Ariel Kasler GIANT STEPS CHORD SUBSTITUTIONS PDF

GIANT STEPS: CHORD SUBSTITUTIONS AND CHORD-SCALES FOR IMPROVISATION
Ariel Kasler
A Thesis
Submitted to the Graduate College of Bowling Green
State University in partial fulfillment of
the requirements for the degree of
MASTER OF MUSIC
May 2014
Committee:
Chris Buzzelli, Advisor
Nora Engebretsen, Committee Member
2014
Ariel Kasler
All Rights Reserved
iii
ABSTRACT
Chris Buzzelli, Advisor
This thesis examines harmonic possibilities inherent in John Coltranes composition
Giant Steps from the perspective of a jazz improviser. Chord-scales suggested by the chord
progression and subsets of these chord-scales form a tool for analyzing segments of melodic
improvisations over Giant Steps by the composer and by other significant jazz musicians.
Common-tone possibilities created by the application of various chord-scales are explored
theoretically and through analysis of performances. Additional chord substitutions that alter the
harmonic rhythm are also studied. The chord substitution-based approach to improvisation and
analysis presented here partially explains the continued interest in Giant Steps while also
offering improvisers many ways to approach this composition.
iv
ACKNOWLEDGEMENTS
I would like to express my gratitude to the members of my committee, Prof. Chris
Buzzelli and Dr. Nora Engebretsen, whose differing perspectives were essential in researching
and writing a thesis that borrows from both jazz and traditional music theory. I could not have
succeeded in this endeavor without their ongoing direction, feedback and advice.
My thanks to Prof. David Bixler, who unintentionally inspired my inquiry of this topic, to
Prof. Tad Weed for his encouragement and advice in pursuing this line of research, and to Prof.
Jeff Halsey, Prof. Morgen Stiegler, Dr. Roger Schupp, and Dr. Ann Corrigan for sharing their
knowledge and offering their support during my studies at Bowling Green State University.
Thank you to all of my music teachers, past and present, especially Profs. Mick Goodrick
and Hal Crook at Berklee College of Music, for shaping my conception of musical
improvisation.
I would like to thank my wife Bobbi Thompson, my parents Tamar Berkowitz and Dr.
Jon Kasler, my sister Shira Kasler, and all of my extended Berkowitz-Kasler-Prinz family
members not only for their love and support throughout my life, but also for instilling in me their
belief in the value of higher education. Finally, I would like to extend a special thanks to my
mother for her assistance and expertise in editing this document and to my wife for her love,
caring, and insight that guides me through life.
v
TABLE OF CONTENTS
Page
INTRODUCTION ................................................................................................................. 1
CHAPTER I. THE MAJOR SCALE AND ITS SUBSETS ................................................. 6
CHAPTER II. TONIC CHORD-SCALES AND THEIR SUBSETS .................................. 12
CHAPTER III. DOMINANT AND IIm7 CHORD-SCALES AND THEIR SUBSETS ..... 14
CHAPTER IV. COMMON-TONE POSSIBILITIES .......................................................... 17
The Augmented/Hexatonic Scale .............................................................................. 17
The Whole-Tone Scale and Its Fragments ................................................................ 19
The Octatonic Scale and Its Fragments ..................................................................... 21
Common-Tone Sus4 Chords ..................................................................................... 23
Pivot Chord Analysis and Its Implications ................................................................ 25
CHAPTER V. HARMONIC RHYTHM POSSIBILITIES .................................................. 27
Delay/Anticipation ..................................................................................................... 27
Polyrhythmic Harmonic Motion ................................................................................ 27
Subtraction and Addition of Chords .......................................................................... 28
3- and 6-Measure cycles ............................................................................................ 30
CHAPTER VI. SUMMARY AND APPLIED EXAMPLES ............................................... 33
REFERENCES ...................................................................................................................... 38
APPENDIX A. CHORD-SCALES, THEIR SUBSETS, AND EXAMPLES FROM THE
LITERATURE ........................................................................................................... 40
APPENDIX B. GLOSSARY ................................................................................................ 86
vi
LIST OF FIGURES
Page
1.1. Harmonic analysis of Giant Steps .................................................................... 7
4.1. The augmented/hexatonic scale as a chord-scale for the tonic and
dominant chords in Giant Steps ....................................................................... 17
4.2. Kenny Garretts application of the augmented/hexatonic scale .......................... 18
4.3. Michael Breckers application of the augmented/hexatonic scale ...................... 18
4.4. Coltranes application of the augmented scale in the first three measures of
One Down, One Up .......................................................................................... 19
4.5. Harmonization of a descending whole-tone scale ............................................... 19
4.6. Michael Brecker outlines a descending whole-tone progression ........................ 20
4.7. The whole-tone scale and its subsets applied to Giant Steps ........................... 20
4.8. Kenny Garretts application of both whole-tone scales ....................................... 21
4.9. HW diminished/octatonic common-tone triads ................................................... 22
4.10. HW diminished/octatonic aggregates across modulations .................................. 23
4.11. Three suspended 4
th
chords over the changes ...................................................... 24
4.12. Pivot chord analyses ............................................................................................ 25
4.13. Pairing of major triads a minor 2
nd
apart ............................................................. 26
5.1. Kenny Garrett anticipates .................................................................................... 27
5.2. Excerpt from Flow by Omer Avital ................................................................. 28
5.3. Dotted quarter polyrhythmic harmony ................................................................ 28
5.4. The big V ......................................................................................................... 29
5.5. Adding chords to measures 9-16 ......................................................................... 29
vii
5.6. 3-measure cycle ................................................................................................... 30
5.7. 6-measure cycle ................................................................................................... 30
5.8. Juxtaposing 3- and 6-measure cycles .................................................................. 30
5.9. 3- and 6-measure cycles in the chord progression ............................................... 31
5.10 Cycles reversed .................................................................................................... 31
6.1. All minor 7
th
chords ............................................................................................. 34
6.2. All major 7
th
chords ............................................................................................. 34
6.3. All suspended 7
th
chords ...................................................................................... 35
6.4. Upper structure triads .......................................................................................... 35
6.5. Minor 7
th
, minor 6
th
............................................................................................. 36
6.6. An alternate 3-measure cycle .............................................................................. 36
6.7. Static root motion ................................................................................................ 37
6.8. Diminished 7
th
approach ...................................................................................... 37

1
INTRODUCTION
The release of John Coltranes album Giant Steps in 1960 is widely accepted as a
milestone in jazz history. During the decades since, the title track has become a core part of the
jazz repertoire, continually inspiring and challenging jazz musicians and audiences. This tune
specifically, and the 3-tonic system, more generally, have held the attention of generations of
jazz musicians and scholars. Giant Steps has been recorded again and again, and scholars
continue to write articles and books about it and the 3-tonic system. According to David Ake, it
is safe to say that no piece enjoys as much prestige or overall aura in all of jazz education as
this one [Giant Steps] does.
1,2

While the 3-tonic system at the core of the tune Giant Steps has played a part in many
of John Coltranes improvisations and compositions before and after its release, the tune is
unique two ways. First, it is Coltranes only composition that is comprised entirely of the 3-tonic
system rather than a re-harmonization of another tune from the jazz repertoire. Second, its
compact 16-measure form and symmetry make it a perfect case study for investigating the
possibilities inherent in the 3-tonic system.
Like countless other jazz musicians, I have spent many hours practicing and studying
Giant Steps, and since my first attempts at its performance while in high-school, have found
that it has continued to offer me interest and challenge. That being said, the questions that led to
the writing of this thesis began in 2012 when Professor David Bixler, Director of Jazz Activities
at Bowling Green State University, showed me a chord substitution that George Coleman taught
him. Coleman started the tune with a D# minor 7
th
chord, followed by a C major 7
th
chord.

1
David Ake, Jazz Cultures (Berkeley: University of California Press, 2002), 129.
2
Although Ake makes this claim in the context of a critique of jazz educations focus on nineteenth-century
European aesthetics, this does not diminish the direct meaning of his statement.

2
This led me to wonder which other chord substitutions could be applied to Giant Steps.
After some early exploration, I showed some of my ideas to Tad Weed, my piano teacher, who
encouraged me to further pursue my inquiry, perhaps with the intention of publishing my
findings in some form. This suggestion led me to seek a more serious and systematic approach to
finding answers to my question.
Around the same time, I was studying Set Theory with Professor Nora Engebretsen, and
was thinking about the possible application of this approach to jazz improvisation. I began seeing
parallels between Set Theory and the systematic methods used in books by my former guitar
teacher, Mick Goodrick.
3

As a counterpart to the theoretical and abstract form of my inquiry, I also began listening
to every recording of Giant Steps I could find and reading every relevant book I could get a
hold of. In listening to recordings, I was trying to find out what pitch-class content significant
jazz musicians used when playing Giant Steps. In the books, I hoped to find a discussion of the
same issues. While many good and useful books have been written about Giant Steps and
Coltranes 3-tonic system, most turned out to be only marginally relevant to my specific interest
in chord substitution.
In Coltrane: A Players Guide to His Harmony Walt Weiskopf and Ramon Ricker first
discussed the origins and analyses of the 3-tonic system, and then presented several melodic
patterns and etudes to be played over various related chord progressions.
4

In recent years, several books have been released specifically with guitarists in mind:

3
Mick Goodrick and Tim Miller, Creative Chordal Harmony for Guitar: Using Generic Modality
Compression, ed. Jonathan Feist (Milwaukee, WI: Berklee Press, 2012), 1-104.
4
Walt Weiskopf and Ramon Ricker, Coltrane - a Player's Guide to His Harmony (New Albany, IN: Jamey
Aebersold, 1991), 1-48.

3
In Coltrane Changes: Applications of Advanced Jazz Harmony for Guitar, Corey
Christiansen presented an analysis, possible chord-voicings, patterns, re-harmonized tunes with
written solos, and various segments and simplifications of the 3-tonic chord progression for
practice.
5

In Giant Steps for Guitar: a Six-Stringer's Guide to Mastering Coltrane's Epic, Wolf
Marshall suggested that the guitarists approach to improvising over the changes to Giant Steps
could be guided by chord voicing. He then discussed the construction of melodies, presented 49-
patterns to be played over the first 4 measures, and discussed rhythmic approaches, ii-V-I
patterns, and the construction of model solos.
6

In Giant Steps: An In-Depth Study of John Coltranes Classic Joe Diorio included 17
composed solos over the changes to Giant Steps, each focusing on a specific concept, interval, or
rhythmic figure. He also introduced several chord substitutions and re-harmonizations of the
tune. Out of all the books mentioned so far, this one was the most relevant to the writing of this
thesis.
7

While these books and other articles offer useful information and insight for any jazz
musician, I have not found a systematic approach to chord substitutions for improvisation as it
relates to the tune Giant Steps.
In this thesis, I intend to offer such an approach. After consulting various books relating
to jazz harmony, I decided not to base my approach on examples of chord substitutions from any

5
Corey Christiansen, Coltrane Changes: Applications of Advanced Jazz Harmony for Guitar (Pacific, MO:
Mel Bay Publications, Inc., 2004), 1-31.
6
Wolf Marshall and John Coltrane, Giant Steps for Guitar: A Six-Stringer's Guide to Mastering Coltrane's
Epic, Pap/Com ed. (Milwaukee, WI: Hal Leonard, 2009), 1-72.
7
Joe Diorio, Giant Steps: An In-Depth Study of John Coltranes Classic (Van Nuys, CA: Alfred Music, 1998),
1-44.

4
specific source, but rather to derive the chord substitutions as subsets of chord-scales relating to
each chord in Giant Steps.
The most concise and relevant source I found for applying chord-scales to changes was
not a book, but rather a page on Dan Haerle personal website.
8
Haerles significance as a jazz
educator is evident in the many pedagogical books he has published, through his decades of
teaching at the University of North Texas, induction into the International Association of Jazz
Education "Hall of Fame" and more.
9
On this page he organized the various scales by Scale
Group and Chord Group. The chord group organization was the most valuable for my
puposes, as it allowed me to list the various chord-scales that apply to each of the chords in
Giant Steps.
When listing subsets of various chord-scales, I did not exclude subsets that included
avoid notes such as the 4
th
degree of the major scale. Since there are many differing
perspectives on this issue, I leave the reader the choice of excluding or not excluding these
subsets rather than predetermining this decision. My study of improvisations over Giant Steps
demonstrates that avoid notes are not always avoided, although there are always many possible
interpretations of note choice.
In Chapter I, I introduce the method used throughout the thesis, essentially listing
collections (scales and chords) for improvisation that are familiar to jazz musicians using set-
theory, and focus on subsets of the diatonic major scale. In Chapter II, I survey alternate chord-
scales and their subsets as they relate to the tonic chords. In Chapter III, I do the same for the
dominant chords and their related IIm7 chords. In Chapter IV, I address various collections that
connect, rather than differentiate, the three tonics. Chapter V addresses chord substitution and

8
Dan Haerle, Scale Choices for Improvisation, January 7, 2014, accessed January 7, 2014,
http://danhaerle.com/scalechoices.html.
9
Dan Haerle, Biographical Info, March 2, 2014, accessed March 2, 2014, Http: //danhaerle.com/bio.html.

