experience every single moment in this way, and becausenonlinear hearing is more challenging and context-dependent, even a few glimpses of thisexperience will be productive. It should be emphasized that music in which non-syntacticelements (e.g. density, dynamics, timbre, tessitura) rather than syntactic elements (particu-larly harmony) are prominent is more conducive to nonlinear perception.

While it is recommended that the exercises be done in improvised music situations wherethe music is being heard for the first time, the different kinds of perception are also possiblein non-improvised music and you are encouraged to try out these exercises in differentcontexts.


Exercise 1v

Anticipatory hearing

In an improvised music rehearsal or concert in which you are not playing but listening toothers, focus on experiencing each moment as a catalyst for future events. In otherwords, when an idea sounds (or is realized), sense what might follow (is implied). As youdo this, observe whether or not your expectations are fulfilled and what response isthereby created.

Exercise 1w

Nonlinear hearing

In an improvised music rehearsal or concert in which you are not playing but listening toothers, focus on experiencing each moment as an autonomous entity, whose meaning isindependent of what precedes and follows it.

Silence

Another way of invoking heightened awareness is the use of silence in your improvising.While it is only natural in our ardent pursuit of musical skills to focus largely on makingsounds and understanding the various ways they are melded together, let us not forget thatmusic consists of both sounds and silence. In fact, instead of thinking in terms of sound asthe basic fabric of music, consider thinking of silence as the basic fabric and sounds astemporary interruptions in the silence. While it may be hard to find much music in whichsounds are subordinate, in terms of length of time, to silence, an awareness of sound as akind of a foreground phenomenon against a backdrop of silence can help get us out ofmiddle-zone conception; it is yet one more way of expanding our boundaries and liberatingus from day-to-day, conditioned modes of conception.

In the following “silence study,” two points are essential. One involves how silence isframed: silence needs to be prepared, executed, and resolved. In order to prepare silence, asecond point is important, which is the creation of variety within one or more of the basicnon-syntactic elements: dynamics, density, or register. Ultra-soft, ultra-loud, ultra-dense,ultra-sparse passages can help create a sense of expectation. When followed by silence, thisexpectation fills the space and continues to propel the music forward even though no soundsare being made. When prepared effectively, the silence can extend for some time, and thenit is up to the musician to decide how it might be resolved. Resolution of the silence can besimilar to how it is prepared (e.g. ultra-soft and low tones into and ultra-soft and low tonesout of silence), or it can contrast radically (ultra-soft and low in, ultra-high and loud andhigh density out), creating an entirely different effect.

Solo Pieces

The following is a series of formats for solo, unaccompanied improvisation. Solo improvis-ing challenges us to access a wider range of strategies to sustain interest. Solo impro-vising can be not only tremendously rewarding, it can help us cultivate skills that areinvaluable in collective formats (which, for most musicians, will comprise the bulk of theirimprovising).


Exercise 1x

Silence study

This exercise is done in a solo format. Play an improvisation of one to two minutes thatincorporates at least one, and ideally several, prominent stretches of silence as part ofthe musical fabric. The silence needs to be more than merely the length of time to takea breath on a wind instrument. One of the criteria for the effective use of silence is thesense that the silent moment is self-contained and complete as opposed to eliciting afeeling of discomfort, as if the musical flow has been abruptly interrupted. Effective useof silence is experienced as part of the musical flow.

The next solo pieces take motivic development to a new level. Instead of developing asingle motive, they involve developing two or contrasting motives by moving back and forthbetween them. Key to these exercises is that each idea is crystal clear, and that the ideas areclearly contrasting with one another. Here it may be helpful to think of the contrastingmotives as different characters on a stage in a theater piece. When character A enters, weimmediately gain a sense of who he or she is, and that character B is a completely differentpersonality. Clear ideas engage us and generate a sense of expectation about what is tofollow. The clearer the ideas, the more likely they will be retained in short-term memory,which is required of the following piece.


Exercise 1y

Two-part solo piece

Improvise a piece that consists of two sections. Section A will have no pulse; section Bwill be pulse-based. In section A strive to use as much variety as possible along theparameters of dynamics, duration, density, and register. In other words, explore theextremes of these parameters (very soft, very loud; very dense, very sparse, etc.) Usesilence as part of the musical fabric; silence can be more than just a pause to take abreath, it can stand on its own as a self-contained part of the musical flow.

Section B involves the establishment of a clear pulse. Seek to utilize dynamics andregistral variety. You are encouraged to explore different layers of the pulse (e.g. 2:1relationships, 4:1, etc.) as well as motivic development.

Exercise 1aa

Multi-motivic development solo piece

Establish a motive A and allow it to develop briefly. Then introduce a contrasting motiveB and allow it to develop briefly. Then return to A and develop it further, and similarlyreturn to B and develop it further. Continue alternating the two motives. Eventually, youmay let the two motives merge. This may be done with and without pulse.

• Variation: Establish and develop three or more contrasting motives (e.g. A, B, C).

Exercise 1z

Scale-based solo piece

Solo piece using designated scales/modes (e.g. pentatonics, octatonics, phrygian, etc.).Proceed, as in the above two-section exercise (no-pulse/pulse; non-syntactic variety), butthis time select a scale with which you will improvise.

Free or Open Collective Improvising

Most of the above exercises, while not specifying style constraints in advance, havedelineated at least one and often multiple improvisatory parameters. These constraints willbecome more involved as we move further through the book. As a complement to theseapproaches, it is not only highly valuable to engage in completely free or open improvisationformats—with nothing specified in advance—but these approaches can also yield highlymagical and powerful results. At this point, improvisers need to call upon their utmostcapacities in listening and creative engagement, because now there is nothing to fall backon. The larger the free improvising ensemble, moreover, the more important these issuesbecome. Free or open improvising can be a great way to process many of the conceptscovered as well as to unearth entirely new ideas. In addition to the above considerations,two key issues bear emphasis in this kind of music-making: clarity of ideas and endings.


Exercise 1bb

Multi-motivic development using designated scales/modes

Proceed as in the above multi-motivic development exercise, but select a scale or modethat you are familiar with in which this multi-motivic development will occur.

Exercise 1cc

Unaccompanied time feels

Set up a rhythmic groove on your instrument by repeating some basic idea, and thenimprovise around the idea, retaining enough of its basic character to sustain its role asa rhythmic anchor. Eventually your improvisatory excursions may become longer, butthey should reiterate some fragment of the initial idea often enough to sustaincontinuity and the sense that you are playing on this particular groove. For those whoplay single-line melodic instruments, this may be challenging given the rarity of this kindof opportunity. Recommendation: strive for variety in register and dynamics in framingthis anchor, in addition to a crystal-clear sense of pulse.

• Variation: when you establish the initial idea to start the groove, leave an equalamount of silence between iterations of the idea. In other words, if the idea is twobars, then that should be followed by two bars of silence (during which, nonetheless,a solid pulse should be felt). Then, after a few iterations of the basic idea, graduallybegin to fill in the spaces. Can be done with and without designated scales/modes.

Clarity of Ideas

Strive for statements that are as clear as possible, whether they are simple or complex ideas.How do we define clarity? One criterion is the degree to which the idea stands on its ownas a compelling statement that commands our attention. Another is its capacity to suggestforward motion. In other words, clear ideas are more likely to generate a sense of what maycome next—which may often involve some reiteration of the idea—than unclear ideas, fromwhich future development is nebulous. In going into some strategies for ensuring clarity ofideas, it is important not to become enmeshed in value judgments when we improvise.Improvisation should be a process of mindful and joyful play; we are engaged in themoment, we attend as fully as possible—mentally, aurally, emotionally, physically—to whatis happening around us, and we embrace what transpires and the opportunity to contributeto the flow in whatever ways we can (which include playing or not playing). Moreover, anyidea that might be deemed less clear may, through simple strategies, be transformed into ahighly compelling musical statement. Let us first consider some approaches that mayenhance clarity.

First, it is important to emphasize that clear ideas need not be complicated or virtuosic.A single, short staccato note surrounded by silence can be a crystal-clear idea, as can be along tone that is held for five or ten seconds or more. At the same time, so can a high-density flurry consisting of streams of notes, perhaps akin to the “sheets of sound” that wereassociated with the jazz saxophonist John Coltrane later in his career. Clear ideas are likecharacters on a stage; when they enter, you know immediately that this is a new character,a new entity with its own personality, history, and future potential.

One strategy for promoting a sense of clarity is to create ideas that utilize the extremesof some of the basic non-syntactic elements—such as dynamics, density, duration, andregister—considered earlier. In other words, instead of playing ideas that are not very softor loud (dynamics), whose note activity is not very fast or slow (density), whose notes arenot very long or very short (duration), and which are not very low or high (register), trycreating ideas that extend beyond these “middle zone” parameters. In no way is this tosuggest that the interesting and crystal-clear ideas that use these parameters are notpossible. Rather, the process of consciously stepping outside of these parameters may requireus to engage more fully—to be more present—in the creation of ideas, and this can carryover to situations in which we may create ideas that, say, utilize mid-range dynamics orregister. Another helpful strategy may be to combine non-syntactic extremes that may beless commonly combined, such as extremely soft flurries, or loud, short notes, or high, softtones separated by long stretches of silence.

When an idea is introduced that is not as clear as it might be, one strategy may be, insteadof jumping in with a perhaps nebulous sense of direction, to simply wait and see if the firstplayer or players may achieve greater clarity on their own. Another is to play somethingentirely contrasting to the first idea, which may compel the musician who plays it to shapeit into a more accessible form. A third idea is to try to find some kernel or core ingredientin the idea and exaggerate it in an attempt to “press the issue.” In essence, making sense ofunclear musical ideas is not entirely different than what happens in verbal interactions whenthe point of the dialogue is obscured. At some point, one of the parties will likely ask,


“What are we talking about?” The same thing can happen in improvisation; the onlydifference is how this question is posed.

Transparency, Laying Out, and Soloing

Two of the most important aspects of collective improvisation are the capacities to lay out—to not play for possibly extended periods of time—and to play transparently, as these allowthe ideas of others to move to the forefront. A third necessity is the ability to move to theforefront when the music calls for it. One of the signs of mature improvisers is the abilityto move fluidly between these roles.

The ability to listen intently and not play is much like being a good listener in aconversation; sometimes in the course of human interaction the most valuable contributionis made by simply listening in a heartfelt way to what our partner or colleague is saying. Thesame holds for music.

To play transparently, promoting related goals, means to play ideas that support but donot overshadow what else is happening. This may happen by playing softly, interjectingsilence between one’s notes, or playing timbres that add interest but do not predominate.Drum-set players, when playing in ensembles that also include strings and woodwinds,must pay special attention to playing transparently because even relatively soft cymbalsounds can easily assume prominence. The same holds for when the music moves intorhythmic grooves; drummers in eclectic instrumentation formats need to find new ways toplay grooves that are transparent enough to allow all instruments to be heard.

Having established the importance of these kinds of musical sensitivity, it is equallyimportant for improvisers to step up and assume a solo role from time to time. Sometimesa single player can take the whole ensemble to an entirely new plateau. When all of themusicians in an ensemble are able to sustain a level of engagement that permits them tomove between these roles—silent listener, transparent supporter, or soloist—truly excitingand magical results are possible.

Endings

Endings are one of the most challenging yet important, and in fact exciting, aspects ofimprovised music, particularly in open improvisation. Few things distance audiences fromthe music more than excessively long pieces, and endings can be among the mostcompelling moments of an improvisation because, unlike in composed music, when at leastthe musicians are aware of the approach of the ending, now no one knows. The ability tocreate compelling endings in collective improvisation is clearly an art. A few principles willhelp cultivate this ability.

First, the ability to create effective endings is based most fundamentally in the ability toengage in the music on a moment-by-moment basis. It is from this vantage point that theimproviser is able to spontaneously decide—feel, intuit, reason—that this particular instantmay be the last in a given piece. Creating endings, therefore, is not so much a matter ofplaying an idea that is particularly suited to be the very last idea, but rather simply being


able to choose not to play anything further and letting the most recent event stand as theending. The more one is able to engage in a moment-to-moment manner, the greater thefreedom to make this kind of musical decision.

A second principle extends from the first, which is that the kind of awareness that allowscompelling endings is no different than the kind of awareness that leads to compellingbeginnings or interactions at any point in a piece. From this standpoint, musicians ought tobe able to end pieces even after a few seconds. This, in fact, is a kind of litmus test for theability to create effective endings. Playing very short improvisations—which is challengingthe larger the group—is a good way to cultivate this awareness. Try collective improvisationswith the stipulation that they will last for only 30–45 seconds. Then try even shorter piecesthat are to end after perhaps 10 seconds. In these attempts, it is important to proceed as ifthe piece might follow a more conventional course of development—lasting four to eightminutes or more—and at the same time maintain the intention of finding an endpoint atany given moment early on. This, in fact, is an excellent head-set to maintain at all times—the capacity to either continue or to end—as it indicates a heightened sense of being in themoment.

It is also helpful to be aware of three possible kinds of endings. Most common is thegradual decrescendo and fade, where you sense early on in this closing passage that the endis near and it is just a matter of time before the last note sounds. A second type of endingis more common in composed notated music, where a gradual crescendo and buildup inintensity eventuates in a final chord or gesture in which everyone cuts off together. Sincethis final event requires some kind of cue, improvisations do not often end this way. Instead,when improvisations reach such peaks in intensity at points far enough into the piece wherethey could serve as endings, the culminating chord or event—rather than being sharply cutoff as in an orchestral work—tends to decay into something more resembling the first typeof ending. However, this is not to rule out this possible ending in improvised music, andthere is nothing wrong with a policy whereby ensemble members can give a visual cue fora cut-off to make this effect possible.

A third type of ending is perhaps the most interesting of all of the options, involvingsudden endings that present themselves spontaneously and are instantaneously seized by themusicians. In such instances, unlike the above two scenarios, neither musicians nor listenershave any idea in advance that the ending is imminent; it comes out of the blue.These “found”endings can be highly effective in the way they take everyone by surprise. In fact, theseendings are often only realized as endings after the fact. A typical scenario is as follows: somepassage is followed by an instant of silence, which is initially conceived as a space thatconnects prior sounds with sounds yet to be made. Then—and all this happens within thebriefest instant of time—it may occur to one or more of the musician(s) that this couldpossibly be the end of the piece. But until group consensus is attained, the question stillremains—is the piece continuing or not? Only after the silence remains uninterrupted for asufficiently longer moment—again, we are talking about a few seconds at most—will thecollective decision for the piece to be over be officially made. At this point the ending—interms of the final notes sounding—is realized only in retrospect. Whereas endings followinggradual fades or buildups are anticipated prior to the fact, found endings are experiencedretroactively—“Oh, that was the end!”—much to the delight of players and listeners alike.


This is not to suggest that found endings are more desirable than the other two types ofendings and that improvisers should strive to end all of their pieces this way. Rather,improvisers should be open to the phenomenon of found endings so that they may be seizedwhen they present themselves, a capacity which, to reiterate, is based in a keen moment-to-moment awareness and freedom. But different improvisatory moments will call fordifferent kinds of endings, and improvisers need to be conversant with all possibilities.

An excellent way of developing this important capacity is to play short improvisations,with the length delineated in advance. Tracks 2 and 3 on the website provide two examplesof relatively short improvisations and the following exercise has you play even shorter pieces.

The extremely short improvisations are particularly valuable because they force us to invokea degree of moment-to-moment concept we may not ordinarily experience. Our task is thento sustain this awareness over the course of improvisations of any length.

Culminating Exercises


Exercise 1dd

Collective improvisation

In an ensemble format, create several improvisations of the following durations: 45seconds; 10 seconds; 90 seconds; 5 seconds; 2 minutes.

Exercise 1ee

Small group improvisation (three to six players)

Map out a multi-movement form that includes as many of the above elements as possible(e.g. non-syntactic variety; pitch-based, pulse-based, and form-based improvising; silenceand listening; solo passages, etc.) using a notational system of your choosing (graphicscore, narrative sketch, etc.). Try to find a balance between pre-ordained structure andspontaneity. Perform in class.

Exercise 1ff

Free collective improvisation

Divide the class into several randomly chosen groups (e.g. count off 1, 2, 3, 4—and the1s form a group, 2s, etc.) that are to improvise with nothing planned in advance.Emphasize the importance of clarity of ideas, listening, laying out when needed,assuming prominence when needed, etc.

TRACK 2

TRACK 3

Concluding Thoughts: Template for Artistic Development

Artistic development may be thought of in terms of input and output phases, both of whichare important and complementary aspects of a program of study. Input involves focused skillacquisition and study, output involves creative expression. Since most of the musicians whowill be working with this book have engaged in considerable input activity but have hadlimited output experience, our focus so far has been on initiating output activity in thisopening chapter through stylistically open improvisatory exercises. By tapping into theinner reservoir of musical and extra-musical experiences that each of us has acquired, wehave elicited a creative flow which prepares us for the subsequent input activity that is tofollow.

This is not to suggest that input and output phases need to occur separately. Indeed, theywork hand in hand, as will be seen in forthcoming chapters. In that most of the input andoutput activity to follow will be style-specific, you are highly encouraged to continueworking with the stylistically open formats provided in this chapter as they will serve asstimulating catalysts for creative application of the skills you will gain. Interspersing one ormore of the above exercises between forthcoming chapters or sections of chapters may beone way of accomplishing this.

Listening Resources

Improvisation enables us to tap into the totality of our musical experiences and forge uniqueexpressions that transcend category. The musical pulse of our times lies as much, if arguablynot more, in the intersections between genres as in the discrete musical categories that tendto prevail in academic and commercial music sectors. From this standpoint, it is importantto listen to as wide a variety of music as possible—whether this music is improvised or not—and to compile a personal library of sources that you find inspiring. This, of course, is alifelong endeavor and one which will not only help provide you with much creative vitalityin your music-making but also bring you great personal fulfillment.

The following is a very encapsulated list of artists and recordings that may help you getstarted. It is intended to provide a kind of snapshot of the diverse range of music that fallsunder the heading “improvised music,” which has emerged as a kind of default way ofdescribing the increasing volume of music that defies categorization and within whichimprovisation is a common thread.

The list includes artists such as John Coltrane, Alice Coltrane, Miles Davis, and the groupWeather Report, who have stretched the boundaries of the jazz idiom; artists such as RoscoeMitchell, Cecil Taylor, and Nicole Mitchell from the Association for the Advancement ofCreative Musicians, which from the 1960s has served as a forum through which a largelyAfrican-American innovative voice has been able to evolve, galvanize and make significantcontributions to the contemporary musical world; artists such as John McLaughlin and ZakirHussain and groups such as Oregon and Eastern Bloc which have drawn from Indian,Arabic, and other world cultures; musicians such as Robert Dick and Ursel Schlicht whocome from largely European contemporary classical musical backgrounds; improvisers Tetuzi


Akiyama and Yumiko Tanaka from Japan, and Yan Jun and Wang Yong from China,providing a small representation of the growing improvised music scene in the Far East; andartists such as Evan Parker, John Surman, Joelle Leandre, and Wojieeck Konikiewicz fromdifferent parts of the thriving European improvised music scene.

It must be emphasized that any attempt at such a list immediately calls attention to thevast numbers of artists and even greater volume of recordings that are also important yetdue to space limitations could not be included. Hopefully this list will help those for whommuch of this music is new embark on a quest that knows no bounds. And while this listpurposefully focuses on music with strong improvisatory aspects that tends to transcendconventional categories, a virtual kaleidoscope of great style-specific music from all over theworld is also available, including European classical music and its offshoots, from which thecontemporary improviser may gain immeasurably. It should also be noted that at the endof Chapter 3 a list of jazz and related sources with strong rhythmic time-feel components(some examples of which are found in the list at hand) will be provided.

Art Ensemble of ChicagoRarum VI-Art Ensemble of Chicago Selected Recordings (ECM 2002)

Peter Brötzman, with Han Bennink and Fred Van HoveFMP 130 (Unheard Music Series, Atavistic 2003)

Marilyn CrispellVignettes (ECM 2008)

Alice ColtraneTranslinear Light (Verve Music Group 2004)

John ColtraneA Love Supreme (Verve Music Group 1964)

Miles DavisFilles de Kilimanjaro (Columbia 1968)

Robert Dick and Ursel SchlichtPhotosphere (Nemu/Be1Two 2005)

Zakir HussainMaking Music (ECM 1987)In Performance (Live) (Electra Entertainment 1980)

Joëlle LéandreJoëlle Léandre Project (Leo Records 2004)

Nicole Mitchell/Black Earth EnsembleVision Quest (Dreamtime Records 2008)

Roscoe Mitchell, with George Lewis and Muhal Richard AbramsStreaming (Pi Recordings 2006)

OregonIn Performance (Live) (Electra Entertainment 1980)


Evan ParkerEleventh Hour (ECM 2005)

John SurmanThe Spaces in Between (ECM 2007)

Cecil TaylorUnit Structures (Blue Note 1987, original released 1966)

Weather ReportHeavy Weather (Sony 1977)

Yumiko Tanaka, with Ivar GrydelandContinental Crust (Sofa 2005)

The following is a more general list of prominent artists in contemporary improvised musicwhose work you are encouraged to learn about as you further expand your listening library.

Artists and Ensembles

Geri Allen, Susan Allen, AMM, Ray Anderson, Art Ensemble of Chicago, Vijay Ayer,Derek Bailey, Hans Bennick, Karl Berger, Tim Berne, Carla Bley, Jane Ira Bloom, JeromeBourdelain, Joanne Brackeen, Anthony Braxton, Peter Brotzman, Earle Brown, SteveColeman, Nels Cline, Anat Cohen, Ornette Coleman, Alice Coltrane, John Coltrane,Marilyn Crispell, Robert Dick, Pierre Dorge, Dave Douglas, Mark Dresser, Eastern Bloc,Marty Erlich, Douglas Ewart, Michael Formanek, Gerry Hemmingway, Liang Heping,Dave Holland, Zakir Hussain, Kazuo Imaj, Toshiimaru Kakamura, François Janneau,Joseph Jarman, Keith Jarrett, Mathias Kaul, Mazen Kerbaj, Jin Hi Kim, WojciechKonikiewicz, Oliver Lake, Yusef Lateef, Joelle Leandre, George Lewis, David Liebman,London Improvisers Orchestra, Lionel Loueke, Rudresh Mahanthappa, John McLaughlin,Myra Melford, Pat Metheny, Nicole Mitchell, Roscoe Mitchell, Musica Viva, StephenNachmanovitch, Miles Okazaki, Pauline Oliveras, Oregon, Ivo Papasov, Evan Parker,Claudio Parodi, Anto Pett, Edwin Provost, Sun Ra, Leo Smith, Michael Jeffrey Stevens,John Surman, Cecil Taylor, Walter Thompson, Henry Threadgill, Ursel Schlicht, RalphTowner, Cuong Vu, Dan Weiss, Christian Wolff, Liu Yuan, and Carlos Zingaro.

Musicians who play instruments such as flute, oboe, bassoon, French horn, cello, viola,and to a somewhat lesser extent violin, are often hard-pressed to find improvisers on theirinstruments that might serve as role models. The following is a brief list that may be helpfulin this regard.

Contemporary Improvisers on Largely “Classical Instruments” (Instruments not Commonly Associatedwith Improvisation)

Violin: Julie Lyon-Lieberman, India Cooke, LaDonna Smith, Mark O’Connor, LeroyJenkins, Billy Bang, Stephen Nachmanovitch. Viola: Judith Insell, Jeremy Kittel. Cello:David Darling, Gil Selinger, Deidre Murray. Bassoon: Michael Rabinowitz, James Johson,Daniel Smith, Ray Pizzi, Paul Hanson. Oboe: Kyle Bruckman, Brenda Schuman-Post,


Paul McCandless, Joseph Celli. Flute: James Newton, Ali Ryerson, Robert Dick. Voice:Thomas Buckner, Bobby McFerrin, Ursula Dudziak, Ella Fitzgerald, Sarah Vaughn,Norma Winstone, Betty Carter. French Horn: Jim Rattigan, Tom Varner, Adam Unsworth,Jeffrey Agrell.

Further Reading

Jonathan Kramer, The Time of Music. New York: Schirmer, 1988.Geroge Lewis, A Power Stronger than Itself: History of the AACM and American Experimental Music. Chicago:

University of Chicago, 2008.Stephen Nachmanovitch, Free Play: The Power of Improvisation in Life and the Arts. Los Angeles: Tarcher,

1990.Eugene Narmour, The Analysis and Cognition of Basic Melodic Structures. Chicago: University of Chicago, 1990.Pauline Oliveros, Deep Listening: A Composer’s Sound Practice. New York: iUniverse, 2005.Ed Sarath, “A New Look at Improvisation.” Journal of Music Theory 40.1:1–38, 1996.Kenny Werner, Effortless Mastery. New Albany, IN: Jamey Aebersold, 1996.


SUMMARY QUESTIONS

1 What is meant by the term trans-stylistic and how does it differ from conventionalapproaches to improvisation study (e.g. as found in jazz improvisation coursework)?

2 True or false? The ultimate aim of the trans-stylistic approach is to replace style-specific improvisation study, which is no longer necessary due to the eclecticism intoday’s world.

3 What are the two categories of basic elements or parameters delineated by LeonardMeyer? Give examples of each category.

4 Define these terms:• Dynamics• Density• Duration• Registral variety or tessitura• Motive• Ostinato• Motivic sequence• Drone

4 Provide some of the characteristics of heightened consciousness or “flow.”

5 Name two important considerations for effectively using silence in your improvising.

6 List three possible types of endings in improvised music.

7 List three kinds of formal structures.

chapter 2

Music Fundamentals

The initial improvising experiences in Chapter 1 likely gave rise to some compellingmoments, perhaps providing glimpses, even if fleeting, of the infinite creative scope that ispossible through improvisation. These initial experiences also likely shed light on the needfor further technical, aural, and theoretical skill development if substantive progress as animproviser is to occur whether in trans-stylistic or style-specific formats. As we move in astyle-specific direction, with the intention not of forsaking trans-stylistic engagement butrather of integrating it within a broader scope, the syntactic parameters of harmony, melody,and rhythm begin to assume central focus. Whereas we broached syntactic elementsperipherally in Chapter 1, in this chapter we begin a formal, systematic study of thisdomain.

We begin with the basic components of Western tonal and modal music: key signatures,scales, intervals, and modes. If you already have a solid grounding in these aspects, you mayeither use the opening of this chapter as a quick review or skip directly to whatever areasmight be new or in need of strengthening. Of utmost importance is that you establish aspart of your regular practice routine work in aural transposition, which entails taking basicmelodic patterns derived from various scales and working them out by ear in all 12 keys.This is an excellent means for developing technical facility on your instrument and alsobuilds ear-to-hand coordination, so that you can play what you hear, which is naturallyessential for improvisers.


• Cover clefs, key signatures, scales, intervals, modes, and melodic cells.• Do written and improvisation exercises that will aid mastering these elements.• Begin work with aural transposition.

Staff, Clefs, Scales

Let us begin with the basic elements of Western musical notation. Musical sounds, or notes,are notated on what is called the staff, which consists of five lines. Notes are placed eitheron the lines or in the spaces between the lines. Higher pitches fall higher on the staff; lowernotes fall lower. The staff may be extended through the use of ledger lines to represent notesthat are higher or lower than the highest or lowest lines or spaces of the staff. To the far leftof the staff is placed a clef, which indicates which notes correspond to which lines andspaces. Examples 2.1 to 2.4 give four staffs, each with a different clef, with the note middleC indicated on each.

Middle C is a common reference point and will be discussed further below. The note Cis among the basic series of pitches in Western music that are designated by the sevenletters: A, B, C, D, E, F, and G. Each of these seven notes can be lowered, as indicated bya flat symbol (b), or raised, as indicated by a sharp symbol (#), to yield a total of 12 tones thatcomprise Western pitch practice. For instance, in addition to A is Ab and A#; in addition toB is Bb and B#, etc. At first glance, this would appear to yield 21 tones. However, some ofthe derivatives cancel each other out—e.g. since A# is the same sound as Bb, one needinclude either one or the other, not both—and thus while one might be able to theoreticallyspell 21 different notes, the practical reality is a total of 12 tones. These tones may be usedin different registers or octaves. An octave is an eight-note expanse that is measurable bybuilding a scale on any tone and proceeding upward or downward—according to thealphabetic sequence—until one arrives at that same tone either in a higher or a lowerposition. In other words, a scale built on A eventually comes to the end of the alphabeticsequence whereby A recurs; this note actually sounds like the initial A, just a higher versionof the pitch. Thus, when we specify a middle C, we are talking about the version of the toneC that appears in a particular position relative to lower and higher versions of that tone.

Example 2.5 illustrates middle C by placing it within a series of several octaves in whichother C notes are identified. Example 2.6 illustrates a C major scale beginning on middleC and ending on the C an octave above it.

29Music Fundamentals

EXAMPLE 2.1

EXAMPLE 2.3 EXAMPLE 2.4

EXAMPLE 2.2

Example 2.7 illustrates a chromatic scale built on middle C going to the C an octaveabove, in both ascending and descending forms. The scale includes all 12 tones, and usessharps in the ascending form and flats in the descending form. The note C raised to C# isthe same pitch as D lowered to Db; the note D raised to D# is the same pitch as the note Elowered to Eb. In this way, any note can be spelled enharmonically; that is, with the lettername of the note above or below it but with necessary accidentals.

Notice that in certain cases, notes in the ascending form are not followed by the samenote with a sharp but simply by the next note, as in E to F and B to C. The counterpart tothis is found at the same spots in the descending form, where C proceeds directly to Bwithout an intervening Cb and F proceeds to E without an intervening Fb. The reason forthis is that there are natural half-steps between these notes, and the use of those accidentalswould, in fact, make the modified note the same pitch as the one that follows it. In otherwords, Cb is the same pitch as (and thus may be spelled enharmonically as) B, Fb as E, E#as F, and B# as C. It is important to be aware of these natural half-steps, where nointermediary notes may be located, and the use of enharmonic spellings by which one pitchmay be notated with different letter names.

30 Music Fundamentals

EXAMPLE 2.5

EXAMPLE 2.6

EXAMPLE 2.7

Key Signatures

Just as the lines and spaces of the staff, with the aid of a clef, delineate what particular notesounds at a given point in time, the use of a key signature delineates what key area the musicis centered in. A key area is defined by a tonic note—or main tone—and the notes of a scalegenerated from that tonic note. Later we will see that chords—simultaneously soundinggroups of notes—are generated from the scale. As there are 12 chromatic tones, there are12 keys and corresponding key signatures.

The top line proceeds from the key of C major, with no sharps and flats, through thesharp keys; beginning with G major, with one sharp, and through D, A, E, B, F#, and C#.This sequence follows what is called the cycle of fifths, and as we proceed through the cyclewe add one more sharp with each successive key. Note also that the name of the key is onehalf-step above the farthest sharp to the right.

The bottom line lists the flat keys, and proceeds through the cycle, this time withdescending fifths, beginning with F major with one flat, and on through Bb, Eb, Ab, Db, Gb,and Cb. Note that, with the exception of F major, the second last flat from the right is thename of the key.

You will find the ability to recite the sequences of sharp and flat keys quickly to be a veryuseful skill, as it will come into play in the determination of interval sizes and qualities,chord structures, and chord functions.

Major Scale

Example 2.9 illustrates the C major scale in the four different clefs introduced above: treble,bass, alto, and tenor. All scales begin on middle “C,” except for the one written in bass clef,which begins an octave below and ends on middle C. While many musicians may rarelyencounter alto and tenor clef, basic knowledge of them is essential to abilities such as scorereading, or composing with these and other instruments that utilize the clefs, and thusshould be considered important to overall musicianship.The counterpoint exercises that areincluded in Appendix I also make use of these clefs and so it is important to develop a basicfamiliarity with them.


EXAMPLE 2.8 Key signatures


EXAMPLE 2.9

Exercise 2a

Major scale written exercise

Write out the following major scales in the clefs provided. You can either write the keysignatures or apply accidentals before each note.

Minor Scale

There are three kinds of minor scale: natural, harmonic, and melodic, as illustrated inExample 2.11. Notice that the D natural minor scale contains the same notes as the F majorscale, but begins on the note D. From this vantage point, we can think of the harmonicminor as natural minor with a raised seventh degree. Melodic minor consists of ascendingand descending forms; ascending may be thought of as a major scale with a lowered thirdand descending as identical to natural minor.


EXAMPLE 2.11

EXAMPLE 2.10

Intervals

An interval is the space between two notes. When two notes sound simultaneously, and toa lesser extent consecutively, the size of the space between the notes produces a specificsound color. A wide range of intervalic sizes is possible, each having a different flavor, andthus the various intervalic types are labeled by size. It will be particularly essential to befluent with these types when it comes to working with chords—triads, seventh chords, andextended chords—since the quality of these structures will be determined by their respectiveintervalic make-up.


Exercise 2b and EXAMPLE 2.12

More scales

Write out these scales using the clefs indicated:

When we label intervals according to size, we take into account two aspects. One is thebasic or general size of the interval, indicated simply by a number, and the second is thequality of a given intervalic size. The quality may be thought of as a kind of fine-tuning ofthe general size.

The basic size of the interval is easily determined by counting up from the lowest of thetwo notes—with the lowest note as “1”—to the higher note. Example 2.13 illustrates in thekey of F:

However, proper identification of intervals requires also that we indicate the quality ofeach intervalic size. In other words, it is not enough to identify an interval as a third, fourth,or fifth, as indicated above (Example 2.13); there are different types of seconds, thirds, etc.which may be thought of as gradations or, as noted above, finely tuned measurements, ofthe general size. Here, then, it is necessary to understand how the different general sizes arequalified to indicate larger or smaller gradations.The following two categories of gradationscorrespond to the general sizes:

• Seconds, thirds, sixths, and sevenths can be major, minor, diminished, or augmented.• Unisons, fourths, fifths, and octaves can be perfect, diminished or augmented.

At this point the question becomes: How do we know which qualifier to apply? How canwe distinguish between a major, minor, diminished, or augmented third? Here a simplestrategy comes into play. The strategy begins with the question: Is the top note in the majorkey (or major scale) of the bottom note?

If the answer is yes, and the interval is a second, third, sixth, or seventh, then the qualityof the interval is major (e.g. major second, major third, major sixth, major seventh). If theinterval is a unison, fourth, fifth, or octave, then the quality of the interval is perfect (e.g.perfect fourth, perfect fifth, perfect octave).

If the answer is no—if the top note is not in the major key or scale of the bottom note—we must determine whether the top note is higher or lower than the diatonic note inquestion. Here we proceed as follows.

If the interval is a second, third, sixth, or seventh, and the top note is a half-step belowthat which would be diatonic to the key, then it is minor in quality. Therefore, instead of amajor sixth, we would have a minor sixth. If the interval is a half-step lower than the notethat would make it a minor interval, it is diminished (e.g. diminished sixth). In the oppositedirection, if the interval is a half-step higher than that which would make it a major interval,it is augmented.

If the interval is a unison, fourth, fifth, or octave, and the top note is a half-step lowerthan what it would be in the major scale, it is diminished. If the interval is a half-step higher


EXAMPLE 2.13

than it would be in the major scale, it is augmented. Unisons, fourths, fifths, and octavescannot be major or minor. Seconds, thirds, sixths, and sevenths cannot be perfect.

Example 2.14 provides a progressive illustration of a variety of different intervals,beginning with the very small and moving up to the major thirteenth interval. The intervalsare shown in both melodic formats, where the top note follows the bottom, and harmonicformats, where both notes sound at the same time. Note that when you play through theintervals, some will sound exactly the same as the preceding interval listed, even though thenames are different (e.g. an augmented second sounds the same at the keyboard as a minorthird). In certain performance formats, fine performers on non-keyboard instrumentswhich allow for subtle nuances of pitch to be played may actually make a slight differencebetween D# and Eb if the D# follows a D natural and leads to E in a chromatically ascendingpassage. Hence, composers will write D# in such cases instead of Eb, and in analyzingrepertory we thus need to recognize the D#, if it sounds against or follows a C, as anaugmented second above the C, not a minor third above.

Inversions of Intervals

Any interval can be inverted, so that the note that was on top is on the bottom. Aninteresting principle provides an easy way to know the inversion of any given interval: theinterval and its inversion totals nine. For instance, fifths invert to fourths (5+4=9), sixths to


EXAMPLE 2.14

Interval identification

Identify these intervals, using these abbreviations: Perfect=P, Major=M, Minor=m,Augmented=A, Diminished=d. Be able to name their inversions.

thirds (6+3=9), seconds to sevenths (2+7=9). In addition, major intervals invert to minorintervals—the inversion of a major sixth is a minor third—and perfect intervals invert toperfect intervals (a perfect fifth inverts to a perfect fourth).


Exercise 2f

Choose an interval

Choose an interval and improvise, vocally or on your principal instrument, passages thatmake prominent (not necessarily exclusive) use of that interval.

Exercise 2c and EXAMPLE 2.15

Exercise 2d and EXAMPLE 2.16

More intervals

Identify the intervals between each successive note in the following sequence; e.g theinterval between the first and second note, second and third, and so on. Remember tocount up from the lower of the two notes, regardless of which one comes first in thesequence.

Exercise 2e

Aural practice

With a partner, sing a pitch and specify the interval to be sung by your partner above orbelow that note. Switch roles.

Modes

In addition to major and minor scales are another category of diatonic or stepwise scalesthat span an octave. These are the seven modes, all of which may be derived from the majorscale, as shown in Example 2.17. The modes of Western music find parallels in musicthroughout the world (e.g. Indian ragas, Arabic maqam) and offer interesting scalar andmelodic options for improvisers and composers. Entire pieces, or sections of pieces, may bebased on a single mode or combinations of modes. Facility with modes is of great value tojazz improvisers, who commonly equate particular modes with particular chords in order toguide their melodic decision-making processes.

Example 2.17 lists the seven diatonic modes and correlates them, using Roman numerals,with each scale degree of the major scale. We will take up Roman numerals as an analyticaltool in more depth later when we move into chord structures and functions. Here they helpus correlate the modes with the different degrees of the major scale: the Ionian mode is builton I of major, Dorian on II, Phrygian on III, Lydian on IV, Mixolydian on V, Aeolian onVI, and Locrian on VII.

Another way of understanding the modes is by analyzing their different uses of whole andhalf-step intervals.

Ionian=W-W–H-W-W-W-HDorian=W-H-W-W-W-H-WPhrygian=H-W-W-W-H-W-WLydian=W-W-W-H-W-W-HMixolydian=W-W-H-W-W-H-WAeolian=W-H-W-W-H-W-WLocrian=H-W-W-H-W-W-W

It is not necessary to attain absolute fluency with the modes at this moment, althoughthis should be our ultimate aim. What is necessary here is to have a basic understandingand a method for determining the notes of any given mode—whether this be relating themodes to the degrees of the major scale or thinking of them in terms of their whole- andhalf-step intervals—when it is encountered. The following exercises will help to this end,


EXAMPLE 2.17

and Chapter 5 provides exercises that in a single stroke fortify knowledge of both chordsand modes.

The following exercise is an excellent way of learning on your instrument five of the sevenmodes, which here form a sequence that we will later correlate with chords on each of thescale degrees listed. The chord sequence is discernible from playing the scales/modeswithout any kind of harmonic accompaniment, showing the close link between melody andharmony. Melody contains harmony; harmony contains or at least can strongly suggestmelody. Put another way: scales or modes are horizontal or melodic configurations of pitchareas, and chords are vertical or harmonic configurations of pitch areas. When we laterimprovise on pitch structures such as jazz chord changes, the more fluent we are withscales/modes and chords, the more freely we will be able to move back and forth betweenhorizontal and vertical kinds of conceptions in the creative process.


Exercise 2g and EXAMPLE 2.18

Scale pattern in all keys

Learn the following pattern in all keys on your principal instrument. This is a preliminaryform of aural transposition, where we take a pattern—in this case a scale or mode—thatis given in one key and work it out in other keys by ear. This particular pattern workswell moving around the cycle of fifths (e.g. first in F as given, then to Bb, Eb, Ab, etc.). Youcan also move chromatically through the keys (F, Gb, G, etc.).

Modes (1)

Write the names of the following modes atop the staff.

Pentatonic Scales

Pentatonic scales are found in a wide range of music throughout the world. The majorpentatonic scale is easily understood as comprising tones 1, 2, 3, 5, and 6 of the major scale.The minor pentatonic scale consists of the exact same tones, except that scale degree 6 (orthe fifth note of the major pentatonic) serves as the root. In this way, the relationshipbetween major and minor pentatonic scales is very similar to that between major and naturalminor scales—the natural minor scale is built on the sixth degree of the major scale, andthe minor pentatonic scale is also built on scale degree 6 (which is the fifth note of the


Exercise 2h and EXAMPLE 2.19

Exercise 2i and EXAMPLE 2.20

Modes (2)

Write out the following modes.

pentatonic). Example 2.21 shows the C major pentatonic scale and the related A minorpentatonic scale.

Aural Transposition

Let us now begin to get these modes under our fingers so that we can use them when weimprovise. It is one thing to be able to identify or write a scale, or even play it up and down;it is another to be able to spontaneously generate a variety of melodic shapes using the notesof the scale. A central practice for developing these skills is aural transposition. Auraltransposition entails taking a pattern and transposing it by ear to other pitch levels withina given key or scale, and to other keys and scales. It is likely evident that this is an all-important part of the improviser’s daily practice routine. Aural transposition is a challengingyet highly fruitful practice that will enhance not only your improvising skills, but also yourall-around technical facility on your instrument.

It is important to recognize that aural transposition poses different challenges fordifferent instrumental types. For singers, once a pattern is learned in a single key, it is imme-diately replicable in all keys—hence singers should take it upon themselves to work on a greater volume of patterns. String players—violin, viola, cello, bass, and guitar—aresomewhat more challenged as they may in certain instances have to re-finger a given patternto play it in other keys. Pianists and wind and brass players are the most challenged in thatthey have minimal carry-over in terms of technical execution from one key to the next. Aswill be recommended below, what is most important is to work on patterns whose level ofdifficulty—and here it is important to select an appropriate tempo—is adequately challeng-ing but not overwhelming for your particular instrument and skill level.

We will apply aural transposition to three basic types of scales we have covered: majorand minor scales, modes, and pentatonic scales.

Let us now take up useful melodic permutations derived from the major scale and whichmay be applied to all diatonic (seven-tone stepwise) scales once we have them under ourfingers. These are called melodic cells.


EXAMPLE 2.21

Exercise 2j

Pentatonic scales

Write out these pentatonic scales: A major, B minor, C minor, F# major, F# minor, Ab major,E minor, F minor.

Melodic Cells

In Chapter 1 we considered the motive as a basic kind of melodic gesture. Let us nowexamine smaller-scale melodic relationships that may be found within these gestures thatwill help us fine-tune our melodic decision-making processes as improvisers. Here we cometo the principle of melodic cells, groups of three to five notes that possess an internal clarityand coherence. Becoming fluent in even a small group of these cells will provide tools whichyou can use to create elaborate melodic fabrics; this will be of particular value when it comesto time-feel-based improvising. While melodic cells may comprise any configuration ofintervals or rhythmic values, we will identify a basic set of cells that utilize intervals ofseconds and thirds, and all of whose notes consist of the same note value—which we willdefine here as eighth notes.

The clarity inherent in the melodic cell is due to the interplay, even if on a small scale,of passing and target notes. Passing notes, as the name suggests, function in a moremovement-driven capacity as they connect one note to another. There is some resemblancehere to the non-harmonic passing tones to be considered later, although whereas in thatinstance the classification was primarily due to the dissonant nature of the tones, here theclassification is due the role of the tone in upholding a melodic shape. Target notes arelanding points, even if only temporary, and are often defined as such simply by their length(they tend to be longer than the other notes in a phrase) or placement (they tend to comeat the end of a phrase). This is evident in Example 2.22, where the four eighth notesestablish clear motion that sets up a temporary moment of repose on the quarter note F.Notice here too how the two eighth notes preceding the target note E actually frame thetarget note through a kind of anticipatory “gap” whereby a melodic sequence skips over anote it appears to be heading toward, only to then approach the note from the oppositedirection. Thus, when the F arrives, the ear recalls the note (and series of notes) thatpreceded it and groups the entire cell into a coherent pattern. When we have a number ofthese cells under our fingers (and in our ears), we can spontaneously mix and meld them tocreate an infinite variety of coherent melodic possibilities.

Example 2.23 provides samples of common melodic cells. It is followed by auraltransposition exercises through which one can begin to internalize these shapes.

The exercises presented below expand several of these cells into patterns that move upand down the major scale and are to be used for aural transposition. Learn to sing eachpattern in one key before learning it in multiple keys on your instrument. The voice is anideal link between ear and hand. By deferring to the voice when you run into difficulties inrealizing a given pattern on your instrument, you will strengthen this link as well as youroverall aural and expressive capacities. As with all aural transposition exercises, you are


EXAMPLE 2.22

encouraged to take the basic pattern beyond the range given in order to further expand yourtechnical skills on your instrument.

A further point bears emphasis at this juncture. As you work on aural transpositionexercises and begin to get these basic shapes under your fingers, you may find yourselfinclined to launch into extended improvisations with them. This is a primary indicator thatyou are beginning to internalize these shapes and you are highly encouraged to follow yourinstincts when these moments arise. You are also encouraged to freely meld the differentshapes and harness the interplay of coherence and unpredictability that is inherent in thecreative use of these shapes. As you listen to master improvisers, appreciate the feeling ofplay—the joyful exuberance that stems from the spontaneous spinning out of compellingmelodic lines—that is possible in improvised music. When these waves of play arise in yourown practice, do not hesitate to ride them, just as the surfer does who waits hours for thebig wave at the ocean front; important progress may be made during these seeminglyunbridled episodes as they allow you to spontaneously integrate material you have beendiligently practicing. And of course it is important to take care that the time spent on theseflights of fancy is kept in balance with the all-important focused practicing of these patternsin all keys.


EXAMPLE 2.23

Aural transposition

Work out these patterns in multiple keys by ear. Proceed around the cycle of fifths (e.g.first play the pattern in C, then F, then Bb, etc.) or move chromatically (e.g. C, Db, D, Eb,etc.).

2k (cell 1 from above)

2l (cell 2 from above)

You can create further aural transposition exercises from the melodic cells. A few moreare provided here, however, since they warrant commentary.

Exercise 2n, based on melodic cell 7, is of particular value for contemporary improvisersdue to its inherent rhythmic properties. The cell contains naturally occurring accents onoffbeats that produce a kind of two-against-three rhythmic relationship. We will see in thesubsequent chapters that this relationship is central in time-feel-based improvising.Continue the aural transposition with the following exercises.

Exercise 2o provides two kinds of sequences that may be derived from melodic cell 8.Appreciate the resemblance between the second of these and exercise 2n.

Exercise 2p presents four different sequential possibilities that may be derived from thesame melodic cell.


Exercises 2k–2m and Examples 2.24–2.26

2m (cell 3 from above)

Exercise 2n and Example 2.27

Aural transposition

Exercise 2o and Examples 2.28–2.29

Aural transposition (cell 8)

• Variation

Aural Transposition with Pentatonic Scales

The following exercises present several aural transposition patterns based on minorpentatonic scales. The patterns are given in one or two keys; your task is to play them byear in all keys around the cycle of fifths. It is not necessary to master these in all keys beforeproceeding with the remainder of the chapter. However, try to at least be able to play themin a few keys to get a glimpse of what aural transposition entails and its benefits. The firstof these patterns involves a phrase that is to be repeated prior to being transposed to thenext pitch level. As you listen to the recorded version of this, please take careful note of thearticulation used—particularly the connectedness of the notes and strong rhythmicdefinition—and attempt to match it.

One further suggestion: with all your aural transposition work, take some time toimprovise with the shapes that you are transposing aurally. This will help integrate them asorganic facets of your evolving melodic voice.


Exercise 2p and Examples 2.30–2.33

Aural transposition (melodic cell 9 from above)

Variations 1 and 2 alternate ascending and descending forms of the cell. Variation 3provides another form in which this cell is commonly found.

• Variation 1

• Variation 2

• Variation 3

As you have undoubtedly found, learning these patterns in all keys by ear is challengingand will not happen overnight. As mentioned above, you need not master every singlepattern in all keys before moving forward in the book; this could easily take weeks if notmuch longer. Rather, it will suffice to select one pattern to begin working out in all keys,and just play through the other patterns for now, perhaps working them out in only a fewkeys with the intention of trying to make use of these melodic shapes in your improvising.It is recommended that you keep a practice log, checking off each pattern once you get itin all keys, so that you can monitor your progress.

Do not be discouraged if aural transposition seems unduly challenging at first. This isarguably the most intensive form of technical practice you will encounter, as it requires highdegrees of coordination between ear and hand. Needless to say, this kind of skill is alsoabsolutely essential for improvisers and the yield from this kind of work is more than worththe effort; you will likely begin to see results in your technical facility fairly soon afterembarking on an aural transposition program. You will also find it to be a powerful meansfor even developing sight-reading skills, which is ultimately an aural activity, as well as theability to master technically difficult passages in written music more quickly. Aural


Exercises 2q–2s and Examples 2.34–2.36

Aural transposition

Play these patterns by ear in all 12 keys around the cycle of fifths.

2q

2r

2s

transposition is the ultimate “daily vitamin” when it comes to developing virtuosity on yourinstrument.

More important than the pace at which you are able to learn these patterns in multiplekeys is that you establish aural transposition as part of your regular practice routine.Appendix 7 provides additional patterns once you have mastered those presented here andelsewhere in the book. It is ideal to work regularly on several different kinds of auraltransposition patterns—e.g. melodic cells that utilize small intervals, triadic and seventhchord patterns and their many permutations that involve larger intervals, idiomatic phrasessuch as II-V-I patterns to be encountered later, and your favorite melodies. You are alsoencouraged to create your own patterns for aural transposition.

SUMMARY QUESTIONS

1 Name the four kinds of clefs.

2 Name the three types of minor scales.

3 Which size intervals (numeral size) can and cannot be major and minor?

Which size intervals can and cannot be perfect?

4 Any interval can be diminished or augmented. True or false?

5 Name the seven diatonic modes and correlate them with the different degrees ofthe major scale.

6 Which modes begin with half-step intervals?

7 What is the difference between Ionian, Lydian, and Mixolydian modes?

8 What is the difference between Dorian and Aeolian modes?

9 Name the notes of a D major pentatonic scale.

10 Name the notes of a B minor pentatonic scale.


chapter 3

Modality and Rhythm I: Time Feels

Improvising musicians commonly talk about “time feels,” or “grooves,” when it comes to therhythmic dimensions of contemporary music. Time feels are rhythmic frameworks that areusually cyclical—some basic pattern is repeated, even if undergoing significant elaborationand transformation in the process—and are usually connected with a pitch framework (e.g.jazz chord changes, modes). With roots that can be traced back centuries in African music,with sprouts beginning to bloom in the late nineteenth century through largely African-American culture and practices, followed by a full blossoming in the twentieth century, timefeels—exemplified in jazz, blues, funk, hip-hop, Afro-Cuban, Afro-Brazilian, to myriadmulti-ethnic hybrids—have become pervasive in the musical world and warrant animportant place in musicianship training. While a wide variety of time feels exists, commonprinciples may be identified that help musicians begin to develop a basic fluency with thisimportant musical language structure and engage with many of the diverse musical streamsthat are merging in our times.

The Importance of Aural Immersion

As we approach the topic of time feels, an important point cannot be emphasized stronglyenough. This has to do with the central role aural immersion plays in the learning process.In this regard, mastery of time feels is very similar to learning a spoken language, where


• Begin to improvise in contemporary modal and rhythmic frameworks.• Examine what musicians commonly call time feels or grooves.• Learn about the importance of eighth note lines in time-feel improvising.• Work with rhythmic templates to aid our melodic improvising.• Work with the Dorian modes and constituent pentatonic scales.• Embark on a program of listening to master time-feel improvisers.

extensive aural exposure and emulation are central. We learn to speak before we learn toread and even gain a fair command of syntax prior to formal study of grammar, whichhappens well after we learn to read. For musicians with largely or exclusively Europeanclassical backgrounds, rhythmic time feels may be considered foreign musical languages,whose inflections, nuances, and pronunciation principles need to be mastered aurally.Moreover, whereas one can become grammatically fluent in a foreign spoken language withless than perfect pronunciation skills, pronunciation is everything in music; it is core to themeaning, the expression, and the impact of the music. While we can attain fluency in asecond language even while speaking that language with our native accent, music playedwith a “foreign accent” will likely sound out of place. A prominent case of this is in attemptsat swing by Euroclassical musicians (those who specialize in European classical music) withlimited grounding in this time-feel conception.

The swing time feel is one of two major time-feel categories that exists and will be takenup in Chapter 7. Here we will begin with mainly “even-eighth note” time feels, which areless foreign to musicians from Euroclassical, pop, folk, rock, and many other backgrounds.Let us start by initiating a program of focused listening.

