Modal Theory

Understanding how the modes work is often difficult to do

because the modes have multiple functions. Complicating the
issue further is that the functions of the modes in traditional
(classical music) music theory sometimes differs from the
functions of the modes in Jazz music theory. As a guitarist (or
any instrumentalist) of today who seeks to fully understand
and use the modes for composing / songwriting, improvising,
soloing, etc., we need to understand all the functions of modes
to use them effectively.
Below is a list of all the possible functions the modes can serve:
~ In a major key, each standard mode is an extension of the
Major scale.
~ In a Natural Minor key, each standard mode is an extension of
the Natural Minor scale.
~ In a Harmonic Minor key, each Harmonic minor mode is an
extension of the Harmonic Minor scale.
~ In a Melodic Minor key, each Melodic Minor mode is an
extension of the Melodic Minor scale.
~ Any mode can be in its own key.
With all of these various functions the modes can take on, how
do you determine which function is in effect at any given time?
The answer is: Context. In some contexts a mode may be its
own key, in other contexts a mode may simply be an extension
of another scale or mode. In the sections below, Ill give you
example of this, showing you how to determine a mode's
current function.
Reference chart 1
Major and Natural minor modes (also known as the standard
modes):
Ionian mode = Major scale
Dorian mode = same as the Major scale starting on the 2nd
note.
Phrygian mode = same as the Major scale starting on the 3rd
note.
Lydian mode = same as the Major scale starting on the 4th note.
Mixolydian mode = same as the Major scale starting on the 5th
note.
Aeolian mode = same as the Major scale starting on the 6th note
= Natural Minor scale

Locrian mode = same as the Major scale starting on the 7th

note.
Using the key of C major as our starting point, the chart below
shows all the modal scales derived from the C Ionian scale.
Note: The Ionian mode and the Major scale are the same thing
and the two terms are often used
interchangeably. Also, the Aeolian mode and the Natural Minor
scale are the same thing and the two terms are often used
interchangeably. Notice that all the notes in these seven
scales are the same. The difference between the modes are
distinguished by which note each scale begins.
Reference chart 2
mode: notes of each mode (scale)
C Ionian
CDEFGABC
D Dorian
DEFGABCD
E Phrygian
EFGABCDE
F Lydian
FGABCDEF
G Mixolydian G A B C D E F G
A Aeolian
ABCDEFGA
B Locrian
BCDEFGAB
Reference chart 3
Harmonic minor modes:
Mode 1 = Harmonic minor scale
Mode 2 = same as the Harmonic
note
Mode 3 = same as the Harmonic
note
Mode 4 = same as the Harmonic
note
Mode 5 = same as the Harmonic
note
Mode 6 = same as the Harmonic
note
Mode 7 = same as the Harmonic
note

minor scale starting on the 2nd

minor scale starting on the 3rd
minor scale starting on the 4th
minor scale starting on the 5th
minor scale starting on the 6th
minor scale starting on the 7th

Reference chart 4
Melodic minor modes:
Mode 1 = Melodic minor scale
Mode 2 = same as the Melodic minor scale starting on the 2nd
note
Mode 3 = same as the Melodic minor scale starting on the 3rd
note

Mode
note
Mode
note
Mode
note
Mode
note

4 = same as the Melodic minor scale starting on the 4th

5 = same as the Melodic minor scale starting on the 5th
6 = same as the Melodic minor scale starting on the 6th
7 = same as the Melodic minor scale starting on the 7th

In the following examples you will see how to determine which

mode a piece of music is in. I highly recommend to play and
record the chord progressions given and then to improvise a solo
/ melody over the progression with the given scale / mode.
Examples 1, 2, 3 and 4 are all derived from chords in the key of
C major, but only 1 example is actually in the key of C major.
Reference chart 5
Here are all of the possible triad chords in the key of C major:
C Dm Em F G Am B
I ii iii IV V vi vii
Reference chart 6
Mode Diatonic triads
Diatonic triad function
C Major C Dm Em F G Am B
I ii iii IV V vi vii
D Dorian Dm Em F G Am B C
i ii III IV v vi VII
E Phrygian Em F G Am B C Dm
i II III iv v VI vii
F Lydian F G Am B C Dm Em
I II iii iv V vi vii
G Mixolydian G Am B C Dm Em F
I ii iii IV v vi VII
A Aeolian Am B C Dm Em F G
i ii III iv v VI VII
B Locrian B C Dm Em F G Am
i II iii iv V VI vii
Example 1 - Chord progression in C major:
Chord symbols C Am F G C Dm G F C
Chord function in C major: I vi IV V I ii V IV I
Record this chord progression and use C major scales to
improvise over it. You will hear the C note (and the C chord)
sound like the root of the key (the note that is most at rest.)

