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CONTENTS vii

Accented and Chromatic Dissonances 80

Accented Passing Tone ( P> ) 81
Chromatic Passing Tone 81
>
Accented Neighbor Tone (N ) 82
Chromatic Neighbor Tone 82
Appoggiatura (APP) 82
Suspension (S) 83
Anticipation (ANT) 85
Pedal (PED) 86
Analytical Extension: Revisiting the Subdominant 86
Contrapuntal Expansion with IV 86
Plagal Cadence 87

PART 3 ELABORATING THE PHRASE MODEL

AND COMBINING PHRASES
7 Six-Four Chords, Nondominant Seventh Chords,
and Refining the Phrase Model 88
Six-Four Chords 88
Unaccented Six-Four Chords 88
Accented Six-Four Chords 92
Writing Six-Four Chords 93
Summary of Contrapuntal Expansions 94
Nondominant Seventh Chords: IV7 (IV65 ) and ii7 (ii65 ) 96
Part Writing Nondominant Seventh Chords 97
Embedding the Phrase Model 98
Analytical Extension: Expanding the Pre-Dominant 100

8 The Submediant and Mediant Harmonies 102

The Submediant (vi in Major, VI in Minor): 102
The Submediant as Bridge in the Descending-Thirds
Progression 102
The Submediant in the Descending Circle-of-Fifths
Progression 103
The Submediant as Tonic Substitute in the Ascending-Seconds
Progression 104
The Submediant as the Pre-Dominant 106
Voice Leading for the Submediant 106
The Step Descent in the Bass 107
Mediant (iii in Major, III in Minor) 108
A Special Case: Preparing the III Chord in Minor 110
Voice Leading for the Mediant 111
General Summary of Harmonic Progression 111
Analytical Extension: The Back-Relating Dominant 111
viii CONTENTS

9 The Period, the Double Period, and the Sentence 114

The Period 114
Types of Periods 115
Period Labels 118
The Double Period 120
The Sentence 121
Analytical Extension: Modified Periods 122

10 Harmonic Sequences: Concepts and Patterns 126

Components and Types of Sequences 127
The Descending-Fifths Sequence (5/4) 128
The Pachelbel, or Descending 5–6, Sequence (4/2) 129
The Ascending-Fifths Sequence (5/4) 130
The Ascending 5–6 Sequence (3/4) 130
Sequences with Diatonic Seventh Chords 131
Writing Sequences 132
Analytical Extension: Melodic Sequences
and Compound Melody 133

PART 4 CHROMATICISM AND LARGER FORMS

11 Applied Chords and Tonicization 137
Applied Dominant Chords 138
Applied Chords in Inversion 139
Voice Leading for Applied Dominant Chords 139
Applied Leading-Tone Chords 141
Extended Tonicization 141
Analytical Extension: Sequences with Applied Chords 144
The (5/4) Sequence 144
The (4/2) Sequence 145
The (3/4) Sequence 147

12 Modulation and Binary Form 148

Modulation 148
Closely Related Keys 149
Analyzing Modulations 149
Writing Modulations 150
Modulation in the Larger Musical Context 151
The Sequence as a Tool in Modulation 153
Binary Form 156
Balanced Binary Form 159
Summary of Binary Form Types 159
Analytical Extension: Binary Form in Baroque Dance Suites 160
CONTENTS ix

13 Expressive Chromaticism: Modal Mixture

and Chromatic Modulation 163
Modal Mixture 163
Altered Pre-Dominant Harmonies: iv and ii° 165
Altered Submediant Harmony: bVI 166
Altered Tonic Harmony: i 167
Altered Mediant Harmony: bIII 168
Voice Leading for Mixture Harmonies 169
Plagal Motions 170
Modal Mixture, Applied Chords,
and Other Chromatic Harmonies 171
Expansion of Modal Mixture Harmonies: Chromatic Modulation 172
Chromatic Pivot-Chord Modulations 172
Writing Chromatic Pivot-Chord Modulations 174
Unprepared and Common-Tone Chromatic Modulations 174
Analytical Extension: Modal Mixture and Text–Music Relations 176
Analytical Payoff: The Dramatic Role of bVI 182

