Harmony in classical music

A brief introduction and overview

In harmonies in classical music, chords are designated by Roman numerals based on their
position in the scale/key – upper case for major chords and lower case for minor chords.
[See Ex.1.]

In major and minor keys:

I, IV and V are called primary triads
ii, iii, vi and vii are called secondary triads.

In major keys: In minor keys (as per key signature):

I, IV and V are MAJOR chords [4+3 semitones] i, iv and v are MINOR chords
ii, iii and vi are MINOR chords [3+4 semitones] III, VI and VII are MAJOR chords
vii is a DIMINISHED chord [3+3 semitones]. ii is a DIMINISHED chord.

However, in minor keys, V is more often used as a major chord – exclusively so at a cadence. IV is
also frequently used in major form when required; ii is encountered in minor form less often. This
is because of the two different forms of the minor scale – harmonic and melodic [see Exs.1 and 2].

Functional harmony
Classical music, until the late nineteenth century, was based on “functional harmony”, meaning
that all chords tended to have a tonic, dominant or subdominant function. Most simply stated, the
basic function of a dominant(-type) chord is to lead to a tonic(-type) chord, while the function of a
subdominant(-type) chord is to precede a dominant(-type) chord [or alternatively move to a tonic(-
type) chord]. A tonic chord can lead to either type. It is less often that, in the so called “common
practice style”, a dominant(-type) chord in root position leads to a subdominant(-type) chord in
root position. [Chord inversions can affect this “rule” – e.g. (V5/3) - IV6/3 - V6/3 (or V6/5) – I is a
common progression.]

In functional harmony, ii, iii, vi and vii are regarded as substitute chords for I, IV and V:

vi is a substitute for I – for example, it is often used after V instead of I to make an interrupted
cadence. vi frequently follows I, too – for instance, in the I-vi-IV-V(-I) progression, which is
very common in pop music.

ii is a substitute for IV. These chords frequently occur next to each other, most often in the
order IV-ii, as in bar 7 in the extract from Schubert’s Impromptu No.3 given later.

vii is a substitute for V, functioning as a weakened form of V7 (minus the root). vii is rarely
used in root position. Instead, it is mostly used in first inversion – i.e. with the 3rd of the chord
in the bass. It is frequently found replacing V in a perfect cadence, especially in the Baroque
era, though not in the final cadence of a composition. However, it does not replace V in an
imperfect cadence.

iii is an ambiguous chord. Depending on the situation, it can substitute either for I or V.
Adding a 7th onto a chord does not alter its function in any way.

The above functions are the same in both major and minor keys, except that III in a minor key
does not have a dominant function, since this does not include the key’s leading note – e.g. in A
minor, III would be a C major chord (C-E-G); instead, it commonly moves to VI (bass movement
by a 4th/5th) or is used as a means to suggest (or tonicise – see below) another key. It can also be
used as a pre-dominant chord, as in the introduction of Something by The Beatles; here the chord
progression is F → Eb → G7 (in 2nd inversion) → C, which harmonises an ascending chromatic
melody of A-Bb-B natural-C. [The Eb major chord in C major here is a chromatic chord, an
example of “mixture” (or “modal mixture”, Eb being a chord “borrowed” from the parallel minor
key (Cm). The most common example of mixture in the Baroque/Classical era is the use of iv in
major keys – e.g. Fm in C major (→ V or i). Mixture became more frequent (and more important)
in the late Classical and Romantic eras.]

A chromatic chord encountered rather more often in minor keys is the major chord on the
flattened supertonic – e.g. Bb-D-F rather than B-D-F in A minor – so, replacing a diminished
triad with a major triad. The chord, usually designated as bII, is known as the Neapolitan 6th –
“Neapolitan” because of its association with eighteenth-century Neapolitan opera composers,
“6th” because of its habitual use in first inversion (bII6/3), where the 6th is the chromatic note
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 Harmony in classical music
A brief introduction and overview

(which mostly tended to be the in the melody). In spite of its chromaticism, the chord functions in an
identical manner to the chord it replaces – i.e. as a subdominant(-type) chord, and “resolves” onto
V(7) (or i6/4-V(7)). [Its use in root position would involve an awkward tritone leap in the bass in its
resolution to a root position V chord.] The chord is used in both major and minor keys and became
very popular in the late Classical and Romantic eras – e.g. in the music of Schubert. [See Ex.16 (v, vi
and vii) for examples.]