Core Elements of Time Feels

Co-existence of Legato Phrasing and Strong Rhythmic Integrity in Melodic Lines

Notice as you compile your listening library two core features of time-feel-based articulationand phrasing. One has to do with melodic lines in which legato, connected phrasing, andstrong rhythmic integrity co-exist. This requires a different kind of articulation than isfound in European classical music, and this articulation will vary from one instrument toanother. For instance, where Euroclassical brass players will commonly attack a note withthe syllable “tah,” time-feel brass players will more commonly use the syllable “dah” for aneffect more conducive to the legato phrasing desired. And in contrast to the “ta-ka”

Exercise 3a

Building a listening list

The artists and genres listed at the end of this chapter will provide a good start for youto build your own library. As explained in Chapter 1, this kind of listening involves muchmore than having music on in the background while you engage in some other task.Rather, it involves deep aural, physical, and emotional immersion in the sounds, whereyou sense the music permeating every fiber of your mental, physical, emotional, andtranspersonal being. Experience the music as if you were creating it yourself. Do nothesitate to let yourself physically move to the music. Moreover, do not hesitate, shouldyou feel so inspired, to pick up your instrument and play along. You are learning a newlanguage: the greater the number of parameters of engagement—whether aural,creative, physical, or analytical—the greater the assimilation.

49Modality and Rhythm I

articulation characteristic of Euroclassical double-tonguing for rapid tongued (as opposedto slurred) passages, time-feel brass players utilize a combination of “da” and “la”—trombonists call it the “doodle” tongue—to execute rapid lines with crystal-clear rhythmicdefinition while still retaining the legato effect. As you listen to time-feel performers on your instrument as well as other instruments, sense what sort of articulation they are employing and try to match it. Remember that the vast majority of these musicianslearned the articulation by emulating others and may be hard-pressed to describe exactlywhat it is. Therefore, it is much more important to emulate the sound than to define how it is attained.

2:1 and 4:1 Rhythmic Ratios

A second aspect of the time feel, closely related to the first, is the prominence of the 2:1 or4:1 rhythmic relationship between melodic line and basic pulse; in other words, eighth andsixteenth note lines, depending upon how the basic pulse is defined. What is important isthe effect of the melody moving in multiples of two against the underlying beat—an effectto be encountered in Appendix I in second (2:1) and third (4:1) species counterpoint. Whenjazz musicians talk about the importance of “getting your eighth notes happening,” they arereferring exactly to this principle. Listen to the important role 2:1 and 4:1 lines play in theimprovised melodies from your recordings. It is not that other rhythmic values areprohibited, but these particular rhythmic values are essential in bringing out the characterof the time feel. Once this is established, all rhythmic values are possible.

As you begin to implement these concepts in your improvising, you will find that theygo hand in hand; in order to play compelling 2:1/4:1 lines, you will need to master thearticulation that enables the co-existence of legato and rhythmic definition described above.

Further Aural Immersion Strategies

You may notice that time-feel improvisers move differently than European classicalperformers. Different musical languages not only involve different sounds but also differentkinds of bodily engagement. It is not that one is better than another, any more than Englishis superior to French or Hindi. It is simply that different kinds of music flow through the

50 Modality and Rhythm I

Exercise 3b

Live performances and DVDs

In addition to listening to recordings, you are also encouraged to attend live per-formances and watch DVDs. Much can be gained from watching, as this is anotherimportant sensory input, a channel through which information about a language canflow. Observe how time-feel improvisers move and how their movement relates to theirphrasing and articulation.

psychophysiology in different ways. Time feels must therefore be internalized in the entirebody as much as in the ears and mind.

The next step in our aural immersion process is called transcription, where we copy notefor note the lines, shapes, patterns, and phrasing of master time-feel improvisers in orderto learn exactly what they are playing.

Transcription is not unlike the practice of aspiring visual artists when they visit artmuseums and copy the work of master painters. While the term “transcription” suggestscapturing the music being copied in notation, important aspects of time feels cannot benotated. Thus, while the act of notating music from an aural source is a highly valuableactivity in itself for students, the bulk of the benefit from transcription is simply theemulation of master artists.

At first, it may appear that this intensive emulative activity is contrary to the goal ofevolving an individual, creative voice as an artist. Here several points may be made, the firstof which has to do with intention. We emulate master artists not so much with the goal ofreproducing note for note what they play when we create, but rather to assimilate importantkinds of idiomatic knowledge and skills that are embedded in the specific nuances andphrases they play. Internalization of these elements will enable us to speak the language in


Exercise 3c

Find an exemplar

As you begin to compile a list of sources for aural (and possibly visual) immersion, youwill naturally come upon one or more artists whom you find particularly exciting. Youare encouraged to emulate their style when you improvise—as if you are taking themon as a mentor. Now your improvisatory development will be driven by an entirely newimpetus. Be prepared to share with classmates what it is about your exemplar that youfind particularly compelling and how you are attempting to emulate his/her work.

Exercise 3b

Transcription

As you encounter a variety of time-feel improvisers, you will inevitably come upon oneor more whom you find particularly compelling. Choose one as your first exemplar—amaster artist whom you admire. Begin to select your favorite phrases and copy themnote for note, inflection for inflection. Be able to play them exactly as your exemplar.Later we will transcribe entire solos in this manner; for now, short passages (e.g. 2–4measures) will suffice. Record these phrases in a notebook. Create aural transpositionexercises with them..

our own way. Hence, we emulate not with the ultimate goal of cloning other artists but inorder to gain tools that allow our individuality to blossom. There are certain kinds of knowledge that are gained most effectively by emulating master practitioners as pre-cisely as possible and one need not apologize for engaging in this practice, nor fear that itwill impede creativity. Moreover, when situated within the broad spectrum of creativeapproaches that comprise this book, ample opportunity to expand one’s horizons areprovided.

A further valuable activity is to attend traditional African-American church services inwhich congregations become physically, emotionally, and spiritually engaged in the music.The African-American church was a primary forum for the evolution of time-feel-basedmusic from the late nineteenth century to modern times and it is still possible to sense thedeep meaning of the blues and spirituals from which this music developed. Therefore, inno way is this recommended activity an endorsement of a particular kind of religious orspiritual ideology, just as performances or study of Mozart’s Requiem, Beethoven’s Mass, orBach’s Magnificat do not require that one subscribe to the strong religious roots of theseworks. Rather, it is simply to point to another way to connect first hand with the culturalroots of the musical practices we are working with and which factor prominently in today’smusical world.

Modal Etude 1

Listen to the recording of Modal Etude 1 on the website. The piece begins with an ostinatobass line, atop which a melody enters—this is the “head” or main theme. The head isfollowed by improvised solos atop the bass line, which outlines the same modal region asthe head. Notice that the ostinato player departs from strict repetition of the ostinatopattern behind some of the improvised solos yet still maintains a solid foundation inoutlining the pitch and rhythmic framework; this creates variety yet still upholds thesupporting role of the rhythm section. The solos are followed by the out head, or return ofthe main theme. We will further analyze these aspects shortly.

The following are transposed parts for Bb and Eb instruments, although players of theseinstruments are encouraged to learn to transpose at sight. Bb instruments (trumpet, clarinet)transpose up a whole step from concert pitch (tenor saxophone up a ninth), and Ebinstruments (alto saxophone) up a major sixth (baritone saxophone up a thirteenth).

Before we analyze the piece further, let us first gain first-hand aural and creativeexperience by improvising on the feel. Exercise 3e has you improvise with minimaltheoretical knowledge, thus thrusting you into a situation where your ear is the guide.



TRACK 4

TRACK 1


EXAMPLE 3.1 Ed Sarath, Modal Etude 1. © 2008 Ed Sarath


EXAMPLE 3.2 Modal Etude 1 Bb part

EXAMPLE 3.3 Modal Etude 1 Eb part

Exercise 3e

Modal Etude 1

Proceed to the play-along track on the CD where, after the head, the rhythm section(bass, drums, and piano) plays the time feel as a background against which you are toimprovise. Play the melody with the recording, and then improvise on the form. Youmight begin by playing more sparsely and finding notes that fit in before trying to playmore florid, moving lines. You might also try improvising using phrases from the melodyas points of departure.

Let us now explore a few related theoretical ideas before attempting to improvise on thepiece further. The first is that when even a few notes from a given scalar or modal structuresound, they imply a corresponding “pitch field” that provides a basis for improvisation.Scales are horizontal configurations of the notes of a pitch field; chords, to be taken up inChapter 5, are vertical configurations of these notes. While ultimately we are not confinedto improvising with only the notes from the scale or chord, it is important to gain aural andtheoretical mastery of these tones as a basis for further exploration.

The ostinato bass line in Modal Etude 1 implies a pitch field that includes not only thenotes from which the bass line is constructed but several kinds of scales. One is the five-note A minor pentatonic scale; we encountered major and minor pentatonic scales inChapter 2. Two more scales are the A Aeolian (natural minor) and closely related A Dorianmode; the Dorian mode may be easily understood as a natural minor scale with a raisedsixth degree. Thus A Aeolian contains an F natural and A Dorian contains an F#. Whileboth Aeolian/natural minor and Dorian are compatible with the notes of the bass line,because the melody contains F#, this piece is in Dorian rather than Aeolian.

The minor form of the pentatonic has emerged as more prominent in time-feel-basedmusic and we will thus favor it in our work. Example 3.4 illustrates how the A minorpentatonic is contained within the A Dorian mode.

Here a useful principle bears emphasis: pentatonic scales and diatonic scales/modes may beused interchangeably when improvising.

Further connections between diatonic modes and constituent pentatonic scales might benoted here. In fact, within any diatonic scale or mode can be located three differentpentatonic scales, as Example 3.5 illustrates in the context once again of the D Dorian


EXAMPLE 3.4

Exercise 3f

Improvisation using Dorian and pentatonic scales

Return to Modal Etude 1 and improvise using the A Dorian and A minor pentatonicscales. Employ one, then the other, then move back and forth between them, notinghow the sounds are both similar yet different. Notice that the stepwise structure of theDorian mode makes possible smooth melodic motion, whereas the pentatonic scale,owing to its interval of a third, necessitates the use of skips in addition to stepwisemotion.


mode. Accordingly, you could improvise on Modal Etude 1 by alternating not only betweenA minor pentatonic and A Dorian, but also include B minor pentatonic and E minorpentatonic in this mix.

Having worked with minor pentatonic aural transposition patterns, let us now proceedto aural transposition patterns on diatonic modes. This brings us to a set of core melodiccells that will greatly enhance your improvising facility.

Two-player Improvisation Practice Frameworks

The following exercises enable you to integrate the material covered so far with a partner.They make use of minor pentatonic structures, diatonic modes, and invite the use ofmelodic cells. On these and many other two-person exercises in this book, you will bothhave the opportunity to play the role of both melodic improviser and keyboardist. If youhave had little or no contact with the keyboard at this point, the following format willprovide a unique entry point that is designed particularly for musicians like you. The firstexercise involves simply playing a drone—thus has you strike a single note and sustain it—which is followed by options to explore slightly more involved keyboard strategies.

Exercise 3g

Dorian and pentatonic written exercise

EXAMPLE 3.5

Write out these Dorian modes and name the three constituent minor pentatonic scaleswithin each of the modes: A, Bb, B, Eb, C, F, G.

No-pulse modal improvisation

Select a modal area. Player A, at the keyboard, plays a drone on the root note, using thesustain pedal to let the pitch or interval ring. This piece is therefore not based in a pulse;it is “out of time.” Player B, either singing or on the principal instrument, improvisesmelodically atop the drone or open fifth, making use of both a minor pentatonic scale


Exercise 3h

built on the tonic note of the mode, as well as either Dorian or Aeolian modes built onthat root. B should strive to make use of melodic cells. Switch roles.

Exercise 3i

Open fifths

Proceed exactly as above, but this time instead of Player A playing just a single dronenote at the keyboard, a perfect fifth above the drone or root note may be added, toyield what is called an open fifth interval.

Exercise 3j and EXAMPLE 3.6

Open fifths and minor pentatonic scales

Play through these intervals slowly and meditatively at the keyboard, allowing eachsonority to resonate. In the right hand, play the notes of the minor pentatonic scale builton each of the roots (e.g. A minor pentatonic, C minor pentatonic, Bb minor pentatonic,F# minor pentatonic).

Exercise 3k

Open fifths and minor pentatonic scales

Play open fifths on these notes at the keyboard in the left hand and allow the notes tosustain. Slowly and meditatively play the notes of the minor pentatonic scale built oneach root in the right hand. Root tones: G, B, D, E, Ab, Eb, C#, G#.

Exercise 3l

Improvisation

Proceed as in Exercise 3j, except now, after playing without pulse for a while, Player Ashould establish a pulse at the keyboard. Simply repeating the root note in somerhythmic pattern can do this; even a series of quarter-notes will suffice. Player A may optto use one of the rhythmic templates shown in Example 3.7 (templates a and b wouldbe ideal for this purpose). When the music becomes pulse-based, Player B, either singingor on the principal instrument, should attempt to improvise rhythmically. He or she isalso encouraged to try the various rhythmic templates.

Rhythmic Templates for Time-feel Grooves and Melodic Improvising

The idea of the rhythmic template as a device for melodic improvising is as simple as it isfor creating basic rhythmic grooves. However, whereas the keyboardist simply repeats a noteor intervalic structure (and we will shortly expand this palette of possibilities), the melodicsoloist, while adhering to the rhythmic pattern, varies his or her notes. At first, the melodicimproviser may feel confined by this restriction. However, as with all kinds of disciplinedwork, narrowing the constraints may open up further creative possibilities once thoseconstraints are removed. Therefore, while the challenge with this framework is that itrestricts the melodic improviser’s rhythmic options, it also forces the improviser to seekother means for creating variety that will inevitably mean exploring melodic configurationswithin a given mode or scale that he or she may not have otherwise explored. Accordingly,the melodic improviser is encouraged to try using the full scope of intervallic possibilitiesimaginable when using these templates. The use of the templates also helps focus ourhearing and awareness of what we are playing—helping to cultivate the ability to hearsubsequent tones in advance—so that we are not just moving our fingers, but actuallymaking choices from a more aurally and emotionally engaged vantage point. Example 3.7provides some basic rhythmic templates that may be used in this way.


EXAMPLE 3.7

These are just a few possibilities that are based in common rhythmic figures in time-feel-based improvised music. Feel free to add templates of your own creation to this collection.What is most important is that the template enhances melodic direction, and also that anygiven template, while specifying a rhythmic pattern, may be varied in a wide variety of ways.Example 3.8 illustrates ascending and descending melodic lines written with rhythmictemplate d.

The following exercise provides the opportunity to further expand what we play at thekeyboard. Whereas previously our keyboard accompaniment had been confined to playingsingle note drones or open fifths, now we will begin to create harmonic structures in theright hand that are derived from the minor pentatonic scale. However, the chords we willderive here will generally not be classifiable in terms of the conventional categories—e.g.major and minor triads and seventh chords—that we will work with extensively in Chapter5. Therefore, those of you who are not conversant with such chords are in no way at adisadvantage. Rather, here we will use the structures that result when we simply play twoor more notes of the minor pentatonic scale at the same time. We need not have ananalytical understanding of these structures or be able to give them names; it will suffice toonly play tones of the minor pentatonic scale. One of the interesting aspects of this scale isthat any two or more of its notes may sound at the same time and produce a sonority thatis consistent with the minor pentatonic sound. In other words, there are no wrong notes aslong as the tones played are part of the scale. Moreover, a host of interesting chord typeswill result, most of which are more likely classified in the realm of quartal harmony—thatin which fourths and fifths are prevalent—than the usual tertial structures built in thirds(although the minor seventh chord is one possible tertial structure that may be derived fromthe minor pentatonic). Again, we are not interested in the names of the structures we derivebut rather the texture created. Example 3.9 shows some possibilities.

This exercise provides an ideal prelude to the keyboard work that will be done later inthe course and requires very little keyboard technique—one need only be able to plunk outthe five tones of the minor pentatonic scale.


EXAMPLE 3.8

Exercise 3m

Scales and rhythmic template

Make a random list of scales and then improvise on the scales using different rhythmictemplates from the set provided in Example 3.7 (you can also create your own and addto the set). For instance: G minor pentatonic/rhythmic template 2, A Dorian/rhythmictemplate 4, etc.


The above is an excellent ear-training exercise for the person improvising (Player B), andalso challenges Player A to be able to realize multiple minor pentatonic scales and relatedchord structures at the keyboard. We will return to this format throughout the book andapply it to the array of chords and chord progressions to be studied. Having to aurally apply

EXAMPLE 3.9

Exercise 3n

Minor pentatonic duet

Player A plays the keyboard, B some single-line melodic instrument (or voice). Select aminor pentatonic scale. Player A plays an open fifth at the keyboard in the left hand asabove. Let the sound ring and resonate. Then, slowly and meditatively Player A beginsto play different vertical configurations of the notes of the minor pentatonic scale in theright hand, exploring the different sonorities possible. Player A does not improvisemelodically but rather simply by playing chord structures using the tones of the minorpentatonic. Once the atmosphere is established, Player B enters, improvising with theminor pentatonic scale, then related Aeolian or Dorian modes (choose one or the other,do not mix). B should strive to use variety of density and register, intervallic size, motivicdevelopment and sequences, and melodic cells.

Player A then creates a rhythmic groove (again, rhythmic templates a and b are ideal) asa launching pad (he or she can vary from this later) while continuing to play verticalstructures. B continues to improvise accordingly.

Exercise 3o

Aural skills application

This exercise proceeds similarly to 3n, except now, instead of specifying in advance theminor pentatonic to be used, Player A makes this choice on his or her own and Player Bmust find and improvise on the modal area by ear. After some time in one area (playingon one minor pentatonic scale and its related chords), Player A then moves to another,requiring Player B to once more adapt by ear. This random shifting from one area toanother may be done in time or out of time. Swap roles.

knowledge gained theoretically (e.g. improvising without prior knowledge of the harmoniesbeing used) provides yet another way of synthesizing this knowledge. This may be dauntingat first and result in what seem to be blind stabs at a modal (or tonal) area with little success.Here is a recommended approach for the improviser. First, find a single tone that soundsresonant with the harmony being played. Second, slowly move up and down a step fromthat tone in an attempt to delineate a small cluster of tones a step apart—hence a portionof a scale—that works. Continue in this way until you have found all or most of a diatonicscale that fits with the harmony sounding (the keyboardist should not shift modal or tonalareas until the improviser has had some success finding tones that work). At this point theimproviser can begin to play more florid lines, and explore larger intervals. While it may betempting to plunge in and play highly active lines, if the tones do not resonate with thebackground, the benefits and musical results of this exercise will be negligible.

Listening Resources: Time-feel-based Music with African and African-American Roots

The following is a very encapsulated list of recordings from jazz and its offshoots as well asother contemporary time-feel-based musical sources with African and African-Americanroots. In light of the sheer volume of recordings that are available from any one of thesehistorically important artists, let alone their collective inventory, this list is intended as onlya starting point for building your personal library of sources. One way to begin might be tosample and download specific tracks from various recordings, and then acquire entirerecordings from artists whom you find particularly compelling. What is most important isto embark on a regular program of engaged listening in order to internalize this essentialaspect of contemporary musical practice.


Exercise 3p

Compose/improvise aeolian and dorian melodies

Compose Aeolian and Dorian melodies using the principles specified above (motive andsequence, balance of leaps and steps). Have your partner play drone or open fifths atkeyboard, or create and record your own backdrop. Play composed melody and thenimprovise, creating at times as florid and dense a melodic texture as possible, usingmelodic cells and minor pentatonic scales.

Exercise 3q

Compose/improvise with minor pentatonic bass line

Proceed exactly as in Exercise 3p, except now create a minor pentatonic bass line as abackdrop for your melody and improvisation. You may need to adjust your melodysomewhat, or perhaps write a new one, in order to align with the bass line.

In the case of artists whose music spans fundamentally different style periods, such asJohn Coltrane and Miles Davis, multiple recordings are included. The list includes musicthat is based in two general types of time feel—even eighth note and swing—which we havenot yet differentiated from one another. Better to establish an aural foundation first and letthe analytical study follow.

Suggested Recordings

Cannonball AdderleyUltimate Cannonball Adderley (Verve 1999)

Geri AllenThe Gathering (Verve 1998)

Louis ArmstrongThe Ultimate Collection (Verve 2000)

Chet Baker, Stan GetzMy Favourite Songs—The Last Great Concert (ENJA 1988)

Art BlakeyThe Best of Art Blakey and the Jazz Messengers—The Blue Note Years (Blue Note 1988)

Jane Ira BloomMental Weather (Outline 2007)

Charlie ChristianThe Immortal Charlie Christian (Legacy International 2006)

John ColtraneBlue Trane (Blue Note 2003)A Love Supreme (Deluxe Edition) (Verve 2002; original 1964)The Best of John Coltrane (Atlantic 2005)

Chick CoreaInner Space (Atlantic 2005, original 1966)Play, with Bobby McFerrin (Blue Note 1992)

Celia CruzThe Best of Celia Cruz (Sergeant Major 2007)

Tadd DameronThe Complete Blue Note Recordings of Fats Navarro and Tadd Dameron (Blue Note 1995)

Miles DavisKind of Blue (Sony 1988, originally released 1959 Blue Note)Filles de Kilimanjaro (Sony 1996, originally released 1966)ESP (SONY, originally released 1965)On the Corner/New York Girl (Sony 1992)


Pachito D’RiveraReunion (Timba Records 2005)

Duke Ellington and Ray BrownThis One’s For Blanton (Pablo 1972)

Bill EvansAffinity (Warner Bros 1979)

Ella FitzgeraldElla Fitzgerald and Billie Holiday (Unlimited Media Gmbh 2006)Best of Ella Fitzgerald (Verve 1994)

Dizzy GillespieGreatest Hits (BMG 1972)

GuruJazzmatazz, Vol. 4: The Hip Hop Jazz Messenger (Grand Records 2007)

Herbie HancockThe Essential Herbie Hancock (SONY BMG 2006)

Dave HollandPoints of View (ECM 1998)

Freddie HubbardReady for Freddie (2004 Blue Note/Capitol, originally released 1961)Red Clay (SONY 2002, originally released 1972)

Thad JonesThad Jones Legacy, Vanguard Jazz Orchestra (New World Records 1999)

David LiebmanThe Elements: Water, with Billy Hart, Cecil McBee, and Pat Metheny (Arkadia 1999)

Bobby McFerrinPlay, with Chick Corea (Blue Note 1992)

Pat Metheny and Lyle MaysAs Falls Wichita, So Falls Wichita Falls (ECM 1981)

Charles MingusAh Hum (Sony 1993, originally released 1959)

Thelonious MonkThe Best of Thelonious Monk (Fantasy 2004)

Milton NascimentoAngelus (Warner Bros. 1994)

Charlie ParkerThe Complete Savoy and Dial Takes (Savoy 2002)



Hermeto PascoalAo Vivo (WEA International Inc. 2001)

Max RoachClifford Brown and Max Roach (UMG 2004, originally released 1954)

Sonny RollinsSaxophone Collosus (1987 Fantasy, originally released 1956)

Maria SchneiderEvanescence (Enja 1994)

Sarah VaughnThe Very Best of Sarah Vaughn (AML Records 2007)

Chucho ValdezBele bele en Habana (EMI 1998)

Kenny WheelerDeer Wan (ECM 1978)

Lester YoungLive at Birdland 1953 & 1956 (ESP Disk 2007)

Further Reading

Leroi Jones (Amiri Baraka), Blues People: Negro Music in White America. New York: Harper Collins/Perennial,1963.

Jeff Pressing, “Black Atlantic Rhythm: Its Computational and Transcultural Foundations.” Music Perception19: 3: 285–310, 2002.

SUMMARY QUESTIONS

1 To what part of the world can the roots of much time-feel-based music be traced?

2 Because of the importance of establishing strong rhythmic integrity, sharp, staccatoattacks are favored over connected, legato articulations in time-feel melodic lines.True or false?

3 What rhythm ratios are key in establishing time feel?

4 In time-feel improvising, we strive for both strong rhythmic definition (though notstaccato) and legato connected lines. True or false?

5 Name the notes of these pentatonic scales: Bb major, F minor, D minor, E major, B minor, D major, Bb minor, F# minor.

6 Any Dorian mode contains how many pentatonic scales?


7 Name the constituent pentatonic scales in these Dorian modes: E, B, F, A, F#, D, Ab.8 When configuring the notes of the minor pentatonic scale vertically to form chord

structures, only a few configurations uphold the minor pentatonic sonority andtherefore may be used. True or false?

chapter 4

Modality and Rhythm II:Small Group Framework

We are now ready for more collaborative work, which can greatly enhance the learningprocess. We will begin with a Call and Response framework for ear-training practice andalso as a way of helping us clarify our ideas, followed by additional rhythmic principles, andimprovising with a minor blues progression. We will then delineate a framework for smallgroup performance that may be used for much of the work in forthcoming chapters.

Call and Response

We begin with a practice called Call and Response that is prevalent in African music andmay be done with any number of individuals.The idea as we will apply it here is simple. Onemusician sings or plays a short phrase and the ensemble answers it collectively. This posesimprovisatory challenges to the caller, whose task is to create clear, coherent musicalstatements that are readily discernible and reproducible by the ensemble. This is not toprohibit the caller from challenging the ensemble at times with more involved lines,but simply to assert the need for clarity. By clarity, I mean the level of immediately discerniblecoherence in an idea. After a single iteration, a clear idea stands on its own as a kind of


• Work with Call and Response patterns.• Utilize more advanced rhythmic templates as melodic catalysts.• Improvise with Modal Etude #2 and a minor blues.• Introduce a framework for small group performance projects.• Begin to compose in modal and rhythmic frameworks.• Begin rhythmic training using principles from Indian music.

67Modality and Rhythm II

self-contained, complete statement that listeners can readily identify and, if the idea is largelydiatonic (our Call and Response work utilizes diatonic ideas), sing back with reasonableaccuracy. In the case of ideas that are either largely textural in nature (e.g. high-densityflurries, or pointillism) or employ significant chromaticism or intervalic leaps, listeners willbe able to replicate the basic gestures when the ideas are clear. The fact that in the presentframework the ideas will be in time—that is, they will be based in a pulse—will aid inensuring clarity. The ensemble is challenged aurally by this practice as it must reproduce theidea as precisely as possible. Neither caller nor ensemble is to use notated music; the ideasare generated on the spot by the caller and immediately replicated by ear by the ensemble.

We will begin with a variation of traditional Call and Response approaches that will aidin the clarity of ideas. This will involve the caller repeating the idea individually before theensemble responds. This helps ensure clarity of line because, if the line is unclear, it will bedifficult even for the caller to repeat it, let alone the ensemble.This simple practice, therefore,is yet another strategy to help us hear what we play instead of just letting our fingers leadwithout a solid aural foundation. Exercise 4a provides a format to develop this skill.

An expanded version of this format provides further aural development as it involvestransposing the initial idea by ear to a second key. While we are not concerned at themoment with connecting harmonic structures to our minor pentatonic phrases, we call theabove exercise a “two-chord” Call and Response format because it implies two differentharmonic areas.


Exercise 4a and Example 4.1

Call and response

A caller creates a one-bar minor pentatonic phrase, repeats it, then the ensemble repeatsthe idea twice. Tempo: quarter note = 80. Caller then moves on to a new idea.

Two-chord call and response

The caller proceeds exactly as indicated in Exercise 4a. However, after the ensembleresponds, the caller then transposes the idea down a whole step, and the ensembleresponds accordingly.

TRACK 9

TRACK 10

68 Modality and Rhythm II

Strategies for Generating New Ideas

Here are some strategies that will be helpful in generating a wide range of minor pentatonicideas. These may be of use as well with other kinds of scales.

1 Change directions and intervallic size: play upward shapes, then downward shapes.Use smaller and larger intervals.

2 Change rhythms.

Example 4.3 provides some rhythmic templates that may be helpful, and you can create yourown.

The following illustrations show melodic lines that are based on the templates. InExample 4.4, the melodic phrase developed from template a is repeated as it would be inthe above Call and Response format.

In Example 4.5, the same motive derived from template a is modified over time ratherthan repeated exactly; the rhythm is retained but the notes change. However, notice thatafter three iterations of the initial motive, the rhythm is also changed for the sake ofvariety. While adhering strictly to a single rhythmic template is an excellent drill, it is alsovaluable to take some time to vary the rhythms to achieve maximum musical interest.

The next exercise has you transpose your lines to other pitch levels moving around the cycle of fifths, at which point this creative activity also becomes an excellent ear-training drill.

Exercise 4b and Example 4.2

Exercise 4c

Minor pentatonic with rhythm template

Choose a minor pentatonic scale and a rhythmic template, and improvise differentvariations of the scale adhering to the rhythmic pattern. Then move through the othertemplates. An example is provided on the website.

TRACK 8


EXAMPLE 4.3

EXAMPLE 4.4

EXAMPLE 4.5


After working with these approaches for a while, you will notice that your ability toconsistently generate new ideas in Call and Response formats expands considerably. Ofequal or greater importance will be the benefits to your improvising abilities that come fromthis work.

Let us now turn to a small group performance format for improvising and composingwith time feels and modes. Example 4.6 presents a modal composition created in thisformat, and which may be heard on the website. A play-along track is also provided on theaccompanying CD.

Exercise 4d

Cycle of fifths

Transpose your minor pentatonic patterns up a fourth or down a fifth as you take itaround the “cycle” by ear (e.g. C, F, Bb, Eb, etc.).

TRACK 5

TRACK 2



EXAMPLE 4.6 Ed Sarath, Modal Etude 2 © 2008 Ed Sarath


The following are transposed parts for Bb and Eb instruments.


EXAMPLE 4.7


Exercise 4e

Form an ensemble

Practice with the play-along track 2 on the CD. Then form a small ensemble and playModal Etude 2 according to the above format (e.g. head (main theme), improvised soloson solo form, tutti ensemble section, and out head). It is not necessary to form a groupwith the same instruments as the ensemble on the recording; you can adapt these etudesto virtually any instrumental combination. In addition, even if not everyone playsimprovised solos on the recording, it is important that all members of your group haveturns as improvising soloists.

EXAMPLE 4.8


Mode-rhythmic Formats

The modal etude above is created within the parameters of what are called in this book“mode-rhythmic” formats. These are frameworks that combine modal and rhythmicstructures. The format may be used with virtually any combination of instruments andserves as a framework for developing a foundation in time-feel-based improvising andcomposing. The format consists of five basic parts.

First is the creation of a minor pentatonic ostinato pattern (which can either be playedas a bass line if a bass clef instrument is part of the group, or a treble clef line). You cancreate a two-chord or two-mode pattern by transposing it down a whole step (or up a minorthird, or half-step).

Second is the composition of a melody that is to be played above or below the ostinatopattern. This melody will be considered as the main theme, or what is referred to in jazz asthe “head.”

Third involves ensemble members taking turns improvising atop the ostinato pattern.Here is where everyone will have the opportunity to begin developing their 2:1 and 4:1lines, using inflections, motivic development, and other devices that are important in time-feel-based music.

Fourth involves the composition of a more florid, tutti-like ensemble line that the entireensemble will play in unison (or octaves, as necessitated by the instrumentation). In ModalEtude 2, this is the section that comes after the solos. While the head will tend to be moresymmetrical, lyrical, and most likely less active—in other words, the head is more likely tobe a melody that one might hear and easily repeat while walking down the street—the tuttilines are meant to sound as if they are improvised, even if in fact they are composed andnotated. The purpose of the tutti lines is to allow everyone, through the temporallydiscontinuous act of composition—where one can pause, reflect upon, and alter ideas—toattend more directly to melodic line construction that embodies the 2:1 and 4:1 rhythmicvalues that are important to time-feel-based improvisation.

Accordingly, you are encouraged to write tutti lines that are virtuosic in nature; this willnot only add an exciting ensemble component to the music, but it will also stretch yourhorizons. The interplay of composing active tutti lines and improvising with the intentionof being able to spontaneously create compelling lines will promote optimal development.

Fifth is the restatement of the main theme, which when recurring is called the out head.In summary, the performance format begins with the ostinato pattern, then the head

(main theme) enters, which is followed by improvised solos by all ensemble members, thenthe tutti or soli section that is played by the ensemble in unison or octaves, and finally theout head.

Creative variations are also possible. A non-pulse prelude may precede the openingostinato. This can be effective in setting up the pulse. The tutti section may precede theimprovised solos instead of following them. The ostinato need not be played by the sameperson as a backdrop for all of the improvised solos. Having different people play thebackground for different solos will provide variety. Generally, only one person need playostinato during the solos unless a heavier effect is desired. It is not necessary for the ostinatoto continue throughout the entire solo section. Some variation of the ostinato may becreated that still upholds the pitch and rhythmic foundation.


At this point in the course, all students should be part of a small ensemble of betweenthree and six members that meets on an ongoing basis. An ensemble can consist of virtuallyany combination of instruments. While time-feel-based music typically involves some com-bination of rhythm section instruments (drums, bass, piano, or guitar) and single-line melodyinstruments (saxophone, trumpet, violin, flute), it is likely that many classes will not haveenough rhythm section players to go around. While this is challenging, it also forces us to diginto our creative reservoirs and come to an important realization: every instrument (includingvoice) has the capacity to be strongly rhythmic. Moreover, interesting timbres can resultwhen time feels are played with unconventional instrumentation, which poses exciting rami-fications for musicians in chamber ensembles (e.g. string quartets and woodwind quintets)who seek to move between and synthesize European classical repertory and influences andAfrican-influenced time-feel-based approaches. Finally, all ensemble members are encour-aged to acquire one or more hand percussion instruments, such as eggshells, tambourine,hand drums, shakers, that enable them to contribute to the groove when not playing.

Minor Blues

In addition to the two-chord vamp, another structure that serves our purposes well in addi-tion to being prevalent in the musical world is the minor blues. The blues—which comesin a variety of forms (both major and minor)—has a long and rich history, evolving fromfield hollers, work songs, spirituals, and other primarily African-American practices. Thebasic structure of the blues, which commonly undergoes considerable variation, is generallythought of as consisting of three chords or harmonic structures—I, IV, and V7—thatroughly conform to the framework outlined in Example 4.9.These Roman numerals, whichwe will go into extensively in subsequent chapters, designate the intervallic relationship ofharmonic structures (in this case minor pentatonic scales) and the tonic or root tone of agiven key. Thus, in the key of C, the root structure on I is C, on IV (up a fourth from C) isF, and on V is G. Here is a basic form of the blues.

I I I I IV IV I I V IV I I :

Example 4.9 applies a minor pentatonic bass line to the above structure.Thus, in bar five,the pattern moves up a fourth to uphold the function designated by IV (a fourth above I);the pattern moves up yet another step (hence, a fifth above I), to function as V. While bluescan be in major or minor keys, here the minor pentatonic sonority established in the bassline and then upheld in the melody as well makes this a minor blues.

Exercise 4f

Mode-rhythmic framework

Create a mode-rhythmic framework as described above and prepare it for classroomperformance.


When improvising on this progression, one can use the minor pentatonic scales of thebass line: D minor pentatonic on I; G minor pentatonic on IV; A minor pentatonic on V.Since these scales share many common tones, if one improvised on the entire progres-sion with just the D minor pentatonic scale, the resultant note choices would be acceptablein terms of aligning with the bass line. Let us explore diatonic scale options for the sakeof variety. It is advisable to look at the progression as a whole and, instead of thinking ofusing different scales or modes in each harmonic area, first see if there are scales that may work for large sections of the progression. Here D Aeolian stands out; it can basicallybe used over all the areas, even if the area of V upheld by the A minor pentatonic may more strongly suggest the use of B natural, which would contrast with the Bb of the D Aeolian.

Other options are possible. For instance, D Dorian indeed provides that B natural. ButD Dorian would have to give way to a new scale on harmonic function IV, where the Gminor pentatonic scale includes a Bb. Nonetheless, the shift from D Dorian to G Dorian,which would be the most logical choice here, can be very effective. As you play on the nextprogression, try both of these options.

Example 4.10 adds a melody atop the above bass line to provide a minor bluescomposition that you can play in your small ensemble. While the Roman numerals suggestspecific chords that can be played by pianists or guitarists with each change in the bassline, interesting harmonic accompaniments may be created in this piece, regardless of one’s fluency with chords, by deriving vertical structures from the minor pentatonic scalesindicated. As we saw in the previous chapter (review Example 3.9), virtually any con-figuration of the minor pentatonic scale yields structures that bring out the sound of thescale and will thus fit with a minor pentatonic bass line such as is found in this piece.

TRACK 3

EXAMPLE 4.9


EXAMPLE 4.10 Ed Sarath, Minor Blues © 2008 Ed Sarath

Exercise 4g

Minor blues

Practice with the play-along track on the CD. Then play the minor blues in your smallgroup with all group members improvising several choruses (a chorus is one time throughthe form) on the form. Compose a tutti, quasi-improvised line on the progression to beplayed either before or after the improvised solos and prior to the out head.


Let us conclude this chapter with a further set of rhythmic activities that will greatlycomplement time-feel-based improvising.

Indian Rhythmic Practices

The following rhythmic exercises apply principles from Indian music, in which some of themost sophisticated rhythmic practices in the world are found. The drills have you chant thesyllables indicated, and clap the cross-rhythms which are indicated by accents above andbelow the syllables. While it must be emphasized that the exercises represent but a limitedadaptation of certain Indian principles to Western formats, and thus barely scratch thesurface in terms of any sort of substantive study of Indian rhythmic practices, they can bequite helpful in developing your sense of internal pulse, polyrhythmic skills, and the abilityto work with metric cycles other than those based in four or three. You will also find thatthe syllables can be helpful when it comes to playing 2:1 and 4:1 improvised lines in time-feel formats.

At the heart of the practice is a kind of solfege system used in Indian music, in whichcertain syllables are used to designate particular groupings of notes:

Ta = 1Ta ka = 2 (tah kah)Ta ki ta = 3 (tah kee tah)Ta ka di mi = 4 (ta ka dee mee)Ta di ki ni thom (or ta) = 5 (tah dee kee nee tah)

Practice chanting the different patterns, repeating each pattern at length. Infinitepossibilities emerge through the combination of these syllables. For instance, a beat cycle

Exercise 4i

Assorted time feels

Use recordings from the listening resources listed at the ends of Chapters 1 and 2, as wellas other time-feel music you encounter, as inspiration, and create as large and diverse acollection of time feels as possible. Create ways of notating them and if possible recordthem. The samples may be brief, even just 30–45 seconds in length.

Exercise 4h

Minor blues composition project

Compose a minor blues progression, melody, and a tutti passage as specified in the aboveformat. Prepare to perform in class with small group.


of seven can be achieved by combining 2+3+2 (Ta Ka Ta Ki Ta Ta Ka) or 4+3 (Ta KaDi Mi Ta Ki Ta) or 5+2 (Ta Di Ki Ni Ta Ta Ka). A beat cycle of 13 can be achieved inmany more ways: 4+5+4 (Ta Ka Di Mi Ta Di Ki Ni Ta Ta Ka Di Mi), or 5+5+3, or4+3+5+2, etc.

Below is an exercise that adds accents, to be clapped, atop a seven-beat chanted cycle. Asyou do these drills, let your body be relaxed and fluid rather than stiff. Recall the axiomstated above when it comes to rhythm: rhythm flows through the whole body. Do not beflat-footed when you practice these activities; stand on the balls of your feet, allowingyourself to be buoyant. And when you chant the syllables, do so with gusto!

> > >> > > >TA KA DI MI TA KI TA :

> >> > > >> > >

Here is an illustration of how these syllables may be applied to contemporary Westernformats. Example 4.11 shows the bass line used in the above minor blues, with the corre-sponding rhythmic syllables that delineate the phrasing of this bass line. Each syllablerepresents a sixteenth note. Thus, two syllables will sound on each eighth note in the bassline. While the tie between beats 2 and 3 of the measure is not respected in the chantedsyllables, the syllables nonetheless nicely capture rhythmic phrasing and feel of the line, asthe recorded selection indicates.

Exercise 4j

Beat cycle

Create your own beat cycle and subdivisions and chant the corresponding syllables.Repeat the cycle at length so that it falls into a solid groove.

Exercise 4k

Seven-beat cycle (4 + 3)

Repeat the cycle indefinitely, first just chanting the pattern before adding the clappedaccents. Five lines of clapped accents are included, two above and three below thesyllables. Repeat each accented line eight times before proceeding to the next line.

TRACK 6

TRACK 7


Further rhythmic exercises are given in Appendix 3. The following section describes howto integrate rhythmic training into the small ensemble performance format that will becentral to this class.

Small Group Ensemble Performance and Project Format

A recommended strategy for this course is to have each class begin with small ensembleperformances and projects. For instance, in a class of 30 students that meets twice a week,six quintets could be formed, and if two groups performed at the beginning of each class,

Exercise 4l

Eighth-note solidification drill

Take turns chanting the syllables while someone else plays or sings the bass line. Thenimprovise on the D minor pentatonic or D Aeolian modes using the syllables as a kind ofrhythmic template. This is an excellent way to begin generating and sustaining eighth-note lines.

Exercise 4m

Eighth-note solidification drill

Here is another bass line with different rhythmic subdivisions to be approached as above.

EXAMPLE 4.11


every group and every student would have the opportunity to play every fourth class.Naturally, many other approaches are possible, and instructors are encouraged to come upwith the format that is ideal for their particular situation.

If this suggested approach is adopted, it can be further broken down so that each smallgroup performance will consist of three parts. First, the ensemble begins with one of theIndian rhythmic drills (additional exercises are found in Appendix 3). Second, the ensembleperforms an aural transposition drill, taking a short pattern (two to four bars) and playingit by ear in all keys. The instructor may specify the pattern, or students may create theirown. It cannot be emphasized strongly enough that whatever pattern is used, it must bemelodically clear and coherent. Weak patterns not only tend to be extraordinarily difficultto aurally transpose, but they ingrain poor melodic conception in the ears and fingers.Third,the ensemble presents a mode-rhythmic composition, as outlined above (be sure to includethe five components), in which each group member improvises.

Preparation for the performances is to be done outside of class. During class, the entireperformance can be done in 10–15 minutes, including time for class feedback.

SUMMARY QUESTIONS

1 Self-assessment: assess your 2:1 and 4:1 lines in your improvising. Are you able tosustain compelling lines?

2 Record yourself, or reflect on how you sound. How authentic is your conception oftime feel? Ask your friends to help evaluate your “time-feel chops.”

3 How is mastery of musical time feels similar to mastery of spoken language?

4 How does mastery of time feels differ from mastery of spoken language?

5 Who are some of your favorite improvisers when it comes to playing over timefeels? What are some exemplary recordings or particular tracks?

chapter 5

Basic Tonal Materials:Triads and Seventh Chords

Up until this point our improvising has involved minimal pitch constraints, with the two-mode framework in Modal Etude 2 being the most elaborate. Tonal music, involving chordsand chord sequences that may move freely from one key area to the next, presents differentkinds of challenges as well as creative opportunities for improvisers. This is in no way tosuggest, however, that tonality is inherently more sophisticated or creative than modality,and that our primary interest in modal frameworks is as an entry point to tonality. Indeed,in some forms of what is characterized as modal jazz, highly elaborate structures are foundthat move freely and frequently between highly disparate modal areas. Moreover, contem-porary jazz artists and others make interesting blends of tonal and modal approaches, hencecalling for fluency with both kinds of pitch structures. Although beyond the scope of thisbook, an interesting point for historical reflection is the fact that whereas in Europeanclassical music tonality evolved out of modality, modality in jazz emerged only after a goodhalf-century of tonal jazz. Accordingly, the use of modal formats prior to tonal formats inthis book is consistent with our general proclivity to approach the past through the lens ofthe present.

What do we mean by tonality? Whereas modal music, as it is conventionally defined,generally involves entire passages or pieces that are centered in a single scale or mode, tonalmusic is based in the use of chords and chord sequences that create movement within andbetween key areas. As we will see, different chords, according to their intervallic structures,uphold different functions in tonal music—hence the phrase “functional harmony” that is


• Introduce triads and seventh chords in root position and inversions.• Begin a systematic approach to keyboard realization practice.• Fortify our command of chords and modes.

often used to describe tonal chord progressions. Some chords are stable, functioning moreas target chords or arrival points. Here we can draw parallels to our prior consideration ofmelodic target notes. Other chords are less stable and, in suggesting movement or resolu-tion to the next chord, uphold more of a passing function. And of course, context isparamount—a chord that functions as a target chord in one instance may serve more of apassing role in another. These and many other facets of tonality—which is unique to theWest—appear in European classical music, jazz, popular music, folk music, and much musicof the Caribbean and South America. A secondary dominant chord functions the same wayin Bach as it does in Ellington.

Before exploring harmonic functions in greater depth, which will be our focus in the nextchapter, we first need to gain a grasp of the different kinds of chord structures that areavailable.

Triads

Triads are three-note chords consisting of a root tone, a note an interval a third above theroot, and a note a fifth above the root. We call these the root, third, and fifth of the chord.Example 5.1 illustrates four primary types of triads, which can be distinguished from oneanother according to their respective intervallic relationships.

Example 5.2 shows triads built on the seven steps of the C major scale, which is achievedby simply stacking notes in thirds atop each scale tone. Notes of triads fall either on all linesor all spaces, which is characteristic of all chords aligned in thirds. Three types of triads arefound which are diatonic—that is, whose notes are derived from the key, requiring the useof no accidentals—to a major key: major, minor, and diminished. In every major key,therefore, the diatonic triad built on the tonic note, indicated by the Roman numeral I, willbe a major triad. Similarly, the diatonic triad built on II will be minor, on III minor, on IVmajor, and so on.

The chord symbols are listed above each triad (e.g. C, Dmin, Emin, etc.), indicating itsroot, and by an abbreviation, its quality (whether it is major, minor, diminished, oraugmented). Minor is indicated by min, diminished by dim or just 0, and augmented by augor +. In the case of major triads, no abbreviation is necessary; the letter name of the triadby itself will suffice to indicate that the quality is major.

Notice the two systems of Roman numerals provided beneath the triads; we will discussthese shortly.

85Basic Tonal Materials

EXAMPLE 5.1

86 Basic Tonal Materials

Keyboard Fingerings for Triads

Example 5.3 shows how triads may be easily fingered at the keyboard. Play the chord withyour right hand, placing your thumb on middle C. Middle C is the white key to the left oftwo black keys at the middle of the keyboard. Chords played in this central range of thekeyboard provide the best sonority when accompanying bass and melody added by otherinstruments.

EXAMPLE 5.2

C Major Triad: C E G

EXAMPLE 5.3

Exercise 5a

Keyboard exercise: triads

Choose a major scale you are comfortable with, other than C major. Slowly play triadsup and down the scale. Sense the different qualities of the different triads, and thatsome seem more stable while others seem to want to resolve.


Seventh Chords

Seventh chords are four-note structures attained by simply adding another tone a thirdabove the fifth of the triad—or a seventh above the root. Hence seventh chords consist ofa root, third, fifth, and seventh. We will later use this same procedure to create ninth,eleventh, and thirteenth chords. Example 5.5 illustrates the five basic types of seventhchords (additional types will be considered later) as well as the contemporary chord symbolsthat are used to indicate these chords. These are: major seventh, minor seventh, dominantseventh, half-diminished seventh, and fully diminished seventh chords.

C half-diminished seventh is the same as Cmin7(b5) and in contemporary chordnomenclature is more commonly indicated as the second of these. It is important to know

Exercise 5b

Triad spelling

Spell (name the notes of) these triads (notice the use of different labels at times, such asaug and + for augmented): Fmin, Edim, A, C#min, Ddim, Gaug, Gb, C+, Abmin, F#, D, Bmin,Db0, E, D#min, Ab+, C#.

Exercise 5c and Example 5.4

Names of the notes

Write the names of the notes on top of each of the following triads.

Exercise 5d

Two-person drill

Player A plays or sings a tone which is designated as the root of the triad and indicatesthe name of the root tone as well as the quality of a triad that is to be sung (e.g. he/shestates “A major” and then sings or plays A). Player B not only sings the tones, but in sodoing also names the notes (e.g. sings tones and names “A C# E”).


that they are synonymous however. Notice also the use of the circle with the slash throughit as opposed to the unmodified circle of the fully diminished seventh chord.

Example 5.6 illustrates the diatonic seventh chords of the major scale. Four of the fivetypes of seventh chords shown above are seen. Which chord is absent?

Keyboard Fingerings for Seventh Chords

Example 5.7 illustrates finger positions for seventh chords.

EXAMPLE 5.5

EXAMPLE 5.6

C Major 7 Chord: C E G B

Litt

le

Mid

dle

Ind

ex

Thu

mb

th

EXAMPLE 5.7


Two Roman Numeral Systems

As Examples 5.2 and 5.6 illustrate, two kinds of Roman numerals are used to designate thefunctions of the different triads and seventh chords. We will use the upper case Romannumerals when we analyze jazz and popular music, and the combination of upper and lowercase when we analyze European classical music. The reason for the two different systems

Exercise 5e

Keyboard exercise: seventh chords

Choose a major scale you are comfortable with, other than C major. Slowly play seventhchords up and down the scale. Sense the different qualities of the different chords, andthat some seem more stable while others seem to want to resolve.

Exercise 5f

Seventh chord spelling

Spell (name the notes of) these triads: Bbmin7, A07, Bmaj7, C#7, Dmaj7, Gbmin7.

Exercise 5g and Example 5.8

Chord symbols

Write the proper chord symbol above these seventh chords.

Exercise 5h

Seventh chord singing

Your partner plays a tone as the root of the seventh chord and indicates the name of theroot tone as well as the quality of a triad that you are to sing. You sing the tones andthe names of the notes.

is to maintain consistency between Roman numerals and the two types of chord symbolsused in the two traditions. Contemporary chord symbols as used in jazz and popular musicconsist of a letter name followed by the quality of the chord; in the case of major triads, theletter name itself will suffice. The counterpart to contemporary chord symbols in Europeanclassical music is the figured bass line, which consists of a bass line and Arabic numeralfigures to indicate the inversion of the chord and any notes to sound above the bass notebeyond those of the basic triad (generally nothing beyond the seventh is included).Musicians in the baroque era improvised atop figured bass lines much as today’s jazz andpop musicians improvise with contemporary chord symbols. We will therefore align our useof Roman numerals, respectively, with these two chord symbol systems. When we analyzejazz and popular music, the Roman numerals we use to designate chord function and qualitywill be upper case and, as with the chord symbols themselves, followed by the quality of thechord and the extension included. When we analyze European classical music, we will usea combination of upper and lower case. Major quality chords will take upper case; all otherswill take lower case.

While at first it may seem rather unwieldy to learn two systems, this will ultimately notprove too difficult when our analytical work is integrated with our improvisatory work andthe respective chord symbols utilized. Moving back and forth between the systems will aidin our understanding and appreciation of the common ground and distinctions betweenthese two rich tonal traditions.

As we will see in Chapter 12, the use of figures is ideal for indicating inversions of chords,which is a predominant aspect of European classical harmony. While chord inversion is alsofound in jazz/pop to a much lesser degree, the more prominent and distinguishing feature,particularly in jazz, is the use of chord extension. In jazz, particularly in the past half-century or so, triads are rare, and while lead sheets typically indicated seventh chords, theseare more often than not extended to the ninth and beyond. In order to promote fluencywith the systems, as well as to help illuminate commonalities and distinctions between thesetwo tonal systems, we will at times in our study of Euroclassical repertory applycontemporary chord symbols, and conversely also reduce jazz/pop progressions to figuredbass lines.

Inversions

Triads and seventh chords can be played or “voiced” in a wide variety of configurations. AsExample 5.9 illustrates, when the root is in the lowest voice or position, this note is calledthe bass; the chord is in root position. For the sake of variety or particular kinds of voice-leading movement, other notes of the chord (called chord tones or partials) may be placedin the bass voice; this is called inversion. The different kinds of inversion correspond towhich chord tone is in the bass. When the third of the chord is the lowest or bass voice, thechord is in first inversion. When the fifth is in the lowest position, the chord is in secondinversion. When in the case of seventh chords the seventh is in the lowest voice, the chordis in third inversion. Later we will consider the role of inversions in creating melodic motionwithin a sequence of chords. For now, it will suffice to be aware of the various possibilities



regarding how chords may be configured and to begin to become fluid with theseconfigurations when we play chords at the keyboard, write them, and analyze them. Noticein the chord symbols the use of the slash (/) after the root, and to the right of the slash, thenote of the chord that is in the lowest voice.

Example 5.10 illustrates another way of analyzing root position, first inversion, andsecond inversion structures, involving Arabic numerals to designate the intervals of eachchord tone atop the lowest chord tone.

Root position triads will therefore have notes a third and fifth above the lowest note;because that tone is the root means that the chord is in root position. First inversion triadshave tones a third and a sixth above the lowest note; second inversion triads have tones afourth and a sixth above the root.The Arabic numerals used to designate the intervals abovethe lowest note (which need not be the root) are the “figures” that appear with bass lines infigured bass practice. They also follow Roman numerals in analysis of European classicalmusic to indicate inversions.

Let us now look at the inversions of seventh chords. Example 5.11 illustrates seventhchords in the various positions that are possible. Because of the additional tone, a thirdinversion is possible, where the seventh is the lowest note in the voicing of the chord thatis naturally not available with triads. Observe also the figures that are indicated which willbe used in analysis of European classical repertory.

