Prof.

 Nancy Rogers 

Florida State University  

2020 

http://myweb.fsu.edu/nrogers/Handouts/ 

 
! Prof. Nancy Rogers!

THE PRIMARY TRIADS (I, IV, and V)

The Tonic Chord (I or i)
The root-position tonic triad serves as the most stable structure in tonal music. Although it is important as a
point of departure (phrases often begin on the tonic, which can progress to any other chord), the tonic’s
most critical role is a point of arrival: compositions rarely end on any chord other than a root-position tonic.
The tonic is like a kind of home base, and its gravity-like pull can be felt long before the tonic is actually
heard.
Inverting the tonic weakens it considerably. Although a I6 chord is still able to resolve harmonic tension (for
instance, a sense that a leading-tone in the soprano needed to proceed to 1^), it is unlikely to sound like a
stable resting point. Thus, I6 chords are unlikely to appear at the ends of phrases, but they are common
within phrases, where a sense of forward motion is desirable.
When the tonic is in root position, it is unusual to double any chord member other than the root. If the triad
is incomplete (missing a fifth), then normally the root is tripled. However, when the chord is in first
inversion, sometimes the fifth is doubled (especially if the fifth is in the soprano). The third is rarely doubled
in a functional tonic chord. Poor doubling often leads to serious voice-leading errors such as parallel
octaves, so be careful to consider this as you part-write.
In a minor key, of course, the tonic is minor. This does not undermine its stability in any way. However,
there is a long-standing tradition of ending minor compositions with a major tonic triad. This use of the
major tonic in an otherwise minor key is known as the “Picardy third.” It does not affect our overall sense of
mode.

The Dominant Chord (V)

Although the tonic is the most stable chord in tonal music, the dominant is arguably the most important
chord, because it is the dominant that actually enables us to locate the tonic. When we sense the tonic, it
is usually because we detect the presence of the leading-tone, and we can hear the leading-tone pulling us
toward the tonic. Chords that lead back to the tonic are often described as having a “dominant function.”
The name “dominant” is used because V is the strongest and most important member of this harmonic
category.
Given that the dominant function arises from the pull of 7^ to 1^, it is clear that a functional dominant chord
must contain a leading-tone rather than a subtonic. Thus, you can expect that V will be major in both major
and minor keys. (Although minor v chords do occur in minor keys, they are unusual and inherently non-
functional.) Don’t forget to raise 7^ in minor keys! Always resolve the leading-tone to the tonic when it
occurs in an outer voice. If the leading-tone appears in an inner voice, you may decide not to resolve it if
doing so would lead to an incomplete chord (although there is nothing wrong with omitting the fifth of a root-
position chord).
Paradoxically, despite the fact that V gravitates so strongly towards I, it also serves well as a temporary
resting point (the “half cadence,” discussed later). A phrase whose harmonic goal is the dominant makes
us expect to hear another phrase whose harmonic goal is the tonic. A longer passage leading to a
dominant may serve as an introduction, leading us to expect an important musical beginning (perhaps a
new theme, or the return of the main theme, or the entrance of a soloist, etc.). Often such a dominant will
be greatly expanded, increasing the listener’s sense of anticipation.
Inverting the dominant weakens it considerably, although it never loses its pull toward the tonic. V6 works
well in the middle of a phrase, but only root-position V is suitable for a strong cadence. When the dominant
is in root position, it is unusual to double any chord member other than the root. However, when the chord
is in first inversion, sometimes the fifth is doubled (especially if the fifth is in the soprano). Do not double
the third, because the third is the leading-tone, and we never want to double unstable notes!
The Subdominant Chord (IV or iv)
The subdominant is one of many chords that leads to the dominant (and is therefore often described as
having a pre-dominant function). Because the motion from a pre-dominant to a dominant to a tonic forms
the strongest possible progression in tonal music, it is very likely to occur at a strong cadence. In fact, it is
difficult to create a suitably conclusive feeling without using a pre-dominant such as IV. If the pre-dominant
to dominant to tonic motion is used in the middle of a phrase, either the dominant or the tonic (possibly
both) is likely to be inverted in order to avoid an unwanted cadential effect. For this reason, many phrases
do not contain a pre-dominant until the cadence.
The subdominant is most commonly found in root position, although the first inversion also produces a
pleasant effect. In major keys, IV6 sounds somewhat weak and is therefore unlikely to lead to a cadential
dominant. However, in minor keys, the motion from iv6 to V sounds much stronger because of the half-step
pull in the bass (from 6^ to 5^), and may therefore occur even at strong cadences.
There are voice-leading hazards associated with any IV-V progression (regardless of the inversions used).
The greatest dangers are parallel fifths and parallel octaves. Contrary motion in the outer voices will
greatly reduce the risk of making such an error, but careful proofreading is always appropriate. One must
exercise particular care in resolving the subdominant to the dominant in minor keys because an augmented
second can be produced between 6^ and 7^. To avoid this error, keep in mind that 6^ normally resolves down
to 5^ and 7^ is approached by 1^ instead. (This voice-leading pattern applies to major keys as well, even
though the augmented second is not a problem.) If for some reason it is very important for a single voice to
move from 6^ to 7^ in a minor key, then it will be necessary to use a major subdominant (IV rather than iv);
otherwise, iv is much more typical in minor keys.
When the subdominant is in root position, it is unusual to double any chord member other than the root.
However, when the chord is in first inversion, any doubling is possible. The best choice of doubling
depends on where the chord is leading. If IV6 progresses to a root-position V, then doubling the fifth of IV6
is probably best. On the other hand, if IV6 progresses to V6, then doubling the third of IV6 may be better.
(Notice that root-position IV is very unlikely to progress to V6 because this would necessitate a tritone leap
in the bass.) If IV6 simply changes inversion to IV before progressing, then doubling the root is probably a
good idea.

Cadence Types involving I, IV, and/or V

The two most important cadences in tonal music are the authentic cadence and the half cadence. An
authentic cadence is a dominant-tonic motion at the end of a phrase. When the cadence is especially
strong (involving root-position V resolving to root-position I with 1^ in the soprano), it is described as a
perfect authentic cadence (often abbreviated PAC). If the chords involved are not root-position V and I,
or — more likely — if the soprano ends on 3^ (or perhaps 5^), it is described as an imperfect authentic
cadence (often abbreviated IAC). Notice that when the soprano descends in an authentic cadence, it will
be necessary either to use an incomplete chord (i.e., omit the fifth) or to invoke the so-called “leading-tone
drop” (7^-5^) in an inner voice.
The half cadence is simply a cadential motion to V. As described earlier, a half cadence is only a
temporary resting point, and a phrase whose harmonic goal is the dominant makes us expect to hear
another phrase whose harmonic goal is the tonic (that is, a phrase ending with an authentic cadence).
When the dominant of the half cadence is approached by a half-step descent in the bass (6^ to 5^ in a minor
key), it is often described as a Phrygian cadence. Although not required by definition, Phrygian cadences
are almost always harmonized as iv6-V, and 4^-5^ is the most typical soprano line. (Don’t forget to double the
fifth of the iv6 chord, or there will be voice-leading problems!)
The plagal cadence (sometimes informally described as an “amen” cadence) is a motion from IV-I.
Because this cadence is non-functional (i.e., the IV chord does not fulfill its normal role as a pre-dominant
chord), it almost always follows an authentic cadence. Expect one voice (very often the soprano) to
maintain 1^ as a common tone while the two remaining upper voices resolve from 6^ to 5^ and 4^ to 3^. The
bass leaps (either up or down) from 4^ to 1^; do not use inverted chords in a plagal cadence.
 !