Cadences
Perfect cadence – V-I [or vii-I].
Plagal cadence – IV-I [or ii-I where ii is normally in first inversion].
Interrupted cadence – often V-vi, though actually V-anything other than I.
Imperfect cadence – [?] -V. A variety of chords can be used for to precede V. I, ii, IV and vi
are the most frequent here – also VofV [see later].

[These progressions are essentially the same for both major and minor keys].

Figured bass
In Classical harmony (especially in the Baroque era), chords were indicated from a given bass line
by figures (2-9) under the notes. These figures referred to the intervals above the bass note. The full
figures were not always used – see below. Accidentals (sharps, flats or naturals) are added when
necessary to indicate chromatic notes or changes of key etc. Non-harmonic notes are not shown in
the figures, unless they are essential to the music. The figures used are as follows:

5 - root position – no figures implied a root position chord, sometimes 5 is found.

3

6 - first inversion – usually shortened to 6.

3

6 - second inversion – no shortened form.

4

7 - root position of a 7th chord – usually shortened to 7.

5
3

6 - first inversion of a 7th chord – usually shortened to 6/5.

5
3

6 - second inversion of a 7th chord – usually shortened to 4/3.

4
3

6 - third inversion of a 7th chord – usually shortened to 4/2 or 2.

4
2

Sometimes a + is used instead of a # (e.g. 4+ rather than 4#). A diminished 7th is sometimes shown
as 7. An accidental appearing by itself under a bass note always refers to the 3rd of the chord.

Using such figures is the most common way of naming chords in Classical harmony. See Ex.3. Ex.4
shows the use of I and V7 in various inversions in a piano piece by Schubert.

In Classical harmony, dissonances (7ths etc.) need to be “prepared” (be part of the previous chord)
and “resolve” (fall or, less often, rise by step to a note of the following chord). The exception is the
7th in V7, which does need not be prepared – it must resolve, however. Suspensions (see below) are
typically shown as 4-3 (compare sus4 chords in pop music), 7-6 or 9-8. See Ex.5.

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 Harmony in classical music
A brief introduction and overview

Non-harmonic notes – musical decoration

The most common forms of musical decoration are:

passing note – a note that moves by step between two chord notes; they can occur either off
the beat [most often - unaccented] or on the beat [accented]. They can be either diatonic [most
often] or chromatic. [Ex.6]
auxiliary note – sometimes called a neighbour note, these are decorations of a single pitch by
the note above or below [upper/lower auxiliary]. Accented, unaccented, diatonic and chromatic
all exist. Chromatic forms are common. [Ex.7]
appoggiatura – a note that is approached by a leap and which then falls or rises by step to a
note of the chord. They are mostly accented, but unaccented versions are also found; diatonic
and chromatic forms both exist. [Ex.8]
changing-note group – a decoration of a single note by the note above and below, which follow
each other – either diatonic or chromatic or a mixture of both. [Ex.9]
suspension - a note held over from one chord into the next, which resolves by step onto a note
of the chord. [Ex.10]

ASSIGNMENT Ex.11 shows two versions of the same chord progression, the second a decorated version of the first.

Categorise each non-harmonic note in the extracts in Ex.12

Cadential and passing 6/4 chords

What appears to be a I6/4 chord is often found before V at a cadence – e.g. I6/4 – V – I [perfect
cadence] or ii6/3 – I6/4 – V [imperfect cadence]. Although still called I6/4 chords, these chords do
not actually function as tonic chords. Rather, they consist of two non-harmonic notes (the 6 and the
4) as either suspensions, passing notes or appoggiaturas over a dominant chord – see Ex.13(i). Note
that they typically resolve downwards by step – 6-5, 4-3.

Similarly, a passing 6/4 chord (usually I6/4 or V6/4) is best regarded not as a functional harmony,
but as a combination of passing or auxiliary notes between two inversions of the same chord – see
Ex.13(ii). As with the cadential 6/4, however, textbooks (and examiners) tend to treat them as chords
in their own right.