EXAMPLE 5.9

EXAMPLE 5.11

EXAMPLE 5.10


EXAMPLE 5.13

Close Position and Open Position or Spread Voicings

The chords in the above exercise are in close position, which means that there are no spacesbetween any two voices in which another chord tone might be placed. Open positionchords—also called spread voicings—are those in which the notes of the chord are spreadout, which can produce a more resonant and expansive sound. Example 5.13 illustrates this.

Notice that even with the same chord symbol, chords may be voiced in very different wayswhen it comes to the use of close and open position. The two Cmaj7 chords in the followingexample, one in close position and the other in a spread voicing or open position, illustratethis. The first of the two Cmaj7/G chords shows that close position is possible even whenchords are inverted.The second shows the same chord in open position voiced with intervalsof sixths and a seventh between notes; even larger intervals will sometimes be found in thebass clef between the bass note and the next lowest chord tone. While inversion is indicatedin chord symbols, whether or not the chord is in close or open/spread position is not.

Example 5.14 shows an inverted chord whose notes are spread out through treble andbass clefs, thus making it challenging to determine the root of the chord, let alone theinversion. Nonetheless, there is a simple way to make both kinds of determination.The firststep is to arrange the notes of the chord in thirds; the note at the bottom will be the root.When we align the notes of the chord configuration on the left in thirds, we identify thechord as an Fmaj7 chord, but since note A and not F is in the bass, we recognize the chordas being in first inversion, indicated in this case as Fmaj7/A.

Exercise 5i and Example 5.12

Chord identification

Identify these chords by writing the contemporary chord symbol atop each chord.Indicate inversions where applicable (e.g. Gmaj7/D).


EXAMPLE 5.14

Exercise 5j and Example 5.15

Scrambled chord identification

Identify and provide the correct chord symbols for each of these chords. Observe that,even if the notes are spread out, some are in root position because the root is the lowestvoice (at the bottom). Others are spread out but some note other than the root is thelowest voice; in such instances the inversion must be indicated.

Scrambled chord identification

Continue with these chords, which are voiced in two staves. Remember to stack in thirdsto determine the root, after which the proper inversion will be readily identifiable.


Exercise 5k and Example 5.16

Exercise 5l and Example 5.17

Write out chords

Write down each of the chords, which are listed here in root position, in at least threedifferent inverted configurations (e.g. as in Exercise 5k). Of the three invertedconfigurations, one should be in close position; the other two should be spread or openvoicings that span two clefs. Adjust the chord symbol accordingly atop eachconfiguration to indicate the proper inversion used (e.g. Abmaj7 becomes Abmaj7/Eb).

Abmaj7 E7 Dbmin7 Dmaj7/A G7 Gm7(b5) B07 Gbmin7/Bb Bmaj7C#min7(b5) Gb07 Ab7


Keyboard Realization

There is no more effective way to develop an understanding of tonality than to realizeharmonic structures at the keyboard, where we can experience the sound and feeling ofparticular chords and progressions, as well as gain analytical understanding of them.Combined with the various improvising, composing, aural training, rhythmic exercises, andanalyses that comprise this course of study a truly formidable kind of mastery is possible.

The keyboard exercises in this book are designed for musicians who have had little or nocontact with the keyboard. While it is ideal that students take the basic keyboard class thatis required of most music majors prior to or concurrently with this course of study, it ispossible to fully engage with and derive benefits from the exercises even without thisconcurrent or prior training.

Seminal Keyboard Project 1

Play major seventh chords around the cycle of fifths at the keyboard as indicated in thispattern (e.g. Cmaj7-Fmaj7-Bbmaj7-Ebmaj7, etc.). Your task is to continue the patternwithout notating the chords. Two versions are provided: one (A) in which there is greatermovement between voices and hand position when moving from one chord to the next,and the other (B) involving smoother motion. You are encouraged to utilize format B assoon as you are comfortable doing so, since it is musically more desirable. However, youmay use format A at first, since it facilitates getting the correct notes under your fingers.Do not be concerned that the bass line leaps up a fourth or down a fifth moving fromone chord to the next; this is not only inevitable with this kind of root movement, it ismusically satisfying. Use the fingering format provided in Example 5.7.

Variation: Improvise a vocal line while playing the keyboard, using the exact samerhythm of the keyboard part. In other words, your vocal rhythm will match the keyboardrhythm. You can sing just one note per chord, and then change vocal notes when thechord changes. It is neither necessary nor encouraged that you try to be consciouslyaware of what chord tone you happen to sing; this is a purely aural exercise thatconnects the voice with the keyboard realization process. This is an ideal format to utilizethe hearing in advance technique first introduced in Chapter 1: on each chord, try toaurally anticipate the next note you will sing.

SEMINALKEYBOARDPROJECT 1


A further word about the use of the keyboard in this chapter and the remainder of thebook. The above format is one that will be central to both our keyboard realization of chordprogressions and written realizations of these progressions. The very four-note structure weplay in the right hand at the keyboard, which is generally in treble clef range, and a singlebass note (either the root, or if the chord is inverted, some other tone) in the bass clef, willbe the basis for how we proceed in our written work. From this foundation, we will alsoexplore other configurations of chords that can be uniquely applied through writtenformats.

Root position chords (chords in which the root is in the bass) will be our focus at thekeyboard for the following few chapters, for two reasons. One has to do with one of thebasic principles underlying this approach to musicianship, that of the contemporary entrypoint. We approach the past through the lens of the present. Therefore, given the twoprominent tonal music traditions in the musical world, our initial forays into tonality arethrough jazz and pop practice. Because jazz, moreover, provides us with a more elaborateand systematized harmonic system (which includes almost everything found in popularmusic, whereas the reverse does not hold), we will adopt a jazz-oriented approach. Andbecause jazz, particularly in what might be called its “common practice” period(1935–1960, not to be confused with what for many is the more familiar Euroclassicalcommon practice period of around the seventeenth to nineteenth centuries), is largely aroot-position music, which will be our orientation in this phase of musicianship training.As stated earlier in this chapter, whereas central to the richness of European classicalharmony is the use of inversion to yield melodic tapestries through which underlyingharmonies are able to unfold; central to the richness of jazz is the extensive use of chordextension and frequent harmonic movement between close and distant tonal regions,which make possible different kinds of melodic tapestries. The latter practices arefacilitated by root-position harmonies.

A second, highly practical reason extends from this approach. This involves the hands-on application to which this approach is conducive, whereby focus on root-positionharmonies in diatonic and non-diatonic contexts enables a kind of basic fluency withharmonic structures and functions that will enhance engagement with inversions and the various more advanced structures found in both jazz/pop and European classicalrepertory.

Exercise 5m and Example 5.18


Fortification Exercises: Aural and Analytical

Here are a few more drills that will greatly assist in gaining fluency in chord spelling (thefinal set will also fortify knowledge of the modes). It is not recommended that you completeall the exercises in each section before proceeding to the next, nor that you complete all theexercises in this chapter before proceeding to the next (unless you find yourself so absorbedand enthralled by them that you cannot help yourself!). Better to spend some time in eachsection and identify the ones that are particularly challenging and then chip away as youmove forward. As with the aural transposition work begun earlier in the book, if youestablish as part of your regular routine the habit of devoting some time to these kinds offortification drills, you will be well on your way to gaining the fluency required. You can beworking on material several chapters from this one and return to these exercises until youhave completed all of them. Moreover, particularly with the ear-training work, it may takefurther keyboard work and other kinds of activity to make breakthroughs in this realm.Clearly, some form of ear training should be part of your daily routine; however, if you findyourself entirely stymied by one or more of the above exercises, you may return to it.

This advice is predicated on an important assumption, however, which is that you haveachieved a basic level of understanding of the chord structures we are dealing with. Even ifit may take you a moment to spell a given chord, if you have a basic grasp of the principlesinvolved (e.g. the difference between Ab7 and Abmaj7) then you may move forward andreturn to these exercises to gain added fluency. But if you are finding that you havesignificant gaps in basic chord spelling, then it is advisable to spend more time on thesedrills.

Exercise 5n

Ear training with a partner

Player A plays different kinds of seventh chords (minor 7, major 7, dominant 7) at thekeyboard in root position. B identifies the chord type.

• Variation: B sings the chord tones.

Exercise 5o

One-person ear-training/vocal exercise

This is a modified version of the second part of Exercise 5j that can be practiced on yourown and yield considerable benefits. Sit at the keyboard and play random triads andseventh chords and sing the notes of each chord (without arpeggiating the chords).When you start to gain proficiency at this, try playing the structures with a single staccatochord and see if you can retain the pitches in your ear and reproduce them vocally.


Modes

Let us extend upon our work with modes that began in Chapter 2. The following examplewill refresh your memory.

Chords may be thought of as vertical structures within pitch regions, while scales ormodes may be thought of as horizontal structures within pitch regions. When we improviseon chord progressions (beginning in Chapter 6), we will correlate particular modes/scaleswith particular chords. Fluency with modes will thus be important to this work. Example5.19 lists the seven diatonic modes and correlates them, using Roman numerals, with a scaledegree of the major scale. It will be important to learn these correlations: the Ionian modeis built on I of major, Dorian on II, Phrygian on III, Lydian on IV, Mixolydian on V,Aeolian on VI, and Locrian on VII.

Modemaster Drills

Modemaster drills are a form of “musical gymnastics” designed to help further fortify yourcommand of basic tonal materials. The procedure is simple. A mode is specified as well as

Exercise 5p

Ear training

Player A plays or sings a tonic note, and then specifies a chord to be sung atop that note.Player B sings the tones of the chord.

Exercise 5q

Variation

Player A plays or sings a note other than the root and indicates what chord tone it is ofthe chord. Player B sings the remaining notes.

EXAMPLE 5.19


a scale degree, and you are asked to name the diatonic triad or seventh chord that is builton that degree of the mode. The term “diatonic” simply means that the triad or seventhchord will comprise the notes of the mode specified (similarly to when we derived triadsand seventh chords from the major scale). This may be done by simply stacking notes inthirds above the specified degree of the mode. For instance:

“Name the diatonic triad built on the fourth degree of a D Dorian scale. Provide thenames of the notes as well.”

Response: G major triad. Notes: G-B-D.

Analysis: Recall that the D Dorian mode is built of the notes of the C major scale. G isthe fourth degree of the D Dorian mode. When we stack notes atop G in thirds usingthe notes of D Dorian (from key of C), we get G-B-D.

Another case:

“Name the diatonic seventh chord built on the second degree of an F Aeolian scale.Provide the names of the notes as well.”

Response: Gmin7 (b5) (or G half-diminished 7 chord. Notes: G-Bb-Db-F.

Analysis: F Aeolian is derived from Ab major.The second degree of F Aeolian is G. Whenwe stack thirds on G, using the notes of F Aeolian (or Ab major), we get G-Bb-Db-F, orGmin7 (b5).

If you spend a few minutes a day on the following drills, you will rapidly developformidable command of your triads, seventh chords, and modes. This ability will beinvaluable when it comes to a wide array of musical activities: keyboard work, analysis,harmonization, improvisation, composition, arranging, conducting, transposition.

Triads

The diatonic triad built on the:

1. third degree of D Dorian is “F major” Notes “F, A, C”

2. second degree of A Aeolian is _____________ Notes __ __ __ __

3. fifth degree of F Mixolydian is _____________ Notes __ __ __ __

4. seventh degree of E Lydian is _____________ Notes __ __ __ __

5. fourth degree of Bb Locrian is ______________ Notes __ __ __ __

6. sixth degree of A Dorian is ________________ Notes __ __ __ __


Exercise 5r

7. third degree of Ab Phrygian is _____________ Notes __ __ __ __

8. second degree of D Lydian is _______________ Notes __ __ __ __

9. fifth degree of B Dorian is ________________ Notes __ __ __ __

10. seventh degree of Eb Aeolian _____________ Notes __ __ __ __

11. fourth degree of C Lydian is ______________ Notes __ __ __ __

12. seventh degree of A Phrygian is ___________ Notes __ __ __ __

13. fifth degree of F Mixolydian ______________ Notes __ __ __ __

14. fourth degree of G Locrian is ______________ Notes __ __ __ __

15. seventh degree of E Lydian is _____________ Notes __ __ __ __

16. fifth degree of Cb Dorian is _______________ Notes __ __ __ __

17. third degree of Ab Mixolydian _____________Notes __ __ __ __

18. sixth degree of F# Lydian is _______________Notes __ __ __ __

19. second degree of F Phrygian is _____________Notes __ __ __ __

20. fourth degree of B Mixolydian _____________Notes __ __ __ __

Seventh chords

The diatonic seventh chord on the:

1. third degree of A Dorian is ________________ Notes __ __ __ __

2. seventh degree of Ab Lydian is _____________Notes __ __ __ __

3. fifth degree of A Lydian is _________________Notes __ __ __ __

4. second degree of Eb Aeolian is _____________ Notes __ __ __ __

5. fourth degree of B Dorian is _______________ Notes __ __ __ __

6. sixth degree of Bb Mixolydian ______________Notes __ __ __ __

7. fifth degree of Eb Lydian is ________________Notes __ __ __ __

8. seventh degree of Eb Dorian is _____________ Notes __ __ __ __

9. second degree of Db Lydian is ______________Notes __ __ __ __

10. fourth degree of E Mixolydian is ___________ Notes __ __ __ __


Exercise 5s

11. sixth degree of Ab Dorian is _______________Notes __ __ __ __

12. seventh degree of Db Phrygian is ___________Notes __ __ __ __

13. third degree of D Locrian is _______________ Notes __ __ __ __

14. fifth degree of G# Locrian is _______________Notes __ __ __ __

15. fourth degree of A Lydian is _______________Notes __ __ __ __

16. seventh degree of F# Lydian is _____________Notes __ __ __ __

17. fourth degree of Ab Mixolydian ____________Notes __ __ __ __

18. second degree of C Phrygian is _____________Notes __ __ __ __

19. fourth degree of A Aeolian is ______________ Notes __ __ __ __

20. second degree of B Lydian is ______________ Notes __ __ __ __

21. third degree of B Mixolydian is ____________ Notes __ __ __ __

22. sixth degree of C Dorian is ________________Notes __ __ __ __

23. sixth degree of C# Phrygian is _____________ Notes __ __ __ __

24. fifth degree of G Locrian is ________________Notes __ __ __ __

25. seventh degree of A Dorian is _____________ Notes __ __ __ __

chapter 6

Harmonic Functions

Having begun to develop facility with basic chord structures, we can now begin to examinemore closely how chords function to uphold tonal areas. Some chords are stable, conveyinga sense of arrival within a harmonic progression; others are less stable and suggest move-ment toward other chords. An important factor in the function of chords is which scaledegrees are contained within them. Different scale degrees uphold different tendencieswithin the scale, and these shape the tendencies of chords that are formed from the scaletones. Example 6.1 lists the names that correspond to each scale degree and correspondingchord functions. Also indicated are the two points in the scale in which notes are only ahalf-step apart; these are significant in that there is an inherent attraction between thesetones. Strongest is the tendency of scale degree seven, aptly called the leading tone, to resolveto the root tone of the scale, which is the tonic (although we will see an important exceptionto this shortly). Movement from scale degree four to three is also prominent. Other typesof movement that occur frequently is the dominant to tonic or V to I movement of chordroots. Somewhat less prominent but evident enough to warrant mention is downward


• Learn about basic chord functions and Roman numeral analysis.• Work with the prominent II–V–I sequence through written exercises, keyboard

realization, and improvisation.• Study chord–scale relationships for use in improvising.• Create our own chord progressions using free-tonicization techniques.

EXAMPLE 6.1

103Harmonic Functions

movement by a whole step, as in scale degree two resolving to the tonic, that occursfrequently in melodic contexts.

Tonic–Subdominant–Dominant Functions

Within the seven kinds of functions, three in particular are prominent in tonal music: tonic,subdominant, and dominant, or I, IV, and V. The tonic chord is the most stable, targetsonority of the three. The dominant is among the least stable, possessing a strong drive toresolve to I for reasons we will examine below. The subdominant chord serves as apreparation for the dominant and often follows I or some closely related chord. In fact,closely related chords—chords that share two or more common tones—may be identifiedfor each of these chord categories, thus making it possible that chords other than I, IV, andV assume or serve in place of tonic, subdominant, and dominant functions. For instance,III and VI will sometimes be used in place of I; II in place of IV; and VII in place of V.

Example 6.2 illustrates the tonic–dominant–tonic sequence in one of its most basicforms: I–IV–V7–I. Half step and V–I root movement are indicated.

Another common version of the tonic–subdominant–dominant–tonic sequence inEuropean classical music is shown in Example 6.3. Here the subdominant function isupheld not by IV but by the closely related first inversion of II7 (IImin7 in jazz/pop), whichis followed by the I chord in second inversion—labeled here as I6

4 but in effect upholding a dominant function (the chord is sometimes analyzed as V 6

4)—and then V7. The I 64 (or

V 64) chord is called the cadential six-four chord owing to its pivotal role in leading to V which

in turn leads to I.Example 6.4 illustrates a contemporary tonic–subdominant–dominant–tonic sequence.

Here the I chord is followed by the submediant chord, VImin7, which leads to the IImin7chord, which (as above) may be thought of as upholding the subdominant function (evenif now, due to the root position version of the chord, the bass note is II not IV of the key),which leads to V7 and then to I. Notice that whereas the minor quality chords in the priorexample were analyzed in lower case Roman numerals, consistent with analytical protocolin European classical music, in contemporary tonal contexts we retain upper case Romannumerals, followed by the quality as indicated in the suffix, for all chords. Nonetheless, it

EXAMPLE 6.2

104 Harmonic Functions

should be clear that the two tonal languages share much in common when it comes to chordfunction, particularly in the way subdominant (or closely related) harmonies prepare thedominant chord, which resolves to the tonic. While exceptions to these tendencies are tobe found in both jazz and European classical harmony, the fact that they have predominatedover the course of several centuries underscores the coherence and resonance of the tonalsystem.

However, one important exception is found in the contemporary cadential movementthat is shown above: the third of the V7—the all important leading tone of the key—doesnot resolve to the tonic note when it appears in the upper and often the middle voices, butinstead serves as a common tone between the V7 and I to form a Imaj7. This will generallynot be found in European classical harmony. While major seventh chords are found inEuropean classical music, they virtually never occur in the context of a V7 to I cadence,whereas V7 to Imaj7 is predominant in jazz (where the V7 to I major triad pervasive inEuroclassical music is rare).

The Dominant Seventh Chord

Let us examine the intervallic makeup of the dominant seventh chord in order to under-stand why it uniquely drives toward the tonic. This will shed light on the predominance of

EXAMPLE 6.3

EXAMPLE 6.4

the V–I sequence throughout centuries of tonal music, and also the interesting impact thatresults when this tendency is thwarted. Example 6.5 shows two important features in thisregard. The first is that this chord contains both scale degrees 4 and 7, which form thehighly unstable tritone interval and which are a half-step apart from more stable scaledegrees (7 is a half-step lower than 1, 4 a half-step higher than 3). A chord with even oneof these tones will possess a significant tendency to resolve to a chord that contains its targetnote; that the V7 contains both tones results in a particularly strong pull toward the I chord.

Another feature of the dominant seventh chord which influences its drive toward I is thatits root is a perfect fifth above the tonic note. Because the perfect fifth is one of the earlyovertones—the second overtone generated after the octave, as seen in Appendix 2—thereis a strong attraction between this note and the tonic. This combined with the first featuresmentioned illuminates why the V7 chord so forcefully pushes toward I, and why the V–Isequence is as prevalent today in jazz and popular music as it was centuries ago in Europeanclassical music. Moreover, even when we extend the dominant seventh chord to includeninths, thirteenths, and a variety of altered extensions (e.g. b9, #9, b5, b13), producingsignificantly different sounds than heard in classical music, the core structure—the tritoneand the root of the chord—that underlies this drive to I remains intact.

Cadence

Whether or not it is prepared by a subdominant harmony, the resolution of the V7 chordto the tonic chord is a common type of cadence. A cadence refers to the arrival point in aharmonic progression, which is usually framed by the final two or three chords in asequence. The most final sounding cadence is the V7 to I cadence, and there are severaltypes of V7–I cadences that are distinguished according to the note of the chord that soundsin the melody. For instance, the root of the I chord sounds in the top voice in what is calledan authentic cadence, something that is rarely found in jazz due to the more commoninstance of some other chord tone or chord extension (the ninth is often used in the topvoice on the final chord of a passage) sounding in the top voice on the final I chord. Not allcadences end on I; the plagal cadence terminates with a IV–I sequence, the half cadencewith I–V, and the deceptive cadence with a V7 to VI sequence that is both unexpected inthwarting the sense of closure that V7 to I provides yet is in no way jarring due to thecommon tones VI shares with I. Indeed, the effect is usually a resonant and colorful


EXAMPLE 6.5


alternative to the anticipated I chord. We will later consider progressions in which V7resolves to more distantly related, non-diatonic harmonies such as bVI and bII.

While the V7 to I cadence, therefore, is prevalent in both European classical andcontemporary tonal practice, the two tonal streams differ in how this cadence is used. Aswe will see later, these chords are generally extended in jazz pop, whereby the I chord willat least include the major seventh and often the ninth and even #11, and the V7 willcommonly include the ninth and thirteenth. As discussed previously, the I chord inEuroclassical music is almost always a triad, and the V7 is rarely extended beyond theseventh. A second difference involves how the V7 chords are prepared in the two tonalstreams. The V7 is commonly preceded in Euroclassical music by either IV, II in firstinversion, or I in second inversion (these will be taken up later). In contemporary tonalpractice, the IImin7 (or ninth) commonly precedes the V7 chord, yielding the pervasiveIImin7–V7–Imaj7. It is this sequence to which we now turn.

II–V–I Progressions

We can refer to this sequence as II–V–I for the sake of ease; however, when we do Romannumeral analysis of jazz and pop music, we will always specify the quality of each chordexactly as is specified in our contemporary chord symbols. Thus a Cmaj7 chord in the keyof C will be analyzed as Imaj7.

Example 6.6 illustrates a notated II–V–I sequence, which utilizes the “keyboard style”format we use in this book. Notice two versions, where the first involves each right-handvoicing configured in a 1,3,5,7 structure, resulting in correct notes but awkward and choppymovement between chords. It is acceptable to use this pattern at first as you get the chordsunder your fingers and their sounds in your ears. But the second voicing pattern is muchmore desirable, and you are encouraged to use this version as soon as you can—perhaps youmight challenge yourself to use it from the outset. Smooth voice leading, where we retainthe common tone (shared notes between two adjacent chords) when possible, and movingthe other tones to the closest note, is a high priority in both our keyboard realization andour writing.

EXAMPLE 6.6

Keyboard Application

This keyboard project will entail realizing IImin7–V7–Imaj7 chords in all keys. Movementfrom one key to another will occur using the pattern shown in Example 6.7, wheresequences move down by a whole step (e.g. II–V–I in C, then Bb, then Ab, etc.). Each Ichord is followed by a minor seventh chord on the same root, and this minor seventhbecomes the II of the next sequence; this serves as a handy reference point in case you getlost, and it also promotes smooth movement between the sequences. When you pro-ceed this way, you will eventually arrive at the original key (e.g. the pattern begins in the key of C and proceeds to Bb, Ab, Gb or F#, to E, to D, and back to C). At this point you start the sequence again in a key either one half-step higher or lower than the one that initiated the prior sequence (thus C# or B), thereby enabling you to cover all 12 keys.

Before realizing these chords at the keyboard, let us re-emphasize the importance ofplaying with steady rhythm. This will engage you more deeply in the music and cultivatethe sense of flow that is conducive to maximum mastery. While this is possible whenplaying the chords in the rhythms notated in Example 6.7, it will likely be more interesting,as well as productive, to play them with more lively rhythmic patterns. Several possibilitiesare presented below.

Rhythm in Keyboard Realization

Example 6.8 illustrates a set of rhythmic patterns you can use when playing chordprogressions at the keyboard. It begins with the most basic pattern consisting of simplywhole notes to be played in both right hand and left hand simultaneously. While pattern Ais perfectly acceptable, you are encouraged to use pattern B or those that follow not only forthe sake of interest but because they will likely enhance your growth. They pose minimaladditional challenges in terms of piano technique. When you realize patterns in 12 keys byyourself or accompany (“comp” for) an improvising partner, playing with steady “time” is ofthe utmost priority. (Here it may be noted that in ensemble formats with full rhythmsections, the nature of comping changes; the bassist will play bass lines that are much moreinvolved than the left-hand patterns provided here, and keyboardists in those situations willnot double the bass lines but play two-hand chord voicings from the middle of the keyboard


EXAMPLE 6.7


on up using rhythmic patterns closer to the right-hand patterns shown here.) Many othervariations of these patterns are possible, including the use of walking bass lines for swingfeels (see Chapter 9 for a sample walking bass line), and more authentic Latin jazz patternsfor even-eighth note feels.

EXAMPLE 6.8


Improvising on the II–V–I Progression

The Jazz Etudes in Appendix 4 provide both ample opportunities to improvise on theII–V–I sequence as well as examples of melodies that strongly outline this sequence. Youare encouraged to use the melodies as launching pads for your improvising, perhapsbeginning your solos with these lines or embellishments of them before spinning off entirelynew melodies. Listen to the recorded examples of the Jazz Etudes and begin to practicewith the Jazz Etudes play-along tracks on the accompanying CD.

Exercises 6a and 6b


(6a) Realize II–V7–I in all keys, according to the above harmonic pattern (sequencesmoving down by whole steps shown in Example 6.7) and one of the rhythmic patternsidentified in Example 6.8. Vocalize as you play the chords at the keyboard, singingimprovised melodic lines in the rhythm of the progression.

An important complement to realizing harmonic patterns in all keys at the keyboard,which is an excellent way to train the ears and fingers, is to be able to realize chords fromcontemporary chord symbols. Here we are not concerned with transposing a pattern tomultiple keys but simply seeing a chord symbol and playing it correctly at the keyboard.This will enable us to accompany (or “comp”) each other for improvisation practice. It isimportant to emphasize that in this as well as in all our keyboard realization practice wedo not write out the notes of the chords but rather learn to directly translate chordsymbol into correct chord sound.

(6b) Play at the keyboard the following progression from the given chord symbols.

Dmin7 G7 Cmaj7 Cmaj7 Fmin7 Bb7 Ebmaj7 Ebmaj7

Emin7 A7 Dmaj7 Dmaj7 Gmin7 C7 Fmaj7 Fmaj7

Bbmin7 Eb7 Abmaj7 Abmaj7 Amin7 D7 Gmaj7 Gmaj7

Cmin7 F7 Bbmaj7 Bbmaj7 Bmin7 E7 Amaj7 Amaj7

First II–V–I improvisation: soloist and comping, partner exercise

Player A plays the keyboard and selects a IImin7–V7–Imaj7 progression he or she iscomfortable with; it is essential that the progression be played in steady time. Player Bimprovises atop the progression, using the notes of the key and letting the ear guide thedecision-making process. (We will consider further strategies whereby specific modes arecorrelated with specific scales below). Shift roles.



The following exercise has you realize the I–VI–II–V–I sequence in all keys, movingaround the cycle of fifths/fourths with a device that is used frequently to move from onekey area to another. This entails interpolating a dominant seventh chord that is V7 of thenew key area. As the sequence below indicates, the movement from the original key, whosetonic chord is Imaj7, to the next key in the cycle, which is IV (down a fifth, up a fourth) ofthe original key, occurs through the use of a V7 of IV chord. In other words, if we want tomodulate to the key of IV we can interject a V7 of that key. Upon closer inspection, werealize that V7 of IV (V7/IV) is derived simply by lowering the seventh of the Imaj7; inessence, after the Imaj7 a I dominant seventh chord sounds and propels us to the new key.When the progression moves to the IV chord, this becomes the new I and the samesequence then occurs on that new pitch level. In this way the progression proceeds throughall keys via the cycle of fifths. The V7/IV chord is an example of a secondary dominant orapplied dominant chord, which we will take up in greater detail in Chapter 10.

Imaj7 VImin7 IImin7 V7 Imaj7 V7/IV IVmaj7 (which becomes new I chord)Cmaj7 Amin7 Dmin7 G7 Cmaj7 C7 Fmaj7 Dmin7 etc.

Exercise 6c

IImin7 V7 Imaj7 Imaj7 :

• Variation: If A feels capable of playing a second II–V–I pattern in time, then aprogression may be created that shifts back and forth between the two keys. Forinstance:

Gmin7 C7 Fmajor7

(F major): IImin7 V7 I maj7 Imaj7 :

Fmin7 Bb7 Ebmaj7

(Eb major): IImin7 V7 I maj7 Imaj7 :

The II–V–I sequence is embedded in another common chord progression:

Imaj7 VImin7 IImin7 V7 I maj7 :

Exercise 6d

I–VI–II–V7

Realize the Imaj7–VImin7–IImin7–V7-I–V7/IV progression in several keys at the keyboardaccording to the above framework.

Integrating Diverse Forms of Musical Knowledge

Having played II–V–I progressions in all keys at the keyboard, and having improvised andcomposed on these progressions, you have begun to lay aural, physical, and theoreticalgroundwork for further mastery of chords. In other words, you have begun to experience—by sound, touch, feeling, and perhaps to a lesser degree by analytical understanding—thesechords and how they move. As you practiced your II–V–I progressions at the keyboard, youmay have felt that once your fingers and ears became accustomed to the pattern, you wereable to play the sequence correctly but did not always have full awareness of precisely whatchords you were playing. While naturally an important goal is to develop this kind ofintegrated understanding—so that we are aware of what we are playing when we play it—the fact that the experience of a harmonic structure sometimes precedes intellectual oranalytical awareness of it should not be a cause for alarm. Actually, this is an idealprogression of events in the learning process because now an aural and tactile foundation isin place for optimal analytical fluency. Important to gaining this fluency will be thecombination of realization of chords from Roman numeral functions as well as chordsymbols, in addition to the many other forms of engagement in this book—improvisation,composition, aural training, writing, and analysis.

Now that we have played II–V7–I progressions at the keyboard, let us begin to improviseover these progressions. Here a useful analytical tool helps us determine what scales ormodes we can improvise with in relation to each chord or group of chords.

Chord-scale Analysis

Chord-scale theory has evolved as a useful tool in improvising and composing incontemporary tonal (and modal) formats. The basic principle is that each chord implies oneor more closely related scales or modes, and that these can guide our improvising andcomposing. As we go into this concept, it is important to emphasize that this approach, aswith much music theory, is an analytical representation of what many master artists didintuitively. While many great contemporary jazz musicians use some version of chord-scaleanalysis, many of their forebears did not. As always, theory is at best a kind of guide, a meansfor approximating a certain kind of result. But ultimately the ear must be the final authority,as it has been through the ages of musical practice.

There are two levels to chord-scale analysis, both of which are applicable depending onthe situation. One is the individual chord-scale approach, where we correlate a differentscale with each chord. A second is the “parent”-scale approach, in which we identify anoverarching scale that we can improvise with relative to a group of chords that are diatonicto a given key area. There is a place for both approaches, and in certain instances they willoverlap, while in others one or the other will be more applicable. For instance, when weencounter a II–V–I sequence, we can improvise over these chords by relating a particularscale or mode with each chord (individual chord-scale approach), or we can improvise withthe notes of the major scale of the I chord (parent-scale approach) since all the chords arediatonic to that key. In this instance, the second is more efficient and more in line with the



approach of most master improvisers. We will therefore recommend using the parent-scaleapproach as much as possible; the scale brings us into the general arena when it comes towhat notes will sound good over a given chord sequence and our ears can take over fromthere.

However, inasmuch as most progressions involve chords that are non-diatonic to thatkey—e.g. chords that use accidentals and derive from other keys—the parent chord-scaleapproach will only go so far. The individual chord-scale approach becomes necessary inthese instances.

The basic principle underlying individual chord-scale relationships is that a chord willtake the scale or mode corresponding to that chord’s function. If a chord functions as II,then it takes Dorian because Dorian is the mode built on the second degree of the majorscale or key of the piece or passage. If a chord functions as VI, it takes Aeolian for thecorresponding reason (Aeolian is the mode built on VI of major); V takes Mixolydian, IVtakes Lydian, etc. Later we will consider some slight variations of these principles to providemore options, but this simple format will go a long way. The following chart shows thechord-scale relationships for the Fmaj7 Dmin7 Gmin7 C7 progression.

It cannot be emphasized strongly enough that chord scales are a general guide to a set ofnotes that resonate while a given chord sounds. They are not exhaustive of the possibilitiesopen to the creative improviser. Nor are they intended to suggest that we must begin ourmelodies on the tonic notes of the scales and improvise scalar passages either up or downfrom that note. Chord scales may be thought of as horizontal representations (chords arevertical representations) of a given pitch region at a given point in time; one can enter thepitch region from any note. This will become clearer when we begin to work with chordextensions in Chapters 12 and 13; there we will see that extended chords include almost allscale tones and thus may be conceived as scales configured vertically. Scales, therefore, maybe conceived of as chords placed “on their side.”

Chord: Fmaj7 Dmin7 Gmin7 C7

Roman numeral: Imaj7 VI min7 IImin7 V7

Chord scale (parent): F Ionian

Individual chord scales: F Ionian D Aeolian G Dorian C Mixolydian

Analysis

Provide key, Roman numeral analysis and identify individual chord scales as well as theoverarching parent scales for improvising purposes on these progressions. Then learn thechanges at the keyboard (each sequence in one key). Optional: if you feel secure, compfor a partner to improvise on the progression. Then switch roles.


You may recall encountering in Chapter 2 the scale pattern drill that corresponds to the lastof the above chord progressions (Example 6.9). Example 6.10 shows an arpeggio patternthat also works for the same progression.

II–V–I in Minor

The II–V–I progression is also common in minor keys, but involves different kinds of chordstructures due to the different diatonic triads and seventh chords generated by the minorscale. Examples 6.11 and 6.12 illustrate, respectively, the diatonic triads and seventh chords

Exercise 6e

Dmin7 G7 Cmaj7 Cmaj7 :

Dmin7 G7 Cmaj7 Amin7 :

Cmaj7 Cmaj7 Fmaj7 Fmaj7 Emin7 Amin7 Dmin7 G7 :

Fmaj7 Fmaj7 Dmin7 Dmin7 Bbmaj7 Bbmaj7 Gmin7 C7 :

EXAMPLE 6.9

EXAMPLE 6.10


that occur on the natural minor scale, which is generally the version of the minor scale thatprevails in tonal music. However, a very important exception to this is found in the use ofthe raised leading tone—scale degree 7—in chords built on V and VII. This is shown inExample 6.13 where, by raising the C to C#, what would have been a Vmin7 chord assumesthe properties of the dominant seventh that propel movement toward the tonic. The V7chord in minor is thus precisely the same structure as is found in major. The VII chord,which in major we encountered as a half-diminished seventh structure, in minor becomesthe even more powerful VII07 (fully-diminished) chord. Whereas the half-diminishedseventh chord’s movement toward I was driven by its tritone, the fully diminished seventhchord contains two tritones, rendering it all the more unstable and wanting to resolve to I.

The raised leading tone mentioned above—which is the third of the V7 chord—is seenin Example 6.13.

In the above illustration, the V7 resolves to the I minor triad, allowing the leading toneto clearly follow its inherent trajectory and land on the tonic note. In the following minor

EXAMPLE 6.11

EXAMPLE 6.12

EXAMPLE 6.13


II–V–I examples (Example 6.14), the V7 resolves to a I minor seventh chord, in which casethis leading tone-to-tonic melodic resolution is replaced by a common alternative in jazz—which is virtually never found in European classical music—where the leading tone movesdown a half-step to the minor seventh of the I chord (C# to C). The V-to-I movement inthe bass upholds the sense of finality nonetheless. Two voicings for the same progressionare provided; notice the difference in effect when the leading tone-to-b7 resolution (C#to C), as shown in the second version, occurs in the middle of the voicing as opposed to thetop voice. Now the denial of this anticipated melodic movement is somewhat neutralized.

In the Example 6.15, a slight change in the structure of the V7 chord produces a richersonority, one that is commonly used in jazz.This involves the use of the b9 extension insteadof the root in the treble clef/right-hand voicing for the V7. Notice that the b9—which is Bbon an A7 chord—is the same note as the b5 of the IImin7(b5) chord. Because of this sharedtone, the IImin7(b5) is almost always followed by V7(b9) when occurring in a II–Vrelationship. You might also observe a useful principle for deriving V7(b9) voicings: build adiminished structure on the third of the chord. For instance, as shown below, the voicing for theA7(b) chord is a C#07 structure, used here in two different inversions in order to followsmoothly from the preceding IImin7(b5) chord.

We will take up chord extensions extensively in Chapters 13 and 14. In the next keyboardexercise, where you realize the minor II–V–I sequence in multiple keys, you may choose touse either the V7 with or without the b9.

EXAMPLE 6.14

EXAMPLE 6.15

Improvising on II–V–I in Minor

Recall that in improvising on chord sequences, we identify parent scales and individualchord scales. This becomes rather more complicated in minor since we are raising theleading tone on the V chord, but then on the I chord we are playing natural seventh. So itdoesn’t appear that we can identify a single parent scale as we could with II–V–I in major.In fact, we can use a modified parent-scale approach where we still use the natural minorscale as the overarching scale, but we raise the leading tone when we get to the V chord. Ifthis seems unwieldy and too much to keep track of, it is actually possible to simply improvisewith the natural minor scale atop the entire II–V–I. Would this note create a clash on theV chord if the improviser plays a natural seventh and a raised seventh is played by thecomping instrument(s)? In fact, the flat seventh will sound fine even with the raised seventhbecause it is a #9, which we will later see is one of the available tensions for use on adominant seventh chord.

Writing and Analysis Exercises

Written exercises complement the creative and analytical aspects of our development. Inthis course, written work follows keyboard work so that whatever we write has a direct aural,tactile, and intellectual foundation. We call this “keyboard style” realization, where a three-or four-note chord is written in the treble clef, and a single note—for present purposes, theroot of the chord—is written in the bass clef.

Since the act of writing, unlike our keyboard and improvisation work, does not take placein real musical time—but rather gives us provision to pause, ponder, and edit our choices—it allows us to attend to details in a way that would not be possible in performance. Voiceleading, which pertains to how individual voices move within a harmonic texture, is oneaspect. As discussed in our first keyboard projects, smooth voice leading is a priority when


Exercise 6g

Minor II–V7 improvising

TRACK 13

Exercise 6f

Keyboard exercise

Play IImin7(b5)-V7-Imin7 or IImin7(b5)-V7(b9)-Imin7 in these keys: C, F, G, A, D, E. Play theroots first, and then work out the chords.

Improvise with a partner and also with the accompanying CD on the II–V–I progressionin these minor keys: A minor, C minor, D minor, E minor. The CD repeats each sequencetwice. Then examine and listen to Jazz Etude #15, which provides an example of theIImin7(b5)–V7(b9)–Imin7 progression, and play along with that track on the CD.


we play, which is easily attained by simply moving to the closest voicing configuration ratherthan allowing our right hand to jump around excessively. In our written work, smooth voiceleading is readily achieved by retaining the common tone between any two successive chordsand then moving the remaining notes to the next closest notes. Let us introduce additionalprinciples that will allow us to achieve an even richer voice-leading texture in our writtenwork.

Voice Leading

In traditional four-part chorale-style writing, where triads are prominent (one voice isdoubled to make four parts) with some seventh chord use, voice-leading considerationspertain to all four voices. In other words, the way each voice moves in relationship to eachother voice is essential to the harmonic texture and flow. Therefore, to provide one example,parallel perfect intervals are to be avoided between any two voices because they obscure theindependence of the parts within the relatively thin triadic texture of that particular style.The much denser harmonic textures of contemporary tonal and modal music, in whichtriads are rare and the seventh chord is the basic harmonic unit atop which extensions arecommonly added, bring into play new strategies. Now our voice-leading concerns aredirected more toward the outer voices—the melody (highest note in the treble clef ) andbass (lowest note in the bass clef ) notes.

There are four types of voice-leading motion that are possible between any two voices,as illustrated in Example 6.16. Interval sizes are listed above each set of notes to show thedifferent kinds of movement. Contrary motion is when each voice moves in oppositedirections (e.g. one voice moves up and the other down). Here independence between voicesis optimal, as the ear perceives two very distinct kinds of melodic movement. Oblique

EXAMPLE 6.16


motion is when one voice does not move and the other does. A sense of independencebetween voices is moderate. Similar motion, when both voices move in the same direction,produces a weaker sense of independence as the ear has more difficulty distinguish-ing between the voices. Within the category of similar motion is parallel motion, wherevoices not only move in the same direction, but they move by precisely the same inter-val (e.g. both voices move down a third, or fourth, or fifth, etc.). Here the sense ofindependence is weakest, as the ear has difficulty in perceiving separate voices and insteadperceives an overall texture but not the particular voices that make up this texture. Amongthe various kinds of parallel movement, parallel perfect intervals—unisons, fourths, fifths,and octaves—most prominently obscure the sense of independence between voices.Accordingly, while the other kinds of parallel motion are acceptable, as well as the otherkinds of voice-leading movement (e.g. contrary, oblique, similar), parallel perfect intervalsare to be avoided between the outer voices in our contemporary, five-part written work.

The examples and exercises below will illustrate these principles and allow you to usethem in your own writing. A notated harmonic sequence will be provided, as shown inExample 6.17, and you will be asked to provide contemporary chord symbols, key, Romannumeral analysis, as well as two kinds of chord scale analysis—individual chord scale andparent scale—as shown in Example 6.18.

The contemporary chord symbols are listed above the notated passage. This is standardprocedure in jazz and popular music. Roman numerals are listed below the staves. Toreiterate the protocol introduced in the previous chapter, when applying Roman numeralsto contemporary chord symbols, we include the chord quality following the Romannumeral. We will use a modified approach when we analyze selections from European

EXAMPLE 6.18 The same progression with the completed analytical information

EXAMPLE 6.17


classical music. Notice the bracket underneath the II–V sequence, and the arrow indicatingits resolution to I. This is a useful practice in harmonic analysis as it helps us establish thehabit of identifying cadential, key-defining movement and seeing chords in relationship asopposed to isolated entities. This will be particularly helpful when we later look atprogressions that move considerably between different tonal centers.

The abbreviated names of the chord scales are listed in between the staves. Because all the chords in this passage are diatonic to the key of F major, and thus it is possible toimprovise on the whole passage just using the parent scale of F Ionian (or F major),identification of individual chord scales may seem unnecessary. However, not only can theindividual chord scales be of use in helping us hone our note choices, they will be essentialwhen it comes to progressions—which is the vast majority of harmonic progressions—inwhich not all chords are diatonic to the primary key.

It should also be emphasized that the progressions used for analysis in this chapter areto be analyzed in a single key. In other words, even if momentary cadential activity maybriefly suggest some shift in key—which in this chapter, since all chords are diatonic, wouldonly involve a shift from major to relative minor or vice versa—the chord movement inthese drills is more appropriately analyzed within a single key. In instances where thatdetermination nonetheless seems to be elusive, a general strategy that will be of use in bothof these preliminary exercises, as well as the more complex ones to follow, is to simply takean inventory of the cadential movement in the passage and determine which of the potentialkey centers is targeted by that activity. In other words, the ear will tend to hear as the tonickey that which is most frequently suggested through cadential activity in that key. In thisregard, take care not to be deceived by occasional passages in which a chord that is leadingto a target is mistaken as a target chord and thus erroneously as the I chord. A case in pointis found in the V7 to Imaj7 to IV sequence, where the I chord is sometimes mistaken as thedominant of IV since its (the I chord’s) root is a fourth below or fifth above the IV. Herechord quality is the telltale sign; the Imaj7 cannot be V7 since it is not a dominant structurechord.

Now use the above procedure with Exercises 6h–6k. Using the above model, providecontemporary chord symbols, key, Roman numerals, and chord scales for these progressions.

Analysis

(6h)


Exercises 6h–6k and Examples 6.19–6.22

(6i)

(6j)

(6k)

Written exercise

Two sets of chord symbols are given, and you are asked to do a written realization inkeyboard style and then provide the key, Roman numerals, and chord scales. When twochords are listed per measure, realize the chords in half-notes; when only one chord islisted, use whole notes. Be sure to bracket all II–V sequences and indicate resolution toI with an arrow.


Idiomatic Progressions

The Roman numeral sequences presented below delineate basic diatonic chord patternscommonly encountered in contemporary tonal music (jazz/pop). Realizing them in multiplekeys at the keyboard will help further internalize the concept of chord function, which—like all theoretical concepts—attempts to describe how structures are actually heard.Inasmuch as realizing all the sequences in all keys will take some time, this project shouldbe approached in small bits, where you allot some time on a regular basis to working themout in just a few keys. Fluency with these basic patterns will provide invaluable foundationfor further harmonic skills.

a. IImin7 V7 Imaj7b. IImin7 V7 Imaj7 VImin7 IImin7 V7 Imaj7c. Imaj7 VImin7 IImin7 V7 IIImin7 VImin7 IImin7 V7 Imaj7d. Imaj7 IVmaj7 IIImin7 VImin7 IImin7 V7 Imaj7e. Imaj7 VImin7 VIImin7(b5) IIImin7 IVmaj7 IImin7 V7 Imaj7f. Imaj7 IIImin7 IVmaj7 IImin7 VIImin7(b5) Imaj7g. Imaj7 VIImin7(b5) IIImin7 VImin7 IImin7 V7 Imaj7h. Imaj7 VImin7 IVmaj7 IImin7 IIImin7 VImin7 IImin7 V7 Imaj7

Exercise 6m

Written exercise

Do a written realization of these progressions that are indicated by Roman numerals.Although not specified by the Roman numerals, realize all chords as seventh chords—using the sevenths that are diatonic to the key. Provide chord symbols.

Ab: I IV III VI II V I

B: I VII VI III II V I

Bmin: I IV II V I VI IV II V I

Exercise 6l

Fmaj7 Dmin7 Bbmaj7 Gmin7 Emin7(b5) Amin7 Gmin7 C7 Fmaj7

G#min7(b5) C#min7 Bmin7 E7 F#min7 Bmin C#min7 F#min7 Bmin7 E7 Amaj7

Dmaj7


Exercise 6o

Written exercise

Select one of the Roman numeral sequences from above, choose a key, and do akeyboard-style written realization of it. Strive for smooth voice leading between chordsas well as, when possible, contrary motion between outer voices.

Exercise 6p

Dictation exercise

To be done with a partner. Create patterns based in whole or in part on the above Romannumeral sequences, play them at the keyboard, and have your partner identify thepatterns by ear. Ideally, do not give your partner any information and have him or herprovide the Roman numeral functions of the progressions you play. One variation is totell your partner the key in which you are playing and have him or her name thecontemporary chord symbols you are playing.

Exercise 6q

Jazz Etude exercise

Select a Jazz Etude in Appendix 4. Comp the chord changes at the keyboard and sing themelody.

Exercise 6r

Jazz Etude exercise

Select a Jazz Etude in Appendix 4. Comp changes for partner who will improvise onprincipal instrument or voice. Switch roles.

Exercise 6n

Keyboard exercise

An excellent way to begin getting these diatonic harmonic sequences—which we willlater extend to include non-diatonic chords—under your fingers is to take each patternand select a key, preferably other than C, and realize the progression in that key. Youmight begin by just playing the roots, and then add the chords once you are comfortableplaying the roots.


Exercise 6t

Keyboard exercise

Realize this progression in all keys at the keyboard, using the standard format we havebeen using (four-note chord in right hand, bass note in left).

Imaj7 IVmaj7 IIImin7 VImin7 IImin7 V7 Imaj7 Imaj7

Exercise 6u

Random II–V–I progressions: ear training, partner exercise

Player A moves freely from one II–V–I pattern to another but does not indicate to PlayerB, who is to improvise atop each pattern, the key in which the pattern is played. HencePlayer B must proceed entirely by ear. It is important that Player A stays on one pattern—repeating it as long as necessary—until Player B “finds” (e.g. begins to play notes thatmatch) the key area. Player A may want to select a few keys in advance.

Switch roles. This is great practice for both keyboardist and solo improviser.

Turnarounds

Because jazz chord progressions serve as cyclic backdrops for improvisation, they will oftenemploy a chord sequence at the end of the form that leads back to the top of the form. Thisis called a “turnaround.” Often the turnaround involves a faster harmonic rhythm and cycleof fifths movement, as seen in the last two bars of the following progression.

Fmaj7 Bbmaj7 Amin7 Dmin7 Gmin7 C7 Amin7 Dmin7 Gmin7 C7 :Imaj7 IVmaj7 IIImin7 VImin7 IImin7 V7 IIImin7 VI min7 IImin7 V7 :

Here is another turnaround at the end of the same opening chord sequence, which youcan listen to and play along with on the accompanying CD.

This one makes use of non-diatonic chords, which we will take up later. Nonetheless, theeffect of propelling the harmonic movement back to the top of the form via faster harmonicrhythm and cycle of fifths movement (Eb-Ab-Db) should be quite clear.

TRACK 14

Exercise 6s

Written exercise

Write out notes of the chords in Jazz Etudes 1 through 5, identify key, do Roman numeralanalysis.

Fmaj7 Bbmaj7 Amin7 Dmin7 Gmin7 C7 Fmaj7 Abmaj7 Dbmaj7 Gbmaj7 :Imaj7 bIIImaj7 bVImaj7 bIImaj7 :

Free-tonicization Strategies Level I

We close this chapter with further strategies for developing harmonic fluency. These arecalled free-tonicization strategies in that they move freely from one key area to anotherthrough the use of II–V, II–V–I, and other chords we have encountered so far. However,unlike the above notated harmonic passages as well as the series of Roman numeralsequences provided—all of which include chords that are diatonic to a single key—thefollowing strategies will take us to wide-ranging key areas. While this movement might atfirst glance seem to be a form of modulation, we will use the term tonicization owing to thetemporary nature of this movement in any given key. Modulation presumes a new key areais established sufficiently to replace that which had been heard as the previous I chord witha new I chord. Tonicization involves a more fleeting kind of movement to a new key area,which is more characteristic of the strategies discussed below. Here it should be emphasized,therefore, that while Roman numerals will be used to refer to localized relationshipsbetween chords—e.g. IImin7–V7—they do not presume an overarching I chord to whichthese and the other Roman numerals would all relate, but rather the relationship of thesechords to the key area which is implied by that particular moment in time. Generally, onlytwo or three chords from any given key area—four maximum—will sound in succession;Roman numerals from any of these brief key-defining moments apply only to thattemporary key area. The V7 in one bar will be different from the V7 in the next.

In this first set of free-tonicization strategies, these principles serve as a guide for theconstruction of chord progressions.

1 Any major seventh chord may be treated as a temporary I or IV chord, and thus befollowed by any of the other diatonic chords in that particular key:


Imaj7-IImin7 IVmaj7-IImin7

Imaj7-IIImin7 IVmaj7-IIImin7

Imaj7-IVmaj7 IVmaj7-V7

Imaj7-VImin7 IVmaj7-VImin7

Imaj7-VIImin7(b5) IVmaj7-VIImin7(b5)

e.g. e.g.

Cmaj7-Fmaj7 Fmaj7-Emin7

(Imaj7-IVmaj7) (IVmaj7-IIImin7)

2 Any minor seventh chord may be followed by its related V7 to form a IImin7–V7 link:

Cmaj7 Fmaj7 Fmin7 Bb73 Any II–V may be followed by its I, or any other II–V, or II–V–I sequence (see insert):

Cmaj7 Fmaj7 Fmin7 Bb7 Bbmin7 Eb7 Abmaj7

4 Any min7(b5) chord can be followed by a minor seventh chord up a fourth to form aVIImin7(b5)–IIImin7 sequence, or a dominant seventh chord up a fourth to form a IImin7(b5)-V7 sequence:

Cmaj7 Fmaj7 Fmin7 Bb7 Bbmin7 Eb7 Abmaj7 Gmin7(b5) Cmin7

While strategy 3 allows us to create a chain of II–V or II–V–I sequences that moverandomly from one key area to another, a number of systematic approaches are also possible.For example, if you follow the tonic chord of a II–V–I by a minor chord on the same root—which is precisely the pattern we saw in an earlier keyboard exercise (6a) and will usefrequently—you end up with tonal centers moving down by whole step (e.g. Dmin7 G7 Cmaj7 Cmin7 F7 Bbmaj7 etc.). If you use the same approach to II–V sequences thatdo not resolve to their implied tonic chords—thus each V chord is followed not by I but bya minor seventh chord built on the same root as the V—you end up with tonal centersmoving by fourths (e.g. Dmin7 G7 Gmin7 C7 Cmin7 F7 etc.). If you follow each V7with a minor seventh chord down a whole step, the result is tonal centers that move inminor thirds (e.g. Dmin7 G7 Fmin7 Bb7 Abmin7 Db7 etc.). The same result isachieved when you follow each I chord by a minor seventh chord up a fourth (e.g. Dmin7G7 Cmaj7 Fmin7 Bb7 Ebmaj7).These are just a few of the many ways of systematicallylinking II–V and II–V–I sequences together.