EXAMPLES AND COMMENTS

♭♭♭♭ 44 & & & & && && ''

$$$$$$$$$$$$$
" & & & &
& & & & & & '
♭ 4 & & '
# ♭ ♭♭ 4 & & & &
$$$$$$$$$$$$$
A b: I V6 I I6 IV V I

Things to notice:

• all root-position chords have doubled root

• doubling the fifth of V6 avoids leaps
• bass and soprano use voice exchange as the tonic changes inversions
• tenor leap across the barline is necessary because doubling fifth in IV would create voice-
leading problems as it progressed to V
• contrary motion in outer voices combined with good doubling makes IV-V easy to part-write
• ends with perfect authentic cadence

♯3 && ' &

4 & & & ' ')
$$$$$$$$$$$$$$$
" & & & ' ' & ')

♯ 34 && && && ' && '' && ')

$$$$$$$$$$$$$$$
# ')
G: I IV6 V6 I I6 IV V I

Things to notice:

• all root-position chords have doubled root

• parallel motion in outer voices between IV6 and V6 is obviously possible if we double the third of
IV6, but one must be careful
• alto could also have remained on D throughout measure 2
• the contrary motion in the outer voices makes IV-V near the end easy to part-write
• ends with imperfect authentic cadence
!

♭ ♭ 2 & & & & & && '

♭
" ♭♭ 4 & & & & &
$$$$$$$$$$$$$ ♮ '$

& & & & '

♭♭ ♭ 24 & ♮ && & ♮ && &
# ♭♭
$$$$$$$$$$$$$ & '$
b b: i V I6 V6 i iv6 V

Things to notice:

• all root-position chords have doubled root

• all leading-tones are raised and approached from above
• doubling fifth in V6 would be smoother, but it would cause parallel octaves with the soprano, so
the tenor leap is necessary
• doubling the fifth of iv6 in the Phrygian cadence at the end is normal, as is the 4^-5^ melody

♭♭♭ 3 & & & '

" 4 & & & ♮ ' & && && ♮ &&
♭
$$$$$$$$$$$$$$$$$$$ '' )) '' )) ''$
))

3 && & & ' & && & & '' )) ' ) ♮ ' )
♭♭ ♭ 4 & & ' ♮ & & & ' ) '$
# ♭
$$$$$$$$$$$$$$$$$$$ )
f: i iv6 iv V V6 i iv V i (iv) I

Things to notice:

• all root-position chords have doubled root

• all leading-tones are raised and approached from above
• doubling root of iv6 is reasonable because it moves to root-position iv before progressing to the
dominant
• doubling fifth of V6 creates smooth motion into i
• inverted V in measure 2 is appropriate to avoid an inappropriate sense of cadential motion in
the middle of the phrase
• contrary motion at iv-V makes part-writing easy
• leading-tone drop at perfect authentic cadence was used in order to reach a complete tonic triad
(notice that the soprano resolved down — when the soprano rises, this is rarely necessary)
• plagal cadence follows perfect authentic cadence
• because iv in the plagal cadence is non-functional, its Roman numeral is placed in parentheses;
this helps distinguish it from the functional iv chords earlier in the progression
• upper voices are as smooth as possible during plagal cadence
• Picardy third at the end
Music Theory I (MUT 1111) ! Prof. Nancy Rogers!

The Supertonic Chord (ii or ii°)

The supertonic is the strongest diatonic pre-dominant. It should therefore progress immediately to V and not move
to a weaker pre-dominant such as IV or vi. It is common for the tonic to lead directly to the supertonic, but beware
of parallel fifths and octaves! Inverting one of the chords but not the other (i.e., I6 to ii, or I to ii6) greatly reduces the
danger of forbidden parallels and also improves the sound. Contrary motion in the outer voices is helpful, although
not necessary. Placing an intermediate chord (most notably vi) between the tonic and the supertonic avoids the
problems associated with stepwise root motion.
Because its root lies a fifth above (or a fourth below) the dominant, the supertonic resolves to the dominant very
easily. Root motion by descending fifths, as you will see, produces a very strong sense of progression in most
cases — including the exceedingly common ii – V – I (often extended to vi – ii – V – I), a typical way to approach a
cadence. Another very common type of root motion is by descending thirds. Because triads whose roots are a
third apart share two common tones, such progressions are relatively simple to write. One very common example
is I – vi – IV – ii (using all three of the most common pre-dominant chords).
The supertonic chord occurs far more often in first inversion (ii6) than in root position. Indeed, in minor keys, ii°
cannot be used in root position because, as a general principle, we dislike the sound of root-position diminished
triads. The ii6 chord looks, sounds, and acts almost exactly like the IV chord: both have 4^ in the bass, both contain 6^
in an upper voice, and both progress to V. The biggest difference is that you are much less likely write parallel fifths
when using ii6 because ii shares a common tone with V (whereas IV does not).
When ii is in root position, expect to double the root. When it is in first inversion, doubling either the root or the bass
(i.e., the third) is very common. Doubling the fifth of the ii chord, regardless of its inversion, is very unusual.
Some common progressions incorporating the supertonic triad are shown below. Notice that in minor keys you
should avoid writing an augmented second from 6^ - ♯ 7^. Also notice that it is very unusual to place 6^ in the soprano
when writing a ii chord. If you really want 6^ in the melody, harmonize it with IV instead.

♯& ' ' ♯& ' ( ( '

# ' ' '' '' !!%
%%%%%%%% ' ( ( ' '' !!%
%%%%%%%%%
#
'' ' '' ' !! '' ( ( ' ' !!
♯& ' ' % ♯& ( ( ' '
%%%%%%%%
$ %%%%%%%%%
$ %
a) G: I vi ii V I b) G: I vi IV ii V I

♭ ' (( ( ! ♯ (
♭ # ( ( (( (( !!%
# '
%%%%%%% ♯( !% %%%%%%%%
'' ( ( ! ( ( ( ( !
♭ ( ( !% ♯ ( !
♭
%%%%%%%
$ $ ( ( (
%%%%%%%% %
c) g: i ii°6 V i d) G: I I6 ii V I
 ♭ ( ( (( ( ! ♯
♭ # (( (( (( (( !!%
# ( (
%%%%%%%% ♯( !% %%%%%%%%
(( ( ( ( ! ( ( ( !
♭ ( ( ( ♯ ( (
$♭
%%%%%%%% !% $ ( ( ( !%
%%%%%%%%
e) g: i VI ii°6 V i f) G: I IV ii V I

Both examples below contain serious part-writing errors. Notice that in minor keys the leading-tone should be
approached from above (as it was in the previous correct examples); when it is approached from below, an
undesirable augmented second is often produced. Also observe that the augmented second is often associated
with other mistakes (such as forbidden parallels and poor doubling).
Parallel octaves between bass and tenor, Augmented second in alto, poor doubling

♭ ♭
augmented second in alto on V chord

♭ !
# '' (( ♯(( !!
# '' (( ♯(( !
%%%%%%%% ♭
%%%%%%%%
' ( ( ! (
♭♭ ' ( ( ! ♭♭ '' ( (( !
%%%%%%%%
$ %%%%%%%%
$ !
g) g: i ii°6 V i h) g: i ii°6 V i
The Mediant Chord (iii or III)
The mediant chord is the least used of the seven standard diatonic chords; it is more common in minor keys than it
is in major keys. The mediant chord functions as a very weak pre-dominant — so weak that it almost always leads
to stronger pre-dominant chords, rarely progressing directly to V. One of its most important uses is to harmonize 7̂
as it descends in the melody. (If 7̂ ascended to 1̂, of course, we could simply harmonize it with some kind of
dominant chord and resolve to the tonic.)
In a functional context, there are two typical ways to progress from a mediant chord: either by root motion of
descending fifths (e.g., iii – vi – ii – V) or by bass motion of ascending steps (e.g., iii – IV – V or iii – ii6 – V). The
circle-of-fifths option is quite easy to part-write and should cause no problems. The rising bass option presents a
risk of forbidden parallels, but writing the outer voices in contrary motion usually prevents serious voice-leading
errors. In those relatively rare cases where the mediant progresses directly to V, the dominant is almost always in a
weak inversion.
The mediant chord may also progression to a non-functional IV chord, which proceeds to tonic (either I or I6).
When this happens, the entire I-iii-(IV)-I pattern will be understood as a tonic expansion. This pattern is likely to
include an 8̂-7̂-6ˆ-5ˆ melody (or at least a melody that reduces to 8̂-7̂-6ˆ-5ˆ ).
Below are several examples of good harmonic progressions incorporating the mediant chord. Notice that it is
almost invariably best to double the root, and that we usually take advantage of the common tones.

