MODE MIXTURE

Mode Mixture

I. Defined

A. Mode Mixture - the use of tones from one mode (major or minor) in a passage that
is primarily in the opposite mode.

1. Involves parallel keys (A Major/a minor, etc.).

2. Most often involves coloring a passage in major with tones from the parallel
minor.

Saturday, May 7, 16

ing dissonance with the other pitches and is clearly an NCT, but in Example 12-5b the D5
forms no true dissonance with any other pitch.

MODE MIXTURE
II. Borrowed Chords in MinorExample 12-5

A. Possible borrowed tones

a
good

( )
1. Scale-degrees 3, 6, and
7.

possible

ant
ant
7 occur

in altered
2. Since scale-degrees
6
and
forms of the minor scale, only

of mode mixture.

scale-degree 3 is a true source

B :
V
I
V
I

B. Tonic triad

An anticipation very much like the one in Example 12-5a appears in Example 12-6. No1. In minor the chord
borrowed from major (involving ^3) is the tonic triad.

tice that this excerpt ends with a major tonic triad. In the Baroque period it was not at all
uncommon to end a phrase or a composition in the minor mode in this way. Th is device,
2. Picardy Thirdknown
- theasuse
of thethird,
major
tonic further
triad in
a piece
the Picardy
is discussed
in Chapter
21. that is in minor mode.

Example 12-6 Bach, Well-Tempered Clavier, Book II, Fugue 22

DISC 1 : TRACK 48

Saturday, May 7, 16

The idea of the Picardy third is sometimes used on a very large scale. For example,
Beethovens Symphony no. 5 begins in c minor, but the main key of the last movement is
C major.

MODE MIXTURE

Borrowed Chords in Major: The Use of ! 6

The most frequently encountered examples of mode mixture in the major mode involve
III. Lowered Scale-degree 6 in Major
The ! 6
here refers to the lowered sixth scale degree. The accidental
chords that employ ! 6.

to be used in the music might be a " , a ! , or a ! ! , depending on the key signature, but we
A. The most common mode mixture involves the use of b6 from
the parallel
will refer to the lowered sixth scale degree as ! 6 in any case. Borrowing ! 6 from the parallel
minor
7, ii
minor creates four borrowed chords that are frequently used in major: vii
, ii;k 7, and iv.

Example 21-2 illustrates

these in the key of A major. Notice that the roman numerals are

B. Possible borrowed identical

chords -tovii7,
ii,
ii
7,
and iv.
those used in minor.

C. Indicate mixture in analysis with RNs from the minor (i.e. use lower case).

Example 21-2

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Saturday, May 7, 16

5/16/12

MODE MIXTURE

III. Lowered Scale-degree 6 in Major

D. Voice-leading

1. b6 (lowered 6) is a tendency tone, which must descend by half-step to

scale-degree 5 whenever possible.

2. Best to approach b6 by step

3. Watch out for aug. 2nds
4. Continue using mixture until reaching the Dominant

Saturday, May 7, 16

an inner voice, it forms the beginning of an important line begun in the first phrase and
completed in the second: F !E !D !F !E !D !C. Notice also the nice effect created by the
unusual ViiV in m. 15.

MODE MIXTURE

Example 21-3 Chopin, Mazurka op. 17, no. 3

DISC 2 : TRACK 10

7/ or vii 7/ may be used to tonicize a major triad

you will
recall
that either
vii7Incidentally,
- may be used
freely
(avoids
any viik
potential
parallel 5ths). When secondary vii7 is used to
7 to tonicize a major triad is an
(review
p. 262).triad
We can
understand
the use ofmode
vii
tonicize
a major
it isnow
an instance
ofthat
secondary
mixture.
7/V in Example 21-3 illustrates this, the C ! being the ! 6

example of mode mixture. The vii

borrowed from E ! minor.
7 does not resolve directly to I but is followed instead by V 7. Only
Frequently, the vii
one voice needs to move to accomplish this, as Example 21-4 illustrates.

Saturday, May 7, 16

The borrowed iv is frequently used in first inversion as part of a stepwise descending bass
line, as in Example 21-5. The imitation between soprano and tenor in mm. 4 to 5 and the
soaring tenor line in mm. 5 to 6 are among the many points to appreciate in this beautiful
phrase.