5
possibilities that alter the harmonic rhythm of the progression, and therefore do not fall into any
of the previous categories. In Chapter VI, I summarize my findings and apply some of them to
the entire chord progression.
The resulting compendium of chord substitutions over Giant Steps will serve several
purposes. First, some chord substitutions make Giant Steps easier to play, increasing the
possibilities and probabilities of successful and expressive improvisations. More significantly,
each chord substitution creates a new progression, which can inspire an improviser to improvise
different melodies, creating a wide palette of melodic possibilities otherwise unlikely to occur.

6
CHAPTER I. THE MAJOR SCALE AND ITS SUBSETS
The art of improvising over chord changes has been approached with various methods. In this
thesis I present an approach that focuses on the pitch-class content of the music. Treatment of
other essential aspects of improvisation such as timbre, articulation and dynamics are beyond the
scope of this thesis. Many issues that are closely related to pitch-class, but depend upon register
(the realization of pitch-classes in specific octaves) issues such as contour, chromatic passing
tones, and voicings are also outside the scope of this approach. The vital issue of rhythm will be
dealt with only in relation to how it affects pitch-class content.
Some improvisers and educators approach improvisation by using chord-scales, where
the improviser selects notes from a chosen scale that fits a specific chord. According to Ake,
The chord-scale method works perfectly on Giant Steps.
10
Others prefer to conceive of
structures with fewer notes as their vehicle for improvisation. These structures can simply be the
chord tones of the relevant chord, or they can comprise upper-structures triads or other
collections that are derived at least in part from the extensions (9, 11, 13 and their alterations) of
a chord.
This thesis will consider both approaches. I will start with full chord-scales and then
derive subsets of 3-6 notes from each scale. Those subsets that are easily labeled will then be
used to form various chord substitutions. These chord substitutions could be used by a soloing
performer as pitch-class material for improvisation, a comper as pitch-class material for voicings,
an arranger for re-harmonization possibilities, a bass player as material for alternative chord
roots, or an analyst as a means of explaining note choices in recordings and transcriptions. While

10
Ake, Jazz Cultures, 130.

7
this method could be applied to any chord progression, the changes to Giant Steps by John
Coltrane are interesting in several ways and will be used here as a case study.
11

The chord changes in Giant Steps comprise three major tonal centers, separated by
intervals of major thirds, dividing the octave into three equal parts. In the progression, every
tonic chord is preceded by its own dominant chord. Some of the dominant chords are, in turn,
preceded by a IIm7 chord, forming a 2-5-1 cadence. This progression is typically analyzed as
containing only direct modulations, with no pivot chords:
12

Figure 1.1. Harmonic analyses of Giant Steps

11
Unless otherwise noted, I use the term Giant Steps to refer to the tune by John Coltrane, not the entire
album of which the tune is the title track.
12
Throughout this thesis I have used uppercase Roman numeral notation for easy conversion to chord symbol
notation and in order to avoid ambiguity when discussing non-functional chords.

8
For the improvising musician, the tonic major scale is the default chord-scale choice
when improvising over a major 2-5-1 cadence. Jazz musicians tend to treat the 2-5 part of the
progression in one of three ways. The first is to play a melodic line that clearly distinguishes the
two different chords. The second is to ignore the presence of the IIm7 chord, and play melodic
lines that outline the V7 chord. This second approach is especially common at fast tempi. The
third approach is to ignore the V7 chord and outline only the IIm7 chord. This third method is
especially associated with guitarist Pat Martino.
13
In light of these different approaches, for the
purpose of this thesis I will treat the IIm7 and V7 chords as interchangeable.
Transcriptions of John Coltranes iconic solo on Giant Steps show that he used the
major scale almost exclusively over tonic chords, and as the most frequent choice over the IIm7
and V7 chords.
14,15
Coltrane did include notes at intervals of b9 and #5 above the root of
dominant chords, which will be discussed in Chapter III. Other non-diatonic notes function as
chromatic passing tones, since they are preceded by a note one semi-tone lower and followed by
a note one semi-tone higher, or vice-versa. As mentioned above, this thesis will not discuss the
use of chromatic passing tones as approach notes or be-bop scales.
Table A.1 in Appendix A is a list of easily labeled triads, seventh chords, pentatonic
scales, and triad pairs. I have included a verbal description, a MOD12 set-class, and an example
of a chord symbol (or other label) in C. These 3- to 6-note set-classes will form the basis for
chord substitution possibilities presented in this thesis.
Out of the many 3 to 6-note subsets of scales commonly used in the jazz idiom, relatively
few have a common label that a jazz musician could instantly respond to as an improviser. Other

13
Pat Martino, Linear Expressions (Milwaukee, WI: Hal Leonard, 1983), 5.
14
Unless otherwise noted, John Coltranes solo refers to the original master recording, or take 5 from the
May 5, 1959 recording session.
15
David Demsey, John Coltrane Plays (Milwaukee, WI: Hal Leonard, 1996), 50-55.

9
sets could certainly be useful in inspiring improvisation and are included in the tables, but this
thesis will focus on the easily labeled (and therefore readily identifiable) sets.
Common three-note sets include the four triads (major, minor, augmented, and
diminished) and the suspended 4
th
chord. Four-note sets include 7
th
chords, suspended 7
th
chords,
and four specific triads with an added note, which have been included due to their prevalence in
John Coltranes Giant Steps solo and, consequently, in much of the jazz pedagogy related to
Giant Steps.
16
Five-note sets include common 9
th
chords and two distinct pentatonic
collections. Six-note sets include different pairings of triads with no common-tones.
Table A.2 lists all of the 3- to 6-note subsets of the major scale, attributing a chord
symbol where appropriate. All uppercase roman numerals are used to allow for simple
conversion to specific chord symbols. The MOD12 column shows which sets have an identical
structure, differing only by transposition, while the MOD7 column shows similarity, allowing for
variation of intervals between scale degrees. Under Roman Numeral Chord Symbols some
chords a shaded grey. These are less common chords that nevertheless can be labeled with a
chord symbol.
In the remainder of this chapter, I provide one example from the literature of each scale
or subset I could find. In analyzing these examples from the literature, I treated specific pitch-
classes from any subset as identical regardless of order, octave, or rhythm. While I strived to find
non-ambiguous examples, the presence of a melodic step can always be interpreted in more than
one way.

16
1,2,3,5 and other instances of MOD7(0124), especially MOD12(0247) form alarge part of the vocabulary in
Coltranes solo. Many other soloists have adopted this vocabulary and a significant amount of jazz pedagogy is
devoted to the subject. Vol. 1 of the Inside Improvisation Series by Jerry Bergonzi, for example, is entirely devoted
to this topic.

10
When a specific subset is identified in an improvised solo, it is not necessary to claim that
the performer was thinking in the terms presented here. Various conceptual and non-conceptual
approaches could lead an improviser to play a certain collection of notes. In this thesis, I offer
one possible interpretation of the performers note choices.
The examples in table A.9, as well as in tables A.10, A.11, and A.12 were taken from
several recordings, published transcriptions and books by renowned jazz musicians. I started by
analyzing a transcription of John Coltranes original master take, and then moved on to analyze a
transcription of Kenny Garretts solo on his album triology.
17,18
I also included examples written
by Joe Diorio in his book Giant Steps, which features predominantly suspended chords.
19

Transcribed segments of various other recordings are included. Segments from Bob Mintzers
recording from his album Twin Tenors featuring Michael Brecker, and Joel Frahms solo
performance on the CD included with The Jazz Musicians Guide to Creative Practicing, by
David Berkman were of particular interest.
20,21
While some transcriptions for these recordings
are available, their accuracy varies and I referred to the recording directly as the only reliable
source.
Examples were found in both table A.9 and table A.10 for the vast majority of the major
scale subsets labeled with a Roman numeral chord symbol in table A.2. Considering the limited
scope of my research, it is reasonable to assume that examples of the remaining subsets could
also be found in the multitude of commercially available recordings.

17
David Demsey, John Coltrane Plays, 50-55.
18
Kenny Garrett, The Kenny Garrett Collection: Alto Saxophone Artist Transcriptions (Milwaukee, WI: Hal
Leonard, 2004), 22-31.
19
Joe Diorio, Giant Steps: An In-Depth Study of John Coltrane's,1-44.
20
John Coltrane, Giant Steps, performed by Bob Mintzer with Michael Brecker, RCA NJC 63173-2, CD, 1994.
21
David Berkman, The Jazz Musician's Guide to Creative Practicing (Petaluma, CA: Sher Music Company,
2007), included CD.

11
The notable exception to this generalization is the 6-note triad pair sets. While I found
many excerpts that include six of the seven notes in a major scale over a chord, I only found one
instance where these presented as two distinct triads, and have therefore included that example
only. This may be expected during the first half of Giant Steps, since there are usually only
two beats per chord, but I did find the absence of triad pairs during measures 9-16 somewhat
surprising.
While several examples in table A.9 include scale degree 4 (the avoid note), none of them
are taken from Coltranes solo. This distinction is not made in table A.10, partially due to the
treatment of dominant and IIm7 chords in one group.

12
CHAPTER II. TONIC CHORD-SCALES AND THEIR SUBSETS
Dan Haerle provided a lists of chord-scales appropriate for improvising over different chord
types on his personal website.
22
Under Major Seventh Chords, he included Ionian, Lydian, 3
rd

mode harmonic minor (major #5), 6
th
mode harmonic minor (Lydian #9), Lydian-augmented (4
th

mode melodic minor), augmented/hexatonic, major pentatonic (on 1,2 or 5), major blues,
harmonic major, and 6
th
mode harmonic major (Lydian-augmented #9).
Due to the fast tempo at which Giant Steps is normally played, as well as its frequent
modulations, scales other than major are used less commonly than in other settings. However,
some examples do exist. This and the next chapter focus on additional chord-scales and their
application to Giant Steps.
Haerles list of scales can be derived from the following shorter list as modes/rotations or
subsets: major, melodic minor, harmonic minor, harmonic major, major blues, and
augmented/hexatonic. As far as subsets for chord substitutions are concerned, the major blues
scale will not offer any additional distinctive or useful subsets, since they are all either included
in one of the major modes, or contain three consecutive semi-tones and therefore have no
common label. Each of the remaining chord-scales is characterized by specific chord extensions
and creates additional chord substitution possibilities.
All of the following chord-scales include a root, a major third, and a major seventh. A
perfect fifth is assumed unless noted otherwise. The Lydian chord-scale includes extensions
natural 9
th
, #11
th
, and natural 13
th
. The 3
rd
mode of harmonic minor includes an augmented 5
th
,
and natural 9
th
, 11
th
, and 13
th
. The 6
th
mode of harmonic minor includes a #9
th
, #11
th
, and a
natural 13
th
. The Lydian-augmented chord-scale includes an augmented 5
th
, a natural 9
th
, #11
th
,
and natural 13
th
. The augmented/hexatonic chord-scale, starting with a minor 3
rd
interval includes

22
Dan Haerle, Scale Choices for Improvisation, http://danhaerle.com/scalechoices.html.

13
an augmented 5
th
, a #9
th
and a b13
th
. Augmented/hexatonic is the only major 7
th
chord-scale with
only six notes. Harmonic major includes a natural 9
th
and 11
th
and a b13
th
. Finally, the 6
th
mode
of harmonic major includes an augmented 5
th
, a #9
th
, #11
th
and a natural 13
th
.
Since subsets by definition include only some of the notes in a given scale, the chord-
scale implications of each subset often allow for some ambiguity. For this reason, after each
example in table A.11 I include a brief discussion of the chord-scale implications. As examples
are scarcer, I will also include some that are not easily labeled with a chord symbol.
Alternate major 7
th
chord-scales are entirely avoided by Coltrane, but are clearly present
in more recent improvisations. Research of a larger scope would undoubtedly find more
examples; however, it seems likely that the above chord-scales and their subsets include much
territory that has yet to be covered.

