CHARACTERISTIC HARMONIC PROGRESSIONS IN MODES

In this study harmonic successions (see chapter 4.2.4 and 4.2.5) are discerned from harmonic progressions. Unlike in successions, in progressions the voice-leading follows the rules of figured bass-practice (cf. Fig. 4.2.4–2). A harmonic progression is capable of establishing or shifting tonality or neo-modality.243 _{In this chapter my aim is to examine the}

harmonic potential of various modes and other scales, not to search for a definitive ‘basic progression’ to which all progressions can be reduced. The discussion about modulation is postponed to later chapter (see chapter 11.9).

In order to establish a heptatonic mode a characteristic progression is needed. It contains at least two chords. One of them is the tonic chord (I). The other chord is the characteristic chord (X) containing the characteristic scale step of the mode. Firstly the characteristic degree of a mode is the one that differs from the corresponding degree in major in major-like mode, or in minor in minor-like mode.244 _{Thus Lydian differs from major on the fourth}

degree (Fig. 5.4.1–1a), and Mixolydian on the seventh degree (Fig. 5.4.1–1b). Aeolian differs from harmonic minor on the seventh degree (Fig. 5.4.1–1c).

242 _{Major scales in Sibelian Satz: see Fig. 4.2.5–2 [op. 52:I:61–64], Fig. 5.6–4 [op. 82:31–34], Fig.}

5.7–1 [op. 52:I:60–67], Fig. 6.1.3–4 [op. 66:I:27–28], Fig. 9.6–2 [op. 104:II:234–235], Fig. 11.3.3–1 [op. 18:III:1–19], Fig. 11.9.2–1 [op. 63:IV:379–385]; minor scales in Sibelian Satz: see Fig. 6.3–4 [op. 56:V:254–259], Fig. 7.2.1–1 [op. 63:IV:178–182], Fig. 8.2.2–3 [op. 82:III:239–242].

243 _{According to Schoenberg “A succession is aimless; a progression aims for a definite goal (...) A}

progression has the function of establishing or contradicting a tonality. The combination of harmonies of which a progression consists depends on its purpose – whether it is establishment, modulation, transition, contrast, or reaffirmation” (Schoenberg 1983:1–2). In Schoenberg his “aimless” successions also follow the rules of through bass. On the other hand the pentachord-successions encountered in chapter 4.2.4 and 4.2.5 are not “aimless”.

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The remaining modes, that include more than one degree differing from major or minor, are to be measured in relation to minor-like modes. Thus Dorian differs from Aeolian on the sixth degree (Fig. 5.4.1–1d), and Phrygian on behalf of the second degree (Fig. 5.4.1–1e). Locrian differs from Phrygian on the fifth degree (Fig. 5.4.1–1f). In Phrygian and Lydian the characteristic degree occurs in the tonic pentachord, while in Dorian, Mixolydian and Aeolian it occurs in the dominant tetrachord. In Locrian the characteristic fifth degree may be considered to occur in both of them (see chapter 4.2.1).

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The characteristic degrees in the domain of mixed modes may be defined accordingly. Thus e.g. Ionian-Aeolian differs from Mixolydian on the sixth degree, while Aeolian-Ionian differs from Dorian on the seventh degree.

In the domain of modes Ionian is a special case, because the scale of it is similar to major scale. Yet Ionian differs from major in terms of its characteristic progressions (see section 5.4.2).

The shortest possible forms of a characteristic progression are the tonic chord either preceding or following the characteristic chord (I – X, or X – I). Repetition of a two-chord characteristic progression produces incomplete alternation (either I – X – I – X, or X – I – X – I). The two shortest possible progressions overlap in the shortest possible form of complete alternation (I – X – I, or X – I – X). A longer specimen of a complete alternation is e.g. I – X – I – X – I.

In major and minor the characteristic progressions are either I–V7 or V7– I. In an authentic cadence the characteristic chord (V7) is at the same time the cadential chord before the caesura chord (V7–I; see section 5.4.2). In other heptatonic scales this is not necessarily the case.245 _{Those characteristic}

progressions are also peculiar to natural minor (see Fig. 4.4–3 [op. 22:IV:7– 10], Fig. 7.1.1–1 [op. 49:159–161], Fig. 7.2–1 [op. 112:143–152], Fig. 11.5–2 [op. 52:II:93–102]). Yet the natural minor scale is similar to the Aeolian mode. It is discerned from natural minor on harmonic grounds. A similar relation occurs between the major scale and Ionian mode (see section 5.4.2). Due to scalic similarity between Ionian and major, or Aeolian and natural minor, the term inflection is used instead of interchange (see chapter 4.2.2).

In a major key the seventh and fifth degrees are connected in the dominant chord. In a dissolving motion the leading-tone may descend (7.– 6.–5.). For example, in the progression C: V–IV6–V six-five–I in the topmost part there may be the motion B–A–G, while in the bass part is the reverse motion G–A–B. Thus the descending leading-tone is part of a voice exchange in the domain of a dissolved dominant chord, in which there emerges a passing IV6 chord.246 _{Also, altered tones as chord factors and chromaticism}

involving these are typical to a major key, whereas in Ionian mode altered tones are seldom found.

