Documents - MX - Ligon Jazz Theory Resources I II PDF

vii INTRODUCTION
I. REVIEW of BASIC THEORY MATERIALS
1 Chromatic Scale
2 Intervals and Inversions
3 Major Scale Construction
4 Minor Scale Construction
5 Circle of Fifths
6 Scale Degree Names
Key Signatures and Order of Accidentals
7 Common Notation Errors
II. RHYTHM in JAZZ PERFORMANCE
10 Polyrhythms
11 Swing Eighth Note
12 Accents and Articulations
15 Rhythmic Roles
18 Harmonic Rhythm in Jazz Performance
19 The Larger View: Form as Rhythmic Structure
21 Placement of the Notes
22 Syncopation Studies
28 Syncopation in the Jazz Waltz
29 Polyrhythms in Performance
38 Clave Beat
41 Odd Meters
Mixed Meters
42 Rhythmic Reading and Dictation Exercises
47 Other Suggested Exercises
48 Reading Exercises
III. BASIC TONAL MATERIALS
52 Tonality
55 Pitch Hierarchy
56 Ear Training
Beginning Singing Exercises
60 Beginning Writing Exercises
60 Beginning Tunes for Ear Training
64 Application
IV. TRIADIC GENERALIZATION
69 Tertian Triad
Triadic Generalization
70 Elaboration Devices
Passing Tones
72 Neighbor Tones
74 Neighbor Tone Combinations
78 Arpeggiated Tones
Chromatic Approaches
79 Octave Displacement and Leaps
80 Pedal Point and Pivot Tones
80 Triadic Musical Examples
84 Triad Motive Developed
86 Triadic Embellishment of C Major Triad
87 Triadic Embellishment of C Minor Triad
88 Pentatonic Scale
Blues Scales
90 Blue Notes
91 Blues Scale Musical Examples
Major Blues Scale
92 Minor Blues Scale
Combinations of Major and Minor Blues Scales
93 Generalization Examples Applied
V. DIATONIC HARMONY
95 Diatonic Harmony: Major

Inversions
96 Functional Harmony
98 Determining the Key
99 Chord Identification Practice
100 Diatonic Harmony: Minor
104 Determining the Key
106 Chord Identification Practice Solved
VI. HARMONIC PROGRESSIONS
108 Common Root Movement

Common Progressions in Major
109 Common Progressions in Minor
110 Application of Harmonic Analysis
Hierarchy of Chords
112 Closely Related Keys
114 Secondary Dominants
121 Deceptive Resolutions
122 Dominant Seventh Chords and Deceptive Resolutions
Diminished Seventh Chords and Deceptive Resolutions
126 Value and Limits of Roman Numeral Analysis (RNA)
127 Dominant Chord Exceptions
Tritone Substitution
129 Traditional Augmented Sixth Chords
132 Backdoor Dominants
VII. HARMONIC ANALYSIS
135 Roman Numeral Analysis with Common Jazz Progressions

Progressions that Modulate to Closely Related Keys
136 Turnaround Tunes
137 Progresses to IV with Secondary ii7/IV - V7/IV
Progresses to vi with Secondary iiø7/vi - V7/vi
138 Uses Secondary viio7 Chords
Uses Cycle of Secondary Dominants
139 Chords Borrowed From Parallel Minor
140 Tunes With Similar A Sections
Modulates to Remote Keys
141 Progressions Shown With RNA
151 VIII. HARMONIC SUBSTITUTIONS and TURNAROUNDS
152 Turnaround Progressions

156 Application to Standard Progressions
164 Harmonic Substitutions for Blues in F Major
169 Harmonic Substitutions for Blues in F Minor
170 Harmonic Substitutions for Rhythm Changes
177 Standard Tune Application
IX. HARMONIC SPECIFICITY
179 Specificity and Generalization

180 Guide Tones
181 Bass Lines as Guide Tone Lines
182 Ten Basic Patterns for Bass Lines
184 244,140,625 Bass Lines for Blues
188 Guide Tones Applied to Melodic Lines
189 Linear Implications of Harmony
193 Guide Tones for F Major Blues
197 Blues Etude Guide Tones
Guide Tone Line Applications to Standard Progressions
203 Step Progression
206 Other Voices as Guide Tones
221 Avoid Notes?
X. COMMON MELODIC OUTLINES
224 Linear Harmony

226 Constructing the Three Basic Outlines
229 Outline Examples
Examples of Outline No. 1
239 Examples of Outline No. 2
243 Examples of Outline No. 3
247 Combination of Outlines
250 Outline Applications
Applications to Standard Progressions
255 Outline Embellishment and Development Ideas
259 Outline Etude
260 Ear Training
XI. HARMONY: OVERVIEW of VOICINGS
264 Four Part Voice Leading

265 Five Part Voice Leading
276 Piano Overview
281 Accompaniment Classifications
284 Arranging Voicings in Brief
Sax Soli Voicings
286 Non-Harmonic Tones
292 Brass Voicings
297 Brass and Saxophone Combination Voicings
299 Special Case and Clusters Voicings
300 Vocal Voicings
String Ensemble Voicings
302 XII. MODES and MODAL FRAMEWORKS
305 Modes Bright to Dark

306 Major, Minor or Modal?
308 Modal Melodic Examples
312 When is it Modal and When is it Functional Harmony?
313 Chord Symbols and Modes
Tunes with Modal and Functional Harmony Combinations
314 Tunes with Modal Mixture
Modal Planing
Modal Progressions
318 Motivic Development
Compositional Devices for Motivic Development
322 Motivic Development in Modal Improvisation
323 XIII. QUARTAL HARMONY
331 XIV. OTHER SCALES and COLORS
332 Scales for Jazz Improvisation

Chord/Scale Equivalency
333 Modes of the Melodic Minor Scale
336 Relationship Between 7th and 4th Modes of Melodic Minor
340 Modes of the Major Scale with b6
345 Applications of Major Scale with a b6 in a Composition
348 Scales of Limited Transposition
353 Chord/Scale Relationships Review
358 Hexatonic Options358
359 Determining the Appropriate Sound
Chord Symbol and Context
Melodic Implications and Chord Symbol
365 Impositions over Traditional Frameworks
XV. EXTENDED TERTIAN STRUCTURES and TRIADIC SUPERIMPOSITION
370 Notation Shorthand

382 Triadic Superimpositions Formulas and Examples
XVI. PENTATONIC APPLICATIONS
388 Pentatonic Applications

389 Pentatonic Superimposition Formulas
393 Pentatonic Superimposition Formulas
XVII. COLORING "OUTSIDE" the LINES and BEYOND
394 Approaches to Coloring Outside the Lines

403 and Beyond
XVIII. ANALYSIS: the BIG PICTURE
405 Transcription
406 Analysis
409 So What: Miles Davis
415 All Blues: Cannonball Adderley
426 Blue In Green: John Coltrane
427 Freddie Freeloader: Wynton Kelly
435 Billiei's Bounce: Charlie Parker
XIX. EXPANDING HARMONIC VOCABULARY
441 Introduction
447 Voice Leading
Harmonic Rhythm
448 Mixture of Harmonic Colors
450 Types of Motion
451 Creating with New Vocabulary
Possible Harmonizations of the Pitch "C"
455 XX. CODA
456 Appendix I: Reference for Chord/Scale Relationships
458 Chord/Scale Relationships

Scales
459 Chords with Scale Sources
462 Scales with Derived Chords
Appendix II: Elaborations of Static Harmony
467 Elaborations of ii7-V7 progressions

468 Elaborations of a C Major Chord usually as Tonic (I)
471 Elaborations of a D Minor Chord as i, vi, or i
Appendix III: Endings
473 Endings to Blues

474 Endings to Standard Tunes
476 Tag Extensions
479 Ballad Endings
Appendix IV: Composing Tips
481 Composing Tips

Music Theory Rules
Rewriting
Getting Started
482 Rewriting by Asking Questions
Contrasts
483 Consistencies
Listening
Appendix V: Theory Applications
484 General Concepts

Applied to a Standard Progression
Introduction vii
INTRODUCTION
PURPOSE
Jazz is an aural tradition. The music is passed from one teacher to a student, from one generation to the
next, not from written books, but from the tradition of personal interaction, listening and imitation. The
success of this method is proven world wide. There are no etude books for Indian classical music; a stu-
dent of African drumming does not run to the store to buy a copy of the well-tempered drum book.
Most of the great jazz artists we listen to learned from the aural traditions and not from written text-
books. Why write one? This book is meant to be a supplement to and not a substitute for the aural musi-
cal education. This book is a resource to augment the learning experience of listening, transcribing clas-
sic jazz performances, and performing the music with peers.
The book has been developed over the last ten years of teaching. I want to extend thanks to the hun-
dreds of students who helped me determine areas that needed clarification and allowed me to formulate
answers. Thanks also to Reed Kotler whose internet discussion group offered me the opportunity to offer
my answers to many common questions. I appreciated the opportunity to try out parts of chapters in
those electronic chats, honing my opinions in some productive (and sometimes heated) discussions.
ORGANIZATION
It is my contention that jazz music theory should not be separated from traditional tonal music theory.
C major is C major. Music of many different styles still share fundamental building blocks. Jazz shares
tonal principles, harmonic frameworks, forms, and melodic construction with tonal music from the
Baroque, Classical, and Romantic periods, and with ancient folk and contemporary popular music.
The book is divided into two volumes that correspond with two levels of jazz theory classes at the uni-
versity level. Volume I deals with the relationship of jazz improvisation to the traditional major/minor
system (Chapters 1-11). This section includes a lengthy chapter on rhythms in jazz performance.
Volume II examines additions to and extensions beyond the major/minor systems (Chapters 12-17).
Many of the concepts in the second section are best understood in relation to the foundation of the ma-
jor/minor system. After study of the component parts of jazz, a student should be prepared to recognize
how pieces fit into the whole of a jazz improvisation and be able to transcribe and analyze complete
jazz improvisations. Chapter 18 provides analyses models of five well-known improvisations. Chapter 18
could be used as a graduate level jazz theory class using the transcriptions included here as a beginning.
There are five appendices included at the end of Volume II which should be valuable resources for stu-
dents of jazz: Reference for Chord/Scale Relationships, Elaborations of Static Harmony, Endings,
Composing Tips, and Theory Applications. Students are encouraged to supplement this book by consult-
ing the many available sources for the history of jazz, lists of representative musicians and recordings,
and lists of standard jazz tunes for performance.
Good music theory should describe how the music sounds. And music theory has only two rules: (1)
does it sound good? and (2) does it sound good? All else is a discussion of principles: “if I do this, it
sounds good; if I do that, it doesn’t.” I have tried to keep all discussions relative to the aural experience.
Jazz Theory Resources

viii Introduction
There are no mathematical charts that are irrelevant to practical applications. The book’s concepts were
based on personal research of jazz improvisation by outstanding jazz artists and the study of great musi-
cians from all eras. The book includes musical examples from a wide range of sources including Bach,
Mozart, Charlie Parker, Duke Ellington, Tom Harrell and Mike Stern. It is these artists who are the ulti-
mate authority and who have determined the fundamental laws of music theory. I have never liked the
distinction between an “ear player” and a “theory player.” It implies that one who knows theory is sepa-
rated from the aural, and implies that one who plays by ear knows nothing of what he plays. A good
player (“ear” or “theory”) knows what it is that he hears, plays by ear, and understands the concepts of
what he plays. Whether he is able to articulate what it is that he does is another matter. A “theory
player” who does not sound good has not used music theory well. I based this book on music theory
that describes how the music sounds never loosing sight of the two rules.
What about those students who define jazz as “playing what you feel” and often shun theory discussions?
Art can express feelings. Without some knowledge these students wander about musically and conse-
quently express very little. There are many skills to be mastered. I am reminded of something said by
the great baseball philosopher, Yogi Berra, “If you don’t know where you are going, you might wind up
someplace else.” Learning theory can give these students some direction and goals so they wind up
playing what they feel instead of winding up someplace else. As a writer studies grammar and vocabu-
lary, an improviser and composer studies music theory: to find and master the tools necessary for the
goal of personal expression. Any young improviser who wants to “play what he hears” or “play what he
feels” has an idea about some notes that sound good in a context. That idea is music theory.
Those who do not improvise often wonder what it is that we do. This is the simplest answer to the ques-
tion, “on what do we improvise?”—We improvise on the melody (paraphrasing), or improvise on the
harmony (being either specific or general). A dictionary defines improvisation as “inventing with little
or no preparation.” Few improvise on the melody or harmony without a great deal of preparation.
Preparation for jazz improvisation can occupy a lifetime. The study of music is a never ending puzzle.
One piece may be solved, but in doing so one finds it connects to a larger piece of the puzzle. When we
are done with the Sunday crossword puzzle we tossed it aside; but, thankfully, music is a puzzle that can
entertain and fascinate an artist for a lifetime.
When I began to play, improvise and compose music, I was confronted with twelve pitches and no pat-
terns or preconceived notions about structure. I spent years practicing and studying patterns of scales,
arpeggios, melodic shapes, embellishment figurations, harmonic possibilities, and rhythms. I find I get
closer to completing a circle and returning to the point where I am confronted with twelve pitches and
no patterns or preconceived notions about structure.
LANGUAGE & MUSIC
There are numerous analogies between the musical and verbal languages. Some similarities are relevant
to the music learning process. Anyone who has tried to learn a spoken language as an adult can only
marvel at the ease at which extremely young children learn a language. Children begin learning lan-
guage in the womb. Studies in music education have also found the best time to develop the musical
language is at an early age, and that the chances for developing complete musical skills diminish with
each passing year.
Babies only four days old can distinguish one language from another by noticing the general rhythms
and melodies. This confirms the relationship between musical perceptions and language. A child will
imitate distinctive sounds, words and phrases before linking them to any meaning. Around age one,
meanings are associated with words and single words appear in their speech. By age three they are ana-
lyzing grammar and recognize that sentences are constructed from noun phrases (“The big bad wolf”)
and verb phrases (“ate the grandmother”). As they advance and mature, they construct sentences using
this common grammar to express independent and individual thoughts. At the point when the child be-

Introduction ix
gins reading, the reading material is much more elementary than the child’s aural languages skills, and
they work to balance the two skills.
This is the opposite of the musical learning experience for so many children. The first day with an in-
strument is often spent looking at whole notes on a page. By the time many students attempt to under-
stand the aural significance (the real musical language!) they are past their prime learning period. While
their reading skills may be quite advanced, many of these students attach little actual musical meaning
to what they have been trained to reproduce. At the age when training the ear is finally stressed, it is of-
ten more difficult to ever achieve any balance.
Children can distinguish noun and verb phrases and individual words even though language is not spo-
ken one . . . word . . . at . . . a . . . time. Language, like a musical line, is often a nonstopstreamofsound. So
often a musical student will attempt melodic dictation trying to hear each individual note of a phrase
rather than trying to hear groups of notes analogous to noun and verb phrases. A child can perceive the
basic meaning of “The big bad wolf ate the grandmother,” to be “wolf ate grandmother.” A music stu-
dent should learn to distinguish groups of pitches in a phrase as pointing to a single pitch that is more
important than the surrounded pitches. The phrase below includes all twelve chromatic pitches, yet the
bracketed groups of pitches point to the three notes of the C major triad. The line is not heard as ran-
dom chromaticism, but as an embellished tonal idea in the key of C major. We can hear the bracketed
groups of pitches in the same way we hear noun and verb phrases.
C ↓
j n œ b
3
œ œ
↓ ↓
&c Ó ‰ #œ œ #œ œ bœ œ nœ œ #œ œ
Identifying each pitch by its vertical alignment with the given chord provides no insight and serves no
real purpose. We do not hear separate words or letters in a sentence, nor would we analyze a sentence in
this way.
C ↓
j n œ b
3
œ œ
↓ ↓
&c Ó ‰ #œ œ #œ œ b œ œ nœ œ #œ œ
#6 M7 M9 m9 1 #4 M6 m6 P5 P4 M2 A2 M3
One of the characteristics of music and jazz music in particular is that the musical ideas may not be
contained within the measure lines. The measure lines do not exist in music; they exist only in music no-
tation. If melodies are highly polyrhythmic, as they are in many jazz compositions and improvisations,
the melodies will often overlap the measure lines, and the notes will not align vertically with the written
chord symbols. It is extremely important when listening or analyzing to realize that music is linear and
not vertical. If we analyze music vertically confining the notes to neat groups of four eighth notes it
makes as much sense as trying to read the sentence “The big bad wolf ate the grandmother,” as “Theb
igba dwol fate theg rand moth er.”
A valuable tool for teaching language is the use of memorization of common phrases. All language
courses teach basic conversational, useful phrases: “how are you?” “which way to the [train station]
[bathroom] [theater]?” “will you accept my credit card?” At the more advanced level, a student of lan-
guage may memorize portions of great literature or important documents. (“Shall I compare thee to a
summer’s day? . . ,” “We hold these truths to be self-evident . . .”) The value of this exercise is obvious:
the student learns to appreciate the sound, structure and finer use of the language. The musical analogy

x Introduction
is also obvious: students wishing to learn the jazz language should memorize short and long phrases
from important jazz improvisations in order to appreciate the sound, structure and finer use of the mu-
sical language.
We diagram and analyze sentences to determine the noun and verb phrases and identify the modifiers.
We diagram sentences to learn to use the basic structures to construct our own sentences. Different mod-
ifiers can be used, the sentences reordered and the potential for expression is infinite. Musical analysis
can parallel this grammar exercise. Analyzing well constructed musical lines can teach us how to play
our own individual lines. We can borrow the fundamental principles and shapes of a well constructed
line, add or subtract decorative chromaticism and embellishments (modifiers), change the rhythmic
character and create infinite lines of individual expression.
Pat Metheny responded to a question about jazz improvisation and echoed the language analogy:
Improvising on chord changes is a lot like giving a speech about a fairly complex sub-
ject using fairly complex grammar—there is no way you can just wing it, you have to
have done a lot of research into the subject and have a pretty wide ranging vocabulary
that makes the language in all its potential available to you. much in the same way that
all of us are capable of kind of “improvising” our sentences without really thinking too
much about verbs, adjectives, pronouns, etc. A really good improviser who has studied
harmony and its implications for years can sort of just “play.” There is no getting
around it, if you are serious about playing on a tune like Giant Steps or even Phase
Dance for that matter, you will have to know everything there is to know about particular
chords, series of chords, key changes, etc. The only way to get past the problems . . . is to
practice a lot for many years and to learn all you can about music. There are no short
cuts or quick fixes. (3.24.99)
CONCLUSION
I have written three books with the goal of making it easier for students to learn all they can about jazz
music. The books are certainly not short cuts or quick fixes, but companions for many years of practice
and study. This theory book was to have been the first that I published, but I spent so much time on
Chapter 10 on common melodic outlines that it became a book itself, Connecting Chords with Linear
Harmony. Comprehensive Technique for Jazz Musicians is meant to be the practice room companion
to this theory book, though published first. Jazz Theory Resources can provide theoretical explanations
and suggestions that may be pursued in the practice room and provide insight into the organization of
jazz improvisation and composition. Music is more than the sum of the parts. This book is just about
“some” of the parts.

Chapter 1 Review of Basic Theory Materials 1
I. REVIEW of BASIC THEORY MATERIALS

This book assumes the student is more than familiar with the basics of music theory: the notes of the
staves, intervals and inversions, tertian chord construction, notation principles, key signatures and the
order of accidentals. There are a number of good books which were designed to teach these basics. This
chapter reviews a few of the fundamentals in the interest of clarity.
CHROMATIC SCALE
The one scale that all jazz musicians use is the chromatic scale. It is shown below written ascending and
descending. Altered notes want to continue in the direction in which they have been altered. Sharps in-
dicate a raised note and the direction it wants to resolve. Flats indicate a lowered note and the direction
it wants to resolve. Accidentals, when written correctly, make lines easier to read. The note above Cn is
not always a C#. It may be a Db under certain circumstances. If a line moves up from C to D through a
chromatic note, that note is C# , indicating the alteration and the direction of the resolution. If a line
moves down from D to C through a chromatic note, that note would be Db, indicating the alteration and
the direction of the resolution.
˙ œ bœ
&œ #œ ˙
Chromatic Scale: Difference in ascending and descending
& ˙ #˙ ˙ #˙ ˙ ˙ #˙ ˙ #˙ ˙ #˙ ˙ ˙ ˙ ˙ b˙ ˙ b˙ ˙ b˙ ˙
˙ b˙ ˙ b˙ ˙
? ˙ #˙ ˙ #˙ ˙ ˙ #˙ ˙ #˙ ˙ #˙ ˙ ˙ ˙ ˙ b˙ ˙ b˙ ˙ b˙ ˙
˙ b˙ ˙ b˙ ˙

2 Chapter 1 Review of Basic Theory Materials
INTERVALS & INVERSIONS

Intervals, the distance between two pitches in a melody line or in a chord, are primary musical building
blocks. It is important to understand their construction and their individual sounds. Intervals are easier
to understand and hear in the context of actual music, but a review of the principles here will expedite
understanding material presented in this book.
To find the intervals between two pitches count the first as one and continue to the second pitch. For
example, the interval from D up to F is a third: D (1) - E (2) - F (3). If the interval is inverted, D down to
F or F up to D, the interval is a sixth: D (1) - E (2) - F (3) - D (4) - E (5) - F (6), or F (1) - G (2) - A (3) - B
(4) - C (5) - D (6).
The presence of accidentals does not change the numeric value of intervals. Db to F and Dn to F are
both separated by the interval of a third: Db to F is made of four half steps and is a major third; and Dn
to F is made of three half steps and is a minor third.
Intervals will have different qualities depending on the number of half steps. Seconds can be minor, ma-
jor or augmented. Thirds are usually either minor or major. Octaves, fourths and fifths are diminished,
perfect or augmented. Sixths can be minor, major, and sometimes augmented. Sevenths are usually mi-
nor or major.
All intervals can be inverted as shown below. Inverted intervals added together equal 9:
Unison (1) Octave (8)

Second (2) Seventh (7)
Third (3) Sixth (6)
Fourth (4) Fifth (5)
Interval qualities are inverted as shown below:
Major Minor
Perfect Perfect
Augmented Diminished
An inverted third becomes a sixth and a major becomes a minor, so a major third inverts to a minor
sixth. Spelling makes an considerable difference in analyzing intervals. The pair of intervals and their
inversions below will sound the same, but are spelled and should be analyzed distinctly. An augmented
second has the same number of half steps as a minor third, but the letter names of the pitches decide
the numerical interval. Any C to any D is the interval of a second and therefore inverts to a seventh; any
C to any E is a third and therefore inverts to a sixth.
A2 d7 m3 M6
& ˙ #˙ #˙ ˙ ˙
˙ b˙ b˙
Intervals and spelling will be easier to understand with discussion of scales. Scales are made of intervals,
and intervals come from scales.

MAJOR SCALE CONSTRUCTION

There are two ways of understanding the construction of a major scale. The major scale can be defined
as intervals relating to tonic or intervals relating to adjacent pitches.
C major scale shown with intervals relating to tonic pitch:
P8
M7
M6
P5
P4
M3
˙
M2
&˙ ˙ ˙ ˙ ˙
˙ ˙
˙ ˙ ˙ ˙
?˙ ˙ ˙ ˙
C major scale shown with intervals relating to adjacent pitches:
W W H W W W H
M2 M2 m2 M2 M2 M2 m2
&˙ ˙ ˙ ˙ ˙
˙ ˙ ˙
˙ ˙ ˙ ˙
?˙ ˙ ˙ ˙
In order to create the same order of intervals starting on F, it is necessary to lower the Bn to Bb.
Most scales have one pitch for each letter, so there are only seven pitches in the scale. It is for this rea-
son that Bb is used instead of A# in the F major scale regardless of ascending or descending. This avoids
having an An and an A# in the same scale. Any additional chromatic pitches that might occur it the key
of F would follow the principle that altered notes want to continue in the direction in which they have
been altered.
W W H W W W H
M2 M2 m2 M2
˙
M2
˙
M2
˙
m2
˙
&˙ ˙ ˙ b˙
? ˙ ˙ ˙ ˙
˙ ˙ ˙ b˙

In order to create the same scale starting on G,. it is necessary to raise the Fn to F#.
W W H W W W H
M2 M2 m2 M2
˙
M2
˙ #˙
M2 m2
˙
&˙ ˙ ˙ ˙
? ˙ ˙ #˙ ˙
˙ ˙ ˙ ˙
MINOR SCALE CONSTRUCTION

Natural or pure minor is found on the sixth degree of a major scale. A natural minor scale is related
to a major scale in the sense that they share the same pitches and therefore the same key signature. An
minor is the relative minor of C major . A natural minor scale can be parallel to a major key if they
share the same tonic. C minor is the parallel minor to C major. Parallel minor can be created by
lowering the third, sixth and seventh degrees of the major scale.
C Natural Minor - Parallel Minor to C major A Natural Minor - Relative Minor to C major
&˙ ˙ b˙ b˙ ˙ & ˙ ˙
˙ b˙ ˙ ˙ ˙ ˙ ˙
˙ ˙
˙ b˙ b˙ ˙ ˙ ˙
?˙ ˙ b˙ ˙ ? ˙ ˙ ˙ ˙
˙ ˙
The natural minor scale does not have a leading tone. In order to create a dominant chord and harmo-
nize minor keys, the seventh degree must be raised. This creates the leading tone and the interval of an
augmented second between the sixth and seventh degrees. The augmented second has the same number
of half steps as a minor third, but will not sound like a minor third in the scales below. The altered lead-
ing tone is added in order to create harmony with a dominant chord, and the scale is therefore called
harmonic minor.
C Harmonic Minor: A Harmonic Minor:

A2 A2
&˙ ˙ b˙ ˙ ˙ & ˙
˙ b˙ ˙ ˙ ˙ ˙ ˙ #˙
˙ ˙
˙ b˙
A2
˙ ˙ A2
˙
?˙ ˙ b˙ ˙ ? ˙ ˙ ˙ ˙ #˙
˙ ˙

It is a natural tendency to raise the sixth and seventh degrees when ascending from the dominant to the
tonic and lower them when descending. This principle was addressed concerning chromatic scales:
raised pitches want to ascend, lowered pitches want to descend.
A Melodic Minor:
& ˙ #˙ #˙ ˙ ˙ n˙ n˙ ˙
˙ ˙ ˙ ˙ ˙ ˙ ˙ ˙
? ˙ #˙ #˙ ˙ ˙ n˙ n˙ ˙
˙ ˙ ˙ ˙ ˙ ˙ ˙ ˙
C Melodic Minor:
&˙ ˙ n˙ n˙ ˙ ˙ b˙ b˙ ˙
˙ b˙ ˙ ˙ b˙ ˙ ˙
˙ n˙ n˙ ˙ ˙ b˙ b˙ ˙
?˙ ˙ b˙ ˙ ˙ b˙ ˙ ˙
CIRCLE of FIFTHS
Review of the circle of fifths with key signatures. There are other possible keys. Continuing around the
circle would yield the keys of C# major with seven sharps and Cb major with seven flats. Using the paral-
lel keys is advisable whenever possible. Most would prefer Db (5bs) to C# (7#s) and B (5#s) to Cb (7bs).
C major/A minor
F major/D minor G major/E minor
b
0
0 #
1 b 1 #
B b major/G minor D major/B minor
2 b 2 #
E b major/C minor
3 b 3 # #
A major/F minor
4 b 4 #
# minor
A b major/F minor Emajor/C
5 b 5 #
b #
6 6
b b
D major/B minor B major/G
# minor
G b major/Eb minor
# #
F major/D minor

SCALE DEGREE NAMES

Commonly used names for the steps of any scale:
Tonic Supertonic Mediant Subdominant Dominant Submediant Subtonic Leading Tone
&˙ ˙ ˙ ˙ b˙ n˙
˙ ˙
?˙ ˙ ˙ ˙ b˙ n˙
˙ ˙
The names were derived from their relationship to tonic. This is important to understand as it shows the
importance of learning pitches as they relate to the home pitch, and not as they relate to adjacent
pitches. This principle will have great significance regarding hearing tonal music. A subdominant is not
named for being the pitch below the dominant, rather it is named for because it is the pitch a fifth be-
low the tonic.
Dominant Mediant Supertonic
&˙ œ̇œ
œ̇ œ˙
˙ Tonic
œ̇ œ̇œ b ˙œ n ˙œ
?
Subdominant Submediant Subtonic Leading Tone
KEY SIGNATURES & ORDER of ACCIDENTALS

Key signatures and the order of accidentals should be memorized.
C major/A minor No #s/Nobs

F major/D minor 1b Bb
B b major/G minor 2b Bb, Eb
E b major/C minor 3b Bb, Eb, Ab
A b major/F minor 4b Bb, Eb, Ab, Db
D b major/Bb minor 5b Bb, Eb, Ab, Db, Gb
G b major/Eb minor 6b Bb, Eb, Ab, Db, Gb, Cb
F # major/D# minor 6# F#, C#, G#, D#, A#, E#
B major/G# minor 5# F#, C#, G#, D#, A#
E major/C# minor 4# F#, C#, G#, D#
A major/F# minor 3# F#, C#, G#
D major/B minor 2# F#, C#
G major/E minor 1# F#

COMMON NOTATION ERRORS

The principles and rules of notation are designed to make the music easier to read. Here are a few
common errors. Correcting them will make homework assignments, solo transcriptions, arrangements
and compositions easier to read.
STEMS
Notes above the middle line of any clef have stems down, below middle line have stems up.
Correct stems: Incorrect stems:
&cœ œ œ œ œ œ œ œ
?c œ œ œ œ œ œ
œ œ
NOTE ALIGNMENT
Check the vertical alignment of notes. If two notes occur at the same rhythmic place, it should be visu-
ally reflected on the page. The notes in the second measure below are not aligned vertically as they are
in the first measure, making it difficult to tell which notes are to be played together.
Correct vertical alignment: Incorrect vertical alignment:
&cœ œ œ œ œ œ œ œ
?c œ œ œ œ œ œ
œ œ
ACCIDENTALS
Accidentals should precede the notes in the corresponding space or on the line as in the first measure.
If they are placed arbitrarily before the note, as in the second measure, it makes reading difficult. The
accidental should never follow the note: in a paragraph we may write “Bb,” but in the staff it should be
written “bB.”
Alignment of Accidentals:
& œ bœ bœ œ œ bœ œb œ

Accidentals should follow the logic of the chromatic scale. For raised notes: use sharps, for lowered
notes: use flats. Accidentals that indicate modulations should be used when appropriate rather than their
enharmonic equivalents.
The first two measures of the example below are drawn from a published transcription of a Charlie
Parker improvisation. The second two measures is a preferable version. The change in the first measure
from Dn to Db might seem correct since the flat lowers D. However, the C# is preferable to the Db. The C#
is a tone that indicates the modulation from the key of F to the key of D minor, is the leading tone to D
minor, and is the third of the indicated A7 chord. A Db is meaningless in this context. Would it be the
diminished fourth of the A7 chord and the lowered tonic of D minor? The Ab, as a lowered note, wants
to move down. It slows down reading when the Ab is followed by an An: the Ab indicated downward mo-
tion which was contradicted by the An. The An should have had a courtesy accidental in the first two
measures. The courtesy accidental is unnecessary with the use of G#. A Gn followed by a G# indicates up-
ward resolution, and allows anticipation of the An. Using the C# and G# also avoids having repeated
pitches of the same letter name: Dn to Db and Ab to An.
Ambiguous Accidentals: Preferred Notation:

Eø7 A7 Dm7 Eø7 A7 Dm 7
& b œ œ œ œ bœ œ œ bœ œ œ œ
œ œ œ #œ œ œ #œ œ œ
BEAMING
For instrumental writing in common time, beam eighth notes in groups of two or four, and beam six-
teenth notes in groups of four.
or:
cÛ Û Û Û Û Û Û Û ÛÛÛÛÛÛÛÛÛÛÛÛÛÛÛÛ
Beam eighth notes in groups of two, and sixteenth notes in groups of four, when writing for instruments
in triple meter.
34 Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û
The time signature 68 has the same number of eighth notes as 34, but the subdivisions should be grouped
differently to indicate the pulse difference. 68 indicates two beats per measure so eighth notes should be
grouped in threes and sixteenth notes in groups of six.
68 Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û Û

IMAGINARY MEASURE LINE
Observe an imaginary measure line between beats two and three in common time when subdivided by
eighth notes, between every beat when subdivided by sixteenth notes.
The top line notation is preferred to that on the bottom in the following examples. The notation on the
bottom line while mathematically correct is more difficult to read because the imaginary measure line
principle is not observed, making it difficult to see the separate beats in the measure. Make the notation
as easy to read as possible. If musicians have to stop a rehearsal and to count out the notes in the mea-
sure, then there was probably a more logical way to notate the rhythms.
Top line preferred to the bottom line:
Û. Û Û Û Û Û Û Û Û Û Œ Û Û Û.
J J
Û. Û. Û Û Û Û Û Û Œ Û. Û.
J J
Top line preferred to the bottom line:
Û. Û Û Û Û Û Û Û Û Û ‰ Û Û Û.
J
Û. Û. Û Û Û Û Û Û ‰ Û. Û.

10 Chapter 2 Rhythm in Jazz Performance
II. RHYTHM in JAZZ PERFORMANCE

The rhythmic language is the main element that distinguishes jazz from the European musical traditions.
Jazz music borrowed many things from European musical traditions (major/minor harmonic systems,
scales and pitch sets, instruments) but jazz has drawn much of its rhythmic heritage from the African
culture.
A single chapter could never begin to cover all the aspects of rhythm in musical performance. This
chapter will touch on rhythmic concepts that are unique and prevalent in improvised and composed
jazz performances. A basic understanding of rhythmic notation, relationships of note values, ability to
accurately read and write simple rhythms is assumed. For more background, there are many other
sources for basic rhythmic concepts and notation.
POLYRHYTHMS
No attempt will be made here to thoroughly explain the inner workings of an African drum ensemble,
but some generalizations will be helpful for understanding certain aspects of jazz rhythm. In an African
drum ensemble there are many different pulses occurring at once, making the music polyrhythmic. One
role in the band may be to play a primary pulse on a cowbell, something we could write in Western no-
tation as quarter notes. These quarter notes can be subdivided into two eighth notes. Another role is to
suggest a second pulse which could be notated as a dotted quarter, which can be divided into three
eighth notes. The two pulses will continue throughout the piece. There will probably be other pulses in-
troduced including half note triplets, and their subdivisions of quarter note and eighth note triplets.
2.1 Polyrhythms
œ œ. œ œ. œ. œ œ. œ. œ. œ
Soloist c >œ œ >œ œ œ >œ œ >œ œ œ >œ œ œ >œ œ >œ œ œ >œ œ œ >œ œ œ >œ Œ Ó
Pulse #3 c ˙ ˙3 ˙ ˙ ˙3 ˙ ˙ ˙3 ˙ >œ Œ Ó
c >œ . >œ œ >œ œ >œ . >œ . >œ œ >œ . >œ . >œ Œ Ó

J J J
Pulse #2
Pulse #1 c œ œ œ œ œ œ œ œ œ œ œ œ >œ Œ Ó
As a piece progresses, individuals may improvise rhythms suggesting combinations of the pulse; for
awhile suggesting the quarter note pulse, and other times suggesting the dotted quarter pulse. The em-
phasis of one or the other pulse is suggested by the use of accents. These polyrhythms are probably

Chapter 2 Rhythm in Jazz Performance 11
recognized now as being a part of more than just jazz, as they have permeated the American and World
pop music.
SWING EIGHTH NOTE

Defining a swing eighth note is to define the indefinable. As with all the material written about jazz, the
real meaning is in the playing, listening and the experience. Nowhere is this more true than understand-
ing the eighth note feel.
In the European tradition, the pulse can be divided into two or into three. Quarter notes are usually di-
vided into two even eighth notes, or three eighth notes as in a triplet. When dividing a quarter note in a
swing feel into a subdivision of two, the two notes are rarely of equal value. The first eighth note in a
swing feel typically has a longer duration than the second eighth note. Even eighth notes have the ratio
1:1. A dotted eighth note followed by a sixteenth note has a ratio of 3:1 and this is too much of a differ-
ence to create a convincing pair of swinging eighth notes. The jazz eighth note ratio is more commonly
explained as a ratio of 2:1, as in a triplet figure with the first two eighths tied.
2.2 Different ratios of subdivision:
1:1 3:1 2:1
œ œ œ. œ œœœ
3
Some research has been done using a computer system to time the relationship between the first and
second notes in the improvisations of artists like Oscar Peterson, Sonny Stitt, John Coltrane, Miles Davis
and many others. The results were tabulated and the average ratio was in the neighborhood of 58:42.
This ratio can be rounded to 60:40 and then reduced to 3:2. 3:2 can be conventionally notated:
2.3 Subdivision with 3:2 ratio:
3:2 3:2
œœœœœ œ. œ
5 5
This study was fascinating but it offered little help for the aspiring young jazz musician. The 3:2 ratio is
difficult to read and even more difficult to teach. The best way to understand the jazz swing feel is to lis-
ten to hours of great musicians playing jazz. A close examination reveals many different concepts from
one player to the next and even from one player within a single performance. There will be times when
the eighths notes are perfectly even, others where they will be more like the dotted rhythms, others may
fall in that indefinable area between the 3:2 and 2:1 ratios. What makes the music swing is not just the ra-
tio of eighth notes, but the combination of forward drive, swing eighth notes, well placed accents and ar-
ticulations.
The best way to understand the jazz swing feel is to listen to hours
of great musicians playing jazz. What makes the music swing is not
just the ratio of eighth notes, but the combination of forward drive,
swing eighth notes, well placed accents and articulations.

ACCENTS & ARTICULATIONS

Anyone who has practiced European art music has at one time practiced scales, being careful not to ac-
cent any notes, making long, smooth legato lines up and down their instruments. Classical music per-
formance demands the refined, lyrical, legato line be performed with no accents so musicians must
practice in order to perform it correctly. Part of the African music tradition is the use of irregular and
sometimes unpredictable accents. The accents are a way of bringing out the polyrhythmic character of
the music. The irregular accents should not be mistaken for haphazard. The music may be in march
time, while the accents played by the improviser may suggest a meter or combinations of meters that
actually extend over the measure line. If a line of eighth notes is played with no accents, the polyrhyth-
mic character is lost. I heard a pianist complimenting another pianist saying he could play all the Oscar
Peterson lines, but without the accents, and this, to him made him the better player. I think they both
missed the point. Heavy irregular accents are part of the tapestry of jazz music. In order to play Mozart,
the objective is to play smooth lines without accents. To play jazz convincingly, you must learn to con-
trol accents, not randomly, but as a part of suggesting the polyrhythmic nature of jazz.
In the European model of a common time measure, beats one and three are the strong beats with beat
one being the stronger of the two. Beats three and four are the weaker beats. From the influence of
African rhythmic traditions, in some music, the opposite is true: beats two and four get more of an em-
phasis. A traditional jazz band will play four quarter notes in a row and beats two and four will get
slightly more of an accent than beats one and three. Quarter notes will usually be played short regard-
less of their location in the measure.
2.4 Short quarter notes:
c œ. œ^ œ. œ^ ‰ œ^ œ œ œ^ œ^
J J J
Watch a jazz musician count off a tune. Usually he will snap his fingers on beats two and four to establish
the tempo and then count, “One - (snap) - two - (snap) - one - TWO - three - FOUR.” This emphasizes
the back beat rather than the traditional strong downbeats one and three. Many jazz musicians set their
metronome to click on two and four to simulate this accent. Try this rhythmic test. Sing the tune Hit the
Road Jack while clapping your hands. You are probably clapping on beats two and four, and not on
beats one and three. “Hit the Road (clap) Jack (clap)...”
The accented upbeats are not limited to the pulse but also effect the subdivisions of the pulse. Eighth
notes will get a slight accent on the upbeat rather than the downbeat. Players will achieve this by slurring
the upbeat to the downbeat. Horn players will tongue the upbeats and slur to the downbeats. Guitarists
may pick the upbeat and hammer the finger or slide to the downbeat. String players must change the
bow on an upbeat rather than the downbeat as they may have been accustomed.
2.5 Accented upbeats:
> > > >œ ˙

&c œ œ œ œ œ œ Ó
œ
Many jazz lines end on an upbeat and these notes should be accented. Remember, that to accent a note
it must be louder than the surrounding notes. Often this means playing the surrounding notes softer. It is
hard to play a line with all loud notes and then play a note with an accent. Making the surrounding
notes softer will help the accented note stand out.

be notated with a “^” symbol.

Lines that end on short notes on the upbeat should are usually played short and accented and will often
2.6 End on short accent:
^ ^ ^
c œ œ œ œ Œ œ œ œ œ Œ œ œ œ œ
do ba do DAHT do ba do DAHT do ba do DAHT
Long notes on the upbeat at the end of lines should also be played with an accent.
2.7 End on long accent:
> > >

c œ œ œ œ œ œ œ œ œ œ œ œ œ œ ˙ Ó
do ba do DAH do ba do DAH do ba do DAH
Upbeat dotted quarter notes lead to a downbeat and should be accented.
2.8 Accented upbeat:
>œ . . . .œ . œ b >œ . ^œ
&c ‰ œ œ œ J Œ Ó
DAH dot dot dot dot do DAH DAHT
The upbeats of a jazz line generally get accented, but the shape of the line is the most important thing to
consider when determining accents. The top notes of a line and any changes of direction call for an ac-
cent. The resulting accents will often suggest another pulse and help create the polyrhythms inherent in
jazz. In the following example (which is closely related to a favorite line of Charlie Parker) the top notes
of the line should receive an accent. These accents create a counter-rhythm to the four quarter notes per
measure. The resulting rhythm is a series of dotted quarter notes. This kind of accenting is often called
“bopping the top” of the lines.
The shape of the line is the most important thing to

consider when determining accents.
2.9 “Bopping the top:”
j
œ. œ. œ. œ. œ. œ. œ
> 3 > > > > > ^
&c ‰ # œj œ b œ œ œ œ # œ œ œ # œ n œ b œ œ œ # œ œ b œ œ œ œ
Many of the tunes used for jazz improvisations are show tunes, and are often written with very simple
melodic rhythms. Jazz improvisers will almost never play the melody the way it is written in sheet music.
Often, the first “improvements” made by a jazz improviser are to the melodic rhythms. Important notes

which typically land on the downbeat will be moved ahead to the upbeat. The anticipation pushes the
melody forward, and calls attention to the more common upbeat accents. While some notes are played
earlier, others are delayed, and others may be hurried along to make up for differences.
Here is a five-note melodic idea as it may appear on sheet music.
2.10a “Square melody”
&c œ œ œ œ Ó
˙
And here are a number of ways a jazz musician may alter the rhythms to “jazz them up.”
2.10b Delaying the first note, 2.10c Anticipating beats three and one.
anticipating the final note.
j. . > . > >

& c ‰ œ œ œ œ œ ˙ Ó c
& œ œ œ œ œ Ó
œ ˙
2.10d More anticipation. 2.10e Downbeat followed by upbeats.
>j > . >

c ‰
& œ œ œ œ œ Ó c ‰ j
& œ œ œ œ j‰ Ó
œ ˙ œ ˙
2.10f 3 down, 2 up. 2.10g Starting with upbeat.
. . > . > - ^
c ‰
& œ œ œ œ j Ó &c Ó Œ ‰ œj ‰ œ . œ
œ ˙ œ œ
2.10h Using a repeated note (iteration). 2.10c Delayed by a beat and the rest
hurried along.
>j > > ^ ^ ^

&c ‰œ œœœœœ ∑ & c Œ œ œ œ œ œ ∑
œ
2.10j Ending on a downbeat preceded by an accented dotted quarter.
. . > ^
c j
& œ œ œ œ. Œ Ó
œ
Long notes, any value from a dotted quarter note and above, are usually played forte-piano (Í ). There
may be a slight crescendo at the end of the note into either the cut-off or the next melodic pitch. This is

more prevalent in ensemble work than in improvisation and will vary in intensity depending on the en-
semble.
In early baroque music, articulations and phrase markings were not included. The player was expected to
know how to phrase and articulate in the style. The same is true for much of the music written for jazz
bands. The jazz musicians were expected to see the notes and interpret them in a jazz style. Probably few
of the earlier jazz musicians thought a great deal of exactly what things went in to making the music
sound like jazz, relying on their ears to imitate and govern their decisions. In a rehearsal recently, a sea-
soned professional was reluctant to provide verbal details on how to articulate certain unmarked pas-
sages. He then played the passages for the younger players. He expressed surprise at playing quarter
notes short and playing all the long notes forte-piano. For him this was just part of how to make it sound
like jazz. Historically, this and many other aspects of jazz have been learned and passed on aurally:
learning by imitating the master. This underscores another major difference in the European and
African cultures. The European tradition of learning involves the written page. The African oral tradition
depends on the master/apprentice approach. There are no African drumming etude books in the
African drum tradition.
Most contemporary music published for jazz ensembles includes all articulation markings, in part due to
the large education market. While this might insure a more accurate performance of the composer’s
ideas, there is still no substitute for listening to the style and imitating. One disadvantage to reading
charts with all articulations written in is the students never develop the critical skills to make the appro-
priate articulations and phrasing decisions themselves. There is no substitute for the aural experience.
There is no substitute for the aural experience.
RHYTHMIC ROLES
For a basketball, baseball or soccer team to be successful, each member must understand their role and
its relationship to the rest of the team. This is also true in the African drum ensemble and the jazz
rhythm section. What follows is some general guidelines for the roles and responsibilities within the jazz
rhythm section. With any jazz performance, depending on the players, the historical period and the
time of night, these lines of demarcation may be clear or deliberately obscured. Determining the basic
roles will help in understanding the foundation and help to understand the deviations from the norm.
The pulse is generated from two parts of the rhythm section: the ride cymbal and the bass. The ride
cymbal pattern can be many variations of quarter and eighth note combinations, but fundamentally has
to supply the quarter note pulse. Without the solid pulse as a foundation there can be no subdivision of
that pulse. The bass player locks in to that quarter note pulse and “walks” a quarter note accompani-
ment. The backbeat is emphasized by the drummer’s hi-hat closing on beats two and four. The bass
player may slightly emphasize the backbeat by accenting two and four with the hi-hat. Once these roles
are established, the subdivisions can be easily felt.
The drummer may add a pair of eighth notes on the back beats creating what is generally considered
the jazz “ride” pattern. This may be only a point of departure for many great jazz drummers. The pair of
eighth notes may shift and in doing so imply time signatures other than 44 . Within an eight measure
phrase you may hear:

2.11 Ride cymbal pattern implying multiple mixed meters:
c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
The bass player adds to this by playing subdivisions between his quarter notes. Often these notes are
muffled or ghosted. These little spit notes have more importance as rhythm than pitch.
2.12 Bass line with ghosted “spit” notes:
?
b c œ œ ¿ œ nœ ¿ œ œ bœ ¿ nœ œ ¿ ¿ œ œ bœ ¿ œ bœ œ ¿ nœ bœ Œ Ó
In a rock beat, the bass drum has the role of providing the pulse while the snare has the backbeat. In a
swing feel, the pulse is played by the ride cymbal while the hi-hat plays the backbeat. That leaves the
snare drum to accent other rhythmic figures. Some possible snare drum combinations include:
2.13 “Charleston” rhythm:
c œ. œ Ó
J
Anticipation of beats one and three:
2.14 Anticipated accompaniment rhythm:
c Œ ‰ œ Œ ‰ œ
J J
A combination of “Charleston” rhythm displaced and on the beat:
2.15 Combination accompaniment rhythm:
c ‰ œ Œ œ Œ œ ‰ œ Ó
J J
The guitarist and pianist can reinforce the snare drum rhythms shown in 2.13-2.15. The use of combina-
tions of quarter note and dotted quarter rhythms add to the polyrhythmic character. Listen to some of
the great jazz rhythm sections and how they develop the rhythmic interplay while accompanying
(“comping” for) a soloist. The rhythm sections of the Miles Davis Quintet from the 1950’s with Philly

Joe Jones on drums, Paul Chambers on bass, and either Red Garland or Wynton Kelly on piano provide
excellent listening models. Ex. 2.16 represents possible accompaniment figures which could be played
by the guitarist or pianist and maybe also the snare drum using rhythms from ex. 2.13-2.15. It is unlikely
that all would decide to play the same figures without prior planning. The structural places in a piece will
usually be anticipated with an upbeat of four accent. In the blues, this may occur at the end of four mea-
sure phrases as shown below.
2.16 Possible “comping” patterns for Blues:
F7 b
B 7 F7 Cm7 F7 b B 7
& c Û. Û Ó Û. Û Ó ‰ Û Œ Û Œ Û. Û ‰ Û ‰ Û
J J J J J J
1 b
B 7 #
G °7/B F7 Aø7 D7 Gm 7
& Û. Û Ó ‰ Û Œ Û. Û Œ ‰ Û Œ ‰ Û Œ ‰ Û ‰ Û ‰ Û
5
J J J J J J J J
Gm7 C7 F7 D7 Gm7 C7
& Û. Û Ó ‰ Û Œ Û Û ‰ Û | ‰ Û. Û. Û |
9
J J J J
There are times when long streams of dotted quarter notes may be superimposed over the common
time groove. Listen particularly to the rhythm sections of the John Coltrane Quartet where Elvin Jones
on drums and McCoy Tyner on piano play streams of dotted quarter rhythms over the steady common
time bass lines. Ex. 2.17 illustrates the dotted quarter rhythm over the last four measure of the blues.
2.17 Last four measures of Blues:
#
b b b9 b
j
Gm9 D 13 C9sus4 C13
j
G 13 Fm aj7 D7 13
j
Gm9 C13 G 13 F13
& b c Œ œœœœ œœœ b b œœœœ ...

œ œœœ .. œœœ œœœ b b b œœœ ‰ œœ Œ n œ . œj œœœ ‰ b b b œœœ ... b œœ Œ Ó
. œ .. œ œ œ œœ œœ ... œœ
#œ nœ
œœœ
œ œ œ . œœ
?b c œ œ b œ œ bœ œ Œ Ó
œ œ œ nœ œ bœ œ œ œ bœ œ
The Miles Davis Quintet rhythm sections of the early 1960’s with Ron Carter on bass, Tony Williams on
drums and Herbie Hancock on piano stretched the boundaries of polyrhythms more than ever before,
creating great waves of rhythmic dissonance between the drums and piano and the steady pulse from
the bass. This group has recorded some trio and quintet material together in the 1970’s and 1980’s.
When listening to them stretch rhythmic boundaries, note how often the eight measure phrase served as
a guidepost for resolving rhythmic dissonances.
The bass drum in contemporary jazz is usually used to accent major structural points or strong accents
in the music. It is rare in modern playing to hear the bass drum play the “four on the floor” four beats
per measure on a swing feel.
The jazz improviser, as the improviser in the African drum ensemble, plays a variety of rhythms over
the top of the rhythm section. The basic rhythmic currency for swing improvisation is the swing eighth,
but rhythmic variety is created in a number of ways. Accent groupings of two eighth notes correspond to
the quarter pulse while accent groupings of three eighth notes refers to the secondary dotted quarter

pulse. A jazz improviser, having established the eighth note, will use any combination of other subdivi-
sions and rhythmic units.
I often ask, when standing in front of a student band, “Who keeps the time in the band.” Almost every-
one in the band will point at the drummer. It is everyone’s job to keep the time. A drummer cannot fix
the bad time played by one, much less sixteen other musicians. When I was a young novice player, I sat
in with an outstanding bass player and drummer. They did not swing nearly as well when I played with
them. It was clearly not them, but me. It was a valuable learning experience. A saxophone student in an
improvisation class once complained that the rhythm section was not keeping good time and would oc-
casionally play wrong chords. The next time through the tune I stopped the rhythm section and allowed
the saxophone to play an unaccompanied chorus. He could not keep the time or the changes by him-
self. It pointed out something to all of the class: keeping time and the chords was everyone’s responsibil-
ity. We practiced a drill for a few rehearsals to gain control of these elements. Every one played one
chorus with accompaniment and one without until we all could make it through the form keeping the
time and playing the chord changes convincingly. Drummers learned to play the tune and keep the
form on their solos.
HARMONIC RHYTHM in JAZZ PERFORMANCE

Harmonic rhythm is the rhythm of the harmonic changes. If chords change every two beats, the har-
monic rhythm is half-notes. If chords change every four beats, the harmonic rhythm is whole notes.
There is a variety of harmonic rhythm in jazz performances and not all of it corresponds to the meter
or to where it is written on the page.
If there is one chord per measure in 44, we expect the bass to play the root of the chord on beat one,
corresponding to where the chord symbol is notated on the page. The pianist or guitarist may anticipate
each chord symbol playing the changes on the upbeat of four. This is part of the polyrhythmic energy
of a jazz rhythm section. The melody or improvised solo may play with the bass, with the accompani-
ment instruments, anticipate the changes even more, or delay the resolution into the next measure. It is
important to remember this when analyzing written solos. We confine the written notes of a line to mea-
sures for reading ease, but the harmonic implications are not always confined to those measures. The
vertical alignment of notes may often seem senseless, but when viewed in the larger harmonic scheme
the soloists may have anticipated or suspended the melodic material of one chord over another chord.
This is not unique to jazz; church hymnals and music from all style periods are full of suspensions and
anticipations. Jazz suspensions may involve several notes. Do not fall into the trap of labeling everything
by its vertical arrangement. Music is heard and conceived in a linear manner and should be studied in
the same way.
Music is heard and conceived in a linear manner and

should be studied in the same way.
Below is an example of how different harmonic rhythms may be suggested in a jazz performance. The
discrepancy created by the different players making the chord changes occur at different times is a large
part of what makes the jazz performance interesting. The rhythmic and melodic pieces sometimes agree
and sometimes clash, creating waves of consonance and dissonance.
A chord chart may show the harmonic rhythm as whole notes: Dm7 for four beats, G7 for four beats and
C major 7 for eight beats. The bass player may directly follow the chord chart playing the roots of the
chords on the downbeats as shown. The pianist or guitarist may anticipate or delay the changes. In the
example below, the pianist anticipates the Dm7, delays the G7, and anticipates the C major 7. A soloist
has more freedom and may anticipate or delay a great deal when creating his lines. The trumpet line
begins the Dm7 on the upbeat, and the 3-5-7-9 arpeggio of the Dm7 begins on the fourth beat and spills
over into the G7 measure. G7 is clearly heard on the third beat with a 3-5-7-b9 arpeggio and again the

line spills into the next measure before coming to rest on the C major, a half note later than the chord
chart suggests. Being aware that all music is experienced in linear time will help in understanding the
necessity of linear and not strictly vertical analysis of music.
2.18 Harmonic rhythm discrepancies in jazz performance:
œ œ œ œ bœ œ
Dm7
œ œ
G7 Cmaj7
&c ‰ J œ œ œ œ œ bœ œ œ
Trumpet
œ œ #œ ˙
Dm7 G7 Cm aj7
Piano &c Û Û ‰Û| ‰ÛŒ Û . Û Û. ÛÓ
J J J J J
?c œ œ œ #œ œ œ œ bœ œ œ ˙
Dm7 G7 Cmaj7
Bass
THE LARGER VIEW: FORM as RHYTHMIC STRUCTURE

Many music theory books include a rhythmic subdivision chart showing the whole note subdivided into
two halves, the halves into quarters, and so on down to sixteenths or maybe thirty-second notes. It is bet-
ter to begin with something larger than the whole note for an overview of rhythmic subdivision. A whole
note is a small unit of time in relationship to the entire piece, so a better place to begin may be with the
entire piece.
The first line (1.) of the graph below, represents entire piece from beginning to end, Imagine that the
entire piece represents one unit of time, which will be five minutes for the sake of this discussion. The
second line (2.) shows the piece divided into five choruses or repetitions of an AABA form. Each chorus
represents a subdivision of the original time unit. Most of the jazz standard tunes used as vehicles for
improvisation fall into one of the following forms:
BLUES: usually 12 measures, sometimes 16 or 24 measures.
AABA: all usually 8 measures in length. The second and last A section may be slightly different
than the first. The second A may lead to the B, and the last A provides some closing mate-
rial. (Example AABA tune: I Got Rhythm)
ABAB 1 : all usually 8 measures in length. The second B may be slightly different than the first.
The first B leads back down to the second A, where the second B provides some closing ma-
terial. (Example ABAB tune: Just Friends)
(More will be discussed regarding form and its relationship to

harmonic analysis in a later chapter.)
By zooming in on one chorus (3.), a subdivision of the original unit, its own subdivision is revealed.
Each chorus is further subdivided into four eight measure phrases labeled AABA. Zooming in another
power at (4.) reveals the A section further subdivided into eight different measures. This eight measure
phrase can be heard as four two measure phrases or two four measure phrases. It is important to be able
to hear and respond musically within these larger units of time, not just the smaller units of note values
within a measure.

2.19 Large form rhythmic subdivision:
1. ENTIRE PIECE
2.
CHORUS I CHORUS II CHORUS III CHORUS IV CHORUS V
(AABA form) (AABA form) (AABA form) (AABA form) (AABA form)
3.
A A B A
8 measure phrase 8 measure phrase 8 measure phrase 8 measure phrase
4.
2 measure phrase 2 measure phrase 4 measure phrase
The eight measure fragment (4.) from the previous graph can be divided into one-measure segments.
The single measure is represented by the whole note in the graph below. This single measure in 2.20
must be viewed in the larger scope as a subdivision of an eight measure phrase (4.) which is a part of a
thirty-two measure AABA form (3.) which may repeat several times to create the entire piece (1. & 2.)
With this larger perspective, the discussion of the whole note chart showing the note values and rela-
tionships is appropriate.
2.20 Single measure rhythmic subdivision
˙ ˙
œ œ œ œ
œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ
3 3 3 3
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ

Seasoned improvisers and composers sense and feel larger units of time. An improviser learns to feel
an entire thirty two measure form. Sometimes a musician will improvise several times through the form,
sensing one hundred and twenty eight measures, building his ideas to a logical conclusion. A improviser
may learn to feel a thirty-two measure form as one unit of a four-chorus improvisation. Within each
form, the eight measure phrase is shaped by all members of the band. In fact, just as a beginning musi-
cian can tell the difference between beats one and four, an experienced jazz musician senses the differ-
ence between the first A and the last A of an AABA form. With this perspective knowing where beat
three is in a measure is analogous to knowing where the B section is in an AABA form. The B is the
third beat of the form, the form being an augmentation of the measure. This takes some time to master,
as any beginning improviser who has lost the form will attest.
To continue this example, say the jazz performance of this piece lasts for five minutes (the Entire Piece).
The band plays the melody of the song for the first minute (Chorus I: AABA). The alto sax improvises
over the form for a minute (Chorus II), followed by the trumpet (Chorus III), and the piano (Chorus IV).
The band plays the melody again at the end (Chorus V). The entire piece being subdivided into five
parts makes the jazz performance very much like the five paragraph paper form as shown below:
Jazz Performance Five Paragraph Paper

Statement of the melody: Introduces the form and Introductory paragraph: Tell them what you are
themes on which the band will improvise. going to tell them.
Alto solo: The alto player expresses his version of Paragraph One: Discuss one aspect of the subject.
the melody and harmony.
Trumpet solo: The trumpet player expresses his Paragraph Two: Discuss another aspect of the sub-
version of the melody and harmony. ject.
Piano solo: The piano player expresses his ver- Paragraph Three: Discuss another aspect of the
sion of the melody and harmony. subject.
Restatement of the melody: Reminds the listener Closing paragraph: Tell them what you told them.
of original themes.
PLACEMENT of the NOTES

One deficiency of the standard notation system is its inability to show minute variances in placement of
individual notes. A simple line composed of eighth notes can be played in different ways depending on
the placement of those notes in relationship to the pulse. Different players will, in varied musical set-
tings, play slightly ahead of, right on top of, or slightly behind the actual pulse. These variances in the
hands of mature players give life to the performance. In younger players it may be an underdeveloped
sense of time, and they actually may be rushing or dragging the pulse.
There are some players who consistently play slightly ahead of the beat which can give the music a for-
ward drive. They are not necessarily rushing the beat, but just pushing it ahead by playing “on top” of
the beat. There are other players who, no matter how the rhythm section is playing around them seem
to play their notes squarely in the middle of the pulse. Others can artfully play just behind the band,
creating at once a laid-back feeling and a tension from the pull created by the rhythmic discrepancy be-
tween the soloist and the rest of the band. Anyone who has heard music created on computers and
quantized to “perfect” rhythmic units knows how inhuman perfection sounds. The push-pull inaccuracies
are part of the life-blood of the music. But do not throw your metronomes away quite yet. Mature play-
ers gain a great sense of where the pulse is and adapt to musical situations. They can shift from playing
ahead to playing behind, always knowing where the actual pulse is. To be able to play around the pulse
effectively and convincingly, one has to know where that pulse is. A beginning improviser should prac-
tice playing with a metronome and develop a strong sense of pulse before attempting to play around
that pulse.

A beginning improviser should practice playing with a

metronome and develop a strong sense of pulse before
attempting to play around that pulse.
SYNCOPATION STUDIES
The eighth note is the basic unit of currency for jazz, but it is the groupings of the eighth notes that cre-
ate the rhythmic business. Syncopation is created by a shift of the accent in a musical passage, where
beats that were normally weak may now be accented. Typically in the European model, within a quarter
note pulse, every other eighth note is on an accented down beat. By accenting every third eighth note, a
shift will occur contradicting the basic pulse. This is the most fundamental type of syncopation used in
jazz: the dotted quarter pulse (grouping of three eighth notes) against the quarter note pulse (grouping
of two eighth notes). This is one of the many rhythmic characteristics borrowed from African culture. In
jazz performances, the polyrhythms usually fit into the eight bar phrases defined by the forms of many
show and pop tunes which are the basis for so much of the jazz literature. Much of the syncopated dis-
sonance with the primary pulse is resolved after four or eight measures. There are thirty-two eighth notes
in a four measure phrase which divides into sixteen even quarter note beats. Thirty-two is not divisible
by three (the dotted quarter pulse) without a remainder of two. The jazz improviser/composer uses mix-
tures of threes (dotted quarter pulse) and twos (quarter pulse) to create the cross-rhythms associated
with jazz.
The dotted quarter note imposition can occur anywhere in the measure and can be articulated in many
ways. In the following example, the dotted quarter rhythm occurs on beat one. It is shown with four dif-
ferent articulations: long-long, long-short, short-long, and short-short. This rhythm is typically called the
“Charleston Rhythm.”
2.21 Different articulations of the “Charleston Rhythm”
c œ. œ ˙ œ. œ Ó œ ‰ œ ˙ œ ‰ œ Ó
J J J J
A dotted quarter note is equal to three eighth notes, and three can be expressed as 3, 2 + 1, 1 + 2 and 1
+ 1 + 1. In musical notation that would be a dotted quarter (3), a quarter and an eighth (2 + 1), and
eighth and a quarter (1 + 2), and three individual eighth notes (1 + 1 + 1). In many musical passages
where the dotted quarter pulse “Charleston Rhythm” is implied, it may be divided into any of these
combinations:
2.22 Variations of the “Charleston Rhythm”
(3) (2 + 1) (1 + 2) (1 + 1 + 1)
c œ. œ ˙ œ œ œ ˙ œ œ ‰ œ ˙ œ œ œ œ ˙
J J

Negative space is implied space created by a positive image. Below are four black boxes (positive
space). The negative space, a white cross, is also clearly visible and important to the image.
2.23 Negative space
Visual artists depend on the recognition of negative space. The concept of negative space is also impor-
tant in music. Any pitches that are played (positive space) may imply other pitches that are not played.
A certain pitch may be stressed by playing a number of pitches around that pitch that point to that
pitch, while never actually playing the pitch. This type of manipulation is one thing that creates dra-
matic interest in the music. As with pitches, any rhythm that is played (positive space) may imply a
rhythm not played (negative space).
The dotted quarter “Charleston Rhythm” is shown on the top line repeated over a four measure phrase,
creating a constant dotted quarter pulse against the quarter note pulse. The bottom line in the following
examples shows the rhythm of the notes that are not being played by the top line. The bottom line is
then the negative space of the top line.
Try dividing the class into two sections. Have one section tap the top lines and the other tap the bottom
lines on this and following examples. Switch every four measures.
2.24 Dotted quarter “Charleston Rhythm” extended over four measure phrase shown with
implied negative space rhythms:
c œ. œœ œ œ œ. œ. œ œ œ œ œ. œ. œœ œ œ Œ Ó
J J J J J
c ‰œœ œœ‰œ œ œœ‰œœ œœ‰œœ œœ ‰œœ œœ‰œ œ Œ Ó
J J J J J J
This may sound like a mathematical game, and it can be, but here are some musical examples that occur
frequently and naturally. Dexter Gordon, in a blues improvisation, and Dave Brubeck both used the
negative space rhythm from ex. 2.24.
2.25
œ. œ. œ. œ. ˙ œ. œ. œ. œ. ˙
b . ‰ œj œ. œ b œ Œ
& b c ‰ œj œ œ b œ ‰ œj œ œ bœ Ó
b Xœ
œ œ Ó

2.26
œ. œ. œ. œ. ˙
œ œ œ œ
&c ‰ J ‰ Jœ œ œ œ Ó
The dotted quarter rhythm from ex. 2.24 can be displaced by an eighth note creating the following line
shown with positive and negative rhythms.
2.27 Dotted quarter rhythm displaced and extended over four measure phrase shown with
c ‰ œ. œ. œ œ œ œ œ. œ. œœ œ ‰ œ. œ. œ œ Œ Ó
J J J J
c œ œœ‰œœ œœ‰œœ œœ ‰œœ œœ‰œ œ œœ‰œœ œ Œ Ó
J J J J J
Duke used the negative rhythm from ex. 2.27 in the piece It Don’t Mean a Thing if it Ain’t Got That
Swing.
2.28
j j j
‰ œ. œ. œ œ œ œ œ. œ. œ œ œ ∑
b
& b c Œ œ œ ‰ œJ œ œ œ ‰ œ œ œ œ ‰ œ œ œ œ ‰ œ œ Œ Ó
J J J
It appears at this point that if you use these syncopated

rhythms, you will be playing either The Charleston, or It Don’t
Mean a Thing if it Ain’t Got That Swing!

The dotted quarter rhythm from ex. 2.24 can be displaced by a quarter note creating the following line
shown with positive and negative rhythms.
2.29 Dotted quarter rhythm displaced and extended over four measure phrase shown with
c Œ œ œ œ. œ. œœ œ ‰ œ. œ. œ œ œ œ œ. œ Œ Ó
J J J J
c œœ‰œœ œœ ‰œœ œœ‰œ œ œœ‰œœ œœ‰œœ œœ œ Œ Ó
J J J J J
You can see the negative rhythm from ex. 2.29 in the following melody composed by Sonny Rollins.
2.30
œ œ ‰ œ bœ œ nœ ‰ œ bœ œ nœ ‰ œ ˙ j
& c ‰ œj œ # œ œ œ œ œ J J J bœ . œ
The next stage in developing a sense for these rhythms involves understanding the subdivision of the
dotted quarter notes. As discussed previously and shown below, the dotted quarter note equals three
eighth notes which can be expressed as 3, 2 + 1, 1 + 2 and 1 + 1 + 1.
2.31 Variations of the dotted eighth note “Charleston Rhythm”
(3) (2 + 1) (1 + 2) (1 + 1 + 1)
c œ. œ ˙ œ œ œ ˙ œ œ ‰ œ ˙ œ œ œ œ ˙
J J
More musical rhythmic material can be created by substituting combinations of the variations to the
dotted quarters in ex. 2.24, 2.27, 2.29. In the following several examples, every other dotted quarter value
is substituted with another combination of a quarter and an eighth (2 + 1), and eighth and a quarter (1 +
2), or three individual eighth notes (1 + 1 + 1). Changing the rhythm will also change the implied nega-
tive space rhythm.
2.32 Ex. 2.24 with the pattern: (2 + 1), 3, (2 + 1), 3, etc.
c œ œœœ œ œ œ. œ œ œ œ œ œ œ. œ œœœ œ œ Œ Ó
J J
c ‰œŒ œœ‰œ Œ œœ‰œŒ œœ‰œŒ œœ ‰œŒ œœ‰œ œ Œ Ó
J J J J J J

c ‰ œ ‰ œ œ. œ ‰ œ œ ‰ œ ‰ œ œ. œ‰œœ ‰ œ ‰ œ œ. œ œ Œ Ó
J J J J J J J J J J J
c œ œ ‰œœ œ ‰œœ œ ‰œœ œ ‰œ œ œ ‰œœ œ Œ Ó
J J J J J
c Œ œ œ œ. œ œœœ œ œ œ. œ œ œ œ œ œ œ. œ Œ Ó
J J J
c œœ‰œŒ œœ ‰œŒ œœ‰œ Œ œœ‰œŒ œœ‰œŒ œœ œ Œ Ó
J J J J J
c œ œ ‰ œ œ œ œ ‰ œ. œ œ ‰ œ œ œ œ ‰ œ. œœ‰œœ œœ œ Œ Ó
J J J
c Œ œ œœŒ œ œœŒ œ œœŒ œ œœ Œ œ œœŒ œ Œ Ó
If you are singing along, you probably noticed that the negative
space to ex 2.35 resembles the Dizzy Gillespie tune Salt Peanuts.
2.36
j
œ. œ. œ. œ
&c Œ bœ Œ bœ Ó
bœ œ bœ œ
Salt Pea nuts Salt Pea nuts

c ‰ œ œ œ. œ œ œ œœœ œ. œœ œ œ œ œ œ. œ œ Œ Ó
J J J J
c œ ‰œ‰œœ ‰œ‰œœ ‰œ ‰œœ ‰œ‰œ œ ‰œ‰œœ œ Œ Ó
J J J J J J J J J J
c Œ œ œ ‰ œ. œ œ ‰ œ œ œ œ ‰ œ. œ œ ‰ œ œ œ œ ‰ œ. œ Œ Ó
J J
c œœŒ œ œœ Œ œ œœŒ œ œœŒ œ œœŒ œ œœ œ Œ Ó
2.39 Ex. 2.24 with the pattern: (1 + 1 + 1), 3, (1 + 1 + 1), 3, etc.
c œ œ œ œ œ œ œ œ œ. œ œ œ œ œ œ œ œ œ. œœœœœ œœ œ Œ Ó
J J
c Ó œœŒ Œ œœÓ œœŒ Œ œœ Ó œœŒ œ Œ Ó
c ‰ œ œ œ œ. œ œ œ œ œ œ œ œ œ. œœœœ œ œ œ œ œ. œ œ Œ Ó
J J J J
c œ Œ ‰œœ Œ ‰œœ Œ ‰œœ Œ ‰œ œ Œ ‰œœ œ Œ Ó
J J J J J

c Œ œ œ œ œ. œ œ œ œ œ œ œ œ œ. œ œ œ œ œ œ œ œ œ. œ Œ Ó
J J J
c œœŒ Œ œœ Ó œœŒ Œ œœÓ œœŒ Œ œœ œ Œ Ó
A musician involved in the creation of music needs several rhythmic skills including:
• a strong sense of pulse and its subdivision
• a strong sense of any secondary polyrhythmic pulses and their subdivisions
• the ability to aurally recognize and create music using rhythmic material
• the ability to visually recognize and interpret rhythmic material in written music
Singing and tapping the rhythmic examples in this chapter will help develop the rhythmic indepen-
dence, the aural and visual recognition needed to read, invent and interpret rhythmic musical material.
SYNCOPATION in the JAZZ WALTZ

The majority of the music played by jazz musicians is in common time, four beats to the measure. Jazz
musicians do have a version of the waltz that goes beyond “oom-pah-pah.” The syncopation principle is
the same. If the primary pulse is a quarter note, the secondary pulse is a dotted quarter. Three quarter
notes per measure defines the waltz. A superimposition of two dotted quarters creates the feeling of 68
meter with the first dotted quarter on beat one, the second on the upbeat of two. Displacing the two dot-
ted quarters by and eighth note puts a dotted quarter on the upbeat of beat one and another on beat
three. All three rhythms are shown in ex. 2.42. It may help to hear the combination of dotted quarter
rhythms by singing “Who parked the car?” as shown.
2.42 Jazz Waltz
3
& 4 ‰ œœœœ .... œœœ
œ
‰ œœ ..
œœ .. œœœ ..
parked car? parked
œ
car?
? 34 œ . œ. œ. ..
œ.
34 Who
œ œ the
œ œ
Who
œ the œ ..

POLYRHYTHMS in PERFORMANCE
All of the discussion of possible rhythmic variations and superimpositions are meaningless and merely
mathematical games without understanding and recognizing their place in musical performance. Many
ask, after studying the previous material, how to get these ideas into their own playing. It is beneficial to
study several examples from jazz performances to see how great jazz artists incorporate polyrhythms in
their improvisations and compositions. Several examples have already been shown from Dexter
Gordon (ex. 2.25), Dave Brubeck (ex. 2.26), Duke Ellington (ex. 2.28) and Sonny Rollins (ex. 2.30).
To learn language or a craft of any kind, the proven method is to study the masters. To develop individ-
ual vocabulary within that craft one must borrow from the vocabulary of those masters. This may seem
contradictory to develop individual vocabulary by borrowing from others. What one does with the bor-
rowed material is what separates mimicking and parroting from true personal development.
I composed a blues that used nothing but Parker lines, stolen to show students ways to develop ideas
from borrowed material. I called the piece Ornithelestes which means literally “Bird-stealer.” Anyone
who plays jazz is just that, whether they intended to or not, as Parker, the “Bird,” has influenced so many
jazz improvisers.
The following example is created with a line borrowed from Parker that has a different conclusion
added. Beginning with the pick-up notes, the melodic accents are based on the dotted quarter pulse
shown creating a secondary pulse to the primary quarter note pulse of the bass line.
2.43 Line similar to Charlie Parker line:
j
œ. œ. œ. œ. œ. œ. œ
>j 3 œ >œ œ # œ >œ n >œ
&c ‰ #œ œ bœ œ # œ b œ œ >œ # œ œ b>œ œ œ ^œ
?c œ bœ nœ œ
Gm7 C7 F
∑ œ bœ nœ œ
œ
The superimposed dotted quarter note pulse need not be constant. Shifting between combinations of
quarter and dotted quarter groupings makes this improvised line by Miles Davis interesting. The implied
divisions are shown above the line for reference.
2.44
˙ œ. œ. œ. œ. œ œ. œ.
> . > .
& b c œ œ œ œ œ œ œ ‰ œJ œ œ œ. ‰ œ >œ œ œ œ œ Œ
J
Clifford Brown used the dotted quarter note pulse to break up an otherwise straight forward eighth note
line. The idea began in the second complete measure and for the two measures Brown implied 3, (2 +
1), 3, (2 + 1), 3, and 2 before continuing the line with eighth notes. This idea recurred in many forms
throughout this solo.

2.45
œ bœ œ bœ j
œ œ œ bœ œ œ bœ . œ œ œ œ œ œ œj b œ . œJ
3
&b c Ó Œ
J
& b œ œ bœ œ nœ œ œ bœ bœ œ Œ Ó
Displaced accents are created by odd combinations of twos and threes and give the music the excite-
ment and unpredictability that makes listening challenging and interesting. Parker, in the melody to Au
Privave began with suggested dotted quarter groupings and slipped in a pair of displaced quarter notes
in the ex 2.46 below. Parker continued the play on the dotted quarter note in mm.5-6 of the same piece,
shown in ex. 2.47.
2.46
œ. œ. œ. œ œ œ.
j
& b c œ œ œ Œ œ # œ œ ‰ œj ‰ œ œ œ
œ œ
2.47
œ. œ. œ. œ. œ œ
œ
& b c n œ . J ‰ Jœ b œ ˙ bœ œ œ œ
A pair of superimposed dotted quarter rhythms are sequenced in this improvised example from Charlie
Parker.
2.48
‰ œ. œ. œ. œ Ó ‰ œ. œ. œ. œ Ó
b b c ‰ j œ œ3 œ œ ‰ j œœœœ Ó
3 3 œ
‰ b œj œ œ œ ‰ œj œœœœ Ó
3
& œ œ

In the first two measures of this improvisation, Parker emphasized the downbeats one and three by com-
ing to rest on chord tones and using notes with longer values. The second two measures had no melodic
motion as Parker just drew attention to the rhythmic superimposition of dotted quarter values.
2.49
˙ ˙ ˙ ˙ œ. œ. œ. œ. ˙
& b c œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ j j
œ œ . œ œ œ œ œ. ˙
Parker achieved a balance between on the beat and off the

beat material, with a sense of when to give the listener the
expected and when to give the unexpected.
In the melody to the blues tune Billie’s Bounce, Parker imposed a long passage of dotted quarter dis-
placed accents. Ex. 2.50 shows the first three measures of the melody. Ex. 2.51 shows the accents implied
by the entire melody. Parker was inventive and dramatic in the development of his rhythmic ideas.
Parker achieved a balance between on the beat and off the beat material, with a sense of when to give
the listener the expected and when to give the unexpected. Reducing the melody of Billie’s Bounce to
rhythmic notation alone helps to focus on the rhythmic development. Parker used strings of dotted
quarter note superimpositions beginning on beat three of m.1, labeled (a). It occurred in the exposition
of this idea in mm.1-3, (a) overlapped itself several times. After so many dotted quarter notes, one would
expect the first note of m.6 to be on beat two, but instead, Parker played it earlier on the upbeat of beat
one creating a second motive (b) which is really a variation of motive (a). Parker then returned to the
first rhythmic motive beginning on the third beat of m.6. Motive (a) returned beginning on the upbeat
of beat three in m.8. Motive (b) returned on the downbeat of m.10 followed by the overlapping motive
(a) in mm.11-12. The chart in ex. 2.51 does not show all the notes of the melody, simply the accents sug-
gested by the melody.
2.50
œ. œ. œ. œ. œ. œ. œ
&b c Ó Œ ‰ j j
œ
œ nœ œ œ #œ œ œ œ œ œ ‰ œ. œ ‰ œ œ œ

2.51 Rhythmic outline of implied melodic accents:
a. a. a.
c œ Œ œ. œ œ œ ‰ œ. œ ‰ œ œ œ œ Œ œ. œ
J J J
1 2 a. 3 4
b. a.
Ó œ. œ ‰ œ. œ. œ Œ œ Œ ‰ œ œ Œ ‰ œ.
J J J
5 6 7 a. 8
b. a.
œ ‰ œ ˙ œ ‰ œ œ œ. œ ‰ œ œ œ ‰ œ. œ Œ
J J J J
9 10 11 12
A sense of mixed meter is created in ex. 2.52 by the assortment of irregular accents. These three mea-
sures could have been notated as one measure of 68 followed by a measure of 44, another measure of 68,
and finally a measure of 24. Of course, Parker was not thinking of notational questions when he conceived
of this line.
2.52
œ. œ. œ œ ˙ œ. œ. ˙
b œ œ
& b c œ œ œ œ nœ œ œ #œ œ bœ
œ nœ œ œ œ œ œ #œ œ
Œ
Wes Montgomery’s live recording of Impression is a lesson in creating rhythmic expectations, develop-
ing them, and adding surprising twists and turns. On the recording you can hear members of the band
laugh at the way Montgomery set up a rhythmic idea only to turn it upside down or sideways just when
they had it figured out. Ex. 2.53 is essentially a 34 idea played over the 44 measures. The idea was com-
pleted and reset at the end of the eight measure phrase, where he began again.
2.53 Dotted half-note accents:
>œ >œ
fast swing
>œ >œ >œ >œ
& c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
>œ >œ >œ >œ >œ . œ œ œetc.
&œ œ œ œ œ œ œ œ œ œ œ œ ‰
3
Montgomery used the dotted quarter note implying 8 over 44. Again the conflict of the two pulses was
resolved at the end of the eight measure phrase.

2.54 Dotted quarter-note accents:
œ. œ. œ œ œ j j
œ œ . œ . œ œ œ œj œ .
fast swing
&c Ó ‰ J œ . œj œ œ
j j œ . Jœ œ œ ˙ œ. œ œ
& j œ. œ. œ œ œ œ œ. J
œ
The repeated notes of ex. 2.55 make the focus of this idea clearly rhythmic. It is related to the rhythm in
ex. 2.53 but resolved the conflict at the end of every four rather than eight measure phrase. In the solo,
Montgomery developed this idea over an AABA form and eventually developed the four quarter note
measure and elicited a surprised response from the band.
2.55
>
fast swing
k > k > k > k k k k k
c
& œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ bœ œ
> k > k > k > k k k k k > ketc.
& œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œœœœœ
Groupings of notes implying other pulses do not have to last for several measures to be interesting.
There are countless examples of steady eighth note lines interrupted briefly with groupings like the ones
from this Carl Fontana improvisation.
2.56 Dotted quarter-note accents:

j
œ. œ. œ. œ. œ. œ œ œ
j j
&c #œ œ œ œ œ #œ œ œ œ œ bœ œ œ œ ‰ b œ ‰ œ
Subdivision of a quarter note is not limited to a pair of eighth notes. Any number of combinations oc-
cur. Dividing the pulse into three or triplets provides another opportunity for cross rhythms. Any com-
bination of triplets divided evenly or unevenly in relationship to the pulse may be found in jazz impro-
visations.

2.57 Groupings of triplet subdivision
cœœœ œœœ œœœ œ œœœ œœœ œœ

3 3 3 3
c œ œ3 œ œ œ3 œ œ œ3 œ œ œ3 œ œ œ3 œ œ œ3 œ œ œ3 œ œ œ3 œ
cœ œ œ œ œ œ œ œ
This is a common blues idea played by thousands of guitarists in blues bars. It may be wickedly difficult
to try to read figures like this but once heard, they are easily recognized.
2.58 Blues triplet cliché
F7
c b œ œ œ œ œ œ œ bœ bœ œ œ œ œ œ œ nœ œ œ bœ Ó
3 3 3
& bœ œ
3
In 44, the metrical division is typically pairs or groups of four eighth notes. Ordering those eighth notes
into groups of three can create the cross rhythms and syncopated polyrhythms. When the pulse is sub-
divided into triplets, notes are grouped into threes. In order to create the rhythmic dissonance and
cross rhythms with triplets, then the notes must be grouped into pairs or fours.
Herbie Hancock’s groupings of triplets into sets of four in ex. 2.59 suggested half-note triplets or a 32
measure imposed in the space of a 44 measure. Freddie Hubbard, on the same recording used similar
rhythmic ideas at this point in Dolphin Dance.
2.59 Polyrhythms
3 3 3
b b ˙œ œ ˙œ œ
œ b œ œ ˙œ œ ˙œ œ œ b ˙œ œ ˙œ
˙ ˙ ˙
B pedal
b œ œœ œ œ œ œ bœ œ bœ œ œœ œ #œ œ œ nœ bœ
& c œ œ
3 3 3 3 3 3
3 3 3 3
3 3
3
˙ ˙ ˙ Cm
œ bœ
G7
& œ œ œ bœ œ bœ œ œ œ Œ Ó
3 3 3
nœ œ œ œ
3 3
Grouping eighths into three note sets in 34 time may suggest an imposition of 68 over the 34 meter as shown
on the top line of ex. 2.60. Grouping the eighths into four note groupings takes the syncopation over the
measure line into the next measure, and may suggest 32 meter over the 34 . This is traditionally called
“hemiola” and is shown on the second line of ex. 2.60. A common misconception is that all syn-
copation is hemiola, but traditionally it is the implication of a 32 measure over two 34 measures, particu-

larly at cadential points. This idea was used frequently in Baroque music. Ex. 2.61 is an example of
hemiola at a cadential point from a piano sonata from the classical period composed by Mozart.
6 3 3
2.60 Metric equivalents: 8 over 2 over 4
34 œ . œ. œ. œ.
34 ˙ œ œ ˙
34 œ œ œ œ œ œ
2.61 Mozart: Piano Sonata in G major, K.283

œ
# 3 œœœ œœœ œ œœœ œ œœœœœœœ œ
& 4 Ò Ò œœ œœ œ
œ
? # 34 œœ Œ
Ò œœ
Œ
Òœ
˙
œ
Ò Ò
Three different divisions of 34 time are suggested in the melodic excerpt below, In mm.1-2, 3
4 time is sug-
gested, mm.3-4 suggests 23 time and mm.5-6 suggests 68 time.
2.62 Bert Ligon: View From the Bridge
Fø7 b b
B 13 9 b
E maj7
j j
& 34 œ bœ bœ b˙ ‰ œJ bœ . bœ œ œ bœ œ . œ
1
Dø7
b
G13 9 Cmaj7
bœ . nœ . Œ
& nœ . œ œ œ ˙
5
Bill Evans was an artist who could play a waltz, make it swing and yet never suggest 34 time. In ex. 2.63,
Evans used hemiola, the half note implied over the 34 meter. Later in the same solo, Evans suggested 68
meter as in ex. 2.64.
2.63 Hemiola:
˙ ˙ ˙ ˙ ˙
j œ œ œ
& 34 #œ œ œ œ #œ œ œ œ #œ œ œ œ œ œ œ œ #œ œ
Gm7 A7 Dm7

2.64 Dotted Quarter Superimposition
œ œ . œ œ . . .
B bmaj7
3 œ
E7
œ Am 7
œœœ œ
& 4 œ œ œ œ œ œ #œ œ œ J
œ œ
Many jazz waltzes are played fast; much faster than the dancers would want at a wedding party. A fast
waltz can transform itself into a slower medium swing by something called metric modulation. In ex. 2.65
the relationships are shown between the two meters. In 34 meter, the rhythm section may begin to play
series of dotted quarters and the rhythmic pattern shown on the top line. At the beginning of a new sec-
tion or new eight bar phrase, they may switch to 44 meter where the dotted quarter becomes the new
quarter note, the top line rhythm becomes the typical ride pattern. Two measures of the 34 becomes one
measure of the 44. In order to get back to 34, the band may suggest quarter note triplets which, at the mod-
ulation point, become the quarter note of the original 34 meter.
3 4
2.65 Metric modulations between 4 and 4
q.»q
34 œ . œ œ œ. œ œ cœ œ œ œ œ œ
J J
34 œ . œ. œ. œ. cœ œ œ œ
34 œ œ œ œ œ œ c œ œ3 œ œ œ3 œ
Michael Brecker used another modulation idea on his piece Escher Sketch, a Tale of Two Rhythms.
The ride pattern (shown in 12 8 ) began the piece and4 remained constant. What changed was the other
rhythmic parts which alternately suggested 128 or the 4 meter. When the snare entered it played on two
and four of the 44 meter, making the original ride pattern the syncopated figure shown in the 44 measures.
The syncopated figure was created by groupings of 3, (2 + 1) repeated, and began again every three
measures.
2.66 Metric Modulation
12 x»x
16 Jœ . œ œ Jœ . œ œ Jœ . œ œ Jœ . œ œ c œ . œ œ œ œ œ œ œ œ . œ œ œ œ œ œ œ œ . œ œ œ œ œ œ œ œ . œ œ œ œ œ œ œ
Herbie Hancock is an artist with an amazing command of cross rhythms and over the bar-line phrasing.
In ex. 2.67, Hancock began with the rhythm shown in ex. 2.27 (in sixteenths rather than eight notes), em-
phasizing dotted eighth notes over the quarter note pulse. In mm.4-8, the emphasis changed to quarter
notes with groupings of four sixteenth notes. In mm.9-11, every fourth sixteenth was accented, but the ac-
cent was displaced, making the quarter note accent displaced by one sixteenth note. In mm.11-12,
Hancock accented two then three sixteenth notes and managed to come out, resolving the rhythmic
conflict on the downbeat of m.13. The accents (shown above mm.11-12) created the 3:2 type rhythm dis-
cussed in ex. 2.3, expanded and played over the measure line.

2.67 Extensive Cross-rhythms

j j j j j j j j j j j j j
œ . œ . œ . œ . œ . œ . œ . œ . œ . œ . œ . œ . œ . œ œ œ
r
&c œ œ œ œ œ œœœœœ œœ œœ œœ œœœ œœ œœ œœœœœ œœ œœ œœœœœœœœœœ
1
>
œœ œ œ œœœœ œ# œœœ œ œœ
œ œ œœ œ œ œ œœ œ œ œ œœ œ œ œ œ œœœ œ œ œœœœ œ# œ œ œ ≈
& œœ œ
œœ œœœ œœœ œœœ œœ œ
`
5
` ` ` ` ` `
j j j j j j j
œ œ . œ œ . œ œ . œ
>œ œ >œ œ œ √
œ œœ >œ œ #>œ œ >œ b œ œ # >œ n œ# œ >œ œ œn œb >œ b œb œ >œ œ >œ œ œ >œ # œ >œ œ œ >œ œ >œ œ œ >œ
& œ œ œ œ œ bœ nœ
9
j j j j j j
œ . œ œ . œ œ . œ
√ >
# >
œ >
œ >
œ > >
& œ œ œ œœ œ œœ œœœ œ œ Œ Ó
œ
12
Not all cross rhythms are created by groupings of three eighth notes over the 44 measures. Combinations
of two and three note groupings create interesting cross rhythms. Hancock divided two 44 measure into 2
+ 3 + (3 + 3) + 3 + 2 in the rhythmic ostinato foundation for Maiden Voyage.
2.68
œ œ. œ. œ. œ. œ
?c œ
D9sus4
œ œ œ. œ. œ œ œ œ œ
J J
What is the drummer doing with his ride cymbal while the soloists are playing so many polyrhythms?
Other polyrhythms may be implied that correspond or contradict the metric implications of the tune
and the soloist. If played with sensitivity, while never losing sight of the actual pulse and meter, it can
create a swirling, intense forward drive while actually involving fewer notes. Less can be more. Jack
DeJohnnette never played the textbook ride pattern over the first chorus of Keith Jarrett’s solo on the
standard from which this was transcribed. He did play four quarters in a row later in the first chorus, but

not until m.18. Here is the first eight measure phrase with some of the polyrhythmic implications indi-
cated by the smaller notes above the staff. These patterns can be found in ex. 2.27, 2.33 and 2.37.
2.69 Polyrhythmic Ride Pattern:
‰ œ. œ. œ. œ. œ. œ. œ. ˙. ˙.
÷c ‰ œ ‰ œ œ ‰ œ Œ œ ‰ œ Œ œ ‰ œ Œ œ ‰ œ œ œ ‰ œ
J J
1
J 2
J 3
J 4
J J
˙. ˙. ˙ ˙. ˙ ˙.
÷œ œ ‰ œ œ œ ‰ œ œ œ œ Œ œ ‰ œ œ œ œ œ ‰ œ œ
5
J 6
J J 7 8
J 9
CLAVE BEAT
The Clave beat is a rhythm which uses combinations of two and three eighth note groupings to create a
syncopated pattern. The clave beat and its variations are extremely significant to the structure of some
Latin music. The clave may not be as structurally significant as it is in some Latin music, but occurs fre-
quently in jazz, pop, and funk styles.
There are two basic clave beats (3-2 clave and a 2-3 clave) and then several variations. The 3 and 2 do
not refer to groupings of eighth notes, but to the number of notes played in a measure. The 3-2 clave has
three notes played in the first measure and two in the second. The 2-3 clave is the reverse of the 3-2.
2.70 3-2 Clave: 2-3 Clave:
c .. œ . œ œ œ Œ œ œ Œ .. .. Œ œ œ Œ œ. œ œ œ ..
J J
A good way to get the feel of the clave beat is to play the clave beat with one hand, the negative space
rhythms in the other. Try reversing the hands and alternating four measure phrases after a few times.
Playing in the holes, or the negative space helps to space the notes correctly.
2.71 3-2 Clave with two hands: 2-3 Clave with two hands:
. j Œ Œ Œ Œ . j
c . ‰ œ œ œ œ ‰ œ œ œ ‰ œ ‰ œ œ œ . . œ œ ‰ œ ‰ œ œ œ ‰ œ œ œœ œ œ‰ œ ..
. œ œ œ œ œ œ . . œ œ œ œ
RH
LH J J J J J J J J
Another good way to practice the clave beat (or any of the rhythms discussed) is to alternate the right
and left hand playing the clave beat with accents. Again, playing all the notes in the measure helps rein-
force the steady subdivision and helps sense the correct spacing.

2.72 3-2 Clave with two alternating hands: 2-3 Clave with two alternating hands:
c .. >œ œ œ >œ œ œ >œ œ œ œ >œ œ >œ œ œ œ .. .. œ œ >œ œ >œ œ œ œ >œ œ œ >œ œ œ >œ œ ..
RH
LH
There are several variations of the basic 3-2 and 2-3 clave beats. One or more of the notes may be
shifted forward or backward by an eighth note. As with the original version, practicing playing with two
hands will help integration and precision in playing these rhythms. In ex. 2.73, the second of the notes
on the “2” side is shifted by an eighth note. The subdivisions of the two measures is 3 + 3 + 2 + 2 + 3 + 3
for the 3-2 clave and 2 + 3 + 3 + 3 + 3 + 2 for the 2-3 clave.
2.73 3-2 Clave variation a: 2-3 Clave variation a:
c .. œ . œ œ œ Œ œ œ œ. .. .. Œ œ œ œ. œ. œ œ œ ..
J J J J
Ex. 2.74 shifts the first of the notes on the two side forward by on eighth note. The subdivision of the two
measures is 3 + 3 + 3 + 3 + 2 + 2 for the 3-2 clave, and 1 + 3 + 2 + 2 + 3 + 3 + 2 for the 2-3 clave.
2.74 3-2 Clave variation b: 2-3 Clave variation b:
c .. œ . œ œ œ ‰ œ. œ Œ .. .. ‰ œ . œ Œ œ. œ œ œ ..
J J
The following variations are created by delaying the last note on the “3” side combined with all three
versions of the “2” side.
2.75 3-2 Clave variations c, d, & e: 2-3 Clave variations c, d, & e:
c .. œ . œ œ. œ Œ œ œ Œ .. .. Œ œ œ Œ œ. œ œ. œ ..
J J J J
.. œ . œ œ. œ Œ œ œ œ. .. .. Œ œ œ œ. œ. œ œ. œ ..
J J J J J J
.. œ . œ œ. œ ‰ œ. œ Œ .. .. ‰ œ . œ Œ œ. œ œ. œ ..
J J J J
The clave is a structural building block of many Latin styles of music, and while not structurally as signif-
icant, does occur frequently in swing and jazz styles. Charlie Parker used the 3-2 variation b several times
on Moose the Mooch. Ex. 2.76 shows the opening two measures establishing the clave. Ex. 2.77 shows
mm.15-16, the two measures preceding the bridge, and ex. 2.78 show the last two measures of the piece.

2.76 3-2 Clave
œ. œ. œ. œ. ˙
b œ œ
& b c œ ‰ J ‰ œJ ‰ œ œ œ œ #œ œ
3
J œœ
2.77 3-2 Clave
œ. œ. œ. œ. ˙
b
&b c ‰ œj ‰ œj œ ‰ œj ‰ Jœ œ
œ œ #œ nœ
2.78 3-2 Clave
œ. œ. œ. œ. œ Œ
b œ
& b c œ ‰ b œJ œ œ œ œ ‰ œ œœœœ œ Œ
J 3
3
The 2-3 clave with the same variation b can be heard in the next two quite different examples. Ex. 2.79 is
the pre-Jay Leno theme for the Tonight Show, Here’s Johnny, written by Paul Anka and Johnny Carson.
The second is the bass ostinato from Herbie Hancock’s Chameleon. Chameleon may not look like the
same rhythm as it is written with sixteenths and eighths rather than eighths and quarters.
2.79 TV theme:
j
‰ œ. œ Œ œ. œ œ œ
& c ‰ œ. bœ bœ j Œ
œ. œ œ
2.80 Classic Funk Bass line:
.
?c >j . . . . b œ. b œ. >j . . b œ. . b œ. b œJ >j . . .
œ . bœ nœ . bœ . ‰ J ≈ œ .
bœ nœ ‰ ≈ œ . bœ nœ .

ODD METERS
Odd meters have occasionally become fashionable, but the majority of the music played when jazz mu-
sicians get together is still in 44 and 34. Hank Levy, Herbie Hancock, John McLaughlin, and others have
come up with music in a variety of meters including 54, 47 and 78 , 11 15 21
8 , 16 , and even 8 . As odd as these me-
ters seem, they are all created by different combinations of twos and threes in a measure. One of the
more famous odd time signature jazz compositions is Paul Desmond’s Take Five, played by the Dave
Brubeck Quartet. The 45 measure is much like a jazz waltz with an extra two beat answer. If you sing “who
parked the car?” for a jazz waltz, add the answer “I did” to hear a 45 groove like Take Five.
2.81 Ostinato
b j ‰ œœj Œ
& b b b b b 45 .. ‰ œœœ Œ œœœ Œ œœ œœ œœœ Œ œœ ..
œ œ œ œ œ
E bm 7 B bm7 E bm7 B bm7
? b b b 5 .. œ ‰ œ œ œ œ œ ‰ œ œ œ œ ..
bb b 4 J J
MIXED METERS
Some jazz compositions are created using a variety of meters within phrases, and others where the me-
ters may shift at different structural points in the form. Few of these compositions work their way into the
mainstream of jazz literature and are rarely called casually at jam sessions. This is more a reflection of
their complexity and intricacy rather than any lack of musical merit. The following is an example of a
mixed meter piece. The piece floats on an ostinato moving from 34 to 44 to 24. The ostinato could have
been written in 94 but the mixed meter notation assists visualizing the metric subdivision. The piece shifts
from this ostinato to other meters including: 34 and 44, 83 and 68.
2.82 Bert Ligon: River Journey
44 œ . œœj ˙˙
& 34 .. Œ ‰ œœœœ ... 24 ˙˙˙ ..
. œœœ ... # œœ ˙˙ ˙
? 34 .. œ œ œ 44 œ œ ‰ œ ‰ œJ 24 # œ œ ..
œœ œœ J
What has endured more than the practice of improvising in mixed meters is the practice of playing in 34
and 44 which allows the soloist and the rhythm section the freedom to imply all combinations of mixed
meters over the top. Syncopation is not confined to a predetermined grouping or mixed meter.

RHYTHMIC READING & DICTATION EXERCISES

Most of the rhythms discussed in this chapter probably sound familiar. They occur naturally in the im-
provisation of most students. The beginning student, however, will not be in control of the development
of these rhythms or possibly even recognize their possibilities upon hearing them. I have heard several
young rhythm sections experiment with polyrhythms intuitively and fail. Possibly a drummer will suggest
the dotted quarter pulse over the quarter note, another may go with him and before they know it, the
have lost the fundamental pulse and cannot get back. They should continue to experiment, but some-
times a little understanding, knowledge and practice can greatly help the intuition. Many beginning stu-
dents have trouble notating and reading the notation of these complicated rhythms. Practicing singing,
tapping and correctly writing these rhythms will help insure success when confronted with complicated
rhythms appearing on the page or in improvisations. Practicing and understanding the rhythms will
help with visual and aural recognition, and help the musician reach the true meaning of the perfor-
mance of the music.
The following exercises look at a simple polyrhythms and their variations. They should be practiced in
several ways:
• Read them in time with a metronome either tapping or singing “do” or “dot” with
the figures.
• Tap the lines with one hand and tap the negative space with another
• Tap your hands alternating RLRL and use accents to play the rhythm exercises
• Compose one-part rhythm pieces using excerpts from the rhythm exercises and
have class perform
• Compose two-part rhythm pieces using excerpts from the rhythm exercises and
have class perform
• Sing or tap the rhythms and have individuals improvise in the two measure rests
• Use the rhythm exercises for class dictation
• For understanding and recognizing sixteenth note rhythms, transpose selected or all
exercises to sixteenths and practice as before
Exercise 2.1 begins with a dotted quarter pulse imposed over two measures of 44. The first and alternating
dotted quarter notes are replaced with a quarter and eighth note creating a (2 + 1) + 3 rhythm in the
second line. The first and alternating dotted quarter notes are replaced with an eighth and a quarter
creating a (1 + 2) + 3 rhythm in the third line. The first and alternating dotted quarter notes are re-
placed with three eighth notes creating a (1 + 1 + 1) + 3 rhythm in the fourth line.

Exercise 2.1
÷ c œ. œ œ œ œ œ. œ. œ œ œ œ œ œ œ œ. œ œ œ
J J J J
÷ œ œ ‰ œ œ œ œ ‰ œ. œ œ ‰ œ œ œ œ œ œ œ œ œ œ. œ œ œ œ
J J J
Exercise 2.2: Exercise 2.1 displaced by one eighth note.
÷ ‰ œ. œ. œ œ œ œ œ. œ Œ Ó ‰ œ ‰ œ œ. œ ‰ œ œ œ œ ‰ œ œ Œ Ó
J J J J J J J
÷ ‰ œ œ œ. œ œ œ œ œ œ œ Œ Ó ‰ œ œ œ œ ‰ œ œ œ. ‰ œ œ œ
J J J J J J
Exercise 2.3: Exercise 2.1 displaced by two eighth notes.
÷ c Œ œ œ œ. œ. œ œ œ œ Œ Ó Œ œ œ œ. œ œ œ œ œ œ Œ Ó
J J J
÷ Œ œ œ ‰ œ. œœ‰œ œ œœ ∑ Œ œ œ œ œ. œ œ œ œ œ œ œ
J J
Exercise 2.4: Exercise 2.1 displaced by a half note.
÷Ó œ. œ œ œ œ œ. œ Œ Ó Ó œ œ œ œ œ œ œ. œ Œ Ó
J J J
÷ Ó œ œ ‰ œ œ œ œ ‰ œ. œ Œ Ó Ó œ œ œ œ œ œ œ œ œ. œ Œ Ó
J J

Exercise 2.1 was based on replacing the first and every other dotted quarter by another combination
equal to three. Exercise 2.5 replaces the second dotted quarter value and every other one with another
combination. The first line begins 3 + (2 + 1), the second 3 + (1 + 2), and the third, 3 + (1 + 1+ 1).
Exercise 2.5
c œ. œ ‰ œ œ ‰ œ ‰ œ œ. œ ∑ ∑
J J J J J
œ. œ œ œ ‰ œ œ œ. œ ∑ ∑
J J J
œ. œ œ œ œ ‰ œ œ œ œ. œ ∑ ∑
J J J
Exercise 2.6: Exercise 2.5 displaced by one eighth note.
c ‰ œ. œ œ œ œ œ œ œ. œ Œ Ó ∑
J
‰ œ. œ œ ‰ œ œ œ œ ‰ œ. œ Œ Ó ∑
J
‰ œ. œ œ œ œ œ œ œ œ œ. œ Œ Ó ∑
J

Exercise 2.7: Exercise 2.5 displaced by two eighth notes.
c Œ œ ‰ œ ‰ œ œ. œ ‰ œ œ œ Œ Ó ∑
J J J J
Œ œ œ œ œ œ. œ œ œ œ ∑ ∑
J
Exercise 2.8 is based on exercise 2.1. In this exercise every dotted quarter note is replaced by a combi-
nation of 2 + 1. The second line is displaced by an eighth note and the third by a quarter note.
Exercise 2.8
c œ œ œ ‰ œ œ œ œ ‰ œ œ œ œ ∑ ∑
J J
‰ œ ‰ œ œ œ œ ‰ œ œ œ œ ‰ œ ∑ ∑
J J J J
Œ œ œ œ ‰ œ œ œ œ ‰ œ œ œ Œ Ó ∑
J J
Exercise 2.9 is also based on exercise 2.1. In this exercise every dotted quarter note is replaced by a
combination of 1 + 2. The second line is displaced by an eighth note and the third by a quarter note.
Exercise 2.9
c œ œ ‰ œ œ œ œ ‰ œ œ œ œ ‰ œ ∑ ∑
J J J
‰ œ œ œ œ ‰ œ œ œ œ ‰ œ œ œ Œ Ó ∑
J J J
Œ œ œ ‰ œ œ œ œ ‰ œ œ œ œ ∑ ∑
J J
The possible combinations of 3 for a dotted quarter note (2 +1, 1 + 2, and 1 + 1 + 1), the possible dis-
placements on any beat or upbeat in the measure, and combinations with quarter note values create a
nearly infinite number of rhythms. Familiarization with these exercises will help create rhythmic confi-
dence and inspire more experimentation.

These rhythms in exercise 2.10 are found in many funk, pop, Latin and jazz tunes. The eighth note pairs
are placed every three beats. The three beat rhythm shown above the eighth note line is the augmenta-
tion of the dotted quarter notes in exercise 2.1.
Exercise 2.10
˙. œ ˙ ˙ œ ˙. ˙. œ
c œ œ Œ Œ œ œ Ó œ œ Œ Œ œ œ Ó œ œ Œ Œ œ œ
˙. ˙. œ
Œ œ œ Ó œ œ Œ Œ œ œ ∑ ∑
Much of the music written in pop, funk and Latin styles is written with sixteenth note subdivision. Well
rounded musicians need to be adept at reading and writing these rhythms. The dotted quarter superim-
position becomes a dotted sixteenth in the following exercise. Exercise 2.11 is the rhythmic diminution
of exercise 2.1. It is recommended that all of the previous rhythmic reading and dictation exercises be
rewritten in their diminished form to facilitate the reading of sixteenth note subdivisions.
Exercise 2.11
c œ. œ œ œ œ œ. œ. œ ∑ œ œ œ œ œ œ œ. œ œ œ ∑
œ œ œ œ œ œ ≈ œ. œ œ œ ∑ œ œ œ œ œ œ œ œ œ. œ œ œ œ ∑
J

The first set of exercises was based on the superimposition of dotted quarter notes over 44 time. The
clave beat is another rhythm pattern to which combinations of 2 + 1, 1 + 2, and 1 + 1 + 1 can be substi-
tuted for the dotted quarter notes. Some variations are shown below.
Exercise 2.12: Variations of the 3-2 & 2-3 clave.
÷c œ œ œ œ œ Œ œ œ œ. œ œ ‰ œ œ œ œ Œ œ œ ‰ œ.
J J
÷ œ œ œ œ œ œ œ Œ œ œ œ œ. œ œ œ ‰ œ œ Œ œ œ œ ‰ œ
J J J
÷Œ œ œ œ. œ œ œ œ œ Œ œ œ ‰ œ. œ œ ‰ œ œ œ œ
J J
÷ Œ œ œ œ œ. œ œ œ œ œ œ œ Œ œ œ œ ‰ œ œ œ œ ‰ œ œ
J J J
OTHER SUGGESTED EXERCISES
• Transcribe rhythms from jazz performances, Latin and pop music. Analyze the
combinations of twos and threes. Experiment with displacement by eighth notes
and quarter notes.
• Take simple rhythms from speech patterns and notate. Experiment with displace-
ment by eighth notes and quarter notes.
• Take simple rhythms created with quarter and eighth notes and rewrite using eighth
and sixteenth notes. Practice reading and recognizing the same rhythms written in
any form.
• Take the previous exercises and rewrite using sixteenths and eighth notes.
• Take the previous exercises and notate and practice reading the negative space
rhythms.

READING EXERCISES
Here are several exercises using a mixture of rhythms. Try singing or tapping these rhythms while tap-
ping a steady beat with your other hand or foot. Be sure to practice with the metronome and practice a
variety of tempos.
Reading Exercise 2.1
c Œ œ œ œ Œ œ. œ œ œ œ ‰ œ ˙ ‰ œ. œ œ
J J
œ œ œ œ ˙ ‰ œ ‰ œ œ œ œ ˙. Œ ‰ œ œ œ œ ‰ œ
J J J J
˙. Œ Œ œ œ œ œ ˙ œ œ ‰ œ ˙. Œ
J
‰ œ Œ œ. œ œ œ œ œ œ œ w ∑
J J
c Œ ˙ œ ˙ œ œ œ. œ œ œ œ Œ œ Œ œ ‰ œ ˙
J J
‰ œ. œ œ œ œ œ ‰ œ œ ˙ œ. œ ∑
J J
Œ ˙ œ œ œ œ œ ‰ œ ˙ œ œ ‰ œ ˙. Œ
J J
Œ œ œ ‰ œ œ œ œ ‰ œ œ Œ Œ œ œ ‰ œ œ œ ‰ œ ˙
J J J J

c Œ œ œ œ Œ œ œ œ Œ œ ˙ œ œ œ ˙. Œ
‰ œ Œ œ. œ Œ œ œ œ Œ œ. œ Œ œ ˙. Œ
J J J
œ. œ Ó Œ œ œ œ Œ œ. œ Ó ∑
J J
‰ œ Œ œ Œ œ. œ Ó ‰ œ. œ œ œ. œ Ó
J J J
c ‰ œ œ œ œ ‰ œ ˙. Œ Œ œ œ ‰ œ œ œ. œ ˙
J J J J
œ œ ‰ œ œ œ œ ˙ œ œ œ ˙ ‰ œ Œ œ. œ Ó
J J J
‰ œ. œ œ ‰ œ ˙. Œ Œ œ œ ‰ œ. œ œ ‰ œ ˙
J J
œ œ Œ Œ œ œ Ó œ œ Œ Œ œ œ ‰ œ. œ. œ Ó
J

c ‰ œ. œ. œ Œ œ ‰ œ. œ. œ Ó Œ œ œ œ.
J J J
œ Œ ‰ œ. œ ‰ œ œ œ œ œ œ ˙ Ó ‰ œ.
J
œ Œ Œ œ ˙ œ Œ œ œ œ ˙ ‰ œ. œ œ
œ œ ‰ œ œ œ œ œ œ œ œ œ œ œ ∑ ∑
J
÷ c ‰ œ œ œ . œ . œ œ œ œ . œ œ ≈ œ . œ œ œ œ œ œ œ ≈ œ. œ œ œ œ ˙ ≈ œ œ œ œ. œ
J J
÷˙ ‰ œ œ œ œ œ œ œ. œ ˙ ≈ œ. œ. œ œ œ œ œ œ œ ˙ Ó
J J
÷c Ó ‰ œ œ œ œ œ œ. œ œ œ œ œ œ. œ Œ ≈ œ. œ œ œ œ œ ≈ œ œ
J J
÷ œ œ. œ Ó ‰ œ œ œ œ œœ œ œ œœ œ˙ ‰ œœ≈œœ œœ œœ ‰ œœ≈œœ œ ≈œœ
J

÷c ‰ œ œœ‰ œ œœ‰ œ œ œ œœ˙ ≈ œ. œ. œ ‰ œ œ œ. œ. œ ‰ œ ˙

J J J J J
÷ œ. œ Œ ‰ œ œ œ. œ. œ Œ Ó ≈ œ. œ œ. œ Œ ≈ œ. œ œ œ. œ Œ
J J J
÷ c ≈œœ œœ œ˙ ‰ œ œ ≈ œ œ œ. œ œ œ œ œ œ œ œ œ œ œ œ œ ≈ œ. œ. œ œ
J
÷ ≈ œ. œ œ œ ˙ ‰ œ œ ≈ œ. œ œ œ œ œ œ ‰ ‰ œ œ Œ œ œ ‰ ‰ œ œ ≈ œ. œ. œ Œ
J J J
÷ c ≈ œ. œ. œ ‰ œ ≈ œ. œ. œ Œ ‰ œ œ œ. œ ≈ œ. œ ≈ œ œ œ œ œ œ œ Œ ≈ œ.
J J J J J J
÷œ ‰ œ œ œ œ œ œ œ ≈ œ. œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ ∑
J J

52 Chapter 3 Basic Tonal Materials
III. BASIC TONAL MATERIALS

TONALITY
What is and what creates tonality? How can C major and A minor share the same pitches and what
makes one hear C as the tonic of C major and A as the tonic of A minor? Tonality is created when one
pitch sounds more important and more stable than all the surrounding pitches. This pitch is called
tonic. It is the center of the musical organization and the other pitches often seem to progress towards
this pitch. The tonic is not always the first pitch sounded in the musical setting, but is often the last. It
may not be the pitch that occurs with the most frequency, but it will occur at significant rhythmic and
structural points, which not only establishes its importance, but also facilitates the establishment of me-
ter.
A second pitch, a perfect fifth above or perfect fourth below the tonic pitch is often used to establish the
tonic as the primary center. This pitch, called the dominant, may occur more often in the piece than
the tonic, but often occurs in a rhythmic position which points to the tonic pitch. This dominant pitch
is the second overtone or the third note of the harmonic series, and its relationship to acoustics may be
why the dominant–tonic relationship is universal and not limited to the European major/minor system.
The dominant is the third pitch of the harmonic series and the first pitch of the series that is not the
fundamental pitch, and within the series, is bordered above and below by the fundamental pitch.
3.1 Harmonic series
˙ œ bœ n˙ ˙
˙ ˙ ˙ #œ
& ˙ ˙ bœ
˙
4 5 6 7 8 9 10 11 12 13 14 15 16
? ˙
˙
˙1 œ = approximate pitch
2 3
The tonic is established in the example below, by the repeated B rising and falling to the E. The rhyth-
mic placement suggests a three beat meter. The B, the dominant pitch, occurs more often than the E,
but the E has a sense of finality and stability. The meter is not determined by what is written on the staff,
but rather, how we experience the placement of the important notes determines how it is written on the
staff. Here the two important notes occur every three beats, and the music—the aural experience, not
just the notation, suggests the meter.
3.2 Tonic established using Dominant pitch
œ œ œ œœ œ œ œ ˙. œ œ œœœœ œ œœœ .
3 3 3
& ˙

Chapter 3 Basic Tonal Materials 53
Ex. 3.2 established E as tonic, but is it E major or E minor? Most people tend to identify it as being in E
major even though no pitch that would determine either major or minor has been sounded. The reason
may be related to the overtone series in that the fifth note of the series is a major third and is often
heard even when absent. This example needs a third pitch to definitively establish the modality as ei-
ther major or minor. The pitch that determines the modality is the mediant, the middle note between
dominant and tonic.
Tonality, by definition, indicates a hierarchy of pitches, where one pitch is more stable than all the oth-
ers. This means that not all pitches have the same importance in a tonal musical setting. What are the
three most important pitches? Students with some training in European harmonic theory are quick to
inaccurately respond I, IV, and V, referring to the triads on the first, fourth and fifth degrees of a major
scale. Some wrongly list a leading tone pitch, but a leading tone pitch is not present in all modes. Tonal
music existed long before any system of harmonic progression was developed. The three most impor-
tant pitches are the tonic (the home pitch), the dominant (a perfect fifth above the tonic), and the me-
diant (which determines modality, either major or minor). A piece may be tonal and not necessarily in
the major/minor system. There are pieces that may be in other major and minor modes or highly
chromatic implying major or minor, but still imply one pitch as the center of the musical structure.
Tonality is established in the selection below by the initial dominant to tonic statement. E sounds like
the home pitch because it is preceded by its dominant and it is held for a longer duration. The E occurs
two more times in the first full measure and begins the second measure. B, the dominant pitch, occurs
three times in the second measure and begins the third. The mediant is heard for the first time in the
third measure establishing the modality as minor and not major. The line ends tonic-dominant-tonic,
reinforcing E as the primary pitch. The meter (not shown) is clearly audible due to the placement of the
tonic and dominant and their relative durations. A glance at this melody with no sharps or flats might
suggest C major or its relative minor A. The melody itself suggests E as the tonal center. No chords
needed to hear E as the tonic. This melody is in the key of E phrygian, one of the minor modes that will
be discussed in chapter 12.
3.3 E as Tonic of a phrygian melody
& œ ˙ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ ˙.
R œ
D T T D D M T T D T
C would not be heard as tonic in the first phrase of Amazing Grace, shown below, even though it begins
and ends with C. The first C sounds like a pickup note to the F. C to F is the dominant to tonic relation-
ship and makes the F sound like the home pitch. The establishment of F as tonic is reinforced by hold-
ing the F for two counts. The A in the second measure indicates this melody is in a major mode. The
four half notes in the example are the tonic, dominant and mediant. The G and D occur on weaker beats
and for shorter durations. This melody is in an F major mode, not because of key signatures or har-
monic progressions, but because of placement of the three important pitches.
3.4 Amazing Grace: first phrase
& ˙ œ œ ˙ œ ˙
œ œ ˙
D T M M T D
The three important pitches were placed in rhythmically significant places in these two examples from
Charlie Parker. In both, the underlying structure implied T-M-D-M-T, 1-3-5-3-1, or Do-Mi-So-Mi-Do. In
the first example, a G major tonality was clearly indicated using strictly melodic principles. G was estab-
lished without depending on a harmonic progression, chordal instrument, or a written key signature. The
first one used only diatonic notes the second included some chromatic passing tones. Below each
melody are letters indicating the tonic, dominant and mediant pitches.

3.5 Diatonic notes
& j œœœœœœœœ œ œ
œ
D T M D M D M T
& j œ œ œ œ w
œ
3.6 Diatonic and Chromatic tones
3
œ œ bœ œ œ œ
œ œ #œ œ bœ nœ
3
& œ œ œ œ œ œ œ bœ œ ˙
T M D M M D T T
&c ˙ ˙ ˙ ˙ w
Here are two examples from Bach and one from Mozart to further illustrate how the rhythmic place-
ment of the tonic, dominant and mediant pitches aid the establishment of tonality and meter.
3.7 J. S. Bach: Sonata VI, Preludio, for solo violin
œT œ œT Dœ M Dœ T T M D T D M M D T T T D
#### 3 ‰ œ œœœœœ D œ œ œ œ œ œ
œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œœ œ œ œ œ œ œr
D T
& 4
3.8 J. S. Bach: Suite No. 1 in G major, for solo cello
œ œ œ œ œ œ œD
?# c œ œ œ œ œ r
M M
œ œ
T D T
œ œ œ
3.9 Mozart: Eine Kleine Nachtmusik, K.525, First Movement
#
& c œ ‰ œj œ ‰ œj œ œ œ œ œ Œ

PITCH HIERARCHY
There are twelve pitches available within the European tuning system. Tonality, by definition, indicates
that all twelve pitches are not of equal importance. Here is a hierarchical list of the twelve pitches.
Primary Level
1. TONIC: the home pitch. In tonal music, all other pitches ultimately point back to tonic.
2. DOMINANT: This pitch a perfect fifth above the tonic is the primary pointer to the tonic.
3. MEDIANT: If it is a major third above the tonic determines a major mode; a minor third above
the tonic determines minor.
Secondary Level
4. All other diatonic pitches. The four remaining pitches in a typical seven note scale. These would
be the second, fourth, sixth and seventh degrees. They are defined by their relationship to the
three pitches above.
SUPERTONIC: The second note of the seven tone scale is above the tonic. It points back down
to the tonic and may occur in passing between the tonic and mediant.
SUBDOMINANT: The fourth note of a seven tone scale is a fifth below the tonic. It is not always
a perfect fifth below. It often occurs connecting the mediant and the dominant in ascending and
descending patterns.
The sixth and seventh are the connectors between the dominant and the tonic.
SUBMEDIANT: The sixth degree is the middle note between the tonic and the subdominant.
The seventh degree may be a half step or a whole step below the tonic.
SUBTONIC: Seventh scale tone, a whole step below the tonic.
LEADING TONE: Seventh scale tone, a half step below the tonic.
Tertiary Level
5. The five remaining chromatic tones. These tones point to the seven tones above. The remaining
chromatic tones depend on the original diatonic mode. There are five, but with enharmonic
spelling there appears to be more. For example: in the key of C major, the five remaining
chromatic tones are easily visualized by imagining the five black keys on the piano. Careful use
of enharmonics may suggest ten chromatic tones. The pitch between C and D may be a C# when
ascending (C-C#-D) or a Db when descending (D-Db-C).
The most important reason to understand the pitch hierarchy is that it will aid in aural training and
recognition. Trying to hear and understand tonal melodies will be easier knowing that the pitches are
arranged naturally in a classifiable order. Learn the pitches in order of their importance and in rela-
tionship to tonic. The primary pitches will be the most prominent pitches in a line in both frequency of
occurrence and rhythmic placement. The secondary and tertiary pitches point back to the primary
pitches and will often occur on weaker beats and with lesser durations.

EAR TRAINING
Ear training can be accomplished with three tasks: singing, writing, and reading. Sing in order to learn
the pitches and their relationships; write melodies by listening to an outside source or memory, identify-
ing and writing the pitches on paper; and read and reproduce written music. Writing the pitches down
without the “hunting and pecking” at notes on your instrument requires that one really knows and rec-
ognizes the pitches. Systematically singing of the pitches prepares one for melodic dictation. Writing
simple melodies will help make the associations between the notation and the written that will aid with
accurate reading in musical performance. These are the three areas that all musicians strive to master.
Practice making the connections between all three skills. When looking at written music, imagine how it
sounds and how it physically feels to play it; when hearing music imagine what it looks like on the page
and how it would physically feel; and when playing, listen intently and imagine what it looks like on the
page.
There is always some discussion as to what syllables to sing. Some advocate the use of solfége with a
movable “DO” which for a major scale would be: Do Re Mi Fa So La Ti Do; and for a minor scale: La Ti
Do Re Mi Fa So La. This solfége system keeps the half steps between Mi and Fa and Ti and Do for all
circumstances.
Others prefer singing numbers. Advocates of using numbers make a good point that in all other
discussions of music theory we refer to numbers. Scale degrees and diatonic scale chords are number in
relationship to tonic which is labeled “one.” All intervals are described by numbers. The argument is, if
so much of theory discussion is based on numbers then it should be reinforced during ear training. The
major drawback is that getting the syllables out can be cumbersome, especially with the two syllable
word “seven.”
I advocate using something simple to sing and while singing imagine the numerical relationships. So in-
stead of a movable “DO,” I advocate the use of a movable “Doo,” using “Doo” for all pitches, and for
faster passages “Doo-be doo-be doo,” of course. The important thing is to be able to hear the pitches
correctly not whether you sing the proper syllable. If syllables or numbers are used to strengthen the
comprehension of pitches, then I support the process. If too much emphasis gets put on the learning of
syllables and not the learning of pitch relations, then it is a waste of time. I once visited an ear training
class where a student was asked to sight sing a particular passage. The student actually sang the correct
pitches, but stumbled trying to remember the solfége syllables. He was told by his teacher that he per-
formed incorrectly and the next student was called on. The instructor lost the focus of the exercise by
correcting the solfége syllables and not praising the accurately sung pitches. The solfége system is a tool
to aid in the learning of the pitches.
BEGINNING SINGING EXERCISES:

Sound the pitches on an instrument or pitch pipe, then try to sing the exercises keeping the tonic pitch
in memory and finding the others as they relate back to the tonic. Occasionally in the beginning the
notes should be checked until a reasonable amount of independent pitch retention is confirmed.
MAJOR KEYS
Tonal ear training begins by identifying the tonic pitch. Begin to establish the C (or any tone) as tonic
by singing the tonic and the dominant, 1 & 5.
&c œ œ œ œ œ
œ ˙ œ ˙ œ ˙

Sing the 3rd (major) along with 1 & 5. Sing scale passages from the tonic to the dominant and return.
&œ œ œ œ ˙ œ
œœœ œœ˙ ˙ œ œ œ ˙ œ œ œ ˙
Be able to hear and sing the 5 & 3 above or below the tonic pitch.
&˙ œ œ œ ˙ ˙ œ œ œ œ ˙ ˙ œ œ œ ˙ ˙ œœ œœœ˙
œ
Find the supertonic (2) above the tonic: between the 1 & 3, and below 3.
&˙ œ ˙ ˙ œ ˙ œ ˙ ˙ œ ˙ ˙ œ ˙ œ ˙
Find the subdominant (4) above the 3: between the 3 & 5. Hear the 2 and 4 in the scale between 1 & 5.
& ˙ œ ˙ ˙ œ ˙ œ ˙ ˙œ ˙œ˙œ ˙œ˙œ ˙œ˙
Find the submediant (6) as it relates to the 5th.
&˙ ˙ œ ˙ ˙ ˙ œ ˙ œ ˙ œ œ œ
˙ œ œ œ ˙ ˙
Hear the 6 & 7 passing between the tonic and dominant.
&˙ ˙ ˙ œ œ ˙ ˙ œ œ ˙ œ œ ˙
MINOR KEYS
Begin to establish the C (or any tone) as tonic by singing the tonic and the dominant, 1 & 5.
&c œ œ œ œ œ
œ ˙ œ ˙ œ ˙

Sing the 3rd (minor) along with 1 & 5. Sing scale passages from the tonic to the dominant and return.
& œ bœ œ œ ˙ œ
œb œ œ œb œ ˙ ˙ œ bœ œ ˙ œ bœ œ ˙
Be able to hear and sing the 5 & 3 above or below the tonic pitch.
& ˙ œ bœ œ ˙ ˙ œ œ œ bœ ˙ ˙ bœ œ œ ˙ ˙ œ œbœ œbœ ˙

bœ
Find the supertonic (2) above the tonic: between the 1 & 3, and below 3.
&˙ œ ˙ ˙ œ b˙ œ ˙ b˙ œ b˙ b˙ œ ˙ œ b˙
Find the subdominant (4) above the 3: between the 3 & 5. Hear the 2 and 4 in the scale between 1 & 5.
& b˙ œ b˙ b˙ œ ˙ œ b˙ ˙ œb˙ œ ˙ œb˙ œ ˙ œb˙ œ ˙
Find the submediant (b6) above the 5.
& ˙ ˙ bœ ˙ ˙ ˙ bœ ˙ bœ ˙ œbœ œ
˙ œbœ œ ˙ ˙
Hear the 6 & 7 passing between the tonic and dominant. What are your initial instincts? Do you hear a
different version when ascending and descending? Sing the way you hear it first and learn other patterns
based on what you normally hear.
&˙ ˙ ˙ nœ nœ ˙ ˙ bœ bœ ˙ nœ nœ ˙

BEGINNING WRITING EXERCISES:

As a complete musician you will be expected to be competent in three areas: to physical be able to play
your instrument; to be able to recognize the written symbols and understand the musical meaning be-
hind them; and to hear music and be able to write the appropriate symbols or be able to physically
play your instrument recreating the music you hear. All of these skills interact. When you are physically
playing you should be connected to the aural recognition of what you play and be able to visually rec-
ognize or notate what you play. When you see music in the written form, you should be able to imagine
the music for which the symbols stand. When listening to music you should be able to imagine what it
feels like physically to play it and have the skills to accurately notate what you hear. These are lifelong
goals of musicians. These skills can be developed separately, but at the same time the connections be-
tween these skills should be developed. Integrate these skills in your practice schedule.
These beginning writing exercises will address the fundamental skills of recognizing the primary pitches
(tonic, dominant and mediant), the basic meter, and rhythmic vocabulary. Develop a routine of writing
melodies from memory or taking dictation from someone or a recording. What is difficult in the begin-
ning will become easier with honest, diligent practice.
Use your ears, but do not forget to use your intellect. Some think that hearing and thinking about the
music are separate activities. Some notes may come to you with ease and with little thought. Another
note or set of notes may cause you trouble. Stop and think about the possibilities. Use some deductive
reasoning. Process of elimination will reveal some pitches that are at first difficult to aurally identify.
For example:
• If a note sounds stable, chances are it belongs to the primary level of pitches. That narrows
the choice to one of three notes.
• If the note sounds a little less stable or transient, is probably is from the secondary level of
pitches. The choices are narrowed to four pitches. This pitch probably moves to a pitch
from the primary level, so listen ahead and then work back. If the note resolves down a step
to the dominant, then the note in question must have been the sixth degree.
The deductive reasoning will lead to familiarity. With practice, longer lines of transient and stable
pitches will be easier to hear and notate.
Here is a list of tunes for transcription practice. The list is comprised of folk, childhood, holiday, and
patriotic songs. The list is from my middle America background. You may want to amplify the list with
tunes from your own region, nation, holidays and childhood if they differ greatly from this list. Consult
the National Endowment for the Arts “Songs of the Century” list for additional melodies. These are
tunes memorized from childhood so musical dictation from an outside source is not necessary. Work
can be done anywhere without electrical devices or computers. You will need a pencil, paper, and until
your skills get better, an eraser. This is an activity you could do with colleagues or alone. Your work can
be easily checked after writing by playing them on your instruments.
Since the most important pitch in tonal music is the tonic, aurally identify the tonic first. Without the
tonic, the other notes are meaningless. Not all tunes begin on tonic. These beginning level writing tunes
usually begin on one of the three primary pitches and usually gravitate towards the tonic very soon. Sing
the melody until you can identify the tonic pitch. Return to the beginning of the piece and determine if
the first pitch is the tonic or another pitch. You may have to sing with numbers up or down the scale un-
til you identify the first pitch. Does the first note begin on the downbeat or does it begin with a pickup?
Is the meter in two, three or four? Finish the melody listening to the intervals related to the tonic pitch
in the piece.
These exercises may seem simple, but you may be surprised at how much practice is needed to write
these tunes quickly and accurately. It requires the command of all fundamental music skills, the most
important being recognition of tonic and basic meter. If any skill area is weak, these exercises provide
some necessary drilling and training.