The diminished 7th chord

Diminished 7th chords are constructed by adding a note a minor 3rd (3 semitones) above the 5th of
vii, giving the resultant chord a 3+3+3 construction. Diminished 7ths are a more dramatic and intense
form of V7, and so are dominant-function chords, which are, therefore, typically followed by I. [VI
is not a viable option here because of voice-leading difficulties.] As in a V7 chord, the 7th needs no
preparation. Although the 7th is a note of the minor scale – e.g. B-D-F-Ab in C – the chord is used in
both major and minor keys, moving either to a major or minor tonic chord. [Ex.14]

Secondary dominant chords

Secondary dominants are an important means of expanding the harmonic vocabulary of a
composition by introducing chromatic chords within a diatonic situation. Any major or minor
chord (but NOT diminished) can be preceded by its own dominant chord without weakening
(or changing) the prevailing key. For example, in an ii-V-I progression, both ii and V could be
preceded by their own dominant chords to intensify the harmony, making the progression Vofii-ii-
VofV-V-I. All types of dominant chords are available as secondary dominants – vii, V, V7, Vº7 etc. –
though V7 and Vº7 are the most commonly used. [See Ex.15.] Secondary dominant chords tonicise
the chords they precede – i.e. make them momentarily act as tonic chords – and other chords (which
may or may not be part of the main key) belonging to the tonicised key are often used, too. [See
the example from Schubert’s Impromptu No.3 later. Also notice the use of Vofvi-vi replacing V7-I to
reharmonise a previous melodic line in the extract from another Schubert piano piece in Ex.4.]

Tonicisations can last from a couple of beats (as in Ex.15) to several bars, which are likely to involve
more than just V-I/i progressions in the tonicised key. Within the key of C major, for instance, other
3 than A(7) or C#°(7) chords, a brief tonicisation of ii (D minor) might include chords of E°, G minor, Bb
 Harmony in classical music
A brief introduction and overview

major etc. all diatonic chords in D minor, but foreign to C major. Look at the F major chord in bars 11
and 19 in the extract from Schubert’s Impromptu No.3 for an example of this. This chord is not a part
of G major. If a tonicisation becomes more prolonged, it might begin to be considered more like an
actual modulation to a new key. Unfortunately, there is no “mathematical” calculation to determine
at which point a tonicisation becomes a full modulation.
ASSIGNMENT
Study the extracts provided in Ex.16, taken from music from the
common practice period. Some of the extracts provide examples of
other, less frequently encountered chords, as well as of a sequence
of 7th chords and the 5-6 technique. Each is identified in the
appropriate extract.

Pedal points
A pedal point (usually termed a pedal) is a sustained or repeated note (which can also be decorated
by, for example, auxiliary notes), usually in the bass, above which the harmonies change. A pedal
is an effective source of dissonance and can be quite fleeting or last for some considerable time.
Ex.17 shows a typical pedal point at the start of a piano sonata by Beethoven. The chords used are
a common progression for an opening pedal – I-ii (or IV-ii)-V7-I. The ii6/3 chord (F#-A-C#) in bar 23-4
is mildly dissonant with the E (tonic) pedal, while the B7 chord (in 2nd inversion) introduces more
strident dissonance with D# (major 7th), F# (major 2nd/9th) and A (perfect 4th) all dissonant with the
pedal note to varying degrees. The most common pedal points are those of the tonic and dominant.
Occasionally, tonic and dominant are used simultaneously, the effect of which is similar to a drone.
A pedal at the top of the texture in called an inverted pedal, while in an internal pedal the pedal
note occurs in the middle of a texture. (See Ex.22, from a Schubert Piano Sonata, for an instance of
a short internal pedal). Pedals are found in all styles/eras of tonal music and are frequently used
in pop music. Elton John (e.g. the introduction of Your Song and the verse of I’m Still Standing) and
Phil Collins (e.g. the chorus of Another Day in Paradise, the introduction of In the Air Tonight and the
introduction / verse / instrumental of Groovy Kind of Love) are particularly fond of pedal points.

Pedals present us with a bit of a paradox. We are aware of the harmonic progressions above the
pedal note, but the pedal also renders the harmony static. Ex.18 shows the end of Bach’s C minor
Fugue No. 2 from Book 1 of The Well-Tempered Clavier. The piece essentially ends with a perfect
cadence halfway through bar 29, but the music continues for a further 2½ bars over a tonic pedal,
the whole piece ending with a Vofiv – iv - Bdim7th – i - Bdim7th - I (Tierce de Picardie) progression.
These 2½ bars sound like a type of miniature codetta that harmonically prolong the tonic chord,
making the harmonies above subordinate to the pedal note/tonic chord.