14
CHAPTER III. DOMINANT AND IIm7 CHORD-SCALES AND THEIR SUBSETS
Returning to Dan Haerles list of Scale Choices for Improvisation, under Dominant Seventh
Chords, we find: Mixolydian, 5
th
mode harmonic minor (Mixolydian b9,b13), Lydian, b7
(Lydian-dominant, 4
th
mode melodic minor), Mixolydian b6 (5
th
mode melodic minor), super
Locrian (fully altered, 7
th
mode melodic minor), whole tone, HW diminished (octatonic, starting
with a half-step), major pentatonic (on 1 or b5), minor pentatonic (on 1), major blues, minor
blues, 3
rd
mode harmonic major, and 5
th
mode harmonic major.
These scales are derived as modes/rotations or subsets from this shorter list: major,
harmonic minor, melodic minor, whole tone, octatonic, harmonic major, and major blues. Here
too, the major and minor blues scales will not be analyzed for subsets. The augmented/hexatonic
scale, starting with the interval a semi-tone, was surprisingly omitted from this otherwise
comprehensive list. Due to its significance in relation to Giant Steps, it will be added to the
analysis here.
Under Minor Seventh Chords, Haerle includes: Dorian, Phrygian, Aeolian, harmonic
minor, 4
th
mode harmonic minor (Dorian #4), melodic minor, Dorian b2, minor pentatonic (on
1,2, or 5), minor blues, 3
rd
mode harmonic major, and 4
th
For the purpose of this thesis, V7 and IIm7 are treated as interchangeable, therefore,
Dorian, melodic minor, Dorian b2, and minor pentatonic (on 1,2, or 5) become redundant.
Last, scale choices for Half-Diminished Seventh Chords (IIm7b5) can also be
considered as a substitution for IIm7, implying Vsus7(b9). Here Haerle included Locrian, 2
nd

mode harmonic minor, Locrian #2 (6
th
mode melodic minor), and the 2
nd
The 2
nd
modes of harmonic minor and harmonic major have been covered as the 5
th
modes of
these scales under Dominant Seventh Chords; therefore I will not cover them again.

15
Each chord-scale is characterized by a specific combination of extension. All V7 chord-
scales (except for the augmented/hexatonic scale) include a root, major 3
rd
, and b7
th
, while the
additional notes vary with each chord-scale.
The 5
th
mode harmonic minor scale includes a b9
th
, natural 11
th
, and b13
th
of the V7
chord. Lydian b7 includes natural 9
th
, #11
th
, and natural 13
th
. Mixolydian b6 includes a natural 9
th

and 11
th
and a b13
th
. Super Locrian/altered includes b9
th
, #9
th
, #11
th
/b5
th
, and #5
th
/b13
th
, but no
natural 5
th
. The whole-tone chord-scale includes a natural 9
th
, #11
th
, and #5/b13
th
, again with no
natural 5. This chord-scale is also characterized by containing only six notes. HW
diminished/octatonic scale includes a b9
th
, #9
th
, #11
th
, and 13
th
. Having 8 notes, this scale allows
for many harmonic possibilities, as can be seen in Appendix A. The 3
rd
mode of harmonic major
includes a b9
th
, #9
th
, b13
th
, and notably no 4
th
/11
th
. The 5
th
mode of harmonic major includes a
b9
th
, and natural 11
th
and 13
th
. The augmented/hexatonic, which Haerle may have omitted from
his list due to its lack of a b7
th
, does contain a root, b9
th
, major 3
rd
, natural 11
th
, #5, and natural
13
th
.
IIm7 chord-scales all include a root and a minor third, and all except for the harmonic
minor include a minor 7
th
. Phrygian mode includes a b9
th
, natural 11
th
, and b13
th
. Aeolian
includes a natural 9
th
and 11
th
, and a b13
th
. Harmonic minor includes a natural 9
th
and 11
th
, and a
b13
th
. 4
th
mode harmonic minor includes a natural 9
th
, #11
th
, and natural 13
th
.
Last, the IIm7b5 chord-scales all include a minor 3
rd
, diminished 5
th
and minor 7
th
. Locrian
includes a b9
th
, natural 11
th
, and b13
th
, while Locrian #2 includes a natural 9
th
and 11
th
and a
b13
th
.
Table A.12 presents examples from the literature of the above chord-scales and their
subsets. Unlike alternate major 7
th
chord-scales, which Coltrane avoided in his solo, a few

16
examples of the inclusion of the b9
th
and the #5
th
of the dominant chord are presented. As might
be expected, the more recent recordings feature many more alternate dominant and IIm7 chord-
scales. That being said, the above list of chord-scales and the subsets that can be derived from
the related tables in Appendix A contains so many subsets that exploring all options in
performance would be a monumental task.

17
CHAPTER IV. COMMON-TONE POSSIBILITIES
John Coltranes approach to soloing over Giant-Steps focused on outlining the changes as clearly
as possible. Generally, changes are clearly outlined by accentuating the notes that change at each
modulation, in other words, the antithesis of the common-tone approach. Some more recent
recordings have abandoned outlining every single chord, focusing instead on ways of connecting
the changes. This chapter explores the use of common-tones in improvisation over Giant
Steps.

The Augmented/Hexatonic Scale
The most well-known approach to common-tones over Giant Steps is the use of the B
augmented/hexatonic Scale (same as Eb or G augmented/hexatonic Scale). This 6-note scale
includes the notes of the 3 tonic major 7
th
chords in Giant Steps, as well as augmented triads
for the 3 dominant chords.

Figure 4.1. The augmented/hexatonic scale as a chord-scale for the tonic and dominant chords in
Giant Steps

18
This scale is often used as a single chord-scale that fits the entire form, much like a blues
scale is applied over a blues form.
Improvisers can either choose specific notes from the scale that outline the harmony or
play melodic lines that may not fit the changes directly, but relate more generally to the
harmonic landscape through pitch-class content. Kenny Garrett played the entire collection in the
first phrase of his 10
th
chorus (2:36):

Figure 4.2. Kenny Garretts application of the augmented/hexatonic scale

Michael Brecker started his solo with this scale, maintaining a strict relationship to the
chord of the moment:

Figure 4.3. Michael Breckers application of the augmented/hexatonic scale

Somewhat ironically, it seems that John Coltrane, who played an important role in
popularizing the use of the augmented/hexatonic scale in jazz, never applied it to his own
composition, where it fits so perfectly.

19

Figure 4.4. Coltranes application of the augmented scale in the first three measures of One
Down, One Up
23

The Whole-Tone Scale and Its Fragments
Another scale that is symmetrical at the interval of a major 3
rd
is the whole-tone scale.
One interpretation of the first half of Giant Steps is to view it as a harmonization of a
descending whole-tone scale:

Figure 4.5. Harmonization of a descending whole-tone scale

A variation on this harmonization would substitute the 2
nd
inversion V7 chords with a
root position IImin7 chords, as outlined by Michael Brecker in the 3
rd
chorus of his solo, bars 1-2
(0:54):

23
Walt Weiskopf and Ramon Ricker, The Augmented Scale in Jazz: A Player's Guide (New Albany, IN: Jamey
Aebersold, 1993), 6-6.

20

Figure 4.6. Michael Brecker outlines a descending whole-tone progression

As a chord-scale, WT0 (C,D,E,F#,G#,A#) is a fairly standard option over D7, Bb7, and
F#7. The entire scale does not fit as neatly over major 7
th
chords, but 4 out of the 6 notes in WT0
are present in the Eb, G, and B major chord-scales.

Figure 4.7. The whole-tone scale and its subsets applied to Giant Steps

Kenny Garrett offered an interesting and less strict example of applying both whole-tone
scales to the changes of Giant Steps in the first half of the 5
th
chorus of his solo (1:29). His use

21
of a rhythmic motive, resolution of dissonance, and confident delivery allowed him to include
some uncommon extensions over the chord changes:

Figure 4.8. Kenny Garretts application of both whole-tone scales

The Octatonic Scale and Its Fragments
Unlike the previous two scales, the octatonic scale divides the octave into 4 equal parts
rather than 3, and therefore may be considered a counter-intuitive choice. The reason for its
inclusion lies in the ascending minor 3
rd
motion from one tonic to the dominant of the key a
major 3
rd
lower, and this movements diminished implications. During the ascending major-3
rd

modulation, the Lydian and 6
th
mode melodic minor chord-scales allow for additional common
chord possibilities.
In the following figure, a B major triad serves as a common chord in the first measure, as
a subset of both B major chord-scales and D HW diminished/octatonic. D7 is a subset of both 6
th

mode harmonic minor on Eb and D HW diminished/octatonic, while F7 is a subset of both Eb
Lydian and D HW diminished/octatonic. I then transposed these relationships so that they apply
to the entire progression:

22

Figure 4.9. HW diminished/octatonic common-tone triads

A contrasting approach alternates two 4-note chords at the interval of a tritone, resulting
in a complete HW diminished/octatonic scale. This application results in a common chord-scale,
rather than a common chord.

23

Figure 4.10. HW diminished/octatonic aggregates across modulations

Common-Tone Sus4 Chords
The major scale contains three major 3
rd
intervals within it (scale degrees 1-3, 4-6, and 5-
7). As a result, each of the major 3
rd
modulations in Giant Steps maintains 3 common-tones.
These tones form a sus4 chord:
B and G Bsus4
G and Eb Gsus4
Eb and B Ebsus4
Since Bsus4 is a subset of both the B major scale and the G major scale, it can be played
over 6 of the 9 chords in Giant Steps (Am7, D7, G, C#m7, F#7, B). In addition, Bsus4 is also a
subset of the Bb altered scale, one of the chord-scales for Bb7. The same principle can be applied
to the remaining suspended chords:
D7 Ebsus4

24
F#7 Gsus4

Figure 4.11. Three suspended 4
th
chords over the changes

25
Pivot Chord Analysis and Its Implications
The modulations in Giant Steps are typically analyzed as direct modulations, as
discussed in Chapter I. Another interpretation of ascending major 3
rd
modulations is possible:

Figure 4.12. Pivot chord analysis

In this analysis, the tonic major chords also function as chords borrowed from the parallel
minor of the key that follows. The result is a minor pre-dominant to dominant progression,
resolving unexpectedly to a major tonic, which in turn also functions as a minor pre-dominant
chord in a new key. A chord-scale that is often applied to minor pre-dominant and dominant
chords is the tonics harmonic minor. In this case, the 6
th
and 5
th
modes/rotations have been
applied respectively. This interpretation displaces the point at which the pitch-content changes.
A subset of this scale, the pairing of two major triads a minor 2
nd
apart, can work nicely:

26

Figure 4.13. Pairing of major triads a minor 2
nd
apart

The intensity created by the rapid modulations of Giant Steps is one of its main
characteristics, and part of the compositions appeal. The slower harmonic movement in the
second half of the tune offers some contrast to this intensity. The common-tone possibilities
explored in this chapter enable a performer to increase this contrast further.
Proving that something hasnt been done is a difficult task, but I have not found any
explicit examples of most of the techniques discussed in this chapter.

27
CHAPTER V. HARMONIC RHYTHM POSSIBILITIES
In the material introduced up to this point, I avoided altering the number of chords in the
progression, their starting point, and their end point. In this chapter, I will examine several
approaches to altering the harmonic rhythm of Giant Steps.