The following is a progression that makes use of the above principles and moves through12 key areas, establishing each key area with at least two chords diatonic to it. Notice theoccasional break from the two-chords-per-bar movement—this is called the harmonicrhythm, the frequency with which chords change—in order to provide moments of repose.

Using the above principles, we can easily create progressions that move freely through anumber of key areas. Here is a continuation of the progression begun above that movesthrough 12 key areas and uses each strategy at least once. The following exercise has youcreate your own progression following this approach.


Fmin7 Bb7 Amin7 D7 Gmin7 C7 Fmaj7 Ebmin7 Ab7 F#min7 B7 Emin A7

Dmaj7 Dmin7 G7 Emin7 A7 Bbmin7 Eb7 Abmaj7 Abmin7 Db7 Gbmaj7 Ebmin7

Bmin7 E7 Amaj7 Cmin7 F7 Ebmin7 Ab7 Fmin7 Bb7 Ebmaj7

C#min7 F#7 B maj7 Emaj7 G#min7 C#7 F#maj7


Create additional sequences through the above method and utilize them for practice insight-reading chord progressions at the keyboard. Exchange sequences with your friendsfor additional sight-reading practice. Additional free-tonicization exercises will be pre-sented in later chapters.

Exercise 6v

Free tonicization

Create a free-tonicization sequence utilizing the above strategies. Delineate thesequence using contemporary chord symbols; do not write out the notes, as you willrealize the progression at the keyboard without the aid of notation. The resultantprogression should utilize each of the five strategies listed (it is not necessary to use allof the variations of all strategies) at least once and cover all 12 key areas at least once.At least two chords are needed for a key area to be considered covered; avoid usingmore than four chords from any given area in succession. Be able to play at the keyboardthe progression you create.

Exercise 6w


(a) Play the chord symbol sequence you created for Exercise 6v.(b) Play Imaj7 VImin7 IImin7 V7 Imaj7 V7\IV IV sequence in all keys through the

cycle (review Exercise 6d; each IV chord becomes the new I).

SUMMARY QUESTIONS

1 Name the three basic categories of chord functions (contained within the sevenfunctions based on each scale degree) and list the Roman numerals that corre-spond to each category.

2 These three categories of tonal harmonic functions (from above in question 1) arefound in both European classical and jazz/pop music. True or false?

3 Identify a prominent difference between European classical and jazz/pop practiceinvolving the resolution of the leading tone in V to I cadences.

4 What are the two facets of the structure of the V7 chord that propel it toward I?

5 Name the three-chord sequence that is prominent in much jazz and popular music.

6 What is the purpose of chord-scale analysis and what are the two kinds of chord-scale analysis presented in this chapter?



7 It is best when improvising to always begin on the tonic note of the mode/scalecorresponding to the chord sounding at the time. True or false?

8 Identify the chord scales for each of the three chords of the sequence identified inQuestion 5.

9 How does the II–V7–I progression in minor keys both resemble and differ from theII–V7–I progression in major keys (what chord is the same)?

10 What are common tones?

11 Smooth voice leading is not possible between chords from distantly related keyareas. True or false?

chapter 7

Swing: Global Rhythmic Gateway

As mentioned in Chapter 3, among the most predominant aspects in today’s musical worldare the rhythmic time feels whose origins can be traced primarily to African music andwhose evolution has been informed by a wide range of global influences. Musicianscommonly identify two major types of time feels—even-eighth note and swing—with aninfinite variety of subsets and hybrids that may fall within or traverse these categories. Even-eighth feels are characteristic of much popular, rock, funk, folk, hip-hop, and globallyinfluenced amalgams and have also become prominent in jazz over the past several decades.Indeed, the label “even-eighth” evolved in order to distinguish this time feel from swing,historically the rhythmic core of jazz, in which eighth notes are played with a more liltingapproach. However, as we will discuss in this chapter, this lilting quality derives more fromthe inflections, accents, and phrasing that define swing than any disparity in note lengths.

While even-eighth note-time feels have arguably become as prominent as swing intoday’s jazz world, a strong case may also be made that jazz’s swing foundation served as abasis for the evolution of some of the most interesting and sophisticated even-eighth note-time feels to be found, as well as swing/even-eighth hybrids. An argument may also be madethat mastery of the swing time feel may greatly enhance your ability to interact withmusicians from other cultures and to infuse their rhythmic features. This chapter takes abrief look at the origins of swing, identifies its key features, and presents exercises aspractical vehicles to help you become fluent with this important musical language. This willserve as a preparation for work with the Jazz Etudes in Appendix 4. As has been


• Explore the swing conception that has been central to jazz.• Emphasize the need for aural immersion in order to become fluent in this musical

language.• Work with practical exercises to develop swing articulation.• Explore the blues form.• Begin transcription work.

129Swing: Global Rhythmic Gateway

emphasized at length in earlier chapters, theoretical and technical study will be meaninglessif not rooted in extensive aural immersion. You are thus encouraged to continue investingtime with the listening resource list provided at the end of Chapter 3 as well as buildingyour own library of recordings.

Elements of Swing

Let us begin with a look at the inner workings of swing and its possible origins. While thereis little disagreement about swing’s African roots, there is also very little in the way oftheoretical models that point to the particular African practices from which thiscontemporary time feel may have evolved. The following analysis ventures briefly into thisemergent and elusive area. Example 7.1 shows three important rhythmic layers of the swingtime feel.

Three rhythmic features are significant in the example. One is the 2:1 ratio between themelodic line, which consists primarily of eighth notes, and the quarter notes that arecharacteristic of the walking bass line. Listen to the Jazz Etudes in Appendix 4, most ofwhich involve walking bass lines. Which of the Etudes do not? Second is the prominenceof triplets (quarter and eighth-note groupings, as seen on beats two and four in 7.1) in theride cymbal. The coexistence of triplet and eighth-note figures forms a 3:2 relationship thatis prevalent in much of African music and is key to the swing feel. While swing eighth notesin melodic contexts are sometimes explained as triplets, thus perhaps suggesting that any3:2 ratio exists only in notation but not in sound, this understanding of swing eighths iserroneous. As will be explained below, only in a very small part of the swing spectrum areeighth notes actually articulated as triplets.

A third feature, the walking bass line, may appear to be the least significant in comprisinga constant stream of quarter notes. However, very different from the effect of a sequence ofquarter notes in even-eighth note-time feels, swing quarter notes serve as a kind of portalinto the swing universe by containing both the triplet and eighth-note rhythmic impulses—thus the 3:2 polyrhythmic ratio characteristic of African music—even if these note values

EXAMPLE 7.1

generally do not manifest in the bass line. That they are felt in the swing quarter notes iswhere the walking bass line derives its power.

Let us explore this further by looking at a polyrhythmic practice that is prominent intraditional West African music. Example 7.2 shows two rhythmic patterns, one that tendsto be felt as a three-beat phrase, the other as a four-beat phrase. The co-existence of thetwo phrases creates an exciting polyrhythmic texture, which you can hear on the website.Sing each part separately in order to get the sense of their respective implied phrasing.Thentry to sing the top line and tap the bottom. Ideally, stand up and establish the bottom lineby walking and sing the top line. It may take a while to be able to do this, but once you getit you will likely feel yourself locking into a compelling three against four groove, of whichthe 3:2 polyrhythm discussed above is a subdivision.

Now alternate between playing the bottom line alone and then adding the top line to it,so that when the bottom line sounds by itself, you still feel the top line in relationship withit. There has been speculation that the walking bass line originates in this polyrhythmicrelationship, and thus in essence contains both triple and duple rhythmic layers, which iswhat gives the line the buoyancy and drive that make it swing. While walking bass linesare, out of convenience, notated as quarter notes in 4/4 meter, whose predominance likelyresulted because swung melodic eighth notes are more readily notated in duple than in triplemeters, the fact that we can also hear implicit triplet patterns in these lines—even when wehear them in isolation—differentiates them fundamentally from sequences of quarter notesoutside of swing contexts.

Whether or not this line of analysis proves to be valid over time remains to be seen. Ifnothing else, it helps underscore the importance of mastering swing primarily through auralimmersion.

Swing Articulation

In terms of the application of swing articulation to melodic lines, we can make somegeneralizations that may be helpful when accompanied by aural grounding in this musicalconception. Most prominent is a kind of lilting articulation of eighth notes and frequent—though not constant—emphasis on weak parts of beats (e.g. off-beats) and weak beatswithin a measure (e.g. beats 2 and 4 in 4/4). Therefore, in a sequence of eighth-note lines,

130 Swing: Global Rhythmic Gateway

TRACK 11

EXAMPLE 7.2

the second of each two eighth notes will tend to receive more accentuation than the first.Examples 7.3 and 7.4 illustrate two ways of achieving this effect.

Here, however, it cannot be emphasized strongly enough that these or any theoreticaldescriptions about swing articulation can serve as but the most general of guidelines inconveying the features of this rhythmic language and how to authentically “speak” it.Passages in which all eighth notes on off-beats are accentuated, as suggested in the aboveexamples, would sound rigid. As always, aural immersion, the ultimate pedagogical tool, istherefore essential. Attempts to depict swing eighth notes as triplets, often used to helpclassical musicians articulate swing passages (as shown in Example 7.5), may be even morelimiting. For one thing, this rendering of swing eighths in a melodic context as triplets isincorrect from a mathematical standpoint—swing eighths tend to be closer to even-eighthsin terms of duration than to the proportion indicated, with exceptions found only within avery small range of styles and tempi. For instance, composed medium tempo eighth-notelines played by big band horn sections (trumpets, trombones, or saxophones) mayapproximate the triplet conception (with the second note being accented). However,improvising soloists in this format will not use this triplet conception when playing eighth-note lines, but rather something involving a less pronounced disparity between first andsecond eighth notes. Accordingly, the notion of swing eighths as triplets appears to havebeen promoted not from an improvisatory perspective but from an interpretive performancestandpoint.

Blues

One of the primary forms through which swing evolved is the blues, which has long beenthe foundational structure in jazz and popular music. Blues heads are excellent vehicles forlearning swing articulation and one is provided below for this purpose. While any of therecordings of jazz artists on the listening list (Chapter 3), the Jazz Etudes on the website,


EXAMPLE 7.3

EXAMPLE 7.4

EXAMPLE 7.5

or the recommended listening tracks cited throughout the text, will serve as useful auralmodels (blues and swing feel articulation, generally speaking, are not fundamentallydifferent); two blues compositions by Thelonious Monk, which the following piece isinspired by, are particularly relevant here: “Blue Monk” (Monk’s Blues, Sony 1968); and“Straight No Chaser” (Straight No Chaser, Sony 1979; originally released 1958).

While our primary purpose is to play the head with an authentic swing feel, a few wordsabout the harmonic structure of the blues are in order. We encountered the blues in minorin Chapter 4, which was based in the standard blues form:

I I (or IV) I I IV IV I I V IV I I

Many variations of this basic form have evolved over the years, several of which are foundin the above piece and will be taken up in later chapters. First, the piece utilizes alteredchords, as found in bars 8 and 10. Second, the last four bars return to I not via V–IV–I(which is found in many rock-and-roll blues forms) but by II–V–I, which is far morecommon in jazz blues forms. Third, in bars 11–12, we find an example of a turnaround asdiscussed in the previous chapter.

Some thoughts on improvising on blues forms should also be mentioned. Chord-scaleanalysis reveals elaborate possibilities, with altered chords taking altered scales, and evenunaltered chords inviting extensive use of chromaticism. Again, these are issues to be takenup later. A simpler approach may also be noted, which is the use of the “blues scale.” Themost basic form of the blues scale may be thought of as a minor pentatonic scale with alowered fifth degree (Figure 7.7). This scale uniquely conveys the blues feel and can beplayed on virtually the entire progression in the above blues. At first glance this may seemcounter-intuitive, as, for example, the F blues scale contains Ab, and the I chord, F7, of theprogression contains A natural. However, the Ab is a vintage “blue note” that is very effectivewhen played against the F7. And while technically the V7/II in bar 8 and the turnaround


EXAMPLE 7.6 Ed Sarath, “Blues in F”


might suggest other options, even at these points in the form the blues scale will be heardas passing melodic motion and thus be minimally problematic.

Transcription Format

A common practice that has been central to the development of many if not most jazzimprovisers is transcription.Transcription entails copying the playing of a master improviserfrom a recording note-for-note, inflection-for-inflection, in order to internalize founda-tional aspects of the musical language. A counterpart to transcription in jazz is found in thevisual arts, where painters through the ages would copy the works of the masters; even today,one will find aspiring artists at art museums sitting with their sketchpads in front of theworks of Vermeer, Caravaggio, and Rembrandt. In jazz, since it matters little whether ornot one actually writes down the solo being copied—what is most important is that one isable to play (and ideally also sing) the solo and capture all its nuances—the term tran-scription may be somewhat of a misnomer.

It is important to bear in mind the purpose of transcription, which is primarily toassimilate style or language features from master practitioners rather than (as some wouldhave it) to stockpile a collection of idiomatic phrases that one might call upon whenimprovising. While some aspect of the second might be inherent in the first, it is importantto maintain a commitment to the evolution of the personal voice when engaging in thesekinds of emulative practices. One way to ensure this is to sustain engagement in the rangeof trans-stylistic and style-specific practices presented in this book.

At first, transcription may seem daunting, and it is wise to begin with solos that are morelyrical and at slower or more medium tempos. It is also important to find solos that you areabsolutely captivated by—solos that inspire you to learn what a particular artist is playingand thus put in the hard work that is required of transcription. Oftentimes the bulk of asolo will be quite manageable, with the exception of a few fast flurries; in such cases do notlet the difficult passages deter you—give them a shot, and then pass over them to transcribethe rest of the solo. You can then return to the more challenging parts.

You will likely notice even during the course of your first transcription project that yourear will become sharper, and that the pace of transcription will increase, as well as thedifficulty level of the passages you are able to transcribe. You will also likely notice duringthe course of your first transcription that the length of the phrases you are able to transcribeat a time expands. At first, you may have to adhere to a note-by-note method, where youneed to press the stop button after just one or two notes as you piecemeal phrases together.There is absolutely nothing wrong with this, and the recommended procedure is that yousing each note or phrase immediately after you hit the stop button, and then find on your

EXAMPLE 7.7

instrument the notes you just sang. You can then write them down. But strive to be able tolearn and sing back the longest phrases possible; before too long you will be singing muchlonger phrases, having only heard them once or twice, than you could at the outset. By thentransferring them from voice to instrument, you have achieved yet another strategy forbuilding the all-important linkage between ear, voice, and instrument that is essential tocreative musicianship.

While our primary emphasis here is on transcribing the improvised melodies of jazzmasters, you are also encouraged to attempt to transcribe the harmonies behind the solosyou are copying. This generally represents a greater challenge to most musicians and thusmay need to be preceded by a phase of melodic transcription as well as further keyboardwork.

In terms of integrating the influences gained from a solo into one’s playing, students areencouraged, either after an entire solo is completed or at any point in the process, to identifyone or two phrases that are particularly compelling and to create aural transpositionexercises based on these phrases. Here one can either use the phrase exactly as it is foundon the recording, or alter it somewhat to make it suitable for aural transposition purposes.

Finally, let us address a common question that arises: Should one transcribe master artistswho play one’s primary instrument, or might it also be beneficial to transcribe master artistson other instruments? Both are beneficial. It may be easier at first to transcribe solos byartists on your instrument due to the familiar timbre and the greater likelihood that thelines will play well on the instrument. For this very reason, however, transcribing solos ofartists on other instruments can be highly beneficial in stretching your technical andconceptual horizons. Furthermore, musicians who play instruments such as the oboe andbassoon will have far fewer recorded examples to choose from and thus may have littlechoice but to transcribe solos by saxophonists, trumpeters, or other instrumentalists.

The following transcription project is inspired by the saxophonist David Liebman, whoasserts the need to transcribe a minimum of “five major solos” as a basic foundation for theaspiring jazz artist. Needless to say, the amount of transcribing that is appropriate will varyfrom one individual to another.


Exercise 7a

Solo transcription

Transcribe a solo from a recording of a jazz artist and play the solo in class along withthe recording, striving to match the master artist’s every note and nuance as closely aspossible. Be prepared to say a few words about the artist and the piece. In addition, beprepared to cite one or two favorite passages in the solo.


Scale and Chord Exercises for Cultivating the Swing Concept

This pattern is not only useful as a means for mastering swing articulation, it is also useful as a preparation for improvising on chord progressions, as the scales help inter-nalize the sounds of the chords and how they move. The next two exercises also serve thispurpose. Exercise 7c presents an arpeggio pattern. Exercise 7d presents a broken arpeggiopattern.


II–V7–I scale pattern

Extend these II–V7–I chord-scale patterns which utilize swing articulations, to all keys.


II–V7–I arpeggio pattern

Continue this II–V7–I arpeggio pattern in all keys. Instead of applying the abovearticulation, simply provide a slight accent on the second of every two eighth notes.Strive for the combination of legato phrasing and strong rhythmic integrity.


The above pattern will be particularly useful in expanding your use of larger intervals.Since it presents technical challenges and may take some time to master in all keys, youneed not achieve this mastery prior to working with the Jazz Etudes. What is important isto sustain in your daily practice a regular regimen of aural transposition that proceedsincrementally according to your ability. As with all aural transposition practice, you areencouraged to take some time to improvise with the shapes so that they begin to informyour playing. You are also encouraged to apply some form of arpeggio exercise, whetherExercises 7c or 7d in this chapter or some alternative, to whatever chord progressions youset out to improvise with.This will greatly aid in your hearing how the chords flow and yourability to spontaneously create melodies on those chords.

Exercise 7d and Example 7.10

Broken arpeggio pattern

Continue this II–V7–I broken arpeggio pattern in all keys. Again, provide a slight accenton the second of every two eighth notes, striving for legato phrasing and strongrhythmic integrity.

chapter 8

Melodic Line Construction and Harmonization

Composing and improvising are contrasting yet highly complementary modes of musi-cal expression. Both are capable of standing on their own as rich forms of creativity.Improvisation uniquely enables a kind of real-time, spontaneous invention and interactionthat is not possible through the discontinuous temporality of composition, where pieces are melded over a series of creative episodes that may span weeks or months. On the otherhand, the very discontinuous temporal framework of composition is uniquely suited toanother kind of expressive result—the design of rich formal architectures. As thesaxophonist Steve Lacy remarked, “there is a music that must be composed, there is anothermusic that can only be improvised.”1

Engaging with both processes can greatly enhance the development of musicianshipskills. Improvising can generate ideas for composition; composition can provide a kind ofstructural awareness that feeds back to improvisation, just to mention a few ways thesepractices can interact. In the earliest days of the European classical tradition, this synergistic


• Fine-tune our abilities for improvising and composing melodies.• Learn about target notes and passing notes.• Learn which notes are effective and which are problematic on different chords.• Work with guide tones, approach tones, surround tones, and the bebop scale.• Begin to harmonize melodies.

1 Steve Lacy, Findings: My Experience with the Soprano Saxophone. Paris: Outre Mesure, 1994, p. 21.

relationship between the processes was alive and well as most musicians improvised,composed, as well as performed—which has been the case in jazz since its inception. Thiscomplementarity in classical music has sadly become lost in a “division of labor” which hasprevailed in that tradition for the past century and half, where the majority of musiciansspecialize in performance, a distinct minority composes, and improvisation has becomealmost extinct. From this standpoint, a strong case could be made that jazz is more closelyaligned with the artistic legacy of Bach, Beethoven, Mozart, Schubert, and Liszt than thecurrent musicianship paradigm that is confined to performance of these (and other) masters’works. Happily there are signs that this paradigm is beginning to change, albeit slowly, asmore and more classical musicians are beginning to rediscover the gap in their artistic livescreated by the absence of these core creative processes.

In this chapter we explore compositional strategies as a means for both developing skillsas composers as well as enhancing our improvisatory development. Stepping back from real-time improvised performance and fashioning musical ideas and notating them over timecan help refine our melodic conception, knowledge of harmonic structures, chord scalepossibilities, and a host of other skills. We will now continue this work within the expandedparameters of contemporary tonal music.

Composing Melodic Lines on Chord Changes

Creating melodies atop chord changes is not fundamentally different from creatingmelodies atop the minor pentatonic bass lines we have worked with previously. In eachinstance a pitch field is implied that can be delineated by a scale or mode from whichmelodies may be fashioned. Within the scale, some tones are more consonant in relation-ship to the underlying line or chord and some are more dissonant. The most interestingmelodies are those that maintain a balance within the consonance–dissonance spectrum, asthis is essential to the interplay of tension and repose in the melody. While some sonoritiesthat have been considered dissonant in previous eras have become perfectly acceptable tothe contemporary ear, constraints nonetheless exist that determine what tones more closelydefine a tonal center and what tones create tension or movement away from that center.

The following principles will serve as a guide in the construction of melodies that alignwith the sonority of the chords against which they sound, yet also make effective use oftension for the sake of variety.

The first is that in any given phrase, the majority of tones will tend to be contained withinthe chord scale that is implied by the harmony sounding at the moment. This is not tosuggest that significant use of chromaticism is not possible; in fact, melodies in tonalformats may make use of all 12 chromatic tones. However, generally speaking, chromatictones will play more of a passing function rather than a target function. Target notes willtend to be diatonic notes contained within the chord scale.

Let us consider briefly the distinction between passing and target notes. Passing notesare those that, in any given phrase, move toward a target note; target notes function moreas landing points. In phrases involving notes of varying duration, passing notes will tend tobe shorter, target notes longer.

138 Melodic Line Construction and Harmonization

139Melodic Line Construction and Harmonization

In phrases where all notes are of equal duration, target notes will tend to be those onstrong beats. In Example 8.2 the first of each four eighth notes (beginning with beat threeof the first bar) may be considered a target note in relationship with the melodic cells thatprecede it. Each of these notes not only falls on a strong beat, but also is prepared by tonesa step below and a step above, thus further accentuating the note. Accordingly, such noteswill generally be within the chord scale as opposed to chromatic tones.

Here it is important to not confuse what we are calling passing notes with what aretermed “passing tones,” one of several “non-harmonic” tones, as categorized in Europeanclassical theory, although some similarities exist. Passing notes are defined largely by theirrhythmic placement in a melodic phrase, regardless of what harmonic structures aresounding at the time. Passing tones are defined in relationship to the harmonic structuresthat sound; they are non-chord tones that connect one chord tone with another and areusually approached and resolved by stepwise motion. Passing notes can move by step orleap. We will look at passing tones and other non-harmonic tones in European classicaltheory in Chapter 9.

A second principle is that within any given chord scale, certain tones are more conduciveto playing a target function than others. Table 8.1 delineates which diatonic tones are moreeffective as target notes. The Arabic numerals indicate both the relationship of a given toneto the chord and the scale, as this relationship is the same (the third of the chord is the thirdnote of the related chord scale). Here we encounter for the first time the concept of chordextensions—the use of ninths, elevenths, thirteenths, etc.—as devices that create richnessin sonority. We will later take these up more formally at the keyboard. For present purposes,extensions may be thought of simply as octave displacements of basic chord-scale tones: theninth of a chord is the same as the second degree of the scale, the eleventh the same as thefourth degree, the thirteenth the same as the sixth degree.

EXAMPLE 8.1

EXAMPLE 8.2

Diatonic Target Notes

TABLE 8.1 Effective and problematic target notes

Chord type Chord scale Notes with Also possible Problematic tonesmost direct target function

Minor 7th chord (II) Dorian 1,3,5,7,9,11 6 (or 13) Sometimes 6 (or 13)

Dominant 7th (V7) Mixolydian 1,3,5,7,9,13 Chromatic 4 (or 11)extensions to be considered later

Major 7th (I) Ionian (1),3,5,7,9 #11, 6 (or 13) 4 (or 11)

Later we will add chromatic tones, particularly on the dominant seventh chord, to thespectrum of possible extensions. Even from a diatonic standpoint, however, inasmuch asalmost all notes of a given scale are available as target notes (and thus also as passing notes),it is clear that we have much more latitude here in our note choices than in our species work.Whereas in species contexts seconds, fourths, and sevenths are considered dissonant tonesand have to be treated with care (e.g. resolved stepwise, preceded or followed by con-sonance), in contemporary tonal or modal formats, all of these tones, depending on thechord quality, may be perfectly acceptable and even sound as consonant as the basic tonesof the chord.

Let us take a closer look at these possibilities. The IImin7 chord is unique in that virtuallyall seven diatonic tones of the Dorian mode are available as target (and thus passing) notes.A partial exception to this principle is the sixth degree, which must be treated with care ifused as a target note in that it forms a tritone relationship with the third of the chord.Generally, the sixth will be approached and resolved by step when functioning as a targetnote.

The V7 chord involves tighter constraints in that within its corresponding Mixolydianscale the fourth degree of the scale—which is the fourth or eleventh of the chord—is notavailable as a target note. Whereas the sixth degree on the minor seventh chord was adelicate tone, the fourth degree on the V7 is more problematic. The reason for this is thatthis tone forms a minor ninth interval with the third of the chord, which is generally jarringto the ear (although an exception will be found on the V7(b9) chord). The same holds forthe fourth degree of the Ionian scale as it relates to Imaj7 chord. The fourth degree may beused as a passing note, but not as a target note. Accordingly, the fourth degree when usedon melodies supported by these chords will not be longer in duration than the notespreceding or following it.



Problems With the Root of the Major Seventh Chord in the Melody

In the last box of Table 8.1, which pertains to the major seventh chord, the root of the chordis in parentheses. The reason for this is that the root, perhaps ironically, can be somewhatproblematic due to either the interval of a minor ninth that may form between it and theseventh of the chord, depending on how the chord is voiced, or as seen in Example 8.3, ahalf-step between the top note of the voicing and the melody note. The effect may eitherbe jarring or at least obscure the melody note, which is usually a tone that needs to standout atop the harmony. If the root-as-target note is not excessively long, perhaps just aquarter note at a medium tempo, particularly if a longer target note follows within areasonable amount of time, then the use of this tone may be acceptable; the ear hears it asmotion along the way to a stronger landing point. However, if the target note is a half noteor longer, then the half-step or minor ninth relationship will likely be not the most desirablechoice (although notable exceptions to this are found in a variety of repertory). Example8.3 illustrates the problematic resolution (a), followed by several alternate strategies (b–e).

This can be remedied through several different strategies. One, as shown in 8b, is tochange the major seventh chord to a major sixth chord, one of several new chord types weare about to encounter. The major sixth chord includes a major sixth instead of a majorseventh. Play through Example 8.3 and notice that the problem with the half-step at thetop of the voicing is now resolved.

However, you may find, as do some musicians, that the major sixth sonority is somewhat“dated” and perhaps want something a bit richer. So try the next solution (in 8c), which is

EXAMPLE 8.3


to use a major 6, 9 chord. Now the ninth is used in the voicing instead of the third, one ofthe few instances in which the generally essential third is not included. Because of thestrong IImin7 V7 activity leading to this chord, the third is nonetheless implied and thereis no less a sense of finality in the major key. Does this chord sound a bit richer to your ears?

Two more possibilities with slightly more contemporary sonorities are also available tosolve the problem. One is to use a “sus chord” (shown in 8d), which is simply a triad inwhich the third is replaced by the fourth (or eleventh), the latter note being “suspended.”Second is to use a “sus 9 chord,” in which as the label in 8e indicates, a ninth is now addedto the sus chord.

These particular constraints aside, contemporary tonal practices provide considerablelatitude in terms of what notes may serve as important melodic tones. In Example 8.4 thetarget note on the Gmin7 chord is an A, which is the ninth. In a species format this intervalwould be considered dissonant, but in a contemporary tonal format (where seventh chordsare the basic unit), the ninth is perceived as consonant as any of the basic chord tones. Thisis evident when one plays the next example (Example 8.4): the ninth is just as resonant orstable a target note as the target notes in the second and third bars, which are, respectively,the seventh and third of their corresponding chords.

Melodic Analysis

In Example 8.5, Arabic numerals are shown that indicate the relationship between eachtone of the melody and the chord sounding at the time. This kind of melodic analysis, alsoencountered in our species work, is helpful in refining the capacity to improvise andcompose coherent and compelling melodies atop chord progressions. It is not that one willnecessarily be consciously aware of these particular numerical relationships during thecreative flow. However, attending to this kind of detail in these exercises will help fine-tunethe connection between ear and intellect, and thus the ability to create melodies that areclosely aligned with the chords.

EXAMPLE 8.4

EXAMPLE 8.5


Let us now go further into the inner workings of the melody–harmony relationship.

Guide Tones

Recall that at the beginning of Chapter 6 we examined the major scale and the key role thehalf-step relationship played in defining the melodic tendencies inherent in that scale. Alsoof importance were considered downward stepwise scalar motion (e.g. 2 to 1) and rootmovement by fourths and fifths. This brings us to the concept of guide tones, which areessential notes that uphold the quality and function of a given chord. They are the tonesthat, if one were to remove all the other tones, are most capable by themselves of upholdingthe harmonic movement. Our primary concern here are guide tones in a IImin7-V7-Imaj7context, where the guide tones are the thirds and sevenths of the chords. Consistent withour approach to all harmonic materials, we will realize guide tone lines at the keyboard,shifting from our customary five-part approach to a three-part approach. You may besurprised to hear that even the seemingly thin three-part texture comprising bass notes (lefthand) and thirds and sevenths (right hand) is able to capture the richness and coherence ofthe II–V7–I harmonic movement. Later we will see that this foundation supports the mostlush chord extensions and alterations.

Example 8.7 provides the core guide tone pattern in a few II–V7–I sequences. Observean interesting voice-leading tendency where, between any two chords within a given


Melodic analysis

Provide a melodic analysis for this melody. Circle target notes. Identify with an asterisk(*) any flaws you detect according to the principles discussed above.

EXAMPLE 8.7

II–V7–I, one of the guide tones serves as a common tone and thus does not move while theother guide resolves down a half-step. Understood another way, the third of the IImin7 isthe same tone as the seventh of the V7 and thus remains stationary between the chords,whereas the seventh of the IImin7, which would be the fourth degree of the V7, resolvesdown a half-step to the third of the V7 chord, thus harkening back to the centuries-old 4-3 suspension that was found frequently in European classical harmony.

As always, strive to play with a steady rhythm—speed is not important but solid pulseis—and in each moment, hear in advance, or allow your awareness to sense, the nextsonority. Note that because this II–V–I sequence moves down by whole steps (II–V–I inC, then in Bb, then Ab, etc.), you will return to the original key after six sequences (as you did in prior keyboard exercises). At this point, begin the sequence once more a half-step higher or lower than where you initially began, and you will cover the remainingsix keys.

In the next exercise, the guide tones are reconfigured so that instead of beginning withthe seventh of the II chord on top, the third of the II chord is on top.


Exercise 8b

Keyboard exercise

Realize the remainder of the above sequence (Example 8.7) at the keyboard in all keyswithout the aid of notation.


Keyboard exercise

Continue the sequence of guide tones through all keys at the keyboard without the aidof notation.


Written Application

Example 8.9 presents II–V–I progressions that move freely and randomly (following no setpattern) between key areas. Consistent with the above illustrations, all voices move only bystepwise motion within a given II–V–I and there is always a common tone between anytone chords within any given II–V–I sequence. This takes the concept of smooth voiceleading to a new level, however, by retaining a common tone between all chords—eventhose at the borders between two very distant tonal areas. In fact, the guide tones for theGmaj7 chord that ends the first sequence are precisely the same tones—just spelledenharmonically to reflect the shift from G to Gb—for the Abmin7 chord that functions asII of the next sequence. When that sequence cadences on Gbmaj7 and is followed by aCmin7 chord, the guide Bb is retained and the guide tone F just needs to move down onlya step even though the roots of the chords are a tritone apart. The same smooth voice-leading practices are found when the Bbmaj7 is followed by the F#min7 which is II of thefinal II–V–I sequence.

Exercise 8d

Singing guide tone sequence

Divide the ensemble or class into three groups. Group A sings the roots, Group B beginswith the third of the II min7, Group C begins with the seventh of the II min7. After sixkeys, switch parts. Maintain a steady pulse at all times; it may be helpful to havesomeone conduct.

EXAMPLE 8.9

Written exercise

Using the above format, write a sequence of guide tone lines in the treble clef, withroots in the bass clef, corresponding to the chords indicated. Be sure to use the


Exercise 8e and Example 8.10

smoothest voice leading possible not only within diatonic areas, but when moving fromone key area to another (e.g. never use larger than a second between the upper fourvoices and retain common tones when possible).


Incorporating Guide Tones in Melodic Lines

Let us now examine how melodic lines can incorporate guide tones to create a strongrelationship with the underlying harmony. Recall from the previous chapter that guide tonesare the thirds and sevenths, prominent active or tendency tones, of chords. At first glance itmay seem that one strategy for aligning melodies with chord changes would simply be tocreate lines in which most of the notes are guide tones. This is neither necessary nor, for thesake of interest, advisable. In fact, much more important than how much of a given linecomprises guide tones is where guide tones occur. Strong lines—those that follow principlesof contour and internal coherence (e.g. melodic cells, target notes, etc.)—and that use guidetones at strategic points may be more closely aligned with the chord changes than weakerlines that make extensive use of guide tones. This will be particularly evident in thefollowing lines, which consist primarily of eighth notes in order to exemplify the 2:1

Exercise 8f and Example 8.11

Written exercise

Example 8.11 provides only the guide tone lines, omitting the bass notes. Your task is tofill in the bass notes and provide the chord symbols.


principle central to mastering time-feel improvising (always keeping in mind that allrhythmic relationships are possible and necessary to musical vitality).

These illustrations of quasi-improvised lines show how guide tones, used at strategicpoints, can help align a melody with the chord changes sounding. One strategic point iswhere the guide tone occurs on a strong beat in the measure or phrase (e.g. the first beat ofthe measure, or the first of four successive eighth notes). Second is when the contour of theline shifts (e.g. a change in direction) or the prevailing interval shifts (e.g. stepwise motionis followed by an interval larger than a second). The ear perceives these points where someprevailing pattern shifts as structurally important. When guide tones sound at these pointsthey attract attention, and given the inherently close link between guide tone and harmonicfunction, this reinforces the impact of the guide tone.

In Example 8.12, our focus is on the use of guide tones on the II and V chords, and lesswith its usage on the I chord. The reason for this is that the sense of finality or closure maybe produced by a variety of tones other than three and seven, as the examples indicate.Thereis prominent use of chord scale degree five as the final note; degrees five and nine in factcreate as much or more sense of closure than the guide tones.To the contrary, the conveyingof movement on the II and V chords can be uniquely enhanced by strategic use of guidetones, as these lines illustrate.

While the following lines—which are excellent for aural transposition practice—areinternally coherent as well as clearly aligned with the chord changes, jazz improvisers com-monly employ chromaticism in varying capacities, particularly on the V7 chord. Example8.13 shows an additional series of lines that, as with those above, make strategic use of guidetones, but also incorporate chromaticism in several different yet closely related capacities.In bar 1, the chromatic note is preceded and followed by a half-step and thus assumes apassing function. In bar 2, the G and E# approach the F#—which it must be emphasized isthe third of the D7 and thus diatonic to the key area—from above and below; while G isnot a chromatic tone, it functions in tandem with the E# as a surround tone that leads to theF# target. The term derives from the fact that the tones frame—and thus surround—the

EXAMPLE 8.12


target from a half-step above and below. The same effect is found in bar 3 where the A# andC approach the target note B from above and below, and again in bar 4, where the A andF# approach G from above and below. In bar 5, the D# serves as an approach tone to thearpeggio that follows and lands securely on the fifth of the I chord.

In Example 8.14, a chromatic tone serves as a lower neighbor in bar 2, and another useof surround tones is shown in bar 3.

Example 8.15 is an illustration of chromaticism resulting from the frequently used bebopscale. It shows the scale, which is a Mixolydian mode with both minor and major seventhdegrees, followed by a phrase that incorporates the scale on the V7 chord in an idiomaticmanner. Notice that the chromatic motion in the bebop cell from C to B to Bb is interruptedby a leap up to D before continuing to A.

EXAMPLE 8.14

EXAMPLE 8.15

EXAMPLE 8.13


Examples of the bebop scale are found in Jazz Etudes 7 and 14 in Appendix 4. Lowerneighboring tones are found in Etudes 14 and 17, approach tones in 10, and surround tonesin 17.

Two Approaches to Composing Melodies on Chord Changes

As we begin to develop our composing abilities in chord changes formats we will pursuetwo different approaches, both of which we have already encountered in our small groupwork. Recall from the small group framework outlined in Chapter 4 the tasks of creating amain theme, or what is called the “head,” and also a quasi-improvised, tutti line (so calledin that it is intended to sound like a written-out improvisation). We will refer to the first ofthese approaches (main theme, or head) as a song-form approach, which will generallyresult in a simpler, more symmetric, perhaps predictable kind of melody for which onemight imagine lyrics being created. Song-form themes will tend to make more use ofantecedent-consequent, or question-answer phrases than quasi-improvised lines, which willgenerally employ faster moving notes (with prominent use of eighth note lines) and, likemuch improvisation, are not as predictable.

Observe both the use of motivic development (motive 1 in the first two bars, repeatedon a different pitch level in bars 3 and 4) and antecedent-consequent structure, where thenew melodic material in bars 5 and 6 serves as a kind of response to the question posed bythe first two motives.

Notice also that in bars 1, 3, 4, and 5 there is an eighth note on the second half of beat 4that is tied over the bar line, yet the chord symbol is listed on the first beat of the next bar.The question arises: Which chord change applies to such notes—the chord of the presentmeasure or the new measure? In other words, is the G at the end of bar 1 harmonized byBbmaj7 or Ebmaj7, which is listed to sound one half-beat later? In fact, the G is harmonizedby Ebmaj of bar 2, even though the chord is indicated to sound on bar 1.

A second category of composing on chord progressions is one we have already encoun-tered in the tutti melodies we created in the small group mode-rhythmics frameworks.Called the quasi-improvised melody, it is intended to sound like a written-out improvisedline that embodies salient features of time-feel-based improvising. These include theprominent but not exclusive use of eighth notes, and instead of antecedent-consequent

EXAMPLE 8.16


phrases that create a sense of melodic symmetry, they involve more of a forward motion andspinning out of new ideas.

Example 8.17 is written on the same chord changes as the song-form melody in Example8.16.

Harmonizing Melodic Lines

So far, our consideration of melody–harmony relationships has involved pre-establishedchord progressions. In other words, we have not yet created harmonies but rather have beengiven harmonic progressions and played them at the keyboard, and improvised andcomposed melodies atop them. Now let us consider the melody–harmony relationship fromthe standpoint of a melody without chords, and thus which we must harmonize (come upwith chords that fit the melody). This will be invaluable to our work in creating jazz andpop compositions.

Top–down Harmonization at the Keyboard

A series of preliminary harmonization exercises that are done at the keyboard is presentedbelow. The exercises provide a melody note and a chord symbol; your task is to play themelody note and fill in the remaining notes below it. This means we end up with the same

Exercise 8g

Written exercise

Compose two kinds of melodic lines on the progression: song-form and quasi-improvisedlines. Provide Roman numeral analysis of the progression and melodic analysis of yourmelodic lines.

Dmaj7 Bmin7 Gmaj7 Emin7 C#min7(b5) F#min7

Emin7 A7 Dmaj7

EXAMPLE 8.17


four-note voicing in the right hand, and the root of the chord in the left hand, that we havebeen employing so far. However, instead of seeing a chord symbol and voicing the chordfrom the root on up, now we see a chord symbol and a melody note and voice the chordfrom the melody note on down. Now, in the right hand, the little finger becomes the guide,as it is the finger that will often play the top and most prominent melody notes. Here itshould be emphasized that it is essential to keep the melody note on top as the ear hearsthis tone as the most prominent. This principle is also important in arranging andorchestration. As a general rule (there are always exceptions in music!), the highest note ina voicing is most prominent, and thus harmonies are voiced below rather than abovemelodic lines.

Example 8.18 provides a melody consisting only of half-notes in order to demonstratethe harmonization principles involved, with chord changes.

Observe the use of skips in the melody, which will require the voicings to employ similarskips. Although thus far we have stressed smooth voice leading in our keyboard realizationswhere we use minimal shifting in hand position, the reason for this was to develop theability to voice our chords in multiple positions (instead of playing every right-hand voicing1, 3, 5, 7) that can be adapted to the musical situations encountered. Now that we areharmonizing a given melody—and most melodies employ leaps at least occasionally—weneed to be able to follow the melodic contour in our harmonizations. Accordingly, Example8.19 shows one way of voicing this progression with the melody on top and the other notesfilled in within reach.

Example 8.20 provides another version of essentially the same voicing scheme, exceptnow rhythmic variety is introduced. This not only lets the music breathe a little by movingaway from block chords, it also creates the sense of top–down voicing, where the melodynote sounds first, and the harmony follows a half-beat later. Notice that this pattern is atop–down version of one of the basic comping patterns provided in Chapter 6; in thosepatterns, the bass note would sound first, and the chord a half-beat later.

EXAMPLE 8.18

EXAMPLE 8.19


Needless to say, most melodies consist of more than just half-notes, and so let us proceedto apply these principles to melodic lines that are more florid—where more than onemelody note sounds against any given chord (Example 8.22).

To harmonize this type of melody, let the chord ring by use of the sustain pedal afterplaying the first melody note, and then play the remaining melody notes before releasingthe pedal and moving to the next chord (Example 8.23).

Exercise 8h and Example 8.21

EXAMPLE 8.20

Harmonization

Harmonize these melodies using either one of the two top–down approaches (blockchords or more rhythmic approach) illustrated above.


Exercise 8i and Examples 8.24–8.25

Keyboard exercise

Play the following melodies and chords at the keyboard using the above approach.

EXAMPLE 8.22

EXAMPLE 8.23


Harmonic Rhythm

Let us now consider strategies for harmonizing a given melody in which no chords aregiven. The first step in this process is to determine what is called the “harmonic rhythm”that is implicit in a given melody. Harmonic rhythm pertains simply to the frequency withwhich chords change. A piece in which chords change every measure has a slower harmonicrhythm than pieces which involve two chords per bar. In Example 8.25 the harmonicrhythm changes—the piece begins with chords changing once per measure, and theharmonic rhythm increases to two chords per bar in the second and third measures fromthe end. The reason in this case was that the succession of half-notes in the melodysuggested that to change chords with each note would be an effective way of bringing outthis particular melodic passage.

More than one harmonic rhythm may be effective for any given melody. Example 8.26shows two harmonic rhythms applied to the well-known theme from the last movement ofBeethoven’s Ninth Symphony. Harmonization 1 follows Beethoven’s approach to the themefor much of the movement and consists only of I and V chords, with one chord per measure.Harmonization 2 consists of a much faster harmonic rhythm that involves a chord changeeach beat. Notice the contrary motion between melody and bass that is created through themore frequent chords, as well as use of inversion, in harmonization 2. When the melodyascends, the bass descends, and vice versa.

A second step in harmonizing a melody is to make sure that the melody notes whichoccur within the length of time a given chord sounds are part of the chord scale. Thispertains not only to target notes but to passing notes. Here is where chord-scale analysisfor improvising purposes is highly useful for composing. If there are melody notes outsideof the chord scale, then they need to be approached by step, in the same way we approacheddissonance in our species counterpoint writing.

Third, make sure that in the harmony you choose, target notes are not only included inthe chord scale, but are not among the problematic tones we have identified above.Generally, your ear will tell you when problems arise. One way of avoiding this situation is

EXAMPLE 8.26


to place target notes as priorities when creating harmonizations. Harmonize these first,finding the best sonority for these tones, and then see if the other melody notes of thatphrase—or whatever length passage is to be harmonized by a given chord—also fit withinthat harmony. More often than not, if you arrive at an effective harmonization for a targetchord, that chord will also work well for the passing/connecting melodic notes leading upto it.

Thus the process of harmonizing a melody does not necessarily have to follow thetimeline of the music (e.g. proceeding from the first melody note sequentially through themelody). This process can begin with some target point well into the melody—even thefinal phrase or note—and work backward from that point. Once you come up with aworkable chord at one point, be open to an even more compelling option to present itselfas you work out the other chords. This leads to a further principle. Your sequence of chordsneeds not only to fit with the melody, it needs to sustain coherence on its own. Suffice toemphasize here the importance of playing the chord sequence apart from the melody andusing your ears and instincts to determine the degree to which your chord sequencemaintains this kind of internal integrity. As you play your sequence, use differentconfigurations of the chords. We are not yet using inversions, just staying with root-positionharmonies (where roots are in the bass), but you can vary the way you voice the chords inthe right hand when you play them at the keyboard. Strong progressions will generallysound coherent even when played in a variety of configurations.

Small Group Application

Begin to compose compositions and tutti passages for your small group, using the principlesintroduced in this chapter. Be sure to use these approaches when you compose tutti linesfor your performances of the Jazz Etudes (Appendix 4).

Exercise 8j

Harmonization exercise

Choose a familiar melody and, without referencing a notated version of it, come up withyour own harmonies. Again, do melodic analysis, sing the melody and play the chords atthe keyboard.

Exercise 8k

Compose your own melody

Compose your own melody and harmonize it. Do melodic analysis, sing, and play asabove. Work with a partner who will play the theme and then improvise on it, with youproviding accompaniment (“comping”).


SUMMARY QUESTIONS

1 What kinds of musical expressions are possible through improvisation, but notpossible through composition, and vice versa?

2 What did Bach, Beethoven, Mozart, and Liszt have in common with today’s jazzmusicians?

3 Identify the notes of the chords and chord scales that can serve as target notes onthe three chords of the II–V–I progression.

4 The ninth is too dissonant a tone to serve as a target note on any of the chords ofII–V–I. True or false?

5 Why can the root of the major seventh chord be problematic when used as amelody note that is sustained for a half-note or more in duration? What stepsmight be taken to rectify the situation?

6 What are guide tones?

7 Guide tones provide a greater sense of finality or closure on the I chord than tones5 or 9. True or false (circle one)?

8 How does the bebop scale differ from the Mixolydian mode?

9 One of the first steps in harmonizing a melody is to determine the frequency withwhich chords will change, as implied by the melody. This frequency with whichchords change is called the ________ _______.

10 The best way to approach harmonizing a melody is always to work from beginningto end; in other words, to first harmonize the first measure, then the next, thenthe next, and so on. True or false?

11 One of the most effective chords to harmonize an F in the melody, particularlywhen it functions as a target note, is an F major seventh chord. True or false?Defend your answer.

chapter 9

Chord Inversion Present and Past

Chord Inversion in Jazz

Although much jazz harmony involves root-position chords—with richness and varietyachieved through frequent use of extensions, alterations, and fluid movement between closeand distant key areas—the use of inversions also plays an important role in repertory createdor adapted by jazz musicians. Example 9.1 illustrates one of the most common uses ofinversion in jazz, involving a chromatically descending bass line which forms a counterpointline that is complementary to, yet independent of, the melody.

Notice two contrapuntal relationships between the descending chromatic bass line thatis created by the use of inversions and the melody. The first is shown in Example 9.2.Between bars 1 and 2 and 3 and 4, with the melody note moving upward by step from C


• Examine the use of chord inversion in contemporary and older formats.• Compare non-harmonic tones in European classical music to chord extensions in

jazz.• Analyze Bach chorales via Roman numeral analysis.• Play chord inversion exercises at the keyboard.

Recommended listening: Many recordings of this piece are available, including J.J.Johnson, Proof Positive (Impulse 1964); Ahmad Jamal, Ahmad Jamal Live (Passport Audio2006, originally released 1958); Carmen McRae, Carmen McRae Sings Great AmericanSongwriters (UMG 1993; originally released 1955); and Chet Baker, My Funny Valentine(Blue Note 1994).

159Chord Inversion Present and Past

to D, the bass line moves in contrary motion from C to B and then Bb to A. If we then lookat the opening melodic phrase in broader terms as a kind of elaboration of the tonic noteC—notice that the melody returns to C every third bar in the first six measures—we finda type of oblique motion forming between the melody and descending bass line (again,C-B-Bb-A-Ab). This is illustrated in Example 9.3.

Notice as well two new chord types in the above progression, both of which are shownin root position in Example 9.4. One is the minor-major seventh chord, which involves aminor triad and a major seventh interval (notice that the major seventh is indicated by M7 within the parentheses for ease of reading). Another is the minor sixth chord, which isa minor triad with a major sixth. The minor sixth chord may also be thought of as aminor7(b5) chord in first inversion. Be careful not to think of the minor sixth chord asincluding a minor sixth, which is a common error; this would make it a major seventh chordin first inversion. Minor sixth chords may be easily remembered as the counterpart to themajor sixth chord encountered in the previous chapter. Whereas the major sixth chordincludes a major triad and major sixth, minor sixth chords include a minor triad and a major sixth.

EXAMPLE 9.1 Rogers and Hart, “My Funny Valentine” © 1937 Chappell & Co., Inc. All rights for the extendedrenewal term in the U.S.

EXAMPLE 9.2

160 Chord Inversion Present and Past

Steve Swallow’s composition Falling Grace also makes use of inversion to create half-stepmotion in the bass. Here, however, the overlying chords change as the bass notes change,thus resulting in two kinds of voice-leading activity: one involves the chromaticallydescending bass line, the other the movement of chord tones inherent in the overlyingharmonies (the overlying chord structure remained constant in My Funny Valentine).

Because jazz harmonies are usually extended beyond the seventh even if only the seventhis indicated in the chord symbols—a topic we will take up in depth in Chapters 13 and 14—an interesting situation arises when it comes to chord inversion. Generally speaking, whena chord inversion is indicated, the chord is not extended, as this may obscure the effect ofthe contrapuntal movement between bass and melody created by the inversion and, in fact,suggest an entirely different chord.

EXAMPLE 9.3

EXAMPLE 9.4

EXAMPLE 9.5 Steve Swallow, Falling Grace. © Celestial Harmonies. Used by permission.

Recommended listening: Chick Corea and Gary Burton, Crystal Silence (ECM 1973).

In European classical music, the frequent use of triads and some seventh chord activityrather than chords extended beyond the seventh yields a harmonic texture particularlyconducive to chord inversion, since the relationship between bass line and upper voices isable to assume prominence. Exercise 9a illustrates how, through the use of inversion, aneffective counterpoint can occur between melody and bass while sustaining a harmonicrhythm in which a chord changes with each note. This provides our first encounter withthe figured bass line, which is a bass line using Arabic numerals to indicate when chordinversion is used. If no figuration is provided, the bass note is the root of a triad diatonic tothe key (hence a C with no figuration in the key of C indicates a C major triad). Recall fromChapter 5 the particular inversions indicated by each figure as you complete this exercise.

Non-harmonic Tones

We will shortly look at the use of inversion in Bach chorales as exemplary of this practicein European classical music. Prior to doing this, it will be important to examine what arecalled non-harmonic tones. Non-harmonic tones, as the heading suggests, are tones thatare not contained in the harmony that sounds at a given moment. It is interesting to notethat no such heading exists in jazz, largely because the denser harmonic texture—where thebasic unit is the seventh chord, which is often extended—supports a much wider array oftension atop the basic chord. To give an example: whether or not the ninth of a chord isspecified in the chord symbol or played by the pianist or guitarist in a jazz group, this tone can sound as resonant as any chord tone, even when sustained, when played by the improvising soloist. European classical music, on the other hand, involves a thinnerharmonic texture in which the triad is the basic unit, with occasional seventh chord activity,as we will see in Bach chorales, thus yielding a different framework for tones that are out-side of the harmony at a given moment. Here non-harmonic tones require more delicatetreatment when it comes to their approach and resolution. Whereas in jazz we can leap into



Keyboard exercise

Fill in the Roman numerals under the bass clef (Example 9.6). Then play the example atthe keyboard and fill in the missing chord tones in between the melody and bass notes.


and out of ninths and raised elevenths on major seventh chords, for example, in Europeanclassical harmony so-called dissonant tones are generally approached and resolved by step.It is thus important to emphasize that the terms dissonance and consonance relate toparticular style periods in tonal music. Much of what had been considered dissonant, assuggested above with chord extensions, sounds consonant to the contemporary ear. Still,some common threads may be identified between contemporary and past tonal practice.For example, we still hear the fourth (or eleventh) degree of the major or dominant chordsas wanting to resolve to the third.

Four types of non-harmonic tones are of interest here. Passing tones, the most commontype of dissonance, move by step and connect two different chord tones a step apart, asshown in 9.7a. Neighboring tones move either a step up or down from a chord tone and thenreturn to that tone. 9.7b shows a lower neighboring tone, 9.7c an upper neighbor, and 9.7ddouble neighboring tones, those that move a step above and below the note they serve toembellish. 9.7e illustrates an anticipation, which is a non-harmonic tone when it first sounds(here as a B on the D7 chord) but when the harmony changes (to G, which includes thetone) and the tone is repeated, it is now a chord tone. The ear groups the two functions ofthe same tone into a sequence that moves from tension (non-harmonic function, thusdissonant) to repose or release (harmonic function, consonant). Suspensions are tones thatbegin as chord tones and are tied over the bar line (thus suspended) to become dissonances,because they are now a non-chord tone, when the chord changes.