14 Two Important Chromatic Harmonies: The Neapolitan Chord

and the Augmented Sixth Chord 183
The Neapolitan Chord 183
Writing the Neapolitan Chord 185
Other Uses for the Neapolitan Chord 185
The Augmented Sixth Chord 186
Types of Augmented Sixth Chords 187
Writing Augmented Sixth Chords 188
bVI and the Ger6 chord 189
5
The Augmented Sixth Chord as a Pivot Chord 190
Analytical Extension: Prolongation with bII and 6 Chords 192
Augmented Sixth Chords as Part of PD Expansions 194

15 Ternary and Sonata Forms 197

Ternary Form 197
Transitions and Retransitions 203
Da Capo Form: Compound Ternary Form 205
Minuet-Trio Form 206
Sonata Form 208
The Binary Model for Sonata Form 209
Transition 212
Closing Section 213
Development and Retransition 213
Recapitulation and Coda 214
Analytical Extension: Motivic Expansion 214
Exposition 222
Development 223
x CONTENTS

Appendix A Additional Formal Procedures 225

Subphrases and Composite Phrases 225
Variation Techniques 228
Continuous Variations 228
Sectional Variations 234
Ternary Form and the Nineteenth-Century Character Piece 240
Rondo 244
The Classical Rondo 244
Five-Part Rondo 245
Coda, Transitions, and Retransitions 250
Compound Rondo Form 250
Seven-Part Rondo 250
Further Characteristics of Sonata Form 251
Monothematic Sonata Form 251
The Slow Introduction 252
Other Tonal Strategies 253

Appendix B Glossary of Abbreviations 254

Appendix C Terminological Equivalents 256

Appendix D Listing of DVD Text and Workbook Examples 259

Index of Terms and Concepts 263

 P R E FAC E

The vast majority of American colleges and universities that have graduate
programs in music offer a one-semester review course in tonal harmony. In
spite of the fact that such courses are commonplace, no published text has
been designed for the special needs of these graduate-level harmony review
courses. The dearth of graduate review texts often leads an instructor to adopt
the undergraduate theory textbook used at their institution, the result of
which is often problematic. For example, undergraduate texts often assume
little or no knowledge of fundamentals. However, most graduate students do
not need to begin at this point or, if they do, will not require the detail and
drill presented in these sources. Another problem with using an undergradu-
ate text stems from the amount of information offered about every topic,
which even the most determined instructor can never cover in a single se-
mester. Further, graduate students are often expected to “unlearn” their pre-
vious study, replacing terminology, underlying philosophy (e.g., moving
from a more vertical, third-stacking approach to a more linear approach), and
often even hard-and-fast rules (e.g., variation in the treatment of hidden
fifths). Such a reorientation takes time and is difficult to accomplish with a
text designed for first-time users. Finally, graduate students can often be chal-
lenged to think about, test, and develop the theory themselves. This is rarely
discussed in undergraduate texts.
Of course, an instructor can also choose to provide self-developed materi-
als for the class. This will always enrich the experience for the students and
instructor, but it is time consuming for the instructor to find appropriate ma-
terials for every discussion topic. The materials can supplement an under-
graduate textbook, but then the students are asked to purchase books that
they will hardly use. Clearly, there is a need for a concise, musical, entertain-
ing, challenging, relevant, and inexpensive text geared to the specific require-
ments of graduate music students.

Approach
Graduate Review of Tonal Theory is appropriate for a graduate student’s
re-engagement with music theory and analysis. It is intended for students
who have a grasp of musical fundamentals, basic voice leading, and roman
numeral analysis but may need to fill in gaps.
The text provides a means by which we can discuss the perception and
cognition, the analysis and performance, and the composition and reception
xi
xii PREFACE

of common-practice tonal music. The theory has as its core the assumption
that music has structure. If music did not have structure, it would be difficult
to conceive of it as anything other than a wash of sound. Structure allows us
to latch onto elements of music that either fulfill or deny expectations; both
scenarios provide psychological cues through which we can grasp similarities
and differences among different musical excerpts.
There are numerous ways in which music can have structure, three of
which form the primary focus of Graduate Review of Tonal Theory: melody, har-
mony, and form. All are hierarchical, and the text’s analytical foundation is
based on the relative weight of harmonies, given their function within a given
musical context.