Your ear wants our little chord progression to end on the C

chord.
Example 2 - Chord progression in E Phrygian:
Chord symbols: Em F Em Dm Em F G F Em
Chord function in E Phrygian: i II i vii i II III II i
Chord function in C major: iii IV iii ii iii IV V IV iii
Record this chord progression and use the C major scale to
improvise over it. Notice : All of the chords in this example are
derived from the key of C major, and can be found in Reference
Chart 5. Even though the chords in this example are derived
from the key of C major, you will hear that the C note does NOT
sound like the root of the key and your ear does NOT want the
chord progression to end on a C chord. It wants to end on the
Em chord. The C note in the scale sounds more like a passing
tone most of the time. It is the E note that sounds like the root
of this chord progression. Why is this so? In this example there is
no C chord anywhere in the progression. The C chord and the C
note are being de-emphasized. Instead it is the E note and the
Em chord that is being emphasized, this is what is causing the E
note and the Em chord to sound like the root of the key. This is
accomplished by repeating the Em chord multiple times.
So the key is not C major, but E Phrygian. We just established
that the root is E and not C, but we are not in the key of E
major or E minor (because the chords in the progression are not
part of either the E major or E minor scales) but all of the
chords are a part of the E Phrygian mode.
Another way to look at this is: Since the chords are derived
from C major but the root note of the progression is E, then we
need to look at where the E note is in a C major scale. The
answer is that the E note is the 3rd not of a C major scale. Now
we need to determine what mode starts on the 3rd note of a
major scale. Look at Reference chart 1 above and you can see
that the answer is Phrygian. So we now have our root note of E
on the Phrygian mode which makes the key, E Phrygian. Now
look at Reference chart 6 and you can easily see how the chords
in this example fit nicely in to the E Phrygian key (mode).
Example 3 - Chord progression in F Lydian:
Chord symbols: F G F Em F G F Dm Em F
Chord function in F Lydian: I II I vii I II I vi vii I
Chord function in C major: IV V IV iii IV V IV ii iii IV

Record this chord progression and use the C major scales to

improvise over it. Like the E Phrygian example, this example's
chords all are derived from the key of C major, and can be
found in Reference chart 5. Even though the chords in this
example are derived from the key of C major, you will
again hear that the C note does NOT sound like the root note of
this example and your ear does NOT want the chord progression
to end on a C chord, it wants to end on the F chord. The F note
is the root of this chord
progression. In this example there is no C chord anywhere in the
progression. The C chord and the C note are being deemphasized. Instead it is the F note and the F chord that is
being emphasized because it is
repeated many times in the chord progression. Therefore, the
key is F Lydian, not C major.
We just established that the root is F and not C, but we are not
in the key of F major because the chords in the progression are
not a part of F major. All the chords are a part of the F Lydian
mode. Another way to look at this: Since the chords are derived
from C major but the root note of the progression is F then we
need to look at where the F note is in the C major scale. The
answer is the F note is the 4th note of a C major scale. Now we
need to determine what mode starts on the 4th note of a major
scale. Look at Reference chart 1 above and you can see the
answer is Lydian. So we now have our root note of F of the
Lydian mode which makes the key, F Lydian.
Now look at Reference chart 6 and you can easily see how the
chords in this example fit nicely in to the F Lydian key mode).
Example 4 - Chord progression in D Dorian:
Chord symbols: Dm G Dm Em Dm G Dm F
Chord function in D Dorian: i IV i ii i IV i III
Chord function in C major: ii V ii iii ii V ii IV
Record this chord progression and use the C major scales to
improvise over it.
Like the previous 2 examples, this example's chords all are
derived from the key of C major, and can be found in Reference
chart 5.
Even though the chords in this example are derived from the
key of C major, you will again hear that the C note does NOT
sound like the root note of this example and your ear does NOT

want the chord progression to end on a C chord, it wants to end

on the Dm chord. The C note in the scale sounds more like a
passing tone most of the time. It is the D note that sounds like
the root of this chord progression. In this example there is no C
chord anywhere in the progression. The C chord and the C note
are being de-emphasized. Instead it is the D note and the Dm
chord that is being emphasized because it is repeated many
times in the chord progression. So the key is D Dorian, not C
major.
We just established that the root is D and not C, but we are not
in the key of D minor or D major because not all the chords in
the progression are not a part of D minor or D major scales. All
the chords are a part of the D Dorian mode. Another way to look
at this: Since the chords are derived from C major but the root
note of the progression is D then we need to look at where the
D note is in the C major scale. The answer is the D note is the
2nd note of a C major scale. Now we need to determine what
mode starts on the 2nd note of a major scale.
Look at Reference chart 1 above and you can see the answer is
Dorian. So we now have our root note of D on the Dorian mode
which makes the key, D Dorian. Now look at Reference chart 6
and you can easily see how the chords in this example fit nicely
in to the D Dorian key (mode).
The best way to remember all of this information is to use it.
Copyright 2002 by Tom Hess. All rights reserved.
Good Luck,
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