Bach chorales are an ideal format for studying the use of inversion. Several excerpts aregiven in Examples 9.8 to 9.12. Needless to say, not all the chords are inverted, but theinstances where inversion is used are idiomatic of European classical common practice. Inanalyzing these chorales according to the following specifications, not only will it benecessary to stack notes in thirds in order to determine their roots, but it will also benecessary to determine which tones are chord tones and which are non-chord (or non-harmonic) tones. Passing tones, for instance, may occur either on the strong part of the beator the weak part of the beat, and it will thus be necessary to examine these notes in termsof what precedes or follows them.

EXAMPLE 9.7


Exercise 9b and Example 9.8 JS Bach, Chorale 153

Exercise 9c and Example 9.9 JS Bach, Chorale 22

Exercise 9d and Example 9.10 JS Bach, Chorale 65

Analysis of Bach Chorales

Exercises 9b–9f

Bach chorales

Provide contemporary chord symbols, key, and Roman numerals for these Bach chorales.Use both kinds of Roman numeral analysis systems (Euroclassical and jazz/pop), as shown.Circle non-harmonic tones (e.g. passing tones, suspensions). Be sure to indicate in bothyour contemporary chord symbols and Roman numerals the proper inversion. (e.g.I6;Fmaj7/A).

The first exercise (9b) provides a sample of the correct information to get you started.


Exercise 9f and Example 9.12 JS Bach, Chorale 26

Mozart, A Major Piano Sonata

Provide contemporary chord symbols, key, and Roman numerals for this excerpt from theMozart A Major Piano Sonata (Example 9.13). Notice that this passage contains one non-diatonic tone—a note outside the key of the piece. While we have not yet dealt withnon-diatonic harmonies, after determining the chord of which the tone is a member, doyour best to describe how that chord functions and assign it a Roman numeral.

Exercise 9e and Example 9.11 JS Bach, Chorale 42


The remaining exercises involve further instances of inversion in jazz and popular musiccontexts. Notice the contrapuntal line created between top voice and bass that is created bythe use of inversion (contrary motion in 9h, oblique in 9i ). Notice also how the sonoritiesof the most common diatonic chords (e.g. I6 and V6) are changed through the use ofinversion.

Exercise 9i uses inversion to create a pedal effect, where chords change atop a stationarybass note. Notice the effect that results when the G pedal resolves down a half-step in bar 3

Exercise 9g and Example 9.13 Mozart, Sonata, K. 331, 1

Recommended listening: Daniel Barenboim, Mozart: The Piano Sonatas (EMI 1991).


Keyboard and written exercise

Play this progression, making sure that the notes given are the top notes of the voicings.Then write out in the very keyboard style you use to play the chords (two staves, three-or four-note voicing in treble clef, bass note—which is not always the root of the chord—in the bass clef).

Exercise 9i

Written exercise

Write a melody on these same chords and inversions, making prominent use of the notesgiven but with more florid rhythms.


to the first inversion V6 chord. Observe also the use of a non-diatonic chord in the first bar,which gives a glimpse of forthcoming terrain. How might this chord be analyzed in termsof a Roman numeral?

Pedal Point and Inversion

Another approach to inversion is through the use of the pedal point, which is either asustained or repeating single note in the bass atop which chords change. While pedal notesneed not be chord tones, notice that in Example 9.16 the pedal note is indeed a member ofeach chord that sounds above it, even while these chords are derived from quite disparatekey areas. Play the progression and notice how the pedal note upholds a strong unifyingfunction amidst this harmonic movement.


Keyboard and written exercise

Play this progression and then write it out in keyboard style.

Exercise 9j

Written exercise

Write a melody on the above chords, making prominent use of the notes given, but withmore florid rhythmic values.


Written exercise

Choose a pedal bass note and see how many different kinds of chords you can createabove it.

Exercise 9k

Exercise 9l

Composition exercise

Create a composition in lead sheet form (melody and chord changes) in the followingformat. For the first eight measures use a pedal point, for the next eight (or more) barsmove away from the pedal point and use chords with changing bass notes. In the secondpart, make some use of inversion to create a contrapuntal relationship between the bassline and the melody, along the lines of My Funny Valentine and Falling Grace.

EXAMPLE 9.16

chapter 10

Non-diatonic Harmony I:Applied Chords

So far our consideration of tonality has been largely confined to diatonic harmony, whereall chords encountered comprise tones within an overarching key area. Now we turn to non-diatonic harmony, in which some of the chords encountered contain tones that are notwithin the key. Non-diatonic harmonies can add color and variety to a given key and canmanifest both as temporary movement to a new key, which is called tonicization, or a morepermanent shift from one key area to another—called modulation—where the ear no longerhears the original I chord as the tonic but in fact hears a new chord as I.

The first type of non-diatonicism we will examine involves applied chords, which comein two forms: secondary dominant chords (also called applied dominants) and the closelyrelated secondary leading tone chords. Secondary dominants will be dominant-structurechords, as occur on scale degree V in major and minor keys; secondary leading-tone chordswill be half-diminished (or minor7b5) structures as occur on VII in major keys, and fullydiminished seventh chords as occur on VII in minor keys. In Chapter 11 we will take upanother kind of non-diatonic practice called modal mixture, where chords are borrowed froma different mode than that in which a piece or section is rooted (e.g. a piece in major modeusing a I minor or IV minor chord). We will see a fundamental distinction between the twokinds of non-diatonicism to be as follows: secondary dominant or secondary leading-tone


• Begin work with non-diatonic harmonies in the form of applied chords (secondarydominant and secondary seventh chords), passing diminished seventh chords, andsubstitute dominant chords.

• Do corresponding keyboard realization work.• Learn chord–scale relationships that correspond to non-diatonic harmonies.• Expand our free-tonicization work to include non-diatonic principles.

169Applied Chords

chords will be either dominant, diminished, or half-diminished in quality, whereas modalmixture chords will be major or minor quality chords.

Secondary Dominant Chords

Let us begin with the common diatonic chord sequence examined in the previous chapter:

Cmaj7 Amin7 Dmin7 G7 I VI II V

Here is a common variation of this sequence, where a non-diatonic harmony is introduced:

Cmaj7 A7 Dmin7 G7

I V7/II II V

Example 10.1 provides notated versions of the two above closely related progressions:

Whereas the Amin7 chord, diatonic to the key of C, is analyzed as VI in the firstexample, the A7, which is non-diatonic (it contains a C#), must be analyzed differently. The

EXAMPLE 10.1

170 Applied Chords

A7 is a secondary dominant chord, and we analyze it as V7 of II or, as indicated, V7/II. Letus go into the reasons for this.

Beginning with the differences in how the diatonic Amin7 and non-diatonic A7 sound:Play the two progressions at the keyboard. Notice that both chords follow smoothly fromthe I and lead smoothly to the II. But when the diatonic VI chord is changed to a dominantstructure chord that is non-diatonic to the home key, additional color is added to theprogression. Moreover, you will probably agree that the A7 drives more strongly than theAmin7 to the II chord.

We call the A7 a secondary dominant chord because it functions not as V in the homekey, but as V of another key center within the home key. In this case, the A7 is dominantin relationship to D, which is II in relationship to the home key of C. Following this sameprinciple, a D7 chord in the key of C would by a V7/V; the D7 is non-diatonic to C sinceit contains an F# (and thus we cannot analyze the D7 as II even if the root of the chord isthe second degree of the key) and, since D7 is V of G, which is V in the key of C, we arriveat the V7/V analytical description. A very simple formula can be identified here that helpsus easily determine secondary dominant chords in any key:

When a dominant structure chord is encountered that is not diatonic to a key, we call itV (or V7) not of the home key, but of the key or chord that the chord is V7 of. We canthink of that implied destination—which as we will see is not always arrived at as thetarget key or chord. The relationship between the target key/chord and the home key isindicated to the right of the vertical slash (e.g. V7/V, or V7/II, or V7/III, etc.).

Let us now bolster our analytical grasp of secondary or applied dominant chords.Example 10.2 provides a handy illustration of the secondary dominants that are V of eachdiatonic chord in major.

Exercise 10a

Keyboard exercise

Play the following progression in all 12 keys at the keyboard, proceeding chromaticallyor around the cycle of fifths.

Imaj7 V7/II IImin7 V7 Imaj7

EXAMPLE 10.2

These drills will help you hone your understanding of these principles and enable you tobecome fluent in secondary dominant chords.

Secondary II–V7 Sequences

Applied or secondary dominant chords are often preceded by their IImin7 chords to forma II–V relationship. So if we take the standard Imaj7 V7/II IImin7 V7 sequenceconsidered above, we can interject in the second bar the II of the applied dominant (not tobe confused with the II of the tonic key) to form a secondary II–V7 sequence:

Cmaj7 Emin7 A7 Dmin7 G7

IIImin7 V7/II IImin7

IImin7 V7/II II

Notice that the Emin7 can be analyzed in two ways—as IIImin7, since it is diatonic to thekey of C, or as part of the II–V7/II sequence it forms with the A7. By including the IIwithin the bracket we differentiate it from the ordinary, diatonic II chord. While each ofthe two interpretations is technically correct, analyzing chords in relationship with otherchords is, generally speaking, preferable and thus we favor the second approach when theoptions present themselves. This situation arises in the following exercise and a numberof others that follow. Provide both analytical interpretations in such instances.

171Applied Chords

Exercise 10b

Drills

In the key of F, a D7 chord is analyzed as _____________.

In the key of G, a B7 chord is analyzed as _____________.

In the key of Bb, a D7 chord is analyzed as ____________.

In the key of Ab, a Bb7 chord is analyzed as ____________.

In the key of A, a C#7 chord is analyzed as _____________.

In the key of Gb, an F7 chord will be analyzed as ________.

172 Applied Chords

Secondary Dominant Chords of Non-diatonic Target Chord/Key Areas

In each of the above exercises, the secondary dominant chord is V7 of a chord whose rootis diatonic to the key, which is the most common form of secondary dominant harmonies.However, sometimes the target chord is non-diatonic to the key and must be indicatedaccordingly when we do Roman numeral analysis. To illustrate, a C7 chord (which containsa Bb) in the key of G is analyzed as V7/bVII: C7 is V of F, which is bVII in G. To call thisC7 chord V7/VII would be incorrect, because VII in G is F#, and V7 of F# is C#7.


Analysis

Identify the chord symbols, key, and Roman numerals for this progression (theprogression is in a single key, which is not discernible by looking at the key signature dueto the use of accidentals). Be sure to label secondary dominants properly, includingbracketed II–V and secondary II–V sequences and arrows indicating resolution to targetchords, as appropriate.

Exercise 10d

Keyboard exercise

• Realize this progression in several keys at the keyboard. Notice that the IVmaj7 chordbecomes the I of the new key, necessitating that this sequence proceeds around thecycle.

Imaj7 IV IIImin7 V7/II IImin V7 I maj7 V7/IV IVmaj7new key: I maj7 IVmaj7 IIImin7 V7/II IImin7 etc.

• Realize the following chord symbols.

Gmaj7 E7 Amin7 D7 Dmin7 G7 Fmin7 Bb7 Ebmaj7 C7 Abmaj7 Dbmaj7 Cmin7 F#in7 B7 Emaj7 C#in7 F#7 Bmaj7 Gmin7C7 Fmaj7 Abmin7 Db7 Gbmaj7

173Applied Chords

Delayed Resolution of Secondary Dominant Chords

Secondary dominant chords do not always resolve immediately to their implied targetchords, and in some instances they never arrive at those destinations. However, the ear hearsthis chord as suggesting movement toward those targets, and the delaying or denying of theresolution can bring an element of surprise to the harmonic flow. The following is acommon instance whereby the resolution is delayed:

Gmaj7 A7 Amin7 D7 Gmaj7G: Imaj7 V7/V IImin7 V7 Imaj7

Play the progression at the keyboard. The A7 V7/V clearly implies resolution to somekind of D chord, but the Amin7 thwarts this resolution momentarily. However, the factthat the A7 is followed by a minor chord on the same root maintains some degree ofconnectivity between the chords. And since the D7 comes shortly thereafter—so that theear still retains the sound of A7—the sense of resolution, albeit with brief delay for variety,is upheld. Here are two more illustrations:

Bbmaj7 D7 Dmin7 Gmin7Bb: Imaj7 V7/VI IIImin7 VImin7

C7 Cmin7 F7 Bbmaj7Bb: V7/V IImin7 V7 I maj7

Exercise 10e

Chord function analysis

In the key of B, an A7 chord will be analyzed as ____________.

In the key of Eb, an Ab7 chord will be analyzed as __________.

In the key of Gb, an E7 chord will be analyzed as ___________.

In the key of A, a C7 chord will be analyzed as _____________.

In the key of G, an F7 chord will be analyzed as ____________.

174 Applied Chords

Here is another common sequence:

Cmaj7 D7 Dmin7 G7 Cmaj7Imaj7 V7/V IImin7 V7 Imaj7

Secondary or Applied Leading Tone Chords

Because chords built on scale degree VII are quite similar in structure to those built on V—two notes in common between triads built on V and VII, and three notes in commonbetween seventh chords built on V and VII)—secondary leading-tone chords are quitesimilar in function to secondary dominant chords. However, because the chord types fallingon scale degree VII are either half-diminished (in major) or fully diminished (in harmonicminor), we analyze these chords not as V7 but as VII7 of some target chord.

Therefore, in the key of F major, a Bmin7b5 is analyzed as VII7/V. Because B is non-diatonic to the key and it is a half-diminished seventh structure, we analyze the chord asVII, but not as VII of the home key of F, which would be E min7 (b5); rather, we analyzeit in relationship to its implied target chord, which is C (B is VII of C). Since C is V inrelationship to F, we analyze the chord as VII7/V. And in keeping with our policy ofspecifying chord quality when we analyze contemporary chord symbols, we will furtherspecify that the chord is VIImin7(b5)/V.

In Example 10.5, we encounter a fully diminished seventh chord—another chord thatfunctions as VII—and can analyze it using the same procedure we use for the half-diminished (minor7b5) chord. The chord in question—G#07—is VII of A, and since A isII in the key of G, we thus analyze the chord as a VII07/II.

Exercise 10f

Keyboard exercise

Realize this progression in multiple keys.

Imaj7 V7/V IImin7 V7 Imaj7 V7/IV IVmaj7 (becomes new I)

EXAMPLE 10.4

175Applied Chords

Passing Diminished Seventh Chords

A subcategory of secondary VII chords that is common in jazz and popular music is the passing diminished seventh chord. Common instances are the Imaj7–#I07–IImin7sequence, where the #I diminished chord smoothly connects the I and II chords, andIImin7–#I07–IImin7, IVmin7–#IV07–V7, and VImin7–#VI07–VIIm7)b5) sequences inwhich the diminished seventh chords function similarly. One could analyze these chords asVII07/II, VII07/III, VII07/V, and VII07/VII respectively, but because the diminishedseventh chords are preceded and resolved by chromatic root movement and thus clearlyfunction as passing chords, we will use the simpler and more pertinent description of howthe chord functions. Thus, as illustrated in Example 10.6, a # before the Roman numeral

EXAMPLE 10.5

Exercise 10g

Chord function analysis

This exercise will help you become more fluent with secondary VII chords:

In the key of F, an Amin7(b5) chord will be analyzed as _________.

In the key of A, a D#min7(b5) chord will be analyzed as _________.

In the key of C, a D#min7(b5) chord will be analyzed as _________.

In the key of Bb, a Dmin7(b5) chord will be analyzed as _________.

In the key of D, an A#min (b5) chord will be analyzed as _________.

In the key of E, an A#min7(b5) chord will be analyzed as _________.

In the key of Ab, an A min7(b5) chord will be analyzed as _________.

In the key of Eb, an Fmin7(b5) chord will be analyzed as __________.

In the key of B, a Dmin7(b5) chord will be analyzed as ___________.

In the key of Db, a B0 chord will be analyzed as ______________.

176 Applied Chords

will suffice—in this case the D#07 is labeled as #I07—and while it would not be incorrect,one need not indicate that the chord is VII of its target chord.

However, if the diminished seventh chord is not preceded by a chord one half-step belowyet still resolves one half-step upward, we will analyze it as a secondary seventh and thus VII07 of its target chord. Hence, as illustrated in Example 10.7, the progressionGmaj7–A#07-Bmin7 in the key of G will be analyzed as Imaj7–VII07/III–IIImin7 (and notI–#I0–III).

Example 10.8 shows diminished seventh chords serving as embellishments to stationarychords in a II–V–I sequence.

EXAMPLE 10.6

EXAMPLE 10.7

EXAMPLE 10.8

Substitute Dominant Chords

Another non-diatonic practice that is indirectly related to applied chord functions involves replacing the diatonic V7 chord with a dominant chord a tritone away to yield analternative melodic pathway in the bass to the tonic chord. For instance, instead ofDmin7–G7–Cmaj7, the Dmin7–Db7–Cmaj7 progression is sometimes used. The Db7 iscalled a substitute dominant chord, or “subV” for short (the abbreviation “sub” should not beconfused with an abbreviation for the term “subdominant”). And because the roots of thediatonic V7—the G7—and the subV7—the Db7—are a tritone apart, this practice is alsocalled tritone substitution. The interval of the tritone is also significant when it comes tosubstitute dominant seventh chords in that the third and seventh—the tendency tones ofthe chords that are separated by a tritone—are retained despite the substitution process. Inother words, the third of the diatonic V7 is the seventh of the subV7, and vice versa, asshown in Example 10.9 (notice the use of enharmonic spelling, where the B of the G7correlates with Cb of the Db7). The fact that it contains these tendency tones in addition toits strong bass movement is why the subV7 is such an effective alternative to the regular V7in driving toward I.

As shown, we analyze the substitute dominant seventh chord as subV7, although wewill also encounter bII7 and even V7/bV (whose rationale is more theoretical than aural;the chord is clearly not heard as movement toward bV) as ways of analyzing these chords.

Secondary SubV7 Chords

Just as secondary dominant seventh chords are possible, so are secondary subV7 chords. Forinstance, the A7 in this progression:

Cmaj7 A7 Dmin7 G7 :Imaj7 V7/II IImin7 V7 :

may be substituted with an Eb7:

Cmaj7 Eb7 Dmin7 G7 :

Imaj7 subV7/II IImin7 V7 :

177Applied Chords

EXAMPLE 10.9

178 Applied Chords

Example 10.10 provides notated versions of these progressions. Observe again that boththe V7/II and the subV7/II share the same tendency tones.

EXAMPLE 10.10

Written exercise

Write out the listed chords:

179Applied Chords


Analysis

Provide chord symbols, key, and Roman numerals for these progressions. Be sure tocorrectly identify the subV7s, secondary subV7s, and other non-diatonic chords. Usebrackets to group II–V sequences, and use arrows to indicate when V chords (includingsubV7s) resolve to their target chords.

(I)

180 Applied Chords

Improvising on Chord Sequences with Applied Dominant and LeadingTone Chords

Similar to the way we approached improvising on diatonic progressions, our first step in improvising on progressions with non-diatonic harmonies will involve identifyingchord–scale relationships. Recall that this entailed identifying an overarching parent scaleas well as chord-by-chord scales. However, whereas in completely diatonic progressionsthe notes of the individual chord scales will all be contained with the overarching parentscale, when non-diatonic chords come into play, this will not be the case. Non-diatonicchords, because they contain tones outside of the key, require new scales that contain thesenotes.

Nonetheless, a very simple principle continues to guide us in our correlation betweenchords and scales; that is, the Roman numeral function determines the scale that is called

Exercise 10i and Examples 10.12–10.13

(II)

181Applied Chords

Exercise 10l

Composition

Compose a quasi-improvised melody (review Chapter 8) on one of the above pro-gressions, making sure you adhere to chord scales.

for. So whether a chord functions as V7 in the home key or as a secondary dominant, sayas in a V7/II, both chords take a Mixolydian scale—built on the root of the chord (not thetonic note of the key!)—for improvising purposes. For instance, in the key of D, an A7—the diatonic V7 chord—takes A Mixolydian. And if the A7 chord occurs in the key of Gwhere it is now V7/V, it still takes A Mixolydian. In sum: V7 chords, whether diatonic ornot, take Mixolydian. Later we will consider further chord–scale possibilities for dominantseventh chords that involve altered scales. Accomplished jazz improvisers more commonlythan not use some form of chromatic alteration on dominant seventh chords even if thechords themselves are unaltered.

The same principle applies when it comes to secondary VII chords, and here we willconfine our chord-scale analysis to half-diminished seventh (thus minor seventh flat 5)chords. Whether a VIImin7(b5) chord is diatonic or non-diatonic, it will take Locrianmode. Why? Because Locrian is the mode built on VII. Thus, an A min7(b5) chord in thekey of Bb, where it functions as VII, or the same A min7(b5) chord in the key of Eb, whereit functions as VII/V, will take A Locrian. Other alternatives will be presented in laterchapters.

Exercise 10j

Analysis

Do Roman numeral analyses, and then chord-scale analyses of the following progressions.Then improvise on the progressions.

Fmaj7 Fmaj7 G7 G7 Gmin7 C7 Fmaj7 Fmaj7 :

G E7 Amin7 D7 :

Cmaj7 Cmaj7 Fmaj7 Fmaj7 Emin7(b5) A7 Dmin7 G7 :

Exercise 10k

Composition

Compose a song form melody and quasi-improvised (review Chapter 7) on one of theabove progressions, making sure you adhere to chord scales.

182 Applied Chords

Exercise 10p

Keyboard exercise

Realize in 12 keys at the keyboard the following progression:

Imaj7 VIIm7(b5) V7/VI VImin7 V7/V IImin7 V7 Imaj7 V7/IV IVmaj7 (IV maj7 becomes new Imaj7)

Exercise 10m–n and Examples 10.14–10.15

Analysis exercises

In these two exercises, provide key, chord symbols, Roman numerals, and names ofcorresponding chord scales. Be sure to use brackets and arrows, as indicated in previousexamples, as appropriate.

10m

10n

Exercise 10o

Written exercise

Provide written realizations, key, Roman numerals, and chord scales for the followingprogressions:

B7 Bmin7 E7 Emin7 A7 Amin7 D7 Gmaj7 :

Ebmaj7 Gmin7 Cmin7 F7 Bbmaj7 Ebmaj7 :

Fmin7 Bbmin7 Eb7 Abmaj7 Dbmaj7 Cmin7 F7 Bbmaj7 :

Cmaj7 Bmin7(b5) E7 Amin7 D7 Dmin7 G7 :

183Applied Chords

Free-tonicization Strategies Level II

Now we continue our work with the free-tonicization techniques introduced in Chapter 6,with the addition of substitute dominant and passing diminished seventh chords (appliedchords were implicit in our prior free-tonicization work). Again, the phrase free tonicization,while perhaps suggestive of modulation, involves temporary movement to new key areas(modulation indicates a more permanent establishment of a new key area). Moreover, theprogressions we will create here will not be rooted in a single overarching key area in relationto which all the chords may be analyzed. Rather, Roman numerals will be used to explainonly relationships between small groups (e.g. II–V–I; or I–IV) of chords that imply a keyarea in a given moment. As established in Chapter 6, only two or three chords per key areawill generally be involved (a minimum of two covers a key area, a maximum of four insuccession from any given key area is allowed). The following is a review of strategiesintroduced in free-tonicization I:

1. Any major 7 chord can be treated as I or IV and followed by another other chorddiatonic to that key area.

2. Any major 7 or dominant 7 chord may be followed by a minor chord on the sameroot:

Cmaj7 Fmaj7 Fmin7

3. Any min7 chord may be followed by its related V7 to form a IImin7–V7 link:

Cmaj7 Fmaj7 Fmin7 Bb74. Any II–V may be followed by its I, or any other II–V, or II–V–I sequence:

Cmaj7 Fmaj7 Fmin7 Bb7 Bbmin7 Eb7 Abmaj7

5. Any min7(b5) chord may be followed by a min7 chord up a fourth to form aVIImin7(b5)–IIImin7 sequence, or a dominant seventh chord up a fourth to form aIImin7(b5)–V7 sequence:

Cmaj7 Fmaj7 Fmin7 Bb7 Bbmin7 Eb7 Abmaj7 Gmin7(b5) Cmin7

Let us now add to this list of possibilities.

6 Any V7 may be replaced by its subV7:

Dmin7 G7 Cmaj7Dmin7 Db7 Cmaj7IImin7 subV7 Imaj7

7 Any two chords a whole step apart may be connected by a passing o7 chord:

Cmaj7 C##07 Dmin7Imaj7 #I07 IImin7

184 Applied Chords

Exercise 10q

1 Create a chord sequence, to be notated in contemporary chord symbols, that usesthe seven free-tonicization principles presented so far. The sequence should cover all12 key areas, with a minimum of two chords needed to cover a given key area, anda maximum of four successive chords from any area allowed. Be able to play thesequence from the chord symbols with solid rhythm. No transposition to multiplekeys is required.

2 Realize at the keyboard this progression in all 12 keys (review Exercise 10d). Composemelody atop the chords in one of the keys and sing it when you play the progression.Imaj7 IVmaj7 IIImin7 V7/II IImin7 V7 Imaj7 V7/IV IVmaj7

(IV maj7 becomes new Imaj7)

SUMMARY QUESTIONS

1 Distinguish between diatonic and non-diatonic harmonies.

2 Name the first type of non-diatonic harmony encountered in this book. Provide anexample.

3 How would an F#min7 chord in the key of D major be analyzed with Romannumerals? An F#7 chord in the same key?

4 How would an E07 chord be analyzed in the key of Bb major?(a) If the chord were preceded by Ebmaj and followed by F7?(b) If the chord were preceded by Bb major and followed by F7?

5 What scale would be used for improvising over these chords in the listed keys:(a) Cmaj7 chord in the key of G major.(b) Fmin7 in the key of Db major.(c) D min7(b5) in the key of Eb major.



chapter 11

Non-diatonic Harmony II:Modal Mixture

In the previous chapter we examined secondary dominant chords, secondary leading-tonechords, and substitute dominant chords as initial kinds of non-diatonic harmony. Now weconsider a second form of non-diatonicism, described variously as modal mixture, modalinterchange, or borrowed chords. These terms derive from the practice, common in jazz,popular, and European classical music, of temporarily borrowing chords from a mode otherthan that which prevails in a given piece or section of a piece. A common case is when apiece is in a major key (which is also referred to as the major mode) and makes use of oneor more harmonies that are diatonic to the parallel minor key (minor mode); therefore, apiece in the key of F major might use an F minor chord (which is labeled as I min) or a Bbminor chord (IV min) instead of, or in addition to, F major and Bb major (I and IV) chords.Hence, major and minor modes are being mixed, which is the application to which theheading modal mixture most commonly applies. Modal mixture has the capacity to producecolorful sonorities within a harmonic sequence through the use of chords that introducetwo or more accidentals yet do not interrupt but rather enhance the melodic and harmonicflow. The following is a common case shown in jazz/pop chord symbols; modal mixturechords are in bold:

Imaj7 Imin7 VIImin7(b5) V7/III IVmaj7 IVmin7 IIImin7 V7/II IImin7 V7 Imaj7


• Learn a new type of non-diatonic practice: modal mixture.• Do corresponding keyboard realization work, analysis, and writing.• Learn chord–scale relationships that correspond to modal mixture harmonies for

improvising purposes.• Expand our free-tonicization work to include non-diatonic principles.

186 Modal Mixture

Notice in the above progression the way modal mixture enables smooth connectionsbetween chords. In both instances, modal mixture (I to Imin, IV to IVmin) allowssignificant harmonic motion to occur above stationary bass notes, which then resolve downby a half-step. Notice also the use of secondary dominant harmonies in the same pro-gression, which resemble modal mixture harmonies in that they are non-diatonic, but differin their chord structures. Modal mixture chords are generally minor or major quality chords(or minor or major seventh, ninth, or further extended chords), whereas secondarydominant and secondary leading tone chords are the less stable dominant, diminished, andhalf-diminished structures. In the second category, the tritone interval is critical as it inheresin these chords a tendency to drive toward a target chord, whether or not they actually landon that target. The tritone interval will generally be absent in modal mixture harmonies,with the maj7(#11) chord being one exception that is found in jazz. While modal mixtureharmonies, as the above progression shows, can also lead toward target chords, they uphold in these instances more of a passing function than the goal-directed motion thatcharacterizes secondary dominants. The more stable construction of modal mixtureharmonies, moreover, allows them to also serve as target chords, which is far less commonwith secondary dominants and related chords. We will find instances of both below, as wellas cases in which the distinctions between passing and target functions are nebulous.

Modal Mixture on Diatonic and Non-diatonic Roots

Let us begin by identifying two basic instances in which modal mixture harmonies appear:on diatonic roots and non-diatonic roots. Example 11.1 provides both. The passage is in Fmajor. Notice that an Fmin7 chord appears in the first bar. We analyze this chord as Imin7;the I tells us that the root of the chord is identical to the major I chord and thus diatonicto the key, and the min7 tells us that the quality of the chord is minor and thus non-diatonic. In bar 3 we encounter an Abmaj7 chord. Now our analysis needs to indicate thatboth the root and the rest of the chord are non-diatonic. We therefore analyze this chordas bIIImaj7. Whereas we analyzed secondary dominants and secondary leading tone chordsin terms of their implied target chords (e.g. an A7 in the key of F is V7/VI) in analyzingmodal mixture harmonies, all information is provided through the Roman numeral and thequality that is listed after it.

EXAMPLE 11.1

Passing and Structural Functions in Modal Mixture Harmonies

Now let us consider what kinds of functions the above modal mixture harmonies uphold.Clearly, the Fmin7 in bar 1, as a Imin7 chord that connects Imaj7 and VIImin7(b5),upholds a passing function. An important reason for this is that the chord occurs on thesecond half of the measure, which tends to be structurally weaker than chords sound-ing on the first half (an exception to this might be when a major chord on the second half is preceded by its V7). A second reason is the smooth voice leading that this sequence involves: the common tone root movement between the first two chords isfollowed by half-step movement leading to the VII, and the first two chords share two common tones and only require half-step motion downward in two other voices.That this half-step motion, moreover, involves guide tones—the highly active third andseventh of these chords—is significant as it strengthens the pattern of half-step move-ment such that the ear anticipates it will continue upon arrival at the VII chord. Thisexpectation is fulfilled as movement in three voices between I min and VIImin7(b5)proceeds by a half-step.

Similar smooth voice-leading patterns are evident in the case of the bIIImaj7 (Abmaj7)in bar 3.This chord shares two common tones with the preceding chord, and the bass movesdownward by only a half-step. Notice also that stepwise movement, including two half-steps, is involved when Abmaj7 moves to Gmin7. However, because the Abmaj7 chordoccupies an entire measure by itself, it upholds more of a structural than a passing function.This will likely be evident when you play the progression.

Example 11.2 presents a chord progression that includes a secondary dominant chordand use of modal mixture. While both chords are movement-driven, the difference in theirintervallic structures allows them to uphold this movement in different ways. Play theprogression slowly and allow yourself to feel the different sonorities and the expectationsthat they set up and fulfill. How does the D7 differ in how it sounds, feels, and moves toGmin7 from the Gbmaj7—clearly a passing chord because of its occurrence on the weakpart of the measure and its smooth voice-leading movement—and in how it sounds, feels,and progresses to F7?

187Modal Mixture

EXAMPLE 11.2

188 Modal Mixture

Exercise 11a

Keyboard exercise

Realize the following three different chord sequences in several keys at the keyboard:

Imaj7 Imin7 VIIm7(b5) V7/VI VImin7 V7/V IImin7 V7 Imaj

Imaj7 Imin7 VIIm7(b5) V7/VI VImin7 V7/V IImin7 V7 bIImaj7 Imaj7

Imaj7 Imin7 VIIm7(b5) V7/VI IIImin7 V7/II bIIImaj7 IImin7 V7 Imaj

The Brahms excerpt (Example 11.4) shows another instance of modal mixture. Noticethat two chords are borrowed from the parallel minor: i6 and bVI6. (Recall our use of smallcase Roman numerals for minor and diminished chords in European classical analysis.) Inaddition, appreciate the use of inversion in the borrowed chords to create contrary motionin the outer voices, where an ascending bass line complements the descending gestures inthe melody.


Analysis

Provide chord changes, key, and Roman numerals for this progression. Be sure to usecorrect Roman numerals for the different kinds of non-diatonic chords in the sequence.As instructed in the previous chapter, use brackets to group II–V and secondary II–Vchords, and arrows to indicate when V7 (including secondary V7) chords resolve to theirtarget chords.

Recommended listening: London Philharmonic, Brahms, Symphony No. 3 in F major(Naxos 2006)

189Modal Mixture

Example 11.5 presents an instance of modal mixture in the music of the legendaryBrazilian composer Antonio Carlos Jobim. While it contains a chord type we have not yetencountered, it is closely related to the major seventh structure with which we have nowbecome quite familiar.

EXAMPLE 11.4 Brahms, Symphony No. 3 in F major (piano reduction)

EXAMPLE 11.5 Antonio Carlos Jobim, “Triste.” © 1967 Antonio Carlos Jobim.

Recommended listening: Antonio Carlos Jobim, Wave (UMG 1967)

The piece is in A major, and in bars 3 and 4 borrows the Fmaj7(b5) chord from theparallel A minor mode. As the chord symbol specifies, this chord is easily understood to bea major seventh chord with a lowered fifth. In this instance, the chord is found with its thirdin the bass (hence the Arabic numeral in the underlying analysis), providing an instance ofthe pedal point technique we considered in Chapter 7 where chords move atop a stationarybass note, in this case A. Somewhat rare in common practice jazz harmony, the major 7 (b5)chord has been used frequently in jazz since the 1960s. We will put this chord to good usein forthcoming chapters as a device that enables us to arrive at several extended and alteredchord voicings as well as a chord that stands on its own, as it does here, as an interestingsonority in its own right. Notice that in bar 7, harkening back to a point addressed in theprevious chapter, the C#min7 chord is analyzed as both the diatonic chord IIImin7 and alsois as part of a secondary II–V sequence (II–V/VI); it is important to recognize both waysof thinking of this chord.

Let us look at further instances of modal mixture. Example 11.6 makes more extensiveuse of the practice in its first two bars where, instead of single non-diatonic chords, asequence of three such chords is found. Note two effects here. One is the sheer richness ofthis kind of non-diatonic movement, where wide-ranging key areas are traversed within ashort length of time—involving at least two accidentals from one chord to the next. Inaddition, the relatively equal weight the chords uphold, whereby instead of functioning asconnecting links between clear structural points, each chord serves more as an autonomousisland unto itself. This is evident the more slowly the progression is played. In bar 2, theBbmaj7 is not prepared by the Gmaj7, nor does it prepare the Bmaj7 chord (which in turndoes not prepare the Emaj7). Rather, these chords are self-contained landing points, evenif not very long in duration. This kind of motion is sometimes described as non-linear innature because each chord functions as a self-contained entity, as opposed to when chordsfunction as interdependent links within a linear chain—an effect that is more prominent inthe second part of the progression, where II–V7 sequences assume a much more goal-oriented trajectory in leading back to the I chord. Play the progression slowly and comparethe sounds and feeling of the two kinds of harmonic activity.

190 Modal Mixture

EXAMPLE 11.6

Improvising on Modal Mixture Progressions

While modal mixture expands our palette of harmonic strategies and colors, the principlesinvolved in improvising on these progressions are similar to those encountered previouslywith secondary dominants and secondary VII chords. Identification of chord–scale rela-tionships, in fact, is quite easily done with modal mixture harmonies since the chords areeither minor or major quality. Accordingly, we have several options with each chord type.

Major chords (either major triads, seventh chords, ninth, or # eleventh chords—the lattertwo extensions to be considered later) will take the Lydian mode, which you will recall is amajor or Ionian mode with a raised fourth degree. It is also possible to use Ionian on all butmajor seventh (#11) chords, although this scale choice does not blend as smoothly into theoverall harmonic fabric for reasons to be discussed below.

Minor chords (either minor triads, seventh chords, or chords using higher extensionstriads) will take the Dorian mode. Aeolian may also be possible, except in the cases of minorsixth or thirteenth chords, although, like the Ionian on modal mixture major chords, thismode choice does not blend as smoothly into the harmonic fabric.

Whenever questions arise regarding the choice between two similar scales or modes, thegoverning principle in both instances is as follows: Consider what chord (and thus relatedchord scale) comes before and after the chord in question. In nearly every instance, modalmixture major chords are surrounded by chords that mitigate toward Lydian rather thanIonian because the raised fourth degree of the scale will be more prominent in the vicinityof the chord in question than the natural fourth degree of the Ionian mode. Similarly, modalmixture minor chords will be more conducive to Dorian because the raised sixth degree thatdistinguishes Dorian from Aeolian will be more prominent in the general vicinity of thechord in question.

Let us apply these principles to the following progression:

Fmaj7 Fmin7 Emin7(b5) Amin7Imaj7 Imin7 VIImin7(b5) IIImin7

The Imin7 (Fmin7) will take Dorian, even if the chord does not function as II. Why?Because the note D, not Db (which would be from an F Aeolian scale), is found in the chordscale of the Fmaj7 that precedes it and is a chord tone of the Emin7(b5) chord that followsit. The co-existence of common tones as well as significant movement outside of the keyarea contributes to a strong musical flow and coherence.

191Modal Mixture

EXAMPLE 11.7

192 Modal Mixture

Here is another illustration:

Bbmaj7 D7 Gmin7 Gbmaj7 F7 Bbmaj7Imaj7 V7/VI VImin7 bIImaj7 V7 Imaj7

The Gbmaj7 chord will take Lydian because the Gmin7 chord prior to the Gb, and the F7after it, contain a C either in the chord itself or in the chord scale. The Lydian is thereforemore consistent with the framework at the time and the C will provide nice connectivity tobalance the fairly significant movement outside of the key caused by the Gb chord.

Composing

EXAMPLE 11.8

Exercise 11c

Analysis

Provide Roman numeral analysis and chord-scale analysis for the following progressions,and then improvise on them:

Fmaj7 Fmaj7 Fmin7 Fmin7 Emin7(b5) Amin7 Gmin7 C7 Fmaj7 Fmaj7 :

Dmaj7 Dmaj7 Fmaj7 Fmaj7 Abmaj7 Abmaj7 Gmaj7 F#min7 B7 Emin7

A7 :

Exercise 11d

Composition

Compose melodies in song-form and quasi-improvised styles on the above twoprogressions using the appropriate chord scales. Comp changes at the keyboard and singmelodies.

193Modal Mixture

Analysis Exercises

The following notated passages include diatonic, and the two categories of non-diatonicharmonies—secondary dominant/secondary VII chords, and modal mixture—that we havecovered thus far. While the progressions make considerable use of non-diatonic chordmovement, including cadential activity that may imply multiple tonic keys, they areanalyzable in a single key and designed such that the ear hears the progression that way.Therefore, it will be necessary to carefully assess which key area is most strongly impliedthrough corresponding cadential movement. In one of the examples no tonic chord is given,yet the progression is still analyzable in that key due to the presence of its V7 and otherdiatonic chords.

The following is a handy guide to the proper way of indicating the different types of chords.

Step 1: Identify chords and label by chord symbol.

Step 2: Determine key by identifying cadential activity and real or implied targetchords. When two or more keys appear to be viable possibilities, determine which issupported by a greater amount of cadential activity as well as other diatonic chordswithin that key.

Step 3: Once the key is determined, diatonic chords can be analyzed by correspondingRoman numerals.

Step 4: In the case of non-diatonic chords, two strategies are possible according towhat type of non-diatonic chord is involved.

If the chord is 1) dominant, diminished, or half-diminished, it will be analyzable as asecondary dominant (V7/x) or secondary leading tone (VII0/x or VIIm7(b5)/x) chord; or ifa 07 chord is preceded and followed by a half-step, analyze it as a passing dim7 chord(e.g. #I07, or #II07).

If the chord is (2) major or minor (including extensions of these chords), it will be anillustration of modal mixture, in which case the scale degree of the root is indicated byRoman numeral (e.g. III, bVI) and the quality of the chord is indicated by the sameinformation given in the contemporary chord symbol.

Analysis

Provide chord symbols, key, Roman numerals, and chord scales for the following notatedprogressions. Be sure to provide brackets and arrows as appropriate.

194 Modal Mixture

11f

11g

11e

The Neapolitan Sixth Chord

Closely related to modal mixture is the Neapolitan sixth chord in European classical music,which is a bII chord that is often found in first inversion, hence the “sixth” in the label. Thechord is most commonly found in minor keys and usually functions as a preparation for thedominant, as illustrated in the passage from a Chopin prelude shown in Example 11.13.Notice the uplifting sonority and brightness of the chord as it connects the darker i minorand vii

0chords.

195Modal Mixture

Exercises 11e–h and Examples 11.9–11.12

EXAMPLE 11.13

Recommended listening: Rudolf Serkin, Chopin, 24 Preludes (Sony BMG 2004)

11h

196 Modal Mixture

Free-tonicization Level III

We can now expand our list of free-tonicization strategies presented in previous chaptersto include modal mixture practices. With full recognition that the scope of possibilities far exceeds what might be practically included in such a list, we will add three practices toour palette that will significantly enhance our capacity to create interesting harmonicprogressions.

Let us now recap the complete list of strategies:

1 Any Imaj7, IVmaj7, or V7 chords may be followed or replaced by a minor chord onthe same root (this is a replication of strategy 2, but in a new context).

Cmaj7 Fmaj7 Fmin7

2 Any IImin7, IIImin7, VImin7, or VIImin7(b5) chords may be followed by a maj7 chordwhose root is a half-step below.

Cmaj7 Fmaj7 Emin7 Ebmaj7 Note that there are two common tones—G and D—between Emin7 and Ebmaj7chords.

3 Any II–V7 sequence may resolve to its bIIImaj7, bVImaj7, or bII maj7.

1 Any major 7 chord may be treated as I or IV and followed by another other chorddiatonic to that key area.

2 Any major 7 or dominant 7 chords may be followed by a minor chord on the sameroot.

3 Any min7 chord may be followed by its related V7 to form a IImin7–V7 link.

4 Any II–V may be followed by its I, or any other II–V, or II–V–I sequence.

5 Any min7(b5) chord may be followed by a min7 chord up a fourth to form aVIImin7(b5)–IIImin7 sequence, or a dominant seventh chord up a fourth to form aIImin7(b5)–V7 sequence.

6 Any V7 may be replaced by its subV7.

7 Any two chords a whole step apart may be connected by a passing o7 chord.

8 Any Imaj7, IVmaj7, or V7 chords may be followed or replaced by a minor chord onthe same root (this is a replication of strategy 2, but in a new context).

9 Any IImin7, IIImin7, VImin7, or VIImin7(b5) chords may be followed by a maj7 chordwhose root is a half-step below.

10 Any II–V7 sequence may resolve to its bIIImaj7, bVImaj7, or bII maj7.

197Modal Mixture

Modal Mixture as an Entry Point into Modal Composition Techniques

Modal mixture, as noted at the beginning of this chapter, is a practice that generally occurswithin tonal contexts, meaning that a piece in a given major or minor key—as establishedthrough ample dominant–tonic chord movement (V7–I) will temporarily borrow one ormore chords from the parallel or relative major or minor key, or perhaps some distantlyrelated key area. Modal mixture is thus distinguishable from modal composition, in whichdominant–tonic relationships are rare or, as is often the case, entirely absent. We gained anintroduction to a more traditional form of modal composition in Modal Etudes 1 and 2,from Chapters 3 and 4, in which whole compositions were constructed using just one(Etude 1) or two (Etude 2) modes.

More contemporary modal composition techniques move more freely between modalareas, stretching the traditional definition of modality as confined to a single mode, andsome of the modal mixture techniques considered in this chapter open up connections tothis kind of approach. The following are several prominent practices:

1 Root Movement by Half-steps and Thirds

Whereas root movement involving ascending fourths and descending fifth intervals, asexemplified in the III–VI–II–V–I sequence, is common in tonal music, modal music makesconsiderable use of root movement by half-steps and minor thirds, in addition to thejuxtaposition of chords from distant key areas.

For example, a common type of movement will involve a major seventh chord followedby a minor seventh chord whose root is a half-step above:

F maj7 F#min7

Notice that there are two common tones—A and E—between these chords, which createsa unifying effect when they sound in succession. At the same time, the chords derive fromvery distant modal areas. The co-existence of these highly unifying and diverse tendenciescontributes to a colorful harmonic texture. Play the chords, creating a two-chord vamp orrepeating pattern with them, so that you can hear both qualities of the sequence. Play the

Exercise 11i

Free tonicization

Create a free-tonicizing progression using all of the strategies at least once, and makingsure that all 12 keys are represented at least once (remember: at least two chords areneeded to imply a given key area; four chords from a key area in succession maximum).Notate with contemporary chord symbols. Play the progression with steady rhythm.Create further progressions for sight-reading practice.

198 Modal Mixture

chords in different inversions, always striving for smooth voice leading when moving fromone to the other.

The following is a continuation of the progression that employs root movement by aminor third in several instances, another common modal practice:

Fmaj7 F#min7 Amin7 Abmaj7 Cbmaj7 Cmin7 Ebmin7 Emin7 :

Notice that even when the roots move by thirds, significant common tone activity issustained between chords. For example, F#min7 and Amin7 share A and E; try playing theprogression with the E in the top voice through the first three chords. Amin7 and Ab7 shareG and C. Abmaj7 and Cbmaj7 share Eb and Gb; try playing the chords with the Eb in thetop voice.

2 New Chord Structures

One of the reasons that major 7 and minor 7 chords have become prominent in modalmusic is that they are more stable than dominant seventh chords, thus allowing a harmonicflow that moves freely between modal areas without a given chord assuming prominence(this presumes that all chords occupy generally the same length of time). In tonal music, bycontrast, a single V7-I cadence can strongly steer the harmony toward a given tonal area.However, in order to achieve a level of variety that is not possible with exclusively minorand major seventh chords, other chord structures, even if closely related, have becomeequally prominent.

We have already considered sus chords (Chapter 9), major 7(b5) chords (Chapter 11), andpedal points (Chapter 9) in other contexts. These are effective devices in modal com-position. In Chapters 13 and 14 we will consider chord extension, for which modal musicis highly conducive due to the increased dissolution of boundaries between chords andscales. As stated previously, a modal area may be thought of as a pitch region that maymanifest vertically in the form of chords, or horizontally in the form of scales and melodies.Chords in modal music may be approached as modes stacked vertically, and modes aschords spread out over time.

Further modal approaches will be presented in Chapter 16.

Exercise 11j

Composition

Compose a modal composition in lead sheet form (melody and chord symbols) thatmoves between disparate key areas and makes use of the half-step and minor third rootmovement discussed above. This is not to suggest that other types of root movement arepossible as well, but avoid the use of dominant seventh chords. Try to make use ofcommon tones in the melody.

199Modal Mixture

Creative Synthesis

Having immersed ourselves in syntactic study, primarily in the realm of harmony, it can bebeneficial to step back and create music with no style constraints specified in advance. Herea return to some of the trans-stylistic strategies introduced in Chapter 1 may both providewelcome variety as well as serve as barometers for the progress you have made. Tryimprovising with non-syntactic catalysts such as density, dynamics, and registral variety, andyou will likely find you will bring a much-expanded skill set to these formats.

Exercise 11k

Creative project

Create music in your small group that involves both trans-stylistic improvisationformats—where style constraints are not specified in advance, which allows the music todraw from diverse style sources—and style-based (e.g. time feels, chord changes)approaches to improvising and composing. The piece should comprise several move-ments, which may be continuous or separated by a break. You are encouraged to usethis as an opportunity to let your imagination run free.

SUMMARY QUESTIONS

1 Modal mixture is the second form of non-diatonic harmony we have encountered.What forms preceded it?

2 Define modal mixture and provide two other names for this strategy.

3 Of the kinds of non-diatonic harmony we have considered so far, in which is thetritone interval prominent?

4 Provide examples of modal mixture harmonies on both diatonic and non-diatonicroots (e.g. in the key of D major, an example of a modal mixture harmony on adiatonic root would be a _________ chord; on a non-diatonic root would be_________).

5 A modal mixture chord can have a non-diatonic root while the rest of the chordtones are diatonic to the key or key area of the moment. True or false?

6 Modal mixture chords on diatonic roots are a form of diatonic harmony. True orfalse?

7 Describe the difference in how passing modal mixture chords and structural modalmixture chords function and are thus heard.

8 Modal mixture is unique to jazz and popular music. True or false?

200 Modal Mixture

9 What is the basic principle that determines whether or not a non-diatonic chord isan example of modal mixture or a secondary dominant or secondary leading tonechord?

10 What is the primary difference in how these different non-diatonic functions(secondary dominants/leading tone chords and modal mixture harmonies) arerepresented in Roman numeral analysis?

11 Modal mixture major chords will tend to take Ionian or Lydian modes (circle themost common choice) as chord scales for improvising.

12 Modal mixture minor chords will tend to take Dorian or Aeolian modes (circle themost common choice) as chord scales for improvising.

chapter 12

Figured Bass Realization at the Keyboard

Whereas contemporary keyboardists improvise using modern chord symbols—Amaj7, F7(b9), etc.—to designate harmonic structures and progressions, seventeenth- andeighteenth-century European keyboardists improvised using a different set of symbols that nonetheless provided similar harmonic information.That set of symbols was the figuredbass line, which we have already encountered briefly from an analytical standpoint. We willnow engage in figured bass realization at the keyboard in order to directly experience thissystem of harmonic practice. As discussed in Chapter 8, the triadic and seventh chordtextures of European classical music make possible uses of inversion and voice leading thatare sometimes obscured in the denser harmonic textures of contemporary tonal music. Theintroductory exposure to these principles provided in this chapter will help us connect withtonality’s roots.

Basic Principles

Figured bass nomenclature involves three basic components: a bass line; a set of figuresdesignated by Arabic numerals, which indicate what notes are to sound atop each bass note;and a key signature that indicates the quality of the interval between the bass and upper notes(e.g. whether the fourth above a bass note F is B or Bb).These components indicate preciselywhat chord is to sound at a given time and its inversion and may be thought of in terms of


• Gain a hands-on and theoretical introduction to figured bass realization at thekeyboard.

• Compare baroque figured bass chord symbols with contemporary chord symbols.

202 Figured Bass Realization at the Keyboard

vertical and horizontal information. Vertical information has to do with the intervals atopeach bass note that are specified by the figures; horizontal information comes from the keysignature. Whereas contemporary chord symbols do not require consideration of the keysignature—an Fmaj7 chord will consist of the same notes whether the key signature is oneflat or six flats—a notated F with the figuration 7 above it in the figured bass system couldbe F7, Fmaj7, Fmin7, F07, Fmin7(b5), etc., depending upon the key signature.

Triads

Example 12.1 illustrates how root position and inversions are represented in figured bassnomenclature, using various configurations of an F major triad. For each position,shorthand indications are provided after the complete figures; these are commonly used andit is essential to become familiar with them. Contemporary chord symbols are listed atopeach chord.

The use of the shorthand indication points to a similarity between figured bass andcontemporary chord symbol nomenclature in the representation of root position triads. Justas in contemporary practice, where a letter name by itself will suffice to indicate a rootposition triad, in figured bass, a bass note by itself will similarly suffice to indicate a rootposition triad. In the absence of additional information, it is presumed in both instancesthat notes a third and a fifth are to sound above the bass note. An important differencehowever is in representing the quality of the triad. Here is where the key signature is criticalin the figured bass system.

Example 12.2 shows the same F bass note with root position figuration and different keysignatures. Consider the different triads that result, even if all are in root position. The

EXAMPLE 12.1

203Figured Bass Realization at the Keyboard

second triad is F minor because the third above the bass note is Ab according to the keysignature. The third triad is F diminished because the note a fifth above the bass note is Cb.

Let us now turn to seventh chords.

Seventh Chords

Root position, first inversion, second inversion, and third inversion configurations arepossible with seventh chords, as indicated in Example 12.3.

Again, we encounter parallels and differences in the two systems. In contemporary chordnomenclature, a letter name with only a seventh indicates a root position seventh chord; infigured bass, a bass note with a figuration of a seventh indicates the same thing. In bothsystems, the indication of a seventh presumes that a triad will also sound. And once again,key signature plays an essential role in figured bass nomenclature, as the same F bass notewith figuration 7 can yield several different chords.

EXAMPLE 12.2

EXAMPLE 12.3

EXAMPLE 12.4


Accidentals

Having examined the three possible configurations of triads and the four configurations ofseventh chords, we now turn to one further aspect of figured bass nomenclature before directlyengaging with keyboard application of the principles. This has to do with the way accidentalsare indicated in the figures. By placing a flat (b) before a figure, that note is lowered by onehalf-step. By applying a slash (/) to the figure, that note is raised by one half-step; the slashthus serves as a sharp. A flat appearing by itself—that is, not in front of a figure (but it couldbe below another figure which it does not affect)—indicates that the note a third above thebass note is to be lowered by one half-step. A sharp (#) appearing by itself (again, could bebelow another figure) indicates that the note is raised by one half-step (see Example 12.5).

We will soon realize figured bass lines in written and keyboard formats using two clefs.The following written exercise, confined as are the above examples to the bass clef, will helpyou get a handle on the basic concepts.


Written exercise

Write out these chords from the figured bass notes given (write notes atop bass note).In addition, provide contemporary chord symbols, making sure to indicate inversion. Keysignatures hold until the next key signature change.