Practice writing and sight singing every day. Make yourself work quickly and accurately when writing
melodies. Find weaknesses and work out the problems. If these tunes are too easy, there is plenty of
recorded music to transcribe for ear training. These tunes are a much easier place to start than a five
minute blistering improvisation by John Coltrane, Clifford Brown or Michael Brecker.
BEGINNING TUNES for EAR TRAINING:
1. Folk Songs (any) 61. God Rest Ye Merry Gentlemen 116. Oh, Susanna
2. Holiday Music (any) 62. Good King Wenceslas 117. Oh, Where, Oh Where Has My
3. Patriotic Songs (any) 63. Good Night Ladies Little Dog Gone?
4. Religious Music (any) 64. Greensleeves 118. Old MacDonald Had a Farm
5. TV/Movie theme songs (any) 65. Happy Birthday 119. Old Rugged Cross
6. Alouette 66. Hark The Sound 120. On Top of Old Smokey
7. Alphabet Song 67. Hark! The Herald Angels Sing! 121. Onward Christian Soldiers
8. Amazing Grace 68. Havanagila 122. Polly Wolly Doodle
9. America (My Country ‘tis of 69. Have Yourself a Merry Little 123. Pop! Goes the Weasel!
Thee...) Christmas 124. Puff The Magic Dragon
10. America the Beautiful 70. Holly & Ivy 125. Rain Barrel
11. Angels We Have Heard on 71. Home on the Range 126. Rakes of Mallow
High 72. Hush Little Baby 127. Red River Valley
12. Are You Sleeping? 73. I Ain’t Gonna Study War No 128. Rock My Soul (In The Bosom
13. Auld Lang Syne More of Abraham)
14. Aura Lee 74. I Dream of Jeanie with the 129. Rock-A-Bye Baby
15. Away in A Manger Light Brown Hair 130. Row, Row, Row, Your Boat
16. Baa! Baa! Black Sheep 75. I Love Lucy Theme Song 131. Rudolf The Red-Nosed
17. Battle Hymn of The Republic 76. I Saw Three Ships Reindeer
18. Bicycle Built For Two 77. I’ll be Home for Christmas 132. Sail Navy
19. Billy Boy 78. I’m Popeye Sailor Man 133. Santa Claus is Coming to Town
20. Blue Bells of Scotland 79. I’ve Been Working On The 134. Scarborough Fair
21. Brahm’s Lullaby Railroad 135. Scotland’s Burning
22. Bring a Torch 80. In Southern Port of France 136. Sentimental Journey
23. Caissons 81. It Came Upon a Midnight Clear 137. Shall We Gather At The River
24. Camptown Races 82. Jesus Loves Me 138. She’ll Be Comin’ Round The
25. Can Can 83. Jimmie Crack Corn Mountain
26. Carry Me Back To Old Virginny 84. Jingle Bells 139. Shoo Fly
27. Christmas Song 85. Jolly Old St. Nicholas 140. Shortnin’ Bread
28. Circus Song 86. Joshua Fit the Battle of 141. Silent Night
29. Clementine Jericho 142. Skip To My Lou
30. Columbia, The Gem of the 87. Joy to the World 143. Sleigh Ride
Ocean 88. Joyful, Joyful 144. Star Spangled Banner
31. Come Ye Thankful People 89. Kumbaya 145. Stars And Stripes Forever
32. Crusaders Hymn 90. Let It Snow 146. Streets of Laredo
33. Daisy 91. Let Me Call You Sweetheart 147. Swanee River
34. Danny Boy 92. Lightly Row 148. Sweet Betsy From Pike.
35. Dark Eyes 93. Little Pierrot 149. Swing Low, Sweet Chariot
36. Deck the Halls 94. Lo How a Rose 150. Take Me Out to the Ballgame
37. Deep in the Heart of Texas 95. Loch Lomond 151. This Old Man
38. Dixie 96. London Bridge is Falling 152. Three Blind Mice
39. Do You Know the Muffin Man? Down 153. Twinkle, Twinkle Little Star
40. Doe, A Deer (Sound of Music) 97. Long Long Ago 154. Voluntary
41. Don’t Sit Under the Apple 98. Man on the Flying Trapeze, 155. Wayfaring Stranger
Tree The 156. We Three Kings
42. Down by Mill Stream 99. Marine’s Hymn 157. We Wish You a Merry
43. Down in The Valley 100. Mary Had a Little Lamb Christmas
44. Doxology 101. Merrily We Roll Along 158. What a Friend We Have in
45. Dradle Song (Hanukah) 102. Mulberry Bush Jesus
46. Edelweiss 103. My Bonnie 159. What Child Is This?
47. Eeensy Weensy Spider 104. My Old Kentucky Home 160. When Irish Eyes are Smiling
48. Eyes of Texas are Upon You 105. Nobody Knows the Trouble 161. When Johnny Comes Marching
49. Fairest Lord Jesus I’ve Seen Home
50. Faith of Our Fathers 106. O Christmas Tree 162. When The Saints Go Marching
51. Farmer in the Dell 107. O Come, All Ye Faithful In
52. First Noel 108. O Come, O Come Emmanuel 163. Where Has My Little Dog
53. First Noel, The 109. O Dear, What Can The Matter Gone?
54. For He’s a Jolly Good Fellow Be? 164. While Strolling Through The
55. Frere Jacques (Are You 110. O Hanukah Park One Day
Sleeping, Brother John?) 111. O Holy Night 165. White Christmas
56. Frog Went-a-Courtin’ 112. O Little Town of Bethlehem 166. Winter Wonderland
57. Funiculi, Funicula 113. O My Darlin’ Clementine 167. Yankee Doodle
58. Go Down Moses 114. O What Beautiful Morning 168. You Are My Sunshine
59. Go Tell Aunt Rhodie 115. Ode To Joy (Theme From 169. Zip-A-Di-Doo-Dah
60. Go Tell it on the Mountain Beethoven’s Ninth)

Every semester I begin the first jazz theory class asking students to write a simple melody such as the one
that is sung on birthdays or “O Tannenbaum.” Looks around the class suggest they wonder how this
connects to the study of jazz. A surprising number of music majors have trouble with these basic skills. If
the student is unable to hear and notate simple melodies they have sung all their lives, it suggests they
will have trouble hearing more complicated jazz lines from the literature and from their own imagina-
tions. If it takes five minutes to pick out one of these simple tunes, how long will it take to imagine four
chorus of blues in Bb? How well equipped are they to transcribe from memory if the quarter note was
around 240+?
Here is an example of how the exercise might work if we picked “O Tannenbaum” as the first tune to
transcribe and notate in the key of F major. Sing the phrase through and identify the pitch that sounds
like the stable home pitch. The last pitch in this phrase feels like the tonic. Sing the opening again. Is it
the same pitch? No, it sounds lower. The first guess is that the pickup note should be either the domi-
nant or the mediant because they are the most common remaining primary pitches. If you have trouble
immediately identifying the opening pitch as the dominant, then try starting at the tonic and sing down
until you find the correct pitch: 1-7-6-5-6-7-1, 1-5-1.
Does the melody begin on the beat? How many beats in each measure? It begins with a quarter note
pickup and the meter is three beats per measure. Learn to hear the rest of the melody as intervals re-
lated to the tonic. Do not concentrate on hearing the intervals between adjacent pitches. The A in m.2
should be heard as a major 3rd above the tonic, not a second above the preceding note. The last four
notes should be heard as 4-7-2-1, all notes related to the tonic; not as the intervals diminished fifth, mi-
nor third, major second.
3.10 Correct
j
& b 34 œ. œ œ œ œ. œ œ. œ œ œ œ œ œ œ
œ
Here are some common mistakes when getting started.
This version sounds correct if played, but the rhythm is incorrectly notated. Do not assume that all
melodies start on the downbeat and have four beats per measure.
3.11 Incorrect
& b c œ œ. œ œ œ œ. œ œ œ œ œ œ œ œ œ œ
This melody also sounds correct, but it is notated in the key of Bb major, regardless of what the key
signature suggests. Do not assume that all tunes begin on tonic.
3.12 Incorrect
& b 34 œ œ . œ œ œ œ . œ œ . œJ œ œ b œ œ œ œ

There are two ways to analyze melodic intervals.
Intervals related to tonic.

Intervals related to adjacent pitches.
There are those who advocate learning intervals independently first, then trying to hear melodies listen-
ing to the intervals related to adjacent pitches. This is not the way tonal music works and trying to learn
to hear this way will only cause frustration and waste time.
Tonal music is based on the premise that all pitches relate to tonic. It reasons that we should learn to
hear melodies based on the same principle. Hearing a melody as intervals related to adjacent pitches
calls for ignoring the tonic relationship, dividing the melody into unrelated pairs of pitches. This is not
the way one usually experiences a melody. It is unmusical, and anything unmusical should not be
practiced. Composers expect a listener to remember a tonic center and play off of those expectations to
tell their story or paint their picture. They use the stability of the primary pitches and the instability of
the remaining pitches, and play off those expectations. As you will learn with many of these simple
melodies, the tonic pitch status is established early before the melody moves away only to return at the
end of the piece. In large works, such as sonata allegro forms, composers expected the audiences to
remember the tonic key area, recognize its return after remote modulations, and recognize the second
theme returning to the tonic key in the recapitulation.
Some educators have put together lists of tunes to expedite the learning of intervals. These lists may
help learn intervals by themselves but will not help with learning intervals in musical contexts. Some
common tunes that are suggested to learn the perfect fourth interval are: “Here Comes the Bride” and
“O Tannenbaum.” Within the major scale there are six different perfect fourth intervals. Which of these
six perfect fourth intervals begin those tunes? Both of the tunes begin with the perfect fourth interval be-
tween the dominant and tonic. How then are the other perfect fourth intervals learned? They are
learned by hearing them as intervals related to the tonic.
Perfect Fourth Intervals in C Major Scale:
P4 P4 P4
˙
P4
˙
P4
˙ ˙
P4
˙
&˙ ˙ ˙ ˙ ˙ ˙ ˙
Everyone seems to remember the major sixth interval with “NBC,” “My Bonnie,” or “Take the ‘A’
Train.” There are four major sixth intervals within the major scale. Which ones correspond to these
tunes? These melodies use the major sixth interval from the dominant to the mediant, 5 up to 3. Those
tunes do not help anyone to hear the other major sixth intervals found in the major scale.
Major Sixth Intervals in C Major Scale:
M6 M6
˙
M6
˙ M6
˙
&˙ ˙ ˙ ˙ ˙
In another visit to an ear training class, I witnessed a teacher who played a C and asked a student to sing
a major sixth interval. The teacher wanted the student to sing C then a major sixth above, A. The student
sang a G and then an E. Clearly the student heard the C as tonic, remembered tunes for recalling a ma-
jor sixth, and promptly and correctly sang the dominant and the mediant in the key of C. The teacher
told him he was wrong with no explanation, and went on to the next student. The student learned noth-
ing. He had actually sung the correct interval according to the way he was taught and should have been
rewarded.

Examine the intervals in the familiar melody below. The numbers below each note represent the inter-
vallic relationship to the tonic note C. Great confusion can arise from trying to imagine the intervals be-
tween adjacent pitches independent of the tonic key.
The melody begins with a major sixth interval (a.) from 5 to 1, and since this is one of the tunes used to
illustrate that interval, it should be easy to hear.
Two tunes are commonly used to learn the descending minor third: “America the Beautiful,” and “The
Star Spangled Banner.” Both of these tunes begin with the minor third interval between 5 and 3. The de-
scending minor third interval at (b.) is between the tonic and the submediant. In order to imagine ei-
ther of the helper tunes, one would have to imagine F as the tonic in the middle of this passage in C ma-
jor.
The perfect fifth is often remembered from “Twinkle, Twinkle, Little Star.” At (c.), one would have to hear
G as tonic in order to sing “Twinkle, Twinkle, Little Star” to find the perfect fifth.
All of the tunes used to remember a perfect fourth use the perfect fourth between tonic and dominant
(5-1). At (d.), the perfect fourth interval is from submediant to supertonic (6-2). One would have to hear
D major as the tonic key to find the perfect fourth interval at (d.).
The B section begins with a perfect fourth followed by a minor third and another perfect fourth. Using
the tunes as reference, one would have to imagine C major, F major and D major in order to find the
correct intervals if one is thinking only intervals between adjacent pitches.
To hear intervals between adjacent pitches in this very short and simple piece requires thinking not
only in the actual key of C major, but also in F major. D major and in G major. It is no wonder that stu-
dents have trouble with melodic dictation when trying to use this method. It defies the logic of tonal
music, the very music they are trying to master by the exercise.
3.13
a.
j œ . œ œ œ œ œ œj
c.
j œ. œ œ œ œ œ œ. j
b.
& 68 œ
œ œ œ œ œ
œ. œ œ œ œ œ j j
5 3 2 1 2 1 6 6 5 d. 5 3 2 1 1 7 1 2 5
& œ œ œ œ œ œ œ œ œ œ ˙.
œ.
3 2 1 2 1 6 6 5 5 6 2 1 7 6 7 1
e.
œ.
g.
œ œ œ œ œ œ œ œ œ œ
& œ. œ. J J
f.
5 1 6 2 1 7 7 7 7 6 7 1 2 3
œ. œ œ œ œ œ œ œ œ œ.
& œ. œ. J
5 1 6 2 1 7 7 7 7 6 7 1
There are endless examples proving how ineffective trying to hear melodies by relating intervals be-
tween adjacent pitches. It may be fun to make up a mnemonic list of tunes to remember the individual
intervals, but it would be more useful to remember how those intervals relate to the tonic.

Here is a simple folk song that could have been included on the list. The simple structure is shown on
the bottom line. It might be easier to hear just the downbeats and then fill in the other pitches that lead
to the downbeats. Learn to hear the melody as intervals (as shown) related to the tonic pitch.
3.14 Basic framework and melody to Wildwood
&c Ó ˙ œ œ
œ œ ˙ œ œ ˙ œ œ ˙ œ œ
M3 P4 P5 M6 T M3 P4 M3 M2 M3 M2 T M3 P4
&c ∑ w w w w
&˙ œ œ œ
˙ œ œ ˙ œ œ ˙ œ
P5 M6 T M3 P4 M3 M2 M3 M2 T M3 P5
&w w w w
˙ œ œ ˙ œ
& œ œ ˙ œ ˙ œ œ
w w
M3 M3 M2 T P5 P5 M6 T M6 P5 T T
& w w
0
&˙ œ œ ˙ œ œ ˙ œ œ ˙
M3 M3 M3 P5 P5 M3 M2 M3 M2 T
&w w w w
4
APPLICATION
It is important to learn to apply the principles of tonal melodies to improvisations and composing.
Before attempting to address the intricacies of melodic writing involving harmonic implications, it
would be beneficial to gain some expertise and confidence with simple melodies based on the tonic,
dominant and mediant pitches.
Have you seen an artist draw a portrait of someone? They do not begin with the intricate details of the
eyelashes. A series of decisions are made before beginning. The first decision is how big the canvas will
be and how much space the face will cover on the canvas. They plan the space first so that later they do
not wish for a larger canvas or find they have 80% blank space left. The most general shapes are
sketched out lightly; an oval for the face and simple lines for neck and shoulders. From this basic
framework, the artist begins to fine tune and pay closer attention to the details and unique features.
Inventing a melody can be a similar process to the portrait painting example. How long should the
melody be? What are its high and low points and do they fit on the canvas (instrument)? What is the
simplest framework for the line? How can the simple framework be elaborated to create an interesting
melody.

“Amazing Grace” is a simply constructed melody that can be used as a model for this discussion. The
melody is shown on the top line in ex. 3.15 and a simple framework is shown on the bottom line. All of
the important notes have long rhythmic values, occur on strong beats, and consist of the three primary
pitches: tonic, dominant and mediant. This melody immediately makes F sound like tonic with the
dominant note used as a pickup and the long rhythmic value given to F. The question of major or minor
is settled by the third beat of the first measure. The line is sixteen measures long. At the halfway point,
the resting note is the dominant, creating a sense that while relatively stable, there is more to come. The
melody winds down to the lower dominant before resolving back to the tonic. The general shape shown
on the bottom line creates an interesting palindrome*. It rises from the tonic to the dominant and
returns in the same way in reverse:
1-3-1-5-1-3-5 then 5-3-1-5-1-3-1.
The notes that make up the framework for this tune, and so many others on the list above, are adjacent
pitches (3, 4, 5 & 6) in the harmonic series.
*Palindrome: A word, phrase, verse, or sentence that reads the same backward or forward. For ex-
ample: Ada, Civic, Deified, Mum, Otto, Radar, Rotator, Live Devil, Ergo ogre, Madam I’m Adam,
Able was ere I saw Elba, Poor Dan is in a droop, A man a plan a canal: Panama, Lewd did I live &
evil did I dwel, Lid off a Daffodil
3.15
& b 34 ˙ œ œ ˙ œ ˙ œ ˙ œ œ
œ ˙ œ
& b 34 ∑ ˙. ˙. ˙. ˙.
˙.
&b ˙ œ œ ˙. ˙ œ œ ˙ œ œ ˙ œ ˙ œ
& b ˙. ˙. ˙. ˙. ˙. ˙.
&b ˙ ˙ œ œ ˙ œ ˙. ˙
œ
&b . ˙. ˙. ˙. ˙
˙
If the fundamental structure is strong then the results of melodically connecting the principal tones has
a strong chance for musical success. In addition to the three primary pitches, only two other pitches are
used to create Amazing Grace. G (2, or supertonic) is used in passing between tonic and the mediant; D
(6, or submediant) is used between the tonic and dominant. There is no leading tone or fourth degree of
the scale. These five tones make up one of the pentatonic scales.

Try composing your own melody based on the “Amazing Grace” three note structure. Use the other four
diatonic pitches from the F major scale. Compose lines that have rhythmic character. Be aware of
phrasing: do not write sixteen measures of notes with no points of repose. In the beginning, try compos-
ing smooth motion throughout. With more experience, try some leaps and listen carefully to where the
leaps want to resolve. You may find that the leaps should happen after the main notes and that the main
notes should be approached by steps from above or below.
3.16
& b 34
& b 34 ˙ . ˙. ˙. ˙. ˙. ˙. ˙.
˙.
&b
& b ˙. ˙. ˙. ˙. ˙. ˙. ˙.
˙.
Compose a completely new version in a different meter:
3.17
&b c
&b c w w w w w w
w w
&b
&b w w w w w w w
w
A simple structure like this would work if transposed to minor. Compose versions in F minor in three
and in four beats per measure. When you compose in minor you have to decide the character of the
fifth and sixth degrees of the scale. It is perfectly musical to use the Db and Eb from the key signature. Do
you hear other pitches? Do they change depending on the direction of the melodic lines? Often the
fifth and sixth degrees of the minor scale are raised when ascending between the dominant and the
tonic and lowered when descending.

3.18 Framework in F minor:
b
& b b b 34
b
& b b b 34 ˙ . ˙. ˙. ˙. ˙. ˙. ˙.
˙.
b
& b bb
b
& b bb ˙ . ˙. ˙. ˙. ˙. ˙. ˙. ˙.
3.19 Framework in F minor:
b
& b bb c
b
& b bb c w w w w w w w w
b
& b bb
b
& b bb w w w w w w w
w

Compose several simple frameworks for melodies using only the three primary pitches as shown below.
These pitches are the 3-6 and 8th pitches in the harmonic series in the first measure. The second set has
been transposed to the parallel minor. The primary melodic area should be within the perfect fifth be-
tween tonic and dominant. The higher tonic and the lower dominant then can be used for climactic or
dramatic reaches above and below the bracketed areas.
˙ ˙
&b c ˙ ˙ ˙ ˙ bbbb ˙ ˙ ˙
˙
Limit your lines to four or eight measures in length. Within the short phrase try to achieve a rise and fall
with a logical conclusion. Work on the framework until the simple shape is as pleasing as it can be with-
out the aid of any elaborations. Many times when having difficulty composing melodies, composers try
more notes and more exciting elaborate rhythms in attempting to make the pieces more interesting.
Often times the flaw is not with the embellishments, it is with a weak underlying structure that no amount
of decoration can disguise. This is why the previous composing exercise was based on a proven frame-
work from an existing melody.
Using the simple frameworks, compose several short melodies four to eight measures in length. In the
beginning, use only the diatonic pitches shown below. There are ten remaining chromatic pitches that
can be added to the assignments as skills progress.
˙ œ œ ˙ bbbb ˙ œ œ ˙
&b c ˙ œ ˙ œ
˙ œ œ ˙ œ ˙ œ œ ˙ œ

Chapter 4 Triadic Generalization 69
IV. TRIADIC GENERALIZATION

This chapter will examine and analyze the use of the triad notes as linear melodic material that may be
used over harmonic progressions in a way that generalizes the harmony rather than specifically address-
ing each chord.
T ERTIAN T RIAD
A triad is often defined as three pitches sounding simultaneously (a chord) with the adjacent intervals
being separated by the interval of a major or minor third. This definition works well for a great deal of
music created in the nineteenth century and before, but does not explain many kinds of triads available
to composers from the twentieth century and beyond. A triad would be better defined as three simulta-
neously sounding pitches constructed using any variety of intervals. The most common would be the
triad whose adjacent intervals are separated by thirds called tertian triads. In chapter 13, there is a dis-
cussion of quartal triads constructed using intervals of fourths.
There are four types of tertian triads: major, minor, augmented and diminished. The diminished triad
has a diminished fifth, the augmented triad an augmented fifth. Only the major and minor triads have
perfect fifths and are therefore the only two triads considered stable in the tonal system. The notes of
these two triads are the primary pitches that create tonality and define modality: the tonic, dominant
and mediant. In the last chapter these notes were used to create melodies that defined the tonal center
and modality (major or minor) without consideration for harmonic conditions. These same notes are
the primary melodic pitches in most traditional harmonic settings.
TRIADIC GENERALIZATION
Jazz improvisers use these fundamental pitches to create melodies over the harmonic progressions even
when many of the notes contradict the vertical alignment of the chords and melodies. These vertical
contradictions are rarely heard as intolerable dissonances because music is performed and heard in a
linear form. Any vertical dissonances and contradictions tend to resolve through linear aspects of the
melodic lines.
The essence of a harmonic progression creates the stability of a tonal center, moves away forming vary-
ing degrees of tension, and then returns and re-establishes the primacy of the original tonic key area.
This is not very different from the function of a simple tonal melody. In a tonal melody the tonic is es-
tablished by placement on strong structural beats and relationship to the dominant pitch. The melody
then moves away to less stable tones and ultimately returns to the tonic. Many jazz improvisers use simi-
lar concepts basing improvisations on the primary triadic tones and sometimes ignore the exact har-
monic implications. Why does it work? The melodies and the harmonies function in similar manners by
creating, moving away and returning to the stable tonic area. Any vertical contradiction will just be a
part of the instability that ultimately is, in a linear fashion, resolved by the end of the phrase.
There is a tendency with many jazz improvisation students and some jazz educators to overemphasize
the vertical relationships of each melodic pitch to the specific chords. Playing melodies that specifically

70 Chapter 4 Triadic Generalization
address each chord in a harmonic progression is certainly a great part of jazz improvisation. Harmonic
specificity or harmonic generalization should not be chosen at the exclusion of the other. Both ap-
proaches are found throughout the history of jazz performance. Both approaches may be found in a
single improvisation, or within a single phrase.
Melodies can be harmonically specific or general. The primary pitches of the tertian triad are com-
monly used for linear melodic material in a way that generalizes the harmony. The intricacies of har-
monic progressions and the relationships to harmonically specific lines will be covered in detail in sub-
sequent chapters.
ELABORATION DEVICES
Triadic generalization does not mean that only three notes are being used, just that these three notes are
more important than the other diatonic and chromatic pitches. The same hierarchy of pitches dis-
cussed in the previous chapter is relevant to this discussion. If a triadic melody is to include more than
just the three triadic tones, some discussion of elaborating the basic three pitches is necessary.
There are many terms for auxiliary tones. Tones which elaborate the basic triadic tones are often called
non-essential tones to distinguish them from the essential triadic tones. This is an unfortunate designa-
tion as these tones are essential to the creation of an interesting melody. They are also known as auxil-
iary tones or non-harmonic tones. In traditional music, some auxiliary tones may be labeled as ac-
cented or unaccented depending on their rhythmic placement on or off the downbeat. In the
polyrhythmic settings common to jazz, this distinction is unnecessary and may prove confusing.
Auxiliary tones embellish the basic triadic tones and will be revisited in following chapters as they apply
to embellishing harmonically specific lines.
P ASSING T ONES
Passing tones (PT) are the diatonic and chromatic steps between the essential tones. In a chord, passing
tones are the diatonic notes between the chord members: C major triad = C (d) E (f) G (a b) C. In a
scale, the chromatic tones between the adjacent scale steps may be chromatic passing tones. A chro-
matic passing tone can be placed between adjacent diatonic tones a whole step apart. Any diatonic tone
can have a chromatic leading tone. C# is the chromatic leading tone to D and the chromatic passing
tone between Cn and D. Db is the chromatic passing tone between Dn and Cn. The difference between C#
and Db is the direction implied by the accidental. Chromatically altered tones tend to continue in the
direction in which they have been altered. Flatted notes are lowered and therefore tend to resolve
downward, sharped notes are raised and tend to resolve upward.. The chromatic scale is written two dif-
ferent ways to indicate the direction of the accidentals. Sharps are used when ascending and flats when
descending. Keep this principal in mind when writing music and the lines will be easier to read.
After identifying the primary triad pitches, a scale may be viewed as a triad with passing tones between
the primary pitches and a chromatic scale may be viewed as a diatonic scale with chromatic passing
tones.
& ˙ œ ˙ œ ˙ œ œ ˙ ˙ #œ ˙ #œ ˙ ˙ #œ ˙ #œ ˙ #œ ˙ ˙ ˙ ˙ bœ ˙ bœ ˙ bœ ˙ ˙ bœ ˙ bœ ˙

Passing tones between Tonic (1) and Mediant (3) of a C major triad:
1-3 Diatonic PT Diatonic and Chromatic PTs
C C C
&˙ ˙ ˙
œ œ œ œ #œ œ ˙
1 3 1 PT 3 1 PT PT 3
Passing tones between Mediant (3) and Dominant (5) of a C major triad:
C C C
&˙ ˙ œ œ ˙ œ œ #œ œ ˙
3 5 3 PT 5 3 PT PT 5
Passing tones between Dominant (5) and Tonic (1) of a C major triad:
5-1 Diatonic PTs
C C
&˙ ˙ œ œ œ ˙
5 1 5 PT PT 1
Passing tones between Tonic (1) and Mediant (3) of a C Minor triad:
Cm Cm Cm
&˙ b˙ œ b˙
œ œ #œ œ bœ ˙
1 3 1 PT 3 1 PT PT 3
Passing tones between Mediant (3) and Dominant (5) of a C Minor triad:
Cm Cm Cm
& b˙ ˙ bœ œ ˙ bœ œ #œ œ ˙
3 5 3 PT 5 3 PT PT 5
Passing tones between Dominant (5) and Tonic (1) of a C Minor triad:
5-1 Diatonic PTs Diatonic PTs
Cm Cm Cm
&˙ ˙ œ bœ bœ ˙ œ nœ nœ ˙
5 1 5 PT PT 1 5 PT PT 1

Diatonic passing tones can be illustrated in this excerpt from a Charlie Parker line. The notes of the G
triad are clearly delineated as they occur on the strong beats of the measure. The passing tones on the
up beats move the line to the next chord tones.
4.1 Diatonic passing tones
#
& c j œ œ œ œ œ œ œ œ œ œ
œ
CT PT CT PT CT CT PT CT
This excerpt from a Charlie Parker blues improvisation illustrates the combinations of diatonic and
chromatic passing tones between adjacent chord tones. The Gn is a diatonic passing tone between F and
A, followed by the chromatic passing tone G#. The chromatic G# creates more pull to the chord tone An.
The G# is not heard as a minor third of F (Ab), but as a raised pitch which wants to continue in the direc-
tion in which it has been altered. The Bb is a diatonic passing tone between An and C. The addition of
the Bn reverses the tendency of the Bb to point down as an upper neighbor tone to the A, and propels
the line up to the C.
4.2 Chromatic passing tones
& b c œ œ # œ œ œ n œ œJ
CT PT PT CT PT PT CT
N EIGHBOR T ONES
Tones on either side of a primary pitch are called neighbor tones (NT). The common practice in most
music from the Baroque period to the present is to use the diatonic (from the scale or mode) upper
neighbor tone (UNT) and the chromatic lower neighbor tone (LNT). In some situations, the LNT may be
labeled a chromatic leading tone (LT). A diatonic instead of chromatic LNT may be found in some folk
and ethnic music which is often due to chromatic limitations of the instruments and not musical prefer-
ences.
It is easy to determine the LNT since it is chromatic. It will always be a half step below the tone to which
it points. It should be written with a different letter name and with either a sharp or a natural sign. F#, not
Gb is the LNT to Gn. A#, not Bb, is the LNT to Bn.
The UNT may be harder to determine and will change depending on the key signature, mode or scale. A
simple C major triad (C-E-G) will have different UNTs depending on the key signature and context. A C
major triad can be found as the tonic (I) in the key or C major, as the subdominant (IV) in the key of G
major, and as the dominant (V) in the key of F major or F minor.

A C major triad will have the same UNTs and LNTs in the key of C major or F major.
C as I in C C as V in F
UNTs LNTs UNTs LNTs
C C C C
&œ ˙ œ ˙ œ ˙ #œ ˙ &b œ ˙ œ ˙ œ ˙ #œ ˙
nœ ˙ #œ ˙ nœ ˙ #œ ˙
The LNTs for the C major triad remain chromatic in the key of G major, but the UNT to E is an F# from
the key signature.
C as IV in G
UNTs LNTs
C C
#
& œ ˙ #œ ˙ œ ˙ #œ ˙
nœ ˙ #œ ˙
If the C major triad is in the key of F minor, all of the diatonic UNTs are also chromatic.
C as V in F minor
C C
b
& b bb bœ ˙ œ n˙ bœ ˙ #œ ˙
nœ ˙ #œ n˙
The distinction is evident in Chopin’s choice of UNTs in this excerpt. The C7 chord is the dominant of
F minor and yields the Db, F and Ab as UNTs to the C, E and G. Note how the Bn, a chromatic LT, points
up to the Cn. The use of a Bb would have made the line want to move down to the Ab. Listen to how the
penultimate Bb points down to and finally resolves to the Ab.
4.3 Chopin: Nocturne in Eb major, Op. 9, No. 2
œ bœ œ œ œ. œ
b œ œ n œ œ
& b b 128 n œ œ b œ œ
œœ
n œ œœœ œ œ b œ œœœ œœ œœœ
? b 128 œ œ œ œ œ
bb œ œ
A C minor triad can be found as the supertonic chord (ii) in Bb major, the mediant (iii) in the key of Ab
major, and as the submediant (vi) of Eb major or the tonic of C minor (i). Notice how the UNTs change
according to the context. The UNT to the tonic is a whole step above when C minor is a ii, vi or i chord,

but as a iii chord the UNT is a half step above tonic. When C minor is a ii chord, the UNT to the G is An,
a whole step above, but when C minor is a vi, i or iii chord, the UNT is Ab.
Cm as ii in Bb Cm as vi in Eb or i in C minor
Cm Cm Cm Cm
b bb
& b œ ˙ œ b˙ nœ ˙ ˙ # œ ˙ & b œ b˙ bœ ˙ #œ ˙
nœ ˙ œ œ ˙ nœ ˙ œ ˙
Cm as iii in Ab
Cm Cm
b
& b bb bœ ˙ œ b˙ bœ ˙ #œ ˙
nœ ˙ nœ ˙
N EIGHBOR T ONE C OMBINATIONS
Neighbor tones are often found in combinations. These combination neighbor tone patterns have been
called double neighbor tones, changing tones, encircling, or enclosing tones. There are a limited num-
ber of possible patterns that involve the basic chord tone (CT) and both the upper neighbor tones
(UNT) and lower neighbor tones (LNT). The possible combinations are:
Combination Inverse
UNT–LNT–CT LNT–UNT–CT
CT–UNT–LNT–CT CT–LNT–UNT–CT
UNT–CT–LNT–CT LNT–CT–UNT–CT
C C
&œ œ #œ ˙ œ #œ ˙ #œ œ ˙
œ ˙ #œ nœ ˙ œ nœ ˙
Cm Cm
&œ nœ œ b˙ bœ #œ ˙ #œ bœ ˙
nœ ˙ œ nœ ˙ nœ œ ˙
C C
&œ œ œ œ #œ ˙ œ #œ œ ˙ œ #œ nœ ˙ œ
œ ˙ œ œ #œ ˙ œ nœ ˙

Cm Cm
&œ œ b œ n œ œ b ˙ œ bœ #œ ˙ œ #œ bœ ˙ bœ œ nœ b˙ œ
nœ ˙ nœ œ ˙
C C
&œ œ ˙ œ œ #œ ˙ œ œ #œ ˙ #œ œ œ ˙ #œ œ nœ ˙ œ œ nœ ˙
œ
Cm Cm
&œ œ ˙ nœ bœ œ b˙ bœ œ #œ ˙ #œ œ bœ ˙ œ bœ nœ b˙ nœ œ œ ˙
nœ
Charlie Parker and Oscar Peterson ignored the individual harmonic details and generalized the tonic
triad in the following examples. The four note neighbor tone pattern follows the arpeggio. The first note
of the pattern is the UNT followed by the chord tone (CT), the LNT and the CT again, then a jump is
made to the next chord tone’s UNT.
4.4 Tonic triad encircled with UNT-CT-LNT-CT pattern

C A7 Dm7 G7 C
œ œ œ # œ œ œ #œ œ
& c ‰ j œ œ #œ œ œ œ #œ œ œ
œ œ œ œ œ
œ œ
√
4.5 Tonic triad encircled with UNT-CT-LNT-CT pattern
œ
b b cœ œ œ œ œ œ #œ œ œ œ œ œ œ #œ œ œ œ nœ œ
& œ œ nœ œ œ œ œ nœ œ œ
As you can see from the following Beethoven example, this encircling idea is not new or unique to jazz.
The pattern is the same one used by Parker and Peterson: UNT-CT-LNT-CT.
4.6 Beethoven: Symphony no. 9, third movement
b œ œ œœ
&b c œ œ nœ œ œ œ œ bœ œ œ #œ œ œ œ nœ œ œ œ œ œ œ œ œ œ #œ œ œ œ nœ Œ
Chopin’s Etude No. 2, Op. 25 is an excellent study in the use of neighbor tones over simple triads.
Shown below are two short excerpts illustrating the simple F minor and Ab major triads embellished
identically in parallel phrases. The circled notes indicate the pitches of the triad. The chord tones, even

though surrounded by chromatic and diatonic neighbors are stressed due to their location on the
strong beats, and because all surrounding notes point back directly to the chord tones. If all the neigh-
bor tones were removed, what remains is a quarter note triplet melody of the chord tones: 5-5-5-3-3-3-1.
4.7 Chopin: Etude No. 2, Op. 25 (F minor)
b
& b bb c œ
J
œ œ œ nœ œ œ œ bœ œ œ œ
nœ œ
j
4.8 Chopin: Etude No. 2, Op. 25 (Ab relative major to the F Minor)
b œ œ œ œ n œ œ n œ œ b œ œ œ œ œj
& b bb c J œ
Mozart used the pattern found in the Beethoven, Parker and Peterson examples, but added a leap away
to a chord tone and back to the original chord tone before continuing the sequence in the following two
examples. Leaping away to another chord tone is called an arpeggiated tone.
œ nœ œ œ œ bœ œ #œ œ œ œ œ œ œ œ œ
4.9 Mozart: Piano Sonata in F major, K.332, Allegro Assai
6 œ œ œœ œ
b
& 8 ≈ œ n œ œ œ # œ œ œ œ œj
4.10 Mozart: Sonata in F major, K.547a, Allegro
3 œ . œ œ œ œ œ œ œ. œ œ œ œ œ
&b 4 nœ œ . œ œ #œ œ œ œ
œ
Lee Morgan made this line interesting with the use of chromatic encircling of an F minor triad. Like the
Chopin example, the chord tones 5-3-1 occur on the downbeats so that not only do the chromatic notes
resolve to the chord tones, but do so at significant rhythmic locations.
4.11 F minor triad with NTs

Fm
& c œ # œ œ b œ b œ œ œ œ n œj
Tete Montoliu displaced the rhythmic accent in this syncopated example. He used a three note pattern
of UNT-LNT-CT.
4.12 Triad with NTs on the Blues

œœœ œœ œ
œ œ œ œ œœ
& b c œ œ #œ œ œ œ nœ œ
F
Ó
3 3 3
3

Tom Harrell makes a case for practicing in all twelve keys in the next two examples. These are from dif-
ferent tunes, different tempos and a half-step apart. The melodic material is identical with the exception
of rhythmic displacement. These examples should inspire trying rhythmic displacement as a develop-
mental tool in improvisation and practice. The encircling pattern is LNT-UNT-CT. Harrell encircled the
third and root of the chords in two octaves, but played the fifth of the chords without any embellish-
ment.
4.13 E minor triad with NT elaboration
#œ œ œ #œ #œ œ œ
Em9
3
&c J #œ œ œ #œ œ ˙
4.14 Eb minor triad with NT elaboration

b
E m9
œ bœ bœ œ œ bœ bœ 3
&c J œ bœ bœ œ œ œ b˙ Ó
Joe Pass often used encircling patterns. In the following excerpt, Pass began a scale in the first measure,
but relied on the encircling pattern CT-LNT-UNT-CT for the rest of the passage.
4.15 Encircling patterns

Dm7 G7 C C7 F
& œ œ œ œ œ œ œ œ œ œ #œ œ œ œ #œ nœ œ œ œ œ Ó
œ bœ #œ œ
If the folk-ethnic sound is desired, then a combination of all diatonic neighbor tones may be called for
as in this modal melody.
4.16 Diatonic upper and lower neighbor tones
& 128 Ó . Œ œJ b œ œJ œ œj œ œj œ j œj j
œ œ œ œj b œ œ ˙ .
? 128 #œ
r ˙˙ .. œr ˙˙ .. #œ
r ˙˙ .. œ
r ˙˙ .. #œ
r ˙˙ .. œ
r ˙˙ ..
The same neighbor tone pattern (CT-LNT-UNT-CT) used in the previous melody is used by Gluck in this
example using the notes from a major scale.
4.17 Gluck: Orfeo
&c œ œ œ œ œœœœ œœœœœ

œœ œœœ œ
j
œ

A RPEGGIATED T ONES
A simple stepwise line may be elaborated by leaping to other chord tones. The leap disrupts the calm of
the stepwise line providing angularity and dramatic interest. Arpeggiated tones can replace the upper or
lower neighbor tones as shown below.
4.18
Simple melody: with PTs: with UNTs & PTs Arpeggiated tones replace UNTs:
&˙ ˙ Ó œœœœ ˙ Ó œœœœœœœœ ˙ Ó œœœœœœœœ ˙ Ó

˙
CHROMATIC APPROACHES
Chromatic approaches involve a diatonic note and a chromatically altered note leading to an essential
tone. It may begin with the diatonic tone followed by the chromatic tone as a passing tone into the es-
sential tone, or it may begin with the chromatic tone then a diatonic neighbor tone leading to the es-
sential tone. The chromaticism adds color to the lines and the additional pitches often add rhythmic
interest. The essential chord tones often occur on strong beats in the measure and may be chromati-
cally approached from above or below.
4.19 Notes of the C major Triad approached chromatically:
& nœ #œ ˙ œ bœ ˙
œ bœ ˙ œ #œ ˙
4.20 Notes of the C minor Triad approached chromatically:
& œ nœ b˙ œ #œ ˙
bœ nœ ˙ œ bœ ˙ #œ œ b˙
A chromatic approach may be used in conjunction with other devices. In the example below, the simple
melodic fragment (G–E) can be elaborated with the F as a passing tone. The D# can be added after the
passing tone to create a combination neighbor tone pattern. The chromatic approach (D–D#) can be
added following the passing tone F to create one of the most common chromatic approaches.
4.21 Elaborated simple fragment

C
&˙ ˙ œ œ ˙ œ œ #œ ˙ œ œ œ #œ ˙

O CTAVE D ISPLACEMENT & LEAPS
One or more tones of a simple line can be transposed to another octave. The leaps disrupt the smooth
line and can add a dramatic element. Sometimes octave displacement may be a result of the range limi-
tations of an instrument. An improviser may leap to a lower or higher register as the melodic lines
reach the extremities of the instrument. The example below shows how a descending line from chord
tones changes when the target tone is transposed to the upper octave. The octave displacement involves
skipping over a chord tone (shown with the “¿”). Leaps usually occur from a strong beat to a weak beat
and rarely occur over a measure line or from a weak to a strong beat.
4.22
& ˙ ˙ ¿
˙ ˙ ˙ ˙ ¿ ˙
˙ ˙ ˙ ¿ ˙ ˙
3 1 3 1 5 3 5 3 1 5 1 5
The simple triadic line shown in the first three measures may be transformed with octave displacement
shown in the last three measures. The octave displacement adds range to the original idea and the leaps
allow for more dramatic expression.
4.23
˙ ˙ ˙
&c ˙ ˙ ˙ ˙ ˙
˙ ˙
3 1 5 3 1 3 1 5 3 1
Leaps and octave displacement may be accompanied by other devices. The line below was created using
the triadic line from above with the octave displaced notes. The first chord tone is chromatically ap-
proached from below. The line jumps up to the upper octave for the second chord tone, leaps past it
and is chromatically approached . The next chord tones, the fifth and the third, are approached using
an identical pair of upper and lower neighbor tones. The octave displacement of basic pitches and the
addition of several chromatic approaches and neighbor tones has created a much more elaborate line,
but at the same time, the line retains an uncomplicated understructure. The reduction of the line shown
below illustrates the pure diatonic step construction of the elaborate line.
4.24
œ bœ œ œ œ œ #œ œ œ nœ œ
&c œ #œ œ # œ œ œ
(œ) œ
3 1 5 3 1
&c (œ) œ œ œ
œ œœ
œ

P EDAL P OINT & PIVOT T ONES
Pedal point is traditionally the term for a sustained note in the lowest register (as in the pedals of an or-
gan), usually the dominant setting up a return to the tonic. The motion against the pedal point is
oblique as one part remains stationary and the other moves. Pedal point may occur internally with the
structure of the music and may be termed a pivot note. The pivot note remains stationary while other
notes move. A simple descending step line can take on a sawtooth appearance when interrupted by a
pivot note. In the first example, the descending 5-4-3-2-1 line is made more angular by the pivot note C
and the chromatic leading tone to the A.. The second example shows an ascending 3-4-5 line made an-
gular and interesting using the tonic pitch as a pivot tone and using the B as chromatic passing tone
leading to the C.
4.25 Simple line enhanced using pivot tones

F
&b c œ œ œ œ ˙ Ó œ œ #œ œ nœ œ
œ œ
4.26 Simple line enhanced using pivot tones

F F
˙ œ œ œ
&b c ˙ ˙ Œ œ œ œ œ nœ œ œ
3 3 3
TRIADIC MUSICAL EXAMPLES
Jazz improvisers do not limit themselves to one elaboration approach within their melodic lines. Here
are some excerpts from selected jazz improvisations to illustrate some of the devices described above.
Clifford Brown used passing tones and chord tones in the first two measures below. In the last complete
measure, Brown used a combination of neighbor tones (UNT-LNT) to approach the root, and chromatic
approaches to arrive at the third and finally the fifth of the Bb triad.
4.27 Chord tones and passing tones
b
&b c ‰ ˙j œ œ ˙ ˙ œ ˙ œ œ ˙ œ œ ˙ œ # œ ˙ œ n œ ˙
˙
Brown chromatically approached the third (D), encircled the fifth (F) and root (Bb) with upper and
lower neighbor tones in this excerpt. The melodic fragment is based on the Bb major triad as Brown
seemed to ignore the specifics of the harmony. It would be misleading to analyze these tones according
to their vertical positions relating to the chords. The C# should not be analyzed as the raised root of
Cm, and the En as the major seventh of the F7 chord. They are better described as two chromatic lead-
ing tones to the third and fifth of the Bb triad.

4.28 Chromatic approaches to triad
b
Cm7 F7 Dm7 G7
&b c Œ ‰ œ œ œ œ Œ
œ #œ œ n œ œ
It is doubtful that Clifford Brown conceived of the notes in this line as pitches related vertically to the
shown chords. Analyzing the tones vertically, the Bn and G# over a Gm, or a Bn over a C7 are senseless. It
is more likely that Brown used the tones from an F major triad as a generalization of the harmony and
approached each F major chord tone with its lower neighbor or leading tone.
4.29 Leading tones

Gm7 C7 F
& b c nœ œ #œ œ œ œ
nœ œ œ
Here are two more examples of Bb triad generalization. In the first, Charlie Parker used leading tones
similarly to Brown’s previous example. In the second, Brown elaborated the triad with a few grace notes.
4.30 Triadic generalization with leading tones

Bb
b n œ œ #œ
Gm 7
œ
Cm 7 F7
&b c Œ œ œ œ œ œ œ
4.31 Triadic generalization

b
b œœœ Œ œ œ œ œ
Cm7 F7 B
&b c Ó Œ ˙
j
#œ
Charlie Parker used a number of elaborative devices on an F major triad in the following excerpt. At a.,
Parker used a lower neighbor tone which is mirrored at b. with the use of an upper neighbor tone. The
primary pitches at c. and d. are the leap from C up to A. At c., the Cn was approached from its leading
tone Bn. The leap took the line past the target A, and sounded the Bb and G#, encircled the A with its up-
per and lower neighbor tones. Passing tones were played at e. between the descending chord tones.
4.32 Triadic generalization with several elaborative devices

a. b. c. d. e.
œ
& b c œ n œ œ œ œ œ œ œ œ ‰ j œ œ # œ œ œ œ œ œ œ œ n œ œj
nœ

Kenny Dorham began this phrase using the Bb triad pitches to generalize the harmony. In a subsequent
phrase, Dorham began with the identical pitches, but as the line continued, addressed more of the spe-
cific chord tones from the progression. It is important to note that there is rarely one single approach
used by any individual throughout an improvisation.
4.33 Harmonic Generalization

b B G7 Cm7 F7 Dm7 G7 Cm7 F7
b œ nœ œ #œ œ
3
œ # œ œ œ œ œ œ j œ.
&b c Ó œ œ œ
œ œ
˙ Ó
4.34 Harmonic Specificity

Bb G7 b œ
b
G7 Cm7
œ # œ n œ œ
F7
n œ b œ œ
Dm7
œ œ œ œ Cm7
œ œ
F7
&b c Ó œ œ œ œ # œ œ œ nœ œ œ œ œ œ œ
B b7 Eb Bb
b b œ
E°7 3 Cm7 F7
&b œ œ œ œ œ œ œ œ #œ nœ œ œ
œ œ Œ
œ œ bœ œ œ #œ œ œ
At the core of this line from a blues improvisation by Tete Montoliu is a simple line shown in the staff
below the excerpt. Montoliu used F as a pivot tone in the first measure. The D is an upper neighbor to
the C which was octave displacement in the second measure. The A in m.3 was preceded by its upper
and lower neighbor tone. The A in m.4 was approached from above and below finally through the G#.
4.35 F triadic Generalization
œ œ œ œ nœ œ
C7 F œ. œ œ œ bœ œ
&b c ‰ œ #œ œ œ œ œ œ œ # œ œ œ œJ
6 3
˙ ˙ ˙ ˙ ˙ ˙
&b c œ œ ˙
Tete Montoliu encircled the primary pitches of the F triad in ex. 4.36 from a blues improvisation. In ex.
4.37 Montoliu ignored the specific implications of the C7 chord and concentrated on chord tones from
the F triad. The A was chromatically approached from below, and after a descending F arpeggio, the A
was preceded by its upper and lower neighbor tone, followed by the chromatic encircling of the C.

œœœ œœ œ
œ œ œ œ œœ
& b c œ œ #œ œ œ œ nœ œ
F
Ó
3 3 3
3


C7 3 F
&b c œ #œ œ œ œ œ b œ
j
œ #œ œ nœ œ œ.
Examining this next example may lead one to conclude that anything goes since all twelve pitches are
present in the line. All twelve pitches are used, but the chromaticism is not random. Each group of
chromatic tones points to a chord tone of the C triad. Each chord tone of the C triad occurs in strong
metric positions. The chromatic clusters create tension on the weaker beats which is resolved before
moving to the next chromatic cluster. Clarity exists from the metric placement of the triad pitches and
from the symmetry of the bracketed notes. The first two bracketed groups have identical intervals and
the third is an exact inversion.
4.38 C Triad with chromatic embellishment

C ↓
j n œ
3
b œ œ
↓
&c Ó ‰ #œ œ
↓
#œ œ b œ œ nœ œ #œ œ

TRIAD MOTIVE DEVELOPED
The triad shape by itself may produce interesting melodic lines, but imaginative manipulation of the
triad may make the melodic lines more interesting.
The simple arpeggio below is hardly enough to make an interesting theme. With the addition of simple
developmental devices, Bach used this basic structure to create a memorable and workable theme for
the Two-part Invention No. 8. The ascending arpeggio is transformed into a broken chord with the
addition of the F as a pivot or pedal tone giving the first measure interesting angularity. The descending
arpeggio is transformed into a smoother line with the use of passing and upper neighbor tones. The
angular and smooth parts of the theme provide a contrast of musical ideas for development.
4.39 Simple arpeggio idea Transformed to a theme by J. S. Bach
œ œ œ
& b 34 œ œ œ œ ˙. ‰ œj œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ Ó
The last nine pitches of the Bach theme can be changed to eighth note values and would be useful to
any jazz improviser:
4.40
&b c œ œœ œ œœ œœ ˙
Listen to what happens when the direction is changed. Upper neighbor tones are changed to lower
neighbor tones. The line is still clear and musical, and works in major or when transposed to the
parallel minor.
4.41 Opposite motion with LNTs In minor
& c œ œ œ œ œ œ œ bœ ˙ œ œ œ œ bœ œ œ bœ ˙
Arpeggio tones could be inserted in place of the UNT tones, and the motive remains musical. This idea
is found in a John Coltrane improvisation.
4.42
Bach theme with arpeggio tones: line with arpeggiated tones:
œ œœœœœœ œ
& b 34 œ œœ œ Ó &c œœœœœœœœ Ó
˙
If the idea works in major will it work in minor? Below are three more variations of the idea: the
Coltrane line in minor, inverted in minor and in major. Listen to the Coltrane/Bach idea inverted and
in a major key: it begins to sound like the Shaker tune Simple Gifts.

4.43
in minor inverted in minor inverted in major
& c œ œ œ œ bœ œ œ œ Ó œ œ œ œ bœ œ œ bœ ˙ Ó œ œ œ œ œ œ œbœ ˙ Ó
˙
Parker (a.) used chromatic passing tones to outline the F major triad in this excerpt from a blues impro-
visation. The F major triad pitches occurred on the strong beats. Lou Donaldson (b.) used almost the ex-
act Parker line, adding only arpeggio tones. With the arpeggiated tones added to the Donaldson idea,
the result is a jazzy version of Simple Gifts.
4.44 a. b.
& c œ œ #œ œ bœ nœ œ œ bœ œ œ œ œ œ œ œ # œ œ œ bœ nœ œ œ bœ œ œ œ œ
œ œ
œ œ
Shapes related to the Bach theme can be found in these Cannonball Adderley improvisation excerpts:
4.45 Descending using UNTs and PTs

D7 G
& c Œ œ œ #œ œ œ œ œ œ œ
œ œ œ œ œ œj
4.46 Ascending idea using LNTs
Gm7
œ
& b c œ #œ œ œ œ œ œ œ œ
The previous line echoes this familiar melody:
4.47 Joshua Fought the Battle of Jerico
b œœ œ˙
& b c œ #œ œ œ œ œ œ œ J J œ œ œ˙
J J œœ œœ Œ
J J
The following pages illustrate several of the many possible elaborations of the basic triad pitches
referenced to the C major and C minor tonic triads.

TRIADIC EMBELLISHMENT of C MAJOR TRIAD:

Tonic Mediant Dominant
& w w
w
Leading tones (LT) and Lower Neighbor Tones (LNT) & Chord Tone (CT)
j j j
&
œ ˙ œ œ ˙ #œ ˙ œ œ ˙ #œ ˙ œ œ ˙
Upper Neighbor tones (UNT)
j j
& j œ ˙ œ œ ˙ œ ˙ œ œ ˙
œ ˙ œ œ ˙
Encircled with UNT-LNT-CT patterns
& œ œ œ #œ ˙ œ œ ˙ œ #œ ˙ œ œ ˙
œ ˙ œ ˙
Encircled with UNT-CT-LNT-CT & LNT-CT-UNT-CT patterns
& œ œ œ #œ ˙ #œ œ œ ˙ œ œ #œ ˙ #œ œ œ ˙
œ œ ˙ œ œ œ ˙
Encircled with CT-UNT-LNT-CT & CT-LNT-UNT-CT patterns
& œ œ #œ ˙ œ #œ œ ˙ œ œ #œ ˙ œ #œ œ ˙
œ œ œ ˙ œ œ œ ˙
Chromatic Approach from UNT or LNT through a Chromatic Passing Tone (PT)
& œ bœ œ #œ ˙ nœ #œ ˙ œ bœ ˙
˙
Encircled with combinations of UNTs, LNTs & Chromatic PTs
& œ œ #œ ˙ œ œ nœ #œ ˙ #œ œ bœ ˙ œ #œ nœ bœ ˙
œ œ bœ ˙ œ œ nœ bœ ˙
Approached with arpeggio leaping from other chord tones above or below
˙ œ œ ˙ œ œ
& œ œ œ œ œ ˙ œ ˙ œ ˙
˙ œ
Using PTs to pass between two chord tones
& ˙ ˙ œ œ ˙ œ œ ˙
˙ œ ˙ œ ˙ ˙ œ œ ˙
Leaping from one chord tone to a note above or below another, resolving in opposite direction of leap.
œ ˙ œ ˙ œ œ
& œ
œ ˙ œ ˙ œ
œ œ #œ ˙ #œ ˙

TRIADIC EMBELLISHMENT of C MINOR TRIAD:

Tonic Mediant Dominant
& bw w
w
Leading tones (LT) and Lower Neighbor Tones (LNT) & Chord Tone (CT)
j j j
&
nœ ˙ œ nœ ˙ œ b˙ œ œ ˙ #œ ˙ œ œ ˙
Upper Neighbor tones (UNT)
j j
& j œ b˙ œ œ ˙ bœ ˙ œ œ ˙
œ ˙ œ œ ˙
Encircled with UNT-LNT-CT patterns
& œ œ œ œ b˙ œ œ ˙ bœ #œ ˙ œ œ ˙
nœ ˙ nœ ˙
Encircled with UNT-CT-LNT-CT & LNT-CT-UNT-CT patterns
& œ œ bœ œ b˙ nœ œ œ b˙ bœ œ #œ ˙ #œ œ œ ˙
œ nœ ˙ nœ œ œ ˙
Encircled with CT-UNT-LNT-CT & CT-LNT-UNT-CT patterns
& bœ œ œ b˙ bœ nœ œ b˙ œ bœ #œ ˙ œ #œ œ ˙
œ œ nœ ˙ œ nœ œ ˙
Chromatic Approach from UNT or LNT through a Chromatic Passing Tone (PT)
&
˙ œ bœ ˙ #œ œ b˙ œ nœ b˙ œ #œ ˙
bœ nœ
Encircled with combinations of UNTs, LNTs & Chromatic PTs
& œ œ nœ b˙ bœ œ #œ ˙ œ bœ nœ #œ ˙
nœ œ bœ ˙ bœ nœ nœ bœ ˙ #œ œ nœ nœ b˙
Approached with arpeggio leaping from other chord tones above or below
& œ bœ œ ˙ œ œ b˙ œ œ b˙ bœ œ ˙ ˙
˙ œ œ bœ
Using PTs to pass between two chord tones
& ˙ ˙ nœ nœ ˙ bœ bœ ˙
˙ œ b˙ œ ˙ b˙ œ œ ˙
Leaping from one chord tone to a note above or below another, resolving in opposite direction of leap.
bœ ˙ œ b˙ œ bœ
& œ
œ ˙ nœ ˙ œ
œ bœ #œ ˙ œ b˙

PENTATONIC SCALE
One of the most common groups of notes or scales in universal music is the pentatonic scale. As the
name implies, a pentatonic scale is a five tone scale. The most typical pentatonic scale is really nothing
more than a major triad with two auxiliary tones. Pentatonic melodies are often merely triadic melodies
using only the two additional pitches for elaboration. Amazing Grace contains only these five pitches:
the tonic triad (primary pitches) and two additional tones (the second and sixth degrees). The major
pentatonic scale is two notes shy of the major scale; the missing notes being the fourth and seventh de-
grees. With the absence of those two most dissonant notes of the major scale, the tritone, the remaining
five notes are quite consonant. The relative consonance of the pentatonic scale may help to explain its
ubiquitous melodic use.
In the same way that major scales are related to minor scales, the major and minor pentatonic scales
are related. An F major pentatonic shares the pitches with D minor pentatonic.
4.48 F Major Pentatonic D Minor Pentatonic
˙ œ ˙ œ ˙
&b c ˙ œ ˙
˙ ˙ œ ˙
There are many modes and applications of pentatonic scales that go beyond triadic generalization that
are discussed in chapter 16.
BLUES SCALES
Is there really a blues scale? They, like many aspects of music theory may be the result of academic la-
beling and codification. There is a certain grain of truth to the existence of blues scales. A blues impro-
visation by Parker, Clifford Brown or Wynton Kelly may contain elements of what could be labeled a
blues scale, but the improvisations also draw on many other elements in the course of the improvisa-
tions. Also, many phrases that we would without a doubt call a blues lick may not be constructed strictly
using notes from the labeled blues scale. These blues licks would probably have elements found in blues
scales and triadic generalization. Blues scales are another form of triadic generalization.
What is commonly called the blues scale would be better labeled the minor blues scale. The example
below shows that an F minor blues scale is constructed from an F minor pentatonic scale with one
added chromatic tone. This means the minor blues scale is just as useful as the minor pentatonic for use
as triadic generalization material.
4.49 F Minor Pentatonic F Minor Blues Scale
b œ ˙ œ ˙
& b bb c ˙ ˙ bœ ˙
˙ ˙ œ nœ ˙

Every high school jazz band member seems to know the minor blues scale. This may be because many
of their band directors know little else to teach them about jazz improvisation. Students are usually in-
structed to use this scale to improvise over Blues in F major. Up to a point, students will have fun play-
ing this over a major blues, but after a while, the students intuitively begin to realize there is more to jazz
than just the minor blues scale. They also begin to sense the missing major third. After playing the mi-
nor third and fourth over and over they are ready to hear it resolve to the major third, but alas, it is not
in the scale given to them by their teacher. Knowing a major blues scale would help them play over F
major blues.
The major blues scale is nothing more than a major pentatonic with a chromatic tone added. The
chromatic tone will sound like a chromatic approach tone to the major third, or in another context, will
sound like a minor third. The two blues scales are related in the same way major and minor are related.
An F major blues scale has the same notes as an D minor blues scale. An F minor blues scale is related
to an Ab major blues scale. F major and F minor are parallel.
4.50 F Major Pentatonic F Major Blues Scale
˙ œ ˙ ˙ œ ˙
&b c ˙ œ ˙ ˙ œ #œ ˙
4.51 D Minor Pentatonic D Minor Blues Scale
œ ˙ œ ˙
&b c ˙ ˙ œ ˙
˙ ˙ œ #œ ˙
4.52 F Minor Pentatonic F Minor Blues Scale
b œ ˙ œ ˙
& b bb c ˙ ˙ bœ ˙ ˙ ˙ œ nœ ˙
4.53 A b Major Pentatonic A b Major Blues Scale
b ˙ œ ˙ ˙ œ ˙
& b bb c ˙ œ ˙ ˙ œ nœ ˙
Jazz artists will use the major and minor blues scales as colors but will mix them in with other concepts
and sounds.
Aside from the obvious application (minor blues for minor tunes, major blues for major tunes) a minor
blues scale can often be used in a major key, but it would be hard to find an example of major blues
played in a minor key setting. In a major context both blues scales are often called upon, so that in an F
major tune, F major or F minor blues scale may be heard. The imposition of the flatted third, flatted
fifth and flatted seventh from the minor blues scale, notes often labeled “blue notes,” creates a nice ten-
sion over the major harmony, which is often resolved to the major triad notes. One can tell quite a
good story just going back and forth between the woeful, gritty minor blues scale and the major blues
scale with the “pretty notes,” and still be relying on the basic triads for the underlying structure of the
improvisation.

BLUE NOTES
Blue notes can be more than just chromatic altered tones; they may be bent tones finding the in-be-
tween pitches not available in European equal tempered twelve tone chromatic scales. The easiest and
most common definition for blue notes includes the flatted third, seventh and fifth tones of a major
scale. You must listen to singers to understand the elastic quality of these pitches. Singers, guitarist, string
players, and many horn players can find the blue notes more easily than a pianist who is stuck with the
twelve keys on the piano. A blue note will not necessarily be a constant pitch: it may be approached and
departed by a slide and when held, the intonation may vary by a few cents for expression. There are
some outstanding R&B recordings that, depending on your perspective, are in either major or minor
keys. One guitarist may have played a dominant seventh chord with a major third in the left channel; in
the right channel another guitarist played a C minor seventh chord with a minor third; and the singer
sang a blue note third that was in between the major and minor third. Limited by the notation system,
the blue notes in the following examples will be labeled as b3, b7, and #4 or b5.
A blue third may occur in place of a major third. The occurrence of a blue flatted third over the major
chord creates a conflict with the major third that allows the expression of things not available with
equal tempered scales.
4.54 3-1 Blue note replacement 3-2-1 Blue note replacement

F F F F
X
j X
&b c ˙ ˙ bœ . œ ˙ nœ œ ˙ bœ œ œ œ ˙
These same pitches occur in D minor, the relative minor to F major. The Ab is now the flatted fifth.

Dm Dm Dm Dm
X
j X
&b c ˙ ˙ bœ . œ ˙ nœ œ ˙ bœ œ œ œ ˙
The above example shown in the parallel key of F minor

Fm Fm Fm Fm
b j
& b bb c ˙ bœ . nœ b œX œ œ œ ˙
X
˙ œ ˙ œ ˙
The flat seventh may be used over a major chord. It often mirrors the kinds of motion of the blue third.
The blue seventh and the blue third often point to the primary pitches tonic and dominant.
4.57 Lowered third and seventh Blue Notes

F F F F
j bœ . œ ˙ bœ œ œ œ ˙
& b c bœ . œ ˙ J bœ œ œ œ œ œ œ

The flatted fifth can point down the third or as a raised fourth up to the fifth. In this way they behave as
chromatic passing or leading tones, but in performance with vocal inflections may be appropriately de-
tuned.
4.58 Flatted fifth and raised fourth Blue Notes
X >
X
>œ . b œ > . X
b œ .
& b c J œ bœ œ œ Jn œ J bœ bœ œ œ œ Ó œ bœ œ nœ œ œ œ œ
3 3
Pianist may use grace notes to compensate for the inability of the piano to bend notes.
4.59 Blue Grace notes
&b c n œœ b œœ b œœ œœ n œœ
œ
œ
J œ #œ
j
œ
BLUES SCALE MUSICAL EXAMPLES
Here is a brief collection of major and minor blues scale ideas and a few examples with combinations
of the two scales. Add to this list from your own search and create some of your own triadic generaliza-
tion lines based on these blues scales.
MAJOR BLUES SCALE
Below are several straight forward and familiar examples of the major blues scale used in compositions
and improvisations. The third note of the major blues scale can sound like a raised second or a lowered
third depending on the context. In ex. 4.60, it sounds like a flatted third. In ex. 4.61 and 4.62, the note is a
raised second leading into the major third. In ex. 4.63 the same pitch is used twice in two different ways:
the first as a leading tone (G#) to the third, the second time as the minor third (Ab).
4.60 Major Blues Scale
b ‰ œJ ‰ b œj œ œ ‰ œJ ‰ b œj œ œ
&b b c œ œ Œ œ Œ œ Œ œ Œ
œ œ œ œ œ
b œ ‰ œJ # œ œ Ó
&b c Ó Œ
œ œ œ
œ œ œ œ #œ
œ œ ˙
F
œ œ œ œ
&b c œ œ #œ œ

bœ
‰ # œj œ œ œ œ Œ Œ œ Œ ‰ Jœ œ œ œ
F
&b c
3
MINOR BLUES SCALE
Wynton Kelly used the minor blues scale in this emphatic climax to this Bb major blues improvisation.
4.64 Minor Blues Scale
œ œœ n œ bœ bœ œ 3 bœ œb œ œ bb œœ œ œ œ bœ œ œ œ œ
bœ bœ œ œ œ
B 7
b nœ
& b c ‰ œJ œ œ ‰ J œ ‰ J œ bœ œ
n œ 3b œ b œ œ b œ3
b nœ bœ bœ œ nœ bœ
&b ‰ J
Adderley also made the minor blues scale work over the Bb major blues progression.
‰ b Jœ œ b œ b œ œj n œ œ
3 3 3
&c bœ bœ bœ œ œ œ bœ b˙
Carl Fontana ignored the indicated chord progression and drove this minor blues scale through to an
exciting conclusion in this improvisation. Notice that at the end, the minor third is finally resolved to a
major third. It would be foolish to analyze each note in relationship to the chords above them. It would
be better to recognize the strength of the melodic line through the use of the minor blues scale as a
generalization, and the use of a repeated sequential idea that led to a logical conclusion.
bœ œ œ œ œ œ œ bœ œ œ œ œ œ bœ œ bœ œ œ œ œ œ bœ œ bœ œ œ
D9 C A7 Dm7 G7 Cmaj7
?c œ œ œ œ nœ
COMBINATIONS of MAJOR & MINOR BLUES SCALES
These Charlie Parker and Wynton Kelly examples show how the two scales, although different in charac-
ter, can be used side by side for a expressive blues line. Both are from a blues in C, both begin with a
major and end with a minor blues scale idea.
4.67 Major & Minor Blues Scales

C 3 F 3 C
& c œ Œ ‰ œj œ œ œ œ œ Œ b œ œ b œ œ n œ œj

4.68 Major & Minor Blues Scales

# œ œ œ √œ
œ
œ œ #œ œ œ bœ œ œ bœ
œ # œ œ œ œ bœ œ œ œ
3
&c bœ œ
GENERALIZATION EXAMPLES APPLIED

An improviser may approach any given harmonic context using harmonic specificity or harmonic
generalization (or may choose to ignore the implications entirely). These next examples illustrate how
a simple triad, embellished with only upper and lower neighbor tones can be used to create melodies
over traditional harmonic progressions.
Cm7 - F7 - Bb (ii7 - V7 - I) is the most common progression in the key of Bb major. The circled notes il-
lustrate the primary target triad notes to which all of the other notes point. All of the secondary pitches
should be analyzed by their linear relationship to the Bb triad and not their vertical relationship to the
actual chords. The C# is not the raised root of Cm7, but the leading tone pointing to D, the third of Bb.
The En is not the major third of Cm7, but a lower neighbor tone to the F. Any vertical dissonances are
resolved by logical linear conclusions. There are those who analyze melodic lines like this where each
note is shown with a number below it representing its relationship to each chord symbol. There are
times when analysis of direct chord-tone relationships is useful, but it is important to recognize the dif-
ference between harmonically specific and general melodic lines and one should always be aware of the
linear nature of music.
4.69 Triadic generalization over ii7 - V7 - I progression

Cm7 F7 B b
b
& b c #œ œ œ nœ œ œ œ nœ œ œ œ #œ œ nœ
1.
œ œ
2. 3. 4. 5.
The primary pitches in this line are the root, third and fifth of the Bb triad: Bb - D - F.
1. D is approached through its leading tone C#

2. Bb is preceded by its lower and upper neighbor tones (A & Cn)
3. F is sounded, then its upper and lower neighbor tones (G & E), then F returns
4. D is approached by its upper neighbor tone (Eb) and chromatically from below through
the chromatic passing tone C#
5. Bb is preceded by its lower and upper neighbor tones (A & Cn)
The same triadic generalization principles are can be effectivly applied when the progression is in a
minor key. The line below corresponds directly to the Bb major line above transposed to its relative mi-
nor. The progression in G minor is Aø7 - D7 - Gm (iiø7 - V7 - i). The line is created generalizing the G
minor triad. As before, any vertical dissonances should be analyzed and by their linear relationships to
the basic G minor triad pitches.

4.70 Triadic generalization over iiø7 - V7 - i progression
œ œ #œ œ œ œ œ
Aø7 D7 Gm
b #œ œ œ œ nœ bœ #œ œ œ
&b c
1. 2. 3. 4. 5.
The primary pitches in this line are the root, third and fifth of the G minor triad: G - Bb - D.
1. Bb is approached through its leading tone A

2. G is preceded by its lower and upper neighbor tones (F# & A)
3. D is sounded, then its upper and lower neighbor tones (Eb & C#), then D returns
4. Bb is approached by its lower neighbor tone (A) and from above through the chromatic
passing tone Bn . The chromatic approach is different here than in the preceding
example. (This approach is to a minor third, the previous was to a major third, so the
shapes must be inverted.)
5. G is preceded by its lower and upper neighbor tones (F# & A)
Sometimes the linear and vertical analysis will agree. Most of the notes in the second measure above
could be labeled as chord tones of the D7 chord: Root - 5th - 7th - PT or n13 - b13 - 3rd - 5th. But when
examining the melodic line as a whole, the analysis as tones related to the G minor triad proves more
significant.
It seems an impossible task to improvise melodic lines at any tempo by thinking of each individual
pitch. Successful lines would be difficult to achieve. This would be analogous to conceiving of a sentence
thinking of individual syllables. It would probably lead to incomprehensible results. A better strategy
would be to conceive melodic shapes of single pitches with larger rhythmic units (basic triad pitches)
and the tones that surround and point to those pitches (neighbor tones). This would mirror the creation
of sentences out of noun and verb groups and their modifiers. In your analysis of melodic material, be
prepared to encounter many types of melodic lines. Be careful not to lose sight of the larger picture: if
one looks too closely at the vertical structures, the larger linear dimensions may be missed.
Triadic generalization as a tool for melodic invention requires the ability to recognize larger key areas
aurally and by written chord symbols. Many tunes used for improvisation by jazz musicians stay close
enough to the tonic key area that very large sections may be generalized. Other tunes shift and modulate
rapidly to remote keys areas before returning to the original key thus making generalization with a single
triad impossible, but may be possible to generalize within each of the remote keys. A study of harmonic
progressions is necessary to understand its impact on harmonically specific melodic develop
ment.
SUGGESTED ACTIVITIES
• Return the simple triadic forms in Chapter 3 and create new melodies incorporating
non-harmonic tones as illustrated in this chapter.
• Transcribe examples of triadic generalization. Analyze specific devices used to

elaborate the simple triadic shapes. Apply to improvisation.
• Practice exercises and study examples found in Comprehensive Technique for Jazz
Musicians, Chapter 3, Triads & Generalization.

Chapter 5 Diatonic Harmony 95
V. DIATONIC HARMONY
DIATONIC HARMONY: MAJOR
There are only seven basic spellings for all tertian triads. The seven pitches may be altered chromati-
cally depending on the key signature. The basic triad spellings are created using every other letter in the
seven letter musical alphabet. It is important to memorize them to correctly identify and notate the tri-
ads. In jazz and modern music, the chord is usually extended beyond the triad by adding intervals of a
third. A tertian triad is spelled 1-3-5; a seventh chord adds a third beyond the fifth and is spelled 1-3-5-7;
a ninth chord is spelled 1-3-5-7-9; extended to the limit using seven diatonic pitches: 1-3-5-7-9-11-13. All
of these chords can theoretically be built on any degree of any scale, although some, as will be discov-
ered, will be impractical.
ALL TERTIAN CHORD SPELLINGS
TRIAD SEVENTH CHORD EXTENDED TERTIAN

1 3 5 1 3 5 7 1 3 5 7 9 11 13
A C E A C E G A C E G B D F
B D F B D F A B D F A C E G
C E G C E G B C E G B D F A
D F A D F A C D F A C E G B
E G B E G B D E G B D F A C
F A C F A C E F A C E G B D
G B D G B D F G B D F A C E
INVERSIONS
To determine the root of a tertian triad, the notes should be arranged as shown above. If the pitches C,
A and F are found, rearrange them in the order of thirds to produce FAC, an F triad. Often the triads will
not have the root as the lowest tone. When arranged with the third or fifth in the bass, the triads are said
to be inverted. With the third in the bass, the triad is in first inversion; with the fifth in the bass, the triad
is in second inversion.
5.1 Triads and inversions
˙˙ ˙˙
C Cm
˙˙ ˙˙ ˙ ˙ b ˙˙ ˙
& ˙˙˙ ˙ ˙ ˙ ˙ b ˙˙˙ b ˙˙ ˙ b˙ b˙
˙ ˙
Root 1st 2nd 1st 2nd Root 1st 2nd 1st 2nd

96 Chapter 5 Diatonic Harmony
Seventh chords may be in third inversion where the seventh is in the bass.
5.2 Seventh chords and inversions
& b ˙˙˙ b ˙˙˙˙ b ˙˙˙˙ ˙

˙ b ˙˙˙
Root 1st 2nd 3rd
It is extremely important to spell the triads correctly. A misspelled chord in a melody line or harmony
part will be harder to read and understand. It might sound exactly the same with alternate spellings, but
proper spellings should be adhered to. I call this the “Ghoti” principle. It is doubtful that any two peo-
ple would pronounce “Ghoti” the same way, yet the sounds are commonly found in the English lan-
guage. Pronounce “Ghoti” using the “gh” sound from enough, the “o” sound from women, and the “ti”
sound from motion. “Ghoti” would be more easily read if written as “Fish.” The triads below may sound
like C minor chords, but they are confusing to read as they are misspelled. A C triad must contain the
letters C, E and G. A C minor triad should be spelled C - Eb - G, not C - D# - G.
5.3 Violation of the “Ghoti” Principle
˙˙
Cm ?
& ˙ # ˙˙˙ ˙
# ˙˙˙ # ˙˙ #˙ # ˙˙
FUNCTIONAL HARMONY
From the definition of tonal music, it is understood that melodic pitches tend to gravitate towards a sin-
gle pitch, the tonic, which is the center of the musical organization. If chords built from major and mi-
nor scales are combined in harmonic progressions, they typically progress towards the chord built on
the tonic. When progression of this kind are present, the harmony is said to function. Functional har-
mony is the chords working together in a progression pointing towards the tonic.
Most European music since the early Baroque has been based on a concept called the major/minor
system. This system depends on the tertian chords built on pitches from the major and harmonic mi-
nor scales in progressions of functional harmony. Roman numerals are associated with the seven differ-
ent chords found in each key. This author prefers the custom of using upper case for chords with major
thirds, and lower case for chords with minor thirds. The series of available seventh chords diatonic to
the key of C major is shown below.
5.4 Diatonic seventh chords in key of C
˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙

˙˙˙ ˙˙˙ ˙˙˙ ˙ ˙
& ˙ ˙ ˙ ˙
˙
I(maj7) ii7 iii7 IV(maj7)
˙˙˙ ˙˙˙
V7
˙˙˙
vi7
˙˙˙
viiø7
˙˙˙ ˙˙˙ ˙˙˙ ˙ ˙

? ˙ ˙ ˙ ˙
˙

The common shorthand method for labeling the chords from the key of C are shown below.
Cmaj7 Dm7 Em7 Fmaj7 G7 Am7 Bø7

I (maj7) ii7 iii7 IV (maj7) V7 vi7 viiø7
If the music is in the key of C, then the chords are spelled and sound as shown above. Just as the inter-
vals of major scales, the chords and their roman numerals remain constant when transposing to new
keys. A chord built on the first degree of any major scale is a major seventh chord; a chord built on the
second degree is always a minor seventh chord, and so on. If other chords occur on the same C major
scale degrees, but are different than what is shown above, then they are not in the key of C. A dominant
seventh chord could be built on the second degree of the C major scale: D - F# - A - C. This cannot be a
II7 chord in the key of C, as it contradicts the no sharps or flats definition of C major. Chords on the
second degree must be minor seventh chords (ii7). This D7 chord would be from the key of G major.
This can be determined by examining the chart above where the only scale degree that yields a domi-
nant seventh chord is the fifth degree. The fifth degree of G is D, so a dominant chord built on D must
be from the key of G. The key can also be deduced by the F# from the key signature of G major. A minor
seventh chord could be built on the fifth note of a C major scale, but this Gm7 chord could not be in
the key of C as its third, Bb, contradicts the no sharps or flats definition C major. The Gm7 could be a ii7
chord in F, a iii7 chord in Eb, or a vi7 chord in the key of Bb.
Fill in the chart below in order to become more familiar with the specific chords in the thirteen major
keys. There are only twelve pitches in the chromatic scale, but the enharmonic equivalents Gb (6bs) and
F# (6#s) are listed below. The keys of Cb major (7bs) and C# major (7#s) have been omitted in favor of the
enharmonic equivalents of B major (5# s) and Db major (5b s). Be sure that the chords are spelled
correctly, and not with an incorrect enharmonic spelling. The V7 chord in Db major will be Ab7, not G#7.
The V7 chord of Gb and F# should be spelled with different roots even though they sound the same. After
filling out the chart, write out each of these chords in the thirteen major keys on staff paper. Do not
write the key signatures at the beginning of each line, instead, place each accidental in front of notes to
gain familiarity with the spelling of each chord.
KEY Imaj7 ii7 iii7 IVmaj7 V7 vi7 viiø7

C Cmaj7 Dm7 Em7 Fmaj7 G7 Am7 Bø7
F
Bb
Eb
Ab
Db
Gb
F#
B
E
A
D
G
Looking at the chart above, you will notice that several chords function differently depending on their
key origins. A C major seventh chord may function as the I chord in C major, but also functions as the
IV chord in the key of G. Minor seventh chords occur as ii7, iii7 or vi7 chords. Dominant seventh
chords can only be found on the dominant (V7) pitch in each key. These are the most important
pointer chords to the key area and the tonic chord. This makes perfect sense as the dominant pitch
points to tonic, and the other pitches of a dominant seventh chord point to the other pitches of a tonic
triad.

The half-diminished chord occurs only on the seventh degree of major keys. It is called half-diminished
because the basic triad is diminished (m3-m3) but the seventh is the interval of a minor seventh and
not a diminished seventh. This chord is sometimes called a minor 7 b5. This is a terribly ambiguous des-
ignation. A minor chord must have a perfect fifth in order to be minor, so it cannot be minor with a b5.
The b5 also implies that this chord is somehow altered from its natural state, yet it is found quite natu-
rally on the seventh degree of every major scale. The “ø” symbol, meaning half-diminished, suggests the
chord has a 7th, so using “ø7” is redundant, but common.
DETERMINING THE KEY
There are four types of seventh chords available from any major scale:
CHORD TYPE INTERVAL CONSTRUCTION PLACE IN MAJOR KEY

Major 7th M3 - m3 - M3 I or IV
Minor 7th m3 - M3 - m3 ii7, ii7, or vi7
Dominant 7th M3 - m3 - M3 V7
Half-Diminished 7th M3 - m3 - M3 viiø7
This chart can be used to identify the key when examining a set of chords from music. If the chord is a
V7 or viiø7, the key will be easy to identify as they only occur on one degree of the scale. If a chord is a
major 7th, it could be the I or IV from two possible keys. If it is a minor seventh, it is from one of three
possible keys as a ii7, iii7 or vi7. The key can be determined when encountering major seventh or minor
seventh chords by examining the chords that surround them.
A Dm7 chord can be found as the ii7 chord of C major, the iii7 of Bb major and the vi7 of F major.
Chords occur by themselves only in theory classes; in a harmonic progression, there will be other
chords that will help identify the function and the indicated tonic. The dominant chord is the most use-
ful for identification as there is only one per key. To determine the function of the Dm7 chord, look first
for the V7 of C (G7), the V7 of Bb (F7), and the V7 of F (C7) as they will clearly identify the key. If they
are not present, the other surrounding chords will help. Contrast the three types of chords built on E in
these three keys. In C = Em7 (iii7); in F = Eø7 (viiø7); and in Bb = Ebmaj7 (IV). All are distinctly different
quality chords. The key should be easily determined by the combination of the Dm7 and whatever E
chord is present in the surrounding musical context.
An F major 7 chord could be the I of F or the IV of C. Dm7 chord could be the ii7 of C major, the iii7
of Bb major or the vi7 of F major. An Am7 chord might be the ii7 of G major, the iii7 of F major or the
vi7 of C major. What if they are all in one progression? Which of these four keys (F, C, Bb and G) is im-
plied?
The Fmaj7 and Dm7 chords rule out the key of G. The Am7 and Fmaj7 rule out the key of Bb. That leaves
the keys of C and F. Without further chords, a single key cannot be determined. It could be either key as
shown below.
Am7 Fmaj7 Dm7

Key of C: vi7 IV ii7
Key of F: iii7 I vi7

At least one more chord is needed in the progression to narrow the choice to just one key. What chords
are different between the two keys of F and C major? The difference between the two keys is the Bn in the
key of C, and the Bb in the key of F. One of the four seventh chords that contain a B is needed to make
the determination: BDFA, GBDF, EGBD or CEGB. In the key of F those chords would be Bbmaj7 (IV),
Gm7 (ii7), Eø7 (viiø7), and C7 (V7). In C they would be Bø7 (viiø7), G7 (V7), Em7 (iii), and Cmaj7 (I).
Anyone of these chords in combination with the three shown above would narrow the choice to only
one key.
CHORD IDENTIFICATION PRACTICE
I. Practice the identification of chords by their relationship to home keys by quickly filling in the
blanks in the following exercises. (solutions shown on pages 114-115)
CHORD FUNCTION KEY CHORD FUNCTION KEY

ii7 F Dmaj7 D
C #7 V7 A b7 V7
b
E maj7 Bb iii7 C
Eø7 viiø7 Dm7 F
V7 G ii7 Db
Fm7 Db Dm7 iii7
B b7 Eb V7 Gb
Fmaj7 IVmaj7 Gm7 Bb
iii7 G B bmaj7 IVmaj7
A bm7 Gb C #7 V7
Imaj7 A b
D maj7 Db
Cm7 vi7 ii7 Ab

ii7 Bb F7 V7
D bmaj7 Ab b
A ma7 Eb
Dø7 viiø7 Imaj7 Ab
A7 V7 ii7 G
Fmaj7 F E7 A
iii7 D Bm7 vi7
vi7 Ab C7 F
F#ø7 viiø7 ii7 C
Am7 C Gmaj7 IVmaj7
Cmaj7 IVmaj7 Bm7 A
V7 C Fm7 ii7
Cø7 Db iii7 Ab


Cmaj7 Imaj7 Em7 D
V7 Ab V7 Bb
Em7 G Am7 ii7
ii7 F# C7 F
E bmaj7 Imaj7 G7 V7
Gm7 Eb ii7 F
Fm7 vi7 D7 V7
B bmaj7 I ii7 Bb
ii7 Ab Dm7 C
iii7 A V7 D
G bmaj7 Db Gmaj7 Imaj7
F#m7 vi7 Dmaj7 A
II. Identify the key that is home to the following combination of chords. Some combinations are
written more than once because they could be from more than one key.
CHORDS FUNCTION KEY CHORDS FUNCTION KEY

Dm7 - Em7 ii7 - iii7 C Amaj7 - Dmaj7
F#m7 - G#m7 D bmaj7 - Bbm7
Am7 - Bbmaj7 D bmaj7 - Bbm7
Gmaj7 - A7 Ebmaj7 - Dm7
Dm7 - Bø7 Ebmaj7 - Dø7
Ebmaj7 - Gm7 Cm7 - F7
Ebmaj7 - Gm7 Gm7 - C7

DIATONIC HARMONY: MINOR

Lowering the third, sixth and seventh degrees of a major scale creates a parallel minor scale. This minor
scale is known by several names including natural or pure minor, and aeolian mode. The natural minor
scale has no leading tone and is therefore not used to derive the minor harmony in the major/minor
system. In order to create a major/minor seventh chord (M3-m3-m3) on the dominant scale degree, the
subtonic (seventh degree) of the natural minor scale must be raised to create a leading tone. This cre-
ates an exotic sounding interval of an augmented second between the sixth and seventh degrees of the
scale. This scale, with its raised seventh degree, is appropriately named the harmonic minor scale and
allows for the creation of two very important harmonic pointers: the V7 and vii°7 chords. Though de-
signed for harmonic reasons, it is also quite useful for melodic construction.
5.5 Natural or Pure Minor Harmonic Minor

A2
&˙ ˙ b˙ b˙ ˙ &˙ ˙ b˙ ˙ ˙
˙ b˙ ˙ ˙ b˙ ˙
˙ b˙ b˙ ˙ ˙ b˙
A2
˙ ˙
?˙ ˙ b˙ ˙ ?˙ ˙ b˙ ˙
These chords are created from the C harmonic minor scale and are shown with the appropriate Roman
numerals. The chord built on the third degree of the scale is shown in parentheses as it is not a func-
tional chord.
5.6 Diatonic chords in key of C Minor
˙˙˙ ˙
b
&b b n ˙˙˙ ˙˙˙ n ˙˙˙˙ ˙˙˙
˙ n ˙˙˙˙ ˙ n ˙˙˙
˙ ˙
( bIIImaj7 #5) bVI(maj7)
˙˙˙ ˙
˙˙˙ n ˙˙˙˙ n ˙˙˙
i(maj7) iiø7 iv7 V7 vii°7
? bb n ˙˙˙ ˙˙˙ n ˙˙˙˙ ˙ ˙

b ˙ ˙
The common shorthand method for labeling the chords from the key of C minor is shown below. These
listed chords are derived from the harmonic minor scale only. The chord built on the third degree of
the harmonic minor scale is not functional and is not used in the major/minor system. It does occur a
great deal in contemporary compositions. Remember that functional chords point towards the tonic.
This chord and many others may be ambiguous, and therefore they cannot point to the tonic. This does
not mean that they are not musically useful, in fact they are useful for the purpose of ambiguity.
Cm maj7 Dø7 (Ebmaj7#5) Fm7 G7 A bmaj7 B°7

i (maj7) iiø7 (bIIImaj7#5) iv7 V7 bVImaj7 vii°7
Some theory books may list up to fifteen possible chords using the natural, harmonic and melodic mi-
nor scales as sources. All of those chords do not function in the sense that they all do not point to the
tonic minor. Without the leading tone, all of the chords would be identical to the chords in the relative
key of Eb major. The chords on the third, fifth and seventh degrees of the scale would be: Ebmaj7, Gm7,
and Bb7. These chords no longer would function to point to the tonic C minor. The Gm7 is not a domi-
nant seventh chord and therefore points away from rather than towards C minor. The Bb7 and Eb chords

will be heard as the dominant and tonic in the key of Eb. These chords point away from and so cannot
function as pointers to C minor.
The other chord affected by the raised leading tone is the tonic chord. In traditional music, a tonic
chord cannot have a seventh. In jazz, where unresolved dissonance is more common, a seventh can be
accepted. The minor/major seventh chord can be found in minor jazz progressions, but more often,
when the resolution to the tonic minor occurs, it is either a simple triad with no seventh, or has a minor
seventh. When a minor progression resolves to a minor seventh chord, it will sound less like a tonic
chord and more like a ii7 or vi7 chord that signals a modulation to a new key. There will be more ex-
amples of this when harmonic progressions and modulations are discussed. It could be argued that
within the major/minor system, only major tonality is stable, as the major third is found in the har-
monic series and not the minor third. This may explain the tierce de Picardie, or Picardy third, the
Renaissance and Baroque practice of ending pieces in minor with a major third.
There are fewer stable chords in minor keys than in major. In major, I, ii, iii, IV, V and vi are stable, with
viiø7 being unstable. The instability of the tonic minor chord was discussed above. The iiø7 and the
vii°7 chords are not stable because of their diminished fifth and the III chord from harmonic minor is
unstable because of its augmented fifth. A iv7 chord is stable and often becomes a pivot chord in
modulating to the relative major. A pivot chord is shared by two keys signatures and may function
relative to each in a modulation A iv7 chord in C minor, Fm7, is also the ii7 of Eb, the relative major key
to C minor. The iv chord often begins a modulation to the relative major as in: Fm7 - Bb7 - Eb. The bVI
chord is stable and often acts as a pivot chord between a minor key and its relative major. A bVI chord
in minor becomes the IV chord in the relative major.
For the purposes of discussing functional harmony in minor, only six chords will be discussed:
5.7 Diatonic chords in key of C minor (harmonic minor)
˙˙˙ ˙
b
&b b ˙˙˙ ˙˙˙ ˙˙˙
˙ n ˙˙˙˙ ˙ n ˙˙˙
˙
i iiø7 iv7 V7 bVI(maj7) vii°7
Three chords shown above do not include the leading tone: the supertonic, subdominant and submedi-
ant. Melodically these chords are often treated using the notes of pure or natural minor to avoid the
awkward augmented second degree. Since the tonic chord in minor is often a pivot chord to other keys,
it too will often be treated with natural or pure minor, and in some instances with melodic minor. Other
melodic substitutions will be discussed in chapter 14.

Fill in the chart below in order to become more familiar with the specific chords in the thirteen minor
keys. After filling out the chart, write out each of these chords on staff paper. These are listed in the same
order of key signatures as the chart shown for major keys. This chart lists thirteen keys again using the
equivalents of Eb minor (6bs) and D# minor (6#s). The keys of Ab minor (7bs) and A# minor (7#s) have
been omitted in favor of the enharmonic equivalents of G# minor (5#s) and Bb minor (5bs). Be sure to
use the correct spelling and not mix accidentals.
KEY i iiø7 bIII maj 7 #5 iv7 V7 bVImaj7 vii°7

A minor Am Bø7 Cmaj7 #5 Dm7 E7 Fmaj7 G#°7
D minor
G minor
C minor
F minor
B b minor
E b minor
D # minor
G # minor
C # minor
F# minor
B minor
E minor
There were four types of seventh chords derived from the major scale: major/major seventh, mi-
nor/minor seventh, major/minor, and half diminished seventh. All four of these chords found in major
keys have a place in minor keys. The harmonic minor scale adds three new seventh chords to the list:
the minor/major seventh and the fully diminished seventh.
Chords available from the Major and Harmonic Minor Scales
CHORD TYPE PLACE IN MAJOR KEY PLACE IN MINOR KEY

Major 7th Imaj7, IVmaj7 bVImaj7
Minor 7th ii7, iii7, vi7 iv7
Dominant 7th V7 V7
Half-diminished 7th viiø7 iiø7
Minor Major 7th n/a i (major 7th)
Major 7th # 5 n/a bIII major 7# 5
Diminished 7th n/a vii°7
It cannot be assumed that a major seventh chord is always a I chord (it could be a I, IV or bVI) or that a
minor seventh chord is always a ii7 chord (it could be a ii, iii, vi, or iv). These assumptions get many
beginning improvisers into trouble. Groups of chords within the progression must be analyzed in order
to determine the key for a particular passage.
The chart above shows that the only occurrence of a major/minor seventh chord in major or minor
keys, is on the dominant pitch. This is why a major/minor seventh chord is called the dominant seventh
chord. That means that for now in this discussion, all dominant chord symbols are, in fact, dominant
chords: a G7 is the V7 of C major or C minor, a D7 is the dominant of G major or G minor. In later
chapters dealing with substitutions, chords that sound like dominant chords but do not function as dom-
inant chords will be discussed. But for now a V7 is a V7 of major or minor.

DETERMINING the KEY
HALF DIMINISHED CHORDS
A half diminished chord is found on the second degree (iiø7) of a harmonic minor scale and from the
seventh degree (viiø7) of a major scale. The half diminished chord is more often used as a iiø7 chord
in minor than as a viiø7 in major. The fact that relative major and minor keys share the same half di-
minished chord is significant. This chord is often used as the common or pivot chord when modulating
from the major to its relative minor. It is often accurate to assume that a half diminished chord is a
pointer to a minor key, so that Eø7 is more likely the iiø7 of D minor than the viiø7 of its relative F ma-
jor.
FULLY DIMINISHED CHORDS
The only place within the major/minor system that a fully diminished seventh chord can be found is on
the seventh degree (vii°7) of harmonic minor. This is an often misunderstood chord. It can be spelled
in many different ways and still sound the same when heard out of context. It is the chord sound that is
most often violated by the “Ghoti” principle. The vii°7 chord, B°7, must be spelled: B-D-F-Ab in order to
be from the key of C minor. Play these notes on the keyboard and they sound the same as a D°7, F°7 or
E#°7, and Ab°7 or G#°7. All of these chords should be spelled differently according to their function. The
D°7 is the vii°7 of Eb minor and should be spelled D-F-Ab-Cb which corresponds to the key to which it
points. F°7 is the vii°7 of Gb minor which is the key of nine flats! The chord would be spelled F-Ab-Cbb-Ebb.
While most of us would prefer to see the Fn rather than E#, E# is the better choice for spelling this chord.
The E#°7 (E#-G#-B-D) is the vii°7 of F# minor, which with only three sharps, is a much easier key to think
about than nine flats. Using the same logic, G#°7 (G#-B-D-F) is a better choice than Ab°7, since G#°7 is the
vii°7 of A minor, with a no sharps or flats key signature, rather than Ab°7 (Ab-Cb-Ebb-Gbb) the vii°7 of Bbb
minor with its twelve flats. The fully diminished chord may be used in inversion and this often leads to
the spelling errors. It may take some deciphering to accurately identify the fully diminished seventh
chord in some instances, but let logic and simplicity prevail.
In a passage like Cm - B°7 - Cm, the function of the diminished chord is clear. Trouble may arise if
some of these chords are to be played in an inversion. If the passage asks that the chords be played with
different bass notes (shown on the bottom of the slash with the chord on top) the diminished chord is
often misspelled as : Cm/Eb - D°7 - Cm. The D°7 may sound like a B°7 in first inversion, but it may be
misleading as labeled. A D°7 is really the vii°7 of Eb minor suggesting six flats. It would be more clearly
labeled: Cm/Eb - B°7/D - Cm. It has been argued that this labeling is unnecessary as the D°7 and B°7
chords are enharmonically the same pitches. It will be easier to determine the key if the diminished
seventh chords are labeled more accurately, but in real world musical settings, be prepared for unusual
spellings.
MAJOR SEVENTH CHORDS
To determine whether a Bbmaj7 chord is a I or IV in major or a bVI in minor, the surrounding chords
must be taken into consideration. Bbmaj7 is the I chord in the key of Bb (2b), the IV chord in the key of F
(1b), and the bVI chord in the key of D minor (also the key of one flat, but with the leading tone C#). The
difference between one flat and two flats is the En or Eb. Any dominant chord will readily identify the
key. Bbmaj7 is a I chord when an F7 is present, a IV chord when a C7 is present, and a bVI chord when
A7 is present. An Fmaj7 would mean the Bbmaj7 chord is a IV chord. The presence of an Eø7 could
mean the Bbmaj7 chord is from F major or D minor, so another chord would be needed to clarify the
key. The determination can be made by looking for chords that contain either a Cn or a C#, the pitch dif-
ference between F major and D minor. Those chords are C#°7, C7, or A7.

MINOR SEVENTH CHORDS
Because a minor seventh chord can occur as a ii7, iii7, vi7 in major and a iv7 in minor, it is a bit more
difficult to make a determination of the correct key. An Am7 chord could be the ii7 or G major (1#), the
iii7 chord in the key of F (1b), the vi7 chord in the key of C major, and the iv7 chord from the key of E
minor (also the key of one sharp, but with the leading tone D#). Dominant chords are the easiest indica-
tors, so look for them first. The presence of a D7, C7, G7 or A7 will establish the key. If the dominant
chords are not present, look for chords which contain the difference pitches between the keys. Consider
these possibilities:
Am7 with chords that contain F# and Dn will be from the key of G:
Am7 (Bm7 Gmaj7 D7)
ii7 (iii7 Imaj7 V7)
Am7 with chords that F# and D# will be from the key of E minor:
Am7 (B7 D#°7)
iv7 (V7 vii°7)
Am7 with chords that contain Bn and Fn will be from C major:

Am7 (Bø7 G7)
vi7 (viiø7 V7)
Am7 with chords that contain Bb will be from F major:

Am7 (B bmaj7 Gm7 Eø7 C7)
iii7 (IVmaj7 ii7 viiø7 V7)
Am7 with an F#ø7 could be in the key of G major or E minor.
Am7 with an Fmaj7 or Dm7 could be in the key of F or C major.
Am7 with an Em7 or Cmaj7 could be in the key of G or C major.
These lists of possibilities makes finding the correct key look more difficult than it actually is. Most
pieces stay in or stay close to one key. More familiarity with the diatonic chords of keys makes them
easier to recognize in groups and common progressions. These chords do not occur out of context, and
there will almost always be enough information to make the correct decision regarding key signatures.

CHORD IDENTIFICATION PRACTICE SOLVED

Gm7 ii7 F F7 V7 Bb
C #7 V7 F# A bma7 IV Eb
b
E maj7 IV Bb A bma7 I Ab
Eø7 viiø7 F Am7 ii7 G
D7 V7 G E7 V7 A
Fm7 iii7 Db Bm7 vi7 D
B b7 V7 Eb C7 V7 F
Fmaj7 IVmaj7 C Dm7 ii7 C
Bm7 iii7 G Gmaj7 IV D
A bm7 ii7 Gb Bm7 ii7 A
Amaj7 Imaj7 A Fm7 ii7 Eb
Cm7 vi7 Eb Cm7 iii7 Ab

Cm7 ii7 Bb Cmaj7 I C
D bmaj7 IV Ab E b7 V7 Ab
Dø7 viiø7 Eb Em7 vi7 G
A7 V7 D G#m7 ii7 F#
Fmaj7 I F E bmaj7 I Eb
F#m7 iii7 D Gm7 iii7 Eb
Fm7 vi7 Ab Fm7 vi7 Ab
F#ø7 viiø7 G B bmaj7 I Bb
Am7 vi7 C B bm7 ii7 Ab
Cmaj7 IVmaj7 G C #m7 iii7 A
G7 V7 C G bmaj7 IV Db
Cø7 viiø7 Db F#m7 vi7 A

Dmaj7 I D Em7 ii7 D
A b7 V7 Db F7 V7 Bb
Em7 iii7 C Am7 ii7 G
Dm7 vi7 F C7 V7 F
Ebm7 ii7 Db G7 V7 C
Dm7 iii7 Bb Gm7 ii7 F
D b7 V7 Gb D7 V7 G
Gm7 vi7 Bb Cm7 ii7 Bb
B bmaj7 IV F Dm7 ii7 C
C #7 V7 F# A7 V7 D
b
D maj7 I Db Gmaj7 I G
B bm7 ii7 Ab Dmaj7 IV A

CHORDS FUNCTION KEY CHORDS FUNCTION KEY

Dm7 - Em7 ii7 - iii7 C Amaj7 - Dmaj7 I - IV A
F#m7 - G#m7 ii7 - iii7 E D bmaj7 - Bbm7 I - vi7 Db
Am7 - Bbmaj7 iii7 - IV F D bmaj7 - Bbm7 IV - ii7 Ab
Gmaj7 - A7 IV - V7 D Ebmaj7 - Dm7 IV - iii7 Bb
Dm7 - Bø7 ii7 - viiø7 C Ebmaj7 - Dø7 I - viiø7 Eb
b
E maj7 - Gm7 I - iii7 Eb Cm7 - F7 ii7 - V7 Bb
Ebmaj7 - Gm7 IV - vi7 Bb Gm7 - C7 ii7 - V7 F

108 Chapter 6 Harmonic Progressions
VI. HARMONIC PROGRESSIONS

COMMON ROOT MOVEMENT
The root of chords can move by any interval to the root of the next chord. Root movement can be by
fifths and their inversion fourths, thirds and their inversion sixths, and seconds and their inversion sev-
enths. Some interval motion and direction is more common than the others. The most powerful
melodic motion is the downward fifth movement from the dominant to the tonic or its inversion,
movement up a perfect fourth from dominant to tonic. The power of this motion has been surmised to
be due to its relationship to the overtone series: that the first interval in the series, other than the octave,
is a perfect fifth above the fundamental. What is true for melodic motion is also true for root motion in
harmonic progressions: the most common root movement is downward fifths (type 1). The second most
common root movements are upward in seconds (type 2) and downward in thirds (type 3). The inver-
sion of these root movements are available, but less common.
The most common root movement of downward fifths is apparent in the most prevalent harmonic pro-
gression: ii7 - V7 - I in major keys and iiø7 - V7 - i in minor keys. This progression occurs so often like a
building block in major/minor system that it is imperative that they be memorized as any young student
memorizes the multiplication tables. Fill out the two tables below and begin to memorize these chords
as a group. When a ii7 chord is encountered, the V7 and I may be next. Even if the progression is not
followed through to the I chord, the ii7 and V7 chords point to and are still derived from the key of I.
Remember to spell the chords correctly. The ii7 chord of F# major is G#m7, not Abm7. Spelling correctly
will save time and energy and earn respect from your peers. [Once, on a recording session, a composer
had written the melody in the key of six sharps, but wrote all the chord symbols in six flats. While one
hand was playing G# - B - D#, the other hand had to think Ab - Cb - Eb. It was playable, but it unnecessarily
difficult and one of the worst violations of the “Ghoti” principle I have encountered.]
COMMON PROGRESSIONS in MAJOR
KEY ii7 V7 Imaj7

C Dm7 G7 Cmaj7
F
Bb
Eb
Ab
Db
Gb
F#
B
E
A
D
G

Chapter 6 Harmonic Progressions 109
COMMON PROGRESSIONS in MINOR
KEY iiø7 V7 i
A minor Bø7 E7 Am
D minor
G minor
C minor
F minor
B b minor
E b minor
D # minor
G # minor
C # minor
F# minor
B minor
E minor
A harmonic progression will not always follow one type of root movement and is usually a mixture of
several types. Root movement by seconds and thirds is used as a contrast before eventually returning to
the strong, more common downward fifth movement. The following progression begins with type 3 root
movement of downward thirds, followed by type 2 movement up in seconds and then the final move-
ment to the tonic is type 1 movement of a downward fifth.
[Down 3rd] [Down 3rd] [Up 2nd] [Down 5th]

C Am7 |F G7 |C
I vi7 IV V7 I
Type 1 movement can be inserted sooner using the ii7 chord in place of the IV chord. The roots move
down a third, down a fifth, down a fifth, and down a fifth. This progression is stronger because of the
more frequent downward fifth movement.
[Down 3rd] [Down 5th] [Down 5th] [Down 5th]

C Am7 | Dm7 G7 |C
I vi7 ii7 V7 I
This common progression is often repeated to make longer phrases. When repeated, the second tonic
chord is often replaced with a iii7 chord. This removes the downward fifth movement (V7 - I) and re-
places it with a downward third movement (V7 - iii7), but the continuation of the line (iii7 - vi7 - ii7 - V7
- I) is all type 1 downward fifth movement. Another possibility is using the tonic chord in first inversion
in place of the I or iii7 chord. The tonic inversion and the iii7 chord are often interchangeable and in-
distinguishable from each other.
[Dn. 5th] [Dn. 3rd]

|C Am7 | Dm7 G7 |C Am7 | Dm7 G7 |C
[Dn. 3rd] [Dn. 5th]

|C Am7 | Dm7 G7 | Em7 Am7 | Dm7 G7 |C
|C Am7 | Dm7 G7 | C/E Am7 | Dm7 G7 |C

These same progressions are logical and musical in the parallel minor key.
Cm A bmaj7 | Fm7 G7 | Cm . . .
i bVI7 iv7 V7 i
Cm A bmaj7 | Dø7 G7 | Cm . . .
I bVI7 iiø7 V7 i
The progression is often inverted, aiming for, rather than beginning with the tonic chord.
| Dm7 G7 |C Am7 | Dm7 . . .

ii7 V7 I vi7 ii7
| Dø7 G7 | Cm A bmaj7 | Dø7 . . .

iiø7 V7 i bVI7 iiø7
APPLICATION of HARMONIC ANALYSIS

Recognizing that several chords are derived from one key allows an improviser to think in that one key
for larger sections of a piece. In the following progression, the Roman Numeral Analysis (RNA) tells us
that the source for all of these chords is the key of C (I). Two facts can be deduced from that: (1) if the
chords were constructed from a C major scale, it follows that a C major scale is a source for melodic
material over the chords; (2) If the chords are functioning to point to C as a tonic chord, it follows that
a C major triad could be used for harmonic generalization over the passage. One scale works for all
those chords because those chords were derived from the scale. Since all the chords are functioning to
point to the C tonic triad, then melodies which generalize the tonic triad will function the same way on
a different level. Any vertical dissonances are resolved as the line progresses towards its goal.
Understanding RNA is more than assigning numbers to chords; it is directly related to melodic improvi-
sation decisions.
| Em7 | Am7 | Dm7 | G7 | Cmaj7 | Fmaj7 . . .

iii7 vi7 ii7 V7 I IV7
Implications:
(1) C major scale works for melodic generalization . . .
(2) C major triad works for melodic generalization . . .
HIERARCHY of CHORDS
The harmonic progressions ii7 - V7 - I in major keys and iiø7 - V7 - i in minor keys also illustrate the hi-
erarchy of chords. The tonic chord, as the tonic pitch, is by definition where all progressions point.
When preceded by its dominant, the strongest cadence or conclusion is perceived. The ii7 chord is the
most common of several chords that precede the dominant. The chart below classifies the most com-
mon pre-dominant., dominant, and tonic chords available from the major and harmonic minor scales.
PRE-DOMINANT CHORDS DOMINANT CHORDS TONIC CHORDS

IV V7 I
ii7 viiø7 (rare) i
iiø7 vii°7 I6 or iii as substitute for I
iv7 (sometimes vi7 as substitute for I)
bVImaj7*
*bVI can be a predominant chord because of its similarity to iiø7 and iv7 and it can point to V7.

From the chart, it is clear that a ii7 and iiø7 chords both function as pre-dominant chords. This concept
can lead to modal mixture where chords from the parallel minor key are used in place of the corre-
sponding diatonic chords from the major key. The progression may point to the same tonic, but will
suggest a minor modality. These chords are said to be “borrowed” from the parallel minor key.
| Dm7 G7 |C
ii7 V7 I
with a borrowed supertonic chord would become:
| Dø7 G7 |C
iiø7 V7 I
&
| C Am7 | Dm7 G7 |C
I vi7 ii7 V7 I
with borrowed submediant and supertonic chords would become:

| C A bmaj7 | Dø7 G7 |C
I bVI7 iiø7 V7 I
When improvising through a passage of borrowed chords, remember that the source scale and tonic
chord have changed. The harmonic minor scale and tonic minor triad may be used for melodic mate-
rial through the chords borrowed from minor.
The dominant seventh chords for both major and minor appear the same when using RNA. To deter-
mined the scale from which the V7 chord is derived, examine the preceding chords. If a V7 is preceded
by pre-dominant chords from major (ii7 or IV) it is probably also derived from major. If a V7 chord is
preceded by pre-dominant chords from harmonic minor (iiø7, iv7, bVI) then the dominant should con-
tinue as the V7 of a minor tonic. Examining the melody will provide clues. If notes from the minor key
are in the melody, then the V7 chord is derived from the minor key.
There is no difference between a G7 chord from C major and a G7 chord from C minor if the chord is
only spelled to the seventh: they are both spelled G-B-D-F. The difference occurs when considering
passing tones between the chord tones. The key of C contains En and An, while C minor contains Eb and
A b. When upper tertian extensions are added, the difference also becomes apparent. The ninth of a G7
chord is An in the key of C major and Ab in the key of C minor. The thirteenth of a G7 chord is an En in
the key of C and an Eb in the key of C minor. Learning to recognize these basic alterations will help
identify the sound called for in chord notation. In the chords below that include a thirteenth, the fifth
was eliminated.
6.1 Differences between V7 of C major and V7 of C minor

n9 n 13 b
b9
˙˙ bbb b ˙ 13
& ˙˙˙ ˙ b ˙˙˙ b ˙˙

˙ ˙˙˙˙ ˙˙ n ˙˙˙˙ n ˙˙ n˙
b b9
G7b 13
? G913
bbb
G7 G9 G7 G7 9
˙ ˙ ˙ ˙ ˙ ˙

Modal mixture and substituting more common root progressions can energize this simple progression.
| F | Em7 | Dm7 |C
IV iii7 ii7 I
The first stepwise progression has more forward motion when chords are added between the original
chords which change the root movement to downward fifths.
| F | Em7 Am7 | Dm7 G7 |C

IV iii7 vi7 ii7 V7 I
Adding three chords (iv7, iiø7 and G7b9) from the parallel minor add another colorful dimension.
| F Fm7 | Em7 Am7 | Dø7 G7b9 |C

IV iv7 iii7 vi7 iiø7 V7 I
CLOSELY RELATED KEYS

Up to now this discussion has been confined to harmonic progressions that stay in one key center. Most
compositions do not stay in one key, but temporarily modulate or tonicize keys that are closely related.
Some progressions point away from the tonic almost immediately and go on long harmonic excursions
before returning to the home key. While it is possible to find music that journeys to very remote keys, a
great deal of music is created which moves in and out of closely related keys.
Closely related keys are those whose key signatures are one accidental away from the tonic key. If the key
of C is the home key, then related keys would be the relative minor which shares the same key signature
(A minor), the key of 1b (F major and D minor), and the key of 1# (G major and E minor).
Primary Closely Related Keys to C major
1b 0 #/0 b 1#
F C G
(home key)
D A E
minor minor minor
If these related keys are lined up alphabetically, it is apparent that the closely related keys are also the
five other stable diatonic chords in the key of C major: (The chord on the seventh degree of major is an
unstable chord because of its diminished fifth, and there is no diminished key.) The closely related keys
have a Roman numeral listed below indicating their relationship to the original key. D minor is the key
of ii, and so on.
Home: Closely Related Keys

C major D minor E minor F major G major A minor
I ii iii IV V vi
Borrowed chords were discussed before as a way to get from a major key area to its parallel minor key.
Jumping from the key of C with no sharps or flats to the key of three flats may appear to be remote, but
considering that C major and C minor are parallel and they share the same dominant chord, then the
jump is not so far. The closely related keys to parallel key of C minor (three flats) would be the keys of
two flats and four flats. From the parallel move to C minor, the keys of Eb major, F minor, G minor, Ab
major, and Bb major become available.

Secondary Keys Available to C major through parallel C minor
4b 3b 2b
F C G
minor minor minor
(parallel
home key)
Ab Eb Bb
major major major
C minor is parallel to the home key of C major. F minor and G minor are parallel to the primary
closely related keys of F and G major.
The secondary closely related are shown with a Roman numeral listed below indicating their relation-
ship to the original key. These Roman numerals do not indicate a chord function.
Parallel Home: Secondary Keys from Modal Mixture:

C minor E b major F minor G minor A b major B b major
i bIII iv v bVI bVII
A third level of closely related keys are available through another modal mixture. C minor and C major
are related as a parallel tonal centers but one is minor and the other major. The three primary closely
related minor keys to C major are D minor, E minor and A minor; the keys of ii, iii and vi. Each of these
primary closely related keys has a parallel major so that D major (II), E major (III), and A major (VI)
are available from the key of C major through modal mixture of close diatonic chords.
This chart illustrates several possible levels of modulation from the primary key of C major.
Tertiary Keys from modal mixture D major (II) A major (VI) E major (III)
D minor (ii) A minor (vi) E minor (iii)

PRIMARY KEYS F major (IV) C major (I) G major (V)
(home key)
↓
Secondary Keys from parallel minor F minor (iv) C minor (i) G minor (v)
A b major (bVI) Eb major (bIII) B b major (bVII)
The combined keys available for smooth modulation from the home key of C major are illustrated in
the chart below. The keys are shown by the three levels: closely related diatonic keys with one accidental
difference; keys closely related to the parallel minor; and keys available using modal mixture with the
keys of second, third and sixth degrees of the home key. The Roman numerals in this case do not refer
to chords, but to the new key in relationship to the home key. For example, the key of Bb is the major key
on the bVII related to the key of C; does not refer to a chord built on the seventh degree of the C major
scale.
Closely Related Diatonic I ii iii IV V vi

From Parallel Minor i bIII iv v bVI bVII
Using Modal Mixture II III VI

SECONDARY DOMINANTS
The primary chords are built without alterations on diatonic scale degrees. There is only one dominant
and its function is to point out the tonic chord. If other dominants occur in a progression other than
the primary dominant, then some chord has been chromatically altered to create the new dominant
and this new dominant will point to a key other than tonic. This new key is a secondary key from the
original making the dominant chord a secondary dominant. The dominant chord is the most identifi-
able indicator in the harmonic progression because it occurs only on the dominant pitch in major and
minor. Minor seventh chords that can occur as ii7, iii7, vi7 or iv7 do not point as conclusively.
Modulations to the closely related and remote keys are usually accomplished with the use of a sec-
ondary dominant.
In the key of C, expect modulations or temporary tonicizations, and look for the dominants of the
closely related keys. If any dominant other than the primary dominant G7 is encountered, it is a sec-
ondary dominant pointing away from the primary key and to a secondary key. Look for the dominants
pointing to the closely related keys of D, E and A minor and F and G major.
An A7 points to the key of D minor. It cannot be considered a VI chord in the key of C: there is no C#
available in the key of C; it must be a secondary dominant. The RNA for this chord is V7/ii. The “V7”
defines its relationship to D minor; the “ii” defines the relationship of the secondary key to the home
key of C. This symbol, V7/ii, means “A7 is the dominant (V7) of the D minor, the minor key on the
second degree (ii) of C major.” It also suggests that individual pitches have been changed. The key of D
minor has to have a C# leading tone in order to create the A7 chord, and a Bb by its key signature defi-
nition. These pitches are necessary in order to modulate from C major to D minor and define the dif-
ference between the two keys. The chromatically altered pitches want to resolve in the direction in which
they have been altered. The C# points up to D and the Bb down to A. With D and A as targets, it is easy
to see and hear how D minor is temporarily tonicized by the A7.
The dominant for E minor is B7 and is shown with the symbol V7/iii. The key signature for E minor is
one sharp plus the leading tone D# needed to create the dominant chord. The F# and D# are the pitches
necessary to modulate from the key of C to the key of E minor. Both the F# and D# resolve up in the di-
rection in which they have been altered to E and G, two primary pitches in the key of E minor.
The dominant for F major, the key of IV, is a C7 chord. This is often erroneously labeled as I7. There
cannot be a dominant chord on a pitch other than the dominant pitch and since there is no Bb in the
key of C, this chord must be the V7/IV. The Bb is the defining difference between the keys of C and F
major. The Bb wants to resolve down to the A, the note that defines the major quality in the key of F.
D7 is the V7/V. The F# that is needed to create the D7 chord is the one sharp from the key signature of
G. The Fn in the key of C usually points down to the En. The F# points up to G.
C major and A minor share the same key signature but there must be a leading tone in the key of A mi-
nor in order to create a dominant chord. E7 is the V7/vi. The pitch G# distinguishes the keys of C major
and A minor and creates the E7 dominant chord.
The following chart reviews the closely related keys to the key of C major, their secondary dominants,
RNA and lists the necessary accidentals needed to tonicize or modulate to the secondary keys.
NEW KEY AREA TO TONICIZE SECONDARY DOMINANT NECESSARY ACCIDENTALS

ii: D minor A7 (V7/ii) Bb and C#
iii: E minor B7 (V7/iii) F# and D#
IV: F major C7 (V7/IV) Bb
V: G major D7 (V7/V) F#
vi: A minor E7 (V7/vi) G#
Note that all twelve pitches are used in the chart above. The are seven pitches in the C major scale and
the accidentals needed for modulation comprise the remaining five.