Study the simplified version of the opening 24 bars of Schubert’s famous Impromptu No.3 in Gb
major printed below. The decorative piano figuration has been removed and the original key has
been transposed to the less demanding key of G major. Examine the harmonic progressions and
figured bass indicated on the additional (third) stave and the descriptions of the harmonic/melodic
decorations in the music. Finally, answer the questions at the end of the score.

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 Harmony in classical music
A brief introduction and overview

• Identify and name the cadences in the extract.

• Do the harmonic progressions in each phrase contain typical functional harmony?
5 • Why is the G# in bar 163 described as a chromatic passing note rather than part of a vii6/3 of ii?
 Harmony in classical music
A brief introduction and overview

Exs.19 & 20 list the chords (not in order of appearance) found in (i) the first group and transition of
the 1st movement of Beethoven’s 5th Symphony in C minor, and (ii) the first subject [bars 1-72] of the
1st movement of Mendelssohn’s Violin Concerto in E minor. Note the similar chords employed and
the use of brief pedal points in both extracts. Work out where the given chords occur (where not
already indicated). Mark them on the piano scores available on the imslp website, making a note of
the inversion used. [Use the appropriate Roman numeral and a figure(s) for the inversion employed
– e.g. 15/3, V6/5, V6/5 of IV etc.]

Exs.19 and 20 both contain augmented 6th chords – an Italian 6th in Beethoven, a German 6th in
Mendelssohn. [A French 6th also exists; in E minor this would involve changing the G in a German
6th to an F# – making a chord of C-E-F#-A#.] Augmented 6th chords are subdominant (pre-dominant)
chords and are essentially chromatic alterations of diatonic ii(7)/iv(7) chords. The Italian 6th in
Beethoven’s 5th Symphony involves a change of F-Ab-C (iv in C minor) to F#-Ab-C. [The augmented 6th
(F# here) originated as a chromatic passing note between F and G in a simple iv6/3 → V (imperfect/
Phrygian) cadence, but over time came to be used as a harmony note without its preceding
diatonic form – see Ex.21(i). Similarly, the German 6th in Mendelssohn’s Violin Concerto functions
as a chromatic version of iv7 (A-C-E-G becomes A#-C-E-G by a similar process). A French 6th would,
therefore, be regarded as a chromatic alteration of ii7; in E minor F#-A-C-E becomes F#-A#-C-E. See
Exs.21(ii) and (iii).] Like the diminished 7th and Neapolitan 6th, though more related to minor keys,
augmented 6th chords are also employed in major keys, with the same resolution to V (or I/i6/4-V
etc.).

Ex.22 is taken from a Piano Sonata by Schubert and illustrates the composer’s characteristic use of
augmented 6th chords. Note that they both occur at cadences; note, too, the use of the short internal
pedal (indicated in the example) that creates an affecting dissonance between itself (E) and the D# in
the augmented 6th chord.

A German 6th sounds exactly like a dominant 7th chord, though, of course their resolutions are very
different – i.e. Ab-C-Eb-F# resolves onto a (dominant) chord of G(7) in C major/minor, whereas Ab-C-
Eb-Gb resolves onto a (tonic) chord of Db major/minor. This similarity is often exploited (as a type of
“pivot chord”), particularly in the Romantic era, as a means of modulating to another (more remote)
key. Ex.23 illustrates this “punning” harmonic procedure. The passage consists of two similar
4-bar phrases; the first ends with a perfect cadence in the tonic C major, the second with a perfect
cadence B minor. The “pivot chord” occurs in bar 62 (G-B-D-F, V4/2 in C major); on the very next
beat, it is re-spelled as a German 6th in B minor (G-B-D-E#), subsequently resolving onto a i6/4-V7
progression in that key in bars 7-8. German 6ths customarily resolve to I/i 6/4 rather than immediately
to V because of the forbidden consecutive that inevitably result in such a procedure. (These 5ths are
occasionally found, however; they are sometimes called “Mozart 5ths”.)

Though functioning as chromatically altered subdominant-type chords, augmented 6ths are

customarily described in harmony textbooks as being constructed on the submediant (in minor
keys) – e.g. in C minor with a “root” on Ab. This results (uniquely in classical harmony) in chords that
are not formed by stacking a succession of 3rds above the root – e.g. in C major/minor, Ab-C-Eb-F#
(not Gb), making an augmented 2nd rather than some type of 3rd between the last two notes. The
true derivation of these chord, as described in the previous paragraph, preserves the usual 3rds
construction, albeit skewed somewhat by the slightly curious diminished 3rd between root and third.