Delay/Anticipation
A tool commonly used by improvisers to create interest and tension is the delay and/or
anticipation of a chord change. The duration of any chord can start or end earlier or later than
notated, as in the following example from Kenny Garretts solo, 4
th
chorus, m.14-15 (1:27):

Figure 5.1. Kenny Garrett anticipates

Polyrhythmic Harmonic Motion
The length of each chord change can be altered in a consistent manner that implies a
different meter than the notated meter. Flow, a composition by Omer Avital that uses the chord
progression from Giant Steps, starts with two 5-beat phrases, creating conflict with the 4/4
meter:

28

Figure 5.2. Excerpt from Flow, by Omer Avital
24

This technique can be applied to the entire chord progression. The following example
applies a consistent dotted quarter pulse to the chord changes:

Figure 5.3. Dotted quarter polyrhythmic harmony

Subtraction and Addition of Chords
In addition to the common-tone examples presented in Chapter IV, another way of
slowing down the harmonic rhythm is to simply ignore some of the chord changes by
lengthening the duration of one chord. Since Coltrane first used major 3
rd
modulations as an

24
Omer Avital, Flow, performed by OAM Trio, Fresh Sound Records, FSNT-136, CD, 2002.

29
expansion of a dominant-tonic progression, a reversal of this expansion would result in a return
to such a progression, as Michael Wolff discussed in a YouTube video.
25
The following figure
applies this idea to the first three bars of the progression:

Figure 5.4. The big V

Alternatively, chords may be added to the progression, especially in the second half of
the progression, which features slower harmonic motion. Common additions include
approaching a chord by its dominant chord, a leading-tone diminished chord, a tritone substitute
dominant chord, common-tone diminished chord, a diatonic chord a step below or above the
target chord, and a parallel chromatic approach chord from below or above:

Figure 5.5. Adding chords to measures 9-16

25
Michael Wolff , Giant Steps Improvisational Concepts, YouTube video, 17:11, posted May 23, 2013,
accessed February 18, 2014, http://www.youtube.com/watch?v=fxTdBg1MoQQ

30
3- and 6-Measure Cycles
The chord-progression in Giant Steps can also be understood as being derived from
two related chord cycles, a 3-measure cycle and a 6-measure cycle:

Figure 5.6. 3-measure cycle

Figure 5.7. 6-measure cycle

When juxtaposed, every two-measure section of these progressions includes 4 beats of
identical harmony and 4 beats of differing harmony:

Figure 5.8. Juxtaposing 3- and 6-measure cycles

31
With the exception of measure 16, the entire chord progression of Giant Steps can be
derived from alternating between these two cycles. While the following figure labels the cycles
as alternating, there is always a four-beat overlap between cycles:

Figure 5.9. 3- and 6-measure cycles in the chord progression

Keeping this analysis in mind, a possible re-harmonization could feature chords from the
cycle not chosen in the original progression:

Figure 5.10. Cycles reversed

32
Altering the harmonic rhythm creates countless possibilities. Each of the techniques
presented in this chapter can be applied flexibly to any part of the form or to the entire
progression. Much like the techniques presented in Chapter IV, these techniques can also be used
to create relief from the intensity of rapid modulations. These techniques differ from those in
Chapter IV in that they can also be used to increase the musical intensity. Delay/anticipation
creates instability, especially when suggesting a conflicting meter. The addition of chords
naturally increases the intensity of the piece, just as superimposing the 3-measure cycles over 6-
measure cycle sections would.
Examples of performers delaying and/or anticipating single chords are plentiful in recent
recordings, as are cases of the inclusion of phrases that imply polyrhythms. Subtraction and
addition of chords is also fairly common, but since there are so many chords that could be added,
it is likely that not all possibilities have been covered. I have heard recordings that may suggest
the substitution of 3- and 6-measure cycles, but never very explicitly.

33
CHAPTER VI. SUMMARY AND APPLIED EXAMPLES

When combined, the chord substitution possibilities introduced in the preceding five chapters
and in the tables in Appendix A allow for near-infinite variations on the chord changes to Giant
Steps. Since chord changes do not determine an improvisers phrasing choices, each variation
may inspire countless melodies.
The scope of this thesis allowed for an analysis of segments of a small portion of
commercially available recordings of Giant Steps. The analysis method used here could be
applied to segments of any other solo over Giant Steps, especially those that do not feature
primarily chromatic approach notes and their targets.
It should be noted that chord substitutions do not inherently create additional difficulty
for the improviser. Some substitutions actually result in a progression that is more manageable
for a jazz student just learning the piece. The descending whole-tone scale harmonization in
Figure 4.5 is one example of a progression that may be less difficult to master. Slowing down the
harmonic motion of measures 1-8 through the application of The Big V (Figure 5.4) or the 6-
measure cycle (Figure 5.4) are additional methods for simplifying the progression, thereby
increasing the likelihood of a students successful improvisation.
From an artistic standpoint, the presence of choice is a precondition for creativity and
expression. While the near-infinite possibilities for the improviser presented here may seem
overwhelming, the intention is that an individual would explore some of the options and
gravitate towards a few that he or she finds esthetically pleasing.
As a conclusion, I offer the following applied examples of the entire progression that I
personally find esthetically pleasing to both the mind and the ear:

34

Figure 6.1. All minor 7
th
chords

Figure 6.2. All major 7
th
chords

35

Figure 6.3. All suspended 7
th
chords

Figure 6.4. Upper structure triads

36

Figure 6.5. Minor 7
th
, minor 6
th

Figure 6.6. An alternate 3-measure cycle

37

Figure 6.7. Static root motion

Figure 6.8. Diminished 7
th
approach

38
REFERENCES
Ake, David. Jazz Cultures. Berkeley: University of California Press, 2002.
Avital, Omer. Flow. Performed by OAM Trio. Fresh Sound Records FSNT-136. CD. 2002.
Berkman, David. The Jazz Musician's Guide to Creative Practicing: Notes on the Difficult,
Humorous, Endless Path of Becoming a Better Improvising Musician. Petaluma, CA:
Sher Music, 2007.
Christiansen, Corey. Coltrane Changes: Applications of Advanced Jazz Harmony for Guitar.
Pacific, MO: Mel Bay Publications, Inc., 2004.
Coltrane, John. Giant Steps. Performed by Bob Mintzer with Michael Brecker. RCA Records
NJC 63173-2 RCA. CD. 1994.
Coltrane, John. Giant Steps. Performed by John Coltrane. Rhino Records R2 75203. CD. 1998.
Coltrane, John. Giant Steps. Performed by Kenny Garrett. Warner Bros 9 45731-2. CD. 1995.
Demsey. David. John Coltrane Plays Giant Steps: Tenor Saxophone (Artist Transcriptions).
Milwaukee, WI: Hal Leonard, 1996.
Diorio. Joe. Giant Steps: An In-Depth Study of John Coltranes Classic. Van Nuys, CA: Alfred
Music, 1998.
Garrett, Kenny, and Timo Shanko. The Kenny Garrett Collection: 14 Authentic Transcriptions
Including Countdown, Koranne Said, Night and Day, Wayne's Thang, and Wooden Steps.
Artist Transcriptions. Milwaukee, Wisconsin: Hal Leonard, 2004.
Haerle, Dan. Biographical Info. March 2, 2014. Accessed March 2, 2014.
http://danhaerle.com/bio.html
Haerle, Dan. Scale Choices for Improvisation. January 7, 2014. Accessed January 7, 2014.
http://danhaerle.com/scalechoices.html

39
Marshall, Wolf. Giant Steps for Guitar: A Six-Stringer's Guide to Mastering Coltrane's Epic.
Pap/Com ed. Milwaukee, WI: Hal Leonard, 2009.
Martino, Pat. Linear Expressions - Pat Martino. Milwaukee, WI: Hal Leonard, 1983.
Weiskopf, Walt, and Ramon Ricker. The Augmented Scale in Jazz: A Player's Guide. New
Albany, IN: Jamey Aebersold, 1993.
Weiskopf, Walt and Ramon Ricker. Coltrane: A Players Guide to His Harmony. New Albany,
IN: Jamey Abersold, 1991.

40

APPENDIX A. CHORD-SCALES, THEIR SUBSETS, AND EXAMPLES FROM THE
LITERATURE
Table A.1. Choice of subsets
Full Name Mod 12 Example of label with C
as root
3-note (triads)
Suspended 4
th
triad (027) Csus4
Diminished triad (036) Cdim
Minor triad (037)a Cmin
Major triad (037)b C
Augmented triad (048) Caug
4-note (7
th
chords)
Diminished (major 7
th
) (0147)a bVIdim(Maj7)
Minor (major 7
th
) (0148)a Cmin(Maj7)
Major 7 (#5) (0148)b CMaj7(#5)
Major 7 (b5) (0157)a Cmaj7(b5)
Major 7 (0158) Cmaj7
Minor add 2 (0237)a Cmin(add2)
Major add 4 (0237)b C(add4)
Major add 2 (0247)a C(add2)
Minor add 4 (0247)b Cmin(add4)
Dominant 7 (#5) (0248) C7(#5)

41
as root
Dominant 7, suspended 4th (0257) C7sus4
Minor 6/minor 7, flat 5 or half-diminished (0258)a Cmin6 or Amin7(b5)
Dominant 7 (0258)b C7
Dominant 7 (b5) (0268) C7(b5) or F#7(b5)
Minor 7/major 6 (0358) Cmin7or Eb6
Diminished 7
th
(0369) Cdim7
5-note (9
th
chords)
Minor 9, major 7 (01348) Cmin9(Maj7)
Major 9 (01358)a CMaj9
Minor 9 (01358)b Cmin9
Dominant 7, flat 9 (01369)b C7(b9)
Dominant 7, sharp 9 (01469)b C7(#9)
Dominant 7, flat 9, flat 5 (02368)a C7(b5,b9)
Minor 9 (b5)/ dominant 7, flat 9, sharp 5 (02458)a Cmin9(b5) or D7(b5,b9)
Augmented, major 7, natural 9 (02458)b CMaj9(#5)
Dominant 7, natural 9, flat 5/dominant 7, natural 9,
sharp 5, whole-tone segment
(02468) C9(b5) or D9(#5)
Dominant 7, natural 9 (02469) C9
5-note pentatonic scales
Major pentatonic or minor 7 pentatonic (02479) C pent or Amin pent.
Minor 6 pentatonic (01368)b Cmin6 pent.

42
as root
6-note (triad pairs with no common-tones)
Diminished triad paired with a diminished triad one
semitone higher
(013467) Cdim and C#dim triads
Diminished triad paired with a minor triad one semitone
higher
(013468)a Cdim and Dbmin triads
Major triad paired with a diminished triad one tone
higher
(013468)b C and Ddim triads
Major triad paired with a diminished triad three
semitones higher
(013469)a C and D#dim triads
Diminished triad paired with a minor triad one tone
higher
(013469)b Cdim and Dmin triads
Major triad paired with a major triad one semitone
higher
(013478)b C and Db triads
Diminished triad paired with a major triad one semitone
higher
(013568)a Cdim and Db triads
Minor triad paired with a diminished triad one tone
higher
(013568)b Cmin and Ddim triads
Diminished triad paired with an augmented triad one
semitone higher
(013569)a Cdim and Dbaug triads
Minor triad paired with a major triad one semitone
higher
(013578) Cmin and Db triads

43
as root
Augmented triad paired with a major triad one tone
higher
(013579)b Caug and D triads
Minor triad paired with a minor triad a tritone apart (013679)a Cmin and F#min triads
Major triad paired with a major triad a tritone apart (013679)b C and F# triads
Augmented triad paired with a minor triad one tone
higher
(014579)b Caug and Dmin triads
Minor triad paired with a major triad a tritone apart (014679) Cmin and F# triads
Diminished triad paired with a diminished triad one tone
higher
(023568) Cdim and Ddim triads
Major triad paired with a major triad one tone higher (023579)b C and D triads
Minor triad paired with a minor triad one tone higher (023579)a Cmin and Dmin triads
Minor triad paired with a major triad one tone higher (023679)a Cmin and D triads
Major triad paired with a minor triad one tone higher (024579) C and Dmin triads

Table A.2. Major Scale subsets
Major Scale Degree MOD7 MOD12 Roman numeral chord symbol
3-note
1,2,3 (012) (024)
1,2,4 (013)a (025)a
1,2,5 (014) (027) Vsus4
1,2,6 (013)b (025)b

44
1,2,7 (012) (013)a
1,3,4 (013)b (015)b
1,3,5 (024) (037)b I
1,3,6 (024) (037)a VImin
1,3,7 (013)b (015)a
1,4,5 (014) (027) Isus4
1,4,6 (024) (037)b IV
1,4,7 (014) (016)a
1,5,6 (013)a (025)a
1,5,7 (013)b (015)b
1,6,7 (012) (013)b
2,3,4 (012) (013)b
2,3,5 (013)a (025)a
2,3,6 (014) (027) VIsus4
2,3,7 (013)b (025)b
2,4,5 (013)b (025)b
2,4,6 (024) (037)a IImin
2,4,7 (024) (036) VIIdim
2,5,6 (014) (027) IIsus4
2,5,7 (024) (037)b V
2,6,7 (013)a (025)a
3,4,5 (012) (013)a

