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Jazz Theory

Jazz Theory

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Sections

  • Acknowledgments
  • Preface
  • I. The Structure of Jazz
  • Rhythmic Structure
  • Jazz Rhythmic Interpretation
  • Form
  • AABA
  • ABAC
  • Through-Composed
  • Ternary
  • The Role of Song Forms in Jazz
  • II. The Harmonic Vocabulary of Jazz
  • Notation
  • Notational Conventions
  • Standard Chord Notation
  • Basic Chord Types
  • An Interlude on Shorthand and Anomalous Notations
  • Tensions
  • Suspensions
  • Implied Countermelodies
  • Roman Numeral Chord Notation
  • III. Jazz Melody
  • IV. Developing a Bass Line
  • V. Standard Chord Progressions: Blues and “Rhythm”
  • A Jazz Approach to Blues
  • Traditional/Rock Approach to Blues
  • “Rhythm” Changes
  • VI. Chord Voicings
  • Solo Keyboard Voicing
  • Chord Voicing Styles
  • Close Position
  • “Shells”5
  • “Axis”
  • “Rootless” Chords
  • VII. Voice Leading
  • Standard Voice Leading Techniques
  • Circle of Fifths Root Motion
  • Root Motion by Second
  • Root Motion by Third
  • Voice Leading with Rootless Chords
  • Parallel Voice Leading Styles
  • The Basic Close Position Style
  • The Widened Line: Drop 2 and Drop 3
  • Locked-Hands
  • Scoring for Small Jazz Ensembles
  • Instrument Ranges
  • Instrumental Combinations
  • VIII. Functional Harmony in Jazz
  • Theory of Chord Progressions
  • Root Motion
  • The Diatonic (In-Key) Circle of Fifths
  • The Major Diatonic (In-Key) Circle of Fifths
  • The Chromatic Circle of Fifths
  • Strong/Weak Alternation of Chords
  • Tensions and Chord Function
  • Non-Tonic Beginnings
  • Turnarounds
  • Tritone Substitution: ëIIÏ Substituted for VÏ
  • Voice Leading Chords
  • The Diminished- and Half-Diminished Seventh Chords
  • The Diminished-Seventh Chord
  • The Diminished Seventh as a Connecting Chord
  • The Diminished Seventh as an “Incomplete” Dominant
  • The Half-Diminished Seventh Chord
  • The Half-Diminished Seventh as a Connecting Chord
  • The Half-Diminished Seventh as an Incomplete Dominant Ninth
  • Secondary Functions and Tonicization
  • Borrowed Chords (Modal Interchange)
  • Modulation
  • Pivot Chord Modulation
  • Common Tone Modulation
  • Direct Modulation
  • Miscellaneous Harmonic Techniques
  • Tonic-by-Assertion
  • Pedal Point
  • Upper Structure Triads
  • Polychords and Polytonality
  • IX. Chord-Scale Theory
  • The “Diminished” Scale
  • Chords With Alterations And/Or Tensions:
  • Interlude On The Minor Mode
  • “Outside” Playing
  • Treatment Of “Non-Chord” Tones
  • X. Other Systems
  • Modal Jazz
  • Free Jazz
  • Tonal Systems In Rock
  • Appendix A: Jazz Chord Dictionary
  • Appendix B: Rootless Chord Dictionary
  • Appendix C: Using Sibelius®
  • Sibelius Basics

Jazz Theory

4th Revised edition
by
Stuart Smith



























© Copyright 2004, 2006, 2007, 2008 Stuart Smith


2





To Robert Dix Lincoln
Þ


Things should be made as simple as possible. But no simpler.
Remark attributed to Albert Einstein

Jazz theory is simple. It has to be.
S.S.

































3
Acknowledgments

Since the earliest days of my teaching career at UMass Lowell, I had thought about
writing a book on jazz theory. I had developed a detailed set of notes for such a book, but
the notes spent most of their time languishing in my file cabinet. Every now and then I
would take them out and add or change a few things. But then, for lack of a compelling
reason to begin writing, I would just put them away again. This project would probably
never have come to completion had it not been for my boss, William Moylan (professor
of Music and former Chairperson of the UMass Lowell Department of Music) and my
2003-2004 Jazz Lab ensemble students — especially Jaclyn Soep, Chad Gosselin, and M.
Xavier (“Maxxx”) Lewis. Dr. Moylan welcomed me back into the Music Department
after a 21-year stint in Computer Science. He assigned me to direct the Jazz Lab, which
made it possible for me to work with young jazz musicians again. Jaclyn, Chad, and
Maxxx encouraged me to create the jazz theory course for which this book was written. I
was so impressed by their desire to gain a deeper understanding of jazz that I simply
couldn't say no to their request to provide a course for them.