Application
Graduate review courses take many shapes and sizes: The number of meetings
per week, the number of weeks per semester, the number of semesters, and the
specific content of the courses vary greatly from institution to institution. It is
impossible to provide a clearinghouse for all of the approaches taken in these
courses—it is therefore not the goal of this text to be a chameleon that assumes
a confusing array of perspectives and terminologies in order to fit into every
possible analytical style. Rather, the text offers a linear, cohesive presentation of
tonal theory while allowing for different trajectories through the material.
Since differences in terminology, labeling, and presentation exist, we include
references to these other approaches in the appendixes and the Index of Terms
and Concepts. We encourage the instructor to connect students’ former studies
with the material in this text; however, in order to avoid confusion, we suggest
that the labels and terms given in the body of the text be used in the review
course. It will be easiest to speak with one approach than continually to refer to
the divergent approaches brought to the course by the students.
The 15 chapters of Graduate Review of Tonal Theory are organized so that they
can be covered approximately one per week in a graduate review course. The
text progresses from context and fundamentals to chromaticism and forms:
• A prologue, “Setting the Stage,” provides a reorientation and whets the
appetite by revealing music theory and analysis to be an activity that
depends on human cognition, musical instincts, and personal choice.
• Fundamentals (Chapters 1–3) unfold quickly and include higher-level
topics such as accent in music, metrical disturbance, melody and
species counterpoint, tonal hierarchy, and melodic fluency.
• Beginning with Chapter 4, each chapter closes with an “Analytical
Extension,” in which an additional analytical topic is introduced and
explored. If the instructor wishes to move more quickly through chap-
ters, he or she may omit one or more of the analytical extensions with-
out harming the text’s pedagogy or organization.
• A hierarchic approach undergirds the presentation of both diatonic har-
monies (Chapters 4–8 and Chapter 10) and chromatic harmony (Chap-
ters 11–14), all of which is introduced through a phrase model.
• Musical context is central to the text. To that end, complete formal com-
ponents are introduced early on (Chapter 6) and unfold throughout the
text, including phrase, period, and sentence (Chapter 9) and binary,
ternary, and sonata forms (Chapters 12 and 15).
PREFACE xiii

It is possible to adapt the organization of the book—along with sections of

Appendix A—to focus on other elements of tonal theory. In general, if there is
too much material to cover, some or all of the analytical extensions can be
omitted. If there is not enough material, items from Appendix A or supple-
mental discussions (provided by the instructor) can be added. The following
scenarios provide examples of alternate paths.
• If one wishes to skip the discussion of form, the following could be
omitted:
• Chapters 9 and 15
• The discussion of binary form in Chapter 12
• If one wishes to include a deeper discussion of form, analytical exten-
sions could be omitted, and some or all of the following could be added
from the appendix:
• “Subphrases and composite phrases”: after Chapter 6
• “Variation techniques”: after Chapter 12
• “Ternary form and the nineteenth-century character piece”: in Chap-
ter 15, after ternary form
• “Rondo”: in Chapter 15, after ternary form
• “Further characteristics of sonata form”: after Chapter 15
• If one wishes to cover fugue, a supplementary discussion can be in-
serted after Chapter 5.
• If one wishes to cover more extended chromatic techniques, a supple-
mentary discussion can be placed after Chapter 14.

Accompanying Workbook
We encourage the use of the separately sold workbook to support the text and
its included DVD of recordings. The workbook is organized into discrete as-
signments, with approximately four assignments per chapter. Each assign-
ment contains a mix of activities that progress from short, introductory ana-
lytical and writing exercises to more involved tasks. Marginal icons indicate
that corresponding exercises are available in the workbook.

The Recordings
The majority of musical examples from both the textbook and the workbook
are recorded on a single music DVD, which is included in the textbook. The
recordings are played by students and faculty from the Eastman School of
Music. Icons in the text and workbook indicate which examples are recorded
as well as their locations on the DVD. You’ll find a track listing of all examples
in the back of this book. The nearly four hours of excerpts and complete pieces
will provide you with instant access to hundreds of examples drawn from
over three centuries of music.
The DVD presents the music in CD-quality format. In addition, high-
quality MP3 files are available by accessing the following website:
www.oup.com/us/Laitz. (Note: A standard CD player will not play
the DVD.)
xiv PREFACE