45
3,4,6 (013)a (015)a
3,4,7 (014) (016)b
3,5,6 (013)b (025)b
3,5,7 (024) (037)a IIImin
3,6,7 (014)b (027) IIIsus4
4,5,6 (012) (024)
4,5,7 (013)a (025)a
4,6,7 (013)b (026)b
5,6,7 (012) (024)
4-note
1,2,3,4 (0123) (0135)b
1,2,3,5 (0124)a (0247)a I(add2)
1,2,3,6 (0124)b (0247)b VImin(add4)
1,2,3,7 (0123) (0135)a
1,2,4,5 (0134) (0257) V7sus4
1,2,4,6 (0135) (0358) IImin7 or IV6
1,2,4,7 (0124)a (0136)a
1,2,5,6 (0134) (0257) II7sus4
1,2,5,7 (0124)b (0237)b V(add4)
1,2,6,7 (0123) (0235)
1,3,4,5 (0124)b (0237)b I(add4)
1,3,4,6 (0135) (0158) IVmaj7

46
1,3,4,7 (0123) (0156)
1,3,5,6 (0135) (0358) VImin7 or I6
1,3,5,7 (0135) (0158) IMaj7
1,3,6,7 (0124)a (0237)a VImin(add2)
1,4,5,6 (0124)a (0247)a IV(add2)
1,4,5,7 (0134) (0157)b IMaj7(sus4)
1,4,6,7 (0124)b (0137)b IV(add#4)
1,5,6,7 (0123) (0135)b
2,3,4,5 (0123) (0235)
2,3,4,6 (0124)a (0237)a IImin(add2)
2,3,4,7 (0124)b (0136)b VIIdim(add4)
2,3,5,6 (0134) (0257) VI7sus4
2,3,5,7 (0135) (0358) IIIm7 or V6
2,3,6,7 (0134) (0257) III7sus4
2,4,5,6 (0124)b (0247)b IImin(add4)
2,4,5,7 (0135) (0258)b V7
2,4,6,7 (0135) (0258)a VIImin7(b5)
2,5,6,7 (0124)a (0247)a V(add2)
3,4,5,6 (0123) (0135)a
3,4,5,7 (0124)a (0137)a IIImin(addb2)
3,4,6,7 (0134) (0157)a IVMaj7b5
3,5,6,7 (0124)b (0247)b IIImin(add4)

47
4,5,6,7 (0123) (0246)
5-note
1,2,3,4,5 (01234) (02357)b
1,2,3,4,6 (01235) (01358)b IImin9
1,2,3,4,7 (01234) (01356)
1,2,3,5,6 (01245) (02479) I pent. Or VImin pent.
1,2,3,5,7 (01235) (01358)a IMaj9
1,2,3,6,7 (01234) (02357)a
1,2,4,5,6 (01245) (02479) IV pent. or IImin pent.
1,2,4,5,7 (01245) (01368)a
1,2,4,6,7 (01235) (02358)a
1,2,5,6,7 (01234) (02357)b
1,3,4,5,6 (01235) (01358)a IVMaj9
1,3,4,5,7 (01245) (01378)a
1,3,4,6,7 (01245) (02378)a
1,3,5,6,7 (01235) (01358)b VImin9
1,4,5,6,7 (01234) (01357)b
2,3,4,5,6 (01234) (02357)a
2,3,4,5,7 (01235) (02358)b
2,3,4,6,7 (01245) (01368)b IImin6 pent.
2,3,5,6,7 (01245) (02479) V pent or IIImin pent.
2,4,5,6,7 (01235) (02469) V9

48
3,4,5,6,7 (01234) (01357)a
6-note
1,2,3,4,5,6 (012345) (024579) I & IImin triads
1,2,3,4,5,7 (012345) (013568)a VIIdim and I triads
1,2,3,4,6,7 (012345) (013568)b VImin and VIIdim triads
1,2,3,5,6,7 (012345) (024579) V and VImin triads
1,2,4,5,6,7 (012345) (023579)b IV and V triads
1,3,4,5,6,7 (012345) (013578) IIImin and IV triads
2,3,4,5,6,7 (012345) (023579)a IImin and IIImin triads

Table A.3. Subsets of the harmonic minor scale
Harmonic Minor Scale Degree MOD7 MOD12 Roman Numeral Chord Symbols
3-note
1,2,3 (012) (013)b
1,2,4 (013)a (025)a
1,2,5 (014) (027) Vsus4
1,2,6 (013)b (026)b
1,2,7 (012) (013)a
1,3,4 (013)b (025)b
1,3,5 (024) (037)a Imin
1,3,6 (024) (037)b bVI
1,3,7 (013)b (014)

49
1,4,5 (014) (027) Isus4
1,4,6 (024) (037)a IVmin
1,4,7 (014) (016)a
1,5,6 (013)a (015)a
1,5,7 (013)b (015)b
1,6,7 (012) (014)b
2,3,4 (012) (013)a
2,3,5 (013)a (015)a
2,3,6 (014) (016)b
2,3,7 (013)b (014)b
2,4,5 (013)b (025)b
2,4,6 (024) (036) IIdim
2,4,7 (024) (036) VIIdim
2,5,6 (014) (016)b
2,5,7 (024) (037)b V
2,6,7 (013)a (036) #Vdim
3,4,5 (012) (024)
3,4,6 (013)a (025)a
3,4,7 (014) (026)b
3,5,6 (013)b (015)b
3,5,7 (024) (048) bIIIaug
3,6,7 (014)b (037)a bVImin

50
4,5,6 (012) (013)b
4,5,7 (013)a (026)a
4,6,7 (013)b (036) IVdim
5,6,7 (012) (014)a
4-note
1,2,3,4 (0123) (0235)
1,2,3,5 (0124)a (0237)a Imin(add2)
1,2,3,6 (0124)b (0137)b bVI(add#4)
1,2,3,7 (0123) (0134)
1,2,4,5 (0134) (0257) V7sus4
1,2,4,6 (0135) (0258)a IImin7(b5) or IVmin6
1,2,4,7 (0124)a (0136)a
1,2,5,6 (0134) (0157)a bVIMaj7(b5)
1,2,5,7 (0124)b (0237)b V(add4)
1,2,6,7 (0123) (0236)b
1,3,4,5 (0124)b (0247)b Imin(add4)
1,3,4,6 (0135) (0358) IVmin7
1,3,4,7 (0123) (0146)a
1,3,5,6 (0135) (0158) bVIMaj7
1,3,5,7 (0135) (0148)a Imin(Maj7)
1,3,6,7 (0124)a (0347)
1,4,5,6 (0124)a (0237)a IVmin(add2)

51
1,4,5,7 (0134) (0157)b
1,4,6,7 (0124)b (0147)b IVmin(add#4)
1,5,6,7 (0123) (0145)
2,3,4,5 (0123) (0135)a
2,3,4,6 (0124)a (0136)a IIdim(addb2)
2,3,4,7 (0124)b (0236)b
2,3,5,6 (0134) (0156)
2,3,5,7 (0135) (0148)b bIIIMaj7(#5)
2,3,6,7 (0134) (0147)b bVImin(add#4)
2,4,5,6 (0124)b (0136)b IIdim(add4)
2,4,5,7 (0135) (0258)b V7
2,4,6,7 (0135) (0369) VIIdim7
2,5,6,7 (0124)a (0147)a bVIdim(Maj7)
3,4,5,6 (0123) (0135)b
3,4,5,7 (0124)a (0248)a bIIIaug(add2)
3,4,6,7 (0134) (0258)a IVmin7(b5)
3,5,6,7 (0124)b (0148) bVImin(Maj7)
4,5,6,7 (0123) (0236)a IVdim(add2)
5-note
1,2,3,4,5 (01234) (02357)a
1,2,3,4,6 (01235) (02358)a
1,2,3,4,7 (01234) (01346)a

52
1,2,3,5,6 (01245) (01568)b
1,2,3,5,7 (01235) (01348) Imin9(Maj7)
1,2,3,6,7 (01234) (01347)b
1,2,4,5,6 (01245) (01368)b IVmin6 pent.
1,2,4,5,7 (01245) (01368)a
1,2,4,6,7 (01235) (01369)a
1,2,5,6,7 (01234) (01457)a
1,3,4,5,6 (01235) (01358)b IVmin9
1,3,4,5,7 (01245) (01468)a
1,3,4,6,7 (01245) (01469)a
1,3,5,6,7 (01235) (01458)a
1,4,5,6,7 (01234) (01457)b
2,3,4,5,6 (01234) (01356)
2,3,4,5,7 (01235) (02458)b
2,3,4,6,7 (01245) (01369)a
2,3,5,6,7 (01245) (01478)
2,4,5,6,7 (01235) (01469)b V7(b9)
3,4,5,6,7 (01234) (02458)a
6-note
1,2,3,4,5,6 (012345) (013568)b Imin & IIdim triads
1,2,3,4,5,7 (012345) (013468)a VIIdim and Imin triads
1,2,3,4,6,7 (012345) (013469)a bVI and VIIdim triads

53
1,2,3,5,6,7 (012345) (013478)b V and bVI triads
1,2,4,5,6,7 (012345) (023679)a IVmin and V triads
1,3,4,5,6,7 (012345) (014579)b bIIIaug and IVmin triads
2,3,4,5,6,7 (012345) (013569)a IIdim and bIIIaug triads

Table A.4. Subsets of the melodic minor scale
Melodic Minor Scale Degree MOD7 MOD12 Roman Numeral Chord Symbols
3-note
1,2,3 (012) (013)b
1,2,4 (013)a (025)a
1,2,5 (014) (027) Vsus4
1,2,6 (013)b (025)b
1,2,7 (012) (013)a
1,3,4 (013)b (025)b
1,3,5 (024) (037)a Imin
1,3,6 (024) (036) VIdim
1,3,7 (013)b (014)
1,4,5 (014) (027) Isus4
1,4,6 (024) (037)b IV
1,4,7 (014) (016)a
1,5,6 (013)a (025)a
1,5,7 (013)b (015)b

54
1,6,7 (012) (013)b
2,3,4 (012) (013)a
2,3,5 (013)a (015)a
2,3,6 (014) (016)b
2,3,7 (013)b (014)b
2,4,5 (013)b (025)b
2,4,6 (024) (037)a IImin
2,4,7 (024) (036) VIIdim
2,5,6 (014) (027) IIsus4
2,5,7 (024) (037)b V
2,6,7 (013)a (025)a
3,4,5 (012) (024)
3,4,6 (013)a (026)a
3,4,7 (014) (026)b
3,5,6 (013)b (026)b
3,5,7 (024) (048) bIIIaug
3,6,7 (014)b (026)a
4,5,6 (012) (024)
4,5,7 (013)a (026)a
4,6,7 (013)b (026)b
5,6,7 (012) (024)

55
4-note
1,2,3,4 (0123) (0235)
1,2,3,5 (0124)a (0237)a Imin(add2)
1,2,3,6 (0124)b (0136)b VIdim(add4)
1,2,3,7 (0123) (0134)
1,2,4,5 (0134) (0257) V7sus4
1,2,4,6 (0135) (0358) IImin7 or IV6
1,2,4,7 (0124)a (0136)a
1,2,5,6 (0134) (0257) II7sus4
1,2,5,7 (0124)b (0237)b V(add4)
1,2,6,7 (0123) (0235)
1,3,4,5 (0124)b (0247)b Imin(add4)
1,3,4,6 (0135) (0258)b IV7
1,3,4,7 (0123) (0146)a
1,3,5,6 (0135) (0258)a Imin6 or VImin7(b5)
1,3,5,7 (0135) (0148)a Imin(Maj7)
1,3,6,7 (0124)a (0236)a VIdim(add2)
1,4,5,6 (0124)a (0247)a IV(add2)
1,4,5,7 (0134) (0157)b
1,4,6,7 (0124)b (0137)b IV(add#4)
1,5,6,7 (0123) (0135)b
2,3,4,5 (0123) (0135)a

56
2,3,4,6 (0124)a (0137)a IImin(addb2)
2,3,4,7 (0124)b (0236)b
2,3,5,6 (0134) (0157)a bIIIMaj7(b5)
2,3,5,7 (0135) (0148)b bIIIMaj7(#5)
2,3,6,7 (0134) (0146)b
2,4,5,6 (0124)b (0247)b IImin(add4)
2,4,5,7 (0135) (0258)b V7
2,4,6,7 (0135) (0258)a VIImin7(b5)
2,5,6,7 (0124)a (0247)a V(add2)
3,4,5,6 (0123) (0246)
3,4,5,7 (0124)a (0248)a bIIIaug(add2)
3,4,6,7 (0134) (0268) IV7b5
3,5,6,7 (0124)b (0248)b bIIIaug(add#4)
4,5,6,7 (0123) (0246)
5-note
1,2,3,4,5 (01234) (02357)a
1,2,3,4,6 (01235) (02358)b
1,2,3,4,7 (01234) (01346)a
1,2,3,5,6 (01245) (01368)b Imin6 pent.
1,2,3,5,7 (01235) (01348) Imin9(Maj7)
1,2,3,6,7 (01234) (01346)b
1,2,4,5,6 (01245) (02479) IV pent. or IImin pent.