The task of actually writing the book was made much easier and more enjoyable by my
colleague, friend, and current boss, Paula Telesco, who served as both gadfly and
cheerleader on this project. She read several drafts of this book, providing innumerable
useful suggestions, pointing out errors and weaknesses in my presentation, and asking
many thought-provoking questions. The book is far better than it would have been
without her assistance.

I learned jazz by playing with some talented musicians in high school and college.
During those years, I was fortunate to fall in with two different groups of musicians who
were willing to jam for hours simply for the enjoyment of playing and learning. In the
first group were Bill Campbell, Lynn Eberhart, Bill Sprague, Vic Weinrich, and Bernie
Yaged. In the second were Joe Goodman, Pete Plonsky, and Bob Shechtman. I've often
wished we could all get together for a reunion jam session, but we've long since gone our
separate ways and, sadly, members of both groups have already passed on.

Finally, I have to thank my late, multi-talented mother, Marge Smith. For many years,
Mom was the rehearsal pianist at a ballet/tap/jazz dance school and had to produce piano
arrangements of all kinds of music on short notice. She introduced me to pop chord
notation and showed me how she developed piano accompaniments to popular songs
from the chord symbols in sheet music. This experience sparked my interest in jazz
harmony, which ultimately led to the writing of this book.



4

5
Preface

Why write a book like this? It’s unlikely to be to the taste of many music students, most
of whom find music theory — of both the traditional and the jazz varieties — boring and
irrelevant. Exceptions to this glum observation might be jazz pianists, who are typically
the resident music theorists of the groups they play with, and budding composers and
arrangers (who are also very likely pianists of at least modest accomplishment). Be that
as it may, the goal here is to give students some insight into a great musical tradition that
appears now to be passing into history. Along with “The Great American Songbook”, to
which jazz has made numerous contributions, the jazz tradition has bequeathed us an
enormous quantity and variety of original music. Because the development of jazz was
concurrent with the development of recording technology, we are able to listen to
outstanding performances of all the great jazz artists almost all the way back to the
origins of jazz. Recordings have in effect kept all of jazz available, and many people —
young and old — want to be able to play in various styles they have heard. Big band
music, for example, has never gone out of style with amateur groups, and young
musicians for decades have considered it a point of pride to be able to play lightning fast
bebop tunes from the late 1940s and early 1950s.

There is a need for instructional materials to help these aspiring jazz musicians to learn
how to play jazz. In fact, a lot of such material is available. Much of it isn’t very good,
but there are some outstanding exceptions (which are mentioned at appropriate points in
this book). This book was written with a very specific audience in mind: college-level
music majors who have completed a standard two-year music theory sequence. These
students have acquired a vocabulary and an array of concepts that permit them to
approach jazz at a higher level and to accomplish more in a shorter time than would
otherwise be possible. With this group of students there is also the possibility of
immediately putting into practice anything they learn in class: students can form
ensembles and play the music. Jamming is of course the best learning tool for jazz.

Chapters I-VII are pretty down-to-earth and pragmatic. Most of the real “theory” in jazz
theory is covered in Chapter VIII. Some of this material is fairly heavy going, but, even
so, it still only suggests the actual complexity of the most advanced jazz harmony.
Chapters IX and X touch briefly on chord scale theory, modal jazz, and free jazz. These
topics are not as amenable to theoretical treatment as the earlier material in the book. All
three contain idiosyncratic and controversial elements that students must assess and work
out for themselves.