♯♯ 3 % % % ♭ 34 %% %% %% & ♯ % &(
! 4 % % %
######## &&# '' ###########
! & % &(
% % % % % % & %
♯♯ 34 % % % && '' 3 % % && ((
########
" # "♭ 4 %
########### %
a) D: I iii IV V b) d: i III iiº6 V64 —— 5
—— 3 i

♭ 44 %% %% %% %% %% ♯ %% ''
###########
! #
% % %% %% %% % '
44 % %
♭
###########
" % '#
c) d: i III VI iiº6 V64 —
—3
5
i

Because it is a relatively weak chord, the mediant is almost invariably used in root position. When placed in first
inversion (iii6), it sounds very much like a dominant triad with a non-harmonic tone. Indeed, should you come
across a chord that looks like iii6, consider the possibility that it is really V (especially if it resolves to the tonic)! It is
under these circumstances that we are most likely to find the rare III+ in minor keys — except that, again, this chord
almost surely a dominant with a non-harmonic tone (why else would the chord include a leading-tone?).
The Submediant Chord (vi or VI)
The submediant chord functions as a weak pre-dominant. Its most typical role is leading from the tonic to a strong
pre-dominant (such as IV or ii). The common tones between the submediant and all of these chords allow for
smooth and easy voice-leading. Leaping is atypical, and repeated notes — even in the soprano — should not
cause alarm.
In order to convey a sense of forward motion, we prefer to move from weak to strong pre-dominants as we progress
from the tonic to the dominant. The submediant therefore progresses well either to IV (iv) or to ii (ii°), but it does
not ordinarily follow them. Common harmonic patterns include root motion by descending fifths (e.g., vi – ii – V – I)
and root motion by descending thirds (e.g., I – vi – IV – ii). Because it is a pre-dominant, vi can progress directly to
V, but this is much less common and the voice-leading is unusually hazardous (especially in a minor key),
necessitating contrary motion in the outer voices.
Below are some examples of good harmonic progressions incorporating the submediant chord; you should also
refer back to the examples illustrating the supertonic chord. It is most typical (and smoothest) to send it to V by way
of a stronger pre-dominant (a-c), although direct motion to V is possible (d). Notice that in most circumstances is
best to double the root of the submediant, and that we usually take advantage of the common tones.

♭ 34 % % %% & ♯ % & ♭ 44 & % %% ♯ (

% %
###########
! & % &########
! & % (#

3 %% % % & % && 4 && % % (

"♭ 4 % % & %
########### "♭ 4
######## % % (#
a) d: i VI ii°6 V 64 —
—3
5
i b) d: i VI iv V

♯♯ 4 % %% % % ( ♯♯ 3 % % % &)
! 4 %
######### % % (# ! 4 % % %
######## &#
)

% % % % ( % % % &)
♯♯ 44 % % % ♯♯ 34 % )
&#
#########
" % (# ########
" % %
c) D I vi ii V I d) D: I vi V I

The Deceptive Cadence

Because the submediant chord shares the tonic triad’s two most important tones (1^ and 3^), it can follow a dominant
(V) chord, substituting for the tonic triad. The effect of this resolution is surprising: we expect the tonic, but instead
we hear the submediant. The motion from V – vi (or V – VI in minor) is therefore described as “deceptive.” When
the progression occurs at a point where we expect an authentic cadence, it is called a deceptive cadence. When
writing deceptive motions (and all other progressions involving root motion by step), be alert for parallel fifths and
octaves!
Below are two good examples (e and f) and one bad example (g) of a deceptive motion. Notice that it is normal to
double the third of the submediant when it follows V because it is important to resolve the leading-tone.

♯♯ 2 & ♯♯ 2 &
Parallel fifths and octaves!

& ♭ 24 4 &
! 4
###### & & #####
! ♯ && &# ######
! & &

♯♯ 24 & && 2 & && ♯♯ 2 & &

######
" & ♭ 4
#####
" & # " 4 &
###### &
e) D: V vi f) d: V VI g) D: V vi

After a deceptive cadence, it is typical to progress to a strong pre-dominant (just as one might from any
submediant) and lead into an authentic cadence. This is illustrated in example h.

♯♯ 4 % % % % % % % % & & (
! 4 % % % % % % % % & & (#
#################
% % % %% % %
♯♯ 44 % % % %% % & & ((
#################
" % % & & #
h) D: I vii°6 I6 ii6 V64 —
—3
5
vi ii6 V64 — 5
— 3 I

Because the submediant is a relatively weak chord, it is almost invariably used in root position. When placed in first
inversion (vi6), it sounds very much like a tonic triad with a wrong note and tends to lose its sense of function.
The Leading-Tone Chord (vii°)
By its very nature, the leading-tone triad exhibits some unusual characteristics. First, its root should never be
doubled because it is, of course, the leading-tone — an inherently unstable note. Instead, we almost always double
the third of the chord because this is the only chord member that is consonant with both of the other chord
members. Second, the leading-tone triad is rarely found in root position because, as a general rule, we dislike the
sound of root-position diminished triads. Instead, the chord is almost invariably used in first inversion. Placing the
third in the bass softens the chord’s dissonance because each upper voice will be consonant with the bass.
The vii°6 chord is used frequently, often as a passing chord. Its weak dominant function makes it ideal for leading
to the tonic chord (either in root position or in first inversion) in the middle of a phrase, but inappropriate for a strong
cadence. The leading-tone triad is strongly associated with smooth bass lines (although small leaps are not
impossible), and it is most likely to be found between two tonic chords. Like the passing V64, its most common role
is leading between I and I6; notice that vii°6 and V64 differ by only one note. It is likely to fall on a metrically weak
beat, and it is often found in the middle of a voice exchange.
Below are several examples of good harmonic progressions incorporating the leading-tone triad. Example a
demonstrates the chord’s most typical use, passing between different inversions of the tonic triad. Example b
demonstrates the chord’s use as a weak dominant. (Notice that using V rather than vii°6 here would cause serious
voice-leading problems!) As shown in example c, vii°6 can also occur between two identical (or virtually identical)
tonic chords. (This role is often described as a “neighboring chord” because the pattern involves voices that step
away and step back again.) Finally, example d demonstrates a small voice-leading concern associated with vii°6:
the motion from a diminished fifth to a perfect fifth between two upper voices (in this case, the alto and tenor).
When the voices creating a P5 with one another also create a perfect interval with the bass, the perfect interval
stands out more, and composers tend to avoid this effect. Many composers would rather double the third of a tonic
triad than write d5-P5 under these circumstances. Fortunately, you don’t have to make this choice: by using a
passing 64 chord instead, the situation is avoided entirely.

♯♯♯ 4 $ ♯♯♯ 3
#
No parallel fifths in the inner voices: G -D is a diminished fifth! IV-V would be very difficult to part-write with this melody!

! 4 $ $$ $$ $$ %%#
######### ! 4 $$ $$ $$
######## ((
''#

♯♯♯ 44 $ $ $$ $ % ♯♯♯ 3 $ $$ $ '(

'#
(
#########
" $ $ $ %# " 4 $
######## $
a) A: I vii°6 I6 vii°6 I b) A: i IV vii°6 I6

Parallel motion into P4 is Inner voice motion from Resolving d5 leads to Using an equivalent chord

3 $ 34 $ $ $ $ $ $ $ $ $
never a problem. d5-P5 is undesirable. doubled third (acceptable). avoids the problem.