57
1,2,4,5,7 (01245) (01368)a
1,2,4,6,7 (01235) (02358)a
1,2,5,6,7 (01234) (02357)b
1,3,4,5,6 (01235) (02469) IV9
1,3,4,5,7 (01245) (01468)a
1,3,4,6,7 (01245) (02368)a
1,3,5,6,7 (01235) (02458)a VImin9(b5)
1,4,5,6,7 (01234) (01357)b
2,3,4,5,6 (01234) (01357)a
2,3,4,5,7 (01235) (02458)b
2,3,4,6,7 (01245) (02368)b
2,3,5,6,7 (01245) (01468)b
2,4,5,6,7 (01235) (02469) V9
3,4,5,6,7 (01234) (02468)
6-note
1,2,3,4,5,6 (012345) (023579)a Imin & IImin triads
1,2,3,4,5,7 (012345) (013468)a VIIdim and Imin triads
1,2,3,4,6,7 (012345) (023568) VIdim and VIIdim triads
1,2,3,5,6,7 (012345) (013468)b V and VIdim triads
1,2,4,5,6,7 (012345) (023579)b IV and V triads
1,3,4,5,6,7 (012345) (013579)b bIIIaug and IV triads
2,3,4,5,6,7 (012345) (013579)a IImin and bIIIaug triads

58
Table A.5. Subsets of the harmonic major scale
Harmonic Major Scale Degree MOD7 MOD12 Roman Numeral Chord Symbols
3-note
1,2,3 (012) (024)
1,2,4 (013)a (025)a
1,2,5 (014) (027) Vsus4
1,2,6 (013)b (026)b
1,2,7 (012) (013)a
1,3,4 (013)b (015)
1,3,5 (024) (037)b I
1,3,6 (024) (048) Iaug/IIIaug/VIbaug
1,3,7 (013)b (015)
1,4,5 (014) (027) Isus4
1,4,6 (024) (037)a IVmin
1,4,7 (014) (016)a
1,5,6 (013)a (015)a
1,5,7 (013)b (015)b
1,6,7 (012) (014)b
2,3,4 (012) (013)b
2,3,5 (013)a (025)a
2,3,6 (014) (026)a
2,3,7 (013)b (025)b
2,4,5 (013)b (025)b

59
2,4,6 (024) (036) IIdim
2,4,7 (024) (036) VIIdim
2,5,6 (014) (016)b
2,5,7 (024) (037)b V
2,6,7 (013)a (036) #Vdim
3,4,5 (012) (013)a
3,4,6 (013)a (014)a
3,4,7 (014) (016)b
3,5,6 (013)b (014)b
3,5,7 (024) (037)a IIImin
3,6,7 (014)b (037)b III
4,5,6 (012) (013)b
4,5,7 (013)a (026)a
4,6,7 (013)b (036) IVdim
5,6,7 (012) (014)a
4-note
1,2,3,4 (0123) (0135)b
1,2,3,5 (0124)a (0247)a I(add2)
1,2,3,6 (0124)b (0248) III7(#5)
1,2,3,7 (0123) (0135)a
1,2,4,5 (0134) (0257) V7sus4
1,2,4,6 (0135) (0258)a IImin7(b5) or IVmin6

60
1,2,4,7 (0124)a (0136)a VIIdim(addb2)
1,2,5,6 (0134) (0157)a bVIMaj7(b5)
1,2,5,7 (0124)b (0237)b V(add4)
1,2,6,7 (0123) (0236)b
1,3,4,5 (0124)b (0237)b I(add4)
1,3,4,6 (0135) (0148)a IVmin(Maj7)
1,3,4,7 (0123) (0156)
1,3,5,6 (0135) (0148)b bVIMaj7(#5)
1,3,5,7 (0135) (0158) IMaj7
1,3,6,7 (0124)a (0148)b Imaj7(#5)
1,4,5,6 (0124)a (0237)a IVmin(add2)
1,4,5,7 (0134) (0157)b
1,4,6,7 (0124)b (0147)b IVmin(add#4)
1,5,6,7 (0123) (0145)
2,3,4,5 (0123) (0235)a
2,3,4,6 (0124)a (0236)a IIdim(add2)
2,3,4,7 (0124)b (0136)b
2,3,5,6 (0134) (0146)b
2,3,5,7 (0135) (0358) IIIm7
2,3,6,7 (0134) (0258)b III7
2,4,5,6 (0124)b (0136)b IIdim(add4)
2,4,5,7 (0135) (0258)b V7

61
2,4,6,7 (0135) (0369) VIIdim7
2,5,6,7 (0124)a (0147)a bVIdim(Maj7)
3,4,5,6 (0123) (0134)
3,4,5,7 (0124)a (0137)a bIIImin(addb2)
3,4,6,7 (0134) (0147)a IVdim(Maj7)
3,5,6,7 (0124)b (0347) III(add#2)
4,5,6,7 (0123) (0236)a IVdim(add2)
5-note
1,2,3,4,5 (01234) (02357)b
1,2,3,4,6 (01235) (01358)b
1,2,3,4,7 (01234) (01356)
1,2,3,5,6 (01245) (01468)b
1,2,3,5,7 (01235) (01358)a IMaj9
1,2,3,6,7 (01234) (02458)b
1,2,4,5,6 (01245) (01368)b IVmin6 pent.
1,2,4,5,7 (01245) (01368)a
1,2,4,6,7 (01235) (01369)a
1,2,5,6,7 (01234) (01457)a
1,3,4,5,6 (01235) (01348) IVmin9(Maj7)
1,3,4,5,7 (01245) (01378)a
1,3,4,6,7 (01245) (01478)
1,3,5,6,7 (01235) (01458)b

62
1,4,5,6,7 (01234) (01457)b
2,3,4,5,6 (01234) (01346)b
2,3,4,5,7 (01235) (02358)b
2,3,4,6,7 (01245) (01369)a
2,3,5,6,7 (01245) (01469)b
2,4,5,6,7 (01235) (02469) V7(b9)
3,4,5,6,7 (01234) (01347)a
6-note
1,2,3,4,5,6 (012345) (013468)b I & IIdim triads
1,2,3,4,5,7 (012345) (013568)a VIIdim and I triads
1,2,3,4,6,7 (012345) (013569)b bVIaug and VIIdim triads
1,2,3,5,6,7 (012345) (014579)a V and bVIaug triads
1,2,4,5,6,7 (012345) (023679)a IVmin and V triads
1,3,4,5,6,7 (012345) (013478)a IIImin and IVmin triads
2,3,4,5,6,7 (012345) (013469)b IIdim and IIImin triads

Table A.6. Subsets of the augmented/hexatonic scale
Augmented/Hexatonic Scale Degree MOD6 MOD12 Roman Numeral Chord Symbols
3-note
1,2,3 (012) (014)b
1,2,4 (013)a (037)a Imin
1,2,5 (013)b (037)b bVI

63
1,2,6 (012) (014)a
1,3,4 (013)b (037)b I
1,3,5 (024) (048) Iaug/IIIaug/bVIaug
1,3,6 (013)a (015)a
1,4,5 (013)a (015)a
1,4,6 (013)b (015)b
1,5,6 (012) (014)b
2,3,4 (012) (014)a
2,3,5 (013)a (015)a
2,3,6 (013)b (015)b
2,4,5 (013)a (015)b
2,4,6 (024) (048) bIIIaug/Vaug/VIIaug
2,5,6 (013)a (037)a bVIm
3,4,5 (012) (014)b
3,4,6 (013)a (037)a IIImin
3,5,6 (013)b (037)b III
4,5,6 (012) (014)a
4-note
1,2,3,4 (0123) (0347)
1,2,3,5 (0124) (0148)b IIIMaj7(#5)
1,2,3,6 (0123) (0145)
1,2,4,5 (0134) (0158) bVIMaj7

64
1,2,4,6 (0124) (0148)a Imin(Maj7)
1,2,5,6 (0123) (0347)
1,3,4,5 (0124) (0148)b bVIMaj7(#5)
1,3,4,6, (0134) (0158) IMaj7
1,3,5,6 (0124) (0148)b IMaj7(#5)
1,4,5,6 (0123) (0145)
2,3,4,5 (0123) (0145)
2,3,4,6 (0124) (0148)a IIImin(Maj7)
2,3,5,6 (0134) (0158) IIIMaj7
2,4,5,6 (0124) (0148)a bVImin(Maj7)
3,4,5,6 (0123) (0347)
5-note
1,2,3,4,5 (01234) (01458)b
1,2,3,4,6 (01234) (01458)a
1,2,3,5,6 (01234) (01458)b
1,2,4,5,6 (01234) (01458)a
1,3,4,5,6 (01234) (01458)b
2,3,4,5,6 (01234) (01458)a

65
Table A.7. Subsets of the octatonic/HW diminished scale
Octatonic/HW Scale Degree MOD8 MOD12 Roman Numeral Chord Symbol
3-note
1,2,3 (012) (013)a
1,2,4 (013)a (014)a
1,2,5 (014)a (016)a
1,2,6 (014)b (016)b
1,2,7 (013)b (014)b
1,2,8 (012) (013)b
1,3,4 (013)b (014)b
1,3,5 (024) (036) Idim
1,3,6 (025) (037)a Imin
1,3,7 (024) (036) VIdim
1,3,8 (013)a (025)a
1,4,5 (014)b (026)b I(b5)
1,4,6 (025)b (037)b I
1,4,7 (025) (037)a VImin
1,4,8 (015)a (026)a
1,5,6 (014)a (016)a
1,5,7 (024) (036) #IVdim
1,5,8 (014)b (026)b #IV(b5)
1,6,7 (013)a (025)a
1,6,8 (013)b (025)b

66
1,7,8 (012) (013)a
2,3,4 (012) (013)b
2,3,5 (013)a (025)a
2,3,6 (014)a (026)a
2,3,7 (014)b (026)b VI(b5)
2,3,8 (013)b (025)b
2,4,5 (013)b (025)b
2,4,6 (024) (036) #Idim
2,4,7 (025) (037)b VI
2,4,8 (024) (036) bVIIdim
2,5,6 (014)b (016)b
2,5,7 (025)b (037)a #IVmin
2,5,8 (025) (037)b #IV
2,6,7 (014)a (026)a
2,6,8 (024) (036) Vdim
2,7,8 (013)a (014)a
3,4,5 (012) (013)a
3,4,6 (013)a (014)a
3,4,7 (014)a (016)a
3,4,8 (014)b (016)b
3,5,6 (013)b (014)b
3,5,7 (024) (036) #IIdim

67
3,5,8 (025) (037)a bIIImin
3,6,7 (014)b (026)b #II(b5)
3,6,8 (025) (037)b bIII
3,7,8 (014)a (016)a
4,5,6 (012) (013)b
4,5,7 (013)a (025)a
4,5,8 (014)a (026)a
4,6,7 (013)b (025)b
4,6,8 (024) (036) IIIdim
4,7,8 (014)b (016)b
5,6,7 (012) (013)a
5,6,8 (013)a (014)a
5,7,8 (013)b (014)b
6,7,8 (012) (013)b
4-note
1,2,3,4 (0123) (0134)
1,2,3,5 (0124)a (0136)a Idim(addb2)
1,2,3,6 (0125) (0137)a Imin(addb2)
1,2,3,7 (0124)b (0236)b
1,2,3,8 (0123) (0235)
1,2,4,5 (0134) (0146)a
1,2,4,6 (0135)a (0147)a #Idim(Maj7)

68
1,2,4,7 (0124)a (0347) VI(add#9)
1,2,4,8 (0124)a (0236)a
1,2,5,6 (0145) (0167)
1,2,5,7 (0135)b (0147)b bVmin(add#4)
1,2,5,8 (0125)b (0137)b bV(add#4)
1,2,6,7 (0134)b (0146)b
1,2,6,8 (0124)b (0136)b Vdim(add4)
1,2,7,8 (0123) (0134)
1,3,4,5 (0124)b (0236)b
1,3,4,6 (0235) (0347) I(add#9)
1,3,4,7 (0135)b (0147)b VImin(add#4)
1,3,4,8 (0134) (0146)b
1,3,5,6 (0135)b (0147)b Imin(add#4)
1,3,5,7 (0246) (0369) Idim7 or bIIIdim7 or #IVdim7 or VIdim7
1,3,5,8 (0135)a (0258)a Imin7(b5) or bIIImin6
1,3,6,7 (0135)a (0258)a VImin7(b5) or Imin6
1,3,6,8 (0235) (0358) Im7 or bIII6
1,3,7,8 (0124)a (0136)a VIdim(addb2)
1,4,5,6 (0125) (0137)b I(add#4)
1,4,5,7 (0135)a (0258)a #IVmin7(b5) or VImin6
1,4,5,8 (0145) (0268) I7(b5) or #IV7(b5)
1,4,6,7 (0235) (0358) VIm7 or I6