MODE MIXTURE

Example 21-5 Bach, Herzliebster Jesu, was hast du

DISC 2 : TRACK 11

The borrowed iik 7 is probably used more often than the borrowed ii because of the added
direction provided by the 7th. Example 21-6 is typical.

iv - can be used freely. iv6 often used in chromatic descending bass line

Example 21-6 Clara Schumann, Piano Trio op. 17, IV

DISC 2 : TRACK 11

56

Saturday, May 7, 16

56

Example 21-6

Clara Schumann, Piano Trio op. 17, IV

DISC 2 : TRACK 11

56

56

350

Chapter Twenty-One

4
2

6 Mixture and the Neapolitan

Mode
5

4
2

kos25141_Ch21PO5_346-370.indd 349

6
5

5/16/12 7:12 AM

4
2

4
3

6
4

7, iv, or ii
(k 7) moves down by half step to 5.
It is often also approached
In general, ! 6 in vii
"

by step, either from 6 or

from 5.

ii and ii 7 may substitute for ii and ii7.

7th chord used more frequently.

Other Borrowed Chords in Major

Saturday, May 7, 16

The most frequently encountered examples of mode mixture in major are those chords
7. The next most common examples of mode
ii
that borrow only ! 6:
, iik 7, iv, and vii

MODE MIXTURE

7, iv, or ii
(k 7) moves down by half step to 5.
It is often also approached
In general, ! 6 in vii

by step, either from " 6 or from 5.

IV. Other Borrowed Chords in Major

A. i - less common than the use of I in minor, but can still be used.

The most frequently encountered examples of mode mixture in major are those chords
B. bVI
7, iv, and vii
7. The next most common examples of mode
ii
! 6:
that
borrow
only
,
iik

! III and !VII.

mixture
make use of ! 3: i, !VI, and iv7. Least common are those that use ! 7:
1.Can be used as a predominant
All2.
of Can
thesebe
chords
areasshown
in Example
21-7. Notice that the symbols for the borrowed
used
a deceptive
cadence.
submediant
and the
mediant
triads are
preceded
by is
a fllowered.
at to show that the root is lowered. Use
2.b before
RN shows
that
the root
theflat in your analysis regardless of the actual accidental found in the notation, which
be a natural, a flat, or a double flat, depending on the key.
C.might
bIII - uncommon
D. bVII - even less common. Sometimes used as dominant of bIII.

Other Borrowed Chords in Major

Example 21-7

If you have seen the fi lm 2001: A Space Odyssey (1968), you are already familiar with a famous instance of a minor tonic from the fi lms score, which makes use of Richard Strausss

Saturday, May 7, 16

mented dominant, which is discussed in Chapter 24.

Example 21-8 Haydn, String Quartet op. 9, no. 2, I

DISC 2 : TRACK 12

352

Chapter Twenty-One

D/i

Mode Mixture and the Neapolitan

D/TS

TS

P/i D/D

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Saturday, May 7, 16

5/16/12 7:12 AM

The !VII and ! III chords are by no means commonly encountered. The !VII, when it occurs, frequently functions as a V/! III, just as the same chord does in the minor mode. In
Example 21-9 the !III is preceded by its secondary dominant and followed by a borrowed

numerals.

Example 21-9 Schumann, Ein Jngling liebt ein Mdchen,

op. 48, no. 11

DISC 2 : TRACK 12

353

The Neapolitan Chord

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Saturday, May 7, 16

{ii}

{vii7 } V6%

V6%/bIII
{bVII}

bIII

vii6% V7

C :

V4 /V
2

bVII

V7

Saturday, May 7, 16

V4 /IV IV6
2

iv6

V7

V6

iv6

V7

iv6

OINT

MODE MIXTURE
Modulations Involving Mode Mixture and the Neapolitan

that commonly follow a N6 chord.

Borrowed chords and the Neapolitan may be used as common chords in modulation, a
procedure that may facilitate a modulation to a foreign key. If a passage in major slips into
6 tend to moveV.
the parallel
all the keys that are closely related to the parallel minor come within
and Modulations Involving
Modeminor,
Mixture
upTonicizations
or down?
easy reach. For example, as the chart below demonstrates, mixture in the key of F gives us
common uses of the Neapolitan chord.
access to five foreign keys: A ! , c, E ! , b ! , and D ! .

ubled in a N6 chord?

A. Borrowed chords may be tonicized

E
B. The use of borrowed chords may precede a modulation
d
F
mixture
f
A

g
D
C. Mode mixture allows more keys to be in reach for pivot
modulations.

