MU182: Theory II

R. Vigil

Advanced Chromatic Harmonies II: "Alteration" and Common-Tone

Procedures

Compiled with reference to:

Edward Aldwell and Carl Schachter, Harmony and Voice Leading, 3rd ed. (USA:
Thomason/Schirmer, 2003).
Walter Piston, Harmony, 5th ed., revised and edited by Mark Devoto (New York:
Norton, 1987).
Arnold Schoenberg, Theory of Harmony, trans. Roy E. Carter (Berekely: University of
California Press, 1978).

General Comments

The origins of chromaticism in diatonic music can be traced to a variety of melodic and
harmonic concerns. Perhaps the simplest use of chromaticism involves neighbor and passing
tones in a single voice. The chromatic neighbor tone embellishes a single note and may or may
not have modal-borrowing implications (strongly felt in the case of 5- 6-5, a borrowing from
minor [Aeolian]; less strongly felt in the case of 6- 7-6, a borrowing from Mixolydian[?]). The
chromatic passing tone is often felt to invoke scale-degree function (7-8, in the case of an
ascending chromatic passing tone; 4-3 [or 6-5 in minor], in the case of a descending chromatic
passing tone).

When chromaticism accompanies a significant harmonic progression (i.e., the passing between,
as opposed to within, structural components of a cadential progression), the emphasis shifts from
the function of the scale degree, or the role of a single melodic line, to the function of the chord.
For example, we can understand the #4 with in a V/V chord as a chromatic lower neighbor to 5,
but it is essentially more relevant to note that the #4 turns the triad built on 2 from minor to
major, thus strengthening the descending-fifth root-motion. While this harmony could be seen as
a borrowing from Lydian, the local V-I-type motion offers a more satisfying functional analysis.

It has been seen that certain "artificial" chords can be understood as simultaneously employing
elements from different modes. For example, the diminished seventh chord contains the leading
tone from major and the 6 from minor. Other chords combine the applied leading-tone aspects
of an applied dominant along with elements that originate in mixture. For example,
augmented-sixth chords contain #4 (acting as a leading tone to 5) and 6 (borrowed from minor).

The chords discussed below can be seen to operate with a variety of motivations. Considerations
of voice-leading, mixture, and chord-function are variously at work, independently or in tandem.
In analysis, it is important to understand the context within which the chromatic element evolves
in order to properly identify the potential compositional motivations for its use, and its full
expressive value.
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I. The Augmented Triad

A. Arising from a neighbor motion

5 - b6 - 5 5 - b6 - 5 N N 7
I V I iv i V i

B. Arising from a passing motion

P 8 7
6 7 P PAC
I (vi) IV (ii ) V I 6 3 6 6 6 5
4 4 4 3

i (+5) III iv(+5) VI II V i

C. Elaborating a descending fifth root-motion

#5 #5 #5
I V I IV I IV V I IAC
 3

II. Altered Dominants

A. Raised 5th - Augmented Triad

The previous example above shows the use of an augmented triad to emphasize the V-I
motion in an authentic cadential progression. In this circumstance, the augmented triad
need not emerge as a contrapuntal elaboration (chromatic passing tone), but may
coincide with the dominant arrival.

#5
I IV V I IAC

B. Lowered 5th - Augmented Sixth-type Resolution

In a cadential situation, when the 5th of the dominant is lowered, the interval formed
with the leading tone is an augmented 6th. Generally, this will take place with a
dominant 7th chord, resulting in a transposed French Sixth.

4 4 4
I ii 7 V 3 I I ii 7 V 3 I i iv -2 V 3 i
 4

III. Common-Tone Diminished Sevenths

In the progression from an applied diminished-7th chord through a cadential six-four to a

root position dominant, the voice-leading connection can be seen to employ a combination
of common tones and stepwise motion. The spelling of the diminished 7th chord is
usually altered to clarify the stepwise motion.

( 64 5
3
)
6 o7
I V vi [vii ] V I PAC

This chord-connection is often used in other contexts. Frequently, the diminished-7th

chord functions as an embellishing chord. The two harmonies most commonly associated
with common-tone diminished 7ths are I and V.

4 4 4 6
o2 o2 o7 6 3 o7 5
I #ii I V #vi I #ii I V I #vi V I
Note that in the final example during the common-tone diminished seventh resolution to
the dominant (penultimate measure) 3 moves to 4, creating a dominant seventh chord.

A final type of common-tone resolution involving the diminished seventh chord moves
to a dominant seventh chord. Unlike the above examples, where the diminished seventh
chord acts as a neighbor chord, here it acts as a substitute chord. Three tones are held in
common, and no change of function takes place.

6 6 4
viio2 V7 viio7 V5 viio5 V3
 5

IV. Common-Tone Augmented 6ths

It has been seen that the dominant 7th with flattened 5th can be understood as a transposed
French Sixth. This type of voice-leading can be applied to other harmonies besides I and V.

(N)
I vi ii V I PAC

A special use of common-tone augmented 6th chords can be found in the so-called
"omnibus" progression. Here, the space between the root-position and first-inversion
forms of a triad (or vice versa) is elaborated by chromatic passing tones. The use of
voice-exchange creates a progression containing common-tone augmented 6th chords.
Typically, omnibus progressions prolong V.

When elaborating a triad, the passing chords resemble Italian sixths and the progression
also contains a "hollow" passing chord.

(no 3rd)

(It.+6 P It.+6)
6
V

When elaborating a seventh chord, the passing chords resemble German sixths and the
progression also contains a second-inversion passing chord.

6
(Ger.+6 P4 Ger.+6)
6 7
V5 5
3