69
1,4,6,8 (0135)a (0258)b I7
1,4,7,8 (0125) (0137)a VImin(addb2)
1,5,6,7 (0124)a (0136)a #IVdim(addb2)
1,5,6,8 (0134) (0146)a
1,5,7,8 (0124)b (0236)b
1,6,7,8 (0123) (0235)
2,3,4,5 (0123) (0235)
2,3,4,6 (0124)a (0236)a #Idim(add2)
2,3,4,7 (0124)b (0137)b VI(add#4)
2,3,4,8 (0124)b (0136)b
2,3,5,6 (0134) (0146)b
2,3,5,7 (0135)a (0258)a bIIImin7(b5) or Gbmin6
2,3,5,8 (0235) (0358) bIIIm7 or bV6
2,3,6,7 (0145) (0268) VI7(b5) or III7(b5)
2,3,6,8 (0135)a (0258)b bIII7
2,3,7,8 (0134) (0146)a
2,4,5,6 (0124)b (0136)b #Idim(add4)
2,4,5,7 (0235) (0358) #IVm7 or VI6
2,4,5,8 (0135)a (0258)b #IV7
2,4,6,7 (0135)a (0258)b VI7
2,4,6,8 (0246) (0369) #Idim7 or IIIdim7 or Vdim7 or bVII dim7
2,4,7,8 (0135)a (0147)a bVIIdim(Maj7)

70
2,5,6,7 (0125) (0137)a #IVmin(addb2)
2,5,6,8 (0135)a (0147)a Vdim(Maj7)
2,5,7,8 (0235) (0347)
2,6,7,8 (0124) (0236)a Vdim(add2)
3,4,5,6 (0123) (0134)
3,4,5,7 (0124)a (0136)a bIIIdim(addb2)
3,4,5,8 (0125) (0137)a bIIImin(addb2)
3,4,6,7 (0134) (0146)a
3,4,6,8 (0135)a (0147)a IIIdim(Maj7)
3,4,7,8 (0145) (0167)
3,5,6,7 (0124)b (0236)b
3,5,6,8 (0235) (0347)
3,5,7,8 (0135)b (0147)b bIIImin(add#4)
3,6,7,8 (0125) (0137)b bIII(add#4)
4,5,6,7 (0123) (0235)
4,5,6,8 (0124)a (0236)a IIIdim(add2)
4,5,7,8 (0123) (0146)b
4,6,7,8 (0124)b (0136)b IIIdim(add4)
5,6,7,8 (0123) (0134)
5-note
1,2,3,4,5 (01234) (01346)a
1,2,3,4,6 (01235)a (01347)a

71
1,2,3,4,7 (01235)b (01347)b
1,2,3,4,8 (01234) (01346)b
1,2,3,5,6 (01245)a (01367)a
1,2,3,5,7 (01246) (01369)a
1,2,3,5,8 (01235)a (02358)a
1,2,3,6,7 (01245)b (02368)b
1,2,3,6,8 (01235)b (02358)b
1,2,3,7,8 (01234) (01346)a
1,2,4,5,6 (01245)b (01367)b
1,2,4,5,7 (01346) (01469)a
1,2,4,5,8 (01245)a (02368)a I7(b5,b9)
1,2,4,6,7 (01346) (01469)b I7(#9)
1,2,4,6,8 (01246) (01369)b I7(b9)
1,2,4,7,8 (01235)a (01347)a
1,2,5,6,7 (01245)a (01367)a
1,2,5,6,8 (01245)b (01367)b
1,2,5,7,8 (01235)b (01347)b
1,2,6,7,8 (01234) (01346)b
1,3,4,5,6 (01235)b (01347)b
1,3,4,5,7 (01246) (01369)a
1,3,4,5,8 (01245)b (02368)b
1,3,4,6,7 (01346) (01469)a

72
1,3,4,6,8 (01346) (01469)b I7(#9)
1,3,4,7,8 (01245)a (01367)a
1,3,5,6,7 (01246) (01369)a
1,3,5,6,8 (01346) (01469)a
1,3,5,7,8 (01246) (01369)a
1,3,6,7,8 (01235)a (02358)a
1,4,5,6,7 (01235)a (02358)a
1,4,5,6,8 (01245)a (02368)a #IV7(b5,b9)
1,4,5,7,8 (01245)b (02368)b
1,4,6,7,8 (01235)b (02358)b
1,5,6,7,8 (01234) (01346)a
2,3,4,5,6 (01234) (01346)b
2,3,4,5,7 (01235)a (02358)a
2,3,4,5,8 (01235)b (02358)b
2,3,4,6,7, (01245)a (02368)a bIII7(b5,b9)
2,3,4,6,8 (01246) (01369)b bIII7(b9)
2,3,4,7,8 (01245)b (01367)b
2,3,5,6,7 (01245)b (02368)b
2,3,5,6,8 (01346) (01469)b bIII7(#9)
2,3,5,7,8 (01346) (01469)a
2,3,6,7,8 (01245)a (02368)a VI7(b5,b9)
2,4,5,6,7 (01235)b (02358)b

73
2,4,5,6,8 (01246) (01369)b #IV7(b9)
2,4,5,7,8 (01346) (01469)b #IV7(#9)
2,4,6,7,8 (01246) (01369)b VI7(b9)
2,5,6,7,8 (01235)a (01347)a
3,4,5,6,7 (01234) (01346)a
3,4,5,6,8 (01235)a (01347)a
3,4,5,7,8 (01245)a (01367)a
3,4,6,7,8 (01245)b (01367)b
3,5,6,7,8 (01235)b (01347)b
4,5,6,7,8 (01234) (01346)b
6-note
1,2,3,4,5,6 (012345) (013467) Idim and #Idim triads
1,2,3,4,5,7 (012346) (013469)a VI and Idim triads
1,2,3,4,5,8 (012345) (023568) bVIIdim and Idim triads
1,2,3,4,6,7 (012356) (013479) VI and Imin triads
1,2,3,4,6,8 (012346) (013469)b bVIIdim and Imin triads
1,2,3,4,7,8 (012345) (013467) VIdim and #VIdim triads
1,2,3,5,6,7 (012456) (013679)a Imin and #IVmin triads
1,2,3,5,6,8 (012356) (014679) Imin and #IV triads
1,2,3,5,7,8 (012346) (013469)a #IV and VIdim triads
1,2,3,6,7,8 (012345) (023568) Vdim and VIdim triads
1,2,4,5,6,7 (012356) (014679) #IVmin and I triads

74
1,2,4,5,6,8 (012456) (013679)b I and #IV triads
1,2,4,5,7,8 (012356) (013479) #IV and VImin triads
1,2,4,6,7,8 (012346) (013469)b Vdim and VImin triads
1,2,5,6,7,8 (012345) (013467) #IVdim and Vdim triads
1,3,4,5,6,7 (012346) (013469)a I and #IIdim triads
1,3,4,5,6,8 (012356) (013479) I and #IImin triads
1,3,4,5,7,8 (012456) (013679)a VImin and bIIImin triads
1,3,4,6,7,8 (012356) (014679) VImin and bIII triads
1,3,5,6,7,8 (012346) (013469)a bIII and #IVdim triads
1,4,5,6,7,8 (012345) (023568) IIIdim and #IVdim triads
2,3,4,5,6,7 (012345) (023568) bIIdim and bIIIdim triads
2,3,4,5,6,8 (012346) (013469)b #Idim and bIIImin triads
2,3,4,5,7,8 (012356) (014679) bIIImin and VI triads
2,3,4,6,7,8 (012456) (013679)b bIII and VI triads
2,3,5,6,7,8 (012356) (013479) bIII and #IVmin triads
2,4,5,6,7,8 (012346) (013469)b IIIdim and #IVmin triads
3,4,5,6,7,8 (012345) (013467) #IIdim and IIIdim triads

Table A.8. Subsets of the whole tone scale
Whole Tone Scale Degree MOD6 MOD12 Roman Numeral Chord Symbol
3-note
1,2,3 (012) (024)

75
1,2,4 (013)a (026)a
1,2,5 (013)b (026)b
1,2,6 (012) (024)
1,3,4 (013)b (026)b
1,3,5 (024) (048) Iaug
1,3,6 (013)a (026)a
1,4,5 (013)a (026)a
1,4,6 (013)b (026)b
1,5,6 (012) (024)
2,3,4 (012) (024)
2,3,5 (013)a (026)a
2,3,6 (013)b (026)b
2,4,5 (013)a (026)a
2,4,6 (024) (048) IIaug
2,5,6 (013)a (026)a
3,4,5 (012) (024)
3,4,6 (013)a (026)a
3,5,6 (013)b (026)b
4,5,6 (012) (024)
4-note
1,2,3,4 (0123) (0246)
1,2,3,5 (0124) (0248) III7(#5)

76
1,2,3,6 (0123) (0246)
1,2,4,5, (0134) (0268) II7(b5) or bVI7(b5)
1,2,4,6 (0124) (0248) II7(#5)
1,2,5,6 (0123) (0246)
1,3,4,5 (0124) (0248) bVI7(#5)
1,3,4,6, (0134) (0268) I7(b5) or #IV7(b5)
1,3,5,6 (0124) (0248) I7(#5)
1,4,5,6 (0123) (0246)
2,3,4,5 (0123) (0246)
2,3,4,6 (0124) (0248) bV7(#5)
2,3,5,6 (0134) (0268) III7(b5) or bVII7(b5)
2,4,5,6 (0124) (0248) bVII7(#5)
3,4,5,6 (0123) (0246)
5-note
1,2,3,4,5 (01234) (02468) II9(b5) or III9(#5)
1,2,3,4,6 (01234) (02468) I9(b5) II9(#5)
1,2,3,5,6 (01234) (02468) bVII9(b5) or I9(#5)
1,2,4,5,6 (01234) (02468) #V9(b5) or bVII9(#5)
1,3,4,5,6 (01234) (02468) #IV9(b5) or bVI9(#5)
2,3,4,5,6 (01234) (02468) III9(b5) or #IV9(#5)

77
Table A.9. Examples from the literature of improvisation over the tonic chords
Roman Numeral Chord Symbols Scale Degrees Location
Entire collection 1,2,3,4,5,6,7 Coltrane, 1
st
chorus, m. 3
I 1,3,5 Coltrane, 1
st
chorus, m.1, beats 1-2
IIImin 3,5,7 Brecker, 3
rd
chorus, m.13, beats 3-4, 1:04
V 2,5,7 Garrett, 6
th
VImin 1,3,6 Frahm, 4
th
Isus4 1,4,5 Diorio, solo 1, m.7
IIsus4 2,5,6 Diorio, solo 1, m.9
IIIsus4 3,6,7 Garrett, 3
rd
chorus, m.11
Vsus4 1,2,5 Coltrane, 1
st
chorus, m.15
VIsus4 2,3,6 Diorio, solo 2, m.5, beats 1-2
I(add2) 1,2,3,5 Coltrane, 1
st
V(add2) 2,5,6,7 Coltrane, 2
nd
I(add4) 1,3,4,5 Brecker, 4
th
IIImin(add4) 3,5,6,7 Coltrane, 7
th
chorus, m.11
nd
VImin(add4) 1,2,3,6 Diorio, solo 11, m.7, beats 3-4
IMaj7 1,3,5,7 Coltrane, 3
rd
IImin7 1,2,4,6 Frahm, 3
rd
IIImin7 2,3,5,7 Coltrane, 4
th
VImin7 1,3,5,6 Coltrane, 6
th
VIImin7(b5) 2,4,6,7 Brecker, 5
th