! 4 $ ♯ $$ $$#
##### #############
! $ $ $ $ $ $ $ $ $#

3 $ $ $ 34 $$ ♯$$ $ $$ ♯$$ $ $$ ♯$$ $

" 4 $ $ $#
##### $
#############
" $ $#
c) a: i vii°6 i d) a: i6 vii°6 i i6 vii°6 i i6 P64 i
The Subtonic Chord (VII) !
In minor keys, the two distinct forms of 7^ in minor keys produce two distinct triads: the leading-tone is the root of a
diminished triad (vii°), whereas the subtonic is the root of a major triad (VII). These two triads could not be more
different, because they exhibit exactly the same tendencies as their respective roots: the leading-tone chord pulls
toward the tonic, while the subtonic chord pulls away from the tonic.
The most likely resolution of VII is III, because in the key of III (that is, the relative major) VII would be the dominant.
For instance, the VII chord in A minor is a G-major triad, and the III chord in A minor is a C-major triad. The
expected VII – III motion in A minor is identical to the typical V – I resolution in C major. (In fact, this harmonic
motion is so strong and so familiar that it is easy to modulate to the relative major — sometimes even
unintentionally — simply by using a subtonic chord and resolving it correctly.) If we keep this fact in mind, the
doubling principle is easy to understand: do not double the third of the VII chord, because it acts like a leading-
tone. When VII is in root position, it is best to double the root; when VII is in first inversion, doubling either the root
or the fifth is acceptable. (Notice that doubling the root of VII is not doubling the leading-tone, it is doubling the
subtonic!) VII6 will also resolve to III, just as V6 resolves to I.
Although part-writing the resolution of VII is usually easy, approaching VII can be difficult. The chord that appears
immediately before VII is usually the tonic, and stepwise root motion carries with it an inherent danger of parallel
fifths and octaves (as we have seen before with I – ii and IV – V, for instance). Contrary motion in the outer voices
makes the part-writing significantly easier when both chords are in root position, but you should always proofread
especially carefully around i – VII progressions. The example below illustrates some problems to avoid.
Parallel octaves and parallel Unresolved tendency tone in Doubled tendency tone (C )
# Parallel fifths between inner voices
#

♯♯ % % % %
fifths with bass soprano (C wants to lead to D) and parallel fifths with bass

% % % %
% % % % %
% % % % % % % %
$$$$$$$$$$$$$$$$$$$$
" % % %$
% % % % % % % % % % % %
♯♯ %
% % % % % % % %
$$$$$$$$$$$$$$$$$$$$
# % % %$
a) b: i VII III i VII III i VII III i VII6 III

Examples b-d illustrate good part-writing incorporating the subtonic triad. Observe in example b that all chords
containing the leading-tone (F #) resolve to the tonic, whereas all chords containing the subtonic (F n) do not. The
subtonic marks our first serious departure from the tonic; notice how the end of tonic expansion makes the III chord
sound like an important harmonic event. Contrary motion in the outer voices makes the i – VII progression in this
example easy to part-write.

♭♭4 % % % % % % %% %% %% %% % ) ) !
" 4 ) * ♯% %
$$$$$$$$$$$$$$$$$$$$% % ♯% ) !$
% % % % % % % % % % % % )) ) ♮!
♭♭ 44 % % ♯% % ♮% % % ) ) !$
)*
$$$$$$$$$$$$$$$$$$$$
#
b) g: i 53 — 6—5
— 4 — 3 vii°
6 i6 V6 i VII III ii°6 V64 —
—3
5
i (iv) I
Examples c and d include the subtonic triad in first inversion. Parallel motion in the outer voices (which would have
been disastrous in a i – VII progression) is possible when using VII6. You should be especially careful with the
upper voice doubling the tonic’s root, because this voice is almost sure to be involved in any forbidden parallels.
(Refer back to example a if you don’t see why this is true.)

♭♭ 44 %% %% %% % ) ) ♭♭ 44 )) %% %% %% % ♯ ))
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c) g: i VII6 III iv V64 —
—3
5
d) g: i VII6 III VI ii°6 V

Although VII typically resolves to III, other resolutions are possible. As shown in example e, sometimes VII leads to
iv6, which in turn leads to V or V7. (This progression is most likely to be heard in Baroque music. In fact, the motion
from VII – iv6 will prompt experienced listeners to expect a Phrygian cadence next.) As shown in example f, it is
also possible for VII to move directly to V6 or V65, which will in turn lead to the tonic. The overall effect is simply tonic
expansion because the progression is very weak.

♭♭ 4 ) % % ♮! ♭♭♭ 44 )) %% %% !!
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e) c: i VII iv6 V f) c: i VII V65 i
! Music Theory I (MUT 1111) Prof. Nancy Rogers
6
SUPPLEMENTAL INFORMATION ABOUT 4 CHORDS

Because of their inherent instability, 64 chords are used only in very limited circumstances. You
will find that they fall into four categories: cadential, passing, auxiliary (also commonly
described as neighboring), and bass arpeggiation.

The cadential 64
This is the most common and also the most important variety of 64 chord. The cadential 64
functions as an elaboration of the dominant because it is really a root-position dominant chord
with two non-harmonic tones (suspensions and/or passing tones). When these two non-
harmonic tones resolve, we can clearly see the expected V chord. To convey the chord’s
dominant function as well as its voice leading, the preferred label for the cadential 64 and its
resolution is V64 -- 53. As its name suggests, this chord is especially common at cadences, but it
can also be used in the middle of a phrase.
Other important things to remember:
• This chord almost invariably appears on a metrically strong beat, such as beat 1 or beat 3
in a quadruple meter. When it appears on a relatively weak beat, its resolution falls also
falls on a weak beat. For instance, if the cadential 64 falls on beat 2 in a triple meter, then
the resolution will almost surely fall on beat 3.
• As the figures clearly suggest, the two notes that are non-harmonic to V want to resolve
down to their respective harmonic tones (1̂ wants to resolve down to 7̂, and 3̂ wants to
resolve down to 2̂). Because 1̂ is dissonant (lying a perfect fourth above the bass), it is a
tendency tone and must resolve as expected. Because 3̂ is consonant (lying either a major
or minor sixth above the bass), irregular resolutions are less unusual.
• Although the bass may leap, expect to approach the cadential 64 with smooth voice-
leading in the upper parts. It is particularly important not to leap into 1̂ (the fourth above
the bass) because, as a general rule, we don’t like to leap into dissonances.
• The best note to double is the bass, since this is the cadential 64’s only stable note. (Keep
in mind that this is the true root of the chord!) Doubling 1̂ (the fourth above the bass) is a
serious mistake because this note is dissonant. Poor doubling is likely to lead to other
mistakes such as parallel octaves. Doubling 3̂ is quite unusual, although not impossible.
Below are some typical examples of cadential 64 chords.

%% 4 & & & & ! & & & & ! %%%% 3 ' & & & & ' (
" 4 & & & & ! & & & & !
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& & & ! & ' & & & '(

%% 44 & & ' & ! & && & & !! %%%% 34 ' & & & ) & ' (
$$$$$$$$$$$$$$$$$$$$$$$$$
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B b: I IV V64 -- 53 I I ii6 V64 -- 53 I b b: i i6 iv V64 -- 53 i
The passing 64
This is the second most common variety of 64 chord. However, it is not a strong chord and has
no real purpose except to lead between stronger and more important chords (almost always two
tonic chords or two pre-dominant chords). To convey the passing 64’s marginal status, it is
preferred simply to label the chord “P64” for several reasons: it is too weak to deserve its own
Roman numeral, its root is essentially irrelevant, and it helps avoid confusion with the
cadential 64. Alternatively, some people place the Roman numeral (either V64 or I64) within
parentheses to convey the chord’s relative unimportance.
Other important things to remember:
• This chord always involves a stepwise bass line, and usually very smooth upper voices as
well. Voice exchanges between the bass and an upper voice (frequently the soprano) are
common. Leaps in the upper voices are unusual, and leaps in the bass are impossible.
• This chord tends to occur between two inversions of the same chord (e.g., I and I6).
Otherwise, it will connect two very similar chords (e.g., IV6 and ii6).
• Since the chord is weak and shouldn’t attract much attention, it is likely to fall on a
metrically weak beat. The chord that immediately precedes the passing 64 will almost
surely fall on a metrically strong beat (probably a downbeat).
• Doubling the bass will almost surely produce the best and smoothest voice-leading. Any
other doubling is rare.
• Passing 64 chords almost always expand either the tonic function or the pre-dominant
function. They almost never expand the dominant function (because there are other
chords that better fulfil this role).
C-Gb is a d5, so there are no parallel fifths!
Below are some typical examples of passing 64 chords. Don’t be alarmed by the inner voices:

%% 34 && && && %%%%% && ) && && %% & & %%% 4 ' & &
%% 4 ' & &$
$$$$$$$$$$$$$$$$$$$$$$
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& & & % & & & & & & ' & &
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3
$$$$$$$$$$$$$$$$$$$$$$
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B b: I P64 I6 b b: i6 P64 i B b: IV P64 IV6 b b: iv6 P64 iiº6
Notice the voice exchanges that occur between the bass and some upper voice (often the When realizing this progression, the
melody). above melody is almost always best.