Secondary dominants create more forward motion in a harmonic progression. The introduction of
chromatic notes shifts the focus away from the tonic to secondary chords. The secondary chords then
progress back to the tonic. Some of the basic progressions that were shown before using only chords
from one key area can be enhanced using secondary dominants to point to diatonic chords.
A tonic chord can move to any diatonic chord but this progression may be strengthened with the
addition of the secondary dominant. The downward fifth motion and the addition of chromatic pitches
temporarily removes the focus from the original key making the resolution to the diatonic chord
stronger.
C A7 Dm7
I V7/ii ii
C B7 Em7
I V7/iii iii
C C7 F
I V7/IV IV
C D7 G
I V7/V V
C E7 Am7
I V7/vi vi
The following progression to the ii7 chord includes just chords from the key of C major:
C Em7 Am7 Dm7

I iii7 vi7 ii7
A secondary dominant can be added to both emphasize the pull away from the tonic and point towards
other chords. A7 as the secondary dominant for D minor can replace Am7. Dm7 is still ii7, it has just
been tonicized with its dominant. Em7 is still the iii7 chord in the key of C, not the ii7 chord in the key
of D minor. Eø7 is the iiø7 chord in D minor. The basic melodic resources would come from the key of
C major except for the A7 chord. The A7 chord, as the RNA implies, uses the D harmonic minor scale,
with C# and Bb being the important distinguishing tones.
C Em7 A7 Dm7
I iii7 V7/ii ii7
The progression to the A could be strengthened by using its dominant instead of the iii7 chord. The E7,
V7/vi, points to A minor, but at the resolution, A minor is a dominant chord pointing to the key of D
minor. When the progression arrives at Dm7, it is not actually in the key of D minor, as Dm7 is a ii7
chord in the original key of C major. The C and Dm7 chords are still derived from the C major scale,
and the notes from that scale can be used as a melodic resource. The E7 is derived from the A har-
monic minor scale and would use that scale as a melodic resource.
C E7 A7 Dm7
I V7/vi V7/ii ii7
A7 is V7/ii only in the key of C. D minor may be the ii, iii, vi in major keys, or i and iv in minor keys, so
its dominant can also be shown in relationship to other keys. For example, if A7 occurs in a passage in
the key of Bb pointing to the iii7 chord, Dm7, the A7 would be the V7/iii. If A7 occurs in a passage in the
key of F major, then A7 would be V7/vi. In the key of A minor, A7 points to the iv chord and would be

labeled V7/iv. Everything is labeled relative to the tonic key. But in all of those cases, the melodic re-
source for the A7 chord is still the D harmonic minor scale.
One of the most common progressions is I - vi7 - ii7 - V7. Secondary dominants are often used to in-
crease the level of tension and forward motion. The most common substitution replaces the vi7 chord
with a V7/ii. In the key of Bb, the original progression would be Bb - Gm7 - Cm7 - F7, often returning to
the tonic chord. With the secondary dominant of Cm (G7 = V7/ii) in place of the Gm7, the progression
would be Bb - G7 - Cm7 - F7. The pull away from the key of Bb is intensified by the G7 chord, as it has a
Bn and an implied Ab from the C minor key signature. These two notes that changed the key from Bb to
the key of C minor and are often the first notes played by experienced jazz musicians. Below are two ex-
amples from improvisations by Charlie Parker. In both of these examples Parker addressed the sec-
ondary dominant chords by immediately playing the pitches necessary to modulate or tonicize the sec-
ondary key. To tonicize C minor from the key of Bb, a Bn and Ab must be heard, and they are the first two
notes Parker played over the G7 (V7/ii) in the first example. To get from the key of Ab ( four flats) to the
key of ii, Bb minor, two accidentals are needed: the fifth flat (Gb) and the leading tone (An). These were
also the first two pitches played by Parker in the second example. The examples are identical except for
the octave displacement in the first one, which suggests that Parker had practiced these lines in all keys.
b b
6.2 I - V7/ii - ii7 I - V7/ii - ii7
Bb G7 9 Cm7 b F7 9
A B bm7
b b œ
& b c œ œ œ œ b œ œ œ œj ‰ & b b b c œ œ œ n œ b œ œ œ œj ‰
nœ
Clifford Brown played exactly the same melodic figure in ex. 6.3 as Parker did in ex. 6.2. Brown began in
G major. To modulate from G (1#) to the key of A minor (0#, 0b), the F# must become Fn, and the leading
tone G# is needed. These were the first pitches sounded by Brown at the E7. Red Garland used many
chromatic embellishments and approaches, but at the point of the G7, he played the Bn and Ab called
for by the secondary dominant below.
b b
6.3 I - V7/ii - ii7 I - V7/ii - ii7
b
#
Gmaj7 E7 9 Am 7 B G7 9 Cm
b
& c œ œ œ œ # œ n œ œ œ œj ‰
~
& b c œ œ œ #œ œ nœ bœ œ #œ œ œ nœ œ
~
œ #œ n œ
In this Jimmy Guiffre example, the iii7 chord follows the V7, substituting for the I chord. This keeps the
progression moving in downward fifths from the Em7 to the A7 (iii7 - V7/ii). As in examples above,
Guiffre knows the tones necessary for modulation (Bb from the key signature of D minor and the leading
tone, C#) and plays them immediately at the occurrence of the secondary dominant A7.
b
6.4 ii7 - V7 - iii7 (instead of I) - V7/ii - ii7
Dm7 G7 Em 7 A7 9 Dm7
& c œ œ œ œ œ œ œ œ œ œ œ #œ bœ œ œ œ œ
œ

Since a V7 chord is often preceded by the ii7 or iiø7, secondary ii7 and iiø7 chords may precede sec-
ondary dominant chords. The roots of the chords on the top line move in descending thirds. Before
each new chord, a secondary dominant may be inserted with its corresponding ii7 or iiø7 chord. The
cadences to Gm7, Ebmaj7 and Cm7 are strengthened by their preceding ii7 - V7 or iiø7 - V7 chords.
Bb Gm7 E bmaj7 Cm7

I vi7 IV vi7
Bb [ Aø7 - D7 ] Gm7 [ Fm7 - Bb7 ] E bmaj7 [ Dø7 - G7 ] Cm7

I iiø7 - V7 vi7 ii7 - V7 IV iiø7 - V7 vi7
vi IV ii
Review what each RNA symbol actually means to the sound. The Aø7 - D7 indicates a temporary modu-
lation to the key of G minor with the necessary leading tone F#. The F# is the most important identifying
note for the D7 chord. The Fm7 - Bb7 indicates a modulation to the key of Eb major and necessitates the
addition of an Ab. The Ab is the most important identifying note for the Fm7 chord, and is the seventh
of the Bb7 chord. The Ab resolves down to a Gn, the most important identifying note for the Eb major
chord. The Dø7 - G7 indicates a modulation to the key of C minor, which demands an Ab and a Bn. The
Bn is the most important identifying note for the G7 chord which points to C minor. RNA can help iden-
tify the most important tones that indicate the harmonic direction. If those tones are emphasized for
melodic direction, then linear harmony, lines with strong harmonic implications, will be the result.
In the following progression of roots moving upward in seconds, three possible sets of secondary
chords are shown. All are possible and often occur interchangeably in jazz performances. The D7, F#°7,
or Aø7 - D7 indicate the key change from F major to G minor, requiring an F# and an Eb. The E7, G#°7,
or Bø7 - E7 chords indicate a key change to A minor, requiring an G# and an Bn. Notice how important
those pitches are to the identification of the corresponding chords.
F Gm7 Am7
I ii7 iii7
F D7 Gm7 E7 Am7
I V7/ii ii7 V7/iii iii7
F F#°7 Gm7 G#°7 Am7

I vii°7/ii ii7 vii°7/iii iii7
F Aø7 - D7 Gm7 Bø7 - E7 Am7

I iiø7 V7 ii7 iiø7 V7 iii7
ii iii
The very simple progression shown below moves down in diatonic seconds and can be altered using
secondary dominants.
6.5 Diatonic chords

Fmaj7 Em7 Dm7 Cmaj7
& c ˙˙˙ ˙˙
˙
˙˙ ˙˙
˙ ˙
IV iii7 ii7 I
?c ˙ ˙ ˙ ˙

Preceding each diatonic chord with its dominant adds momentum to this progression. The root pro-
gression is made stronger moving down in fifths than in seconds.
6.6 With added secondary dominants

Fmaj7 B7 Em7 A7 Dm7 G7 Cm aj7
& œœœ œœ œ
n œœ
bœ œ œœ
# œœ ˙˙
#œ n œœ œ ˙
IV V7/iii iii7 V7/ii ii7 V7 I
?œ œ œ ˙
œ œ œ
The progression initially began on the diatonic IV chord. By substituting the F# ø7, a secondary iiø7
chord from the key of Em, all the root movement is by descending perfect fifths. The G7 chord is bor-
rowed from the parallel key C minor which yields the Ab, the b9 of G7.
6.7 With added secondary dominants

F #ø7 B7 Em7 A7 Dm7 G7 Cmaj7
& œœœ œœ œ
n œœ
bœ œ b œœ
# œœ ˙˙
#œ n œœ œ ˙
iiø7/iii V7/iii iii7 V7/ii ii7 V7/i I
? #œ œ œ ˙
œ œ œ
There are many tunes that stay within one key signature for almost the entire form. The contrast between
the two keys, major and relative minor, and their corresponding progressions provides enough interest-
ing diversions. The following progression, shown in the key of no sharps or flats, is found in thousands
of compositions from the Baroque era to current popular music and has been used by several jazz
composers from Antonio Carlos Jobim to Chick Corea.
Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am7
Is this passage in the key of C major or A minor? The first few measures sound like the key of C major.
The key of A minor is not heard or anticipated until at least the Bø7 chord. While the Bø7 chord is the
viiø7 of C, it is more often heard as the iiø7 in minor. The E7 definitely points the progression to A mi-
nor. Is it in the key of C (I) and then modulates to A minor (vi), or in the key of A minor (i) and modu-
lates from the Dm7 chord (iv7) to the relative key of C (I/bIII) and back again to A minor. How this is
analyzed may depend on the larger context. Initially, most would hear the Dm7 as the ii7 in the key of C
major, and not expect A minor until the more definitive pointers Bø7 and E7. Here is one analysis with
the progression based in C major. The E7 is shown as the secondary dominant to A minor. It is possible
to tonicize the Dm7 (ii7) with its dominant so that an A7 chord is inserted after the Am7 and before re-
peating the progression.
Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am7

ii7 V7 I IV iiø7/vi V7/vi vi7

The progression could be analyzed relating to the key of A minor. The major area is so strong that it
feels less like a departure than the A minor area. Note that ending the progression with an A minor
chord without a seventh makes it feel more like A minor is the ultimate destination of the progression.
When it ends with an Am7, the Am7 feels like a vi7 chord even when preceded by its dominant, E7.
Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am

iv7 V7/bIII I/bIII bVI iiø7 V7 i
Could the G be labeled bVII and the C bIII in the key of A minor? These would be diatonic chords de-
rived from A natural minor. Remember that minor harmony is derived from the harmonic minor
scales in order to get the leading tone G#. G7 to C so convincingly suggests C as tonic that it is almost
impossible to hear these chords as related to A minor.
Here is another progression with roots descending in downward fifths. Even though the following pro-
gression starts with an Am7, it sounds more like a progression in the key of C major starting on the vi7.
Am7 Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am7

vi7 ii7 V7 I IV iiø7/vi V7/vi vi7
These two cycles will help aural recognition of the secondary dominant related to diatonic chords.
Practice them at a keyboard in this key and others.
Secondary Dominant Cycle No. 1: DEVELOPING AURAL HARMONIC RECOGNITION

Descending diatonic chords with secondary dominants:
I - V7/vi - vi - V7/V - V - V7/IV - IV - V7/iii - iii - V7/ii - ii - V7 - I
Play at the keyboard:
œ
& c œœœ # œœœœ n œœœœ # œœœœ œœœ b œœœ œœœ # # œœœ œœœ
œ œ œ œ œ # œœœœ n œœœœ œœœ
œ
www
w
? c œ œ #œ œ œ #œ œ œ œ œ œ œ #œ œ
œ #œ œ œ w
Secondary Dominant Cycle No. 1: DEVELOPING AURAL MELODIC RECOGNITION

Descending diatonic chords with secondary dominants:
I - V7/vi - vi - V7/V - V - V7/IV - IV - V7/iii - iii - V7/ii - ii - V7 - I
Play the lower part on the keyboard and sing the upper part to master hearing the identifying
tones necessary for tonicization:
& c œœ œœ#œœ œœ œ œ œnœ#œœ œ œ œœ œœ œœbœ œœ œœ#œœnœœ œœ œœ bœ œœ œœ œ œœ œ w

œ #œ nœ œ
œ œœ œ œœ b œ œœ œ
? c œœ œ œ œ œ
œœ œ œœ œ ww
œ œ

Secondary Dominant Cycle No. 2: DEVELOPING AURAL HARMONIC RECOGNITION

Ascending diatonic chords with secondary dominants:
I - V7/ii - ii - V7/iii - iii - V7/IV - IV - V7/V - V - V7/vi - vi - V7/V - V - V7 - I
Play at the keyboard
œœ b œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œ
& c œœ œœ œœ œœ # œœ œœ œœ œ œ œ œ œ œ œ œ œ œœ œœœ ˙˙˙
? c œ #œ œ #œ œ œ œ #œ œ #œ œ #œ œ
œ ˙
Secondary Dominant Cycle No. 2: DEVELOPING MELODIC RECOGNITION

Ascending diatonic chords with secondary dominants:
I - V7/ii - ii - V7/iii - iii - V7/IV - IV - V7/V - V - V7/vi - vi - V7/V - V - V7 - I
Play the lower part on the keyboard and sing the upper part to master hearing the identifying
tones necessary for tonicization:
& c œ . œ #œ bœ œ œ œ . œ #œ œ nœ œ œ œ œ œ bœ œ . œ #œ œ œ œ œ #œ œ œ œ œ œ œ nœ #œ œ œ œ œ œ œ ˙
œ. œ
? c œœ œ œœ œœ œœ b œœ œœ œœ œœ œœ œœ œ œœ œ ˙
œ
œ œ ˙
It is useful to fill out a chart for each of the thirteen major keys (including F3 and Gb) like the one shown
below for the key of C. The charts will reinforce the memorization of secondary dominant relationships,
the necessary accidentals for modulations, and the proper chord spelling.
HOME KEY: C major PRIMARY KEY SIGNATURE: No #s or bs

NEW KEY AREA TO SECONDARY SECONDARY NECESSARY
TONICIZE SUPERTONIC DOMINANT ACCIDENTALS
ii: D minor (1b) Eø7 (iiø7/ii) A7 (V7/ii) Bb and (LT) C#
iii: E minor (1#) F #ø7 (iiø7/iii) B7 (V7/iii) F# and (LT) D#
IV: F major (1b) Gm7 (ii7/IV) C7 (V7/IV) Bb
V: G major (1#) Am7 (ii7/V) D7 (V7/V) F#
vi: A minor Bø7 (iiø7/vi) E7 (V7/vi) (LT) G#

DECEPTIVE RESOLUTIONS
The definition of functional harmony submits that dominant chords point towards tonic and that other
chords progress to particular places that ultimately lead back to tonic. Composers use the natural ten-
dencies of these harmonic progressions to manipulate a listener’s expectations. It is important to under-
stand that while certain chords point clearly to a specific chord, in musical situations, they do not al-
ways resolve as expected. If each chord always resolved as expected, music would be unbearably boring.
On the other hand, if these chords were not expected to resolve certain ways, and if listeners universally
did not anticipate these resolutions, then the deceptive resolutions would have little emotional or dra-
matic impact on the music. Fortunately for composers, listeners do react to the unexpected, which im-
plies they do listen and listen with certain expectations. Deception is the device that comedians, magi-
cians, storytellers and musicians count on to work their craft. For a joke to work, a certain possibility is
anticipated, and then a surprise turn triggers the laugh. The magician with one hand draws your atten-
tion away then pulls the coin out of your ear with his other hand. The playwright uses our sense of ex-
pectation to elicit a response to a unexpected dramatic turn. The fact that deceptive resolutions are ef-
fective in music is proof of the functional harmony system. If the deceptions did not surprise to a de-
gree, then the listeners had no expectations.
Try this on a group of students of any age. Play the first measure and stop before resolving to the tonic
chord. Everyone, musicians with training and even those without, anticipate the tonic chord. Play the
second or third example when the G chord resolves to the A minor or Ab major and the reaction will be
laughs and raised eyebrows. No one is reacting because from years of music theory study, reacting to
some technical concept. They are reacting instinctively to the unexpected resolutions, proving that what
was expected was the tonic chord.
6.8
a. Expected Resolution b. Unexpected c. More Unexpected
& c œœœ œ œ œ œœœ œ œ œœœ www œœ œ œ œ œœ œ œ œœ www

œ œ
œœ œ œ œ œœ œ œ œœ b b www
œ œ
œ œ
b VI
?c ˙
IV
˙
V I IV
˙ ˙
V
w
vi IV
˙ ˙
V
bw
w
All would agree that the G chord is a V chord in the first example above as it functions properly resolv-
ing to the I chord. Is it still the V chord when it resolves to the vi or the bVI chords? A V chord means
that it points in a specific direction, it does not insist on a particular resolution. In all three cases the
expectation was for the V chord to resolve to I: that is what makes it a V chord. In the two cases where
the V chord resolved unexpectedly, the surprise is precisely because the G chord is the V of C and is
expected to resolve accordingly. Route 66 winds from Chicago to LA, but one could stop or turn off
anywhere along the road (Flagstaff, Arizona, don’t forget Winona), without changing the fact that Route
66 still points from Chicago to LA. Chords function to point to specific tonic chords whether they actu-
ally arrive where expected. (I often call this the “Route 66” principle.)
In the following progression the G7 (V7 of C) resolves to Em7 once and to C later. G7 is the V7 in both
instances. The resolution to Em7 is not a very deceptive resolution as Em7 can be a substitute for C or
for C/E in first inversion.
| C Am7 | Dm7 G7 | Em7* Am7 | Dm7 G7 |C

V7 iii7 V7 I

DOMINANT SEVENTH CHORDS & DECEPTIVE RESOLUTIONS
The most common deceptive resolution is V7 resolving to vi (a.). This element of surprise has been di-
minished because these deceptive resolutions have occurred with such frequency for the last few hun-
dred years. No one will hear these and be shocked. The deception is relative, but the terms and concepts
are useful. The deceptive resolution is the same in the parallel minor (b.). A V7 in a major key is also ef-
fective in the deceptive resolution to bVI of the parallel minor key.
a. b. c.
Dm7 G7 Am7 Dø7 G7 A bmaj7 Dm7 G7 A bmaj7
ii7 V7 vi7 ii7 V7 bVI ii7 V7 bVI
DIMINISHED SEVENTH CHORDS & DECEPTIVE RESOLUTIONS
Diminished seventh chords are the most often misunderstood and misspelled. Since they are related to
the dominant chords, they are often involved in deceptive resolutions. Diminished seventh chords can
only be found within the major/minor system as the vii°7 in minor. The classification of a vii°7, just like
the V7 chord and Route 66, does not change because of an irregular resolution. Diminished seventh
chords that resolve deceptively often get mislabeled and cause much confusion, but chords still func-
tion, as the V7 chords function above, even when resolving deceptively.
Diminished seventh chords sound and function as V7 chords in first inversion. The common deceptive
resolution in minor is V7 - bVI. Dominant seventh chords are often found in first inversion with the
third in the bass. The V7 in first inversion is often replaced by the vii°7 chord which creates the vii°7 -
bVI deceptive resolution. Listen in ex. 6.9 how the vii°7 resolves to i (G#°7 - Am) and then listen to the
vii°7 - bVI deceptive resolution (G#°7 - F). This diminished chord is one of the most misspelled chords. It
is often labeled Ab°7. This of course is an enharmonic spelling of the same pitches, yet it makes no
sense. If a diminished chord is from the seventh degree of a minor key, then Ab is the seventh degree of
Bbb minor, which is the key of twelve flats! The key of no sharps and flats is clearly preferable.
The vii°7, i, and bVI chord may occur in other inversions. In ex. 6.10 the vii°7 chord is shown resolving
to the i with both chords in first inversion. The second measure shows the vii°7 chord in first inversion
resolving to the bVI chord in second inversion. The vii°7 chord is still spelled G#-B-D-F, as it should be
in the key of A minor. When used in inversions, it is often misspelled. The G#°7/B below is often spelled
B°7 rather than G#°7. A pianist reading the B°7 may play the same enharmonic notes, but the misla-
beled chord confuses the function. A B°7 is the vii°7 of C minor which has nothing to do with these
progressions in the key of A minor.
The G#°7 chord in ex. 6.11 is often labeled F°7. Because of the bass note, it may be a convenient but in-
correct label. F°7 is the vii°7 of Gb minor, the key of nine flats; a long way from A minor.
6.9 6.10 6.11
vii°7 - i vii°7 - bVI6 vii°65 - i6 vii°65 - bVI64 vii°65 - i64 vii°65 - bVI
& ˙˙ ˙˙ ˙˙ # ˙˙˙ ˙˙ # ˙˙˙ ˙ # ˙˙˙ ˙ # ˙˙˙ ˙˙

# ˙˙
˙˙˙
# ˙˙ ˙ ˙ ˙ ˙ ˙˙ ˙ ˙˙ ˙ ˙
Why is it important to name and spell the chords correctly? Ab°7, B°7, D°7, F°7 or G#°7 may sound the
sound the same, but will have completely different implications. Each of the G#°7 chords in ex. 6.9-6.11
are derived from the same scale (A harmonic minor), and spelling the chord correctly as a G#°7 makes

it easier to comprehend. Any other spelling invites confusion. It takes no more effort and time to cor-
rectly label a chord and it saves time on the interpretation of its function. However, be prepared to see
any number of enharmonic spellings in published and unpublished music.
The key of bVI is a closely related key in minor. A progression in A minor may move to the key of F
using the secondary ii7 and V7 chords. A minor may be tonicized by it own dominant.
Am E7 Am Gm7 C7 F
i V7 i ii7 V7 I
bVI
It is easy to see that E7 is the V7 of Am in the example above. Confusion arises when the E7 progresses
directly to the G minor (ii7/bVI). How can it be the V7 of Am if it does not resolve to A minor? It is the
same with all deceptive resolutions, it illustrates the “Route 66” principle in action. Even more confusion
is produced when the vii°7 (G#°7) chord is used in the place of the V7 chord. The bass line from A to
the G# to the G is very smooth. The principle of chromatics suggests the bass line should be written A -
Ab - G, and this is the reason this diminished chord is often spelled Ab°7. But no matter the enharmonic
spelling, the function of the diminished chord remains vii°7 of A minor. Some call this a passing dimin-
ished, and it does pass between the A minor and G minor chords, but it is vii°7 of A minor in both the
first and third measure of ex. 6.12 below.
6.12
œœœ œœ œœ # œœ ww œœœ œœ b œœœ œœ ww

& œ œ œ w œ œ w
i vii°7 i V7 i i vii°7 ii7/bVI V7/bVI I/bVI
? c œ #œ œ œ œ #œ nœ œ
w w
If these diminished seventh chords and their deceptive resolutions were isolated instances or always
confined to small rhythmic units, understanding their function would be less important. These dimin-
ished chords last for several beats in many settings and an improviser must understand their function in
order to effectively create melodies over the harmonic passages. If the diminished chord lasts for two
entire measures, it cannot be ignored. A strategy should be available for addressing these diminished
chords. Labeling the chords “passing diminished” offers nothing in the way of melodic resources for
dealing with the progression. Consider the following progression from a standard jazz bossa nova. The
first version is how it appears in many printed versions. The Ab°7 and the F°7 spellings reflect the bass
lines, but how and what should be played over the chords? Some have explained the Ab°7 is a passing
chord and that the F°7 is really just non-harmonic tones that resolve to the F major chord. Both as-
sessments are correct and yet neither offer a strategy for playing through the passage. The second pas-
sage spells both diminished chords as G#°7 which facilitates the understanding of its function in both
places as the vii°7 of A minor. It functions as vii°7 in both places even though resolving deceptively. If
the diminished chords are both derived from the A harmonic minor scale, then the A harmonic minor
scale is a source for melodic material.
6.13a Typical printed version:

Am7 ‘ Ab°7 Gm7 C7 F°7 Fmaj7
6.13b Accurate spellings indicate function:

Am7 ‘ G#°7 Gm7 C7 G#°7/F Fmaj7

Transposing this progression to other keys may make it easier to understand. In Cm, which would you
rather see: Cm - Cb°7 - Bbm7 or Cm - B°7 - Bbm7? The B°7 is related to the Cm and not to the Bbm 7
chord that follows, just as the G#°7 is related to the Am.
6.13c Transposed to Cm:

Cm7 ‘ B°7 B bm7 E b7 B°7/A b Abmaj7
A vii°7 chord is useful as a secondary leading tone chord to modulate from I to the key of iii. In G, that
would be an A#°7 pointing to B minor. In ex. 6.14a, the A#°7 resolves deceptively back to the G. This
means the A# and C# act as leading tones or lower neighbor tones to the pitches from the G triad: B and
D. The A#°7 chord could have easily resolved to a B minor chord. This resolution is exactly the same
kind as seen in sixth measure of ex. 6.13a-c. Chord symbols for this passage might have read G°7 - G,
which would have been incorrect and misleading. A similar example of non-harmonic tones creating a
deceptive diminished chord resolving to I is often used in the beginning to Misty. It could be argued
that these chords are not actually deceptive in that many would not expect them to resolve in these con-
texts to the minor key from which these chords were derived. But understanding their relationship to the
harmonic minor source is important for identifying melodic material.
6.14 a b.
Mozart: Piano Sonata, K. 545, Andante Popular Cadence
#œ œ œ #œ œ œ œ œ
& 24 œœ œ
œ &Ó œ # # œœ # # # ˙˙˙ ˙˙˙
? 24 œ #œ #œ œ œ œ œ œ œ ?Ó ˙
˙ w
R
Consider the enharmonic spellings carefully when labeling diminished chords. It may be sensible to la-
bel certain chords dictated by the logic of the bass line, but this also may cause confusion. Diminished
chords often occur that are misspelled vii°7 chords. Determining the functional relationship of the en-
harmonically spelled diminished chords will unlock melodic resources.
The following harmonic passage is found in many jazz standards. The Eb°7 spelling correctly reflects the
downward chromatic root movement and the internal line (G - Gb - F), but offers no clue to available
melodic resources. Spelling it as a vii°7 in the key of E minor suggests the E harmonic minor scale as a
melodic resource. How can it be vii°7/iii if there is no E minor around? The D#°7 is derived from the E
harmonic minor scale regardless of the resolution.
6.15
Typical incorrect spelling Correct spelling indicates function
I6 ??? ii7 I6 vii°7/iii ii7
C/E E b°7 Dm7 C/E D #°7 Dm7
ww b www ww
& w
w
ww w # www n www
? c ww b ww ww ww # ww n ww

The diminished chord in the second measure of ex. 6.15 can be proven to be the vii°7/iii by examining
it in context from different perspectives. Take the chord tones (D# - F# - A - C) and add the Bn found in
the melody. These together suggests a B7 in first inversion. If it were notated as a B7 it is doubtful any-
one would question it being the V7 of E minor. The five pitches suggested by the melody and the chord
symbol are two notes short of a scale: B - C - D# - ? - F# - ? - A. What kind of an E and G would fit with
the given five notes? Examining the surrounding chords leaves no doubt they should be E and Gn. The
resulting scale? B - C - D# - E - F# - G - A, all the notes of E harmonic minor.
The vii°7/iii chord may follow or precede the iii chord. When it follows the iii7 chord it may decep-
tively resolve to the ii7 chord in progressions like the following: In the first progression, the D#°7 seems
to clearly be the vii°7/iii as it resolves up to the Em7 chord. When ascending the D#°7 is the vii°7/iii, so
it is rational to conclude that it is the same chord when descending, regardless of its resolution. If a G7
that resolves deceptively to Am is still the V7 of C, then a D#°7 can be the vii°7/iii even when resolving
to Dm7.
6.16a D#°7 (vii°7/iii) with typical and deceptive resolutions:

Cmaj7 Dm7 – D#°7 Em7 – D#°7 Dm7 – G7 Cmaj7
I ii7 – vii°7/iii iii7 – vii°7/iii ii7 – V7 I
6.17b D#°7 (vii°7/iii) with deceptive resolutions:

Cmaj7 – Dm7 Em7 – D#°7 Dm7 – G7 Cmaj7
I – ii7 iii7 – vii°7/iii ii7 – V7 I
The vii°7/iii is used in place of the V7 chord in this progression, but it is not the V7 of I. When the ii7 -
V7 points back to the I chord and the iii7 chord is used in its place, the iii7 chord can then be preceded
by its dominant or dominant substitute. E7 (V7/iii) is the dominant of Am7 and G# °7 (vii°7/ii)i is a
dominant substitute.
6.18
Fmaj7 Gm7 – C7 Am7 OR Fmaj7 Gm7 – G#°7 Am7
I ii7 – V7 iii7 I ii7 – vii°7/iii iii7
This imposition of a vii°7/iii can be used whether or not the progression actually goes to the iii7 chord.
In this excerpt from a Charlie Parker improvisation, the G#°7 was used to progress to the I chord and not
the iii7 chord. Is it a vii°7/iii? If it is, then the notes necessary for modulation or tonicization would be
the Bn to change the key signature to no sharps or flats, and the leading tone G#. Parker plays those nec-
essary tones clearly and unambiguously.
6.19
F Gm7 #
G °7 F
œ
& b œ œ œ œ œ œ œ œ œ œ œ œ #œ nœ œ œ œ Œ Ó

VALUE & LIMITS of ROMAN NUMERAL ANALYSIS (RNA)

RNA should identify what is heard. It is not an abstract theoretical concept, but a tool explaining what is
experienced musically. As with all tools, there are limits to their use. A hammer is inefficient with a
screw and a screw driver will not drive a nail. Resist the temptation to force square pegs into round
holes. RNA is useful when analyzing music within the major/minor system. When chords are arranged
within functional harmony, i.e., harmony that functions to point to a tonic chord or pitch, then the RNA
identifies the key signatures and the basic melodic materials. RNA proves useful for a large body of mu-
sic including most of the jazz standards.
There is also a large body of music that was not conceived with functional harmony, and so RNA is the
wrong tool for analysis. If a composer has deliberately used harmony to obscure the sense of a tonal
center, then a system designed to describe how chords function to point to a tonal center will be of no
use. There are some compositions where there is a mixture of approaches: a section of the piece will
have no relation to functional harmony relying on color harmony or modes, followed by a section
where the harmony is quite traditional using ii7 - V7 progressions. To dissect this music, two or more
analytical tools may be needed. The first section of the book is concerned with establishing an under-
standing of the major/minor system which is used as a foundation for so much of the literature per-
formed by jazz artists. With the foundation established, the exceptions, additions and departures studied
in the second part of the book will make more sense.
Chords can also be built on many different scales and modes, and can be built using a wide variety and
mixture of intervals. These chords can be used to create music, but they are not necessarily functioning
in the major/minor system of which RNA is designed to define. Some of these other sounds will be ex-
plored in later chapters.
RNA is not just labeling each chord with a Roman numeral. This imparts no helpful information. If the
point is to label the chords, then use chord symbols. RNA is more useful in the practice room than on
the bandstand. When Roman numerals are used correctly, they identify all the important pitches that
imply the harmonic motion that may be used for melodic material. Used incorrectly, they are just num-
bers. If part of a progression includes chords from other keys, then modulation or tonicization has oc-
curred and the RNA should identify those new keys and the pitches necessary for modulation. The
pitches necessary for modulation are the most important source for harmonic specific melodies.
A progression like the one below cannot be in one key, because there is not one key that contains all
these chords. This example shows an incorrect use of Roman numerals. There cannot be F#ø7, B7 or A7
chords built using tones from the C major scale. The numbers reflect the proper intervals related to the
tonic pitch, but are erroneous and misleading. The symbol “#ivø7” indicates that the half-diminished
chord is from the raised fourth of C major. There is no raised fourth in C major! The “VII7” symbol
suggests there is a D# and a F# in the key of C, and the “VI7” is suggests the impossible C# in the key of C.
The symbols, if used correctly, should identify the keys. This progression cannot be from one key.
6.20 Incorrect RNA:

Cmaj7 F#ø7 – B7 Em7 – A7 Dm7 – G7 Cmaj7
I #ivø7 – VII7 iii7 – VI7 ii7 – V7 I
The symbols below disclose more useful information. The F#ø7 - B7 is identified as being from the key
of iii, E minor. D# and a F# then can be identified as the necessary tones needed to clarify this part of
the progression. Knowing that the A7 chord is not just a dominant chord built on the sixth degree of the
C major scale, but is the dominant of D minor, the key of ii, yields the necessary pitches C#, the leading
tone, and Bb from the key signature.

6.21 Correct RNA:

Cmaj7 F#ø7 – B7 Em7 – A7 Dm7 – G7 Cmaj7
I iiø7 – V7 iii7 – V7/ii ii7 – V7 I
iii
RNA is a tool used to explain the aural experience of harmony. Anyone listening to the progression
above would know, upon hearing the F#ø7, B7 and A7 chords, that the key of C had been left behind.
Leaving the home key is what makes the music interesting, and listeners respond accordingly. RNA can
facilitate the understanding of these harmonic diversions. The most important part of understanding is
being able to hear these progressions, the pitches that determine the tonic key and the pitches that cre-
ate modulations to remote keys.
DOMINANT CHORD EXCEPTIONS

In the discussion of chord types and function, dominant chords were found only on the dominant pitch
of major or minor keys. They functioned to point down a fifth to those tonic chords regardless of actual
resolution. There are three other types of chords that will be encountered in jazz that sound like domi-
nant chords but do not function as a V7 in major or minor. A tritone substitution dominant chord is
the substitution of a dominant chord a tritone away from the actual dominant which resolves down a
half step in either major or minor keys. A chord which sounds like and is labeled a dominant seventh
chord built on the flatted sixth degree in minor and resolves to the dominant chord is related to the
traditional augmented sixth chord. A backdoor dominant deceptively resolves up a whole step to ma-
jor keys and is related to a plagal cadence.
TRITONE SUBSTITUTION
The dissonant augmented fourth interval between the fourth and seventh scale tones of a major or a
harmonic minor scale is called a tritone (from the three whole steps between the pitches). The tritone is
the major third and minor seventh of the dominant chord, and the active tones of the chord. The tri-
tone dissonance wants to resolve in contrary stepwise motion. At (a), the B pulls up to the tonic pitch C
and the F resolves down to the major or minor third.
6.22 (a) The tritone resolves in contrary stepwise motion:

G7 C G7 Cm
& ˙˙ ˙ ˙˙ ˙
˙ b˙
? ˙ ˙
˙ ˙
Two dominant chords a tritone apart share the same tritone (b). A G7 and a Db7 have the same third
and seventh, although inverted and with an enharmonic spelling. The F is the third of Db7 and the sev-
enth of G7; the Bn is the third of G7 and Cb is the seventh of Db7. If the Cb is spelled as a Bn, an interval
of an augmented sixth in created between the Db and the Bn. In jazz chord notation practice, this chord
is labeled a dominant seventh, as it sounds, rather than an augmented sixth chord as it may be spelled.
Since these two dominants share the same tritone, and the tritone still wants to resolve in contrary step-
wise motion, the Db7 chord can substitute for the G7 chord.

6.22 (b) G7 and a Db7 share the same tritone.

G7 D b7 D b7 D b7 C D b7 Cm
& ˙˙ b ˙˙ ˙˙ ˙˙ ˙ ˙˙ ˙
3
7
7
3 ˙ b˙
?
A6
b˙ b˙ b˙ ˙ b˙ ˙
˙
Any dominant chord may be replaced in a progression by the dominant chord a tritone away if its res-
olution is down a half step to the tonic chord. (It is not used in the progression where the dominant
moves to chords other than tonic). This is called tritone substitution.
6.22 (c) Tritone Substitution: Db7 may substitute for the G7

Dm7 G7 C Dm7 D b7 C
& ˙˙ ˙˙ w
w
˙˙ ˙˙ w
w
?˙ w ˙ b˙ w
˙
The tritone substitute dominant chord will often contain the actual dominant pitch. The dominant pitch
is critical in melodies as it helps extablish the tonality and its occurrence over the tritone substitute
dominant supports this melodic function. The inclusion of the dominant tone in a tritone substitute
dominant explains why it does not sound or function like a typical dominant. The tritone substitute
dominant does not want to resolve down a perfect fifth. The Db7 in the example below contains the
pitch “G,” which confirms its identity as the tritone substitute for the G7 chord. It is doubtful that anyone
listening to the passage would expect the Db7 to resolve to Gb major. It could be argued that the Db7
chord is actually an inverted G7 chord evidenced by the enharmonic spelling: G - B - Db - F.
6.23 Tritone substitute dominants that contain the dominant pitch:

Em7 A7 Dm7 G7 Cmaj7 Em 7 E b7 Dm 7 D b7 Cmaj7
& œœ # œœ n œœœ œœ ww œœ b œœ œœœ œœœ w

œ w ww
?œ œ bœ
œ œ œ œ bœ
A4
w w
There is no traditional agreed upon RNA notation for a tritone substitution. There are symbols for
augmented sixth chords, but tritone substitute dominants do not behave as augmented sixth chords.
Augmented sixth chords commonly substitute for a ii7 or a IV chord and resolve to a dominant chord
so using the augmented sixth chord symbols here would be misleading. For the purposes of this book,
the symbol “TT7” will be used to indicate a tritone substitute dominant chord. The two progressions at
(c) above would then be: ii7 - V7 - I, and ii7 - TT7 - I.

Knowing that dominant chords a tritone apart function in similar ways complicates the harmonic
analysis process by only a small degree. Until now in this discussion, a dominant chord was always a V7
pointing down a fifth to a tonic chord. Dominant chords substituting for V7 point down a half step to
the chord of resolution. It will be easy to determine the type of dominant by examining the context.
SECONDARY DOMINANTS & TRITONE SUBSTITUTION
A piece of music may modulate to closely related keys using secondary dominants. Any dominant
chord may have a tritone substitution. The tritone substitution chord is usually spelled in the easiest to
read enharmonic form, commonly avoiding chords like Fb7 and Bbb7. An example from the key of C
major is shown below.
TONIC KEY SECONDARY TRITONE NEW KEY

DOMINANT SUBSTITUTE
DOMINANT
C A7 E b7 D minor
C B7 F7 E minor
C C7 Gb7 F major
C D7 A b7 G major
C E7 B b7 A minor
Learn to recognize dominant chord paired with their tritone substitute chord and the home key to which
they point.
DOMINANT CHORD TRITONE SUBSTITUTE TONIC KEY

DOMINANT
(V7) (TT7) (I or i)
G7 D b7 C major & C minor
C7 Gb7 F major & F minor
F7 B7 Bb major & Bb minor
B b7 E7 Eb major & Eb minor
E b7 A7 A b major
D #7 A7 G # minor
A b7 D7 D b major
G#7 D7 C # minor
D b7 G7 G b major
C #7 G7 F# major & F# minor
F#7 C7 B major & B minor
B7 F7 E major & E minor
E7 B b7 A major & A minor
A7 E b7 D major & D minor
D7 A b7 G major & G minor
TRADITIONAL AUGMENTED SIXTH CHORDS
Good music theory should always describe the way the music sounds. One exception in traditional
music theory is the augmented sixth chord. It sounds like a dominant seventh but is labeled a sixth
chord because its spelling includes the interval of an augmented sixth. Adding to the confusion is that
three geographical labels are often attached to these chords. The augmented sixth chord is usually
found in first inversion.

Historically, the entire concept of harmony came about as a result of melodic lines. The convergence of
linear materials evolved into the recognition of certain vertical sonorities, chords and finally harmonic
progressions. As certain sonorities occurred with more frequency, they became easier and necessary to
name. The dominant seventh was not considered a chord at one time, but the voice leading
circumstance of a dissonant passing tone (seventh) resolving to the third of the subsequent tonic triad.
As composers used the chord with more frequency and for longer durations, the vertical sonority
became the dominant seventh chord. Similar histories are true for most chords including the
augmented sixth chord. The augmented sixth chord was originally considered a circumstance of
chromatic voice leading between the IV or iv chords and the V7 chord and not an independent chord.
When the IV chord (a) is in first inversion, the fourth scale degree may move up chromatically while the
sixth degree moves chromatically down to the fifth degree, resolving to an octave. The interval between
the two chromatic passing tones is an augmented sixth (as shown between the Ab and F#). Though the
actual tertian spelling of the chord at (a) is F# - Ab - C, it sounds like an Ab7 chord without the fifth (Ab -
C - Gb). This type of augmented sixth chord is commonly labeled the “Italian sixth.” The “French sixth”
at (b) is often preceded by a iiø7 chord in second inversion. The fourth scale degree moves through a
chromatic passing tone to the fifth, creating the augmented sixth interval between the Ab and F#. The
tertian spelling of the chord is D - F# - Ab - C, but with the Ab in the bass, to a jazz musicians, it sounds
like an Ab 7 chord with a b 5 or a # 11. The “German sixth” is often preceded by a iv7 chord in first
inversion. The fourth scale degree again progresses through a chromatic passing tone to the fifth,
creating the augmented sixth interval. The resulting chord is spelled F# - Ab - C - Eb, but with the Ab in the
bass, sounds like an Ab7 chord (Ab - C - Eb - Gb). An augmented sixth chord can occur following its
sound-alike dominant seventh chord as in the modulation from C major to E minor shown at (d). The C
moves to C7, the V7/IV, but with the enharmonic change of the Bb to A#, the chord becomes a “German
sixth” leading to the cadence to E minor. The international labels are meaningless. There are many
examples in literature where all three of the defining notes are present melodically over the augmented
sixth chord. Example (e) is a virtual “Tour of Europe Sixth” chord.
6.24
(a) “Italian Sixth” (b) “French Sixth”
b b b ˙˙
(a) (b)
# ˙˙
& c ˙˙ ˙ ˙˙ n ˙œ œ w
# ˙˙ ˙ n ˙˙ ww w
V˙4
˙˙ ˙˙ ˙ ˙˙
4 A6 6
?c
IV 6 A6 V V7 I iiø 3 A6 V7
wi
bbb
A6
˙ b˙ ˙ ˙ w w
(c) “German Sixth” (d) “German sixth”

(d)
b n n n ˙˙ b œœ # œœ ˙˙
(c)
& b b c ˙˙ # ˙˙ ˙˙ n ˙œ œ w
w # ˙˙ ww
˙ ˙˙ ˙ ˙ ˙ œ A6œ ˙ #˙
A6
? b c ˙ ˙ ˙ w ww
bb w nnn ˙ œ œ ˙ ˙

(e) “Tour of Europe Sixth” Chord
6 œ œ bœ œ œ
&8 J ˙.
œœ ... #Gr/Fr/It
œœ .. ˙.
? 68 b œ œ. ˙˙ ..
The augmented sixth chord is relevant to jazz and occurs often in compositions in minor keys. Jazz
musicians, with the chord symbol shorthand notation, label the chord as it sounds, not as it may be
spelled in 17th and 18th century part writing. This chord is used in place of other pre-dominant chords
like the IV, iv7, ii7 and iiø7 as any augmented sixth chord. The sound of a dominant chord resolving
down a half step is related to the half step resolution of the tritone substitute dominant chord which also
has the augmented sixth interval. The concept of chord symbol notation is to aid musicians in quick
reading of the chord symbols. For this reason, this augmented sixth chord and the tritone dominant
substitute are often identified with the easiest enharmonic spelling, usually avoiding chords like Bbb7 in
favor of A7. The traditional notation of “A6” for augmented sixth, or some symbol indicating the
international names (#iv It, ii7Fr , #ivGr ) are not used by jazz musicians. These symbols would only cause
confusion in a jazz world. The “A6” might be confused with the A triad with an added F#. Since this
chord behaves as a tritone substitute dominant resolving down a half step, for analysis the symbol
“TT7” will be used for this book. For jazz shorthand chord notation, all of the augmented sixth chords
above (a-e) would be labeled as they sound: as Ab7 chords.
The augmented sixth chord could have presented simply as a dominant seventh chord that may resolve
down a half step to the dominant chord, but it is important to understand the historical background and
relationship of jazz music styles to those of other eras.
Complete the table below showing the typical pre-dominant - dominant resolving to minor progression.
Augmented Augmented
6th chord 6th chord
sounding like V7 i sounding like V7 i
a dominant a dominant
chord on bVI chord on bVI
F7 E7 A minor D # minor
D minor G # minor
G minor A7 G#7 C # minor
A b7 G7 C minor F# minor
F minor B minor
B b minor E minor
E b minor

BACKDOOR DOMINANTS
A backdoor dominant is a dominant chord that deceptively resolves up a whole step to major keys. It is
often preceded by the IV chord. It may resolve to the iii7 or the I6 chords which often substitute for the I
chord in the middle of a progression.
A plagal cadence occurs when IV resolves to I as in “amen” shown at (a). Another plagal cadence is the
progression iv - I, or IV - iv - I at (b). The natural tendency for roots to descend in fifths suggests the
natural evolution of the IV chord resolving to a chord on the lowered seventh degree at (c) in place of
the iv chord. This chord then seems to resolve to the I chord from the backdoor.
6.25 Plagal Cadences

(a) (b) (c)
F C F Fm C F B b9 Cm aj7
& ˙˙ ˙˙ œœ œ ˙˙ œœ œ ˙˙˙
˙ ˙ œ b œœ ˙ œ b œœœ ˙
?˙ ˙
IV I IV iv I
˙ ˙ bœ ˙
œ
The backdoor dominant chord may also contain the interval of an augmented fourth above the root.
The major seventh of the IV chord is often retained in the backdoor dominant and anticipates the
major third of the tonic chord. This note is why the backdoor dominant typically resolves to major and
not minor. The Bb7 shown below will not sound like a V7 in the key of Eb because of the surrounding
context of C major and the En occurring in the chord. The chords below are shown with more extended
voicings. The F chord includes the major seventh and ninth. The Bb7 chord includes the 9 - #11 - 13. The
9 - #11 - 13 (C - E - G) of the Bb7 chord are the primary pitches of the upcoming tonic chord “C.” For
the purposes of this book, the symbol “BD7” will refer to this type of dominant chord. The Bb7 chord in
the second example is not a backdoor dominant. Backdoor dominants point to major keys and not
minor keys. In this typical deceptive cadence, the Bb7 would be heard as the V7 or Eb and the Cm7 as
vi7.
6.26
Backdoor Dominant with Extended Voicings V7 - vi7 Deceptive Cadence
Fm aj7
#
B b9 11 Cmaj7 Fm 9 B b13 Cm 9
&œœ œœ ˙˙˙ & b œœœœ œœ ˙˙˙

œœ œœ ˙ œœ ˙
?œ bœ ˙˙ ? bœ œ ˙˙
A4
œ bœ œ bœ

Simple harmonic passages can be energized by the addition of tritone substitutions and backdoor
dominants.
6.27
Basic step progression: IV - iii7 - ii7 - Imaj7.
Fmaj7 Em7 Dm7 Cmaj7
& www ww
w
ww ww
w w
?w
IVmaj7 iii7 ii7 Imaj7
w w w
A iv7 chord (Fm7) can be borrowed from the parallel minor. The ii7 (Dm7) chord can be preceded by
its secondary dominant (A7 = V7/ii) and the tonic chord by the primary dominant (G7 = V7).
6.28
Fmaj7 Fm 7 Em7 A7 Dm7 G7 Cmaj7
& ˙˙˙ ˙
b b ˙˙
˙˙ b˙ ˙˙ ˙˙
# ˙˙
˙ ww
˙ ˙ w
?˙ ˙
IVmaj7 iv7 iii7 V7/ii ii7 V7 I maj7
˙ ˙ w
˙ ˙
The backdoor dominant (Bb7) can replace the borrowed iv7 chord. This backdoor dominant did not
resolve to the I chord, but moves to the substituting iii7 chord. The Eb7 is the tritone substitution for the
A7 and the Db7 for the G7.
6.29
Fmaj7 B b7 Em7 E b7 Dm7 D b7 Cmaj7
& ˙˙˙˙ b ˙˙˙˙ ˙˙˙

b ˙˙˙ ˙˙˙ ˙˙˙
˙ ww
w
?˙
IVmaj7 BD7 iii7 TT7/ii ii7 TT7 I maj7
b˙ ˙ b˙ ˙ b˙ w

The addition of these special dominant chords allows for several possible cadences to the tonic major
or minor chord. This is a list of possible chords. Not all pre-dominant chords lead to all dominant
chords. The backdoor dominant is usually preceded by the IV or iv7 chord. A partial list of
combinations follows this chart.
PRE-DOMINANT CHORDS DOMINANT CHORDS TONIC CHORDS

IV V7 I
ii7 viiø7 (rare) i
iiø7 vii°7 I6 or iii as substitute for I
Augmented 6th chord on bII as
iv7 tritone substitute dominant (sometimes vi7 as deceptive
(TT7) resolution)
V7/V Backdoor dominant on bVII
as plagal cadence (BD7)
vii°7/v
6
vii° 5 /iii
bVImaj7
Augmented 6th chord sounding
like a dominant chord on bVI
PARTIAL LIST of CADENTIAL COMBINATIONS
Diatonic Chords: With Secondary Dominant (V7/V):

Dm7 G7 Cmaj7 D7 G7 Cmaj7
ii7 V7 I V7/V V7 I
With Secondary Dominant (V7/V)

Dø7 G7 Cm
& Tritone Substitution:
iiø7 V7 i
D7 D b7 Cmaj7
With Borrowed iiø7: V7/V TT7 I
Dø7 G7 Cmaj7
With Tritone Dominant Substitution
iiø7 V7 I
for Secondary Dominant:
With Tritone Dominant Substitution: A b7 G7 Cmaj7
D b7 TT7/V V7 I
Dm7 Cmaj7
ii7 TT7 I
A b7 G7 Cm
D b7 TT7/V V7 i
Dø7 Cm
iiø7 TT7 i
for Secondary Dominant & Dominant:
& Borrowed iiø7 chord: A b7 D b7 Cmaj7
D b7 TT7/V TT7 I
Dø7 Cmaj7
iiø7 TT7 I
A b7 D b7 Cm
Plagal Cadence with Backdoor Dominant: TT7/V TT7 i
Fmaj7 B b7 Cmaj7
IV BD7 I

Chapter 7 Harmonic Analysis 135
VII. HARMONIC ANALYSIS:

ROMAN NUMERAL ANALYSIS with COMMON JAZZ PROGRESSIONS
Practice identifying key areas using Roman Numeral Analysis in the following progressions. Begin by
labeling the diatonic chords of the primary key. Next, label secondary chords showing their relationship
to those primary diatonic chords. Label the form suggested by each progression (AABA, ABAB1, ABA,
Blues, etc.). List the necessary notes for modulation to the secondary keys. How do these notes relate to
the chords? Apply turnaround progressions in the last two measures of the forms when appropriate.
Progressions are numbered from a list used with theory classes Titles are not shown due to copyright
laws.
PROGRESSIONS that MODULATE to CLOSELY RELATED KEYS
Progression no. 1
Am7 Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am7 A7
Dm7 G7 Cmaj7 A7 Dm7 G7 Fm C E7
Dm7 G7 Eø7 A7 Dm7 G7 C ‘
Progression no. 2
C ‘ E7 ‘ A7 ‘ Dm7 ‘
Bø7 E7 Am7 ‘ D7 ‘ Dm7 G7
C ‘ E7 ‘ A7 ‘ Dm7 ‘
F Fm Em7 A7 Dm7 G7 C ‘

136 Chapter 7 Harmonic Analysis
Progression no. 5
Bb D7 Eb G7 Cm7 G7 Cm7 F7
Dm7 C#°7 Cm7 F7 Dm7 C#°7 Cm7 F7
Fm7 B b7 Eb C #°7/E B b/F G7 Cm7 F7
TURNAROUND TUNES
Progression no. 7
F D7 Gm7 C7 Am7 Dm7 Gm7 C7
F D7 Gm7 C7 Am7 Dm7 Cm7 F7
B bmaj7 Abm7 - Db7 G bmaj7 Em7 - A7 Dmaj7 Abm7 - Db7 G bmaj7 Gm7 - C7
F D7 Gm7 C7 - Bb7 Am7 - D7 Gm7 - C7 F ‘
Progression no. 8
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C - Am7 Dm7 - G7
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C Gm7 - C7
Fmaj7 - E7 A7 - D7 G7 - C7 B7 - E7 Fmaj7 - E7 A7 - D7 G7 - C7 D7 - G7
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C ‘
The harmonic progression from the Gershwin’s I Got Rhythm is used for hundreds of jazz compositions
including Oleo, Moose the Mooche, Cottontail, Anthropology and many others, is also based on a
turnaround progression. Several versions of the harmonic possibilities for “rhythm changes” will be
considered in chapter 8.

PROGRESSES TO IV with SECONDARY ii7/IV - V7/IV
Progression no. 9
E bmaj7 Bbm7 - Eb7 A bmaj7 Abm7 - Db7 Gm7 - Cm7 Fm7 - Bb7 Gm7 - Cm7 Fm7 - Bb7
E bmaj7 Bbm7 - Eb7 A bmaj7 Abm7 - Db7 Gm7 - Cm7 Fm7 - Bb7 Eb - Db7 Eb
B bm7 E b7 A bmaj7 A bmaj7 Aø7 D7 Gm7 - Cm7 Fm7 - Bb7
See also progression no. 10 under remote modulations, p. 140.
PROGRESSES to vi with SECONDARY iiø7/vi - V7/vi
Progression no. 11
Fmaj7 Eø7 - A7 Dm7 - G7 Cm7 - F7 Fm7 - Bb7 Aø7 - D7 G7 Gø7 - C7
Fmaj7 Eø7 - A7 Dm7 - G7 Cm7 - F7 Fm7 - Bb7 Aø7 - D7 Gm7 - C7 Fmaj7
Cm7 F7 B bmaj7 B bmaj7 Ebm7 A b7 D bmaj7 Gø7 - C7
Progression no. 12 Blues with “Pretty Chords” or “West Coast” Blues

Fmaj7 Eø7 - A7 Dm7 - G7 Cm7 - F7 B bmaj7 Bbm7 - Eb7 Am7 - D7 Abm7 - Db7
Gm7 C7 F - Dm7 Gm7 - C7
Progression no. 13
E bmaj7 ‘ Dø7 G7 Cm7 (F7) B bm7 E b7
A bmaj7 D b7 E bmaj7 ‘ Cm7 F7 Fm7 B b7
A bmaj7 D b7 E bmaj7 Aø7 - D7 E bmaj7 Gø7 - C7 Fm7 - Bb7 E bmaj7

USES SECONDARY vii°7 CHORDS
Progression no. 14
F - F#°7 Gm7 - G#°7 Am7 - F7 Bbmaj7 - Eb7 Am7 - D7 Gm7 - C7 A7 - D7 G7 - C7
F - F#°7 Gm7 - G#°7 Am7 - F7 Bbmaj7 - Eb7 Am7 - D7 Gm7 - C7 Fmaj7 Bb7 Ebm7 -
A b7
D bmaj7 - Ebm7 - Ab7 Fm7 - Bbm7 Ebm7 - Ab7 D bmaj7 B bm7 Gm7 C7
B bm7
F - F#°7 Gm7 - G#°7 Am7 - F7 Bbmaj7 - Eb7 Am7 - D7 Gm7 - C7 Fmaj7 ‘
Progression no. 15
F F#°7 Gm7 G#°7 F B bmaj7 Aø7 D7
Gm7 E b7 F Eø7 - A7 Dm7 G7 Gm7 C7
F Aø7 - D7 Gm7 Bø7 - E7 F B bmaj7 Aø7 D7
Gm7 E b7 F Am7 - D7 Gm7 C7 F ‘
USES CYCLE of SECONDARY DOMINANTS
Progression no. 16
G7 ‘ ‘ ‘ C7 ‘ ‘ ‘
F7 ‘ ‘ ‘ Bb Cm7 - F7 Bb Aø7 - D7
G7 ‘ ‘ ‘ C7 ‘ ‘ D7
Gm Aø7 - D7 Gm Aø7 - D7 Bb G7 C7 - F7 Bb

Progression no. 17
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C - A7
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C - F#ø7-B7
E - C#m7 F#ø7 - B7 G#m7- F‹°7 F#m7 - B7 E - C#m7 F#ø7 - B7 E7 - A7 Dm7 - Ebm7
- Em7 - E b7
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C
Progression no. 18 B SECTION of RHYTHM CHANGES

D7 ‘ G7 ‘ C7 ‘ F7 ‘
CHORDS BORROWED from PARALLEL MINOR
Progression no. 19
Gø7 C7 Fm ‘ Dø7 G7 C ‘
Cm7 F7 B bmaj7 ‘ A b7 ‘ G7 ‘
Progression no. 20
Gø7 C7 Fmaj7 D7 Gm7 C7 Fmaj7 Fmaj7
Gø7 C7 Fmaj7 Bø7 - E7 Amaj7 Bm7 - E7 Amaj7 C
Gm7 C7 Fmaj7 ‘ Aø7 D7 G7 C7
Gø7 C7 Am7 D7 Gm7 C7 Fmaj7 ‘

TUNES with SIMILAR A SECTIONS
There are several tunes which share the same common A Section. A partial list with their usual keys
includes: Take the “A” Train (C & Ab), O Pato (D), Girl from Ipanema (F & Db), Lucky Southern (D),
and Watch What Happens (Eb & F).
Progression no. 21.Common A section

C ‘ D7 ‘ Dm7 G7 C ‘
MODULATES to REMOTE KEYS
Progression no. 22
Bb ‘ Aø7 D7 Gm7 C7 Fm7 B b7
E bmaj7 ‘ Ebm7 A b7 D bmaj7 ‘ C #m7 F#7
Bmaj7 ‘ Cø7 F7 Dm7 D b7 Cm7 F7
Progression no. 10
B bmaj7 (F7) Fm7 B b7 E bmaj7 ‘ A b7 ‘
B bmaj7 ‘ C7 ‘ Cm7 G7 Cm7 F7
B bmaj7 ‘ C7 ‘ Cm7 F7 B bmaj7 ‘
C #m7 F#7 Bmaj7 ‘ Bm7 E7 Amaj7 ‘
Am7 D7 Gmaj7 ‘ Gm7 C7 Cm7 F7

Progression no. 23
Fm7 B bm7 E b7 A bmaj7 D bmaj7 Dø7 - G7 Cmaj7 ‘
Cm7 Fm7 B b7 E bmaj7 A bmaj7 Aø7 - D7 Gmaj7 ‘
Am7 D7 Gmaj7 ‘ F#ø7 B7 Emaj7 C7
Fm7 B bm7 E b7 A bmaj7 D bmaj7 Gb7 A b/ C B°7
B bm7 E b7 A bmaj7 (Gø7 - C7)
Five Common Tunes: All Twelve Keys
A well prepared jazz musician can play in all twelve keys. These five commonly called jazz tunes require
knowledge of all twelve keys: All the Things You Are (4bs, 0#s or bs, 3bs, 1#, & 4#s), Cherokee (2bs, 3bs, 1b, 5#s,
3 #s, & 1#), Body & Soul (5bs, 2#s, & 0#s or bs), ‘Round Midnight (6bs, 5bs, 3#s, 4bs, & 4#s) and Joy Spring
(1b, 4bs, 6bs, 3#s, 1#, & 3bs).
PROGRESSIONS SHOWN with RNA
PROGRESSIONS that MODULATE to CLOSELY RELATED KEYS
The leading tone of the key of vi (G#) is needed in mm.6-7 and mm.22-23. The leading tone C#, and a Bb
are needed to tonicize the key of ii in mm.8, 16, and 27-28. The plagal cadence at m.15 (iv - I) requires at
least an Ab and suggests an Eb for the first two beats. The form is ABAB1 . The first phrase of progression
no. 1 appears again in progression no. 23 in two other keys. It also is found in the Mozart excerpt in ex
7.1.
Progression no. 1
vi7 ii7 V7 I IV iiø7/vi V7/vi vi7 V7/ii
Dm7 G7 Cmaj7 A7 Dm7 G7 Fm C E7
ii7 V7 I V7/ii ii7 V7 iv - I V7/vi
vi7 ii7 V7 I IV iiø7/vi V7/vi vi7 V7/ii
Dm7 G7 Eø7 A7 Dm7 G7 C ‘
ii7 V7 iiø7/ii V7/ii ii7 V7 I

7.1 Mozart: Piano Sonata, K.545, Allegro

œœœœ œ
œ œ œœ œ œ œ œ œœœ œ œ œ œ œœœœ œ œ# œ œ
&c ≈ Œ ≈ Œ ≈ Œ ≈œ œœœ Œ
vi7 ii7 V7 I IV œ œ œ œ V7/vi
iiø7/vi vi7
œœ
ii
œ œœ #œ
?c œ Œ ≈ œœœœ Œ ≈ œœ Œ ?≈ Œ ≈ œ œn œ œ œ ˙
& œ œœ œ œ œœ œ œ œ
The E7 in m.3 of progression no. 2 points to A minor and needs the G# , the leading tone of A minor. It
does not resolve to the A minor, but to an A7, the V7 of D minor. The A7 requires a Bb from the key
signature and C# leading tone. The D7 in m.13 is the V7 of G, needing an F#, although it never resolves
to G, instead changes to a minor 7 chord becoming the ii7. The A7 chord in m.28 would normally be
labeled V7/ii, which is where it actually resolves. However, the melody note at this point in the piece is a
Bn, suggesting A7 is the dominant of D major and not D minor. The form is ABAC.
Progression no. 2
C ‘ E7 ‘ A7 ‘ Dm7 ‘
I V7/vi (G # ) V7/ii ii7
(Bb , C# )
Bø7 E7 Am7 ‘ D7 ‘ Dm7 G7

iiø7/vi V7/vi (G# ) vi V7/V (F # ) ii7 V7
C ‘ E7 ‘ A7 ‘ Dm7 ‘
I V7/vi V7/ii ii7
(Bb , C# )
F Fm Em7 A7 Dm7 G7 C ‘
IV iv iii7 V7/II* ii7 V7 I
(F# , C# )
The form for progression no. 5 is ABAB1 .
Progression no. 5 is often misunderstood because of several deceptive resolutions. The D7 in m.2 is the
V7/vi even though it resolves up the IV chord. In G minor, the most common deceptive resolution is V -
bVI, which is D7 - Ebmaj7. These same two chords occur here, but instead of V - bVI in G minor, it is
V7/vi - IV in the relative Bb major. Only one note changes: Fn to F#. With Bb in the melody, the D7 chord
is often labeled a D7#5. The A# (#5) and the Bb (b13) are same pitch with an enharmonic spelling, but A#
is senseless in the context of G minor or Bb. An augmented fifth wants to resolve up: A# - Bn, but the
melody moves down Bb - An, the kind of resolution associated with a b13.
The G7 in m.5 is also often labeled G7#5 because of an Eb in the melody. This contradiction leads to
confusion. Since there is no D# in this context, and there is an Eb, it makes more sense to label the chord
a G7b13. The chord functions as the V7 in C minor, and the Eb melody note and the b13 chord designa-
tion reflect this.
The C#°7 in m.10 also causes much confusion. Since the bass moves down, the chord is often spelled
Db°7. The C# is a better choice than Db since the chord is the secondary leading tone chord in the key of
D minor and calls for a C# and an En. Db°7 would be the leading tone chord in the key of Ebb minor with

a key signature of thirteen flats! Some argue that this chord is a passing diminished chord and does not
function as a leading tone chord in D minor since it does not resolve to D minor. It does pass between
Dm and Cm, but labeling it a passing diminished gives no information about its harmonic function,
necessary alterations, or any suggestions for melodic resources. The functional relationship of C#°7 to
the Dm7 suggests the altered En and C# tones. This is the “Route 66” principle again: a chord may re-
solve somewhere other than where it points. A dominant chord usually points to, but may follow a tonic
chord. Dm moved to C#°7 just as the Cm moved to its dominant G7 in mm.5-6. The F7 in m.12 is still
the dominant of Bb even though it resolves to Dm7. An An in the melody further illustrates the relation-
ship of the C#°7 to the key of D minor. The notes of the diminished chord added to the melody note
form the notes of an A7b9 chord (A - C# - En - G - Bb). These five notes are two notes shy of a scale, miss-
ing only some kind of a D and a F. The logical choices to fill out the scale are Dn and Fn, being in the
key of Bb major and following a D minor chord. Add the notes implied by the melody, the chord sym-
bol and the context together and you have the D harmonic minor scale (A - Bb - C# - D - En - F - G - A).
Another deceptive resolution is rarely questioned. No one questions whether F7 is the V7 chord in the
key of Bb major even though in mm. 8-9 and mm. 11-12 the F7 resolves to a Dm7. For some, it is easier
to accept deceptive dominant than deceptive diminished resolutions.
The diminished chord in m. 28 is often spelled as E°7. This makes the bass line easy to see, but may
cause confusion in the analysis. Recognizing it as C#°7/E, a diminished chord in first inversion, reveals
its function as vii°7/iii, a closely related secondary chord. E°7 suggests vii°7/v, and F minor, with four
flats is a very remote key and completely out of context. An E°7 and a C#°7 share the same enharmonic
pitches (E-G-Bb-Db/C#) but sound the same only when taken out of context. It is important to remember
that these chords occur in a musical contexts and must be analyzed accordingly. A C#°7 is the vii°7 of
Dm, a closely related key to Bb. The third in the bass puts the vii°7 in first inversion, the most typical set-
ting of a vii°7 chord in traditional music.
Learn to recognize the possible functions of diminished chord no matter how they are spelled and no
matter where they resolve. The correct identification identifies the smoothest note choices. Every time a
diminished chord is encountered a process of elimination could be applied to determine the logical
melodic resources. Understanding the value of RNA can save time, realizing that in most cases a dimin-
ished chord, whether it occurs as a leading tone resolving traditionally, as a passing diminished, or a
diminished resolving deceptively, the chord is derived from the seventh degree of a harmonic minor
scale.
Progression no. 5
Bb D7 E bmaj7 G7 Cm7 G7 Cm7 F7
I V7/vi IV V7/ii ii7 V7/ii ii7 V7
(F#) (Ab, B n)
Dm7 C#°7 Cm7 F7 Dm7 C#°7 Cm7 F7
iii7 vii°7/iii ii7 F7 iii7 vii°7/iii ii7 F7
(En, C#)
I V7/vi IV V7/ii ii7 V7/ii ii7 V7
Fm7 B b7 Eb C #°7/E B b/F G7 Cm7 F7
ii7/IV V7/IV IV vii°7/iii I V7/ii ii7 V7

TURNAROUND TUNES
These tunes are based on the common cycle progression I - vi7 - ii7 - V7, and its most common varia-
tion, I - V7/ii - ii7 - V7. This progression is often used at the end of a form to turnaround back to the top
of the form. This turnaround progression could be used in the last two measures of progression no. 7 to
avoid having eight beats of F then repeating to the top of the form for another F chord. The turnaround
progression is shown in mm. 31-32. Most of progression no. 7 stays in the key of F utilizing the
turnaround chords. The challenge to the progression is the bridge which goes to the close key of IV (Bb),
and then to the remote keys of Gb and D. The form is AABA.
Progression no. 7
F D7 Gm7 C7 Am7 Dm7 Gm7 C7
I V7/ii ii7 V7 iii7 vi7 ii7 V7
F D7 Gm7 C7 Am7 Dm7 Cm7 F7
I V7/ii ii7 V7 iii7 vi7 ii7/IV V7/IV
B bmaj7 Abm7 - Db7 G bmaj7 Em7 - A7 Dmaj7 Abm7 - Db7 G bmaj7 Gm7 - C7
IV ii7-V7 I/bII ii7-V7 I/VI ii7-V7 I/bII ii7-V7
bII VI bII
F D7 Gm7 C7 - Bb7 Am7 - D7 Gm7 - C7 F - (D7 Gm7 - C7)
I V7/ii ii7 V7 TT7/iii iii7 V7 ii7 - V7 I - (V7/ii ii7-V7)
ii
Progression no. 8 is the one that every child in America seems to know on the piano and plays with this
accompaniment.
7.2
&cŒ œœœ œœœ Œ œœœ œœœ Œ Œ

œœœ œœœ
‰ jœ œ ‰ j œ ‰ j ‰ j
œ
œœœ œœœ œ œ œ œ œ œ œ œ
?c œ œ Œ
œœ Œ œœ
Œ œœ Œ ˙ ˙ ˙ ˙
Progression no. 8
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C - Am7 Dm7 - G7
I - vi7 ii7 - V7 I - vi7 ii7 - V7 iii7 - vi7 ii7 - V7 I - vi7 ii7 - V7
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C Gm7 - C7
I - vi7 ii7 - V7 I - vi7 ii7 - V7 iii7 - vi7 ii7 - V7 I ii7 - V7
IV
Fmaj7 - E7 A7 - D7 G7 - C7 B7 - E7 Fmaj7 - E7 A7 - D7 G7 - C7 D7 - G7
IV - V7/vi V7/ii - V7 - V7/IV V7/iii - IV - V7/vi V7/ii - V7 - V7/IV V7/V - V7
V7/V V7/vi V7/V
C - Am7 Dm7 - G7 C - Am7 Dm7 - G7 Em7 - Am7 Dm7 - G7 C ‘
I - vi7 ii7 - V7 I - vi7 ii7 - V7 iii7 - vi7 ii7 - V7 I

Every child knows the melody to the A section of progression no. 8, but few seem to know the bridge.
There is an interesting cycle of dominants in the bridge that point to different closely related keys with-
out actually getting to those keys. Each dominant resolves to the correct root, but each chord quality is
changed to a dominant which propels the progression forward. There are two descending chromatic
lines a tritone apart suggested by this progression.
1. E7 = V7/vi, the G# is required as the leading tone to Am.

2. A7 = V7/ii, the C# is the leading tone to D minor.
3. D7 = V7/V, the F# is from the key signature of G major.
4. G7 = V7, the Fn is from the key signature of C major.
5. C7 = V7/IV, the Bb is from the key signature of F major.
6. B7 = V7/iii, the D# is from the key signature of E minor.
7. E7 = V7/vi, the G# is required as the leading tone to Am.
7.3
E7 A7 D7 G7 C7 B7 E7
& c # ˙˙ n # ˙˙ # ˙˙ n ˙˙ b ˙˙
# ˙˙ n # ˙˙
1. 2. 3. 4. 5. 6. 7.
?c ˙ ˙ ˙ ˙
˙ ˙ ˙
PROGRESSES to IV with SECONDARY ii7/IV - V7/IV
The backdoor dominant in mm4 resolves to the iii7, a tonic chord substitute. The form is AABA.
Progression no. 9
E bmaj7 Bbm7 - Eb7 A bmaj7 Abm7 - Db7 Gm7 - Cm7 Fm7 - Bb7 Gm7 - Cm7 Fm7 - Bb7
I ii7 - V7 IV iv7 - BD7 iii7 - vi7 ii7 - V7 iii7 - vi7 ii7 - V7
IV
I ii7 - V7 IV iv7 - BD7 iii7 - vi7 ii7 - V7 I - BD7 I
IV
B bm7 E b7 A bmaj7 ‘ Aø7 D7 Gm7 - Cm7 Fm7 - Bb7
ii7/IV V7/IV IV iiø7/iii V7/iii iii7 - vi7 ii7 - V7
I ii7 - V7 IV iv7 - BD7 iii7 - vi7 ii7 - V7 I - BD7 I
IV
See also progression no. 10 under remote modulations, p. 149.

PROGRESSES to vi with SECONDARY iiø7/vi - V7/vi
The form is AABA.
Progression no. 11
Fmaj7 Eø7 - A7 Dm7 - G7 Cm7 - F7 Fm7 - Bb7 Aø7 - D7 G7 Gø7 - C7
I iiø7-V7 vi7 - V7 ii7-V7 ii7-V7 iiø7-V7 V7/V iiø7-V7
vi V IV bVII ii i
I iiø7-V7 vi7 - V7 ii7-V7 ii7-V7 iiø7-V7 ii7 - V7 I
vi V IV bVII ii
Cm7 F7 B bmaj7 B bmaj7 Ebm7 A b7 D bmaj7 Gø7 - C7
ii7/IV V7/IV I/IV I/IV ii7/bVI V7/ bVI I/bVI iiø7-V7/i
I iiø7-V7 vi7 - V7 ii7-V7 ii7-V7 iiø7-V7 ii7 - V7 I
vi V IV bVII ii
The form is twelve measure Blues.
Progression no. 12 Blues with “Pretty Chords” or “West Coast” Blues

Fmaj7 Eø7 - A7 Dm7 - G7 Cm7 - F7 B bmaj7 Bbm7 - Eb7 Am7 - D7 Abm7 - Db7
I iiø7-V7 vi7 - V7 ii7-V7 IV vi7 - V7 vi7 - V7/ii vi7 - V7
vi V IV bIII bII
Gm7 C7 F - Dm7 Gm7 - C7
ii7 V7 I - vi7 ii7 - V7
The form is ABAB1 .
Progression no. 13
I iiø7/vi V7/vi vi7 (V7/v) ii7/IV V7/IV
A bmaj7 D b7 E bmaj7 ‘ Cm7 F7 Fm7 B b7
IV BD7 I vi7 V7/V ii7 V7
I iiø7/vi V7/vi vi7 vi7 ii7/IV V7/IV
A bmaj7 D b7 E bmaj7 Aø7 - D7 E bmaj7 Gø7 - C7 Fm7 - Bb7 E bmaj7
IV BD7 I iiø7 - V7 I iiø7 - V7 ii7 - V7 I
iii ii

USES SECONDARY vii°7 CHORDS
The form is AABA. The B section modulates the remote key of bVI. bVI (Db, 5bs) is closely related to the
parallel F minor (4bs).
Progression no. 14
F - F#°7 Gm7 - G#°7 Am7 - F7 Bb - Eb7 Am7 - D7 Gm7 - C7 A7 - D7 G7 - C7
I - vii°7/ii ii7 - iii7 - V7/IV IV - BD7 iii7 - V7/ii ii7 - V7 V7/vi - V7/V - V
vii°7/iii V7/ii
F - F#°7 Gm7 - G#°7 Am7 - F7 Bb - Eb7 Am7 - D7 Gm7 - C7 Fmaj7 Bb7 Ebm7 - Ab7
I - vii°7/ii ii7 - iii7 - V7/IV IV - BD7 iii7 - V7/ii ii7 - V7 I - V7/bvii ii7 - V7
vii°7/iii bVI
D bmaj7 - Ebm7 - Ab7 Fm7 - Ebm7 - Ab7 D bmaj7 B bm7 Gm7 C7
B bm7 B bm7
I - vi7 ii7 - V7 iii7 - vi7 ii7 - V7 I vi7 ii7 V7
bVI bVI bVI bVI bVI bVI
F - F#°7 Gm7 - G#°7 Am7 - F7 B bmaj7 - Am7 - D7 Gm7 - C7 Fmaj7 ‘
E b7
I - vii°7/ii ii7 - iii7 - V7/IV IV - BD7 iii7 - V7/ii ii7 - V7 I
vii°7/iii
The form is ABAB1 .
Progression no. 15
F F#°7 Gm7 G#°7 F B bmaj7 Aø7 D7
I vii°7/ii ii7 vii°7/iii I IV iiø7/ii V7/ii
Gm7 E b7 F Eø7 - A7 Dm7 G7 Gm7 C7
ii7 BD7 I iiø7 - V7 vi7 V7/V ii7 V7
vi
F Aø7 - D7 Gm7 Bø7 - E7 F B bmaj7 Aø7 D7
I iiø7 - V7 ii7 iiø7 - V7 I IV iiø7/ii V7/ii
ii iii
Gm7 E b7 F Am7 - D7 Gm7 C7 F ‘
ii7 BD7 I iii7 - V7/ii ii7 V7 I

USES CYCLE of SECONDARY DOMINANTS
The form is ABAC.
Progression no. 16
G7 ‘ ‘ ‘ C7 ‘ ‘ ‘
V7/II V7/V
F7 ‘ ‘ ‘ Bb Cm7 - F7 Bb Aø7 - D7
V7 I ii7 - V7 I iiø7-V7
vi
G7 ‘ ‘ ‘ C7 ‘ ‘ D7
V7/II V7/V V7/vi
Gm Aø7 - D7 Gm Aø7 - D7 Bb G7 C7 - F7 Bb
vi iiø7-V7 vi iiø7-V7 I V7/ii V7/V - V7 I
vi vi
The form is AABA The end of the second A section points to the closely related key of E minor, but the
B section is in E major.
Progression no. 17
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C - A7
V7/V - V7 I - IV V7/iii - V7/ii - ii7 ii7 - V7 vi7 - V7/V ii7 - V7 I - V7/ii
V7/vi
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C - F#ø7-B7
V7 V7 V7 V7 I ii7 - V7 I I - iiø7-V7
iii
E - C#m7 F#ø7 - B7 G#m7- F‹°7 F#m7 - B7 E - C#m7 F#ø7 - B7 E7 - A7 Dm7 -
Ebm7 -
Em7 - Eb7
I-vi7 iiø7-V7 iii/III - ii7-V7/III I-vi7 iiø7-V7 V7/vi - ii7 - ii7/bII -
III iii vii°7/#v III iii V7/ii iii7 - TT7/ii
D7 - G7 C - Fmaj7 B7 - E7 A7 - Dm7 Dm7 G7 Am7 - D7 Dm7 - G7 C
V7/V - V7 I - IV V7/iii - V7/ii - ii7 ii7 - V7 vi7 - V7/V ii7 - V7 I
V7/vi
Progression no. 18 B SECTION of RHYTHM CHANGES

D7 ‘ G7 ‘ C7 ‘ F7 ‘
V7/VI V7/II V7/V V7

CHORDS BORROWED from PARALLEL MINOR
The form is AABA.
Progression no. 19
iiø7 V7/iv iv iiø7/i V7/i I
Cm7 F7 Bb ‘ A b7 ‘ G7 ‘
ii7/bVII V7/bVII I/bVII TT7/V V7/i
The form is ABCD. The B and D sections could be labeled variations of the A section.
Progression no. 20
Gø7 C7 Fmaj7 D7 Gm7 C7 Fmaj7 ‘
iiø7/i V7/i I V7/ii ii7 V7 I
Gø7 C7 Fmaj7 Bø7 - E7 Amaj7 Bm7 - E7 Amaj7 ‘
iiø7/i V7/i I iiø7-V7 I/III ii7-V7 I/III
iii III
Gm7 C7 Fmaj7 ‘ Aø7 D7 G7 C7
ii7 V7 I iiø7/ii V7/ii V7/V V7
Gø7 C7 Am7 D7 Gm7 C7 Fmaj7 ‘
iiø7/i V7/i iii7 V7/ii ii7 V7 I
SIMILAR A SECTION
Progression no. 21 Common A section

C ‘ D7 ‘ Dm7 G7 C ‘
I V7/V ii7 V7 I
MODULATES to REMOTE KEYS
Twenty four measure cycle progression. Internal harmonic sequencing help establish form.
Progression no. 22
Bb ‘ Aø7 D7 Gm7 C7 Fm7 B b7
I iiø7/vi V7/vi vi7 V7/V ii7/IV V7/IV
E bmaj7 ‘ Ebm7 A b7 D bmaj7 ‘ C #m7 F#7
IV ii7/bIII V7/bIII I/bIII ii7/bII V7/bII
Bmaj7 ‘ Cø7 F7 Dm7 D b7 Cm7 F7
I/bII iiø7/i V7 iii7 TT7/ii ii7 V7

The form is AABA. B section wanders through several remote keys.
Progression no. 10
I (V7) ii7/IV V7/IV IV BD7
B bmaj7 ‘ C7 ‘ Cm7 G7 Cm7 F7
I V7/V ii7 V7/ii ii7 V7
I V7/V ii7 V7 I
C #m7 F#7 Bmaj7 ‘ Bm7 E7 Amaj7 ‘
ii7/bII V7/bII I/bII ii7/VII V7/VII I/VII
Am7 D7 Gmaj7 ‘ Gm7 C7 Cm7 F7
ii7/VI V7/VI I/VI ii7/V V7/V ii7 V7
I V7/V ii7 V7 I
The form is AABA. The second A section is in a different key and the last A section is extended by four
measures.
Progression no. 23
Fm7 B bm7 E b7 A bmaj7 D bmaj7 Dø7 - G7 Cmaj7 ‘
vi7 ii7 V7 I IV iiø7 - V7 I/VI
vi
Cm7 Fm7 B b7 E bmaj7 A bmaj7 Aø7 - D7 Gmaj7 ‘
vi7/V ii7/V V7/V I/V IV/V iiø7 - V7 I/VII
vii
Am7 D7 Gmaj7 ‘ F#ø7 B7 Emaj7 C7
ii7/VII V7/VII I/VII iiø7/ bVI V7/ bVI I/bVI V7/vi
vi7 ii7 V7 I IV BD7 I vii°7/iii
ii7 V7 I iiø7 - V7
vi

Chapter 8 Harmonic Substitutions & Turnarounds 151
VIII. Harmonic Substitutions & Turnarounds

Harmonic progressions in a jazz performance are very liquid and pliable. Many commonly performed
jazz standard tunes have no agreed upon “correct” set of chords. Comparing several performances or
recordings will reveal different harmonic progressions for the same tune. The differences may vary
greatly depending on the artist and the arranger. Experienced artists may change the harmonic progres-
sion from chorus to chorus during a single performance; the harmony used as a developmental device
for creating more or less tension in the course of the performance. The progression may change within
a single performance, shifting between complex and simple. Assumptions about the “correct” set of
chords to a particular piece are usually based on the first source experienced. First sources include old
style lead sheets, legal or illegal fake books, and recordings of a specific artists. Harmonic preferences
and even standard keys for some tunes change for different regions of the world usually determined by a
influential group of local musicians. The creative approach of a single well-known artist may influence
the harmonic choices for many. Ironically, the most often played progressions, including blues and
“rhythm changes,” may have the most harmonic variations rather than having an authoritative agreed
upon harmonic framework.
Before there were legal “fake” books, illegal versions could be purchased from various sources.
Published sheet music typically had three lines: one for the melody and lyric, plus the two line staff easy
piano arrangement. Earlier sheet music might have included simplified chord symbols for guitar, banjo
or ukulele above the top line. “Fake” books were made by cutting off the top melodic line of music with
whatever limited chord symbols appeared. These skeletal pieces were pasted two tunes to the page and
put together into books used by working musicians. Working musicians expanded the sparse harmonic
vocabulary in performances by inserting extra chords progressing from one primary point to another.
The limitations of ukulele and banjo led to many omissions and some confusing looking chord symbols.
A progression marked F - G7 for the ukulele or guitar might have actually been Dm7 - G7 in the piano
part; the D bass note having been cut off for the “fake” book version. A iiø7 - V7 to the key of A minor
might appear as Dm6 - E7 in the banjo chords. The Dm6 shares the same notes as the Bø7, and with a B
in the bass in the cut off piano part would sound like a Bø7. As musicians played these tunes over the
years, much of the original harmony was “improved,” new substitutions were added and passed on ei-
ther from new lead sheets, arrangements, or through the oral traditions.
Compare several legal copyrighted versions of standard jazz tunes today and a number of different of
“correct” versions of the chord changes emerge. Any creative, experienced jazz performer will have a
personal approach to many of these common progressions.
A jazz performer must have the tools to master the elastic state of jazz harmony. These tools include un-
derstanding formula progressions that can be applied to sections of standard jazz tunes and strategies
for enhancing lead sheet progressions. Several versions of the same progressions are compared below
addressing practical applications of harmony. These principles will then be applied to the most com-
mon forms played by jazz musicians: the blues and rhythm changes. All of the harmonic considerations
in this chapter will be confined to the major/minor system. There are other harmonic possibilities that
can be addressed only after acquiring a thorough understanding of the major/minor system.

152 Chapter 8 Harmonic Substitutions & Turnarounds
TURNAROUND PROGRESSIONS
I . Turnarounds to Tonic (I)
Many progressions end with two measures of the tonic chord and begin again on the same
tonic chord. This creates twelve or more beats of the same static sound. Several other
chords may be placed in this area which create motion to replace the static harmony. The
new progressions are called “turnarounds” as they turn the piece around the top of the
form. There are many tunes that are based on a variation of these turnaround progressions.
Try to determine the accidentals necessary in these turnarounds.
Static harmony: the last two measures of the form and the first measure all on the tonic chord begs for
harmonic motion to replace the static harmony.
C C
I I
Additional harmony is inserted in a passage by working backwards from the targeted resolution. The
tonic chord (C) at the top of the chart can be preceded with its diatonic ii7 and V7 (Dm7 - G7) in the
final measure. The root motion of downward fifths is strong.
C Dm7 G7 C
I ii7 V7 I
Backing up one more place in the progression allows the insertion of vi7 which creates a longer passage
of downward fifth root motion: vi7 - ii7 - V7 - I.
C Am7 Dm7 G7 C
I vi7 ii7 V7 I
Secondary dominant chords can replace diatonic chords. The vi7 chord can be replaced by a V7/ii; the
ii7 chord can be replaced by the V7/V. Secondary dominants produce more forward motion by intro-
ducing chromatic voices that briefly point away from the primary tonal center.
C A7 D7 G7 C
I V7/ii V7/V V7 I
A secondary leading tone chord can be used in place of a secondary dominant chord. The C#°7, the
vii°7/ii, creates a chromatically ascending bass line which returns to the downward fifth motion with the
ii7 - V7 - I.
C C#°7 Dm7 G7 C
I vii°7/ii ii7 V7 I
A dominant chord may be replaced by its tritone substitute dominant when the dominant chord is re-
solving down a fifth. If the dominant chord is resolving deceptively, as ii - V7 - vi, a tritone substitute
dominant would not appropriate. The roots of a sequence of tritone substitutions may progress in
downward fifths The bass line and the chromatic harmony create motion which points away and ulti-
mately resolves back to the tonic chord.
C E b7 A b7 D b7 C
I TT sub for V7/ii TT sub for V7/V TT sub for V7 I

Progression in countless thirty-two measure forms and the blues resolve back to the tonic chord in the
last two measures and begin again on the same tonic chord. The resolution to the tonic chord in those
final two measures can be avoided by using the iii7 chord or the I6 chord as a substitute for I. The iii7
chord leads well to the vi7 or V7/ii7 chords with descending fifth root motion. The iii7 chord leads
chromatically to the tritone substitute for V7/ii. A descending chromatic bass line can be created by
substituting iii7 for I, and using the tritone substitutes for V7/ii and V7 as shown below.
Em7 E b7 Dm7 D b7 C
iii7 TT sub for V7/ii ii7 TT sub for V7 I
E7 is the V7/vi and can also be inserted in the progression to avoid the tonic chord. If the tonic chord
tones are sounded over the E7, they create colorful upper extensions (C= b13, E = Root, G = #9 of E7). A
descending chromatic bass line is shown below using all dominant chords.
E7 E b7 D7 D b7 C
V7/vi TT sub for V7/ii V7/V TT sub for V7 I
E7 can also have a tritone substitution. Bb7 may be a long way from the tonic chord, but it may sound
interesting as the C triad over the Bb7 chord yields other colorful upper extensions (C = 9, E = #11, G =
13 of Bb7). The progression below has a bass line of descending fifths using all tritone substitute domi-
nants.
B b7 E b7 A b7 D b7 C
TT sub for V7/vi TT sub for V7/ii TT sub for V7/V TT sub for V7 I
A chromatic bass line can be created using a combination of tritone substitution, secondary dominants
and the dominant.
B b7 A7 A b7 G7 C
TT sub for V7/vi V7/ii TT sub for V7/V V7 I
The vii°7/iii can be used deceptively in this turnaround.
Cmaj7 or Em7 D#°7 Dm7 G7 C

I or iii7 vii°7/iii ii7 V7 I
Chords from the parallel minor can be used for a color change. The diatonic major chords, vi7 - ii7 -
V7, are replaced by corresponding chords from the parallel minor. The fundamental G7 chord will
sound the same but would have different upper extensions. The lowered third and sixth degrees of the C
minor scale yield the b13 and b9 over the G7.
Cmaj7 A bmaj7 Dø7 G7 (b13 b9) C

I bVI/i iiø7/i V7/i I
This is not a commonly used turnaround, but is possible and may inspire an arrangement or composi-
tion.
Cmaj7 Am7 Fmaj7 or Fm7 B b7 C

I vi7 IV or iv/i Backdoor deceptive I
resolution
An artist may use a different turnaround progression within the performance of a tune. Different
turnarounds may be chosen for different emotional or structural moments in the solo. In a four chorus
improvisation on a jazz standard progression in Bb major, Keith Jarrett used three different turnarounds.

At the end of the first chorus Jarrett played only two chords over the dominant pedal note F. This re-
strained the forward motion for a moment before releasing it at the top of the second form.
B bmaj7/F C bmaj7/F Bb
Over dominant I
pedal
At the end of the second chorus he used this diatonic progression:
B bmaj7 Gm7 Cm7 F7 Bb

I vi7 ii7 V7 I
As the solo built to the more climactic third chorus, Jarrett changed only the second chord. Jarrett’s
melodic material over this turnaround was a flurry of sixteenth notes.
B bmaj7 G7 Cm7 F7 Bb
I V7/ii ii7 V7 I
The last turnaround set up the end of the solo and Jarrett returned to the diatonic progression and
slowed the rhythmic activity of the melodic material to help the improvisation come to a close.
B bmaj7 Gm7 Cm7 F7 Bb

I vi7 ii7 V7 I
I I . Turnarounds to Supertonic (ii)
Pieces may end with a tonic chord in the last two measures of the form and may begin on
the ii7 chord. Many compositions will at some point modulate from the key of I to the key
of ii. The following progressions are possible for that temporary modulation.
Any chord can be preceded by its dominant and its ii7 or iiø7 chord. The insertion of these chords in-
troduces chromatic pitches which point away from the tonic chord and point the progression towards
the ii7 chord. The root motion is strong utilizing descending fifths.
Cmaj7 Eø7 A7 Dm
I iiø7/ii V7/ii ii
The strong downward fifth root movement from I to IV can precede the iiø7/ii - V7/ii - ii7 progression.
The half-step resolution from IV to iiø7/ii is strong. The F chord is a common chord between the key of
C (as IV) and the key of D minor (as bVI).
Cmaj7 Fmaj7 Eø7 A7 Dm

I IV iiø7/ii V7/ii ii
A diatonic iii7 chord can be used instead of the iiø7/ii. This delays pointing to the ii7 chord (V7/ii) un-
til the last moment in this progression. The iii7 chord may be preceded by its dominant.
Cmaj7 B7 Em7 A7 Dm
I V7/iii iii7 V7/ii ii
A chromatic bass line can be created by using a series of secondary tritone substitute dominants.
Cmaj7 B7 B b9 A7 Dm
I V7/iii TT sub for V7/vi V7/ii ii

A strong downward fifth bass line through a series of tritone substitutions finally resolves to the ii7
chord in the following turnaround progression.
Cmaj7 F9 B b9 E b9 Dm
I TT sub for V7/iii TT sub for V7/vi TT sub for V7/ii ii
III. Turnarounds to Submediant (vi)
Pieces may end with a tonic chord in the last two measures of the form and may begin on
the vi7 chord. There are several tunes whose bridge or middle sections modulate to the key
of vi. The following progressions modulate from the key of I to the key of vi.
The most common approach is to precede the vi7 chord with its iiø7 and V7.
Cmaj7 Bø7 E7 Am
I iiø7/vi V7/vi vi
The strong downward fifth movement from I to IV often precedes the iiø7/vi - V7/vi. The downward fifth
motion continues from IV to iiø7/vi and is still strong even though F to Bn is a diminished fifth.
Cmaj7 Fmaj7 Bø7 E7 Am

I IV iiø7/vi V7/vi vi
The IV chord can be made into a dominant chord, which makes it a tritone substitute for the V7/iii. This
chord occurs countless times in traditional music and might then be labeled an augmented sixth chord
with any number of international titles (French, Italian, German).
Cmaj7 F9 E7 Am
I TT sub for V7/iii V7/vi vi
By using the tritone substitute for the V7/vi, a bass line of descending fifths can be created that resolves
down a half-step to the vi chord.
Cmaj7 F9 B b9 Am
I TT sub for V7/iii TT sub for V7/vi vi
IV. Turnarounds to Subdominant (IV)
While rarely found at the beginning of tunes, many tunes modulate to the IV chord at
significant points in the form. Here are typical turnaround modulating from the key of I
to the key of IV.
Key changed by inserting the ii7/IV - V7/IV.
Cmaj7 Gm7 C7 F
I ii7/IV V7/IV IV
Sliding chromatically to the ii7/IV. The chromatic Ab m7 chord is not as much functional as it is a
chromatic passing chord, but would probably sound like the ii7/bV.
Cmaj7 Am7 - (Abm7) Gm7 C7 F

I vi - (ii7/bV) ii7/IV V7/IV IV

A chromatic bass line can be created using tritone substitute and secondary dominants.
Cmaj7 A b7 G7 Gb7 F
I TT sub for V7/v V7/IV TT sub for V7/IV IV
Cmaj7 D b7 C7 F
I TT sub for V7/IV V7/IV IV
IV. Turnarounds to mediant
Tunes rarely begin on a iii chord, but many tunes modulate to the key of iii at the bridge or
other sections. The following progressions modulate from the key of I to the key of iii.
Root movement down in thirds produces a smooth transition as adjacent chords share three pitches.
The simple triad (1-3-5) becomes the 3-5-7 of the next, so that the C triad (C-E-G) becomes the 3-5-7 of
the Am7 chord; the A minor triad (A-C-E) becomes the 3-5-7 of the F# ø7 chord. The iiø7/iii - V7/iii
points the iii chord.
Cmaj7 Am7 F#ø7 B7 Em

I vi iiø7/iii V7/iii iii
The tonic chord could change to a dominant quality and then progress to the V7/iii as shown below. In
this instance, the C7 does not function as the V7/IV, but as an augmented sixth chord or a tritone substi-
tute for the V7/vii.
Cmaj7 C7 B7 Em
I Augmented 6th V7/iii iii
chord or TT sub
for V/vii
APPLICATION to STANDARD PROGRESSIONS

There are only two rules in music theory: (1) Does it sound good; and (2) does it sound good. With
those rules in mind, principles for reharmonization would include:
• The harmony supports the melody. Do not force harmony onto a piece that does not serve
the melody. I witnessed a pianist trying to get a singer to change the melody notes of an old
standard to fit a reharmonization. There is no good reason to impose incompatible har-
mony onto a melody, no matter how interesting the progression.
• Certain additions or deductions of harmony will alter the mood. Keep in mind what the fo-
cus should be at any given moment in the piece before altering the harmony.
• There are certain significant junctures that may be expected within the form of a standard
tune. For instance, some kind of chord built on the fourth degree is expected in m.5 of the
blues. Figure out what can and cannot change within a tune before getting carried away with
substitutions.
The standard progression is shown below with four different harmonic settings. The top line is straight
from very old lead sheet. The second and third lines are from different recently published versions. The
last line is how I personally might play it.
The passing Gm chord, which was probably in first inversion with Bb in the bass in the original sheet
music, does not show at all in the recent versions. I have added the Bb7 chord (acting as a TT7/vi),

which enhances the bass motion down to the A7. None of the recent versions use the V7/V in m.2 rely-
ing on the unaltered ii7 chord. All of the modern versions feature some kind of a turnaround to get to
the ii7 chord coming up in m.5. The Fmaj7 and the Dm7 chords in m.3 are similar sounding and work
to progress to the iii7 chord in m.4.
Progression no. 31
Cmaj7 Gm A7 ’ D7 ’ G7 ’ C ’ ’ ’ ’ ’ ’ C dim.
Cmaj7 ’ A7 ’ Dm7 ’ G7 ’ C ’ Fmaj7 ’ Em7 ’ A7 ’

Cmaj7 ’ A7 ’ Dm7 ’ G7 ’ C ’ Dm7 ’ Em7 ’ A7 ’
Cmaj7 Bb7 A7 ’ Dm7 ’ G7 ’ C ’ Fmaj7 ’ Em7 ’ A7 ’
1 (or D#°7)
The F chord in the original lead sheet at m.5 was probably a Dm7 chord with a D in the bass of the pi-
ano arrangement, but that part was cut off to make the fake books. The tonic chord has been replaced by
the iii7 chord in two versions. In the bottom line there is a descending bass line to the root of the iii7
chord. All versions used typical turnaround progressions to get back to the tonic chord that begins the
repeat of the A section in m.9.
Progression no. 31
Fmaj7 ’ ’ ’ G7 ’ ’ ’ C ’ A7 ’ F ’ G7 ’
Dm7 ’ ’ ’ G7 ’ ’ ’ Em7 ’ A7 ’ Dm7 ’ G7 ’
Dm7 ’ ’ ’ G7 ’ ’ ’ C ’ A7 ’ Dm7 ’ G7 ’
Dm7 ’ ’ ’ G7 ’ G/F ’ Em7 ’ A7 ’ Dm7 ’ G7 ’
5
The biggest harmonic differences between the versions occur in the bridge of the tune. The F chord in
m.17 is commonly replaced by Dm7. The D#°7 is labeled by two other names: C dim. and Eb°7. D#°7, the
vii°7 of iii, is the most logical label. The three modern versions use Dm7 in place of the F at the begin-
ning of the next phrase and prepare for it with the secondary dominant, A7 (V7/ii).
Progression no. 31
F ’ G7 ’ C ’ C dim. ’ F ’ G7 ’ C ’ ’ ’
Dm7 ’ G7 ’ Em7 ’ Eb°7 ’ Dm7 ’ G7 ’ C ’ A7 ’
Dm7 ’ G7 ’ Em7 ’ Eb°7 ’ Dm7 ’ G7 ’ C ’ A7 ’
Dm7 ’ G7 G/F Em7 ’ D#°7 ’ Dm7 ’ G7 ’ C ’ A7 ’
17

The modern versions use a Dm7 in place of the F at m.21. There are three choices for arriving at the
Am7. The first and third versions use the deceptive V7 - vi7 cadence with no preparation for the A mi-
nor area. The second version uses the iiø7/vi7 - V7/vi, strong because of the descending fifths in the
bass line. The bottom version uses a chromatic bass line moving from the G7 (V7) to the G#°7 (vii°7/vi).
Progression no. 31
F ’ G7 ’ Am ’ C ’ B7 ’ ’ ’ E ’ G7 ’
Dm7 ’ Bø7 E7 Am7 ’ Am/G ’ F#m7 ’ B7 ’ Emaj7 ’ G7 ’
Dm7 ’ G7 ’ Am7 ’ Am/G ’ F#m7 ’ B7 ’ Emaj7 C#m7 Dm7 G7
Dm7 ’ G7 G#°7 Am7 ’ Am/G ’ F#ø7 ’ B7 ’ Emaj7 ’ Dm7 G7

21
The following compares the bridge from a sheet music version to a possible reharmonization. Both ver-
sions begin on F and land on the Dm7 chord in m.3. The reharmonization approaches the Dm7 by de-
scending fifths. A7 is the secondary dominant (V7/ii) which suggests using Em7 (iii7) or I in first inver-
sion instead of the I chord. If Em7 is used in place of I, then it can be tonicized by the iiø7/iii - V7/iii
progression. The F chord, as IV in the key of C, shares the same third, fifth and seventh with the F#ø7 so
the only change between those chords is in the bass line.
Progression no. 32 chords from sheet music

F ’ ’ ’ C ’ C#°7 ’ Dm7 ’ G7 ’ C ’ ’ ’
F#ø7 B7
1
F ’ Em7 ’ A7 ’ Dm7 ’ G7 ’ C ’ Bø7 E7
Listen to the descending bass line in m.5 in the lower staff. Both versions agree at the Am7, Em7, D7, G7
and the C in the second phrase. The lower version has more motion with the added iiø7/iii - V7/iii, the
V7/ii, the vii°7/iii, and the iii7 - V7/ii - ii7 - V7 leading back to the tonic chord.
Progression no. 32 chords from sheet music

Am ’ ’ ’ Em ’ ’ ’ D7 ’ ’ ’ G7 ’ ’ ’ C
F#ø7 D#°7 ’
5
Am Am/G B7 Em7 ’ A7 ’ D7 ’ Em7 A7 Dm7 G7 C
A common substitution in jazz performance is to use a iiø7 - V7 or a ii7 - V7 in place of the vii°7 from
old published versions. Many performers considered the diminished seventh chord to be old fashioned
compared with the “new and improved bebop ii7 - V7” progression. In progression no. 33, neither the
G#°7 nor the Bm7 - E7 point to the Gm7. The Bm7 - E7 functions the same a G#°7, pointing to the key of
A or A minor. This G#°7, the vii°7/iii, is often found resolving to a ii7 chord. The Bbmaj7 keeps the bass
moving down in fifths.
Progression no. 33
G#°7 ’ ’ ’ Gm7 ’ C7 ’ Fmaj7 ’ ’ ’ Eø7 ’ A7 ’ Dmaj7
Bm7 ’ E7 ’ Gm7 ’ C7 ’ Fmaj7 ’Bbmaj7 ’ Eø7 ’ A7 ’ Dmaj7

In progressions no. 34, the G#°7 is replaced with a change of quality. The Abm7 and The G#°7 share the
same root and third, but have different qualities because of the difference between the perfect fifth of
the Abm7 and the diminished fifth of the G#°7. The Abm7 - Db7 does not point the same place as the
G #°7, but creates a chromatic side-slipping passage from the Am7 to Abm7 and finally the Gm7. The
chords slip down by half step, but the Abm7 and Db7 chords are from the key of Gb, a half step above F.

Progression no. 34
B bmaj7 ‘ B bm7 E b7 Fmaj7 ‘ G#°7 ‘ Gm7
B bmaj7 ‘ B bm7 E b7 Am7 ‘ A bm7 D b7 Gm7
A diminished seventh chord and a iiø7 - V7 point to a minor key and can be used interchangeably. In
an actual performance there may be no way to tell the difference. The soloist may be thinking one pro-
gression and the bass player another as both sets of chords share the same pitches and those pitches
point to the same minor key. This common passage may be thought of in either of the two ways shown
or both ways simultaneously. The G#°7 or the Bø7 - E7 point to the ii7 chord Am7. The A#°7 or the C#ø7
- F#7 point to the iii7 chord Bm7. Sometimes, instead of resolving to the iii7 chord Bm7, the I chord G
major in first inversion may occur in this passage as a deceptive resolution of the F#7.
Progression no. 15
Gmaj7 ’ ’ ’ G#°7 ’ ’ ’ Am7 ’ ’ ’ A#°7 ’ ’ ’ Bm7
Gmaj7 ’ ’ ’ Bø7 ’ E7 ’ Am7 ’ ’ ’ C#ø7 ’ F#7 ’ Bm7
Jazz performers often reharmonize simple passages from the original published versions of jazz stan-
dards. These extra chords create more motion and add color. The original version of progression no.
35 has the tonic chord lasting for two measures before moving to the ii7 chord. A more commonly per-
formed version utilizes a turnaround progression to the ii7 chord: I - IV - iii7 - V7/ii - ii7. Instead of the
ambiguous A diminished, the iiø7/iii - V7/iii chords are commonly used in the fourth measure and
point to a Dm7 (iii7) chord in m.5.
Progression no. 35
Bb ’ ’ ’ ‘ Cm7 ’ G7 ’ A dim. ’ ’ ’
Bbmaj7 ’ Ebmaj7 ’ Cm/Bb
1
Dm7 ’ G7 ’ Cm7 ’ ’ Eø7/A ’ A7 ’

In order to keep the progression moving and sustain the dissonance, the I chord is often avoided in the
middle of a progression. If the progression leads back to the tonic chord too soon or too often, it be-
comes commonplace. If the return to tonic has been averted by using other chords, tonicizations and
substitutions, then when the music finally returns to tonic it will be all the more potent. It retains more
of its strength from not being overused. Imagine a trip around the block: how much would you miss
home if gone only a few minutes? Weeks on the road will make someone long for home again. You must
depart in order to return. If the I chord is heard in the first measure, again in the fifth, and again at the
repeat of the first section at m.9, the impact of the tonic chord will be lessened.
At m.5 of progression no. 35, the original sheet music called for a return to the tonic chord. The use of
the iii7 (or a I chord in inversion) saves the return to tonic for the next phrase. The D7 is a secondary
dominant which points to the vi7 chord. The Db9 chord is a tritone substitute to for the V7/ii (G7) and
points to the Cm7 chord. The Cø7 is a borrowed chord from the parallel key of Bb minor and adds an-
other dimension of color to the progression. Setting up a cadence to Bb minor is another way of
strengthening the resolution to major in the second eight measure phrase. The lowered pitches sug-
gested by the borrowed iiø7/i chord create a darker sound which will make the ultimate resolution to
major sound brighter than it would have coming from the diatonic ii7 - V7 chords Cm7 - F7.
Progression no. 35
Bb ’ ’ ’ Gm7 ’ ’ ’ Cm7 ’ ’ ’ F7 ’ ’ ’
Db9 Cø7/Gb
5
Dm7 ’ D7 ’ Gm7 ’ ’ Cm7 ’ ’ ’ ’ F7 ’

Many passages lend themselves to multiple reharmonizations. Four versions are shown below for
mm.13-16 of progression no. 35. This is the end of the B section that leads back to the A section and the
tonic Bb chord. The top line is from an old lead sheet version; the other three are from published or
performance variations. All four begin with Gm and end with F7, but are quite different in between.
The second line reinforces the Gm7 in m.13 by using its dominant D7. The V7/V, C7 never resolves to F,
but instead changes chord quality from a dominant to a minor 7 and becomes the diatonic ii7 chord,
Cm7. The Cm7 - G7 - Cm7 in mm.15-16 mirrors the earlier passage Gm7 - D7 - Gm7. The ii7 chord,
Cm7, is then followed by the F7, the dominant which prepares the return to tonic.
The third line path is the same as the second line until the C7, the V7/V. The C7 moves to a C#°7, the
vii°7/iii, setting up the last two measure turnaround iii7 - V7/ii - ii7 - V7. The C7 and the C#°7 share the
same third, fifth and seventh so only the bass note changes. The C7 points to the key of F (1b) and then
the C#°7 points to the key of D minor (1b plus the leading tone C#).
The fourth line begins with a descending bass line to the Eø7. The last three measures utilizes a circle of
fifth root progression with iiø7 - V7 of iii, iii - V7/ii and then the ii7 - V7 leading back to the I chord. In
the second measure, the Dm7 (iii) is tonicized sooner by the Eø7 and A7 than it was in the third line.
Progression no. 35
Gm ’ ’ ’ C7 ’ ’ ’ F7 ’ ’ ’ F7 ’ ’ ’
13
Gm ’ D7 ’ Gm7 ’ C7 ’ Cm7 ’ G7 ’ Cm7 ’ F7 ’

Gm ’ D7 ’ Gm7 ’ C7 C#°7 Dm7 ’ G7 ’ Cm7 ’ F7 ’
Gm ’ Gm/F ’ Eø7 ’ A7 ’ Dm7 ’ G7 ’ Cm7 ’ F7 ’
Sometimes an old lead sheet version is so simple it not only allows, it demands reharmonization. The I
chord in progression 36 below lasts four measures and then the vi7 chord appears suddenly without
preparation. While there is nothing wrong with this, at slow and medium tempos the lack of motion can
impair the momentum of the piece (and may be interpreted by some to be a bad musical joke at the
expense of a beautiful composition). A few moving chords can create motion to keep the progression
alive. Working backwards, the E7, V7/vi prepares the Am7 chord. The diatonic ii7 - V7 chords can antic-
ipate the short return of tonic in the fourth measure. To prepare the ii7 chord a typical I - IV - iii7 -
V7/ii could be considered. Why then is the D#°7 used instead of the A7, the V7/ii? The melody must al-
ways be considered when reharmonizing. There is a Bn in the melody in the second half of m.2 that con-
traindicates the use of an A7. The A7, as the V7 in the key of D minor suggests the key of one flat (Bb).
The vii°7/iii resolving deceptively, as it often does, to the ii7 chord provides chromatic color and satis-
fies the Bn in the melody. With Bn in the melody over the D#°7, it will sound like a B7b9 in first inversion.
How can that point to Dm7? It does not point to Dm7, but is logical as a chord following the Em.
Progression no. 36
C ’ ’ ’ ‘ ‘ ‘ Am ’ ’ ’
1
Cmaj7 ’ Fmaj7 ’ Em7 ’ D#°7 ’ Dm7 ’ G7 ’ C ’ E7 ’ Am ’ ’ ’

(Dm7)
The melody is the most important factor when consideration any harmonic setting. The second con-
cern should be with the bass line and its relationship to the melody. Most of the progressions dealt with
so far have had chords only in root position. The bass lines have been considered with emphasis on the
typical downward fifth progressions like V7 - I and ii7 - V7 - I. There are times when the use of an inver-
sion can create interest in a harmonic progression that supports the melody. The commonly played

version on the top line of progression no. 6 serves the melody and is itself interesting enough. The
lower version has a descending step line in the bass: F - E - (A) - D - Db - C - B - Bb - A. Both progres-
sions arrive at the Aø7 but by different paths. The lower version uses two chords over a pedal F, the
dominant of Bb in m.9. The F bass note easily moves down a step to the Eø7. The A7 chord interrupts
the step line briefly but resolves to Dm7, the next note in the descending line. The Dm7 moves to
Dbmaj7, to keep the bass line moving down in steps. The Dbmaj7 is related to the Bbm7 chord (and may
be heard as a Bbm in first inversion) and moves easily to the F chord in second inversion. The F/C mir-
rors the Bb/F chord in m.9 and continues the step line. The C bass note moves to the Bn and Bb, creating
two different quality G chords (G major and Gø7) and then steps down chromatically to the Aø7.
Progression no. 6
Bb ’ ’ ’ Eø7 ’ A7 ’ Dm7 ’ ’ ’ Bbm7 ’Eb7 ’
9
Cb/F Bb/F ’ ’ Eø7 ’ A7 ’ Dm7 ’ ’ ’ Dbmaj7 ’ ’ ’

Fmaj7 ’ ’ ’ Gm7 ’ C7 C/Bb Aø7 ’ ’ ’ D7 ’ ’ ’ G7 ’ ’ ’
13 (Eø7 ’ A7 ’)
Gb/C F/C ’ ’ G/B ’ Gø7/Bb ’ Aø7 ’ ’ ’ D7 ’ ’ ’ G7 ’ ’ ’
Not all harmonic substitutions are interchangeable. A pianist cannot assume the bass player will imagine
all of his inventive substitutions and the soloist cannot assume the piano player will know or hear what
unusual substitutions he has practiced. Many basic substitutions will cause little conflict, and if so, only
for short episodes. For example, there is no real difference between a V7/ii and a vii°7/ii. If there are to
be major departures from the normal progressions, then some consultation should occur before the
performance. However, the band as a unit should be listening to each other for subtle changes and al-
terations, being sensitive to each role and the overall character of the music.
There are times when the soloist will impose substitute harmony over a progression with or without the
rhythm section. These work as linear substitutions. The chords and lines are working on different levels
to point to a particular place. Things may not always agree vertically between the improvised line and
the rhythm section, but dissonances will resolve in a linear manner.
This is a typical turnaround progression found in blues, rhythm changes, and many other tunes. The
Am7 could be a substitute for the I chord in the middle of repeating the progression.
F D7 Gm7 C7 Am7
’ ’ ’ ’ ’ ’ ’ ’ ’
With Am7 as the goal, the C7 (V7) could be replaced by G#°7 (vii°7 of iii).
F D7 Gm7 G#°7 Am7

’ ’ ’ ’ ’ ’ ’ ’ ’
The progression could return to the F in first inversion instead of the Am7 and would still sound good.
The two chromatic tones suggested by the G#°7, the G# and the Bn, will resolve to the A and C whether
chord is an F or Am7.
F D7 Gm7 G#°7 F/A

’ ’ ’ ’ ’ ’ ’ ’ ’
Charlie Parker used the harmonic substitution from above in the following excerpt from a blues impro-
visation. The rhythm section may not have had time to adjust or predict the G#°7 chord. The bass player

could have played a C7 and resolved to Am7 and the lines still work. There are two chromatic voices
suggested by this passage which are shown below the melodic line.
G #°7
œ
F Gm7 F
& b œ œ œ œ œ œ œ œ œ œ œ œ #œ nœ œ œ œ
& b ww ˙˙ # n ˙˙ ww
A similar linear substitution occurs in this example from Dexter Gordon. Is the last part of this progres-
sion V7 - I (F7 to Bb) or is it A7 or C#°7 pointing to Dm7 or pointing to Bb in first inversion?
Bb Gm7 Cm7 F7 Bb 3
b
&b c œ œ #œ œ œ œ œ œ
œ œ œ œ œ #œ nœ œ œ œ œ œ œ œ œ
Adding more harmonic movement can add life to static passages. The relation of the bass note to the
melody is an important consideration, but remember that inner voices can create motion, too. The pas-
sage below is a common I - ii7/IV - V7/IV - IV progression.
Progression no. 37
Ebmaj7 ’ ’ ’ ‘ Bbm7 ’ ’ ’ Eb7 ’ ’ ’ Abmaj7 ’ ’ ’
The passage is transformed with the additions below. The chord symbols on the top line below do not
tell the whole story. The diatonic ii7, iii7, and IV chords have been added in the first two measures. In
the last beat of m.2 the vii°7/v prepares for the change to Bbm7, which as ii7/IV signals the change to
the key of IV. Preceding the Eb 7 and the Ab maj7 chords are tritone substitutions dominants. These
chords alone satisfactorily ornament the original simple progression. The chromatic inner voice in the
first two measures changes the focus from plodding chords to dramatic linear motion.
E bmaj7 A bmaj7 A°7 B bm9 E b13 A bmaj7
bbb
Fm7 Gm7 E13 A13
œœ b œœ ˙
& ˙˙ ˙˙ ˙˙ œ b ˙˙ # #n ˙˙˙ n bn ˙˙˙ # #n ˙˙˙ n bn www
? b œ˙ œ œœ bn œœ œ˙ œ #n ˙˙ n ˙˙ ˙ w
b b œ˙ n œ œ˙ # œ n˙ bw
Tempo and the overall mood and character of the piece should be considered when adding or subtract-
ing harmonic content. The above passage works well in slow settings. The subtleties may be lost at faster
tempos. Do not assume that slow passages must have added harmony to be interesting. Even very slow
ballads can benefit from the simplification of harmonic motion.

After a passage with half-note harmonic rhythm, it might be effective to slow the motion down rather
than add more. There are two ways to achieve less motion. One device is to use fewer chords in the pro-
gression; the other is to use a pedal point in the bass while the chords continue moving. The dominant
pitch holding in the bass creates a restlessness after the moving passages, and when the bass releases the
pedal, gives a forward thrust to the next section. The progression below is an A section to a beautiful bal-
lad. The harmonic motion is constant with chords changing every two beats and then every beat.
E bmaj7 C7 Fm7 B b7 Ebmaj7 Db7 Cm7 Gb7 F7 C b 7 Bb 7

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
E bmaj7 A b7 D bmaj7 Gø7 C7 F7 C b7 Fm7/B b B b7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
After the active A section, the B section continues with more half note harmonic rhythm using the I - vi7
- ii7 - V7 progression below.
E bmaj7 Cm7 Fm7 B b7

’ ’ ’ ’ ’ ’ ’ ’
Using two devices in conjunction slows the pace. The vi7 and V7 chords have been removed and the I
and ii7 chords are placed over a Bb pedal below. The break in the harmonic rhythm allows the soloist
or singer some freedom and will give the music a boost when the pedal is released.
E bmaj7/B b Fm7/B b
’ ’ ’ ’ ’ ’ ’ ’
Pedals can be effective at any tempo. They can save a long performance of an up tempo piece by giving
the listener (and the bass player) a reprieve from the constant four beat swing feel. After a few choruses
of the following progression, dominant pedals through the B section might be welcome.
Progression no. 23.

Fm7 B bm7 ‘ E b7 A bmaj7 D bmaj7 Dø7 - G7 Cmaj7
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
Cm7 Fm7 ‘ B b7 E bmaj7 A bmaj7 Aø7 - D7 Gmaj7

’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
(D pedal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ) (B pedal . . . . . . . . . . . . . . . . . . . . . . . . . )
Am7/D ‘ F#ø7/B
D7 B7 Emaj7/B C7Gmaj7/D
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
Pedal released: motion returns
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’

’’’’ ’’’’ ’’’’ ’’’’

The backdoor dominant chord is a variation of a plagal IV - iv - I resolution. In the second phrase of
progression no. 38, the IV chord (Bb) is followed by the iv (Bbm7) then the backdoor dominant Eb7 re-
solves to the I chord, F. To avoid an anticlimactic return to the home tonic chord too soon, the iii7
chord, Am7 can replace the I chord as shown in the second line.
Cannonball Adderley recorded a tune with this progression and replaced the iii chord with a major
chord on the bIII. In another context anyone would have expected the Abmaj7 to follow Bbm7 and Eb7,
but in the context of F major, the characteristic resolution of Eb7 would have been to the F or Am7. The
use of the bIII chord creates a situation where the Eb7 to Abmaj7 is a surprise deceptive cadence! The
A bmaj7 chord is not far removed from the parallel key of F minor, and in this case, the melody note C
fits all of the possible chords m.7: F, Am7 and Abmaj7.
Progression no. 38
F ’ ’ ’ E7 ’ ’ ’ F ’ ’ ’ Cm7 ’ F7 ’
1
Fmaj7 ’ ’ ’ Bm7 ’ E7 ’ Fmaj7 ’ ’ ’ Cm7 ’ F7 ’

Bbmaj7 ’ ’ ’ Bbm7 ’ Eb7 ’ F Gm7 ’ C7 ’
5
Bbmaj7 ’ ’ ’ Bbm7 ’ Eb7 ’ Am7 ’ Dm7 ’ Gm7 ’ C7 ’

b
(A maj7’ ’ ’)
Two progressions are played more often than any others in jazz performances: the twelve measure blues
and “Rhythm Changes.” The forms for these two tunes allow for much freedom of expression with
tempo and style. They both lend themselves to numerous harmonic possibilities. The variety of progres-
sions can fit any number of moods, tempos and rhythmic settings. Blues may occur in all major and
minor keys and Rhythm Changes may occur in any major key. The most prevalent keys for both are Bb
and F major. Here are the some basic harmonic progressions for blues in F major and minor and for
Rhythm Changes in Bb major with common substitutions. These progressions should be transposed and
studied for other commonly performed keys.
HARMONIC SUBSTITUTIONS for BLUES in F Major

Jazz musicians rarely use the three chord blues common to rock ‘n’ roll or country. A rock ‘n’ roll or
country version of the basic blues would have a V chord in m.9 followed by a IV chord in m.10. In most
jazz performances, the ii7 - V7 progression is used. The barest jazz version of the blues progression is
shown below. The most important structural points are:
• Usually begins on some chord built on tonic degree. It may be a modal chord and not nec-
essarily a I chord in the major/minor traditional sense
• m.5 almost always includes a chord built on the fourth scale degree
• m.9-10 is a dominant area with either a V - IV (country, rock, simple jazz versions), ii7 - V7,
or V7/V - V7 or other variations
• MM.11-12 may have some kind of a turnaround to return to I at the top of the form. The
tonic chord will not necessarily be a part of that turnaround as iii7 and other chords may
substitute for I.

BARE MINIMUM JAZZ BLUES
F ’ ’ ’ ‘ ‘ F7 ’ ’ ’
Bb7
1
’ ’ ’ ‘ F ’ ’ ’ ‘
5
Gm7 ’ ’ ’ C7 ’ ’ ’ F ’ ’ ’ ‘
9
The progression below is a more common version for improvisation in jazz performance. There is typi-
cally a departure in m.2 to some chord built on the fourth degree. A secondary V7/IV may occur in m.4
setting up the chord in m.5. A G#°7 in first inversion moves the bass note from Bb to Bn and then to the
C with the F chord in inversion in m.7. The diminished chord in m.6 is often labeled a B°7. In m.8, a
secondary dominant chord D7 (V7/ii) prepares the coming ii7 chord. The most common turnaround
occurs in the last two measures: I - V7/ii - ii7 - V7 returning to the top of the form.
BASIC JAZZ BLUES with COMMON HARMONIC ADDITIONS
F ’ ’ ’ Bb7 ’ ’ ’ F ’ ’ ’ F7 ’ ’ ’
Bb7 G#°7/B
1
’ ’ ’ ’ ’ ’ F/C ’ ’ ’ D7 ’ ’ ’
5
Gm7 ’ ’ ’ C7 ’ ’ ’ F ’ D7 ’ Gm7 ’ C7 ’
9
Measures 1-4
A common addition is the ii7/IV - V7/IV in m.4:
F7 ’ ’ ’ Bb7 ’ ’ ’ F7 ’ ’ ’ Cm7 ’ F7 ’ B b7
1 5
A ii7 - V7 in m.2 provides another variation of the slight departure from the I chord:
F7 ’ ’ ’ Gm7 ’ C7 ’ F7 ’ ’ ’ Cm7 ’ F7 ’ B b7
1 5
Sometimes the tritone substitute dominant can occur in m.2. A tritone substitute dominant may also oc-
cur in m.4:
F7 ’ ’ ’ Gb7 ’ ’ ’ F7 ’ ’ ’ Cm7 ’ Cb7 ’ B b7

1 5
Here is a progression that Charlie Parker suggested in a example shown earlier. The Gm7 - G#°7 - Am7
elaborates the tonic F area.
F7 ’ ’ ’ Gm7 ’ G#°7 ’ Am7 ’ ’ ’ Cm7 ’ F7 ’ B b7

1 5
Sometimes a logical progression can be created by backing up from the destination. The destination of
all harmonic activity in the first four measures points to a chord built on the fourth degree occurring in
m.5. The ii7/IV - V7/IV (Cm7 - F7) in m.4 prepare the Bb in m.5. The Cm7 is tonicized by its dominant
G7, and the G7 can be preceded by the iii7 chord, Dm7 in m.3. The Dm7 chord is set up by the iiø7/vi -

V7/vi, Eø7 - A7 in m.2. The strong bass line of descending fifths begins the progression with the I - IV in
m.1. As with all harmonic possibilities, consider the desired results and context. These changes are con-
sidered “pretty” chords and would not be the best choice if trying to create “down ‘n’ dirty” blues.
F ’ (Bbmaj7) ’ Eø7 ’ A7 ’ Dm7 ’ G7 ’ Cm7 ’ F7 ’ B b7

1 5
The concept of backing up from a destination is taken to the extreme in this example. Each dominant
chord points down a fifth to the next and ultimately resolves to the expected Bb chord in m.5. This set of
changes creates a great deal of melodic and harmonic tension, and may not be a good choice for a first
or second chorus. After a few choruses, this idea can wake up the entire band. The first dominant chord
is a half-step above the expected F7.
F#7 ’ B7 ’ E7 ’ A7 ’ D7 ’ G7 ’ C7 ’ F7 ’ B b7
1 5
Measures 5-8
This common version of the second phrase suggests an ascending bass line: Bb - Bn - C - D then resolves
down a fifth to the ii7 chord. Why not call the G#°7/B a B°7? The G#°7 is the vii°7 of Am, a key that is
closely related to the key of F. The B°7 is the vii°7 of C minor, a much more remote key to the key of F.
Labeling the chord as G#°7/B makes the distinction. (It would be possible to use B°7 in this context or
other colorations, but vii°7/iii is the path of least resistance.)
Bb7 ’ ’ ’ G#°7/B ’ ’ ’ F7/C ’ ’ ’ D7 ’ ’ ’ Gm7

5 9
It is possible to precede the V7/ii with the iiø7/ii in m.8:
Bb7 ’ ’ ’ G#°7/B ’ ’ ’ F7/C ’ ’ ’ Aø7 ’ D7 ’ Gm7

5 9
The iiø7/ii, Aø7, can occur in m.7 before the V7/ii, D7 in m.8. It might be hard to distinguish the Aø7
from an F9 chord as they share four pitches, and if the bass player chooses to play the F chord in first
inversion, it will sound like an Aø7.
Bb7 ’ ’ ’ ‘ Aø7 ’ ’ ’ D7 ’ ’ ’ Gm7

5 9
The secondary dominant A7, the V7/vi, can be used to set up the D chord. The A7 points to D minor,
which becomes D7 in m.8. The A7 chord in first inversion continues the ascending step progression as
shown before by adding the chromatic C#. The A7 chord is more common in slower gospel style blues.
Bb7 ’ ’ ’ G#°7/B ’ ’ ’ F/C ’ A7/C# ’ D7 ’ ’ ’ Gm7

5 9
A more bebop style setting may include a series of chromatic ii7 - V7 chords often inserted in mm.6-8.
Bb ’ ’ ’ Bbm7 ’ Eb7 ’ Am7 ’ D7 ’ Abm7 ’ Db7 ’ Gm7

5 9
A series of descending dominant chords may be used in mm.7-8. The D7 is the V7/ii. The Eb7 is a tri-
tone substitute for the A7, the V7 of D. The E7 points to the A chord which could have been used in
place of the Eb7. This cycle is similar to the cycle that began on F#7 shown for the first four measures.

Instead of the dominants progressing in downward fifths, they progress to their destination in downward
half steps by using tritone substitutions.
Bb7 ’ ’ ’ ‘ F7 ’ E7 ’ Eb7 ’ D7 ’ Gm7

5 9
Measures 9-10
The most typical progression in mm.9-10 is the ii7 - V7:
Gm7 ’ ’ ’ C7 ’ ’ ’ F
9 11
A V7/V may replace the ii7 chord:
G7 ’ ’ ’ C7 ’ ’ ’ F
9 11
Chords may be borrowed from the parallel minor key of F minor. A iiø7/i and V7/I suggest the key of
four flats:
Gø7 ’ ’ ’ C7 ’ ’ ’ F
9 11
A Db7 chord is the tritone substitute for the G7, the V7/V:
Db7 ’ ’ ’ C7 ’ ’ ’ F
9 11
A Gb7, the tritone substitute dominant can replace the C7:
Gm7 ’ ’ ’ Gb7 ’ ’ ’ F
9 11
Measures 11-12: The Turnaround back to the top
The most common turnaround is I - V7/ii – ii7 – V7:
F7 ’ D7 ’ Gm7 ’ C7 ’ F
11 1
The I chord may be avoided in m.11 by using the iii7:
Am7 ’ D7 ’ Gm7 ’ C7 ’ F
11 1
The iiø7/ii can precede the V7/ii and replace the I or iii7 chord. The Aø7 chord is very similar to the
F9 chord and is indistinguishable from an F7 chord in first inversion.
Aø7 ’ D7 ’ Gm7 ’ C7 ’ F
11 1

An A7 can be used to point to the D7. The Ab7 and Gb7 chords are tritone substitutes for the D7 and C7.
This creates a descending chromatic line in the bass.
A7 ’ Ab7 ’ Gm7 ’ Gb7 ’ F

11 1
Eb7 and Db7 are tritone substitutes for the A7 and G7. This creates another descending chromatic line in
the bass.
Eb7 ’ D7 ’ Db7 ’ C7 ’ F
11 1
Using the tritone substitutes for D7, G7 and C7 creates a cycle of tritone substitute dominants and a bass
line of descending fifths that finally resolves down a half step to the F.
F7 ’ Ab7 ’ Db7 ’ Gb7 ’ F

11 1
Measures 9-12 Tritone Substitution Implications from bass lines
The tritone substitutions may be implied by the nature of a walking bass line. The D7, G7, C7 and F7
chords are preceded by chromatic upper neighbor tones, which suggest the tritone substitutions as
shown.
& b ˙˙ .. n œœ b ˙˙ .. b œœ # ˙˙ # n ˙˙ n n ˙˙ b ˙˙
b œœ
Gm7 D b7 C7 b b
A7 E 7 D7 A 7 b
G7 D 7 C7 G 7 b F7
?b
œ œ œ bœ œ œ œ œ œ bœ œ bœ œ bœ œ bœ œ
9 10 11 12 13
“WEST COAST” or “PRETTY” BLUES
The blues progression below is sometimes called the “pretty” or “West Coast” blues. This progression
may occur for the whole form if agreed upon ahead of time. It can sometimes be used as the last chorus
or two of a longer solo ending with a more elaborate chord progression. The I chord moves down a
fifth to the IV chord. The IV chord moves down a diatonic fifth to the Eø7, the viiø7 of F, but function-
ing as the iiø7/vi moving to the V7/vi. The Dm7 is the vi7 and naturally moves to the V7/v. The Cm7 -
F7, ii/IV - V7/IV set up the Bb m.5. The second phrase is a series of descending chromatic ii7 - V7 pro-
gressions finally reaching the ii7 - V7 in the key of F in m.9. The last four measures are usually played
without too much alteration from the common blues progression.
F ’ (Bbmaj7) ’ Eø7 ’ A7 ’ Dm7 ’ G7 ’ Cm7 ’ F7 ’

Bb Bbm7 Eb7 Abm7 Db7
1
’ ’ ’ ’ ’ Am7 ’ D7 ’ ’ ’
5
Gm7 ’ ’ ’ C7 ’ ’ ’ F7 ’ D7 ’ Gm7 ’ C7 ’
9

HARMONIC SUBSTITUTIONS for BLUES in F Minor

There are a number of harmonic variations for minor blues. Minor blues share similar characteristics
with major blues including the chord in m.5 being built on the fourth degree and dominant area in
mm.9-10. The chords are usually drawn from diatonic chords of minor keys.
Common Minor Blues Progression including a secondary iiø7/iv - V7/iv in m.4:
Fm ’ ’ ’ Bbm7 ’ ’ ’ Fm ’ ’ ’ (Cø7) ’ F7 ’
Bbm7
1
’ ’ ’ ‘ Fm ’ ’ ’ ‘
5
Gø7 ’ ’ ’ C7 ’ ’ ’ Fm ’ ’ ’ Gø7 ’ C7 ’
9
This minor blues progression includes iiø7 - V7 departure in m.2 instead of the iv7 chord. The Gb7 in
m.6 is a tritone substitute dominant preparing the return of the Fm chord in m.7. Db7 is a tritone substi-
tute dominant functioning in the traditional sense, as an augmented sixth chord pointing to the V7. The
V7 sets up the return of the Fm chord in m.11. The turnaround includes the tritone substitute dominants
Ab7 and Db7.
Fm ’ ’ ’ Gø7 ’ C7 ’ Fm ’ ’ ’ (Cø7) ’ F7 ’
Bbm7 Bbm7 Gb7
1
’ ’ ’ ’ ’ Fm ’ ’ ’ ‘
Db9
5
’ ’ ’ C7 ’ ’ ’ Fm ’ Ab9 ’ Db9 ’ C7 ’
9
This minor blues progression remains on the tonic pitch for the first few measures and suggests an inner
chromatic voice: C – Db – D – Eb. The chord in m.2 sounds like a VI chord in first inversion, but is often
notated as Fm#5. Obviously, a minor chord by definition has a perfect and not an augmented fifth, but
the Fm#5 shorthand in this context may help suggest the chromatic moving voice. The F7 in m.4 pre-
pares the iv7 chord in m.5. The iv7 is also the ii7 chord in the relative Ab major (bIII) and continues to
cycle in the key of Ab, through the V7/bIII - I/bIII - IV/bIII. The Gø7, even though shared by the two keys of
F minor and Ab major signals the return to F minor.
Fm ’ ’ ’ Db/F ’ ’ ’ Fm6 ’ ’ ’ F7 ’ ’ ’
(Dø7/F)
Bbm7 Eb7 Abmaj7 ’ Dbmaj7
1
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5
Gø7 ’ ’ ’ C7 ’ ’ ’ Fm ’ Ab9 ’ Db9 ’ C7 ’

9

The boundaries of the blues have been stretched very far as evidenced by these next two examples.
These harmonic progressions are for specific tunes and not standard blues substitutions.
This first progression could be considered a blues progression that wanders to remote keys and back in
the short twelve measure form. Some may argue this is not a blues progression, but it is a twelve measure
form that moves to a chord built on the fourth degree in m.5. In performances of this piece, improvisers
use only this progression, never inserting traditional blues progressions.
Cmmaj7 ’ ’ ’ ‘ Gm7 ’ ’ ’ C7 ’ ’ ’
Bb7
1
Fmaj7 ’ ’ ’ ‘ Fm7 ’ ’ ’ ’ ’ ’
Ebmaj7 Ebm7 Ab7 Dbmaj7
5
’ ’ ’ ’ ’ ’ ’ ’ Dø7 ’ G7 ’
9
The first five measures of the following blues progression behave as a typical blues, establishing the
tonic key area first and then moving towards the iv7 chord in m.5. Things change quickly from m.6. The
Abm7 - Bb7 - Cbmaj7 are the iv7 - V7 - and VImaj7 chords from the remote key of Ebm. The Bbm7 and A7
act as a ii7 and tritone substitute V7 to the key of Ab, but the Ab chord is a suspended dominant in the
key of Db. Order seems restored with the Fø7 - Bb7, the iiø7 - V7 to Eb minor, but wait, isn’t this blues is in
C minor? The last measure brings it back around to the top and the tonic key with the V7/V - V7. In a
performance of the piece from which this progression was extracted, the improvisers use these changes
for the melody and only the last few choruses of each improvisation. Other improvised choruses use
one of the standard minor blues progressions.
Cm7 ’ ’ ’ D7 ’ G7 ’ Cm7 ’ ’ ’ C7 ’ ’ ’
Abm7 Bb7 Cbmaj7 Bbm7
1
Fm9 ’ ’ ’ ’ ’ ’ ’ ’ ’ A7 ’
Absus7 Bb7 Ebm7
5
’ ’ ’ Fø7 ’ ’ ’ ’ ’ D7 ’ G7 ’
9
HARMONIC SUBSTITUTIONS for RHYTHM CHANGES

The form for Rhythm changes is AABA. There are numerous possibilities for harmonic variations. A few
of the more common variations and substitutions are examined below, phrase by phrase.
A SECTION
Measures 1-4
This basic pattern for the first four measures uses the diatonic vi7 chord Gm7 in m.1, and substitutes the
secondary V7/ii chord G7 in m.3. All the chords cycle back to the tonic chord Bb.
Bb Gm7 Cm7 F7 Bb G7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5

A strong cadence to the tonic chord is avoided in m.3 by using the tonic chord in first inversion.
Because of the inversion, the roots descend in fifths in mm.3-5.
Bb G7 Cm7 F7 B b/ D G7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
The iii7 chord functions in the same way the first inversion tonic chord did in the previous example. It
avoids the strong immediate return to tonic and keeps the root progression in fifths.
Bb G7 C7 F7 Dm7 G7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
Occasionally, the iii7 chord will chromatically pass through a C#m7 chord resolving to Cm7. This chord
happens quickly and may sound like a brief allusion to B major as C# m7 is the ii7 of B. Even if the
rhythm section plays the G7 the dissonant notes will resolve themselves in a linear fashion. The C#m7
pitches, C#, E, G# and B may sound like the #11, 13, b9 and major third of the G7 chord whose place it
takes.
Bb G7 Cm7 F7 Dm7 C #m7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
An interesting bass line can be created using secondary dominants in inversion. The G7 is V7/ii. The A7
is the V7/iii and points to the Dm7 chord standing in place of the original tonic chord Bb. After the as-
cending chromatic line Bb-Bn-C-C#, the roots again move in descending fifths back to the tonic chord.
Bb G7/B Cm7 A7/C # Dm7 G7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
There is little difference between the use of secondary dominants or secondary vii°7 chords when point-
ing to minor keys. A G7 or B°7 points to Cm7, and an A7 or C#°7 points to Dm7. The secondary vii°7
chords create the same ascending bass line as the example above with inverted secondary dominants.
Bb B°7 Cm7 C#°7 Dm7 G7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
This passage contains secondary dominants and tritone substitutions. The Db7 stands in the place of G7.
The C7 is the V7/V and points to the F7 chord. The Cb7 is the tritone substitute for the F7 and points
back to Bb. The second two measures reverses the secondary dominants and the tritone substitutions.
The Gb7 substitutes for the C7 and points to the F7.
Bb D b7 C7 C b7 Bb G7 Gb7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
Clifford Brown used this progression for a composition. The Db7, Gb7 and Cb7 are tritone substitutes in
the first two measures. The second phrase features descending dominants.

Bb D b7 Gb7 C b7 B b7 A b7 Gb7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
It is possible to work backwards from the Bb in m.5 and to find a cycle of dominants. This, like the simi-
lar example in the blues progressions, starts the progression on a chord very remote from the key signa-
ture. This can be effective later in an improvisation, but is usually not used in the first chorus.
F#7 B7 E7 A7 D7 G7 C7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
It is possible to impose a progression similar Coltrane’s Giant Steps harmonic cycle (progression no.
24). This progression points to remote rather than closely related keys. Closely related keys are one ac-
cidental removed from the home key. Coltrane modulated to keys that divided the octave into major
thirds. From the home key of Bb, the progression modulates to Gb and D.
Bb D b7 Gb A7 D F7 Bb Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 5
Measures 5-8
There is usually a modulation in m.5 to the IV chord in m.6. The tonic chord changes quality and be-
comes the V7/IV which anticipates the Eb in m.6. The bass line ascends to En but the chord is labeled a
C #°7 as the vii°7/iii7. The Bb chord in m.7 could just as easily be a Dm7 which helps explain the C#°7.
The basic turnaround figure returns in mm.7-8. The second chord in m.5 is often in first inversion creat-
ing the ascending bass line: Bb - D - Eb - En - F.
Bb B b7/D Eb C #°7/E B b/F G7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5 9
This version of mm.5-8 features a descending bass line: Bb - Ab - G - Gb - F:
Bb B b7/A b Eb/G Ebm/G b B b/F G7 Cm7 F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5 9
A ii7/IV - V7/IV could be used in m.5 and Ab7, a backdoor dominant, can be used in m.6.
Fm7 B b7 Eb A b7 B b/ D G7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5 9

Measures 5-6
Any combination of chords which point to IV may be used in m.5: A tritone substitute dominant may be
preceded by a V7/IV: or the ii7/IV:
B b7 E7 Eb Fm7 E7 Eb
’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5 6 5 6
Measures 7-9
Any variation of the basic turnaround figure may occur in mm.7-9 to return the progression to the tonic
chord at the beginning of the second A section.
Diatonic chords:
Bb Gm7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’
7 9
The first inversion of the tonic chord followed by the V7/ii:
B b/ D G7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’
7 9
The secondary chords iiø7/ii and V7/ii point to the ii7:
Dø7 G7 Cm7 F7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’
7 9
Tritone substitute dominants in place of G7 and F7:
Bb D b7 C7 C b7 Bb
’ ’ ’ ’ ’ ’ ’ ’ ’
7 9

Measures 15-17
The last two measures of the second A section, mm.15-17, are different than the end of the first A sec-
tion. This part of the progression resolves back to the tonic chord in m.16 and before moving to the B
section.
F7 Bb D7
’ ’ ’ ’ ’ ’ ’ ’ ’
15 17
B b/F F7 Bb D7
’ ’ ’ ’ ’ ’ ’ ’ ’
15 17
B SECTION: Measures 5-8
The bridge is a variation of the traditional turnaround chords with longer harmonic values. The most
basic turnaround progression is Bb - Gm7 - Cm7 - F7. With the iii7 chord in place of the Bb chord it
would be Dm7 - Gm7 - Cm7 - F7. Using all secondary dominants would be D7 - G7 - C7 - F7, the identi-
cal chords for the basic B section. In the A sections the chords occur with a half note harmonic rhythm;
in the B section each chord lasts for eight beats.
When encountering a D7 in the key of Bb, it is normally the V7/vi pointing to the relative G minor. The
G7 would be assumed to be the V7/ii pointing to the Cm7 chord. It is possible to mix modes making the
D7 the V7 of G (V7/VI) and the G7 the V7 of C (V7/II.). An improviser may choose any number of
combinations using these dominant chords to point to major or minor secondary keys.
The basic bridge : V7/VI - V7/II - V7/V - V7.
D7 ‘ G7 ‘ C7 ‘ F7 ‘
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17
Any dominant chord may be paired with a ii7 chord.
Am7 D7 Dm7 G7 Gm7 C7 Cm7 F7

’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17
The G7 is replaced by the tritone substitute dominant Db7 and the F7 replace by the tritone substitute
dominant Cb7 creating a descending chromatic line in the bass in the example below.
D7 ‘ D b7 ‘ C7 ‘ C b7 ‘
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17

The D7 is replaced by the tritone substitute dominant Ab7 and the C7 replace by the tritone substitute
dominant Gb7 creating a different descending chromatic line in the bass in the following example .
A b7 ‘ G7 ‘ Gb7 ‘ F7 ‘
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17
The cycle of dominants with tritone substitutions from the above example can be preceded by ii7
chords. This creates a descending chromatic progression in three keys (bIII, II, and bII) leading back to
the tonic key of I, Bb.
Ebm7 A b7 Dm7 G7 C #m7 F#7 Cm7 F7

’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17 ii7/bIII V7/bIII ii7/II V7/II ii7/bII V7/bII ii7 V7
Another set of chromatically descending dominants may be preceded by ii7 chords creating this de-
scending chromatic progression. After descending through the keys of G, Gb, and F, the B7 can act as a
tritone substitute dominant pointing back to the tonic key of Bb.
Am7 D7 A bm7 D b7 Gm7 C7 F#m7 B7

’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17 ii7/VI V7/VI ii7/bVI V7/ bVI ii7/V V7/V ii7/ bV V7/ bV
This is a less common, but possible B section progression that utilizes a series of descending chromatic
ii7 - V7 progressions. It begins in A, and goes through Ab, Gb, F, and E major. Again the B7 chord in m.24
acts as a tritone substitute dominant pointing back to the tonic key of Bb. The harmonic progression is
rhythmically compressed as the progression moves forward. The original B section changes were a re-
prieve from the crowded, fast harmonic rhythm of the A section. It is ironic how jam-packed chords the
progression in the B section can become.
Bm7 E7 B bm7 E b7 Am7 D7 Abm7 Db7 Gm7 C7 F#m7 B7

’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17
There are a few tunes that have a different sort of eight measure B section that begins with the V7/IV
and moves to the IV, the V7/V and V7 chord before returning to the tonic chord at the beginning of the
last A section.
B b7 ‘ Eb ‘ C7 ‘ F7 ‘
’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’ ’’’’
17

COMPLETE RHYTHM CHANGES PROGRESSION
Here is a possible set of chord changes for the entire progression. This is not THE version, only one of
many possible variations.
Bb G7 Cm7 F7 Dm7 G7 Cm7 F7

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1
Bb B b7/D Eb A b7 Dm7 D b7 Cm7 F7

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5
Bb B°7 Cm7 C#°7 Dm7 G7 Cm7 F7

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
9
Fm7 B b7 Eb C #°7/E B b/F F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
13
Am7 D7 Dm7 G7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
17
Gm7 C7 Cm7 F7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
21
Bb G7 Cm7 F7 D7 G7 C7 F7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
25
Fm7 E7 Eb C #°7/E B b/F F7 Bb

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
29

STANDARD TUNE APPLICATION

Here is a very simple progression from a tune performed by everyone from Bobby Darrin to Sonny
Rollins. The basic diatonic chords are I, ii7, V7, and vi7 as shown below. Fill in the blanks using typical
harmonic progressions pointing to the given destinations. At the *, use a tritone substitute and at the ‡,
use a deceptive diminished chord from half step above.
Progression no. 39
Bb ________ ________ ________ Cm7 ________ ________
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1
Cm7 ________* F7 ________* B b ________ ________ ________

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5
Gm7 ________‡ Cm7 ________ ________

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
9
Cm7 ________* F7 ________* Bb ________ ________ ________

’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
17

Progression no. 39 with harmonic additions.

B bmaj7 E bmaj7 Dø7 G7 Cm7 Dø7 G7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
1 IV iiø7/ii V7/ii iiø7/ii V7/ii
Cm7 G b 9* F7 C b 9* Bb E bmaj7 Aø7 D7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
5 IV iiø7/vi V7/vi
Gm7 C#°7‡ Cm7 Dø7 G7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
9 iiø7/ii V7/ii
Cm7 G b 9* F7 C b 9* Bb G7 Cm7 F7
’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’ ’
17 V7/ii ii7 V7
SUGGESTED EXERCISES
• Augment other common harmonic progressions using secondary dominants, work-

ing back from a specific harmonic point.
• Find recordings and compare the harmonic structures with other recordings of the
same music
• Compare different published versions of the same music
• How do recorded performances compare with published versions of the harmony?
• Compare the harmonic vocabulary between different improvisers on the same

recording of a tune? Does the same improviser approach similar sections with the
same harmonic progressions? Do all the improvisers approach the music using the
same harmonic progressions?
• Examine melodic transcriptions and compare the relationship of the melodies to

the underlying harmony. Was the improviser adhering to all the harmonic implica-
tions? Were sections being generalized? Were certain chords ignored? Were other
harmonic substitutions suggested by the lines?