Accessing the Recordings

Insert the DVD into your computer; you should see a screen with:
1. Title of book
2. Text Examples
3. Workbook Examples
To access Textbook Examples:
1. Select “Textbook Examples”
2. Select the desired textbook chapter (or “Setting the Stage” or
Appendix)
3. Select a specific example within the desired chapter
To access Workbook Examples:
1. Select “Workbook Exercises”
2. Select the desired workbook chapter
3. Select a specific exercise within the desired chapter
4. Select a specific example within the selected exercise

Acknowledgments
We would like to thank the students in our graduate review courses at the
Eastman School of Music. It is because of our experiences in the classroom that
we saw the need for, and the application of, this book.
We are grateful for the support of our colleagues at the Eastman School of
Music and Baylor University School of Music, particularly Robert Wason and
William Marvin, for their ideas and support of this project. We would also like
to thank Douglas Lowry, Dean and Director, and Jamal Rossi, Senior Associate
Dean. The reviewers, many of whom made more than one pass through vari-
ous versions of the manuscript, provided both musical insights and pedagog-
ical advice. They include: Andrew Davis, University of Houston; David
Garner, San Francisco Conservatory of Music; Roman Ivanovitch, Indiana
University; Philip Lambert, Baruch College; Neil Minturn, University of Mis-
souri; Samuel Ng, Louisiana State University; Jeffrey Perry, Louisiana State
University; Stephen Slottow, University of North Texas; Gordon Sly, Michigan
State University; Ken Stephenson, University of Oklahoma; and Kristin
Wendland, Emory University.
We wish to thank the staff at Oxford University Press for their support and
encouragement in the development of this project. Jan Beatty, Executive Edi-
tor and visionary, was terrific throughout the process. Cory Schneider, Assis-
tant Editor, worked tirelessly on all aspects of the project. Lisa Grzan, Senior
Production Editor, and Mary Araneo, Managing Editor, oversaw each stage of
the production.
We also wish to express our gratitude to Mike Farrington, the recording en-
gineer and supervisory editor, who is a model of professionalism. And many
thanks to Helen Smith, Director of Eastman’s Recording Services, for her help
and support. Lastly, we thank our families—Anne-Marie, Madeleine, Kathy,
and Arica—for the central role that they play in our lives.
GRADUATE REVIEW
OF TONAL THEORY
This page intentionally left blank
Setting the Stage

When we pay attention to something or someone, we observe, analyze, inter-

pret, and decide whether (and how) to act. These actions are based on our abil-
ities, our experience, our traditions, and our knowledge. Our actions are also
based on hierarchy. Every moment of our lives is filled with an overwhelming
amount of information. We choose what will get our attention: Is it safe to turn
on the red light? Does the multivitamin supplement have enough calcium or
too much vitamin B1? How will I improve a flagging relationship?
In music performance, many choices are made every second, most of
which are subconscious, but plenty of which are conscious. In a moment of a
clarinet piece, for example, there is an extraordinary number of simultaneous
mechanical considerations. Lip pressure, articulation, breathing speed and
pressure, finger placement, intonation, balance, color, and countless other
considerations all come into play to effect tempo, phrasing, and pacing. There
are many other types of analysis that accompany these mechanical elements
and require study of the score itself, in order to consider the relationship be-
tween individual parts and the overall structure, as well as historical context
and style, performance practice, and so on.
How do we learn and memorize music? We analyze the score. We begin by
grouping events and looking for patterns and their repetitions. We categorize
and simplify in an effort to latch onto something we already know. If we were
pianists and, while sight-reading, we encountered a long series of pitches in a
single hand, what would we do? We might look for changes in contour, or we
might consider the overall motion—if it is stepwise, it could form a scale. If it
is a scale, then—in a fraction of a second—we observe accidentals and the be-
ginning and ending points of the scale.
Some abilities are hardwired, such as seeing a line of pitches and knowing
that if there are no gaps, then every consecutive step is to be played. When
sight-reading, we do not stop and determine the name of each notated pitch
and then find its corresponding location on the piano; instead, we group the
pitches into a single, logical shape. We know from experience that when such
lines of pitches occur, they are nearly always identifiable scales; we expect an-
other example of a scale and play it immediately as such. If the pitches have un-
usual chromaticism, then we would return to the passage later and practice it.
Another aspect of sight-reading is the ability to determine a hierarchy. For ex-
ample, we might leave out less important—or “nonstructural”—notes in order