Bchord
b

EXAMPLE: F Major / Ab major - Ab

(4 flats)
not mixture
closelyinrelated
to Fto(1move
flat).
Schubert
usesismode
Example 21-17
to the relative major of the parallel
minor: F which
.
However,
is closely
related
to f minor,
parallel of F and can be reached by
e Neapolitan may be
used as Ab
common
chords
in modulation,
al (f) l isA !the
mixture.
ate a modulation tomode
a foreign
key. If a passage in major slips into
a

de Mixture and the Neapolitan

keys that are closely related to the parallel minor come within
Example
as the chart below demonstrates, mixture in the key of F gives
us 21-17
: A ! , c, E ! , b ! , and D ! .
DISC 2 : TRACK 15
a
d

C
F
B

mixture

f
b

A
D

ure in Example 21-17 to move to the relative major of the parallel

hubert, Originaltanze, op. 9, no. 33

Saturday, May 7, 16

Schubert, Originaltanze, op. 9, no. 33

label every chord in the excerpt.)

DISC 2 : TRACK 20

Beethoven, Piano Sonata op. 26, III

Beethoven, Piano Sonata op. 26, III

l l l



#Maestoso

andante

l l l

# \
#

l l l

l l l
l

#
V l l 2 i6 V6% i l V l l
l l l l l
ab : i

PAC

(III)
inCbmajor

l l l

\
cresc.

cresc.
\

l l l

Mode Mixture and the Neapolitan

Chapter
Twenty-Onev
l
l
l

*
III

Maestoso andante
DISC 2 : TRACK 20

!
!

368

!
!

WoO stands for without opus, meaning a work to which Beethoven did not assign an opus number.

i Chapter Twenty-One
Mode Mixture and theV
Neapolitan I
vi IV
7
I
Cb: vi * WoO stands for without opus,iii
meaning a work to which Beethoven did not assign an opus number.

368

l l l

l l l

\
^[
cresc.

cresc.
\
^[

l l l

i V
enharmonic // minor! b: i

lll

PAC in D major (#IV!)

l l l

\l l l

cresc.
\

cresc.

l l l

l l l
10

!
!

10

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kos25141_Ch21PO5_346-370.indd 367

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15

!
!

15

Saturday, May 7, 16

D. For each exercise provideiv

the key signature and notate the missing chords, using
I
V6$
5
ii
correct voice-leadingD:
procedures
D. For each exercise provide the key signature and notate the missing chords, using
correct voice-leading procedures

Saturday, May 7, 16

NEAPOLITAN 6TH CHORDS

MUSIC 2107

Materials and Techniques of Music III

Dr. C. Ross

THE NEAPOLITAN
The Neapolitan Sixth Chord (bII6)

I. Defined
I. DESCRIPTION, PURPOSE, AND CONSTRUCTION

, usually in first inversion, hence it is also labeled

THE The
N6 CHORD
is a Major
built on b2
Neapolitan
(ortriad,
Neapolitan
6th) is a chromatic predominant. It is a
bII6. The purpose of altering a chord in this way is, like MIXTURE , to decorate and chromatically
major triad built on the lowered 2nd scale-degree (b2).
intensify diatonic harmonic progressions, specifically those which involve the supertonic triad.

The N6 is identical in minor keys and their parallel majors, but note the difference in
accidentals: Decorates and chromatically intensifies diatonic progressions, usually in a
minor
(i) in minor
keyskey
it involves lowering 2 to b2 (together with the other usual notes of a ii triad), but
keys two accidentals are necessary: (a) 2 to b2 , and (b) 6 to b6 :
(ii) in major
(i)

bb b w
b
ww w !
&
N6
c:

(ii)

b ww
b
& ww !
N6
C:

(bII6)

(bII6)

II. FUNCTION
The N6 chord (bII6) functions in the same way as a diatonic ii (in Major) or ii (in minor) chord,
which means it is a pre-dominant class chord. Thus, it usually goes to:
i) some form of V (including the cadential 46 ), but
ii) it may also move to a secondary dominant-function chord further intensifying the approach
to the dominant. In this case, vii7 of V seems to have been preferred over V6/5 of V, which can sound
rather harsh. Play the two examples below and ask yourself if the second sounds any harsher to your
ears. If so, what do you think might cause this harsher quality?

Saturday, May 7, 16

bb b
b

l&
l

..
l
l

!
! or

bb b n .
b
l . !
l&
l
l
!?