6

7
Table of Contents
Acknowledgments............................................................................................................... 3
Preface................................................................................................................................. 5
I. The Structure of Jazz ....................................................................................................... 9
Rhythmic Structure......................................................................................................... 9
Jazz Rhythmic Interpretation........................................................................................ 10
Form.............................................................................................................................. 11
AABA....................................................................................................................... 11
ABAC ....................................................................................................................... 12
Through-Composed .................................................................................................. 12
Ternary...................................................................................................................... 12
The Role of Song Forms in Jazz................................................................................... 13
II. The Harmonic Vocabulary of Jazz............................................................................... 15
Notation ........................................................................................................................ 15
Notational Conventions ............................................................................................ 15
Standard Chord Notation .......................................................................................... 15
Basic Chord Types........................................................................................................ 18
An Iinterlude on Shorthand and Anomalous Notations............................................ 19
Tensions........................................................................................................................ 19
Suspensions................................................................................................................... 21
Implied Countermelodies.............................................................................................. 21
Roman Numeral Chord Notation.................................................................................. 22
III. Jazz Melody ................................................................................................................ 25
IV. Developing a Bass Line.............................................................................................. 27
V. Standard Chord Progressions: Blues and “Rhythm”.................................................... 29
A Jazz Approach to Blues............................................................................................. 29
Traditional/Rock Approach to Blues ............................................................................ 30
“Rhythm” Changes ....................................................................................................... 32
VI. Chord Voicings........................................................................................................... 35
Solo Keyboard Voicing ................................................................................................ 35
Chord Voicing Styles.................................................................................................... 36
Close Position ........................................................................................................... 36
“Shells” ..................................................................................................................... 37
“Axis” ....................................................................................................................... 37
“Rootless” Chords..................................................................................................... 38
VII. Voice Leading ........................................................................................................... 41
Standard Voice Leading Techniques ............................................................................ 42
Circle of Fifths Root Motion..................................................................................... 42
Root Motion by Second ............................................................................................ 43
Root Motion by Third............................................................................................... 43
Voice Leading with Rootless Chords ........................................................................... 43
Parallel Voice Leading Styles....................................................................................... 44
The Basic Close Position Style................................................................................. 45
The Widened Line: Drop 2 and Drop 3 .................................................................... 46
Locked-Hands........................................................................................................... 46
Scoring for Small Jazz Ensembles................................................................................ 47

8
Instrument Ranges .................................................................................................... 47
Instrumental Combinations....................................................................................... 49
VIII. Functional Harmony in Jazz .................................................................................... 51
Theory of Chord Progressions ...................................................................................... 51
Root Motion.............................................................................................................. 51
The Diatonic (In-Key) Circle of Fifths ..................................................................... 51
The Chromatic Circle of Fifths................................................................................. 52
Strong/Weak Alternation of Chords ............................................................................. 53
Tensions and Chord Function....................................................................................... 57
Non-Tonic Beginnings.................................................................................................. 58
Turnarounds.................................................................................................................. 58
Tritone Substitution: ëIIÏ Substituted for VÏ ................................................................. 59
Voice Leading Chords .................................................................................................. 59
The Diminished- and Half-Diminished Seventh Chords.............................................. 61
The Diminished-Seventh Chord ............................................................................... 61
The Diminished Seventh as a Connecting Chord ..................................................... 62
The Diminished Seventh as an “Incomplete” Dominant .......................................... 63
The Half-Diminished Seventh Chord ....................................................................... 63
The Half-Diminished Seventh as a Connecting Chord............................................. 64
The Half-Diminished Seventh as an Incomplete Dominant Ninth........................... 64
Secondary Functions and Tonicization......................................................................... 65
Borrowed Chords (Modal Interchange)........................................................................ 66
Modulation.................................................................................................................... 67
Pivot Chord Modulation ........................................................................................... 67
Common Tone Modulation....................................................................................... 68
Direct Modulation..................................................................................................... 68
Miscellaneous Harmonic Techniques........................................................................... 69
Tonic-by-Assertion ................................................................................................... 69
Pedal Point ................................................................................................................ 70
Upper Structure Triads.............................................................................................. 70
Polychords and Polytonality ..................................................................................... 71
IX. Chord-Scale Theory.................................................................................................... 73
A Simplified Approach To Chord-Scale Theory.......................................................... 73
The “Diminished” Scale ............................................................................................... 75
Chords With Alterations And/Or Tensions: ................................................................. 76
Interlude On The Minor Mode...................................................................................... 77
“Outside” Playing ......................................................................................................... 78
Treatment Of “Non-Chord” Tones ............................................................................... 79
X. Other Systems .............................................................................................................. 81
Modal Jazz .................................................................................................................... 81
Free Jazz ....................................................................................................................... 81
Tonal Systems In Rock................................................................................................. 82
Appendix A: Jazz Chord Dictionary................................................................................. 83
Appendix B: Rootless Chord Dictionary.......................................................................... 85
Appendix C: Using Sibelius® .......................................................................................... 87
Sibelius Basics .............................................................................................................. 88
I – The Structure of Jazz
9
I. The Structure of Jazz
Much of what happens in jazz is strongly influenced by the rather rigid structure of the
genre. But, far from being an obstacle, the structure provides a set of agreed-upon “rules
of the game” that allow musicians to come together and play jazz with little more
advance communication than is required to pick a tune and the key to play it in.
Understanding this structure is essential to playing jazz well.