The neighboring 64 (also known as the pedal 64 or the auxiliary 64 )

Although this chord is distinctly less common than either the cadential 64 or the passing 64, it is by
no means unusual. Like the passing 64, this chord serves only to expand the chords around it.
Like the cadential 64, it is really a root-position chord with two non-harmonic tones (upper
neighbors); the chord tones we expect in the upper voices will almost always occur immediately
before and after the 64 chord. To convey the neighboring 64 chord’s function as well as its voice
leading, the preferred label involves the figures 53 -- 64 -- 53.
Other important things to remember:
• The neighboring 64 involves a stationary bass line (and usually one stationary upper
voice), while two upper voices step up and step back down again.
• It almost always expands either the tonic or the dominant. Expect to see a very typical
root-position tonic or dominant chord both before and after the neighboring 64.
• The best note to double is the bass, since this is the chord’s only stable note. Any other
doubling is rare.
• Since the neighboring 64 chord is weak and shouldn’t attract much attention, it is likely to
fall on a metrically weak beat. The chord that immediately precedes it will almost surely
fall on a metrically strong beat (probably a downbeat).
Below are some typical examples of neighboring 64 chords.

%% 3 & & & %% % %% & %%% 4 ' & &

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& &

& & & & & & && && && ) '' && &&
3
%% 4 & & & %% % & & & %% % 4
%%
$$$$$$$$$$$$$$$$$$$$$$
# % %%% 4 $
B b: I 53 — 6—5
—4—3 b b: i 53 — 6—5
—4—3 B b: V 53 — 6—5
—4—3 b b: V 53 — 6—5
—4—3

The bass arpeggiation 64

Usually you will realize that these are not genuinely independent chords, but are instead a by-
product of a vaguely melodic (or at least active) bass line. It is therefore usually most
appropriate not to label such 64 chords individually.
Below are some typical examples of bass arpeggiation 64 chords.

%%4 ! 34 ' ( %%%% 4 ! !

4 ! ' ( % 4
$$$$$$$$$$$$$$$$$$$$$$
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!&
4
%% 4 & & ' 34 ' ( & & %% % 44 !& & & & !
$$$$$$$$$$$$$$$$$$$$$$
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B b: I -------------- B b: V ------------ b b: i -------------------------

One final example containing all types of 64 chords

*3 && && && & & & & ' (

4 '
'
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' & & & & & & & '(
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# 4 ' & & & &
$$$$$$$$$$$$$$$$$$ &
G: I 53 — 6 —— 5
— 4 —— 3 P64 I6 ii6 V64 —
—3
5
I -----------
Music Theory I (MUT 1111) ! Prof. Nancy Rogers!

The Supertonic Chord (ii or ii°)

The supertonic is the strongest diatonic pre-dominant. It should therefore progress immediately to V and not move
to a weaker pre-dominant such as IV or vi. It is common for the tonic to lead directly to the supertonic, but beware
of parallel fifths and octaves! Inverting one of the chords but not the other (i.e., I6 to ii, or I to ii6) greatly reduces the
danger of forbidden parallels and also improves the sound. Contrary motion in the outer voices is helpful, although
not necessary. Placing an intermediate chord (most notably vi) between the tonic and the supertonic avoids the
problems associated with stepwise root motion.
Because its root lies a fifth above (or a fourth below) the dominant, the supertonic resolves to the dominant very
easily. Root motion by descending fifths, as you will see, produces a very strong sense of progression in most
cases — including the exceedingly common ii - V - I (often extended to vi - ii - V – I), a typical way to approach a
cadence. Another very common type of root motion is by descending thirds. Because triads whose roots are a
third apart share two common tones, such progressions are relatively simple to write. One very common example
is I - vi - IV - ii (using all three of the most common pre-dominant chords).
The supertonic chord occurs far more often in first inversion (ii6) than in root position. Indeed, in minor keys, iiº
cannot be used in root position because, as a general principle, we dislike the sound of root-position diminished
triads. The ii6 chord looks and acts almost exactly like the IV chord: both have 4^ in the bass, both contain 6^ in an
upper voice, and both progress to V. The biggest difference is that you are much less likely write parallel fifths
when using ii6, because ii shares a common tone with V (whereas IV does not).
When ii is in root position, expect to double the root. When it is in first inversion, doubling either the root or the bass
(i.e., the third) is very common. Doubling the fifth of the ii chord, regardless of its inversion, is very unusual.
Some common progressions incorporating the supertonic triad are shown below. Notice that in minor keys you
should avoid writing an augmented second from 6^- " 7^. Also notice that it is very unusual to place 6^ in the soprano
when writing a ii chord. If you really want 6^ in the melody, harmonize it with IV instead.

a) G: I vi ii V I b) G: I vi IV ii V I

c) g: i iiº6 V i d) G: I I6 ii V I
e) g: i VI iiº6 V i f) G: I IV ii V I

Both examples below contain serious part-writing errors. Notice that the undesirable augmented second is often
associated with other mistakes (parallel octaves in example g, and atypical doubling of the V chord in example h).

g) g: i iiº6 V i h) g: i iiº6 V i
The Submediant Chord (vi or VI)
The submediant chord functions as a weak pre-dominant. Its most typical role is leading from the tonic to a strong
pre-dominant (such as IV or ii). The common tones between the submediant and all of these chords allow for
smooth and easy voice-leading; leaping is atypical, and repeated notes — even in the soprano — should not cause
alarm.
In order to convey a sense of forward motion, we prefer to move from weak to strong pre-dominants as we progress
from the tonic to the dominant. The submediant therefore progresses well either to IV (iv) or to ii (ii°), but it does
not ordinarily follow them. As a pre-dominant, vi can progress directly to V, but this is much less common and the
voice-leading is unusually hazardous (especially in a minor key), necessitating contrary motion in the outer voices.
Below are two examples of good harmonic progressions incorporating the submediant chord; you should also refer
back to the examples illustrating the supertonic chord. It is best (and smoothest) to send it to V by way of a
stronger pre-dominant (a), although direct motion to V is possible (b). Notice that in most circumstances is best to
double the root of the submediant, and that we usually take advantage of the common tones.

a) d: i VI iv V b) D: I vi V

The Deceptive Cadence

Because the submediant chord shares the tonic triad’s two most important tones (1^ and 3^), it can follow a dominant
(V) chord, substituting for the tonic triad. The effect of this resolution is surprising: we expect the tonic, but instead
we hear the submediant. The motion from V - vi (or V - VI in minor) is therefore described as “deceptive.” When
the progression occurs at the end of a phrase, it is called a deceptive cadence. When writing deceptive motions
(and all other progressions involving root motion by step), be alert for parallel fifths and octaves! Below are two
good examples (c and d) and one bad example (e) of a deceptive motion. Notice that it is normal to double the third
of the submediant when it follows V because it is important to resolve the leading-tone.
Notice parallel fifths and octaves!