Chapter 9 Harmonic Specificity 179
IX. HARMONIC SPECIFICITY

SPECIFICITY & GENERALIZATION
Melodies that utilize the identifying pitches of individual chords as guide tones, arpeggiate the chords,
and comply with voice leading principles are considered to be harmonically specific. Melodies that ig-
nore the specific implications of the harmony and use the primary pitches of the tonic triad with some
diatonic and chromatic embellishment are considered to be harmonically general.
Forms like the blues, rhythm changes and other tunes that stay in closely related keys allow improvisers
to generalize using the tonic triad or notes of the tonic key for melodic material. The tonic triad and
scale may be elaborated with chromatic embellishment. Expressive melodies may be created using this
generalization technique and the melodic material may or may not align exactly with the harmonic ma-
terial. Harmonic generalization is only one approach to improvisation. Another approach is to specifi-
cally address the harmony where the melodic material correlates with the harmonic material. With a
good understanding of individual chord structures and the tones necessary to modulate from one key to
the next, an improviser can create expressive melodies that use the dramatic elements of functional
harmony as a guide for melodic material.
These two examples will help illustrate the distinction between harmonic general and harmonic specific
melodic approaches. This turnaround progression from rhythm changes stays in or close to Bb major
for the entire phrase allowing for harmonic generalization. All of the melodic material in the first ex-
ample from an improvisation by Kenny Dorham was based on the Bb major triad notes (circled) elabo-
rate in various ways. If the line was played without accompaniment, it is unlikely that any harmonic pro-
gression would be inferred by the listener. It would likely sound like Bb major for the entire phrase. The
G7 as V7 of ii calls for an Ab (from the key signature for C minor) and an Bn leading tone, yet the
melodic line ignored these implications. None of the individual chords were arpeggiated.
9.1 Harmonic Generalization

Bb
b n œ œ œ nœ
3
œ # œ
G7 Cm7 F7 Dm7 G7 Cm7 F7
&b c Ó œ œ œ # œ œ œ œ œ j œ. ˙
œ œ œ
This second line from the same improvisation specifically addressed individual chords in the progres-
sion. It began as exactly as the last line, ignoring the implications of the G7 and Cm7. Dorham shifted to
a more specific approach in the third measure. The two notes, Bn and Ab, suggested by the G7, the V7 of
C minor, were played. These notes were not available from the key of Bb. Dorham played a 3-5-7-b9
arpeggio over the G7 chord and came down the scale to the F, the seventh of G7. The F resolved in the
next measure to the third of Cm7 and the line continued down the scale landing on the third of F7 and
the third of Bb. These thirds occurred directly on the downbeat, were approached by the seventh of the
chords that preceded them; the melody line was directly related to the indicated harmony. Dorham
used a 3-5-7-9 arpeggio again in the fifth measure for the Bb7 chord, the V7/IV, and used the note Ab,
necessary for modulating to Eb. The Eb chord was arpeggiated, and the C#°7 was clearly outlined. The line

180 Chapter 9 Harmonic Specificity
ended with another 3-5-7-9 arpeggio over the Bbmaj7 chord. The use of both general and specific ap-
proaches is one of the elements that makes this an interesting improvisation.
9.2 Harmonic Specificity

b G7
b œ
B Cm7 F7 Dm7 G7 Cm7 F7
b b c Ó œ œ # œ œ œ nœ œ œ bœ nœ œ œ nœ œ œ œ œ œ œ œ œ œ
3 3 3
& œ œ œ œ œ
B b7 Eb C #°7/E Bb
arpeggio
b arpeggio 3
œ œ # œ œœ œ Œ
3 arpeggio
& b œ œ bœ œ œ œ œ œ œ œ œ bœ nœ œ
œ œ ∑
#œ
arpeggio
Harmonic specific melodies may incorporate all variety of embellishing tones while addressing the
pitches that identify the harmony.
GUIDE TONES
Guide tones are an underlying simple structure from which lines of greater complexity may be created.
They are tones that specifically identify the chords and the notes that point to those chord tones. The
guide tones are the dots in the dot-to-dot drawings and the melody connecting them reveals the whole
picture. For every chord there is often one single pitch that when sounded over a bass line in context
clarifies the quality of the chord. If a major chord can be distinguished from a minor chord it is be-
cause of one pitch: the mediant. If a major third is heard, the chord is major; a minor third indicates a
minor chord. The third can be used in a melodic line to clarify the chord quality. Sing the melody to
Three Blind Mice. If it sounds major, it is because of the major third in the melody. It is the minor third
in the melody line that makes Greensleeves sound minor. Harmonically specific lines clarify the major
and minor qualities of chords. If the quality of the chords can be identified when listening to a melody,
it is these significant guide tones that reveal those qualities. To use guide tones is to use the identifying
pitches of the harmonic progression. If one harmonic progression can be aurally distinguished from
another it is because of these tones. Guide tones are not just a theoretical discussion, they are the very
notes which guide the listener and the performer through a piece.
Great melodies can exist independent of harmonic implications, but melody and harmony are often are
inextricably related. Harmony, so often taught as strictly a vertical entity, is historically a result of
melodic lines. The premise of voice leading is that the individual voices lead somewhere: each voice
has a linear implication. As soon as a line begins or stresses a chord tone, there is a linear expectation
connected with that note. Melodies do not always have to continue to follow their expected harmonic
path, or all melodies would be so predictable that no one would listen. Composers and improvisers are
aware of the natural tendencies and expectations connected to voice leading. They are also aware that
the audience will respond to these principles intuitively whether or not the audience is musically edu-
cated. The composers and improvisers will give the listener at times what is expected and at other times
set them up for a surprise. The only way a musical surprise works is that the listener on some level has
an expectation about where notes should resolve. Musicians who understand the expectations can ma-
nipulate them for interesting improvisations or compositions. Most melodies create a balance between
a line that follows the expected resolutions dictated by voice leading principles and a line that departs
and is independent from those expectations. The ability to understand and hear the lines suggested by
individual notes of the harmony is a necessary skill in order to successfully negotiate the harmonic pro-
gressions in jazz literature.

BASS LINES as GUIDE TONE LINES
The simplest example of a using guide tones to create larger lines is the bass line in four beat swing feel.
The bass at its most basic level plays the chord roots (the guide tones) on the downbeats signified by
the chord symbols, then improvises three notes to get to the next chord. Guide tone melodic lines in-
volving other voices will be easier to understand after examining bass line construction.
The bass line is expected to be harmonically specific. The bass does not wander aimlessly randomly
generalizing the key area. A well constructed bass line:
• Arrives on the roots of chords at the times signified by chord symbol placement in the music.
• Fills in notes that adhere to the chord quality and key signature to take the line to the next root.
• Plays chord tones typically on the stronger beats one and three.
• Precedes the roots with notes that are usually a step away. It can be diatonic or chromatic from
above or below.
• May slightly accent beats two and four which correspond with the hi-hat pattern played by the
drummer in a swing feel.
• After addressing the first principles, other characteristic rhythmic elements may be added.
The role of the bass is to accompany. The primary goal should be rhythmic and harmonic clarity. Bass
lines can be found that stray from the clear harmonic path, but often quickly return providing a strong
foundation for the rest of the ensemble.
FUNDAMENTAL BASS LINE PATTERNS
The fundamental bass line patterns on the following page can be used to create bass lines with rhythmic
and harmonic clarity. These examples are shown over a ii7 - V7 in the key of Bb major.
1. The most basic pattern is the descending scale. No chromatic notes are needed.
2. Another basic pattern moves up the scale and may use a chromatic passing tone (CPT) to lead
to the root of the next chord.
3. The ascending scale pattern may leap over the goal note and step into it from its upper neigh-
bor tone (UNT).
4. If the line does not move in steps, then it may move in leaps. The arpeggio allows for harmonic
clarity and some larger intervals than steps. After the ascending arpeggio, it may approach the
next root through a chromatic passing tone.
5. The arpeggio may be inverted. The leap down creates more interest following measures of just
step motion.
6. Descending arpeggios may be followed by a chromatic passing tone into the next root.
7. The arpeggio may also be inverted or broken, skipping over one tone to reach the next.
8. The constant stream of steps and leap may be interrupted by a pattern using the upper neighbor
tones. (From personal experience at faster tempos, this pattern can save a fatigued bassist.)
9. Repeated notes can also provide a reprieve from constant motion.
10. This simple pattern should not be avoided. It can prove very useful and effective musically.
Roots and fifths are the bass players primary tools. (OK, OK, here’s the joke: How many bass
players does it take to change a light bulb? One . . . Five . . . One . . . Five . . . )

TEN BASIC PATTERNS for BASS LINES
1. Down Scale 2. Up Scale + CPT
? bb c œ œ œ œ
Cm7 F7 Cm7 F7
œ ? bb c œ œ œ nœ œ
3. Up Scale + UNT 4. Ascending Arpeggio + CPT

Cm7 F7 Cm7 F7
? bb c œ œ œ œ œ ? bb c œ œ œ bœ œ
5. Inverted Arpeggio + CPT 6. Descending Arpeggio + CPT
œ ? bb c œ œ œ nœ
Cm7 F7 Cm7 F7
? bb c œ œ bœ œ œ
7. Inverted Arpeggio + CPT 8. UNT

Cm7 F7 Cm7 F7
? bb c œ œ œ nœ œ ? bb c œ œ œ
œ œ
9. Repeated Notes 10. Root & Fifth
? bb c œ œ œ œ
Cm7 F7 Cm7 F7
? bb c œ œ œ œ œ œ

Bass players can add rhythmic and textural interest to a line by adding notes in between the downbeats.
This subdivision corresponds to the ride patterns played by the drums. These notes may be ghosted or
muffled in a way that makes them more percussive. These notes are shown as “¿” in the following exam-
ples.
9.3 9.4
Cm7 F7 Cm7 F7
? bb c œ œ ¿ œ nœ ¿ œ ? bb œ œ ¿ œ ¿ bœ œ
Rapidly played arpeggios can add some interest to a bass line. These notes are not exactly articulated
and may be ghosted and played percussively.
9.5
? bb œ œ œ œ œ nœ
Cm7 F7
œ
3
At least ten thousand different lines can be played over the common turnaround pattern below using
the ten fundamental bass patterns shown previously. (Each measure could have one of the ten patterns
so that 10 x 10 x 10 x 10, or 104 equals 10,000.) For practice, write out a few possibilities for the progres-
sion below. Avoid repeating the same pattern too many times in a row. Try occasionally substituting an
Em7 for the C chord Bass players should write and learn to play several versions for at least the com-
mon keys of C, F, Bb, and Eb. Here is possible solution:
9.6
Pattern nos. 5 8 6 2
Cmaj7 A7 Dm7 G7
? c .. œ œ œ ..
œ œ #œ œ bœ œ œ œ #œ œ œ #œ œ
The progression can be inverted so that it starts on the ii7 chord. Write out a few possibilities for this
progression in C and other common keys. Here is possible solution:
9.7
Pattern nos. 3 1 4 10
? c .. œ
Dm7
œ œ bœ G7
œ œ œ
Cmaj7
œ œ #œ œ
A7
œ œ ..
œ œ œ

The previous examples were based on a harmonic rhythm of whole notes. When the harmonic rhythm
is half notes, the root is played then the line jumps to the note above or below the next root. The roots
for the following turnaround progression should be played on the downbeats as shown. There are up to
four pitches available in between each root: each root may be preceded from above or below with its
chromatic or diatonic neighbor. The G could be preceded by F, F#; A or Ab; a Bb; Bn, D or Db could lead
to the C; and F may be preceded by Eb, En, G or Gb.
9.8
Roots on Downbeats With Added Approach Tones
Dm7 G7 Cm7 F7 Dm7 G7 Cm7 F7
? bb c œ
œ œ œ ? bb c œ
bœ œ nœ œ œ œ
There are progressions where the chords occur in a variety of rhythmic values. For chords that last for
two measures it is not necessary to land on the root in the second measure. Another chord tone can be
played on the downbeat of the second measure. Chords occur in the following progression with three
different rhythmic values. The C and D last for eight beats, the Dm7 and G7 for four beats, and the
turnaround chords change every two beats. The fifth of the chord is played in the second measure for
both the C and the D7 chords. Pattern no. 5 is used in m.5 and pattern no. 4 is used in m.6 for the
chords with a whole note harmonic rhythm. The last two measures have a half note harmonic rhythm
and the roots are preceded from above and then below by half step motion.
9.9
C D7
?c œ œ œ bœ œ œ #œ
œ #œ œ œ #œ œ œ œ
œ
R 5 R 5
Dm7 G7 Em7 A7 Dm7 G7 C
?œ œ bœ œ #œ
œ œ œ #œ œ bœ nœ œ
œ œ bœ œ
244,140,625 BASS LINES for BLUES

The following pages show 244,140,625 bass lines for blues in Bb and F major. Each of the twelve measures
for the blues form is shown with five possible bass line patterns. Any one of the five possible patterns in
a given measure can move to any of the five patterns in the measure that follows. Several measures are
shown with optional notes. The optional notes allow for octave displacement or chord inversions to
make smooth connecting lines. Since there are five patterns to choose from for every measure, the pos-
sibilities are 5 x 5 x 5 x 5 x 5 x 5 x 5 x 5 x 5 x 5 x 5 x 5 or 512 which equals 244,140,625.
To create a twelve measure bass line, choose any of the five patterns for m.1, then pick any pattern from
m.2, and continue through the form. It is similar to a menu where you pick one from column A then one
from column B, except with twelve columns. Always choose to step from the note on beat four to the
note on beat one. This is not to suggest that any bass player creates lines by imagining a charts like
these. The chart is meant as a tool for creating bass lines. There are many more possibilities than shown
here, but these patterns should get a bass player or an arranger started creating harmonically clear bass
lines.

9.10 244,140,625 Bass lines for Blues in Bb:
B b7 E b7 B b7 B b7
? b bœ œ œ bœ ? b œ œ œ bœ ? b œ bœ œ nœ
Fm7
? b c œ #œ œ
b œ b b œ b
? b c œ œ œ nœ ? b bœ bœ œ bœ ? b œœ œ œ n œ ? b œ bœ œ œ
b b b b
? b c œ œ œ nœ ? b bœ œ bœ nœ ? b œœ b œ œ b œ ? b œ bœ œ nœ
b b b b
œ œ
? b c œ bœ œ œ ? b bœ nœ œ ? b œœ œ n œ n œ ? b œ œ
b b œ b b
œ bœ
? b c œ œ œ nœ ? b bœ œ ? b œœ n œ œ b œ ? b œ bœ œ œ
b b b b
1 2 3 4
E b7 C #°7/E B b7
œ œ bœ
? b bœ œ œ œ ? b œœ n œ œ # œ ? b œ nœ
G7
? b nœ œ œ œ
b b b b
œ bœ œ
? b bœ œ œ œ ? b nœ œ ? b œœ œ œ b œ ? b œ bœ œ bœ
b b b b
? b bœ œ bœ œ ? b nœ œ bœ œ ? b œœ œ œ # œ ? b œ œ œ œ
b b b b
œ œ œ
? b bœ œ œ ? b nœ œ œ ? b œœ œ œ # œ ? b œ nœ œ bœ
b b b b
#œ œ œ
? b b œ œœ œ œ ? b nœ œ œ ? b œœ œ œ # œ ? b œ bœ nœ
b b b b
5 6 7 8
B b7
? b œœ œ œ n œ ? b œ œ #œ œ ? b œœ b œ œ b œ ? b œœ b œ œ
Cm7 F7 G7 C7 F7
b b b b œ
œ bœ œ
? b œ œ œ bœ ? b œ œ ? b œœ # œ œ n œ ? b œ nœ œ œ
b b b b
œ œ bœ
? b œ œ œ bœ ? b œ œ œ œ ? b œœ b œ œ n œ ? b œ bœ œ
b b b b
œ ( Dø7 ) œ
? b œ œ œ œ ? b œ œ œ œ ? b œ œ œ bœ ? b œ œ œ bœ
b b b b
œ ( Dø7 ) œ bœ
? b œ #œ œ bœ ? b œ ? b œ bœ œ nœ ? b œ bœ œ
b b œ œ bœ b b
9 10 11 12

9.11 244,140,625 Bass lines for Blues in F:
F7 B b7 F7 Cm7 F7
? c ? œ bœ ? œ ? œ bœ œ
b œ œ #œ œ b bœ œ b œ œ œ bœ b nœ
? c œ œ nœ ? bœ ? œ ? œ bœ œ
b œ b bœ œ bœ b œ œ œ nœ b œ
? c œ œ nœ ? bœ œ bœ nœ ? œ bœ œ bœ ? œ
b œ b b œ b bœ œ nœ
? c œ bœ œ œ ? bœ nœ œ ? œ ? œ œ œ
b b œ b œ œ nœ nœ b œ
? c ? bœ œ œ bœ ? œ nœ œ bœ ? œ bœ œ
b œ œ œ nœ b b œ b œ
1 2 3 4
B b7
? œœœ ? œ #œ œ bœ
B°7 F7 D7
? œ œ ?
b bœ œ b nœ œ œ œ b nœ œ #œ b
? bœ œ œ œ ? nœ œ œ bœ ? œœœ œ bœ ? œ bœ œ
b b b œ b bœ
? bœ ? nœ ? œœœ ? œ œ œ
b œ bœ œ b œ bœ œ b œ œ #œ b œ
? bœ œ œ œ ? nœ œ œ œ ? œœœ œ ? œ
b b b œ #œ b #œ œ bœ
? bœ œ œ œ ? nœ œ œ #œ ? œœœ œ œ # œ ? œ bœ #œ œ
b œ b b b
5 6 7 8
Gm7 C7 F7 D7 Gm7 C7
? œ ? œ œ #œ œ ? œ bœ œ ? œ bœ œ
b œ œ œ nœ b b œ bœ b œ œ
? ? œ œ œ bœ ? œ #œ œ ? œ nœ œ œ
b œ œ œ bœ b b œ #œ b œ
? œ œ œ bœ ? œ œ ? œ bœ œ ? œ bœ œ bœ
b œ b œ œ b œ #œ b œ
( Aø7 )
? œ œ œ œ ? œ œ œ œ ? ? œ œ œ
b œ b b œ œ œ bœ b œ bœ
( Aø7 )
? œ #œ œ bœ ? œ ? #œ ? œ bœ œ bœ
b œ b œ œ bœ b œ bœ œ b œ
9 10 11 12

Five Chorus Blues Bass Line in Bb
Here is a five chorus bass line for Bb blues using only patterns from the previous pages. No two corre-
sponding measures are the same; it uses each of the sixty patterns once. (I have done the first five, that
leaves only 244,140,620 for you to do.)
9.12
Bb E b7 Bb B b7
œ bœ œ bœ œ œ œ
Fm7
? b b c .. œ œ œ nœ bœ œ œ bœ œ
1
E b7 C #°7/E B b7
b
œ
G7 9
? bb œ œ œ nœ œ œ bœ œ #œ œ bœ œ bœ
œ bœ
B b7
5
bœ
Cm7 F7 G7 Cm7 F7
œ bœ
? bb œ nœ œ nœ œ
œ œ bœ œ œ bœ œ bœ
9
Bb E b7 Bb B b7
œ œ bœ œ
Fm7
? bb œ œ nœ bœ bœ œ bœ
œ bœ œ nœ œ
13
E b7 B b7
b
E°7
œ œ œ œ nœ
G7 9
œ nœ
? bb œ œ nœ œ #œ œ
œ bœ œ
B b7
17
œ œ bœ
Cm7 F7 G7 Cm7 F7
œ bœ œ nœ #œ œ
? bb œ œ nœ œ bœ œ
œ
21
Bb E b7 Bb B b7
œ bœ œ
œ nœ
Fm7
? bb œ œ œ bœ
œ #œ œ œ nœ œ nœ
25
E b7 B b7
b
E°7
œ œ bœ œ
G7 9
œ
? bb bœ œ œ nœ œ œ #œ œ bœ
œ nœ
29
œ
Cm7 F7 Dø7 G7 Cm7 F7
? bb œ œ œ bœ œ nœ œ œ œ œ bœ œ
œ œ nœ
33

Bb E b7 Bb B b7
? bb œ œ bœ œ nœ
Fm7
œ nœ bœ nœ œ œ œ nœ
œ œ œ
37
E b7 B b7
b
œ œ bœ œ
œ bœ nœ
E°7 G7 9
? bb bœ œ œ nœ œ œ
œ bœ œ
B b7
41
œ
Cm7
œ œ œ
F7
œ œ bœ œ #œ
G7
œ
Cm7 F7
? bb œ œ œ œ bœ
nœ
45
Bb E b7 Bb B b7
œ œ bœ nœ œ œ bœ œ
Fm7
? bb œ œ nœ bœ œ œ bœ œ
49
E b7 B b7
b
œ œ œ E°7
œ
G7 9
œ
? bb œ nœ œ œ œ œ #œ œ bœ
œ nœ
53
œ nœ œ bœ
œ bœ
Cm7 F7 Dø7 G7 Cm7 F7
? bb œ #œ œ bœ œ œ œ œ bœ ..
œ
57
GUIDE TONES APPLIED to MELODIC LINES
A melodic line and a bass line both follow guide tones but a melody line has more rhythmic and
melodic freedom. A bass line is in constant motion with consistent rhythms while a melody line stops
and starts, contrasting short and long phrases separated by all important silence.
A bass line begins a measure on a consonant note, the root, and moves to the more dissonant note at
the end of the measure. The dissonant note resolves to the next root on the following downbeat. Melody
lines can follow guide tones lines in the same way aiming for a consonant note and moving towards a
dissonant note which resolves to a consonant note. The bass line is expected to arrive on the downbeat,
but more liberty is allowed with the rhythmic placement of melodic guide tones: a guide tone note may
occur on the down beat in time with the root in the bass line; it may be anticipated arriving on the up-
beat of four or on beat four; it may be delayed by two beats or more, or delayed into the subsequent
measure. Because of the rhythmic latitude allowed melodies, their harmonic relations must be analyzed
horizontally and not always vertically.
There are always twelve pitches available for melodic use, but they are used with respect to the hierarchy
of pitches. There is a wide range of consonance and dissonance that may change from measure to mea-
sure. The root, third and fifth of any given chord are the most consonant; the other four diatonic
pitches represent one level of dissonance; and the five remaining chromatic tones represent another
level of dissonance.

Assume a bass plays the root of a chord and an improviser plays one single melodic pitch over the bass
note. What single pitch will provide the most harmonic clarity? The five chromatic pitches not in the
present key can be eliminated first. Of the remaining seven, the root of the chord is covered by the bass,
so using the root in the melody would reveal nothing new. The chord tones are the obvious choice for
clarity. The fifth of the chord certainly helps to establish the tonality, but by itself over the root in the
bass, the fifth does nothing to reveal the quality of the chord. (The fifth would be heard as a result of the
physics of the harmonic series anyway). The third when played over the root in the bass provides an
immediately recognizable chord quality. Two pitches, the root and the third can convey a complete
sounding chord quality. It is for this reason that the thirds are the most important guide tones.
Harmonic clarity provided by a single pitch over a the root in the bass:
9.13
C Cm
&cw bw
?c w w
When improvisers wish to be clear about the harmonic progression, they aim for the thirds over the
roots played in the bass lines. Hank Mobley aimed for thirds in the example below. Mobley landed on
the third of Gm (Bb ) and Cm7 (Eb ) without any preparation. The third of F (A) was approach by
ascending scale steps. The third of the Dm7 (F) was approached from an upper neighbor. The third of G
(Bn) was delayed until beat four, and the third of Cm (Eb) was delayed until beat three.
9.14
Bb
œ Œ
j˙
Gm7 Cm7
œ œ F7
œ
Dm7 G7 Cm7
b œ
œœ Œ ‰ J œ œ œ œ œ œ n œ œ œ n œ œ œ œJ
&b c
LINEAR IMPLICATIONS of HARMONY
What is meant by the term “chord changes?” It usually refers to a given chord progression or the writ-
ten chords symbols. In any progression, some notes change between two adjacent chords and some
pitches stay the same. Chord changes in the truest theoretical and aural sense refers to the notes that
change between two chords. Melodic lines can emphasize the notes that stay the same or the notes that
change. If a melodic line is to create the sense of harmonic motion, it must address the notes that
change. A player who is “making the changes” addresses the notes that identifies the chords (consonant
notes: usually thirds) and finds the notes that move one chord to the next (dissonant notes that often
pull towards the consonant thirds). The voices that lead to the next voice follow certain principles. Any
pitch that is played over a harmonic progression has linear implications.
Guide tone lines may be created by following the given voice leading lines implicated by the harmonic
progressions. The guide tone lines are easy to hear and listeners intuitively follow them with a set of ex-

pectations. Melodic inventiveness is a result of manipulation, elaboration, rhythmic enhancement, and

playful departure from these paths.
When the roots of chords in a progression move in descending fifths, the most common root move-
ment, it suggests specific voice leading principles. The voice leading principles can be stated simply:
• Thirds resolve to sevenths

• Sevenths resolve to thirds
• Fifths resolve to ninths
• Ninths resolve to fifths
9.15
Dm7 G7 C Dm7 G7 C Dm7 G7 C Dm 7 G7 C
˙ ˙ ˙ w
&c ˙ ˙ w ˙ ˙ w ˙ w
3 7 3 5 9 5 7 3 7 9 5 9
There may be some variants on dominant chords.
• The ninths may be altered, so the n9, b9 or #9 (usually shown as its enharmonic equivalent)
may be used. Any of the three ninths would still resolve to the fifth of the subsequent chord
as shown below. The b9 and #9 pitches are associated with minor keys though they are freely
used in major keys to create more tension. The Ab and Bb pitches shown below could be
from the key of C minor, three flats.
• The fifth of a dominant chord may be replaced by a n13 or a b13, the #11 or b5. Any of these
substitute pitches behave as a fifth and resolve to the ninth of the subsequent chord. The b13
is associated with a V7 in minor as the b13 is the minor third of the key. The Eb below could
be from the key of C minor, three flats.
9.16 Dominant Variants
#9 or b9 for n9 n13 for n5 b13 for n5 #11/b5 for n5

Dm7 G7 C Dm7 G7 C Dm7 G7 C Dm 7 G7 C
˙ ˙ w ˙ b˙ w ˙ #˙ w
& c ˙ bœ bœ w
Not all voices change between chords. When ninth chords are moving in a typical cycle of fifths pro-
gression, the roots in the bass change for each chord. Alternating pairs of voices resolve down stepwise.
The E and C of the Dm9 move to the D and B of the G9 chord while the A and F remain stationary.
Then the A and F of the G9 move to the G and E of the Cmaj9 while the D and B remain stationary.

9.17 Pairs of voices alternating motion

Dm9 G9 Cmaj9
˙ 9 moves to 5
˙˙ 5 becomes 9
ww
& c ˙˙ ˙ w
5 becomes 9 9 moves to 5
? c ˙˙ ˙˙ w
7 moves to 3 3 becomes 9
w
An experienced improviser need not depend on a rhythm section accompanist to supply the harmonic
foundation (or the time). Harmony can be supplied as counterpoint between the single note bass
against the single note melodic line. This can be accomplished by aiming for a consonant melodic
pitch, usually the major or minor third, that clarifies the chord quality and then moving to a dissonant
note that creates motion by wanting to resolve to the consonant pitch for the next chord. The chord
tone that most often generates the motion to the next chord is the seventh. The seventh needs to re-
solve down, and when it does and the bass moving down by fifths, then the seventh will resolve to the
third of the next chord.
In this ii7 - V7 - I progression, the consonant note F, the third of the D minor, becomes the dissonant
note over the G7, then resolves down to the consonant third of C major. This is a basic guide tone line.
9.18 Basic Guide tone line beginning on third:

Dm7 G7 C C
&cw w w w
3 7 3
?c w w w
w
The more elaborate melodic line in ex. 9.19 follows the basic guide tone line shown from ex. 9.18. The F
is approached using scale tones. The high and low points of the Dm7 measure are chord tones with G as
a passing tone. The E and the G on beat four point to the F of the G7 measure. After a large leap from F
to E, which is a step disguised by octave displacement, the step motion continues down the scale. The
last four notes preceding the E are a broken arpeggio of a G7 chord. The F, the dissonant seventh, is
saved for last to propel the line towards the E, the third of C.
9.19 More elaborate line based on Guide tone line:

Dm7 G7 Cmaj7
œ œ œ œ œ
&c œ œ œ œ œ œ œ œ
œ œ œ œ œ ˙ Ó
To create a guide tone line with more motion, the third may move to the seventh of the D minor chord
which will resolve to the third of the G7 chord. The seventh of the G7 chord resolves to the third of the
C major. Each measure begins with a stable tone, moves to a dissonant tone and resolves over the mea-
sure line to a stable tone again.

9.20
Dm7 G7 C C
&c˙ ˙ w w
˙ ˙
3 7 3 7 3
?c w w w
w
A bass line follows a guide tone line of roots in a fairly strict fashion: using quarter note rhythms and
landing on roots on the beat one of a measure. There is more freedom in the development of melodic
lines from their guide tones: the range of rhythmic variations is endless; the line can be embellished
with many more diatonic and chromatic notes; and the guide tones are not restricted to the downbeats
of measures. As long as the identifying pitches happen at significant places in the measure they will
serve their function in the melodic line.
The two lines below were improvised by Tom Harrell and followed the guide tones shown above. In ex.
9.21 the F did not occur on the downbeat and was approached from above. The Gb did not sound like an
F #, the major third of D; it sounded like a chromatic passing tone. The C, the dissonant seventh, oc-
curred just before beat four, so to avoid reaching the Bn too early, Harrell approached the B from below
using a chromatic passing tone (A - A#). After playing notes borrowed from the parallel key of C minor
(Eb, Ab, and Bb), Harrell played the seventh of G7 which resolved to the E on the downbeat of the Cmaj7
measure. In ex. 9.22, Harrell approached the F from below using scale steps, the D was surrounded by its
upper and lower neighbors, followed by a leap past and then back to the dissonant C. The C resolved to
the B which Harrell placed on the strong first and third beats separated by chromatic and diatonic
passing tones. The line continued down the diatonic scale with the dissonant F resolving to the E over
the bar line. Both of these examples illustrate how flexible a line can be and still incorporate the guide
tones.
9.21 Improvised lines that follow guide tone lines:
œ bœ œ œ œ œ
Dm7 G7 Cmaj7
c j
& œ #œ œ œ bœ œ bœ bœ œ œ œ . œ ˙
9.22
œ œ # œ œ œ œ n œ œ œ3 # œ œ n œ œ œ
Dm7 G7 Cmaj7
c œ
& œ œ œj
The necessary notes for modulation, which should be committed to memory, will now be helpful in de-
termining guide tone lines and melodic pitches. The progression in ex. 9.23 is I - ii7/IV - V7/IV - IV. A
B b is needed to modulate from the key of C to the key of F major. What important pitch should be the
guide tone to lead to the key of F over these chords? Bb, the necessary accidental. What is the most con-
sonant pitch that will identify the G minor chord? Bb, the third of Gm7. What pitch creates the most mo-
tion from the C7 chord which will point to the Fmaj7 chord? Bb, the seventh of C7 which points to the
A, the consonant third and identifying pitch of F major. If one can tell that a tune has modulated or
temporarily tonicized another key area, it is because somewhere in the music the accidentals necessary

for modulation have been used to point away from the tonic key. The guide tones lead the listener to the
new key area.
9.23
C Gm7 C7 Fm aj7
&cw b˙ ˙ w
?c w ˙ w
˙
If one can tell that a tune has modulated or temporarily tonicized another key area, it is
because somewhere in the music accidentals necessary for modulation have been used to
point away from the tonic key. The guide tones lead the listener to the new key area.
GUIDE TONES for F Major BLUES
At the heart of the jazz blues harmonic progression are these guide tone lines. Sing these lines over a
blues bass line and the harmonic progression can be heard. The progression will be heard not because
some harmonic instrument like a piano or guitar is supplying the chords. The progression will be heard
because the counterpoint of the two lines, the guide tone lines composed of thirds and sevenths over
the bass line following roots, suggests the notes that identify and change the chords in the progression.
Listen to a beginning improvisation class and hear how often there are clashes between the harmonic
progression and their lines. They are not hearing the guide tones. An An may sound terrible in m.2 and
in mm.5-6 because we expect the Ab. Knowing where these tones are, how they sound in the context, and
when they create motion and when they are at rest will help with composing and improvising good
melodic lines. The first set of guide tone lines follow a simple blues progression; the second one in-
cludes more secondary dominants and a typical turnaround. These should be transposed to any key in
which the blues may be played.
9.24 Guide Tone Line for Simple F major Blues

F B b7 F F7 Bb B b7
& b c .. w bw nw bw w
bw
F Gm7 C7 F
& b nw w w w w w ..
9.25 Guide Tone Line for more complex F major Blues

F B b7 F Cm7 F7 Bb G #°7/B
& b c .. w bw nw bw w #w
F D7 Gm7 C7 F D7 Gm7 C7
& b w˙ . ˙ w˙ w˙ ˙ wœ œ # œ œ wœ œ œ œ ..
œ # ˙w ˙

Guide tone notes may occur before, on or after the beat. In the skeleton outlines shown in ex. 9.24 -25,
the guide tone line is shown with whole notes referring to harmonic rhythm and not necessarily a re-
quired rhythmic placement. Knowing that the third is a target note on the downbeat does not mean that
it must be played on the downbeat. Melodic notes may be anticipated and delayed. Below is an excerpt
from Sonny Rollins. Each of the guide tone notes are anticipated on the upbeat of four giving the line
more forward motion and rhythmic drive.
9.26 Guide tone lines in blues progression
b j j j
& b c Ó Œ ‰ œJ ‰ œJ ‰ œ œ ‰ b œJ ‰ œJ ‰ œ œ ‰ n œJ ‰ œJ ‰ œ œ
Bb E b7 Bb
b w bw nw
&b c ∑
The guide tones in this line from Thelonious Monk are delayed: they land on the upbeat of two. Each is
approached using chromatic notes. The entire twelve measure line, from which this was extracted, in-
cludes eleven of the twelve chromatic pitches, but the peaks and important goals of the lines followed
the guide tone lines of thirds and sevenths.
& b c Ó Œ ‰ œj œ œ # œ œ ‰ œj œ n œ # œ œ œ b œ œ ‰ œj œ œ # œ n œ
F B b7 F
&b c ∑ w bw nw
Clifford Brown placed the guide tones in a variety of rhythmic places in ex. 9.28. The guide tones ar-
rived on the downbeat in the first two measures. The seventh of F (Eb) arrived a bit early in m.3. The Eb
finally resolved to the D on the upbeat of one in m.5. Brown clearly distinguished between the Ab in m.6
and the An in m.7 and both were approached in a similar way and occurred on the downbeat.

j œ.
3 3
& b c œ . œJ Œ œ œ œ b œ ‰ œ œ œ œ œ œ œ œ b œ œ Œ Ó œ
J
F B b7 F F7
&b c w bw nw bw
r
& b œ œ œ œ bœ œ œ œ œ œ bœ œ œ œ œ œ œ œ œ œ nœ
Bb B b7 F
&b w bw nw
Ex. 9.29 is from mm.7-11 of the blues form. Charlie Parker suggested a more complex blues progression
by his choice of guide tone notes. Parker began this phrase with the identical notes that Brown played in
ex. 9.28. The notes necessary to modulate from F major to the key of ii, Gm, are Eb, from the key signa-
ture, and the leading tone F#. The secondary dominant D7 was suggested by the F# and the Eb. The F# - A
- C - Eb arpeggio is the 3-5-7-b9 of D7. The C, the dissonant seventh of the D7 chord, was sounded again
in the Gm7 measure and resolved to Bb, creating a 4-3 suspension. The Bb was reinforced over the C7,
and moved down the scale to the E, the third. Parker arpeggiated the C7 chord from the third, borrowed
the Db and Eb from the parallel F minor and finally moved down the scale to the target note A. Parker
clearly delineated the harmonic progression with his note choices, but the rhythmic character was as
important as the notes. There was a great variety of rhythmic activity within this short excerpt: the sim-
ple idea in the first measure, the triplet turns, displaced resolutions, thirty-second note pick-up notes,
and the syncopated ending.
bœ œ œ œ œ œ Œ ‰ œ œ œœ œ œ
3
œ œ bœbœ œ œ œ œ œ Ó
3
& b c œ . Œ
J J ‰ œ œ œ œ œ # œ œ œ œ œ œ œ
F D7 Gm7 C7 F
& b c w˙ . ˙ w˙ w˙ ˙
œ # w˙ ˙ w
The guide tones may occur in any register as shown in the following excerpts from a blues improvisa-
tion by Tete Montoliu. The non-chord tones always resolved back to chord tones. The two Bb pitches in
the first measure resolved back to the guide tone A. The D, Db and Bn in m.2 resolved to C, the fifth of
the F chord. The Ab, the guide tone for the Bb7 chord behaved as a G# leading back to the A in the final
measure.

œœ
œœ œ œ œ j œ. jœ j
&b c œ œ œ œ bœ nœ œ œ œ b œ œ b œ œ ‰ œ bœ #œnœ œ
b œ œ œ
3
F F7 Bb B b7 F
& b c nw bw w bw nw
5
The Bb resolved back to the guide tone A. The guide tone Eb was followed by the chromatic C# which en-
circled and created more tension pointing to the guide tone D.
&b c Ó Œ ‰ Jœ ‰ œj ‰ œ œ œ ‰ b œj œ ‰ œJ b œ # œ ‰ œJ Jœ
J
F F7 Bb
&b c ∑ nw bw w
5
Montoliu suggested additional chromatic motion in m.2 with the Dn moving to Db. The Db suggested that
the Bb major became Bb minor which created a traditional church sounding plagal cadence back to F: IV
- iv - I. The harmonic motion in this passage was clear and was created by the harmonically specific
melodic lines.
œ œ œ œ b œ œ œ b œ œ ‰ j œ #3œ œ b œ œ3b œ n œ œ
3
œ
3
& b c œ œ œ œ œ œbœ œ œ œ œ œ œ j
œ œ œ œ bœ
B b7 Bb œ.
b ˙ ˙ (b˙ ) ˙
F F F7
&b c ˙ n˙ bw w

BLUES ETUDE: GUIDE TONES

Here is a short, simple blues etude based on guide tone lines. Try inventing, writing down and learning
several blues choruses of your own. Borrow and steal from the examples here and others you may ac-
quire from jazz artists.
9.33
&b c ‰ œj œ # œ œ . œ ‰ j œ œ b œ œ œ œ Œ œ œ œ œ # œ œ n œ œ b œ ‰ Jœ œ œ b œ œ œ # œ
J œ
B b7
bw
F F Cm7 F7
&b c ∑ w bw nw
& b œ œ œ bœ Ó ‰ Jœ œ œ b œ œ œ # œ n œ œ Œ Ó ‰ œ œ œ œ #œ bœ œ œ
B b7 G #°7/B
w
F D7
&b w˙. ˙
#w œ # w˙
& b œ œ œ œ œ œ œ œ œ œ œ œ œ b œ œ œ œ œ œ # œ œ œ ‰ œj n œ œ Ó
Gm7 C7 F D7 Gm7 C7
& b w˙ ˙ w˙ ˙ wœ œ #œ œ wœ œ œ
GUIDE TONE LINE APPLICATIONS to STANDARD PROGRESSIONS
Guide tones can be extremely helpful for creating lines through any progression. To determine a guide
tone line for a harmonic progression, try beginning on the third of the first chord. This establishes the
foundation from which the progression and the line will depart. Try to move only when necessary, find-
ing a smooth path through the progression. Often a standard harmonic progression will lend itself to a
guide tone line that moves only in steps. Dissonant notes should resolve across the measure line to a
consonant note. When chords occur that modulate, the guide tone notes will often prove to be the notes
necessary for modulation and will be important chord tones. Many progressions will loop so that after a
series of harmonic excursions, the original chord will be heard again at the top of the form or at the
second A section. As an example, progression no. 13 is a thirty-two measure ABAC form. The first half is
shown below. All of the harmony moves away from the tonic Eb chord, but returns to it for the second A
section at m.17. In this way, the guide tone lines should lead back to the starting pitch.
CREATING a GUIDE TONE LINE
A guide tone line could begin on any pitch, but the third is the most definitive note. The line below be-
gins on the third of the tonic Eb chord. The G moves down a step to the third of the Dø7 chord. It is not
necessary to move the F for the G7 chord. This is a case of the note changing its status from consonant

to dissonant by the movement in the bass. The F is now the unstable seventh of G which resolves to the
third of Cm, Eb. The Db is the third of Bbm7 and is the logical choice for the continuation of the line as
it moves down a step from the Eb. The Db is chosen because it is the third of Bbm7, or since Bbm7 - Eb7
modulates to Ab, the Db is chosen as the required accidental to move from the key of Eb (3bs) to Ab (4bs).
The Db as the seventh of Eb7 resolves to the consonant pitch C over the Ab major which must become Cb
over the Db7 chord. The Db7 is a backdoor dominant and standing in for an Abm, the iv chord in a pla-
gal cadence, and therefore must have a Cb. Any pitch tends to resolve in the direction in which it has
been altered, so Cb wants to resolve to Bb over the Eb chord. Bb is not the third or seventh of Eb, but is a
good choice for this chord in the middle of the progression for at least two reasons: (1), the Cb required
the downward resolution, and (2), the Bb can then move smoothly to the next guide tone, An. Why is An
the appropriate guide tone for the F7 chord? F7 is the V7 of Bb. Bb has the key signature of two flats, one
less than the key of Eb. The An is the note that must change and it is also the third of F7. The Fm7 - Bb7
signals the return to the key of Eb and that necessitates the addition of Ab. Ab is also the third of the Fm7
chord and the seventh of the Bb7 chord which resolves down to the G, the third of Eb and the cycle is
complete. The guide tone line is smooth, easy to hear and sing, harmonically very specific, and was
composed of mostly thirds and sevenths, with the one exception, the fifth of Eb. When the roots move
down in fifths, there is a secondary seventh to third guide tone line which may be suggested and is
shown below with smaller notes.
9.34 Progression no. 13

E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7
& b b c .. w w w w w w bw w˙
˙ n˙ ˙
A bmaj7 D b9 E bmaj7 B b7
bbb
F9 Fm 7
& w nw w bw w ..
w bw w ˙ ˙
GUIDE TONE LINES in PERFORMANCES
These next several examples are from a live performance of Lou Donaldson and Clifford Brown. The
vehicle used for improvisation was a tune based on progression no. 13.
In m.7, Lou Donaldson landed on a Dn over the Bbm7 chord, but quickly came back to capture the Db,
clarifying the minor chord quality. The Db is also the last note he played in the Eb7 measure and led to
the C, the third of Ab major. After establishing the stability with the third of the chord, a melody line
can venture far away and include a great deal of leaps and chromaticism. When the line returns to the
third of next chord, a 3-5-7-9 arpeggio often follows, which removes any remaining harmonic ambiguity.
Donaldson used this principle over the Abmaj7.
9.35
B bm 7 E b7 A bmaj7 3-5-7-9 arpeggio D b9
b œ bœ œ
&b b c Œ œ œ
3
œ œ œ œ œ
œ œ bœ œ œ
nœ œ nœ bœ bœ œ œ
Donaldson began the F7 measure with the An, went to the upper neighbor tone, descended the scale, and
after an arpeggio that suggested the 3-5-7-9 of Cm7, came back to the An surrounding it with its upper
and lower neighbor tones.

9.36
F9
b
& b b c nœ œ œ œ œ œ œ œ œ œ nœ œ #œ œ œ Œ
3
Ex. 9.37 immediately followed 9.36 in the Donaldson improvisation. Donaldson changed the An to an Ab
to accommodate the Fm7 chord pointing back to the key of Eb. The Ab was approached by an arpeggia-
tion of the F minor triad. There was a great deal of chromatic ambiguity over the Bb7 chord which cre-
ated a desirable instability over the chord that leads to the tonic. Two chromatic lines were suggested
that pointed to the guide tone Dn : F-En -E b -D n from above and C- C #- D n from below. When the line
reached the Dn, the third of Bb, Donaldson used the 3-5-7-9 arpeggio principle that cleared up the har-
monic ambiguity of the first half of the measure. The last three notes of the arpeggio were octave dis-
placed. The line continued down to the guide tone note G, and then moved up, after encircling the Eb
with neighbor tones, to the G in the upper octave.
9.37
Fm 7 B b7 3-5-7-9 Arpeggio E bm aj7
b j
& b b c Œ ‰ œj œ b œ œ œ n œ œ b œ # œ œ œ
œ œ œ œ œ
œ œ bœ œ œ œ
The guide tone thirds appeared on the downbeats for the Cm7 and Bbm7 chords. The Dn in the third
measure over the Eb7 chord is not an error. It would not be heard as the major seventh of the Eb7 chord
but as the chromatic lower neighbor to the Eb note that followed. Again, when arriving at the third of the
Abmaj7 chord, Donaldson used an arpeggio.
9.38
Cm7 B bm7 E b7 A bmaj7 Arpeggio
b
& b b c œ œ œ œ œ œ bœ œ œ œ œ œ œ œ œ œœœ œ
3
œ n œ n œ œ œ œ
œ œ œ œ #œ œ nœ
Donaldson began this phrase on the guide tone Db, then suggested the seventh to third guide tones Ab to
G between the Bbm7 and Eb7 chord. Another arpeggio occurred after arriving at the third of Abmaj7.
9.39
B bm7 E b7 A bmaj7
bb c ‰ bœ œ œ nœ œ œ bœ
3
b œ #œ œ œ œ œ œ œ œ œ nœ œ œ œ œ œ Œ
œ œ
3
&
7 3 3-5-7-9 Arpeggio
Clifford Brown played a very similar line to the Donaldson above. Both lines began on the Db and en-
circled the Bb with neighbor tones. Brown used an Ab paired with Fn to Donaldson’s Ab and F# to point to
the G. Brown used notes borrowed from the parallel enharmonic minor key of G# minor that created
more tension when pointing to the Abmaj7. When Brown reached the third of Abmaj7 he used the prin-
ciple of arpeggiating the 3-5-7-9 of the chord, but octave displaced the last three notes.

9.40
B bm 7 E b7 A bm aj7
b #œ nœ #œ œ œ bœ œ nœ œ
& b b c bœ nœ œ œ œ bœ œ œ Œ œ œ bœ
3-5-7-9 Arpeggio
Brown supplied the third of every chord on the downbeat in this progression. While C minor and Eb
major share the same key signature, the key of C minor needs a Bn, the leading tone, to create the domi-
nant chord G7. Brown played it on the downbeat and followed it with an inverted 3-5-7-9 arpeggio.
9.41
Dø7
b
G7 9 3 Cm7
b œ œœœœ œ 3
&b b c nœ #œ nœ œ œ œ œ bœ œ œ œ œ œ Ó
3-5-7-9 Arpeggio
œ œ
3 7 3 7 3
The use of a 3-5-7-9 arpeggio as a way of elaborating a guide tone line is a universal jazz device. The 3-5-
7-9 arpeggio may be found in ascending form or inverted where the last three notes, 5-7-9, are octave
displaced. Tom Harrell sequenced this device in the following examples. The F7 arpeggio was inverted
and the arpeggio for the Bbm7 ascended in ex. 9.42.
9.42
b
F7 9 B bm7 Arpeggio
b œ
Arpeggio
& b b b b 34 n œ œ œ œ œ œ œ œ œ œ œ œ œ œ n œ œ
The guide tone notes are circled in this excerpt from Tom Harrell. They do not always occur on the
downbeat, but are always prepared and approached in a logical way. The 3-5-7-9 arpeggios are marked
with brackets. Harrell made the sequence work in the last two measures even with the meter change on
the Bbm7 chord.
9.43
Gø7 C7 Fm 7 B bm7
bbb 3 œ . œ œ œ
3
b œ œ œ œ
œ nœ œ œ œ œ œ œ œ œ œ c œ œ œ œ œ œ œ
3
& 4 œ œ nœ œ œ
œ
Contemporary improvisers are also aware of and use guide tones to identify and connect chords. John
Scofield aimed for the third and seventh of all the chords in the following progression. The Bb7 chord is
a secondary dominant chord and points away from the key of Db (5bs) to the key of Eb minor (6bs plus a
leading tone). The leading tone is Dn and the sixth flat is Cb. These are the first two pitches Scofield
played over the Bb7 chord. Scofield arpeggiated the Ebm7 chord 3-5-7, but stopped before reaching the
ninth, and let the seventh resolve to the third of Ab7. He almost used the 3-5-7-9 arpeggio over the Db
chord, using a Bb instead of the C.

9.44
Db
b
B b7 9
b
& b b b b c œ œ œ ¿ œ œ œ . Jœ ‰ œJ œ œ œ œ Œ
nœ bœ œ œ œ
3 3 ¿ œ ˙ œ
E bm 7 . .
7 3
A b7 Db
7
7
b b œ . œ œ œ
3
&b b b œ œ nœ nœ œ bœ œ œ œ œ œ œ
œ œ œ J
œ œ 7 œ n œ œ3 7 3
Standard jazz progressions are still attractive to contemporary jazz performers. Mike Stern used progres-
sion no. 7, from a tune published in 1947, to compose a new composition. This is a very common idea.
Many of the compositions from the early bop era were newly composed pieces based on established
harmonic progressions, usually borrowed from or similar to popular show tunes. There is something
that is still interesting and challenging about these traditional progressions. Sometimes they offer a con-
temporary player an opportunity to improvise lines that contradict the underlying harmonic implica-
tions, but here, Stern aimed for the coherent tones of each chord with at least one unexpected turn. The
F# in the second measure informed the listener that F major was left behind. The D7 chord was arpeg-
giated and its seventh, the restless dissonant tone C, resolved over the measure line to the consonant
third of Gm7. The Bb was encircled by upper and lower neighbor tones before continuing down the
scale. At the C7 measure, a listener might expect to hear the Fn, the seventh of Gm7 resolve to a En, the
third of C. Stern played an F#, this time as part of an encircling of the G before moving down to the Fn
which did finally resolve to E, not just anywhere, but on the strong third beat. The line continued down
the scale sounding the seventh of C7 before resolving smoothly over the measure line to the consonant
third of F.
9.45
Fmaj7 D7 Gm7 C7 Fmaj7
&b c ˙ ˙ œ œ œ #œ œ œ œ œ œ œ œ œ œ œ #œ œ œ nœ œ œ
œœ œ
3 7 3 3 7 3
The idea that melody lines can implicate and outline the harmonic motion should not be difficult to
imagine. Historically, the entire concept of harmony came about as a result of melodic lines. The con-
cepts of vertical sonorities, chords and harmonic progressions evolved from the convergence of linear
melodies. The melodies were implicating the harmony before harmony existed. Many years ago stu-
dents asked me for book recommendations for melodic ideas. I always suggested Bach, Mozart, and
works of other time tested geniuses of melody. They always looked puzzled and sadly, few of them took
me seriously. Listen to the strength of the single line against another single line in two-part inventions.
There is no chordal accompaniments and yet the harmonic motion is crystal clear. This is because the
lines themselves incorporate the important chord tones as guide tones. The six suites for cello solo and
the solo sonatas and partitas for violin are excellent material for harmonically specific lines. What can
be learned from the study of Clifford Brown and Charlie Parker can be learned from even older masters
of melodic invention.
There are several melodic lines implied in this Menuet from Suite no. 1 for cello solo. No double stops
are used to indicate the harmonic motion, only the single note melody line implying up to three sepa-
rate voices.

9.46 J. S. Bach: Suite No. 1 for Cello Solo, Menuet II
? b b 34 œ œ œ œ œ œ œ œ #œ œ œ œ œ #œ œ œ œ œ œ œ œ œ
œ
œœœ œœœœœ œœ œœœœ
1
? bb œ #œ œ œ œ œ #˙ # œ œ œ œ œœ
.. .. œ œ nœ
nœ œ
œ œœœ œ œ œœ
? bb œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ nœ œ œ bœ œ œ œ œ œ
7
œœœ
13
? bb œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ ..
œ œ œ œ œ
#œ œ ˙.
19
The primary line in mm.1-4 suggests Bb - A - G - F#, a descending step line at the interval of a third and
an octave over the bass line G - F - Eb - D. The Bb over the G in the first measure left no doubt that the
piece is in a minor key. The F#, leading tone in m.4 and m.8 is the third of the implied D7 chord and is
approached from above and again made it clear that this piece is in G minor and not Bb major.
Brown, Parker and Harrell used arpeggios from the thirds of chords. What about Bach? Examine the
second part of the Menuet II. The chart below shows the implied harmonic progression and below de-
tails the melodic devices used to implicate the harmony.
Implied harmony for second part of Menuet II:
D7 Gm C7 F Bb Eb F7 Bb F7 Bb
9 10 11 12 13 14 15 16
Arpeggio Encircled Arpeggio Encircled Arpeggio Arpeggio Thirds Arpeggio

3rd 3rd
F# and E b En points to Eb points to lack of F# Fn indicates
point to Gm key of F key of B b also points Bb and not
to B b Gm
G7 Cm F7 Bb D7 Gm Aø7 D7 Gm
17 18 19 20 21 22 23 24
3-5-7-9 Arpeggio 3-5-7-9 Arpeggio 3-5-7-9 Arpeggio 3rds Root

arpeggio arpeggio arpeggio
with 7th -3rd with 7th -3rd with 7th -3rd
resolution resolution resolution
Bn and A b Fn indicates Return of F #
point to Cm Bb and not indicates G
Gm minor, not
Bb major

STEP PROGRESSION
Many times the harmonic guide tones will suggest a simple step line over several chords. The first four
measures of the Menuet II followed a step progression. The example below. IV - iii - ii - I shows the bass
and the guide tone thirds following simple downward step progressions.
9.47 Step Progression
&cw w w w
?c w w w w
Mozart used this same step progression to create these longer florid lines. Mozart used ascending and
descending diatonic scales to accentuate the guide tone step progression line in two octaves.
9.48 Mozart: Sonata in C major, Allegro, KV 545
œœ œ œ œœœœœ œ
& c œœœœ œœ œœœœœœœ œœœœœœœ œœœœœœœœœœœœœœœ œœœœœœœœœœœœœœœ
œ œœ œ œ œ
?c œ œ
Œ Œ œ Œ Œ œ œ Œ Œ œ œ Œ Œ œœ
Using some basic harmonic substitutions, the Mozart line can be transformed into a jazzy sounding line.
9.49
#9
B7b 13
b b
œ œ œ œ œbœ œ œ œ œ œ œ œ œ #œ bœ
Fmaj7 Em7 A7 9 Dm7 G7 9 Cmaj7
œ œ œ œ œœœ
c
& œ œ œ œ œœ œ œ œ œ œ œ œ œ œ œ œ œ œbœ œ œ ˙
A step progression can be created using the primary guide tones over progression no. 13. This guide
tone line is a harmonically specific step progression that begins and eventually returns to G after sixteen
measures.

9.50 Progression no. 13

E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7
& b b c .. w w w w w w bw w˙
˙ n˙ ˙
bbb
F9 Fm 7
& w nw w bw w ..
w bw w ˙ ˙
Clifford Brown used an extended step progression in this excerpt. The step line was interrupted with
neighbor tones, an inverted 3-5-7-9 arpeggio, and octave displacement. The line pointed to the third of
every chord in the progression and moved toward the seventh which resolved to the third of the subse-
quent chord. Some of the sevenths were delayed and resolved as 4 - 3 suspensions. This illustrates the
dual nature of some notes. The Eb over the F7 is the seventh and points to the Db, the third of Bbm. The
E b is both the seventh of F7 and the upper neighbor to the Eb. Not matter which analysis and term is
used, in both roles, the Eb is a dissonant note wanting to resolve to the Db. The simplified step progres-
sion is shown on the bottom line.
9.51
Cm7 F7 B bm7 E b7
œ œ œ œ nœ œ j bœ nœ œ bœ œ
3
b
& b b b 34
j
œ
3
J œ nœ œ nœ œ œ bœ œ œ œ œ œ œ œ œ Œ
b œ œ œ œ 7œ
3
& b b b 34 œ
7 7 3
œ œœœ œ
7 3 3
œ nœ bœ œ œ œ
A bmaj7 3 F7 3 3 B bm7
3
b
3
& b bb œ Œ œ œ œ nœ œ œ bœ œ nœ œ œ œ œ œ
nœ ˙
b b
3
œ
3 7 3
&b b œ nœ bœ œ œ œ
Ex. 9.52 is another step progression example from Clifford Brown. Brown’s line incorporated the har-
monically clear thirds in almost every measure. All twelve of the chromatic pitches were used, but never
at random. All chromatic tones were resolved in predictable ways. The Db was a chromatic passing tone
between D and C in the pick-up measure. In m.3, the C# and the A# pointed up to the chord tones D and
B. The D# in m.5 indicated a shift to the key of E minor, and was the anticipated third of B7. The G# in
m.7 clarified the key of E major. The Gn in the last measure verifies the return to the key of G. The step
line was twice interrupted by octave displacement. In both cases of octave displacement, Brown leapt
from the harmonically clear third up to the ninth before descending again.

9.52
Am7 D7 Gmaj7
# c nœ
& ‰ Jœ ‰ b Jœ œ œ œ œ œ œ œ œ œ b œ Œ ‰ œJ # œ n œ œ œ n œ # œ œ ‰ j œ œ œ œ
#œ œ
# bœ
3 - 9
œ œ œ nœ œ
& c œœœ œ œœ
F #m 7 B7 Emaj7 Am 7 D7
#
& œ œ œ # œ Œ œ œ œ œ œ œ œ œ # œ œ # œ œ œ # œ œ ‰ n œj œ n œ œ œ Œ
3
# 3 -
œ œ œ œ œ
9
& œ œ #œ œ #œ nœ œ œ
This simple step progression framework may not seem like enough for an interesting piece of music, but
it is the basis for one of the most familiar melodies of the twentieth century. Judy Garland sang it in an
early disaster film about tornadoes. Play the simple framework below while singing the complete
melody. What devices were used to create this melody out of a simple descending scale?
9.53
&c ˙ ˙ w w w w w w w
A step line is often suggested by any harmonic progression. Learning to hear progressions usually in-
volves being able to hear the one voice that indicates the change. The root of the F chord may not at
first seem like the best choice to begin the step line below until examining the rest of the line. The Eb is
the note that points to the Bb chord and resolves to the harmonically clear third of Bb, the Dn. The Dn
must become the Db to accommodate the Eb7 chord. The C is the natural choice for the first inversion F
chord for two reasons: (1) it is the logical resolution of the Db, and (2) is a third above the bass note.
9.54
F F7/A Bb E b7 F/A D7 Gm7 C7 F

˙ b˙ ˙ b˙ ˙
&b c ˙ ˙ bœ œ œ
?b c b˙ ˙ ˙
˙ ˙ ˙ ˙ ˙ œ

Ex. 9.55 is a embellished version of the simple framework in ex. 9.54. The notes on the downbeats of
mm.2-3 are anticipated giving a rhythmic push to the line. There is more angularity created using arpeg-
gios over the D7 and Gm7 chords.
9.55
F F7/A Bb E b7 F/A D7 Gm7 C7 F

œ œ b œ œ œ b œ j 3
& b c #œ œ œ œ #œ œ œ œ nœ œ œ ‰ œ œ #œ œ œ œ œ bœ œ bœ œ
3
œ œœ œ
OTHER VOICES as GUIDE TONES
The third often proves to be the clearest note to begin a guide tone line. Beginning with the third in-
sures the line will build dramatic intensity as it moves away from the consonant third. The third is often
approached by the seventh of the previous chord which descends step wise from the dissonance to the
consonance. Ninth chords are common in jazz, which makes it possible to have five separate voice lead-
ing lines occurring at once using the root, third, fifth, seventh and ninth of the chord as beginning
pitches. All of these notes have linear harmonic implications. Lines may begin on chord tones other
than the third. While these other pitches may be chord tones, and therefore harmonically specific, they
may not be as clear as the third in establishing the quality of the chord.
GUIDE TONE LINE BEGINNING on the THIRD
Thirds resolve to sevenths when chords are separated by a fifth. Progression no. 13 suggests a harmoni-
cally specific guide tone step progression that begins on the third and eventually returns to the same
pitch after sixteen measures. The guide tone line never moves more than a whole step. The octave dis-
placement in mm.11-12 keeps the line in the staff. Because it is preceded by a backdoor dominant, the
guide tone for the Ebmaj7 chord is the fifth, Bb. The Bb resolves down a half step to the essential tone An,
the third of the F7 chord.
9.56 Guide Tone Line No. 1: Progression no. 13 with line beginning on the third
E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7 F7
& b b c .. w w w w w w bw w
3 3 7 3 7 3 7
bbb
F9 Fm 7
& w nw w bw w ..
w bw w
3 7 3 3 7
This etude follows guide tone line no. 1. In the first few measures, the guide tone is elaborated by move-
ment up and down the diatonic scale returning to the guide tone. Many other notes are used in addition
to the guide tones, and some other guide tone linear implications may be found. 3-5-7-9 arpeggios are
found in mm, 9, 15 and 16.

9.57 ETUDE based on Guide Tone Line No. 1:

E bmaj7
b9
b j Dø7
j
G7
& b b c .. œ œ œ œ œ œ œ ˙ ‰ œ œ œ œ ‰ œ œ œ œ œ
œ œ #œ nœ œ œ œ
B bm7 E b7
bbb j ‰ œj
Cm7 F7
œ œ œ œ #œ œ . œ
& œ ‰ œ œ œ œ œ ˙ œ bœ œ œ œ J œ bœ œ
A bmaj7 b b
j
bbb
D 9 E m aj7
& œ œ ‰ nœ bœ œ œ bœ œ œ Œ ‰ j œ œ œ
œ œ bœ œ ˙ . œ œ œ œ
B b7
bbb
F9 Fm 7
& nœ œ nœ œ œ œ œ Ó ‰ n œj œ œ b œ œ œ œ œ œ œ b œ œ œ œ # œ ..
œ œ #œ œ
GUIDE TONE LINE BEGINNING on the SEVENTH
The seventh is a dissonant tone and creates motion to the third of the next chord. The first guide tone
line began with thirds that moved to sevenths. Thirds lead to sevenths and sevenths lead to thirds. This
guide tone lines reverses the location of sevenths and thirds from the guide tone line shown in ex. 9.56.
Beginning on the seventh creates an initial dissonance note which alternates with consonant notes as
the previous line.
9.58 Guide Tone Line No. 2: Progression no. 13 with line beginning on the seventh
E bmaj7
b B bm7 E b7
b
G7 9
& b b c .. w w
Dø7 Cm7 F7
w nw bw nw bw w
7 7 3 7 3 7 3
A bm aj7 D b9 E bmaj7 B b7
bbb w w w
F9 Fm7
& w w w w ..
w
7 3 9 7 7 7 3
The etude shown in ex. 9.59 follows the above guide tone line no. 2. The third of F7 is preceded by its
upper neighbor, Bb, which is also the seventh of the Cm7 chord, and preceded by its lower neighbor, G#.
This idea is sequenced over Bbm7 - Eb7. There are two lines suggested in mm.9-11: the top of the line fol-
lows the G - G - F of the guide tone line above, the C - Cb - Bb suggests the parallel measures in guide
tone line no. 1.


E bmaj7
b9
b œ œ n œ œ œ œ b œ œ œ b œ œ œ œ œ œ œ ‰ nœ œ œ œ Ó
Dø7 G7
& b b c .. ‰ œ. œ
J
B bm 7 E b7
b j j
Cm7 F7
& b b Œ ‰ œ œ œ #œ nœ œ . œ Ó Œ ‰ œ œ œ #œ œ ˙ .
J
Œ
A bm aj7 D b9 E bm aj7
b j j
& b b ‰ œ œ œ œ œ œ œ œ œ bœ œ œ œ œ œ œ œ œ œ œ œ œ œ . œ Ó
œ
B b7
b ‰ œj œ œ œ œ œ # œ œ .
F9 Fm7
& b b ‰ œj ‰ œj œ œ œ œ œ œ œ Œ œ Ó
J
..
GUIDE TONE LINE BEGINNING on the FIFTH
Playing the consonant fifth alone over the root in the bass reveals nothing of the chord quality. Both
major and minor chords have a perfect fifth, and the quality will remain unconfirmed until a third has
been sounded. The harmonic implications of a guide tone line beginning on the fifth will be vague. As
thirds lead to sevenths and sevenths to thirds, the fifth resolves to a ninth. The fifth of the Dø7 becomes
the b9 of the G7 which resolves to the fifth of the Cm and so on. Creating lines using the fifths and
ninths will require the use of thirds and sevenths elsewhere in the line or will depend on outside ac-
companiment to verify the quality of individual chords.
Fifths must be perfect on major and minor chords. This does not prohibit using a chromatic leading
tone to the fifth. Half diminished chords have diminished fifths. On dominant chord, fifths can be low-
ered or raised. The thirteenth or flatted thirteenth may substitute for the fifth in a dominant chord.
When using a guide tone line of fifths and ninths, the loss of harmonic clarity by not using the funda-
mental thirds and sevenths is exchanged for the available color combinations of altered ninths fifths
and thirteenths available on the dominant chords.
9.60 Guide Tone Line No. 3: Progression no. 13 with line beginning on the fifth
E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7 F7
& b b c .. w w w w w ˙. œ w ˙ . bœ
5 5 9 5 9 5 9
bbb w w
F9 Fm7
& w w ˙ . b œ ..
w w w
5 9 7 (13) 5 5 9
This etude follows guide tone line no. 3. The first line begins with and leads up to a Bb guide tone, but
emphasizes the third in the second measure which clarifies the major chord quality. In several measures,
after sounding the guide tone fifth, the line will reach towards the third for harmonic clarity.


E bmaj7
b
b œ œ œ œ Œ ‰ œj œ œ œ # œ
Dø7 G7 9
& b b c .. Œ ‰ j œ œ œ œ œ œ œ œ œ n œ b ˙
œ
B bm7 E b7
bbb j ‰ œj b œ œ œ
Cm7 F7
& œ œ œ œ œ ‰ œ ˙ ‰ n œj
bœ œ œ œ nœ œ ˙ bœ nœ
A bm aj7 D b9 E bmaj7
& bbb ‰ œj œ n œ b œ œ ‰ œ . ‰ j ∑
œ œ œ œ œ œ œ œ ˙
B b7
bbb œ œ nœ œ œ Œ ‰ Jœ œ œ œ œ œ œ b ˙ .
F9 Fm7
& œ n œ œ Œ ..
œ œ œ nœ œ œ
GUIDE TONE LINE BEGINNING on the NINTH
As fifths resolve to ninths, ninths resolve to fifths. Guide tone line no. 4 begins on the ninth, and the
ninths resolve to fifths when the chords are separated by fifths. The very dissonant ninth (Eb) of the Dø7
chord could resolve to the fifth of G (Dn) or remain as the b13 (Eb) of the G7. The b13 can resolve down
to the fifth of G7. The fifth of G7 then becomes the ninth of the Cm7 and so on. The ambiguous and
colorful ninths and fifths may require the clarity of thirds and sevenths to be included in the line or in a
separate accompaniment. This guide tone line leads to the third for the Eb chord in m.11.
9.62 Guide Tone Line No. 4: Progression no. 13 with line beginning on the seventh
E bmaj7
b B bm7 E b7
b w w Dø7
w ˙ ˙
G7 9
w
Cm7
˙ b˙
F7
& b b c .. w ˙ b˙
9 9 13 5 9 13 9 13
b w
F9
w w
Fm7
˙ b˙
&b b w ˙ ˙ w w ..
9 13 5 3 9 9 13
This etude follows guide tone line no. 4. The melody line suggested a seventh to third resolution from
the Dø7 to the G7, as relief from the obscure harmonic information provided by the ninths and fifths.


E bmaj7
b
b b c .. Œ œ œ œ œ ˙ œ œ
‰ œJ œ œ œ œ œ œ ‰ J œ
Dø7 G7 9
& b œ nœ ˙
B bm 7 E b7
b
&b b œ œ œ œ œ œ ˙ ‰ œJ b œ n œ œ b œ œ œ œ œ b œ ˙ .
Cm7 F7
Œ
bœ
b
& b b ‰ œj œ œ œ œ œ œ œ n œ b œ œ œ œ # œ œ œ n œ œ œ œ œ ∑
B b7
3
b j
œ œ œ œ œ œ ‰ # œj œ œ b œ ˙
F9 Fm 7
& b b ‰ œj œ # œ œ œ œ œ œ . œ Ó ..
FIVE GUIDE TONE LINES at ONE TIME
If all four of the guide tone lines occur at once then five part harmony is the result. It is important, as an
improviser or composer of melodic lines, to learn to think of the harmony as a consequence of the
lines and not a separate unrelated vertical entity.
9.64
E bm aj7
b B bm7 E b7
b w ww Dø7
ww ˙˙ ˙
G7 9
ww
Cm7
˙˙ b b ˙˙
F7
& b b c .. ww w w ˙ ˙˙ w ˙ ˙
w
b ww
˙ b˙
b ˙˙ b ˙˙
w w w n ww bw n ww bw ww
? b c .. w w w w
bb w
A bm aj7 D b9 E bm aj7 B b7
b
F9
ww ww
Fm7
˙˙ b b ˙˙ .
& b b www ˙˙ ˙˙ w w ww nw bw ˙ ˙ .
b˙ ˙ ww ww nw
w w ww
? b w b ww w w w w w ..
bb w w
GUIDE TONE LINES with DECEPTIVE RESOLUTIONS
The first four guide tone lines should have been easy to hear. The resolutions that occurred were what
most would expect; there were no surprises. Since these lines and their voice leading are common and
anticipated by most listeners, it is important to learn what they are and how they work before trying to
do the unexpected. After mastering the expected, one has a better chance to understand and effectively

use the unexpected resolution. Here are a few possible guide tone lines which move against expectations.
Since most of the voice leading lines tend to fall (a seventh resolves down to a third; a ninth to a fifth; a
suspended fourth resolves down to the third) then it is not surprising that the unexpected lines move
upward. There is a great deal of tension created by the following ascending guide tone lines. The tension
that the ascending guide tone lines create can be an effective tool in constructing a dramatic improvisa-
tion or composition.
The line in ex. 9.65 begins on the fifth of Eb. Instead of the Bb resolving down to the fifth of Dø7 and
then becoming the ninth of G7 as it did in guide tone line no. 3 (9.60), the Bb moves up to the C, the
seventh of Dø7. The motion is still smooth, but contradictory to expectations. The C, as the seventh of
Dø7 points down the Bn, the third of G7. If it resolves up, the dissonance is compounded by the unex-
pected ascension and the resolution to the very dissonant #11 of the G7. The C# dissonance is appeased
somewhat by the resolution to the relatively less dissonant Dn, the ninth of Cm. The D moves up to the
Eb, a dissonant note to the Bbm7, but also the dominant of the new key of Ab. The Eb moves up to En, or
F b, the flat ninth of Eb, which begs to resolve back down to Eb, the fifth of the next chord, Ab. It defies
gravity again moving to the F over the Ab, a relatively calm dissonance. The G and Ab are comparatively
relaxed over the Db7 and seem to point up to the Bb. Instead, the unexpected An occurs before resolving
to the Bb. The Bb had previously at this point in the progression moved down to the An, but here moves
up to the Bn, the #11 of F7. The Bn moves up to the consonant fifth (Cn) of Fm7 and then to the #9 (C#) of
Bb. A guide tone line like this generates tension partly because of the unexpected resolutions. That most
step progressions and guide tone lines descend and the fact that this line ascends contributes to the
sense of mounting urgency.
9.65 Guide Tone Line No. 5: Progression no. 13 with ascending line
E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7 F7
& b b c .. w w w nw
w w w #w
A bm aj7 D b9 E bm aj7 B b7
bbb
F9 Fm7
& ˙ ˙ nw w nw nw w #w ..
w


E bmaj7
b
b
G7 9
j œ
Dø7
& b b c .. ˙ . œ #œ œ œ œ œ œ œ nœ œ œ . œ œ œ ‰ # œJ ˙ .
B bm7 E b7
b œ œ œ Ó œ œ
3
œ n œ œ œ bœ
&b b œ œ b œ œ
Cm7 F7
Ó œ œ œ n œ œ œ œ œ
E bmaj7
A bm aj7
b œ . nœ bœ œ Œ
D b9
œ œ n˙ œ œ nœ bœ ˙ œ œ nœ
&b b J Œ ‰ b œJ œ œ ‰ J
œ œœœœ œ 3 B b7
F9 3
b ‰ œ œ nœ œ œ Ó ‰ œJ œ œ œ œ œ œ b œ œ b œ b œ œ ..
Fm7
&b b œ
The guide tone line in ex. 9.67 begins on F, the ninth of Eb. It resolves down to the ninth of Dø7, but to a
En rather than an Eb. An Eb would be the expected pitch in this context where Dø7 is either the viiø7 of
Eb major or the iiø7 of C minor. The En brightens the typically dark half-diminished chord. The En could
easily resolve down to an Eb, the b13 of the G7 chord, but instead moves up to the F, the seventh. The F
could resolve as expected to the Eb, the third of Cm, but moves up to the very dissonant F#. The F# points
to and finally resolves as a leading tone to the G. The G moves smoothly up to the Ab, the seventh of
B bm7, but does not resolve down to the expected third of Eb, resolving up instead to the dissonant An.
The An points to the Bb and finally moves to it over the Abmaj7. The Cb over the Db7 points back down
to the Bb, but in keeping with this example, moves up to the relatively consonant Cn over the Eb chord.
The Dn, the thirteenth of F7, is approached from a chromatic passing tone, C#. The Dn moves up to the
seventh of Fm7, Eb. The unexpected resolutions continue as the Eb moves to En rather than the antici-
pated Dn. The dissonant En points up to the F and brings the progression back to its starting point.
9.67 Guide Tone Line No. 6: Progression no. 13 with ascending line
E bmaj7
b B bm7 E b7
b
Dø7 G7 9 Cm7 F7
& b b c .. w ˙ ˙ nw w #˙ ˙ w w nw
b ˙ . #œ w w w nw
F9 Fm7
&b b w bw w ..


E bmaj7
b
b
G7 9
& b b c .. Œ ‰ œj œ œ œ œ œ œ œ œ œ œ n œ œ œ œ n œ œ œ œ œ
Dø7
Ó
œ œ œ œ
B bm 7 E b7
bb ‰ j 3
Cm7 F7
& b #œ nœ œ œ œ œ œ œ nœ œ œ œ œ œ œ œ œ œ bœ œ œ œ œ n˙ œ œœ œ
b
& b b œ ‰ œj œ œ œ b œ œ œ b œ œ œ œ n œ œ œ œ œ œ ‰ œj # œ # œ # œ
œ
œ nœ œ
B b7
b œ œ Ó œ œ œ œ œ œ œ3 œ n œ . œ
3
& b b œ nœ œ œ œ œ œ œ œ œ
F9 Fm7
J Ó ..
œ
MULTIPLE GUIDE TONE LINES: COMPOUND MELODIES
Single lines may be created which suggest two or more individual lines. There are excellent examples
from all style periods, with some of the best known found in Bach’s compositions for solo cello and
solo violin. In order to distinguish two independent lines within a single line, the two lines should be
separated by an interval larger than a third. Any smaller interval between them and it will be difficult to
distinguish two independent lines.
The following examples are single line melodies which imply more than one independent melody line.
Often one of the implied lines will be more active and the other more passive. In this beautiful example,
Bach suggested two melodies separated by the interval of a sixth. The reduction of the two lines is shown
below. The line on the top is the more active; the one on the bottom more passive.
9.69 J. S. Bach: IV. Choral, Cantata No. 140, Wachet Auf, Ruft Uns Die Stimme (1731)
b
&b b c j œœœ œ œ œ œ œœœ œ œ Œ
œ œ œ œ œ
b
&b b c w œ œœ ˙
w œ ˙

Bach’s single line could have been easily adapted for two instruments as shown below.
9.70
b j
&b b c œ œ œ œ œ œ œ. œœœ œ œ œ Œ
œ ˙. œœ œ œœ œ
J
Here is a familiar line from Gershwin. The voice leading suggests the progression: IV - iv - I - V7/V - V7 -
I in the key of G. The bottom staff illustrates the two suggested step progression guide tone lines.
9.71
# cœ œ
& œ œ b œj œ œ œ œ
J bœ œ #œ bœ nœ œ w œ Œ Ó
# .
& c˙ œ œ ˙ bœ œ w œ Œ Ó
Œ ‰ Jœ b ˙ ˙ #œ nœ ( w œ)
Compound lines also have a home in folk music. The bottom staff in ex. 9.72 illustrates the two suggested
guide tone lines. The range between the two contrary step lines begins as sixth apart and moves to a uni-
son.
9.72 Home on the Range
# 6 j j
œ œ œ . œ œ œ œ œ œ. œ œ œ. œ œ œ. œ ‰
& 8œ œ œ œ œ
# Œ. Œ.
& 68 ‰ ˙.
œ. ˙.
œ. ˙
Œ. œ. œ œ ˙.
Keith Jarrett played this long passage that suggested two independent lines. The top line was the more
active, but both were relatively simple as this was the beginning of an improvisation. The simplicity of
the individual lines prevented the entire melodic line from being cluttered.

9.73
Bb
‰ b œj
Gm7 Cm7 F7
b j
& b c ˙ œ bœ ˙ œ œ œ . œ œ œ œ ‰ œj œ œ œ œ œ . œj œ œ œ
‰ J‰ J œ
B b/D Gm7 Cm7 F7 Bb
b œ œ œ œ œ œ
&b œ œ œ œ œ œ #œ œ nœ œ
Three lines may be suggested as shown in the following examples from Bach. The independent lines
cannot be too complicated or the clarity of the whole may be lost. The lines in the Menuet example are
separated by a sixth and a fifth which helps the listener discern the separate parts. The top line begin-
ning on Bb is the primary line, with the line beginning on D as a secondary line. The third line on the
bottom suggests the bass movement.
9.74 J. S. Bach: Suite No. 1 for Cello Solo, Menuet II
? b b 34 œ œ œ œ œ œ œ œ #œ œ œ œ # œJ
œ œ œ œ œ œ
œ
? b b 34 ˙˙ .. ˙˙ .. ˙
˙ #˙ .
˙. ˙. ˙ ˙˙ ..
Each entrance of the compound melody from this Bourrée is separated by a large interval to ease the
perception of the independent nature of the lines. Although played by the cello solo, the line could eas-
ily be orchestrated for three separate instruments grouped as shown.
9.75 J. S. Bach: Suite No. 3 for Cello Solo, Bourrée I
œ 3.
œ œ œ œ œ œ
3.
1. 1.
? 22 œ œ œ œ œ œ œ œ œ
2. 2.
USING LINEAR IMPLICATIONS of HARMONIC VOICE LEADING to CREATE

COMPOUND MELODIES
Review the basic voice leading principles: thirds resolve to sevenths, sevenths to thirds, fifths to ninths,
and ninths resolve to fifths. The ninths of dominant chords may be n9, b9 or #9, but they still resolve to
the fifths. The fifth of a dominant chord may be replaced by a n13, b13, #11 or b5. Any of these substitute
pitches behave as a fifth and resolve to the ninth of the subsequent chord. Two voices usually remain
stationary (3 & 5 become the 7 & 9 ) and two voices move down a step (9-5 and 7-3).

9.76 Pairs of voices alternating motion

Dm9 G9 Cmaj9
˙ 9 moves to 5
˙˙ 5 becomes 9
ww
& c ˙˙ ˙ w
? c ˙˙ ˙˙ w
7 moves to 3 3 becomes 9
w
A single melodic line can be a compound melody by following two distinct guide tone lines implied
from the harmony. Guide tone lines that follow voice leading may begin on four possible notes (apart
from the root played by the bass): the third, seventh, fifth, and ninth. Compound melodies can be cre-
ated by following two of these implicit lines in one single melodic line. Referring to the example above,
a voice pair may move parallel at the same time or in oblique motion where one voice is stationary and
the other moves. Two lines that move obliquely are easier to manipulate since they are active at oppo-
site times in the progression. There are six possible pairing combinations. The pair of guide tone lines
could begin on the:
• 3rd & 5th parallel motion

• 3rd & 7th oblique motion
• 3rd & 9th oblique motion
• 5th & 7th oblique motion
• 5th & 9th oblique motion
• 7th & 9th parallel motion
Melodic frameworks based on the guide tone pairs and short melodic examples are illustrated below us-
ing each of the six pairs over an excerpt from progression no. 25. The repetition of the ii7 - V7 - I pro-
gression down a whole step lends itself to the use of sequences as a developmental tool.
The most harmonically specific pair of lines follows the third and seventh, and this may be why it is the
most commonly used pair. The third is stable and provides the harmonic clarity of chord quality
(major or minor). The seventh is the primary note of dissonance which moves one chord to the next:
the seventh usually resolves down to the next third. The top line begins on the third and suggests the
voice leading 3 - 7 - 3, while the second line suggests 7 - 3 - 7. The voices do not move at the same time
but alternate. The Eb is the third of Cm7, is the most consonant note and does not need to change for
the F7. The Bb, the seventh of Cm7 is the dissonant note that must change in order to arrive at the F7.
The Bb - An is the first voice that moves the line to the next chord. The motion is then answered in the
primary voice resolving the dissonant (over the F7) Eb to the Dn. A note that may be consonant over
one chord becomes dissonant over the next, as the Eb changed its classification from the Cm7 to the F7.
The lines are sequenced in the final two measures.
9.77 Guide tone line suggesting two independent lines beginning on the 3rd & 7th
Cm7 F7 Bb B bm 7 E b7 Ab
b˙ bœ
3
Œ 7
œ
3 3
Œ 7 3
&c ˙ ww b˙ bœ ˙ œ ww
Œ Œ
7 3 7 7 3 7

9.78 Possible melodic line from guide tones

Cm7 F7 Bb B bm7 E b7 Ab
bœ bœ œ œ #œ œ œ bœ œ bœ œ bœ œ œ w
&c #œ œ œ ‰ Jœ œ #œ
The pair that follows the third and fifth is also harmonically clear because of the presence of the third.
These two pitches should be separated by the interval of a sixth and not a third if the line is to be per-
ceived as compound. If they are separated by only a third they will be too close to hear the separate
voice leading. This pair of voices wants to move at the same time. The Eb and the G are chord tones of
Cm7 and neither voice has to move anywhere for the F7, as G is the ninth of F7 and Eb is the 7th. Using
the Gb, the b9 of F7, suggests a chromatic line (G - Gb - F) and creates motion where there was none. The
lines are sequenced in the final two measures.
b˙
3
Œ œ
7 3 3
Œ 7 3
&c w b˙ œ w
œ b˙ w œ b˙ bw
Œ Œ
5 b9 5 5 b9 5

bœ ‰ j œ ‰ œ œ . j bœ œ œ œ w
&c œ bœ J œ ˙ œ bœ bœ
The fifth of a chord by itself can be ambiguous. It does not reveal the chord quality. It can lead to a col-
orful line as it resolves to the ninth of the next chord. The voice pair in ex. 9.81 uses the ambiguous and
colorful line beginning on the fifth and the harmonically clear line that begins on the seventh. A good
compound line can be created using this pair of voices as they resolve at different rhythmic points in
the progression. The G as the fifth of Cm becomes the ninth of F7. As above, a Gb can be used to create
the chromatic line G - Gb - F. The independent lines are easier to hear when separated by the interval of
a sixth rather than separated by a third. The lines are sequenced in the final two measures.
9.81 Guide tone line suggesting two independent lines beginning on the 5th & 7th
b9
˙
5
Œ bœ 5
w ˙
5
Œ bœ b9
bw
5
& c bœ ˙ w bœ ˙ w
Œ Œ
7 3 7 7 3 7


Bb B bm7 E b7 Ab
œ œ œ bœ œ œ . œ
‰ b œJ œ œ œ œ œbœ w
Cm7 F7
&c bœ œ œ J Œ ‰ J b œ #œ œ
The voice pair that follows the third and the ninth must be separated by the interval of a seventh. No
sense of independence would be perceived if they were separated by only a step. These two voices alter-
nate their motion. The line beginning on the third provides the stability and the line from the ninth
provides color. Instead of the fifth over the dominant chords, a b13th was used. Using the b13th creates
the chromatic line: D - Db - C over the Cm7 - F7 - Bb. The b13 of F7, Db, is often erroneously labeled a #5.
In this case it must be a b13 following the rule that an altered note wants to continue in the direction in
which it has been altered. If it was a #5, a C#, it would suggest the chromatic line C - C#, - D, which it does
not. To soften the harshness of the interval between the third and ninth, it may be filled in by an arpeg-
gio, although the starkness of the large interval can be appealing.
b13( #5)
Œ 9 9
Œ 9 b13( #5) 9
c
& b˙ œ b˙ w œ b˙ bw
Œ œ w b˙ Œ œ w
3 7 3 3 7 3

Cm7 F7 Bb B bm7 3 E b7 Ab
& c bœ œbœ œ bœ œ œ œ œ œ œ œ œ œ Œ ‰ j œbœ œbœ œ

bœ bœ œ œ bœ œ bœ ˙
The pair of lines following the ninth and fifth assumes the fundamental chord tones, the thirds and sev-
enths, will be supplied elsewhere in the accompaniment or inferred by the listener. These two voices al-
ternate their motion. Both levels of the compound line will be colorful especially when using the possi-
ble alterations over the dominant chords. A b13 and a b9 are used over the dominant chords below, cre-
ating two chromatic lines: D - Db - C and G - Gb - F. The Gb (b9) and Db (b13) notes over the F7 chord are
obviously borrowed from the parallel key of Bb minor. There are several familiar jazz standards which
use this pairing in developing the melody.
b13( #5) b13( #5)
9
Œ bœ 9 9
Œ 9
& c Œ˙ œ b˙ ww ˙ œ b˙ bœ b b ww
Œ
5 b9 5 5 b9 5

Cm7 F7 Bb B bm 7 3 E b7 Ab
& c œ œ œ b œ b œ ‰ œj œ . œ
J Ó ‰ œJ œ b œ œ n œ n œ œ b œ œ œ b œ ˙
This pairing is rarely if ever used with much success, but is possible. The lines must be separated by a
sixth and not a third to maintain their independence. This separation is part of why the pairing is weak,
as it puts the colorful ninth below the fundamental seventh. The line may sound like it is in the wrong
key. These pitches, rather than suggesting Cm7 - F7 - Bb, seem to suggest a compound line using the third
and seventh of Gm7 - C7 - F.
7
Œ 3 7 7
Œ 3 7
& c b˙ œ b˙ œ w b˙ œ w
Œ w Œ œ b˙ bw
9 b13( #5) 9 9 b13( #5) 9

& c bœ œ œ bœ œ œ œ ˙ . Œ bœ Œ
œ bœ bœ œ œ œ ˙ .
GUIDE TONES in ARRANGING and COUNTERPOINT
Guide tone lines are helpful to arrangers and to musicians on the job who are “faking” arrangements.
The melodies to many popular jazz standards follow the harmonic guide lines previously discussed. The
arranger must determine which line the primary melody follows and then determine the best path for
the secondary line. If the primary line begins on the third, then the improvised or arranged secondary
line could begin on the seventh. To prevent the secondary melody line from being active at the same
time as the primary line choose a secondary guide line that is stationary when the primary line moves
and moves when the primary line is stationary.
The root cycle of progression no. 1 make it an excellent vehicle for this demonstration. Three guide
tones lines are shown below. Without rhythmic context or melodic movement this example has no sug-
gested style. By adding idiomatic melodic and rhythmic figures to the lines they can be transformed
into any style setting: Baroque, classical, swing, or Latin. The guide tone lines establish the harmony;
there is no pressing need for guitar or piano to play chords in order for the listener to discern the har-
monic progression. Any three instruments could play the parts. The top and middle voice move in al-
ternate measures. The top part moves C to Bb while the second voice remains on F in the first two mea-
sures. The second voice move F to E while the top voice remains on Bb in the second two measures. This
alternation continues to the end of the phrase. The alternate motion will help keep the parts rhythmi-
cally independent.

9.89 Three-part guide tone framework without “style”

Dm7 Gm7 C7 Fmaj7 B bmaj7 Eø7 A7 Dm
&b w w w w w w w w
7 3 7 3 7 3 7 3
&b w w w w w w w
#w
3 7 3 7 3 7 3 7
?b c w w w w
w w w w
Adding characteristic stylistic elements can make this framework swing. The bass line walks quarter notes
making sure each new root is approached stepwise. The melodic rhythms anticipate downbeats, putting
the guide tone notes on the upbeats. Only diatonic scale notes are used for elaboration. The lines are
rhythmically independent: when one moves the other is stationary creating dialog between the upper
voices. The two lines take turns moving the music forward.
9.90 Three-part guide tone framework in light swing jazz style.

includes rhythmic anticipation & diatonic embellishments
j ‰ œj œ œ œ œ œ œ Ó
Dm7 Gm7 C7 Fm aj7
&b Ó ‰ œ œ œ œ œ œ œ œ Œ Ó
7 3 7 3
&b œ œ œ œ ˙ ˙ ‰ œj ‰ œj œ œ œ œ ˙ ˙ ‰ œj
œ œ
3 3 7 3 3 7 3
?b œ œ œ œ œ œ œ
œ
B bmaj7
œ œ œ œ œ œ œ œ œj œ .
Eø7 A7 Dm
&b Ó ˙ œ œ œ œ w
7 3 7 3
&b œ œ œ œ ˙ ‰ j
˙ œ œ #œ œ œ œ œ œ #œ œ œ w
œ œ
3 7 3
?b œ œ œ œ œ œ œ w
œ œ œ

AVOID NOTES?
The guide tones have all been shown with whole and half notes as if they must occur on a downbeat.
This was just for illustration. The musical examples have shown that there is much flexibility about where
the guide tones occur in actual melodic settings. The guide tones are often anticipated in a jazz swing
style, as illustrated in ex. 9.90, and they may also be delayed. When they are delayed, the pitches that
may occur on downbeats are often what some jazz educators have called “avoid” notes. Are there notes
to avoid? This list of “avoid” notes usually includes the fourth degree over a major chord. A book could
be filled with common examples of improvisations and compositions that prove this wrong. It would be
better and more accurate with actual performance practice to explain that all twelve pitches work at any
time, but not equally. Because of the pitch hierarchy, some are consonant (chord tones), some disso-
nant (related diatonic pitches) and others even more dissonant (the remaining chromatic pitches). It
would not be desirable to leave arbitrary dissonances scattered around like dirty laundry on a dorm
room floor. But the use of these dissonance, these “avoid” notes actually propel the music forward. The
tensions they create are like the tension of a bow that propels the arrow, or how the gravitational force
of a planet can be used to help catapult a spacecraft like a slingshot.
So rather than “avoid” notes that are dissonant, think of them as paths pointing towards the consonant
notes. This does not excuse the improviser or composer from any responsibility, rather it insists they
must be able to identify consonant and dissonant notes, and realize that as the harmony progresses, the
classification of a note may change. The third of a major chord must be recognized as the consonant
goal note for harmonic clarity and that chromatic pitches a half step above (the “avoid” note fourth)
and the chromatic note below (the leading tone) are dissonances that can be used as pointers.
Visit a beginning improvisation class and you will hear many lines that stop on these “avoid” notes. The
students know the notes are dissonant, they can hear the harmonic conflict, they are just too inexperi-
enced to know which way to go to resolve them and so they stop. Given the opportunity, they usually can
sing or play the correct resolution, but are not yet adept at finding the note in real time. Panic usually
wins and the “wrong” note is left hanging in the air. This scenario was probably what led many educa-
tors to the term “avoid” notes.
The dissonant tones are pointers that propel the music forward to the consonant tones. So rather than
avoid those notes, they may be just the ones to aim for in order to achieve forward linear motion. First
learn the tones that clarify the harmonic setting and then learn the notes which create tension and mo-
tion that point back to those consonant tones.
Avoid notes are taken to the limit in this next setting based on the framework illustrated in ex. 9.89. The
resolution to each guide tone note is delayed because the upper neighbor tones to the guide tones occur
on the downbeat. This creates the ancient device known as a suspension. There is a 4-3 suspension in ev-
ery measure. When the seventh of one chord is held into the next measure it becomes the dissonant
fourth, the “avoid” note that pulls to the harmonically clear third. The dissonance on each downbeat
propels the music forward. The bass pattern helps create a Bossa style. The rhythmic activity moves
from one voice to the next and only in the last two measures are they active at the same time.

9.91 Three-part guide tone framework in bossa style.

includes rhythmic delays creating 4-3 suspensions
Dm7 Gm7 C7 Fmaj7
&b ∑ Ó ‰ j œ œ œ. œ ˙ ˙ ‰ jœ œ œ œ œ œ ˙
3
œ J œ
(7) (4) 3 3 (7) (4) 3
& b Ó ‰ œj œ œ œ . œj ˙ ˙ ‰ jœ œ œ œ œ œ
œ ˙ ˙ ‰ jœ œ
œ
j j
(4) 3 (7) (4) 3 (7)
?b ∑ œ. œ œ œ
J œ . œJ œ œ œ . œ œ œ œ. œ œ œ
B bm aj7 Eø7 A7 Dm
&b ˙ ‰ jœ œ œ œ œ œ ˙ œ œ œ œ œ œ. j
œ œ œ ˙
œ œ
3 (7) (4) 3 (7) (4) 3
&b œ œœœ˙ ‰ œj j
˙ œ œ œ. #œ ˙ œ œ œ ˙
j j
(4) 3 (7) (4) 3
?b . j
œ œ œ œ œ. œ œ œ œ. œ œ œ œ. œ ˙
J
Guide tone lines can be found when the chords move in ways other than cycles of fifths. This progres-
sion includes several types of root motion and chord inversions. The top line follows the bass line at
the interval of a third. The Dn over the Bb establishes the major triad. The logical resolution of the D is
to the Cn because of the smooth stepwise motion. The third of the F would not be a good choice in the
second measure: it would necessitate a leap from the D, and it would be redundant to double the bass
note. The step motion continues the for the entire top guide tone line. The middle voice can be de-
duced by finding what notes remain after the top and bottom lines have been determined. A Bb triad
includes the notes Bb - D - F. Since Bb is in the bass and D is in the top voice, F is the logical choice to
begin the middle voice. The middle voice does not need to move between the first and second and
third and fourth measures. The middle voice does finally arrive at the same pitch as the bass line at the
conclusion of the phrase. Singing the second line illustrates why it must end the way it does as the Bn
points up to the C.
9.92 Three-part guide tone framework without “style”

Bb E bmaj7
bb
F/A Gm7 Dm/F G7 Cm
w w w w
& w w w w
b
&b w w w w w nw w w
? b c w w w w w ˙ ˙ w w
b

The framework in ex. 9.92 can be brought to life by adding musical stylistic elements as shown below.
The bass line suggests a light two-beat swing that develops into a four beat swing. The guide tones are
rhythmically anticipated as one would expect in a jazz style. The F is approached with its upper neigh-
bor tone. The D is surrounded by its diatonic upper neighbor tone and chromatic lower neighbor tone.
The rhythmic activity of the two lines alternate. The G7, as V7/ii, requires the Ab from the key signature
of C minor and the leading tone Bn. Both of these important identifying pitches occur in the melodic
material. The last two resolutions are delayed until the final measure. The F is held from the G7 measure
in the top voice creating a 4-3 suspension. The Bn is held over in the middle voice delaying its resolu-
tion to C. These lines will be musically effective with any combination of instruments.
9.93 Three-part guide tone framework in light swing jazz style.

Bb
bb
F/A Gm7 Dm/F
& Œ œ œ œœ w Œ œœœœœœ w
#œ œ
b ‰ œj œ
&b œœ w ˙ œ w
‰ j œ
œ œ œ œœ
? b c œ. œ œ œ œ. œ œ œ œ. œ œ œ. œ œ œ
b J J J œ J
E bm aj7
b j
G7 Cm
&b Œ ‰ œ œ œ œ œ œ œ bœ œ œ œ œ ˙ œ œ œ œ w
b
&b ‰ j
˙. œ œ nw nœ œ œ œ nœ œ w
? b œ œ œ œ œ œ œ œ
b œ œ œ œ w
When writing out a guide tone lines the most basic line may be the best. Strive for step progression and
harmonic clarity. Save the complicated ideas for the development of the guide tone lines. Defining the
consonant notes will also help determine the dissonant notes.
• Write out, sing and play guide tone lines over standard progressions like those in
chapter 7.
• Write out, sing and play guide tone lines over new tunes as part of practice.
• Use the guide tone lines as vehicle for improvisation over selected progressions.
• Using the guide tone lines write out elaborated versions over selected progressions.

224 Chapter 10 Common Melodic Outlines
X. COMMON MELODIC OUTLINES

LINEAR HARMONY
Harmony is often explained as a vertical entity. Chords are spelled up from the bass or voiced down
from the soprano. While it is valuable to understand chords in this way, we experience music as it hap-
pens over time as a linear phenomenon. Melodic lines can address the voice leading principles and
(vertical) harmony will be experienced as a result of linear melodic motion. When melodic lines ad-
dress the important chord tones (the tones that identify the chord qualities) and then move towards
dissonant tones (the tones that move one chord to the next like sevenths and ninths) the result is linear
harmony.
In one of my first teaching experiences with an improvisation class, I asked students to bring in short
jazz transcription examples. As a class, we would extract basic principles of music from the examples.
Sometimes several students would bring in almost identical lines from musicians playing different in-
struments from different time style periods. After a very short time, all of the examples seem to fit into
three categories or shapes based on the same three basic skeletal frameworks. All of them followed the
principles of linear harmony: consonant notes (usually thirds) in rhythmically significant places leading
to dissonances (sevenths) which resolved to consonant notes again, usually over the measure line.
These three simple melodic frameworks that occur so often deserve their own section in this book. I call
these skeletal frameworks outlines. Outlines are harmonically specific lines which connect chords
through guide tones. The structural simplicity of the outlines allows the improviser/composer much
room for developing them in their own personal way.
Thousands of musical lines based on the same basic outlines can each sound completely unique be-
cause different types of musical devices can be used in their development. This is comparable to dis-
covering that thousands of doors and windows are rectangular, but can be finished, trimmed and deco-
rated in many styles from simple to ornate. Musicians can stamp the outlines with their unique personal-
ity. Many sentences share the same structure and parts of speech, and yet can express many diverse
ideas. Hundreds of musical examples can have the same basic outlines and still retain their individual
musical identity. The outlines are also part of the collective musical vocabulary that carries a sociologi-
cal identification: being conversant with the outlines helps identify one as knowing the language.
Examples of outlines can be found in any musical style period that uses traditional harmonic progres-
sions. Outlines are plentiful in the be-bop jazz vocabulary. There are entire solos by Clifford Brown
based on nothing but outline no. 1. Knowing the outlines should not in any way stifle creativity. On the
contrary, knowing them should inspire creativity. The outlines are a given over any harmonic progres-
sion. They are the linear equivalent of knowing the chords to a piece. Knowing them gives a sense of
harmonic direction to improvised or composed melodies. The outlines are obviously not the only valu-
able material available as building blocks for constructing musical lines. They are excellent tools for
teaching beginning improvisers for several reasons:

Chapter 10 Common Melodic Outlines 225
• students learn melodic patterns, not just scales and arpeggios

• students learn the connections between the chords
• students move away from thinking root to root approaches to harmony
• students hear the harmony by isolating the tones that clearly define the chords and the
tones that clearly define the motion from one chord to the next
• students learn to think about where the lines are going rather than just where their lines are.
Thinking about each individual chord and scale leads to the opposite: thinking about where
they are and not where they are going.
• gives students another vehicle to learn their instruments. Practicing scales and arpeggios is
absolutely necessary for students to learn their instruments. Outlines enhance the learning
process by adding the dimension of melodic direction
• students can learn and apply all types of devices for melodic invention and embellishment
using the outlines as a point of departure. This includes rhythmic displacement, adding
notes, neighbor tones, passing tones, arpeggiated tones, octave displacement, chromatic ap-
proaches, sequencing, augmentation, diminution, fragmentation and other musical devel-
opmental techniques.
This cartoon may help to visualize the concept of outlines. If the entrance and exit to the park represent
the single guide tones, the large dotted-line (grandmother’s path) represents the basic unembellished
outline that connects them, and Billy’s dotted line represents the improvised embellished jazz line that
does not want to miss out on any of the best things. Billy’s line and his grandmother’s line intersect and
the entrance and exit to the park and may intersect at places within the park. We can imagine as their
walk continues, that there will be times that Billy reaches a rendezvous point ahead of his grandmother
and at other times may be late and have to run to catch up. It is not hard to translate these scenarios
into musical terms.
(used by permission)
This section will explain outlines, their construction, offer examples from many artists and style periods,
and suggest ways to incorporate them into ear-training, composing and improvising. For those who want
more on the subject, there are hundreds of examples, explanations and exercises in my book on out-
lines, Connecting Chords With Linear Harmony, and hundreds of exercises and applications in my
book, Comprehensive Technique for Jazz Musicians.

CONSTRUCTING the THREE BASIC OUTLINES
Outline no. 1 begins on the third of a chord and moves down the scale to the seventh. The seventh, a
dissonant tone, resolves to the third of the next chord. Outline no. 1 can be sequenced through a pro-
gression where chord roots continue to move down in fifths. Outline no. 1 is shown below connecting
the ii7 to the V7 chord in C major and the iiø7 to the V7 chord in C minor.
Outline no. 2 begins with the 1-3-5 arpeggio, consonant notes, and then adds the dissonant seventh. The
seventh resolves as expected to the third of the chord that follows. Because the seventh resolves to the
next third, outline no. 2 is often followed by outline no. 1 which begins on the third. Outline no. 2 is
shown below connecting the ii7 to the V7 chord in C major and the iiø7 to the V7 chord in C minor.
Outline no. 3 begins with the descending arpeggio 5-3-1, consonant notes, and then adds the dissonant
seventh. The seventh resolves as expected to the third of the chord that follows. Because the seventh re-
solves to the next third, outline no. 3 is also often followed by outline no. 1 which begins on the third, or
by a 3-5-7-9 arpeggio. Outline no. 3 is shown below connecting the ii7 to the V7 chord in C major and
the iiø7 to the V7 chord in C minor.
OUTLINES OVER ii7 - V7 in MAJOR
Outline no. 1 Outline no. 2 Outline no. 3
œ œ
Dm7
œ
G7
œ ˙
Dm7
œ ˙
G7 Dm7 G7
&c Ó
œ œ œ
Ó œ œ œ Ó
œ ˙
OUTLINES OVER iiø7 - V7 in MINOR
b œ
Dø7
œ
G7
œ œ n˙
Dø7
œ n˙
G7 Dø7 G7
&b b c Ó
œ œ œ Ó œ œ œ Ó
œ n˙
Outlines may occur over any chords whose root movement follows the cycle of fifths.
OUTLINES OVER V - I

G7 C G7
œ œ ˙
C G7
œ œ œ
C
&c œ œ œ œ ˙ Ó œ œ Ó œ ˙ Ó

OUTLINES OVER I - IV
œ œ œ
Cmaj7 Fmaj7 Cmaj7 Fmaj7 Cmaj7 Fmaj7
œ œ œ œ ˙
&c Ó
œ œ œ ˙ Ó œ ˙ Ó
œ
OUTLINES OVER IV - viiø7 (IV - iiø7/vi)
Fmaj7 Bø7 Fmaj7 Bø7 Fm aj7 Bø7

œ ˙
œ œ œ
&c œ œ œ œ ˙ Ó Ó œ œ œ Ó
œ ˙
OUTLINES OVER iii7 - vi7
Em7 Am7 Em 7 Am 7 Em 7 Am 7
œ ˙
&c œ œ œ œ ˙ Ó œ œ œ Ó œ œ œ
œ ˙
Ó
OUTLINES OVER vi7 - ii7 or i - iv7
œ ˙
Am 7 Dm7 Am 7 Dm7 Am7 Dm7
œ œ œ œ
&c œ œ œ œ ˙ Ó œ œ Ó œ ˙ Ó
Outlines work when connecting diatonic chords with secondary dominants.
OUTLINES OVER iii7 - V7/ii
Do not confuse this Em7 - A7 (iii7 - V7/ii) in C major with the ii7 - V7 in D major! They may look the
same, but will create completely different expectations. With Em7 as a iii7 chord in C major, Fn would be
the expected passing tone between G and E. In D major, an F# would be expected. Not all minor seventh
chords are ii7 chords even if followed by a dominant.
Em7 A7 Em 7 A7 Em 7 A7
œ #˙
& c œ œ œ œ #˙ Ó
œ œ œ Ó œ œ œ
œ #˙
Ó

The root progression from IV to the V7/iii is down a diminished fifth but still follows the cycle of fifths.
OUTLINES OVER IV - V7/iii
Fmaj7 B7 Fmaj7 B7 Fm aj7 B7

œ #˙
œ œ œ
& c œ œ œ œ #˙ Ó Ó œ œ œ Ó
œ #˙
OUTLINES OVER vi7 - V7/V
œ œ #˙
Am 7 D7 Am 7 D7 Am7 D7
œ œ
& c œ œ œ œ #˙ Ó œ œ Ó œ œ #˙ Ó
Will the outlines work if the chords do not follow the cycle of fifths? Often they work if a chord is imag-
ined that would make the progression follow the cycle of fifths. F to G, a IV - V progression does not fol-
low the cycle of fifths progression. Imagining a Dm7 (ii7) instead of the F (IV) allows the insertion of the
outlines. Dm7 and F are clearly related and this substitution will sound good.
OUTLINES OVER IV - V

F G7 F G7 F G7
(Dm7) (Dm7) (Dm7)
&c œ œ œ œ Ó œ œ ˙ Ó œ œ œ Ó
œ œ œ ˙
˙
When the progression moves down in thirds, the same principles can apply: imagine a chord that
changes the root progression to descending fifths. C to Am7 could be Em7 to Am7 and then the out-
lines are easy to apply. Em7 is not that different than C major, in fact the notes of Em7 are the 3-5-7-9 of
the C major seventh chord.
OUTLINES OVER I - vi

Cmaj7 Am7 Cmaj7 Am 7 Cmaj7 Am 7
œ ˙
(Em7) (Em7) (Em7)
&c œ œ œ œ ˙ Ó œ œ œ
Ó œ œ œ
œ ˙
Ó
Imagine the Am7 as a Cmaj7 to change the root progression to downward fifths and then apply the out-
lines. The notes of a Cmaj7 chord are the 3-5-7-9 notes of Am.

OUTLINES OVER vi - IV or i - VI

Am 7 Fm aj7 Am7 Fmaj7 Am7 Fmaj7
œ œ œ œ
&c œ œ œ ˙
(Cmaj7) (Cmaj7) (Cmaj7)
Ó œ œ ˙ Ó œ ˙ Ó
œ œ
Alterations of chords including chains of secondary dominant chords do not change the principles of
outlines construction. Make sure that all necessary accidentals are addressed in the basic structure and
in any embellishment of the outline.
OUTLINES OVER V7/V - V7
D7 G7 D7 G7 D7 G7
& c #œ œ œ œ Ó œ œ ˙ Ó œ #œ œ Ó
œ # œ œ ˙
˙
OUTLINE EXAMPLES
Here are several examples of outlines extracted from the improvisations of great jazz musicians. The ex-
cerpts begin with simple and move to more complex examples. The following examples are models for
linear melodic development techniques. There are hundreds of other outline examples shown in the
book, Connecting Chords With Linear Harmony, including pages of exercises and applications. There is
also a chapter devoted to outlines in the book, Comprehensive Technique for Jazz Musicians, with more
exercises and applications.
EXAMPLES of OUTLINE NO. 1
Outline no. 1 begins on the third of a chord and moves down the scale to the seventh. The
seventh, a dissonant tone, resolves to the third of the next chord.
SIMPLE SETTINGS
Tom Harrell used outline no. 1 to connect the ii7 to the V7 and the V7 to the I chord in the following
example. The third of the Gm7 chord is chromatically approached from above through the chromatic
passing tone Bn. The half note harmonic rhythm leaves little time to embellish the bare outline by
adding notes, but it remains a useful vehicle for connecting the chords.
10.1 Simple outline no. 1 over ii7 - V7 - I in F major.
œ nœ bœ œ œ œ œ
Gm7 C7 F
œ œ œ œ
&b c
The same simple outline is used in ex. 10.2, but this one from Charlie Parker, is in the parallel key of F
minor. The notes necessary for establishing the key are all present: Ab and Db from the key signature,
and the leading tone, En.

10.2 Simple outline no. 1 over iiø7 - V7 - i in F minor.
b œ b œ œ œ C7œ
Gø7 Fm
j
& c b œ œ b œ b œ
The same simple outline occurred in this improvisation by Jeff Andrews. The progression is iiø7/ii -
V7/ii - ii7 in the key of F major. The Eb and F# are necessary in order to modulate to the key of G minor.
Andrews anticipated the Aø7 and suggested a 3-5-7-9 arpeggio over the Gm7.
10.3 Simple outline no. 1 over iiø7/ii - V7/ii - ii7 in the key of F major.
Aø7 D7 Gm7
&b c ‰ œJ ‰ œ œ œ # œ b œ
J œ œ œ œ œ œ œ
Since the harmonic rhythm is whole notes in ex. 10.4, Errol Garner had more time to embellish the bare
outline. The line is embellished with diatonic notes that lead to the Eb and back down the to F#. The two
notes necessary for modulation, Eb and F#, were not hidden, but occurred at the top and bottom of the
line. After resolving the seventh of D7 to the third of Gm7 (C to Bb), Garner played a 3-5-7-9 arpeggio.
10.4 Diatonic scales embellish outline no. 1 over iiø7/ii - V7/ii - ii7 in the key of F major.
œ œJ
Aø7 D7 Gm7
b c œ œ œ b œ œ œ œ œ œ ‰ œ œ œ
& œ œ œ #œ J œ
There was a sequence of outline no. 1 in ex. 10.5 from a tune named for four “brothers” of the tenor sax.
Outline no. 1 connected the Dm7 to the G7 and is followed by a 3-5-7-9 arpeggio. Outline no. 1 con-
nected the Em7 to the A7 and to the Dm7. There was a delayed resolution to the Dm caused by the ad-
dition of the arpeggiated En. The Em7 is NOT the ii7 or the iiø7 of D minor or D major: it is the iii7 of C
major and called for the Fn. The C# and Bb are necessary in order to tonicize the key of D minor, and
they signaled the modulation at the secondary dominant A7, the V7 of ii.
10.5 Sequence of outline no. 1 over ii7 - V7 - iii7 - V7/ii - ii

Dm7 G7 Em7 A7 Dm7
& c œ œ œ œ œ œ œ œ œ œ œ #œ bœ œ œ œ œ Œ Ó
œ
Diatonic scale notes were used to embellish this outline no. 1 example from Harold Land. After con-
necting to the G7 chord, Land arpeggiated 3-5-7-b9, borrowing the b9 from the parallel key of C minor.
The lowered note, Ab, propelled the line downward. The F# is not the major seventh over a G7, but a
leading tone that points back to the G before finally descending to the third of C major through the Fn.
Outline no. 1 connected G7 to C. The bare descending outline (B - Ab - G - F - E) was embellished by the
inverted 3-5-7-9 arpeggio and the chromatic leading tone.

10.6 Embellished outline no. 1 over ii7 - V7 - I in the key of C major.
œ œ œ œ œ œ œ œ G7
Dm7
j
C
&c œ œ bœ ‰ #œ œ nœ œ œ œ
œ
The Bb, the third of Gø7, was surrounded by its upper and lower neighbor tones in ex. 10.7 from Kenny
Dorham. After sounding the Bb, the Ab is octave displaced to a higher register using scale tones. The Bb
over the C7 usually would resolve to the third of F major or F minor. In this instance, Dorham chose to
resolve to the Cb, the important identifying pitch of a Fø7.
10.7 Outline no. 1 with octave displacement over iiø7/iii - V7/iii - iiø7/ii
b
Gø7
œ œ œ n œ
C7 Fø7
œ nœ œ œ œ œ bœ
& b bbb c œ nœ œ œ œ J
OUTLINE NO. 1 over EXTENDED HARMONIC PROGRESSIONS
The harmonic rhythm changed from half notes to whole notes and Clifford Brown used outline no. 1
throughout the phrase in ex. 10.8. Over the half note harmonic rhythm, Brown used a turn to suggest an
upper neighbor tone. The G# and Fn over the E7 are the necessary tones that tonicize the ii7 chord Am.
The C was octave displaced and Brown surrounded the A (bracket) with its upper and lower neighbor
tones (B and G#) before connecting to the third of D7. Brown leapt away from the F# and suggested a 3-
5-7-9 inverted arpeggio over the D7 before continuing down the scale to the Bn. The Eb and Fn are bor-
rowed tones from the parallel key of G minor and are the b9 and #9 of the D7. The line resolved to the
consonant third of G.
10.8 Outline no. 1 with different harmonic rhythms

T
T T
Bm7 E7 Am7 D7 G
#
3
& c œ œ œ œ #œ nœ œ œ œ œ œ œ #œ œ œ nœ œ œ œ bœ nœ œ œ œ j ‰ Œ Ó
œ œ
This progression begins with the root moving down a third (Fmaj7 - D7). If an Am7 is imagined over the
F, then it is easy to apply outline no. 1. Mike Stern played a very simple outline down to the third of D7.
He leapt away from the F# and arpeggiated the D7 chord with the seventh resolving to the third of Gm7.
The outline from Gm7 to C7 to F is more elaborate. The Bb was surrounded by its upper and lower
neighbor tones (a.) before moving down the scale. The F# over the C7 interrupted the downward motion.
The F# and A are the upper and lower neighbor tones to the following G (b.). The outline continued un-
interrupted down to the third of C7 (resolution delayed by the neighbor tone figures) and finally down
to the third of F.

10.9 Outline no. 1 over turnaround progression I - V7/ii - ii7 - V7 - I

Fmaj7 D7 Gm7 C7 Fm aj7
&b c ˙ ˙ œ œ œ #œ œ œ œ œ œ œ œ œ œ œ #œ œ œ nœ œ œ
(Am7)
a. œœ œ
b.
Red Garland used the simple step progression of outline no. 1 for the following extended progression.
None of the chords below are diatonic to the home key of F major. The Aø7 and D7 pointed to the key
of ii, G minor, but resolved instead to G7, the V7/V. Garland addressed all of necessary accidentals sug-
gested by the secondary chords. The F# and Eb pointed to G minor. The Bn created the G7 that pointed
to the key of V, C major. The D7 and the G7 have delayed resolutions. Garland played the upper and
lower neighbor tone where the F# was expected resolving to the D7 chord on beat two. The Bn arrives on
beat three having been encircled from above and approached chromatically from below. The chro-
matic tones should be labeled using linear, and not by vertical analysis. The chromatic tones will not be
heard as chord tones but as chromatic passing tones between diatonic pitches. The C# over the D7 will
not sound like a major seventh; it sounds like the chromatic passing tone pointing up to the D. The A#
over the G7 will not be mistaken for a Bb, the minor third; it sounds like a leading tone to the major
third Bn.
10.10 Outline no. 1 over iiø7/ii - V7/ii - V7/V progression

Aø7
œ œ œ œ bœ œ œ #œ
D7 G7
&b c Œ œ bœ œ #œ œ nœ œ #œ nœ
Clifford Brown used outline no. 1 to connect all the chords in the following progression. The Cm7 is not
a ii7 chord, but a iii7 chord in Ab major, with the Db as evidence. The Bn is the leading tone to C. Brown
played an inverted 3-5-7-9 arpeggio over the F7 both times. The rhythmic activity over the first F7 is
eighth notes. The second time Brown used eighth note triplets over the F7 in order to add the extra
neighbor tone embellishments. To cover more ground in the same amount of time requires more
speed, and to play more notes in the same space requires moving faster with smaller rhythmic subdivi-
sions. The An and Gb that create the F7b 9 chord are the necessary tones for modulating from the key of
Ab to the key of Bb minor. Brown used octave displacement over the Bbm7 and the Eb7, leaping from the
third of the chord to the ninth. The octave displacement leap usually occurs from a strong beat to a
weak beat and rarely over a measure line.
10.11 Outline no. 1. with leading tones, inverted 3-5-7-9 arpeggio, octave displacement.
Cm7 F7 B bm7
b œ œ
& b b b 34 Ó œ n œ œ œ n œj b œ œ n œ œœœ
3
œ b œ œ œ œ œ
œ œ
E b7 Ab B bm7 3
3 3 3
œ bœ œ œ
3 F7 3
bb j
&b b œ Œ Œ œ œ œ nœ œ bœ œ nœ œ
nœ
œ nœ œ œ œ œ ˙
Outlines can be found in jazz improvisations used by traditional and modern musicians, but they were
also used by some of the greatest improvisers and composers in history. Bach used outline no. 1 to
modulate to all the closely related keys in Invention No. 11. Below, Bach used outline no. 1 in this pas-

sage over an extended diatonic progression. The F# signals the change from Bb major to G minor. The
progression suggests Cm7 - F7 - Bb - Eb - Aø7 - D7 - Gm = ii7 - V7 - I - IV - iiø7/vi - V7/vi - vi or ii7/bIII -
V7/bIII - I/bIII - VI - iiø7 - V7 - i.
10.12 J. S. Bach: English Suite No. III, Prelude
b œœœœ œ œ œœ œ œ œ œ œ œœ œœ j
& b 38 œJ ‰ œ‰ œ œ‰ Jœœ œœJ J ‰ ‰ ‰ œJ œJ
œ œœ œ œ œ œ œ # œ œœ œœ œœ
J ‰ ‰ ‰ œJ œJ J
œœœœœœ œœœœœ œœœœœœ œ œœœœ
œ
œ œ œ œ #œ nœ œ œ œ
? b b 38 œ œœœ r
œ
Bach used outline no. 1 in this passage with octave displacement. Notice the leap occurred from the
downbeat to the upbeat. Play this with jazz articulations and it swings.
10.13 J. S. Bach: Sinfonia No. 3
## 2 œ œ œ œ œ œ œ œ
& 4œ R
? # # 24 œ œ œ
œ œJ
OUTLINE NO. 1 with CHROMATIC APPROACHES
These next two examples contain double chromatic approaches to the third. Ex. 10.14 is from Clifford
Brown and 10.15 is from Sonny Rollins. If melodic pitches were analyzed vertically, there could not be
more ambiguous or incorrect sounding “avoid” notes over Cm7 than the C# and the En or the F and Ab
over the Em7. But these notes are not heard vertically: melodies are linear. These notes are not the b9
and the major third of a minor chord, but melodic chromatic approach tones that lead to the unam-
biguous minor third. Both of these excerpts followed the ambiguous chromatic portion with strictly dia-
tonic lines. Brown began on beat two and Rollins on beat three. Brown used a inverted Cm7 3-5-7-9
arpeggio that extended over the measure line and managed to land on the third of F7 and Bb on the
downbeats.
10.14 Outline no. 1 with double chromatic approach to the third of the ii7 chord
Cm7 F7 Bb
b b c Œ #œ œ œ nœbœ œ œ œ œ
& œ œ œ œ œ œj
10.15 Outline no. 1 with double chromatic approach to the third of the ii7 chord
## c Ó nœ #œ œ bœ œ œ œ œ œ œ
Em7 A7 D
& œœ œ Œ Ó

The third of Dm7 was chromatically approached from a whole step above and the third of G7 was
chromatically approached from a whole step below in this example from Sonny Stitt. Stitt played a 3-5-
7-9 arpeggio over the G7.
10.16 Outline no. 1 with chromatic approach to the third
œ
Dm7 G7
œ bœ œ œ œ œ œ œ
&c œ #œ œ Ó
A 3-5-7-9 arpeggio led to the high Bb which began outline no. 1 in this excerpt from Roger Pemberton.
The G was preceded by its lower then upper neighbor tones, F# and A. The En was approached and en-
circled from above and below, landing on beat three. The outline in its simple form then led to the
third of F. The Db, the b9 of C7, is a borrowed note from the parallel key of F minor.
10.17 Outline no. 1 with 3-5-7-9 arpeggio, chromatic approach tones, and borrowed b9
3 œ œ œ #œ œ œ
Gm7 C7 F
j œ œ # œ œ b œ œ œ œj
& b c ‰ œ œœ
Any diatonic tone may have a leading tone. The C# below is a leading tone that points to the D, and the
G # a leading tone that points to the A. The leaps to the leading tones, which are both resolved to chord
tones gave this line angularity. Sonny Rollins used two 3-5-7-9 arpeggios. The first arpeggio occurred
over the Dm7 was inverted and included the G# leading tone to A; the second was clearly stated over the
G7. Following voice leading principles, the A, the ninth of G7, resolved to the fifth of C.
10.18
œ œ œ Jœ ‰ Œ Ó
Dm7 G7 C
&c #œ œ œ œ #œ œ n œ œ œ œ œ œ œ
3-5-7-9 ARPEGGIOS APPLIED to OUTLINE NO. 1
The simple outline no. 1 is often embellished by using a 3-5-7-9 arpeggio after arriving at the third of a
chord. The 3-5-7-9 arpeggio may ascend in thirds (a.) or be inverted (b.) down a sixth before ascending.
10.19
œ œ ˙
Dm7 G7 Dm7 G7
œ œ œ
c
& œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ ˙
a. a. b. b.
In ex. 10.20, Red Garland used the inverted arpeggio over the V7/iii - iii7 progression. Notice that the
necessary accidentals (F# & An) to get from Eb (3bs) to the key of G minor (2bs) were unambiguously
placed. Dexter Gordon, in ex. 10.21, used a triplet rhythmic figure when arpeggiating the Fm7, and fol-
lowed the outline down to the third of Eb using diatonic pitches.

10.20 Simple versions of outline no. 1 using 3-5-7-9 arpeggio:

D7 Gm7
b bb c #œ nœ œ œ œ œ œ œ œ
& J
10.21
B b7 Eb
œ œ. œ œ œ
Fm7
b b c œ ‰ œ œ
bœ œ œ J œ bœ œ
3
&
3
Red Garland used 3-5-7-9 arpeggios to embellish each chord in ex. 10.22. Garland played an ascending
3-5-7-9 arpeggio over the Dm7, an inverted one over the G7, and an ascending one over the Cmaj7.
Outline no. 1 is still evident and is shown with the circled notes. Garland’s arpeggio over the Dm7 mir-
rors the one used by Roger Pemberton in ex. 10.17. The resolution to the G7 was delayed until beat two
by the suspended fourth degree. Is this fourth an “avoid” note? After arriving at the Bn, Garland played
an inverted 3-5-7-9 arpeggio with the borrowed b9. The Fn on beat four of the G7 measure pointed down
to the third of C, but the F# changed the direction of the line: the F# had to ascend to the G on the fol-
lowing downbeat. The line descended from G through the Fn and resolved to the En on beat two. Garland
then used a 3-5-7-9 arpeggio over the Cmaj7.
10.22 Outline no. 1 using 3-5-7-9 arpeggios:

Dm7 3
G7 C
œ
3
& c ‰ œj œ œ œ œ Œ œœœœ œœ œ
3
œ b œ œ # œ œ œ œ œ
œ
The basic structure of ex. 10.23 is similar to the 10.22 in its use of 3-5-7-9 arpeggios. Garland aimed for
the third of D7 by encircling the F# with its upper and lower neighbor tones. After arriving at the third
(F #), the expected 3-5-7-9 arpeggio occurred, inverted this time. Notice in the previous example the
arpeggio for the first measure was ascending and in the second measure was inverted. In this excerpt the
directions were reversed: the first measure had the inverted and the second measure the ascending
arpeggios. Garland used a b9 over the D7 borrowed from G minor and a b9 over the G7 borrowed from
C minor.
10.23 Outline no. 1 using 3-5-7-9 arpeggios
œ œ #œ œ bœ œ #œ œ œ œ œ bœ bœ œ œ #œ œ œ œ #œ œ
D7 G7 3 C
c œ
3
& œ J
The melodic shape Garland used to get from G7 to C in ex. 10.22 is identical to the shape he used to get
from D7 to G7 in ex. 10.20 and 10.23 as shown below.

10.24 Similar treatment using 3-5-7-9 arpeggios

G7 C
3
&c nœ œ b œ œ # œ œ œ œ œ œ œ
œ œ From ex. 10.22
# œ œ b œ œ # œ œ n œ œ œ3 œ b Jœ
D7 G7
&c œ From ex. 10.20 and 10.23
Several devices make this Red Garland outline no. 1 example interesting. The chromatic triplets between
the root and third of the Am7 energized the line and generated forward motion. The leap created by the
inverted 3-5-7-9 arpeggio on the D7 is a welcome change from the preceding tight chromatic move-
ment. An interesting sawtooth shape was created on beats three and four of m.2 by pivoting between the
stationary A pedal tone and the moving notes D to C.
10.25 Outline no. 1 and 3-5-7-9 arpeggios
œ œ nœ œ œ bœ œ bœ œ œ #œ 3 œ œ
Am7 D7 Gm7
œ b œ œ œ œ œ
&b c œ œ œ œ
3 3
MORE COMPLEX EXAMPLES of OUTLINE NO. 1
Complex melodic ideas are easier to create and hear when they are based on simple structures like the
outlines. This very exciting and complex line in ex. 10.26a from Charlie Parker was based on outline no.
1. Parker began as if to play the outline without elaboration and then repeated the first three notes. The
repetition set up a syncopation that continued throughout the excerpt. The An was approached by two
chromatic lines: one from above (C - Bn - Bb - A) and one from below (G - G# - A). On the downbeat of
the F7 measure, Parker played the upper and lower neighbor tones rather than the expected A, and the
resolution on beat two added to the rhythmic syncopation. The Gb, the b9 borrowed from Bb minor,
pulled toward the Fn, but before resolving to Fn, Parker leapt below and approached the F chromatically
from Eb and En. Parker leapt away to the chord tone A after reaching the Fn. The final goal note was the
D n, the third of Bb, and it was approached from above (F - Eb - D) and below (A - Bb - C - C# - D). It is
difficult to imagine that Parker was able to spontaneously invent this melodic line at 300 bpm with out
having, at much slower tempos in the practice room, isolated individual elements.
10.26a Outline no. 1 with multiple chromatic tones (simple outline shown on lower staff)
b >œ œ œ >œ œ œ > > > >

&b c nœ œ bœ #œ œ bœ œ nœ œ œ œ
Œ
œ œ œ #œ
b œ œœ
&b c bœ œ bœ œ œ œ

10.26b Polyrhythms implied by the melodic line

œ. œ. œ œ ˙ œ. œ. ˙
b œ œ
& b c œ œ œ œ nœ œ œ #œ œ bœ œ nœ œ œ œ
Œ
œ œ œ #œ
When a single pitch is approached from two directions it suggests a wedge. Three significant pitches are
approached with these wedges in ex. 1026a.
10.26c
b
& b c œ nœ œ bœ #œ ˙ bœ œ nœ ˙ œ
œ œ œ œ #œ ˙
The simple descending step progression of outline no. 1 was disguised by John Scofield using octave
displacement and melodic wedges in ex. 10.27. The simple outline is shown with the circled notes. The
line began with D, the third of Bb7, then the Cb was octave displaced. The Cb resolved step wise to the Bb.
The step from Bb to Ab was interrupted by the chromatic En to F. The En is the lower neighbor tone to the
F, the fifth of the Bb7 chord. These tones ultimate resolved up to the Gb, the target note of the Ebm 7
chord. The Gb was approached stepwise from above (Cb - Bb - Ab - Gb) and chromatically from below (E -
F - Gb). The angularity of the line continued to the end when Scofield, after resolving the two lines to the
Gb, suddenly jumped to the Bbb implying an Ebø7 rather than an Ebm.
10.27 Outline no. 1 with octave displacement and melodic wedges

b
B b7 9 E bm7
b j ‰ œj œ
& b bbb c nœ œ
b œ œ ‰
nœ œ œ Œ
∫œ œ
b
& b bbb c (n œ )
nœ
bœ œ
nœ œ œ ˙
Red Garland used a complex embellished version of outline no. 1 in the double-time passage shown in
ex. 10.28. Garland aimed for the third of each chord. Not all of the target notes arrived where the chord
symbols indicate on the downbeats. He began on the third of Cm7 on the downbeat; he delayed the
resolution to F7 by an eighth note; delayed the resolution to Bb by a quarter note; arrived on the beat
for G7, and finally anticipated the Cm7 by a sixteenth note.