The structure of jazz has three principal components: rhythmic, formal, and harmonic.
The rhythmic component dictates fixed rhythmic relationships among the participating
instruments. The formal component is based largely on popular song forms, which follow
a few small, highly predictable patterns. The harmonic component is governed by a
relatively small number of types of chord progressions; however, these chord
progressions — and the individual chords themselves — are subject to a great deal of
variation and elaboration, which accounts for much of the real complexity encountered in
jazz. Accordingly, several sections of this book will be devoted to various aspects of jazz
harmony. Rhythm and form will be treated in this section.

The rhythmic, harmonic, and formal components together confine jazz to a fairly narrow
range of musical possibilities. Jazz has been criticized for these limitations
1
, but it is this
very confinement that allows several musicians to collaborate successfully in the
production of mostly improvised performances.
Rhythmic Structure
Rhythmically, jazz has three layers: melody, chords, and bass. These layers have more or
less fixed rhythmic relationships. In the typical case, the bass part coincides with the beat,
which is generally the quarter note. The melody often moves twice as fast (i.e., in eighth
notes), while the chords typically change at half the rate of the bass (i.e., in half notes).
The rate at which chords change, the so-called “harmonic rhythm”, is sometimes halved
or doubled — changed to whole notes or quarter notes — within a piece.

Layer Typical Note Value
Melody £ or ¢
Bass Line ¤
Chord Changes ¥ or ¦

The realization of the three-layer structure is dependent on the available instrumental
resources — solo piano, duo, trio, combo, big band, etc. A solo pianist, for example, must
either provide all three layers with two hands or else omit one layer. By contrast, a big
band offers many ways to provide the three layers. Chords, for example, can be played by
just the pianist or the guitarist, or by any combination of the available brass and/or reed
instruments.


1
Igor Stravinsky remarked on the absence of “true rhythm” in jazz in his Poetics of Music, and T.W.
Adorno was critical of the rigid treatment of melody, rhythm, and harmony in jazz (see, e.g., ____ in Pri
Jazz Theory
10
What is the function of percussion in the three-layer structure? To answer this question it
is necessary to look at each style, even individual groups or artists, to see how percussion
is actually employed. In the traditional piano trio, the ride cymbal or brushes are used
primarily to blend and unify the sound of the piano and bass and to maintain continuity of
sound. In Latin-oriented groups, percussion plays a foreground role that is essential to the
character of the music; often multiple percussionists are needed to realize the full
rhythmic complexity of this music. In a big band, the drummer is essential both as a basic
timekeeper and as the provider of much of the rhythmic “punch” of arrangements through
hits, fills, and solo passages.
Jazz Rhythmic Interpretation
The unique rhythmic character of jazz is generated mainly in the melodic, or eighth-note,
layer. This rhythm is not notated in jazz lead sheets, scores, and parts but must rather be
supplied as an interpretation by the performer. This interpretation is focused on the
treatment of eighth notes. The following example would not sound like jazz if played
literally as written at tempos from roughly ¤ = 60 to medium “up” jazz tempos:
Drum Kit
Piano
String Bass
»
Ride cymbal
, , , , , , , , , , , ,
/
,
,
,
,
, ,
, ,
, , .
.
,
.
.
.
.
,
,
,
,
,
,

,
,
,
,
,
,
.
.
.
.
.
,
,
,
,
,
,
,
,
,

Instead, at tempos in this range, this passage would be played something like the
following. Depending on the performer, the eighth-note triplet might be slightly accented:
Drum Kit
Piano
String Bass
»
Ride cymbal
, , ,
,
, , ,
,
, , ,
,
, , ,
,
3 3 3 3
/
,
,
,
,
,
,
, ,
, ,
,
, ,
,
.
.
3
3
3
3
,
.
.
.
.
,
,
,
,
,
,
,
,
,
,
,
,
,
.
.
.
.
.
3
,
,
,
,
,
,
,
,
,

This treatment of eighth notes is one of the key elements that give jazz its characteristic
“swing.” Swing cannot be notated exactly. It is learned by listening to more experienced
musicians and then attempting to capture the same feel in one’s own playing.