EXAMPLE 12.5


Voice Leading and Doubling Considerations

Recall from our prior consideration of voice leading the following principles. A first prioritywas that our voice leading is conjunct rather than disjunct, that voices move smoothly fromone to another. In order to do this, we retain the common tone when possible and move all other voices to the closest note. We also considered the independence principle, whichdelineated contrary, oblique, similar, and parallel kinds of motion between any two or more voices. Voices maintained optimal independence when moving in contrary motion, andminimal independence when moving in parallel motion, with independence most com-promised when moving in parallel perfect intervals. Recall also the role of musical context indetermining the weight of these principles; the thicker textures of contemporary tonality,where all chords are at least seventh chords and are often extended beyond the seventh, notonly make adherence to these principles often difficult if not impossible, but the richness ofthe sonorities renders the principles at times musically irrelevant. When possible we applythem to the outer voices, as these are more prominent in the harmonic-melodic flow.

In the thinner textures of European common practice harmony, where triads andmoderate seventh chord activity predominate, these principles are more central to theharmonic-melodic flow. As we move into figured bass realization in two-stave formats, letus keep these principles in mind.

Example 12.7 shows a figured bass line realized in two clefs. In essence, we have simplytaken the realized chords that we had been writing entirely in the bass clef in the previousexamples and exercises from this chapter and distributed them to two clefs. Notice thatconsistent with the keyboard approach we have been using for contemporary chordprogressions, a bass note is indicated in the bass clef and the remainder of the chord in thetreble clef—in baroque style this is in fact called “keyboard style” realization. Triads arevoiced with three notes in the treble clef, and seventh chords are voiced either with threeor four notes (for the sake of consistency with contemporary keyboard practice, voicingseventh chords using a four-note voicing in the treble clef, which involves doubling the bassnote, is acceptable so long as that note is not a tendency tone).

Smooth voice leading remains a priority. Notice also the use of contrary and obliquemotion between the lowest and highest voices in the opening two bars.

Retaining the common tones and moving the other notes to the next closest notes—theconjunct principle—resulted in an effective realization in the above notation. Problematicparallel motion between perfect intervals was avoided, and a fair degree of independencewas maintained in the outer voices through the contrary and oblique motion discussed

EXAMPLE 12.7


above. While the conjunct principle in itself will often yield such results, it is important toaddress situations that require additional attention. A common situation involves doublingstrategies. It is not always desirable to double the bass note in the upper realization,particularly when the bass note is a tendency tone. Tendency tones, being inherentlyunstable, are predominant sonorities in a harmonic fabric whose effect is excessive whenthey are doubled. The leading tone of a key is a tendency tone that is commonlyencountered in the first inversion of the V chord, where the tone occurs in the bass and thusshould not be doubled in the upper voices.

Example 12.8a shows a problematic passage where the tendency tone is doubled; 12bshows a common way this problematic doubling is avoided.

Let us now begin to realize figured bass lines at the keyboard. The following exercisesincrease in difficulty. Proceed slowly, learning the bass lines first, and then realize thechords. As with our work in contemporary chord symbol realization, the capacity to playwith a steady rhythm is of the utmost importance.

EXAMPLE 12.8

Figured bass realization

Select two examples from each of the following groups of figured bass lines anddemonstrate your ability to realize these accurately and with a steady rhythm: lines 1–14,15–20, 21–27.




Exercise 12b and Examples 12.9–12.12


Four-part Chorale Writing

The focus in our written work has been on five-part keyboard-style writing because this isdirectly connected to the central role which keyboard realization plays in this book.Conventional musicianship systems tend to place emphasis on four-part chorale-stylewriting, with the chorales of J.S. Bach as the ideal. It is but a small step to move fromkeyboard-style writing to the four-part approach. The following is a brief introduction tothe second of these approaches. Example 12.13 illustrates a I IVmaj7–V7–I progressionwritten in keyboard style and then in chorale style.

Notice in the second version the distribution of notes across the two staves; soprano andalto parts in the treble clef, tenor and bass in the bass clef. Whereas in the keyboard-styleapproach attention to voice-leading concerns (aside from moving voices as smoothly aspossible) was primarily concerned with the outer voices, in the more exposed four-parttexture it is important to attend equally to inner voices. Accordingly, parallel perfectintervals between inner voices, or between top/bottom and inner voices, are to be avoided.Example 12.14 shows an excerpt from a Bach chorale as a model for the four-part style.

Exercise 12c


Select three exercises from lines 18–27, at least one of which must be from 21–26.Compose melodies on the bass lines. The melodies should consist of largely quarter notesand eighth notes—you can use the melodies from the Bach chorales considered earlieras models—although somewhat more florid melodies are also possible. Be able to singthe melody as you play the accompaniment.


EXAMPLE 12.13


Figured Bass Lines Applied to Jazz Chord Changes

Jazz chord symbols may be written in figured bass nomenclature, although as the followingexample illustrates, the representation of chord extensions and alterations can be a bitunwieldy. Nonetheless, it is instructive for our understanding of both systems to examinewhat such an application of figured bass chord symbols might look like. Depicted inExample 12.15 are the first eight bars (with a ninth chord added here for the sake of finality)of a common progression in jazz called Rhythm Changes, so-named because the chordsequence derives from George Gershwin’s popular song I Got Rhythm. We will go furtherinto rhythm changes, which has evolved as a fertile vehicle for chord substitution andextension, in Chapter 14. The version that follows provides a good glimpse of thesepossibilities and perhaps also shows why contemporary chord symbols are the more suitable

EXAMPLE 12.15

EXAMPLE 12.14

Exercise 12d

Written exercise

Do four-part written realizations of three figured bass lines from lines 20–27 in the aboveexercises (from Exercise 12b).

method for the richness of the current tonal landscape. While Roman numerals are notincluded in the example in order to avoid excessive information, it is clear that theprogression is in F major with a brief tonicization in Bb (IV) via II–V7/IV (bar 3). Noticeimmediately thereafter the use of passing modal mixture where IV is followed by IV minor(BbM7 to Bbm7) and how this leads smoothly to the final III–VI (V7/II)–II–V7–Isequence.

Notice also the occasional disparities between chord partials and extensions asrepresented in contemporary chord symbols and Arabic numerals. For one thing, thesevenths listed on the I and IV chords, which are major sevenths, are simply listed as 7 inthe figured bass line. As explained earlier, this is because in the absence of accidentalscorresponding to that particular partial, the key signature tells us what kind of seventh isinvolved—we simply determine the seventh above the bass note that is diatonic to the key.On the I and IV chords, the diatonic sevenths are major sevenths. While we will begin tolook at extended and altered chords in Chapters 13 and 14, it may be of interest to noteprior to this that on the penultimate chord of the piece, the Gb7 (#9, b5), the #9 of thecontemporary chord symbol—which is the note A—is listed simply as 9. Again, this isbecause the key signature tells us that A is the note a ninth above Gb; the interval of a #9 iscreated by lowering the root a half-step. Moreover, the b5 in the contemporary chordsymbol—the note Dbb, or enharmonically spelled as C—is listed as 4 in the figured bassnomenclature. Once more, the key signature tells us that the note C is a fourth above theGb; the augmented fourth/diminished fifth relationship is created by the lowering of thediatonic G bass note to Gb.


SUMMARY QUESTIONS

1 What are the three components of figured bass nomenclature?

2 When realizing contemporary chord symbols, the key signature has no bearing onthe quality of the chords (e.g. an Fmaj7 consists of the same tones whether the keysignature includes one flat or six sharps) whereas in figured bass realization the keysignature plays an essential role in the resultant chord structures (e.g. a bass note Fwith Arabic numeral 7 results in different chords with key signatures of one flat,two flats, or three flats). True or false?

3 Name a strategy that will help maintain smooth motion between voices.

4 In the case of first inversion dominant chords, it is important to avoid doublingwhich tone of the chord? Which tone of the key is this? What is this tone called?Why is it problematic when doubled?

chapter 13

Extended Chords

While significant common ground can be identified between European classical and jazzharmonic practices (e.g. secondary dominant chords and modal mixture are essentially thesame devices in jazz and popular music as in nineteenth-century string quartet literature)an important difference is the use of chord extensions to an unprecedented degree in jazz.Whereas in European classical music of the common practice era (from about theseventeenth to the nineteenth century), triads are common and chords extended beyond theseventh are rare; in jazz, triads are rare and chords are commonly extended to includediatonic as well as altered ninths, elevenths, and thirteenths, even if these extensions are notindicated in the chord symbols (e.g. C7 is usually played as C7(9,13) or C7(#9, b13), etc.).These devices add variety and richness atop basic chord functions to which the ear hasbecome accustomed over centuries of tonal practice.

This chapter provides a systematic method for creating extended voicings at the keyboardand also presents written exercises that complement keyboard work in order to promotefluency with these structures.

General Principles of Chord Extensions

Chord extensions can be most easily thought of as a continuation of the very process ofadding thirds to triads that produced seventh chords (see Example 13.1).


• Learn extended chord voicings through keyboard realization, analysis, and writtenwork.

• Learn about replacement tones, chord superimposition, and A and B voicings.• Examine chord–scale relationships that correspond to extended chords for improvis-

ing purposes.

214 Extended Chords

In these chords, the ninth is the same note as scale degree 2, the eleventh is the same asscale degree 4, and the thirteenth is the same as scale degree 6. Why not therefore just labelthe extensions using the lower numbers? While it may, in fact, facilitate mastery ofextensions to think of them in terms of their corresponding scale degrees, we label them asextensions using the higher numeral because these tones evolved and function as additionsto the basic chord structures. While we will shortly consider approaches to extendedvoicings that omit some of basic chord tones in order to facilitate playing the voicings atthe keyboard, the ear still hears these extended tones as upper additions to the basic chordstructures. This is even the case when the ninth is voiced, as seen in Example 13.2, a stepabove the root rather than a ninth above.

As we will see, this is but one of the many ways in which chord extensions may be voiced.It is even possible to voice extensions in the bass clef, providing they are not placed so lowas to muddle the sonority.

Observe also how extensions are indicated in the chord symbols, where they are placedin parentheses after the 7. If multiple extensions are used, they are separated by a comma(e.g. F7(9, 13)). Another approach sometimes used is to indicate just the extension;presuming the chord includes a seventh, Dmin9 is identical to Dmin7(9). However, this is not to be confused with instances whereby a letter is followed by an extension inparentheses, such as D(9), which indicates that only a D major triad and a ninth will sound,without a seventh.

Extensions may be raised or lowered by accidentals that precede them, as in D7(#9, b13),which means that atop a D7 chord will also sound the notes E# (or F) and Bb. Enharmonicspellings are often used when writing out the voicings for these chords to facilitate applyingthem.

If no accidentals are indicated, then the extension will be diatonic to the major scale ofthe chord indicated: Db7(9, 13) will include the notes Eb (the ninth) and Bb (the thirteenth).

EXAMPLE 13.1

EXAMPLE 13.2

Types of Chord Extensions

Different chord types, due to their basic intervallic structures, are capable of supportingdifferent kinds of extensions. For instance, minor7, major7, and dominant7 chords can allsupport ninths, but dominant seventh chords, unlike the other two chord types, can alsosupport the b9 extension. And when it comes to elevenths, important differences arise, asTable 13.1 indicates (e.g. major seventh chords can take #11 but not natural elevenths).

Example 13.3 provides these correlations between chords and extensions in notated form.The dominant seventh chord can take a wide range of diatonic and non-diatonic exten-

sions. This is because the basic intervallic structure of the dominant seventh is sufficientlydense and unstable—thus heard as motion leading toward a more static goal—to serve asa foundation for the highly complex intervallic relationships involved in altered extensions.The tritone interval between the third and seventh of the chord is key in this respect.

215Extended Chords

TABLE 13.1 Common chord extensions

Chord type: Major Minor Dominant Half- Diminished 7th 7th 7th diminished 7th 7th

Available 9, #11, 13 9, 11, 13 9, b9, #9, b5, 9, 11 Any note a extensions: 13, b13 whole step above

any chord tone

EXAMPLE 13.3

When you play the various extensions on top of the basic dominant seventh structure,you may find that the altered extensions (e.g. #9, b13), unlike the corresponding diatonicextensions (e.g. 9, 13), sound dissonant—perhaps even clashing to an unacceptable extent.However, by framing these non-diatonic extensions in appropriate voicings, highly rich andresonant sonorities are possible that are appealing to even the most conservative ears.Mastery of voicing strategies for diatonic extensions in this chapter will lay groundwork forvoicing altered extensions in Chapter 14.

Replacement Tones and Chord Superimposition

As we begin to consider strategies for playing chord extensions, it may seem that extendedchords will necessarily include more notes than unextended chords, thus placing newfounddemands on our keyboard technique. In fact, while large instrumental ensembles allowchord voicings of enormous scope that would be difficult if not impossible to play at thekeyboard, it is possible to produce the richness and density of extended chords using thevery same five-note format we have been using thus far. Two strategies make this possible:the use of replacement tones and chord superimposition.

Replacement tones simply means that when extensions are used, basic chord tones thatare “expendable”—that is, tones whose absence does not significantly detract from thequality and function of the chord—are replaced with extensions. Roots and fifths are themost common expendable tones in right-hand voicings that are replaced by extensions,although we will still play the roots in the bass. We will shortly build extended voicings onthe II–V–I progression through what is called the 9-for-1 (9-1 for short) replacementtechnique; here the root is replaced by the ninth in the right hand. Replacement strategiesenable us to create rich sonorities within the five-note voicing framework we have beenusing. Appendix 5 introduces new approaches to five-note voicings that may be added toone’s palette, once one has gained a foundation with extended chords in the current format.

Working in tandem with replacement strategies is the use of chord superimposition tofacilitate arriving at the extended voicings for the different kinds of chords. Chord super-imposition involves building—or superimposing—a particular kind of basic, unextendedchord structure atop a basic chord tone of the chord that is being extended. For instance, inorder to voice a minor ninth chord, we simply build a major seventh chord on the third ofthe chord; the voicing for Dmin7(9) is achieved by building Fmaj7 on the third of D. Whileit is possible to arrive at accurate voicings by stacking notes in thirds and then replacing theexpendable tone with the desired extensions, chord superimposition provides a much morerapid approach. In addition, when it comes to extended dominant voicings, which are notarrived at by stacking tones in thirds, chord superimposition becomes a necessity.

We will complement replacement and chord superimposition strategies, which may bethought of as largely vertical approaches to chord extensions, with horizontal proceduresby which extensions are arrived at through voice leading. For instance, once one has createdthe extended voicing for the IImin7(9) chord, resolving the seventh of that chord down onehalf-step produces the V7(9, 13) voicing. Facility with these different angles will enableoptimal fluency with these structures.

216 Extended Chords

Extended II–V7–I Voicings

Example 13.4 illustrates a standard approach to extended chord voicings for theIImin7–V7–Imaj7 sequence, which becomes IImin7(9)–V7(9,13)–Imaj7(9).

Table 13.2 gives a list of chord superimposition and replacement tone strategies for arrivingat the above voicings.

Let us first look at the voicings of the IImin7(9) chords and the Imaj7(9) chords, as theseare the most clear-cut. There is a kind of symmetry here that is easy to remember: On thethird of the IImin7 we build a major seventh structure, and on the third of the Imaj7 we build aminor seventh structure. This strategy allows us to spontaneously arrive at voicings in whichthe ninth replaces the root—hence the 9-1 replacement—without even thinking about it.Since these voicings may also be arrived at by simply stacking notes in thirds atop the thirdsof the respective chords, one might well wonder if chord superimposition strategies are evennecessary.

Whether or not one chooses to use these strategies for IImin7(9) and Imaj7(9) chords,chord superimposition is essential when it comes to the more elusive extended voicing forthe V7 chord. For now, we are incorporating not only the ninth but also the thirteenth and,

217Extended Chords

EXAMPLE 13.4

TABLE 13.2 Chord superimposition and replacement strategies

Chord type Chord superimposition strategy Replacement tones(right hand only)

IImin7(9) Build a major 7th structure on the (minor) 3rd 9-1of the IImin7 chord

V7(9,13) Build a major 7th(b5) structure on the 7th of the 9-1, 13-5V7 chord

Imaj7(9) Build a minor 7th structure on the (major) 3rd of 9-1the Imaj7 chord

if we are to adhere to our commitment to manageable voicings that fall comfortably withinthe hand, this cannot be arrived at by simply stacking notes in thirds. Another problem withachieving the extended dominant voicing by stacking notes in thirds is that this approachwould include the eleventh, which is not an available extension on this chord. So we needa new strategy for arriving at the extended dominant voicing.

By superimposing a major seventh (b5) structure atop the seventh of the V7, as in example13.4, we derive the desired voicing. While we have not yet encountered the major7(b5)chord, it is readily understood in relation to what is by now the highly familiar majorseventh chord—we simply lower the fifth. Notice that the right-hand voicing on the Vchord in Example 13.5 is an Fmaj7(b5) structure. We need only play this structure on theseventh of the V chord and we automatically get the desired tones without even thinkingabout what is being replaced by what. It is only in retrospect that we recognize thereplacement strategies: 9 replaces 1 (9-1) and 13 replaces 5 (13-5).

Smooth Voice Leading

Example 13.5 shows the smooth voice leading that is possible through the use of extendedvoicings. Notice that only one note changes between the IImin7(9) and the V7(9, 13)chords: the seventh of the II chord resolves down a half-step to the third of the V7 chord.All other notes remain the same between these two chords. Indeed, smoother voice leadingis often more possible with extended chords than with unextended chords.

Awareness of this smooth voice leading not only enhances our understanding of the corresponding chord extensions, it points to yet another strategy for arriving at theextended V7 voicing. For now one need only arrive at the extended IImin7(9) voicing andallow the seventh of the II chord to resolve down one half-step to produce the extendedV7(9, 13) voicing. Needless to say, this strategy will not be helpful in instances where V7is not preceded by II, at which point the chord-superimposition strategy becomesessential. Nonetheless, some individuals may find that this approach provides the easiestentry point to mastering the extended V7(9, 13) voicing. It is ideal to integrate the variousapproaches. As you practice the next keyboard exercise, employ the “hearing in advance”technique on each II chord—whereby you hear the seventh resolving to the third of theV7 before actually playing the V7. This will help you integrate the voice-leading principle.

218 Extended Chords

EXAMPLE 13.5

219Extended Chords

Once you begin to get these chords under your fingers, you will inevitably become quitefond of these sounds. This is particularly true in the case of the extended dominant seventhchord. Whereas minor and major seventh chords are acceptable when unextended, althoughgiven the choice most musicians will prefer the extended voicing, the unextended dominantseventh chord is, in fact, not an acceptable option in a contemporary format. It is simplytoo bland, too dated a sound. The unextended dominant seventh chord sounds beautiful in Beethoven, Mozart, and Schubert. However, amid all the common threads amongharmonic practices over the past centuries, the unextended dominant seventh chord is arelic of a bygone era. This will likely become clear once you begin to internalize dominantextensions and hear and feel the richness of these sonorities.

Here an important point bears emphasis; that is, extensions may or may not be indi-cated in contemporary lead sheet formats, particularly in jazz. Rather, the chord symbolindicated may just say Fmaj7, or Ab7, or E7. Nonetheless, it is customary to extend thesebasic structures in order to achieve the harmonic richness that is possible and characteristicof contemporary practice.


At the keyboard, continue the following pattern, which is notated in three keys, to allkeys without the aid of notation. Because each II–V–I moves down a whole step, after sixkeys you will return to the first (e.g. C, Bb, Ab, Gb, E, D, C), thus requiring that you beginthe sequence again a half-step above or below the first key (e.g. Db, Cb, A, G, G, Eb) inorder to cover the remaining keys.



220 Extended Chords


Written exercise

Write extended II–V7–I voicings in these keys: F, Ab, B, G, Bb, D.

Written exercise

Notate this chord progression with extended voicings on all chords, two chords per bar(except for the last bar in which only Bbmaj7 sounds). Use the smoothest voice leadingpossible. Notice the use of dominant seventh chords that are not preceded by theirrespective II chords, thus requiring the chord superimposition technique. Then play theprogression without reading the notated version, just the chord symbols.

F maj7 Ab7 Dbmaj7 E7 Amaj7 C7 Fmaj7 A7 Dmaj7 Gb7 Bmaj7 F7 Bbmaj7 :

221Extended Chords

Multiple Configurations of Extended Voicings: A and B Voicing Patterns

The extended voicings we have considered thus far have followed a consistent pattern thatis based on the II–V7–I framework and begins with the 3, 5, 7, 9 in the right hand on theIImin7(9) chord. The renowned jazz pianist/teacher/author John Mehegan called these Avoicings. Other configurations, using the same notes but in different placements, are alsoavailable, and it behoves us to be able to play and write a range of configurations for thesake of variety and smooth connections between chords. The B voicings use the fifth in theupper voice on the II chord, as in Example 13.9.

EXAMPLE 13.9


222 Extended Chords

Exercise 13e provides melody notes that you are to harmonize utilizing the extendedchord voicings as indicated in the chord symbols. In other words, the top note of the voicingis given—it is standard practice for the melody note to appear in the upper voice, asharmony atop the melody can obscure the melody—and you will fill in the rest of thevoicings below it. Also fill in the roots of the chords in the bass clef. Since almost all of themelody notes are chord extensions, you will find that you can use either A or B voicings toharmonize them. However, since the melody notes often move by more than a step betweenthe chords, you may have to use an A voicing on one chord and a B voicing on the next.This will help you build fluency in using these voicings.


Written exercise

Write A and B voicings for extended II–V7–I chords in these keys: G, Bb, Db, E, F, Ab.

Written exercise

Write out the rest of the voicings beneath the melody notes, including the roots of thechords in bass clef. In no instance should any notes be placed above the melody note, asthis obscures the prominence of the melodic line.

223Extended Chords

Exercise 13e and Example 13.11

Written exercise

Write out the rest of the voicings beneath the melody notes as in the previous exercise.However, not all melody notes are chord extensions in this exercise; nonetheless, theextended voicings will fit readily beneath the melody notes. Here you will not only needto use both A and B voicing configurations but also other configurations as required byeach situation.

224 Extended Chords

Exercise 13f and Example 13.12

Written exercise

These II–V7–I sequences include right-hand voicings but not the roots. After determiningthe chords, fill in the bass notes and write the chord symbols—including extensions—atop the treble clef. Observe that accidentals carry through the measure.

225Extended Chords

Extended II–V–I Voicings in Minor

Let us now consider voicings for extended chords in minor, using the II–V7–I progressionin minor as the basic framework. We have already encountered a preliminary version of thisin Chapter 10, where we saw that the b5 of the II chord was the same note as the b9 of theV7, and thus realized that we could arrive at a V7(b9) chord by simply building a 07 structureon any of the chord tones (except the root), with the chord tone as the root of the 07structure. In other words, to arrive at a D7(b9), we could just build an F#07 structure on thethird of that chord and it would give us the 3, 5, 7, and b9. While that voicing may still beused, we will now look at another possibility for voicing the V7(b9) chord that flows nicelyfrom the extended II chord in minor that precedes it. Minor II–V–I progressions commonlyuse these extensions: IImin7(b5,11); V7(b9); Imin7(9).

Arriving at these voicings is facilitated by further use of the chord superimposition

Exercise 13g and Example 13.13

226 Extended Chords

principle. As Example 13.14 shows, on the II chord we build a major7b5 structure of the b5of the chord. This same structure also enabled us to arrive at the V7(9, 13) voicingintroduced above. We will make further use of this very handy structure when it comes toaltered extensions in Chapter 14, and it will be advantageous to appreciate this connectionas it will greatly facilitate learning these voicings.

Notice also that the IImin7(b5,11) chord omits the third, a practice that may seemunusual given the importance the third of the chord usually assumes in defining the basicchord quality (thirds are primary determinants of whether a triad or seventh chord is majoror minor). Indeed, the omission of the third may seem to violate a cardinal rule inharmonic construction. Why would the IImin7(b5) be an exception? The reason is not thatthe third does not sound good; in fact you can play the voicing below as is, and then addthe third by playing a fifth note in the chord voicing with the fourth finger, and you willsee that it is in fact difficult to hear the difference between the two chords. And if youplayed the third instead of the eleventh, the chord would still sound acceptable andcertainly uphold the function of II chord in minor. But the chord would not be nearly asrich as when it includes the eleventh, and, inasmuch as (1) the third neither adds to nordetracts from the resonance or function of the chord, and (2) it is easier to omit the third(which is a second away from the eleventh) from simply a technical standpoint; theindicated voicing is preferable. Moreover, this voicing only requires the half-step resolu-tion of a single chord tone in order to arrive at the V7(b9) voicing. Smooth voice leadingis thus one more mitigating factor in the omission of the third in the extended II chord inminor.

The I minor chord may be arrived at by building a major seventh chord on the third ofthe I, yielding the minor ninth voicing.

EXAMPLE 13.14

Exercise 13h

Keyboard exercise

Play extended II–V–I chords in these minor keys: A minor, D minor, F minor, E minor, Bminor, G minor, C minor.

227Extended Chords

Example 13.15 illustrates the V7(b9) chord resolving to another kind of minor I chord,the Imin7(9, 11) chord. The voicing used for the Imin7(9, 11) chord, as does the IImin7(b5,11), omits the third. However, just as with the extended minor II chord, the absence of thattone does not significantly detract from the resonance or the function-defining sonority ofthe chord. In addition, the superimposition of a minor seventh chord on the fifth of theminor I chord produces this particular voicing.

EXAMPLE 13.15


Written exercise

Write extended II–V–I chords in these minor keys: Bb minor, C# minor, Eb minor, F# minor,Ab minor.

228 Extended Chords


Written exercise

Write extended voicings, as indicated in the chord symbols, below these melody notes.

Written exercise

These minor II–V7–I sequences include right-hand voicings, but not the roots. Fill in theroots in the bass clef, and the chord symbols, indicating the extensions used, above thevoicings in the treble clef. Reminder: accidentals carry through the measure.

Extended Substitute Dominant Chords

In Chapter 10, we examined the use of substitute dominant chords to create variety. Recallthat the substitute dominant, or subV7, retained the same tritone interval as the regular V7,and at the same time replaced the V to I movement in the bass with the smooth bII to Imovement; thus allowing the chord to lead to I as effectively as the regular V7. Atop thesebasic structural features may be added extensions that further enrich the substitutedominant function. Here we can utilize the very same extensions we applied to the regularV7 chord: the ninth and thirteenth. As in example 13.19, we arrive at these voicingsthrough the same chord superimposition process—where we build a major7(b5) structureon the seventh—which we used with regular V7(9, 13) chords.

Observe that the sequence is written in two versions, corresponding to what weconsidered above as A and B voicings. This allows us to see two configurations of the

229Extended Chords


230 Extended Chords

subV7(9, 13). However, these two sequences deviate from the use of A and B voicingpositions introduced in regular extended II–V7–I sequences—now the positions arealternated within the same sequence. The II chord in the first sequence is in B position—with the fifth in the top voice—and the subV7(9, 13) is in A position. This shift of positionis necessitated when we use the subV7 instead of the regular V7 and yet still seek to retainsmooth voice leading. This provides all the more reason for developing a fluency with thesechords and voicings that enables us to use them in a variety of positions.

EXAMPLE 13.19

Exercise 13l

Keyboard exercise

Realize IImin7(9)–subV7(9,13)–Imaj7(9) in all keys, utilizing the pattern we have used onregular II–V7–I progressions where key areas proceed down by whole step (e.g. II–V–I inC, then Bb, then Ab, etc.). Practice beginning with both A and B voicings on the II chord,which will necessitate using both voicing positions on the subV7.

Written exercise

Provide voicings beneath the melody notes.

231Extended Chords


Keyboard exercise

These II–subV7–I sequences include right-hand voicings, but not the roots. Fill in the rootsin the bass clef, and the chord symbols, indicating the extensions used, above thevoicings in the treble clef. Accidentals carry through the measure.

232 Extended Chords

Further Reading

John Megehan, Tom Glazier, and Bill Evans, Jazz Improvisation: Contemporary Piano Styles. New York:Watson-Gupthill Publications, 1965.

Phil DeGregg, Jazz Keyboard Harmony. New Albany, IN: Jamey Aebersold Jazz, 1994.Frank Mantooth, Voicings for Jazz Keyboard. Milwaukee, WI: Hal Leonard, 1986.

Exercise 13n and Example 13.21

SUMMARY QUESTIONS

1 Define the two extension approaches—replacement and chord superimpositionstrategies—discussed in this chapter. Give examples of each.

2 Name the replacement strategies used to create extended chords on the II-V-Isequence.

3 In contemporary music, what chord type most strongly calls for extension?(Unextended, this chord sounds particularly bland.)

4 Name the two extended voicings that are created by superimposing the major7(b5)structure. On what chord tones is this structure placed to yield the desired voicings?

5 Name a diatonic extension that is not available on major seventh chords ordominant seventh chords.

chapter 14

Altered Extensions

Our work with natural extensions in the previous chapter prepares us for the study ofchromatically altered extensions, which will further enrich our harmonic palette. We willexplore this area through similar approaches we applied to natural extensions, creating alteredextensions through chord superimposition as well as through voice-leading strategies. Wewill continue to see the major7(b5) structure as a useful chord-superimposition device; inaddition to its role in creating the V7(9, 13) and V7(b9) voicings in the previous chapter, wewill now apply it to create chords with altered extensions.

The Altered Dominant Chord

We begin with the altered dominant seventh chord. Example 14.1 shows several commonaltered dominant chords found in jazz.

Notice the tritone interval that is common to all the voicings. As we have consideredpreviously, the density of the tritone interval supports overlying density, which alteredextensions amply provide. Of the four types of altered dominant chords, our focus will beon the G7(#5, #9) chord, because its voicing is most directly related to strategies we haveused for creating unaltered extensions. Once fluency with this chord is gained, the otheraltered chords will be easily arrived at as variations thereof.


• Learn altered extended chords through keyboard realization work, analysis, andwriting.

• Study replacement tone and chord superimposition strategies.• Compare altered dominants in jazz with augmented sixth chords in European

classical music.• Learn chord–scale relationships that correspond to extended altered chords for

improvising purposes.

234 Altered Extensions

The #5,#9 chord is also commonly labeled as a #9, b13 chord because the enharmonicspelling of the #5 as b13 facilitates playing, writing, or analysis. This alternative labeling alsofacilitates the chord-superimposition technique we will use to voice it; this entails buildinga major7(b5) structure on the third of the chord. Moreover, this labeling also conveys voice-leading movement from the extended II chord that often precedes the #9, b13 chord.

We will discuss the chord-superimposition strategy for arriving at this voicing below. Letus first examine the V7(#9, b13) from a voice-leading standpoint. Observe how the ninth(E) of the II chord resolves down a half-step to the b13 (Eb) of the V7, and how the fifth(A) of the II chord resolves upward a half-step to the #9 of the V7. The strength of thisvoice-leading movement takes precedence over the minimally awkward practice of usingboth a flat and a sharp in the same voicing as well as a chord symbol; indeed, from thisstandpoint, the #9, b13 label most aptly describes what is happening musically. It also pointsto a way of arriving at the voicing from the II chord—we simply lower the ninth of the IIchord a half-step and raise the fifth a half-step. An additional strategy for arriving at thevoicing is provided in Example 14.3, in which the altered-extended dominant is precededby the unaltered-extended dominant. Here the same voice-leading movement that is foundwhen the altered dominant is preceded by its II is followed; the only difference is that nowthis chromatic motion is launched from the V7(9, 13).

Example 14.4 presents a passage from the bridge of the piece “Invitation” which, as withmuch repertory that was first created for Broadway, became a jazz standard. Unaltered andaltered extensions are used in the melody to coincide with the underlying harmony.Although the melody uses b9 instead of #9 the basic principle still holds.

EXAMPLE 14.1

EXAMPLE 14.2

235Altered Extensions

Chord Superimposition Strategy: Build a Maj7(b5) on the Third to YieldV7(#9, b13)

An even more direct way of arriving at the V7(#9, b13) voicing is to superimpose themajor7(b5) structure on the third of the V7. This is our third application of this structure,

EXAMPLE 14.3

EXAMPLE 14.4 Webster and Caper, “Invitation”

Recommended listening: John Coltrane, Standard Coltrane (Fantasy 1990, originalrelease 1958)

Exercise 14a

Keyboard exercise

Realize this chord pattern (notated in Example 14.3 in two keys) in all keys, proceedingwith downward movement by whole step (e.g. in C, then Bb, Ab, Gb, etc.; be sure to beginthe sequence up or down by a half-step once you return to the original key).

IImin7(9) V7(9,13) V7(#9, b13) Imaj7(9)


and there is one more to follow. In other words, as seen in Example 14.5, the G7 alteredchord may be understood as a Bmaj7(b5) chord built on the third (B) of the G7.

Example 14.6 shows the same chord sequence in a different configuration, where thesuperimposed Bmaj7(b5) structure is in this case configured in “root position”—a descrip-tion that is used provisionally to refer to the superimposed structure and not the actualG7(#9, b13) chord of which it is a part.This allows smooth voice leading from the IImin7(9),which is in a different configuration than that of the previous illustration.

Observe also the use of enharmonic spelling in the above instances. Again, voice-leadingconsiderations are important criteria. In Example 14.5, the b13 of the G7 is written as Eband nicely conveys the E–Eb–D movement in the upper voices of the three chords. InExample 14.6, the same partial of the G7 altered chord is spelled as D# to convey thefunction of the tone as a kind of lower neighbor in the E–D#–E movement which resultsfrom the different positions of the voicings. While technically a case could be made to callthe G7 a #5,#9 chord, the #9, b13 label has become a generic category and it is important tobe fluent with the enharmonic variations that may sometimes be at odds with the actualway in which the tones are written. Enharmonic respelling of this chord also helps avoidawkward use of accidentals. An E#, for instance, will often be written as F, B# as C, anddouble flats and double sharps will often be replaced by their enharmonic equivalents thatuse no accidentals (e.g. A instead of Bbb).To illustrate; if we build an F#7(#9, b13) chord usingthe same strategy as above—superimposing a major7(b5) structure on the third—it is easier

EXAMPLE 14.5

EXAMPLE 14.6


to think of superimposing a Bbmaj7(b5) chord than an A#maj7(b5) chord on the third of theF#. The second option would include three notes with double sharps. Therefore, we willfavor the easier spelling even if from a technical standpoint what we are strategizing as a #9(which should technically be G double-sharp) ends up really being a b10 (the note A),which—and this is most important—is the same sound as G double-sharp.

In order to reinforce the principle of chord superimposition involving the major 7 (b5)structure, let us take a moment to review the three applications of this chord we have dealtwith thus far:

1 By placing the maj7(b5) on the seventh above the V7 root, we create a V7(9, 13)voicing.

2 By placing the maj7(b5) on the b5 above the root of a II chord, we create a IImin7(b5,11) voicing.

3 By placing the maj7(b5) on the third above the root of a V chord, we create a V7(#9,b13).

The above notated examples show V7(#9, b13) preceded by IImin7(9); the chord may also be preceded by IImin7(b5, 11) and be used in place of the customary V7(b5) that follows that chord. Example 14.8 illustrates this application, as well as the colorful effectthat results when the lush and dark V7(#9, b13) chord is followed by the very brightsounding Imaj7(9).

Extended and Altered Substitute Dominant Chords

As we first considered in Chapter 7, in order to create variety in moving from V to I, jazzmusicians sometimes replace the V with a dominant chord on the bII degree of the key.



Continue this IImin7(9)-V7(#9, b13)-Imaj7(9) sequence in all keys at the keyboard withoutthe aid of notation. Proceed as above, moving down by whole steps, e.g. II–V–I in C, Bb,Ab, etc. Be sure to begin the sequence up or down a half-step once you return to theoriginal key.



In the previous chapter, we looked at ways of extending the substitute dominant, or subV7, to further create variety and color. Now we will alter the extensions of the subV7.But first let us have a look at what may be an interesting connection between the naturalextensions of the subV7 and the altered extensions of the regular V7. Compare the twovoicings as they are shown in Example 14.9. You may be surprised to see that they areidentical.

The only difference between the chords is the bass notes. Hence, by simply changing thebass note, the voicing for the altered dominant may be used to produce the natural extendedvoicing for its subV.The converse, then, also holds: the natural extended voicing of the subVproduces the altered extended voicing for the V7.

As one might expect, further correlations of this sort are found between the naturallyextended V7(9, 13) chord and the altered subV7(#9, b13) chord, as illustrated in Example14.10. Again, the voicings are identical; only the bass notes change.

EXAMPLE 14.8

EXAMPLE 14.9

EXAMPLE 14.10


In summary: the altered extensions of the subV7 chord are the exact same notes as thediatonic extensions of the regular V7, and the diatonic extensions of the subV7 chord are the same notes as the altered extensions of the regular V7. In the case of altered subV7, thechromatic movement of the bass line renders what would ordinarily have been diatonicextensions to be altered extensions. In other words, if we played II–V–I roots under theright-hand notes, we would get V7(9, 13). But by playing II–bII–I in the bass, those sameright-hand notes yield subV7(#9, b13).

Involving diatonic and altered extensions as well as cadential movement that is commonin European classical music, this progression spans several centuries within eight measuresand serves as the culminating pattern of our basic keyboard realization sequence.

It is recommended that you first memorize the bass line as you would a melody and beable to play it by ear in multiple keys prior to adding chords. The next step will be to



Realize this progression in all keys at the keyboard without the aid of notation. SEMINALKEYBOARDPROJECT 8

recognize the patterns that define the overall harmonic structure; this conception of thewhole will greatly facilitate how the various parts—the chords—fit within it. As withproject 6, the progression consists of four parts. First are two II–V7–I sequences in major,followed by II–V7–I in the relative minor. However, instead of moving back to the relativemajor, this progression stays in the minor and ends with a i6/4–V7–i (or V6/4–V7–i)cadence that is commonly found in European classical literature. Within this overallstructure, it is easy to keep track of where subV7s are used in place of regular V7s: in bar 3of the relative major portion, and in bar 6, where the subV7(b5)/V in minor sets up the finalcadence. Notice that this is a new chord type—a dominant seventh structure with a loweredfifth—but it is easily configured and understood in relationship to the familiar, unextendeddominant seventh structure; one simply lowers the fifth. We will shortly examine thisinteresting and colorful chord as a unique link between contemporary and older practice.

Notice also that this chord is analyzed as subV7/V, because the E that is its target is Vof A, the new I. This progression therefore modulates from major to relative minor,following one of the more common patterns of modulation in tonal music. Modulation toa key a fifth away is another common pattern.

Finally, it should be particularly helpful to recognize that, as indicated in the example,three different chords use the exact same voicing—which exemplifies the usefulness of the major7(b5) chord superimposition strategy. In addition, the voicing for the above-mentioned V7(b5) chord is achieved by simply changing the superimposed structure—Fmaj7(b5)—into an F7(b5) structure that is the actual chord intended (in other words, whatwas a superimposed structure to aid in voicing other chords now becomes, with a slightalteration, both the voicing and the chord intended to sound.

Further Keyboard Work

The subsequent keyboard exercises 14d–14f will help further your fluency with alteredextensions.


Keyboard exercises

(14d) Top–down harmonization. Melody notes are given. Play the melody note with thelittle finger of the right hand and fill in the remainder of the voicings underneath. Playroots in left hand.


(14e) Proceed as in Exercise 14d.


Written exercises

(14g) The melody notes are given; voice the chords in notation down from the top noteas you would at the keyboard. Be alert to enharmonic spellings that appear to conflictwith the altered extension indicated (e.g. a melody note written as b10 instead of #9; youcan nonetheless use the chord superimposition strategies that most readily facilitatearriving at the correct voicing and need not modify the chord symbols or the notesgiven).

(14f) Proceed as with the above exercise, where melody notes are given, and play thevoicing below the melody. Here the melodies are more florid on the altered chords; usethe pedal to sustain the voicing as you play the melody notes. Release the pedal on theI chord.

Exercises 14d–14f and Examples 14.12–14.14



(14h) This exercise provides right hand voicings, including extended and altered chords,for II–V7–I progressions. No roots are provided. Determine the roots of the chords andthe proper chord symbols and write that information (roots in bass clef, chord symbolsabove treble.)

(14i) As above, right-hand voicings are provided for these sequences of II–V7 chords.However, I chords are not provided here, with the exception of the final sequence.Identify and write in roots and correct chord symbols.

Substitute Dominant Chords as Augmented Sixth Chords

Let us further examine the dominant seventh (b5) chord as a link between contemporaryand centuries-old practice.This structure is identical to what in European classical harmonyis called an augmented sixth chord. Augmented sixth chords are so named owing to theprominent role that interval plays in the structure and function of the chord. Because theaugmented sixth interval is the enharmonic equivalent of the minor seventh, and the chordsalso include a major third above the lower tone of the augmented sixth/minor seventhinterval, it is possible to draw correlations between these chords and the dominant seventhstructure. There are three types of augmented sixth chords, named arbitrarily German,Italian, and French, which are illustrated below.

A prominent feature of the augmented sixth chord is the way the augmented sixthinterval resolves. The notes of the augmented sixth interval typically resolve outward, inopposite directions, by a half-step to form an octave, as illustrated in Example 14.18, wherea German augmented sixth chord is shown.

The chord is spelled to reflect the above-described voice-leading movement; the G# isnot spelled as Ab, which would suggest a Bb7 chord, but rather as the top note of anaugmented sixth interval that is clearly directed toward the note a half-step above. Whensounding against the similarly strong movement in the bass to resolve downward to A—anoctave below the upper target note—a powerful sense of motion and arrival results.

One can nonetheless see the correlation with the German augmented sixth chord andthe dominant seventh chord; the Gr6 may just as readily be analyzed as a subV7/V.


Exercises 14g–14i and Examples 14.15–14.17

Find the German augmented sixth chord in the musical passage below (Example 14.19).Example 14.20 illustrates the very similar Italian augmented sixth chord, which differs

from the German only in that the fifth of the chord is absent.Example 14.21 illustrates the French augmented sixth chord, which as it turns out may

be seen as identical to the subV7(b5)/V seen above in the context of contemporary harmonicpractice.


EXAMPLE 14.18

EXAMPLE 14.19 Beethoven, Thirty-two Variations

EXAMPLE 14.20


Exercise 14j and Examples 14.22 Felix Mendelssohn, Song Without Words and 14.23

Analysis

Analyze using Roman numerals and find the French sixth in this passage fromMendelssohn’s Song Without Words for solo cello and piano.

Recommended listening: Yo Yo Ma, Appassionata, “Song Without Words” (Sony 2007)

EXAMPLE 14.21


Notice that even within the broken chord texture, the outward resolution of the augmentedsixth interval to the octave is evident, as seen in the last full measure where the Bb in thebass resolves down to the A and the G#—an augmented sixth above Bb—resolves up to the A as the top note of the right-hand arpeggiated figure. One beat later the A soundsprominently in the cello part, further emphasizing that half-step resolution. Here is wherethe use of the augmented sixth chord usually differs from the subV7(b5) chord in jazz, evenif the structures are identical. In jazz, the seventh of the subV7(b5) chord will morecommonly resolve downward or serve as a common tone (e.g. Db7 to Cmaj7; the B remainsthe top note on both chords).

Let us examine how altered harmonies impact upon the chord scales that we can usewhen we improvise on jazz chord progressions.

Improvising on Altered Harmonies

Whereas chords with diatonic extensions may be paired with the chord scales that aretypically associated with a given chord function, chords with non-diatonic extensionsrequire that we utilize new chord scales in improvising. For instance, we can improvise onan F Mixolydian mode whether an F7 or F7(9, 13) sounds, but if an F7(#9, b13) chordsounds, we need a scale that includes the chromatically altered tones. Table 14.1 presentsscales that are commonly associated with altered chords.

EXAMPLE 14.24 Diminished whole-tone scale

TABLE 14.1 Scales commonly associated with altered chords

Chord type Chord scale for improvising purposes

Dominant7(#9, b13) Diminished whole-tone

Dominant7(b5) Lydian b7; Whole-tone

Dominant7(b9) Diminished whole-tone; Octatonic (half–whole)

Minor7(b5, 11) Locrian; Superlocrian

Major7(#11) Lydian

Diminished7 Octatonic (whole-half )

Major7(#5) Lydian #5

Notice that, as the name of the scale indicates, it combines a diminished tetrachord—which is the first four notes of a scale—and a whole-tone tetrachord. This scale iscommonly used on the V7(#9, b13) chord. It may also be helpful to think of this scale asmelodic minor ascending starting on scale degree 7. In other words, the F# diminished whole-tone scale listed above is the same as a G melodic minor scale ascending starting on F#.Comparable to the chord-superimposition strategy for deriving extended and alteredextended chord voicings, where the major7(b5) chord placed on different chord tonesproduced several different kinds of voicings, the melodic minor ascending scale serves inthe same capacity when it comes to altered scales. Among the following scales are severalmore cases that are versions of the melodic minor ascending scale.

The Lydian b7 or Lydian dominant scale is a Lydian mode with a lowered seventh. Onecould also think of it as Mixolydian with a raised fourth degree, which is helpful in that thisscale may be used even on unaltered dominant seventh chords; the raised fourth degree addscolor to what otherwise would be strictly diatonic playing. This scale may also be derivedby playing an ascending melodic minor scale starting on scale degree 4; the F# Lydian b7 isC# melodic minor ascending.

Octatonic scales are categorized as symmetric scales because their intervallic structurefollows an evenly distributed pattern of whole- and half-steps. The half-step, whole-stepoctatonic scale, as in Example 14.26, begins with a half-step interval and then alternateswith whole steps. This scale may be played on an altered dominant chord. The whole-step,half-step octatonic scale which follows may be played on a diminished seventh chord.


EXAMPLE 14.25 Lydian b7 (or Lydian dominant) scale

EXAMPLE 14.26 Octatonic (half-step, whole-step) scale

EXAMPLE 14.27 Octatonic (whole-step, half-step) scale


The whole-tone scale, consisting of only whole tones, is another symmetrical scale. Itmay be played on the V7(b5) chord or even the diatonic V7 chord to produce a denserharmonic texture.

The Locrian mode is a diatonic mode that may be played on the minor7(b5) chord. TheSuperlocrian mode, Locrian with a raised second degree, may also be played on this chordwith a somewhat more colorful effect.The Superlocrian is identical to a melodic minor scalestarting on scale degree 6; F# Superlocrian—which follows—consists of the notes of Amelodic minor ascending.

The Lydian #5 scale may be played on a major7(#5) chord, which is found much more injazz after the “common practice” era, from the 1960s on. This scale is identical to themelodic minor scale ascending starting on the third degree. Thus, the F Lydian #5 scale isa D melodic minor scale ascending, beginning on F.

EXAMPLE 14.28 Whole-tone scale

EXAMPLE 14.29 Locrian scale

EXAMPLE 14.30 Superlocrian (Locrian #2) scale

EXAMPLE 14.31 Lydian #5 scale


Integrating the Scales into your Melodic-Harmonic Palette ThroughImprovising and Composing

Let us examine some ways we can make these scales more than theoretical possibilities butactually realize them in our creative work as improvisers and composers. In fact, here isanother instance where improvisation and composition activities work synergistically toenhance assimilation of knowledge.

Improvising with Altered Scales

From an improvisatory standpoint, the first step is to be able to sing and play each scale inthe customary stepwise manner. The next step is to begin to improvise and explore thedifferent permutations that are possible. You might begin with stepwise playing, and thenonce you begin to feel more comfortable, explore intervals of thirds and possibly triadicshapes, and then progressively larger intervals. However, you will find playing intervals oflarger than thirds to be much more challenging on many of the above scales than withdiatonic modes, and it is recommended that you establish a solid foundation with stepwiseplaying. Here the melodic cells will be of particular value in helping you get core shapesunder your fingers. Example 14.32 provides several possibilities.

These make excellent exercises for aural transposition, and the alternation of highlyfocused aural transposition and more free-flowing improvisatory work on a given scaleprovides an ideal framework for developing formidable mastery. Once you begin to feelcomfortable getting around on a given scale, place it within a context in which you canconnect it with familiar scales, such as those of a II–V7–I progression. Here you will beginwith the diatonic parent scale or Dorian scale of the II chord and then move to the alteredscale—which you can play on the V7 chord whether or not alterations are indicated—andthen back to the diatonic scale of I. Strive to create lines that move smoothly from thediatonic to the non-diatonic areas. Taking time to compose lines of this nature will be anexcellent complement to this work.

EXAMPLE 14.32

Composing Lines with the Scales

As recommended above in your improvising work with these scales, it is similarly advis-able to place the corresponding chords within a functional sequence—e.g. II–V7–I—andcompose lines that outline the diatonic to non-diatonic to diatonic movement in theseprogressions.

Example 14.33 depicts a line that moves from Dorian on the II to diminished whole toneon the V7(#9, b13). Notice the smooth motion that connects the chromaticism of the altereddominant sonority and melody back to the diatonic target note on the I chord.

Reharmonization

The ability to harmonize a given melody in multiple ways indicates a high level of harmonicfluency and is essential for the contemporary creative musician. This skill allows composersand arrangers to broaden their palette of harmonic colors, and enables improvisers to findnew creative possibilities for playing over standard repertory. The next examples show amelodic line harmonized in six different ways.

Example 14.34 shows the line harmonized first with only two II–V–I sequences, andthen with two common variations of those functions. As shown in harmonization 2 (Harm.2), a IIImin7 chord substitutes for the Imaj7 in bar 2; and a VImin7 chord substitutes forImaj7 in the final bar. Because these chords share two notes in common, these substitutionsboth sustain the harmonic flow and the subdominant-dominant function, while adding


EXAMPLE 14.33

Exercise 14k

Composition

Compose three melodic lines on each of the following chord sequences, making sure touse notes from the corresponding scales for the altered harmonies:

Gmin C7(#9,b13) Fmaj7(9)

Emin7(9) A7(b5) Dmaj7(9)

Amin7(b5,11) D7(b9) Gmaj7(9)

Cmaj7 C#07 Dmin7(9) D#07 Emin7

variety. As you play through the progression, notice how the two harmonizations—bothusing entirely diatonic chords—bring out the melody, yet with subtle differences.

When you create your own harmonization an important priority is that the melodystands out when played over the harmony. In other words, the harmony should not obscurethe melody. In Example 14.35, extensive use of non-diatonic harmonies, and particularlyaltered dominant chords, yields a dense texture that still allows the melody to assume theforefront. Regarding the Roman numeral functions assigned to the second harmonization,other possibilities must be acknowledged as well. For instance, while the opening Ab7(#9)chord may be analyzed as a subV7, whether or not it is heard this way is questionable sincenothing resembling its ordinary target follows soon thereafter. As harmonic richnessincreases, so do the ways different chords may be heard and thus analyzed.

In Example 14.36, no dominant chords are used in either harmonization. This approachis sometimes categorized as “modal” in nature, not because all the chords and melody arederived from a single mode—which is clearly not the case—but because the absence ofdominant chords and prevalence of major and minor quality chords (with extensions)undermines the dominant-to-tonic relationship that is characteristic of tonal music. In theso-called modal approach, chords are heard more as structurally equal and independentsonic “islands” than as part of a hierarchical, tonal spectrum.

Notice the simplicity of the thinner harmonic rhythm used in harmonization 1. Inharmonization 2, a stepwise descending bass line provides an effective counterpoint to themelody, in which the “B” is prominent for most of the passage.


EXAMPLE 14.35

EXAMPLE 14.34


Rhythm Changes

As the above examples illustrate, altered chords may be used in standard harmonicframeworks as well as in less conventional progressions that move feely between distantlyrelated key areas. We close this chapter with a composition by Sonny Rollins that is written

EXAMPLE 14.36

Exercise 14l

Keyboard exercise

Play the above four harmonizations at the keyboard, voicing the chords, as usual, belowthe melody. Sing the melody while you play the chords.


Harmonization exercise

Harmonize the following melody using these approaches:

A II–V–I with diatonic extensions (the melody may be harmonized in at least twodifferent II–V–I sequences).

B Freely tonicizing II–V sequences; may use altered dominants.C Only altered dominant chords.D Modal: only major and minor quality chords, extensions encouraged, stepwise root

movement.E Modal: only major and minor quality chords, extensions encouraged, roots moving by

thirds.

Sing the melody while you play the different harmonies.


on “Rhythm Changes,” a standard jazz progression already encountered in Chapter 12 andwhich has been varied in many different ways while retaining its basic character. In thefollowing version, altered chords are used on the bridge, maintaining harmonic interestthrough their rich colors even as the harmonic rhythm shifts from two chords per bar totwo bars per chord.

EXAMPLE 14.38 Sonny Rollins, Oleo © 1963 Prestige Music. Copyright renewed. This arrangement Copyright 2008Prestige Music. International copyright secured. All rights reserved.


Recommended listening: Sonny Rollins, The Complete RCA Victor Recordings, “Oleo”(BMG 1972).

SUMMARY QUESTIONS

1 What common threads might be identified when comparing creating naturalextensions to altered extensions?

2 What chord type supports the greatest number of altered extensions? Why?

3 Name the different extended chords (natural and altered extensions) that may bederived by superimposing the maj7(b5) structure on a given chord tone.