c) D: V vi d) d: V VI e) D: V vi

Because it is a relatively weak chord, the submediant is almost invariably used in root position. When placed in first
inversion (vi6), it sounds very much like a tonic triad with a wrong note and tends to lose its sense of function.
The Mediant Chord (iii or III)
The mediant chord is the least used of the seven standard diatonic chords; it is more common in minor keys than it
is in major keys. The mediant chord functions as a very weak pre-dominant — so weak that it almost always leads
to stronger pre-dominant chords, rarely progressing directly to V. One of its most important uses is to harmonize 7^
as it descends in the melody. (If 7^ ascended to 1^, of course, we could simply harmonize it with some kind of
dominant chord and resolve to the tonic.)
There are two typical ways to progress from a mediant chord: either by root motion of descending fifths (e.g., iii – vi
– ii – V) or by bass motion of ascending steps (e.g., iii – IV – V or iii – ii6 – V). The circle-of-fifths option is quite
easy to part-write and should cause no problems. The rising bass option presents a risk of forbidden parallels, but
writing the outer voices in contrary motion usually prevents serious voice-leading errors. In those relatively rare
cases where the mediant progresses directly to V, the dominant is almost always in a weak inversion.
Below are several examples of good harmonic progressions incorporating the mediant chord. Notice that it is
almost invariably best to double the root, and that we usually take advantage of the common tones.

a) D: I iii IV V b) d: i III iiº6 V64 —— 5

i
—— 3

c) d: i III VI iiº6 V64 —

—3
5
i

Because it is a relatively weak chord, the mediant is almost invariably used in root position. When placed in first
inversion (iii6), it sounds very much like a dominant triad with a non-harmonic tone. Indeed, should you come
across a chord that looks like iii6, consider the possibility that it is really V (especially if it resolves to the tonic)! It is
under these circumstances that we are most likely to find the rare III+ in minor keys — except that, again, this chord
almost surely a dominant with a non-harmonic tone (why else would the chord include a leading-tone?).
The Leading-Tone Chord (viiº)
By its very nature, the leading-tone triad exhibits some unusual characteristics. First, its root should never be
doubled because it is, of course, the leading-tone — an inherently unstable note. Instead, we almost always double
the third of the chord because this is the only chord member that is consonant with both of the other chord
members. Second, the leading-tone triad is rarely found in root position because, as a general rule, we dislike the
sound of root-position diminished triads. Instead, the chord is almost invariably used in first inversion. Placing the
third in the bass softens the chord’s dissonance because each upper voice will be consonant with the bass.
The viiº6 chord is used frequently, often as a passing chord. Its weak dominant function makes it ideal for leading to
the tonic chord (either in root position or in first inversion) in the middle of a phrase, but inappropriate for a strong
cadence. The leading-tone triad is strongly associated with smooth bass lines (although small leaps are not
impossible), and it is most likely to be found between two tonic chords. Like the passing V64, its most common role
is leading between I and I6; notice that viiº6 and V64 differ by only one note. It is likely to fall on a metrically weak
beat, and it is often found in the middle of a voice exchange.
Below are several examples of good harmonic progressions incorporating the leading-tone triad. Example a
demonstrates the chord’s most typical use, passing between different inversions of the tonic triad. Example b
demonstrates the chord’s use as a weak dominant. (Notice that using V rather than viiº6 here would cause serious
voice-leading problems!) As shown in example c, viiº6 can also occur between two identical (or virtually identical)
tonic chords. (This role is often described as a “neighboring chord” because the pattern involves voices that step
away and step back again.) Finally, example d demonstrates a small voice-leading concern associated with viiº6:
the motion from a diminished fifth to a perfect fifth between two upper voices (in this case, the alto and tenor).
When the voices creating a P5 with one another also create a perfect interval with the bass, the perfect interval
stands out more, and composers tend to avoid this effect. Many composers would rather double the third of a tonic
triad than write d5-P5 under these circumstances. Fortunately, you don’t have to make this choice: by using a
passing V64 chord instead, the situation is avoided entirely.

#
No parallel fifths in the inner voices: G -D is a diminished fifth! IV-V would be very difficult to part-write with this melody!

a) A: I viiº6 I6 viiº6 I b) A: i IV viiº6 I6

Parallel motion into P4 is Inner voice motion from d5- Resolving d5 leads to Using an equivalent chord
never a problem. P5 is undesirable. doubled third (acceptable). avoids the problem.

c) a: i viiº6 i d) a: i6 viiº6 i i6 viiº6 i i6 (V64) i

!asic Theory II .M0T 11123 ! Prof6 Na8cy Rogers!
!
The Domi8a8t Se?e8th @hord .BC3
"he dominant seventh chord is e0actly like the dominant triad, e0cept that it contains an e0tra note that is
dissonant. It therefore behaves almost e0actly the dominant triad. :or instance, we e0pect it to resolve to a tonic
chord — not to a pre=dominant. However, ?7As inherent dissonance makes it is much less suitable for use in a half
cadence, because the dissonance undermines our sense of temporary rest. Cn the other hand, it is especially
useful at strong authentic cadences, because resolving the dissonance contributes to our sense of forward motion.
"he dominant seventh chord contains two tendency tones that need to resolve: the leading=tone ( 7G ), which wants
to resolve up by step, and the seventh ( 4G ), which wants to resolve down by step. (Je very careful not to confuse 7G
with the seventh, because they lead in opposite directionsK) "he e0amples below illustrate a variety of good and
bad resolutions of ?7.

$
a. good b. good c. good d. badK e. badK f. not good g. good h. bad

%% %% %% %% %% %
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a. Joth tendency tones resolve, producing an incomplete tonic chord. "his is Luite acceptable.
b. "he alto employs a Mleading=tone drop,N thereby creating a complete tonic chord. "his is acceptable as
long as the leading=tone is in an inner voice.
c. When we begin with an incomplete ?7 chord (fifth omitted, root doubled — okay if the chord is in root
position), both tendency tones are able to resolve and the tonic will be complete.
d. Pnresolved leading=tone in the soprano is unacceptable.
e. Pnresolved seventh in the tenor is unacceptable.
f. "he tendency tones resolve properly, but the third of the I chord is doubled (not often desirable). If we want
to retain the same soprano line, we should use ? rather than ?7 (the tenor would sing a Q for both chords).
g. Rood deceptive cadence. Sotice that using ?7 rather than ? makes the voice=leading entirely stepwise.
h. CbTectionable direct octave between outer voices. Although the soprano moves by step, the resolving
dissonance makes the octave stand out more than it normally would. "his is even problematic if the
seventh appears in an inner voice. Sotice also that the progression ?7 V I6 is guaranteed to double the
tonicAs third. "his progression should be avoided.
All inversions of the dominant seventh chord are e0tremely common and may be used freely, although of course
only the root=position ?7 is appropriate at strong cadential points. "he seventh is often approached by step or
common tone, especially when using root=position ?7. Ppward leaps are possible when approaching the seventh
of inverted ?7 chords, but downward leaps are rare. Inverted ?7 chords tend to appear between tonic chordsX they
may also be approached through pre=dominant chords, but this is less common. Yome typical e0amples appear
below. Sotice that the tendency tones consistently resolve: 7G-ZG and 4G-[G.
i. T.
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 Prof. Nancy Rogers
!

COMMON-TONE DIMINISHED SEVENTH CHORDS

The common-tone diminished seventh chord is a chromatic non-functional chord that

serves to expand another chord. Because it generally appears as a collection of neighbor
tones, the common-tone diminished seventh is often described as a “neighbor chord.”
The outer voices are especially likely to move by step or common tone; leaps (if
necessary) are usually relegated to an inner voice.

As its name suggests, the common-tone diminished seventh chord has a fully diminished
quality and shares one note with the chord it prolongs. This common tone is the root of
the prolonged chord. Since the common-tone diminished seventh chord has no function
of its own, it is not given its own Roman numeral but instead is simply abbreviated CT°7.