Whenever eighth notes occur in the bass or chord layers, the same rhythmic interpretation
used in the melodic layer applies. As the tempo is increased into the fast bebop range, the
usual interpretation of the eighth notes increasingly approaches the straight eighth notes
of the first example above.
I – The Structure of Jazz
11
Jazz is occasionally notated like this:
Drum Kit
Piano
String Bass
»
Ride cymbal
, ,

, , ,

, , ,

, , ,

,
/
,
,
,
,
, ,
, ,
, , .
.
,
.
.
.
.
,
,
,
,
,
,

,
,
,
,
,
,
.
.
.
.
.
,
,
,
,
,
,
,
,
,

It would almost never be correct to play this as written. The dotted eighth/sixteenth
rhythm is considered “square” by jazz musicians.
2
This example would instead be played
with the eighth-note triplet feel of the preceding example.

With slower pieces, which jazz musicians generally call “ballads,” the notated rhythm is
interpreted quite freely. The techniques used include rubato and other alterations of the
given note values, playing behind the beat, and playing out-of-time (i.e., without a
discernible beat or pulse).
Form
Jazz inherited much of its formal structure from earlier music. The typical jazz
performance is a type of theme and variations, a form which goes back centuries in
European music. In the jazz version of theme and variations, a performance begins with
the statement of a pre-composed melody, often a pop standard or a familiar jazz tune,
which jazz musicians call the “head”. This constitutes the “theme” part of theme and
variations. The theme/head is then followed by an indefinite number of improvised
variations on the theme. These improvised “choruses” generally follow the structure and
harmony of the original theme quite closely. Normally, each soloist will take his or her
turn playing one or more choruses; however, several soloists may share one or more
improvised choruses by “trading fours” or “trading eights.” In this case, the soloists
improvise in round-robin fashion on 4- or 8-bar segments of the form. It is traditional to
finish off a performance with a restatement of all or part of the original head tune. More
elaborate versions of the jazz version of the theme and variations form may include an
introduction, one or more interludes, and either a short “tag” or an extended coda section.
The form of the theme itself is generally one of a small number of stock patterns that are
found in all types of popular music. These are covered next.
AABA
By far the most common song form is the 32-bar “AABA” form. In this form, there are
two different eight-bar sections, called “A” and “B.” The A section is played twice and
typically has first and second endings. The first ending generally contains a “turnaround,”
a passage designed to lead back to the opening of the tune. The second ending often
modulates to the key of the B section, or “bridge.” At the end of the bridge, there is

2
Ragtime is notated this way and should be played exactly as written.
Jazz Theory
12
generally a modulation back to the key of the A section. Here is a list of some popular
standards that have the AABA structure:

Ain’t She Sweet The Man I Love
Am I Blue Misty
Anything Goes Oh, Lady Be Good
As Time Goes By ‘Round Midnight
The Birth of the Blues Satin Doll
Body and Soul September in the Rain
I Cover the Waterfront Skylark
I Got Rhythm Softly, As In a Morning Sunrise
I May Be Wrong Someone to Watch Over Me
It’s Only a Paper Moon What’s New?
Jeepers Creepers You AreToo Beautiful
Lullaby of Birdland You Took Advantage of Me

ABAC
Another common song form could be called “ABAC.” This form has four 8-bar sections
grouped into two 16-bar units, which are often identical except for their respective
endings. Here is a list of some popular standards that have the ABAC

form:

But Not for Me I Can’t Give You Anything But Love
Dancing in the Dark I Know that You Know
Days of Wine and Roses I Thought About You
Do It Again I’ve Got a Crush on You
Dream Sometimes I’m Happy
Embraceable You Time After Time
Fine and Dandy When Your Lover Has Gone
Fools Rush In