245 _{Schenker’s reasoning when he tries to prove the ‘defectiveness’ of “church modes” is}

inadmissible. A mode cannot be considered “defective” on the grounds that its triads of the I, IV and V degrees are different from major or minor, or even if there is a diminished triad on one of those “steps” (Schenker 1980:55–56). The conclusion is more than obvious: a mode need not imitate major or minor. It need not be determined by the same three “scale-steps” as major or minor. Because of its peculiar scalic structure every mode is an independent harmonic system, determined by degrees that are peculiar to it, orientating “toward what is most natural, most simple, and as concise as possible” (ibid.:56).

246 _{Of course, in a major key descending dissolving leading-tones (i.e. 7.–6.–5.) may also occur}

over a sustained dominant bass; see e.g. Schumann: Fantasie in C major op. 17 (1836–1838) 1. mvt. bars 9–12 (C: V7; in the accompaniment figuration the leading-tone is always present).

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In Ionian mode the seventh degree does not function as the leading-tone. Simultaneous connecting of the seventh degree with the fifth degree in a dominant-type chord is avoided. In Ionian the seventh and fifth degrees are however simultaneously combined in the III degree triad (see Fig. 5.1.3–2 [op. 82:III:105–165]) and in the tonic seventh chord (I7, or I5+7).247 _In

Ionian the tonic seventh chord does not appear as a passing chord, or as a suspension between the structural harmonies, as is the case in major.248 _In

Ionian III or I7 the seventh degree either descends by step or ascends by step to a chord that is not a traditional statutory tonic. In the ascending alternative the ensuing chord may be a tonic added-sixth triad (see Fig. 5.1.3–2 [op. 82:III:105–165]), or a tonic added-sixth triad without fifth (see chapter 11.4). Even a single dominant chord amongst Ionian characteristic harmonies is sufficient to render it major-inflected (see Fig. 5.1.3–2 [op. 82:III:147–149]). On the other hand, a major key receives an Ionian inflection when a non-dissolving leading-tone descends amongst characteristic harmonies of major (see Fig. 5.1.3–4 [op. 56:II:7–10], Fig. 5.5– 3 [op. 82:III:189–212], Fig. 6.4.1–1 [op. 52:III:77–90]), or the leading-tone ascends to e.g. a tonic added-sixth triad without a fifth (see Fig. 5.1.3–4 [op. 56:II:5–6]).

In Dorian (see Fig. 8.2.1–1 [op. 39:I:108–111], Fig. 8.4–1 [op. 70:1–5]), Phrygian (see Fig. 7.4.3–1 [op. 12:II:51–76]), Lydian, Mixolydian and Aeolian (see Fig. 5.5–2 [op. 49:15–18], Fig. 11.4.2–3 [op. 46:V:7–10]) modes the characteristic degree belongs to some other chord (X) than the tonic triad (I). In Locrian mode the characteristic degree belongs to the tonic triad. In Mixolydian and Aeolian modes the characteristic degree (i.e. subtonic) can be connected both with the non-tonic chords (X) and with the tonic chords (I). Below the characteristic progressions in these modes are presented as closures (section 5.4.2), but they can take place at any point in a harmonic period.

In mixed modes the characteristic progressions involve the same set of four chords on adjacent degrees. This set of four degrees only starts from a different degree in each mixed mode (Fig. 5.4.1–2).

247 _{In his textbook for harmony N. Rimsky-Korsakov (1930:31) suggests “for harmonization of the}

descending upper tetrachord” three non-dissolving progressions that in the terms of this study are to be considered as Ionian (e.g. C: I–III–IV–V). However, in harmonizing the descending upper tetrachord e.g. the Viennese Classics did not use those patterns. The cited Ionian pattern can be found before the eighteenth century (see Samuel Scheidt: Görlitzer Tabulaturbuch 1650, no. 3a, the first phrase). Rare remnants of Ionian treatment of harmony can still be traced in some four-part cantata chorales by J. S. Bach (see 371:20, the final phrase), remnants that no longer occur in his free compositions in major.

248 _{The tonic seventh chord as a passing chord in major: Beethoven: IV Symphony op. 60 (1804) 2.}

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Fig. 5.4.1–2. Characeristic chords in the mixed modes I–VII.

The chords based on these four adjacent degrees may appear in the form of a triad, seventh or ninth chord, or even wider formations (see Fig. 7.3–3 [op. op. 114:II:8–11], Fig. 7.4.1–1 [op. 106:IV:8–12], Fig. 9.3–1 [op. 52:I:85–97], Fig. 10.3–1 [op. 104:II:78–81], Fig. 10.4–1 [op. 74:II:35–38], Fig. 11.3.1–2 [op. 112:68–72]). All the seventh chords of these four adjacent degrees have the form of a dominant-type seventh chord or a half-diminished seventh chord. The first and the second degrees of the four-degree set (see Fig. 5.4.1– 2)] often appear in the form of a dominant-type ninth chord. The triads of the third and the fourth degrees of the four-degree set are diminished, which gives them the quality of incomplete dominant sevenths. Actually there are not four chords, but only two – the third and fourth of these four chords in

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the set can be interpreted as incomplete forms of the remaining two, the first and second. If this explanation is accepted, the alternating principle between two chords in a characteristic harmonic progression (see above) also applies when in mixed modes there are seemingly more than two harmonies.