10.28a Double-time step-progression

Cm7 F7 Bb G7 Cm7
b œ
& b c œ #œ œ œ bœ œ œ nœ #œ œ œ œ bœ œ nœ œ œ œ #œ œ nœ bœ œ #œ œ œ nœ œ
œ #œ n œ
b œ œ œœ
&b c œ bœ œœ œ œ
bœ œ œœ
nœ
After arriving at the third of F7, Garland played an inverted 3-5-7-9 arpeggio (in box) which included the
b9, Gb. The Gb directed the momentum to the Fn, but Garland leapt past the F and approached it from be-
low. Garland used a recurring melodic figure that gave the line a sense of unity. The notes A, F, D, Bn and
G were all approached by the same chromatic four note figure shown by the brackets.
10.28b
Cm7 F7 3-5-7-9 Bb G7 Cm7
b œ
& b c œ #œ œ œ bœ œ œ nœ #œ œ œ œ bœ œ nœ œ œ œ #œ œ nœ bœ œ #œ œ œ nœ œ
œ #œ nœ
Red Garland began the line in ex. 10.29 with a chromatic approach to the third of the Dø7. The D, Bn, G
and E were all approached using the exact four note figure from ex. 10.28: an upper neighbor tone and
chromatically from a whole step below (shown by upper brackets). Garland played the 3-5-7-9 arpeggio
of G7 in the middle of the measure. The target thirds did not occur on the downbeats: the thirds of Dø7
and G7 occurred on beat two and the third of Cmaj7 was delayed until beat three. The displaced target
thirds create an interesting contradiction to the meter. There are two ways of explaining the results: ei-
ther the addition of the chromatic notes delayed the resolution to the thirds which created a sense of
displaced meter; or in order to displace the meter Garland added additional chromatic notes.
10.29 Outline no. 1: rhythmic displaced and chromatically approached thirds
œ bœ œ bœ œ #œ œ nœ
Dø7 G7 C
œ #œ œ
& œ œ bœ œ #œ œ nœ œ #œ œ œ
The melodic line played by Red Garland from ex. 10.29 could be played with the target thirds arriving
on the downbeats. The brackets show the four-note chromatic figure. The line would still interesting even
without the metric contradiction due to the chromatic additions.
10.30 Outline no. 1: 10.29 with out the rhythmic displacement

Dø7 G7 C
œ bœ œ bœ œ #œ œ nœ
&c œ #œ œ œ œ bœ œ œ œ #œ œ œ
Outlines are often used over modal tunes to suggest harmonic progressions where there are none. Randy
Brecker implied a Gm7 - C7 progression over this passage in G dorian. The F# and A are neighbor tones

that surround the G. There was a wedge that points to the En from above (Bb - A - G - F - E) and below (D
- D# - E). The arpeggio, E - G - Bb - D, suggested the 3-5-7-9 of a C7 chord.
10.31 Outline no. 1 suggested in modal setting

G Dorian
& b c œ œ #œ œ œ œ nœ #œ œ œ œ œ
Outline no. 2 begins with the 1-3-5 arpeggio and then adds the dissonant seventh. The seventh
resolves as expected to the third of the chord that follows.
SIMPLE SETTINGS
Outline no. 2 could be called the ‘Round Midnight outline as it occurs twice in the melody to the
Thelonious Monk piece by that name. Here is one of the occurrences as it appears in the piece con-
trasted with an interpretation by Wes Montgomery. Montgomery used the fifth of the Ebm7 chord as a
pick up note, played the arpeggio to the seventh and then used a chromatic approach to the C. The use
of sixteenth note triplets adds rhythmic drive to the simple outline.
10.32 Outline no. 2 simple form

E bm7 A b7 E bm7 6 A b7
b
& b bbb c Œ œ œ œ œ ˙ ‰. r œ œ œ œ œ nœ ˙
œ
Over a blues progression in F, Jeff Andrews used outline no. 2 to connect the Gm7 to the C7, and
approached the E chromatically from below.
10.33 Outline no. 2 with common chromatic approach
Gm7 C7
&b c ‰ j
œ œ œ œ œ #œ œ
œ
The end of the first phrase of progression no. 23 modulates from Ab to C major. Typically a iiø7 - V7 of
C minor is used that would resolve to C major. Using the minor iiø7 - V7 makes a smoother transition
because C minor is a closely related key to Ab (4bs to 3bs, I to iii). Jimmy Heath played this simple ver-
sion of outline no. 2 over that part of the progression shown in ex. 10.34. When arriving at the Cmaj7
chord, he arpeggiated 3-5-7-9 which cleared the musical air of any feeling of Ab major and established C
as the new (temporary) tonal center.

10.34 Outline no. 2 over iiø7 - V7 resolving to major I

Dø7 G7 C
& c œ œ bœ œ œ bœ œ œ œ œ
Œ
œ œ œ œ
The first note of outline no. 2 is omitted in the next two examples from Mike Stern. These lines begin
with a chromatic leading tone to the third of the first chord. The general shape and character of the out-
line is retained. Voice leading is adhered to in both examples. The seventh of Em7 resolves to the third
of A in both cases. After playing a 3-5-7-9 arpeggio, the ninth of A7 resolves to the fifth of D in 10.35a.
The seventh of A7 resolves to the third of D in 10.35b.
10.35a Outline no. 2 variation 10.35b Outline no. 2 variation
œ œ n œ Jœ œ œ
Em7 A7 D Em 7 A7D
œ # œ j œ # œ œ # œ
b c n œ b c ‰ n œ
3
& #œ œ & #œ œ J
It is a common practice to use melodic sequences over sequential harmonic passages. Outlines are ideal
vehicles for sequential material. Red Garland used outline no. 2 over these chromatically sequenced ii7 -
V7 chords in ex. 10.36.
10.36 Outline no. 2 in sequence

b b
œ œ œ
A m7 D 7 Gm7 C7 F
j bœ bœ bœ œ ‰ œj œ œ œ œ J
3
b c ‰ Œ ‰
3
& bœ
PASSING TONES
Outline no. 2 begins with an arpeggio. The skips between the chord tones of an arpeggio lends itself to
the use of passing tones. With the passing tones added to the arpeggio, why not call it a scale? It may be
better to think of the chord tones being connected by passing tones to expedite the understanding of
harmonic specificity. The main chord tones of the outline typically land on the strong beats with the
passing tones on the weaker beats which allows the basic shape of the outline to be heard as an arpeggio
with passing tones. The passing tone between the fifth and seventh is never used. Why? That passing
tone is the pitch to which the line points: it is the third of the chord that follows. Sounding it ahead of
time diminishes the impact of the final resolution. The third of the second chord has a stronger sense
resolution when preceded by the seventh of the first chord. This is illustrated below over a ii7 - V7 in the
key of C. The E and G are available as passing tones, but the Bn between A and C is not used over the
Dm7 in order to save it for the G7.
10.37 Outline no. 2 with available passing tones

Dm7 G7
& c œ œ œœ œ¿ œ ˙

These two excerpts from improvisations by Clifford Brown illustrate the use of passing tones and outline
no. 2. In neither example was the third of the second chord prematurely played. In ex. 10.39, Brown de-
layed the start of the outline and did not get to the Bn, the identifying note of the G7 chord until beat
two. He then descended using outline no. 1 and chromatically approached the third of C.
10.38 Outline no. 2 with passing tones

Gm7 C7
œ œ Œ Ó
&b c Œ œ œ œ œ œ
10.39 Outline no. 2 with passing tones followed by outline no. 1

Dm7 G7 C
&c Ó œ œ œ œ œ bœ œ Œ Ó
œ œ œ œ #œ œ
LOWER NEIGHBOR TONE (LNT) or LEADING TONE (LT) CHROMATICISM
Chromatic notes can add interest to any melodic line. Charlie Parker began this line with a leading tone
to the G. This F# did not harmonically suggest a G minor chord with a major seventh; it functioned
melodically as a leading tone. Outline no. 2 followed with the Gm7 arpeggio, with an Fn on the top, and a
chromatic approach to the anticipated third of the C7 chord. Parker continued sequencing the chro-
matic passing tone idea. At the second bracket, Parker suggested outline no. 1 for Gm7 - C7. The E-G-Bb-
D b arpeggio in the final measure were unresolved notes of the C7 chord, the logical end of the outline
no. 1 idea. It would be foolish to analyze the E-G-Bb-Db as notes vertically related to the F chord. They
belong to the C7 chord, and created a delayed resolution to F.
10.40 Outline no. 2 with LTs followed by outline no. 1

Gm7 C7 F
œ œ
& b c ‰ # œj œ œ œ œ # œ œ # œ œ n œ œ œ œ œ œ œ œ b œ œ œ Œ
3
3-5-7-9 ARPEGGIOS
A leading tone can become a lower neighbor tone when preceded and followed by the chord tone.
Clifford Brown embellished outline no. 2 using a lower neighbor tone and passing tones. Note that Bn
was not used as a passing tone over the Dm7 between the A and C, but saved for the G7 chord. After ar-
riving at the Bn, Brown played an inverted 3-5-7-9 arpeggio borrowing the Ab and Bb from the parallel
key of C minor, and resolves to the En. The borrowed tones, Ab and Bb, the b9 and b9 of the G7 chord, as
lowered tones create a downward pull and help the line move back down to the En.
10.41 Outline no. 2 with LNT inverted 3-5-7-9 arpeggio and borrowed tones
Dm7 G7 3 C
& c œ #œ œ œ œ œ œ œ œ œ œ œ bœ bœ œ œ œ œ Œ Ó

Outline no. 1 is a natural choice to follow outline no. 2 since no. 2 leads to the starting note of outline
no. 1. Garland illustrates this in the following example. Outline no. 2 is simply stated in the first measure.
An A# leading tone precedes the Bn, and the G7 chord is anticipated by one beat. The characteristic 3-5-
7-9 inverted arpeggio begins outline no. 1 from G7 to C. Outline no. 1 is the step line Bn - Ab - G - F - E.
The inverted 3-5-7-9 arpeggio, the chromatic approach figures F - F# - G and D - D# - E all help the lis-
tener hear the simple outline by pointing out the step progression on the top of the line. Garland also
used a 3-5-7-9 arpeggio on the Cmaj7 chord.
There was an interesting contradiction in harmonic rhythm between what the chords indicated and what
Garland played in ex. 10.42. The chord symbols implied a harmonic rhythm of whole notes: four beats
per chord. Garland began Dm7 late on beat two, anticipated G7 by a beat and played the Cmaj7 on
time. Garland implied the harmonic rhythm of two beats of Dm7, five beats of G7 and then back to four
for Cmaj7.
10.42 Outline no. 2 followed by outline no. 1 including 3-5-7-9 arpeggios

Dm7 G7 C
3
& c Œ œ œ œ œ #œ œ œ œ bœ œ #œ œ nœ œ #œ œ œ œ œ œ œ
3
Garland again used outline no. 2 followed by outline no. 1 in ex. 10.43. The outlines are indicated by the
two brackets. The Am7 is not a ii7 of G, but a iii7 from the key of F. In F, the upper neighbor tone to A is
B b, and that is where Garland began his line. The A was approached above and below through the
chromatic leading tone G#. The A began outline no. 2, an En was added which allowed the F# to land on
the downbeat. The D7 is the V7 of G minor, not G major, as evidenced by the Eb. The C# is not a major
seventh over a dominant chord, but a linear melodic chromatic tone leading to the D. The Cn is the dis-
sonant seventh of D7 that points to the third of G, which instead of being a Gm7 chord, is made a G7,
the V7 of C, by the use of the Bn. It is important to understand that while this may look like a ii7 - V7 - I
in G, it is not. The proof is in the chosen melodic notes. The progression is iii7 - V7/ii - V7/V.
10.43 Outline no. 2 followed by outline no. 1 over iii7 - V7/ii - V7/V progression
Am7 D7 G7
œ œ œ # œ b œ œ # œ œ n œ œ3 œ œ
& b c œ œ #œ œ œ œ œ n œ œ
Garland again used outline no. 2 followed by outline no. 1 in the following examples. The G, E and Cn
were approached from below through chromatic leading tones. The C7 and Fm7 were anticipated and
Garland played a 3-5-7-9 arpeggio over both chords after landing on the third. Outline no. 2 connected
Gm7 to C7 and outline no. 1 connected C7 to Fm7.
10.44 Outline no. 2 followed by outline no. 1 including 3-5-7-9 arpeggios
œ œ bœ bœ œ œ œ œ
bœ œ œ #œ œ j œ
Gm7 C7 Fm
b œ b œ n œ
œ bœ œ nœ œ œ bœ bœ ‰ bœ œ
3
& œ #œ œ
The third of Dø7 was approached chromatically from above and then the line moved down to the root
to begin outline no. 2 in this Red Garland excerpt. The Bn was preceded by its leading tone and began

the seemingly obligatory 3-5-7-9 arpeggio. Garland, in order to change the direction of the line, used the
F# to pull back up to the G before going down the Fn which pointed and resolved to the E.
10.45 Outline no. 2 followed by outline no. 1 including a 3-5-7-9 arpeggio

Dø7 G7 Cmaj7
œ œ œ bœ œ #œ œ nœ œ œ ‰ j œ œ Œ
3
c
& œ bœ œ bœ œ œ bœ #œ œ œ
Two ideas were combined in ex. 1047 from Errol Garner. Garner suggested outline no. 2 to connect Gm7
to C7, and used outline no. 1 to clearly connect C7 to F. Within the outlines, Garner suggested a com-
monly used chromatic line to get from G to E. This chromatic line begins on the root of the ii7 chord
and moves chromatically through the major and minor seventh resolving to the third of the V7 chord.
Jerry Coker calls this movement a C.E.S.H. or chromatic elaboration of static harmony. This is the most
common of many possible C.E.S.H. patterns. This kind of chromatic motion can be found on tunes
ranging from My Funny Valentine to Led Zeppelin’s Stairway to Heaven.
10.46 Outline no. 2 Common Chromatic line (C.E.S.H.)
œ ˙ #œ nœ
Gm7 C7 Gm7 C7
œ ˙ ˙
& œ bœ Ó Ó
10.47 Combination of outlines and common chromatic line
j
Gm7
œ œ #œ œ C7
œ n œ œ œ
F
&b c ‰ #œ œ œ œ #œ nœ œ œœ œ œ
A similar chromatic line or C.E.S.H is in this Sonny Rollins line. Outline no. 2 was suggested even though
the triad arpeggio descended rather than ascended. Regardless of the direction of the arpeggio, the dis-
sonant notes over the Cm7 were resolved to the A, the third of F.
10.48 Outline no. 2 and common chromatic line

Cm7 F7
& ‰ œJ ‰ œj ‰ œJ n œ œ b œ bœ œ #œ œ
œ
Outline no. 3 begins with the descending arpeggio 5-3-1 and then adds the dissonant seventh.
The seventh resolves as expected to the third of the chord that follows.
SIMPLE SETTINGS
This line is ubiquitous, and could be credited to thousands of artists. Improvisers often rely on the basic
outlines when the harmonic rhythm is half notes, because there is little time for embellishment.

Coltrane played ex. 10.49a in his improvisation on progression no. 24. After reaching the third of D7, he
used outline no. 1 to connect D7 to G. John Scofield played the same line over a vi7 - V7/V - V7 in a
turnaround in the key shown in ex. 10.49b.
10.49a 10.49b
Outline no. 3 followed by outline no. 1 in G Outline no. 3 & outline no. 1 in Db
Am7 D7 G B bm7 E b7 A b7
# œ bœ b œœœ bœ
& c œ œ œ œ œ œ Jœ & b bbb c œ œ œ œ Jœ
The next four examples are identical except for the key. They all used 3-5-7-9 arpeggios after playing out-
line no. 3. Ex. 10.50a is from a composition by Jimmy Guiffre, 10.50b from a line by Tom Harrell. Ex.
10.50c and 10.50d are from Mike Stern.
10.50a 10.50b
Outline no. 3 followed by 3-5-7-9 arpeggio in B Outline no. 3 & 3-5-7-9 arpeggio in F
C #m7 F #7
####
B Gm7 C7 F
& # œœ & b œ œ œ œ œ œ œbœ œ œ

œœœœœœ œ œ
10.50c 10.50d
Outline no. 3 & 3-5-7-9 arpeggio in Gb Outline no. 3 & 3-5-7-9 arpeggio in D
A bm7 D b7 Gb
nœ œ œ œ œ
Em 7 A7
bœ bœ bœ ∫œ bœ œ œ
&b bœ œ œ œ J &b # œ
The six above examples are in six different keys. Three of the keys are on the dark side of the circle of
fifths (Db = 5bs, B = 5#s, & Gb = 6bs or F# = 6#s). Dark because it is so rarely visited in many practice
rooms, and dark because of the number of sharps and flats in the key signatures. To play this music well,
students must play in all twelve keys. If not, which keys should be left out of practice routines?
CHROMATIC APPROACHES
Chromatic notes can be added to outline no. 3 when the harmonic rhythm allows time. Charlie Parker
managed to get extra notes in with half note harmonic rhythm which delayed the Bb resolution to beat
two. The Ab and Gb are the altered ninths of F7 and are borrowed from Bb minor. The Gb pointed to the
F, but Parker reached below and approached F with a chromatic passing tone En, then the F and Eb led to
the Dn, the target note for Bb. After the delayed resolution, Parker clarified the Bb chord by playing a 3-5-
7-9 arpeggio, encircling the root and playing the triad arpeggio again.
10.51 Outline no. 3 with chromatic approach, altered ninths, delayed resolution, & 3-5-7-9
arpeggio
B bmaj7
œ. Ó
Cm7 F7
b œ
3
& b c œœœ bœ bœ œ nœ œ œ œ œ œ œ œ œ
œ J
œ œ

C.E.S.H.
The step motion between the root of the first chord to the third of the second chord in outline no. 3
lends itself to the C.E.S.H. One added chromatic note creates the C.E.S.H.
10.52 Outline no. 3 with added chromatic note

Gm7 C7
& b c œ œ œ # œ )n œ ˙ Ó
(
The fifth of the ii7 chord is often used as a pivot note below the chromatic motion to create an angular
sawtooth motion. The lower note may altered to approach the third of the V7 chord creating a double
chromatic approach. Sometimes the addition of the chromatic device will delay the resolution to the V7
chord.
10.53 With pivot note Pivot note & chromatic approach

Gm7 C7 Gm7 C7
& b c œ œ œ œ #œ œ nœ ˙ Ó œ œ œ Ó
œ #œ #œ nœ ˙
10.54 A C.E.S.H. is evident in this typical figure.
Gm7 C7
œœ œ j œ j œ j
&b cœ # œ ‰ Jœ ‰ n œ ‰ Jœ ‰ œ ‰ Jœ ‰ # œ ..
?b c œ œ. j ..
œ œ œ œ œ
œ. J
Outline no. 3 with a C.E.S.H., a lower pivot note and a chromatic approach are present in this line from
Freddie Hubbard. Hubbard used outline no. 1 to connect the C7 to F with a 3-5-7-9 arpeggio and altered
ninths.
10.55 Outline no. 3 with C.E.S.H.
b œ b œ œ œ œ œj
Gm7 C7 Fm aj7
œ
3
& b c œ œ ¿ #œ ¿ nœ #¿ œ œ œ œ
Cannonball Adderley was fond of the chromatic approaches applied to outline no. 3. Ex. 10.56a is from
a piece with traditional changes. Cannonball implied a Dm7 - G7 progression over a modal G
mixolydian setting in ex. 10.56b and 10.56c.

10.56a Outline no. 3 with C.E.S.H.
B bm 7 E b7
b
& b bb c
3 3
œ œ œ œ œ nœ œ œ œ œ bœ #œ œ œ ˙
10.56b
G Mixolydian
j
3
& 64 œ œœ œ
# œ
œ œ œn œ œ
10.56c
G Mixolydian
& 64 œ œ œ œ œ j œ.
œ # œ œ œ n œ œ œ œ
There are two occurrences of outline no. 3 in ex. 10.57. Each is set in very different ways by Keith Jarrett.
The Fm7 is connected to the Bb7 using outline no. 3, but the chromaticism caused a delayed resolution
to the Bb7. The second setting of outline no. 3 has no chromatic elaboration and connects the Bb7 to the
E b. Rhythm plays a key part in this example. The triplet speeds up the line in order to reach the goal
note over the Bb, and the sixteenths are a diminution of the outline that seems to push the line early to
the Eb chord. The long note Ab followed by a rest relaxes the previous compression and the quarter note
triplet changes the pace one more time. The changing pace of melodic lines is a stylistic trademark of
Jarrett and his trio.
10.57 Two different settings of outline no. 3

b Eb
Fm 7 B 7
b c b œ n œ œ3 b œ œ œ œ œ b ˙
3
& b œ Œ œ œ œ
The rhythms below illustrate another way to get a stop and go feeling to a line. Roger Pemberton used
outline no. 3, encircled the Bb and the G, impled a C.E.S.H. before landing on the third of C7 and used a
3-5-7-#9-b9 arpeggio. The longer values occurring on the downbeats relaxed the forward motion.
10.58 Stop & go rhythms with outline no. 3

Gm7 C7 F
bœ
3
j
& b c œ œ œ œ œ #œ œ œ ‰ nœ œ œ œ bœ œ
A compound melody was suggested in the Sonny Stitt line shown in ex. 10.59. The top of the line sug-
gested a chromatic Bn - Bb - A. The bottom of the line suggested the common chromatic motion E - D# -
Dn - C#. Stitt began with an ascending arpeggio but by the second measure Stitt played the unaltered out-
line no. 3 with the descending arpeggio followed by a 3-5-7-b9 arpeggio over the A7.

10.59 Outline no. 3, C.E.S.H. & compound melodic voice leading

Em7 A7 Dmaj7
## c
& œ œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ bœ œ œ
Outline no. 3 was suggested by John Scofield in the two excerpts shown below. The chromatic C.E.S.H. is
suggested, however Scofield skipped over the root of the C#m7 chord jumping to the leading tone Cn
(B#). The 5-3-maj7 created an augmented triad arpeggio. The arpeggio was repeated leaping to the m7
(Bn) which resolved to A#, the third of F#7. Outline no. 1 followed with an octave displacement leap to
the b9 that descended to the third of B. The second example began as the first with the augmented
arpeggio 5-3-maj7, encircled the root, and played just the guide tone notes (3-7-3) in the second
measure, and ended encircling the third of A.
10.60 Outline no. 3 with C.E.S.H.

C #m 7 F #7 B Bm7 E7 A
& Œ #œ œ j ‰ œj j
œ #œ œ nœ
œ #œ #œ œ #œ #œ œ #œ œ œ œ œ œ # œ
#œ œ œ #œ
COMBINATION of OUTLINES
Outlines are often used sequentially and in combinations with other outlines.
SIMPLE SETTINGS
Hank Mobley squeezed three outlines into three measures. Outline no. 2 connected the Am7 to the D7
and was sequenced with diminution connecting the Dm7 to the G7. Outline no. 1 followed connecting
the next Dm7 to G7.
10.61 Outline no. 2 sequenced & outline no. 1

Am 7
œ
D7
œ Dm7
œ œ nG7œ œ œ b œ Dm7 G7
b nœ j
# œ œ œ nœ œ œ nœ
& b c œ nœ œ Œ Œ œ
œ
3
J
In the same improvisation, Mobley played a similar combination of outline no. 2 and outline no. 1.
10.62 Outline no. 2 & outline no. 1
œ
Dm7œ n œ œ œ
Dm7
b œ
G7 G7
b œ œ nœ œ œ nœ
&b c Œ œ J
Outline no. 1 connected D7 to Gm7 in the Mike Stern line in ex. 10.63. After encircling the Bb and the G
with upper and lower neighbor tones, Stern played outline no. 2 to connect Gm7 to C7. The resolution
to C7 was delayed to beat three. An unembellished outline no. 1 connected the C7 to F.

10.63 Outlines no. 1, no. 2 & no. 1

Am7 D7 Gm7 C7 F
bœ œœœœœ
& b c Ó Œ œ œ # œ ‰ Jœ ‰ œJ œ œ œ œ œ œ œ # œ œ œ œ œ b œ œ
œ
Outline no. 1 and outline no. 3 were used in this turnaround line from Charlie Parker. The chromatic
motion over the dominant chords was sequenced.

b b b
b œ b
Cm7
œ œ n œ œ
B m7F7 E 7
b œ
œ œ œ œ œ nœ œ
A
& b bb c œ œ œ nœ
Turnaround progressions, like those in the two previous examples, occur in hundreds of standard jazz
progressions. The common turnaround progression is: I (or iii7) - V7/ii - ii7 - V7 - I. Good practice time
should be spent learning various combinations of outlines to negotiate the harmonic turnaround pro-
gressions. There are nine possible combinations of outlines over the turnaround which are shown below
in the key of C. Remember that practice is to prepare for an actual performance. In an actual perfor-
mance, all of the outline combinations may be possible, but so are many other musical ideas including
triadic generalization, and the very important concept: silent space.
10.65 Turnaround with Nine Possible Outline Combinations
Outline no. 1 & outline no. 1
œ œ œ œ #œ
Em 7 A7 Dm7 G7 C
& bœ œ œ œ œ œ nœ œ bœ œ œ ˙
Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ œ œ œ œ œ œ nœ œ bœ œ œ ˙
Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ bœ œ #œ œ œ œ nœ bœ œ #œ ˙
nœ
Em 7 A7 Dm7 G7 C
œ
& œ œ œ œ #œ bœ œ œ œ œ nœ nœ bœ œ œ ˙


Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ bœ œ œ œ œ œ nœ nœ bœ œ œ ˙
Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ bœ œ #œ œ œ œ nœ bœ œ œ ˙
nœ
Em 7
œ
A7
bœ œ œ ˙
Dm7 G7 C
œ b œ œ n œ n œ
& œ œ œ #œ œ œ œ
Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ œ œ œ œ œ œ nœ nœ bœ œ œ ˙
Em 7 A7 Dm7 G7 C
& œ œ œ œ #œ œ œ bœ œ œ œ nœ œ œ bœ ˙
nœ
MORE COMPLEX EXAMPLES of OUTLINE NO. 3
This melodic line from Hank Jones is either outline no. 1 or no. 3 in two octaves. Adding passing tones
to outline no. 3 makes it difficult to distinguish from outline no. 1. Either way, Jones accentuated the im-
portant pitches and resolved voices as expected. The C# in the second measure was approached chro-
matically from above (E - D# - Dn - C#) and below (B - Cn - C#).
10.66 Outline no. 1 or no. 3
## œ œ œ œ œ œ # œ n œ œ œ œ œ A7œ œ
Em7 3 3 D
& c œ ≈ œ œ #œ œ œœ œ œ œ bœ œ
#œ œ nœnœ #œ œ œ. œ
## œ œ No.
Outline
œ
1
nœ
& c œ œ œ œ bœ œ
nœ #œ
# œœ œ
Outline No. 3
nœ
& # c œ œœ œ nœ #œ
bœ œ

TRIAD GENERALIZATION REMINDER
It is easy to get caught up in the details and challenges of harmonic specificity and forget that there are
other approaches. Errol Garner approached this progression in two different ways in the same improvi-
sation. In ex. 10.67, he was very specific about each chord, using two different outlines and an arpeggio
of the Gm7 chord. In ex. 10.68, Garner primarily used the F triad flavored with the upper and lower
neighbor tones to the A.
10.67 Harmonic Specificity: Outline no. 2 with LT followed by outline no. 1
œ j
Gm7 C7 F
œ œ
& b c # œ œ œ œ œ ‰ J Œ ‰ # œJ n œ œ œ œ
10.68 Harmonic Generalization:

Gm7
œ œ œ # œ œ œ œ œ C7œ # œ œ œ F
&b c ‰ # œJ œ œ #œ œ œ #œ œ œ Œ
œ
œ œ œ œ œ
&b c œ œ œ œ
œ
OUTLINE APPLICATIONS
APPLICATIONS to STANDARD PROGRESSIONS
Learning the outlines is an important part of the process of physically, mentally and aurally internaliz-
ing harmonic progressions. The outlines offer a linear way of dealing directly with the harmonic motion
of the progression. Learning and applying them in the practice room over a progression gives an im-
proviser a fighting chance to create intelligent lines in a musical setting in real time. Playing unembel-
lished outlines over the progression helps train the ear to hear the linear connections between chords.
Begin by writing down each outline separately through an entire progression. An improvisation may not
follow one single outline for the entire form of a piece, but it is best to limit practice to one concept at a
time. Make sure that all accidentals agree with the key signature and agree with any secondary chords
that may occur.
The first phrase of progression no. 1 is shown below using outline no. 1. All the notes are from the key
signature with the G# is suggested by the secondary dominant E7, the V7 of vi. Practice singing and play-
ing this phrase.
10.69 Outline no. 1 applied to progression no. 1.

Am7 Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am
œ
& c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ œ Œ Ó

One popular tune used progression no. 1 and also used outline no. 1 in the melody to connect every
other measure. There have been others who have used the same progression with outline no. 1 includ-
ing. Mozart who used outline no. 1 to connect each chord in contrapuntal imitation below.
10.70 Mozart: Piano Sonata, K.545, Allegro

œœœœ œ
œ œ œœ œ œ œ œ œœœ œ œ œ œ œœœœ œ œ# œ œ
&c ≈ Œ ≈ Œ ≈ Œ ≈œ œœœ Œ
œœœœ œœ
?c œ Œ ? ≈œ œœ #œ
≈ œ œn œ œ œ ˙
& ≈œœœœœœ Œ ≈ œœ Œ Œ
œ œ œ œœ œ œ œ
After playing and memorizing outline no. 1 through the entire progression, attempt to add some rhyth-
mic, diatonic and chromatic elaboration to the basic line. The line below includes a chromatic encir-
cling of the third of each chord.
10.71 Possible embellishment using outline no. 1

Am7 Dm7 G7 Cmaj7
&c Ó ‰ œ œ b œ œ ‰ œ œ œ œ b œ œj œ . œ œ œ # œ œ n œ œ œ Ó
J J œ #œ ˙
Having practiced outline no. 1, apply outline no. 2 to the entire progression.
10.72 Outline no. 2 connecting all odd measures to even over progression no. 1
œ œœ ˙ œ œ ˙ œ ˙ œ ˙
& c œ Ó œ œ Ó œœ œ Ó œ #œ œ Ó
10.73 Outline no. 2 connecting all even measures to odd over progression no. 1
&c ˙ Ó œ œ ˙ Ó œ ˙ Ó œ #œ œ œ œ Ó
œ œ œœœ œ œ œ ˙
Apply embellishment devices to the basic outlines throughout the progression. Sequences are an excel-
lent tool for developing single musical ideas. Outline no. 2 is in ex. 10.74 is embellished using diatonic
scale notes and chromatically approaching the third of Dm7 and Cmaj7.
10.74 Possible embellishment using outline no. 2

Am7 Dm7 G7 Cmaj7
œ bœ œ ˙
& c œ œ œ œ œ Ó œ nœ œ œ œ œ œ #œ ˙ Ó

Apply outline no. 3 to the entire progression. A 3-5-7-9 arpeggio often follows outline no. 3, so use this as
an opportunity to practice them.
10.75 Outline no. 3 in all odd measures/3-5-7-9 arpeggio in all even measures over
progression no. 1
œœ œ œ
&c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ ˙ Ó
10.76 3-5-7-9 arpeggio in all even measures/Outline no. 3 in all odd measures over
progression no. 1
&c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ Ó
œ œ œ œ œ œ œ œ œ #œ œ œ œ ˙
10.77 Possible diatonic embellishment of outline no. 3
Am7 Dm7 G7 Cmaj7
&c œ œ œ œ œ ‰ œJ ‰ œJ œ ‰ Jœ œ œ ‰ œj œ œ œ œ œ Œ
Progression no. 23 is similar to progression no. 1, but modulates from the key of Ab (I) to the key of C
(III) at the end of the first phrase. The outlines are still very useful tools. The G7 suggests the progression
is moving to C minor, as the iii chord in Ab. To modulate to C minor (3bs) two notes are necessary: Dn
from the key signature; and Bn, the leading tone. After suggesting the key of C minor, resolving to the En
will clarify the surprise resolution to the major key.
10.78 Outline no. 1 for the first phrase of progression no. 23

B bm7 E b7 A bmaj7 D bmaj7
œ œ œ nw
Fm7 G7 C
b b œ œ œ œ œ œ œ œ œ œ
&b b c œ œ œ œ œ œ œ œ œ œ nœ
10.79 Outlines over progression no. 23

Outline no. 2 applied to last cadence Outline no. 3 applied to last cadence
D bmaj7 G7 C D bmaj7 G7 C
b b
& b bb c œ œ œ œ nœ œ œ œ nw & b bb c œ œ œ œ nœ œ bœ ˙ n˙
nœ

Outlines useful for tunes that modulate to unorthodox key relationships like progression no. 24.
10.80 Outline no. 1 applied to progression no. 24
B b7 Eb
œ #œ œ nœ œ œ . œ œ œ bœ bœ .
B D7 G Am7 D7
. ‰ Jœ œ œ œ œ # œ œ œ œ
& c #œ J J ˙
B b7 Eb F #7 B b7
œ œ b œ b œ . b œj # œ
G B Fm7
œ . œ ‰ bœ bœ œ œ œ
& J œ #œ #œ œ #˙ . J bœ œ bœ œ
Eb Am7 D7 G C #m7 F #7
& ˙. ‰ Jœ œ œ œ œ œ œ œ ˙. ‰ # œj # œ # œ œ # œ # œ # œ œ
#œ œ
B b7 Eb C #m7 F #7
œ #œ
‰ bœ bœ œ bœ œ œ bœ œ ˙ . ‰ b œJ n œ # œ # œ œ # œ # œ œ ..
B Fm7
& #˙ . J
10.81 Outline no. 2 applied to beginning of progression no. 24
B b7 Eb
œ
‰ bœ œ œ œ #œ œ œ œ œ
B D7 G Am7 D7 G
&c # œ œ œ œ œ œ œ œ œbœ ˙ .
œ # œ n œ bœ J
10.82 Outline no. 2 applied to the ii7 - V7 I progressions in the three keys from progression
no. 24
Fm7 B b7 Eb Am7 D7 G C #m7 F #7 B
bœ œ œ #œ œ œ œ ˙ .
& c œbœ œ œ œbœ œ ˙ . Œ œ œ Œ œ # œ œ #œ œ #œ œ
#˙ .
Œ
#œ
10.83 Outline no. 3 applied to beginning of progression no. 24
b b
# œ
B
# œ œ
D7
œ
G
œ
B 7 E Am7 D7 G
nœ œ œ œ œ œbœbœ ˙ . ‰ Jœ œ œ œ œ # œ œ œ œ œ
& c #œ
10.84 Outline no. 3 applied to the ii7 - V7 I progressions in the three keys from progression
no. 24
Fm7 B b7 Eb Am7 D7 G C #m7 F #7 B
#œ œ #œ œ .
& c œbœ œbœ œ œ œ œ ˙ . Œ œœœ
œ #œ œ œ
œ ˙. Œ œ #œ œ œ #˙ Œ

Students often ask if real jazz musicians practice these things. These common lines were not labeled
outlines until my book, Connecting Chords with Linear Harmony, but they occurred in improvisations
and compositions by Bach and Mozart centuries ago, Charlie Parker and Clifford Brown from decades
ago, and contemporary musicians such as Mike Stern and John Scofield. Usually, what gets practiced sur-
faces in performances, so it reasons that what shows up in performances was probably practiced.
Outlines are one of the many tools practiced by jazz artists.
Listen to the first line improvised by Coltrane on progression no. 24. Coltrane played a simple state-
ment of outline no. 2.
10.85 Outline no. 2 simple
C #m7 F #7 B
j
& c #œ œ #œ œ #œ . œ #œ
Tom Harrell used the same outline no. 2 in his solo over the same progression. Harrell adds passing
tones (D# and F#) but the effect is the same.
10.86 Outline no. 2 with passing tones
C #m7 F #7 B
& c #œ #œ œ #œ #œ œ #œ œ #œ
Coltrane probably practiced outline no. 3 in all keys.
Am7 D7 G
œ bœ
& c œ œ œ #œ œ œ ˙ Ó

OUTLINE EMBELLISHMENT & DEVELOPMENT IDEAS
This is a list of melodic embellishment devices that have been applied to the previous outline examples.
Review the list and examples and be able to recognize them in their aural and written forms. Try creat-
ing many other melodic lines with outlines using the devices listed below.
• Rhythmic displacement
• Passing tones
• Neighbor tones
— Upper diatonic
— Lower chromatic leading tone or lower neighbor tone
— Combinations that encircle or surround primary pitches
— Chromatic approaches involving combinations of diatonic and chromatic tones
above and or below target pitch
• C.E.S.H. Patterns
• Octave displacement
• Arpeggios from the third (3-5-7-9) ascending or inverted
• Anticipation
• Delayed resolution
• Arpeggiated tones
— Pivot tone or pedal tone resulting in sawtooth shape
• Iteration or repeated notes
• Borrowed tones from the minor key over dominant chords. Includes b13, b9 and # 9 over
dominant chords.
• Sequencing
Once a new progression has been practiced with simple, unadorned outlines, begin to apply some musi-
cal, developmental ideas to the outlines. Begin simply by using some rhythmic displacement ideas with
some diatonic embellishments. Progress to the use of many chromatic tones including leading tones,
chromatic passing, approach tones, and upper and lower neighbor tones. Be careful not to blur the clar-
ity of the outlines with random, unresolved chromaticism.
10.88 Outline No. 1 over a ii7 - V7 - I progression

Cm7 F7 b
B maj7 Cm7 F7 b
B maj7
b œ œ œ œ œ œ œ œ w
&b c œ œ œ œ œ œ œ w œ
10.89 Outline No. 1 with simple rhythmic displacement
b
>
Cm7 F7 B maj7
b œ >œ œ. œ œ . > .j
&b c œ œ œ ‰ œj œ œ œ œ. œ Ó ∑
10.90 Outline No. 1 with thirds surrounded by neighbor tones

B bmaj7
>
Cm7
>œ œ œ œ œ œ
F7
> >
bœ œ œ ˙ œ .
b
&b c ‰ J œ œ œ #œ œ œ #œ œ ∑

10.91 Outline No. 1 with more chromaticism. The Eb, C, A, and F are surrounded with neighbor
tones.
B bmaj7
> > >
Cm7 F7
b >œ œ œ œ œ œ >œ œ > >œ ˙

& b c n œ b œ œ
œ #œ bœ œ œ nœ œ œ bœ œ œ œ Ó

Cm7 F7 b
B maj7 Cm7 F7 b
B maj7
b œ œ œ w
&b c œ œ œ œ œ œ œ
œ œ œ w œ œ œ
10.93 Outline No. 2 with simple rhythmic displacement
b
.
Cm7
^ >j F7 >j >
B maj7
.j
b
& b c œ ‰ œj œ œ ‰ œ œ . œ œ œ ‰ j
œ œ. œ Ó ∑
10.94 Outline No. 2 with simple diatonic embellishment

Cm7 F7 b
B maj7
b j
&b c œ œ œ œ œ œ ‰ œ œ œ œ œ œ œ œ œ ˙ œ œ œ
œ ˙ Ó
10.95 Outline No. 2 with chromatic leading tones, borrowed tones and chromatic approaches
B bmaj7
Cm7
> >
F7
> > > >
b
& b c ‰ j œ œ œ œ œ #œ œ œ œ bœ œ nœ œ ∑
nœ œ œ œ œ #œ ˙
Cm7 F7 b
B maj7 Cm7 F7 b
B maj7
b œ œ œ œ w œ œ œ œ œ œ w
&b c œ œ œ œ œ œ
10.97 Outline No. 3 with diatonic and rhythmic embellishment

B bmaj7
> > > >
œ œ œ œ >œ œ . œ.
Cm7 F7
b œ œœ œœœœœœ œ œ
&b c ‰J œœ œ J Ó ∑

10.98 Outline No. 3 with chromatic leading tones, borrowed tones and rhythmic embellish-
ment
Cm7 F7 b
B maj7
œ . >œ œ >œ œ œ # œ œ œ œ b œ œ œ. Ó
.
‰ Jœ # œ
b œ
&b c J J ∑
10.99 Outline no. 3 with highly chromatic treatment. Thirds surrounded by neighbor tones
B bmaj7
>
œ œ œ >œ œ œ >œ œ > > œ œ b œ œ >œ # œ œ .
>
Cm7 F7
b œ œ # œ
&b c ‰J nœ œ bœ #œ œ œŒ ∑
Three neighbor tone combination patterns and their inversions were illustrated in Chapter 4. These
same patterns can be applied to the three outlines. The three basic patterns are:
Combination Inverse
10.100 Outline no. 1: UNT-LNT-CT pattern over Gm and F triads, common chromatic approach
to E, 3rd of C7
j œ œ nœ œ œ œ
Gm7 C7 F
&b c œ œ œ œ #œ œ nœ œ #œ œ œ nœ œ ∑
œ #œ œ .
10.101 Outline no. 1: CT-LNT-UNT-CT pattern
Gm7 C7 F
& b œ œ œ œ œ œ #œ œ œ nœ œ #œ œ œ œ œ ˙ œ #œ œ œ ∑
10.102 Outline no. 2: UNT-CT-LNT-CT pattern
œ œ œ #œ œ nœ œ œ ˙
Gm7 C7 F
& b œ œ #œ œ œ œ œ œ œ œ #œ œ ∑
10.103 Outline no. 2: CT-UNT-LNT-CT pattern
œ œ œ #œ œ œ bœ ˙ .
Gm7 C7 F
b œ
& œ #œ œ œ œ œ œ œ œ #œ œ Œ Ó

10.104 Outline no. 2: UNT-LNT-CT pattern
Gm7
œ œ œ bœ nœ œ œ œ #œ œ œ nœ
C7 F
& b Œ œ #œ œ œ œ œ œ œ #œ œ œ
Œ Ó
10.105 Outline no. 3: LNT-UNT-CT pattern
Gm7 C7 F
& b œ œ œ œ #œ œ œ nœ œ #œ œ bœ œ œ œ œ #œ œ œ nœ œ ∑
10.106 Outline no. 3: LT & LNT-UNT-CT pattern
Gm7 C7 F
& b #œ œ œ nœ œ #œ œ œ œ nœ œ #œ œ œ œ bœ nœ œ #œ bœ œ œ nœ œ ∑
After practicing specific embellishment techniques, apply them to standard progressions. Apply them
over specific points in the piece. Entire “improvisations” can be written out and practiced as etudes.
Practicing constructing an improvisation will help prepare for spontaneous construction on the band
stand.

OUTLINE ETUDE
Here is a sample etude using outlines. Each outline is labeled. Since the form is AABA and has three oc-
currences of the A section, a different combination of the outlines was used each time. Gø7 is connected
to C7 using outline no. 1 in the first A section, no. 2 in the second, and no. 3 in the last. The basic out-
lines are elaborated using several of the approaches previously discussed in this chapter. Examine each
outline and try to identify the development devices that were used. The exact line connecting m.1 to m.2
occurs again transposed to the key of C minor in mm.13-14. Use this approach to create exercises that
will develop improvisation and melodic development skills.
10.107 Outline Etude based on progression no. 19

Gø7 C7 no. 1 Fm
& ‰ b Jœ œ œ œ b œ œ œ œ œ b œ b œ œ œ œ œ b ˙ ‰ jœ œ
nœ ∑
1
no. 1
Dø7 G7 no. 1 C
& ‰ n œj œ œ b œ œ œ œ b œ b œ œ œ œ œ # œ œ œ Œ Œ ‰ Jœ œ œ œ Ó
5 no. 3
œ
no. 1
œ #œ œ œ bœ bœ œ
Gø7 C7 Fm
‰ j b œ b œ bœ œ œ œ œ
œ œ œ bœ
& #œ œ œ ∑
no. 2
œ
9
Dø7 G7 no. 1 C
j
& ‰ œj n œ œ œ b œ œ œ œ œ bœ œ œ œ #œ œ . œ Ó ∑
13 no. 1 nœ
Bb
bœ bœ nœ œ bœ œ #œ œ
Cm7 F7 no. 1
b œ bœ œ ˙ Œ œ #œ
no. 2
& œ œ œ œ bœ œ œ œ œ #œ œ
17
œ
A b7 no. 1
œ bœ œ œ
G7
& œ bœ bœ ˙ ˙ n˙ . bœ œ ˙. Œ
21
Gø7 no. 3 C7 Fm
j
& Œ bœ œ bœ œ œ œ œ ‰ œ bœ bœ œ œ bœ œ œ œ nœ œ œ œ ∑
25
no. 1
Dø7
b
no. 1
œ œ b œ œ
G7
œ œ # œ œ œ nœ œ œ œ ˙
C
œ œ œ œ œ Ó
& œ nœ œ bœ œ
no. 1
29

EAR TRAINING
The outlines are excellent tools for ear training. The outlines address all of the important guide tones,
identify the harmonic motion, and resolve the dissonant to the consonant notes. All accidentals
necessary for modulating from a key to its closely related keys are addressed by the outlines. Sing the
outlines for ear training practice over all modulations to closely related keys.
The following chart reviews the closely related keys to the key of C major, their secondary supertonic
and dominant chords, and lists the necessary accidentals needed for modulation.
NEW KEY AREA TO TONICIZE SECONDARY SUPERTONIC & NECESSARY ACCIDENTALS

DOMINANT
ii: D minor Eø7 - A7 Bb and C#
iii: E minor F#ø7 - B7 F# and D#
IV: F major Gm7 - C7 Bb
V: G major Am7 - D7 F#
vi: A minor Bø7 - E7 G#
Practice singing these modulations from the tonic key of C to closely related keys and then returning to
the key of C using outline no. 1. Learn to hear them without your instrument. Daily practice is required
to master any skill like this. Utilize driving time or walking time as ear training time. A pitch pipe can
confirm if the modulations have brought the lines back to the tonic key. Certain modulations will be
easier than others. Practice the ones that are more difficult more often and they will not be as difficult.
OUTLINE No. 1
Modulate from C major (I) to the key of D minor (ii)

C Eø7 A7 Dm Dm7 G7 C
&c ˙ bœ œ œ œ œ œ œ œ nœ nœ œ œ œ œ œ ˙
œ œ œ œ œ œ œ #œ ˙
Modulate from C major (I) to the key of E minor (iii)
C F #ø7 B7 Em Dm7 G7 C
&c ˙ œ œ œ œ #œ œ œ œ œ #œ
nœ œ nœ œ œ œ œ œ œ œ ˙
œ œ #œ ˙
Modulate from C major (I) to the key of F major (IV)
C Gm7 C7 F Dm7 G7 C
&c ˙ œ œ bœ œ œ œ œ œ œ œ œ œ ˙ œ œ œ œ nœ œ œ œ œ œ ˙
œ
Modulate from C major (I) to the key of G major (V)
C Am7 D7 G Dm7 G7 C
œ
&c ˙ œ œ œ œ œ œ œ #œ œ œ œ œ ˙ nœ œ œ œ œ œ œ œ œ œ ˙
œ

Modulate from C major (I) to the key of A minor (vi)

C Bø7 E7 Am Dm7 G7 C
&c ˙ ‰ œj œ œ œ # œ œ œ
œ œ œ œ œ ˙ œ œ œ œ œ œ nœ œ œ œ ˙
the key of C using outline no. 2.
OUTLINE No. 2

œ #œ œ œ œ œ nœ nœ œ œ œ œ œ
&c ˙ œ œ œ œ b œ œ œ œ œ œ œ œ
œ ˙
&c ˙ œ œ #œ œ œ œ #œ œ œ œ œ #œ ˙ n œ œ œœœœœ
œ œ ˙
œ nœ
C Gm7 C7 F Dm7 G7 C
œ
&c ˙ œ œbœ œ œ œ œ œ œ œ ˙ œ nœ œ œ œ
œ œ œ œ œ œ œ ˙
C Am7 D7 G Dm7 G7 C
&c ˙ œœœ œœœ œ œ

œ œ œ œ œ œ œ #œ œ œ œ œ œ ˙ œ nœ ˙
&c ˙ œ ˙ œ œ œ nœ œ
œ œ œ œ œ œ #œ œ œ œ œ œ œœ œ œ œ ˙

the key of C using outline no. 3.
OUTLINE No. 3

&c ˙ Œ œ œ bœ œ œ œ
œ #œ œ œ œ œ ˙ œœœ œ
nœ nœ œ œ œ œ ˙
&c ˙ ‰ œj œ œ œ œ # œ œ œ œ œ œ œ ˙ œ nœ nœ œ
#œ œœ œœ œ œ ˙
C Gm7 C7 F Dm7 G7 C
œ ‰ œJ b œ œ œ œ œ œ œ œ œ ˙
œ
&c ˙ œ œ œ œ
œ nœ œ œ œ œ ˙
C Am7 D7 G Dm7 G7 C
œ œ
&c ˙ œ œ œ œ œ œ #œ œ œ œ œ ˙ œ nœ œ œ
œ œ œ œ œ œ ˙
&c ˙ œœœ œ
œ œ œ œ œ œ œ #œ œ œ œ œ œ ˙ œœœœ œ œ ˙

• Practice singing and playing all three outlines over ii7 - V7 - I in all major keys
• Practice singing and playing all three outlines over iiø7 - V7 - i in all minor keys
• Write out the outlines for progression on which to improvise
• Locate and identify other outline examples in improvisations. Identify the tech-
niques used to embellish the basic outlines.
• Create new lines over typical ii - V7 - I and iiø7 - V7 - i progressions using the out-
lines.
• Apply newly created lines over specific points in standard progressions.
• Write out solo etudes over standard progressions using outline embellishment ideas.
• Practice standard progressions using agendas suggesting the use of specific outlines
for different phrases. Example for any 32 measure form.
mm.1-4 outline no. 1

• Add other musical approaches to agendas including blues material and other tri-
adic generalization ideas, melodic paraphrasing, etc.

264 Chapter 11 Harmony: Overview of Voicings
XI. HARMONY: OVERVIEW of VOICINGS

Two or more melodic voices can suggest all of the harmonic framework over standard harmonic pro-
gressions by their juxtaposition and adherence to fundamental voice leading principles. When four or
five melodic voices occur at once, harmony is created. It is useful to think of the harmonic voicings as
vertical alignments of notes sounding simultaneously, but important to realize that each voice is a result
of a linear melodic activity. All voice leading principles from Chapter 9 apply to the interaction be-
tween adjacent chords. The basics of four and five part harmony will be discussed and illustrated fol-
lowed by a piano overview, and a brief look at arranging voicings for big band, vocal and string groups.
Review the fundamental voice leading principles when chords have downward fifth root progressions.
Thirds resolve to sevenths, sevenths resolve to thirds, fifths resolve to ninths and ninths resolve to fifths.
The ninths and fifths may be modified on dominant chords. A n9, b9 or #9 (usually shown as the enhar-
monic equivalent b10) may be used. Any ninths would still resolve to the fifth of the subsequent chord.
The b9 and #9 pitches are associated with minor keys though they are freely used in major keys to create
more tension. The fifth of a dominant chord may be replaced by a n13 or a b13, the #11 or b5. Any of
these pitches that substitute for a fifth behave as a fifth and resolve to the ninth of the subsequent chord.
The n13 is associated with a V7 in major and the b13 is associated with a V7 in minor because the n13 or
b13 of a dominant chord is the third of the tonic chord and therefore the pitch which identifies major
or minor.
FOUR PART VOICE LEADING

Three voices added to a root line creates four voice harmony. Voicings are shown below in ex. 11.1a-d
for the most common progressions: ii7 - V7 - I in major and iiø7/vi - V7/vi - vi to the relative minor.
The voicing in ex. 11.1a was created by placing the next available chord tones below the A. The voice
below A, the fifth is the third, F. The E, the ninth, or the root could have been used, but the Dm7 would
have been without the essential seventh, so the third pitch must be C. Following basic voice leading
principles, the C moves down to the B while the A and F remain. The upper part of the D chord is con-
structed from the top: 5-3-7. This chord resolves to a G chord constructed from the top: 9-7-3. Both of
these chord types has one of the two essential tones on the bottom, either the third or the seventh. The
chord type with the seventh on the bottom will be labeled a type I chord, with a third on the bottom a
type II chord. Type I chords resolve to type II chords. Since the G9 chord is a type II, it resolves to a
Cmaj7 type I chord. The line suggested by the third voice of these two chord types is often called the
“thumb-line,” as it would be the line played by the thumb when playing these chords on piano. Ex. 11.1b
illustrates the progression to the relative minor. If a type II leads to a type I, then the same progressions
can be inverted to begin with a type II resolving to a type I and back to a type II as illustrated in ex.
11.1c-d.
The limitations of four voices necessitates omission of one voice. The essential tones that identify the
chords are the third and seventh. Either a fifth or a ninth must be omitted. The fifth is often redundant
as it is heard as a result of the physics of the overtone series. The ninth may add color, but must con-
cede to the third and seventh when the fifth of the chord is called for by voice leading.

Chapter 11 Harmony: Overview of Voicings 265
11.1 a b. c. d.
I - II - I I - II - I II - I - I I II - I - I I
Major Minor Major Minor
Dm7 G9 Cm aj7 Bø7
b
E7 9 Am7 Dm7 G9 Cmaj7 Bø7
b
E7 9 Am 7
œ œœ ˙˙
& c œœœ œœ ˙˙ œœ œœ ˙˙ & c œœ œ ˙
œœ # œœ n ˙˙
œ œ ˙
œ ˙ œ #œ n˙
?c œ ˙ ?c œ ˙
œ œ ˙ œ œ ˙
œ œ
VOICE LEADING with FOUR VOICES

I – II – I II – I – II
5 – 9 – 5 9 – 5 – 9
3 – 7 – 3 7 – 3 – 7
7 – 3 – 7 3 – 7 – 3
FIVE PART VOICE LEADING

The chords from ex. 11.1 can be transformed to five voice harmony with the addition of the previously
omitted tones. The ninth (E) can be added to the Dm7 chord from ex. 11.1a. The ninth (E) would
resolve to the fifth of G9 (D) and finally to the ninth of Cmaj9 (D) as shown in ex. 11.2a.
In ex. 11.2b, the ninth of Bø7 is not used. The ninth, in this case over the ø7, blurs the distinction of the
chord quality. Instead of the ninth, the third or the root may be doubled. In ex. 11.2d, the ninth is used
over the Bø7 chord. The ninth is still quite dissonant, but voicing it in a higher register lessens the nega-
tive effect.
The addition of tones does not change the chord types since the new tones do not effect the lower
voice. The additional tones are illustrated in the inverted progression in ex. 11.2c-d.
11.2 a b. c. d.
I - II - I I - II - I II - I - I I II - I - I I
Dm7 G9 Cmaj7 Bø7
b
E7 9 Am 7 Dm7 G9 Cmaj7 Bø7
b
E7 9 Am 7
œ œœœ ˙˙˙
&c œœœ œœœ ˙˙˙ œœœ œœœ ˙˙˙ & c œœœ œ ˙
œœœ # œœ
œ œœ n ˙˙˙˙
œ œ ˙ œ #œ n˙
?c œ ˙ ?c œ ˙
œ œ ˙ œ œ ˙
œ œ

VOICE LEADING with FIVE VOICES

I – II – I II – I – II
5 – 9 – 5 9 – 5 – 9
3 – 7 – 3 7 – 3 – 7
9 – 5 – 9 5 – 9 – 5
7 – 3 – 7 3 – 7 – 3
CLOSE VOICING
The upper voices of the previous examples were examples of close voicing. Close voicings have all the
upper voices within the range of an octave.
OPEN VOICINGS
When the upper voices are not within the range of an octave they are called open voicings. The open
voicings help the listener hear the individual inner voices. A common method to change a close voic-
ing into an open voicing is to drop the second voice from the top down an octave. This open voicing is
commonly called a “drop 2” voicing. The “2” only refers to the second voice from the top and not to a
part of the chord. Ex. 11.3 illustrates the conversion of close voicings to open voicings by dropping the
second voice from the top.
The chord type changes when converting a close chord to an open chord. The second voice from the
top becomes the lowest voice above the root in the bass. The Dm9 close type II (with the third as the
lowest voice) chord in Ex. 11.3a becomes a type I (with the seventh as the lowest voice) open chord.
11.3 “Drop 2” Voicings
a. b.
II I I II
Dm9 Dm9 Dm9 Dm 9

˙ ˙˙
& c ˙˙˙ ˙ ˙˙˙ ˙˙
˙ ˙
˙
?c ˙ ˙ ˙ ˙˙
Harmonic passages using open position voicings should continue in open positions in order for the
voices to lead properly. The close position voicings of ex. 11.2 are shown in open “drop 2” position in
ex. 11.4. Play through the examples and sing the individual lines to internalize the sound of each voice.
The voices do not need to be static. The b13 (C) of the E7 resolves to the fifth (B) before resolving to
the ninth of Am9 (B) in ex. 114d.

11.4 a b. c. d.
II - I - I I II - I - I I I - II - I I - II - I
b9 b9
E7 b 13 E7 b 13
œœ œ
Dm9 G13 Cm aj9 Bø7 Am 9 Dm 9 G13 Cmaj9 Bø7 Am9
˙ œœ œœ ˙˙
& c œœœ œœ ˙˙ œ # œœ n ˙˙ œ œ ˙
œœ
œ
œœ œ ˙
œ ˙˙
œ ˙
œœ œ ˙˙ œ œ ˙ œ #œ
? c œœ œ ˙˙ œ œ n˙
œ œ ˙ œ œ ˙
ALTERATIONS & SUBSTITUTIONS for 5th & 9th
Many colorful substitutions are available for dominant chords. The fifth is often omitted. The fifth may
be heard even when absent due to the physics of the overtone series. Using the fifth may be redundant if
it can already be heard. The fifth may be omitted to lighten the sound of a voicing. A perfect fifth can
make a dominant chord seem heavy. This is a phenomenon is known to all rock musicians who call the
two note chord made of the root and fifth chord the “powerchord.” The third and seventh, the tritone,
must be present in order for the chord to sound like a dominant leaving the fifths and ninths available
for alterations or substitutions.
Other notes that may substitute for the fifth in a dominant chord include the b 5, or its enharmonic
equivalent the #11, the b13 or its enharmonic equivalent the #5, and the n13. A ninth can occur as a n9
(major ninth above the root), a b9 (minor ninth above the root), and a #9. The #9 is often spelled en-
harmonically as a b3 or b10. A G7#9 will probably be spelled with a Bb rather than an A#. (It is rare, but a
chord may be encountered that is labeled G7b10, meaning what would commonly be called a G7#9).
Alterations may be encountered that are arbitrary or due to linear concerns.
Substitutions or alterations to the ninth or fifth do not change basic voice leading tendencies. Any fifth,
its substitute or alteration wants to resolve to any ninth, its substitute or alteration which in turn will re-
solve back to any fifth, its substitute or alteration.
9 (n9, b9, #9) – 5

7 – 3
5 (b5/#11, n5, b13/#5, b13) – 9
3 – 7
The primary dominants are those derived from the major scale and the minor scale (harmonic). A G7
derived from C major yields a n5, n13, and a n9. Add three flats to yield the C minor key signature and
the G7 would yield the n5, b13, b9 and #9. Knowing this helps determine the appropriate sound. A G9, or
G13 suggests a resolution to C major; a G7b9 or G7b9/b13 suggests a resolution to C minor, but does not
rule out a resolution to major. (See ex 6.1, p.111). Some of the other alterations may suggest scales dis-
cussed in chapter 14.
There are four pitches that may stand in for the fifth and three different possible ninths, which yields
twelve possible different dominants (4 × 3). Each of these dominants below is shown in “drop 2” open
position; each has a combination of one of the four possible notes for the fifth and one of the three
ninths.

11.5 Twelve possible dominant chords
G9
b
G7 9
#
G7 9
ww b www b www
& c ww ww b ww bw
ww
w w w w
?c w w w
w w w w w w
G13 9
b
G13 9
#
G13 9
ww
& ww ww b ww b www n b www b n www
w w w w
?w w w
w w w w w w
b9 #9
b
G9 13
b
G7 13 b
G7 13
& b n ww n b www b b www b b www b b www b b www

w w w w
? w w w
w w w w w w
b9 #9
#
G9 11
b
G7 5 b
G7 5
& # ww # www b b www bw b b www

w w b b www w b ww w
? w w w
w w w w w w

Any of the above dominants will work between the Dm9 and the Cmaj7 and several will work between a
Dø7 and a Cm9. Sing the individual lines to hear the resolutions of the colorful ninths and fifths.
11.6 Colorful Dominants added to Common Cadence

#9 #9 #9
Dm9
b
G7 13 Cmaj7 Dø7
b
G7 13 Cm9 Dm9
b
G7 13 Cmaj7
w b b www ww b b www b b www w
& ww w b ww ww b b www n www
w
? ww ww w
w
w
w
n ww bw
w ww w ww
w
Voice leading principles remain uniform when using secondary dominants and whether the voicings are
in open or close positions.
11.7 Different secondary dominants replace ii7.

Voice leading remains constant with these close position chords.
n5 — n9 — n5 n13 — n9 — n5 b13 — b9 — n5
n9 — n5 — n9 n9 — n13 — n9 b9 — b13 — n9
b9 b9
D9 G9 Cmaj9 D13 G13 Cmaj9 D7b 13 G7b 13 Cmaj9
& c # œœœœ n œœœœ ˙˙˙ # œœœœ n œœœœ ˙˙˙ # b b œœœœ b n b œœœ n ˙˙˙˙
˙ ˙ nœ
?c œ ˙ œ ˙ œ ˙
œ œ œ
11.8 Different secondary dominants replace ii7.

Voice leading remains constant with these open position chords
n5 — n9 — n5 n13 — n9 — n5 b13 — b9 — n5
n9 — n5 — n9 n9 — n13 — n9 b9 — b13 — n9
b9 b9
D9 G9 Cmaj9 D13 G13 Cmaj9 D7b 13 G7b 13 Cmaj9
& c œœœ œœ ˙˙ œœ œœ ˙˙ b b œœœ b bn œœœ ˙˙

œ ˙ œ œ ˙ ˙
? c # œœ nœ ˙˙ # œœ nœ ˙˙ # œœ nœ ˙˙
œ œ œ

EXERCISES
Writing, singing and playing the following exercises will aid the understanding and retention of the
voice leading principles. The first voicing is given. If the voice leading principles are obeyed, the chords
will alternate from type I to type II and each voice should move smoothly by step to the next.
In these exercises, choose appropriate ninths and fifths or fifth substitutes based on the key signatures
and whether the dominants point to major or minor. Learn the basics first and later you may wish to
season the dominants creatively.
11.9 ii7 - V7 - I in Bb major
b
& b c œœœœ œœ
œ œœœ œœ
œ œ
Cm9
? b cœ œ œ
b ˙ œ ˙ œ ˙ œœ ˙
œ œ œ
Specific dominant colors are requested in this exercise.
11.10 iiø7/vi - V7/vi - vi in Eb major or iiø7 - V7 - i in C minor.
b œ œœ
& b b c œœœ œ œœœ œœ
b9
œ œ
Dø7 G7b 13 Cm9
? b cœ œ œ œ œ
˙ œ ˙ œ ˙ œœ ˙
bb œ
A b substitutes for D7 and moves parallel to the G7. Since they are parallel chords, thirds resolve to
thirds, fifths and their substitutes to fifths, sevenths to sevenths, and ninths to ninths. The Ab7 chord has
a n9 and used the n13 as a substitute for the fifth. Be careful with accidentals when the G7 chord resolves
to a Cmaj7 and not Cm9.

11.11
œ
&c b b œœœœ b œœ œ b b œœ
b9
œ b b œœœ
A b13 G7b 13 Cmaj9
?c bœ b œœ œ
bœ œ ˙ bœ œ ˙ bœ œ ˙ ˙
11.12 Close position key center cycle in Eb major
b b b c ˙˙˙˙
&
b9
B b13 E bmaj9 A bmaj9 G7b 13
? b c˙
Fm9
˙ ˙
Dø7
˙
Cm9
bb ˙ ˙ w
11.13 Open position key center cycle in Eb major
b b b c ˙˙˙
&
b9
˙ Fm9
˙
Dø7 Cm9
? b c ˙ ˙ ˙ ˙
bb ˙ w
11.14 Close position key center cycle in Eb major
b
& b b c ˙˙˙˙
b9
? b c˙
Fm9
˙ ˙ Dø7
˙
Cm9
bb ˙ ˙ w

11.15 Open position key center cycle in Eb major
b
& b b c ˙˙˙
b9
? b c ˙˙
Fm9 Dø7 Cm9
bb ˙ ˙ ˙ w
˙ ˙
The next three exercises use secondary keys. Follow the RNA and be careful with accidentals suggested
by the key signature of the secondary keys.
11.16 Four voice exercise with secondary keys
& b c www ww
w
?b c w
I iiø7/vi V7/vi vi7 V7/v ii7/IV V7/IV IV
˙ ˙ ˙ w
˙ ˙ ˙
11.17 Five voice exercise with secondary keys
www
&c w
?c w
˙ ˙ ˙ ˙
˙ ˙ w
11.18 Five voice exercise with secondary keys
# cw
& ww
?# c w ˙
˙ ˙ ˙ w
˙ ˙

EXERCISES 11.9-11.18 SOLVED
11.9 Solved
b
& b c œœœœ œœœ ˙˙˙ œœ œœ ˙˙
œ ˙ œ œ ˙ œœœ œœœ ˙˙˙ œœ œœ ˙˙
œ œ ˙ œ œ ˙
Cm9 F9 B bmaj9
? b cœ œ œœ ˙
b ˙ œ ˙ œ ˙ œœ œ ˙˙
œ œ œ
11.10 Solved
b œ œ œœ œœ
& b b c œœœ n œœœ b ˙˙˙˙ ˙˙ œœœ œœœ ˙˙ œœ œœ ˙
œ œ ˙ œ n œ b ˙˙ œ n œ b ˙˙
b9
Dø7 G7b 13 Cm9
? b cœ œ œ n œœ b ˙ œ
˙ œ ˙ œ ˙ œœ œ ˙˙
bb œ
11.11 Solved
b9
A b13 G7b 13
œœ b œ ˙
Cmaj9
& c b b œœœœ b b œœœ n n ˙˙˙ b œœ b b œœ ˙˙ œœœ b œœ ˙˙ b

b œ b œœ n ˙˙
nœ ˙ œ nœ ˙ b
b œ n b œœ n ˙˙
?c bœ œ ˙˙ b œœ œœ ˙
bœ œ ˙ bœ œ bœ œ ˙ ˙
11.12 Solved
b b b c ˙˙˙˙ ˙˙˙˙ ˙˙˙ ˙˙˙˙ ˙˙˙ n ˙˙˙˙ www

& ˙ ˙ w
b9
? b c˙
Fm9
˙ ˙
Dø7
˙
Cm9
bb ˙ ˙ w

11.13 Solved
b9
b b c ˙˙ ˙˙
Fm9 Dø7 Cm9
˙˙ ˙˙ ˙˙ ˙˙ ww
& b ˙ ˙ ˙ ˙ ˙ ˙ w
˙ ˙˙ ˙ ˙˙ ˙ n ˙˙ bw
? b c ˙ ˙ ˙ w
bb
11.14 Solved
b9
Fm9 B b13 E bmaj9 A bmaj9 Dø7 G7b 13 Cm9
b
& b b c ˙˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙ w
˙ ˙ ˙ ˙ n ˙˙˙ b www
? b c˙ ˙ ˙ ˙
bb ˙ ˙ w
11.15 Solved
b
& b b c ˙˙˙ ˙˙ ˙˙ ˙˙ ˙˙ ˙ w
˙ ˙ ˙ ˙ n ˙˙ b9 b ww
? b c ˙˙ ˙ ˙˙ ˙
Fm9 Dø7 Cm9
˙˙ ˙ ww
bb ˙ ˙ ˙
11.16 Solved
& b c www ˙˙ ˙ ˙ b ˙˙
# ˙˙ b b n ˙˙˙ ˙˙
˙ n ˙˙ n˙ ˙
w
ww
?b c w
I iiø7/vi V7/vi vi7 V7/v ii7/IVV7/IV IV
˙ ˙ ˙ w
˙ ˙ ˙

11.17 Solved
www ˙˙˙
&c # ˙˙˙˙ ˙˙˙ # b b ˙˙˙˙ ˙ ˙˙˙
wwww
w ˙ ˙ b n ˙˙˙ ˙
?c w
˙ ˙ ˙ ˙
˙ ˙ w
11.18 Solved
# cw ˙˙ ˙ ˙˙
& ww ˙ # ˙˙ ˙ n #b ˙˙˙ ˙
n ˙˙
˙˙ ww
˙ w
? # c ww ˙˙iiø7/vi V7/vi
˙ ˙˙vi7 ˙ n ˙˙ ˙
I V7/v ii7/IV V7/IV IV
˙ ww
˙ ˙

PIANO OVERVIEW
There are several books on voicings for piano and arranging which take the time to go into great detail.
This chapter would not be complete without an overview some of the basic principles for piano and ar-
ranging voicings. Use these examples as a point of departure and add to this base information gathered
from other books and transcriptions.
Playing key signature cycles in close positions helps visualization of the basic step motion of each line.
Every ii7 - V7 - I and iiø7 - V7 - i cadence will be played if this exercise is played in all twelve keys.
Guitarists cannot play these close position chords, but they work well on vibraphone and piano.
11.19 Key center cycle, close position voicings

b9 b b9
b
Dm9 G9 Cmaj9 Fmaj9 Bø7 E7b 13 E7 9 Am9 A7b 13 A7 9
˙ ˙˙˙ ˙˙˙
& c .. ˙˙˙ ˙˙˙ ˙˙˙ # œœœœ œœœ n ˙˙˙˙ bœ œœœ
˙ ˙ ˙ ˙ œ # œœœ œ
? c .. ˙ ˙ ˙ ˙
˙ ˙ ˙ ˙
b9 b9 b
E7b 13 A7b 13 A7 9
b # œœœœ
Dm9 G9 Cmaj9 Fmaj9 Bø7 Am 9
& n ˙˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ œ œœœ œœœœ ..

˙
˙ ˙ ˙ ˙ # œœœ œ n ˙˙˙
? ˙ ˙ ..
˙ ˙ ˙ ˙ ˙
˙
11.20 Key center cycle, close position voicings
b9 b9
b
Gm9 C9 Fmaj9 B bmaj9 Eø7 A7b 13 Dm9 D7b 13 D7 9
& b c .. n ˙˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ œœœ œœœ ˙˙˙ b # œœœ œœœ
˙ ˙ ˙ ˙ #œ œ n˙ œ œ
? b c .. ˙ ˙ ˙ ˙ ˙ ˙
˙ ˙
b9 b b9b
Gm9 C9 Fmaj9 B bmaj9 Eø7 A7b 13 A7 9 Dm 9 D7b 13 D7 9
bœ œœœ
# œœœ
& b ˙˙˙ ˙˙˙ ˙˙˙ ..
˙˙˙ ˙˙˙ # œœœœ œœœ n ˙˙˙˙ œ
˙ ˙ ˙ ˙ ˙ œ
?b ˙ ˙ ˙ ..
˙ ˙ ˙ ˙
˙

The top four voices of these open position voicings are excellent guitar and vibraphone voicings.
11.21 Key center cycle, open position voicings

b9 b b9
b
Dm9 G9 Cmaj9 Fmaj9 Bø7 E7b 13 E7 9 Am9 A7b 13 A7 9
˙ ˙˙ ˙˙
& c .. ˙˙ ˙ ˙
˙˙
˙
˙˙
˙
œœ
œ
œœ
œ
˙˙ b œœ œœ
˙ #œ œ
?c ˙ ˙˙ ˙ ˙˙ ˙ # ˙˙ n˙ ˙
.. ˙ ˙ ˙ ˙ ˙
b9 b9 b
E7b 13 A7b 13 A7 9
b œœœ
Dm9 G9 Cmaj9 Fmaj9 Bø7 Am9
œœ ..
& n ˙˙˙ ˙˙ ˙˙ ˙˙ ˙˙ œœ œœ ˙ œ
˙ ˙ ˙ ˙ #œ œ n ˙˙
# ˙˙
? ˙˙ ˙ ˙˙ ˙ ˙˙ ˙ ˙˙ ..
˙ ˙ ˙
Spice up the cycle with some altered dominants. A C7 with a #9, b9 and b13 points to F minor, but is
interesting when used to resolve to F major.
11.22 Key center cycle, open position voicings

#9 b9 b9 b9
Gm9 C7b 13 C7b 13 Fmaj9 B bmaj9 Eø7 A7b 13 Dm9
b
D7b 13 D7 9
b b œœ b œœœ
œ
& b c .. n ˙˙˙ ˙˙ ˙˙ ˙˙ œ œœ ˙ b œœœ œœ
˙ ˙ ˙ # œœ œ n ˙˙ œ
? b c .. ˙˙ ˙
˙
˙˙ ˙ ˙˙ ˙ ˙˙ # ˙˙
˙ ˙
#9 b9 b9 b9
Gm9 C7b 13 C7b 13 Fmaj9 B bmaj9 Eø7 A7b 13
b
A7 9 Dm9
b
D7b 13 D7 9
bœ œœ ..
& b ˙˙ b b œœœ b œœœ ˙˙ ˙˙ ˙˙ œœ œœ ˙˙ # œœ œ
˙ ˙ ˙ ˙ œ œ ˙
? b n˙ ˙
˙˙ ˙ ˙˙ ˙ # ˙˙ ˙ ˙ ..
˙ ˙ ˙ ˙
LEFT HAND VOICINGS

There are many different kinds of left hand voicings used by a pianist. If the pianist is playing unaccom-
panied, the left hand may play large and small chords that would often include the root. If playing in a
trio setting with a bass player, the root is often omitted and only the inner voices may be played. Many
useful left hand voicings can be derived from the voicings shown earlier in this chapter.
The notes in the bass clef of example 11.4.a are effective left hand chords that include roots. The left
hand plays the root and third which resolves to the root and seventh of the subsequent chord.

11.23 Left hand chords with roots
Dm9 G13 Cmaj9 Dm9 G13 Cmaj9
& c ˙˙˙ ˙ ˙˙ ’ ’ ’ ’ ’ ’ ’ ’
˙˙ ˙
? c ˙˙ ˙ ˙˙ ˙˙ ˙ ww
˙ ˙
The notes in the bass clef of example 11.4.c are also useful left hand chords that include roots. These are
the opposite of those in ex. 11.23. The left hand plays the root and seventh which resolves to the root
and third of the subsequent chord.
11.24 Left hand chords with roots

˙ ˙˙ ˙˙
& c ˙˙ ˙ ˙ ’ ’ ’ ’ ’ ’ ’ ’
˙ ˙˙ ˙ ˙ ˙˙ w
?c ˙ ˙ ˙ w
Pianist tend to leave off the root when playing with a bass player. These rootless voicings assume the lis-
tener hears or can imagine the roots of the chords. A basic left hand shell can be derived from ex.
11.4a. The dark notes in the first measure below are extracted for the left hand. The bass player is free to
play a bass line and the right hand is available to solo or add more to the voicings. These voicings were
introduced an octave up and in the right hand in ex. 11.1c. The chord pattern is type II - I - II.
11.25 Left hand chords without roots: II - I - II pattern
& c œ̇œ ’ ’ ’ ’ ’ ’ ’ ’
œœ̇ œ̇œ
˙˙ ˙˙ ˙˙
? c œ̇ œ œ̇ ˙ ˙ ˙
˙
Transposing to other keys will not always mean using the same II - I - II pattern. If the II - I - II pattern
were transposed up an octave for the key of F, the top notes might enter the right hand range. If it were
transposed an octave lower, it would be muddy sounding and difficult to distinguish the chord roots.
The solution is to keep the voicings centered between Eb in the bass clef and G above the staff. This is
not a hard and fast rule, but a good rule of thumb for thumb-lines. Ex. 11.26 illustrates how changing the
chord pattern to a I - II - I keeps the left hand in the ideal range. These three note chords make excellent
voicings on the inner strings of the guitar.

11.26 Left hand chords without roots: I - II - I pattern
Gm9 C13 Fmaj9 Gm9 C13 Fmaj9
& b c œ̇ ’ ’ ’ ’ ’ ’ ’ ’
œ œœ̇ œ̇œ
˙˙ ˙˙ ww
?b c œ œ̇ œ ˙ ˙ w
˙ ˙
The right hand may play a single note over the top of the three note piano shells. The top line may be
an independent line or may be a voice not played by the lower voices as shown below. There is very lit-
tle motion from one chord to the next. The interesting motion may be in the improvised line above
these chords. The voice leading is smooth even between the Cmaj7 and the Gm9 chords: the D is re-
tained, the E moves a half step up to F, the Bn down a half step to Bb. Ex. 11.27 illustrates the voicings
from ex. 11.25-26 in a typical swing setting.
11.27 Right hand added to left hand rootless chords
‰ œj œ b œ
Dm9 G13 Cmaj7 Gm9 C13 Fm aj7
j
&c œ œ. œ Ó b ‰ œ. œ bœ œ w
œœ œœ ˙˙ œœ .. œœ œœ ... œœ œœ ww
?c œ ‰ Jœ ˙ œ. œ
J Ó b ‰ œ œ ‰ Jœ w
The right hand may play octaves over the left hand shell. The piano can sound like a big band by em-
phatically playing these voicings. Extra notes may be added to the three note shell to make them four
notes shells.
11.28 Four note left hand rootless chords
œ œ œ bœ œ. œ bœ œ
œ. œ w
c
& œ ‰ œ œ bœ œ. œ Ó b ‰ œ. œ bœ œ w
J J
œœœ œœ
?c œ œ œœœœ œœœ ..
œ .. œœœœ Ó œœœ ... œœœœ œœœ wwww
‰ Jœ Œ J b ‰ œ. ‰ Jœ

Two or more notes can be added to the three note left hand shell creating a richer foundation. Notes
may also be omitted to create a more stark or sparse accompaniment.
11.29 Thick clusters and sparse left hand rootless chords

j
&c œ ‰ bœ œ bœ
J œ. œ Ó b ‰ œ. œ bœ œ w
œœœ b b b b œœœœœ ˙˙˙˙˙ œœœœœ .... œœœœœ Ó œœœ ... œœœ ‰ œœœ www
œ
?c œ ‰ J . J b ‰ J
Rich clusters of notes from may be added to both right hand and left hand chords as shown in ex. 11.30.
At the heart of the chords below can be found the basic shapes and voice leading principles from ear-
lier examples. In mm.3-4, triads are played by the right had over left hand shells. The triads are con-
structed of upper structures and color tones. The notes of the F triad are the 7, 9 and 11 of the Gm9. The
notes of the A major triad are the 13, b9 and 3 of the C7 chord. The notes of the Ab major triad are the
b13, root and #9 of the C7 chord. The notes of the C triad are the 5, 7 and 9 of the F major chord. The Bb
triad supplies the b13, root and #9 over the D7
11.30 Clusters and triads in the right hand over left hand chords
#9 #9 #9 #9
G7b 13 A7b 13
b
C13 9 C7b 13 D7b 13
Dm9
j Cmaj7
.
Gm9
œ œ bœ œ ˙˙˙
Fmaj7
œœ ..
. œ
œ b œ œ œ
& c . œœ Œ b b œœœ œœœ ‰ n n œœœœ Ó ‰ b œœœœ ... .. b .. œœœ Œ # œœœ n b b œœœ n œœœ ˙ ‰ œœ .. ..
œ bœ œ œ b œœœœ .... œœ b œœ b œœ œœœ ˙˙˙ œœ ...
? c .. œœœ Œ # œœœ œœœ ‰ œœœ Ó ‰ .. b .. œ œ Œ œ œ œ ˙
œ
‰ # œ . ..
J

Ex. 11.31 illustrates a blues progression with right hand octaves over basic three note left hand voicings.
11.31 Blues chorus

#9 b9
F13 B b9 F13 C7b 13 F13 F7b 13
œ. œ œ. œ b˙ œ. œ bœ .
& b c œ. œ Ó œ. œ Ó ‰ œœ Œ b ˙ œ. œ ‰ bœ .
J J J J
œ. œœ b œœœ ... œœ œœ b ˙˙ œœ .. œœ b œœ ..
? b c b œœ .. œ b œ n ˙ b œ. œ œ.
Jb Ó J
œ Ó ‰ J Œ
b9 J ‰
B b9 F7b 13 B b13 E b9 D7b 13
9
bœ . œ w
F9
œ œ . bœ ˙
œ . #œ œ
&b œ Œ bœ . J
œ w ‰ Jœ Œ œ b Jœ ˙ Œ #œ œ
b bn œœœ ... œ
b œœ
ww b œœœ b œœœ .. œœ ˙˙ œœ œœ
? b b œœœ Œ J
w
‰ J Œ . bœ ˙
J Œ bœ œ
#9 #9 #9
Gm9 Gm9 C7b 13 F13 D7b 5 G7b 13 C7sus C7 F13
˙. #œ œ œ . bœ bœ œ œ œ bœ œ
œ
& b ˙. #œ œ œ . bœ Œ ‰ œ Œ ‰ bœ Œ ‰ œ Œ ‰ Jœ œ bœ œ
J J J J
˙. œ œœ b
œœ .. œ œ œ œœ n b œœœ œœ œœ b œœ œœ
? b ˙˙ .. b œœ œ œ . œ Œ ‰ b œœ Œ ‰ Jœ Œ
b ‰ J Œ ‰ Jœ œ œ bœ
J J
ACCOMPANIMENT CLASSIFICATIONS
The right hand and the left hand were shown in the examples above to always be acting in concert as
one unit. The two hands can behave separately like two sections in a band or orchestra, with the left
hand accompanying the right hand. All accompaniment patterns can be classified into one of three
categories: dialog, independent, and simultaneous. It might seem there should be more than three, but
the melody and accompaniment can either be playing at different times, playing at the same time but
independently, or playing at the same time. A bop line in ex. 11.32-34 shows examples of the three cate-
gories of accompaniment patterns.
DIALOG
A dialog is created between the primary and secondary material when the melody is played alone and
the accompaniment answers filling in the spaces between the phrases. The answers can be in the form of
lines or rhythmic jabs punctuating the previous phrase or anticipating the next.
INDEPENDENT
The melody and accompaniment may be independent from each other, both pursuing musical goals
that may or may not always rhythmically and harmonically agree. Independent accompaniment pat-

terns include the Alberti bass patterns, ostinato figures, and repeated rhythmic patterns that establish a
groove including the “Charleston Rhythm,” clave beats or montunos.
SIMULTANEOUS
The melody and the accompaniment may act in concert, simultaneously playing exactly the same
rhythms or accenting the significant points of the melody. This accompaniment category can be very
emphatic and useful for climactic phrases and sections of a piece.
11.32 illustrates a type of dialog. The left hand plays primarily in rhythmic places where the melody
rests. The chords jab and sharply punctuate the bop line propelling it forward. Any of these examples
could easily be orchestrated for an ensemble as it is written for the piano. The top line could be played
by one group of instruments (trumpet and alto saxophone) while the accompaniment could be played
by another group (trombones).
11.32 Bop line with Dialog accompaniment pattern

Gm7 C7 Gm7 C7
j œ j j
‰ # œj œ œ œ œ n œ œ œ Œ ‰ œ ‰ œ œ œ œ œ œ œ œ
3
&b c œ J bœ œ
‰œ ‰œ‰œ
J
œ œœ œœœ œœœ b œœ
?b c ‰ Jœ ∑ Œ ‰ JÓœ œ
‰ JŒ Ó ‰ Jœ Œ Ó
F B b7 G #°7 3 Am7 D7
j
‰ Jœ œ
3
&b œ œ œœœ œ ‰ Jœ ‰ Jœ œ œ n œ œ ‰ œ œ œ #œ œ œ œ œ œ Ó
œœ b œœ # n œœœœ œœœ b œœœ œœœ
?b Ó ‰ Jœ Œ ‰ œ‰ JÓ œ
‰ JŒ Ó Ó ‰ #œ ‰ n œ
J J J
There are times when the accompaniment is used to set up a groove or rhythmic bed for the primary
material. An ostinato bass line, specific Latin grooves based on the clave beat, or a montuno are exam-
ples. In a jazz style, the rhythmic pattern may be the Charleston beat or a variation where the chords an-
ticipate each downbeat. The European conception of where these chords occur would be on the down-
beat of beats one and three. In Ex. 11.33, each chord is anticipated, arriving on the upbeats of beats four
and two, coming right after the backbeats. Practice playing the left hand groove with the metronome on
two and four. Imagine the metronome is a swinging hi-hat playing the backbeats. The chords should
sound right after the backbeats. When this groove is established, try adding the melody and playing
other independent lines while keeping the upbeat groove constant. There are great examples of this
groove in passages by Wynton Kelly, Red Garland and others. A pianist who learns this pattern develops
rhythmic independence.

11.33 Bop line with Independent accompaniment pattern

Gm7 C7 Gm7 C7
j œ j j
‰ # œj œ œ œ œ n œ œ œ Œ ‰ œ ‰ œ œ œ œ œ œ œ œ
3
&b c œ J bœ œ
‰œ ‰œ‰œ
J
œ œœ œœœ œœœ œœœ œœœ œœœ b œœœ b œœœ œœœ
?b c ‰ Jœ œ œ œ
Œ ‰ J Œ ‰ J Œ ‰ J Œ ‰ J Œ ‰ J Œ ‰ J Œ ‰ J Œ ‰ Jœ
œ œ œ œ
F B b7 G #°7 3 Am 7 D7
j
‰ Jœ œ ‰ Jœ ‰ Jœ œ œ n œ œ
3
&b œ œ œœœ œ ‰ œ œ œ #œ œ œ œ œ œ Ó
b‰ œœœœ Œ ‰ # n œœœœ Œ ‰ n œœœœ Œ

œœ œœœ œœœ b œœœ œœœœ
?b Œ ‰ œJœ Œ J J
œ
‰J Œ œ
‰J Œ ‰ Jœ Œ
# n
‰ J
J
The emphatic quality of the simultaneous accompaniment pattern lends itself to climactic phrases. It
can be overbearing if used to often, and seeks the release of its unrelenting energy. Excellent examples
of this accompaniment concept can be heard in improvisations by Bill Evans and others.
11.34 Bop line with Simultaneous accompaniment pattern

Gm7 C7 Gm7 C7
j œ ‰ œj ‰
& b c ‰ # œj œ œ œ œ œ œ ‰ œj
3
œ n œ œ œ Œ ‰ Jœ ‰ œ œ œœœ œ œ
bœ œ J
œ œ œœœœ œœœœ œœœœ œœœœ Œ ‰ œœœœ Œ ‰ œœœœ Œ œœœœ œœœœ œœ œœ ‰ b œœœ œœ œœ
? b c ‰ œœœ ‰ œœœ œ œ
J J J J J ‰ J‰J
F B b7 G #°7 3 Am7 D7
œ œ ‰ œj œ œ # œ œ œ œ œ œ Ó
3
œ ‰ Jœ ‰ œ œ œ n œ
&b œ œ œœ œ œ ‰ J J
œ œ œ œ œœœ œ œ
? b œœœœ œœœœ ‰ œœœœ ˙˙˙˙ b œœœ ‰ # n œœœ ‰ œœœ Œ œœœ Œ œœœ œœœ
3
œ
‰ J Œ #
‰ JÓ
J J
Using a variety of different accompaniment patterns can help generate the excitement and drama of an
improvisation or arrangement. During his improvisation on Freddie Freeloader, Wynton Kelly employs
each of the accompaniment pattern. (Kelly’s entire improvisation is shown in chapter 18). In the first
chorus he employed the dialog approach, answering phrases with almost inaudible two or three note
rootless shells. As the solo buily, he began playing his left hand chords independently on the upbeats of
four and two. At the climatic point, he played the authoritative passage shown in Ex. 11.35. The left hand
chords supported almost every note played by the right hand. The right hand line was strengthened by
the octave doubling of several notes. He did not continue playing this style for long, changing back to
the independent Charleston rhythm in the last measure. It is easy to imagine this powerful passage being
played by a big band as orchestrated.

œ nœ bœ bœ
11.35 Climactic section of blues improvisation
#
œ bb œœ œ œ
A b9 11 B b7
œ œ œ3 b œ œ œ
b œ >œ >œ >œ œ Œ œ nœ bœ bœ
3
&b c J ‰ œ œ œ œ ‰ J œ
J J
œœ œœ œœ œœ .. œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ b œœ œœ
? b c ‰ b œ œ œ œ . œ b œ œ œ œ œ œ œ bœ œ Œ nœ bœ
b J J ‰ J
n œ b œ b œ œ b œ3
3 3
b œ œ b œ œ œ œ œ œ
b œ œ ‰ n œ b œ b Jœ œ n œ b œ n œ œ œ bœ œ nœ œ ¿
3
&b ‰ J œ Œ œœ n¿
œœ b œœ œœ œœ œœ œœ ¿
bœ nœ œ œ œ bœ œ
bœ ‰ œ Ó œ
? b Œ ∑ J
b
ARRANGING VOICINGS in BRIEF

When students begin an arrangement for big band, their first concern is usually big voicings. Students
will sit and search for the ultimate chord for each individual note of a piece. The flaw in this conception
is that instead of thinking horizontally, they are thinking vertically. The music will eventually be heard
horizontally. One student, after hearing his arrangement played, and asked why it seemed so heavy and
sluggish. The sluggishness was not because of a tempo beyond the reach of the band. The sluggishness
was a result of too much emphasis on voicing and not enough on linear development. Each melody
note of the piece was thickly voiced from the top to the bottom. On the bottom of each voicing was a
bass trombone, a baritone saxophone and the bass playing roots. It is no wonder that the piece felt
sluggish carrying all that weight. This section will discuss big band voicings for the individual sections
and combinations of sections, with a warning to remember that melodic lines propel the piece, not
voicings. One of the best voicings for any section is unison. Listen to eighteen first violins playing a
melody in unison, or five saxes, or two trumpets and two altos saxophones, or a guitar, alto saxophone
and flute playing in three octaves and decide if voicings are needed at all.
SAX SOLI VOICINGS
A common device for a saxophone section is to have them play a harmonized soli. Voice leading prin-
ciples are not always relevant in this case. All the voices should move parallel in order to focus on the
melodic contour. Identify the chord tones of the line first, then deal with the non-harmonic tones.
Voicing is done from the top down from the melody note.
FIVE PART BLOCK
Five note block voicings are usually conceived within an octave finding chord tones from the top
melodic note down. The top voice is usually doubled in the bottom voice an octave lower. These chords
are agile and can move swiftly and lightly with saxophone sections. The five note block may be opened
up using “drop 2” voicings where the second voice from the top is transposed down and octave. “Drop
2” voicings are usually chosen for range considerations when a line may get too high for the baritone
saxophone to blend well. The melody note will still be doubled by the tenor 2 instead of the baritone.

11.36 shows a Gm7 chord with a Bb melodic note. The chord tones for a Gm7 are G, Bb, D, and F. The
ninth, A, would not be a good choice in this case as it may distract from the Bb melody note. Begin with
the melody note and find the next chord tones below. In m.2, a close position chord is shown where the
alto 1 will play the Bb, the alto 2 the G, tenor 1 the F, tenor 2 the D and the Bb melody note will be dou-
bled an octave lower by the baritone. A “drop 2” voicing is shown where the tenor 2 has the melodic
doubling at the octave. These block voicings are common in traditional arrangements.
A voicing that incorporates extra color tones is shown in m.3 of Ex. 11.36. Instead of just the Gm7 chord
tones, a Cn has been added for color. The chord is comprised of the G minor pentatonic scale. It is
shown in close and open positions. This type of voicing may produce a more modern sound and was
often used by Thad Jones and others. These colorful voicings work beautifully, but they can detract from
the melody for two reasons: the extra note eliminates the melodic doubling at the octave and the extra
color tones may struggle with the melody for attention.
11.36 Saxophone voicings
Traditional With extra color note
Close Open Close Open
Gm7 Gm7 Gm7 Gm7 Gm 7
&b c w www ww www ww

ww www ww www
The Fmaj7 chord in ex. 11.37 is shown with C in the melody. The chord tones of a Fma7 are F, A, C, E
and possibly G as the ninth. Close and open position voicings are shown in m.2 using just the 1-3-5-7 of
the Fmaj7 chord. The root is usually covered by the bass, so it may be redundant in the saxophone sec-
tion. Not having to use the root allows for a more colorful voicing to be used utilizing the upper 3-5-7-9
structure of the chord. The root can be replaced by the ninth (G). The ninth in no way conflicts with the
melody note, and in fact may provide enhanced support at the interval of a fifth. Close and open posi-
tion voicings without the root are shown in m.3.
The melody is not doubled at the octave in m.4, instead opting for the extra color tone D. The voicing
includes all the pitches of a C major pentatonic scale used as a voicing over the Fmaj7. This is a more
colorful chord, but comes with the same warning as the one shown in ex. 11.36: it does not have the
doubled melody and the color tones may compete with the melody for attention.
11.37 Saxophone voicings
Traditional with root Traditional without root With extra color note
Close Open Close Open Close Open
Fmaj7 Fmaj7 Fm aj7 Fm aj7
&b c w ˙˙˙
˙˙
˙˙
˙˙
˙˙˙
˙˙
˙˙
˙˙
˙˙˙
˙˙
˙˙
˙˙˙
˙ ˙
Here are a number of different voicings for the Gm7 and Fmaj7 chord tones. The chords marked with
an ‘*’ have no root in the chord using only the upper structure. The ninth was not used in the voicing if
the melody note was the root or the third as the ninth may detract from the melodic clarity.

11.38 Saxophone voicings for Gm7 chord tones
œ œœœ œœœ* œœ œ* œœœ œ

Gm7 Gm7 * Gm7 * * Gm 7
b œ œ œ œ œ
œ œ
œ
*
œœ œœœ œœœ œœœ œœ œœ œœ œœœ
& œ œœœ œœ œ œ œœœ œ œœœ œ œœ
œ œ
œ œ œœ
œœ œœ œœ œœ œ œ œœ œ œ œœ œœ œœ œœ
?b œœ œœ œ œ œœ œœ œœ
11.39 Saxophone voicings for Fmaj7 chord tones

Fmaj7 Fmaj7 Fmaj7 Fmaj7
œ œ *
œ œ
œ
* *
œœ œœ* *
œœ* œ
*
œ œœ
œœœ œœœ œœœ œœ œ œ œœ
* *
b
& œ œ œ
œœ œœ œœ œ œ œœ œœœ œ œ
œ œ
œ œœ œœ œ œœ œœ œœ œœ
œ œ œœ œœ œœ œ
?b œœ œ œœ œœ
There are more voicings available for a dominant chord due to the numerous combinations of alter-
ations and substitutions for the ninths and fifths of a dominant chord. Ex. 11.40 is not exhaustive, but
lists several possible voicings for C dominant seventh chords. The voicings are shown in close position.
Dropping the second voice from the top would create open position voicings.
11.40 Saxophone section voicings for C7 chord tones

b b9
C9 C7 9 C7b 13
& b œœ œœœ œœœ œœœ œœ

œ œ œ
œ b œœœ œœ b œ b œœ b b œœœ b œœœ
œ b œœœ b œœ œ œ b œœœ b œœ œ
œœ œœ œœ œ b œœ b œœ b œœ b œœ
œœ œœ b œœ b œ b œœ b œœ
? b œœ œœ
NON-HARMONIC TONES
Identify the chord tones to begin harmonizing a melody. Determine the best voicing for the chord
tones before attempting to harmonize the non-harmonic tones. Non-harmonic tones may be harmo-
nized in three ways: diatonic parallel motion, chromatic parallel motion, or tonicization by inserting a
dominant or leading tone chord or a string of dominant chords before the resolution to a chord tone.
DIATONIC PARALLEL
The C is not a chord member of the Gm7 but occurs between the two chord tones Bb and D. The first
and third chords in ex. 11.41 are voiced as Gm7 or Gm9, the chord in between moves parallel using dia-
tonic tones. The second chord is an Am7, but is heard on the weaker beat between two Gm7 chords and
does nothing to confuse the harmonic passage. The chords are shown in close and open positions.

11.41 Diatonic parallel passing chords

Gm7 X Gm7
&b cœ œ ˙ œœœ œœœ ˙˙˙ œœ œœœ ˙˙˙

œ
œœ œœ ˙˙ œœ œœ ˙˙
?b c ∑
The Bb is not a chord tone of Fmaj7 but occurs between the chord tones A and F. The chords in ex.
11.42 move parallel using diatonic tones. The passing chord is a Gm7 between two Fmaj7 voicings. The
chords are shown in close and open positions.
11.42 Diatonic parallel passing chords

Fmaj7 X Fmaj7
&b cœ œ ˙ œœœ œœœ ˙˙˙ œœ œœ ˙˙˙

œ œ
?b c œœ œœ ˙˙ œœ œœ ˙˙
∑
CHROMATIC PARALLEL
The notes marked with an “¿ ” are not chord tones, but chromatically lead to chord tones of Gm7.
Determine the type of voicing desired for the Gm7 chord tones and approach each voice of the chord
from a half step below. Every Gm7 chord is preceded by an F#m7 chord. The chords are shown in tradi-
tional close position voicings and open position voicings with an added tone.
11.43 Parallel chromatic chords
j j œ
Gm7 Gm7 Gm7
# œ œ X X
#
X
œ œœœ œ œ # œ
& b c ‰ J œ œ # œ œ ‰ # œœ # œœ n n œœ ‰ # œœ œœ œœ œœ # œ n œ
# # œœœ n œœœ # œ œ n œœ n œœ
# œœ œœ œ œœ œœ œœ œ œ œ b œ
?b c œ œ
#œ œ ‰ Jœ n #œ œ œ n œ
∑ ‰ J
The line in ex. 11.44 is a sequence of ex. 11.43 for Fmaj7. Voicings should be first determined for the
Fmaj9 chords and approached chromatically. Every Fmaj9 chord is preceded by an Emaj9 chord. The
chords are shown in traditional close position voicings and open position voicings with an added tone.

11.44 Parallel chromatic chords

Fm aj7 Fmaj7 F
j j
œ œ œœ # œ œ
X X X
b c ‰ n œ ‰ n œ ‰ n œ
& œ
J # œ œ œ # # œœ n œœ # # œœœ œ
n œœ n # œœœ n n œœœ # # œœ œ # œœ n œœ n œœœ n n œœœ
n # œœ œœ # œœ œœ œ œœ #œ œœ n œœ n œœ œ n œœ
?b c ∑ ‰ J œ ‰ # Jœ #œ
DOMINANT or LEADING TONE
Non-harmonic tones often belong to the dominant of the primary chord. In ex. 11.45, all of the non-
harmonic tones could belong to a D7b9 (V7 of Gm), or a F#°7 (vii°7 of Gm). Pitches marked with “↓” are
chord tones of Gm7 and anticipate the downbeats of one and three. All other voicings use the 3-5-7-9 of
the D7b9, or the 1-3-5-7 of the F#°7: F# - A - C - Eb. The Gm7 voicing on the upbeat of beat four includes
the root. The ninth might have been a more colorful choice, but the alto 2 would repeat the A. Having
the alto move to the G retains the contour of the line which is more important than individual chords.
11.45 Functional dominant & leading tone chords

Gm7
j b œ ↓œ
Gm7 ↓
‰ Jœ b œ œ œ œ œ œ œ # œ œ œ Ó œœ œ œ œ œ œ œ
↓ ↓
&b c Ó œ
‰ # œ œœ n œœ
↓ ↓
b œ œ b œœ # œœ n œœ œœ # œœ œœ œ
œ œ
œœ b œœ œœ œœ œ œœ œœ œœ œ œ
?b c ∑ ∑ Ó ‰ J #œ b œœ œ n œ
In ex. 11.46 all of the non-harmonic tones are chord tones of a C7b9 (V7 of F minor), or a E°7 (vii°7 of F
minor). The F chord tones marked “↓” are preceded by E°7 chords.
11.46 Functional dominant & leading tone chords

Fmaj7 ↓ Fm aj7
j ↓
‰ œ bœ œ œ œ œ œ œ œ œ œ Ó ‰ œœ b œœœ œœ œœ œ œ œ
↓ ↓
&b c Ó
↓ ↓
J œ œ b œœ œœ œœ œœ œ œ œ
bœ œ œœ œœ œœ
?b c œœ b œœ œœ œœ œ œœ œœ œœ œ œœ n œœ
∑ ∑ Ó ‰ J œ bœ
Functional diminished chords may have tones added that are usually a whole step above one of the
chord tones These tones are derived from a symmetrical diminished and not the harmonic minor
scale. Ex. 11.47 uses several diminished chords to voice non-harmonic tones. The passing tone between
Bb and G is voiced as an F#°7 without added tones. The F is voiced as a B°7 with an added Db and moves
chromatically down to a C7b9. All of the melody notes spell out the E°7 chord and are voiced with extra
notes a whole step above one of the chord tones. The extra notes include a C, Eb, F#, and A.

11.47 Diminished chords with added tones

Gm7
b
C7 9 Fmaj7 Gm7
b
C7 9 Fmaj7
& b c œ œ œ œ œ œ œ bœ ˙ Ó œœ œ œ b œœœ ˙˙ Ó
œ œ œ œ #
b œœ œœ n b œœ b n œœœ b œœ n œ œ ˙
œœ bœ œ n ˙˙
?b c ∑ ∑ # œœ n œœ b œœ b œœ œœ œ œ Ó
Not all lines need to or should be voiced. Some lines are stronger in unison or octaves. A line may
move from unison or octaves to being voiced at the top or ends of phrases.
11.48 Unison lines ending with harmony
B b7
b ‰ j œ œ œ b œ œ # n œœ œœ œœ
&b c œ bœ œ œ #œ nœ
#œ œ # œn œ
? b c j œ œ œ b œ œ n œœœ n œœœ œœœ œ bœ œ œ nœ bœ
b ‰ #œ œ # n œœ n b œœ
Some lines lend themselves for the treatment illustrated in ex. 11.49. The line begins in unison, splits in
contrary motion. The top line rises while the lower line descends creating an expanding wedge which
produces a sense of growth to the passage. The widest spread between the outer voices occurs at the cli-
max of the line.
11.49 Unison lines spread in contrary motion to voicings at high point
&c Ó ‰ j œ œ œ
œ œœ œ ww
œ œ # œ œ œ # œ n œ œ œœ
œ œ w
?c Ó œ œ #œ œ #œ nœ bœ œ œ bœ œ w
‰ J bœ œ w
Many non-harmonic tones lend themselves to several harmonization choices. The melody note at (a.)
in ex. 11.50 could be voiced using a functional F#°7 or a parallel chromatic F#m7 chord. The F (b.) is a
chord tone of Gm7 or the secondary dominant G7 and its tritone substitute Db. In the first setting, an
F#°7 is used at (a.) and a Gm7 at (b.). The second setting uses the chromatic F#m7 at point (a.). At (b.) a
D b7 chord is used which is both a chromatic parallel voicing and a functional tritone substitute domi-
nant.

11.50 Functional F#°7 Parallel chromatic F#m7
a. b. C7 a. b. C7
‰ œj œœ œœ œœœ œœœ ‰ œj œœ œœœ œœœ œœœ

Gm7 Gm7
& b œœ b œœ œ œ ∑ œœ ∑
œ œ # œœ œ
œ œ œœ œœ œœ œœ œœ œœ b b œœ œœ
? b œœ ‰ # Jœ œ ∑ œœ #
‰ J ∑
MELODIC LINE SHOWN with OPTIONS
Since there many harmonization possibilities, it would be useful to examine a number of options for a
common line.
11.51a Basic line

Gm7 C7 F
œ œ # œb. œ œ b œ œ
‰ # œj œ œ œ
a. c.
&b Ó
3
This melody could be harmonized with four voice blocked with the melody doubled at the octave or
five voices with added color tones in the style of Thad Jones. The three non-harmonic tones (a., b., and
c.) could be treated in the following methods:
a. (1) Parallel chromatic: F#m7 moving up to Gm7.

(2) Functional dominant or leading tone: Gm7 preceded by a D7b9 or F#°7.
b. (1) Parallel chromatic: B7 moving up to C7.
(2) Secondary dominant: G7 or tritone substitute dominant, Db7, resolving to C.
c. (1) Parallel chromatic: Gbmaj7 moving down to Fmaj7.
(2) Secondary dominant: C7 or tritone substitute dominant Gb7, resolving to Fmaj7.
11.51b illustrates all parallel motion using “drop 2” four part voicings with the melody doubled an oc-
tave lower by the tenor 2. Non-harmonic tone treatment: (a.) parallel chromatic motion: F#m7 up to
Gm7; (b.) parallel chromatic motion: B7 up to C7; and (c.) parallel chromatic motion: Gbmaj7 down to
Fmaj7. 11.51c illustrates all dominant functions using “drop 2” four part voicings with the melody dou-
bled an octave lower by the tenor 2. Non-harmonic tone treatment: (a.) functional vii°7/ii: F#°7 to Gm7;
(b.) secondary dominant: Db9 as a tritone substitute for G7 resolving to C13; and (c.) secondary domi-
nant: Gb9 as a tritone substitute dominant for C7 resolving to Fmaj9.

11.51b “Drop 2” four voice 11.51c “Drop 2” four voice using °7

using parallel chromatic motion & dominant substitutes
3 Gm7 C7 F 3 Gm7 C7 F
œ œœ œœ b b œœ œ Ó ‰ j œ œ œ bœ nœ œ
& b c Ó ‰ # œœj œœ n œœœ œœœ œœ œœœ # # œœ
#œ œ œ œ n œœ # œœ œœœ n œœ œœ œœ œœœ b n œœ n œœ œœ b b œœœ œœœ
# œ œ œ
3 œ œœ œœ #b.œ œœ œœ b œœ n œœ 3 œ œœ œœ b b œœb. œœ œœ bc.œœ n œ
? b c Ó ‰ # œœ n œœ œœ œ œœ
c.
œ œ
Ó ‰ b œJ œ œ
a.
# œ n œ
a.
There is a slight difference between ex. 11.51b and 11.51.d. Ex. 11.51b uses four distinct voices with the
melody doubled at the octave; e. 11.51d uses five distinct voices. Non-harmonic tone treatment: (a.) par-
allel chromatic motion: F#m7 up to Gm7; (b.) parallel chromatic motion: B7 up to C7; and (c.) parallel
chromatic motion: Gbmaj7 down to Fmaj7. 11.51e harmonizes the passage using the same principles as
shown in ex. 11.51c but eliminates the melodic doubling in favor of a fifth voice. Non-harmonic tone
treatment: (a.) functional vii°7/ii: F#°7 to Gm7, (b.) secondary dominant: Db9 as a tritone substitute for
G7 resolving to C13; and (c.) secondary dominant: Gb9 as a tritone substitute dominant for C7 resolving
to Fmaj9.
11.51d “Drop 2” four voice 11.51e “Drop 2” five voice using °7

using parallel chromatic motion & dominant substitutes
3 Gm7 C7 F 3 Gm 7 C7 F
&b Ó ‰ # œj œ n œœ œœœ œœœ œœœ # # œœ œœœ œœ b b œœ œ Ó

œ œ n œœ ‰ # œj œ n œœ œœœ œœœ œœœ b b œœœ n n œœœ œœ b b œœ
œ œ
œœ
œ
# n œœ n œœ œ #œ œœ œœ œ
3 œ œœ œœ # b.œ œ œœ bc.œœ œœ 3 œ œœ œœ b bb.œœ œ œœ bc.œœ œœ
?b Ó œ
a.
œ œœ œ œœ œ
a.
œ œœ œ œ
‰ J œ œ Ó b
‰ J œ œ
In the search for the best setting for a line, do not rule out simplicity for the sake of dense harmony. The
setting in ex. 11.51f is quite useful. The melody is set as a single line over four voices providing a har-
monic foundation.
11.51f Single line with harmonic accompaniment

G m7 C7 F
&b Ó ‰ # œj œ œ œ œ œ # œ œ œ b œ œ
3
œœ b œœ œœ œœ
?b ∑ œ ‰ œœ œœ ‰ œ
œ J œ
J
Is there much difference in the previous settings that the listener will be able to discern? Maybe not. The
listener may only remember the top line rather than some dense, incredibly “hip” voicing on the up-
beat of two screaming by at 288 on the metronome. If the listener only comprehends the top melody

line, then they have perceived the most important part of the piece. That is the important thing to re-
member: place the melody in the best setting and only do things that enhance and nothing that detracts
from the melody. To make a decision about the best setting for a line, the following things may be con-
sidered:
• The forward flow and melodic integrity: Does the setting enhance the primary lines? Does it
help or hinder the forward flow?
• Where does it occur in the arrangement: Nearer the beginning may need to be simpler and
towards the end may want to gradually become more complex.
• Context: How will a particular setting blend or contrast with what came before and what
comes next?
• Inner parts: Which settings lend themselves to the smoothest voice leading. Inner parts that
are too awkward may detract from the melody and the forward flow.
Some harmonization concepts may be applied to several notes in the passage. The line from ex. 11.51
below is extended by a measure and uses extended chromatic parallel motion and dominant cycles. The
Gm7 is chromatically preceded by the F#m7 chord. The C7 is twice preceded by a Db7 chord, which is
both parallel chromatic motion and a functional dominant substitute. The C7 in m.3 is preceded chro-
matically by a Bb7 and a B7. The last six chords all point to the F7 through a series of dominants. Begin
a harmonization like this from the destination chord and work backwards to the beginning point. The
last chord is F so the preceding dominant must be C7. The dominant of C is G7, so it must be preceded
by a D7. The dominant of D is A whose dominant is E7. All of the inner voices move smoothly, and
while they may be a bit difficult to sing, the can be easily played by a saxophone section. The chromatic
tones are shown below according to vertical chord spellings. If this passage was copied out for individ-
ual instruments, enharmonic spellings should adhere to linear considerations. In beat two of the second
measure below, an Eb is in the melody resolving up to the En. The Eb was chosen to help visualize its rela-
tionship as the ninth of Db9. It should be written as a concert D# leading to En in the individual part. In
order to avoid awkward repeated tones, some inner voices may cross as indicated by the lines in m.2.
11.51g Extended chromatic and dominant devices

F #m 7 Gm 7 3 D b7 C7 D b7 C7 B b7 B 7 C7 E7 A7 D7 G7 C7 F7
‰ # œj œ n œœ œœ œœœ œœ b b œœ n œœ œœ b œœ n œœ œœ # n œœ œœ œ œœ b œ b œ n œ œ
&b c Ó œ œ œ œ œ œ œ œ #œ œ n œœ # # œ n n œœ b n œœ b b œœ n œ
# œœ œœ œ œ
œ œœ œœ œœ b b œœ œœ œœ œœ œœ b n œœ # œœ œœ # n œœ n n œœ b œ b œ n œ n œ
œ
‰ # œJœ n œ œ
3
?b c Ó # œn œ œb œ
BRASS VOICINGS
Brass voicings are constructed from the top melodic pitch down as were saxophone voicings. There are
two basic styles for combining the trumpets and the trombones. A more traditional approach is for the
trombones to play an octave lower exactly the same thing as the trumpets. A more contemporary sound
may have them playing independent parts of the chord. Some of the simpler combinations are shown
in Ex. 11.52. The chord at (a.) would sound bland for a jazz chart. It can be improved by opening the
chord up and adding a thirteenth as at (b.). The chords c., d., and e. illustrate matching voicings played
by both sections. The root may be used in the lowest trombone as at f., g., and h., but is best suited for
the end of a phrase. Using roots voiced low can be powerful during emphatic jabs, but can make the line
feel sluggish if used too often.

11.52 Brass voicings for C7

a. b. c. d. e. f. g. h. i. j.
TRUMPETS:
www ww ww ww
www wwww www wwww ww
& b wwww www
w w w w
ww ww
ww www wwww www ww ww ww ww ww

? b wwww
TROMBONES:
w ww
ww w ww ww ww ww
One method for creating more interesting combinations and colorful chords is to voice the trumpets in
various triads over the traditional chords in the trombones. Triads resonate well because of the physics
laws of the overtone series, and this is true even when the superimposed triad does not agree with the
underlying structure. An A major triad (a. and e.) over a C7 chord creates a C13b9. The Ab major triad
(b. and f.) yields the #9 and b13 over a C7 chord. An F# major triad (c. and g.) creates a C7 with a b5 or
#11 and a b9. A D major triad (d. and h.) creates a C9#11. Notice that the fifth is often not used in the
trombones so as not to disagree with the #5, #11, 13 or b13.
11.53 Brass voicings for C7 using triad superimposition

a. b. c. d. e. f. g. h.
TRUMPETS:
ww bw #w # www w bw #w # www
& ww
b # n b b www # # # www w # www n b b www # # # www w
b ww b b www
bw b ww n ww b www w
b b wwww wwww
TROMBONES:
? b www ww ww ww w
Tighter, close position voicings are more agile. Voicings with large spreads do not move briskly, but are
quite effective as punctuation during and at the end of phrases or sections. The first three voicings would
be useful during more rapidly moving lines; the last two for the culmination of a phrase. The first three
illustrate again the idea of the trombones mimicking the trumpets at the octave. The root is not included
in the first three voicings, since it would appear in the bass part. These chords are Fmaj9 constructed of
the 3-5-7-9 of the chord.
11.54 Brass voicings for Fmaj7

TRUMPETS:
www www w www

& b wwww w w www w
www www ww ww
? b wwww
TROMBONES:
w w
ww ww

Several voicings are shown below for Gm7. Chords a.-f. are suitable for moving lines and assertive
statements. Chords g. and h. are better for the conclusion of lines or bold jabs, due to the wide range of
the voicings and the root on the bottom. Chords b. and c. are almost the same, except c. has the ninth,
a more colorful note, instead of doubling the root. Chords d., e., f., and h. illustrate the use of a triad
voiced in the trumpets over the fundamental chord in the trombones. The F triad creates a Gm11 chord.
11.55 Brass voicings for Gm7

a. b. c. d. e. f. g. h.
TRUMPETS:
www www ww
www www www ww w www ww
& b wwww w w w ww w w
w www w w ww ww
wwww wwww www www
TROMBONES:
? b wwww www w ww ww
11.54 shows the triadic superimposition formulas over a turnaround in the style of Thad Jones. The first
Dm7 chord is voiced identically in the trumpets and trombones. The next four chords all feature paral-
lel triads over the fundamental voicings in the trombones. The A over a G7 creates a G9#11. The Ab over
the C becomes a C7 (b9/b13). The two chords are sequenced creating an F9#11 and a Bb7 (b9/b13). The
bass and fifth trombone are playing the roots. The next two lowest notes on the four dominant chords
were the third and seventh. Stacking triads and color tones over a dominant chord works best when the
tritone is on the bottom helping identify the basic dominant chord quality.
11.56
#9 #9
TRUMPETS: Dm7
#
G9 11 C7b 13
#
F9 11 B b7b 13
# ˙˙ ˙ n œœ .. b b œœ
b b c œœœ Œ # ˙˙
n b b ˙˙˙ n œœ .. b b œœ
& œ J
TROMBONES: œ ˙ b ˙˙ j
œœ ... # n œœ
? b c œœœ n n ˙˙˙ n ˙˙ b œœ . b œœ
b Œ
œ ˙ œ.
BASS:
˙ œ
The chords moved parallel up a half step to harmonize the upper neighbor tone in ex. 11.57 from Thad
Jones. He managed to keep the trumpet triads moving in half-steps when the chord moved to the domi-
nant. The basic progression was Dm7 - G7 - Cm7 - F7. The F triad over the Dm7 yielded the primary
chord tones 3-5-7. When the F triad moved down a half-step to E over the G7 it created a colorful G13b9
chord. This was sequenced for Cm7 - F7 in the second measure. The widest spread voicings with the low-
est notes were the ones at the end of the eighth note lines.

11.57
b
G13 9
b
F13 9
œœ b b œœœ
Dm7 Cm7
TRUMPETS:
b œœ n # œœ #œ nœ #œ nœ # œœ
&b œœ œ œœ n # œœ Œ ‰ n n # œœœ b b n œœœ n n # œœœ b b n œœœ
J # œœ Ó
bœ
TROMBONES: œœ b b œœ n œœœ n œ
? b œ n œœ n n œœœ b b œœœ n n # œœœ b b n œœœ œœ
b œ œ œ œ Œ ‰ œ œ #œ nœ œ Ó
J œ
Triads are used in this turnaround leading to F. An F triad is imposed over an A7 to create an A7b9/b13;
Bb triad over the Ab7 creates an Ab9#11; Eb triad over the G7 creates a G7 b9/b13; Ab over the C7 creates a
C7 b9/b13; and the G over the F7 creates an F9#11.
11.58
#9 #9 b9
A7b 13
#
A b9 11 G7b 13 C7b 13
#
F9 11
˙˙ ˙˙ b ˙˙
b ˙˙˙ w
TRUMPETS:
˙˙ ˙˙ b ˙˙ n www
&b ˙
b ˙˙˙ ˙
b ˙˙ n b ˙˙˙ b ˙˙ w
?b b ww
TROMBONES:
˙
˙ b˙ ˙ w
˙
The chord shown in ex. 11.59 is composed of two fully diminished seventh chords; one for the trumpets
and one for the trombones. The result is a Bb7 with a b9, #9, b5, and a n13. This chord is sometimes called
the “Duke” chord [and jokingly referred to as Bb “fully demolished.”] It is often used at the end of big
sections or the end of the piece.
11.59
B b7
œœœ^
TRUMPETS:
b n
& b # œœ Œ Ó
b œœœ
TROMBONES:
? b b œ Œ Ó
b
œ
The concept of using dominants and dominant cycles of can be illustrate beginning with this simple
line. The original harmony might call for a basic ii7 - V7 progression leading to the Bb7.

11.60a Simple line over ii7 - V7 harmony

B b7
œ œ . nœ œ . œ.
Cm7 F7 Cm7 F7
b œ. œ. œ #œ œ. œ œ ‰ nœ w
& b ‰ J J ‰ J
Using the method of working back from the final chord, a series of functional chords may be added.
11.60b Enhanced with V7/iii - iii7 - V7/ii - ii7 - V7

B b7
Cm7 F7 A7 Dm7 G7 Cm 7 F7
b œ. œ. œ #œ J J ‰ œ. œ œ ‰ nœ w
& b ‰ J
The A7 could be preceded by its dominant E7. The F7 and Cm7 can be preceded by their dominants or
by the tritone substitution. The ii7 and iii7 chords could be changed to dominants, and any of the other
dominant chords may be changed to a tritone substitution.
The final example will be based on the chords shown in ex. 11.60c. It begins with the original ii7 chord
Cm7 which is followed by its dominant which points back to Cm7. A secondary dominant (C7) is re-
placed by its tritone substitute (Gb9) which points to the original F7. An E7 points to A7 which is re-
placed by its tritone substitute (Eb9). Ab9 is substituted for the D7 which points to the G7. The dominant
cycle continues through the C7 and F7 leading finally to the Bb7. Any number of bass lines are possible
from the E7 in m.2 to the end. A cycle of fifths pattern would work: E7 - A7 - D7 - G7 - C7 - F7 - Bb7. Their
tritone substitutes would also work: Bb7 - Eb7 - Ab7 - Db7 - Gb7 - Cb7 - Bb7. Many combinations of descend-
ing half-step or fifth motion would work: Bb7 - A7 - Ab7 - G7 - Gb7 - F7 - Bb7.
11.60c
Cm7 G7 Cm7 G b7 B b7
F7 E7 A7 Dm7 G7 Cm 7 F7
b œ. œ. œ #œ œ. œ œ ‰ nœ w
& b ‰ J J ‰ J
This passage works well voicing the trumpets with superimposed triads over the basic trombone chords.
The triadic superimposition formulas used to create the complex chords in ex. 11.60d are:
E b triad over G7 creates G7 #9 b13

A b triad over Gb7 creates Gb9#11
D triad over F7 creates F13b9
C triad over E7 creates E7 #9 b13
F triad over Eb7 creates Eb9#11
B b triad over Ab7 creates Ab9#11
E b triad over G7 creates G7 #9 b13
A b triad over C7 creates C7 #9 b13
D b triad over F7 creates F7 #9 b13
C triad over Bb7 creates Bb9#11

11.60d Voiced for eight brass

#9 # b #9 #9
Cm7 G7b 13 G b9 11 E7b 13
#
E b9 11 A b9# 11 G7b 13
#9 #9 #
j B b9 11
TRUMPETS:
. . Cm7 œœœ ... œœ.

n œœœ ‰ n œœœ ...
C7b 13 F7b 13
F13 9
b œœ œœœœ b œœœ ‰ # n œœœ œœœ. œ

& b c œ œ
œœ œœ bœ nœ œ. œ œ. œ œœ b œœœœ b œœœ ‰ nn œœœœ www
w
J J
TROMBONES: .
œ
. œœ œ
œ b œ n œœ œœ .. œœ b œœ .. œœ. n œœœ
. œœ b œ œ
j
ww
? b c œœœ b n œœœ b œœ n œœ ‰ b n œœ œœ .. n # œœ ‰ n b œœ .. bœ b
n œœ b œœ b
‰ œ w œ
b J J bœ œ œ œ w
BRASS & SAXOPHONE COMBINATION VOICINGS
There are times when an arrangement calls for the saxophones and brass to play large voicings as a
combined ensemble. Each section should be approached as demonstrated earlier. The saxophone and
brass sections should sound complete independent of the other. The melody in the passage below is
played by at least three instruments at any moment. The trumpet 1 melody is doubled down an octave
by trumpet 4 and alto 1.
Two parallel chromatic chords precede the F7 on the upbeat of two. A tritone substitute dominant re-
solves to the Bb7 on the upbeat of four. The triplet works better with the band in unison and octaves
leading to the last three dominant chords, G7 - C7 - F7.
11.61 Brass & saxophone combination
^ j >j - >
œœ # # œœ n œœ b b œœœ ‰ # # œœ ‰ n n œœ œœ
3
&b c Ó Œ œ œ b œ
œ # œ œ œ n œœ b b œœ œœœ
œ ww
œ # œ œ #œ nœ w
> - >
^ b œ œœ n # œœ œœ ‰ n œœ ‰ bb œœ œ œ œ3 œ œ œ b œ
SAXOPHONES:
?b c Ó Œ œ w
œ œ #œ œ œ œ w
J J
j >j - b
^ œœœ # œ œ œ œœ n ## œœœœ n b b œœœœ # n >œœœœ
TRUMPETS:
# œ n œ
3
www
&b c Ó Œ œ œœœ b b œœœ n n n œœœ b œœœ ‰ # œœ ‰ n b œœ w
#œ nœ œ #œ œ œ
-
^ œœ b œœœ # n n œœœ b œœœœ # œœ b n >œœ œœ n œœœ b b œœ n >œœ ww
TROMBONES:
?b c Ó Œ œ b œ œ n œ ‰ n # œœ ‰ b n œœ œœ Œ œb œ w
œ J J œ œ œ w
The trumpets are voiced with triads exclusively in the iiø7 - V7 sequence shown in ex. 11.62. The melody
is played by trumpet 1 and doubled by trumpet 4 and alto 1. The brass and saxophone sections are in-
dependently harmonically clear.


#
B bm aj7 11
^ >j >
b ‰ j Œ œ^ ^ >
Eø7 A7 Dø7 G7 Cø7 F7
& b # œœœ b n œœ œœ œœ .. œœ œœ b œœ œœ œœ œœ b b œœ œœ b œ n œœ ˙˙ .. Œ
œ n b
b œ. nœ œ œ bœ œ œ œ œœ œ ˙.
>j ^ > >
? b b ‰ n œœ Œ ^œ ^œ
SAXOPHONES:
œœ .. œ œ œ œœ œœ œ œ œ œœ ˙˙ .. Œ
J œ œ œ œ œ œ œ œ
^œœ ^œœ >
œ n œœœ ... b œœœœ œœœ b^
b b œœœœ œœœ œœ œœœ b b >œœœœœœ # # œœ n >œœœ ˙˙˙ ..
TRUMPETS:
#
b ‰ œ Œ œœ
œ n œœ
& b œ
J œ. J
œ œ œ œ bœ œ n # œœ œ ˙ .. Œ
TROMBONES:
œœœ # ^œœœ ^œ
œœ b œœœœ ....
>
n œœœ œœ ^œ
œœ b œœœ
œ œœ b >œ œ
œœ œœ œœ œœ >
n œœœ ˙˙ ..
? b ‰ nœ Œ œ œ ˙˙ .. Œ
b J œ œ œ œ œ œ œ œ œ
J
In ex. 11.63, the G7 is the V7/ii and points to the Cm9. The Gb9 is the tritone substitute for the V7/V
(C7). Rather than approach the final chord with its dominant, the A13 chord moves parallel up to the
Bb7. This example ends with the eight tone chord created by stacking a fully diminished chord over an-
other. The last chord is a Bb7 with a b9, #9, b5, and a n13 created by voicing a C#°7 in the trumpets over a
B°7 in the trombones (over the Bb in the rhythm section).

#9 #9
G7b 13
#
Cm9 G b9 11 F7b 13 A13 B b13
b b œœ œœ n œ
&b Ó ‰ œœ .. œœœ b œœœ œ œ # # œœ œœ
œ
nœ .
œœ œ œ œ œ bœ
SAXOPHONES:
? bb Ó ‰ œœ ..
bœ œ œ œ œ
b œœ œœ n œ œœ
œ. œœœ b œœœœ
TRUMPETS:
b
&b Ó ‰ œœœ ... b œœ œœ # œœœ # n œœ
œ
œ .. œœœ b œœœ b œœœ œœ # n œœœ n n œœœ
n œœœ ..
TROMBONES:
? b Ó ‰ œ nœ bœ œœ œ b œ
b

SPECIAL CASE & CLUSTERS VOICINGS
Contemporary settings may lend themselves to dense voicings using non-traditional structures. There
are more examples of non-traditional approaches to harmony in Chapter 19. The harmonic passage in
ex. 11.64 is a traditional ii7 - V7 - I, but the voicings emphasize colorful clusters rather than tertian
chords.
11.64 Voicings emphasizing clusters

TRUMPETS:
Cm9
b
F13 9
#
B bm aj7 11
b œ
& b 34 œœœ œœœ
œ œœœœ b # n ˙˙˙˙ .... ˙˙˙˙ ..
..
TROMBONES: œœ
œœ œœœœ œœœœ ˙˙˙ ... n ˙˙˙˙ ...
? b 34 ˙ . ˙. .
b ˙. ˙.
BASS:
A modal piece might suggest parallel planing of voicings as in ex. 11.65. Each of these muted brass voic-
ings has many levels of tension. Several of the chords are symmetrical built of alternating thirds and
seconds. The chords played by each section are simple, but the combinations are complex. These voic-
ings occurred over an ostinato bass line in A phrygian.
11.65 Bert Ligon: excerpt from Arches

TRUMPETS:
A Phrygian
œ
& b c œœœœ œœœœ œœœœ œœœ www
w
œ œœœ œœœœ œœœœ wwww
œ
TROMBONES:
? b c œœ œ
Cluster voicings were used to harmonize this simple melodic line in ex. 11.66. The melody was con-
ceived unrelated to a harmonic progression. The chosen voicings were more random so as not to sug-
gest a traditional harmonic progression. The line includes a variety of structures including traditional
tertian voicings, clusters, and quartal voicings.
11.66 Bert Ligon: Dancer

TRUMPETS:
& 34 œ œœœ b b œœœ b œœœ n œœœ œœœ b œœœ b b œœœ œœœ b b œœ œ

b bn ˙˙˙ ...
œ b œ b œœ ˙.
b œœ b œœ
œ bb œ #œ b œœœ n b œœœ b b œœœ b b œœœ œœ
? 34 œœ b œœœ b œœ œœœ œœ n œœ # œ œ
TROMBONES:
# œ bœ
œ b˙ .

VOCAL VOICINGS
Vocal harmony follows the voice leading principles that apply to any instrument. The inner parts
should move very smoothly and logically. Many odd interval leaps in the inner voices can be difficult
to hear and perform for a vocal group. Care must be taken to prepare dissonances with vocal groups
more so than with other instrumental sections. The saxophone holds down a key, as does the pianist, but
a singer has to produce the note from within. Any reference point or help given by the arranger is pru-
dent. Copyrighted tunes are not available for examples in this book, but the example below works well in
a vocal group. Any of the lines may move a bit more freely depending on the lyric. When the top line is
at rest, the inner voices may advance the music as shown in mm.3-4.
11.67
b
vocal
& b b c ˙˙ ˙˙ n ˙˙ b ˙˙ ˙œ œ œ œ b ˙˙ ˙œ œ n œ œ ˙˙ ˙ ˙˙˙
w
b b ww n ww
w
? b c ˙˙˙ b ˙˙ n ˙˙ b ˙
Doo ooo
n˙ b n ˙˙ ˙ b˙
n ˙˙ b ˙˙
˙˙ ˙ ˙˙ b ww ww
3
˙ ˙
3
bb ˙ ˙ ˙
STRING ENSEMBLE VOICINGS
A string ensemble will sound good using any of the voicings shown above. More players on each indi-
vidual part creates a richer sound. If enough players are on a part, then sections may be divided or play
divisi. Consult with other sources and individual players before writing double and triple stops in a sec-
tion. The close position passage in ex. 11.68 would work well for a quintet of strings, saxophones, vocals
or a combination of horns (trumpet, alto saxophone, tenor saxophone, trombone, and baritone saxo-
phone). If more than a quintet of strings are available, the upper part may be doubled up an octave by a
first violin.
11.68 Close voicings for string section

#9 b9
Em7 A7b 13 Dm9 G7b 13 Cmaj7
&c ˙˙˙ ˙˙˙

˙ #˙
˙
n ˙˙˙ b b˙œ˙˙ b œ www
w
?c ˙ ˙ ˙ w
˙
Open voicings, using “drop 2” voicings, allow the listener to better distinguish the individual lines. The
open position voicings in ex. 11.69 work well for strings over a bass or several combinations of instru-
ments or voices.