% & ' & & %% & ' & & %% & % & %& ( &
a. preferred b. acceptable c. poor soprano d. poor spelling

%
" & (& & & (& & & &
& (& & % & (& &
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& & & & & & & '& & &
%% & & & %% & & & %% & & & %% & && &&
#
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B b: I CT°7 I I CT°7 I I CT°7 I I CT°7 I

Notice that the smoothest voice-leading will result in a doubled fifth (a); this is generally
considered preferable to leaping, although minimal leaping is acceptable as long as it is
hidden in an inner voice (b). Leaping in either of the outer voices is undesirable (c). The
common-tone diminished seventh chord’s spelling should be determined by the voice-
leading tendencies of the notes involved: examples a-c are spelled appropriately, but d is
not. Notice that when the expanded chord is in root position, the CT°7 will appear to be
in 42 position.

'' & & & '' & '& & '' & '& & '' & '& &
e. f. g. h.

" & '& & & & & & & &
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& & '& & & '& &

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& & &
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# & & & '&
D: I6 CT°7 I6 V CT°7 V V7 CT°7 V7 V6 CT°7 V65

Although common-tone diminished sevenths are frequently used to expand root-position

chords, they also expand inverted chords quite effectively (e and h). Notice that the
common tone is far less conspicuous in these cases, often relegated to an inner voice (h).
The common-tone diminished seventh chord almost invariably expands a major chord,
most likely the tonic (a-e) or the dominant (f-h). The expanded dominant may be either a
triad (f) or a seventh chord (g), and sometimes the seventh is added after the CT°7 (h).
 i. passing chord (non-functional) j. secondary chord k. secondary chord

% %% & ( & !! %%% & & & %%% % && ( && && ))
" & &
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E b: I CT°7 V43 CT°7 I6 I vii°7/ii ii vii°7/V V64 —
—3
5
I

The common-tone diminished seventh chord generally appears between two identical (or
nearly identical) chords, in which case chromatic neighboring motion will be evident.
However, it is also possible for this chord to pass between functional chords (i). For
inexperienced music analysts, passing CT°7 chords are much more difficult to detect
because they look very similar to secondary leading-tone chords. Notice several
important differences between the first three chords of i and j:
• Although the diminished seventh chords are enharmonically equivalent, they are
spelled differently.
• The spelling of the CT°7 might lead us to expect a D triad next, but this chord
never appears. The spelling of the secondary chord leads us to expect an F triad,
and it does indeed resolve to an F-minor chord.
• The root of the secondary chord resolves to the root of the next chord, as expected.
The apparent root of the CT°7 resolves to the third of the next chord.
• One voice in the CT°7 retains a common tone, whereas all voices in the secondary
chord resolve by step.
Be aware that when vii°7/V resolves to V via a cadential 64, there will be a common tone
(two common tones in minor keys), as shown in example k. However, this is not an
instance of a common-tone diminished seventh chord. We must keep in mind that the
progression is functional. The common tones result from the suspensions that delay the
arrival of 7^ and 2^ in the upper voices once the bass moves, which is quite different from
the previous examples.

Other common-tone chords are possible, but they are relatively unusual. The one you are
most likely to encounter is the common-tone augmented-sixth chord (CT+6), which
expands the tonic. Once again, the common tone is the root of the prolonged chord.
l. m. n. o.

& & & & &

% & %
" & %& && ( & % & (
'& & &
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#
F: I CT+6 I I CT+6 I I CT+6 I I CT+6 I

The bass may maintain the common tone (l and m), or it may leap a third to b6^ (n and o).
While the CT+6 chord may be spelled like a functional German chord (as in examples l
and o), it is often spelled with #2^ rather than b3^ (as in examples m and n) because this
better reflects the voice leading of the chord’s resolution. Even when it looks exactly like
a functional Ger+6 chord, the CT+6 is easily distinguishable because it returns to the tonic
rather than progressing to the dominant.
MUT 1111: Basic Theory I Prof. Nancy Rogers

! EXAMPLES OF COMMON PART-WRITING ERRORS

&
a. bad b. bad c. bad d. bad e. good

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& %% %% %% %%
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%% % % % %% % %% % %% %
&
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a.! Parallel fifths between the bass and tenor.

b.! Consecutive fifths (also known as “antiparallel” fifths) between the bass and tenor.
c.! Leading-tone in soprano not resolved. Also causes direct fifth between outer voices.
d.! Improperly incomplete chord — tonic triad has no third.
e.! Good solution. Notice the smooth voice-leading in all upper voices. Also notice that doubling the root
doesn’t usually require any special effort.
Common Part-Writing Errors Page 2

'
f. good g. good h. bad i. bad j. good

" %% % %% %% %% % %% %
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%% %% %$
%
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' % % %
# % % %
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f.! Tripled root in tonic triad is not unusual in a situation like this. It is generally acceptable to omit the fifth
from a root-position triad as long as there is a good reason (in this case, the chance to resolve the alto’s
leading-tone).
g.! Unresolved leading-tone is acceptable as long as it is in an inner voice and there is some good reason not to
resolve it (in this case, the desire for a complete triad).
h.! Improperly incomplete chord — tonic triad has no third.
i.! Leading-tone in soprano not resolved. Also causes direct fifth between outer voices.
j.! Good solution. Leading-tone in soprano does eventually resolve. It would be impossible to resolve sooner
because the dominant is repeated.
Common Part-Writing Errors Page 3

''''
k. bad l. acceptable m. good n. not good o. not good p. good

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% % %
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k.! Voice crossing in tenor and alto. Also, why is the dominant triad incomplete (missing a fifth)?
l.! The voice crossing has been corrected by exchanging the inner voices, but there still isn’t any obvious reason
why the dominant is incomplete.
m.! This solution is preferable to the two before it because it uses complete chords.
n.! The bass overlaps the tenor (i.e., the bass goes above the tenor’s previous note). This is a relatively minor
mistake, but should be avoided if possible.
o.! The overlap from the previous example is corrected, but the tonic is incomplete for no apparent reason.
(Refer back to example m to see a better solution.)
p.! In this case, the tonic is also incomplete, but there is a good reason (resolving the tenor’s leading tone).
Common Part-Writing Errors Page 4

q. bad r. good s. good t. bad u. good

&&&& % % % % % %% % %%
% % %
% % % %
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" % % %

% %% % % % % % % % %
&&&& % % % % % % % %
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#
q.! Objectionable direct octave (also known as “hidden” octave) in outer voices.
r.! The outer voices move in similar motion into a perfect fifth, but because the soprano moves by step (thus not
attracting much attention), the perfect interval is not objectionable. The tenor leaps into a perfect octave with
the bass, but because inner voices don’t attract much attention, the perfect interval is not objectionable. We
rarely worry about direct fifths/octaves unless something makes them stand out.
s.! The direct octave between the outer voices is not objectionable because the chord remains the same.
t.! Tenor and alto are too far apart on the second chord.
u.! The spacing from the previous example has been corrected. Notice that the bass and alto do not have parallel
octaves because they are not moving at all.
 BINARY AND TERNARY FORMS

It would be possible for a composer to create a unique form for every new work, but you can
imagine how increasingly difficult such a task would become — particularly if every composer
had this goal in mind. Not only would it take more and more time to work out a new plan, but
each new plan would demand a different dramatic approach (and therefore a different
compositional strategy). Perhaps this is why many composers prefer to reuse a relatively small
number of forms. Alternatively, we might wonder whether composers use familiar forms in
order to play with audience expectations — maybe a little of both. Whatever the underlying
reasons might be, a great deal of music falls into the broad recurring categories outlined below.
The two most important features of form are thematic design and harmonic structure. Thematic
design refers to the repetition of similar (or even identical) melodies and/or the use of
contrasting melodies. Harmonic structure refers to patterns of chords and key areas, focusing
particularly on important cadences. The interaction of thematic design and harmonic structure
creates a variety of common forms. (Notice that thematic design and harmonic structure are
independent issues, since it is quite possible to write different themes in the same key or the
same theme in different keys).