4 The French augmented sixth chord in European classical harmony is the samestructure as what altered jazz chord? How would the application of these chordsdiffer in terms of voice leading?

chapter 15

Diverse Approaches to Analysis

Much of our focus thus far has been on localized harmonic structures, functions, andsequences in order to develop hands-on access to these materials when we create. Anotherimportant skill area for creative musicians is an awareness of how localized elements relateto each other and to the overall form of a piece or section. Looking at entire pieces andexamining these parts-to-whole relationships develops this skill. This chapter will providea brief introduction to this process using examples from jazz and European classical reper-tory. We will see that different kinds of repertory and corresponding modes of performanceand creation (e.g. jazz repertory as a vehicle for improvisation as opposed to Europeanclassical repertory as a vehicle for interpretive performance) call for different analyticalapproaches. These contrasting analytical paradigms reflect different, culturally mediatedviews about the nature and purpose of music and musicianship training. The cross-traditional melding that defines today’s musical world makes this ability to investigate musicthrough multiple lenses an important part of the diverse skill set of contemporary musicians.

Tonicization and Modulation Revisited

An important aspect of our look at jazz will be a focus on harmonic structure due to therole of jazz compositions as vehicles for improvisation. In no way is this to suggest that


• Pursue contrasting lines of analysis through selections from jazz and Europeanclassical repertory.

• Review the distinctions between tonicization and modulation, application of Romannumerals, criteria for determining chord-scale identification, and the ramificationsof these concerns for the improviser.

• Examine how localized parts of compositions relate to the whole.

258 Diverse Approaches to Analysis

jazz compositions do not stand on their own, as do European classical compositions. Theyare self-contained works, whether or not improvisatory development is involved. Such ananalytical track is entirely viable, but this is not the angle we will pursue in this chapter.Since improvisation is an important aspect of jazz, our emphasis will be on understandingthe harmonic forms of pieces—to grasp how the parts relate to each other and to thewholes—in order to enhance our capacity to spontaneously create atop these forms.The more sophisticated our conception of the form, the more creative options we will haveat any given moment and the less constrained we will be by the idiosyncrasies of thestructure.

Our examination of European classical repertory will take further considerations intoaccount. Before proceeding with the musical selections, let us return to two harmonicstrategies broached previously: tonicization and modulation. Tonicization refers totemporary movement to a new key area. Modulation refers to a more permanent shift,whereby the ear hears a new chord as I. As we will see in the selections below, the lines between tonicization and modulation are not always clear, and determining whichstrategy prevails may be a matter of judgment. Nonetheless, the distinctions are notinsignificant and a primary criterion for making the determination may also shed light on its importance. Modulation indicates structural boundary in a form. It delineates a structural section, whereas tonicization generally serves more as an embellishment to astructural area.

Modulation can occur between closely related keys, as in the movement from major torelative minor, or minor to relative major, or between keys that differ only by one or twoaccidentals. In these cases, modulation usually occurs gradually through the use of one ormore pivot chords—chords that are diatonic to both the original key and the new key. Forinstance, in the key of F major a G minor chord will be II and in the relative minor key—D minor—the same chord will be IV. In a piece modulating from F major to D minor, theG minor chord would thus be considered a pivot chord. Indeed, the tonic chord in the newkey—D minor—would be VI in the original key, foreshadowing even more directly the shiftto the new I.

Modulation can occur between closely related and distant keys. Closely related keys arethose differing by two accidentals or fewer, with movement from major to relative minoror minor to relative major as primary examples. In both instances, the key signaturesremain unchanged. Distant keys differ by more than two accidentals, as in the shift fromC major to Eb major. Modulation may also occur gradually, through hints at the new keyin moments of tonicization, or abruptly, with little or no preparation. The followingselections involve this range of movement from a tonic key to closely related and distantkey areas.

While distinctions between tonicization and modulation are not always clear, anunderstanding of the criteria by which these distinctions might be made will enhance theimproviser’s command of the harmonic structure being used (e.g. knowledge that a piecehas modulated enables the improviser to shift to a new parent scale).

259Diverse Approaches to Analysis

Tadd Dameron, “Lady Bird”

Let us begin by looking at at some of the larger structural patterns of this piece. It may beanalyzed as a two-part, AB form, in C major, with movement toward three other keys.Recognition of these simple facts vastly facilitates internalization of a form and is highlyrecommended as an initial step when learning any kind of new repertory. The next questionis: What are the three keys toward which movement occurs and how do they relate to thetwo formal sections? Here a useful pattern emerges. Tonicization to Ab defines thebeginning of the B section, and temporary movement toward Eb major (measures 3–4) andG major (measures 11–12)—in both cases II–V7s of those keys without landing on therespective I chords—occurs at precisely the same places (the third and fourth bars) in boththe A and B sections.

Recommended listening: Tadd Dameron, The Complete Blue Note and CapitalRecordings of Fats Navarro and Tadd Dameron, “Lady Bird” (Blue Note 1995).

EXAMPLE 15.1 Tadd Dameron, “Lady Bird”


EXAMPLE 15.2 Jerome Kern, “All the Things You Are”


Attending to further detail, yet still within the overall structural realm, we can see thatthe last four bars of the piece return to C major via a common II–V7–I progressionfollowed by an interesting turnaround that leads back to the top of the form. Theprominent feature of the turnaround is the minor-third root movement that begins on the bIII (Ebmaj7) and proceeds by a cycle of fifths to the subV7 (Db7) that leads back tothe top of the form.

Moving toward Roman numeral analysis and chord-scale analysis, it is important to seethe II–V7 chords as related to their respective tonics and to think both in terms of parentscale and individual chord scales for improvising purposes. The most simple way toapproach this piece is to think in terms of four major scales: C, Eb, Ab, and G and applythem to the respective sections in the form. From here, more nuanced strategies are possibleat various points. For instance, owing to the overarching C major backdrop for the entirepiece, one can play a Lydian b7 scale instead of Mixolydian on the Bb7 in bar 4. And let usnot forget that this scale and other scales are, like altered extensions, viable options even instrictly diatonic progressions.

Jerome Kern’s “All the Things You Are”

Whereas “Lady Bird” could be analyzable within the key of C, with three instances oftonicization, “All the Things You Are” provides a good illustration of a piece that uses bothtonicization and modulation.

The piece is an AABA form, in Ab major, with movement to four other key areas. SectionA is largely in Ab and ends with a tonicization in C major (III major). Section A1 is in Eband follows the same pattern, ends with a tonicization in G major (again III, but this timeof Eb), setting up what might be seen as a modulation to G in the first four bars of the Bsection. Hence, the effect is of a first phrase (A) implying movement to III but not fully orpermanently establishing that as the new tonic, and then a second phrase, a fifth away,similarly moving to III, but this time III is established as the new key at the bridge.

The second four bars of the B section shift to E major; whereas sections A and A1 movetoward III, B moves toward VI.

The final A section begins just like the initial A, but is extended by an extra four bars.An important moment here is the IVmaj to IVmin7 sequence—an instance of passingmodal mixture—that represents a break from the harmonic sequence established stronglyin the ear by this point. Whereas IV previously (the first A section) led to tonicization inIII major, now being followed by IV minor allows the harmony to lead to III minor and

Recommended listening: Many recordings of this piece are available, including ChetBaker, The Best of Chet Baker Plays; Keith Jarrett, Setting Standards (Standards I and II,Changes, ECM 2008); Ella Fitzgerald, The Jerome Kern Songbook (Verve 1963); BradMehldau, The Art of the Trio, vol IV (Warner Bros 2005); and Charlie Parker, Bird AfterDark (Savoy 1952).


the cycle of II–V7s that lead back to I (e.g. IIImin7–V7/II-IImin7–V7–Imaj6). Notice theuse of the maj6, 9 chord instead of the major seventh due to the root in the melody.

In summary, this relatively long form is easily graspable when we proceed from thewhole-to-the-parts perspective: Form: AABA. Key: Ab. Key areas: Section A is in Ab andtonicizes to III major (C). Section A1 is in Eb and tonicizes to III (G). Section B stays inG for four bars, and then tonicizes in E for four bars. Section A is identical to A1 exceptthat IVmaj is followed by IVmin and leads back to I via two cycles of II–V7s.

John Coltrane’s “Moment’s Notice”

John Coltrane’s “Moment’s Notice” is outstanding among his several prominent com-positions exemplifying rapid movement between distant key areas.

Again, we proceed from whole to parts. The piece is in Eb major. The form is AB whichrepeats, with an extended B section on the second ending. Within these large sections, theA section may be divided into two four-bar phrases, as may the B section. Hence, apredominant aspect of the framework is the use of four four-bar phrases the first timethrough the form. On the repeat, the last four-bar phrase is extended in length to eightbars.

Let us now seek patterns and relationships between the many chords and tonicizationactivities that characterize this piece. At first glance the tempo of the piece, the sheernumber of chords, and the seemingly random way in which they move may seem daunting,to say the least, when it comes to improvising on this framework. At closer inspection,however, significant patterns are evident that will greatly facilitate this task and reveal thatevery single chord upholds a function within this tightly knit, coherent, and anything-but-random structure.

Most evident is that the tonal centers of the four-bar phrases move in a readilyidentifiable pattern prior to the repeat: Eb–Db–Ab–Gb. In other words, they move down astep, up a fifth (or IV of the original key) and down another step. On the repeat, a slightmodification is found—Eb–Db–Ab–Eb—yielding a highly manageable way of concep-tualizing this framework.

Needless to say, what happens within these tonal centers presents a more formidable setof challenges to the improviser, for Coltrane does not just frame these areas withcorresponding diatonic chords but in fact makes use of extensive non-diatonicism.Nonetheless, prominent patterns are evident that help us navigate this non-diatonicmovement. First, at the heart of each four-bar phrase—the middle two bars—are II–V7–Isequences that affirm the respective tonal centers. Second, the II chords of the first twophrases are preceded by II–V sequences from a key center a half-step above. In the first four bars, the Emin7–A7 sequence in the first bar is from D, which precedes the

Recommended listening: John Coltrane, Blue Trane, “Moment’s Notice” (Blue Note2003, original release 1957).


EXAMPLE 15.3 Coltrane, “Moment’s Notice” © Jowcol Music/RKM Music. Used by permission.

Fmin–Bb7–Ebmaj7 sequence from Eb. In the second four bars, the Dmin7–G7 sequence inthe first bar is from C, which precedes the Ebmin7–Ab7–Dbmaj7 sequence from Db. Hence,we now have a handy way of thinking about the first three bars of the opening two four-bar phrases. We will deal with the fourth bar of these phrases below.

While the third four-bar phrase deviates from this pattern (although the fourth phrasereturns to it), this deviation involves the use of a harmonic practice so common that itscarcely contradicts our pattern-seeking efforts. Here a cycle of two II–V7 sequences (thesecond involving a subV7) begins in the first bar that smoothly sets up the third tonalcenter: Cmin7–B7–Bbmin7–Eb7–Abmaj7.

The third phrase returns to the pattern evident in the first two where the II of the tonalarea is preceded by a II–V7 from a tonal center a half-step above:

Amin7 D7 Abmin7 Db7 Gbmaj7

Now let us look at the fourth bar of each of the four-bar phrases. At first glance it mayappear difficult to account for the Abmin7–Db7 sequence, except to label it perhaps asII–V7 of bIII, or alternatively as a II–V that begins on IVmin. However, we can think ofthis II–V as a kind of foreshadowing of the later arrival, albeit temporary, of Gb, which wehave seen is the fourth of the four tonal centers of the piece. To be sure, it may be a stretchto suggest that the ear, perhaps upon the second iteration of the form, retains this long-distance relationship. But a closer look may give reason for pause, since the Db7 chord, Vof Gb, returns in the fourth bar of the third phrase. Realizing this provides yet another pieceof the puzzle in finding a place for this sequence.

In the second four-bar phrase, the last bar is identical to the first, which greatly facilitatesconceptualization:

Dmin7 G7 Ebmin7 Ab7 Dbmaj7 Dmin7(b5) G7

Moreover, this bar propels movement to the first bar of the third phrase by extending, onthe front end, the cycle of II–V7s that characterizes this passage:

(Dmin7 G7) Cmin7 F7 Bbmin7 Eb7 Abmaj7 Db9

As stated above, the fourth bar of this third phrase involves movement similar to that whichwe have already seen, where a V7 (or in this case V9) from a distant key area sounds yetwhose resolution is temporality delayed. This only serves to magnify its arrival at its I, Gb,in the next phrase. We see this exact pattern occurring in the last bar of the last phrase,where the II–V7 of the opening key area (and overarching key of the piece) sounds. Then,when the music repeats back to the top, the same delayed resolution to its I is caused by theopening II–V7 sequence a half-step above.

The second ending of the piece involves a rather conventional use of diatonic chords atopa Bb pedal in Eb and requires no further commentary.

It should be evident from this analysis that every chord in this piece upholds a preciseand intricate role in both its localized harmonic group, and because each group forms anetwork of subwholes, sustains a relationship to the whole.



In summary, we can grasp “Moment’s Notice” through these structural components.Form: AB. Key: Eb. Key areas: Eb, Db, Ab, Gb, and on the repeat Eb, Db, Ab, Eb. Patternswithin sections: Each key area lasts for four bars and is framed by its corresponding II–Vin the middle two bars. The first and last bar of each four-bar key area includes a II–V7sequence (or just V) that is non-diatonic to that particular key area but which may be relatedto other II–V7 sequences or tonal centers in the form.

Jazz musicians typically have significant amounts of repertory committed to memory.The ability to recognize patterns is invaluable to learning pieces quickly and being able toimprovise on even the most intricate forms without being encumbered by theiridiosyncrasies. Other pieces by John Coltrane that embody the above principles includeGiant Steps, Countdown, Lazy Bird, and his lovely ballad Central Park West, which we willuse as a vehicle for expanding our improvisatory conception in Chapter 16. As stated above,

Analysis

This Coltrane-inspired piece moves through several distantly related key areas but, unlike“Moment’s Notice,” the key areas are not analyzable in relationship to a tonic key.Instead, the harmonic structure is to be analyzed in terms of relationships between keyareas, reminiscent of our early free-tonicization work. How many key areas can youidentify in the piece? What patterns can you identify in terms of the movement betweenchords and key areas?

Exercise 15a and Example 15.4 Ed Sarath, Counting Up. © 2009 Ed Sarath


our focus with this repertory has been on harmonic structure given its direct relevance toimprovisers. A variety of other analytical angles—melody, form, rhythm, texture—mighthave also been pursued were the focus of this book a study in jazz composition. It must beemphasized, however, that ultimately the essential role of improvisation and the overallstructural intricacies of jazz works cannot be separated from one another, and thus the aboveconsiderations would factor prominently in any such analysis.

Let us now look at some examples of European classical repertory to gain a glimpse ofsome analytical considerations that might come to the fore in music that is not intended asan improvisatory vehicle.

EXAMPLE 15.5 Chopin, Prelude, Op. 28, No. 4


Chopin, Prelude, No. 4

This piece might be thought of as jazz-like in its use of a melody in the right hand, chordsin the left, and occasional use of extensions. Its harmonic rhythm varies from one measureto the next, sometimes involving one chord per bar, other times two per bar. Analyze theharmonies and write down the contemporary chord symbols for each chord, making sureto indicate the proper inversion; you will find an interesting sequence. However, what ismost prominent in this piece is the horizontal—and here is where our analytical inquirybegins to change course—melodic movement in multiple voices, in which stepwisedescending lines, often involving half-step resolutions, define the tonal flow. Vertical chordstructures are by-products of this melodic movement, within which four discrete lines mightbe identified. The first is the treble clef melody itself, which might be reduced to thefollowing skeletal sequence of pitches:

Recommended listening: Claudio Arrau, Ultimate Chopin (Decca Music Group 2006).

EXAMPLE 15.6

The next melodic line is the top voice in the bass clef/left hand, which might be reduced asfollows:

The two underlying lines may be reduced as follows:

In essence, analysis entails apprehending a piece of music as a kind of character in a play,requiring us to penetrate to what it is that makes this particular piece unique. Just as everyindividual is unique, every piece of music is different and calls us to try to figure out whatmakes it so. In this Chopin Prelude, the horizontal flow of its multiple voices stands out asan essential aspect. The harmonies are by-products of this flow, reminding us of a principlethat was introduced early on regarding the interchangeability of chords and scales/melodies:chords are vertical manifestations of pitch regions, scales and melodies are horizontalmanifestations. This piece could be analyzed either in terms of its vertical, harmonicstructures or its horizontal, melodic structure. We have focused on the latter in that itexemplifies an angle not so readily evident in jazz literature, particularly given the approachwe have taken to that literature.


EXAMPLE 15.7

EXAMPLE 15.8

EXAMPLE 15.9

EXAMPLE 15.10

Keyboard exercise

Improvise at the keyboard a piece that roughly emulates the gesture (or basic shape) ofthe above Chopin Prelude. Play or sing a melody consisting primarily of sustained notesand play chords beneath it that move smoothly, with only one or two notes changingbetween chords. Do not be concerned with the names of the chords or whether or not


Schubert, Waltz

Let us now turn to another European classical selection, this time a Schubert Waltz. Afterlistening to the piece a number of times, attempt to identify its salient elements. Thefollowing questions serve as a guide.

Exercise 15b

they may even be labeled in a conventional manner. Rather, let your fingers and earsguide the movement. The intent is not to replicate the harmonic language of the Chopinpiece but rather the texture. It is entirely acceptable if your improvised emulation makesuse of extended jazz-like harmonies or even atonal structures.

Analysis

Identify key, provide Roman numerals, and contemporary chord symbols. Analyze the melody in terms of antecedent-consequent phrases, motivic development, andsequence. Identify the sections of the piece that make it AABA, and explain how theharmonies support these sections. Does the piece involve modulation or tonicization?What are the highest melody notes and the lowest bass notes and their possiblesignificance in upholding the formal structure? What kind of chord is found on the lastbeat of bars 6 and 14 and what role does this chord play in shaping the phrase? Comparethis chord to that found in bar 23. Can you find examples of the kind of voice-leadingmovement noted in the Chopin piece? Compare the rhythmic aspects of this piece to theChopin piece.


Analysis is a tool for delving more deeply into a given piece or kind of music andunderstanding the relationship between its structural features, purpose/s, and the experienceit might elicit. Different kinds of music call for different analytical approaches, and asmusical practice draws increasingly from diverse repertories, it is equally important forcorresponding models of theoretical investigation to also emerge that enable musicians topenetrate the inner workings of diverse musical forms. In this chapter we have gained asmall glimpse of the contrasting approaches to analysis that are possible. In our examinationof jazz repertory, we focused on harmonic structure in that the more we understand howthe parts relate to the whole, the greater our capacities to create atop the form when weimprovise. From this standpoint, interpretive performers—even if not having the option toalter or invent harmonies, melodies, and rhythms—will also benefit from a grasp of theoverall architecture of the music they play.

At the same time, important questions are raised about looking at improvised musicthrough a notation-based lens. While notation-based analysis can reveal much about a fullycomposed notated piece, how much can it tell us about music that involves a significantimprovisatory component? In jazz, up to 90 percent of a given performance may beimprovised. Even if we transcribe an improvised piece, to what extent can notation conveythe kinds of interactions and creative decisions that were made on a moment-to-momentbasis? Or the possible influence of the audience on the creative process? Whereas withcomposed notated music, the analytical process roughly resembles the composition processin that we can pause, examine a moment at length, proceed to what came before or what

Exercise 15c and Example 15.11 Franz Schubert, “Waltz”

Recommended listening: Paolo Bordoni, Schubert: Complete Waltzes (EMI 2006).


follows, just as could the composer; if we examine a transcribed improvised piece from thisstandpoint, we depart fundamentally from the kind of engagement that was available to theimproviser.

These questions point to even more underlying ones that are related to the confluenceof improvised and composed music. What are the unique expressive results that arepossible when music is made up on the spot, particularly through collective interaction?What are the unique expressive results that are possible when a single composer fashionsa work over a period of weeks or months? What are the socio-cultural or other extra-musical factors that may have given rise to these contrasting musical paradigms? What aresome of the interesting ways in which improvised and composed music have merged?What frontiers remain to be explored? What are the ramifications of these issues formusical study?

SUMMARY QUESTIONS

1 Name a common purpose in the analysis of jazz and European classical repertorywhen it comes to understanding harmonic structures. In other words, what kind ofinsight can analysis reveal about harmonic form that is useful to both jazzimprovisers and interpretive performers?

2 What is the difference between tonicization and modulation?

3 Modulation can only occur between closely related keys. True or false?

4 How many key areas does the harmonic structure of “Moment’s Notice” movethrough?

5 What are some of the limitations in notation-based analysis when it comes to musicwith a significant improvisation component?

chapter 16

Fine-tuning and Expanding the Jazz Palette

The ability to play over contemporary chord changes with authentic time-feel conceptionmay be the single most valuable skill area for today’s musicians when it comes to the broadermusical pathways this skill set opens up. Between the formidable technical prowess on one’sinstrument, strong aural skills, harmonic fluency, creative instincts, and the rhythmicfoundations—with their ample global connections—that jazz requires, this idiom holds aspecial place in the training of contemporary, creative musicians. In this chapter, we exploreapproaches to improvising on jazz chord changes that are not commonly addressed inconventional jazz instruction in order to promote more individualized and inventive musicmaking. We will also look at harmonic and compositional techniques that move beyond thetonal harmonic formats with which we have been working.

We begin with methods for fine-tuning our improvising in chord-change formats andthen explore new approaches to playing over changes. We will use John Coltrane’s CentralPark West as a vehicle for these purposes.


• Explore ways of fine-tuning and expanding our creative horizons as improvisers.• Improvise on John Coltrane’s Central Park West using rhythmic, intervallic, motivic,

and non-syntactic parameters as creative catalysts.• Look at jazz repertory that uses new harmonic and rhythmic elements.

Recommended listening: John Coltrane, Coltrane’s Sound, Central Park West, (Atlantic1960).

Rhythmic Layers for Melodic Clarity

After listening to a recording of the piece, proceed to the following exercises. Our initialfocus will be to simplify the rhythmic dimensions of our improvising in order to enhancethe clarity of our melodic lines and their relationship to the underlying harmonies.

273Fine-tuning and Expanding the Jazz Palette

EXAMPLE 16.1 Coltrane, Central Park West. © Jowcol Music/RKM Music. Used by permission.


Collective chorale improvisation

Play the head as it is conventionally notated and played. After repeating the head,improvise collectively in the style of the head, creating a kind of chorale texture—anillustration of which is provided in Example 16.2—that is based in a rhythmic templatederived from the head. Be sure to derive notes from the chord changes and relatedscales. This exercise may be played on any number of instruments.

For some musicians—including those who have achieved a certain degree of dexterity—this may be a challenge, as they may not be accustomed to playing so rhythmically, simplyand lyrically. In this first series of drills we will use only diatonic melody tones—notes thatare within the diatonic chord scales; altered tones will follow. This process may be likenedto applying species principles to jazz chord changes. Just as in our species improvising,where despite its rhythmically simplified nature we placed rhythmic integrity at a highpremium, it is similarly important to maintain strong rhythmic integrity while improvisingwith the clear and simple rhythmic values of the template. Here it may help to conceive ofsubdivisions at this slow tempo to aid in the process.

As with the first three species, we will halve the rhythmic values in the next fewexercises—moving from the quarter notes of the above choral format to eighth notes, thensixteenths, then thirty-second notes. We will also incorporate two more strategies: one isthat each soloist plays unaccompanied the first time through the chord sequence, and thenthe accompaniment comes in the second time; and second is where we will use a modifiedversion of the form that allows us to focus on the opening sequence of chords.

C#min7 F#7 : Bmaj7/Emin7 A7 Dmaj7/Bbmin7 Eb7 C#min7 F#7 :

274 Fine-tuning and Expanding the Jazz Palette

Exercise 16b

Chorale-style solos

Now play individual solos in the chorale-style format, with rhythm section background(this could be just piano or guitar or bass, depending on instrumentation in the class).This is not the place for reeling off stock II–V–I lines, which the rhythmic constraints ofthe chorale format will in any case not permit. Rather, play the simplest, clearest linesthat are as locked into the chord changes as possible.


Rhythmic template solos

Take turns soloing using the rhythmic template below (four eighth notes and a half-note). First time through the sequence the soloist plays unaccompanied, second timethrough with accompaniment. The same goals of clarity and lyricism apply.

If you are able to consistently play strong sixteenth-note lines, you may proceed to thenext exercise that uses thirty-second notes. If not, you may still attempt the drill as a kindof experiment, but it is recommended to spend the bulk of your practicing on the previousone until you are consistently able to play lines that clearly align with the harmonies as wellas being grounded in solid rhythm.

At this point, you may return to the previous exercises and use altered scales as discussedin the previous chapter, or you may continue and return to the above formats later.

Registral, Density, and Contour Variety

Now let us apply further constraints. One is to use different intervallic sizes in improvisingon this framework (Exercises 16f–16h).



Rhythmic template solos

A next round of solos follows, and again a new rhythmic template is introduced, this oneinvolving eight sixteenth notes that land on the half-note target note as shown here.First time unaccompanied, second time with accompaniment.

Exercise 16e

Thirty-second note solos

Improvise as above but now use sixteen thirty-second notes that begin a phrase whichlands on a half-note. First time unaccompanied, second time accompanied.

Exercise 16f

Improvisation

Improvise on the above sequence using registral variety (your highest and lowest notes).

Intervallic Variety

You may also experiment with sixths, sevenths, and larger intervals.


Exercise 16g

Improvisation

Improvise on the above sequence using density variety.

Exercise 16h

Improvisation

Improvise on the above sequence using ascending lines the first time through, thendescending lines the second time.


Improvisation

Improvise on the sequence using fourths and fifths as much as possible; a sample line isshown. Same format as above: unaccompanied first time through, then accompaniedsecond time.

Improvisation

Improvise using seventh chord arpeggio shapes as illustrated.


Whereas the seventh chord arpeggio shapes in Exercise 16j largely used intervals ofthirds (e.g. 1, 3, 5, 7, or 3, 5, 7, 9), exercise 16k illustrates the use of dominant seventh chordshapes that are derived from extended voicings on those chords (diatonic extensions).



Improvisation

Improvise using seventh chord arpeggio shapes on the II chords and shapes based on theV7(9, 13) voicing (review Chapter 13) on the dominant chords (Example 16.7).

Exercise 16l and Example 16.8

Improvisation

Improvise using altered dominant voicings (review Chapter 14) melodically on the Vchords, as demonstrated in Example 16.8.


Motivic and Multi-motivic Development

In this section, we improvise with motivic development, first taking a single motive anddeveloping it sequentially on the chord changes, and then using the process of multi-motivic development introduced in Chapter 1, now applied in a chord changes context. Oneof the biggest challenges in these kinds of drills is establishing motivic clarity and notallowing stock patterns to clutter the melodic tapestry and obfuscate the sense of identitywe want to establish with each motive. A good litmus test for the degree of clarity beingestablished is to stop the music mid-solo and ask classmates to sing the motive beingdeveloped. If the motive is clear, the response will be immediate from the entire class. If themotive is unclear, the response will either be silence or lengthy debates about whether ornot some aspect of what had been played might be considered motivic. Keep in mind thatany idea can serve as a motive, but it is only when it is reiterated on a new pitch level oraltered in some way (but not to the extent where its relationship to the first iteration isobliterated) that it becomes a sequence.

The multi-motivic development exercises are particularly challenging in that they requirethe improviser to sustain awareness both of the chord changes as well as a linear, horizontalconception whereby not just one but multiple ideas are developed.


Improvisation

Improvise using motivic development The sequence in Example 16.9 illustrates onepossibility.

Exercise 16n

Improvisation

Begins exactly as above with a first motive (A) introduced and then reiterated sequen-tially. But now a new motive B is to be introduced, followed by a fragment from A, andthen another iteration of B. There are no rules as to how long you must wait until asecond motive is introduced, or what part of the beat it must come on, or its length.What is most important is the clarity of the ideas and that the two (or more) motives areas contrasting as possible from one another.

Improvise and sequentially develop the two contrasting motives.

As discussed above, one of the biggest challenges in this exercise will be the tendency tofall back on stock phrases either in between or in place of the motives, thereby resorting toconventional conception and rendering this exercise unproductive. Think of the differentmotives as unique characters in a play, each with very diverse identities. There should be noquestion regarding the different motives: when A sounds, that identity should be crystalclear, and when B comes in, that contrasting identity should also be crystal clear. Even whenthe motives begin to be mixed, the use of fragments from each should be clear. Vigilancewith this aspect of this exercise will go a long way toward taking you out of your familiarmode of playing and expanding your horizons. In no way is this to suggest that the phrasesand concepts that are deeply lodged in your fingers and ears, acquired through much hardwork, are all for naught. In fact, they represent a creative foundation to be built upon, notannihilated. When we engage with exercises such as these that expand our horizons, our goalis to both expand upon what already exists, as well as help us free up from the bindingattachments inherent in mastery of any kind of knowledge or technique. But freeing up fromattachments is not to obliterate the content that has been internalized. Rather, we want toaccess that content in new and more fluid ways. Artistic development is an additive processwhereby we want access to the totality of everything we have studied and been exposed to.

Integrating Strategies

The above strategies can greatly expand the improviser’s creative palette as well as bringclarity and depth to our playing. It is one thing to reel off idiomatic lines that align withchanges; it is quite another to consistently invent and develop ideas on a moment-to-moment basis, driven by perception of the possibilities inherent in a given idea. Thisinvolves an entirely new kind of concept, a new level of being in the moment, to be able tofathom an idea as a generator of subsequent ideas as opposed to serving as yet another linkin a chain of events. The above exercises will help cultivate this kind of awareness.

Several questions arise at this point: How does one integrate these strategies into one’splaying? Does this require conscious attention to a particular approach every time oneimprovises? If so, will not this distract the improviser from the interactive focus that isnecessary when playing in groups?

By taking some time to work on these inventive strategies on a regular basis, they willnaturally inform one’s playing. In this sense, they are very much like aural transposition andother kinds of technical practice; one invests the time in these areas and then, when it comestime to play, the focus should be on the music rather than on the technique. Indeed, it would


Exercise 16o

Improvisation

Now play Central Park West using the full form, as shown in Example 16.1, using thisformat for solos: each soloist plays one chorus apiece, playing unaccompanied for thefirst six measures, with accompaniment entering on bar 7.


be difficult if not impossible to keep in mind all the strategies at once. As you work withthese kinds of ideas, however, one or another may spontaneously come to mind in themiddle of a solo and thus serve as an organizational catalyst at that moment should theimproviser choose to use that idea.

The ultimate purpose of the above kind of practice is to cultivate profundity by takingone outside of ordinary patterns.

Expanding the Harmonic Palette

Let us now begin to expand our harmonic spectrum by moving beyond the functional tonalcontexts that have been our focus beginning with Chapter 5. Today’s musical landscape,involving tonal, modal, and post-tonal elements, offers musicians a wide variety of creativepossibilities, and the grounding we have gained so far in tonal practices provides us withformidable tools to partake of this landscape. Musicians often think of this landscape interms of a continuum that extends from “inside” to “outside” sonorities.To generalize, insidesounds are more consonant, outside more dissonant. Viewing this in terms of extremes,strictly diatonic, triadic passages or perhaps those created according to strict speciescounterpoint principles might be considered to be the most inside sonorities. The atonal,serial music of Arnold Schoenberg, Anton Webern, Milton Babitt, and Pierre Boulez mightbe placed at the most outside end of the continuum. Most of the music made falls withinthe infinite range of possibilities that exist between these extremes. Although more than afew musicians in the early to mid-twentieth century believed that tonality would fall by thewayside as a result of the emergent atonal practices, the opposite has proven to be the case.The infusion of the pitch and rhythmic aspects of world musics in contemporaryEuroclassical and jazz (from early on) has played an important role in this affirmation andenrichment, rather than dissolution, of tonal-modal and post-tonal-modal practices.

Nonetheless, an inside-to-outside trajectory of pitch practice is clearly evident in themusical world and provides a helpful context for understanding salient principles thatprevail today. While it is beyond the scope of this book to delve extensively into thesepossibilities, here are a few key structures and strategies that will begin to bridge our tonalfoundations with the broader range of options.

Several kinds of harmonies outline this continuum:

Major 7 chord with ninth in the bassMajor 7(b5) chord in root position or inverted

Exercise 16p

Improvisation

Play Central Park West from beginning to end, with the option of either consciouslyusing one or more of the above strategies, or simply the intention of allowing anewfound clarity and depth to manifest in your playing.


Major 7(#5) chordPolytonal harmonies

In addition, a relational principle comes into play that is prevalent in post-tonal music,where the hierarchy of subdominant–dominant–tonic chord functions prevalent in tonalitygives way to more non-linear, non-hierarchical functions in which chords are often quasi-independent “islands.”

Example 16.11 shows a passage that utilizes several of the new chord types andprinciples. The E pedal in the first four bars underlies and unifies the overlying changingharmonies, creating a sense of tension that is resolved when the E moves to Eb in bar 5. TheFmaj7(b5)/E and Bbmaj7(b5)/E, structures in bars 2 and 4 are structures that have been usedextensively since the 1970s and are often associated with the music put out by the ECMjazz record label. The maj7(b5) chord retains its distinctively colorful sonority whether inroot position or when inverted; the two inversions seen here, one with the seventh in thebass, the other with b5 in the bass, are common. In bar 5, the Gbmaj7/Ab is another additionto our chord palette, this involving a major seventh chord with the ninth in the bass. Sincethe ninth is part of the diatonic chord scale, the added tension does not detract from thecharacteristic resonance and stability of the major seventh chord sonority. Notice the use ofinversion in bars 5 and 6 to create contrary motion between the descending bass line(Ab–Gb–E–D–C#) and the ascending melody line. Also notice the sustained melody notein bars 7 and 8, against which are two distantly related chords (defined by the use of two ormore accidentals). What is important to recognize here, however, is that the chords sharetwo common tones, one of which is the melody note, and thus the co-existence of strongunifying features as well as diversifying features define this moment.

EXAMPLE 16.11

EXAMPLE 16.10

While the chords in Example 16.11 move significantly between a number of key areas,because all the sonorities are diatonic within themselves, the overall impact is heard asrelatively “inside.” This point is illuminated if we look at the chord scales to be used inimprovising on these harmonies; they are all among the diatonic modes. Emin7(9) takes EDorian; Fmaj7(b5)/E takes F Lydian (or E Phrygian); Amaj7/E takes A Ionian or Lydian;Bbmaj7(b5)/E takes Bb Lydian or E Locrian, etc. Accordingly, if we think of each chord aspart of a pitch region—which manifests vertically as chords and horizontally as scales—thepassage moves from one diatonic pitch region to another. Chromatic richness is created bythe range of movement from one region to another rather than the structures within eachregion. The passage thus falls toward the inside portion of the post-tonal-modal portion ofthe inside–outside continuum.

The passage shown in Example 16.12 involves chords that begin to move toward theoutside portion. First is the major7(#5) chord, which as the symbol indicates is the majorseventh chord with a raised fifth degree.This chord is not a diatonic chord and thus requiresa non-diatonic chord scale—the Lydian#5 scale—for improvising purposes. A bit moreoutside sounding is the Fmaj7/Gb chord in bar 5, which in consisting of a major seventhchord atop a non-diatonic bass note hints at polytonality—the co-existence of more thanone tonal area.

Improvising over polytonal harmonies presents interesting challenges when it comes toidentifying chord scales. In the case of the Fmaj7/Gb, we have a couple of options. We cansimply add the Gb to the diatonic chord scale, thus resulting in an additional half-stepmovement (e.g. F-Gb–G) in the F Lydian (or Ionian) scale. Here it is also possible toconstruct a scale with two tetrachords that align with the chord structure, as Example 16.13shows.

The G/Eb chord is similar to the previous chord except that it consists of only a triadrather than a seventh chord atop the non-diatonic bass note. Here two chord scale possi-bilities may be identified. The first is the Lydian(#5) scale. The second is the augmentedscale.


EXAMPLE 16.12


Example 16.15 takes us even further to the outside range of the post-tonal-modalspectrum. Here we find highly dense sonorities that derive from the superimposition of twoor more chords atop one another. The saxophonist David Liebman is known for hisinnovative use of such harmonies. Here fully notated voicings are provided in addition tothe chord symbols.

EXAMPLE 16.13

EXAMPLE 16.14



Cross-stylistic Melding

The following are two compositions of mine that illustrate the merging of styles andinfluences that is prevalent in today’s musical world.

The first is Quiet Mind, which draws from jazz, popular music, and European classicalsources and combines several harmonic strategies discussed in the book as well as new ones.Look at the solo section; for example, the first 16 bars are modal in nature given therelatively long stretches on each chord. However, unlike conventional modal approaches,which tend to use diatonic modes, here the Ebmaj7(#5) and Dbmaj7(#5) chords call for lydian(#5) chord scales. When the harmonic rhythm speeds up on the second 16 bars of the soloform (which are the exact chord changes from the B section of the main theme), we findglimpses of tonal harmony, particularly with the Bbmin(M7) to Eb7(b9, b5) sequence, whichis a II–V. But there is no I chord to be found here. Instead, a C triad with b9 in the bass,followed by B, A, Bb, and Ab triads over a G pedal, hint at a kind of polytonality that, asoccurs in the main theme of the piece, links the lyricism and harmonic simplicity of the first16 bars of the main theme with somewhat more dense sonorities.

Turkish Tihai (Example 16.17) makes use of Arabic melodic and rhythmic inflections,and also an Indian cadential rhythmic device called “tihai.” Tihai translates from Hindi as“three times,” with the basic idea involving the use of a repeated pattern at the end of apassage in order to accentuate the return to the first beat of the rhythmic cycle. What makesthe tihai pattern exciting is the precise mathematical placement of the idea, where the lastnote of the pattern becomes the first note of the beat cycle. The effect is very exciting, as itleaves the listener in a state of intense suspension, only to resolve the suspension with anunanticipated arrival at the central point of the beat cycle: sam, or 1. Examine bars 58–62

Recommended listening: David Liebman, with Jean-Paul Celea and WolfgangReisinger, Missing a Page, “Le Roi de Monde” (Label Blue 1998).

EXAMPLE 16.15 David Liebman, Le Roi Du Monde. © David Liebman. Used by permission.


and notice that the tihai pattern consists of a six-beat phrase that repeats three times overa seven-beat cycle and that, on the last repetition, the last beat of the pattern lines up tosound on beat 1 of the cycle to bring the phase to a powerful close. It should be noted thatwhile in this context the tihai is composed, Indian musicians actually improvise thesepatterns, which requires an extraordinary command of rhythmic cycles and awareness ofexactly where they are in the cycle at all times.

TRACK 17



EXAMPLE 16.16 Ed Sarath, Quiet Mind. © 2000 Ed Sarath.

TRACK 18



Final Composition Project

Final Creative Synthesis

The following exercises involve a return to the trans-stylistic approach introduced inChapter 1 and the integration of these strategies with style-based approaches. It may behelpful to review Chapter 1 and return to some of the exercises presented there (e.g. wheelof duets, use of non-syntactic catalysts). As you do so, you will likely marvel at the skills youare now able to bring to those formats. Moreover, you may find that engaging in trans-stylistic improvisation after extensive style-specific immersion expands your creativecapacities in the latter area. In other words, the formidable tonal, modal, harmonic, melodic,and rhythmic skills that now comprise your inner reservoir, in addition to serving asexpanded resources for creative expression, may also be expanded through trans-stylisticcreative application. Style-specific immersion and trans-stylistic exploration are notconflicting but rather highly complementary aspects of artistic development, and most ofthe major innovators exemplify this principle.

Exercise 16q

Composition

Compose a piece that uses as many of the new harmonic structures that we haveencountered in this and recent chapters as possible, as well as odd or mixed meters.Harmonic possibilities include: extended and altered chords (e.g. min7(9), V7(9,13),maj7(9), min7(11), major seventh chords with ninth in the bass, maj7(b5) chords in variousinversions, maj7(#5), and polytonal harmonies.

EXAMPLE 16.17 Ed Sarath, Turkish Tihai. © 1999 Ed Sarath.


Concluding Thoughts

Artistic development is a lifelong endeavor in which the totality of our experience, in andbeyond our particular disciplines, shapes our creative expressions. At every stage of thisdevelopment, robust creative engagement and rigorous study of craft need to occur in closerelationship with one another. When the creativity–craft interaction is in place, depth ofexpression, assimilation of skills and knowledge, the levels of meaning and fulfillmentderived from our work, and the capacity to transcend boundaries—whereby we see ourparticular terrain as part of a broader, cross-stylistic, cross-cultural expanse—are optimal.When the creativity–craft interplay is lacking, which often manifests in an over-emphasison craft at the expense of creative application, this range of development will most likely belimited. Thus, while learning, models and resources are often assessed in terms of thecontent they cover; without corresponding creative processes through which content isgenuinely internalized, any claims toward efficacy are without firm basis.

Given the diverse nature of today’s musical world, where the sheer volume of knowledgefar exceeds what can be covered in any given curricular model, there is no more importantgoal in musical study than to establish grounding in this creativity–craft interaction. Thislays the groundwork for a newfound self-sufficiency, where acquisition of skills becomesdriven not primarily by external, institutional incentives but by the very inner spark that hasbeen central to the innovations of artists and thinkers through the ages. If Music TheoryThrough Improvisation has been able to provide even a glimpse of this, it will have achieved

Exercise 16s

Exercise 16r

Creative project

In your small group, prepare a multi-movement piece that includes trans-stylisticimprovisation (where no stylistic constraints are specified, so that the resultant musicmay draw from wide-ranging style influences) as well as style-based improvisation andcomposition. The movements of the piece may be continuous, each unfoldingorganically from the one preceding with no break, or they may be discrete sections withtheir own beginnings and endings.

Collective free improvisation

Divide the class into random configurations and improvise with nothing planned inadvance. Then play a collective improvisation with the entire class as the ensemble. Theimportance of listening, clarity of ideas, laying out when appropriate, attention toendings, and other principles of collective improvising cannot be emphasized toostrongly in this challenging and exciting approach to music-making.

a significant purpose since, once lit, the spark of artistic creativity only increases in intensityand has the capacity to propel a lifelong, self-driven quest for growth.


SUMMARY QUESTIONS

1 The harmonic progression to Central Park West covers how many key areas?

2 What is meant by pedal point and what is its musical effect?

3 Name an instance in which one might choose to create a solo form that is differentfrom the form of the head?

4 Define “tihai.” What musical tradition does this device come from?

appendix 1

Introduction to Species Counterpoint

In 1725, J.J. Fux codified basic principles of contrapuntal writing, inspired by the music ofthe sixteenth-century master Palestrina, in a treatise called Gradus ad Parnassum. Thesystem of “species counterpoint” presented in Gradus has been used as a foundational toolby composers through the ages. Counterpoint means “point against point” or note againstnote, and refers to the art of creating multiple simultaneously sounding melodic lines thatboth stand on their own and yet also complement one another. It is one thing to create asingle strong melody—no small feat—and quite another to create two or more melodiclines that both uphold interest as independent entities and work together when playedsimultaneously to produce a coherent melodic and harmonic fabric. This requires attentionto horizontal and vertical considerations. Horizontal considerations are those pertain-ing to individual melodic integrity—clarity of ideas, contour, distribution of stepwisemotion and leaps, etc. Vertical considerations involve the alignment of simultaneouslysounding notes—in other words, which intervals are acceptable in a given context andwhich are not.

At first, the numerous constraints that guide species practice may seem somewhatexcessive and perhaps minimally relevant to contemporary tonal-modal concerns. There isno denying that these guidelines confine our work to sonorities that have given way overthe centuries to much more expansive approaches, even within the realm of diatonictextures. However, closer inspection reveals potentially significant benefits. In essence,species work takes our hearing and thinking to the most foundational realms of melodicand rhythmic conception. Through the use of whole, half, and quarter notes, we must dealwith melody in its purest form, which lays aural and theoretical groundwork for a varietyof applications. Indeed, the very 2:1 melodic lines (e.g. eighth-note melodies atop walkingbass lines or even-eighth grooves) we have emphasized in jazz and other time-feel-basedimprovising may be seen as directly related in species practice.

We will use a somewhat modified version of species principles in order to fit ourparticular needs. First, we will improvise as well as compose within three of the speciesframeworks (first through third species). While naturally we will have to relax ouradherence to the full scope of constraints while improvising (e.g. it is not possible, unlikewith composition, to stop, backtrack, and pursue alternative contrapuntal pathways),considerable benefits in terms of melodic and rhythmic clarity will nonetheless result from

these improvisations. Moreover, the interplay of improvising and writing in the speciesframeworks will provide a level of fluency that may be applied broadly in our overall work.Second, whereas species practice is traditionally done in major and minor keys, with theseventh raised in minor, we will work primarily with modal species formats—thus Aeolianor natural minor without raising the seventh degree—in that this is more conducive to ourparticular improvisational concerns. Finally, also due to our improvisatory thrust, we willextend third species to include more florid lines than the 4:1 ratios traditionally asso-ciated with third species. This will provide a connecting link between species work andcontemporary, time-feel improvising.

Overview of Species Principles

Species practice is centered in creating counterpoint lines atop a pre-ordained cantus firmusline. Cantus firmus (CF) means “fixed voice,” and we will write and improvise against CFlines created by others as well as create our own. Cantus firmus lines consist entirely of wholenotes and may be considered as a kind of skeletal form of melody whose integrity andinterest, due to the lack of rhythmic variety, must derive solely from the horizontal flow ofits tones. Against the CF may be created five general types, or species, of melodic lines, eachof which is based in different rhythmic relationships to the CF and is selected to isolate andthus help musicians attend to particular kinds of horizontal and vertical considerations.As we will consider below, certain intervals produce consonant sounds against the CF, othersdissonant sounds, and the art of contrapuntal writing involves the ability to balance the twoaspects. As we have considered previously with the interplay of unity and variety, or reposeand tension, too much consonance (corresponding to unity and repose) compromisesinterest, and too much dissonance (variety, tension) undermines the sense of coherence inthe music. Needless to say, what characterizes consonance and dissonance from one era toanother will change, but the basic principles may be seen to largely hold over severalcenturies of tonal and modal music.

Example A1.1 illustrates the first three species and the way their respective contrapuntallines divide note values of the previous species in half. First species uses whole-note valuesin both CF (which consists of whole notes in all species) and contrapuntal lines, and thusforms a 1:1 ratio between contrapuntal line and CF. The CF used in the exercises below isfrom Fux himself. Second species uses half notes, yielding a 2:1 ratio. Third species usesquarter notes, yielding a 3:1 ratio. Note that all exercises end with whole notes. Note alsothat in the second species exercise, a whole note is used in the second-to-last measure—thisis permissible in instances where no more suitable ending is available. Prior to furtheranalysis, let us play and improvise on this framework in order to directly experience thekinds of musical textures we will be working with.

294 Appendix 1

295Appendix 1

EXAMPLE A1.1

Here are examples of the three species from Example A1.1 but now with the moreconventional raised seventh degree that leads to the final tonic note. Notice in secondand third species the use of the raised sixth degree as well in order to avoid the awkwardaugmented second interval; at this point the original natural minor or Aeolian modegives way to the ascending form of the melodic minor. When we improvise on CF lines,as in Exercise A1a, we will use natural minor throughout.

296 Appendix 1

Creating Contrapuntal Lines: General Principles Pertaining to WritingSpecies Melodies

As we prepare to do written work in the particular species frameworks, let us begin with anoverview of principles that pertain to all species, followed by species-specific considerations.

1 Confine intervals between melody and cantus firmus to a tenth or less. In other words,if too much space separates melodic lines, their relationship and interdependence isobscured. Occasional twelfths are possible if no other solution appears evident.

2 Crossing of voices—where a voice that begins lower than the CF moves above theCF—is to be avoided as it obscures the integrity of the line.

Exercise A1a

Cantus Firmus improvisation

Two or more players. Everyone sings or plays the CF one or more times to internalize itssound. Then alternate playing the CF and the various species lines in Example A1.1 andimprovising on them according to this format: Player A plays the CF while Player B playsthe first species melody, and then as Player A repeats the CF, Player B improvises usingthe same rhythmic values of the melody (half notes—2:1 against CF—in second species;quarter notes—4:1 against CF—in third). Try closing your eyes when improvising and letyour ears be the guide. Switch roles.

3 Successive skips of more than a third are to be avoided in any given melodic passage,whether in the same or in opposite directions. Such skips create a disjointed texture.

4 Contrary motion yields optimal independence between voices, oblique motion yieldsthe next degree of independence, similar motion the next, and parallel motion the next. Independence of lines is most obscured with parallel perfect intervals (fourths,fifths, unisons, octaves) and these intervals should be avoided (see accompanyingtextbox).

5 Similar motion into perfect fifths and octaves is to be avoided. While not asproblematic as parallel perfect intervals, these “hidden” fifths or octaves weaken thesense of melodic interdependence.

6 Dissonant intervals—seconds, fourths, diminished fifths, and sevenths—that areapproached by leap are to be followed by stepwise movement in the opposite direction.Consonant intervals—unisons, perfect fifths, and octaves—may be approached by leap. Passing tones, neighboring tones, and suspensions (fourth and fifth species) are three types of dissonant tones that are common in species counterpoint (see textboxbelow).

297Appendix 1

Voice leadingExample A1.3 provides the different kinds of voice-leading motions, which are alsofound in Chapter 6 in relation to chords (here voice leading is shown in relationship tothe CF, with Arabic numerals provided to show exact intervals).

298 Appendix 1

7 Avoid simultaneous leaps in CF and contrapuntal lines.8 The last measure of each exercise, regardless of what species is being used, should

consist of only a whole note.9 Contrapuntal lines should maintain their own integrity as self-standing melodies.

In addition, here are some important recommendations regarding procedure.Species work, with all the constraints it involves, is ultimately a kind of aural training. It

is thus advisable to not use the keyboard to work out the exercises, but rather only to checkthe sounds you have written.This will force you to hear the lines internally. At first this mayseem daunting. A good way to proceed prior to writing contrapuntal lines is to sing the CFseveral times, getting a clear sense of its melodic shape. Then sing the CF and try to hearsounds that work against the CF within the rhythmic constraint of the species you areworking with. Or you may hear internally both the CF and the contrapuntal line. While atfirst you may just hear single tones as you create your melodies, strive to hear groups of tonesand longer phrases.

As you begin to create melodic phrases, you can notate them and then check them againstthe general constraints indicated above and those pertaining to the particular species thatfollow. Do not be discouraged if what may have sounded perfectly viable turns out to violateone constraint or another; by alternating the internal hearing and creating of lines withanalytical examination, you are training the ear and mind to work together in the creativeprocess. As you proceed, you will increasingly hear and generate lines that conform to theconstraints.

Types of dissonance

It is also important to realize that in order to rectify an error, it may be necessary tochange measures that precede and follow that point in the exercise. At times, the beststrategy may be to simply begin the exercise again. It is also advisable to determine yourending as well as the possible climactic point in your contrapuntal line prior to creating theline. You are always free to alter these plans (mainly climactic point; usually only one or twooptions are available for endings) once you begin creating the line, the delineation of thesefeatures in advance may help provide initial direction.

We now turn to written work in the particular species frameworks. Example A1.5presents several cantus firmus melodies atop which counterpoint melodies may be written.Later we will compose our own CFs.

First Species 1:1

In first species, the counterpoint line (as does the cantus firmus) consists only of whole notes,creating a 1:1 relationship between the two lines. In addition to the above principles thatpertain to contrapuntal lines in all species, the following are specific to first species. Onlyconsonant intervals are permitted; first species is the only species in which dissonance will be absent. It is permissible in first species to tie notes between successive measures.Since the cantus firmus is always changing notes, this will create oblique motion betweenCF and counterpoint line. Unisons are only permissible in the first and last measures, asthese are the most stable and final sounding intervals; a unison occurring in the middle of a succession of thirds and sixths will create a gap in the melodic flow. Octaves and fifths,though to a lesser extent, will create the same effect, and thus may be used only sparinglyin the middle of an exercise.

299Appendix 1

EXAMPLE A1.5

300 Appendix 1

Second Species 2:1

Second species involves half notes against the whole notes of the cantus firmus. Secondspecies allows the use of dissonance, which is not only inevitable, but is an effectiveexpressive device when used properly. However, dissonance may only be used on the secondhalf of the measure in second species and is to be prepared and followed by stepwise motion.Therefore, successive dissonances are not possible in second species, although successiveconsonances are. The use of unisons is possible in the middle of the exercise, but only onweak beats, and they must be followed by stepwise motion in the opposite direction.

Exercise A1b and Example A1.6

Composition

Compose first species lines above and below one or more of the above cantus firmus lines.

Exercise A1c and Example A1.7

Composition

Compose second species lines above and below one or more of the above cantus firmuslines.

301Appendix 1

Second species exercises begin with a half-note rest in the first half of the first measurein order to establish a sense of independent voices at the outset. Second species, as do allspecies, ends with a whole note. It is also acceptable to use a whole note in the penultimatemeasure, as Example A1.1 shows, if this helps avoid unwanted parallel intervals orotherwise enhances voice leading.