78
Roman Numeral Chord Symbols Scale Degrees Location
II7sus4 1,2,5,6 Diorio, solo 9, m.1, beats 1-2
III7sus4 2,3,6,7 Diorio, solo 14, m.15, beats 3-4
V7sus4 1,2,4,5 Diorio, solo 4, m.3, beats 3-4
VI7sus4 2,3,5,6 Diorio, solo 9, m.13, beats 1-2
I major pentatonic 1,2,3,5,6 Garrett, 4
th
chorus, m.13
IV major pentatonic 1,2,4,5,6 Garrett, 12
th
chorus, m.15
V major pentatonic 2,3,5,6,7 Coltrane, 3
rd
chorus, m.7
IMaj9 1,2,3,5,7 Coltrane, 10
th
chorus, m.13

Table A.10. Examples from the literature of improvisation over the dominant and IIm7
chords
Roman Numeral Chord
Symbols
Scale
Degrees
Location
Entire collection 1,2,3,4,5,6,7 Coltrane, 6th chorus, m.8
I 1,3,5 Coltrane, 14
th
chorus, m.4 beats 3-4
IImin 2,4,6 Coltrane, 4
th
IIImin 3,5,7 Garrett, 6
th
IV 1,4,6 Garrett, 11
th
chorus, m.8
V 2,5,7 Frahm, 1
st
VImin 1,3,6 Coltrane, 8
th
VIIdim 2,4,7 Frahm, 4
th

79
Roman Numeral Chord
Symbols
Scale
Degrees
Location
Isus4 1,4,5 Diorio, solo 2, m.16
IIsus4 2,5,6 Diorio, solo 1, m.4, beats 3-4
IIIsus4 3,6,7 Garrett, 4
th
Vsus 1,2,5 Diorio, solo 4, m.1, beats 3-4
VIsus4 2,3,6 Diorio, solo 1, m.8, beats 1-2
I(add2) 1,2,3,5 Frahm, 3
rd
IImin(add2) 2,3,4,6 Coltrane, 1
st
IV(add2) 1,4,5,6 Coltrane, 8
th
st
VImin(add2) 1,3,6,7 Coltrane, 9
th
IIImin(add4) 3,5,6,7 Coltrane, 3
rd
V(add4) 1,2,5,7 Frahm, 1
st
chorus, m.8, 0:34
IMaj7 1,3,5,7 Coltrane, 3
rd
IImin7 1,2,4,6 Coltrane, 1
st
chorus, pick-up measure, beats
1-2
IVMaj7 1,3,4,6 Coltrane, 6
th
VImin7 1,3,5,6 Coltrane, 9
th
V7 2,4,5,7 Coltrane, 1
st
VIImin7b5 2,4,6,7 Coltrane, 1
st
II7sus4 1,2,5,6 Diorio, solo 9, m.4, beats 1-2
III7sus4 2,3,6,7 Coltrane, 2
nd
chorus, beats 3-4

80
Roman Numeral Chord
Symbols
Scale
Degrees
Location
V7sus4 1,2,4,5 Diorio, solo 11, m.4, beats 1-2
VI7sus4 2,3,5,6 Coltrane, 4
th
IV major pentatonic 1,2,4,5,6 Garrett, 9
th
chorus, m.8
V major pentatonic 2,3,5,6,7 Coltrane, 2
nd
chorus, m.8 beat 3 to m.9,
beat 1
IImin9 1,2,3,4,6 Coltrane, 3
rd
chorus, m.10
V and VImin 1,2,3,5,6,7 Frahm, 3
rd
chorus, m.14, 1:06

Table A.11. Examples from the literature of improvisation over the tonic chords using
alternate chord-scales
Roman Numeral
Chord Symbol
Scale
Degrees
Location Possible Chord-Scale Implications
Iaug 1,3,#5 Frahm, 1
st
chorus,
m.1, beats 1-2,
0:28
Implies Lydian augmented,
augmented/hexatonic, or harmonic
major
II 2,#4,6 Garrett, 8
th
chorus,
m.9, beats 2-4
Implies Lydian or Lydian augmented
IVdim 4,b6,7 Garrett, 13
th

chorus, m.3
Implies harmonic major or 3
rd
mode
harmonic minor
VIIsus4 3,#4,7 Diorio, solo 2,
m.15
Implies Lydian, Lydian augmented, or
6
th
mode harmonic minor

81
Roman Numeral
Chord Symbol
Scale
Degrees
II7 1,2,#4,6 Frahm, 6
th
chorus,
m.1, beats 1-2,
1:35
IIImaj7 #2,3,#5,7 Diorio, solo 13,
m.15, beats 3-4
Implies Lydian-augmented or
harmonic major
VIIdim7 2,4,b6,7 Frahm, 2
nd
chorus,
m.5, beats 1-2 0:45

VIIm7 2,#4,6,7 Diorio, solo 5,
m.3, beats 3-4
VII7sus4 3,#4,6,7 Diorio, solo 2, m.9 Implies Lydian, Lydian augmented, or
6
th
mode harmonic minor
No chord
symbol
2,3,#5 Garrett, 9
th
chorus,
m.7
Implies Lydian augmented, harmonic
major or 3
rd
mode harmonic minor
No chord
symbol
#2,3,7 Garrett, 8
th
chorus,
m.3
Implies 6
th
mode harmonic minor or
augmented/hexatonic scale
No chord
symbol
1,2,3,#5 Garrett, 9
th
chorus,
m.13, beats 1-2
Implies Lydian augmented, harmonic
major or 3
rd
mode harmonic minor
No chord
symbol
2,3,5,b6 Garrett, 2
nd
chorus,
m.13
Implies harmonic major

82
Table A.12. Examples from the literature of improvisation over the dominant and IIm7
chords using alternate chord-scales

Roman Numeral
Chord Symbol
Scale
Degrees
Entire HW
diminished
collection
#1,2,3,4,5,
b6,b7,7
Frahm, 5
th

chorus, m.14,
1:33

Vaug #2,5,7 Coltrane, 2
nd

chorus, m.4
Implies 5
th
mode harmonic minor,
Mixolydian b6, super locrian/altered,
whole tone, 3
rd
mode harmonic major, or
augmented/hexatonic V7 chord scales
#Vdim 2,#5,7 Frahm, 1
st

chorus, m.2,
beats 3-4, 0:29
Implies 5
th
mode harmonic minor, HW
diminished, 3
rd
mode harmonic major, or
5
th
mode harmonic major V7 chord-
scales
bVIm(add2) b3,b6,b7,7 Frahm, 2
nd

chorus, m.10,
0:49
Implies altered or 3
rd
mode harmonic
major V7 chord-scales
bVI(add2) 1,b3,b6,b7 Frahm, 3
rd

chorus, m.4,
beats 1-2, 0:58
Implies IIm7(b5) Locrian chord-scale

83
Roman Numeral
Chord Symbol
Scale
Degrees
bIIm7 b2,3,b6,7 Diorio, solo 16,
m.8, beats 3-4
Implies HW diminished V7 chord-scale
bVIdim(maj7) 2,5,b6,7 Frahm, 4
th

chorus, m.12,
beats 1-3, 1:18
Implies 5
th
mode harmonic minor, 5
th

mode harmonic major, or HW
diminished V7 chord-scales
bVImin(maj7) b3,5,b6,7 Frahm, 4
th

chorus, m.8,
beats 3-4, 1:15
Implies 5
th
mode harmonic minor, 3
rd

mode harmonic major, altered or
augmented/hexatonic V7 chord-scales
bVImaj7 1,b3,5,b6 Frahm, 6
th

chorus, m.4,
beats 1-2, 1:38
Implies 5
th
mode harmonic minor V7
chord-scale, or Locrian IIm7(b5) chord-
scale
VI7 #1,3,5,6 Frahm, 3
rd

chorus, m.2,
beats 3-4, 0:56
Implies HW diminished or 5
th
mode
harmonic major V7 chord-scales
VIImaj7#11 b3,4,b7,7 Frahm, 2
nd

chorus, m.8,
beats 3-4, 0:48
Implies altered V7 chord-scale
VII7#5 #2,5,6,7 Coltrane, 10
th

chorus, m.8,
beats 3-4
Implies whole-tone or Mixolydian b6
V7 chord-scales

84
Roman Numeral
Chord Symbol
Scale
Degrees
bIII7sus b2,b3,b6,b7 Diorio, solo 11,
m.8, beats 3-4
Implies altered V7 chord-scale
IV7sus4 1,b3,4,b7 Diorio, solo 11,
m.14, beats 3-4
Implies Locrian IIm7b5 chord-scale
bVIsus4 b2,b3,b6 Garrett, 12
th

chorus, m.5,
beats 3-4
Implies super Locrian/altered V7 chord-
scale
bIII major
pentatonic
1,b3,4,5,b7 Garrett, 8
th

chorus, m.12,
beats 1-3 with
8
th
note pick-up
Implies a Phrygian IIm7 chord-scale or a
Locrian IIm7b5 chord-scale
No chord
symbol
b3, 4, 5 Garrett, 7
th

chorus, m.12,
beats 3-4
Implies 5
th
mode harmonic minor,
whole-tone, super Locrian/altered,
Mixolydian b6, or 3
rd
mode harmonic
major V7 chord-scales
No chord
symbol
1,4,5,b6 Garrett, 9
th

chorus, beats 3-
47
Implies Mixolydian b6 or 5
th
mode
harmonic minor V7 chord-scale or
Phrygian IIm7 chord-scale or Locrian
IIm7b5 chord-scale

85
Roman Numeral
Chord Symbol
Scale
Degrees
No chord
symbol
4,5,b6,7 Coltrane, 1
st

chorus, m.4,
beats 3-4
Implies 5
th
mode harmonic minor, HW
diminished, altered, or 3
rd
mode
harmonic major V7 chord-scales

86

APPENDIX B. GLOSSARY
Augmented/hexatonic scale. Also known as the double augmented scale, this symmetrical 6-
note scale alternates three-semitone and one-semitone intervals.
Avoid notes. Notes from a chord-scale that are not chord tones and not considered available
extensions to the chord (e.g. in the C major chord-scale, the note F is considered an avoid note).
Be-bop scale. Generally, an 8-note scale that includes a passing chromatic note. Be-bop scales
are typically played in such a way that a chord tone is played on every downbeat.
Changes. In jazz jargon, synonymous with chord progression.
Chord-scale. A scale that is applied to a specific chord, the notes of which can form a basis for
melodic improvisation, composition and chord voicings for comping or arranging.
Chord substitution. For the purpose of this thesis, I use the term to refer to replacing a given
chord with another, related chord. This is different from re-harmonization, in which a new
progression is related to a given melody, and does not necessarily relate to the original chord
progression.
Comper. In jazz jargon, a chordal accompanist.
Harmonic major. A 7-note scale that includes the major 3
rd
of the major scale and the minor 6
th

of the harmonic minor scale. The harmonic major scale is similar to the major scale except for
the lowered 6
th
scale degree.
HW diminished/octatonic scale. A symmetrical 8-note scale that alternates one-semitone and
two-semitone intervals.
Lydian-augmented. The 4
th
mode/rotation of the melodic minor scale, which includes an
augmented 4
th
as in the Lydian mode and an augmented 5
th
as in an augmented triad. Similar to
the Lydian mode, except for the raised 5
th
scale degree.

87
Melodic minor. Also called jazz minor or ascending melodic minor, this scale is similar to a
major scale except for the lowered 3
rd
scale degree. For the purpose of this thesis, the melodic
minor scales pitch content does not depend on whether the melody ascends or descends.
MOD12. A method of assigning an integer from zero to eleven to each pitch-class in the
chromatic scale (C=0, C#/Db=1, etc.). Expressing a chord or subset in mod12 notation makes it
relatively easy for the reader to get a sense of the exact distances, in semitones, among its pitch
classes.
MOD7. A method of assigning an integer from zero to six to each scale-degree in a given 7-note
scale (scale degree 1=0, scale degree 2=1, etc.). Expressing a set in mod7 notation allows the
reader to see similarities between sets based on generic interval sizes, counted between scale
degrees, rather than exact semitonal distances captured in mod12 notation. Mod7 notation
captures the sense of a third spanning three scale degrees, whereas mod12 notation specifies a
3- or 4-semitone interval, a minor third or a major third. MOD6 and MOD8 are used for scales
with six and eight notes, respectively.
Mode/rotation. Maintaining the intervallic structure of a scale, while changing which of the
scale degrees functions as a tonic, or focal pitch-class (e.g. the 4
th
mode of C melodic minor
includes the same pitches as C melodic minor, but its tonic is F, the 4
th
note in the C melodic
minor scale).
Pitch class. Refers to a pitch and its transposition to any octave, regardless of enharmonic
spelling or register.
Set. A collection of pitch-classes.

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