Thematic issues

Binary form: the music falls into two large sections (usually both sections are repeated)
Subcategories of binary form:
simple — material from the first section does not literally reappear in the second section.
If the two sections are relatively different, the form may be represented as AB (or
! A " #$ " B % to indicate the repeats); if the two sections are very similar, the form may
be represented as AA' (or ! A " $ " A' % ).
rounded — material from the beginning of the first section returns after a digression in
the second section, resulting in an ABA or ABA' form (with repeats, ! A " $ " BA %
or ! A " $ " BA' % ).
balanced — the cadential formula from the first section returns at the end of the second
section (usually just a measure or two, but perhaps as much as a phrase). This is
strongly associated with continuous binary form (see back of page).
barform — the first section is repeated, but the contrasting second section is not
repeated, resulting in an ! A % B form (example: The Star-Spangled Banner).
This is associated with sectional binary form (see back of page).
Ternary form: the music falls into three large sections, the last of which is identical (or nearly
identical) to the first, resulting in an overall ABA or ABA' form. Repetition is less predictable;
! A " $ " B " $ " A % and ABA without repeats are both common, and ! A " $ " BA % is possible. The
only thematic subcategory of ternary form is compound ternary form, in which each of the
three large sections embeds a smaller form (frequently some sort of binary form).

Harmonic issues

Sectional: the first section is harmonically complete and ends on the original tonic.
Full sectional (refers to ternary forms only): all sections are harmonically complete. It is
possible (in fact, likely) that the second section has its own key.
Continuous: the first section is harmonically incomplete, either ending with a half cadence or
modulating to another key (usually V in major keys and III in minor keys).
Common forms

Since thematic design and harmonic structure are relatively independent, many combinations
are possible:

simple sectional binary A (harmonically complete) B; also AA'

rounded sectional binary
simple continuous binary
rounded continuous binary
balanced continuous binary
sectional ternary
full sectional ternary
continuous ternary
A (harmonically complete) B A(')
A (harmonically incomplete) B; also AA'
A (harmonically incomplete) B A'
A (harmonically incomplete) B with cadence from A
A (harmonically complete) B (harmonically incomplete) A(')
A (harmonically complete) B (harmonically complete) A
A (harmonically incomplete) B A'

Notice that compound ternary forms will always be full sectional, because the B section (by
virtue of having its own small form) is harmonically complete.

A very gray area

As you may have noticed, both rounded binary and ternary forms have an overall ABA
thematic design. How can we tell which is which? Remember that binary forms have two large
sections (we hear that B merges with the following A), while ternary forms have three large
sections (we hear B as relatively independent from the following A).

It is often helpful to consider the following questions:

• Would B make musical sense if played alone?
• Does B have its own tonal area that distinguishes it from A?
• Is B motivically independent from A?
• Is the character of B strikingly different from that of A?
Every positive response to these questions supports ternary form, and every negative response
supports binary form. Keep in mind that at some point this simply becomes an issue of
individual judgment and the difference is not terribly important.

Possibilities for variation

Always remember that form designations refer to compositions that share some very broad
characteristics. Good composers don’t treat form as a blueprint to which they absolutely must
adhere. If you encounter music that doesn’t quite fit a standard model (and you undoubtedly
will!), don’t jump to the conclusion that the composer has made a mistake or is being
deliberately confusing. While the predictable aspects of music (standard forms, functional
harmony, etc.) make it easy for us to follow a composition we don’t know, sometimes it is the
unpredictable moments that we enjoy most. For this very reason, though, we should not ignore
what we know about form: if we have no expectations, then we cannot be surprised.
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 PROTOTYPICAL SONATA FORM

! "
Exposition Development Recapitulation
First transition Second Closing ? retransition First transition Second Closing
theme theme theme theme theme theme
M: I V V ? (V7 chord in tonic) I I I
m: i III (or v) III (or v) ? (V7 chord in tonic) i i (or I) i

Variations of Terminology
Although there is widespread agreement on the general principles of sonata form, many different sets of terms have arisen over the
years. Fortunately, people who know one set of terms can easily understand the other sets. For example, some writers indicate that a
typical sonata begins with the first theme, but other writers might refer to the principle theme, the primary theme, the first theme
group, or the first tonal area. Although these terms might reflect a slightly different focus (notice, for instance, the emphasis on
themes vs. key areas), they are by no means incompatible. Sometimes a particular composition may be more easily discussed using
one set of terms rather than another, but, generally speaking, no set of terms in inherently preferred to another. (That said, however,
you should be aware that designations like “third theme” are rare. Instead, the expression closing theme is strongly preferred.)

Common Variations:
End with coda (usually stays close to tonic with possible emphasis on IV; usually employs familiar thematic material)
Start with introduction (usually slow, usually ending on dominant chord, not usually repeated, might not have any obvious
connection to the rest of the movement)
Use a retransition at the end of the exposition to return to the tonic (particularly likely if exposition ends in a remote key). Sometimes
this retransition has a first and second ending so that it may serve as a transition to the development when the exposition is
repeated.
Thematic groups (i.e., extra themes in the exposition) — if there are multiple distinct themes before the change of key, then it is best to
describe them as part of a first theme group. If there are multiple distinct themes after the change of key, then you will have to
consider their character to determine whether you have a second theme group, a closing theme group, or both.
Sometimes there is no closing theme.
The second key may not be closely related to the original tonic. However, the general pattern will be the same (i.e., the key contrast
from the exposition will be “resolved,” in some sense, to the tonic during the recapitulation).
A significant portion of the first theme may appear transposed to some key other than the original tonic during the development. This
is known as a false recapitulation for fairly obvious reasons.
Less Common Variations:
No distinct second theme (i.e., first theme appears in transposition after the transition) — it is best to use the designations first tonal
area and second tonal area. Such sonatas are commonly described as monothematic. There may still be a distinct closing
theme (or even a closing theme group).
Themes are reordered in the recapitulation. Usually all themes will return eventually, but it is possible for a theme to disappear entirely
(especially if it is strongly emphasized in the development.
There may be three distinct key areas rather than the usual two. Such sonatas are creatively described as three-key sonatas. Of
course, this extra tonal area may be approached through an additional transition.
Extra material (a new theme, an extended version of a familiar theme, etc.) may appear during the recapitulation.

Common Characteristics of the Standard Components:

(Warning: there are plenty of exceptions to these characterizations. Don’t take them too seriously.)
First theme — tends to be loud and rhythmically active with a somewhat bold and aggressive character. Does not necessarily end
with a perfect authentic cadence.
Second theme — tends to be quieter and more legato, often uses longer notes, often described as “lyrical.” The second theme will
generally end with a perfect authentic cadence in the new key.
Closing theme — tends to be virtuosic and often incorporates scales, arpeggios, and other familiar but not genuinely melodic
materials. The main purpose is a strong drive to a powerful cadence, or sometimes the repetition of a cadence.
Transition — necessarily includes some kind of harmonic instability, since it changes key, and often incorporates a compositional
technique that makes modulation easier (e.g., a sequence). There are two types of transition: dependent (beginning as though
they are part of the first theme, sometimes referred to as a counterstatement) and independent (beginning with contrasting
material, not necessarily melodic in character). Transitions — particularly independent transitions — tend to include scales,
arpeggios, and other simple virtuosic materials, especially near their endings (i.e., right before the arrival of the second theme).
It is very typical to end on the dominant of the new key. Keep in mind that transitions can be very long — sometimes longer
than the themes they are connecting.
Retransition — essentially the same idea as a transition, but the purpose is to return to the tonic key rather than to leave the tonic
key. At the end of the development, expect strong (and perhaps exclusive) emphasis on the dominant seventh chord. At the
end of the exposition, however, a retransition may merge back into the tonic more subtly.
Development — unpredictable and unstable (and therefore difficult to characterize reliably). Expect a variety of key areas (possibly
fleeting, and often minor) and an avoidance of the tonic. Irregular phrases, active rhythms, chromaticism, and sequences are
common. Although motives are usually recognizable from the exposition, it is possible for the development to include new
material (perhaps even a new theme). The development almost always ends with a retransition to set up the recapitulation.
The longer the development lasts and the more it modulates, the longer the retransition is likely to be.

Remember that this entire handout reflects a prototype, and that individual compositions may vary substantially without being
considered “wrong” in any way.