Third Species 4:1

Third species contrapuntal lines will employ four quarter notes against each of the wholenotes of the cantus firmus (except in the first bar, which begins with a quarter-note rest, andthe last bar which is a whole note). As with second species, the first beat of each measuremust be a consonant tone, and care must be taken to sustain balance between consonantand dissonant tones and to adhere to proper resolution of dissonances (via stepwisemovement into consonances). The dissonant neighboring tone is possible in third species, asis, of course, the consonant neighboring tone. Third species also permits the doubleneighboring tone figure, where both upper and lower neighbors are present and involve theuse of two consecutive dissonances. Even with the consecutive dissonances—and theinterval of a third between them—this kind of motion is acceptable, as it is heard as anembellishment of the note that sounds both on the first and fourth beat of the measure.

Now let us improvise once more using second and third species principles, this time withour hearing and conception informed by the written work done above.

Exercise A1d and Example A1.8

Composition

Write a third species melody above and below one or more of the CF lines.

302 Appendix 1

Now; it is obviously not possible to adhere as closely to voice-leading and other speciesconstraints while improvising, since there are no provisions to go back and reworkcontrapuntal pathways as there are in written formats. At first this may appear to be a ratherfrivolous, “anything goes” approach to species work. What could be the value in such anapproach? In fact, even if improvising in these formats may inevitably yield “errors,” it stillcalls upon musicians to aurally engage and make melodic decisions on a moment-to-

Exercise A1e

Composition

Select a cantus firmus melody and improvise in second and third species according to thefollowing procedure. Each musician enters by playing the cantus firmus, then improvisesaccording to the rhythmic ratio of second and third species (first species is not highlyconducive to improvisation) while the next player plays the CF. There will always be oneperson playing the CF and one person improvising; the CF in this sense functions just likea jazz chord progression when it is repeated indefinitely as a backdrop for improvisedsolos.

In a group of at least two players, the format is as follows:

1 Player A plays CF alone.2 Then Player B enters with CF, and Player A improvises a second species melody.3 If three players, Player C enters with CF, Player B improvises a second species melody,

and Player A rests.4 If four players, Player D enters with CF, Player A improvises, and Players B and C rest.5 Player B plays CF, Player D improvises, and Players A and B rest.

Continue as desired. In essence, each player plays the CF once and then improvises andthen rests before coming in again with the CF and starting the cycle anew. The followingvariation, which requires at least three group members, involves two players improvisingat a time, one in second species and one in third species.

1 Player A plays CF alone.2 Player B enters with CF, Player A improvises second species line.3 Player C enters with CF, Player B improvises second species line, Player A improvises

third species line.If just a trio, Player A then plays CF, Player B improvises third species, and Player Csecond species.

4 If a quartet, Player D enters with CF, Player C improvises second species line, Player Bimprovises third species line, and Player A rests.

Continue as desired, with each group member entering or (re-entering) after rest byplaying CF, and then improvising first on second, and then on third species, and then, ifa quartet or larger, resting until next CF entrance.

moment basis.This is an ideal format to cultivate hearing-in-advance capacities, where eachmoment will suggest subsequent moves to the sensitive improviser. Moreover, if improvisersadhere strictly to the specified mode or scale of the CF and the rhythmic ratios—twoconstraints that are easily accommodated and absolutely essential—a kind of contemporarydiatonicism will result that, even if extending beyond species principles, will yield sonoritiesthat resonate with even the most conservative contemporary ears. Again, our written workallows us to attend to a much greater level of detail, and the interplay of improvised andwritten creativity in these formats will significantly enhance our melodic hearing andconception.

Improvising with More Florid Lines

303Appendix 1

Exercise A1f

Improvisation

Now return to the above formats and add a new rhythmic layer—this involving 8:1 lines.Therefore, with staggered entrances as proscribed, each player will play the CF, thenimprovise second species (2:1), third species (4:1), followed by 8:1 lines.

Exercise A1g and Example A1.9

Written exercise

Write a contrapuntal line atop one or more of the cantus firmus melodies that makesprominent if not exclusive use of 8:1 note values (eight note lines atop the whole noteCF). All voice-leading principles apply. With regard to the use of dissonance, no morethan two dissonant tones in a row are permissible, and they must be approached andresolved stepwise.

304 Appendix 1

Fourth and Fifth Species

Let us now turn to the remaining two species, using both the cantus firmus melodiesprovided as well as creating our own. The following principles will serve as a guide to thecreation of CF lines.

Construction of Cantus Firmus

These principles will underlie the construction of the cantus firmus.

1 Consists entirely of whole notes.2 Generally 8–16 measures, and thus notes, in length.3 Begins and ends on the tonic note of the mode, thus clearly establishing the sonority

of the mode and a sense of finality.4 Ends usually with 2 to 1 motion (second degree of mode to tonic) or, less frequently

but acceptable, 7 to 1 motion. In other words, the cantus firmus approaches its finalnote with stepwise motion, with the penultimate (second to last) tone being either astep above or a step below the final tone.

5 Spans no more than an interval of an octave between its lowest and highest tones (afifth or sixth will often suffice), thereby providing a melodic framework that supportsadditional lines without obscuring their integrity through excessive registralmovement.

6 Does not employ successive repeated tones, as this undermines the sense of melodicdirection, particularly given the long duration of the cantus firmus notes. Care shouldalso be taken to avoid excessively recurring tones even if they are not successive (e.g.the same pitch occurring three times in five measures), as this can be monotonousand undermine the sense of melodic direction.

7 Avoid melodic intervals larger than a sixth, as well as tritones, or augmented intervals.8 Predominantly stepwise, but not exclusively: two to three leaps of more than a third

are ideal.9 Leaps of more than a third are to be followed by a change of direction.

10 While CF lines are naturally limited in their melodic potential by their rhythmicconstraints, they can still be thought to have a beginning, climactic point—indicatedby the highest note—and ending.

11 For present purposes, we will confine our cantus firmus melodies to Dorian or Aeolianmodes.

12 Take care not to sing or play the CF too slowly—at least MM quarter note = 70—asthis compromises the melodic flow of both the CF and contrapuntal lines.

Fourth Species: Suspensions

In fourth species, as shown in Example A1.10, the prevalent rhythm is the half note that istied—or suspended—over the bar line, thus producing a syncopated texture where the

cantus firmus notes change on the strong beat of the measure and the counterpoint linechanges on the weak beat of the measure. The technique of suspension involves three parts:preparation, suspension, and resolution. The preparation occurs on the second half of themeasure, the suspension on the first half of the next measure, and the resolution on thesecond half of that measure. The preparation and resolution of the suspension must involveconsonant tones. The suspension itself may be either consonant or dissonant. If thesuspension is dissonant, it will generally resolve down a step (half or whole) to a consonanttone. If the suspension is consonant, it can resolve upward or downward.

The most common and desirable suspensions in upper counterpoint lines are the 4-3 and7-6 suspensions. The 9-8 suspension is possible but must be used sparingly in that theresolution of the dissonant ninth to the highly stable octave produces a strong impressionof finality that distracts from the melodic flow. The 2-1 suspension in the uppercounterpoint creates an even stronger impression of finality and is thus to be avoided.

In lower counterpoint lines, the 2-3 and 9-10 are most desirable. The 4-5 suspensionmust be used sparingly for similar reasons cited for 9-8 and 2-1 suspensions in uppercounterpoint lines; to reiterate—the resolution to the open fifth undermines melodicflow—and along these same lines, the 7-8 suspension, with its resolution to the octave, isalso to be avoided.

Chains of suspensions may also be used to good effect, creating another form ofsequential relationship in a contrapuntal setting. In the upper voice, chains or series of 4-3and 7-6 suspensions are ideal. Sequences of 9-8 and 6-5 suspensions are to be avoidedbecause they involve forms of parallel perfect intervals. Even if the parallel perfect intervals(8 and 5) are separated by one note, they are in close enough proximity to undermineindependence of voices, as though they were consecutive.

In the lower voice, 2-3 and 9-10 suspensions are ideal, and 7-8 and 4-5 suspensions areto be avoided.

305Appendix 1

EXAMPLE A1.10

306 Appendix 1

Fifth Species: Integration of the Previous Four Species

Fifth species, illustrated in Example A1.12, involves the combination of the rhythmic valuesof the prior four species, with the exception of the whole note of first species, which isallowable only on the last measure. Fifth species also allows the use of eighth notes toprovide occasional instances of a more florid texture. Fifth species begins with either aquarter- or half-note rest. The rules that apply to the rhythmic values of the prior speciesare in effect whenever those rhythmic values are used in fifth species. Hence, there are nonew voice-leading principles of ways of using consonance and dissonance in fifth species.

EXAMPLE A1.12

Exercise A1.1h and Example A1.11

Composition

Compose a CF and fourth species lines above and below it.

307Appendix 1

Exercise A1i and Example A1.13

Composition

Compose a CF and fifth species lines above and below it.

SUMMARY QUESTIONS

1 Define cantus firmus.

2 Correlate consonance and dissonance with the concepts of tension, repose, stability,and motion discussed in Chapter 1 (e.g. consonance equates with___).

3 In which species are only consonant intervals allowed?

4 What purposes might be served by species counterpoint study for contemporaryimprovisers?

5 Dissonant tones should be avoided as much as possible. True or False?

6 Leaps of more than a third should be followed by what kind of melodic motion?

7 If dissonant tones are used, it is preferable to approach and resolve them by leap.True or False? Defend your answer.

8 Two simultaneously sounding voices best retain their independence when movingby __________ motion, and independence is most compromised when they move by__________ motion.

9 Why are parallel perfect intervals between two voices to be avoided?

appendix 2

Overtone Series and Equal Temperament

When a note sounds, which we call the fundamental, it generates a series of additional tones,called overtones, which are generally not consciously perceived by listeners. Usually only thefundamental is heard. Example A2.1 shows a portion of the series of overtones generatedby the fundamental tone C that is three octaves below middle C.

The overtones are the basis for musical pitch systems, and it is not insignificant that thefirst two overtones are the octave and the fifth above the fundamental note, and that theseintervals are prominent in much of the world’s music. For example, Hindustani musiciansplay for hours against the backdrop of a drone alternating between the fundamental toneof the raga and a fifth above it. And as is evident in this book, the V to I relationship hasbeen central in Western music for centuries. Play a tone at the piano and depress the sustainpedal, the furthest foot pedal to the right. Then press your ear close to the sounding boardand listen closely for overtones, as faint and subtle as they may be. Often it is the fifth thatis the most discernible, suggesting further support for the significance of this partial inmuch of the world’s music.

Another exercise for hearing overtones is to depress and hold the low C without thesustain pedal, and to then play the overtones staccato and fortissimo in succession. Noticehow the low C string continues to vibrate with each pitch.

Different musical traditions make different use of the tunings inherent in the overtonesystem. In Western music, the natural tuning of the overtones is altered—or tempered—inorder to allow for the octave to be divided into 12 equal intervals. This system of 12chromatic notes that we often take for granted makes possible the harmonic richness thatis unique to Western music. Rapid movement between distantly related key areas and chordextensions and alterations is possible owing to equal temperament. Other musical traditions

EXAMPLE A2.1 Overtone series

divide the octave differently, sometimes into fewer than 12 subdivisions, and often intomany more subdivisions, thus making use of what Westerners might consider microtonalincrements that open up extraordinary expressive possibilities. In this sense, the harmonicrichness of Western music resulting from tempered tuning and the microtonal richness ofmany other musical cultures may be seen as two divergent evolutionary streams, each ofwhich contributes uniquely to the overall musical landscape. In terms of the cross-fertilization between traditions that prevail in our times, the reason that this has manifestedmore in the rhythmic domain (e.g. time feels, odd meters) may be that instrumental designis not as conducive to cross-traditional pitch practices.

309Appendix 2

appendix 3

Rhythmic Exercises

The following exercises are a continuation of principles presented in Chapter 4. To review:chant the syllables and clap the accents. Groupings of two: Ta Ka; three: Ta Ki (kee) Ta;four: Ta Ka Di (dee) Mi (mee); five: Ta Di Ki (kee) Na Ta. Each line of accent patternsshould be repeated eight times. In other words, in Example A3.1, the first line consistingof three accents should be repeated eight times before moving to the next line of accents.The eight repetitions enable us to internalize each line before moving on to the next.

> > >> > > >T K | T K T | T K T :||> >

1. 8 beats: 2-3-2

>

> > >> > > >T K D M | T K T :|| > > > >> > >

2. 7 beats: 4-3

>

EXAMPLE A3.1

EXAMPLE A3.2

311Appendix 3

> > > > > >> > > >> > > > > >T D K N T | T K D M | T K :|| > > > > >

> > > > > > >> > > >

5. 11 beats: 5-4-2

>

EXAMPLE A3.5

> > > >> > > > >T D K N T | T K D M :||> > > > >

> > > > > >> > > > >

3. 9 beats: 5-4

>

> > >> > >

> > > > > >T K T | T K D M | T K T:||

> > > > > >> > > > >

4. 10 beats: 3-4-3

>

EXAMPLE A3.3

EXAMPLE A3.4

> > > > > >> > > >> > >T D K N T | T D K N T | T K:||

> > > > > > > >> > > >

6. 12 beats: 5-5-2

>

> > > > >> > > > > > >> > > > > > > >T K T | T K D M | T K T | T K T:||

> > > > > > >> > > >

7. 13 beats: 3-4-3-3

>

> > > > > > >> > > > >> > > > > > >T K D M | T K T | T D K N T | T K:||

> > > > > >> > > > > >> > > > > > > > >

8. 14 beats: 4-3-5-2

>

EXAMPLE A3.6

EXAMPLE A3.7

EXAMPLE A3.8

Reminder: Each line of accents should be repeated eight times.

appendix 4

Jazz Etudes

The Jazz Etudes are excellent vehicles for individual practice, partner work, and small groupwork. They progress gradually in difficulty and embody many of the principles discussed inthis book. The format presented here will help you gain optimal benefits from the Etudes.

• Analyze the chord progressions for each of the Etudes. Identify key area; provideRoman numerals, parent scales, and individual chord scales for improvising purposes.

• Apply on your principal instrument the above chord scale (Ex. 7b) and arpeggio (Ex.7c) from the end of Chapter 7 (p. 135) to each Etude.

• Learn to comp the changes at the keyboard so that you can play them in steady time(comping formats recommended from Chapter 5) and comp for a partner.

• Be able to sing the melodies and comp the changes at the same time. After you singthe head, improvise vocally over the changes while you comp.

• Compose solo lines over the chord changes that embody the techniques discussed inthis and earlier chapters, including: melodic cells, 2:1 and 4:1 lines, melodic contour(steps and leaps), arpeggio shapes, approach tones, embellishments.

• Accompany at the keyboard your partner on his or her principal instrument. Switchroles.

• Transposed parts for Bb and Eb instruments are provided later in the Appendix.

EXAMPLE A4.1 Ed Sarath, Jazz Etudes 1–17. © 1998 Ed Sarath.

TRACK 12

TRACK 4

314 Appendix 4

EXAMPLE A4.2 © 1998 Ed Sarath.



TRACK 13

TRACK 5

315Appendix 4



316 Appendix 4



EXAMPLE A4.9

TRACK 6

317Appendix 4




TRACK 7

TRACK 14

TRACK 8

318 Appendix 4



TRACK 9

TRACK 10

319Appendix 4



TRACK 15

TRACK 11

320 Appendix 4




TRACK 16

TRACK 12

Bb Parts

Bb Parts

321Appendix 4




322 Appendix 4

Bb Parts



323Appendix 4

Bb Parts




324 Appendix 4

Bb Parts




325Appendix 4

Bb Parts



326 Appendix 4

Bb Parts



327Appendix 4

Eb Parts




328 Appendix 4

Eb Parts




329Appendix 4

Eb Parts




330 Appendix 4

Eb Parts




331Appendix 4

Eb Parts



332 Appendix 4

Eb Parts



333Appendix 4

Eb Parts


appendix 5

Additional Keyboard Exercises

Seminal Keyboard Projects

A summary of the eight Seminal Keyboard Projects and their locations in the book ispresented below.These projects provide a coherent keyboard skills base for additional study.In this Appendix, advanced keyboard voicings drills are offered to expand your abilities evenfurther.

Advanced Guide Tone Exercise

Recall from Chapter 7 that guide tones are the thirds and sevenths of chords and are theessential tones defining harmonic movement. When played atop the roots in II–V–Isequences, the resultant three-note texture produces a notable fullness. The guide toneexercise that follows moves through the 12 keys by descending half-steps. The guide tones

Location of Seminal Keyboard Projects by chapter:1 Chapter 5, Exercise 5m, cycle major sevenths, with voice (p. 95).2 Chapter 6, Exercise 6a–6b, II–V–I with voice (p. 109).3 Chapter 6, Exercise 6w (p. 126).

(a) I–V7/II–IImin7–V7–I–V7/IV IV (IV becomes new I, continue around cycle).(b) Play own progression from free-tonicization Exercise 6v.

4 Chapter 10, Exercise 10q (p. 184).(a) I–IV–III–V7/II–II–V7–I–V7/IV–IV(new I)(b) Create and realize progression by chord symbols from free-tonicization 2

strategies.5 Chapter 12, Exercise 12c, figured bass realization, with composed melody (p. 210).6 Chapter 13, Exercise 13a, extended II–V–I progression (p. 219).7 Chapter 14, Exercise 14b, altered/extended II–V–I (p. 237).8 Chapter 14, Exercise 14c, II–V–I–V7alt/II–II–subValt–Imin–IIm7(b5,11)–V7(b9)–Imin–V7(b5)/

II–i6/4–V7–i (p. 239).

SEMINALKEYBOARDPROJECTS

335Appendix 5

on each I chord are retained and the half-step movement in the bass is what shifts to the nextkey area.

Advanced Two-hand, Non-tertial Open Voicings

While the following voicings, like the ones we used throughout the book, consist of fivenotes, they differ in the way they distribute these notes. Instead of a single note in the lefthand and four in the right hand, these voicings have us play two notes in the left hand andthree in the right hand. They are derived from two strategies. One is dropping the second-to-highest voice in the treble clef down an octave; this is sometimes called the “drop-two”technique and is commonly used in big band writing. Second is replacing the fifth on the Ichord with the sixth (or thirteenth).These open structures produce a new kind of resonance.Instead of tertial structures on the II and I chords we now have a greater intervallic variety,including the quartal structure (voicing in fourths) in the right hand for added richness.

Exercise A5a and Example A5.1

Keyboard exercise

Continue this sequence at the keyboard in all keys, proceeding by descending half-steps.

Exercise A5b and Example A5.2

Keyboard exercise

Continue this sequence at the keyboard in all keys, proceeding by key centers that movein descending whole steps (e.g. C–Bb–Ab–Gb).

In the next exercise, we apply the above principles to create open voicings for theIImin7(9)–V7(#9, b13)–Imaj7(6, 9) progression. Again, notice the similarities with thevoicings we have used previously for this progression, except with the second voice from the top dropped down an octave to create the more open sound and the 6-5 replacementon the I chord.

Superimposing triads atop the root and third in the left hand creates other types ofaltered dominant chords in the next voicings. Exercise A5d involves a V7(#11) chord, whichis created by simply playing a major triad a step above the root of the V7.

336 Appendix 5

Exercise A5c and Example A5.3

Keyboard exercise

Continue the sequence in all keys.

Exercise A5d and Example A5.4

Keyboard exercise


This exercise shows a V79(b9, b13) voicing, created by playing a minor triad a half-stepabove the root of the V7.

Exercise A5f shows an alternative V7(#9, b13) voicing to the one shown above in exerciseA5c. Here we play a major triad on the b13 of the V7 (e.g. in bar 1, Eb major triad on thealtered G7 chord). Although the voicing omits the seventh, the root and third in the lefthand, it more than adequately upholds the V7 sound and function.

337Appendix 5

Exercise A5e and Example A5.5

Keyboard exercise


Exercise A5f and Example A5.6

Keyboard exercise


Exercise A5g shows a V7(b5, b9) voicing that is created by playing a major triad a tritoneabove the root of the V7 chord (e.g. in bar 1, the Db major triad on the altered G7 chord).

338 Appendix 5

Exercise A5g and Example A5.7

Keyboard exercise


appendix 6

Instrument Ranges,Transposition, and Score Excerpts

Most improvisers also compose, and one of the most fulfilling experiences for any musicianis to hear one’s music come to life when performed by an ensemble of instruments or voices.Three things are essential in learning to write for large bodies of instruments. One is,naturally, to listen to much large ensemble music. Second is to study scores. Third is to dopiano reductions of full scores in order to have hands-on access to the sounds of works intheir pre-orchestrated forms. This Appendix provides a brief introduction to this kind ofstudy. It begins with instrument ranges and transpositions for most symphonic and jazzinstruments, and then shows piano reductions of several European classical and jazz works.While one does not make the leap from small group to large ensemble writing overnight(and it is wise to build up a significant portfolio of small group music prior to attemptingto write for larger forces), an early glimpse of what large ensemble writing entails mayenhance later efforts in this direction.

A word about transposition. Some instruments, due to their design, are pitched in sucha way that concert pitches—the notes that sound at the piano—need to be transposed tothe key of these instruments. For instance, the concert pitch C needs to be written as D forthe Bb trumpet and Bb clarinet. Writing the note up a whole step compensates for the factthat Bb is a whole step below C. The French horn in F is transposed up a perfect fifth fromconcert pitch, the Eb alto saxophone up a major sixth, the Eb baritone saxophone up a majorthirteenth (an octave and a sixth) due to these principles. Instruments such as flute, oboe,bassoon, trombone, violin, viola, and cello are non-transposing instruments; music for theseinstruments is notated exactly where the music sounds in concert pitch.

The excerpts from the full scores that follow the section on instrument ranges andtransposition have been selected to provide a snapshot of the rich diversity of large ensemblemusic in today’s world. The big band in jazz, in fact, may be thought of as a counterpart tothe symphony orchestra in European classical music and in recent years is increasinglyreferred to as the “jazz orchestra.” The juxtaposition of a passage from Beethoven’s ThirdSymphony with excerpts from music of jazz composers Maria Schneider and Thad Jonesprovides a small snapshot of the breadth of today’s musical world and the creativeopportunities that await musicians who gain commensurate training.

340 Appendix 6

EXAMPLE A6.1

341Appendix 6

EXAMPLE A6.2

342 Appendix 6

This selection may be found on many recordings, including: Beethoven, Symphony No. 3Eroica, Philadelphia Orchestra and Riccardo Muti (Angel Records 1999).

EXAMPLE A6.3 Beethoven, Symphony No. 3 in Eb Major, Op. 55 (Eroica)

343Appendix 6

EXAMPLE A6.4

344 Appendix 6

This celebratory moment in Beethoven’s Third Symphony illustrates what is possible whenbasic melodic and harmonic material is framed within a large ensemble format. Identify thebasic thematic and accompanying material and then observe what it looks like in the pianoreduction that follows.

Maria Schneider’s Gumba Blue makes use of multiple themes sounding simultaneouslyas well as rich harmonic structures and movement. Notice beginning at the third measurethe sequence of augmented triads, voiced in alto saxophones I and II and trombones I, II,and III, that moves by an ascending half-step. This is an example of a technique calledplaning, where a harmonic structure is shifted up or down, often by a half-step, while itsinternal intervallic make-up (in this case augmented chords) remains unchanged. Noticealso the drum part, where slash marks instruct the drummer to play the basic time feel withoccasional rhythmic patterns added that lend support to those patterns played by theensemble. Notice too that the guitarist and pianist are given both chord changes and writtenmelodic parts to play.

This selection may be found on the following recording: Maria Schneider, Evanescence(Enja 1994).

EXAMPLE A6.5 Piano reduction

345Appendix 6

EXAMPLE A6.6 Maria Schneider, Gumba Blue. Maria Schneider, Gumba Blue. © 1989 Maria Schneider. Used bypermission.

346 Appendix 6

EXAMPLE A6.7

347Appendix 6

It goes without saying that it can be challenging to fit everything that is written for alarge ensemble into a two-stave piano reduction, particularly with pieces such as the above.Here the rhythm section parts are omitted, except when (as with the bass part), they doubleother parts. Compare, as you did with the Beethoven excerpt, the full score and the pianoreduction to get a sense of how a relatively few ideas can be orchestrated for large ensemble.


348 Appendix 6

This selection may be found on the following recording: Thad Jones Legacy, Vanguard JazzOrchestra (New World Records 1999).

In this example, only the winds and brass are shown above in order to illustrate a full-ensemble tutti passage where all instruments are playing the same rhythm but differentmelodic lines. As the ensuing piano reduction shows, each eighth note is harmonized by adifferent chord structure while the chord changes indicated move at a slower harmonicrhythm. Closer observation will reveal that some of the eighth notes are harmonized withstructures that are directly related to the chord listed (e.g. the harmonization of the eighth

EXAMPLE A6.9 Thad Jones, Fingers.

349Appendix 6

note on the second half of beat 1 in bar 1 uses tones diatonic to Bb major) while some (e.g.the very next chord, which uses a C#min11 structure) clearly stretch the sonority of thechord change indicated. Generally, notes at strategic points (strong beats within a measure,and of longer duration) will be harmonized with structures that align more directly withthe underlying harmony, while passing notes may be harmonized with more distantlyrelated structures that make extensive use of chromaticism. These are heard as motion anddo not distract from the overarching harmonic progression, which in this case is a verystraightforward chord sequence. Thad Jones is known for his extensive use of alteredstructures in his harmonization of ensemble passages in order to get rich and dense sounds

EXAMPLE A6.10

from the ensemble. Notice in bar 4 the superimposition of distantly related major chordsatop the underlying harmonies: on the Eb7 (voiced in bass clef ) an A major chord (trebleclef ) is superimposed, on the E7 a C major chord is superimposed, on the A7—where analtered voicing containing the #9 and b13 is used in the bass clef—an Eb major chord issuperimposed.

350 Appendix 6


appendix 7

Aural Transposition

This Appendix includes additional aural transposition exercises to complement thoseoffered in the text. It outlines three main components of a comprehensive program inmelodic aural transposition: technical exercises (scale and arpeggio patterns), idiomaticpatterns (II–V–I lines), and repertory (complete melodies). As always, be able to sing thepattern before working it out in a single key on your instrument, and then use the voice asa guide when you work the patterns out by ear in the 12 keys.

Triads

We begin with triads. Do not be constrained by the register in which the exercises arewritten; take the patterns throughout the entire range of your instrument.

EXAMPLE A7.1 continued overleaf

352 Appendix 7

Seventh Chords

As with triads, a couple of patterns already encountered in Chapter 3 are shown, followedby various seventh chord permutations that spawn a wide variety of intervals. While theseintervals will certainly pose challenges to most instrumentalists, they are grounded in a kindof melodic coherence that, once the basic pattern is set in motion, guides the ear throughthe rest of the sequence. Even in the notated version provided, it should not be necessaryto read the notes after a few iterations of the pattern; you are encouraged therefore to tryto get through the pattern even in the first key without reading the entire exercise. Again,the ability to sing the patterns is essential.

The above seventh chord patterns were based on 1–3–5–7 and 1–5–7–3 permutations.The following seventh chord patterns are based on 7–3–5–1 permutations and give rise toan interesting mix of thirds, fourths, sixths, and sevenths. Again, they follow a melodic logicthat makes it surprisingly easy to hear the continuation of the sequence once it is establishedthrough a few iterations. Remember that you are not confined to the range in which thesequence is given here and are encouraged to take the sequence throughout the range ofyour instrument. Also remember that it is of minimal importance whether or not youreverse direction (e.g. reach the top of your range and then begin taking the sequence down)

EXAMPLE A7.1

EXAMPLE A7.2

353Appendix 7

or end the exercise in precisely the manner indicated. What is of greatest importance ishearing, singing, and playing the sequences accurately in their ascending and descendingforms. In that these involve larger intervals, it is important to play them slowly at first,taking care to build a solid aural and technical foundation prior. Velocity will developnaturally once this foundation is securely in place.

Pentatonic Scales

Chapters 2 and 3 provided several excellent preliminary pentatonic scale exercises.After reviewing them, proceed with the more advanced permutations that follow inExample A7.4.

EXAMPLE A7.3

EXAMPLE A7.4

The following pentatonic scale exercises make use of a technique commonly employedby jazz musicians.This involves creating an “inside–outside” effect by alternating pentatonicscales from distantly related key areas. In Example A7.5, exercises 18 and 19 patterns usepentatonic scales a tritone apart. As you examine the patterns you will notice that eachiteration of a scale is consistent within itself—in other words, the C pentatonic patternsascend precisely as they do in the basic exercise (from Chapter 3) shown above, as do theirdistant Gb partner patterns. The pattern in exercise 19 is particularly useful in that the shiftto the distant pentatonic occurs on the fourth of every four eighth notes. This sets up a kindof counterpoint that enhances the inside–outside effect. From a rhythmic standpoint, theear hears four-note groupings as intact units, yet from a melodic standpoint, the shift to thedistant key area, instead of occurring as it does in exercise 18 with the beginning of a newfour-note rhythmic pattern, now occurs on the fourth of the four notes, creating a highlycolorful shift in sonority.

Idiomatic Lines

As you likely found even with the aural transposition exercises in the body of the text, thisis an intensive kind of practice. From this standpoint alone, it can be beneficial to balanceyour technical aural transposition work with lines of a more melodic nature. In addition,practicing melodies helps us internalize strong melodic shapes.

The following are some idiomatic melodic lines that may be used for this purpose. Theseare particularly good for singing.

354 Appendix 7

EXAMPLE A7.5

355Appendix 7

Additional idiomatic lines are found in the text:

Diatonic lines are found in Chapter 7, in Example 7.8.Chromatic lines are found in Chapter 7, in Examples 7.9, 7.10, and 7.11.

The Jazz Etudes in Appendix 4 are also good sources of aural transposition lines. Forinstance, in Jazz Etude 7, you might continue the four-bar motive through all keys.

Repertory

Playing complete melodies that you like can be highly beneficial not just for your ear butalso for your sound and melodic conception. You might begin with more lyrical, stepwise,largely diatonic melodies from European classical, jazz, and popular music.Then you mightproceed to jazz standards, ballads and bossa novas that involve more chromaticism andwider intervals. A few examples: Invitation, Round Midnight, Pensativa, Nica’s Dream, andBluesette. There are many others that could be placed in this category. Finally, you can tacklevirtuosic bebop heads such as Donna Lee and Four Brothers.

EXAMPLE A7.6

appendix 8

Sample Syllabus

For application in a two-semester (each consisting of 15 weeks) course sequence.Music Theory Through Improvisation includes a wide scope of activities, ranging from

improvisation, composition, aural transposition and other ear-training activities, tokeyboard realization, rhythm, and various kinds of written work. The following syllabusprovides a framework for integrating this into a coherent and manageable system. Much ofthe work in improvisation, composition, aural transposition, rhythm, melody, and harmonyis structured within regular class meetings, with occasional outside appointments scheduledfor the purpose of monitoring proficiency in keyboard, and optionally other areas. Theframework, which has evolved over the past 15 years in classes whose enrollment has rangedfrom 20 to 40, leaves ample room for creative adaptation on the part of individualinstructors. Additional recommendations are found in the Preface as well as in theSuggestions for Instructors link on the website.

First semester

Week Course material Proficiency exams(outside of class)

1 Cover: Chapter 1. Trans-stylistic improvisation exercises 1a–1f(long tones, wheel of duets, dynamics, density, and tessitura).Discuss syntactic and non-syntactic elements, tension and repose,unity and variety, silence, and importance of engaged listening.Discuss creation of personal listening library.

Assign: Two-part improvisation project (Ex. 1g), to be done with two players.

2 Due: Perform duet improvisations (Ex. 1g) in class.

Cover: Pulse-based improvising, pitch-based improvising, form-based improvising exercises; play in class via ad hoc small groups.

Assign: Small group project (Ex. 1ee) for next week.

3 Due: Small group project (Ex. 1ee) perform in class.

Cover: Introduce/review basic elements in Chapter 2: clefs, key signatures, intervals, scales; written (2a–d, j) and aural (2e, f)exercises. Major and minor pentatonic scales, modes, aural transposition, and melodic cells.

Assign: Written exercises—2a–d, h–j.Aural transposition (Ex. 2g). In addition, choose a melodic cell pattern from Exercises 2k–p; learn in all keys.

4 Cover: Importance of aural immersion (via recordings in infusing time-feel concepts. Perform Modal Etude 1 (Chapter 3,Example 3.1); students take turns soloing; rhythm section players comp. Discuss constituent minor pentatonic scales within Dorian mode, rhythmic templates, initial keyboard exploration Exercise (3n).

Chapter 4: Do Call and Response patterns with minor pentatonic scales.

Assign:Exemplar project (Ex. 3c).Write out Dorian modes with constituent minor pentatonic scales (Ex. 3g).Call and Response (Ex. 4a); each student as caller.

5 Due: Call and Response (Ex. 4a).Spot-check random students re exemplar project (Ex. 3c).Written (Ex. 3g).

Cover: Perform Modal Etude 2. Perform minor blues (Ex. 4g).Begin Indian rhythm exercises (Ex. 4j). Discuss parameters of small group performance format as outlined in Chapter 4:(a) group rhythmic exercise, (b) group aural transposition (recommend Ex. 2q to begin), (c) mode-rhythmics piece: create two-chord, minor pentatonic ostinato pattern, compose melody,improvise, compose tutti section.Introduction to tonality (Chapter 5). Cover/review triads and seventh chords. Introduce keyboard realization principles.

Assign:Written: 5b, c (triads), g, i, j, k, l (seventh chords).Establish small group performance schedule (one or two groupsto play each class session).Seminal Keyboard Project 1 (Ex. 5m) for week 7.

6 Due: Small group performances (one or two groups).

Cover: Modemaster drills (Chapter 5) to fortify knowledge of triads, seventh chords, and modes.

357Appendix 8

Assign: Modemaster drills (Ex. 5u, v).

7 Due: Small group performances cont. (next one or two groups). Due: SeminalKeyboard Project1 (Ex. 5m), byindividualappointments(3–5 min. each).

Cover: Chapter 6, Harmonic functions. Roman numeral analysis.Key-defining features of V7 chord.

Commonalities and distinctions between jazz and Euroclassical cadential sequences. IImin7–V7–I sequence.Chord–scale relationships. Keyboard application.Improvise over II–V–I progression in class. II–V–I in minor.

Assign: Seminal Keyboard Project 2 (Ex. 6a, 6b) for week 9.Written exercises, 6e, h–k.

8 Due: Small group performances cont. (next one or two groups).

Cover: Chapter 6 cont.: Free-tonicization strategies.

Assign: Modemaster drills (Ex. 5u, v).

9 Due: Small group performances cont. (may begin Jazz Etudes, Due: Seminal Appendix 4, if two cycles of small group performances with Keyboard Project mode-rhythmics has been completed). 2 (Ex. 6a, b).

Written exercises, 6e, h–k.

Cover: Chapter 7, Swing. Chapter 8, Melodic Line Construction and Harmonization.

Passing notes and target notes, guide tones, approach tones,surround tones, composing song-form melodies and quasi-improvised melodies.

Assign: Written Ex. 8e–g.Seminal Keyboard Project 3 (Ex. 6w), for week 11.

10 Due: Small group performances cont. (select from Jazz Etudes,Appendix 4; be sure to include the composition of tutti lines on changes as part of project).

Modemaster drills (Ex. 5u,v).

Cover: Chapter 8, cont. Harmonic Rhythm. Top–down harmonization techniques. Chapter 9, Chord Inversion.

Review types of inversion. Discuss differences in jazz and European classical harmony re inversion (prevalent in Euro) and chord extension (prevalent in jazz). Non-harmonic tones in European classical. Roman numeral analysis of Bach chorales (Ex. 8b–e).

358 Appendix 8

Assign: Ex. 8k, original melody and harmonization, can be played with small group.

11 Due: Small group performances cont. (select from Jazz Etudes, Seminal keyboard Appendix 4). Project #3

(Ex. 6w).Written (Ex. 8e–g).

Cover: Chapter 10, Non-diatonic Harmony; introduce applied chords (secondary dominant and secondary VII) chords (Ex. 10g, h, i, j). Passing diminished seventh chords.

Assign: Seminal Keyboard Project 4 (Ex. 10q), for final week.Written (Ex. 8g, i, k).

12 Due: Small group performances cont. (select from Jazz Etudes,Appendix 4). Written (Ex. 8g, i, k).

Cover: Chapter 10 cont. Substitute Dominant Chords. Free tonicization strategies, level II. Chapter 11, Modal Mixture. Passing and structural modal mixture functions, corresponding Roman numeral analysis.

Assign: Written (Ex. 10m–p).

13 Due: Small group performances cont. (select from Jazz Etudes,Appendix 4). Written (Ex. 10m–p).

Cover: Chapter 11, Modal Mixture cont.

Assign: Written (Ex. 11e–h).

14 Due: Small group performances cont. (select from Jazz Etudes,Appendix 4). Written (Ex. 11e–h).

Cover: Review.

15 Review and final exam. Due: SeminalKeyboard Project4, Ex. 10q.

359Appendix 8

Second semester

Week Course material Proficiency exams

1 Cover: Chapter 12, Figured Bass Realization at the Keyboard;basic principles, keyboard style realization and writing.

Chapter 11, Creative Synthesis (Ex. 11k).

Assign: Seminal Keyboard Project 5 (Ex. 12c), for week 4 (Ex. 11k).

2 Due: Small group performances cont. Jazz Etudes (Appendix 4) or original compositions.

Cover: Chapter 12, Figured Bass Realization cont.

Assign: Written (Ex. 12d).


Cover: Chapter 12, Figured Bass Realization cont.

4 Due: Small group performances cont; Jazz Etudes (Appendix 4) Due: Seminal or original compositions. Written (Ex..12d). Ex 11k, Creative Keyboard Project Synthesis Projects, perform in class. 5 (Ex. 12c), figured

bass realization.Cover: Chapter 13, Chord Extension; basic principles, extended chords on II–V–I sequence. Keyboard voicings, replacement tones (9–1, 13–5), chord superimposition techniques using maj7(b5) structure, A and B voicings.

Written exercises 13b–d, i,

Assign:Seminal Keyboard Project 6, Ex. 13a.Written (Ex. 13k).


Cover: Chapter 13 cont. Extended chords on minor II–V–I sequence.

Assign: Written (Ex. 13m, n).

6 Due: Small group performances cont. Jazz Etudes (Appendix 4) Seminal Keyboardor original compositions. Written (13k, m, n). Project 6

(Ex. 13a).

Cover: Chapter 14, Altered extensions. V7(#9, b13). Chord super-imposition using maj7(bb5) chord. Augmented sixth chords in European classical harmony as subV7 chords.

Top–down harmonization techniques (Ex. 14a, d).

360 Appendix 8

Assign: Transcription project, Ex. 7 for week 8.Written (Ex. 14g, h, i).

7 Due: Small group performances cont. Jazz Etudes (Appendix 4) or original compositions. Written (Ex. 14g).

Cover: Chapter 14, Altered Extensions cont. Extended subV7 chords.Chord-scale analysis with altered harmonies.

Assign: Seminal Keyboard Project 7 (Ex. 13a), for week 9.Written exercises (14h, i).

8 Due: Transcription day; present transcriptions in class (play along with recording).

Cover: Chapter 14 cont. Top–down harmonization.

Assign: Seminal Keyboard Project 7 (Ex. 13a), for week 10.Written (Ex. 14l).

9 Due: Small group performances cont. Jazz Etudes (Appendix 4) or original compositions. Written (Ex. 14l).

Cover: Chapter 15, Analysis.

Assign: Seminal Keyboard Project 8 (Ex. 14b), for week 11.

10 Due: Small group performances cont. Jazz Etudes (Appendix 4) Due: Seminal or original compositions. Keyboard Project

7 (Ex. 14b).Cover: Chapter15, cont.

Assign: Seminal Keyboard Project 8 (Ex. 14c) Written (Ex. 15a, c).

11 Due: Small group performances cont. Jazz Etudes (Appendix 4) or original compositions. Written (Ex. 15a, c)

Cover: Chapter 16, Further Creative Horizons. Improvise with Coltrane’s Central Park West as specified in Ex. a–o.


Cover: Chapter 16 cont. New harmonic structures (e.g. maj7(#5)) and corresponding chord scales.

Assign: Composition project (Ex. 16q).


Cover and assign: Creative Synthesis (Ex. 16r).

361Appendix 8

14 Due: Small group performances cont. Jazz Etudes (Appendix 4) Seminal Keyboard or original compositions. Project 8

(Ex. 14c).Cover: Creative synthesis cont.

15 Review. Creative synthesis projects in class.

362 Appendix 8

appendix 9

CD and Web Audio Tracks

Music examples that correspond to the play-along CD are indicated by the CDicon.

Listening examples on the website are indicated by the website icon.

To access the website, log on to: www.routledge.com/textbooks/9780415997256

CD Program for improvisation practice (CD in book jacket)

CD track Title Corresponding Location in bookweb track

1 Modal Etude 1 4 Chapter 3, Example 3.1


3 Minor Blues Chapter 4, Example 4.14

4 Jazz Etude 1 12 Appendix 4


6 Jazz Etude 7 Appendix 4







13 Minor II–V–I sequences Chapter 6, Exercise 6gin A minor, C minor,D minor, E minor, two repetitions in each key

14 Turnaround pattern Chapter 6

Web audio tracks

Web track Title Corresponding Location in bookCD track

1 Shirodara Chapter 1, Example 1.5

2 Strings Improvisation 1 Chapter 1, Exercise 1dd

3 Strings Improvisation 2 Chapter 1, Exercise 1dd



6 Rhythmic exercise Chapter 4, Exercise 4kAppendix 3, Exercise 2

7 Minor pentatonic bass line Chapter 4, Example 4.15with rhythmic chanting

8 Rhythmic templates Chapter 4, Exercise 4c

9 Call and Response 1 Chapter 4, Exercise 4a

10 Call and Response 2 Chapter 4, Exercise 4b

11 3:4 polyrhythm Chapter 7, Example 7.2






17 Quiet Mind Chapter 16, Example 16.16

18 Turkish Tihai Chapter 16, Example 16.17

Modal Etudes 1, 2; Minor Blues and Jazz Etudes 1, 4, 11, 15, 17, composed by Ed Sarath.(Copyright Ed Sarath)

Performers for Modal Etude 1, 2; Minor Blues, and Jazz Etudes 1, 15, 17: Andrew Bishop,saxophones; Ellen Rowe, piano; Kurt Krahnke, bass; Pete Siers; drums.

Performers for Jazz Etudes 4, 11: Andrew Haefner, saxophone; Michael Malis, piano; DougStuart, bass; Colin Campbell, drums.

364 Appendix 9

accents (see articulation)accidentals, 30, 85, 235 Aeolian mode, 38, 55, 182All the Things You Are, 261altered chords, 212, 233, 242, 248altered scales, 248–251alto, 32, 52, 211–214antecedent-consequent phrase, 9, 150–151anticipation (see non-harmonic tones)anticipatory hearing, 15, 16applied chords, 168–169approach tones, 149, 313

applied leading tone chords, 173secondary dominants, 169–175secondary subV7, 177

Arabic music, 24, 38, 285Arabic numerals, 39, 142, 212,Armstrong, Louis, 63arpeggio,

aural transposition patterns, 113, 135, 149Art Ensemble of Chicago, 25articulation,

accents, 44, 80–81, 128, 310–312swing and even-eighth phrasing, 47,

128–129, 148–151augmented intervals, 35–36, 47augmented sixth chords, 233–245augmented triad, 85, 87aural immersion, 48 (see also listening)aural transposition, 28, 39–47, 51, 97, 351A voicings/B voicings, 221

Bach chorales, 162–163Bach, Johann Sebastian, 52, 85, 138, 163baroque period, 190, 205

bass, 92, 96, 238bass clef, 31, 76, 92bass lines, 52, 76–79, 81–82beat cycle, 81Bebop scale, 148Beethoven, Ludwig von, 246, 340, 342Bloom, Jane Ira, 63blues, 48, 52, 65, 77–81, 131–133

minor blues, 84, 95–99Blues scale, 131–133borrowed chords, 186–188 (see also modal

mixture)Brahms, Johannes, 10, 188, 190bridge, 234, 255, 261, 280

cadence, 103–105, 126, 145, 198, 240authentic, 105deceptive, 105half, 105plagal, 105

cadential 6/4 chord, 105call and response, 66–70Central Park West, 273Chopin, Frederic, 195, 266–267chord identification, 92–94, 174, 215,

280–281,chord movement, 119, 193, 197major sixth chord, 141minor-major seventh, 160seventh chords, 87–91, 95–100, 104triads, 34, 59, 84–91, 97–99

chord-scale analysis, 102, 111, 112, 118, 126,155, 181, 192

individual chord-scale approach, 111parent scale approach, 111

Index

chord substitution, 177, 211chord superimposition, 213, 216–225, 229,

232–235, 237, 240, 242, 249circle of fifths (see cycle of fifths)clarity of ideas, 20clef, 28–34close position voicings, 92–94closely related keys, 258Coltrane, Alice, 25–26Coltrane, John, 20, 24, 25, 26, 62, 235,

262–263, 265–266, 272–273common practice periods, European classical

and jazz, 96, 162, 205, 214common tones, 78, 103, 105, 196–198, 206,

281comping patterns, 108, 110, 116, 152, 156,

313composition, 70, 76–80, 83, 111, 132, 138,

156, 197, 294consonance, 102, 138, 140, 244, 300, 301contour, melodic, 7–10, 147–148, 152, 313contrary motion, 117, 122, 155, 160, 165, 188,

281, 297counterpoint, 158, 161 (see also species

counterpoint)cycle of fifths, 31, 39, 43, 45–46, 68, 70, 170

d’Rivera, Pachito, 63Dameron, Tadd, 259Davis, Miles, 63delayed resolution, 173, 264 diatonic, 35, 38, 41, 47, 55, 274, 281, 303

definition of, 85, 99diminished seventh chords, 87, 88, 168, 175,

177passing diminished seventh chord, 175,

183dissonance, 139, 162, 298, 300–307dominant seventh chord, 104, 105, 110,

111Dorian mode, 38, 54, 57–65, 95–100, 140double flats, 236double sharps, 236doubling, 205–206drone, 10, 27, 56, 61

eleventh chords, 191Ellington, Duke, 63, 85endings (see improvisation)enharmonic spelling, 30, 145, 177, 244–245even eighth note feel, 49, 62, 108, 128–129

extensions, 105, 139–140, 191, 211, 237–256

F clef, 29figured bass realization, 201–212Fitzgerald, Ella, 27, 63florid texture, 3, 54, 76, 210French augmented sixths, 245–247fundamental tone, 11

German augmented sixth, 245–246Gillespie, Dizzy, 63grooves, 11, 19, 21, 48, 77guide tones, 143–148, 334–335

half cadence, 105half-diminished seventh chord, 87, 114, 174,

181half step, 30–32, 35

approach tones, 149octatonic scales, 249resolution of augmented sixth chords, 245resolution of guide tones, 144surround tones, 149top of voicing, 141

Hancock, Herbie, 63harmonic and non-harmonic tones, 139,

158–163harmonic functions, 102–128harmonic rhythm, 133–134, 155, 161harmonization, 151–156 head, 52–54, 75, 79, 131, 150

outhead, 75, 76, 79

implication-realization, 15improvisation,

collective, 19endings, 20form-based, 12open, 19pitch-based, 10pulse-based, 11solo pieces, 17trans-stylistic, 1–28

Indian rhythmic principles, 80inner dimensions, creative process, 13–15intervals, 9, 28, 35–47, 61, 91–92

inversions, 36inversion, triads and seventh chords, 91Invitation, 235Ionian mode, 38, 98, 191Italian sixth, 245–247

366 Index

Jarrett, Keith, 26jazz,

commonalities and differences withEuroclassical, 104, 106

harmony, 90, 96–97, 103 Jobim, Antonio Carlos, 189Jones, Thad, 63, 348–349

Kern, Jarome, 261keyboard,

fingerings, 86, 88realization, 84, 95–96, 106–109seminal keyboard projects, 334

keyboard style realization, 206key signatures, 31

Lady Bird, 258lead sheet, 90, 167, 219leading tone, 102, 104, 114–116, 168, 174,

180, 203, 206leaps, intervallic, 10, 61, 76, 152ledger lines, 29Liebman, David, 134, 283–284listening,

heightened awareness, 13recorded resources, 24, 61

Locrian mode, 38, 98–100, 181Lydian mode, 38, 980100, 112, 191–192

major keys, 31major scale, 29, 31major seventh chords, 95, 105, 190, 141, 162,

215major sixth chord, 141mediant, 102meditation, 13–15melodic cells, 41–61melody,

melodic analysis, 142–143, 151, 156melodic contour, 7–10, 152

melodic minor, 33as basis for altered scales, 249–251

Mendelssohn, Felix, 247Metheny, Pat, 63Meyer, Leonard, 4, 15, 28middle C, 29–31, 86Mingus, Charles, 63minor scale, 11, 33

harmonic, 33melodic, 33natural, 33

minor seventh chord, 59, 107, 125, 140, 157,197

minor triad, 59, 98–100Mixolydian mode, 38, 98–100, 157modal composition, 70, 197–198mode-master drills, 98–100mode-rhythmic exercises, 76–77, 83modes, 38Modal Etude #1, 52–53

Bb part, 54Eb part, 54

Modal Etude #2, 71–72Bb part, 73–74Eb part, 74–75

modal mixture, 186modal interchange, 186

modulation, 124, 168, 183distinguished from tonicization, 168, 183

Moment’s Notice, 262Monk, Thelonious, 132motive, 7, 9, 18, 42, 61, 68, 150Mozart, Wolfgang, 164My Funny Valentine, 158–160

Narmour, Eugene, 16, 27 Neapolitan sixth chord, 195ninth chords, 211, 216non-harmonic tones, 158–163

anticipation, 162neighboring tone, 162passing tone, 162suspension, 162

non-syntactic elements, 16–20, 24

oblique motion, 117–118, 205octatonic scale, 248–249octave, 30Oleo, 255open fifth, 56–59open voicings, 94overtone series, 308–309

parallel motion, 118, 205Parker, Charlie, 63passing notes, 42, 138–40, 155passing tones, 42, 139, 162–163pedal point, 166–167, 190, 198pentatonic scale, 40–41

minor pentatonic, 40, 55–57, 59–62,77–78

pivot chord, 258

367Index

planing, 344polyrhythm, 80, 129–130 popular music, 85, 89, 90, 96, 105–118, 131,

165, 172, 213pulse, 6, 8, 11, 24, 56, 80

quartal harmony, 59

range, 3, 20replacement tones, 216–217resolution, 17, 85, 105

delayed, 173half-step voice-leading in extended II-V

sequence, 227indicated with arrow, 119non-harmonic tones, 161problematic, 141,

rhythm,Indian rhythmic principles, 80layers, 273 time-feel, 61, 62, 70, 76–77, 80, 83, 128(see even-eighth note feel and swing time

feel)rhythm changes, 155, 211rhythm section, 52, 54, 77, 107rhythmic ratios, 50, 211rhythmic templates, 48, 50, 57–60, 66,

68–69ride cymbal, 129Rollins, Sonny, 255Roman numerals, 38, 78, 88–91, 98, 103, 121,

164, 182root movements, 95, 103, 143, 175, 187,

195root position, 84, 90, 91, 93–94, 96

scale,Blues, 132–133Chromatic, 30

scale degrees, 38scale superimposition, 203Schneider, Maria, 63, 345Schubert, Franz, 269seminal keyboard projects, 95, 109, 126, 184,

210, 219, 237, 239sequence,

harmonic, 111–126, 156–197motivic (see motive)

secondary dominant (also see applied chords),160–176

seventh chords, 87

silence, 17similar motion, 118solo improvisation, (unaccompanied), 17soprano-alto-tenor-bass format, 210species counterpoint, 293

first species, 299fourth and fifth species, 304improvising in modified species formats,

303second species, 300third species, 301

spread voicing, 93Strayhorn, Billy, 9structural function, 187subdominant, 103, 177submediant, 103substitute dominant, 177subV7 chord, 177superimposition (see chord superimposition)superlocrian, 249, 250Supertonic, 102surround tones, 136sus 4 chord (or sus chord), 141suspension, 144, 162Swallow, Steve, 160swing (time feel), 49, 108, 128–129symmetric scale, 249syntactic parameters, 4

Take The A Train, 9target note, 42, 155, 143–149, 156tendency tone, 146, 203tenor, 32, 210tenor clef, 32tessitura, 4, 5, 16tetrachords, 249, 282third, 33,thirteenth chords, 191tihai, 290time feels (see rhythm)tonality, 84, 95, 169, 201, 205tonic, 102, 112, 114, 115, 119, 125, 159, 168tonicization, 124, 168,

distinguished from modulation, 168free tonicization, 124–126, 183–185

top-down harmonization, 151–154transcription, 133transparency, 21transposition, 41, 349triads, 85Triste, 189

368 Index

tritone substitution, 177turn-arounds, 123tutti lines, 76, 150, 155voice leading, 106, 116–122, 1456–150, 205,

218, 234

walking bass line, 108, 129–131weak beat, 130writing approaches,

four-part writing, 164–166keyboard style (five part), 96, 116–124

369Index

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