11.69 Open voicings for string section

#9 b9
Em 7 A7b 13 Dm9 G7b 13 Cmaj7
& c ˙˙˙ ˙˙ ˙ bb œ˙ b œ ww
˙ # ˙˙ n ˙˙˙ ˙˙ ww
?c ˙ ˙ ˙
˙ w
A larger string group can effectively use voicings with a wider range than “drop 2.” In order to voice the
passage evenly over two octaves in ex. 11.70, two voices were moved to lower registers. The second voice
(G) was dropped two octaves and the third voice (E) was dropped one octave. This passage works better
with several strings on a part. It may sound a bit empty and separated with only one player per line. If
there are enough on a part, the first and second violins could play divisi doubling the melody down an
octave lower. It is difficult for a group of horns to achieve a blend with a voicing this wide. The trumpet
would be in a very high register and the trombone and others in medium registers making the blend dif-
ficult due to the contrast of sound character.
11.70 Wide open voicings for string section

#9 b9
Em7 Em7 Em7 A7b 13 Dm9 G7b 13 Cmaj7
˙˙˙ ˙ ˙ ˙ ˙ bœ bœ w
˙ ˙ ˙ #˙ n˙
&c ˙ ˙ ˙ ˙ b ˙˙
w
w
˙ ˙ ˙ ˙ ˙ w
?c ˙ ˙ ˙ ˙ ˙ w
˙
There are numerous scores available for closer and further study. Many school libraries have scores to
classic big band charts, vocal jazz charts and small combo charts. Study the interesting arrangers. Listen
for attractive places in a chart and formulate questions regarding the effect. What made it interesting?
Was it a voicing, a line, a contrapuntal treatment? What was the voicing? Did the voicing use mixed sec-
tions or standard sections? Were there doubles (flutes, clarinets) or mutes in the brass? What was the
musical effect and how was it achieved? Where in the piece did it occur and why? What were the ex-
treme ranges and how did the instruments sound at those points? What other devices were employed to
make one section stand out against another? File these away in your memory for use later when arrang-
ing. The best writers (of prose and of music) keep notebooks of ideas, excerpts, quotes, and sketches for
new works.
LINES MOTIVATE MUSIC
Voicings can enhance a piece but rarely are they the main focus. A drummer will speak of the beat; a
bassist will remember some bass line; and the pianist will usually remember the chords of a piece. Listen
to the listeners and how they describe or remember a piece. The listeners remember the melody and
the lyrics. The are many great arrangements that rely on individual lines to propel the piece where the
melody is in one or more voices over a bass and a counter line follows using an important guide tone
or thumb line.

302 Chapter 12 Modal Jazz
XII. MODES & MODAL FRAMEWORKS

Some of the music of the late 1950’s and early 1960’s became a new modern sound through the use of
modal frameworks rather than the tin-pan alley harmonic frameworks favored by bebop. The origins of
the new modal music is often traced to the Kind of Blue recordings of Miles Davis. It has been written
that this modal approach was in response to the fast tempos and overloaded harmonic palette of be-
bop. While a bop tune may have one of two chords per measure, a modal piece may have one chord or
mode that lasts eight to sixteen measures or more. Some tunes may be based entirely on one mode.
As much as this new modal sound was looking to the future, it also looked to the distant past. While new
to the jazz language in the middle of the twentieth century, modal music is quite old in the history of
music. The major/minor harmonic system is a uniquely European concept that began to develop in the
early Baroque period. One of the first theory books explaining the system was published in 1722 (Jean-
Philippe Rameau, Treatise on Harmony). The beginning of the end for the major/minor system could
be dated 1859 with Wagner’s highly chromatic and tonally ambiguous Prelude, from Tristan and Isolde.
Wagner’s harmonic approaches were the antithesis of the major/minor system. The harmonic progres-
sions in a major/minor system function to point to the tonic as the primary pitch. Wagner’s progres-
sions obscured any sense that one pitch was the central pitch to which all others pointed. History since
that time produced Debussy, Schoenberg, Stravinsky, and countless others who each contributed
uniquely to the obliteration of the major/minor harmonic system. If the major/minor system was a
European convention for the brief time between the early seventeenth and the twentieth century then
what came before and what types of music were occurring in other parts of the world? Much of it was
monophonic created using single scales or modes. The modes that correspond to the major scale
(ionian) and the natural minor (aeolian) are, ironically, not even the most common modes. The move
away from the strict tyrant of the major/minor system to the many facets of contemporary jazz is signif-
icant for two reasons: the move mirrors the European classical tradition of destroying the old systems to
build many new ones; and many of the new systems are based on even older traditions using modes.
Part of the attraction to an improviser in a modal setting is that there is much more time to develop
lines without concern for a predetermined harmonic progression. If something can be done with a Dm7
chord that lasts two beats, what could be done over eight or sixteen measures? Relief from one set of re-
sponsibilities only creates a new ones. The modal improviser may not have to be concerned with har-
monic progressions, guide tones and established voice leading principles, or the tones that modulate
one key to the next, but the improviser must find other ways to conceive and construct sensible impro-
visations.
In the liner notes from the Kind of Blue recording session, Bill Evans described the tune So What as “a
simple figure based on 16 measures of one scale, 8 of another and 8 more of the first.” Were melodies
replaced by “scale running?” Were chromatic tones eliminated in favor of strict heptatonic (seven
tone) scales? A quick listen to the improvisations of Cannonball Adderley, John Coltrane, and Miles
Davis confirms that no one was aimlessly running scales, and chromatic tones occurred that did not de-
ter from the modal clarity. The bebop vocabulary was not avoided or abandoned and was often used in
modal passages suggesting harmonic progressions where there were none. The form of these modal
tunes often mirrored the thirty two measure forms of show tunes. A form used by Miles Davis, John
Coltrane, J. J. Johnson and others is shown below. The form is AABA. The only change is the D dorian
mode modulating up to Eb dorian for the B and back again for the last A section. Are the chords Dm7
and Ebm7? They could be. Since modal music is a departure from the traditional structures, tertian har-

Chapter 12 Modal Jazz 303
mony (chords built from stacking intervals of thirds) is often abandoned for chords built on combina-
tions of other intervals like fourths and seconds. Listen to the accompaniment and solo of Bill Evans on
So What for cluster chords and sounds not defined by major/minor chord systems.
12.1 Common AABA form for Modal Composition
D dorian ‘ ‘ ‘ ‘ ‘ ‘ ‘
D dorian ‘ ‘ ‘ ‘ ‘ ‘ ‘
E b dorian ‘ ‘ ‘ ‘ ‘ ‘ ‘
D dorian ‘ ‘ ‘ ‘ ‘ ‘ ‘
Students are often assigned modal tunes such as So What for their first improvisational vehicles, the
logic being the less complicated modal frameworks would be easier for a beginning improvisers. These
students do not always agree about the ease and often ask, “So What do I do now?” They often have
more trouble inventing lines without the restrictions and guide posts that are available in a harmonic
progression. Sixteen measures of D dorian (no sharps and no flats) to a beginner is often inhibiting,
presenting too much freedom of choice when they are at the least inventive state in their development.
A modal piece for a beginner must seem like being dropped in a Nebraska field in a blizzard and asked
to find their way home. There are no visible boundaries, no fence posts, no celestial guides, nothing but
a sea of white notes. A piece with a harmonic framework may be like dropping them somewhere in
Manhattan. It can be also be frightening, but the streets go east-west, the avenues north-south, and up-
town and downtown are meaningful directions.
The modes primarily used by jazz improvisers are related to the ancient Greek and Church modes.
These modes can and should be learned just as major and minor scales are learned. Each mode has
characteristic identifying pitches, its own key signature and may be transposed, as major and minor
scales, to other pitch centers. Methods for constructing forms for improvising and developing melodies
we be discussed later in this chapter.
The basic modes can be found using the familiar major scale as a starting point. A major scale has
seven scale steps. The tonic of the major scale would be numbered “1.” A scale could be constructed on
any of the other six scale steps which would yield six differently constructed scales or modes. It may be
helpful to imagine a slide rule where one side has the musical alphabet and the other has the numbers
1-7. Lining up the 1 with any new letter indicates a new tonic. While all of these scales share the same key
signature, they would have different intervals in relationship to their tonic pitch. The chart below shows
the modes by name, by their relationship to a major scale, their construction by intervals related to the
tonic, and their constructions by the intervals between adjacent pitches.
MAJOR SCALE MODE NAME INTERVALS RELATED to INTERVALS BETWEEN

DEGREE TONIC ADJACENT PITCHES
1 IONIAN 1 M2 – M3 – P4 – P5 – M6 – M7 W-W-1/2-W-W-W-1/2
2 DORIAN M2 – m3 – P4 – P5 – M6 – m7 W-1/2-W-W-W-1/2-W
3 PHRYGIAN m2 – m3 – P4 – P5 – m6 – m7 1/2-W-W-W-1/2-W-W
4 LYDIAN M2 – M3 – A4 – P5 – M6 – M7 W-W-W-1/2-W-W-1/2
5 MIXOLYDIAN M2 – M3 – P4 – P5 – M6 – m7 W-W-1/2-W-W-1/2-W
6 AEOLIAN 2 M2 – m3 – P4 – P5 – m6 – m7 W-1/2-W-W-1/2-W-W
7 LOCRIAN m2 – m3 – P4 – d5 – M6 – m7 1/2-W-W-1/2-W-W-W
1 Scale is identical to the major scale.
2 Scale is identical to natural or pure minor.

Ex. 12.2 illustrates the previous chart related to the key of C major. C major and A minor are relatives as
they share the same key signature. The modes in ex. 12.2 all share the same key signature and are also
relatives of C major. How well do you know your key signatures? Take some time to review the circle of
fifths remembering that each key signature represents a major key and a minor key, and it also repre-
sents seven distinct related modes. The relative modes that share the key signature of no sharps and no
flats are: C ionian, D dorian, E phrygian, F lydian, G mixolydian, A aeolian, and B locrian.
12.2 Modes relative to C major

Aeolian
Lydian
w w w w
w
Dorian
& w w w w
w w w w
Ionian Phrygian
Mixolydian
The chart and staff examples likes the ones above are often the only way modes are presented in theory
books and classes. It may be helpful at first, but can be confusing, misleading, and neglects some of the
most important characteristics about modes. Many confused students think that the modes are con-
structed only from the C major scale so dorian can only be D dorian. The modes can be transposed to
any pitch degree as with any scale.
Ex. 12.2 illustrated modes related to a C major scale. The following does the opposite, relating all the
modes to one tonic. If C is the tonic for a dorian mode it must be related to the second degree of a Bb
major scale, so the key signature for C dorian must also be two flats. The key signature for modes with C
as tonic are clear from the illustration below: C phrygian, the third mode of the relative Ab major, is in
four flats; C lydian, fourth mode of G major, one sharp; C mixolydian, fifth mode of F, one flat; aeolian,
sixth mode of Eb, three flats; and locrian, the seventh of Db, five flats.
12.3 Modes shown with C as Tonic

C Dorian C Phrygian C Lydian
& w w w bw w w w b w bw w # w w w w w
w w b w w bw b w w w w
C Mixolydian C Aeolian (“Pure” Minor) C Locrian
& w w w w bw w b w w w bw bw w b w w b w bw bw w
w w w w w b w
Understanding the relationships of modes to a major scale does not mean that the modes are in that
major key. C dorian is not in the key of Bb major; C dorian is in the key of two flats. Bb is the tonic of Bb
and C is the tonic of C. Remember the rules for establishing tonality: the tonic is the primary pitch and
is pointed to by the dominant. To establish C as tonic, a perfect fifth is necessary, the other pitches may
vary depending on the mode. Notice that the locrian mode has a diminished fifth. Locrian is rarely, if
ever, used in tonal music because it lacks the requisite perfect fifth.

MODES: BRIGHT to DARK

Modes can be identified by their relationship to a major scale (as in ex. 12.2) and by their relationship
to a single tonic pitch (ex. 12.3), but should also be classified by their distinct sound if they are to be
used musically. The modes can be classified in order of brightness and darkness. The third most
important pitch in tonal music, the mediant, determines major or minor modality. The six modes with a
perfect fifth can be grouped into three major modes and three minor modes. The major modes are
shown as brighter than the minor modes. There is always one pitch that distinguishes one mode from
an adjacent mode in the chart below. Intervals get brighter with size, so a major interval is brighter than
a minor, an augmented brighter than a perfect, a perfect brighter than a diminished. The mediant, a
major or minor third has divided the modes into two groups. The major modes and minor modes can
be classified by using other intervals to determine the relative brightness and darkness.
Lydian mode is the brightest of the major modes due to the augmented fourth interval. The augmented
fourth is the significant identifying tone for the lydian mode. Ionian has a perfect fourth, its significant
identifying tone, making it one shade darker than lydian mode. The minor seventh of mixolydian makes
it the darkest of the major modes, and distinguishes it from ionian. The first significant identifying tone
in the following chart identifies the pitch that distinguishes it from the mode above it, the second the
pitch distinguishes it from the mode below it. The interval between the significant tones is always a tri-
tone. The last column indicates the key signature for each mode with C as tonic.
MODE NAME Relation to Major Significant Key signature

Scale Identifying for C
tones
Lydian 4th Mode A4 1#
MAJOR MODES Ionian (Major) 1st Mode P4, major 7 0#, 0b
Mixolydian 5th Mode m7, M3 1b
Dorian 2nd Mode m3, M6 2b
MINOR MODES Aeolian (Minor) 6th Mode m6, M2 3b
Phrygian 3rd Mode m2, P5 4b
[DIMINISHED] [Locrian]* 7th Mode d5 5b
*Locrian mode is named and classified, but is not used in tonal music as it is without a perfect fifth. Try playing a
melody and tonicizing the tonic of a C locrian mode. The Gb, rather than pointing to C, seems to point down to F.
That in conjunction with the C makes F sound like the tonic, and the mode sounds like F phrygian.
The lines below indicate the significant pitches that identify each mode and distinguish one mode from
the next.
12.4
b ww
Lydian Ionian Mixolydian Dorian Aeolian Phrygian
& c # www n www b ww b www b www

w w
A chart that shows the modes relative brightness and darkness is more useful than one indicating the
modes relationships to notes of a major scale. The chart lists the modes with reference to musical quali-
ties. This chart will be helpful when creating modal music. If a darker mood is desired, one of the minor
modes would be chosen. This chart helps aurally identify modes. One does not have to listen for seven
distinct pitches to aurally identifying a mode. Modes can usually be identified by two or three pitches.
Listen first for the major or minor quality. If the mode is identified as major, that narrows the choices to
three modes. The next step is to identify the fourth or seventh degrees. If the recognizable augmented

fourth is heard, it can only be lydian mode. If the minor seventh is recognized, it can only be mixoly-
dian. If the mode is determined to be minor, then listen for seconds and sixths to further narrow the
choice. A minor second can only mean phrygian. The brighter major sixth indicates dorian.
MAJOR, MINOR or MODAL?
How is music in ionian mode different from music in a major key, or music in aeolian different from
music in a minor key? Music in the major/minor system implies functional harmony based on the ter-
tian triads, and so requires the leading tone added to the minor scale changing it to harmonic minor.
While there may be chords in modal music, there is no codified system of chordal progression, no
functional harmonic relationships, and no patterns of modulation. Modal music might never modulate,
beginning and ending in the same mode. While there are popular melodies whose pitches all remain
within major scale (Joy to the World, My Romance), they are set in the major/minor system frame-
work. Modal melodies have been set in the major/minor system framework with varying degrees of suc-
cess. The following four examples are all in the key of D, yet none of them are in the key of D major or
D minor in the European harmonic system. The melodies are in the key of D dorian, D aeolian, D
mixolydian and D lydian. The numbers indicate the important identifying pitches for each mode. How
can we tell if ex. 12.5 is in D dorian and not C major? The tonic and dominant pitches (1 & 5) are
rhythmically and structurally placed to establish D as the tonic; the minor third and major sixth identify
the mode as dorian.
12.5 The Walls of Limerick, Irish Folk Song in D Dorian mode
M6 5 1 m3
œ œ œj j œ œ œ œ œœœœœ
3
&C œ œ œ œ œ ..
œ œ œ œ œœ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œj œ
1
œ œ
& J J J
œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ 5 œ œ œ œ1
6
& J J œ
11

The dominant and tonic are established early in ex. 12.6 and the minor third and minor sixth identify
the mode as aeolian.
12.6 Errigal McCreigh, Irish Folk Song in D Aeolian mode
œ œ œ œ
Slow 5 1 m3 m6
& b 34 œ œ œ œ
5
œ œ œ œ œ œ
œœœœ
œœ
œ œ œ. œ œ œ œ œ
1
œ œ
&b ˙ œ œ œ œ œ œ
5
&b ˙ œ œ œ œ œ œ œ œ œ œ œ œ œ œœ
œ œ
œ œ œ œ. œ œ œ œ œ œ œ
9
&b ˙ œ œ œ œ œ ˙
13
Ex. 12.7 has a major third and a minor seventh establishing the mixolydian mode. The tonic may be in
question at the beginning, but the number of dominant and tonic pitches on downbeats increases as the
piece progresses. The final cadence firmly establishes the D as tonic.
12.7 The Blackird, Irish Folk Song in D Mixolydian mode
5
# C œ. œ œ
1 m7
œ. œ œ œ. œ œ. œ œ. œ œ.
& œ œ. œ
# œ. œ. œ œ. œ œ. œ
1 M3 M3 M3
& œ œ . œ œ . œ œ . œ œ œ . œ œj œ . œ œ . œ œ
# œ. œ. œ œ. œ
4
1
& œ œ . . œ .
œ œ œ œœ œ. œ ˙.
7
Pa Snei is a simple Norwegian folk song in lydian mode. The key signature is not for the key of A major
or F# minor, but accurately reflects D lydian. Sing or play the melody and it is clear that D is the tonic
pitch. The major quality is revealed by the second note (F#) and the G# reveals the lydian quality by the
third note. The 1-5-1 at the end of m.2 confirms D is the tonic. It is interesting that this very bright
melody is from a place called land the Land of the Midnight Sun.

12.8 Pa Snei, Norwegian Folk Song in D Lydian mode
### 5 M3 A4
j 1 5
& c œ œ œ. œ œ œ œ œ œ œ œœœ œ œ œœœ œœœ œ Œ
œ œ œ œ œ œ
### j
1 M3 1
& œ œ œ œ. œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ ˙
MODAL MELODIC EXAMPLES
Copyright restrictions prevent the use of modal examples from contemporary Jazz composers. The fol-
lowing excerpts were composed for the book or drawn from existing original compositions and are
shown here to illustrate melodies using different modes. In order to accurately communicate a mode,
the tonic must be established, the mediant must identify the piece as major or minor, and the other
identifying tones must be present to distinguish which minor or major mode is present. If ambiguity is
your goal, and it may be, then the identifying tones must be avoided. The placement of the tritone in-
terval in relation to the tonic is what identifies the mode. This does not mean that a melody should be-
gin or even include the interval of a tritone, just that the placement of those tones in relation to the
tonic is what distinguishes one mode from the others.
G is immediately established as the tonic by the dominant to tonic movement. Lydian mode is con-
firmed by the C#, a tritone away from the tonic. Sometimes this C# can be a leading tone to D, not nec-
essarily confirming a lydian mode. In this case, the C# moves down the scale, not functioning as a lead-
ing to D, but as the fourth scale degree of lydian mode.
12.9 G Lydian melody: Jazz Waltz
# 3 . j
& # 4œ ‰ Jœ ˙ œ œ œ œ.
3
œ œ ‰ Jœ œ. œ.
? # # 34 ˙˙ .. ˙˙ .. ˙.
˙˙ ..
˙˙ ..
˙. ˙. ˙.
## ‰ . . œ.
œ œ ‰ Jœ ˙. ˙ Œ
& œ œ J
? # # ˙˙ .. ˙˙ .. ˙˙ .. ˙.
˙˙ ..
˙. ˙. ˙.
B b mixolydian must have a major third and minor seventh to distinguish it from ionian and dorian. In
the melody shown in ex. 12.10, the Ab anticipates m.2 and the Dn occurs on the downbeat of m.3. Tonic
is confirmed by the dominant to tonic motion at the beginning of the first and third phrases and the fi-
nal two pitches. This melody is clearly in the key of Bb mixolydian and not the key of Eb major.

12.10 Bb Mixolydian melody: Fast Swing
b j
&b b c œ œ Œ Œ ‰ œ œ œ œ œ œ œ œ Ó ∑
œ œ œ œ
? b c œ. ‰ œœ ˙˙ ww Ó
j
‰ œ Œ ˙˙ œœ .. œœ
bb œ œ
J J
b œ œ œ œ œ œ œ œ œ œ
& b b Œ œ œ ‰ Jœ œ œ œ œ œ œ œ. jÓ
œ
j
? b ˙˙ .. ‰ œœ ˙˙ .. ‰ œœ ˙˙ œœ .. œœ œœ .. œœ Ó
bb
J J J
Parts of this melody are voiced for four instruments, but the melody on the top reveals the dorian qual-
ity. The major sixth (Dn) and the minor third (Ab) rule out all other modes but dorian.
12.11 F Dorian melody: Medium Swing
. . . j - . .
b œœœ œœœœ œœœœ œœœœ œœœ œœœ ...
œœœ œœœ œ œ œ œ œ œ œ
&b b c Ó Œ œ œ œœ œ œ. Œ œ
œ ˙
. j . j
? b c ∑ œœ ‰ œœ ˙˙ ww ˙˙ œœ ‰ œœ ˙˙ .. Œ
bb
. . j -
b œ œœœ œœœ œœœ œœœ œœœ ... œœœ œœœ œ œ œ œ œ œ
& b b œœœ œ œ œ œ œ. œ œ Œ
œ œ œ ˙.
. .
? b œ
bb œ ‰ œj ˙ ww ˙˙
j
œœ ‰ œœ ˙˙ .. Œ
œ ˙

F # aeolian must, in addition to a minor third, have a minor sixth (Dn) to distinguish it from F# dorian,
and a major second (G#) to distinguish it from F# phrygian. The minor quality is established in the first
measure of ex. 12.12, and the two modal identification tones occur in m.2.
12.12 F# Aeolian melody: Jazz Waltz
### 3 j ‰ œj œ j j ‰ œj . j
& 4 œ. œ œ. œ œ œ œ œ œ
œ.
? ### 3 œ. ˙ .. œ. ˙
4 œ. œ. ˙ œ. ˙ œ
œ.
### œ œ
& œ. J œ œ ˙. ˙ Œ
œ
? ### œ ˙ ˙ ˙
œ ˙ œ ˙ ˙˙ Œ
˙ œ
This is the modal A section from a piece called Morocco. The B section ventures away from the C
phrygian through remote harmonic passages and returns to the modal A section. The lowered second
(Db) and the perfect fifth (G) are the two pitches that distinguish phrygian from the brighter aeolian and
the darker locrian mode.
12.13 C Phrygian melody: Morocco, jazz samba
b œ
& b b b Ó Œ ‰ œj œ œ œ œ œ œ œ œ œ œ œ ‰ œj œœœœ ˙˙˙˙ ‰ œj ˙˙ .. Œ
œœ ˙˙ ..
? bb b ∑ j j j j
b œ ˙ œ ˙ œ ˙ œ ˙
œ.
œ. œ. œ.
.
b bbb Œ ‰ j . œ œ œ œ œ œ œœ ww ˙˙˙ ...
œœœ
& œ œ œ œ œœ ww œ ˙.
.
? bb b j j j j
‰ j ‰ œ œ œ œ œ œ. œ œ œ
b œ ˙ œ ˙
œ. œ. œ

The modes were identifiable in the previous melodic examples. All necessary notes were included in the
melodies. However, ambiguity may be desirable. Melodies do not have to have clearly defined modes;
but modes in order to be clearly defined must have their identifying pitches. If a certain ambiguity is
desired regarding the modes, then the identifying pitches must be avoided.
This mode could be dorian or mixolydian, but the missing mediant makes positive identification im-
possible. The melody may still be interesting. Which third do you imagine?
12.14 C dorian or C mixolydian?
& c ‰ œ. œ œ œ œ œ b œ Œ ‰ œj œ œ œ œ ∑
œ œ bœ œ
From which of the three minor modes is this melody constructed? Phrygian can be ruled out as there is
a major second degree. Since there is no sixth, it could be dorian or aeolian.
12.15 C dorian or C aeolian?
j
& bœ œ œ œ œ ‰ œ œ œ bœ Ó ‰ b œj œ œ œ œ
œ œ
∑
œ
There are many examples of melodies that do not contain all of the notes of a scale or mode.
Pentatonic scales usually omit the tritone so the mode of a pentatonic melody cannot be absolutely
identified. A major pentatonic scale consists of the scale steps 1-2-3-5-6. The fourth and seventh, the
notes which distinguish lydian, ionian and mixolydian are missing. A minor pentatonic scale consists of
the scale steps 1-b3-4-5-b7. The second and sixth, the notes which distinguish dorian, aeolian and phry-
gian are missing.
12.16 C major pentatonic C minor pentatonic
# or n n or b n or b n or b
&w w w ¿ w w ¿ bw w
w w ¿ w ¿ bw w
Melodies may be constructed with omitted thirds. Here are examples of modal melodies that do not
contain a third from completely different cultures. The tonic of ex. 12.17 is D; the tonic of 12.18 is A.
12.17 Japanese National Anthem: Kimi Ga Yo
&c œ œ œ œ œ œ ˙ œ œ œ œœ œ œ ˙
1
j œ ˙ œ œ œ œ
&œ œ œ œ œ. œ ˙ œ œ œ œ ˙
7

12.18 Barrick Hill: Irish melody
# 6œ j œ œ œ j j
& 8 œ œ œ œ J œ. œ œ œ œ œ œ œ.
1
# œ j œ œ œ œ
& œ œ œ œ J œ. œ œ œ. œ.
J J
œ
5
# œ œ œ œ œ œ œ œ œ
J œ œ
œ
œ œ œ œ.
& J J J J
œ
9
# œ œ œ œ œ œ œ œ œ
J œ œ
œ
œ œ. œ.
& J J J
13
Chromatic embellishment is possible in modal music as with any tonal music. The tones that identify a
particular mode must be clear and distinguishable from the chromatic embellishment. The first measure
in ex. 12.19 identifies the passage as D dorian, with the minor third and the major sixth. The D# in the
second measure will not be mistaken for an Eb, which would indicate a phrygian mode, but will be heard
as a leading tone to the En. The Gb will not be heard as a major third (F#) indicating a major mode, but
will be heard as a chromatic passing tone between the G and F. The G# will be heard as a passing tone
between the G and A.
12.19
& c œ œ œ œ œ œ œ ˙. ‰ j
#œ œ œ bœ œ nœ #œ œ ˙ .
Œ
WHEN is it MODAL & WHEN is it FUNCTIONAL HARMONY?

A piece that begins with the progression Dm7 - G7 - C is in the key of no sharps and flats. It cannot be D
dorian as C is the tonic indicated by the traditional harmonic progression. It is terribly misleading
when the Dm7 is labeled as dorian. D dorian indicates D is the tonic and D would never sound like the
tonic in this setting. The proof is in the hearing, but it might be helpful to think of the mathematics.
Tonic is 1 and supertonic is 2; and 2 cannot be 1. The tonic is the primary pitch; there cannot be two
primary pitches. Labeling the passage as D dorian, G mixolydian followed by C ionian produces more
confusion. Does anyone hear this passage with three different tonics? C is the tonic, and clearly the pas-
sage reflects the major/minor system with the functional ii7 - V7 - I progression. Using the same logic, it
would be misleading to suggest that a modal piece in D dorian is really in the key of C, with just the ii7
chord sounding. However, in contemporary compositions that have mixtures of modal and functional
harmony, it is helpful to describe certain chords and sounds by their modal names so that an Fmaj7
(IV) may be described as a lydian sound to distinguish it from a major scale sound (I).

MODAL TUNES in JAZZ PRACTICE

Experiments with modal music in jazz composition often combine modal techniques with concepts
from the major/minor system. Modal compositions may be constructed on a single mode similar to an
old folk song. A modal composition may move from one mode to another mode sometimes planing
(moving symmetrically to a different tonal plane) up or down by certain intervals, as the B section of
So What planes up a half-step to Eb dorian. Modal passages may be linked to passages using functional
harmonic progressions. The traditional Greek modes may be mixed with modes from other scales
(melodic minor, major b6), other exotic modes, and mixed with passages of colorful, but non-functional
harmony. Modal jazz forms often echo the forms of standard songs, like the AABA form for So What,
Maiden Voyage and other classic jazz modal tunes. Look for a wide variety of modal influenced compo-
sitions from Herbie Hancock, Chick Corea, Joe Henderson, Wayne Shorter, Miles Davis, John Coltrane
and others.
CHORD SYMBOLS & MODES

Chord symbols in modal piece often are carried over from traditional settings. Sometimes the chord
symbol alone is ambiguous in the identification the mode. A Cm7 could be dorian, aeolian or phrygian.
The melody may reveal the necessary pitches which identify the specific mode. A Cm9 symbol elimi-
nates phrygian as a possibility but leaves it to the melody to supply an Ab or An indicating aeolian or
dorian. Cm9b6 clearly verifies aeolian; and Cm6, indicating an An over the Cm, could only be dorian.
Chord symbols that indicate C mixolydian include: Gm7/C, Bb/C, Bbmaj7, C7sus. Cmaj7 could be lydian
or ionian, and Cmaj7#11 could only be lydian. C Phrygian is often indicated by Gø7/C, Bbm/C, Db/C,
and C7susb9. In many situations, passages will be labeled by the tonic or root and the mode name as in
“C dorian,” “C lydian,” or “C mixolydian.”
Copyright laws restrict the use of copyrighted material for even brief examples, but chord progressions
and standard forms cannot be copyrighted. The few forms and chord progressions that will be discussed
are from very common jazz compositions. It will be easy to find written copies for further independent
study.
TUNES with MODAL & FUNCTIONAL HARMONY COMBINATIONS
The form below illustrates the blending of modal and functional harmony. It begins as a dorian piece
with A as the tonic. The chord symbol does not reveal the requisite F# that identifies the mode as do-
rian. It can be found in the melody of the piece from which this form is borrowed. The dorian mode is
planed up a minor third to C dorian. At the end of the phrase, the Cm7 becomes the ii7 chord in Bb
major leading to the V7, F7. The second half of the piece sequences ii7 - V7 - I in descending steps end-
ing with the cadence F - E7, a VI - V7 in the key of A minor. The key of A minor would indicate an Fn, but
when the melody enters again at m.1, the F# brings it back to dorian mode.
12.20 Modal Passages & Functional Harmony

Am7 ‘ ‘ ‘ Cm7 ‘ ‘ Cm7 - F7
‘ ‘ ‘ ‘ ‘ ii7 - V7
Bb
A dorian C dorian
B bmaj7 Bbm7- Eb7 A bmaj7 Abm7- Db7 G bmaj7 Gm7- C7 Fmaj7 E7

I ii7 - V7 I ii7 - V7 I ii7 - V7 I V7
Bb Ab Ab Gb Gb F F A minor

TUNES with MODAL MIXTURE
Jazz improvisers may use modes over a pedal tone in three different ways. A single mode can be used
over the whole form; a structured predetermined series of modes can used; or an unstructured set of
modes may be employed at the discretion of the improvisers. The form below illustrates the use of a
structured set of modes over a form. The F remains the tonic but the color of the piece changes with the
modes. Note the use of locrian in m.5. I have only encountered two instances of locrian working in a
tonal setting and this one, from a piece called Moss, is one of them. In this instance, the locrian mode
is surrounded by tonal modes (modes with perfect fifths), so the perception remains that F is tonic.
12.21 Modes over a Pedal F

F Mixolydian ‘ F Aeolian ‘ F Locrian ‘ F Ionian ‘
2b 4b 6b 1b
F Dorian ‘ F Phrygian ‘ F Aeolian E b Mixolydian F Aeolian Db
Mixolydian
3b 5b 4b 4b 4b 6b
MODAL PLANING
The following progression had its beginning as background music in a television commercial for a
men’s cologne before becoming a jazz classic. The form is AABA. The A sections use a D mixolydian
mode than planes up a minor third to an F mixolydian mode. The B section looks like it could be just
like the A section transposed up a half-step. It begins that way with the Eb mixolydian, but instead of
moving up to the F# mixolydian, it moves down to a C# dorian. The C# dorian and the F# mixolydian
share the same key signature (5#), so the notes are the same, but the dorian sound is the result of the
bass playing a C# rather than an F#.
12.22 Modal Planing

Am7/D ‘ ‘ ‘ Cm7/F ‘ ‘ ‘
Am7/D ‘ ‘ ‘ Cm7/F ‘ ‘ ‘
B bm7/E b ‘ ‘ ‘ C#m13 ‘ ‘ ‘
Am7/D ‘ ‘ ‘ Cm7/F ‘ ‘ ‘
MODAL PROGRESSIONS
Modal progression sounds like an oxymoron since the nature of most modal music is the absence of
harmonic progression. Modal progression indicates a series of different modes. Interesting and expres-
sive music can be created using the modes as a palette of colors to shape construct dramatic contours
for a composition This is a departure from the ancient concept of modal melodies. The six ancient
modes offer a range from very bright (lydian) to very dark (phrygian). Combining modes can tell a
story. For an example, imagine a sixteen measure form, where each four measure phrase uses a different
mode. Each different mode shades the story line. If the story begins with relative calm, then dorian or
mixolydian would be appropriate choices for the first phrase. The kingdom is happy, crops and chil-
dren are healthy and growing. If the second phrase shifts to a darker mode like aeolian, then some-
thing has changed the stability of the story. An invading army of giants has been spotted coming to-
ward the kingdom. A switch to phrygian signals a very dramatic downturn. Yes, they have entered the

kingdom and kidnapped the princess-to-be. A battle ensues between the knights and the giants. The
final phrase shifts to lydian which indicates the maiden has been saved, marries the prince who saved
her, and they live happily-ever-after in infinite bliss signified by the raised fourth degree of the lydian
mode. Music does not ever have to follow a concrete or ridiculous story line, but it is useful here for
demonstration.
A composition form or improvisational framework can be created using the concepts of mixing modes
into a type of modal progression. The progression below begins with G dorian mode (key of 1b). Dorian
is a dark mode because of the minor third, but the brightest of the minor modes because of the major
sixth. Adding one flat will change the G dorian to G aeolian, the minor sixth making the second phrase
a darker setting.
12.23
G Dorian ‘ ‘ ‘ G Aeolian ‘ ‘ ‘
1b 2b
darker
It reasons that if another flat is added it will be darker still. If G is kept as tonic, it will be darker, chang-
ing the mode to G phrygian. The momentum may be lost by staying with tonic G for too long.
12.24
G Aeolian ‘ ‘ ‘ G Phrygian ‘ ‘ ‘
2b 3b
dark darker
Will the third flat make it darker if the tonic is changed from G to another pitch? If the mode changes to
Bb mixolydian, the effect is brighter. Mixolydian is brighter than aeolian, and that takes precedence over
the effect of the key signature.
12.25
G Aeolian ‘ ‘ ‘ Bb ‘ ‘ ‘
Mixolydian
2b 3b
dark brighter
This progression could be extended to create the sixteen measure form below. The D phrygian is darker
than the Bb mixolydian even though the third flat has been removed. It ends with the very bright lydian
mode. The form uses five different modes, but only three different key signatures. G aeolian and D phry-
gian share the key signature of two flats and yet have a completely different character. The same is true
for Bb mixolydian and Ab lydian which share the key signature of three flats.
12.26 Modal Form: Progression of Modes

G Dorian ‘ ‘ ‘ G Aeolian ‘ ‘ ‘
1b 2b
medium darker
dark/bright
Bb ‘ ‘ ‘ D ‘ Ab Lydian ‘
Mixolydian Phrygian
3b 2b 3b
brighter Darker Very
Bright

This form could be used in any number of ways. The duration for each mode could be doubled to
create a thirty-two measure form. The progression could be played with any kind of feel: swing, ballad,
bossa, jazz waltz.
This is a possible composition using a similar form. The melody clearly indicates the modes by using
the identifying pitches. En and Bb clarify the dorian mode in the first phrase. The melodic motive is
rhythmically displaced and transposed to reveal the Eb which signals the change to aeolian.
12.27 Medium Swing
.
G Dorian
œ œ œœ. œ œœ ww œ
& b c œ œ œ œ w œœ ‰ œJ œœ œ œ œœ . œj Ó
œ œœ œ .. œœ
1
-
G A eolian
b j
&b Ó œ œ œ
œ œœ œ œœœ ‰ œ ‰ œj w ∑
œ œœ ww
5
The third phrase begins with the added flat, Ab, indicating the shift to Bb mixolydian. The An indicates
the mode change to Eb Lydian. D phrygian is implied by the context as it follows Eb lydian. Since an En
has not sounded, nothing contradicts the Eb and so it lingers in the ear. Phrygian is confirmed by the
chord on the upbeat of two which contains the Eb.
12.28
B b Mixolydian
. .
b œ œ œ œ œœœ œ j
&b b Œ œ œ œ œ œ œ œœœ œ œœœ ‰ œ œœœ ˙˙˙ Œ œ œ
9
œ ˙
E b Lydian D Phrygian
b j . j
& b n œœœ ... œœœ ˙˙˙ œœœ ‰ œj œ œ œ œ œ œœœ ˙˙˙
œ ˙
˙˙˙ ..
˙ ..
Œ
13
Endless modal forms are possible. Ex. 12.29 is another form that contrast dark with bright. The A aeolian
is a moderately dark minor mode. Keeping the same key signature and changing the tonic to C changes
the context to C lydian, a very bright mode. An extreme change occurs when the brightest mode
changes to the darkest mode at the G phrygian. The form ends changing to another lydian mode.
12.29
E Aeolian ‘ ‘ ‘ C Lydian ‘ ‘ ‘
1# 1#
dark very bright
G Phrygian ‘ ‘ ‘ F Lydian ‘ ‘
3b 0# - 0b
very dark very bright

The form from ex. 12.29 could be treated with an even eighth note feel as shown below in ex. 12.30. The
F# in m.1, the major second, identifies this passage as either aeolian or dorian and not phrygian. The Cn
in m.2 verifies aeolian mode. The third phrase suggests motives from the first phrase. The F# now identi-
fies the mode as C lydian.
12.30 Even eighth notes

E Aeolian
# . ‰ œj œ ‰ j
& . ‰ j
˙ œ ˙ œ œ œ œ œ œ œ œ œ œ œ ˙.
? # .. j j œ œ j j
œ œ. j œ œ œ œ. j œ œ œ œ
œ. œ œ. œ. œ œ.
C Lydian
# Ó
& ‰ œj œ ‰ j ‰ j œ œ œ œ œ
œ œ œ œ œ
œ œ œ w
? # œ . Jœ œ . j j
œ œ . Jœ œ œ œ œ . Jœ œ . œ œ . œ œ
J œ œ
The Eb in the first measure below immediately rules out G dorian and the Ab verifies this passage is in G
phrygian mode. The last phrase echoes motives from the first and the prominent placement of Bn estab-
lishes the mode as F lydian.
12.31 Even eight note continued

G Phrygian
b . œ œ œ ‰ œj œ œ œ œ œ œ œ œ œ œ œ œ n œ
&b b œ J œ œ œ ˙
? b œ œ œ œ œ œ œ ˙
b b œ ‰ œj œ œ ˙. ‰ œj œ œ œ
F Lydian
n U
&nn w ‰ Jœ œ œ œ œ ‰ j ˙. ˙.
..
œ œ (œ œ)
j œ œ. j j j
? n
n n œ. œ œ. J œ œ œ œ œ œ œ œ œ œ. œ œ œ ..
.
Playing in modal settings influenced the way jazz artists composed new material and affected their ap-
proach on tunes with traditional harmonic structures. Separate chords in common progressions were
sometimes viewed as having individual scales. This may in part led to the practice of imposing other

modes and scales over the existing basic harmonies of traditional progressions. (These other scales will
be discussed in chapter 14.) Other longer harmonic passages in traditional tunes were reduced and
trimmed down to resemble modal sections.
MOTIVIC DEVELOPMENT
In a traditional harmonic settings, improvisations were found to be based on the theme or paraphrasing
the melody, based on the harmony, sometimes in a general way and other times many specific ways.
What is the foundation for an improvisation in a modal setting? There are no guide tones to suggest
motion from one functional chord to the next. There are tones which identify the specific modes. Can
running up and down the appropriate scales be the improvisational basis? It often is the foundation for
many beginning students. Another approach to compositional structure in improvisation is through the
use of motivic development.
A motive (or motif) is a short musical idea or theme for development and may be newly invented or
derived from the written melodic material. A motive is not separated from a rhythmic context, and of-
ten the rhythmic context is as important or more important than the pitch structure of the theme or
motive. Motivic development is certainly not limited to modal settings. Many significant musical works
have been created using motivic development. The absence of harmonic structure as a mechanism for
propelling music makes motivic development a particularly helpful tool for developing ideas in modal
settings .
There are several devices for developing a motive once it has been stated. The first and most important
device is repetition: the motive must recur or it is not a motive. It is often repeated soon after its initial
statement so as to familiarize the listener (and the improviser) with the material to be developed. Many
of the devices which are listed below may be combined with other devices; they do not have to be in-
dependently applied to a musical idea. What follows is a list and an example of each device applied to a
musical idea.
Repetition: The theme must recur for it to be a theme.

Sequencing: Transposing to other pitch levels in a repeating series.
Fragmentation: Using a smaller portion of the initial idea.
Addition or interpolation: The opposite of fragmentation. Material is added to the motive. The new
material can occur before, after, or in the middle of the original motive which is usually intact and
recognizable.
Embellish or ornament: This differs from the addition of notes before or after as it involves the
elaboration of the original note using neighbor tones while still following the general contour of the
original idea.
Augmentation: To augment is to make something larger. Musically this can apply to the rhythmic
units, the intervals and even the orchestration.
Diminution: To diminish is to reduce something. This can apply to rhythmic units, the intervals and
the orchestration.
Inversion: The intervals of the original idea can be turned upside down. They can be inverted using
exact intervals or generally, following the diatonic intervals.
Retrograde: The motive is played with the pitches in reverse order. This is not perceived by the casual
observer but is a useful develomental device.
Retrograde inversion: the original can occur upside down and backwards. This is also not always rec-
ognizable to the casual observer.
Displacement: May be applied to rhythms or pitches. Pitches may be displaced by moving them up or
down an octave. A motive may be rhythmically displaced to a different part of the phrase earlier or
later than might be expected

Mode Change: The motive might be set in other modes.

Iteration: Repetition. Making a simple rhythm more active by repeating melodic pitches.
All devices may be combined. For example, the retrograde inversion can be sequenced in augmented
form with octave and rhythmic displacement.
Repetition: A motive (bracketed) is repeated with rhythmic displacement:
12.32
&c œ œ œ œ ˙ Ó œ œ œ œ
Sequence: The motive is sequenced by transposing to other pitch levels using diatonic intervals. The
original intervals of the motive are followed generally not specifically. The original motive moves up a
major second—down a major third—down a minor third (↑ M2— ↓ M3— ↓ m3). The second occurrence
of the motive is an exact transposition up major second; all intervals within the motive match exactly
and are within the D dorian mode. The third occurrence moves the motive up and sacrifices the exact
intervals for diatonic intervals, moving ↑m2— ↓m3— ↓M3.
Diatonic Sequence
12.33
&c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
Chromatic Sequence: Here the motive is repeated in series exactly following the intervallic structure
of the originals motive. Doing so introduces several notes outside of D dorian which may or may not be
the desired result.
12.34
œ
& c œ œ œ œ œ bœ œ bœ œ bœ œ œ œ bœ bœ œ œ œ œ Ó
Fragmentation: The original motive is stated in m.1, then only the first two notes and then the first
three. There is a brilliant example of reducing the theme in Beethoven’s firth symphony in the first
movement. At one point he reduces the second theme to two notes and then to one note, and these sin-
gle notes are heard as fragments of the original.

12.35
&c œ œ œ œ ˙ Œ œ œ Ó ‰ œj œ œ
Augmentation and Diminution of the intervals: Each interval of the original motive (↑ M2— ↓ M3—
↓m3) is augmented to become ↑m3— ↓P4— ↓P4 in the first measure and the intervals reduce to become
↑m2— ↓M2— ↓M2 in the second.
12.36
&c œ œ œ œ ˙ #œ œ nœ œ ˙
Augmentation and Diminution of the rhythmic values: The original values have been expanded
freely in m.1 and diminished exactly in half in m.2.
12.37
.
&c ˙ œ œ œ ˙.
Œ Ó œœœœŒ
Addition: The original motive is still intact in the example below, but opening and closing notes have
been added to make it a longer phrase.
12.38
&c Ó ‰ j œ œ œ œ
Addition or Interpolation: Two notes of the original motive occur followed by newly added material
before the last two notes of the original occur.
12.39
& c œ œ Œ œ œ œ ˙. œ œ
Elaborating or Embellishing: The original theme is stated with an augmented rhythm in the first
bracket. The second statement is embellished by the leading tone (G#) to A, the lower and upper neigh-
bors (E & G) to F, and the lower and upper neighbors (C# & E) to D. Three of original pitches (G, F &
D) occur at exactly the same rhythmic spots and the A is displaced by an eighth note.

12.40
&c Ó Œ œ ˙ œ. œ
j Ó Œ œ #œ œ œ nœ œ #œ œ œ
Octave Displacement: The last two pitches of the original motive have been transposed up an octave.
The character of a motive can be drastically changed by octave displacement as the overall contour
changes. There is an excellent example of extreme octave displacement of a very familiar melody in
Stravinsky’s Greeting Prelude. Listen to how octave displacement makes it difficult for many to recognize
a tune that everyone knows.
12.41
œ œ Ó
&c œ œ
Rhythmic Displacement: This is a typical jazz syncopation where the motive occurs every three beats
with a meter of four.
12.42
&c œ œ œ œ Œ œ œ œ œ Œ œ œ œ œ
Some very mathematical and seemingly contrived devices can and do occur naturally in improvised
music. A motive can recur in inversion with its intervals reversed or backwards, in retrograde with its
intervals sounding in reverse or upside down, and in retrograde inversion with the intervals upside down
and backwards.
12.43
Original Inversion Retrograde Retrograde Inversion
&w w w w w w w w w w
w w w w w w
A palindrome is a word, sentence or numerical sequence that is the same forwards and backwards. The
words civic, deified, radar, and rotator are palindromes. The phrases “Madam, I’m Adam,” and “Poor
Dan is in a droop,” are palindromes. Even the general framework for Amazing Grace is a palindrome.
Musical palindromes are possible when the original and the retrograde are placed next to each other.
The motive moves forward and then retraces its steps back to the first note.

12.44
Retrograde + Original Original + Retrograde
&c œ œ œ œ œ œ œ œ ˙ Ó œ œ œ œ œ œ œ œ ˙ Ó
Iteration: The rhythmic character of a line can be enhanced by repeated notes. The motive’s melodic
value in the second measure is quarter notes, but the iteration of each note yields an eighth note subdi-
vision.
12.45
&c Œ œ œ œ œ Œ œ œ œ œ œ œ œ œ
MOTIVIC DEVELOPMENT in MODAL IMPROVISATION

The two chorus improvisation by Miles Davis over the modal tune So What from the Kind of Blue
recording offers an opportunity to examine the application of some compositional devices in the con-
text of a modal piece. This solo is shown and analyzed in chapter 18.
• With a partner, play melodic modal fragments and identify the correct mode. (1)
listen for the major or minor quality. (2) determine if the mode is bright or dark.
(3) listen for the important identifying pitches.
• Invent some unaccompanied, simple modal melodic phrases. Establish the tonic
and incorporate the necessary identification tones within the melody.
• Try inventing a form for improvisation or composition with an emotional curve
dictated by a progression of modes. Try shifting the tonal centers and varying the
color of the modes from bright to dark.
• Try improvising and composing over the newly created forms using different
rhythmic settings. How do the rhythmic settings change the melodic approaches?
• Try developing simple motives while improvising on the newly created forms rather
than endless scale motion. Can you play a short motive, stop and listen and de-
velop it using the devices listed in this chapter?
• Learn and improvise over common jazz modal pieces. Listen and study the forms or
the pieces. Is it constructed of more than one mode? How where the modes put to-
gether? Does the melody clearly identify the mode or is it ambiguous? Are the
modes labeled or implied by the key signature, chord symbol or melodic content?
Listen to recordings and evaluate the melodic approaches used by the performers.
What techniques of melodic development did they use?
• Transcribe improvisations over modal frameworks. What approaches did the artist
use to develop the improvisation? Were the modes clearly defined? Was there
chromatic embellishment or strict adherence to the diatonic modes? Were there
echoes of bebop or other vocabulary in the improvisation? What kinds of ideas can
you take from this improvisation to add to your playing?

Chapter 13 Quartal Harmony 323
XIII. QUARTAL HARMONY

Many music dictionaries define triads as three note chords constructed of consecutive intervals of
thirds. This definition reveals a nineteenth century bias when most of the European art music was based
on chords built in thirds. Triad really means a group of three. Applied to chords, a distinction must be
made as to the intervals from which the triads are constructed. A triad built with thirds is a tertian triad;
a triad built with fourths would be a quartal triad. Jazz and non-jazz composers in the twentieth century
have experimented with chord structures based on intervals other than thirds. Many jazz musicians are
drawn to the open ambiguous qualities of chords constructed in fourths.
Quartal chords may be extended beyond the triad just as can tertian chords. The quartal triad or ex-
tended quartal structures are not labeled with any conventional shorthand chord notation. Quartal
chords are primarily constructed of perfect fourths, but may include other intervals such as an aug-
mented fourth and a major third as part of its extended structure. Ex. 13.1 shows several quartal chords
available from the key of no sharps or flats based using only perfect fourth intervals.
13.1 Quartal structures using only perfect fourths
ww ww ww ww ww
& c www ww ww ww ww
w w ww w
The most familiar quartal voicing in jazz literature is from So What, from the Kind of Blue recording.
These voicings (ex. 13.2) are often referred to as the “So What” voicings. They are primarily constructed
with perfect fourths with a major third on the top: (from bottom to top) P4 - P4 - P4 - M3. Each chord in
ex. 13.2 is constructed using all the notes of a pentatonic scale.
13.2 “So what” chords
& www w
ww
? ww ww
Diatonic triads in a major scale are constructed using every other tone from the scale (1-3-5, 2-4-6, 3-5-7,
etc.) which creates all tertian triads. Diatonic triads of a pentatonic scale can be created by skipping a
tone in that scale. All of these diatonic triads contain at least one interval of a perfect fourth. Diatonic
chords from a D minor pentatonic are shown below in ex. 13.3. The first, third and fourth chords are
constructed using just perfect fourths. The second diatonic chord is a first inversion D minor triad, and

324 Chapter 13 Quartal Harmony
the fifth is the second inversion of an F major triad. The two inverted tertian triads show why this scale
is called D minor or F major pentatonic. The quartal character of these diatonic chords illustrates the
link between quartal sounds pentatonic scales.
13.3 Diatonic triads of D minor or F major pentatonic
P4 – P4 M3 – P4 P4 – P4 P4 – P4 P4 – M3
w ¿ w w ¿ w ¿ w ¿ w w ¿ w ¿ w
&w ¿ w ¿ w ¿ w w ¿ w
The quartal chords can be extended to include all five notes of the pentatonic scale. Four of the five
chords below have at least one interval of a major third. Only the fourth chord, built on A, is con-
structed of all perfect fourth intervals. The first chord is the original “so what” chord, the others are in-
versions.
13.4 Extended quartal chords from D minor or F major pentatonic
P4-P4-P4-M3 M3-P4-P4-P4 P4-P4-M3-P4 P4-P4-P4-P4 P4-M3-P4-P4
ww ww ww
& www ww w w
w w
ww ww ww
? ww ww
The “so what” chord can be used in other contexts. The chord below is shown with four different bass
notes. The first chord over the A in the bass creates an Am7 or A minor pentatonic sound. The same
notes over an F in the bass creates an Fmaj7 with a ninth and thirteenth. Over D, it creates an ambigu-
ous suspended chord; it could either be a D suspended dominant or a D minor ninth chord with a miss-
ing third. A bright lydian sound is suggested with Bb in the bass.
13.5 Extended quartal chords from D minor or F major pentatonic
Am7 Fmaj9 D7sus or Dm9 Bbmaj7#11
w ww ww ww
& ww w w w
w ww ww ww
?w w bw
w w
Quartal chords can be extracted from any mode or scale. All seven diatonic five note quartal chords are
shown below in ex. 13.6 derived from the aeolian mode in A. Fn and Bn are the two tones that distinguish
A aeolian from A dorian and A phrygian. The tritone, an augmented fourth, between those two pitches is
the only interval of a fourth in this mode that is not the interval of a perfect fourth. Every chord below

that contains Fn and Bn will include the augmented fourth mixed with intervals of a perfect fourth. The
chords marked with an “↓” are constructed exclusively using intervals of a perfect fourth.
13.6 Five note quartal chords from A aeolian
↓ ↓ ↓
ww ww ww ww
ww ww
& www ww ww ww ww ww
ww www w w w w w
?w ww ww ww ww ww ww
w
Quartal chords move nicely in parallel motion. Passages similar to the one in ex. 13.7 are prevalent in
jazz performances and compositions and are often used to establish the rhythmic setting. Only the
notes of a C minor pentatonic are used in the first two measures. The quartal chord (1) verifies Cm7
with the Bb and Eb. Chord (2) would be ambiguous without the context of the chord (1). Chord (3) con-
tains notes not found in C minor, but acts as an upper neighbor chord, slipping back down to chord (2)
and then to (1) in the last measure.
13.7 Quartal triads in parallel motion
(1) (2) (3) (2) (1)
. .
&Ó ‰ œj w Ó Œ j
b b œœœ œœ ww b bb œœœ œœ ..
œ. b œœ ˙˙˙
b œ
?
ww ww w w
w w
The individual pitches of a quartal triad, like a tertian triad, may be inverted. The three chords below
contain the pitches D, G, and C. The first chord, with D on the bottom is a quartal triad using only per-
fect fourths. With G on the bottom, the original chord is inverted and the construction is P4 - M2. With
C on the bottom the second inversion is constructed M2 - P4.
13.8 Quartal triad and inversions
& www www ww

w
The inversions of quartal triads have a different characteristic sound since they include the interval of a
second. The inversions may work in a setting by themselves or can be mixed with quartal chords in root
position as in ex. 13.9.

13.9 Inversions of quartal triads used over pedal A
. . j
. œœœ œœœ
& œœœ .. œœ ˙˙ ‰ œœ ww ˙˙˙ Ó
J œ ˙ œœœ œ w
. j
? w ˙˙ œœ ‰ œœ ww ˙˙ Ó
w
Quartal triads, their inversions and other tertian chords and their inversions may be mixed. The passage
in ex. 13.10 over a G pedal, begins with a quartal triad in first inversion and chromatically moves to a
tertian triad in second inversion. The chord at the end of the first line is a quartal chord in root posi-
tion but the upper interval is an augmented fourth. The last four chords in the passage are quartal triads
in root position constructed with perfect fourths. Common to all the voicings below is the interval of a
perfect fourth as the lower interval.
13.10 Mixture of quartal & tertian triads with inversions over G pedal
j j j
.
& œœœ ..
# œœ ˙˙
# œ ˙ b œœœ ... # œœœ ˙˙˙ œœœ ... b
b b œœ ˙˙˙
œ ˙˙˙ # œœ ‰ œj
œ b b œœ
? ‰ œj Œ ˙˙ ww
j
‰ œœ Œ ˙˙ ww
œ
. j
& ˙˙ ˙˙ ˙˙ b œœ ‰ œœ ww ww
˙ ˙ œ œ w w
˙
.
? ‰ œj Œ ˙˙ ˙˙ œœ
j
‰ œœ ww ww
œ
The diatonic chords of a pentatonic scale may be inverted. Two of the triads are tertian inversions to
begin with, and one of their inversions will be a root position tertian chord.
13.11 Diatonic chords from A minor & C major pentatonic
m M m M m M
ww w w ww www
& ww w ww ww w www www www www ww w
www ww ww w
w ww w w

These pentatonic quartal triads may be used over different bass notes as voicings creating a variety of
chords. The C major or A minor pentatonic chords suggest Am7 over an A in the bass. The Am7 could
be a ii7 in G, iii7 in F, vi7 in C, or A aeolian. Over the F bass, the chords become an Fma7 as I or IV.
With D in the bass, they are useful for an ambiguous Dm7, with the absence of any third. A Bb in the
bass suggests Bb lydian or Bbma7 as a IV chord.
13.11 Diatonic chords of A minor/C major pentatonic over other Bass Notes
#
B bmaj7 11
w w w w
& ww www www www ww ww ww www www ww ww www www ww ww ww www www ww
Am 7 Fmaj7 Dm7
w
w w w ww w w w
?w w w w w ww ww ww ww ww w w w w w
w w w w w ww ww ww w w bw bw bw bw bw
w w
Individual pitches of the “so what” chord may be altered to create completely different sounds. The
original “so what” voicings are shown for Gm7 in the first measure in ex. 13.12. In the remaining mea-
sures, the An has been lowered to Ab, creating an augmented fourth interval on the bottom of the chord.
This altered “so what” chord pair works well for the E7 alt. and its tritone substitute Bb9#11, and for the
Fmmaj7.
13.12 “So what” chords with alterations

#9
#
B b9 11 E7b 13
ww ww ww ww
Fm maj 7
& b www b www b www b www

Gm7
w w w w
ww b ww b ww b ww
? ww ww ww ww
w w w
bw
This ending to an original composition, Scandal in Bohemia, uses parallel diatonic quartal chords.
13.13 Bert Ligon: Ending to Scandal in Bohemia
. . j . . j . . . .
3 œ œ œœ .. œœ .. œœ Œ
Œ
& 4 œœ œœ œœ .. œœ Œ Œ œ œœ œœ .. œœ Œ Œ œ œœ œœ .. œœœ ... œ. œ. œœ
œ œ
œ œ œ. œœ œ œ. œœ œ œ.
. .
? 34 ‰ œj ˙ . ‰ œj ˙ . ‰ œj ˙ . Œ
˙˙ .
.
˙˙ ˙. ˙˙ ˙. ˙˙ ˙. b b œœ œœ
Guitarist Steve Mazokowski used combinations of quartal and tertian inversions in these two excerpts
from his composition What It Was. The passage ended with a quartal chord built with perfect fourths
the first time, and on a later repetition, the bottom two voices were lowered for a completely different
quartal sound.

Ex. 13.14 Mixture of inverted quartal & tertian triads

j
&c œœ n œœœ œœœ œœ œœœ # œœ œœ œœœ ‰ œœ ˙˙˙
œ ww
œœœ # # œœœ œ # œ œ w
œ
?c j œ œ œ œ œ œœœœ œ œ œ
œ œœ œ œœœœ œœ œ œ œ
j
& œœ n œœœ œœœ œœ œœœ # œœ œœ œœœ ‰ b b œœ ˙˙˙
œ ww
œœœ # # œœœ œ # œ œ w
œ
? j œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œœ œ œ œ
The first section of an original composition, Arches, occurs over an F pedal. Woodwinds softly play a
descending floating pair of notes a perfect fourth apart over the F pedal while flugelhorn, guitar and
flute play the melody.
13.15 Bert Ligon: Arches. Floating two note quartal chords & melody over F pedal
bœ .
& ‰ Jœ œ ˙ ˙ Œ ‰ œ bœ bœ bœ bœ œ œ œ œ œ œ œ ˙. Œ
& b b œœ œœ b b ˙˙ œœ .. b œ œœ b b œœ .. j Œ
œœ n n œœ . b b œœ œœ œœ .. b b œœ œœ ˙˙ ..
b œ .
& œ bœ œ ≈ bœ bœ œ œ œ œ œ œ ˙. ∑ ∑
nœ .
& . œœ .. b b œœ œœ b œ . œœœ ˙˙˙ ... www www

œœ . # œœ œœ .
bœ œ ˙. w w
bœ .
& ‰ Jœ œ ˙ ˙ Œ ‰ œ bœ bœ bœ bœ œ œ œ œ œ œ œ ˙. Œ
& b b œœ œœ b b ˙˙ œœ .. b œ œœ b b œœ .. j Œ
œœ n n œœ . b b œœ œœ œœ .. b b œœ œœ ˙˙ ..
b œ .

Arches, cont.
& œ bœ œ ≈ bœ bœ œ œ œ œ . œ œ bœ œ ˙ ‰ bœ ‰ œj ≈ œj . ˙
œ bœ œ œ ˙ .
& . œœ .. b b œœ œœ ‰ j≈ j
œœ . # œœ œœ œœ .. # œœ œœ b b œœ .. œœ œœ b b œœ .. œœ ˙˙ œœ œœ .. ˙˙
# œœ
The reduction shown in ex. 13.16 from Arches. shows how the two-note floating quartal chords and the
melody combine to make different quartal triads over the F pedal.
13.16 Bert Ligon: Arches. Reduction: two-note chords + melody note = quartal triads
& b b www b ww b
n n www b bn www n #n www b b www
b w ww
w
?
w w w w w w w
Stevie Wonder has written some very jazz sounding pop songs and has occasionally used quartal chords
to achieve a contemporary sound. These inverted quartal chords occur a Gb pedal in the introduction to
a piece.
13.17 Quartal Triads over a Pedal
j j j j
& Œ # œœœ œœœ œœœ n b b œœœ œœœ b b ˙˙˙ .. Œ # œœœ œœœ œœœ n b b œœœ œœœ b b ˙˙˙ ..
. .
? c bw ˙ œ bœ bœ bœ w ˙ œ bœ bœ bœ
Quartal voicings have found their way into traditional harmonic settings. The dominant chords in ex.
13.18 are stacked quartal chords moving parallel. The augmented fourth interval which makes the chords
dominant seventh chords, are on the bottom of each voicing.
13.18 Dominant chords with quartal voicings
œœ. b œœœ
. œœ. œœ. b b œœœ œœœ œœ ww
b œ œ ‰ Jœ w
&b Ó œ
. œœ. œœ. œ œ
b œœ œœ œœœ
œœ. b œœœ ww
? b Ó œ bœ œ ‰ J w
b

The inversion of a quartal chord shown in ex. 13.19 is attractive with the top melodic pitch doubled an
octave lower. It can be used in a number of musical settings. It is shown below over an Ab lydian sound.
Pat Metheny has used a similar idea at the end of tunes.
13.19 Quartal Chords over Lydian

#
A bm aj7 11
& œœ œ œœ b b œœœ œœœ b b b œœœ œœœ b œ www

œœ b œœœ œœ b œ œ bœ œ b b œœœ w
The quartal chord with an augmented fourth on the bottom is useful for a dominant chord. The Ab - D -
G chord is useful for a Bb13 chord (7-3-13) or for the tritone substitute dominant E7 (3-7-#9). The chord
may also be used for Fm, Dø7, and G7susb9 chords. The inversion of this chord is very dissonant with
the minor second clash in the middle, however, that may be the very reason to use it. Guitarist John
Scofield uses these chords and inversions in many contexts.
13.20
& ww b www b www

bw
A listening list for other artists using quartal harmonies must include McCoy Tyner, especially with the
John Coltrane Quartet and Blue Note recordings from the 1960’s, and Herbie Hancock with Miles Davis
and Wayne Shorter.

Chapter 14 Other Scales & Colors 331
XIV . OTHER SCALES & COLORS

The focus of this book has primarily been the relationship of jazz to the major/minor system. Melodic
material has been shown as it relates to the major or harmonic minor scale with chromatic elaboration.
Searching for other expressive colors, jazz musicians have found other scales for harmonic and melodic
material. The major/minor system is not tossed aside, rather it is used as a platform or foundation on
which other colors are placed. Experimentation with other scales and chords inspired jazz composers to
create music whose harmonic and melodic vocabulary specifically calls for sounds not available from
the major and harmonic minor scales. Five other scales and their modes will be introduced in this
chapter: melodic minor, major b 6 (sometimes called harmonic major), symmetrical diminished
(sometimes called octatonic), whole tone, and augmented. The relationship of each mode to a specific
chord and harmonic and melodic applications will be discussed. These scales may be utilized in two dif-
ferent ways: to colorfully enhance traditional progressions; and to effectively negotiate the harmony of
contemporary compositions that demand very specific harmonic sounds.
One of the goals in writing this book was to discuss many aspects of jazz improvisation beyond the dis-
cussion of chord/scale relationships. The notion that jazz improvisation is a matter of plugging in the
correct scale for each individual chord is a common misconception among young improvisers and
even many educators. This leads to unnecessary confusion for some students and overlooks the histori-
cal significance of major/minor system and the many others techniques of developing musical ideas.
However, it is important to understand the relationships of specific chords to specific scales and their
applications to contemporary and traditional musical settings
Anyone who understands traditional theory will recognize that the three chords below belong to the key
of C major, and that they represent the functional chords: ii7 - V7 - I. In many chord/scale theory dis-
cussions, each of the chords is assigned a different scale: Dm7 is labeled D dorian; G7 as G mixolydian;
and Cmaj7 as C ionian. Describing this passage as three different modes or scales is misleading and
unnecessarily complicated. It is doubtful that anyone hears three different tonics in this passage as is
suggested by the three modes. All of these chords were derived from the C major scale, and that one
scale best describes the passage.
14.1 Three different modes or united in the key of C major?

Dm7 G7 Cmaj7
c w w w w w w w www www
& wwww w w w w w w
w
A student illustrated the worst case scenario of chord/scale misunderstanding He had learned scales
and their relationship to chords and played the passage below. He knew it did not sound like jazz but
could not figure out why as he had applied a “correct” scale for each chord. As these new scales are in-
troduced, remember that they represent distinct colors and not a method for improvisation. All previ-
ously discussed concepts of voice leading and melodic construction are still applicable even with the in-
troduction of new scale colors.

332 Chapter 14 Other Scales & Colors
14.2 Not Jazz

#9 #9
b b
bœ œ œ
A7 13 G7 13
œ b œ
Cmaj7 Dm7
&c œ œ œ œ œ n œ œ b œ b œ b œ
œœ œœ œ œ bœ œ bœ bœ
œ œ nœ nœ œ œ œ
There are several “exotic” scales that can be constructed and have been cataloged in other books, but
the most commonly used scales for application in jazz improvisation and composition are modes of
melodic minor, major b6, diminished, whole tone, and augmented scales.
SCALES for JAZZ IMPROVISATION
SCALES FORMULA
1 Major W - W - 1/2 - W - W - W - 1/2
2 Harmonic Minor W - 1/2 - W - W - 1/2 - A2 - 1/2
3 Melodic Minor W - 1/2 - W - W - W - W - 1/2
4 Major with a b6 (Harmonic Major) W - W - 1/2 - W - 1/2 - A2 - 1/2
5 Diminished (1/2 - W)
6 Diminished (W - 1/2)
7 Whole Tone W-W-W-W-W-W
8 Augmented m3 - 1/2 - m3 - 1/2 - m3
14.3 Scales shown with C as Root:

1. 2. 3.
& ˙ ˙ ˙ ˙ ˙ ˙ ˙ ˙ & ˙ ˙ b˙ ˙ ˙ b˙ n˙ ˙ & ˙ ˙ b˙ ˙ ˙ n˙ n˙ ˙

4. 5. 6.
& ˙ ˙ ˙ ˙ ˙ b˙ ˙ ˙ & ˙ b˙ b˙ n˙ #˙ n˙ ˙ b˙ ˙ & ˙ ˙ b˙ ˙ #˙ #˙ ˙ ˙ ˙

7. 8.
& ˙ ˙ ˙ #˙ #˙ b˙ ˙ & ˙ #˙ ˙ ˙ b˙ n˙ ˙
CHORD/SCALE EQUIVALENCY
There are two common ways of describing a group of seven notes: as a scale (1-2-3-4-5-6-7-1): and
spelled in thirds as a triad with upper extensions (1-3-5-7-9-11-13). The scale and the chord represent the
same pitches so that a chord = scale and a scale = chord. Scale positions will be referred to by the
numbers 1-2-3-4-5-6-7 and chord tones by the numbers 1-3-5-7-9-11-13. Scales tones 2-4-6 are the same as
chord tones 9-11-13.

MODES of the MELODIC MINOR SCALE

The chords derived from the melodic minor scale do not function the way that chords function in ma-
jor and minor. The chords could be labeled with Roman numerals corresponding to scale degrees, but
they would be meaningless in the traditional sense of identifying function, and therefore would confuse
more than enlighten. Historically the melodic minor was often used for melodies, as is suggested by its
name. It is constructed by raising the sixth and seventh degrees of a natural minor scale when ascending
and lowering them when descending. These steps are easier to sing than the harmonic minor scale
which includes the awkward augmented second. Altered notes tend to continue in the direction in which
they have been altered. A minor sixth and minor seventh point down to the dominant. A major sixth
and major seventh point more easily to the tonic. This is usually the scale a student will naturally sing
when asked to sing a minor scale. The melodic minor that is used in jazz is only the ascending version
as the descending scale is natural minor or aeolian mode. The melodic minor that ascends and de-
scends with the raised sixth and seventh is sometimes called jazz minor.
FIRST MODE of MELODIC MINOR

Other Names: Melodic Minor, Jazz Minor
Applications: Chord How to find relative Effect:
Symbol Melodic Minor:
Substitution tonic chord m maj7 First mode of melodic minor. Brighter than a natural
in minor key m maj9 Melodic minor on root of chord. minor or harmonic mi-
m 6/9maj7 nor due to the raised
sixth and seventh de-
grees.
The first mode of melodic minor is one note different from a major scale and one note different from
harmonic minor. A major scale can be changed to melodic minor by changing the major third to a
minor third. A natural minor scale is made into harmonic minor by raising the leading tone. Raising
one more pitch, the sixth, creates melodic minor. The melodic minor scale is one note brighter than
the harmonic minor scale and one note darker than a major scale. Three chords are shown below that
can be derived from melodic minor. The chord symbols Cmmaj 7 or Cmmaj 9 could call for the first
mode of harmonic minor or melodic minor. The last chord shown can only be derived from the
melodic minor as it includes both the raised sixth and seventh.
14.4 Melodic Minor

Cm maj 7 Cm maj 9 Cm 69maj 7
ww
& w w b w w w n w n w w b n www bw
n ww
w
? w w bw w w nw nw w w
nw
w b n www

SEVENTH MODE of MELODIC MINOR

Other Names: Superlocrian, Diminished-Whole Tone, Altered Scale
V7 in minor and can 7 Alt. Seventh mode of melodic minor. Darker than dominants
resolve to major. 7 with b13, Count the root of the V7 as 7 and available from fifth
b9, #9, b5 go up to 1. modes of major or har-
monic minor.
The seventh mode of melodic minor is also called superlocrian, diminished whole tone, and the altered
scale. It contains four possible alterations for a dominant chord: b9, #9, b5 (#11), and b13 (#5). This is a
darker sound than the dominant chord scale from the fifth mode in major or harmonic minor. The
dominant in major has a n13, n5 and a n9. A dominant chord derived from the fifth mode of harmonic
minor has a b13, n5 and a b9. The altered notes in the superlocrian suggest a dominant that resolves to a
minor key. The B7, shown below built on the seventh mode of C melodic minor, has a Gn (b13)and a Cn
( b13) suggesting a dominant of E minor. Superlocrian is not the only choice for resolution to minor.
There are times when the b5 will sound dissonant, and the fifth mode of harmonic minor or third mode
of major b6 would be better choices. Any dominant that points to a minor key may also resolve to major
key. The inverse is rarely if ever true.
14.5 Superlocrian
# 9b 9 #9b9
w b w w w w w B7b 13 B7b 13b 5
ww
w ww
B7alt.
&w w ww
? b w w w w w a ww a www
w w w w
This excerpt is from a recently written tune by Mike Stern using traditional harmonic progressions with
contemporary concepts. The Cm7 in m.1 connected to the F7 with outline no. 2 (considering the arpeg-
gio with the Bb resolving to the A over the measure line), or outline no. 1 (beginning on the Eb and de-
scending to the A over the measure line). Superlocrian was used over the F7, and still managed to con-
nect to the Bb chord using outline no. 1 (An down the scale to D). Superlocrian is the seventh mode of a
harmonic minor scale. F is the seventh degree of Gb or F# melodic minor. To find the related melodic
minor scale for a dominant chord, count the root as 7 and go up to 1. All of the notes of the F# melodic
minor occurred in m.2, although some are enharmonically spelled. The dark superlocrian sound re-
solved to Bb major even thought the Db (C#), and the Gb suggested a resolution to Bb minor.
14.6 Superlocrian used over dominant chord

Cm7 F7 B bmaj7
bœ
& c ‰ œj b œ œ b œ œ œ œ œ œ # œ œ œ b œ b œ œ b œ œj
3 3

FOURTH MODE of MELODIC MINOR

Other Names: Lydian Dominant, Lydian b7
Applications: Chord How to find relative
(1) As tritone substitute for a dominant #
9 11 Seventh mode of melodic minor.
pointing to minor key down a half-step. 13#11 Count the root as 4 and count back to 1.
May resolve down a half-step to major.
(2) As backdoor dominant pointing up to a
major key a whole step above.
A chord built on the fourth degree of a melodic minor scale is a dominant sound that does not function
as dominant. If the B7 built on the seventh degree of C melodic minor pointed to E minor, then this F7
is the tritone substitute for the B7. They both share exactly the same notes as separate modes of a C
melodic minor scale. Normally an F7 would point to Bb major or minor, but the Bn in the both the scale
and the chord contradicts a resolution to Bb major.
This F7 also occurs as a backdoor dominant to G major. The backdoor dominant usually follows the IV
chord as it progresses back to the I chord as part of an extended plagal cadence. A plagal cadence is
when IV resolves to I. A plagal cadence can also include the borrowed iv chord as in: IV - iv - I. The iv
chord is often replaced by a backdoor dominant. In the key of G the plagal cadence is: C - G; an ex-
tended plagal cadence: C - Cm - G. Using seventh chords and a backdoor dominant the cadence would
be: Cmaj7 - F9#11 - Gmaj7. A backdoor dominant may also be preceded by a ii7 chord as: Am7 - F9#11 -
Gmaj7. The F lydian dominant scale includes the notes of a G triad (G - B - D), which explains its pull
towards G major and not Bb major or Bb minor. Examples of backdoor dominants where this scale is
applicable can be found in Chapter 7 in progression no. 9 (mm.4, 15), no. 10 (mm.7-8), no. 13 (m.10).
The #11 and n9 indicate a lydian dominant sound. Lydian dominant is built on the fourth degree of a
melodic minor scale. To find the related melodic minor for a lydian dominant chord, count the root as
4 and count back to 1.
14.7 Lydian dominant

# #
w bw w w
F9 11 F13 11
&w w w w w w
b ww b www
w w w w bw w
?w w ww ww
Charlie Parker used lydian dominant on the B section of rhythm changes in ex. 14.8 below. The connec-
tion to A melodic minor is clear as he arpeggiated an A minor 1-3-5-7-9 over the D7. Wynton Kelly sug-
gested the upper structures 7-9-#11-13 of the Ab7 and Eb7 chords in ex. 14.9 and 14.10 and Tete Montoliu
chose to play the entire descending scale over the B7 in ex. 14.11.
14.8 D Lydian dominant outlines upper structure: 5-7-9-#11-13

#D9 11 3
3
& c ‰ j œ œ #œ œ œ œ œ œ #œ
œ

Lydian dominant upper structure 7-9-#11-13

b#
14.9
A 9 11
b
&b c ‰ œ nœ nœ œ bœ . ˙
J J
Lydian dominant upper structure 7-9-#11-13
#
14.10
E b9 11
b
& b c ‰ b œj œ œ œ œ œ œ b œR
#œ #œ œ œ #œ
14.11 Lydian dominant scale passage
B7
#œ #œ #œ #œ œ
&c œ #œ#œ #œ #œ
#œ œ
The lydian dominant scale is sometimes called the overtone scale as the tones can be derived from the
first twelve tones of the harmonic series (see page 52). In some parts of the world as different and geo-
graphically separate as Brazil and Hungary, the lydian dominant scale is used in folk music. Béla Bartók
is a composer who used this sound (ex. 14.12) in the earlier part of the twentieth century.
14.12 A b Lydian Dominant
& 34 ‰ j œ b œ œ b œ b œ œ œ b œ œ œ b œ œ bœ œ bœ œ œ bœ œ œ œ bœ
bœ b œ œ b œ œ bœ bœ bœ bœ
RELATIONSHIP BETWEEN 7TH & 4TH MODES of MELODIC MINOR:
All of the modes of a melodic minor scale are related by sharing the same pitches. The superlocrian
and lydian dominant scales are linked by their sharing of the same tritone and are interchangeable as
dominants pointing to minor. An altered dominant points to the minor key a perfect fifth below, and
the tritone substitute dominant wants to resolve down a half-step to the same minor key. The third and
seventh of B7 are the enharmonically spelled seventh and third of the F7. The B7 and the F7 point to
the key of E minor. The Cn and Gn that indicate a resolution to E minor do not prohibit either of these
dominant chords from resolving to E major. The notes of the C melodic minor scale are shown in rela-
tion to the B7 alt. chord and the F9#11 chord in the example below.
14.13 B superlocrian & F lydian dominant derived from C melodic minor

B7 alt.
#
F9 11
& w w w w w w w w
w w w bw w w w bw
R b9 #9 3 #11/b5 b13/#5 7 R #11 5 13 7 R 9 3 #11
? # ww b ww
w w

Melodic lines that work for one chord will also work with the other:
14.14 Melodic Minor lines resolving to E minor
#
bœ œ œ œ œ œ œ œ bœ œ œ œ œ œ œ œ
F13 11 Em B7alt. Em
& w w
? ww ww w ww
w
SIXTH MODE of MELODIC MINOR

Other Name: Locrian #2
Substitution for ii7 and ø7 #2 Built on 6th degree of melodic minor. Dark as substitute for ii7
iiø7. Count the root of the ø7#2 chord as 6 Bright as substitute for
and count to 1. iiø7.
Play and listen to the chords below. Are they bright or dark? By themselves they could be either: dark
because of the diminished triad, and bright because of the major ninth interval. An aural test like this is
inconclusive because these sounds do not occur in isolation; they occur in some musical context. The
locrian #2 sound often substitutes for a ii7 or a iiø7 chord. If the Aø7#2 shown below is used in place of
Am7, the ii7 chord in G major, it will sound dark because the expected En is lowered to an Eb. If the
Aø7#2 is used in place of Aø7, the iiø7 chord in G minor, it will sound bright because the expected Bb is
raised to a Bn. Locrian #2 is not necessarily a better choice for a iiø7 chord in minor as some jazz theo-
rists suggest. It is a choice that brightens an expectation, but the traditional iiø7 sound in minor should
not be neglected for the sake of sounding modern. To find the related melodic minor scale count the
root of the iiø7#2 chord as 6 and count up to 1.
The #2 is actually the ninth of the chord, yet it is labeled a 2. It could have been labeled a n9, indicating a
major ninth above the root. This can be confusing, as the iiø7 chord in its natural setting has a minor
ninth above the root. It could be labeled a #9, indicating raising the Bb to Bn. This is confusing as the #9
in the case of dominants is usually notated as its enharmonic (minor tenth) above the root. A minor
tenth above the An would be a Cn, which would not add the desired pitch. The #2 is the most common
compromise shorthand for this chord notation.
14.15 Locrian #2
# #
w b w w w w Aø7 2 Aø7 2
&w w w w
b www b www
? w w ww ww
w w b w w
w w
The ø7#2 is often followed by an altered dominant, so that two different modes of melodic minor occur
side by side.

Bill Evans used an Fø7 (locrian #2, sixth mode of Ab melodic minor) followed by a Bb7 (superlocrian,
seventh mode of B melodic minor). The line ascended an arpeggio over the Fø7 and descended over
the Bb7. The last four notes of the Bb7 were the #9-b9-R-7 of the chord, and pointed to Eb minor.
14.16 Locrian #2 followed by Superlocrian

B b7# œ
œ b œ N œ 3
‰ J #œ œ #œ œ bœ bœ
Fø7
bœ
& c bœ œ bœ œ bœ
This line, from the same Evans improvisation, is very similar to the line in ex. 14.16, but is in C minor.
The exact notes Evan’s used for the Bb7 in the ex. 14.16 were transposed for the G7 chord in ex. 14.17.
Evans used locrian #2 (sixth mode of F melodic minor) for the Dø7, and suggested the superlocrian
(seventh mode of Ab melodic minor) for the G7.

Dø7
œ
G7
b œ b œ Cm 9
œ œ bœ œ bœ bœ
& c bœ œ bœ œ œ œ œ œ œ
The raised second degree and altered ninths are not just modern jazz inventions. Clifford Brown used
Gø7 (locrian #2, sixth mode of Bb melodic minor) and suggested C7 (superlocrian, seventh mode of C#
melodic minor) in the ex. 14.18.

œ œ b œ œ œ C7 œ œ
j
Gø7
b œ œ b œ œ b œ œ bœ
Fm
j
& c ‰ œ bœ bœ œ
nœ œ œ œ b œ
3 3
3
FIFTH MODE of MELODIC MINOR

Other Name: Mixolydian b6
V7 in major or minor 9 b13 Built on 5th degree of melodic minor. Ambiguous dominant.
Count the root of the V7 chord as 5 n9 is bright &
and count to 1. b13 is dark
This dominant is ambiguous as to its destination. Does it point to major or minor? The b13 of G7 (Eb)
makes a case for C minor, but the An argues for C major. It is not used as often as other melodic minor
modes. To find the related melodic minor scale, count the root of the chord as 5 and count up to 1.

14.19 Mixolydian b6
b 13
w b w w w b ww
G9
&w w w w w
ww
?
w w w bw w w
w w
THIRD MODE of MELODIC MINOR

Other Name: Lydian Augmented
Substitute for maj7 maj7#5 Built on 3rd degree of melodic minor. Ambiguous major 7
chords Count the root of the chord as 3 and Bright #5
count to 1
Augmented chords are ambiguous as they are missing a perfect fifth. Augmented chords built on the
third of a harmonic minor scale often sound like an augmented dominant chord in some inversion. The
addition of a major seventh to the chord intensifies the ambiguity because it creates a perfect fifth in
the chord between the third and the seventh. This causes confusion because the ear wants to make the
third sound like the root of the chord because of the perfect fifth above. This augmented major seventh
chord is often used in contemporary compositions for an unsettling effect. Substituting for a Imaj7 or a
IVmaj7 will eliminate the typical sense of resolution associated with major seventh chords. In those in-
stances, the augmented fifth may be resolved up to the sixth degree or down to the n5 to gain a sense of
stability. The augmented fifth may be heard as unresolved dissonances from a preceding dominant
chord. For instance, a Bb7 b9 chord resolves to an Ebmaj7 chord. If the b9 of the Bb7 (Cb or enharmonic
Bn) is suspended into the Eb chord, the Bn would sound like the augmented fifth of the Eb chord.
14.20 Lydian augmented

#
E bmaj7 5 G/E b
bw w
& bw w w w w w w ww ww
w
w w bw
? bw w w w w bw bw
Tom Harrell used the lydian augmented sound in these two examples which ultimately resolved to C
major. The 3-5-7 tones of the Cmaj7#5 chord form an E major triad, and so the chord is often written
shorthand as E/C, meaning an E major triad over a C bass note.
# #
14.21 Lydian augmented
‰ # œj œ œ œ
Cmaj7 5 Cmaj7 5
œ
Cmaj7 Cmaj7
& c œ #œ #œ œ œ œ œ nœ œ œ ˙
3

SECOND MODE of MELODIC MINOR

Other Name: Dorian b2
b
Substitute for 7sus 9 b
D7sus 9 Built on 2nd degree of n13 is brighter and b3 is
Substitute for phrygian E bmaj7 #5/D melodic minor. darker than fifth mode
Aø7 #2/D Count the root as 2 go back to 1 of harmonic minor.
Brighter than phrygian.
This mode is called dorian b2, but does not sound like and is rarely used to substitute for dorian mode.
The b2 makes it a closer relative to phrygian. Although a minor seventh chord can be built from the root
of this scale, it is rarely used as a substitute for a minor seventh chord. It can be used as a substitute for a
7susb9. The usual sound associated with a D7susb9 would be the fifth mode of G harmonic minor. The D
dorian b2 sound below is a shade brighter than G harmonic minor because of the Bn, but a shade darker
without the F#. When this mode is used to substitute for a D phrygian mode, it retains the significant b2,
but is brighter because of the Bn. A chord symbol that is associated with this scale includes a maj7#5 in
third inversion, where the seventh is in the bass as: Ebmaj7#5/D; and a ø7#2 a fifth above the bass note
as: Aø7#2/D.
14.22 Dorian b2
b
D7sus 9
b
D7sus 9
b
D7sus 9
w w
& w bw w w w w w b www b www b www
w w
? w bw w w w w w w
ww
w
ww
w
MODES of the MAJOR SCALE with b6

A major scale with a lowered sixth degree is sometimes called harmonic major as the upper four notes
are identical to harmonic minor and include the augmented second associated with harmonic minor.
FIFTH MODE of MAJOR SCALE with 6 b

Other Name: Mixolydian b2
Symbol Major Scale with b6:
Substitute for V7 in b
13 9 Built on 5th degree of major scale b9 is darker,
major with b6. n13 is bright
Count the root as 5 go back to 1
When a dominant chord in a major key indicates a b9 and a n13, then this scale is appropriate. There will
be another scale discussed later that will satisfy this sound, but it includes other changes not indicated
by the 13b9 chord symbol. The b9 of the dominant is the same pitch as the lowered sixth degree of the
major scale: the b9 of G7 (Ab) is the lowered sixth of C major scale. This chord is darker than a tradi-
tional dominant because of the b9, but bright because of the n13. This dominant chord wants to resolve
to major on the strength of the n13 which is the major third of the tonic chord.

14.23 Fifth mode of major b6
b9
w w w w G13
& w bw w w b ww
w
? w w w w w w
w bw w w
THIRD MODE of MAJOR SCALE with 6 b

Other Name: no common pseudonyms
Substitute for V7 V7 with Built on 3rd degree of major scale Similar to V7 in minor
Points to minor, may b9, #9, b13 with b6. Darker than V7 in major
resolve to major Count the root as 3 go back to 1 Brighter than Superlocrian
with the n5
The third mode of major with a b6 yields an altered dominant scale. The fourth note is the enharmonic
spelling of a major third. The E7 chord below is created using the Ab to sound like a G#. This sound is an
excellent choice for altered dominants as it includes the b9, #9, and b13. Only one note differentiates this
scale from superlocrian (7th mode of melodic minor). Superlocrian has a b5 and this scale has a n5. For
most situations when a dominant chord has the b9, #9, and b13 alterations, the third mode of major scale
with a b6 is a better choice than superlocrian based on the path of least resistance. When changing from
one chord to the next, the listener tends to retain notes until changed by the next harmonic setting. All
of the chords that typically surround the E7 usually have a Bn. An E7 is usually preceded by a Bm7 or a
Bø7 chord and may be followed by an Am7 or an Amaj7. Using an E superlocrian with the Bb can be
disruptive while the E third mode of C major b6 retains the Bn and still supplies the b9, #9, and b13.
14.24 Third mode of major b6

#9
E7 b 13
w w n www
& c w w w bw w w
w w w # ww
? c w w w bw w w

14.25 Comparison of Superlocrian and 3rd mode of C major b6 for E7
3rd mode of C major b6

w w w w
&w w w bw
R b9 #9 (3) n5 b13 7 R
Superlocrian: 7th mode of F melodic minor

bw w w w
&w w w bw
R b9 #9 (3) b5 b13 7 R
SECOND MODE of MAJOR SCALE with 6 b

Substitute for ii7 ø7 #2 Built on 2nd degree of major b6 Dark as substitute for
(Dm9 [ 5]) Count the root of the ø7#2 chord as 2,
b ii7
go back to 1.
This is another scale that may be used as a substitute for ii7 chords. When substituting for a ii7 chord,
the sound is darker because the lowered fifth of the scale changes the minor chord to diminished. It re-
tains the bright major ninth. The chord symbol sometimes appears as a m9[b5]. This is a misleading, but
not uncommon shorthand. A minor chord must have a perfect fifth to be minor, the chord symbol
m9[b5], suggests a minor chord with the contradictory lowered fifth. The second mode of major b6 is al-
most indistinguishable from locrian #2, the sixth mode of melodic minor. The only note that is different
is the sixth degree. Dø7#2, as locrian #2 is based on the F melodic minor scale and has a Bb as the sixth
degree. Dø7#2, as the second mode of major b6 has a Bn as the sixth degree. A Dø7 chord usually pre-
cedes a G7 chord and improvisers tend to avoid any kind of a B over the Dø7 chord, not because of a
dissonance, but because the Bn is usually reserved for the upcoming chord as it identifies the G7 chord.
For this reason, it may be difficult to determine whether the improviser or composer suggested one
sound or the other as they may have avoided using the one pitch that determines the difference.
14.26 Second mode of C major b6

#
w b www
Dø7 2
& w w w w bw w w w
w
? w w w w bw w w w
Cannonball Adderley used the Cø7#2 in the place of the Cm9 chord in the key of Bb major in ex. 14.27.
The contrast between the darker Gb (from the parallel key of Bb minor) and the brighter Dn (suggesting
B b major) was carried over to the F7 chord. Both the Cø7 and the F7 chords could have been derived
from Bb major b6 as no other changes are suggested.

14.27 Cø7#2 arpeggio

# b
œ œ b œ j b œj œ .
Cø7 2 F13 9
& c bœ bœ bœ J œ
FOURTH MODE of MAJOR SCALE with 6 b

Possible substitute for i m maj7 Built on 4th degree of major b6 Bright as substitute for
or iv chords in minor maj
m 9 Count the root of the chord as 4, go i or iv
mmaj7#11 back to 1.
A minor chord with a major seventh (mmaj7) can be derived from the fourth mode of major b6. This is
the third scale available for a minor major seventh chord, the others being the first modes of harmonic
and melodic minor. Harmonic minor is the darkest as it has a lowered sixth degree; melodic minor is a
fraction brighter with its major sixth; fourth mode of major b6 is brighter still as it has a raised fourth
degree which can be the #11 of the chord. The Fmmaj9 #11 is spelled like a polychord Em over an Fm.
This is not a typical substitution for i or iv, but is a useful scale for melodic material when appropriate
or called for by the composition.
14.28 Fourth mode of C major b6
#
w w w
Fm maj 7 Fm maj 9 Fm maj 7 11
& w w bw w w N ww
ww www ww
b w w w w w w bw
?w w w b ww b ww
The melodic material and the chord symbol suggest the fourth mode of major b6 as the correct sound
for this passage.
14.29 Fourth mode of C major b6

#
.
Fm maj 9 11
&c Ó Œ œ œ n œ ‰ œj ‰ œj ‰ b œj œj
œ. œ œ bœ w
FIRST MODE of MAJOR SCALE with 6 b
Other Name: Harmonic Major
Possible substitute for I maj7b6 Begin the scale on the root of the Darker than major
in major and for maj7#5 chord scale by b6
major7 #5 chords E/C

A major seventh chord an be built on the first degree of the major b6 scale. The lowered sixth degree of
a major b6 scale does not necessarily change the character of this chord. This scale can be superim-
posed over a I chord in major, and what changes is the passing tone between the fifth and seventh. This
scale may be used for augmented major seventh chords with the enharmonic b 6 acting as the # 5. A
Cmaj7b6 chord may sound like it has a suspension from dominant chord that proceeds it: The Ab from a
G7b9 might suspend over the Cmaj7 before resolving.
14.30 C Major b6 (Harmonic major)

b
Cmaj7 6
#
Cmaj7 5 E/C
& w w w w w b w w w ww # www # www

b ww
? w w w w w bw w w w w w
SIXTH MODE of MAJOR SCALE with 6 b

Applications: Chord How to find relative
Augmented major seven or diminished maj7#5 Built on b6th degree of major b6
major seven chords °maj7 Count the root of the chord as 6, go up
to 1.
Two chords can be generated from the sixth mode of major scale with a b6. Constructing with conven-
tional thirds, it can create a scale for augmented major seventh chords (maj7# 5). A very dense aug-
mented major seventh chord with a #9 can also be constructed. The first interval of the scale is an aug-
mented second which sounds like a minor third. Using it as such, a diminished major seventh chord
(°maj7) can be constructed. The diminished major seventh chord may appear as a triad over a bass
note: G/Ab.
14.31 Sixth mode of C major b6

#9
#
A bm aj7 5 b # G/A b A b°maj7
w wbw
A maj7 5
w w w w www ww
& bw www w ww
w w
? w w w wbw
bw w w bw bw bw bw
SEVENTH MODE of MAJOR SCALE with 6 b

Substitute for vii°7 °7 Built on 6th degree of major b6 Brighter than the sev-
°7 with Count the root of the chord as 7, go enth mode of har-
added tones up to 1. monic minor.

A half diminished chord can be built on the seventh degree of a major scale. Lowering the sixth of the
major scale allows for a fully diminished chord on the seventh degree. This B°7 diminished chord
seems to point to major since the En is in the scale. This scale and chord sounds like an inversion of the
G7b9 built on the fifth mode of major b6.
14.32 Seventh mode of major b6
w w w b w w B°7 B°7 (add E)

w
B°7 (add G)
w
&w w b ww # www n ww
w
bw w w b ww
? w w w w ww
w w w w
APPLICATIONS of MAJOR SCALE with a b6 in a COMPOSITION
The composition View from the Bridge, utilizes all seven modes of a major b6 scale. (An extended ar-
rangement of this composition can be found on the University of North Texas CD, LAB ’88). The chart
below show the modes of major b6 and corresponding chord types.
MAJOR with a b6 CHORD TYPE

(Harmonic Major)
1st Major 7
1st Major 7 b6
2nd iiø7
3rd Dominant 7 (#9, b9, b13, n5)
4th Minor (major 7)
5th Dominant 7 (b9, n13)
6th Major 7 #5
6th °7, °maj7
7th °7
The sixth mode can be used for two types of chords and will both appear in the composition. The Eb
major b6 is used for the first three measures with its second mode at (a.), fifth mode at (b.), and the first
mode at (c.). The second and fifth modes of C major b6 appear at (d.) and (e.) before resolving to C
major in m.7.
The rhythm of this first phrase may be more interesting than the colorful scale choices. The first two
measures are in 34. Hemiola is implied in mm.3-4, the rhythm implying a 32 over the 34. The implied meter
change in mm.5-6 is 68 with the three eighth note groupings and dotted quarter notes. This rhythmic
interplay continues throughout the composition.
The sixth mode of G major b6 is implied for the Ebmaj7#5 at (f.) in m.9. The same G major b6 over a B7
would create a dominant that points to Em, so the Ebmaj7 #5 works like a functional dominant seventh
chord in first inversion resolving to the Em.

14.33a Bert Ligon: View from the Bridge
Fø7 b b
B 13 9 b
E m aj7 6 b b
E m aj7
3
c.
j j
bœ .
b.
bœ bœ n˙ ‰ œ
a.
&4 ˙ J bœ œ œ œ œ. œ
Dø7 G13 9
b Cm aj7 Cm aj7/E
‰ œj œ œ œ.
d. e.
&œ bœ . ˙. ˙ Œ
b
E m aj7 5
# Em 9 Fm aj7
j
& b œj œ œ œ
f.
‰ œ œ œ.
œ œ œ œ œ œ œ ˙.
The third mode of G major b6 returns at (g.) over a B7 creating a dominant sound that points to E mi-
nor, but resolves to E major. The G# could be retained so that at (h.) an E major b6 scale is suggested.
Two scales, E major and E major b6, alternate from mm.15-18, so that the only note that changes is the
C # to Cn and back. The modes name is determined by the bass note so that (i.) is the first mode, (h.) is
the fifth, and (j.) is the fourth mode. F# major b6 applies in mm.23-24 using the second mode at (k.) and
the fifth at (l.).
14.33b Bert Ligon: View from the Bridge, cont.

b9
#
F ø7 B7 b 13 Em aj7 #
F ø7/B
œ
#œ œ œ œ œ ˙.
g. h.
& ‰ j œ #œ œ ˙ Œ
3
œ œ
Em aj7 Am m aj 7/E Em aj7 #
F ø7/B
j œ i.
#œ œ j œ.
h.
˙.
&Œ œ #œ J J œ œ #œ .
7
Em aj7 Am m aj 7 G ø7# # b
C 13 9
‰ # œj œ œ œ œ
j.
#œ œ œ œ œ œ # œ œ
k. l.
&Œ #œ œ œ #˙ ‰
1
#œ œ
The G°7 chord in m.27 could be labeled an E°7 in first inversion functioning as the vii°7 of F minor. The
sixth mode of Ab major b6 could be used at (n.). This is the second chord type in the piece that used the
sixth mode. The Eb triad over the E in the bass at (o.) can also use the Ab major b6 scale. The Ab major b6
scale works well in the measures surrounding the F minor. F minor aeolian is the key of four flats, and
the same four flats are in the Ab major b6 scale. A dominant sound associated with Ab major b6 is built on
the third mode of the scale and that C7 points to F minor. In that sense, the G°7 and the Eb/E function
like a C7 pointing to the Fm. The sixth mode of C major b6 could be applied to Abmaj7 #5 at (p.). The

short return of the first phrase is set in different inversions of the same chords in mm.33-35. The Fø7/Bb
at (q.) uses the fifth mode and the G/Ab at (r.) uses the fourth mode of Eb major b6. Earlier in the piece,
at m.9, a maj7#5 chord was used to imitate a dominant chord in first inversion. The Gbmaj7#5 at (s.) uses
the same scale, Bb major b6, as a D7 that points to G minor.
14.33c Bert Ligon: View from the Bridge, cont.

b
G m aj7 b
G m aj7/B b G°7 Fm 7
bœ bœ j
& b œj b œ b œ b œ b œ œj b œ œ N œj b œ
n.
œ œ bœ bœ ‰
5
œ bœ
E /E b D /E b b Dm 9 b
A m aj7 5
#
‰ b œj j
o. p.
&˙ ˙ ‰ œ œ œ œ ˙.
œ
9
Fø7/B b G/A b b
E m aj7/G b
G m aj7 5
#
‰ b œj b œ œ œ b œ
q. r. s.
&œ bœ bœ n˙ ‰ œ bœ bœ ˙
3
J
The last phrase of the piece moves between the Gm9 and its quasi-dominant chord, the Gbmaj7#5. The
one note that changes between the sixth mode of Bb major b6 and G aeolian is the Gb to Gn in the bass;
all other notes remain the same. The hemiola rhythm returns in mm.41-42.
The ending restates the melodic material from m.36 and ends on a polychord: a G minor over an Ab
minor, (t.). A label could be forced on this chord naming it an Abm maj9 #11, but the polychord may be
the easier designation. The fourth mode of Eb major b6 applies for this sound.
14.33d Bert Ligon: View from the Bridge, cont.
Gm 9 b
G m aj7 5
# Gm 9 b
G m aj7 5
#
. ˙. ˙.
&˙ j bœ bœ bœ œ
s. s.
‰
œ
7
Gm 9 b
G m aj7 5
# Gm 9 b
G m aj7 5
#
& œ. j
s.
bœ œ œ bœ œ . Œ
J bœ ˙ . ˙
1
ENDING ONLY:
# # b b b Gm
b
F/F F /E B /E D /B B/A
œ œ bœ ˙.
A m t.
˙.
&Œ œ bœ
5

SCALES of LIMITED TRANSPOSITION

All of the scales and modes studied above can be transposed to any twelve pitch levels with a unique set
of pitches. There are symmetrical scales that can be transposed a limited number times before repeat-
ing the same set of pitches. Three of these scales are frequently used in jazz improvisation: the dimin-
ished, whole tone and augmented scales.
SYMMETRICAL DIMINISHED SCALE

Other Name: Octatonic, Whole-Half, Half-Whole
The diminished scale is symmetrically constructed of alternating whole-steps and half-steps. It is some-
times known as the octatonic scale as is contains eight pitches. The jazz community usually calls the
scale half-whole or whole-half distinguishing the modes by their intervallic construction. Diminished
scales can be transposed twice before reaching a scale with identical tones, so there are only three
unique diminished scales. A whole-half scale is shown beginning on C in the first measure of ex. 14.34,
and is transposed up to C# and D. Transposing to Eb yields a scale with the identical pitches as a scale
starting on C.
The whole-half diminished scale is associated with diminished chords and is often used as a substitute
for functioning vii°7 chords and non-functioning diminished chords. The scale could be viewed as a
fully diminished chord with leading tones to each of its chord members. Two fully diminished seventh
chord as whole step apart can be derived from any diminished scale so that a chord may have added
tones that are a whole step above members of the chord. An E-G-Bb-Db diminished seventh chord may
have F#-A-C-E b as added tones. The diminished scale is brighter than the seventh mode of harmonic
minor associated with functioning vii°7 chords. The whole-half scale satisfies the chord tones for any
diminished chord, but should not arbitrarily replace the seventh mode of harmonic minor when play-
ing functional vii°7 chords.
The whole-half introduces conflicting information to the functional framework when applied over a
functioning vii°7 chord. For instance, an E°7 is the vii°7 of F minor and would contain the notes: E - F -
G - Ab - Bb - C - Db. Substituting an E whole-half yields these notes: E - F# - G - An - Bb - C - Db - Eb. Several
of the notes agree with the F minor sound, yet two notes, the F# and the An, contradict the Fn and Ab of F
minor. This can be a very desirable result, but the scale should be used understanding the effect and ar-
bitrary use should be avoided.
Whole-half diminished scales are shown below. Each measure represents four possible roots due to the
limits of transposition. The C diminished is the same as Eb, F#, and A diminished; the C# whole-half is
the same scale as E, G, and Bb; D, F, Ab, and B diminished scales all share the same pitches. The eight
tones in the scale necessitates enharmonic spellings.
14.34 Whole-half diminished scales
w
& w w bw w #w #w w w w #w#w w #w w w bw w #w w w w w bw bw nw #w
? w w bw w #w #w w w
w
w # w w w bw w #w w w w w bw bw nw #w w
#w#w
The diminished scale lends itself to some very colorful chords that go beyond what is available from
functional vii°7 chords. A few are shown in 14.35 over a D°7.

14.35 Colorful chords derived from D whole-half diminished

D°7 D°7(add C # ) D°7(add E ) D°maj7(add E ) D°7(add G) D°7(add B b)
w w
& # ww # # www # ww # n # www n ww b ww
w
w w
? w w w w # www # www
w w w
The half-whole diminished scale is associated with dominant chords. Transposition works the same for
half-whole as with whole-half. A C half-whole is the same scale as Eb, F#, and A half-whole diminished
scales.
14.36 Half-Whole dominant scales
w
& w b w b w n w # w w w b w w # w w w w w b w b w n w # w wb w w # w # w w w w
w
? w b w b w n w # w w w b w w # w w w w w b w b w n w # w wb w w # w # w w w w
Many scales available for dominant substitutions have clear functions, pointing to either major or mi-
nor, working as a tritone substitution or a backdoor dominant. The half-whole dominant scale is am-
biguous and can found substituting for any kind of dominant. The alterations and upper extensions
available are numerous and often contradictory. The C7 shown below has the following alterations and
extensions: b9, #9, #11, and n13. The presence of the b9 and #9 (Db and Eb) suggests the C7 points to F mi-
nor. The n13 (An) indicates F major as the goal. The #11 (F#) suggests the C7 is either a tritone substitute
for F#7 pointing to B minor or a backdoor dominant moving up to D major. The ambiguity is part of
the attraction to the half-whole diminished scale as a dominant substitute.
14.37 Colorful dominant chords available from half-whole diminished scale

# 11 # 11 b9 b9 #9
b
C7 9 C7b 9 C7# 9 C13# 11
#
C7 9 C13# 11
www
& w
b b ww b b # www # b # www b b # wwww b # ww #
# w
? c ww ww ww ww ww b b wwww
w
Another attractive feature of diminished scales is that melodic shapes can be transposed and sequences
to three other pitch levels within scale. Two three-note motives are sequenced at the interval of a minor
third in ex. 14.38.

14.38
C7 F C7 F
œ# œœ œ œbœ b œ œb œ œ ˙ . ≈ b œb œ œ œ b œ# œ œ œ œ
&c # œ # œ œ
Œ
#œ œ œ b œbœ œ ˙ .
Œ
œ #œ
WHOLE TONE SCALE

Other Name: no common pseudonym
The whole tone scale can only be transposed once. There are only two mutually exclusive six note scales
constructed by whole-step intervals. The whole tone scale is associated with augmented triads and dom-
inant chords with augmented fifths. It is not widely used, but can be an effective color. The dominant
chord tends to want to resolve to major. The n9 indicates major and the #5, when it resolves up in the di-
rection in which it has been altered, resolves to a major third. The #5 (G#) of the C9#5 chord below, re-
solves up to an An, the third of F major. There is a slight difference between a C9#5 and C9b13, even
though the #5 and b13 are enharmonically identical. The difference is revealed by the resolutions: The #5
wants to resolve up to the third of the next chord; the b13 moves down to the ninth.
When two or more dominants separated by a whole-step are present in a progression, the whole tone
scale may be used to connect them. For instance, a repeating progression of C7 - Bb7 - Ab7 - Bb7 could
use the same whole tone scale.
14.39 Whole Tone Scale
&w bw w w w bw
w w #w #w bw bw w w
bw w w w bw
?w w w #w #w bw bw w w
14.40 Chords available from the Whole Tone Scale

#
C7 5
b
C7 5
#
C9 5
##
C9 5 11
# ww
& # ww b ww # www # ww
? c b ww bw
w
bw
w
bw
w
AUGMENTED
Other Name: no common pseudonym
The augmented scale is an unusual scale of limited transposition. It is constructed with the alternating in-
tervals: m3-m2-m3-m2-m3-m2. The unusual construction limits its use in traditional settings. Improvisers
and composers who use this scale and sonorities from this scale may superimpose it over traditional
settings for effect or create new music suited for these sounds. The diminished scale could be con-

structed by adding a leading tone to the four diminished chord tones. The augmented scale is similarly
constructed by adding leading tones to an augmented chord. The colorful scale has been used by many
composers of the twentieth century including Béla Bartók as shown in ex. 14.42.
14.41 Diminished Scale = Augmented Scale =
°7 chord with leading tones Augmented chord with leading tones
& ˙ œ ˙ œ b˙ œ ˙
˙ œ b˙ œ #˙ #œ ˙ #œ ˙
œ œ
14.42 Augmented Scale
11
œ b œ n œ œ # œ 11œ œ n œ œ b œ
& 34 b œ n œ œ # œ œ œ nœ œ bœ œ œ
œ œ
Because of its symmetry there are only two modes of the augmented scale. The scale can only be trans-
posed to four unique pitch sets as shown below.
14.43 Augmented Scales:
C, E, & Ab Db, F, & A D, F#, & Bb Eb, G, & B
˙ b˙
& ˙ #˙ ˙ ˙ #˙ ˙ ˙ b˙ ˙ ˙ #˙ ˙ ˙ b˙ ˙ ˙ #˙ ˙ b˙ #˙
˙
b˙ b˙ n˙ b˙ n˙
? ˙ #˙ ˙ ˙ #˙ ˙ ˙ b˙ ˙ ˙ #˙ ˙ ˙
b˙
˙ # ˙ ˙ b˙ #˙ ˙ b˙ b˙ n˙ b˙ n˙ ˙ b˙
˙
The most common chords derived from the augmented scale are a major 7 chord with a #5 and a minor
chord with a major seventh. Some unusual chords may be created that may be difficult and misleading
for traditional names. The last chord below might be better labeled a B augmented triad over a C aug-
mented triad.
14.44 Chords derived from the C, E, & Ab Augmented Scale

#9
Em maj 7 Cm maj 7 A bm maj 7
#
Em aj7 5
#
Cmaj7 5
#
A bmaj7 5
#
Cmaj7 5
& c # ww b www b n b www

b b www n # www www # n www
w
?c w nw # www
w bw w bw
The augmented scale is sometimes used over conventional chords for effect even though there are con-
flicting tones. Three major triads derived from the augmented scale are used over the C7 in the line in

ex. 14.45. The C triad obviously has no conflicts with C7. The Ab suggests the b13 (Ab) and the #9 (Eb). The
E triad contains the Bn, which contradicts the dominant seventh of C7, and adds a spice to the line.
14.45 Augmented scale over a Dominant chord

C7 F
bœ œ œ œ bœ (C) (A b) (E)
j
&c Ó Œ ‰ J œ œ bœ œ œ #œ œ nœ œ Ó
œ œ œ bœ œ .
The inversion of the line can be used over a minor chord. The three major triads when inverted be-
come Cm, Em and Abm. There are notes in ex. 14.46 that momentarily contradict the Cm, but as in the
previous example, symmetry and linear motion are more important to the melodic success.
14.46 Augmented scale over a Minor chord

Cm
(A bm)
œ
(Cm) (Em)(Cm)
c ‰ œ œ b œ œ œ œ Œ Ó
& j œ œ œ bœ
œ œ bœ œ nœ
The best use for an augmented scale may be to depart from the traditional sounds. In the ex. 14.47, all
four of the augmented scales are used over a C pedal, each giving different color to the passage. All of
the scales contain some tones that may related to C, but the line is held together more from motivic re-
lationships that tones related to a tonic pitch.
Four augmented scales occur in the following example. Eb augmented scale (a., d., h., k. and l.), C#
augmented scale: (b., f. and j.), C augmented scale: (c. and g.), and D augmented scale: (e. and i.).
14.47 Augmented scales over a C pedal
C Pedal
bœ . œ ˙ ‰ b Jœ œ œ œ œ b œ œ b œ . j Œ ‰ b Jœ œ œ b œ œ
&c J bœ ˙
. .
& œ . # œj œ ‰ n œJ œ # œ n œ œ b œ ‰ j ‰ j
œ œ œ bœ ˙ œ bœ b˙
‰ œj # œ œ œ ‰ b œ œ œ b œ ‰ œj # œ b œ
j
& ‰ j #œ œ œ #œ œ bœ œ bœ nœ ˙
œ bœ
& œ #œ nœ œ #œ œ œ bœ nœ bœ Ó Œ #œ œ #œ bœ œ nœ bœ œ œ
œ bœ œ œ b œ
œ #œ

CHORD/SCALE RELATIONSHIPS REVIEW

The following charts catalog all of the previously discussed chord/scale relationships sorted by scales,
and then sorted by chord type.
LIST of SCALES with POSSIBLE DERIVED CHORDS:
MAJOR SCALE CHORD TYPE MAJOR with a b6 CHORD TYPE

1st Major 7 (Harmonic Major)
2nd Minor 7 1st Major 7
3rd Minor 7 1st Major 7 b6
4th Major 7 2nd iiø7 #2
5th Dominant 7 3rd Dominant 7
6th Minor 7 (#9, b9, b13, n5)
7th ø7 4th Minor (major 7) #11
HARMONIC MINOR CHORD TYPE 6th Major 7 #5
6th °7, °maj7
1st Minor (major 7) 7th °7
2nd ø7
3rd Major 7 #5
4th Minor 7 1/2W DIMINISHED CHORD TYPE
5th Dominant 7 Dominant 7
6th Major 7 (b9, #9, n13, #11)
7th °7
W1/2 DIMINISHED CHORD TYPE
MELODIC MINOR CHORD TYPE °7, °7 with added notes
1st Minor (major 7)
2nd Minor 7 (b9)
Major 7 #5
WHOLE TONE CHORD TYPE
Dominant 7 (9, #5)
3rd
4th Dominant 9 #11
Lydian dominant
5th Dominant 9 b13 AUGMENTED CHORD TYPE
6th ø7 #2 Major 7 #5
7th Dominant 7
(#9, b9, b13, b5,)
Major 7
minor (major 7)
LIST of CHORDS with POSSIBLE SCALE SOURCES:
CHORD TYPE SCALE SOURCE CHARACTERISTICS

1. Major 7 Ionian; 1st mode Major n4, 7
2. Major 7 Lydian; 4th mode Major #11
3. Major 7 6th mode Harmonic Minor #9, #11
4. Major 7 Major with a b6 b6 or b13
5. Major 7 Augmented Maj/Min3, 5, #5 or b6

6. Minor 7 Dorian; 2nd mode Major Major 6, m3
7. Minor 7 Phrygian; 3rd mode Major b2, b6
8. Minor 7 Aeolian; 6th mode Major b6, b3
9. Minor 7 4th mode Harmonic Minor #4
10. Minor 7 Dorian b 2; 2nd mode Melodic b2
Minor


11. ø7 Locrian; 7th mode Major b5, b2
12. ø7 2nd mode Harmonic Minor b5, b2
13. ø7 # #
Locrian 2; 6th mode of Melodic 2
Minor
14. ø7 2nd mode Major with a b6 #2

15. Minor/Major 7 1st mode Harmonic Minor b6
16. Minor/Major 7 1st mode Melodic Minor n6
17. Minor/Major 7 4th mode Major with a b6 #11
18. Minor/Major 7 Augmented Maj/Min3, 5, #5

19. Major 7 #5 3rd mode Harmonic Minor #5, n4
20. Major 7 #5 3rd mode Melodic Minor #5, #11
21. Major 7 #5 Major with a b6 n5, b13
Major 7 b6 or b13
22. Major 7 #5 6th mode Major with a b6 #5, #9, #11
23. Major 7 #5 Augmented Maj/Min3, 5, #5

24. Diminished 7 7th mode Harmonic Minor Traditional sound
25. Diminished 7 Diminished W 1/2 Tones whole step above each chord
member available
26. Diminished 7 7th mode Major with a b6
27. Diminished 7 6th mode Major with a b6

28. Dominant 7 Mixolydian; 5th mode Major n9, n5, 13
29. Dominant 7 5th mode Harmonic Minor b9, b13
30. Dominant 7 Lydian b 7; 4th mode Melodic 9, #11, 13
Minor
32. Dominant 7 Super locrian; 7th mode Melodic b9, #9, b13, b5
Minor
33. Dominant 7 Mixolydian b6; 5th mode Melodic 9, b13
Minor
35. Dominant 7 5th mode Major with a b6 13 b9
36. Dominant 7 3rd mode Major with a b6 b9, #9, b13, n5
37. Dominant 7 Diminished 1/2 W b9, #9, #11, n13
39. Dominant 7 Whole Tone 9, #5
There are nine individual scale sounds for a dominant chord. Each has specific alterations that imply
several possible resolutions. These dominants may point to the major or minor key a perfect fifth below,
function as a tritone substitute dominant resolving down a half-step to a major or minor key, or act as a
backdoor dominant resolving up a whole-step to a major key. The destination of some dominants may
be unclear because of certain ambiguous chord tones. The nine possible dominant sounds for C7 are
shown below.

A C7 built on the dominant of F major scale will obviously point to the key of F major. The chord may
have a n5, n13 and n9.
14.48 5th mode of F Major Scale: points to F major

C13
& w w w w w w b w w ww
bw
? w w w w w w b w w ww
A C7 built on the dominant of F harmonic minor points to F minor. The chord may have a n5, b13 and
b9. This sound may resolve to F major, but with an Ab and Db, points to F minor.
14.49 5th mode of F Harmonic Minor: points to F minor
b9
C7b 13
& w b w w w w b w b w w b b ww
bw
? w b w w w w b w b w w ww
A C7 built on the fifth mode of F melodic minor may point to F major or F minor. The n9 (Dn) points to
F major; the b13 (Ab) points to F minor. The context surrounding the C7 will help determine the ex-
pected resolution.
14.50 5th mode of F Melodic minor: points to F major or F minor

b
C9 13
& w w w w w b w b w w b ww
bw
w
? w w w w w bw bw ww

A C7 built on the third mode of Ab major b6 points to the key of F minor. The Db, Eb, Ab and Bb are all
tones common to F minor and offer these alterations for the C7: b9, #9, and b13. Any dominant sound
that points to minor may resolve to major.
3rd mode of Ab major b6: points to F minor

14.51
#9
C7b 13
& w b w b w b w w b w b w w b b ww
bw
? w b w b w b w w b w b w w ww
A C7 chord built from the seventh mode of Db melodic minor contains the same tones that pointed to
F minor as the Ab major b6, Db, Eb, Ab and Bb, and the additional altered tone Gb. This sound may resolve
to F major even though it points to F minor.
14.52 7th mode of Melodic Minor: points to F minor
& w b w b w b w b w b w b w w b b www
b
C7alt.
bw
? w b w b w b w b w b w b w w ww
A C7 constructed from the fifth mode of F major b 6 suggests a resolution to F major. The An is the
strongest indicator as the n13 of C7 and the major third of F. The Db may suggest F minor, but the An ex-
erts the strongest force indicating a resolution to F major.
14.53 5th mode of F major b6: points to F major

b
C13 9
& w b w w w w w b w w b ww
b w
w
? w bw w w w w bw ww
A C7 constructed from a half-whole diminished scale is an ambiguous pointer. It points many places
and definitively to no single place. A case can be made for several resolutions, its ambiguity being one
of the attractive characteristics of this sound.
The Db and Eb, the b,9 and #9 of C7, suggest a resolution to F minor. The An, n13 of C7, points to F major.
The F# suggests the chord may be a tritone substitute for F#7 pointing to B minor (because of the Gn and
A n) or to B major (the enharmonic Eb = D#, the major third of B) The F# also suggests the possibility of
the C7 chord being a backdoor dominant to D major.

14.54 Half-Whole Diminished: could point to F major or minor, B major or minor, D major
b9 #
C13# 11
b ww bw
C13 9
& w b w b w n w # w w w b w w b # www w # www

b w
? w bw bw nw #w w w bw w bw b b www
ww w w
w
The C7 constructed from the whole tone scale points to F major. The Dn (n9) suggests the key of F major.
The scale does not contain the major third of F, but contains a G#, a pitch that typically resolves up to
an An.
14.55 Whole-Tone Scale: points to F major.

#
C9 5
& w w w # w # w b w w # ww
b w
? w w w # w # w b w w ww
Difference between a #5 & b13?
A C9b13 and a C9#5 sound exactly the same when played out of any musical context. Is there a differ-
ence? The difference can be determined only in a musical context. Notes tend to continue in the direc-
tion in which they have been altered so a b13 wants to resolve down to the ninth of F, and the G# wants
to resolve up to the third.
14.56 C9 with #5 or b13: context determines difference

b
C9 13
#
C9 5
b
C9 13
#
C9 5
& b www #w www b ww ww w #w w

bw b www bw b ww ww b www b www www
? w w w w
w w w w
The C7 built from the fourth mode of G harmonic minor does not point to F major or F minor. The F#
suggests that this sound may be a tritone substitute dominant for F#7. The Dn and Gn suggest that the C7
as a tritone substitute chord for F#7 is pointing to B minor and not B major. It could be used to resolve
to B major, as all dominants that point to minor may resolve to major. These same pitches over an F#7
would be called superlocrian, the seventh mode of G melodic minor, which explains whey this sound
over C7 points to B minor. This chord/scale sound may occur in this progression: Gmaj7 - C9# 11 -
Dmaj7, where the C7 is acting as a backdoor dominant pointing to D major.

14.57 4th mode of G Melodic Minor: points to B minor or D major

#
C13 11
& w w w # w w w b w w # www
b w
? w w w # w w w b w w ww
HEXATONIC OPTIONS
Some of the scale choices are very similar with only one note difference between two scales. C7 with #9
and b13 could be derived from 3rd mode of Ab major b6 or 7th mode of Db melodic minor. The seventh
mode of Db melodic minor contains Gb and the third mode of Ab major b6 contains Gn. Another option
is to use a hexatonic scale (six tones) which omits G.
14.58
Superlocrian (7th Db melodic minor): 3rd mode of Ab major b6: Hexatonic Scale without a G:
& w bw bw Nw w bw bw w w bw bw Nw bw bw bw w w bw bw Nw bw bw w
? w bw bw Nw w bw bw w w bw bw Nw bw bw bw w w bw bw Nw bw bw w
A Cø7#2 could be derived from the sixth mode of Eb melodic minor or from the second mode of Bb
major b6. The one note distinguished the two scales is the A or Ab. An option is to use a hexatonic scale
eliminating any type of A.
14.59
Locrian #2 (6th of Eb melodic minor): 2nd of Bb major b6: Hexatonic scale without A:
& w Nw bw w bw bw bw w w Nw bw w bw Nw bw w w Nw bw w bw bw w
? w Nw bw w bw bw bw w w Nw bw w bw Nw bw w w Nw bw w bw bw w

DETERMINING the APPROPRIATE SOUND

Chords have been inventoried by scales and modes; and scales cataloged by chord types in the preced-
ing sections. The most important aspect of chord/scale relationships is not their relationship to each
other, but to actual musical environments. Chord/scales must be understood in a musical context.
Choosing the correct form of a verb is determined by mood, number, person, tense, and voice.
Choosing the appropriate chord/scale is the musical analog of verb conjugation, and the choices are
determined by melodic implications, chord symbols and context. A responsible improviser or com-
poser would not arbitrarily pick from the previous charts and plug in sounds at random any more than
a writer would compose sentences by picking from lists of possible parts of speech. A responsible im-
proviser does not pick a favorite sound for a ii7 chord or a favorite sound for a dominant chord and
use it for all situations.
A responsible improviser usually determines the expected sound before choosing to impose substitute
or alternative sounds. By understanding the musical expectations, a musician can better choose alterna-
tive elements and sounds to play against or support those expectations. Most musical settings provide
enough information to accurately determine the appropriate chord/scale sound. Information is pro-
vided by the chord symbol, the melodic implications, and the context in which the chord occurs.
CHORD SYMBOL & CONTEXT
A chord symbol may suggest four, five and even seven notes of the scale. The other remaining scale
tones can be decided from the context and melodic implications. Context refers to the preceding mu-
sic; these are the sounds that the listeners (listeners includes the musicians) have just heard, and these
tones remain with the listener until something in the music changes those expectations.
The chord symbol “Fm7” reveals four notes of a seven note scale: F - Ab - C - Eb. Three notes are left to
be determined: some kind of a G, B, and D. Fm7 could be from the keys of three, four and five flats, so
the G could be Gn or Gb; the B would be Bb in any of those contexts, and the D could be Dn or Db.
Melodic material in the context may include one or more of these pitches. Chords that preceded the
Fm7 will likely reveal the identities of the remaining three notes. Look for chords that precede the Fm7
whose chord tones include a G or D as the root, third, fifth, seventh or ninth. Cm9 that might precede
the Fm7 chord has Gn as the fifth and Dn as the ninth and therefore suggests the key of three flats for the
Fm7 chord. Ebmaj7 or Gm7 suggest Gn and a Dn, and the key signature of three flats. Fm7 preceded by a
Dbmaj7 and Gbmaj7 suggest Gb and Db, and the key signature of five flats. An Eb9 chord suggests the key
signature of four flats with a Gn and Db.
The symbol for a ninth chord supplies five tones, with only two scale tones left to be determined of the
seven tone scale. The two remaining tones can be decided by the melodic material or the context. A
Gmaj9 suggests five notes of a scale: G-B-D-F#-A. Two notes of the scale not given by the chord symbol
(C or C# and E) can be determined by the melodic material or context. Look for some chords that pre-
cede the Gmaj7 that include either a C# (C#ø7, A7, F#m7 and Dmaj7) or Cn (Cmaj7, Am7, F#ø7 and D7).
The chord symbol “C13#11” discloses seven pitches. The seven pitches can be described as a chord (C-
E-G-Bb-D-F#-A) or a scale (C-D-E-F#-G-A-Bb).
MELODIC IMPLICATIONS & CHORD SYMBOL
Compositions reveal specific chord and scale sounds in a combination of chord symbols and melodic
content. There are times when the chord symbols are quite specific and others when the chords do not
clearly identify upper extensions or a complete scale. If a dominant seventh chord is the only symbol,
and no extensions or even the ninth are identified, the performers must decide which of the many
available sounds are the most appropriate. The choice should not be made arbitrarily. A seventh chord

only suggests four notes of a seven note scale. The composer or arranger may assume the performer can
determine the appropriate sound and scale choice from the context and melodic implications. A C7
with An and Dn in the melody does not suggest some exotic dominant scale with alterations, but C7 as
the V7 of F major, using the F major scale. Another C7 with An, Dn and the additional tone F# suggests
the very specific C lydian dominant scale.
A C7 chord may be labeled with the alterations #9 and b13. Two scales are possible with those alterations:
superlocrian (seventh mode of Db melodic minor with a Gb) or the third mode of Ab major b6 (with a
G n). If there is a Gn in the melody, then the composer has made the choice for the performer. The con-
text may be overruled by the melody.
There will be instances that the composer has included notes in the melody to contradict expectations.
A C7 in the progression Gø7 - C7 - Fm7, even without any indicated alterations, would be assumed to
have a b13 and b9 in the context of F minor and the key of four flats. If the melody contains a Db com-
bined with an F# and An, then the composer has suggested the half-whole diminished scale rather than
the expected fifth mode of harmonic minor.
A single note can make the difference between one sound and another. A single pitch determines major
and minor triads or distinguishes mixolydian from dorian. One significant pitch in the melody can in-
dicate enormous differences in musical expectations. A C9 would typically be the V7 of F major. If F# is
significantly present in the melody, then the C9 chord is a C9#11, the tritone substitute dominant to B
minor or the backdoor dominant to D major, two completely different expectations than F major.
Major seventh chords typically function as I or IV and call for a major or lydian sound even in settings
out of the major/minor traditions. The Abmaj7 and the Gm7 chord in ex. 14.60 could be derived from
the key of three flats as IV and iii in the key of Eb. The Dn in the melody confirms that Abmaj7 is not a I
chord. The Gm7 chord cannot be a iii7 chord in Eb because of the melody note An. The Gm7 chord
must be from the key signature of one flat (dorian) or two flats (aeolian). The most appropriate choice
is G aeolian as the change from three flats to two flats is the path of least resistance: the listener retains
the Eb suggested in the previous measure and nothing has occurred in the Gm7 measure to change that
expectation. Ab lydian is determined by melodic implications, the Gm7 aeolian by melodic implications
and context.
14.60
A bm aj7
œ œ bœ œ œ bœ œ n˙ .
Gm7
&c Œ
The same two chords occur in ex. 14.61 with different results. The Abmaj7 - Gm7 cannot be IV - iii in the
key of Eb. The Abmaj7 is confirmed to be a lydian sound with Dn in the melody. There is no A of any
kind in the melody to contradict the Ab that precedes it, but the strong presence of the En in the melody
indicates that this must a be G dorian sound, which is the key of one flat. Both appropriate sounds are
determined by melodic implications.
14.61
A bmaj7
œ
œ ‰ J œ œ œ œ œ œ ‰ bœ
n œ
Gm7
.
& c bœ Jœ
J

The Dn in the melody in ex. 14.62 again confirms the lydian sound (three flats) for the Abmaj7 chord.
There are no notes in the melody over the Gm7 that contradict the key of three flats so the Gm7 and Ab
chords could be bracketed in the key of three flats or as an Ab lydian sound followed by a G phrygian
sound.
14.62
A bm aj7
bœ .
& c œ œ bœ œ œ œ œ ˙
Gm7
Œ
These two chords cannot be bracketed by one sound since no key signature contains a Cm7 and an Am7
chord. The Dn over the Cm7 eliminates a phrygian sound and leaves a choice between C dorian (2b) or
C aeolian (3b). There are no clues within the measure to rule out one sound in favor of the other. A Bn is
indicated by the Am9 chord symbol and an Fn can be retained from C dorian or aeolian, so the appro-
priate sound for Am9 is aeolian (no #s and no bs). If the first scale is C dorian, which contains an An that
anticipates the Am9, then only two pitches change from the first to the second measure: the Eb and Bb
change to Bn and En.
14.63
. ˙.
&c ˙
Cm7 Am 9
œ bœ Œ
A major seventh chord that begins a progression will probably sound like a I chord unless somehow
contradicted. The contradiction could be a raised fourth degree in the melody or other harmonic
pointers. The Ebmaj7 in ex. 14.64 would probably be interpreted as a major or ionian sound since there
is no An to contradict that sound. An Aø7 chord follows, but the context that matters in making scale se-
lections concerns sounds that precede the chord/scale in question. This could simply be a I chord fol-
lowed by a iiø7 of G minor if judging by the chord symbols. The melody reveals a Bn over the Aø7
which indicates an A locrian #2 sound, the sixth mode of C melodic minor.
14.64
E bm aj7
& c œ bœ œ œ œ bœ œ œ œ n˙ .
Aø7
The Am7 in ex. 14.65 must be an aeolian sound indicated by the context of the Fn in the preceding mea-
sure and the Bn in the melody. Is the E7 based on the harmonic minor scale? The E7 has a Gn (#9), Fn
(b9) and Cn (n13). Two scales have a #9, b9 and n13: the superlocrian (seventh mode of F melodic minor),
and the third mode of C major b6. There is no Bb to indicate a superlocrian sound, so the best choice
for clarity is the third mode of C major b6. Looking for the path of least resistance confirms the choice.
One note changes from third mode of C major b6 to A aeolian: the Ab to An. Two notes would have to
change from E superlocrian to A aeolian: the Ab and Bb up to An and Bn.

14.65
E7 Am 7
& c œ œ ‰ Jœ œ œ œ œ. œÓ
J
The D7 in ex. 14.66 could be a lydian dominant sound (fourth mode of A melodic minor) with the n13
and #11 in the melody. The F7 has the same chord tones in the melody and could also be lydian domi-
nant (fourth mode of C melodic mode.) Another alternative is to bracket the D7 and F7 with a half-
whole diminished scale which is suggested by the two chord symbols and the melodic material. The D7
(D - F# - A - C) plus the F7 (F - A - C - Eb) plus the melody notes (G#, B and F#) create the scale: D - Eb - F
- F# - G# - A - B - C - D. The E7, with the b13 and b9 could be the fifth mode of harmonic minor or the
third mode of C major b6. An E superlocrian might sound odd with a Bb since the two preceding mea-
sures and the final measure contain a Bn. The Am7 follows an E7 with a b 9 (Fn) and with Bn in the
melody, so it must be aeolian.
14.66
j .
œ #œ œ ‰ J œ
œ œ œ œ ‰ œ ˙
D7 F7 E7 Am 7
& c œ. J J œ œ ‰ Jœ œ
. j
œÓ
The Bn in the melody indicates the Fmaj7 is a IV chord or a lydian sound (no sharps and no flats) and
not a I chord in ex 14.67. The Dm7 must be dorian with the Bn in the previous measure and the En in the
melody. Both chords can be bracketed with the key signature of no sharps and no flats.
14.67
œ œ ‰ Jœ ˙ .
Fmaj7 Dm7
&c ˙ Œ
A D7 with a b9 in the melody might indicate the fifth mode of harmonic minor, but the Bn suggests some
other sound may be more appropriate. Two scales have a b9 and n13: half-whole diminished and the fifth
mode of G major b6. None of the more unusual alterations associated with half-whole are present, so G
major b6 is the logical choice. The Gmaj7 should be G major scale: no listener would expect the Eb to
carry over, and there is no Eb in that measure.
14.68
D7 Gmaj7
& c ‰ œjb œ œ œ œ ‰ Jœ ˙ . Œ
The chord symbol and melody identify Db lydian augmented (third mode of Bb melodic minor) as the
scale sound for Dbmaj7#5 in ex. 14.69. The chord symbol and melody indicate lydian dominant (fourth
mode of Db melodic minor) for the Gb9#11. F aeolian can be inferred from the context and the melody:
the Db in the previous measures rules out F dorian, and the Gn in the melody rules out phrygian.