1
2 GRADUATE REVIEW OF TONAL THEORY

to play only the notes that are necessary. Examples include removing octave
doublings in the piano and thinning out a texture while maintaining a given
sonority. These important abilities come from analysis and interpretation.
Analysis encourages us to attend actively to the music; we reflect and then
make choices based on our reflection, which we then apply to performance.
Undergraduate studies of music theory and analysis typically involve a regu-
lar regimen of activities that includes labeling harmonies with roman numer-
als and figured bass symbols. The aim of this text is to go further, to reveal
how analysis is an active, process-oriented, and goal-directed enterprise, in-
cluding—but much deeper than—the mechanical and descriptive. Analysis
should illuminate a work’s unique structure on the one hand and place that
artwork within the wider musical context, comparing and revealing its un-
derlying structure as conforming to more general and consistent tonal princi-
ples. This requires musicianship, opinion, creativity, and decisiveness. Analy-
sis matures us, because active attention to a work’s structure reveals subtle
connections between phrases, sections, and movements. We can also consider
important deviations from expectation that are marked in our consciousness
and rendered expressively in performance.
The following four examples illustrate these issues:
• The more we know about a musical work, the more we understand its
context, narrative, and meaning.
• Composers can create countless artworks based on just a few underly-
ing structures.
• Something we do not expect can lead us to investigate whether events
are part of a larger compositional process.
• Attending to the way the musical elements of melody, harmony, and
motive converge—even in a commonplace musical passage—can reveal
elegant subsurface structures.

Deeper Understanding:
Narrative in Brahms’ “Edward Ballade”
A young Brahms wrote a series of Ballades for piano. The first ballade, subti-
tled the “Edward Ballade,” was apparently influenced by a Scottish ballad en-
titled “Edward,” for which the German translation was newly published. As
pianists, we will dig into the work, finding a suitable walking tempo (Andante)
and attempting to reconcile the wild mood swings, large climaxes, and brood-
ing ending into a unified interpretation of the piece. Although we might make
this attempt without consulting the poem, let us take an extra step and look at
what Brahms cites as his motivation for the Ballade.
The Edward Ballade is a narrative, and it details the arrival home of a grief-
stricken youth—with blood-drenched sword—and the ensuing dialogue with
his mother. Naturally, she is consumed with learning what has happened. She
asks, “Where did this blood come from?” to which the youth replies, “I killed
a hawk.” Doubting this is the case, the mother says, “Your hawk’s blood was
never so red.” The youth changes his story, shifting the death to his horse, to
which the mother responds, “That horse was old and you have plenty of oth-
ers. What really happened that would explain your grief?” The youth blurts
out that the blood belongs to his father, whom he has just murdered. The
mother, in apparent shock, asks what he will do now; the youth answers, “I
will run away alone, never to return, and that my wife and children would
 Setting the Stage 3

become beggars.” The mother asks, “What will ye leave to your own Mother
dear?” The youth responds, “The curse of Hell from me shall ye bear, Mother,
since it was you who bid me to do this thing.”
Having read this dark and tragic tale, and already knowing that it influenced
Brahms’ composition of the Ballade (a word which means “story”), it would seem
impossible not to consider how such knowledge might influence our interpreta-
tion of the piece. Might there be a literal correspondence between the unfolding of
the poem and that of the piece, perhaps explaining the wild mood swings? Know-
ing the story behind the piece, would our initial tempo, pedaling, voicing, color-
ing and general mood be changed? Clearly the more we know about a piece of
music, the more rich, varied, and inspiring our interpretations will be.

Underlying Structures: A Deeper Level of Melodic

Organization in Two Folk Songs
Let’s start with the most basic musical element: melody.

EXAMPLE 1 “Clementine”

1. In a cav ern, in a can yon, Ex ca vat ing for a

2. Light she was and like a fair y, And her shoes were num ber

F: I

mine dwelt a mi ner, for ty ni ner and his daugh ter Cle men tine.
nine, Her ring box es with out top ses san dal’s were for Cle men tine.