THE NEAPOLITAN SIXTH (bII6) CHORD

II. Common Uses of the Neapolitan Sixth Chord

A. Most often used in the minor mode.

B. Functions just like ii or ii

C. Usually moves to the Dominant (either V or K6/4).

D. May move to viio7/V before moving to V.

6
Saturday, May 7, 16

THE NEAPOLITAN SIXTH (bII6) CHORD

III. Voice-leading the Neapolitan Sixth Chord

A. Most often appears in 1st inversion.

B. In 1st inversion, double the bass (third of chord).

C. Best when scale-degree b2 is in Soprano.

D. b2 is a tendency tone and should move down:

1. by diminished 3rd to the leading tone when progressing directly to V(7)

2. by step to ^1 when moving to a V6/4 chord or viio7/V

b2 #7

Saturday, May 7, 16

b2

#7

b2

b2

THE NEAPOLITAN SIXTH (bII6) CHORD

III. Voice-leading the Neapolitan Sixth Chord

E. NOTE: if b2 is not in the Soprano, watch out for parallel 5ths with b6!

(Easy fix: keep b2 above b6)

b2

Saturday, May 7, 16

from A3 to E4 to provide the 3rd for the i 4 chord. The textural reduction brings out the

stepwise ascent in the bass from 1 up to 5.

Example 21-12

Haydn, Piano Sonata no. 36, I

DISC 2 : TRACK 13

c#:

Saturday, May 7, 16

V4

i6

bii6

V6$-_ 5

In Example 21-13 the Neapolitan appears in a more complicated keyboard texture. (The
clarinet is in B ! , sounding a M2 lower than written.) The ! 2 in m. 8 appears in both hands;
the G ! in the right hand moves down to E " , as expected, but the G ! in the left hand moves
up chromatically to G. Notice how the melodic G ! in m. 4 foreshadoes the N6 to come.

Saturday, May 7, 16

Example 21-13

Brahms, Clarinet Sonata op. 120, no. 1, I

DISC 2 : TRACK 13

6
5

Saturday, May 7, 16

The N6 chord occurs occasionally in popular music as well. Example 21-14, a theme from
a fi lm score, ends with a circle-of-fift hs progression: iv(7)VII 7III (M7)VIN6 V 7i. The

THE NEAPOLITAN SIXTH (bII6) CHORD

IV. Other Uses of the Neapolitan

A. May also appear in root-position.

1. Double the bass in root-position

2. Tritone in bass moving between bII and V is ok.

B. May appear in the Major mode. Often prepared by mode mixture.

C. May appear as a Dominant or Tonic Neighboring Predominant

D. May be tonicized by a V7/bII.

E. May be used to modulate

Saturday, May 7, 16

Both a V 7/N and a root position Neapolitan occur in Example 21-15. Notice the tritone
leap in the bass between the N and V chords. The textural reduction clarifies the sequence
in mm. 13-16.

Example 21-15

Chopin, Mazurka op. 7, no. 2

DISC 2 : TRACK 14

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Saturday, May 7, 16

5/16/12 7:12 AM

In Example 21-16 Verdi uses the N in a major key (and in root position). However, he does
prepare for the N by using mode mixture in the previous two measures. (Only the main
chords are analyzed in the first five measures.)

Example 21-16

Verdi, Il Trovatore, act I, no. 5

DISC 2 : TRACK 15

An earlier excerpt from popular music, Example 7-6 (p. 98), also used a root position N,
this time in a long circle-of-fift hs progression: ivVIIIIIVINVi. (Compare that progression to the one in Example 21-14, discussed earlier.)

Saturday, May 7, 16

A Neapolitan chord is used as the common chord in Example 21-18. The excerpt begins in
A and ends in a ! (although neither key signature agrees with that analysis). The I6 chord
in A before the double bar is enharmonically the same as a B !! major triad, which is the
Neapolitan in a ! . It then moves normally to i64 V in a ! .

Example 21-18

Schubert, Moment Musical, op. 94, no. 6

DISC 2 : TRACK 16

Mode mixture in the new key is often employed as a signal to the listener that a modulation is taking place. In Example 21-19 a modulation from f to E ! occurs. In m. 5 Beethoven
uses an f minor chord, which is the common chord linking the two keys. The f k 7 chord
that follows announces the modulation to the listener because this chord is a very unlikely
one in the key of f. (The Ger!6 chord in m. 3 is discussed in Chapter 22.)

Example 21-19
Saturday, May 7,DISC
16 2 : TRACK 16

Beethoven, Horn Sonata, op. 17, II

Haydn - Sonata in D Major Hob. XVI/37

A:

I6$

bii6
DNP

Saturday, May 7, 16

V7

I6$

V7

i6$

V7

i6$