14.69
#
D bm aj7 5
#
G b9 11
& 43 œ bœ
Fm 7
bœ œ œ bœ bœ n˙
The first Dm7 in ex 14.70 could be aeolian or dorian as there is no Bn or Bb to make a determination.
The Ebmaj7 must be lydian (2bs) in the context of chords and melodic line containing An. The second
Dm7 with the 9 (E) in the chord symbol and the Bb in the previous measure suggests D aeolian (1b) and
so that may be the best choice retrospectively for the first Dm7. The Dbmaj7 should be treated with as
lydian (4b) as there have been Gns in the preceding measures.
14.70
b D bm aj7
3
Dm7
œ j E maj7 Dm9
œ
& 4 œ œ ‰ J ‰ œ b˙ œ ˙ ˙.
The Cn in the melody and the F# implied by the chord symbol indicates E aeolian in the first measure of
ex. 14.71. The An, a scale tone of E dorian, is not canceled so Eb lydian (2b) is the logical choice for the
second measure.
14.71
E bmaj7
&c œ ‰ œJ œ œ ‰ œJ ˙ .
Em9
The Eb chord in the first measure of ex. 14.72 must be lydian with the An melodic note. A Gm7/C chord
symbol always indicates mixolydian (a ii7 chord over a dominant bass note). Since C mixolydian pre-
cedes the Fmaj7, they can logically be grouped into the same key signature of one flat.
14.72
E bm aj7
bœ œ œ œ œ
Gm 7/C Fmaj7
&c Œ œ ˙ œ œ ˙ Ó
When Ebmaj7 is followed by Abmaj7, as in ex. 14.73 they sound like the I and IV chords in the key of Eb.
The D7 to Gm7 could be treated traditionally like a V7/vi to vi so that the D7 could be the fifth mode of
harmonic minor. Other options for the D7 chord include the third mode of Bb major b6 which has the
A n which anticipates the D7 measure, or D superlocrian (seventh mode of Eb melodic minor) which re-
tains the Ab from the previous measure.

14.73 Bert Ligon: Excerpt from Ouzel Falls

E bm aj7 A bmaj7
j D7.
& 43 œ
Gm 7
œ œ bœ ‰ nœ bœ #œ . œ ˙
bœ
The following composition utilizes several sounds not available from the major or harmonic minor
scales. The Ebmaj7#5 and Dbmaj7#5 chords are Lydian augmented (third mode of C and Bb melodic mi-
nor) with the augmented fourth and fifth degrees present in the melody. The Dø7#2 is locrian #2 (sixth
mode of F melodic minor). The C7susb9 could be a phrygian mode or retaining the An from the previ-
ous two measures, continue the Bb melodic minor making that measure C dorian b2. The chord symbol,
C7 with the b5 and b9, calls for C superlocrian (seventh mode of Db melodic minor) in m.8. The chord
symbol, Fmmaj 7, and En in the melody indicate F melodic minor in m.9. F melodic minor continues
through mm.11-12 over the Bb9#11 lydian dominant chord. The Am9 chord symbol and the previous Fn
makes mm.12-14 A aeolian. In this context, the Bb chord over the A bass note must be A phrygian. This
sixteen measure phrase used four different melodic minor scales: C, F, Bb, Db melodic minor.
14.74a Bert Ligon: First section of Silhouette

#
E bmaj7 5
#
Dø7 2
& 34 œ œ œ ˙ œ œ œ. j ˙.
œ œ b5
1 #
D bm aj7 5
b
C7sus 9 C7b 9
. bœ .
&‰ œ bœ œ
J bœ œ œ ‰ œj ‰ j œ
J
b˙ œ œ
5
Fm maj 7
#
B b9 11
&œ bœ œ œ ‰ œ œ œ œ ‰ œj ‰ œj œ œ œ
˙
B bmaj7/A
9
Am 9
.
&œ œ œ œ ˙ ‰
œ
j
˙. œ
Ó
13
The B section of Silhouette begins with an Fmaj7#5 chord indicating F lydian augmented (third mode of
D melodic minor), which leads to F# m7 aeolian. The Fmaj7# 5 chord sounds convincing as a chord
pointing to F#m. This is because C#7, the dominant of F# minor and its altered sound, superlocrian, is a
relative of Fmaj7#5 sharing the same D melodic minor scale.
The chord that follows the next Fmaj7#5 chord is Dmmaj7 so the D melodic minor carries through both
measures. The D melodic minor will not work for the Fmaj7#5/Bb chord. The Bb has canceled the Bn, so
this must be the sixth mode of D harmonic minor. The D harmonic minor continues through the
Eø7/A chord.

14.74b Bert Ligon: Second section of Silhouette

#
Fm aj7 5 F #m9
˙. œ ˙. œ
4
œ #œ œ œ
& #œ
17 #
Fm aj7 5 Dm maj 7
#
Fm aj7 5/B b Eø7/A
œ œ #œ j ‰
& œ œ. œ ˙. ˙ œ œ
21
Cm maj 7
#
A b9 11
. ˙.
&˙ œ œ
4
œ œ œ bœ
œ
25
#
F9 11
#
A bm aj7 5 C/G Dø7/G
&œ œ œ œ œ. j œ Œ œ ˙.
œ
29
IMPOSITIONS over TRADITIONAL FRAMEWORKS

Conscientious improvisers develop the skills to identify and accurately reproduce what the composer
and musical situation calls for. With some experience, personal choices from the long list of possibili-
ties may be imposed over traditional frameworks.
The following is a typical progression in the key of Bb major. All the chords are derived from the major
minor system. The G7 is a secondary dominant of C minor, calling for C harmonic minor, but all other
chords are from the Bb major scale. This progression will be used as a simple framework over which
other colorful sounds will be applied.
14.75 Traditional progression: I - IV - iii7 - V7/ii - ii7 - V7 - I

B bmaj7 E bm aj7
b
G7 9
b
Dm7
& b c www ww
w
ww b ww
w nw
? b cw ww ww w
b w w
B bm aj7
b
Cm7 F13
& b ww ww ww
w w w www
? b ww w ww ww
b w

In ex. 14.76, the IV has been replaced by an Eb lydian dominant (fourth mode of Bb melodic minor)
which changes it to a tritone substitute dominant pointing to the iii7 chord Dm7. The Dm7 has been re-
place by a Dø7 (iiø7/ii) which creates a stronger pull to the G7 chord. The G7 chord suggests the
slightly more colorful third mode of Eb major b6 or superlocrian (seventh mode of Ab melodic minor)
instead of the fifth mode of harmonic minor. The G7 still points to the ii7 chord Cm7. The F7 chord
suggests third mode of Db major b6 or superlocrian (seventh mode of Gb melodic minor) which mirrors
the G7. This altered F7 points to Bb minor, not Bb major, which makes the resolution back to the key of
Bb major more powerful.
14.76
#9 b9
B bm aj7
#
E b9 11 G7b 13 G7b 13
b
Dø7
& b www b www b ww ˙˙ b ˙˙

w n˙ ˙
? b w ww ww w
b w w
#9 b9
F7b 13 F7b 13 B bmaj7
bb
Cm9
& w
b ww b b ˙˙˙ b ˙˙
˙ www www
? b ww w ww ww
b w
Ex. 14.77 begins and ends in Bb major with many substitute colors in between. An A7 chord is in place of
the IV chord Eb acting as the dominant pointing to iii7. The A7 chord with a 13 and #11 suggests half-
whole diminished or the fifth mode of D major b6. The iii7 chord, Dm7 has been replaced by a D7#9, a
secondary dominant pointing to G. The D7 could be half-whole diminished or the third mode of Bb ma-
jor b6. The top four voices of the A7 moved chromatically down the D7, and continued to do so through
to the F7. The sequential treatment means that the G7 is either half-whole diminished or the fifth mode
of C major b6; the C7 is either half-whole diminished or the fifth mode of Ab major b6; and the F7 is ei-
ther half-whole diminished or the fifth mode of Bb major b6. The A triad over the Bb bass, with the C#
and the En indicate the sixth mode of D harmonic minor. The C# and the En are non-harmonic tones
that resolve up to the chord tones D and F, but D harmonic minor is the implied scale sound.

14.77
B bm aj7
# # #
b
A13 11 D7 9 G13 11
& b www b ww w n bn www

#w n ww
? b w w # ww nw
b w w w
# # A/B b B bmaj7
bb
C7 9 F13 11
& b www b ww w
w # n www ww
? b n ww w ww ww
b w
The version in ex. 14.78 begins with Bb as a I chord. The IV chord has been changed to the tritone sub-
stitute dominant pointing to Dm. Eb9 #11 calls for lydian dominant (fourth mode of Bb melodic minor)
as would the A7 alt. dominant for which it substitutes. The Dm7 has been changed to a secondary domi-
nant that points to G minor. With the b13 and #9, Bb major b6 is indicated. A D superlocrian might be
used, but there is no Ab indicated by the chord symbol or the previous context. The original G7 has
been replaced by its tritone substitute dominant Db9#11, indicating Db lydian dominant (fourth mode of
A b lydian dominant). Gb9 #11 is the tritone substitute dominant for C7, and either dominant calls for Db
melodic minor. F7 has been replaced by its tritone substitute dominant, B9#11, and calls for F# melodic
minor. The final resolution has been brightened with the addition of the En, indicating Bb lydian rather
than the expected Bb major.
14.78
#9
B bmaj7
#
E b9 11 D7b 13
#
D b9 11
b w
& b www b www
ww www
w w bw
? b ww # ww b ww
b w
#
G b9 11
# #
B bmaj7 11
b
B9 11
& b b www # # n www n wwww w

www
? b b ww # nn www ww ww
b bw w w

The progression in ex. 14.79 is a sequence: iiø7/iii - V/iii7 - iiø7/ii - V7/ii - iiø7/i - V7/i - I. Each of the
iiø7 chords have the # 2 added indicating locrian # 2 (sixth mode of melodic minor). Each dominant,
with the 13 and #11 are half-whole diminished. The final chord is the brighter Bb lydian.
14.79
# # # #
b
Eø7 2 A13 11 Dø7 2 G13 11
& b # www b b www n www n # # www
? b n www # ww b www n ww
b w w
# # #
B bmaj7 11
bb
Cø7 2 F13 11
& n www n www w

n # www ww
? b b www ww ww ww
b w w w
A number of different possibilities are shown below that may be combined over a traditional pre-domi-
nant - dominant - tonic progression. The chords in column one do not necessarily connect to all the
chords in column two. For instance, the Bb9 #11 as backdoor dominant is typically preceded by a IV
(Fmaj7) or a ii7 (Dm7), and rarely if at all preceded by the secondary V7 chord D7.
PRE-DOMINANT DOMINANT TONIC

Dm7 (2nd of C major) G7 (5th of C major) Cmaj7 (C major)
Dø7#2 (2nd of C major b6) G7 (5th of C h.m.) Cmaj7 #11 (Lydian)
Dø7#2 (6th of F m.m.) G7 (5th of C major b6) Cmaj7 #11 #9 (6th of E h.m.)
D7 as Secondary dominant (5th G7 (3rd of Eb major b6)
of G major or G minor)
D7 as Secondary dominant (3rd G7 (7th of Ab m.m.)
of Bb major b6)
D7 as Secondary dominant (7th Db7 (4th of Ab m.m.)
of Eb m.m.)
b
A 7 as tritone substitute domi- G7 (5th C m.m.)
nant
(7th of Eb m.m.)
D7 or Ab7 (1/2W) G7 or Db7 (1/2W)

G9#5 (WT)
Fmaj7 (4th of C major) b #
B 9 11 as backdoor dominant
(4th of F m.m.)
Fm7 (borrowed iv chord)

WARNINGS
These modes and scales will provide a number of different colors available for chords in common
progressions. They do not necessarily replace the traditional sounds, nor are they inherently better,
“hipper” or more jazz-like. They only enlarge the tonal palette. As new sounds are learned, remember to
consider a musical context when applying the sound. Avoid arbitrary, thoughtless application. Avoid the
temptation to always use any one sound for a specific chord. With nine possible sounds for a dominant,
it makes little sense to use superlocrian or half-whole exclusively. If the diminished scale is used in all
possible places, then its chance of surprising a listener is reduced. Strive for a balance between a
number of different approaches from traditional key center generalization and specificity and the use of
special colorful scales. Any new scale will brighten or darken the musical context, so use the new sound
according to the desired consequence. Avoid the temptation to use a new sound in every opportunity.
Use colorful substitute sounds to surprise the listener; but remember that their effect can be diminished
by overuse.
Even though a different scale sound can be applied to each chord in a succession of chords, avoid
compartmentalizing each separate chord. Find the connections. Emphasize tones in common. Find the
one or two notes that change and aim for those connections between the chords. Voices derived from
substitute scales will follow traditional voice-leading principles and have melodic implications.
There are many more examples and pages of exercises for many of these scale and chord sounds in the
book, Comprehensive Technique for Jazz Musicians.

370 Chapter 15 Extended Tertian Structures & Triadic Superimposition
XV . EXTENDED TERTIAN STRUCTURES

& TRIADIC SUPERIMPOSITION
The tertian triad has been the building block for harmony and melodic invention for most of the his-
tory of tonal music. A triad can be any three notes, but a tertian triad is built in consecutive thirds. Most
formal theory classes deal principally with the tertian triad and discuss the seventh chord which adds
one more extension of a third. Many texts acknowledge that chords could theoretically be built by ex-
tended thirds past the triad to include the chords like 1-3-5-7-9, 1-3-5-7-9-11, and 1-3-5-7-9-11-13. These
chords are often dismissed as dubious and irrelevant. These extended tertian structures have been
around for a long time in contemporary music and jazz and should be discussed as we enter the twenty
first century.
There are two ways of expressing the same seven notes: as a scale (1-2-3-4-5-6-7-1); and as a extended ter-
tian chord (1-3-5-7-9-11-13). This means that a scale and a chord represent the same thing: chord =
scale; scale = chord. When discussing the notes, scale positions will be referred to by the numbers 1-2-3-
4-5-6-7; chord tones will be referred to by the numbers 1-3-5-7-9-11-13. Scale tones 2-4-6 correspond to
chord tones 9-11-13.
Extended tertian structures are sometimes referred to as triadic superimposition. In a way, all extended
tertian structures are made up of triads added to triads. An CEG chord above an ACE chord becomes
the seventh chord ACEG; a GBD above an ACE chord becomes an eleventh chord ACEGBD; and so on.
NOTATION SHORTHAND
All chord symbols used in pop music and jazz are shorthand in place of the written notes on a staff. The
addition of superimposed triads and extensions can lead to a string of alterations following the basic
chord symbol. The result can be confusing and messy on the page. The shorthand version is no longer
short. The resulting chords constructed by superimposing triads may be better understood as a poly-
chord and will often be labeled as one chord over the other separated by a horizontal line. The hori-
zontal line indicates that the lower note represents a triad or complete chord itself and not just a bass
note. The normal slash indicates a chord over just the bass note. Care should be taken on handwritten
music if this distinction is to be understood. The chart below indicates the difference in the slash and
the horizontal line.
CHORD SHORTHAND MEANING

Slash chords F/G F major triad over a G bass note
Dm7/G Dm7 chord over a G bass note
Polychords using F# #
F major triad over a G major triad
horizontal lines G
Em E minor triad over a F minor triad
Fm

Chapter 15 Extended Tertian Structures & Triadic Superimposition 371
To find the upper tertian extensions of any chord, continue adding thirds within the key signature. Not
all upper extensions are musically useful in every situation. Experimentation and listening will help de-
termine the best usage. Extended tertian melodies are more colorful. Improvisers will often maintain the
density introduced by these upper extensions by linking the upper structure of one chord to the upper
structures of the next.
The examples below will illustrate several possible extended tertian structures, their sources, possible
formulas and applications. Tertian extensions must be added to the aural and theoretical vocabulary of
a jazz student. The connections of upper tertian extensions should be examined through harmonic pro-
gressions. The upper tertian extensions often follow voice leading principles discussed in earlier chap-
ters. After outlining the individual possibilities, several examples from improvisations will illustrate the
linear connections of these extended structures.
With C as a tonic chord, the following extended tertian chords are possible. A tonic I chord is seldom
extended past the ninth. The eleventh is a dissonant note, and while it may sound musical in some set-
tings, it prevents the chord from sounding like a tonic chord. The ninth chord sound may be created by
adding a major triad off the fifth degree (in this case G) to the triad built on the root (C) of the scale.
15.1 Extended tonic I chords
www w www www

C Cmaj9 C + G = Cm aj9
& ww w w w www
w w w ww w w ww
1 3 5 1 3 5 7 9
A ii7 chord may be extended entirely without any real conflicting dissonance. The thirteenth, though
possible, is often not used over a ii7 chord. Over a Dm7 (ii7) chord, the thirteenth (B) can make the
chord sound like a G7 (V7) chord since B is the note that identifies the G7. The B, at the very least, may
diminish the impact of resolving to G7. The common triadic superimposition formula is to add a major
triad on the seventh degree (C) to the basic minor triad (Dm).
15.2 Extended supertonic ii7 chord

Dm
www
Dm13
w w
Dm +
www
C = Dm9
www
www w w
& www w w w w w w w www www
1 3 5 1 3 5 7 9 11 13
A iii7 chord often is replacing or substituting for a tonic I6 chord in a progression. The dissonant ninth
of a iii7 chord is often avoided as it blurs the distinction of the sound Since the iii7 substitutes for the I
chord, the I chord may be superimposed over the iii7. This chord is actually a C major seventh in first
inversion. The half-step dissonance in a ii7 chord is between the minor third and the ninth. In a iii7
chord, with the tonic triad superimposed, the half-step dissonance is between the fifth and the minor
sixth degrees.
15.3 Limited extension for a iii7 chord
www
Em Cmaj7/E
& www w w w www

1 3 5

The subdominant chord, like the supertonic, can be extended to the thirteenth without encountering any
dissonance which prohibits chord identification. The upper structures are very bright and colorful. Two
triads may be imposed on the basic subdominant triad: one built on the fifth degree, and one built on
the second degree of the scale.
15.4 Extended subdominant IV chord

Fmaj13 11
# + = Fmaj9 Fmaj9+ G = Fmaj13
# 11
www w www www
F F C
w w www www
www w www www
& www w w w w w w w
www ww w w
1 3 5 1 3 5 7 9 11 13
The V7 chord may be extended to outer extreme. The only caveat concerns the fourth degree of the
scale or the natural eleventh of the chord. This note is dissonant against the major third, but creates a
suspension which may be desirable. A minor triad built on the fifth degree yields a ninth chord. To cre-
ate a suspended dominant (as in a 4-3 suspension), an F major, Dm7 or Fmaj7 chord may be imposed
over the G bass note as shown. There are those who say the major third should not be used if the sus-
pended fourth degree is present. When the two notes are adjacent or when the third is placed below the
fourth, it can create a vague and dissonant sonority. If the third is place well above the fourth, it can
brighten the suspended sound. This can be achieved by superimposing two triads over the root of the
chord. A G triad placed over an F major triad with the G in the bass creates the last chord in the exam-
ple below.
15.5 Dominant extensions for V7 in major
ww
G G13 G + Dm = G9 G9sus
wwœ œ w www www www ww

& w www w w www www w ww
w1 w3 w5 w1 w3 w5 7 9 11 13
ww www ww ww
w w w w
A dominant chord in a minor key will necessarily have different upper extensions than a dominant
chord in a major key. A diminished triad from the fifth degree added to the root triad creates a domi-
nant chord with a b9. Imposing an Fm, a Dø7, or an Ab major triad over the G suggests a suspended
dominant with a b9.
15.6 Dominant extensions for V7 in minor

b 13 b
G7b 9 G + D° = G7 9 G7susb 9
b b wwwwœ œ bw b www b wwww b b www

G
b w
& w w www b www b wwwww
ww w1 w3 w5 ww w1 w3 w5 7 b 9 11 b 13 w w w
The Ab triad over a G7 may seem a dissonant choice, but can used for very expressive melodic lines.
15.7
b G triad
bœ œ œ
G7 9 Cm
& c œ bœ œ œ œ b˙ Ó
A b triad

Ex. 15.8 illustrates another use of Ab and G triads over a G7 chord. Chopin used a similar technique with
the Db and C triads over the C7 shown in ex. 15.9. The notes of the Db triad are actually just diatonic up-
per neighbors to the C triad.
15.8 Bert Ligon: View from the Bridge

b A b triad
bœ bœ
j œ nœ bœ œ bœ œ œ ˙.
G7 9
3
Cmaj7
&4 ‰ b œ œ
G triad
15.9 Chopin: Nocturne in Eb major, Op. 9, No. 2
b b 12 œ n œ œ b œ œ œ n œ œ œbœ œ œ œ . œ
& b 8
œœ
n œ œœœ œ œ b œ œœœ œœ œœœ
? b 12 œ œ œ
œ œ
bb 8 œ œ
The altered dominant (G7) and the tritone substitute dominant (Db7) are derived from Ab melodic mi-
nor. Two major triads (Db and Eb) and one minor triad (Ab minor) can be found in the Ab melodic mi-
nor scale. Imposing the Db triad over the G7 generates a G with a b5 and b9; an Eb generates a G7 with a #9
and b13; and an Ab minor generates a G7 with a b9 and a b13.
15.10 Extended tertian structures for G7 superlocrian (altered) & Db7 lydian dominant:
Db Eb A bm
G7 G7 G7
b5 #
b ˙˙˙ œ b œ b bb ˙˙˙˙ œ bœ bw b bw 9 bb 9
b b œ b œ b b www b b b www
G7 9 G7 13 G7 13
b ˙
& b b ˙˙˙ b œ œ b œ b œ b ˙˙ b œ
bœ œ bœ b ww
ww ww www
(R) 3 5 7 9 #11 13 b5 7 b9 (3) b13 (R) #9
Four different major triads can be extracted from the half-whole symmetrical diminished scale. The four
triads can be imposed over a dominant seventh chord. The G triad over a G7 adds no new color. A Bb
chord includes the fifth and the seventh and adds the Bb, the #9 over G7. An E triad includes the third
but adds a b9 and a n13 over a G7. The Db triad provides the b5 and the b9 over a G7. These chords may
occur in one of two forms of musical shorthand: shown as polychords, or notated as customary with the
alterations listed. Knowing triadic superimposition formulas will assist the soloist or accompanist in
producing accurate alterations.
Knowing triadic superimposition formulas will assist the

soloist or accompanist in producing accurate alterations.

15.11 Major triads from the symmetrical diminished scale superimposed over G7:
G Bb E Db
G7 G7 G7 G7
# b b5
G7b 9
w w w ww # ww
G7 9 G13 9
b wwww
G7
&w b w b w n w # w w ww ww b b www
ww n ww ww ww
The upper extensions of a iiø7 chord resemble a bVImaj7 chord in minor. The Abmaj7 and Dø7 both
point to the V7 (G7) of C minor and are often interchangeable in traditional progressions. The Dø7#2 is
shown as a combination of C major triad over a D° triad. The C major triad emphasizes the bright
raised second degree and the eleventh.
15.12 Extensions of iiø7 chords

Dø7 A bmaj7
# #
www w www www w www www
Dø7 Dø7 2 D° + C = Dø7 2
b w b w w b n w n w
& b www w w b w b www b w b www w w b w b www b www
Two examples from improvisations by Tom Harrell illustrate the interchangeable iiø7 and bVI in minor.
The chord symbol indicates a Gø7 (iiø7 of F) but Harrell seems to have outlined a Dbmaj7 chord. The
D b-F-Ab-C could be considered the upper extensions of the Gø7 chord or an example of a substitution.
In the second example, the chord symbol indicates an Fmaj7, but the melodic line suggests outline no. 1
or no. 3 over a Bø7.
15.13 Gø7 (iiø7) or Dbmaj7 (bVI)?

b
Gø7
b œ œ b œ œ
C7 9
œ œ œ #œ œ bœ
Fm
‰ œJ bœ bœ œ œ b œ b œj
&c
15.14 Fmaj7 (bVI) or Bø7(iiø7)?

b
œ œ
Fmaj7 E7 9 Am
& c #œ œ nœ œ œ #œ œ œ œ œ œ ˙
œ œ

Two excerpts from improvisations by Bill Evans illustrate the upper extensions of a iiø7 chord. The
bracket indicates the Eb major triad superimposed over the Fø7, creating a Fø7#2 in the first example.
The C triad over the Dø7 creates a Dø7# 2, shown by the brackets in the second example. Another
bracket shows the Ab minor imposed over the G7 that supplies the b13 and b9.
15.15 Eb + F° = Fø7#2
œ bœ
Fø7
c b œ œ b œ b œ
& œ bœ
C + D° = Dø7#2 Ab minor over G7

#9
15.16
G7b 13
b œ bœ bœ
Dø7 Cm
œ œ
& c b œ œ bœ œ œ œ b œ b œ b œ œ œ œj
The whole-half symmetrical diminished scale yields four major triads that may be superimposed over
diminished chords. The root of each of these major triads adds a color tone that is a whole step above
one of the fundamental diminished chord tones. Take care when applying these triad superimposition
(and all other impositions) as some of the extra color tones may clash with the surrounding harmonic
environment. The B triad over the F#°7 may sound wildly inappropriate in the context of G minor, un-
less surprise is the goal, then it may be the perfect choice.
15.17 Major triads from the symmetrical diminished scale and superimposed over F#°7:
D F Ab B
F#°7 F#°7 F#°7 F#°7
& w w bw w #w #w w w w # www ww
w
w
b b ww w
# # ww
w
? w w bw w #w #w w w b www b www b www b www
#w #w #w #w
Some interesting extended chords can be generated from the fourth mode of a major scale with a b6.
The fourth mode of G major b6 is shown below with possible upper triadic extensions. The G major triad
over the C minor creates a Cmmaj 7 that could also have been derived from the melodic or harmonic
minor scale. The B minor triad over the C minor is a haunting sound unique to this scale yielding a ma-
jor seventh, ninth and a #11. The B triad yields the major seventh and #11, and enharmonically dupli-
cates the minor third. A D triad adds the n13. The full tertian extension from this scale creates an enig-
matic Cmmaj 13 #11. Many of these specialty chords may not be on the fingertips of all players so for
successful performances and rehearsals it may be useful to write the desired voicings on the staff and/or
provide some polychordal shorthand notation as a formula.

15.18 Extended chords derived from the fourth mode of G major b6:
Fourth mode of G major b6: Cm maj7 Bm B D Bm7

Cm Cm Cm Cm
& w w b w # w w w w w www # www # # www # www # www
? w w b w # w w w w w b www b www b www b www b wwww
A major seventh chord can be built on the sixth degree of harmonic minor. If the upper extensions
from harmonic minor are used a major triad is available from the major seventh of that VI chord. The
sixth mode of E harmonic minor is shown below. The B major triad over the C major creates a C major
seventh chord with the unusual #9 and #11, notes more common over chords with a dominant seventh.
15.19 Extended chord derived from the sixth mode of harmonic minor:
E harmonic minor Cmaj7 #9 #11 or B

C
& w # w w # w w w w w # # ww
w
? w #w w #w w w w w www
This major seven chord with a # 9 and # 11 can be heard at the end of the common introduction to
’Round Midnight as a D triad over an Eb. Another version of this chord dates to 1913 from the infa-
mous Stravinsky ballet, Rite of Spring. It is interesting that one of the more modern chords of the twen-
tieth century used all the notes from an old-fashioned Ab harmonic minor scale.
15.20 Stravinsky, Rite of Spring
Eb7 over Fb chord: Built using all the tones of the Ab harmonic minor scale
b b ˙ b ˙ n˙ b˙
& b b 24 b œœ œœœ b˙ b˙ b ˙ b ˙
œœ œ œœœœ œœœ
œ b œœœœ œœœœ œœœœ œœœ
œ
? b 24 b b œœ œœ œœ œœ b bb œœœœ œœœœ œœ œœ
b b b œœ œœ œœ œœ œœ œœ

The six tone augmented scale is actually an augmented triad plus the leading tones to each chord tone,
so the augmented scale contains two adjacent augmented triads. When one is placed above the other it
creates a chord best labeled as a polychord. The B augmented chord is spelled enharmonically to
avoid the F double sharp. The chord could be labeled a Cmaj7 (#5 #9 n5), but it is doubtful that a per-
former would easily arrive at this desired chord. If a chord like this is desired, it may be best to label it
as a polychord as shown or write the notes on the staff.
15.21 Polychord created from augmented scale
B aug.
C aug.
& w #w w w bw w w b www
? w #w w w bw w w # www
“Melody is what the piece is about.”

Aaron Copland
“Melody is the very essence of music.”

Mozart
In real musical settings, the chords are rarely isolated as shown in the previous section. It is one thing to
know formulas for arriving at certain sounds, but is more important to develop the skills to apply them
in context of creating melodic lines. Jazz improvisers create lines that link one chord to the next main-
taining the colorful density of the upper tertian extensions. In most of these examples, the lines follow
voice leading principles outlined in chapter 11, and most often follow close position voicings. This sec-
tion will present excerpts from the improvisations of well-known artists illustrating some ways of using
and connecting the upper extensions of basic chords. More examples and exercises for developing the
understanding and use of these extensions can be found in Comprehensive Technique for Jazz
Musicians in chapter 8 (Triadic superimposition), chapter 10 (Extensions and Connections) and chap-
ter 14 (Developing Jazz Exercises).
Sonny Rollins is known for his use of motivic development in his improvisations, but displays under-
standing of voice leading and upper extensions in ex. 15.22. The chord symbol indicated simply a G7
for the first measure, but Rollins implied much more. The F-A-C-E in m.1 implied either the 3-5-7-9 of
Dm9 or the 7-9-11-13 of the G7, as Dm9 over a G creates a suspended dominant. Rollins moved the
three top voices down chromatically: the E to Eb, the C to B, the A to Ab. This chromatic motion fol-
lowed voice leading principles assuming the first half of the measure is Dm9. The E is the ninth of Dm9
and resolved to the b13 of G, a substitute for the fifth (9-5); the C is the seventh of Dm7 and resolved to
the third of G (7-3); and the A as the fifth of Dm resolved to the Ab, the b9 of G (5-9). The F would be ex-
pected to remain and ultimately resolve down to the E over the C chord, but Rollins moved the F up to
F#. By using the F#, the resolution to G was stressed by the chromatic approach from above (A-Ab-G) and
below (F-F#-G). The harmony implied by this line is shown to the right of the example.

15.22
œ bœ œ bœ ˙˙˙ b b ˙˙˙˙
G7 C
&c œ œ œ www
#œ œ œ ˙ w
The upper structures were arpeggiated in this excerpt from Hank Mobley. Mobley played the triad
pitches for the Dm7. The A, fifth of Dm, resolved to the b9 of G, and then Mobley arpeggiated an Ab mi-
nor triad over the G7 which yielded the b9, third and b13. It is interesting that the Dm triad is followed by
an Ab minor triad, two chords separated by a tritone and yet the connection is smooth. The upper three
voices resolved down chromatically predictably: Eb to D (b13 for 5-9), Cb or B to Bb (3-7), and Ab to G (9-
5). The resolution of D to Db implied a similar structure for the F7 as was used for the G7. The connec-
tion between a dominant and the tritone substitute dominant is clear from this example. The Ab minor
triad over the G7 (b9-3-b13) would be the chord tones 5-7-9 of the Db7, the tritone substitute for G7. The
chords to the right show voicings implied by these passages.
15.23
bœ ˙˙˙ b b ˙˙˙
Dm7 G7 Cm7 F7
& c œ œ œ œ bœ bœ œ œbœ œbœ b˙ ˙ ˙ b ˙˙˙ b b ˙˙˙

b˙ ˙
www
w
Kenny Dorham clearly arpeggiated each chord in the following excerpts. The F-Ab-Cb-Eb over the G7 are
the 7-b9-3-b13. These pitches may be easier as the 3-5-7-9 of Db7, the tritone substitute for G7. Dorham al-
ternated ascending and descending arpeggios through the passage. Because the arpeggios moved down
chromatically, the implied harmony is Bb - Db9 - C9 - B9 - Bb, with the Db9 and the B9 as tritone substi-
tutes for G7 and F7. The chords to the right show voicings implied by this passage.
b Bb
15.24
B
œ bœ
G7 C7 F7
n b b ˙˙˙˙
& c bœ œ œ bœbœ œ œbœ œ œ œbœbœ œ bœ œ b ˙˙˙ b b ˙˙˙ ww
b ˙ ˙ ww
These two fragments are mirror images. The first is from Kenny Dorham; the second is the inversion
from Joe Pass. All the voices resolve logically. Is it easier to hear and think of the second chord as F7 or
B7?
b
15.25
C7 F7 B
& c œ bœ œ œ bœ bœ œ bœ œ b ˙˙˙˙ b bb ˙˙˙˙ www

w
b
15.26
C7 F7 B
& c œ œ bœ œ bœ œ bœ bœ œ b ˙˙˙˙ b bb ˙˙˙˙ www

w

The Bbm7, in ex. 15.27 from one of the better known bebop melodies, was arpeggiated 1-3-5-7-9-11, then
the Bbm7 chord tones occurred again over the Eb7 (3-5-7-9 of Bbm7). A descending line was implied at
the top of the line shown by the circled notes. Other voices resolved internally: the Ab to the G (7-3), the
F to Eb to Db which finally resolved to C, the third of Ab. The line then arpeggiated the 3-5-7-9 of the Ab
chord. This excerpt implied the voicings shown to the right.
15.27
b
B m7 b
E 7 A bmaj7
b œ œ œ œ œ œ nœ œ
& b bb œ œ œ œ œ œ œ bœ œ www
w
w
n #n www b b wwww
œ œ
Kenny Barron used the descending arpeggios of these chords and symmetrical rhythms which made the
voice leading easy to see and hear in this excerpt. The chords to the right show voicings implied by this
passage. Listen to the chromatic resolution of the top three voices.
15.28
A b7 D bmaj7
b œ œ n œ œ œ œ ˙˙˙
n #n ˙˙˙˙ b bn wwww
3 3
& b bbb c œœœ

3
œ nœ œœ œ œ ˙
#œ œ œ œ
The chord symbol in m.1 is F#ø7. Bill Evans arpeggiated what appears to be a Cmaj9 chord. Whether
Evans was thinking Cmaj7 as a substitute for F#ø7 or utilizing the upper tertian structure of the F#ø7 chord
is irrelevant as either can point to the B7 chord. Only one note changed in m.2: the E (seventh of F#ø7)
resolved to Eb, the enharmonic spelling of the third of B7. The G and C supplied the b13 and b9 of the
B7 chord. The four voices moved down a step for the arpeggio in m.3 utilizing the 5-7-9-11 upper struc-
ture of the Em9. If the B7 is considered an F7, as a tritone substitution, then the line incorporated the 5-
7-9-11 of each chord in the passage as shown below on the right. This passage works melodically with
any combination of these chords: F#ø7 or Cmaj7 — B7 or F9#11 — Em9.
# 15.29
œ œ B7œ œ b œ 3 œ œ Em7œ # œ 3 œ œ ˙˙˙ ..
œ b ˙˙˙˙¿ ..... # ˙˙˙˙ ....
F ø7
œ ˙¿ ...
& 34 œ œ œ ‰ J œœ ¿.
There are several common harmonic cycles that lead back to the tonic as shown in ex. 15.30-31 with ex-
tended tertian structures. Knowing these upper structures and being able to hear the chromatic and step
motion between each voice will assist the creation of interesting lines through these progressions. All of
the inner voices move smoothly either remaining on the same pitch, or moving by step down to the
next pitch. Play the passage several times on the piano singing each voice to hear its individual pathway.
Lines can easily be created using large arpeggios, arpeggio fragments and implying individual voices
from these passages. The upper structures mimic the voice leading from the Evans example in ex. 15.29.
This progression is based on iiø7/iii - V7/iii - iii7 - V7/ii - ii - V7 - I. Extensive colorization has been
added. The F#ø7 chord will not sound like a iiø7 of Em with addition of the #2 (G#). The addition of the
bright F# means the Em in m.3 cannot be a iii7 chord in the key of C. The altered G7 implies a V7 of C
minor with the b13 (Eb) and b9 (Ab). Extending the Cmaj7 chord to the #11 brightens the sound beyond a
normal resolution to major, especially following the dark altered G7 chord. In the mm. 2, 4, and 6, the

dominant bass note is changed to the tritone substitute note on the third beat. Is there a profound dif-
ference? The extensions of the tritone substitute dominant chords are more easily labeled: 3-5-7-9-#11.
15.30
#9 #9 #9
#
F #ø7 2
b
B7 13
b
A7 13
b
G7 13
#
Cmaj 7 11
# wwww b n wwwww
Em 9 Dm9
# wwww b b n wwwww www b b b wwwww # www

& w w ww ww
? #w
˙ n˙ w ˙ b˙ w ˙ b˙ w
This passage is similar to the one above with some additional colorizations. The second chord is not
the V7 of iii7 but a borrowed iv7 chord and Eø7#2 and Dø7#2 are used instead of Em9 and Dm9.
#9 #9
15.31
#
F #ø7 2
#
Eø7 2 A7 b 13
#
Dø7 2 G7 b 13
#
Cmaj 7 11
# wwww b n bb wwwww
Fm 9
www
#
b ww b b n wwwww w
b wwww b b b wwwww # www
& w ww
? #w nw w ˙ b˙ w
˙ b˙ w
Melodic lines like the previous Evans example and the line below can be sequenced through the two
previous harmonic cycles.
15.32
#9
#
F #ø7 2
b #2
# œ œ n œ œ
B7 13
œ œ œ #œ œ
Eø7
œ œ b œ œ œ
& c Œ œ #œ œ bœ œ œ Œ
The following melodic excerpts are based on the following harmonic framework. The second chord may
be considered C7 with a b13 and a b9, or its tritone substitution Gb9 (3-5-7-9-#11).
15.33
Gm7 C7 Fmaj7
& c wwww w
b n bb wwww
ww
www
bw

In ex. 15.34 and 15.35 from a blues improvisation, pianist Tete Montoliu played the ascending 3-5-7-9-11
Gm arpeggio into the C7 measure. The A resolved to Ab suggesting a C7b13. The Ab resolved to the G
over the F. The use of extended arpeggios lifts the melodic line into higher registers.
15.34
Gm7 C7 F
&c œ œ œ œ bœ œ œ bœ œ
bœ œ œ œ œ œ œ œ
15.35
C7 œ œ b œ œ œ # œ œ Fœ œ œ
j
Gm7
œ œ œ œ œœ œ
& c ‰ œ œ œ œ œ bœ œ œ
3 3 3
3 3 3
In ex. 15.36, Montoliu played a descending Gm9 arpeggio and then an extended arpeggio over C7. The
notes in the final measure are the b7, b9, 3, b13 root and #9 of C7 but may be easier to hear and under-
stand labeled as the 3-5-7-9-#11-13 of a Gb9#11, the tritone substitute dominant for C7.
œ bœ œ œ
15.36
œ œœ b œ
bœ œ œ œ œ bœ bœ nœ
Gm7 C7
&c
3 3
Do not assume that these wide ranging extended arpeggiated lines from the previous examples are only
suitable for pianists. Tom Harrell used a wide range of the trumpet over Gm7 in these two fragments.
Harrell played 1-3-5-7-9-11 arpeggio in the first and again in the second in two different octaves.
15.37
Gm7
œ œ
Gm7 3
&c Ó œ #œ œ bœ &c œ œ œ bœ œ Œ
3
œ œ
bœ œ
Practicing a passage like this using extended arpeggios helps prepare a musician to play, hear and un-
derstand these structures. Inventiveness may lead to the creation of lines like the ex. 15.39 from Bill
Evans. Evans matched the voice leading of ex. 15.38, but in a more melodic and less predictable fashion.
The resolution to the E7 (or Bb7) did not occur until beat three of the second measure.
15.38 Practicing arpeggios like this can lead to lines like 15.39
#9
E7 b 13
#
B b9 11
œ œ
Bm 9 or Am 9
& œ #œ œ #œ œ œ œ œ nœ bœ nœ œ œ œ œ œ œ œ œ œ œ
œ œ w

15.39 Practicing arpeggios like 15.38 can lead to lines this
Bm 7 E7 Am
œ w b wwwww
& c ‰ œj # œ œ # œ œ œ œ œ œ # œ œ # œ n œ n œ b œ œ œ œ œ # # wwww
www
ww
3
3 œœœ
TRIADIC SUPERIMPOSITIONS: FORMULAS & EXAMPLES

Music worldwide is based on triadic shapes, which may be related to the presence of the major triad in
the overtones series. Since listeners have been inundated with triadic melodies from childhood, folk
songs, patriotic and religious holiday music, they are often more receptive to melodies using these fa-
miliar sounds. The central concept from chapter four was using the tonic triad to generalize the har-
mony for larger sections of the piece. Major triad shapes can be superimposed as extensions and upper
structures to chords supplying essential color tones and alterations. Just as importantly, these musical
shapes provide a bridge to something familiar not only for the listener, but the performer.
Inexperienced improvisers often have trouble hearing an altered dominant sound when it is introduced
as a scale. They can usually hear a major triad. The familiarity with triads can be used to acquaint stu-
dents with more complex sounds. Playing an Eb major triad without accompaniment will attune the ears
to the familiar sound. The same triad can be played in the context shown below over a G7 to Cm pro-
gression. The melodic shape is familiar and not difficult to play or hear. The passage can be filled in
with passing tones between the Eb major chord tones without technical or conceptual difficulty. This fa-
miliar material based on a major triad yields the colorful b13, b9 and #9 over the G7 and resolves to the
third of Cm.
15.40 Eb triad shapes over a G7

#9 #9
b
G7 13 Cm
b
G7 13 Cm
& bœ œ bœ œ œ ˙ Ó bœ œ œ bœ bœ œ œ œ b˙ Ó
b13 #9 b13 b9 #9
The chart on the following page reviews some of the possible major triads that may be superimposed
over common chords. Column one indicates the fundamental chord types shown with C as the root;
column two the interval above the root on which the superimposed major triad is built; column three
indicates the superimposed triad; and column four shows the color tones provided by the superimposed
major triad.

INTERVAL ABOVE
ROOT for
BASIC CHORD SUPERIMPOSED MAJOR TRIAD YIELDS
TRIAD
C major P5 G 5 – M7 – 9
C major M2 D 9 – #11 – 13
C major M3 E 3 – #5 – M7
C major M7 B M7 – #9 – #11
C minor m3 Eb m3 – 5 – m7
C minor P4 F 11 – 13 – R
C minor P5 G 5 – M7 – 9
C minor m7 Bb m7 – 9 – 11
C minor M7 B M7 – (3) – #11
C half diminished m7 Bb m7 – #2 (or 9) – 11
C diminished M2 D 9 – #11 – 13
C diminished P4 F 11 – 13 – R
C diminished m6 Ab b13 – R – b3
C diminished M7 B M7 – m3 – #11
C dominant m2 Db b9 – sus4 – b13
C dominant M2 D 9 – #11 – 13
C dominant m3 Eb #9 – 5 – m7
C dominant d5 Gb b5 (or #11) – m7 – b9
C dominant m6 Ab b13 (or #5) – R – #9
C dominant M6 A 13 – b9 – M3
C dominant m7 Bb m7 – 9 – sus4
This chart is for reference only. Individual sounds should be extracted from the chart and learned in the
context of typical progressions.
The most common progression is the ii7 - V7 - I. In the key of C major, the ii7 chord could have a C
triad superimposed yielding the 7-9-11 of Dm7. Using the C triad over Dm7 could sound like triadic
generalization, which illustrates how musical concepts sometimes overlap and converge. Six different
major triads may be superimposed over the G7 chord. The example below uses an E triad that over a G7
chord yields a n13, which points to C major, and a b9, suggesting C minor. As a deceptive resolution, A B
major triad is superimposed over the C major. The B chord sounds like the V7 of Em, the iii7 chord of
C, and the dissonant tones D# and F# resolve to the E minor chord tones E and G, which are also chord
tones of C major. The line ends using an F triad over the A7 chord, supplying the # 9 and b13, tones
which point back to the D minor chord.
15.41 Progression: ii7 - V7 - I - V7/ii
Triads: C E B (Em) F
#9
b
G13 9
b
A7 13
œ œ œ œ
Dm7 Cmaj7
&c œ œ œ œ #œ œ ˙ ‰ j #œ œ œ œ œ œ œ nœ œ Œ
œ #œ
The progression from ex. 15.41 is transposed to the key of F major below and uses a different set of tri-
ads for superimposition. The four superimposed triads chromatically ascend. A mounting tension is

caused by the alterations supplied by the superimposed triads and by the ascension of the voicings
rather than the more typical descending voice leading. The F over Gm7 furnishes the 7-9-11, or like the
previous example may be considered triadic generalization. The Gb over C supplies the colorful b5 and
b9 chord tones. The G over the F creates a bright lydian sound with the #11 instead of the tonic major
sound. The Ab over D7 echoes the Gb over C7 with the b5 and b9 chord tones.
15.42 Progression: ii7 - V7 - I - V7/ii
Triads: F Gb Gn Ab
b5
D7b 9
j
Gm7 C7 Fm aj7 Gm7
& c œ . œj œ œ b œ œ b œ b œ b œ b œ œ n œ œ . œ œ œ œ œ ˙ b œ b œ œ œ Œ Ó
œ
A Bb triad marks the 3-5-7 of the Gm7 chord below. The Bb triad can move down a half-step to an A over
the C7 providing the colorful n13 and b9. The E over the F triad is a similar deceptive resolution to the B
over C shown before in ex. 1541, and resolves to tones of A minor over the F.
15.43 Progression: ii7 - V7 - I
Triads: Bb A E (Am)
œ œ
Gm7 C7 Fmaj7
& c b œ œ œ œ œ œ # œ œ œ # œ œ ‰ œj œ œ œ œ # œ n œ œ ˙
Three different triads in ex. 15.44 are used over a iiø7 - V7 - i progression in C minor. A C major triad
over the Dø7 brightens the iiø7 chord in this context. The En disputes the key of C minor as an Eb would
be expected. The same material can be sequenced up a minor third superimposing an Eb major triad
over the G7 emphasizing the b13 and # 9. A G triad over the C minor stresses the major seventh and
ninth. There is a certain symmetry that the three triads used over this progression in C minor are C, Eb
and G.
15.44 Progression: iiø7 - V7 - i
Triads: C Eb G
#9
#
Dø7 2 G7 b 13
3
Cm maj 7
j
& c ‰ œ nœ œ œ œ œ bœ œ œ bœ œ œ œ nœ œ œ œ œ œ œ œ œ ˙ . Œ
œ

Three triads could be used over this ii7 - V7 - I progression in Bb. The Bb triad over the Cm7 stresses
both the 7-9-11 of Cm and the tonic Bb triad. The D triad over the F presents conflicting alterations: the
D, n13, suggests Bb major; the F#, enharmonically a Gb and the b13, suggests Bb minor. The A over the Bb
delays the resolution suggesting a V7/iii - iii or A7 - Dm resolution superimposed over the Bb.
Triads: Bb D A (Dm)
b B bm aj7 A/B b
Cm9 F13 9
œ n œ œ œ
b b œ œ œ œ œ œ œ œ œ œ ‰ œ # œ nœ œ œ ˙.
Œ
& #œ œ J
Several different triads work over a dominant chord. Often, more than one triad at a time will be super-
imposed over a dominant. Two triads a tritone apart accentuate the tritone substitute relationship. The
fundamental chord tones provided by the basic triad contrast with the alterations (b5 and b9) offered by
the tritone substitute triad. A sequence is created below by using the D and Ab triads over the D7 and the
C and Gb triads over the C7.
15.46 Progression: V7/ii7 - ii - V7 - I
Triads: D & Ab C & Gb
b
D7 9
b
C7 9
bœ .
Gm7 Fmaj7
& c ‰ œj # œ œ b œ œ œ ˙ Œ ‰ j œ œ bœ bœ bœ œ ˙ . Œ
œ
Triads a tritone apart is not a new idea. Stravinsky used the tritone pair of C and Gb in the ballet
Petrouchka.
15.47 Stravinsky: Petrouchka. Clarinets: C triad over Gb. Triads a tritone apart.
& 24 Œ ‰ ‰ œ œ œ ˙
3
œ œ œ œ œ
3
& 24 Œ ‰ ‰
3
bœ b˙ œbœbœ œ œ
bœ bœ 3
The triads built on the b5 and b13 of the dominant chord suggest a superlocrian scale. The triad pair of
A b and Gb furnishes all the alterations (Gb = b5, 7, and b9; Ab = b13, root, and # 9) over the C7 altered
chord. The number of alterations, particularly the b13 and altered ninths, suggest a resolution to F minor.
This sound can just as easily resolve to major. Below, the resolution with a G major over the F suggests
an even brighter resolution to an F lydian sound. If the tritone substitution was used instead of the dom-
inant C7, the chord would be a Gb9#11.

15.48 Progression: V7 - I
Triads: A b & Gb G
bœ
C7 alt. Fmaj7
& c bœ bœ bœ bœ bœ œ œ bœ bœ bœ bœ bœ œ nœ œ nœ nœ ˙
œ
The four triads derived from the half-whole diminished can all be superimposed over a dominant. The
G, Bb, Db, and E triads imply the #9, b5, b9, and n13 over the G7. The altered ninths suggest a resolution to
C minor, and the n13 implies a resolution to C major.
15.49 Progression: V7 - I
Triads: G — Bb — Db — E
b
G7 9 Cmaj7
& c ‰ j œ œ œ bœ œ bœ œ #œ œ nœ œ œ ˙ Ó
œ œ bœ
Many contemporary compositions call for specific alterations. The progression below specifies a ø7#2,
an altered dominant and a augmented major seventh chord. Superimposed triads will supply the re-
quired additions to these chords. An F# triad over the G#ø7 supplies the 7th, #2 and the 11th; An A major
triad over the C#7 supplies both the #9 and the b13; and the Bb triad over the Gb supplies all the impor-
tant chord tones, the major third, the augmented fifth and the major seventh. This excerpt from an im-
provisation by Tom Harrell illustrates how the triadic superimpositions can satisfy the demands of the
very specific chord symbols.
Triads: F# A Bb
#9
#
G #ø7 2
3
b
C #7 13
#
G bmaj7 5
‰ œ œ #œ œ œ œ œ œ œ œ bœ œ œ bœ œ œ
A triad
& c #œ œ #œ œ œ
#˙
F # triad B b triad
More examples and exercises for developing the understanding and use of these extensions can be
found in Comprehensive Technique for Jazz Musicians in chapter 8 (Triadic superimposition), chapter
10 (Extensions and Connections) and chapter 14 (Developing Jazz Exercises).

• Invent simple triadic lines using the charts and example above, and exercises found
in Comprehensive Technique for Jazz Musicians over standard progressions.
• Listen for recorded examples of contemporary players who might use triadic super-
impositions. What triads did they use? How did they contrast the triadic superimpo-
sition with more traditional approaches?
• Look for contemporary compositions with very specific chord symbols and deter-
mine what triads may supply the required alterations.
• Compose new music using triadic superimposition as a springboard for melodic

and harmonic material.

388 Chapter 16 Pentatonic Applications
XVI . PENTATONIC APPLICATIONS

PENTATONIC APPLICATIONS
The major scale is considered the building block for music in the European western art music tradition.
All other scales are described in their relationship to the major scale. Intervals in the major scale are
considered the normal, and any others are considered alterations. A study of world music might prove
that the most widely used scale is not the major, but the pentatonic scale. The pentatonic scale is some-
times called the gapped scale as it is missing two notes of the major scale. (Another instance of major
scale bias). Use of the pentatonic scale did not begin in the twentieth century with Debussy and others.
Many forms of pentatonic scales have been used in other cultures for melodic material for centuries.
Modern jazz improvisers and composers used pentatonic scales as a basis for melodies superimposed
over traditional harmonies and over modal and pedal structures. Closely associated with the use of pen-
tatonic scales in jazz performance is the use of motivic devices to develop melodies from simple penta-
tonic scale patterns.
There are many kinds of pentatonic scales. Any five tones could be called a pentatonic scale. The most
common pentatonic scale is the one shown below in the form of C major and A minor. The two forms
share the same pitches as do a major and natural minor scale. These scales can be formed by taking the
major and natural minor scales and removing the tritone (B & F). The major pentatonic includes the 1-
2-3-5-6 of a major scale; the minor pentatonic includes the 1-b3-4-5- b7 of the natural minor scale. The
triad is an important part of these scales. Many tunes based on pentatonic scales come to rest on the
triadic tones (1, 3 & 5) and use the remaining tones (2 & 6) as auxiliary tones that move to the primary
pitches. Sing through a pentatonic melody such as Amazing Grace and notice how all points of rest on
strong beats are the primary triadic tones.
16.1 C major pentatonic shown with its relative A minor
w w w
& w w w w w
w w w
w
16.2 C major pentatonic shown with its parallel C minor
& w w w w bw w
w w w w bw w

Chapter 16 Pentatonic Applications 389
PENTATONIC SUPERIMPOSITION FORMULAS
Patterns and melodic material derived from pentatonic scales can be superimposed over traditional
harmonic progressions. Colorful chord tones can be emphasized by isolating simple melodic shapes
and patterns from pentatonic scales.
Three different major pentatonic scales may be used over a major seventh chord. A C major pentatonic
over a Cmaj7 as a I or IV supplies fundamental tones of the chord, R - 9 - 3 - 5 - 6 or 13. A G major
pentatonic superimposed over a Cmaj7 furnishes more colorful tones, 5 - 6 or 13 - Maj7 - 9 - 3, and will
work with I or IV chords. A D major pentatonic works over a Cmaj7 as a IV or a lydian sound providing
the most colorful tones, 9 - 3 - #11 - 13 - Maj7.
16.3 Major pentatonic scales over Major 7 chords
C major 7 as I or IV I or IV IV
w w
Cmaj7 Cmaj7 Cmaj7
& w w w w w w w w w w w w
w w w # w
1 2 3 5 6(13) 1 5 6(13) M7 9 3 5 9 3 #11 13 M7 9
Three different minor pentatonic scales may be superimposed over a minor seventh chord. The D
minor pentatonic scale supplies the fundamental chord tones and the fourth or eleventh over a Dm7
chord functioning as a ii7, iii7, vi7, or a iv7. A slightly more colorful sound is achieved by
superimposing an A minor pentatonic scale over a Dm7. It supplies the chord tones 5 - 7 - R - 9 - 11,
and will work with a Dm7 functioning as a ii7, vi7 or iv7. The A minor pentatonic scale over a Dm7 is
ambiguous because it does not contain and F, the minor third of Dm. Dm7 is the iii7 chord in the key of
Bb, so an A minor pentatonic with the En, will not work in that context. An even more vague and colorful
sound is created superimposing an E minor pentatonic scale over a Dm7, yielding the chord tones: 9 -
11 - 5 - n13 - R. The En and the Bn work with a Dm7 as a ii7 or iv7, but not as a iii7 or vi7.
16.4 Minor pentatonic scales over Minor 7 chords
D minor 7 as ii, iii, vi or iv ii, vi or iv ii or iv

Dm7
w
Dm7
w w w w Dm7
w w
&w w w w w w w
w w w w
1 b3 4(11) 5 b7 1 5 b7 R 9 11 5 9 11 5 n13 R 9
Two major pentatonic chords may be superimposed over a dominant chord. A major pentatonic built
on the root supplies chord tones associated with dominants pointing to major keys: R - 9 - 3 - 5 - 13.
Placing a major pentatonic on the diminished fifth of a dominant chord supplies all of the alterations
associated with a dominant scale, but does not include the third or the root of the chord. Using this can
create some tension that begs for release. The altered sounds typically want to resolve to minor, but may
resolve to major and very effectively to lydian.

16.5 Major pentatonic scales over Dominant 7 chords
G dominant 7 G dominant 7 fully altered

G7
w w w G7 alt.
bw
&w w w w bw bw
bw bw
R 9 3 5 13 R b5 b13 7 b9 #9 b5
There are other pentatonic scales used throughout the world to create melodies. Five are shown below.
Not all of these scales have common names. These scales may be used to create unaccompanied
melodies or superimposed over existing harmonic structures.
16.6
Kumoi Hirajoshi Major b6 Pelog All tones flatted
(Ab sounds like tonic)
& w w w w b w w w b w w w b w w b w b w w
ww b w ww b w ww w w bw b w w bw b w
The following chart illustrates how these five pentatonic scales may be used over traditional chords.
PENTATONIC SCALE RELATED SCALE USED for TRADITIONAL CHORDS

C Kumoi C melodic minor, C dorian Cm6/9, Aø7, F9, B7(#9, b9, b13), and Ebmaj7#11
C Hirajoshi C aeolian Cm and Abmaj7#11
C major b6 F melodic minor Fm6/9, Dø7#2, Bb9, E7(#9, b9, b13), & Abmaj7#5
C pelog C phrygian Fm7, Abmaj7 and Dbmaj7
All tones flatted A b mixolydian A b7
The Kumoi scale, since it is related to the melodic minor scale, can be applied to many colorful chords
associated with modes of that scale. A ø7#2 chord (locrian #2) can use the sound of a melodic minor
scale built on the third, so it can also use a Kumoi pentatonic scale built on the same pitch. An F Kumoi
may be used over a Dø7 and will supply all of the fundamental chord tones plus the eleventh. A
melodic minor scale built on the b9 of a dominant chord creates an altered scale. A Kumoi pentatonic
scale starting on the b9 of a dominant will supply the colorful alterations: b9 - #9 - M3 - b13 - 7.
16.7 Kumoi pentatonic scales over Dø7 & G7 altered dominant chords
F Kumoi over Dø7 Ab Kumoi over G7

Dø7 as iiø7 in minor G7 as V7 in minor
Dø7
w w G7
bw w bw
&w w bw w bw bw bw
3 11 b5 7 R 3 b9 #9 (M3) b13 7 b9

The Kumoi pentatonic is shown below superimposed over various types of chords built on C.
16.8 Kumoi pentatonic scale superimpositions shown for C chords:
C Kumoi over C: Eb Kumoi over C: G Kumoi over C: Db Kumoi over C: A Kumoi over C:
#9
C7 b 13
#
Cm 69
b w
Cø7
w w w C9 Cmaj7 11
w # w w
w w b w w
& wbw w w
w bw wbwbw w wbw b wb w b wb w
bw w w
Several different combinations of pentatonic scales can be used over a ii7 - V7 - I progression.
Interesting sequences can be created by playing a melodic shape and repeating it for each of the super-
imposed modes or pentatonic scales. In the example below, a C major/A minor pentatonic mode used
over the Dm7, a Db major over the G7, and a D major over the C. The pentatonic scales move up in
half-steps: C - Db - D, over the roots of the chords moving in descending fifths. The Dm7, with the C ma-
jor pentatonic material, is somewhat bright, emphasizing the ninth and eleventh and with the absence of
the third. The Db pentatonic over the G7 is very dark and includes all of the altered tones (b9, #9, b13, and
b5). The resolution to the C major is made brighter by the use of the D major pentatonic which supplies
the #11, creating a lydian sound.
16.9 Three pentatonic scales superimposed over traditional harmonic progression:
C Pentatonic/Dm7 D b pentatonic/G7 D pentatonic/Cmaj7

Dm7 G7 alt.
#
Cmaj7 11
œ œ œ b œ œ # œ œ œ œ œ
&c œ œ œ œ œ œ b œ bœ bœ œ œ œ œ œ ˙. Œ
Different Kumoi pentatonic scales may be used over a iiø7 - V7 - i progression. An F Kumoi is used over
the Dø7, an Ab Kumoi over the G7 and a C Kumoi over the Cm.
16.10 Three pentatonic scales superimposed over traditional harmonic progression:
F Kumoi/Dø7 Ab Kumoi/G7 C Kumoi/Cm

#9
b
‰ b Jœ œ œ œ œ n œ œ ˙
Dø7 G7 13 Cm
& c bœ œ œ œ œ œ œ bœ bœ œ œ ˙
œ bœ bœ bœ œ

An Eb major/C minor pentatonic scale is used for the melody in this section of an original composi-
tion, One Day Old. The melody is distant and seems to float above the underlying Bb dorian. This may
be because the Eb major/C minor pentatonic scale does not include the third or seventh of the Bbm7.
16.11 Bert Ligon: One Day Old
B bm7 B bm 7 B bm 7 B bm7
b
Cm7/F Cm 7/F Cm 7/F
& b bb c œ . j
œ ˙ ‰ œj œ œ œ œ œ j Œ
œ œ. œ ˙ ˙.
B bm7 B bm 7 b B bm7
œ
bbbb œ
Cm 7/F Cm 7/F B m7 Cm7/F
j ‰ œj œ œ œ œ œ œ œœ ˙ ˙. Œ
& œ. œ ˙
3
A Kumoi pentatonic scale can also be used to create a phrygian sound A G Kumoi over an A bass cre-
ates A phrygian, and F Kumoi over G creates G phrygian. The melody below is the first theme from an
original composition, Heads Up.
16.12 Bert Ligon: Heads Up
œ œ œ œ œ ˙.
A phrygian
G phrygian
& c œ bœ ‰ Jœ bœ œ œ . j
œ Ó
œ œ œ œ œ ˙.
A phrygian
œ
G phrygian
œ œ œ œ ‰ j œ œ œ ˙
&Œ Œ ‰ Jœ bœ bœ

PENTATONIC SUPERIMPOSITIONS FORMULAS

These charts illustrate various formulas available for superimposing pentatonic scales over traditional
chords.
PENTATONIC SUPERIMPOSITIONS FORMULAS for MAJOR SEVENTH CHORDS

Major Pentatonic scale SOUND FUNCTION CHORD TONES
built on Scale Degree:
Root Simple major I or IV R-9-3-5-6
Fifth degree Brighter major ninth I or IV 5 - 13 - Maj7 - 9 - 3
Second degree Lydian IV or Lydian 9 - 3 - #11 - 13 - Maj7
PENTATONIC SUPERIMPOSITIONS FORMULAS for MINOR SEVENTH CHORDS

Minor Pentatonic scale SOUND FUNCTION CHORD TONES
Root Simple minor ii7, iii7, vi7, or a iv7 1 - b3 - 4 - 5 - b7
Fifth degree Brighter, no third ii7, vi7, or a iv7 5 - 7 - R - 9 - 11
Second degree Brightest, no third ii7 or a iv7 9 - 11 - 5 - n13 - R
PENTATONIC SUPERIMPOSITIONS FORMULAS for DOMINANT SEVENTH CHORDS

Major Pentatonic scale SOUND FUNCTION CHORD TONES
Root Simple major V7 to major R - 9 - 3 - 5 - n13
Diminished Fifth degree Dark, all alterations V7 to minor b5 - b13 - 7 - b9 - #9
KUMOI PENTATONIC SUPERIMPOSITIONS FORMULAS

Chord Symbol Built on Scale Degree Chord Tones
m6/9 R 1 - 2 - b3 - 5 - 6
ø7 3rd 3 - 11 - b5 - 7 - R
Dom. 9 5th 5 - 13 - b7 - 9 - 3
Dom. 7 (#9, b9, b13) b9th b9 - #9 - 3 - b13 - 7
maj7#11 6th 13 - M7 - R - 3 - #11
For exercises to develop the use of the many melodic fragments and their applications, see chapter 6 of
Comprehensive Technique for Jazz Musicians.

394 Chapter 17 Coloring “Outside” the Lines & Beyond
XVII. COLORING “OUTSIDE” the LINES

& BEYOND
APPROACHES to COLORING OUTSIDE the LINES
Most stories are constructed with a variation of the same form: in the beginning there is relative calm —
something comes along which disrupts the calm — in the end something happens to restore the order.
Melodies throughout history often follow the same form: the initial order is established by the dominant
to tonic relationship — pitches other than the tonic triad (diatonic and/or chromatic) create some de-
gree of dissonance — order is restored by the return to tonic at the end. Functional harmonic systems
offered other ways of following this form: a tonic triad established form by its relationship to the domi-
nant chord — chords progress away from the tonic chords to other chords of relative dissonance (to
other diatonic chords or modulations to close or remote keys) — and the return to re-establish tonic at
the end. The grand architectonic framework of the classical composition, the Sonata Form, was a varia-
tion on this same story form: the exposition establishes order with the main theme group, the first in the
tonic key, the second in either the dominant or relative major — the exposition features variations of
the main theme in different keys — and the recapitulation restores order restating the original themes
in the tonic key.
Music history could be traced by the relative degrees of dissonance that was fashionable. Centuries ago
a seventh was considered the extremes of dissonance. Now, the primitive sounds in Stravinsky’s Rite of
Spring no longer shock. Early jazz improvisation was based on elaborated melody, then grew to include
some triadic generalization. As jazz developed, the levels of dissonance were expanded. Chords with
more extensions, progressions that obliterated the sense of tonic, and compositions with out any chord
systems became part of the jazz language. Musicians looked for other ways of creating the dissonances
necessary for good story telling. One development in this search is the concept of playing against the
established tonal center, or coloring outside the lines. If the tonal spectrum is established with a mode
or a key which asserts that seven tones are the boundaries (as the seven notes of a major scale or a typi-
cal mode) then five notes remain that are outside of that realm. A number of jazz artists are attracted to
these “other” notes as a way of creating the tension necessary in the structure of their improvisations. I
would never recommend teaching beginning students to play “outside” of the key — most are equipped
with the ability to play those notes when they enter the beginning improvisation classes. After exploring
and mastering to a high level the ability to play within the established frameworks, many students may
be interested in pursuing improvisations that go against the grain. Playing outside usually follows the es-
tablished pattern discussed above: IN (order established by playing within the key area) — OUT (order
disrupted by playing outside of the key area) — IN (a return to the key area). The IN establishes order
like a tonic chord; the OUT behaves like a dominant, so a line that moves IN - OUT - IN is much like a
progression that moves I - V7 - I.

Chapter 17 Coloring “Outside” the Lines & Beyond 395
Anytime improvisers move away from playing inside the established tonal center or chord progression
they are playing “outside.” This includes infinite possibilities. There are several approaches that can be
categorized which may help direct attempts at outside playing. These basic approaches include:
• Tonicization
• Superimposition of Functional Harmony
• Superimposition of Random Non-Functional Harmony
• Side-Slipping
• Planing & Chromatic Motivic Development
• Pentatonic & Quartal Approaches
• Superimposition of exotic or unusual scales
Tonicization
A dominant chord may be inserted into any progression to tonicize any chord. This idea dates back
centuries. This device is still quite useful especially with the variety of dominant sounds available to the
contemporary improviser. In this G dorian setting a D7 half-whole is implied in the second measure
and returns to the Gm7.
17.1
Gm7 (D7 half-whole) Gm7
œ œ bœ œ œ nœ
& c œ œ bœ œ œ ‰ J nœ #œ #œ nœ œ bœ œ œ œ nœ œ ˙ . Œ
Superimposition of Functional Harmony
Other harmonic progressions beyond just the dominant may be superimposed over phrases. A Bb9 and
A7 are implied in two measures breaking up a four measure phrase of Dm7.
17.2
#9
Dm7 ( B b9# 11
) Dm7 A7 b 13
&c œ œ œ œ œ œ œ œ œ œ œ bœ œ œ œ ˙ . Œ
bœ œ bœ œ œ œ b œ
Superimposition of Random Non-Functional Harmony
Any number of assorted chords may be inserted randomly into a progression. The chords could be
symmetrical divisions of the octave as in: D dorian (Fm7 - Abm7 - Bm7) D dorian; or D dorian (F#m7 -
B bm7) D dorian. The inserted chords could be any chord type and for any mixture of intervals as in: D
dorian (Abmaj7#5 - Bbmaj7#5 - Ebm7) D dorian.
Side-Slipping
When a motive or a line plays a whole-step or half-step away from the tonal center, it appears to have
slipped to one side or the other. This is related to the fact that all tones have upper and lower
neighbors. Each note of a motive has a leading tone. In common practice each leading tone is resolved
before moving to a another non-harmonic tone. With side-slipping, it may appear as if all the leading
tones are played before the chord tones. Four notes from D dorian are shown in ex. 17.3 with their

chromatic leading tones. A line is shown where all the chromatic tones (a.) sound before resolving up to
the D dorian pitches (b.). It is as if the motive as a whole has a leading tone motive.
17.3
a. b.
&c w ‰ j œ #œ #œ œ œ œ œ œ œ ˙
#œ w œ w #œ w #œ #œ œ
Side-slipping may appear in two forms: a line could begin in the tonal area, move up or down and then
return; or could begin in a remote key and lead back to the tonal area.
Planing & Chromatic Motivic Development
Lines that side-slip move as if shifting to other geometric or musical planes just above or below the
tonal center. Lines may shift to other levels further than a step above or below, and may move to all
available planes. This shifting of a motive is related to analytical cubism. Picasso and cubist painters de-
fied the conventional approach to space and representational art. Three dimensional objects were flat-
tened onto a two dimensional canvas where many geometric planes were visible at once. Picasso ex-
plained that he did not paint what he saw, but what he knew. A contemporary improviser knows that
melodic fragments or motives exist in eleven geometric planes (keys) other than the tonal center.
Shifting motives to these other planes or keys is consequently called “planing.” John Coltrane illustrated
this concept when he played the four note motive from A Love Supreme in all twelve keys.
Musical ideas may be planed freely or systematically. Much of traditional music is based on moving
musical ideas the interval of a perfect fourth or fifth as dominant theme moving up a perfect fourth to
the tonic. Many improvisers avoid this by planing motives with a mixture of intervals, following arpeg-
gios and by scale steps. Some improvisers choose to plane their musical motives following one of the
symmetrical divisions of the octave: two tritone intervals; three major third intervals; four minor third
intervals; six whole steps; or twelve half-steps. The two examples below illustrate how this may work.
A four-note motive is played over D dorian and sequenced down major thirds through Bb and F# before
returning to D dorian. One more repetition of the motive occurs up a perfect fourth.
17.4 Planing by transposing motive down by major thirds
& c ‰ Jœ œ œ œ ‰ Jœ œ œ œ b œ b œ œ b œ # œ n œ
#œ nœ œ nœ œ œ œ œ œ œ œ ˙
The four-note motive in ex. 17.5 is transposed up by minor thirds beginning in D minor and moving
through F minor, G# minor and B minor before returning to D minor.
17.5 Planing by transposing motive up by minor thirds
œ # œ # œ n œ œ #œ nœ œ œ œ ˙
&Œ œ œ œ œ œ œ œ œ œ bœ œ b œ œ #œ œ

A tone common to two different scales may be used as a pivot. The Cn is common to both the D minor
and F minor pentatonic scales shown in ex. 17.6 and the Fn is common to both the D minor and Bb mi-
nor pentatonic scales shown in ex. 17.7.
17.6 Using common tones as pivots

Dm7 Fm7 Dm 7
& wwwww b b b wwwww œ œ œ œ œ ‰ j œ bœ bœ œ œ œ œ

œ b œ œ œ œ œ ˙
17.7 Using common tones as pivots

B bm 7
ww b b b b wwwww œ œ œ œ ‰ œ bœ œ bœ œ bœ œ œ œ ˙
Dm7 Dm 7
w
& ww œ J bœ nœ œ nœ
A motive can be transposed following any set of pitches. A six-note motive is sequenced in ex. 17.8 with
its original intervals intact and the top note following the D dorian mode from A down to A. As the mo-
tives get transposed, the top note remains within the tonal center while many of the other pitches create
dissonance. This is like playing outside with one foot still in the door. Eleven notes of the chromatic
scale occur in the line.
17.8 Planing transposing motive following scale tones
œ œ œ œ œ œ œ bœ œ œ œ œ
&c Œ œ bœ bœ œ bœ bœ nœ œ œ œ nœ œ Œ Ó
œ œ bœ œ œ œ œ
& œ bœ œ bœ œ nœ œ œ œ œ œ œ œ œ œ œ œ ˙ Ó
Pentatonic & Quartal Approaches
Traditional tonal music is based on tertian triads. Melodies worldwide are based on tones of a major
triad, presumably due to its presence in the overtone series. If one wants to depart from the tertian tradi-
tions, then quartal triads and structures are logical choices. Pentatonic scales are used often used to de-
rive motivic material because of the many simple melodic shapes, and quartal triads that can be de-
rived from them.
The previous examples were designed to illustrate specific concepts. Many of the concepts may overlap
in real musical examples. The following excerpts may be analyzed with variety of approaches and not
strictly one distinct approach. It would be convenient for theorists if all melodic ideas used only singu-
lar music principles, but this is not the nature of anything as complex as art. This has its parallel in any
science: when observing something, the answer depends on the question (is light a wave? is light a parti-
cle?) This should be instructive as to the nature of music and the perils of attempting to explain music
theory principles.

Wayne Shorter’s use of quartal material in his compositions often inspired the use of quartal sounds by
those improvising over Shorter’s music. Herbie Hancock, in ex. 17.9 excerpted from his improvisation
on Shorter’s Speak No Evil, used the quartal chord D-G-C in its first inversion (see page 325). The mo-
tive was sequenced at three other diatonic levels all containing tones from a C dorian scale. Hancock
then sequenced the pattern transposing it up by minor thirds. If the first occurrence of the motive rep-
resents C dorian, the next could represent Eb, F#, A and then C again. It is impossible and unimportant
to know whether Hancock conceived of the line by thinking of a superimposed harmonic progression or
by intervallic transposition. The entire phrase is balanced and the chromatic passage was rhythmically
and melodically prepared. Hancock presented the first motives simply, leaving space before each mo-
tive. The motive was first repeated after five beats, then five beats again, then after only three beats.
There is no space between the motives during the chromatic planing sequence.
17.9 Planing quartal motives by minor thirds

3
3 3
3
&c œ œ ˙ Œ Œ
œ
Ó œ œ œ œ Œ bœ bœ œ ˙
œ œ œ ˙
3 3
œ
3 3
nœ œ nœ œ œ
3
& Œ œ œ œ bœ bœ œ #œ #œ #œ
Quartal chords and their inversions have fascinated more than just jazz musicians as the next few exam-
ples illustrate. In fact many jazz composers and improvisers have looked to Bartók (17.10-11), Holst
(17.12), Hindemith (17.13), Stravinsky, Copland and others for inspiration.
17.10 Quartal melodic fragments in Twentieth Century music
& 34 ‰ b œ b œ b œ b œ ˙ œ b œ b œ b œ b œ œj ‰
œ œ œ œ œœ œ œ œ œ œ œ
? 34 œ œ œ œ œ œ
17.11
?3 œ bœ œ œ œ
4 œ œ œ œ œ
œ #œ ˙ .
17.12
j œ.
& 24 œ œ œ œ œ œ œ
œœ œ œ œ œ œ œœ œ œ œœ œœœ
œ œ œ œ
17.13
?c œ œ b œ œ # œ # œ #œ œ œ nœ bœ n˙
œ œ bœ œ # œ

Tom Harrell used quartal patterns in these excerpts to slip in and out of “Rhythm Changes” in the key
of F major.
In this first example a motive was sequenced moving down by whole steps. The first motive began on F
and was displaced beginning on Eb, Db, B and partially again on A. The perfect fourth interval at the end
of each motive was emphasized.
17.14 Planing quartal motives by whole steps
œ œ bœ
& ‰ Jœ b œ ‰ Jœ ‰ Jœ b œ b œ ‰ Jœ ‰ Jœ œ # œ œ b œ œ œ œ b œ œj
Harrell began this excerpt with a motive that could have been derived from a pentatonic scale empha-
sizing an ascending perfect fourth answered by a descending minor third. It was immediately sequenced
down by a whole step. In the second measure the descending minor third was replaced by a perfect
fourth interval as the line continued. The perfect fourth intervals emphasized in this passage move down
in whole steps: C-F, Bb-Eb, Ab-Db, F#-B, E-A.
17.15 Planing quartal motives by whole steps
œ œ bœ œ bœ œ bœ œ bœ nœ j
& b œ #œ œ œ n œ
Harrell sequenced a four-note motive (Bb-Ab-F-Eb) down a major third (at F#) and then down a second
(at En). From that point, the line continued with alternating ascending and descending perfect fourth in-
tervals sequenced down by whole steps.
17.16 Planing quartal motives by various intervals
bœ bœ œ bœ #œ nœ
P4 intervals sequenced by WS
œ b œ œ #œ œ œ œ œ œ œ bœ œ bœ #œ
&c Ó bœ
4 note motives:
#œ nœ nœ œ œ œ nœ
Quartal intervals are not the only intervals used to blur the key center. Kenny Dorham used a whole step
pattern chromatically sequenced over this traditional harmonic progression. To return to the key,
Dorham used a conventional outline no. 1 clearly defining the Cm7 - F7, landing on the third of the Bb.
17.17 Whole-step sequential pattern followed by outline no. 1
bBœbœ œ œ # œG7œ n œ b œ Cm7 F7 Dm7 G7 Cm7 F7 B b

&c #œ œ œ #œ œ nœ bœ nœ œ bœ #œ œ nœ œ
œ b œ œ œ b œ œ œ b œ b œ œ œ œj
3
This next passage occurred in an improvisation by Joey Calderazzo over a D pedal. A very simple
whole-step 1-2-3 pattern is chromatically sequenced over the pedal. The rhythmic setting allows the lis-
tener to hear the individual motives. This 1-2-3 pattern can be derived from a pentatonic scale.

17.18 Whole-Step 1-2-3 sequential pattern
œ œ #œ œ œ œ œ #œ #œ œ œ #œ œ œ œ nœ bœ bœ bœ œ œ
&Ó
& nœ nœ nœ œbœ bœ nœ nœ #œ Ó bœ bœ nœ nœ nœ #œ nœ bœ bœ nœ nœ #œ bœ nœ
A quick view of the Bb blues chorus below and it is clear that the improviser was not thinking about a
traditional harmonic framework. Rather than outlining chord tones, McCoy Tyner chose four-note mo-
tives and developed them sequentially transposing them to other planes or pitch levels. This four-note
pattern is the first four tones of a minor pentatonic scale. All of the pitches could be labeled as part of a
vertical structure of the underlying traditional blues progression, but the labels would often prove mean-
ingless and misleading. A better understanding may be achieved by tracing the individual motives in-
dependent of any explicit or implicit harmonic progression.
17.19 Bb Blues excerpt
bœ bœ œ . œ bœ b œ b œ œ œ b œ b. # œ
œ œ
b œ . b œJ ‰ J ‰ JŒ ‰ œJ œ œ œ Œ
a.
&Ó ‰ J ‰ ‰ J
# œ œ # œ œ œf. œ œ œ œ œ œ g.œ œ œ
# œ # œ
e.
b œ œ œ œ
c. d.
b œ # œ œ
& ‰ b Jœ œ Œ ‰ J ‰ J
œ œ œ # œ # œ h.œ # œ n œ i.n œ b œ n œ œ # œ
& œ œ bœ bœ œ œ œ œ œ œ Œ ‰ œj b œ b œ
The four-note group began the phrase at (a.) and recurred eight more times at seven other pitch levels.
The four-note group (a.) can be derived from an F minor pentatonic scale. These tones are also upper
chords tones (5-7-root-9) of Bb7. In m.4, the four-note motive was transposed a tritone away. These tones
can also be analyzed as chords tones of an altered Bb7 (b13-#11-3-b9) or as tones from the tritone substi-
tute dominant E7 (5-7-R-9). The motive from m.4 was transposed down a half step for m.5 at (c.). This
motive, missing one tone, contains chord tones (5-7-R-[9]) of the Eb 7 chord. Tyner’s motives to this
point in the blues chorus were consistently with the upper structures (5-7-root-9) of the Bb7, E7 and Eb7
chords.
17.20 Motives related to the underlying harmonic structure

a. b. c.
w bw bw w
B b7 B b7 E b7
#w nw nw nw #w nw nw nw bw bw bw nw
E7
&
5 7 R 9 b13 #11 3 b9 9 R 7 5 5 7 R 9
In mm.6-9 it appears no effort was made to coordinate the four-note motives with the underlying har-
mony. The motives seem to follow a progression independent of the blues. The Bb minor motive of m.5

moves up to C# minor (d.), to F# minor (e.), E minor (f.), D minor (g.), and to C# minor (h.) again. After
the leap (m3) from Bb up to C# and the bigger leap (P4) up to F#, the four-note groupings follow a de-
scending step line back to C#. The rhythmic character of the four-note group was altered by addition
and subtraction of pitches and by shifting at the point of transposition.
17.21 Motives freely transposed over second phrase

d. e. f. g. h.
#w
# w w #w #w #w w w w w w w w w w w #w #w w #w
&
In m.10 of the blues, where one would expect an F7, the original four-notes recurred in retrograde
matching the same chord tones that were used earlier in mm. 1-5. The four-note group at (i.) are the up-
per chord tones (5-7-R-9) of the F7 chord
17.22 Motive related to the underlying harmonic structure

nw
F7
nw bw
& nw
9 R 7 5
The excerpt below was improvised over F minor. Michael Brecker moved away from the key center using
symmetrical six-note pentatonic patterns sequenced in descending half-steps before returning to F mi-
nor. Brecker used these pentatonic scales: (a.) B minor pentatonic, (b). Bb minor pentatonic, (c.) A mi-
nor pentatonic, (d.) G# minor pentatonic, (e.) F minor pentatonic.
17.23 Chromatically sequenced pentatonic scale patterns
&c Œ ‰ œ œ œ œ bœ œ œ nœ œ bœ œ #œ œ œ œ œ #œ œ bœ bœ bœ bœ nœ œ nœ œ
a.
e. b. c.
& œ œ œ œ #œ œ #œ #œ #œ œ nœ bœ nœ
d.
The symmetry of ex. 17.23 is not present in ex. 17.24. Brecker may have superimposed another progres-
sion over the given chords as shown below. All of the superimposed chords can be derived from the key
of three sharps. The notes over the Bb7 chord can be analyzed as chord tones of the Bb7 or its tritone
substitute E7 and seem to clearly point to Eb minor.
17.24 Superimposed progression implied

Fm7 F#m7 E Bm7 E7 Ebm7
Fm 7 B b7 E bm 7
&c Ó Œ bœ œ bœ œ #œ nœ #œ nœ œ œ #œ Ó
œ œ #œ œ œ œ bœ ˙

This improviser planed a four-note motive over a modal blues in C minor shown in ex. 17.25. The mo-
tive itself is quartal (D-G-C-F), a departure from tertian structures and can be derived from a pentatonic
scale. The motive occurred earlier in the improvisation, and is shown here in an excerpt from the sev-
enteenth and eighteenth choruses. At (a.) the pitches related to the key center of C minor; (b.) the mo-
tive side-slipped down a half-step; (c.) the motive moved back to the original key; (d.) the motive side-
slipped up a half-step and at (e.) up another half-step; and finally at (f.) up a fourth from the original,
but the notes again related to the original key center.
17.25 Motivic planing or side-slipping
&c Ó
a.
œ œ œ œ ˙ œ œ œ œ #œ #œ œ œ œ œ œ œ œ œ œ œ œ œ œ
b. œ c.
e.
œ œ bœ œ
& bœ bœ bœ œ bœ œ œ œ nœ nœ nœ œ œ œ œ œ œ œ œ bœ œ œ œ œ
d. f.
This excerpt illustrates sequencing a motive at the tritone. Tete Montoliu played this motive over the
first few measures of a blues progression in F beginning on the F and shifted to the Bn a tritone away,
back to the F, and then to the Bn again. The three note motive can be derived from a pentatonic scale. Is
the motive on Bn suggesting a tritone substitution?
17.26
œ bœ œ œ œ œ nœ œ
œ #œ nœ œ œ nœ œ bœ œ œ
F7
B b7
&b c œ œ nœ œ œ #œ nœ œ œ nœ ˙ Ó
Many different three and four note patterns can be extracted from pentatonic scales. These melodic
fragments can be strung together and freely planed to create long lines that move in, out and around a
key center. The melodic line shown in ex. 17.27 was created using the four note patterns shown below the
line.
17.27 Planing in & around F minor using patterns extracted from pentatonic scales
#œ œ bœ nœ bœ œ œ œ
&c ‰ œj # œ œ b œ œ b œ œ nœ nœ #œ œ bœ nœ nœ œ
n # wwww b n b b wwww n # wwww n b b wwww

& c # # wwww b n b wwww

& BEYOND
Jazz improvisation is rarely totally free. Jazz musicians usually follow some set of instructions when im
provising as a group. A twelve-bar blues with common chord changes in the key of F at a medium tempo
is an example of set of instructions that a group will agree upon as a point of departure. Parameters may
changes within that set of instructions: the tempo may be double-timed, alternate sets of chord changes
may be imposed, the piece may modulate on some cue. With all the freedom that offered by this mini
mal set of instructions, some jazz musicians have looked for other ways to motivate and direct improvi
sations. Some borrowed twentieth century aleatoric concepts, where a composer might not specify par
ticular pitches or rhythms. Some musicians throw away all instructions and choose to play “free” jazz.
The composition forms and may be decided moments before the performance, and may in part be dic
tated by chance. Many of these performances may sound “free” as they are far removed from tradi
tional sounds, but they may be following very strict sets of instructions. There is little theory to discuss
with “free” jazz, but here are some of the other ways musicians choose to direct their improvisations.
Tone Rows
If the traditional set of instructions is to give the improvisers a set of chords to which they will impro-
vise melody lines and bass lines, then the opposite would be to give them lines and let the chords be
the result of those lines. Tone rows, literally rows of tones, may be given to the performers to execute
with specific or non-specific rhythmic values. The rows may be twelve-tone rows or any assortment of
pitches. The tone rows may be split into sections and performed as a canon.
For sections of a original piece called In Remembrance, tone rows, were given to the bass and to the
saxophone. The tone row was not a twelve-tone row, merely a row of tones without given rhythm indica-
tions. The vertical alignment, or chords, would change with every performance as each performer would
choose to perform them with different rhythmic values.
Isorhythms
An isorhythm was a technique common to the composition of medieval motets where one rhythmic
pattern was repeated over and over while other musical elements were free to vary. In a contemporary
improvisational setting, the rhythm may be given without any pitches. The improvisers must provide the
pitches while following a predetermined rhythm. The isorhythm may be divided into sections where
three improvisers perform it as a canon. The tone rows may be applied to the isorhythms at some point
in the structure of the performance.
Creative Groupings
Specific groupings of musicians may be determined ahead of time. The orchestration of the piece is
given in the instructions and the notes and rhythms may be determined in other ways. One player may
be designated to lead a section while another follows. The one who follows tries to mimic or imitate the
ideas of the leader in something that resembles fugal or traditional imitative entrances. The designated
leaders may change throughout the group by cues. This can be an exercise is rethinking the organization
of a quartet. In so many jazz settings, the four members of a quartet all play at the same time for most of
a piece, the exception being the obligatory “trading fours” with the drummer. In a quartet, there can be
four soloists (soloist meaning without any accompaniment), and ten other groupings of duos and trios.
With the instrumentation of piano, bass, drums and saxophone, the group can be split into six duos: pi-
ano/bass, piano/drums, piano/saxophone, bass/drums, bass/saxophone, and drums/saxophone; four
trios: piano/bass/drums, piano/bass/saxophone, piano/drums/saxophone, and bass/drums/saxophone.
If a soloists is to follow another, the second soloist may be instructed to begin with the actual pitches or
single pitch on which the first ended.

Descriptions of Playing Techniques or Effects
A section may have a set of instructions that has nothing to do with rhythms or pitches but may de-
scribe playing techniques or desired effects. The performers may be instructed to play anything from
the following list and more: glissandos or smears, high or the highest notes possible, low or the lowest
notes possible, fast or fast as possible, agitated, short staccato notes, slow or calm, muted, half valve
tones, breathy sounds, strings bowing near and even behind the bridge, and endless other ideas. Almost
any of these instructions may be combined with others as: play a smear up to the loudest and highest
notes possible on the instrument and decrescendo playing staccato notes down to the lowest tones and
fade to breath sounds. One set of instructions may involve using the instrument in unorthodox ways
which might include using pitched instruments as percussion instruments.
Modes
Some sections may instruct the performers to play within a certain mode. This can be refreshing after
contrapuntal chromatic parts. Often performers using these improvisational methods want the modal
sections to be strictly within the designated mode allowing for no outside chromatic embellishment,
side-slipping or planing. The modal sections are meant to be a very specific color and a contrast to
more dissonant and dodecaphonic sections.
Form
The form is often decided just before a performance by making a list of possible approaches, determin-
ing cues and rough timings. One composition for a quartet may be:
(Leader cues transitions between sections)

I. Twelve tone row without rhythmic designation played freely by the group.
II. Isorhythm pattern divided into three sections A, B & C, with the fourth section improvised
freely. (player plays A, B & C, improvises D then repeats) Notes determined by the musicians
III. Four part round or canon following these instructions:
• long smears
• legato twelve tone row from I.
• improvise freely
• percussive sounds on the instrument
IV. G dorian (bass instrument may play a bass line)
V. Original twelve tone row from I. applied to the isorhythm from II. Each musician takes a turn at
improvising counterpoint. Repeat and ritard to end of row.
Musical ideas from this point are only limited by imagination. Are there other ways to organize impro-
visational music for a group of musicians? Are there ways to combine these structural concepts with tra-
ditional structural, melodic and rhythmic materials?

Chapter 18 ANALYSIS: The BIG Picture 405
XVIII. ANALYSIS: The BIG Picture

TRANSCRIPTION
It is often said that transcribing jazz improvisations is one of the best tools for learning to improvise
jazz. Transcription is a great tool, but many questions arise: why? what to transcribe? how much? how
to? what is done after transcribing? Analysis is defined as the separation whole into separate compo-
nents for individual study. The previous chapters have dealt with many of these separate components,
approaches and tools for developing jazz music. The material was gathered and sorted from hundreds
of transcriptions of great jazz performances. How do these pieces fit into the whole of a jazz improvisa-
tion? This chapter will attempt to answer the why, what, how much, and what then questions of jazz tran-
scription and analysis. Five well-known improvisations will be analyzed. The analyses should be studied
in conjunction with repeated listening to the recordings.
WHY TRANSCRIBE?
Like so many other arts, learning jazz improvisation owes much to imitating the Masters. Every great jazz
artist can list those they imitated while learning to play. These artists developed their own unique voice
while emulating someone else; much the same way a child becomes a unique individual even though
beginning by imitating parent’s words and actions. Historically, imitation was the only way jazz was
passed on from one musician to another and from one generation to another. Books about jazz came
later.
Ear development is one of the primary benefits of transcribing. Training the ears to take musical dicta-
tion from an outside source helps the ears hear the music from the inside source. Imitation should go
beyond just playing the notes and rhythms: an artists’ inflections and articulations should also be mim-
icked. There is a common musical vocabulary that all jazz musicians must know. This vocabulary is part
of the socialization of jazz musicians. We often listen for that common language from an artist before
accepting the unique artistic expressions. We are often more comfortable with the individual expression
of an artist once we sense they have done their homework and speak our common language.
Transcription expedites the development of melodic vocabulary.
WHAT & HOW MUCH to TRANSCRIBE?
Transcribe what interests you as an artist. Begin transcribing improvisations with a low degree of diffi-
culty in order to develop skills and to prevent discouragement. The first attempts should be short
phrases, maybe only two to four measures of a particular improvisation. One or two potent phrases can
provide hours of practice room material. With practice, entire improvisations will be easier to tran-
scribe. In the beginning an entire improvisation might be too difficult, too time consuming, and too
much to digest to make it worth the investment of time.

406 Chapter 18 ANALYSIS: The BIG Picture
HOW TO?
There are many methods and tools to aid transcription. There are many digital devices that can slow
down the playback of a recording and even stop the recording on a single note. These may help the
process, but can in some ways be damaging to the learning process. Stopping a melodic line on every
pitch and plucking randomly on an instrument to find the pitch will be time consuming and counter-
productive. Learn to depend on your ear. Resist the temptation to check every single pitch with an in-
strument. Write out the phrase and then check it for accuracy with an outside source. Try to hear
phrases, not just individual pitches. Let your intellect assist your ears. For example, if a piece is in Bb,
then the Bb, D and F will sound consonant and the other pitches will sound dissonant to varying de-
grees. Groups of chromatic and diatonic dissonances will usually point to a consonant note. Learn to
hear those groups of notes as you would perceive a noun clause or a verb clause in a sentence: not as
separate words or letters but as a unit. In difficult passages it may be helpful to notate rhythms first, iden-
tify the primary pitches on downbeats and significant rhythmic places, and then fill in the secondary
pitches that complete the line.
WHAT THEN?
After completing a transcription fragment or complete improvisation, analyze the material. Determine
what is being done literally and conceptually. Practice playing the entire transcription along with the
recording matching rhythms, pitches, phrasing and articulations. Take choice fragments and practice
them literally in all keys. Examine the same fragments conceptually: what musical principles are at work?
How could the same principles apply in a different way to the same or other musical settings? What
could be added or subtracted to the fragment and how else might it be applied? One fragment could
occupy hours of inventive work in the practice room.
ANALYSIS
Why analyze a solo? There is a practical motive for most jazz theorists: we want to play quality jazz solos.
By examining outstanding improvisations by great jazz artists we can find specific things to practice,
find ways of organizing our thinking about structure, train our ears and brains to listen more intently and
intelligently to the music we love.
Analysis is defined as the separation whole into separate components for individual study. Data must be
gathered, sorted into categories and classified, and then connections and conclusions can be formu-
lated. Analysis begins with asking the right questions. Better questions yield more useful information.
Have a list of questions on hand when you begin your analysis. No improvisation will include all the el-
ements on any list.
There is no set formula or paradigm for a jazz improvisation. Several improvisations will share similar
characteristics. One improvisation may focus on thematic and motivic transformation, another on im-
provising over the harmony using common melodic outlines, another may rely on paraphrasing the
original theme. Treat each improvisation as an individual avoiding forcing square pegs into round holes
or dismissing one as irrelevant because it does utilize the same principles as another. Do not try to
make the improvisation fit your idea of what should be there; analyze what is actually in the music.
Some questions may lead to dead ends. A specific approach may be searched for and not found.
Determine that by asking the questions, and then move on to another area. Traces of one approach may
be found, and later determine to be insignificant for the analysis. Leave it behind, the job is not to jus-
tify every note, or to justify any note. The absence of a specific approach may be significant to the anal-
ysis.

Some of your search should be microscopic, and some macroscopic. You may have to examine small
pieces of the solo, down to individual notes in some cases. You should also step back and look at the
overall larger picture of the solo: how does it build? what are the devices that give the entire solo form
and structure? Is there a shape and how is it achieved? Examine the trees and the forest.
SPECIFIC QUESTIONS to ASK ABOUT an IMPROVISATION:
The outline below is a source for questions about the specific devices used to create an improvisation.
An improvisation can be based on the melodic material or the harmonic structure. A study of theme
and variations by Bach, Mozart, Beethoven and others will reveal the same: that variations are based on
melodic or harmonic material. Within these two large categories are many separate divisions. If the im-
provisation is based on melodic paraphrasing, what devices were used? If the improvisation is based on
the harmonic progression, was it specific or general?
I. Paraphrasing the Melody

A. What figurations were added to the melody? (NTs, PT, arpeggio tones, etc.)
B. How was the rhythmic content altered?
C. How was the general contour ornamenting or embellished?
II. Improvising on the Harmony
A. Harmonic Generalization
1. Triadic generalization
2. Blues scales
3. Common clichés
B. Harmonically Specific
1. Specific arpeggios (1-3-5-7 & 3-5-7-9)
2. Scales (related first to the key center, or specific chord symbol)
3. Guide tones (3rds & 7ths)
4. Outlines nos. 1, 2 & 3
5. Step progression: simple ascending or descending step motion in the middle of more angu-
lar lines. (Outline no. 1 is a typical example.)
C. Harmonic superimposition
1. Tritone substitutions
2. Additions to the basic progression
3. Specific scale colorizations
4. Mode changes
5. Side slipping or planing
An improvisation may include many overlapping concepts. A single phrase may begin using harmonic
generalization, move to harmonic specificity and end by paraphrasing the original theme or melody.
Within an improvisation, compositional and motivic devices may be applied to any of the developmen-
tal processes listed above. The list below reviews some of these devices that are illustrated in chapter 12
beginning on page 318.
III. Compositional Devices for Motivic Development

A. Repetition: The theme must recur for it to be a theme. What elements recur in the improvisation
and how are they similar or different?
B. Sequencing: Transposing to other pitch levels in a repeating series.
C. Fragmentation: Using a smaller portion of the initial idea.
D. Addition or interpolation: The opposite of fragmentation. Material is added to the motive. The
new material can occur before, after, or in the middle of the original motive which is usually in-
tact and recognizable.

E. Embellish or ornament: This differs from the addition of notes before or after as it involves the
elaboration of the original note using neighbor tones while still following the general contour of
the original idea.
F. Augmentation: To augment is to make something larger. Musically this can apply to the rhyth-
mic units, the intervals and even the orchestration.
G. Diminution: To diminish is to reduce something. This can apply to rhythmic units, the intervals
and the orchestration.
H. Inversion: The intervals of the original idea can be turned upside down. They can be inverted
using exact intervals or generally following the diatonic intervals.
I. Retrograde: The motive is played with the pitches in reverse order. This is not perceived by the
casual observer, but can be a useful device.
J. Retrograde inversion: the original can occur upside down and backwards. This is also not always
recognizable to the casual observer.
K. Displacement: May be applied to rhythms or pitches. Pitches may be displaced by moving
them up or down an octave. A motive may be rhythmically displaced to a different part of the
phrase earlier or later than might be expected
L. Mode Change: The motive might be set in other modes.
M. Iteration: Repetition. Making a simple rhythm more active by repeating melodic pitches.
O. Quotes from other sources
After closely examining individual notes in relationship to the original melody or harmonic structure, it
is helpful to view the improvisation from a larger perspective. How are the phrases formed without con-
sidering harmonic implications? Is there a relationship between phrases? Are there connections? Do
several phrases work together to imply larger architectonic forms? A phrase can begin only three differ-
ent ways: before the downbeat, on the downbeat, and after the downbeat. A phrase can be long or short.
Do the length and placement of phrases contribute to the musical result of the improvisation?
IV. Phrasing
A. Length (short or long, relationship)
B. Placement (before, on, after)
C. Connections (last notes or note of one phrase begins the next phrase)
What types of rhythmic character are present in the improvisation? Were there instances of polyrhyth-
mic superimposition? Was there a contrast between simple and complex subdivisions? How does the
rhythmic character contribute to the structure of phrases, phrase groups and the overall form?
VI. Rhythmic Development (polyrhythm, contrasts)
How was contrast used as a developmental tool?
VII. Contrasts to look for:

A. Harmonic specificity and harmonic generalization
B. High and low ranges
C. Loud and soft
D. Simplicity and complexity
E. Short and long phrases
F. Thick textures and space
G. Agitated and calm

The improvisation can be examined in an even larger context. What is the overall shape and character?
What musical mechanisms help determine the contour?
VIII. Overall Character

A. Agitated, calm, relentless, conversational, etc.
B. What musical elements contribute to the overall mood?
C. When is the high point of the solo? How is that achieved?
D. Resolves conflict or not?
E. What is attractive about the solo? sound? rhythm? melodic ideas? technical interest? formal?
feeling?
F. Harmonic vocabulary
It is recommended that the following improvisation analyses be

studied in conjunction with frequent listening to the recordings.
SO WHAT: MILES DAVIS

In the liner notes from the Kind of Blue recording session, Bill Evans described the tune So What as “a
simple figure based on 16 measures of one scale, 8 of another and 8 more of the first.” Miles Davis did
not base his So What improvisation on “scale running.” Without the harmonic framework of traditional
harmony, Davis chose to develop his ideas using motivic devices including: repetition, fragmentation,
sequencing, and diminution. Davis improvised two thirty-two measures choruses employing two major
themes, one for each chorus with some overlap, and referred to both themes in his closing statement.
Davis introduced theme 1 in m.2 after a initial “sigh” motive. Theme no. 1 can be divided into three
parts as indicated by the lower case letters a., b., and c. The theme is a palindrome1 with an additional
note at the end. The rising fragment of a. was balanced by the falling fragment of c. Davis sequenced the
theme in mm.4-7. The fragment c. was saved for the end of the phrase as Davis worked primarily with
fragments a. and b. Fragment b. was transposed up a diatonic third in m.6. Fragment c. was rhythmically
displaced to end on the upbeat of beat four in m.7. The D was repeated up an octave to bridge the first
A section with the second and recalls the initial “sigh” motive.
18.1
I b. b.
œ œ. œ j
Theme 1: Sequence:
&c Ó ˙.
Œ Œ
œ. œ œ . œ œ- œ.
Œ Ó ‰ jœ œ œ œ
œ
1
a. c.
a.
Seq. cont.: b. b.
œ.
X >œ b.
œ œ œ. œ
& œ œ. œ œ œ œ œ œ œ œ œ œ œ Ó
J > c.
œ œ
.
a. a.
Fragment b. occurred inverted in m.10 and was answered by fragment c. The pitches of c. were changed,
but the general shape (descending, ending with repeated note) remains unchanged. This occurrence
alone may be difficult to hear, but in conjunction with numerous appearances of fragment c. at the ends
1 A word, phrase, verse, or sentence that reads the same backward or forward. Examples: radar, refer, civic, deified,
rotator, Poor Dan is in a droop.

of phrases the relationship becomes clear. The inversion of b. returned in m.14 transposed up a step
from m.10 and again was answered by fragment c. Fragment c. was preceded by triadic material in m.13:
the E a leading tone to F, a passing tone (G), A and the leading tone C#. These two phrases in the second
A section are symmetrical.
b. inverted
^œ >œ . (1/2 V)
&œ œ
3
Œ Ó Œ J œ. œ œ ˙ ∑
c.
b. inverted
œ . . œ œ.
œ œ
Œ ‰ j # œ J œ œ œ. œ œ Œ ∑
& œ œ œ œ .
3 c.
Section B began with a. transposed a tritone away from its first occurrence in m.3. A scale passage that
may suggest fragment a. followed. The line ended with fragment c. again, up a half-step from its last ap-
pearance in m.15. Another scale passage followed that included the unusual leap of a tritone (D-Ab) in
m.23. This phrase, as all preceding phrases, ended with fragment c., this time transposed up a perfect
fifth higher than in m.15. The pitches (D and A) are the same as those in m.3 and m.7, but inverted and
the rhythmic value of the repeated notes is augmented
c.
b œ œ >œ ˙
a.
Œ b œ b œ œ b œ bœ b¿ bœ Œ bœ œ bœ ¿
& œ bœ
7
b>œ b œ. b ¿ . > > > >
^ b >œ
.
c.
œ œ b œ œ
c.
& b œj œ . Ó ‰ j b œ b>œ b œ # œ œ bœ bœ œ nœ # œ
b œ b œ œ
>
1
> b>œ b œ >
œ >œ ‰ œ œ
c. (1/2 V)
& œ. ˙ Œ Ó œ. Ó Ó J
> œ >œ œ
5
The inversion of fragment b. returned in m.30 answered by fragment c. Fragment c. occurred with the
same pitches in m.25 and m.31. This short idea signaled the end to the first chorus.
>˙
b. inverted Theme 2:
>œ ˙
c.
œ œ
&˙ Ó œ. œ Ó Ó
9

The second chorus is an ideal structural point to introduce a second theme. Davis chose a secondary
theme that contrasted in many ways to the theme no. 1. Theme no. 1 was introduced between the pitches
of D and A; theme no. 2 is between C and G in an upper register. Theme no. 1 was rhythmically active
with eighth note subdivisions; theme no. 2 floated above the rhythm section using notes of longer val-
ues. Theme no. 2 anticipated the second chorus and is answered in mm.34-35. Theme no. 2 was stated
again in the lower register in mm.36-37 and was answered in mm.38-39 similarly to mm.34-35. An in-
verted fragment b. appeared to be a part of the answer to theme no. 2.
-œ
Theme 2: b. inverted Theme 2
.
II
w œ. œ œ œ. œ œ. ˙
down octave:
& J J ‰ ˙
3 Theme 2 answer
.
T2 down octave T2 answer in upper octave:
^œ œ. œ œ œ œ œ
(1/2 V) (1/2 V)
Ó Œ œ œ3 Œ
&˙ J œ #œ ˙
7
b. inverted
The second A section of the second chorus began with a bluesy response to theme no. 2. The first two
short phrases end with fragment c. of theme no. 1. It is as if Davis wanted to remind the listener of the
first theme before further development of the second theme. The phrase in mm.45-47 which is nearly
identical to the sequence that occurred in mm.4-7 was an additional reminder of the material of theme
no. 1.
Bluesy response
œ. œ j
(1/2 V) (1/2 V)
& bœ œ Œ ‰ jœ œ œ. œ œ. ∑
1
>œ >œ œ œ
c. c.
Sequence of T1. Echoes mm.4-7:
bœ
b. T2 up half-step:
>œ
œ œ œ œj œ .
b.
b.
j œ.
& ‰ ¿j œ œ œ. œ. œ œ
¿ œ > >œ Ó Œ
5
a. a. c.
Having reacquainted the listener with theme no. 1, Davis continued the development of theme no. 2. At
section B of the second chorus Davis played theme no. 2 up a half-step. The answer in the lower octave,
in mm.50-51 was filled in with passing tones. A short passage (mm.53-54) that recalled fragment a. of
theme no. 1 ended with theme no. 2 transposed to another pitch level in m.55.
œ.
T2 up half-step:
œ
T2 with PTs down octave:
J b˙ œ . bœ bœ bœ Ó Œ ‰ œj
& J . . œ ¿ bœ œ œ bœ
9
>

œ œ œ œ
T2 transposed:
> >
a.
bœ
& b œ b>œ œ b>œ œ . J b œ œ œ ‰ b Jœ ‰ J œ b œ.
b œ œ b Ó Ó
3
a. a.
Davis anticipated the last section of the chorus with a return of theme no. 2 in the original key. The an-
swer in m.59 was rhythmically more active than previously heard. A response grew out of the theme no.
2 answer that included the inverted fragment b. and fragment c.
j œ œ œ. œ ˙
T2 b. inverted
˙ >œ œ œ
T2 answer
˙ ˙ œ. œ œ œ.
& œ
7
c.
A concluding paragraph of a well written essay sums up the major points discussed in the exposition
and body. Davis seemed to follow this model and refers to both themes in his concluding line. The line
begins with fragment a. as if to restate the sequences found in mm.4-7 or mm.45-47. Theme no. 2 re-
curred in m.63, and then Davis played the remainder of theme no. 1 ending with a rhythmic augmented
fragment c.
T2
> œ . œj œ œ # œ œ-
&œ Œ Ó ‰ j œ œ œ bœ #œ œ ˙ Œ Ó
1
> >œ > > > œ œ. œ-
a. c.
EXCERPTS from SO WHAT
Separating individual motives and themes, the component parts of the whole improvisation, makes
them easier to trace, examine and compare their characteristics. Theme no. 1 is shown with its three
fragments in ex. 18.2.
18.2
Theme no. 1 Fragment a. Fragment b. Fragment c.
j j j j
& Œ œ œ œ. œ œ œ Œ Ó œ œ œ. œ œ. œ œ œ œ
. - .
2
The “M” shaped palindrome structure of theme no. 1 is clear as illustrated in ex. 18.3.
18.3 Theme no. 1 as a Palindrome
&w w w w w

Davis began developing theme no. 1 by repeating the first two fragments, transposing fragment b. and
returning to the complete theme in this phrase from mm.4-7.
18.4 Repetition of theme no. 1 fragments from mm.4-7.

b. b. b. b.
œ. >
œ œ
X
& ‰ œj œ œ œ œ œ œ. œ œ œ J
œ œ œ œ œ œœ
œ œ.
>
4 a. a. a.
c.
Forty-one measures after mm.4-7, Davis recalled and played almost the exact phrase in mm.45-47.
18.5 Repetition of theme no. 1 fragments from mm.45-47

b. b. b.
>œ œ
& ‰ ¿j œ œ œ. œ.
jœ œ œ œj œ .
¿ œ > >.
œ œ œ
45 a. a. c.
Twelve phrases in the improvisation ended with fragment c. This recurrence of material unified the im-
provisation more than any other element. The first two occurrences were almost identical, both ended
on an upbeat and both used the dominant falling to the tonic. The third occurrence in m.12 was a bit
disguised with smaller intervals and augmented rhythmic values. In m.15, the rhythmic values of frag-
ment c. were closer to the original although the interval was slightly diminished. MM.21-22 recalled the
fragment heard in m.15, but up a half-step. The original pitches, though inverted, returned in the two oc-
currences at mm.24-25 and mm.30-31. Davis created a rising step progression with the endings of the
three phrases in mm.41-47. Each phrase ended with fragment c. and each fragment was a step higher
than the previous (mm.41, 43 and 47.) The fragment from mm.60-61 used the same pitches as that of
m.47. Davis ended the improvisation in mm.64-65 with the original pitches, the dominant and tonic, but
the rhythmic values were doubled.
18.6 Twelve occurrences of fragment c. as phrase endings
j j
3
& œ œœŒ & œ œ œ & œ œ ˙ & œ œ œ

3 8 12 16
j œ œ
& b œ ¿ b œj œ . & J œ ˙ & J œ œ & œ œ œ
25 31
21 41
œ œj œ . œ œj œ . œ
& & J & Jœ œ 61
&œ œ œ
43 47 65

At the midpoint of the two chorus improvisation after developing one theme and its fragments for the
first half, Davis introduced a contrasting second theme. Theme no. 2 floated while the first was more
rhythmically active. Theme no. 1 was primarily constructed with the notes of a D minor chord and the
second was based on the upper extensions, the 7-9-11, or a superimposed C major triad over the D do-
rian. Davis repeated theme no. 2 with the first two pitches transposed down an octave. Theme no. 2 re-
turned anticipating the B section in m.48. The triadic shape of the answer was disguised with passing
tones. A short reference to the triadic theme no. 2 occurred in mm.54-55. Davis anticipated the last A
section with another return of theme no. 2 in m.56. Theme no. 2 recurred one last time in m.63 as a part
of the last phrase, a summary including material from both themes.
18.7 Occurrences of Theme no. 2
-œ
b. inverted
˙ w œ. .
& Ó œœ œ. œ œ.
J J ‰
33
.
^œ œ. œ œ œ œ œ
(1/2 V)
& ˙ Ó Œ œ œ3
˙ J
37
bœ œ. œ
J b˙ œ . bœ bœ bœ
& Ó Œ
J . . œ ¿ bœ œ œ bœ
49
bœ œ bœ Ó
& J .
55
œ œ œ œ ˙ ˙ ˙ œ. j œ œ œ. œ ˙
& Ó œ
57
18.8 Last phrase of improvisation as summary of all thematic materials

Theme no. 2 c.
> ˙ j
& ‰ œj œ >œ œ b>œ # œ œ œ. œ œ œ œ # œ œ- œ
> œ-
Œ Ó
> .
62 a.

OVERVIEW of THEMATIC MATERIAL
The charts below provide a overview of the thematic material in the Davis improvisation.
FIRST CHORUS
A (mm.1-8) A (mm.9-16) B (mm.17-24) A (mm.25-32)

Theme no. 1, fragments Fragment a., Fragments a., c., & Fragment a.,
a., b., & c. inversion of b. inversion of b. inversion of b
SECOND CHORUS
A (mm.33-40) A (mm.41-48) B (mm.49-56) A (mm.57-64)

Theme no. 2, Theme no. 1, Theme no. 2, Theme no. 2,
inversion of b., frag- fragments a., b., & c. fragment a. inversion of b.
ment of Theme 2 Summary of all ideas in
the last phrase:
(mm.62-65)
Without a harmonic progression, this modal improvisation included no guide-tones or outlines. There
were no instances of exotic scales or harmonic substitutions. Davis developed two main themes and
their fragments using motivic devices including: repetition, fragmentation, sequencing, and diminution.
This improvisation is an exceptional lesson in motivic development and economical construction.
Miles was frugal with notes, which made it easier to see and hear the simple structures. Miles constructed
a logical improvisation manipulating fragments of his themes like Picasso in an analytical cubist paint-
ing.
ALL BLUES: CANNONBALL ADDERLEY

Cannonball Adderley used several recurring musical elements in this improvisation. These elements
and their transformations helped create a coherent organization. The form is a modal blues. The mate-
rial used to construct the entire improvisation was introduced by Adderley in the first four measures. He
began with extended arpeggios in thirds using a rhythmic motive that recurred with variations. A bluesy
motive and a bop figure resembling outline no. 3 followed. Cannonball showed his wonderful sense of
balance in this solo. Flurried passages were answered with simple swinging eighth note passages, such as
the iteration device in mm.28-30 and mm.37-38. Modal passages were contrasted and balanced with
bluesy or be-bop figures. Extended arpeggios, leaping almost two octaves contrasted with measured trill
figures that restrained the melodic motion. Recurring rhythmic motives lent a continuity to the material
even when the pitch content changed. Outline no. 3 lent continuity in form and structure to lines with
much rhythmic variety. The rhythmic vocabulary ranged from relaxed, simple eighth notes lines to flur-
ries of sixteenth notes and sixteenth note triplets. Certain areas of the form were treated the same, as if
Adderley conceived the passages as a certain mood or character beyond just the harmonic implica-
tions. Many phrases ended with the bop outlines. Almost every chorus ended with an ethereal phrase
avoiding harmonic and rhythmic clarity.
A rhythmic motive (R1) was introduced in the first phrase. Two eighth notes on the downbeats empha-
sized the strong beats of one and four, creating the duple meter ( 46 ). The pitches suggested an extended
tertian (1-3-5-7-9-11) G chord. A bluesy 4-3-1-7 idea answered followed by a bop sounding figure that
eventually Adderley developed into outline no. 3. The 4-3-1-7 shape was the first item to be developed as
Adderley sequenced it over the C7 in mm.5-6.

18.9
I G7 Rhythmic motive 1 (R1) 4-3-1-7 Motive
& 64 Ó . Ó œ œ œ œ Œ œ œ œ Œ œ œ œ Œ œ œ œ Œ Œ
1
œ œ œ œ œ œ œ œ œ #œ
7 9 11 9 7 5 3 1
Bop figure: 4-3-1-7 motive developed

C7
˙ œ . bœ œ œ . ˙ ‰ Jœ œ b œ œ œj œ œ
3
& œ œ œ œ œ œ œ œ œ bœ œ œ
œ 3
The upper extensions returned over the G7 as Adderley emphasized the 7-9-11 of G7. The rhythm (R2)
was related to R1 but stressed beats one, three and five. The accents of R2 suggested a triple ( 23 ) instead
of the duple meter ( 64 ). The bop figure returned to end the phrase. Adderley treated the last four
measures of the first chorus with a harmonic and rhythmic vagueness that created an ethereal mood. R2
returned in the last two measures of the form.
Ethereal section:
œ œ œbœ . œ j
G7 R2 Bop figure 3 3 D7
Œ œ Œ Œ Œ Œ œ ≈ #œ .
3
œ
& œ œ œ œ œ œ
#œ nœ œ œ œ #œ œ œ œ Nœ œ
E b7 R2
j ‰ b œ n œr œ œ œ b œ # œ b œ Œ œ b œ Œ œ œ œ
D7 G7
‰ b œ Œ Œ Œ #œ œ œ
& œ J #œ nœ œ œ œ
0
Another variation of R1 occurred in mm.13-14 at the beginning of the second chorus using only the two
eighth notes on the down beats. The melody emphasized the upper extensions (9 & 13) and recalled the
bluesy motive. A flurry of notes, G mixolydian scale with two chromatic passing tones, led to the recur-
ring bop figure. This time the figure was recognizable as outline no. 3. A chromatic line was suggested
within the outline: (D-C#-Cn-Bn). Adderley answered with a static measured trill as a contrast to the vigor-
ous outline figure.
II Bop figure:
G7 4-3-1-7 motive
œ
outline no. 3
œŒ Œ Œ œ œ
5
& œœŒ Œ ‰ j œœœ œ œ œ œ #œ œ œ œ #œ œ œ

#œ œ œ . œ #œ œ œ nœ œ
3 R3
Measured trill: Measured trill:

C7
& œ œ œ œ œ œ œ œ œ œ œ œ œ œ œbœ œ œ œ œ œ ˙ Œ Œ œ œ œ œ œ œ œbœ œ œ œ œ œ

6
œœ 3 3 3 3

The static measured trills were abandoned for the chromatic and rhythmically exciting line in mm.19-
20. Outline no. 2 was followed by outline no. 3 and a arpeggio of the upper extensions (7-9-11-13-R) of
the G7 chord. The sixteenth notes provided a rhythmic contrast, and the wide range of the line (almost
two octaves) contrasted with the static nature of the previous measured trills.
œ˙
G7 3 Upper ext.
œ œ
3
œ j ‰
& œ œ œ œ œ œ œ #œ œ œ bœ œ nœ œ œ #œ œ œ b œ œ œ
œ œ œ œ nœ œ œ 3
œ œ
G7 7 9 11 13 R
Outline no. 2 Outline no. 3
& www ww
w w w w w
9
An ethereal feeling was again created on the last four measures of the form. Adderley recalled R3 and
the bluesy 4-3-1-7 motive in the closing measures of the second chorus.
E b7
œ œ
D7 Ethereal section: D7
&‰ J œ œ ‰ œj b œ bœ bœ bœ œ ‰ n œj
#œ œ
1 œ bœ œ bœ œ
3
œ œ3 # œ œ œ
G7 4-3-1-7 Motive
&œ œ Œ Œ Œ œ œ œ œ œ œ œj œ . Œ
3
R3
The measured trill returned at the top of chorus three. It was answered by a lengthy flurry of sixteenth
notes that included outline no. 3, with the internal chromatic implications (D-C#-Cn-Bn), and ended with
the extended tertian arpeggio.
‰ Jœ œ œ
III G7 Measured trill:
&˙ œ œ#œ œ nœ œ œ #œ œ
3
Œ Œ
3 3
5
œ.
Upper Extensions
œ bœ œ œ œ
& œ œ bœ œ œ œ œ
œ œ #œ œ œ œ nœ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ œ Œ Œ
3
Iteration:
5 7 9 11 13 R
Outline no. 3
& www
nw w
7

As a contrast to the sixteenth notes, Adderley played a repeated eighth note line. These repeated notes
are called iteration. Rhythmic variation no. 4, occurred in m.31 featured a slightly diminished version of
the pair of notes found in the other rhythmic variations. Rather than the two eighth notes of R1-3, the
pair were the first two notes of an eighth note triplet. The ethereal section returned with ambiguous float-
ing rhythms and distant notes such as the C#, the #11 of G7 in m.35. The last two measures contained a
return to R3 and the measured trill. The melodic material that began the fourth chorus again suggested
the upper extensions (5-7-9-11) of the G7 chord.
C7 Iteration sequence: G7 3
& œ œ œ œ œ œbœ œ
3
Œ Œ ‰
bœ
r
œ œ œ œ œœœœ œ œœ œ œ œ
œ œ œ œ œ
9 œ œ
R4
E b7
œ bœ œ bœ Œ ‰ œ
D7 Ethereal section: 3 D7
&œ œ Œ Œ Œ b ˙ b œ bœ œ œ œ œ J
œ bœ bœ œ œ . œ œ bœ
2 œ
G7 3
‰ # œj œ œ œ œ
measured trill
& #œ œ Œ Œ Œ œ œ œ œ œ œ Œ Œ
œ
5
R3
Adderley played another iteration sequence at the beginning of chorus four. Outline no. 3 returned
paired with an arpeggio that emphasized the upper extensions (5-7-9-11-13) of G7. The internal chro-
matic implications (D-C#-Cn-Bn) were again implied in outline no. 3.
G7 Outline no. 3
œ œ
IV Extensions
œ œ œ œ œ œ #œ œ œ
3 3
Iteration sequence:
& œ œb œ œ œ j‰ œ œ b œ œ œ œ œ œ # œ n œ
œ œb œ œ œ œ œ œ œ
5 7 9 11 13
& w ww
nw w
7
The line in m.40 suggested the tertian extensions (7-9-11-13) and at the same times has a blues feeling
due to the Db-C and the Bn-G. R1 returned in mm.61-62 with an inserted measured trill.
3 3
C7
œ
& ‰ œ œ œ bœ œ œ œ bœ œ Œ œ œ œ Œ œ bœ œ œ œ œ œ œ œ œ œ Œ œ
0
œ #œ œr
Measured trill
R1
R1 continued through m.62 and led to another occurrence of outline no. 3 which Adderley again paired
with the upper extension arpeggio. The rhythmically diminished pair of notes from R4 were used again

in m.65. The note pairs were played with progressively larger rhythmic values in mm.65-66. In m.65, the
pair of notes were the first two notes of an eighth note triplet; on the downbeat of m.66 they return to a
pair of eighth notes; and at the end of m.66 they have become two quarter notes. The improvisation
ended with one last reference to outline no. 3 with the suggestion of the internal chromatic line, with a
missing the Dn.
Upper extension D7
‰ œj œ œ œ œ‰œ œ œœ œ Œ œ œ
œ
G7
œ œ œ œ
R1 3 3 3 3
& œ œ Œ œ #œ œ œ
3
œ œ œ JJ
œ œ œœœ œ
7 9 11 13
Outline no. 3 Fragment of R4
& w ww
w w
3
E b7
bœ bœ œ œ œ # œ œ Œ ‰ œj ‰ j
D7 G7
& Œ ‰ Jœ œ œ #œ œ ˙.
œ œ œ #œ œ œ
G7
& w w ¿ w w
6
EXCERPTS from ALL BLUES
RHYTHMIC MOTIVES
18.10a R1
I G7
& 64 Ó . Ó œ œ œ œ Œ œ œ œ Œ œ œ œ Œ œ œ œ Œ Œ
1
œœ œœœ œ œ œ
18.10b R1 at m.41 18.10c R1 at m.43
j 3
C7 G7
& bœ œ Œ œ œ œ Œ œ &œ œ Œ œ #œ œ ‰ œ œ œ
1 3
œ

3 6
18.11a R2 Implies triple meter ( 2 ) instead of duple meter ( 4 )
1 2
64 œœ œœ œœ œœ œœ œœ
œ œ œ œ œ œ
3˙ ˙œ ˙œ
2œ œ œ œ œ œ œ œ œ œ
1 2 3
18.11b R2 in mm.7-8
G7
&œ œ Œ œ œ Œ œ œ
#œ nœ œ œ
8
18.11c R2 in mm.11-12
#œ bœ Œ œ bœ Œ œ
G7
& œ œ œ œ œ
12
18.12a R3 in mm.13-14 18.12b R3 in mm.23-24

II 3
G7 G7
œ
& œ Œ Œ Œ œ œ œ œ Œ & œ œ Œ Œ Œ œ œ œ œ œ œ œj œ .
3 3
18.12c R3 in mm.32-33 18.12d R3 in mm.35-36

D7 G7
&œ œŒ Œ Œ œ œ. œ & #œ œ Œ Œ Œ œ œ œ œ œ œ Œ
2 œ bœ bœ œ 5
18.13a R4 in m.31
G7 3
3
& œ œ œ œ œ ‰ œ œ œ
1
œ œ

18.13b R4 fragment in m.45

E b7
D7
œ œ3 ‰ œ 3 œ œ 3 œ œ Œ œ œ b œ b œ œ œ œ #œ œ
D7 G7
Œ ‰ œ
& J J J
OUTLINE EXAMPLES
18.14a Outline no. 3 in m.4 18.14b Outline no. 3 in mm.7-8
3 G7
œ œ œ œ œ nœ œ œ
& œ #œ & œ œ
#œ nœ œ œ
4 8
18.14c Outline no. 3 in mm.15-16
&œ œ œ œ œ œ œ
nœ # œ œ œ n œ œ œ œ
16
18.14d Outline no. 3 from another improvisation

B bm 7 3 3
E b7
& œ œ Œ
bœ b œ œ
œ œ œ œ œ bœ #œ œ b œ œ
18.14e Outline no. 3 at the end of the improvisation
j
& œ ‰ œj œ .
#œ œ nœ œ #œ œ œ œ ˙
44
& œ œ ¿ nœ œ

OUTLINE EXAMPLES FOLLOWED by EXTENDED TERTIAN ARPEGGIOS
18.15a Outline no. 2 & no. 3 in mm.19-20

3 3
˙
&Œ œ # œ œ œ œbœ œ n œ œ œœ
œ nœ œ œ œœœœœ œ œ
20
& œœ œ œœœ
œ œ œ œ
18.15b Outline no. 3 in m.27

3
œ œ.
& œœœ œœœ œ œ œ œ #œ œ œ œ œ œ œ Œ
# œ n œ œ œ
œ œ œœ œ 28
& œœœ œœœ

nœ œ
18.15c Outline no. 3 in mm.38-39
j œ œ #œ œ œ œ
3 3
& œ œ œ œ œ œ
œ #œ œ nœ œ œ œ œ
39
& œ œ œ
nœ œ
18.15d Outline no. 3 in mm.43-44
j 3
œ œ œ œ
& œ œ œ œ œ œ œ
œ œ œ œ
44
& œ œ œ
œ œ

EXTENDED TERTIAN ARPEGGIOS
18.16a G mixolydian: scale 18.16b Extended tertian arpeggio
w w w w w w
&w w w w w w w
w w
w
R 2 3 4 5 6 7 R R 3 5 7 9 11 13 R
18.16c Extended tertian arpeggio at the beginning of the improvisation

G7
& œ œ œ œ Œ œ œ œ Œ œ Œ œ Œ
œ œ œ œ œ œ œ œ œ
1 œ ˙
& w w w
w w w
ww
7 9 11 9 7 5 3 R
18.16d Other extended tertian arpeggios throughout the improvisation

3
˙ œ œ. Œ
œœœ j œ œ œ œ #œ œ œ œ
3
&œœ & œœ œ œ & œ

21
7 9 11 13 R 28 7 9 11 13 R 39 5 7 9 11 13
œ œ œ
&œ œ œ œ
44 7 9 11 13
4-3-1-7 BLUES FIGURE
18.17 4-3-1-7 Blues figure throughout the improvisation

C7
˙ œ . bœ œ œ . ˙ ‰ Jœ œ b œ œ œj œ œ
3
& œ &
œ œ œ œ
4 5
&œ œ œ œ Œ &œ œ œ œœœ j

œ œ.
44
14

MEASURED TRILL FIGURE
18.18 4-3-1-7 Measured trill figure throughout the improvisation

C7 3 3 3 3
& œ œ œ œ œ œ œ œ œbœ œ œ œ œ œ ˙ Œ Œ œ œ œ œ œ œ œ bœ œ œ œ œ
œ
17
œ œ œ œ œ3 œ œ œ3 œ ˙
3
& bœ œ œ œ œ œ œ œ œ œ & J
26
42
ITERATION
18.19 Iteration throughout the improvisation
bœ œ œ œ œ œ Œ Œ
& œ œ œ œ bœ œ r bœ œœ œ œ œ œ
œ œ œ œ œ
29 œ œ
G7
& œ œ bœ œ œ
œ œ bœ œ œ œ œ b œ œ œj
29
ETHEREAL FLOATING VAGUENESS
18.20 Ethereal section at the end of first chorus

E b7
œ œ œb œ . œ ≈ j ‰ b œ j ‰ n œr œ œ œ b œ # œ b œ Œ œ b œ Œ œ œ
D7 D7 G7
œ œ œ œ œ Œ
3
& Nœ œ œ # œ . œ J# œ n œb œ
9
18.20b Ethereal section at the end of second chorus

E b7
œ œ
D7 D7 G7
&‰ J j œ ‰ n œj # œ œ œ œ
œ œ ‰ œ bœ bœ bœ bœ
œ bœ œ bœ œ
21

18.20c Ethereal section at the end of third chorus

E b7
œ œ
D7 D7 G7
‰ j j
& J œ œ ‰ œ bœ bœ bœ bœ œ ‰ nœ #œ œ œ œ
œ bœ œ bœ œ
32
PHRASE CONTENT
FIRST CHORUS
Extended tertian arpeg- ‘ 4-3-1-7 Motive Bop Figure
gios using Rhythmic related to outline no. 3
Motive no. 1 (R1)
1
4-3-1-7 Motive ‘ R2 derived from R1 Bop Figure
5
Ethereal Section ‘ Rhythmic Motive no. 2 R3
(G harmonic minor)
9
SECOND CHORUS
R1 ‘ Scale with chromatic Bop Figure
4-3-1-7 Motive passing tones Outline no. 3
13
Measured trill ‘ Outline no. 1 connects Outline no. 3 /extended
to next measure tertian arpeggio
17
Ethereal Section ‘ R3 4-3-1-7 Motive
21
THIRD CHORUS
Measured trill figures Extended bop figure ‘ Upper extension arpeg-
gio
25
Relaxed motive using it- R4
eration
29
Ethereal Section ‘ R3
(G harmonic minor)
33
FOURTH CHORUS
Iteration idea returns Outline no. 3 Extended arpeggio Bluesy ending
37
R2 Trill figure added to Outline no. 3 ends with
rhythmic Motive no. 2 extended arpeggio
41
R4–Rhythmic activity R3 Outline No. 3
winds down
45
It should be apparent from these transcriptions that constructing improvisations is more that playing
the correct chords and scale tones. Cannonball Adderley introduced at the beginning of the improvisa-
tion a few musical elements that recurred transformed and varied to create a coherent organization. A
rhythmic motive recurred in several forms. Adderley implied several bop outlines and extended tertian
arpeggios over this modal framework and often linked the two elements. The improvisation was bal-
anced by contrasting rhythms, textures, moods, subdivisions and implied metric divisions.