V V7 I V I

Example 1 is in F major, and the controlling harmonies are written below each
measure. The lengthy pause on the G in m. 4, which provides a natural place
to breathe, divides the example into two four-measure phrases. In the first
phrase, the melody leisurely ascends to the C in m. 3, using a series of melodic
leaps. After attaining a melodic high point, the melody quickly descends to
the G in m. 4, completing the melodic shape of an arch.
In order to show this structure more clearly, we will “peel away” layers of
music—that is, we will remove parts of the music so that the underlying
skeleton will be revealed. Take the initial ascent to the C in m. 3. The de-
scending leaps at the beginning of the first two measures are subordinate to
the upward leaps at the downbeats of each measure. The notation in Example
2 reflects the relative importance of pitches to the melodic shape of an arch:
More important notes have stems and beams, and less important notes have
only noteheads and are connected to important notes with slurs. We see the
stemmed notes F–A–C, which form an arpeggiation of the F major triad in the
first three measures.
4 GRADUATE REVIEW OF TONAL THEORY

EXAMPLE 2 Structural Analysis of “Clementine”

2 4 6

G left hanging G resolves to F

phrase 1 phrase 2

The stepwise descent that leads to m. 4 stops short of returning to F, which

gives rise to a phrase ending that is somewhat unsettled and incomplete. The
second phrase begins on G and ascends to Bb, and melodic leaps return in mm.
6 and 7. As in the first phrase, the emphasized downbeats of mm. 5–8 reveal a
melodic pattern—this time a stepwise descent from Bb to F. The F at the end of
the second phrase “resolves” the G “left hanging” at the end of the first
phrase. These larger motions are revealed in Example 2.
Having analyzed the long-range pitch structure of “Clementine,” it may be
illustrative to compare it to “God Save the King” (Example 3). This piece is
also in the key of F major and has two phrases. The first phrase contains six
measures, and the second phrase contains eight.

EXAMPLE 3 “God Save the King”

1. God save our gra cious King, Long live our no ble King,
2. O Lord and God a rise, Scat ter his en e mies,
3. Thy choic est gifts in store On him be pleased to pour,

F: I V I I V I
sequence
5

God save the King! Send him vic to ri ous, Hap py and
And make them fall. Con found their pol i tics, Frus trate their
Long may he reign! May he de fend our laws And ev er

ii6 V I I V7

10 broader

glo ri ous, Long to reign o ver us, God save the King!
knav ish tricks, On Thee our hopes we fix, God save the King!
give us cause To sing with heart and voice, God save the King!

I IV V I

For the most part, the melody moves in stepwise motion. The first phrase has
a melodic arch, from F (m. 1) to A (mm. 3–4), and back to F (m. 6). The second
 Setting the Stage 5

phrase begins on C and includes a repeated pattern (“sequence”) in mm.

7–8 and 9–10. These patterns lead from C (mm. 7–8), through Bb (mm. 9–10),
to A (mm. 11–12). After a brief upward motion (mm. 12–13), the melody de-
scends from A to F (mm. 13–14). These shapes—the arch in the first phrase and
the descending stepwise motion in the second phrase—are summarized in
Example 4.

EXAMPLE 4 Structural Analysis of “God Save the King”

3 5 7 11 13

phrase 1 phrase 2

Note that although the end of the first phrase descends to F, the larger
melodic shape of both phrases combined has a different structure: an ascent
through F–A–C, followed by a descending stepwise line. If we compare
“Clementine” and “God Save the King,” we see that the songs have different
numbers of measures, different rhythms, and different pitches. However,
through our analyses, we now see that these two tunes are embellishments of
the same basic melodic shape.

Surprise and Discovery: An Emergent Tone in Haydn’s

op. 74 Quartets
Early in the Minuet of Haydn’s op. 74, no. 2 String Quartet, there is a C# that is
accented (by its duration and volume) and abrupt. Although it is part of an as-
cending chromatic line (C–C#–D in mm. 3–5), it jumps out of its context and
surprises the listener. This C# seems out of place until we consider the follow-
ing Trio, in the distant chromatic key of Db. The single C# in m. 4 foreshadows
the upcoming Db in the Trio (Example 5).

EXAMPLE 5 Haydn, String Quartet in F major, op. 74, no. 2, Menuetto

A. Minuet: Measures 1–8
C #?
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