BLUE in GREEN: JOHN COLTRANE

John Coltrane contributed so much to jazz from the complex harmonic passages in Giant Steps and
Countdown to the modal improvisations and beyond. This improvisation was chosen for its simplicity.
The short ten measure melodic line was constructed primarily from a single step progression elaborated
with octave displaced notes and rapid scale passages. The melody is shown on the top line and the im-
plied step progression on the bottom. The step progression often adheres to voice leading principles.
Coltrane leapt a perfect fifth to the An which began the descending step progression. The line returned
to An on beat three after moving to surrounding tones below and above to further embellished the An.
There was a 4-3 suspension on the D minor chord. Another octave leap suggested a G7 preceding the
Cm7 so that the Fn sounds like the seventh resolving to the third (Eb) of Cm. The octave displacement
continued and the seventh of F (Eb) resolved to the third of Bb (Dn) completing a descending scale that
began on A. The step line was octave displaced again as the Dn leaps up to the Cn, the #9 of the A7.
18.21
bb 9 Cm7 F7 3 B bmaj7
b9
A7b 13
r
Gm9 A7 13
Dm9
&b c r œ œ œ œ. œ œ œ œ œ œ œ œ œ ≈ œr œ . . œ
œ bœ œ œ œ .
œ œ œ
&b c ˙ ˙ œ œ ˙˙
b˙ ˙
1
A secondary step line was introduced in m.3 which continued briefly through m.5 (F to E). Coltrane
played an F triad over the A7 in m.3 and the Dm7 in m.4. The F triad works as a triadic superimposition
for many of these chords and Coltrane seemed to be using these common tones to provide melodic
continuity. The F triad creates a Gm11 over the Gm7; it is the 5-7-9 of the Bbmaj7; it supplies the b13 and
#9 over the A7; and is the 3-5-7 of the Dm7 chord. The descending step line continued from the Cn down
to Bn, the ninth of Am7, to the fifth of Dm (An), and came to rest again on the An as the ninth of Gm7 in
m.6. A broken arpeggio octave displaced the An to the lower register for the A7. Coltrane used the as-
cending D melodic minor scale to bring the line back up the octave to the An again. Note that he used a
Bn when ascending and at the top a Bb. The Bn helped the line ascend and the Bb brought it back down
to the An.
Dm7
b
E7 9 Am9 Dm9 Gm9
b
A7 9
& b œ œ œ œ œ œ œ œ ≈ nœ œ œ œ œ bœ œ œ œ œ œ œ
3 3 6
œ œ œ œœœ
œ œ . nœ # œ
j
b
& ˙.w œ . n œ ˙ ˙ œ
œ ˙ œ
The Bb, the b9 of A7 resolved as expected to the An, the fifth of Dm. The An was reinforced by the D mi-
nor arpeggio and then moved down a step to Gn, the fifth of Cm7. The first step progression ended here
with a leap of a perfect fifth to a Dn. The improvisation began with perfect fifth leap. A new step progres-

sion began on the D. The D was surrounded by diatonic neighbor tones (D-Eb-C-D) over the F7, yet the
placement in different octaves disguises the close intervallic relationship. The Eb, as the seventh of F7
resolved to the third of Bb. As with many improvisations in a bop style, which this piece is not, Coltrane
played a 3-5-7-9 arpeggio over the Bbmaj7 chord. This arpeggio recalled the melodic shape from m.3.
The arpeggio octave displaced the step line again and the C and Bb, the #9 and b9 of A7 resolved to An,
the fifth of Dm7. Coltrane played scale passages over the A7, this time strictly playing D harmonic mi-
nor. D ascending melodic minor returned in m.9 over the Dm7. The step line continued through the G
and F, the #9 and b9 of E7 resolved to En, the fifth of Am7. This voice leading referred to the similar pas-
sage leading to the Dm7 in mm.8-9.
Cm9 F7 b
B maj7 bb 9
A7 13 Dm 9 bb 9
j
Dm9 E7 13
& b œ ‰ ≈ œ œ œ œ . œ bœ œ r
œœœ œœ
3
≈ œ
5
œ œ œ œ œ œ œ œ œ . . œ
œ œ œ #œ œ œœ œ nœ #œ œ
bœ œ œ œ.
&b ˙ œ ≈ œœ b œ œ
J˙ ˙ œ . œj
œ œ œ.
One skip interrupted the descending step line as Coltrane concluded this improvisation, fading away to
almost nothing. Bill Evans then metrically modulated the piece to double time for the next soloist.
Am9 Dm9 Gm9
&b œ œ œ œ Œ Ó
0 #œ œ nœ œ . bœ œ . œ œ
&b ˙ œ. œ œ. œ œ
Œ Ó
0
Coltrane’s melodic line over Blue in Green is profoundly expressive though only ten measures in dura-
tion. The simple underlying structure contributes to expressiveness as it gave him a logical framework to
which he applied creative octave displacements, scale and arpeggio passages.
FREDDIE FREELOADER: WYNTON KELLY

Wynton Kelly played a short, simple, well constructed improvisation on Freddie Freeloader. One cen-
tral element that makes this solo a classic was the groove; the soulful swinging feel from the beginning to
the end. The most difficult element to describe or adequately discuss is that elusive quality called “feel.”
It cannot be quantified, codified, indexed and cataloged. It can be experienced from listening to the
recording. We are lucky to be living in the an age where recordings of jazz classics are plentiful and can
be accessed from anywhere on the planet. Kelly constructed the improvisation using short, simple
statements, built up to an emphatic two-handed blues testimony and finally restored a calm that pre-
pared the entrance of Miles Davis.

CONTRASTS
Contrasts contributed to the success of this improvisation. An improvisation constructed out of a single
device, no matter how interesting, becomes predictable and uninteresting. Here are some elements
Kelly manipulated for contrast:
• contrasted phrase lengths—short phrases & long phrases

• contrast between blues generalization & harmonic specificity
• contrast between simple triadic melodies & extended tertian melodies
• contrasting accompanying approaches—simple inconspicuous independent left hand, left
hand answering the melody, & emphatic left hand, accenting with the melody
SOLO CONTOUR
Kelly played four blues choruses. The improvisation began simply with short statements and ended with
a simple descending scale. Each chorus gathered a little more steam until the climax in mm.36-40. There
are highs and lows within each chorus, but each one propelled the improvisation to the climax. In the
first and second chorus, almost identical material recurred (mm.7-12 and mm.19-24). The recurrence of
almost identical phrases preserved continuity within the improvisation. Rather that repeat exactly what
he played before, Kelly added rhythmic complexity (mm.19-20) and chromatic elaboration.
The rhythm section reached cruising altitude in the third chorus and settled in to a comfortable groove
(listen to the sidestick snare on beat two and Kelly’s later emphasis on beat four). Kelly testified with
stylistic gospel blues lines and double stops. This was the last stage building to the climax in mm.36-40.
The climax was effective in part because of the arrangement and timing of previous material. Had Kelly
begun with emphatic statements then mm.36-40 would not have been perceived as climactic.
PHRASE CONNECTIONS
Kelly helped the listener follow his improvisation with carefully connected phrases. Guide tones (GT)
occurred regularly at significant rhythmic spots. Phrases often began on a note or notes that ended the
previous phrases. Rhythmic and melodic motives recurred transformed, though still recognizable, mov-
ing the improvisation to a logical conclusion.
Kelly began with four very short statements based on the dominant rising and falling to the tonic, elab-
orated with various neighbor tones. The chromatic tones (En, Gn, & Gb) are not heard as alterations of
the dominants, rather as neighbor tones pointing to F. In m.5, after playing around the root and fifth of
E b7, Kelly played the seventh and third identifying the Eb7. The Db resolved back to Dn in mm.7-8. The
D n in m.7 was surrounded by its upper and lower neighbors, and the Bb triadic material led back to the
lower Dn. An unembellished Bb arpeggio led to the guide tone An, the third of F7, in m.9, which Kelly ap-
proached with a chromatic leading tone, G#. The leading tone/guide tone idea was sequenced for the
Eb7, and the emphasis on beat four of m.9 created syncopation. Kelly was careful to play Db in m.10 to
comply with the Eb7. The descending Bb arpeggio in m.11 yielded the upper tertian extensions (9-#11-13)
of the Ab lydian dominant sound. An arpeggio that again emphasized upper extensions (7-9-#11-13) of
the Ab lydian dominant sound led to the top of the second chorus.
Kelly’s left hand accompaniment was spare during this first chorus. Kelly played simple voicings using
just the tritone, the third and seventh, of the dominant chords. The chords were played very softly and
usually short; the only held chord occurred in the last measure of the first chorus. The chords were used
to launch some lines and punctuate others, and primarily occurred in the spaces between the right hand
lines.

18.21
B b7
œ bœ nœ œ
I
b Œ nœ œ œ œ Œ
r
j
& b c ‰ œ œ bœ œ nœ œ . œ Œ Œ œ œ œ Œ Œ
#œ
œ
5 1 5 1 5 1 5 1
œ œ . # œr œ
E b7 B b7
>œ
b œ b œ œ b œ œ œ # œ œ œ œ . j œ œ
& b ‰ Jœ œ bœ œ Œ ‰ œ œ œ. œ œ ‰ ‰ œ œ œ œ
3
J œ
7 3 3 3
#
œ # œr œ
E b7 A b9 11 (7-9- #11-13)
# œ œ œ œ œ œ #>œ n œ b œ œ # >œ œ >œ œ œ .
F7
b ‰ œj b œ œ œ œ . œ
& b #œ œœ œ œ œŒ
3
bœ
3 3 7 7
(9- #11-13) 3
Kelly played with the Bb triad in the first phrase of the second chorus. The Dn was emphasized in m.13
preceded by its leading tone, C#. The triadic arpeggio in mm.14-15 led to the guide tone Ab which began
to point towards the Eb7 chord in m.17. Kelly interrupted the resolution of the dissonant Ab to the con-
sonant G with the chromatic passage (all chromatic passing tones between F and Bb, the original notes
from m.1). Kelly clarified the Eb7 sound by landing on the guide tone third preceded by its leading tone
F#, and leaping to the seventh, Db. As a contrast to the preceding triadic shapes, Kelly played the upper
extensions of the Eb7 suggesting a lydian dominant chord with the 7-9-#11-13 arpeggio that recalled ma-
terial from m.12. The guide tone Db from mm.17-19 was resolved back to the major third of Bb (Dn) in
mm.19-20.
The material heard in mm.19-24 was a transformation and development of the material heard in mm.7-
12. The Bb triadic shape in m.29 was elaborated with sixteenth note subdivision compared to the triplet
and dotted eighth notes of m.7. M.20 and m.8 are almost identical. Kelly reused the chromatic leading
tone the third of the F7 and the Eb7 chords in mm.21-22 as he had done in mm.9-10. The descending
arpeggio over the Ab7 chord in mm.22-23 recalled the similar arpeggio in m.11. An ascending arpeggio
bridged the end of the second chorus to the top of the third as Kelly did in mm.12-13. Both of the first
choruses ended on the major third of Bb.
The accompaniment style for the second chorus was the same as the first: sparsely punctuated left hand
tritones, the only long note occurred in the last measure of the chorus.
œ B b7
œ œ œ œ œ3 œ œ
œ # œ
II
œ œ œ œ # œ
3
b . œ
3
j œ œ œ œ rœ
3
&b ‰œ # œ œ Œ œœ œ œ œ œ bœ Œ ‰ œ
œ # œ
J
3
3 3 3 7
E b7 GT: D b œ b >œ œ œ3 œ B b7
GT: Dn
œ b œ n œ œ œ b œ n3œ œ œ œ b>œ œ Œ œ # œ œ œ œ œ œ
bb
r
œ j œ
3
Œ ‰ Œ ‰ œ
#œ
& œbœ œ œ œ #œ œ œ œ œ
7
3 7 (7-9- #11-13) 7 3 3

↓
#
#œ œ . ¿ œ
F7 E b7
# œœ œœ b œœ ‰ œ n œ n œ œ
A b9 11
œ œ. œ œ
#œ
r
b b ‰ ¿ j
‰ œ bœ œ
3
œ
& J J J bœ . ˙
(7-9- #11-13)
1
3 3
The swinging groove intensified during the third chorus. Kelly emphasized beat four in mm.24-27 and
the side-stick snare responded emphasizing beat two. A Bb triad was the source for melodic material that
emphasized the major third (D) and dominant seventh (Ab) in mm.25-28. A short repeated note rhyth-
mic idea recurred several times in the chorus in m.26, m.28, m.29, m.31-32, and expanded in m.35. Kelly
turned to the Bb minor blues scale in mm.28-30; the Db in this phrase acted as the guide tone seventh of
E b7 and the minor third of Bb minor blues scale. Kelly resolved the Db back to Dn in mm.30-31. The
double stops, 4-3 “amen” suspensions and bluesy elements give this chorus a gospel blues feeling. The
third of F7 was again emphasized in m.33. A lydian dominant sound was suggested by the 7-9-#11-13
arpeggio over the Eb7 in m.34. An emphatic extension of the repeated note rhythmic idea occurred in
m.35 using the Bb triad over the Ab7, which set up the beginning of the climax. The minor blues line in
octaves began the climax to the improvisation in m.36.
The left hand accompaniment pattern shifted from dialog with the right hand to a more independent
approach. Kelly used variations of the “Charleston” rhythm placing the chords on beat one and the
upbeat of two, sometimes stressing upbeats of four and two. In m.35, Kelly shifted to the emphatic ac-
companiment style of playing both hands simultaneously.
œ Bœb7 ↓ Emphasis on beat four

œ >œ œ . . b œ >œ
III
œ
↓ ↓
b b œ œ œ #œ œ
r
œ œ Œ ‰ j ‰ j œ # œ œ . ‰ j œ œ
& œ bœ œ bœ œ ¿ œ
5
3 7
Short Rhy. idea 3 3
E b7 GT: D b B b7 Rhy.
œ j >œ œ3 œ
b œ n œ . œ b œ . œ
Rhy.
b œ b œ ¿
3 3
&b œ ¿ œ bœ œ œ r œ ‰ ‰ œ œ
b¿ œ #œ nœ œ œ œ nœ bœ œ œ œ œ
Œ ‰ Jœœœ
GT: Dn
9
Rhy. 7 3 3
#
œ nœ bœ bœ œ 3
A b9 11
E b7
> > > œ
œ œ œ œ œ œ Œ ‰ œ œ nœ bœ bœ œ œbœ
b œ œ œ bœ
F7 3
œ œ n œ
3
œ # œ
3
b
3
œ œ œ œ œ nœ œ œ œ bœ œ œ
3
& J J J
3
3 7 (7-9- #11-13) (9- #11-13)
Kelly continued the assertive and energetic accompaniment approach from mm.35-38. This passage
sounds like the climax of a big band shout chorus with the octave reinforced melody in the right hand
over the left hand playing almost identical rhythms. (The climax is shown below in ex. 18.22). The left
hand returned to the independent “Charleston” rhythm in m.40.
The Bb minor blues scale material with the lowered third and seventh contributed to the powerful cli-
max. Kelly recalled two other rhythmic devices that occurred earlier in the improvisation: the short, two
note idea from mm.26, 28, 31-32, and 35 returned in m.37; and the stress on beat four occurred again in
mm.37 and 39. The climax ended with the displaced quarter note triplet and eighth note triple in m.39.
The rapid passage in m.40 seemed to release the last bit of energy from the preceding climactic section.

œ œ œ b œ œ œ œ œ b œ œ œ œ œ n œ b œ b œ œ b œ3 n œ b œ
B b7
3
IV
b b œ n œ b œ b œ n œ œ
3
œœbœ œnœ œ ¿
&b œœ‰J œ ‰Jœ bœ œ ‰ J œ Œ œœ n¿
7 Emphasis on beat four ¿
Rhy.
To contrast with the preceding phrase, Kelly used the sparse left hand accompaniment again in the re-
maining measures of the improvisation. The insistent quality of the preceding minor blues ideas are
contrasted with the return of the extended tertian arpeggio (7-9-# 11-13) creating a lydian dominant
sound for the Eb7. The guide tone Db emphasized over the Eb7 in mm.41-42 was resolved back to Dn in
mm.42-44. The two Dn guide tones in mm.42-44 accent beat four as Kelly had done several times. In the
first two choruses, Kelly led to the An, the guide tone of F7, using an ascending Bb arpeggio, and he did
so again in this last chorus in m.44. Kelly emphasized guide tones on the downbeats of the final four
measures: the third of F7 (An), the seventh of Eb7 (Db), the seventh of Ab7 (Gb), and finally the third of Bb
(D n). The descending step line in mm.45-48 and diminishing rhythmic activity helped quiet the emo-
tional intensity and prepare for the entrance of the next soloist, Miles Davis.
GT: D b B b7
E b7
œ #>œ
GT: Dn
3
b œ œ b œ œ œ œ œ # œ
& b ‰ b œj œ œ œ œ œ bœ œ œ r œ œ . œnœ . œ Œ œ œ œ #œ œ #œ
3
œ >
# œ œ œ . œ œ
1
7 # (7-9- 11-13) 3 3
E b7 A b9 11 B b7
#
œ œ b >
œ œ œ œ bœ œ œ > >
œ œ œ œ
F7
b
3
&b œ œ œ Ó
3
œ bœ œ œ œ œ œ œ œ œ ˙
5
3 7 7 3
Ex. 18.22 illustrates how Kelly’s left hand accompaniment contributed to the high point of the improvi-
sation. Every important note in the right hand was doubled at the octave and supported with a three
note left hand voicing. The three note voicings included a seventh, third and thirteenth.
œ œœ n œ b œ b œ
18.22 Emphatic left hand accompaniment at climax of improvisation
#
A b9 11
> >> œ œ3 b œ Bœb7 œ œ b œ œœ œ œ bœ œ œ œ œœ
bb c Jœ œ œ œ œ ‰ œ nœ bœ bœ œ œ ‰ J bœ
3
& Œ œ œ ‰ J œ bœ
J J
œœ œœ œœ œœ .. œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ b œœ œœ œœ b œœ œœ œœ œœ œœ
? b c ‰ b œ œ Jœ œ . œ ‰ b Jœ œ œ œ œ œ œ bœ œ Œ nœ bœ Œ bœ nœ œ œ œ bœ
b J
5 3
A fundamental theme and variation technique is for subsequent versions of a melody to be more em-
bellished while retaining the same underlying structure. This can be found in the Chopin and Beethoven
examples on the following page.

18.23 Chopin, Nocturne in Eb, Op. 9, no. 2
œ. œ œ œ œ. œ œ œ œ œ.œœ œ. œ œ
b 12 œ . œ.
First time:
&b b 8 œ œ œ J J J
J J J
b bSecond
128 time: œ . œ œmœ n œ œ œ œ b œ œ œmœ œ œ œ œ œ b œ œ œ n œ œ œ b œ œ œ œ . œ œ Ÿœ . n œ œ œ œ œ b œ . œ .
& b œ J nœ J
J
18.24 Beethoven, variation from Movement III, Symphony no. 9

b œ œ œ
&b c ˙ œ œ
Original theme:
˙ ˙ j œ. Œ
œ. œ œ œ J
Variation:
b . œ œ œœ
& b c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œœ œ n œ œ œ œ œ b œ œ œ œ œ œ n œ œ œ œ œ œ œ œœ œ # œ œ œ œ n œ Œ
#œ
Some would be surprised to find this technique in a blues improvisation. The very similar passages from
mm.7-12 and mm.19-24 are juxtaposed in ex. 18.23. The bottom line illustrates the basic framework from
which both phrases were constructed.
18.25 Similar passages from mm.7-12 and mm.19-24 and their framework
B b7
b c ‰ œ #œ œ œ œ . œ œ >
œ # œ œ œ œ œ #>œ n œ
F7
b
3
‰ ‰ jœ œ œ
& J œ. œ œ œ œ œ œ #œ
7
b œ œ œ j œ œ #œ œ . ¿ œ
# œ
3
&b c Œ œ œ œ bœ œ œ ‰ Œ ‰ œ œ œ ‰ ¿
œ #œ œ œ J
b w w
w w
19
&b c w w w ww ww
B b7
b œ . œ >
œ # œ œ œ œ œ œ #>œ n œ
F7
# œ œ œ j œ
& b c ‰ Jœ œ œ . œ œ ‰ ‰ œ œ œ œ #œ
3
œ
b œ œ # œ œ. œ
œ œ j œ
7
& b c Œ œ #œ ¿
3
œ œ bœ œ œ ‰ Œ ‰ œ œ œ ‰ ¿
œ #œ œ œ J
b w w
w w
19
&b c w w w ww ww

MELODIC VOCABULARY
Kelly used a variety of materials for melodic sources. He kept a balance between triadic generalization,
major and minor blues lines, and specific colorizations of lydian dominant chords. The following chart
traces the melodic vocabulary measure by measure in the improvisation. A chart like this may be useful
for practicing blending different melodic approaches within an improvisation.
FIRST CHORUS
Tonic & Dominant ‘ ‘ ‘
1
Triadic Blues Scale Triadic ‘
5
Triadic ‘ Extended Tertian ‘
(Ab9#11)
9
SECOND CHORUS
Triadic ‘ ‘ ‘
13
Extended Tertian ‘ Triadic ‘
(Eb9#11)
17
Triadic ‘ Extended Tertian ‘
(Ab9#11)
21
THIRD CHORUS
Major Blues ‘ ‘ ‘
25
Minor Blues ‘ ‘ ‘
29
Triadic Extended Tertian Extended Tertian Minor Blues
(Eb9#11) (Ab9#11)
33
FOURTH CHORUS
Minor Blues ‘ ‘ ‘
37
Extended Tertian ‘ Triadic ‘
(Eb9#11)
41
Guide Tones: Guide Tones: Guide Tones: Guide Tones:
An = 3rd of F7 Db = 3rd of Eb7 Gb = 7th of Ab7 Dn = 3rd of Bb7
45

PHRASE CHART
Individual musical phrases can be short or long, and may begin before, on, or after the downbeat. The
following chart traces the phrase lengths and beginnings measure by measure through Kelly’s improvi-
sation. A chart like this may be useful for practicing contrasting phrase material.
FIRST CHORUS
Short/After Short/After Short/After Short/After *
1
Short/After Short/After Long/Before *
5
(Long/Before) Short/Before *
9
SECOND CHORUS
Short/After Short/After Short/Before ‡
13
Short/After Short/After * Short/Before *
17
(Short/Before) Short/Before ‡ Short/Before Short/Before ‡
21
THIRD CHORUS
Short/After Short/After Short/After Long/After
25
(Long/After) Short/After Long/Before
29
(Long/Before) Short/Before
33 *
FOURTH CHORUS
Short/After Short/After Short/After Short/After ‡
37
Long/After Long/Before
41
(Long/Before, cont.)
45
Kelly phrases were carefully connected. Lines often began on the same pitch or within a step of the
pitch that ended the preceding phrase. Other phrases were connected by using and developing similar
motives. In the chart above, “*” represents phrases that began on the same pitch as the ending pitch of
preceding phrases; “‡” represents phrases that began within a step of the previous ending pitch.
Wynton Kelly’s short, simple improvisation on Freddie Freeloader is a model of ingenious construc-
tion. Never loosing focus on the groove and feeling, Kelly contrasted accompaniment approaches,
melodic approaches, phrasing elements. Rhythmic and melodic motives recurred transformed, though
still recognizable, moving the improvisation to a logical conclusion. These elements were used to con-
struct a solo with a discernible emotional curve from the simple beginning to the emphatic climax, to
the restored calm of the last phrase.

BILLIE’S BOUNCE: CHARLIE PARKER

Charlie Parker’s four chorus improvisation on Billie’s Bounce was constructed using a balance of triadic
generalization and very specific outlines. The phrases were balanced, contrasting varied rhythmic subdi-
visions, phrase lengths, and the important use of space.
18.26 Melody
F Bb B°7 F7
& b c Ó Œ ‰ œj .. œ œ # œ œ œ b œ œœ œœ œœ ‰ œœ .. œœ ‰ œœj œœ œœ # œ œ œ œ b œœ n œœ œœ œœ
nœ 1
B b7
j j b œ œ œ œ ‰ Jœ œ Œ ‰ n œ œ
F7 Am 7 D7
bœ
& b Œ ‰ œ œ œ ‰ bœ ‰ œ . J œ œ #œ œ #œ
Alto 8vb
œ #œ œ
œ # œ N œ ‰ Jœ œ œ œ œ œ ‰ œj œ œ
Gm7 C7 F7 D7 Gm 7 C7
b œ ‰ J ‰ œ . œ ‰ j ..
& œ œ œ œ. œ œ
The improvisation began with an elaboration of the F major triad using chromatic passing tones. The
underlying triadic structure resembles the Shaker tune Simple Gifts (see ex. 18.28). Parker’s second
phrase began on the last pitch of the first phrase transposed up an octave. The absence of a Dn, and the
emphasis on F and C suggested Parker was still employing the F triad for the melodic structure. The Ab,
the guide tone and seventh of Bb, was the only obvious concession to the Bb7 chord, and it returned to
An in m.19. Outline no. 2 was suggested in m.21, then Parker descended to C through a chromatic passing
tone. The implications of C7 in m.22 were ignored in favor of a return to the same F triad elaboration
found in m.14. This melodic shape occurred later in a rhythmically diminished form in m.34.
18.27 Improvisation
Œ ‰ Jœ
I F F7 3
& b œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ œ œ œ œ œ bœ œ œ Œ
3 GT
Ó
Triadic:
&b œ œ œ œ œ œ œ
œ
3
B b7
œ œ œ GT
F7
GT
& b bœ œ œ œ bœ œ ∑
œ œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ
7
b n

œ œ œ b œ œ œ œ3 œ
Gm7 C7 F7 D7
b Œ ‰ œ œ œ
3
œ œ œ œ œ Œ ∑
& œ œ œ œ œ
œ œ
Outline no. 2 Triadic
&b œœœ œ œ œ œ
œ œ œ
1
Chorus two began with a oddly placed rhythmic statement of F minor blues material. The notation is an
approximation (as is all music notation) and the recording should be consulted (as with all transcrip-
tions). A triadic line returned in mm.27-28 ending on the guide tone Eb. The melody in m.28 was se-
quenced over the Bb7 in m.29 stressed all of the Bb chords tones, including the identifying third (Dn)
and seventh (Ab). The F triadic material returned in mm.30-31 with a relaxed eighth note feel.
II F7 F Minor Blues F7
& b ‰ œ ‰ bœ œ œbœ œ œ œ œ ¿ œ ≈bœ œ œ Ó Œ ‰ œj # œ œ œ n œ œ œ œ œ œ b œ œ ‰ œj

3 3 3
Triadic Outline no. 3
&b œ œ œ œœ œ
bœ
5
B b7 3
F7
GTs:
&b œœœœ Œ Ó ∑
œ œ bœ
œ œ œ
Triadic
&b œ œ œ
œ
9
After a measure of rest (m.32) Parker played the most energetic phrase of the solo. Outline no. 3 began
the phrase in m.33. The G, E and D were preceded by their leading tones. Parker implied outline no. 1
and included a b9 over the C7 in m.34. The F triadic shape heard in m.14 and 22 returned in m.34 in
rhythmic diminution. The phrase ended quietly returning to eighth note subdivisions. The ascending F
arpeggio that connected the second chorus to the third is reminiscent of the “Mannheim Rocket,” the
ascending arpeggio motive that begin works such as the Finale of the Mozart Symphony in G minor,
K.550 and the Beethoven Piano Sonata in F minor, Op. 2, No. 1.

œ œ œœ#œ œœ#œnœnœ œ
Gm7 C7 F7 D7 Gm7 C7
œœ œœ œœœbœœœ œœœœœ ‰ b œj Œ ‰ jœ œ œ
3
& b Œ#œœ œœ œ œœ œ œ
Outline no. 2 Outline no.1
œœœ œ œ
&b œ œœ œœ œœœbœœœ œ œœ œ œœœ
œ œ œ
3 Triadic
A descending step progression began in m.37 and returned to the Cn that began the phrase in m.36. The
steps did lead to the third of Bb which might suggest outline no. 3 with passing tones or outline no. 1. A
universal jazz improvisation device is to play the 3-5-7-9 arpeggio after arriving on the third of the target
chord, and this is exactly what Parker did on the Bb chord in m.38. The step line seemed to break into
two pieces as the Dn resolved to Db and the Bb resolved to An. The Db ultimately resolved to the Cn in
m.39. The upper line continued from the A to the G and on down to the C through the same chromatic
notes heard in m.37-39 (Eb-Dn-Db-Cn). That chromatic line (Dn-Db-Cn) was played in m.4 of the melody.
Bb
œ bœ œ œ œ
III F F7 3 3
&b œ œbœ œ bœ œ œ œ œ œ bœ œ œ œ œ œ Nœ œ bœ œ œ bœ œ œ œ bœ Œ
3
œ œ œ
œ bœ œ œ œ
Step progression
&b œœ œbœ œ bœ
œ œ
œœ œ bœ œ bœ œ
7
With no preparation, Parker played an Ab in m.41, an octave and a sixth above where the previous
phrase ended. The material was based on the F triad, the Ab the only concession to the Bb7 chord. The
A n is avoided in m.42, but Parker played it on the downbeat of m.43 as expected with the F chord.
Outline no. 1 began on the Cn in m. 43 and continued to the Gm7 in m.45. Two notes were necessary for
the D7, a secondary dominant (V7/ii). D7, as the V7 in Gm, must have an Eb from the key signature and
an F# as the leading tone. Both of these notes occurred significantly over the D7 in m. 44 as they did in
m.8 of the melody. Outline no. 1 was sequenced in m.46-47. The altered ninths (Db & Eb) were borrowed
tones from F minor, created a downward pull to the line and recalled the b9 of D7 in m.44. Parker con-
nected the third chorus to the fourth with a long tone suggesting a moment of repose.
B b7 ( Aø7 )
bœ œ œ œ œ bœ F7 D7 3
&b Ó Œ ‰ J œ œ œ œ . œ Œ ‰ œ œ œ œ œ #œ œ œ bœ œ œ
n
J J
b 3
œ bœ
&b œ œ œ œ œ #œ
1
Outline no. 1

œ
Gm7 C7 F7 D7 Gm 7 C7
œ œ œ œ œ œ œ œ œ œ bœ bœ œ œ œ œ œ Ó
3
&b œ œ Œ ‰ œ
‰ œ. ˙
Outline no. 1 Sequence of Outline no. 1
&b œ œ œ œ œ œ œ bœ œ œ œ œ
5
The long line that began in m.48 was constructed of short ideas landing on oddly placed rhythmic
spots. The G in m.48 was on the upbeat of one, the Ab in m.49 accented beat four, an Eb stopped the line
in m.50, the G anticipated beat one of m.51 and the C ended the line on the upbeat of three.
IV F B b7 F7
j
œ œ œ œ œ bœ
3
& b œ. œ œ œ œ œbœ ∑
œ œ œ bœ œ œ œ œ
9 GT
Parker repeated a bluesy idea heard earlier in m.17. The line was based on the F minor triad, while the
A b and Dn clearly suggested the Bb 7. The line accented beat three in m.53 and beat two of m.54. A
polyrhythm was suggested as the accents occurred three beats apart. The line in m.55 answered the blues
line and Parker resolved the Ab to An. Outline no. 1 returned in m.56 including the guide tone F#.
B b7
œ œœ œ œœ
F7 Am 7 D7
œ
F minor idea from m.17 developed
œ œ œ
3
b Œ ‰ œ bœ œ œ bœ œ œ Œ ‰ j œ œ œ œ œ œ #œ œ
œœ
3
& J œ
b n
Outline no. 1
&b œ œ œ œ #œ
3
Outline no. 3 occurred in mm.61-62. Parker added the common chromatic elaboration (G-F#-Fn-E). This
same chromatic elaboration was heard in mm.9-10 of the melody. The improvisation was brought to a
close as Parker returned to triadic generalization in the final measures, ignoring implications of the D7,
Gm7 and C7 chords.
3
Gm7 C7 F7 D7 Gm7 C7 F
& b œ œ œ œ œ œ #œ œ j
n œ # œ œ œ Œ ‰ Jœ œ œ œ œ œ œ œ œ œ . œ œ œ œ œ Œ Ó
œœ œ
Triadic
œœ œ œ œœ
Outline no. 3
&b œ œ œœ
œ
œ œ œ œ
7
7 3

The triadic shape that Parker used (a.) at the beginning of the improvisation can be found at the heart
of other melodic fragments. Lou Donaldson played almost the identical line (b.), and the Shaker song,
Simple Gifts, follows the shape without chromatic embellishment.
18.28
a. b. c.
& b c œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ nœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ Œ
3 3
&b c ˙ ˙ ˙ œ ˙ ˙ ˙ ˙ œ ˙ ˙ ˙ ˙ œ ˙
PHRASE CHART
The following chart traces the melodic approaches used by Parker in his improvisation on Billie’s
Bounce. A chart like this may be useful for practicing contrasting phrase material.
FIRST CHORUS
Triadic ‘ ‘ ∑
Triadic & GT (Ab) ‘ Triadic & GT (An) ∑
Outline no. 2 Triadic ∑ ∑
SECOND CHORUS
F minor blues Triadic Outline no. 3
Bb7 arpeggio/GT (Ab) Triadic ‘ ∑

Busy: Outline no. 2 Outline no. 1/triadic Simple Triadic/Arpeggio
THIRD CHORUS
Descending Step pro- Step progression, cont. Step progression, cont. Step progression, cont.
gression (3-5-7-9 arpeggio)
∑ GT (Ab)/Blues triadic GT (An) Modulation GTs

generalization Outline no. 1 (F # & Eb)
Outline no. 1, cont. Sequence Outline no. 1 Held note = repose
FOURTH CHORUS
GT (Ab) GT (Eb) ∑
Blues. Entrance stag- Blues line answered. GT GT (F#)
gered by dotted half (A n)
GT (Ab)
Outline no. 3 GT: 7th-3rd (Bb-An) Triadic

ANALYSIS SUMMARY
In any search for meaning, the answers can only be as good as the questions asked. More questions yield
more information and the more information helps bring the picture of the whole into better focus.
There is no indisputable paradigm for the form or approach to a jazz improvisation. Improvisations are
as unique as the artists who create them. There are many elements of music about which many questions
can be formed. Be prepared to accept the music as it is, ask the questions, accept the answers. If one tool
for analysis works, then implement it; when it becomes ineffective, replace it with another tool.
Many musical materials overlap. A common melodic outline implies the use of guide tones and may
create a step progression. An outline may be sequenced. Some lines can be at once harmonically gen-
eral and specific. Guide tones may be observed within a line based on triadic generalization.
Learn to examine more than just notes in relationship to chords. Learn to consider melodies lines as
horizontal, linear entities and avoid strict, vertical thinking. How are the phrases related? What is the
rhythmic character? The significant notes may be on the downbeats of the measure but they can be an-
ticipated and delayed. Measure lines exist only in music notation. What elements contribute to the char-
acter of the whole or parts of the improvisation? Good music theory reveals something about the way
the music sounds and suggests practical applications for implementing those concepts.
Developing Practice Materials
The book, Comprehensive Technique for Jazz Musicians, was written from materials gathered from tran-
scriptions. There are numerous examples of extracted practical musical concepts and applications for
implementing them in improvisations and compositions. These would include:
• Extract specific examples from solos. Learn in all keys. Transpose to minor. Add to, take
away and personally adapt these ideas.
• Use large scale charts of improvisational approaches in creating improvisation agendas for
practice.
• Extract rhythmic ideas to add to your vocabulary. Include contrasts between simple and
complex subdivisions, polyrhythmic ideas, displacement, etc.

Chapter 19 Expanding Harmonic Vocabulary 441
XIX.
EXPANDING HARMONIC VOCABULARY
INTRODUCTION
One challenge of life is avoiding falling into predictable patterns. This is especially true for artists. After
finding a workable vocabulary, painting techniques, concepts of form and color, and harmonic progres-
sions, too many artists continue to use and reuse the same material. Driven composers, writers and
artists continue to challenge the assumptions of their own vocabulary. This can be seen in the develop-
ment of many diverse composers: Beethoven, Stravinsky, The Beatles, Sting, and Miles Davis.
The driving force of music is rhythm and melody is the lifeline. Harmony may be secondary to melody
and rhythm, but can do much to color and propel a musical story. New harmonic possibilities often
spurs creation of new melodies. Reharmonizing a good melody may make it better or can create a con-
trasting mood. This chapter should provide a challenge to discover new harmonic sounds and intro-
duce some methods for challenging harmonic boundaries.
Chords happen by themselves only in a music theory class—in music they occur in a logical progres-
sion we call harmony. Harmony is like a sentence: a sentence has form—different types of words work-
ing together to create meaning beyond any single word in the sentence. A string of polysyllabic words
strung together does not insure meaning. Often, simple sentences work best. The same is true for a musi-
cal progression. Harmony has its own logic and grammar, and like writing, takes years of experience to
develop the skills and ears to create meaningful, balanced musical creations.
A simple melody (C–D–E or DO–RE–MI) will be used to illustrate some harmonic possibilities. There
are an infinite number of possible solutions for harmonizing these pitches; only a few will be examined.
The first example (ex. 19.1) uses common chords in a typical progression: I–V–I. Functional harmony
(harmony functioning to point to a tonic) is centuries old, still quite familiar and useful, and may often
be the best choice in a given musical setting. Some contemporary harmony relies on extensions of the
diatonic chords to further color the harmony. An extended C major becomes C major 7, C major 9, or
C major 13 #11 (ex. 19.2a). D minor becomes Dm11 (ex. 19.2b).

442 Chapter 19 Expanding Harmonic Vocabulary
19.1 19.2a 19.2b
œœœ ˙˙ ˙˙˙ # ˙˙˙˙˙ ˙˙˙ ˙˙˙

& c œœœ œ ˙˙ & ˙˙˙ ˙˙˙ ˙˙˙ ˙˙˙ ˙˙ ˙˙˙
˙ ˙˙ ˙˙ ˙
?c œ œ ˙ ?w w
A simple ii–V–I progression in F (Gm7– C7– F) can be expanded using more extended and colorful
tertian chords as in ex. 19.3.
19.3
Gm9 C9 Fm aj7
œœœ œœ b œ ˙˙
&c œ œœ ˙˙
? c b œœ œ
œ
˙
˙
A variety of ninths (9, b9, #9) and fifths (b5, 5, #5) or substitutes for the fifth (13, b13) can be added to a
dominant seventh chord. Ex. 19.4 shows a simple voicing for a G9 chord. The notes that have to remain
for the chord to be a G dominant chord are the root (G) and the third and seventh (B and F). The fifth
and ninth can be altered and the chord still be a G dominant. There are twelve combinations with the
five voices shown. There are more if you consider all the enharmonic spellings, but a #5 and b13 are the
same pitch (the difference in a musical setting is that the #5 wants to resolve up and the b13 wants to re-
solve down). The altered notes are sometimes written with enharmonic spellings (#9 = Bb instead of A#).
These extended tertian (chords built in thirds) chords provide expanded sounds used in traditional
progressions.
19.4 Possible dominants with alterations
b # b b b9
G9 G913 G9 13 G9 5 G9 5 G13 9 G7b 13
& c www www b ˙˙˙˙ # ˙˙˙˙ w

b www b www b b wwww
w w w
?c w w w w w w

b b9 #9 # #9
G7 9 G7b 5
#
G13 9 G7b 13 G7 9 G7b 5
b www b b www
& b www w b ww bw
w b b wwww w ww b www
? w w w w w w
Pointing in one direction and arriving at another is a device used by magicians, comedians, great story
tellers, and composers of music to create a surprise and maintain the interest of the audience. After
sounding chords that clearly point to one place, composers often use a deceptive resolution to this end.
The F and E7 in ex. 19.5 seem to point to A minor, but instead the progression arrives at A major. In this
context, the resolution is brighter in contrast to the previous chords in the progression. Ex. 19.6 trans-
poses the same root progression as ex. 19.5 to the key of D. The progression almost sounds like func-
tional harmony even though the A chord is not a dominant. Like ex. 19.5, the resolution to major is un-
expected and bright.
19.5 19.6
#9
Fm aj7 E7b 5 Amaj7
#
B b9 11 Am 9 Dmaj7
œœœ b œœœ ˙˙ œœ œœœ # ˙˙˙

&c œ œ
n
# # ˙˙ &c œœ œ ˙
? c œœ # œœ ˙ ? c b œœ œœ
# ˙˙˙
˙ bœ œ
Dominants that progress downward in fifths or down chromatically always sound good. Colorful alter-
ations and upper extensions of these dominants generate motion. Using bass notes a tritone away
changes little of the sound of the passage in ex. 19.7. A7 #9 b13 would become Eb9 #11, Ab9 #11 would be-
come D7 #9 b13, G7 13 b9 #11 would become C#7 #9. (see discussion on tritone substitution, chapter 6,
p.127). Ex. 19.8 shows dominants with other colorful alterations. In ex. 19.8, the roots move traditionally
in downward fifths. The root movement could be chromatic using tritone substitutions. Try this passage
with all eight combinations of tritone substitutions.
19.7 19.8
#9 b9
A7b 13
#
A b9 11 G13# 11
# #
G b9 11 F9 11
#
B b9 11
&c œœœ b œœœ n # # ˙˙˙˙ &c œ

b b œœœ
œœœ ˙˙
bœ nœ ˙ œ n ˙˙
? c œœ b œœ ˙˙ ? c b b œœ b œœ b ˙˙
œ bœ ˙ bœ œ b˙
Using parallel chords of the same quality can disguise the tonal center. The progression in ex. 19. 9 is in-
teresting because each new chord cancels out the expectations of the previous one. The Cm7 removes

the En from the Dm9; the Bb, C and Eb of the Cm9 are canceled by the Bm9. D is the only common tone
with all three chords. While ex. 19.9 was interesting from the movement of like chords, mixtures of dif-
ferent chord types are more common. Ex. 19.10 shows a mixture of major and minor ninth chords. The
key center is disguised by the mixture of accidentals. The voices in the right hand are moving parallel
and in contrary motion to those in the left hand.
19.9 19.10
Dm9 Cm 9 Bm 9 Fm aj7 Em 9 Dm aj7
& c œœœœ b œœœœ # ˙˙˙ & c œœœœ œ # ˙˙˙˙

˙ # œœœ
œ bœ
? c œœ œœ # # ˙˙˙ ? c œœ œœ ˙˙
Augmented major seventh chords can be built on the third degree of melodic minor and harmonic
minor scales. They also can be constructed from augmented scales and major scales with a flatted sixth.
The bass line in ex. 19.11 retains some of the feeling of traditional harmony, but the chords have moved
beyond being functional. Augmented major seventh chords diffuse any sense of tonality and pitch cen-
ter since the chord tones can point so many different places.
19.11
#
D bmaj7 11
#
G bmaj7 5
#
Fmaj7 5
& c œœœœ b œœœ # ˙˙˙

œ ˙
? c b b œœ b b œœ n ˙˙
Moving chords in a parallel fashion is sometimes called planing. This device was used by Debussy, Duke
Ellington, and many others. This parallel harmony, forbidden in “classical” harmony, can be very ex-
pressive. The lydian chords in ex. 19.12 move in a parallel plane and get brighter as they progress. The
D b suggests 4 flats, the Eb suggests 2 flats, and the F no sharps/no flats. As each chord sounds, flatted
notes are raised creating a brighter and brighter effect.
19.12
#
D bmaj7 11
#
E bmaj7 11
#
Fmaj7 11
œœœ ˙˙˙
& c œœœœ œ ˙
˙˙
? c b b œœ b b œœ

Ex. 19.13 begins with the same chord as ex. 19.12, but moves in contrary motion. The harmony is more
dissonant and varied than previous examples. The progression goes from bright to dark: the Db lydian
sounding chord is followed by a C minor/major 9, and then the A/Bb.
19.13
#
D bmaj7 11 Cm maj 7 A/B b
& c œœœœ œœœ # ˙˙˙

œ ˙
bœ bœ b˙
? c b b œœ œœ
b ˙˙
Some chords are created by placing one chord on top of another bass note or on top of another chord.
The resulting sound is usually called a polychord, though a true polychord is the stacking of two chords
one on top of the other. The resulting chords can be named in a traditional way but are often notated
with slashes indicating the two chords or the chord and the different bass note. A common practice is
to notate true polychords with a horizontal slash (—) with the top chord on top, the bottom chord on
the bottom, and to notate chords with different bass notes with a (/) where the first part is the chord, the
second part indicates the bass note. For example:
D
C= D triad over a C triad C/D = C triad over a D bass note
A common slash chord is created by placing the IV chord over the dominant bass note: F triad over G
in the bass (F/G). Essentially the same sound is created placing the ii7 chord over the dominant bass:
Dm7 over G in the bass (Dm7/G). The sound is a dominant ninth chord with a suspended fourth. These
chords are often notated as G7sus, G7sus4, and G9sus4, as well as the slash chord notation. The following
example shows three possible harmonizations of the melody using suspended dominant sounds. The
first (ex. 19.14.a) uses simple triads over the dominant bass notes. Ex. 19.14.b shows the minor seventh
chord over the bass note. (The chords in ex. 19.14.b are five note chords using just the notes of a penta-
tonic scale). Ex. 19.14.c uses harmonic color similar to that of ex. 19.9, but changes the bass notes. Ex.
19.14c is brighter than ex. 19.9 as the suggested mixolydian sounds are brighter than dorian.
19.14.a 19.14.b 19.14.c
F/G G/A A/B Fm7/B b Gm7/C Am 7/D Dm 9/G Cm9/F Bm 9/E
&c œœœ œœœ # ˙˙˙ œ b œœœœ n ˙˙˙˙ œœœ b œœœœ # # ˙˙˙˙

œ œ ˙ b b œœœ œ
œœ ˙˙ œœœ b œœ ˙˙
? c œœ œœ # ˙˙˙ b œœ
œ ˙ œ ˙
œ œ bœ
Ex. 19.15 is a series of simple triads over the “wrong” bass note. These chords could be labeled differ-
ently, but often the slash chord notation gets the better and quicker results from performers. Ab/A could
be called A minor major 7 #11; G/Ab = Ab minor major 7 #11, E/F = F minor major 7 #11. Notice the con-
trary motion in the outer voices. Ex. 19.16 is another series of simple triads over different bass notes.
C/Db could be called C# minor/major 7 #11, but slash chord notation would probably get better results.

19.15 19.16
A b/A G/A b E
F A b/G G/A b C/D b
œ œœœ ˙˙ œ œœœ ˙˙
&c b b œœœ œ n ˙˙
# &c b b œœœ œ n ˙˙
? c œœ b bb œœœ n˙
˙˙ ? c œœ b bb œœœ b b ˙˙
œ œ
Ex. 19.17 contrasts two chord types: the minor/major 7 and the augmented major 7, two chord types
from the melodic minor scale. There is contrary motion in the outer voices. The upper voices in ex.
19.18 are augmented triads which move in contrary motion to the bass notes. The augmented triads over
the bass notes create minor/major 7 chords.
19.17 19.18
Fm maj 7
#
E bmaj7 5 Dm maj 7 Fm maj 7 E bm maj 7 C #m maj 7
n # ˙˙˙˙
œœœ ˙
&c b œœœ œ &c b œœœ b b œœœœ # ˙˙˙
œ œ
? c b œœ b n œœ n ˙˙ ?c œ bœ #˙
œ bœ #˙
Some instances call for a mixture of voice leading as in ex. 19.19. Each separate chord could be labeled,
but for best results, write out exactly what is wanted to eliminate the confusion caused by an oddly
named or misinterpreted chord symbol.
19.19
˙
& c œœœ b œ b b œœœ n œœ œœ # œœ
bœ œ
? c œ œ bœ œ
bœ
œ
œ

Where a musical passage is located in relationship to the rest of the piece determines aspects of har-
monic choices. This phrase from a big band jazz piece, Brainstorm, occurs in two different places in the
piece. The first time it leads to more development material; the second leads back to a solo on the
form. The first time (ex. 19.20) feels completely unresolved, helping it to move the piece along. The sec-
ond time (ex. 19.21) it is stated a major third higher and feels more resolved in this context, by landing
on Bb minor/major 9.
19.20 19.21
G/A b F #/G G/F # A/F B b/B B b/B B/B b D b/A B bm maj 7
b n bb œœœœ ww
B/C
& c œœœ # # ## œœœœ œœœ n # œœœ b wwww # œœ b n œœœ n # # œœœ

# # œœ n œ # œ ww
œ œ œ
œœ œ b œ bw
? c b b œœ œœ # # œœ n œ œ # œœ n b œœ
œ
bœ œ #œ nœ nw œ b ww
nw
VOICE LEADING
Good voice leading is crucial to the success of a musical passage. Voices sound more musical when
there is smooth motion avoiding awkward leaps. If each individual voice leads smoothly to the next
point, the result sounds less like a succession of chords and more like the result of moving lines. Voices
lead smoothly in all of the examples shown in this chapter. The examples would work if played by many
combinations of instruments. The outer voices, the highest and lowest, are often in contrary motion. The
inner voices, even in the most dissonant and complex chords, often move in steps with occasional leaps
of a third. Good voice leading makes the music seamless and propels it in a linear fashion.
HARMONIC RHYTHM
Harmonic rhythm is the rhythm in which the chords change in the musical work. In a 44 piece where the
chords change every beat, the harmonic rhythm is quarter notes; every two beats = half note harmonic
rhythm; every measure = whole note harmonic rhythm. Most well crafted pieces vary the harmonic
rhythms. When chords change in rhythms that are too predictable the music may become monotonous.
These examples are shown out of any musical context. Any assortment of harmonic rhythms could be
used elongating the duration of the chords to any length. In ex. 19.22, the chords were taken from ex.
19.9 and expanded into an eight measure phrase. The melody still follows the C–D–E contour over six
measures, though extra notes have been added. A composer should examine hundreds of musical works
from a variety of composers and styles to develop a sense of harmonic rhythm and harmonic pacing.

19.22
q»¡•º
‰ j
Dm9 Cm9
œ. j œ œ œ œœ œœ ... œj ˙
&c ˙˙˙ œ œ œ œ œœœœ ˙˙˙˙ b œ œ b œœ ˙˙ ˙œ˙ œ œ bœ œ bœ
J J J
? c ˙˙˙ œœ ˙˙ .. bœ œ . bœ ˙ ˙˙
Œ ‰ œ ˙. ‰ œœ œœ .. œœ ˙˙ ˙ Ó
J J J
b9
A bm 9 D b13# 11
j
œœœ ‰ œ # œœ œ œ b b œœ Œ j
Bm 9
& œœ # œ‰ # œœœ ˙˙˙

b b œœ ‰ n b œœ ˙˙ ˙˙ .. Œ
œ ˙ œ œ n n œœ ˙˙ ˙˙ ..
J
? # # œœ ‰ œœ ˙˙ ˙˙ # # œœ
‰ bb œœ Œ ‰ b œœ ˙˙ ˙˙ .. Œ
œ œ ˙ ˙ œ J
J J
MIXTURE of HARMONIC COLORS
The major/minor harmonic systems depends on employing different chord types to propel the music.
In the typical progression, ii7-V7-I (Dm7-G7-C), three chord types may be employed: minor seventh,
dominant seventh, and major. Music can be interesting utilizing only one type of chord, but most of the
music we hear is composed of some variety of chord types, even if only two: major and minor. Many
best-selling pop and rock tunes only use major triads (IV-V-I = F-G-C, or sometimes Bb-F-C); many blues
tunes utilize only dominant sevenths; and there are several compositions which use only minor sevenths
or other single chord types exclusively. Claude Debussy and Duke Ellington used parallel chords of the
same quality effectively, but never for the entire piece. Mixing the chord types to create a progression
that is meaningful, that can tell a story, create drama and tension, is the life mission of many com-
posers. Aspiring composers should examine hundreds of compositions from many style periods and
composers to gain a sense of timing and purpose. Ask questions of the music. When did the chords
change, how often, and at what pace? What were the different densities and their relation to the overall
shape of the piece. Densities will be different from composition to composition. What may be a disso-
nance and intense harmonic moment in a Baroque piece should be compared to its own context and
not to chords found in Stravinsky, Messiaen or Schwantner compositions.
Some composers have used formula, even serialist techniques to arrive at a varied harmonic progres-
sion. Alternating chord types is one such device used by many composers. Some of the examples in this
article alternate from one chord type to another and back to the first.
In the introduction to Passenger (University of North Texas One O’Clock Lab Band, Lab ’88) several
devices were used to attempt to make the music interesting, varied and moving. The first two phrases in
the introduction employ alternating major ninth and minor ninth chords. The third and fourth phrases
use more complex sonorities which drives the music forward, creating more tension by the densities of
the chords. The first phrase, ex. 19.23, begins with a major ninth chord and then alternates (M-m-M-m-
M-m). The second phrase, ex. 19.24, begins with a minor ninth and then alternates (m-M-m-M-m-M).
The melody for the second phrase is the same as the first, but transposed down a major third. The first

two phrases are orchestrated for the brass section in a slow chorale style, shown here in a piano reduc-
tion.
19.23 Bert Ligon: Passenger

B bm aj7 F #m9
œœ j
Fmaj7 Cm9 Bm aj7 Gm9
&c œœ # ## œœœœ .... œœœ b œœœ œ www

œ b œ # # # œœœ w
j
?c œ œ. œ œœ # œ bw
b œœ # # œœ .. n n œœ œ
# œœ ww

Cm9 Fmaj7 Am9 Dm aj7 F #m9 Bm aj7
œœœ n œœ œœ # # œœœ
&c b
b œ n œœ œ # .
œœ # # œ # œœœ # # ˙˙˙˙ ...
œ œœ # œ
? c œœ œœ # ## œœœ # # ˙˙˙ ...
œ œ œœ
The melody for the third phrase, ex. 19.25, is the melodic inversion of the first phrase: what intervals as-
cended before now descend and vice-versa. The chords are much more dense and have more variety:
polychords, augmented major sevenths, lydian major sevenths. The phrase ends with a minor chord
with major seventh and an augmented eleventh, or viewed another way: Ab major over A minor.

F #/G G/F #
#
E bmaj7 5
# #
Dmaj7 5 Fmaj7 11
#
Emaj7 11 A b/A
&c #œ œœ œœ # # œœ œœœ #
# # # ˙˙˙˙ b bb ˙˙˙˙
# # # œœœ œœ œœ # # œœ œ
?c œ œ #˙ ˙
#œ bœ œ ˙˙
œ #œ bœ œ n œœ ˙˙
The piano plays the next section which begins to set up the time feel for the piece (fast swing). Ex. 19.26
shows the harmonic framework for the fourth phrase. Augmented triads descend over ascending bass
lines creating a planing effect of minor/major sevenths chords. The last sounds are parallel diatonic
chords from D harmonic minor with bass notes a fifth below: F maj7#5/Bb — Eø7/A.


E bm maj 7 F #m maj 7 A bm maj 7 Bm maj 7 C #m maj 7 Em maj 7
#
Fm aj7 5/B b Eø7/A
& c b b œœœ # œœœ n b n œœœ # # œœœ # œœœ # n œœœ # ˙˙˙˙ b wwww

? c bœ #œ bœ œ
#œ bœ œ #œ œ b ˙˙ ww
bœ
Some interesting chords can still be derived from ancient scales. Even Stravinsky’s shocking chord from
Rite of Spring is constructed with notes from Ab harmonic minor (Ex. 19.27).
19.27 Stravinsky: Rite of Spring
Eb7 over Fb chord: Built using all the tones of the Ab harmonic minor scale
b b ˙ b ˙ n˙ b˙
& b b 24 b œœ œœœ b˙ b˙ b ˙ b ˙
œœ œ œœœœ œœœ
œ b œœœœ œœœœ œœœœ œœœ
œ
? b 24 b b œœ œœ œœ œœ b bb œœœœ œœœœ œœ œœ
b b b œœ œœ œœ œœ œœ œœ
Review the previously shown examples for harmonic variety. The following examples used alternating
chord types: Ex. 19.1, 5, 10, 17, 23, and 24. The following examples used similar or same chord type: Ex.
19.7, 8, 9, 12, 14, 15, 18, and 26.
TYPES of MOTION
There are four possible types of motion between a pair of voices:
• Parallel: parts move in the same direction with the same constant interval types. Can be ef-
fective in short passages, tedious over longer periods. Makes the distinction between the two
lines difficult to discern.
• Similar: parts move in the same direction with different interval types. Similar to parallel,
but less dependent.
• Oblique: one part moves and the other remains stationary. Can be pleasing for short pas-
sages, but eventually the voices will both want to move, and move independently.
• Contrary: one part moves up and the other down. Typically the most interesting, because it
clearly defines the independence of the two voices.
It is best to begin with just the outer voices when creating harmonic passages. Good relationships be-
tween the outer voices may be enough to make the passage interesting. If the outer voice are interesting,
then try different qualities of chords to create the inner voices.
Review the previously shown examples for types of motion. The following examples had contrary
motion: Ex. 19.1, 19.3, 19.5, 19.13, 19.14.c, 19.15, 19.17, 19.18, 19.19, 19.20, 19.21, and 19.26. The following
examples had combinations of contrary and similar motion: Ex. 19.6, 19.8, 19.11, 19.23, 19.24, and 19.25.
The following examples had parallel or similar motion: Ex. 19.12, 19.14.a, 19.14.b, and 19.16.

CREATING with NEW VOCABULARY
Here are a few suggestions on applying these and other sounds. Remember, part of creativity is taking
chances and being playful.
• Don’t dismiss chords that sound ugly to you at first. Some chords dismissed now as useless may
become very good friends later.
• Trust your ears to hear where the chords want to move.
• Follow a simple step-line that can be elaborated later.
• Always consider voice-leading. These sonorities should sound like voices in motion, not unre-
lated chords in some sequence.
• Keep densities and colors consistent. Chords should be in company of related sonorities. If the
vocabulary is basic I-IV-V functional harmony, a wild mystery chord might sound inappropriate.
In a context of dissonant polychords, resolving to a major triad might sound foolish. Jackson
Pollock and Norman Rockwell paintings probably would not hang together on the same wall. On
one end of a scale you have simple, basic functional chords and complex polychords on the
other. Music based on simpler chords will probably not venture too far to the side of the com-
plex chords and vise-versa. Harmonic passages using chords falling on the scale between the
simple functional chords and the more complex contemporary chords may venture into the
ancient and to the contemporary ends of the scale. It takes some practice and a critical ear to
compose music with harmony that sounds like it goes together. Surprise resolutions should have
a sense of inevitability.
• Remember that any pitch can be a the root, 3rd, 5th, 7th. 9th, 11th, or 13th with any number of
alterations. The note “C” can be any of the following:
Melody Root of 3rd of 5th of 7th of 9th of 11th of 13th of

Note
C C chords A or Ab F or F# D, D#, or B or Bb G or Gb E or Eb
chords chords D b chords chords chords chords
• Work with short phrases at first. Don't try to conceive 32 measures of constantly moving har-
mony. If a short passage works, try sequencing it at another pitch level, or trying similar har-
mony.
EAR TRAINING
It is easier to write what you can hear, so step one must be to train your ears to recognize more sonori-
ties. There were not that many different chord types used in this chapter to learn.
• Learn the basic chords—major triads: can you hear them? imagine the sonority? can you rec-
ognize them in different contexts? Move on to minor, diminished, augmented chords.
• Learn the most common chords derived from major and minor (harmonic) scales: major, ma-
jor 7, minor, minor 7, dominant 7, half-diminished 7 (ø7), diminished 7 (°7).
• Enhance those basic sounds by learning chords with added notes and extensions: (major 9, ma-
jor 6/9, major 7 #11, minor 9, minor 6/9, dominant 9/13, dominant 7 with altered 9ths (b9, #9) al-
tered fifths (b5, #11, 13, b13, #5).
• Learn chords derived from other scales such as melodic minor, major with a b6, diminished,
augmented: (minor major 7, ø7 #2, major 7 #5).
• Learn “mystery” chords and polychords (chords superimposed on one another).
• Take new chords one at a time, play them in different keys, or on different pitches until you are
familiar with their sound.

POSSIBLE HARMONIZATIONS of the PITCH “C”
19.28 Harmonization with major seventh chords

A bm aj7 Fmaj7 D bmaj7 B bmaj7 G bmaj7 E bmaj7
&c w wwww w www w www

b www w b b wwww ww b b wwww w
bw
? c b b ww
bw
w
ww b b ww b ww b b ww b b www
19.29 Harmonization with minor ninth chords

Am9 Fm9 Dm9 B bm9 Gm9
&c ww w www w www

ww b b wwww w b b b wwww ww
ww ww
? c ww bw
ww w bw
bw
ww
w
b5
19.30 Harmonization with dominant seventh chords
#9 #9
C13 C7b 13 A b13 F13 D7b 13 D9 D7b 9
& www w
b b ww
ww ww
w
b www ww b ww
w bw
w
# www
? b www ww ww ww
w bw b ww w w
bw w

b9
19.30 Harmonization with dominant seventh chords
#9 #9
b
B b13 B b9 13 B b9
b
B13 9 B7 alt. A7b 13
b
E b13 9 E b13# 11 E7b 13
& www b www ww

w
w
b b ww
ww
w
n www www w
n # www
ww
w
#w
ww b ww b ww
? bw bw bw # www # www bw bw n # ww
bw bw bw w
19.31 Harmonization with lydian dominant seventh chords

#
C9 11
#
B b9 11
#
G b9 11
#
E b9 11
# wwww ww
&c w www
ww b b www
b ww
? c b www b ww b b ww bw
bw bw
19.32 Harmonization with augmented major seventh chords

#
A bmaj7 5
#
Em aj7 5
#
D bm aj7 5
&c ww w www
ww b b www w
?c w bw
bw

19.33 Harmonization with half diminished chords

#
Dø7 2
#
B bø7 2
#
Gø7 2
& c www b b b wwww w

b www
?c b wwww bw b ww
bw
19.34 Harmonization with dominant suspended chords.

(Sometimes notated as C/D Am7/C, Am9/D)
C7sus F7sus D7sus B b7sus G7sus E b7sus
& c www w
b ww
ww
w
w
b b www
www
w
b
bw
www
? c b www b www ww b ww ww b b ww
w bw w
19.35 Harmonization using Poly or Slash chords

C/D b C/B A b/A A b/G F/G b F/E
&c ww ww w w www www

ww ww b b www b b www w w
? c b b ww w n nn www ww
w b bb www w
w w
19.36 Harmonization with True Polychords and Extended Tertian chords

Ab D bmaj7 #5
Db Gb
C F E aug. Fm
A F aug F #m Dmaj7 #5
&c ww w www # www b www www

ww b b www w bw
#w # www
? c b b www n n ww bw
b b ww # # www # # www

Chapter 20 Summary 455
XX. CODA
The development of jazz improvisation vocabulary is many ways mirrors the development of Western
art music. A great deal of jazz is based on the major/minor key systems common to music of the
Baroque through late Romantic periods. As the jazz art form grew, some jazz artists, as many composers
in the late nineteenth and early twentieth centuries, felt the major/minor systems had been exhausted. It
became increasingly more difficult to compose music that expressed their originality. Jazz composers
and improvisers began to use different harmonic materials imposed over the major/minor systems, and
later to create new music with harmonic progressions that did not function in traditional ways. Many
jazz artists throughout the history of jazz were influenced by non-jazz music of the twentieth century try-
ing to find ways to in corporate the sounds borrowed from Stravinsky, Bartók, Ravel, Debussy, and the
unusual methods for constructing music borrowed from Schoenberg, Cage, Boulez, and others.
Tonal music is not dead, and the evolution of jazz is yet completed. Jazz, as this book is written, still re-
flects a wide spectrum of musical expressions. Jazz has always been a melting pot of styles: African
rhythms and performance practices fused with European harmonic vocabulary, forms and instruments.
Jazz influenced popular music and in turn has borrowed from popular and folk music, world and ethnic
music, and even American country and western.
Students are often surprised at how much jazz theory is practical “real time” applications of traditional
theory. To grow as an artist, keep your ears, eyes and mind open. Learn from what ever sources are at
tractive. Bach, Beethoven and Mozart are invaluable sources of melodic invention, as is the music of all
cultures. Art Tatum was one of the greatest pianists in the world. There is a story about him visiting some
bar where a mediocre pianist was playing. One of Tatum’s entourage suggested they leave because pi-
anist was uninteresting. Tatum wanted to stay because he heard the one thing the pianist really did well.
This may have been why Tatum was such an exceptional musician: he consistently found the one thing
that someone did well and learned from it. Find those attractive things in music and learn from them.
If music is a vehicle for expression, then music theory should provide tools and resources to expedite
the search for what ever is needed to bring those expressions to life.

456 Appendix I Reference for Chord/Scale Relationships
Appendix I.
Reference for Chord/Scale Relationships
The chords in the following chart are sorted by single identifying pitches Triads may have perfect, di-
minished or augmented fifths; triads with perfect fifths can have a major or a minor third; a triad with
major third may have a minor or major seventh, and so on.
Fifth P5 d5 A5
Third M3 m3 m3 M3
Triads Major Minor Diminished Augmented
M7 m7 M7 m7 m7 d7 M7 m7
7th Maj7 Dom7 m maj7 m7 ø7 °7 maj #5 7#5
chords
7sus °maj7
9th Maj9 9 (n5) m maj9 m9 ø7#2 °7 with rare 9#5
chords & added
beyond tones*
Maj76/9 9 (13) mmaj7 6/9 m11
Maj7(#11) 7 b 9 (n5) m 6/9
Maj7 7 b 9 (b13)
# #
( 11/ 9)
7 #9 (n5)
7 #9 (b 13)
9 (#11)
7 (b 9 b 5)
7 (b 5 #9)
13 (b 9)
13 (#9)
9 (b 13)
13 (#11b 9)
9sus
7susb 9
*(usually a whole step above one of the chord tones, ex. E°7 with F#, A, C, or D# added)

Appendix I Reference for Chord/Scale Relationships 457
There are many shorthand symbols for chords. There is no single agreed upon standard so one should
be familiar with and expect to find a number of possibilities. Here is a partial list of symbols you may
encounter:
C major 7 = Cmaj7, Cma7, CM7, C∆7 (C∆ can also mean just a major triad). In some parts of
the world the triangle is unknown. “M” can cause problems depending on the accuracy of pen-
manship. Rehearsals have stopped to measure the size of the “M’s” to determine major or mi-
nor. The “maj” abbreviation is clear. C6 may be encountered in older music, and means C ma-
jor with an added sixth. C6 does not mean C13, as C13 implies a dominant seventh chord. A C2
chord indicates the root, second and fifth but may often be in first inversion as C2/E.
C minor 7 = Cm7, Cmi7, Cmin7, C–7. The “–” sign can be ambiguous, the “mi” and “min” un-
necessary. Using “maj” for major and “m” for minor and staying consistent should insure your
symbols are clearly understood. A Cm6 means a minor chord with an added major sixth. If a
minor sixth is wanted above the minor chord it may occur as: Cmb6, Cm#5 (even though by def-
inition a minor chord has a perfect fifth), or Ab /C. Cm6/9 indicates a major sixth and major
ninth added to the chord.
C half-diminished = Cø7, Cm7b5, Cmin7 b5, C–7b5. This chord is found naturally in both the
major and harmonic minor scales. Showing it with an alteration is unnecessary when there is a
symbol (ø) which means half-diminished. The 7 is redundant, since this chord cannot half-di-
minished without the seventh, but is common practice to include it in the symbol.
C minor major 7 = Cmmaj7, Cm∆7, C–∆7. I would try to avoid the triangle and the “-” and use
the “m” for the minor third, and the “maj” to refer to the seventh. Try to separate the two to
avoid “mmaj7.” A Cmmaj 76/9 indicates a major sixth and major ninth added to the minor ma-
jor seventh chord.
Slash Chords: Some chords are created by placing one chord on top of another bass note or
on top of another chord. The resulting sound is usually called a polychord, though a true poly-
chord would only be the stacking of two chords, one on top of the other. These chords can be
named in a traditional way but are often notated with slashes indicating the two chords or the
chord and the different bass note. A common practice is to notate true polychords with a hori-
zontal slash (—) with the top chord on top, the bottom chord on the bottom, and to notate
chords with different bass notes with a (/) where the first part is the chord, the second part indi-
cates the bass note. For example:
D
C= D triad over a C triad C/D = C triad over a D bass note
Raised notes (#) should be shown with the universally understood musical sign “#.” Raised notes
may occur as “+” so that C7 with a raised ninth may appear as: C7#9, C7+9, and even the C7 9+.
The plus sign is often misread as “add,” so that C7+9 could be interpreted as C7 add a ninth
(D#) when someone meant a D#. The “+” sign could also refer to the fifth so that someone may
interpret the C7+9 or C7 9+ as a C9 chord with a raised fifth.
Lowered notes (b) should be shown with the universally understood musical sign “b” Lowered
notes may occur as “–” so that C7 with a lowered ninth may appear as: C7 b9, or C7 –9, and even
the C7 9–. In music notation # means raise and b means lower so these symbols are preferable to
the (+) and (–).
Extensions: When discussing scales use numbers 1-7 or 1-8. When discussing tertian chords use
the odd numbers: 1-3-5-7-9-11-13. The sixth degree of the scale in a chord is the thirteenth, so C
13, not C6; C9 #11, not C9 #4.

CHORD/SCALE RELATIONSHIPS
SCALES
SCALES FORMULA
1 Major W W 1/2 W W W 1/2
2 Harmonic Minor W 1/2 W W 1/2 A2 1/2
3 Melodic Minor W 1/2 W W W W 1/2
4 Major with a b6 (Harmonic Major) W W 1/2 W 1/2 A2 1/2
5 Diminished (1/2 Whole)
6 Diminished (Whole 1/2)
7 Whole Tone WWWWWW
8 Augmented minor 3rd 1/2 m3 1/2 m3
1. 2. 3.
& ˙ ˙ ˙ ˙ ˙ ˙ ˙ ˙ & ˙ ˙ b˙ ˙ ˙ b˙ n˙ ˙ & ˙ ˙ b˙ ˙ ˙ n˙ n˙ ˙
4. 5. 6.
& ˙ ˙ ˙ ˙ ˙ b˙ ˙ ˙ & ˙ b˙ b˙ n˙ #˙ n˙ ˙ b˙ ˙ & ˙ ˙ b˙ ˙ #˙ #˙ ˙ ˙ ˙
7. 8.
& ˙ ˙ ˙ #˙ #˙ b˙ ˙ & ˙ #˙ ˙ ˙ b˙ n˙ ˙
Diminished scale is like a diminished 7 chord with leading tones to each chord tone and an augmented
scale is like an augmented triad with leading tones to each chord tone.
Diminished Scale Augmented Scale
& œ b˙ #œ ˙ #œ n˙ œ b˙ & b˙ nœ ˙
#œ ˙ œ

CHORDS with SCALE SOURCES:

1 Major 7 Ionian; 1st mode Major n4, 7
2 Major 7 Lydian; 4th mode Major #11
3 Major 7 6th mode Harmonic Minor #9, #11
4 Major 7 Major with a b6 b6 or b13
5 Major 7 Augmented Maj/Min3, 5, #5 or b6
1. 2. 3. 4. 5.
& ˙ œ ˙ œ ˙ œ ˙ œ ˙ œ ˙ #œ ˙ œ ˙ œ ˙ #œ ˙ #œ ˙ œ ˙ œ ˙ œ ˙ œ ˙ bœ ˙ œ ˙ #œ ˙ ˙ bœ ˙ œ

6 Minor 7 Dorian; 2nd mode Major Major 6, m3
7 Minor 7 Aeolian; 6th mode Major b6, b3
8 Minor 7 Phrygian; 3rd mode Major b2, b6
9 Minor 7 4th mode Harmonic Minor #4
10 Minor 7 b b
Dorian 2; 2nd mode Melodic 2
Minor
6. 7. 8. 9. 10.
& ˙ œ b˙ œ ˙ œ b˙ œ ˙ œ b˙ œ ˙ bœ b˙ œ ˙ bœ b˙ œ ˙ bœ b˙ œ ˙ œ b˙ #œ ˙ œ b˙ œ ˙ bœ b˙ œ ˙ œ b˙ œ

11 ø7 Locrian; 7th mode Major b5, b2
12 ø7 2nd mode Harmonic Minor b5, b2
13 ø7 # #
Locrian 2; 6th mode of Melodic 2
Minor
14 ø7 2nd mode Major with a b6 #2
11. 12. 13. 14.
& ˙ bœ b˙ œ b˙ bœ b˙ œ
bœ b˙ œ
b˙ nœ b˙ œ
œ b˙ œ
b˙ bœ b˙ œ
œ b˙ œ
b˙ nœ b˙ œ
˙ ˙ ˙


15 Minor/Major 7 1st mode Harmonic Minor b6
16 Minor/Major 7 1st mode Melodic Minor n6
17 Minor/Major 7 4th mode Major with a b6 #11
18 Minor/Major 7 Augmented Maj/Min3, 5, #5
15. 16 17. 18.
& ˙ œ b˙ ˙ bœ ˙ œ
œ b˙ œ ˙ nœ n˙ œ
œ b˙ #œ ˙ œ ˙ œ
˙ bœ ˙ œ
œ
˙ ˙ ˙ b˙ nœ

19 Major 7 #5 3rd mode Harmonic Minor #5, n4
20 Major 7 #5 3rd mode Melodic Minor #5, #11
21 Major 7 #5. Major with a b6 n5, b13
Major 7 b6 or b13
22 Major 7 #5 6th mode Major with a b6 #5, #9, #11
23 Major 7 #5 Augmented Maj/Min3, 5, #5
19. 20. 21. 22. 23.
& ˙ œ ˙ œ #˙ œ ˙ œ ˙ œ ˙ #œ #˙ œ ˙ œ ˙ œ ˙ œ ˙ bœ n˙ œ ˙ #œ ˙ #œ #˙ œ ˙ œ ˙ #œ ˙ ˙ bœ ˙ œ

24 Diminished 7 7th mode Harmonic Minor Traditional sound
25 Diminished 7 Diminished W 1/2 Tones whole step above each chord
member available
26 Diminished 7 7th mode Major with a b6
27 Diminished 7 6th mode Major with a b6
24. 25. 26. 27.
& #˙ œ ˙ œ ˙ œ b˙ #œ #˙ #œ ˙ #œ ˙ œ b˙ nœ #œ #˙ œ ˙ #œ ˙ nœ b˙ #œ b˙ ˙ œ ˙ œb˙ œ bœ


28 Dominant 7 Mixolydian; 5th mode Major n9, n5,13
29 Dominant 7 5th mode Harmonic Minor b9, b13
30 Dominant 7 5th mode Major with a b6 13, b9
31 Dominant 7 3rd mode Major with a b6 b9, #9, b13, n5
32 Dominant 7 Lydian b 7; 4th mode Melodic 9, #11, 13
Minor
33 Dominant 7 Super locrian; 7th mode Melodic b9, #9, b13, b5
Minor
34 Dominant 7 Mixolydian b6; 5th mode Melodic b13
Minor
35 Dominant 7 Diminished 1/2 W 13, b9, #11
36 Dominant 7 Whole Tone 9, #5
28. 29. 30. 31. 32.
& ˙ œ ˙ œ ˙ œ b˙ œ ˙ bœ ˙ œ ˙ bœ b˙ œ ˙ bœ ˙ œ ˙ œ b˙ œ ˙ bœ bœ b˙ ˙ bœb˙ œ ˙ œ ˙ #œ ˙ œ b˙ œ
33. 34 35. 36.
& ˙ bœ bœ b˙ bœ bœ b˙ œ
˙ œ ˙ bœ b˙ œ
n˙ #œ ˙ œ b˙
œ
˙ #œ #œ b˙
œ
˙ œ ˙ bœ bœ ˙ œ

SCALES with DERIVED CHORDS:
MAJOR SCALE CHORD TYPES

1st Major 7
2nd Minor 7
3rd Minor 7
4th Major 7
5th Dominant 7
6th Minor 7
7th ø7
C Cm aj7 Cmaj9 C 69maj7 C6 C2 C2/E Dm Dm7 Dm9 Dm 11 Em Em7
ww ww www www w ww www ww

& www w ww www
ww w w w w ww w www w
?w w ww w www
w w w w w w w w w w w
F Fmaj7
#
Fm aj9 Fm aj7 11 G G7 G9 G13 G7sus4 G9sus4 G13sus4
www ww ww ww www
& www ww
w
ww
w www www
w w w w ww
w
www
w w
w
ww ww ww ww ww ww ww
?w w w w w
Am Am7 Am 9 Am11 B° Bø7 Bø711

w ww ww www ww
& ww w w w ww w w
w ww
ww ww w
?w w
w w w

HARMONIC MINOR CHORD TYPES

1st Minor (major 7)
2nd ø7
3rd Major 7 #5
4th Minor 7
5th Dominant 7
6th Major 7
7th °7
Cm Cm maj 7 Cm maj 9 D° Dø7 Dø711 E baug

#
E bmaj7 5
w
b n www b n www b www
& b www b ww ww
b www w www w
? b ww bw bw
w w w w w
b b9 b
G7 9 G7b 13 G7sus 9
b b www
Fm Fm 7 Fm9 G G7 G7sus4
b www w w n www n www b www ww b wwww

& b b ww b ww w
? w w b ww w w n ww n ww w w
# 11
Ab A bmaj7 b # A maj7# 9
b Ab
9 G
b b www
b ww
A maj7 B° B°7 B°7(add G)
www n www
b n wwww
& w n w w ww
bw ww b ww bw
? bw bw bw b ww b b www ww
w w

MAJOR with a b6 CHORD TYPE

(Harmonic Major)
1st Major 7
1st Major 7 b6
2nd iiø7
3rd Dominant 7
(#9, b9, b13, n5)
4th Minor (major 7)
6th Major 7 #5
6th °7, °maj7
7th °7
#9
b # E7b 13
Cmaj7 6 Dø7 2
www E7alt.
ww
& ww b ww
www
w w
b ww w
? ww b www # www # www
w
Fm maj 7
#
Fm maj 9 Fm maj 7 11 F°m aj9
Em b
G13 9
b www
Fm
& w b n www w www b ww

ww ww w
? w b ww b www b ww b www w
w
#
A bm aj7 5 G/A b A b°maj7 B°7 B°7(add E ) B°7(add G)
& www ww ww w w
w w b ww b ww b ww
? www ww
bw bw bw w

MELODIC MINOR CHORD TYPE

1st Minor (major 7)
2nd Minor 7 (b9) or 7susb9
3rd Major 7 #5
4th Dominant 9 #11
Lydian dominant
5th Dominant 9 b13
6th ø7 #2
7th Dominant 7
(#9, b9, b13, b5,)
Cm Cm maj 7 Cm maj 9 Aø7/D

#
Aø7 2/D E baug
#
E bmaj7 5
w w
& b www b n www b n www b www b www b www ww
w
? ww ww
w w w w bw bw
#
F9 11 G9 b 13
#
Aø7 2 B7alt.
www b ww www www

& bw w bw bw
? ww ww ww w
w
1/2W DIMINISHED CHORD TYPE

Dominant 7
(b9, #9, n13, #11)
# 11 # 11 b9 b9 #9
b
C7 9 C7b 9 C7# 9 #
C13 11
#
C7 9 #
C13 11
w
& b ww
bw b b # www # b # www b b # wwww b # ww # # www
? ww ww ww ww ww b b wwww
w

W1/2 DIMINISHED CHORD TYPE

°7, °7 with added notes
C°7 C°7(add B ) C°7(add D) C°maj7(add D) C°7(add F ) C°7(add A b)
w w
& b # ww b # www b # ww b # www n ww b b www
w w
? w w w w b # www # www
w w w
WHOLE TONE CHORD TYPE

Dominant 7 (9, #5)
#
C7 5
b
C7 5
#
C9 5
##
C9 5 11
# ww
& # ww b ww # www # ww
? b ww bw
w
bw
w
bw
w
AUGMENTED CHORD TYPE

Major 7 #5
Major 7
minor (major 7)
#5
#
B aug.
Cmaj7 5 Cm maj 7 Cmaj7# 9 C aug.
& # ww b www # # www # www

w
? w w # www
w w

Appendix II Elaborations of Static Harmony 467
Appendix II.
Elaborations of Static Harmony
Diatonic and chromatic elaborations may be introduced in the accompaniment or in the melodic im-
provisation that introduces more motion than implied by the static harmonic implications. Several
common elaborations are cataloged in this appendix.
ELABORATIONS of ii7-V7 PROGRESSIONS
This is the most common shown over ii7-V7-I in C major. A chromatic line is inserted beginning on the
root of the ii7 chord which moves down to the third of the V7 chord.
II.1 Traditional
‰ œœj ‰ j ‰ œœj ‰ j œœ ..
Dm7 G7
& c ˙˙˙ ˙ ˙ ˙ .. .. œœ
# ˙˙ n ˙˙ n ˙˙ œ #œ nœ œ œ
?c w ˙ .. .. j œ œ œ ˙ ..
˙ œ œ
œ.
II.2 Traditional
Dm7 G7
& c ˙˙˙ ˙ ˙ ˙˙ .. .. œ œ œ œ œœ ..
# ˙˙ n ˙˙ n˙ œ #œ œ œ nœ œ œ œ œ
?c w ˙ .. .. j œ œ œ ˙ ..
˙ œ œ
œ.
II.3 Ex. 10.56a from Chapter 10
b
B m7 b
E 7
b
& b bb c
3 3
œ œ œ œ œ nœ œ œ œ œ œ #œ œ œ ˙

468 Appendix II Elaborations of Static Harmony
II.4 Ex. 10.55 from Chapter 10
Gm7 C7 F
bœ
& b c œ œ œ ¿ #œ ¿ nœ œ œ œ œ œ bœ œ œ œ œ Œ Ó
3
II.5 Ex. 10.59 from Chapter 10
#
Em7 A7 D
& # c œ œ œ #œ œ œ nœ œ œ œ œ œ œ œ œ bœ œ œ Œ Ó
Several examples of this type of elaboration occurred in the improvisations of Cannonball Adderley
and Charlie Parker shown in chapter 18.
ELABORATIONS of a C MAJOR CHORD USUALLY as TONIC (I)
II.6 5-#5-6-b6 over two measures
.. œ ≈ œ œ œ # œ ≈ œj .. œ œ œ ≈ œ œ œ b œ ≈ œj .. œ œ ..
C
& c ˙˙˙ # ˙˙˙ ˙˙ b ˙˙ ..

˙ ˙ œœ œœ œœ œœ œœ œœ . œœ œœ œœ œœ œœ œœ œœ œœ . œœ œœ
?c w w .. .. ..
œ. œ œ œ œ. œ œ œ
œ œ
II.7 5-#5-6-b7 over four measures as the first four measures of blues
C C7 F
& c www # www ww b ww ww

w w w
?c w w w w w
II.8 5- # 5-6- b 7 implied in melodic line over the first four measures of blues from Tete
Montoliu
j j j
F F7
bœ ˙ .
& b c ‰ œJ ‰ œ œ œ ‰ b Jœ Œ ‰ œ œ œ ‰ n Jœ Œ ‰ œ œ œ ‰ J Œ

II.9 5-6-7-6 diatonic elaboration

C
& c ˙˙˙ ˙˙ ˙˙ ˙˙ ..
˙ ˙ ˙
?c w w ..
II.10 R-7-6-7-R-7-b7 diatonic elaboration over first four measures of blues leading to IV.
C C C C7 F
& c ˙˙˙ ˙˙ ˙˙ ˙˙ .. ˙
˙˙ ˙˙ ˙˙ ˙˙ ˙
˙˙ ˙˙ b ww ˙˙
˙ ˙ ˙ ˙ ˙ ˙ ˙ w ˙
?c w w .. w w w w w
II.11 Two chromatic lines implied: 1-2-#2-3 & 3-4-#4-5
&c ˙˙ œœœ # œœœ www

˙˙ œ # œ w
?c w w
II.12 Several chromatic elaborations

1-2-#2-3 3-4-#4-5 Combined 3rds: 6ths: 6ths:
˙ œ # œ ww ˙ œ # œ b ww
C C C C C7
& c ˙ œ #œ w ˙ œ #œ w ˙˙ œœ # # œœ ww ˙ œ# œ ˙bœn œ
?c w w w w w w w w w w
II.13 3-4-#4-5 implied by melody

C
& ˙ œ œ œ ˙ œ œ œ #˙ œ bœ ˙ Ó
:

II.14 Bluesy chromatic elaboration over C7
œ œ b œ . .
œ # œ œ œ œ # œ œ œ œ b œ œ
& œœ œ # œ œ œ # œ œ b œ œ œ b œ œ œ b œ œ œœ # œœ n b œœ œœ œ b œ œ w
œ # œ n œ œ œœ b n œœ b œœ ww
II.15 3-4-#4-5 implied by melody from Sonny Stitt

b
b
B
&b c œ œ œ œ œ œ œ œ nœ œ œ œ œ bœ œ #œ œ
II.16 3-4-#4-5 implied by melody from Tete Montoliu
œœ B b7
œ œ œ œ œ ‰ œ b œj n œ œ ‰ œ
3
F7
&b c J
II.17 3-4-#4-5 & 5-#5-6-b7 implied by melody from Tete Montoliu
œ3 œ œ
F F7
b œ
3
œ œ bœ nœ œ œ œ
3
œ œ œ n œ œJ œ # œ
3
& b c ‰ œJ œ # œ œ
3
J œ œ bœ œ œ œ œ
II.18 Descending 5-b5-4-3 3-4-#4-5 & b7-6-b6-5 for end of blues phrase
3 3 3 3 3 3 3
œ œ œ œ b œ # œ œ œn œ œ
3 3
& c Œ œ œ œ bœ œ œ œ œ œ œ
œ b œœ œœ ˙˙ Œ œ œ œ bœ œ œ œ œ œ œ
w
w
Œ Œ bœ
? c wbœ œ bœ œœ b œ œ ˙ œ bœ œœ # œœ # n œœœ n œœ b ww
bœ œ ˙ w œ œ w
II.19 9-R-7-R elaboration in pop style

C 3 3 3 3
& c ˙˙˙ ˙˙˙ ˙˙ ˙˙˙ .. .. œ œ j œ œœœ j œœ œœ j œœœ œœœ j ..

˙ œœ œœ œœ
œ œ œ œ œ œ
?c w .. .. jœ œ œj jœ œ œj ..
3 3
w
3 3
œ œ
œ œ œ œ

II.20 Cycle of Dominants on B Section of “Rhythm Changes”

D7 G7
&c œ œ œ œ œ #œ œ œ œ œ œ
#œ œ œ œ #œ œ œ œ œ œ nœ œ œ
?c
œ œ #œ œ œ œ œ œ #œ œ œ œ
œ œ œ œ
C7 F7 Bb
œ œ œ œ œ nœ œ œ œ bœ œ
&œ œ œ œ #œ œ œ œ œ œ œ œ bœ
?œ œ œ œ œ #œ œ œ œ bœ
œ œ œ #œ œ œ œ
ELABORATIONS of a D MINOR CHORD as i, vi, or i
5-b6 [#5]-n6-b6 “Secret Agent” elaboration over Dm.

(Chords may appear as: Dm - Dm#5 - Dm6, or Dm - Dmb13 - Dm6 or Dm - Bb/D - Dm6)
II.21
.. œœ œœ b œœ œ ‰ n œj ‰ œj ‰ œj b œ
Dm
& c ˙˙˙ b ˙˙ n ˙˙ b ˙˙ .. œœ ..
˙ ˙ ˙ œ œ œ œœ œœ œœ œœ œœ œ
?c w w .. .. œ ˙ j ..
œ. J œ.
˙ œ
II.22 7-6-b6-6 elaboration over Dm
.. 34 .. ‰ œœj Œ ‰ œœj Œ œœ ‰ œœj Œ œœ ‰ œœj Œ œœ ..

Dm
& c ˙˙˙ ˙˙ ˙ ˙ œœ
n˙ b ˙˙ n ˙˙ œ œ œ œ bœ œ nœ œ
?c w w .. 34 .. ˙ œœ ˙ œ œ ..
œ œ
˙ œ ˙ œ

II.23 Blues Etude In F with elaborations & compound melody examples
j bœ
& b c œ œ # œ œ œ ‰ œ œ œ œ n œ œ œ Œ ‰ Jœ œ b œ œ œ œ nœ bœ œ œ
bœ œ
j
& b Œ ‰ œ œ œ œ # œ œ œ œ b œ Œ ‰ b Jœ œ œ ‰ Jœ n œ # œ b œ n œ œ # œ Œ Œ œ œ
j
& b œ œ Œ Œ ‰ # œj œ œ b œ œ œ b œ œ œ Ó
œ œ #œ nœ nœ bœ œ .
j
& b œ œ œ œ œ œ #œ w ‰ œ # œ œ œ œ œ œ œ œ b œ ‰ Jœ œ œ œ b œ
œ
& b ‰ Jœ ‰ b œj œ n œ # œ œ Ó Œ ‰ j œ œ œ œ # œ b œ ‰ Jœ
œ œ œ œ œ œ nœ #œ
& b œ œ œ œ #œ œ œ œ nœ œ œ œ #œ œ œ bœ œ œ œ œ ‰ œ œ œ nœ œ œ œ œ œ œ
œ œ œ

Appendix III Endings 473
Appendix III. Endings

Musicians should go to jobs with a few standard endings in their toolbag in order to avoid potential
train wrecks. Appendix III catalogs several common endings and their variations.
ENDINGS to BLUES
b 3 G b9 b
III.1 Blues turnaround and ending using common chromatic elaborations
B F13 3 B9 B 13
b
3 3 3 3
& b c Œ œ œ œ n œ œ œ b œ œ œ œ b œœ œœ ˙˙ Œ œœœ œ
n œ œ b œ œ œ œ # # # œœœ n n œœœ ˙˙˙
œ œ ˙
? b c bœ œ bœ œœ b œ œ ˙ bœ œ bœ œœ n # œœœ n bb œœœ ˙˙˙
b œ œ œ œ bœ œ ˙ œ œ œ œ

3 3
F
bœ œ œ
& b c Œ œ œ œ n œ œ œœ b b œœ œ œœ œœ b œœœ # n œœœ n b b œœœ
3
˙˙
˙
?b c w œ œ œ œ œ
# b
D7 9 G13 9 C7 9
#
œ œ n œ œ3 œ b œ œ3 œ
F F13
œ
3
& b Œ œ œœ # œœ b n œœ ww
œ n œ bœ w
bœ œ bœ œœ # œ n œ
?b œ œ œ œ œ œ œœ bw
w

474 Appendix III Endings
III.4 Blues ending. Top line improvised.
œ bœ œ nœ bœ U
&b c‰ J bœ œ bœ œ nœ œ
Œ b œœ
œœ
U
?b c j œ Œ
œ œ. œ nœ bœ œ œ
III.5 Blues ending. Last two measures improvised.
Inner descending voice is in contrary motion to bass line.
T T U
œ . b œœœ œœœ œœœ œœœ n œœœœ
œœœ œ ‰ œ b œ œ n œ b œ
& b c ‰ œ. œ œ œ œ œ
œ J b œ œ b œ n œ œ Œ b œœœ
œ œ
U
?b c œ œ nœ œ œ ∑ Ó Œ
œ œ œ œ œ
III.6 Blues ending. Last two measures improvised.
Contrary motion: Bass line from III.5 is now melody and the inner voice is in the bass.
T T U
œ œ b œ œ
& b c ‰ œœ .. œœ œœ œœ
œ
œœ b n œœœ œœœ n œœ ‰ J
œ bœ œ œ
n œ b œ b œ œ b œ n œ œ Œ b œœ
œœ
œ. œ œ œ
U
? b c œ œ bœ œ œ œ bœ œ œ ∑ Ó Œ
œ
ENDINGS to STANDARD TUNES
III.7 Ending to a pretend song in standard style. Standards typically end on tonic at “*”
from which point several options are available
Gm7 C7 F
& b c ˙˙˙
*
œ˙ œ ˙˙˙ ˙˙˙
˙ www www
? b c ww ww
w
ww ww

III.8 Ending in swing style. Sometimes called “Ellington” ending

> . . > . . U
.
& b c ‰ œœœ .. œœ œœ ˙˙ . j ‰ Œ œœ
œ œ b œœ . nœ œ
œ. œ nœ œ œ œ œ œœ
j
>
? b c ‰ œœ .. œœ. œœ. ˙˙ œœ .. b œœ ‰ >
. . U
Gm7 C7 Fmaj7
˙ œ. œ œ. œ nœ œ œ œ œ Œ œ
III.9 “Ellington” ending may repeat the last chord with this rhythmic extension. The last
chord is often absurdly dissonant, final one may be held or played with a fall-off.
j > . . # n œœœœœ œ
œœœœ Œ # n œœœœœ œ
œœœ
œ
œœœ
& b c Œ ‰ œJ Œ œ
œ .
œ œ nœ œ œ œ œ b œœœœ ˙˙˙˙
. . b b œœœœ
œœœ b b œœœœ œœœ œœœ
?b c œ > œ Œ ‰ Œ œ œ
F13
J œ. œ nœ œ œ œ œ Œ œ ˙ œ œ œ œ œ
J
III.10 “Basie” ending: solo piano answers ensemble who rejoins on final chord
> . . tutti: U
œœ n œœ
. œ
& b c ‰ œœœ ..
j Ó
Piano solo:
œœ œœ ˙˙ . Œ ‰ œJ Œ œœ
œ œ b œœ . œ
nœ œœ
j
>
? b c ‰ œœ .. œœ. œœ. ˙˙ œœ .. œ œœ # œœ œœ U
Gm7 C7 Fmaj7
˙ œ. bœ Ó Œ ‰ J Œ
œ œ

TAG EXTENSIONS
The last phrase may be repeated in various fashions. These extensions are called the “tag.”
III.11 Tag Extension add the iii7 - V7/ii, repeat the ii7 - V7, then “Basie” ending
> . . > . .
. j j
& b c ‰ œœœ .. œœ œœ ‰ œœœ ... œœ œ .
œ œ
œœ .
. b œ ˙˙
œ œ œ b œœœ .. œœ
œ
˙˙
˙
b9
œœ. œœ. >œœ .. .œ bEœ.b9 D7
> œ b œœ # œœœ ... œœ ˙˙
Gm7 C7 Am7
? b c ‰ œœ .. œœ ..
œ.
œœ ˙˙
œ ˙ ‰ œ ˙
J J
> . . U
œœ n œœ
. œ
& b ‰ œœœ .. œœ œœ ˙˙ . j Ó Œ ‰ œJ Œ œœ
œ œ b œœ . œ
nœ œœ
j
> œœ. œœ. œœ # œœ œœ
Gm7 C7 Fmaj7
? b ‰ œœ .. ˙˙
˙
œœ ..
œ.
œ
bœ Ó Œ ‰ J Œ
U
œ œ
III.12 Tag Extension add the ii7 - V7/bIII, iii7 - V7/ii - ii7 - V7, then “Ellington”
> . . >œ . b œ. b œ. j
. j
& b c ‰ œœœ .. œœ
œ
œœ
œ œœ .
. b œ ˙˙
œ ‰ b œœ .. œœ œœ œœ .
. œœ ˙˙
B bm7 E b7
> œœ. œœ. b >œœ .. œœ. œœ. b b œœœ ...
b œœ ˙˙
? b c ‰ œœ .. œœ .. œœ ˙˙
Gm7 C7
œ. œ ˙ ‰ œ ˙
J J
> . . U
œ .
& b ‰ œœ .. b œœœ œœ ˙˙ j ‰ > . .
Œ œœ
œ b œœ .. n œœ œ. œ nœ œ œ œ œ œœ
b b F j
> Eœ. 7 ˙˙ œœ .
C7 9
. . U
# œœ. b œœ ‰ >œ .
Am7 D7 Gm7 Fmaj7
? b ‰ œ . bœ œ .. œ nœ œ œ œ œ Œ œ
œ. ˙ œ

III.13 Blues, “Ellington” and “Basie” occupy the same rhythmic space. Even if the ending call
is missed, the band should be able to end together.
T T U
œ b œ
& b c ‰ J œ nœ bœ bœ œ bœ œ nœ œ Œ b œœœ
j œ
œœ n œœ œœ U
œœ Œ œœ Œ n œœœœ
&b cÓ # œœ ‰ J
. . U
?b c ‰ > œ œ œ œ Œ
œ. œ nœ œ
III.14 Endings beginning an extended progression starting on the iiø7/iii. Often called the
“flat five” ending. Better name might be “sharp four”
Gø7/B b G #°7
> . . C7
Gm7 Bø7 F/A
. j
& b c ‰ œœœ .. œœœ œœœ œœ .. b œœ ˙˙ œ ‰ œj œ œ ‰ œj ‰ œ . œ œ
n œœ œœ b œœ œœ œœ œœ .. n œœ œœ
> . .
? b c ‰ œœ .. œœ œœ œœœ ... œœœ ˙˙˙ œ ‰ œ œ œ ‰ œ
‰ œœ .. # œœ œœ
nœ œ bœ œ œ
J J J
#
G b9 11
#
j Œ ‰ n œj ˙
Gm9 Fmaj7 11
b ‰ j b œ œ ‰ ww
& œœ œ
œ b œ œ n œœ œœ ˙˙ ww
œœ œ
œœ œ œ n œœ œ œ ˙
j
? b œ ‰ œ b œ œ ‰ œj Œ ‰ œj ˙ w
nœ œ bœ œ œ œ ˙ w

III.15 Another version of “flat five” or “sharp four” ending

# #
> . .
Gm7 C7 Bø7 b
B 9 b9
A7 13 A b9 11
. j
& b c ‰ œœœ .. œœœ œœœ œœ .
b œ ˙˙
œ ‰ œj œ œ ‰ œj ‰ œ . œ
n œœœ
. œœ œœ œœ b œœ b œœ .. n œœ œœœ
> . .
? b c ‰ œœ .. œœ œœ œœ ..
œ.
œœ ˙˙
œ ˙
œ ‰ œœ bb œœ œœ ‰ œœ ‰ œœ .. bb œœ œ
nœ œ
J J J
b #
j
G9 G maj7 Fmaj7 11
j
& b œœ ‰ œœ b œœœ œœœ ‰ n œœj Œ ‰ n œœ ˙˙ ww
n œœ œœ b œ œ n œœ œœ ˙˙ ww
j j j
?b œ ‰ œ œ œ ‰ œ Œ ‰ œ ˙ w
nœ œ bœ œ œ œ ˙ w
III.16 Another version of “flat five” or “sharp four” ending

# #
> Gm7
. . C7 Bø7 b9
E7 13 Aø7 b9
D7 13
. j
& b c ‰ œœœ .. œœ œ
œ œœ œœ .
b œ ˙˙
œ ‰ œj œ œ ‰ j ‰ . ˙
. n œœœ œœ œœ œœ b œœœ b œœœ .. ˙˙
>
? b c ‰ œœ .. œœ. œœ. œœ .. œœ ˙˙ œ
œ. œ ˙ nœ ‰ œœ # œœ œœ ‰ n œœ ‰ œœ .. # ˙˙
# J J J
Gø7 C7 13b9 #
Fmaj7 11
& b b œ ‰ œj b œ œ ‰ n œj Œ ‰ œœj ˙˙ w
œœ œœ b œœ œœ n n œœ n œœ ˙˙ www
j j j
? b œ ‰ œ œœ œœ ‰ œ Œ ‰ œ ˙ w
œ œ œ œ ˙ w

BALLAD ENDINGS
III.17 Ballad style ending on a major seventh chord a half-step above tonic
Gm7 C7 b
G maj7 11
# Fmaj7 11
#
& b c œœœ œœ œœ œ œ
œ œ œ bœ www n www w
ww
? b c ˙˙ œœ
œ
œœ
œ w w w
bw w w
III.18 Ballad style ending with two major seventh chords preceding tonic
Gm7 C7 b
D maj7 b
G maj7 11
# Fmaj7 11
#
& b c œœœ œœ œœ œ œ
˙ ˙˙˙
œ œ œ bœ b ˙˙ n www w
ww
? b c ˙˙ œœ
œ
œœ
œ b ˙˙ ˙ w w
b˙ w w
III.19 Ballad style ending with four major seventh chords preceding tonic
Gm7 C7 b
E maj7 b
A maj7 b
D maj7 b
G maj7 11
# #
Fmaj7 11
& b c œœœ œœ œœ œ œ œœœ œœœ œ œœœ

œ œ œ bœ b œœ n www w
ww
? b c ˙˙ œœ
œ
œœ
œ b œœ œ b œœ œ w w
bœ bœ w w
III.20 Ballad style ending with cycle of 5ths major 7ths chords preceding tonic
Gm7 C7 b
Fmaj7 B maj7 E maj7 A maj7 b b b b
D maj7 G maj7 11 Fmaj7 11
# #
& b c œœœ œœœ œœœ œœ b œœ œœœ œœœ œœœ œœœ œ œœœ
b œœ n ˙˙˙ ww
w
? b c ˙˙ œœ œœ
œ œ
œœ œ b œœ œ b œœ œ ˙ w
œ bœ bœ ˙ w

III.21 Ballad style ending with cycle of 5ths 9# 11 chords preceding tonic
Gm7 C7 Fmaj7 b#b#

B 9 11 E 9 11 b#
A 9 11 b# D 9 11
#
G b9 11
& b c œœœ œœœ œœœ œœ b œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œœ œ b œ œ œœ b œœ b œœ œœ b œœ b œœ œœ œœ

œ œ œœ œ
b ˙˙ b ˙˙
? b c ˙˙ œœ œœ ˙˙
œ œ
b˙ b˙ b ˙˙ b ˙ b ˙˙
˙ b˙ b˙
Fmaj7 11
#
& b n wwwww
wwww
w
? b ww ww
w w
III.22 Ballad style ending with cycle of 5ths unrelated major 7th chords preceding tonic
b b b b b
Gm7
œœ b œœ
C7 E maj7 G maj7
œœœ
Bmaj7 Dmaj7 Gmaj7 B maj7 E maj7 G maj7 Fmaj7
& b c œœœ œœœ œœœ œ œ œ b b œœœœ # # ## œœœœ # #n œœœœ # œœœ œœœ n œœ b œœ

n œ œ b œœ b œœœ n wwwww
? b c ˙˙ œœ œœ b œœ b œœ
n # œœ
œ œ œœ œœ œœ b œ b b œœ
n ww
III.23 Ballad style ending with any “flat five” or “sharp four” ending
Gm7 C7 Bø7 Gø7/B b F/A b

A 13 b b
D maj7 G maj7 Fmaj7 11
#
& b c œœœ œœœ œœœ œœ b œœ ˙˙ b œœœ b œœœ ˙˙ œœœ b œœœ b œœœ œœœ b œœœœ œœ
œœ
n ww ww
n˙ ˙ ww ww
? b c ˙˙ œœ œœ ˙
œ œ n˙ ˙
b˙
˙ b˙ b ˙˙ ˙ w w
˙ b˙ b˙ w w

Appendix IV Composing Tips 481
Appendix IV. Composing Tips

COMPOSING TIPS
Teaching composition is one of the most difficult jobs. How can a teacher instruct a student how to write
music that the student hears? It can not be done. What can be done is helping the student to recognize
and develop strong elements in their writing. For the process to begin, the student must have written
something. At that point the teacher’s job is to help them find and make choices The ultimate choices
will be made by the students. If the student has only a first draft, there is nothing to choose from. The
teacher can assist in the rewriting process, instruct the student on questions to ask, and help with proce-
dures and organizational ideas from a long history of great composers arrangers and writers.
MUSIC THEORY RULES
Two great rules of all music theory:

No. 1 Does it sound good?
No. 2 Does it sound good?
All else is a discussion of music theory principles, not music theory rules. When a composer creates a
musical idea, at some point he must refer to rule no. 1. If the answer is “yes,” he might want to ask “why.”
At that point he may discover a principle working that will be helpful in developing this piece or other
compositions. If the answer is “no, it doesn’t sound good,” the composer will again have to ask “why,”
and may discover other helpful principles. The composer should always refer to the two rules and try to
determine the principles behind the answers. If something sounds good, you would want the tools and
understand the principles in order to create music later that sounds good. It follows that the composer
would also want to understand the things that made the music not sound good.
REWRITING
Hemingway once said that writers were not paid to write, writers were paid to rewrite. This is good advice
to all composers and arrangers. In the process of writing and rewriting, the composer must constantly
refer to rule no. 2 (or rule no. 1). A first draft gives the composer no choices. Examination of all the el-
ements of a piece and a deliberate reworking of these elements gives the composer choices. If the com-
poser has written several versions of one section of a composition, the choice can be made for the most
effective and musical. Sometimes after writing and rewriting a section of music, I have had five versions
to choose from. Sometimes it is the sixth version, a combination of the best elements of the first five
that I end up with. Other times, it is the first draft that best conveyed the musical idea. Having done the
other five versions was helpful in determining which idea was the best. How else could you know without
the other choices?
GETTING STARTED
Let inspiration carry you as far as it will. Try not to be critical of what comes naturally. It is hard enough
to get the flow going, so do not constantly criticize your output at the beginning stages. Let the juices
flow. After the inspired moment has past, then the work can begin.
The composition process may begin with any number of musical elements. It may only be a rhythmic
idea, a melodic germ, or possibly a harmonic progression. It may start from a formal idea (ABACABA),

482 Appendix IV Composing Tips
or from an orchestration concept, a combination of sounds, then trying to imagine music that would
make that sound work. There is no set way to begin. Move with what moves you at the moment.
REWRITING by ASKING QUESTIONS
MELODIC MATERIAL PHRASING

Range: too much? Not enough? Too extreme? Phrase content: Is the phrase form = abcdefghaij
or more clear: abac, abba, abcc, etc.
Contour (emotional curve, climax timing, story Phrase beginnings: (before the downbeat/on the
telling) downbeat/after the downbeat: B/O/A)
Busy/not busy enough Phrase lengths: short and long phrasing as con-
trasts
Vague? Are the rhythms natural? FOCUS:
Which area or musical element should get the
most attention at any point?
HARMONY Harmony
Too busy/ not busy enough Melody
Does it support or conflict with the melody Counterpoint (does the secondary material sup-
port or conflict with the primary material?)
Are there possible substitutions, deceptive resolu- Orchestration
tions, reharmonizations, which could help propel
the piece.
Material may recur in the piece in different har- Do the secondary elements distract from or sup-
monic settings or different modes. port the primary element
ACCOMPANIMENT CHOICES: FORM
The larger structure of the piece:
No accompaniment? Introduction/ exposition of main themes/
Development of main themes/ transitions/ re-
statement of themes (maybe different setting than
in the beginning)/ ending
Independent? What is the relationships of the themes, transi-
tions, introduction and ending?
Dialog? Contour (emotional curve of the entire piece,
does it tell a story, how to control the curve.)
melodic material
Emphatic matching of the accompaniment and
melody. 1 to 1 relationship?
CONTRASTS
An A section is usually followed by a B section at some point. For a B section to sound like a B section
it has to be different from the A section. That sounds like an obvious statement. Many beginning com-
posers get locked into their first ideas, and write what they consider B sections when they are actually
more of a development of the A ideas. Make sure the B section contrasts in one or more ways to the
character of the A section. Some possible contrasts areas include:
• Harmonic character
• Bright/dark character, Modulations
• Type of harmonic vocabulary: Traditional & substitutions, Mystery chords, Pedals
• Simplification of original
• Complication of original
• Harmonic rhythm (if A is active then B could be less harmonically active)

Appendix IV Composing Tips 483
• Melodic range (if A remains low, then B could go a little higher, A returns low, B1 return a little
higher than B.)
• Orchestration (change of colors and accompaniment)
• Texture (small and thin/big and thickly textured)
• Rhythmic activity (applies to the melody and accompaniment) smooth/jagged, Active/passive,
what is the basic unit? 8ths? then quarters, dotted quarters, dotted eighths, and sixteenths pro-
vide contrast.
• Phrases beginnings (before the downbeat/on the downbeat/after the downbeat: B/O/A)
• Phrase lengths: short and long phrasing as contrasts
CONSISTENCIES
Contrasts are very important, but consistency is a factor. This is often very difficult for some beginning
composers. Harmonic vocabulary: might not mix dodecaphonic writing with I-IV-V within phrases.
Extended tertian chords and polychords may not have bebop sounding ii7-V7-I passages in between.
COMPOSITIONAL DEVICES for MOTIVIC DEVELOPMENT
Review from Chapter 12, pp.336-340.
Repetition: The theme must recur for it to be a theme.

Sequencing: Transposing to other pitch levels in a repeating series.
Fragmentation: Using a smaller portion of the initial idea.
Addition or interpolation: The opposite of fragmentation. Material is added to the motive. The new
material can occur before, after, or in the middle of the original motive which is usually intact and
recognizable.
Embellish or ornament: This differs from the addition of notes before or after as it involves the
elaboration of the original note using neighbor tones while still following the general contour of the
original idea.
Augmentation: To augment is to make something larger. Musically this can apply to the rhythmic
units, the intervals and even the orchestration.
Diminution: To diminish is to reduce something. This can apply to rhythmic units, the intervals and
the orchestration.
Inversion: The intervals of the original idea can be turned upside down. They can be inverted using
exact intervals or generally following the diatonic intervals.
Retrograde: The motive is played with the pitches in reverse order. This is not perceived by the casual
observer, but can be a useful device.
Retrograde inversion: the original can occur upside down and backwards. This is also not always rec-
ognizable to the casual observer.
Displacement: May be applied to rhythms or pitches. Pitches may be displaced by moving them up or
down an octave. A motive may be rhythmically displaced to a different part of the phrase earlier or
later than might be expected
Mode Change: The motive might be set in other modes.
Iteration: Repetition. Making a simple rhythm more active by repeating melodic pitches.
LISTENING
Someone once said, “stealing a little is plagiarism, stealing a great deal is prolific writing.” Stravinsky
once said, that he stole a great deal from Mozart, but was sure Mozart would be pleased with what he did
with it. Listen to many styles, not just your area of expertise. Ask yourself about the rules of music. If it
sounded good, why? Remember what made it sound good and use the principles. If it sounded bad, cer-
tainly try to remember why and avoid whatever was the cause.

484 Appendix V Theory Applications
Appendix V: THEORY APPLICATIONS

This appendix illustrates the application of theoretical concepts to a standard jazz tune based on a tradi-
tional harmonic progression.
GENERAL CONCEPTS
I. Improvise by Paraphrasing the melody

A. Learn Melody
B. Play around with the melody
C. Use melody framework to create more elaborate lines
II. Improvise on the Harmony
1. Determine Key Areas
2. Determine Triads for Generalization: Review triads with neighbor tones
B. Harmonic Specificity
1. Arpeggiate each chord
a. 1-3-5-7
b. 3-5-7-9
2. Guide Tones
a. Locate all 3rds
b. Precede all 3rds with their UNT. This will often be the 7th of the preceding chord.
c. Precede all 3rds with their UNT & LNT.
3. Outlines
a. Play simple outlines to connect each adjacent chord a fifth apart
b. apply some basic elaborations of the outlines
4. Specific Scale Color Superimpositions
Decide if any colorful substitutions would be musically effective
a. ø7#2 for m7 (ii7) or ø7 (iiø7)
b. Other dominant colors
(1) Mixolydian, 5th mode major
(2) 5th mode Harmonic minor
(3) Superlocrian, 7th mode of melodic minor
(4) Mixolydian b6, 5th mode melodic minor
(5) Lydian b7, 4th mode melodic minor
(6) 5th mode Major b6
(7) 3rd mode Major b6
(8) 1/2W Diminished
(9) Whole Tone
c. Lydian for Major I
APPLIED to a STANDARD PROGRESSION
Progression No. 1 (first eight measures shown)

vi7 ii7 V7 I IV iiø7/vi V7/vi vi7

Appendix V Theory Applications 485
II. Improvise on the Harmony

1. Determine Key Areas
2. Determine Triads for Generalization: Review triads with neighbor tones
Analysis shows the progression to be in the key of C or A minor. Two basic triads for generalization: C
major and A minor. Review basic triads, neighbor tones, and triadic generalization concepts from
Chapter 4. The C major blues scale and A minor blues scale both generalize these two triads and would
work as melodic material for the entire progression. Apply triadic exercises from Chapter 3 of
Comprehensive Technique for Jazz Musicians.
C Major triad with neighbor tone patterns
& œ ˙ œ #œ ˙ œ #œ ˙ œ œ ˙ ˙ œ ˙ ˙ œ #œ ˙ ˙ œ#œ ˙ ˙ œ œ ˙ ˙ œ ˙ ˙ œ ˙ #œ ˙ œ ˙ #œ ˙ œ ˙ œ ˙ ˙
œ œ œ
œ ˙ ˙œ ˙ ˙ œ ˙œ˙ ˙
? œœ ˙ œ # œ ˙ œ # œ ˙ œ ˙ œ œ ˙ ˙ œ # œ ˙ ˙ œ # œ ˙ œ œ
œ ˙ œ ˙ ˙ #œ ˙
œ ˙ # œ ˙
A Minor triad with neighbor tone patterns
œ œ #œ ˙ œ ˙ œ #œ ˙ ˙ œ œ ˙ #œ ˙ ˙
œ # œ ˙ œ ˙ # œ ˙ œ ˙ # œ ˙
& œ #œ ˙ œ ˙ ˙ œ #œ ˙ ˙ œ ˙ œ ˙ #œ ˙ ˙ œ ˙
?‰œ œ ˙ œ #œ ˙ œ #œ ˙ ˙ œ ˙ ˙ œ #œ ˙ ˙ œ #œ ˙ ˙ œ ˙ ˙ œ ˙ #œ ˙ œ ˙ #œ ˙ ˙
#œ ˙ œ œ
˙ #œ ˙ œ œ ˙ #œ ˙ œ
Blues Scale ideas applied to progression

Am 7 Dm7 G7 Cmaj7
j œ œ nœ
&c j œ œ œ œ œ . œ Œ œ œ œ # œ œ œ Œ ‰ Jœ œ œ b œ œ œ ˙. Œ
#œ
. œ œ # œ œ œ œ œ œ bœ œ œ nœ
œ œ œ
#œ œ œ œ
?c œŒ œŒ ‰J œ ˙.
J Œ
J
Fmaj7 Bø7 E7 Am 7
œ œ.
&œ œ œ œ œ œ ‰ J œ œ œ œ
3
J Œ ‰ œj œœ œ ‰ j
œ ˙.
Œ
œ œ œ œ œ œ œ œ. œ œ œ3 œ j
? ‰ J J Œ ‰ œ œœ œ ‰ œ ˙. Œ
J

B. Harmonic Specificity
1. Arpeggiate each chord
a. 1-3-5-7
Am7
œ U Dm7 U
G7
œ œ œ U
Cmaj7
U
c œ œ œ œ œ œ œ œ
& œ œ
œ œ
œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ Uœ œ œ œ U œ œ œ œ œ œ Uœ œ U
?c œ œ œ œ
œ œ œ œ œ œ
U œ œ œ œU
Fmaj7 Bø7 E7 Am 7
œ œ œ œ œ œ U œ U œ
œ œ œ œ œ œ
&œ œ œ #œ œ œ œ œ œ œ
œ œ œ œ Uœ U #œ œ œ œ œ U U
?œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ
b. 3-5-7-9
œ œ œ œ Uœ U œ œ œU
Am7 Dm7 G7 Cmaj7
œ œ œ œ œ U
& c œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ
U œ œ œ œ œ œ œ œ Uœ œ œ œU
œ
?c œ œ œ œ œ œ œ œ U
œ œ œ œ œ
œ œ
Fmaj7
œ œ œ U Bø7
œ œ œ œ œ Uœ
E7
n œ U
Am 7
œ œ œ œ Uœ
&œ œ #œ œ œ œ
œ œ œ œU œ n œ œ œ Uœ U
œ œ œ œ œ œ U # œ œ œ œ œ
? œ œ œ œ œ œ œ œ

2. Guide Tones
a. Locate all 3rds
Am7 Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am 7
&cw w w w w
w w #w
?c w w w w #w
w w w
b. Precede all 3rds with their UNT. This will often be the 7th of the preceding chord.
œ ˙. œ œ ˙. œ
&c ˙. œ ˙. œ ˙. œ ˙. #˙ . œ w
œ ˙. œ
?c œ ˙. œ ˙. ˙ . œ ˙ . œ ˙ . œ #˙ . œ w
c. Precede all 3rds with their UNT & LNT.

œ œ ˙. œ ˙ . œ œ #˙ . œ œ w
&c œ œ ˙ . œ #œ ˙ . œ #œ ˙ . œ #œ ˙ . #œ
œ #œ ˙ . œ œ .
?c œ œ ˙. œ œ ˙ . #œ ˙ . #œ ˙ œ #œ ˙ . œ œ #˙ . œ œ w
3. Outlines
Outline No. 1
Am 7 Dm7 G7 Cmaj7 Fmaj7 Bø7 E7 Am 7
œ
& c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ w
?c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ œ œ œ œ #œ œ œ œ w

Outline No. 1: UNT & LNT encircling of each third

Am 7 Dm7 G7 Cmaj7
œ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ #œ
&c œ œ œ œ #œ œ
œ œ œ œ œ œ
?c œ œ œ œ œ #œ œ œ œ œ #œ œ œ œ œ #œ
Fm aj7 Bø7 E7 Am7
&œ œ œ œ œ œ #œ
œ œ #œ œ œ œ œ œ w
? œ œ œ #œ œ œ œ œ œ
œ œ œ œ œ #œ w
Outline No. 1: 3-5-7-9 arpeggios merge with outline no. 1

Am7 Dm7 G7 Cmaj7
œ œ œ œ œ œ œ œ œ œ œ
&cœ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
?c œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
œ œ œ œ œ
Fmaj7 Bø7 E7 Am 7
& œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ œ œ w
œ
? œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ œ œ w
œ œ

Outline No. 2 from odd to even measures

Am7 Dm7 G7 Cmaj7
& c œ. œ œ œ ‰ œJ w œ. œ œ œ ‰ œJ w
J J
? c œ. œ œ œ œ w
œ. œ œ œ œ w
J ‰ J J ‰ J
Fmaj7 Bø7 E7 Am 7
j
& œ. œ œ œ ‰ Jœ w œ . # œ
jœ œ ‰ œ w
J
? œ. œ œ œ ‰ Jœ w œ . # Jœ œ
œ œ w
J ‰ J
Outline No. 2 from odd to even measures/ 3rds have chromatic approaches
Am 7 Dm7 G7 Cmaj7
&c œ œ bœ œ ˙ . Œ Œ
œ œ œ œ œ œ œ œ œ œ #œ œ ˙ .
?c œ œ bœ œ ˙ .
œ œ œ œ Œ œ œ œ œ œ œ #œ œ ˙ . Œ
Fmaj7 Bø7 E7 Am 7
œ bœ œ ˙ . œ bœ œ ˙ .
&œ œ œ œ œ Œ #œ œ œ œ œ Œ
œ bœ œ ˙ .
?œ œ œ œ œ Œ #œ œ œ œ œ œ bœ œ ˙ . Œ

Outline No. 2 from even to odd measures

Am 7 Dm7 G7 Cmaj7
j
&c w œ. œ œ œ œ w j
œ œ œ œ
œ.
?c w œ. œ œ œ œ w
œ. œ œ œ œ
J J
Fmaj7 Bø7 E7 Am 7
&w j œ #œ œ ‰ œj œ
œ. œ œ œ œ w
?w œ œ œ #œ œ
‰ Jœ œ œ œ
œ. J w
Outline No. 2 from even to odd measures/ 3rds chromatically approached

Am 7 Dm7 G7 Cmaj7
&c ˙ ‰ œ. œ
œ œ œ œ œ #œ œ ˙ ‰
œ. œ œ œ œ œ
œ bœ œ
?c ˙ ‰ œ. œ œ œ œ œ œ #œ œ ˙ ‰ œ. œ œ œ œ œ œ bœ œ
Fmaj7 Bø7 E7 Am7
&˙ ‰ œ œ #œ œ ‰ œj œ ‰ j
œ. œ œ œ œ œ œ œ w
?˙ ‰ œ. œ œ œ œ œ œ œ #œ œ j
‰ œJ œ œ ‰ œ w

Outline No. 3 from odd to even measures

Am 7 Dm7 G7 Cmaj7
œ œ œ jœ œ j
& c œ œ œ ‰ œ ‰ œJ œ œ œ œ œ œ . œ œ œ ‰ œJ
?c œ œ œ ‰ œ œ
J ‰ J œ œ œ. œ œ œ ‰ œJ
J
Fm aj7 Bø7 E7 Am 7
j
&œ œ œ œ œ œ. œ œ œ ‰ œJ œ # œ œ œ œ w
?œ œ œ œ œ œ. œ œ œ ‰ œJ œ # œ œ œ œ w
J
Outline No. 3 from odd to even measures/ 3-5-7-9 arpeggios even to odd/encircled 3rds with
UNT & LNT
Am 7 Dm7 G7 Cmaj7
œ œ œ œ œ œ œ bœ œ œ œ #œ œ
&c œ œ œ œ œ œ œ œ œ œ œ bœ œ
œ œ œ œ œ œ bœ œ œ œ #œ œ
?c œ œ œ œ œ œ œ œ œ œ œ œ bœ œ
Fm aj7 Bø7 E7 Am 7
& œ œ #œ œ œ œ œ œ œ œ œ œ œ œ œ œ #œ
œ œ w
œ œ #œ œ œ œ œ œ œ œ œ œ #œ
? œ œ œ œ œ œ w

Outline No. 3 from even to odd measures/ 3-5-7-9 arpeggios odd to even/
Am 7 Dm7 G7 Cmaj7
&c ‰ œj œ œ ‰ œj œ œ ‰ j ‰ j œ œ ‰ œj œ ‰ j
? c œ ‰ œ œ œ ‰ Jœ œ œ œ œ ‰ j ‰ œ œ œ ‰ Jœ œ œ œ œ ‰ œj
J œ œ J
Fm aj7 Bø7 E7 Am 7
& ‰ j œ œ ‰ œj œ ‰ j ‰ j œ ‰ j
œ œ œ œ #œ œ œ œ œ w
œ
? jœ œ ‰ œ œ œ j jœ œ ‰ œ w
œ ‰ œ J œ ‰
œ #œ œ ‰ œ J
Outline No. 3 from even to odd measures/ 3-5-7-9 arpeggios odd to even/encircled 3rds w/ UNT
& LNT
Am 7 Dm7 G7 Cmaj7
&c œ œ œœœ
œ œ œ #œ œ œ œ œ œ bœ œ œ œ #œ œ œ œ
#œ
?c œ œ œœœ œ œ œ #œ œ œ œ œ œ bœ œ œ œ #œ œ œ œ
#œ
Fm aj7 Bø7 E7 Am7
& œ œ bœ œ œ #œ œ œ œ
œ œ œ œ œ œ #œ œ œ œ œ œ œ w
? œ œ œ œ bœ œ œ œ
#œ œ œ œ œ œ #œ œ œ œ œ œ œ w
œ
Continue with harmonic specific exercises from Chapters 2 and 15 of Comprehensive Technique for
Jazz Musicians.


(8) 1/2W Diminished
c. Lydian for Major I
Am7 Dm7 G7 Cmaj7
œ œ œ œ #œ
c
& œ œ œ œ œ œ œ œ œ œ œ œ œ bœ bœ œ œ œ #œ œ œ œ œ #œ
œ œ (1/2W
œ œ œ œ œ œ œ # œ œ bœ bœ œ œ œ #œ œ œ œ œ #œ
Diminished) (Lydian)
?c œ œ œœ œ œ œ
#
Fm aj7 Bø7 (Locrian 2, 6th Mode of E7 (Superlocrian, 7th Mode of Am7
œ œ œ œ œ #œ œ œ œ œ œ œ œ
D melodic minor) F melodic minor)
& Œ ‰ J œ œ œ ‰ J bœ œ œ w
œ œ œ œ œ #œ œ œ œ œ œ œ œ
? bœ œ œ w
Œ ‰ J œ œ œ ‰ J

(7) 3rd mode Major b6
#9 #9
Am7 Dm7 G7b 13 Cmaj7 C7b 13
& ‰ # œj œ œ œ œ œ œ œ œ Œ ‰ b œj œ b œ b œ b œ b œ œ œ b œ œ œ b œ œ œ b œ # œ
œ œ
3rd mode E b major b6
œ œ b œ œ œ b œ œ œ bœ œ œ bœ #œ
secondary dominant
œ œ œ œ bœ
? c ‰ # Jœ œ œ œ œ Œ ‰ b Jœ œ b œ b œ
b5
#
Bø7 2 E7b 9
‰ j œ bœ œ œ œ œ nœ œ œ
Fmaj7 Am7
œ œ
& œ œ œ Œ ‰ Jœ # œ œ œ œ Œ œ œ œ Œ
œ œ œ œ #œ œ œ œ œ
Locrian #2
œ œ œ œ nœ œ œ
Altered
?œ J b œ
Œ ‰ Œ ‰ Jœ œ œ œ Œ

CONTENTS
====================================================================
INTRODUCTION ............................................ vi
I. REVIEW of BASIC THEORY MATERIALS.......................... 1

II. RHYTHM .................................................. 10
III. BASIC TONALITY .......................................... 52
IV. TRIADIC GENERALIZATION................................... 69
V. DIATONIC HARMONY......................................... 95
VI. HARMONIC PROGRESSION.................................... 108
VII. HARMONIC ANALYSIS ...................................... 135
VIII. HARMONIC SUBSTITUTIONS & TURNAROUNDS.................... 151
IX. HARMONIC SPECIFICITY.................................... 179
X. COMMON MELODIC OUTLINES................................. 224
XI. HARMONY: OVERVIEW of VOICINGS .......................... 264
XII. MODES & MODAL FRAMEWORKS ............................... 302
XIII. QUARTAL HARMONY......................................... 323
XIV. OTHER SCALES & COLORS................................... 331
XV. EXTENDED TERTIAN STRUCTURES & TRIADIC SUPERIMPOSITION... 370
XVI. PENTATONIC APPLICATIONS ................................ 388
XVII. COLORING "OUTSIDE" the LINES & BEYOND................... 394
XVIII. ANALYSIS: the BIG PICTURE............................... 405
XIX. EXPANDING HARMONIC VOCABULARY........................... 441
XX. CODA.................................................... 455
Appendix I: Reference for Chord/Scale Relationships ........... 456

Appendix II: Elaborations of Static Harmony .................... 467
Appendix III: Endings............................................ 473
Appendix IV: Composing Tips .................................... 481
Appendix V: Theory Applications................................ 484
--------------------------------------------------------------------

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vii INTRODUCTION

I. REVIEW of BASIC THEORY MATERIALS

II. RHYTHM in JAZZ PERFORMANCE

III. BASIC TONAL MATERIALS

IV. TRIADIC GENERALIZATION

95 Diatonic Harmony: Major

VI. HARMONIC PROGRESSIONS

108 Common Root Movement

VII. HARMONIC ANALYSIS

135 Roman Numeral Analysis with Common Jazz Progressions

152 Turnaround Progressions

IX. HARMONIC SPECIFICITY

179 Specificity and Generalization

X. COMMON MELODIC OUTLINES

224 Linear Harmony

XI. HARMONY: OVERVIEW of VOICINGS

264 Four Part Voice Leading

305 Modes Bright to Dark

323 XIII. QUARTAL HARMONY

331 XIV. OTHER SCALES and COLORS

332 Scales for Jazz Improvisation

XV. EXTENDED TERTIAN STRUCTURES and TRIADIC SUPERIMPOSITION

370 Notation Shorthand

XVI. PENTATONIC APPLICATIONS

388 Pentatonic Applications

XVII. COLORING "OUTSIDE" the LINES and BEYOND

394 Approaches to Coloring Outside the Lines

XVIII. ANALYSIS: the BIG PICTURE

XIX. EXPANDING HARMONIC VOCABULARY

455 XX. CODA

456 Appendix I: Reference for Chord/Scale Relationships

458 Chord/Scale Relationships

Appendix II: Elaborations of Static Harmony

467 Elaborations of ii7-V7 progressions

Appendix III: Endings

473 Endings to Blues

Appendix IV: Composing Tips

481 Composing Tips

Appendix V: Theory Applications

484 General Concepts

Jazz Theory Resources

LANGUAGE & MUSIC

Jazz Theory Resources

Jazz Theory Resources

Jazz Theory Resources

I. REVIEW of BASIC THEORY MATERIALS

Chromatic Scale: Difference in ascending and descending

Jazz Theory Resources

INTERVALS & INVERSIONS

Unison (1) Octave (8)

Interval qualities are inverted as shown below:

Jazz Theory Resources

MAJOR SCALE CONSTRUCTION

C major scale shown with intervals relating to tonic pitch:

C major scale shown with intervals relating to adjacent pitches:

Jazz Theory Resources

MINOR SCALE CONSTRUCTION

C Harmonic Minor: A Harmonic Minor:

Jazz Theory Resources

F major/D minor G major/E minor

Jazz Theory Resources

SCALE DEGREE NAMES

Tonic Supertonic Mediant Subdominant Dominant Submediant Subtonic Leading Tone