Through-Composed
A small number of songs is “through-composed.” That is, they consist of one big section
that runs from beginning to end, although the melody may still be organized as four 8-bar
units (yielding an “ABCD” form). This form does not preclude a certain amount of
thematic repetition. Three well-known through-composed songs are Avalon, Stella by
Starlight, and You Do Something to Me.
Ternary
Finally, a much smaller number of tunes uses the ABA, or “ternary,” form that is
common in European art songs. As with AABA tunes, this form has two different
sections, but the A section is not repeated before the B section. I’ll Remember April is
one of the best-known popular standards in ternary form.
I – The Structure of Jazz
13
The Role of Song Forms in Jazz
All of the standard song forms are complete and self-contained within a small number of
measures, usually 32. There is only a small number of such forms to remember, and each
form is simple enough that players can easily keep the entire structure in mind while
improvising. This is what makes these forms so useful for jazz. Longer, more complex
forms would require special skills to navigate, making collective improvisation more
difficult.

The restrictions imposed by the standard song forms severely limit, among other things,
the amount of harmonic exploration that can be accomplished within the scope of these
forms. They simply are not long enough to allow the construction of pieces having
sections in several different keys. As a result, the harmonic innovators of the jazz
tradition — Art Tatum, Duke Ellington, Thelonious Monk, Bill Evans, and John
Coltrane, among others — have focused their harmonic imagination on the development
of novel chord progressions and distinctive chord voicings and sonorities, musical ideas
that can be realized in a relatively short space.


Exercises

1. Analyze the forms of several of the following tunes. Indicate the major sections
with the usual letter notation (A, B, C, etc.), and indicate any significant thematic
ideas and motives. Also comment on whether each tune exactly follows one of the
formal patterns described above or deviates in some way (explain how it
deviates). Indicate the starting, highest, and lowest notes. On which note does the
emotional high-point of the lyrics occur?

a. Alone Together n. Love for Sale
b. Angel Eyes o. Lover, Come Back to Me
c. April in Paris p. Night and Day
d. Autumn in New York q. Please Don’t Talk About Me When I’m
Gone
e. Caravan r. S’Wonderful
f. Crazy Rhythm s. Somebody Loves Me
g. Day by Day t. Someone to Watch Over Me
h. Fascinating Rhythm u. Soon
i. How Long Has This Been Going On? v. Thou Swell
j. I Get a Kick Out of You w. A Time for Love
k. I Only Have Eyes for You x. What is This Thing Called Love
l. Just One of Those Things y. What’s New?
m. Liza z. You Go to My Head

Jazz Theory
14
II – The Harmonic Vocabulary of Jazz
15
II. The Harmonic Vocabulary of Jazz
Notation
Virtually all forms of popular music use a common system for the notation of chords.
This system is not entirely consistent, but it is as good as it needs to be for its purpose.
Notational Conventions
In the description of the structure of a chord, individual chord tones are sometimes
referred to by the interval they make with the root of the chord, sometimes by the scale
degree they occupy. To distinguish between these two usages, this book uses two
different fonts. When the text refers to intervals above the root, the following font will be
used:
1 2 3 4 5 6 7
When the text refers to degrees of the major scale, the following font will be used:
1
^
2
^
3
^
4
^
5
^
6
^
7
^

Degrees of the minor scale will be indicated with the appropriate accidentals. For
example, the “natural” form of the minor scale (or Aeolian mode) would be indicated as
1
^
2
^
ë3
^
4
^
5
^
ë6
^
ë7
^

Standard Chord Notation
In the standard system for the notation of chords, a chord symbol gives the letter name of
the root of each desired chord, as well as any further information needed to indicate the
correct pitches for the third, fifth, sixth or seventh, and “tensions.” Chord symbol
notation does not specify the “voicing” of chords, that is, the actual deployment of the
chord tones. Voicing is left to the performer, composer, or arranger.

Chord symbols follow this general sequence of components:

Root [Third] [Sixth or Seventh] [“Tensions”] [/ Bass note]

The bracketed components are optional. Only the root is required. The other elements of
a chord symbol are incorporated as necessary to make clear what harmony is intended.
The grammatical rules for each component of a chord symbol are as follows:

• Root. The root of each chord is specified by a capital letter denoting the pitch
class of the root (a “pitch class” is all the notes that have the same name. For
example, all E’s — no matter which octave they are in — are in the same pitch
class.) A single-letter chord symbol denotes a major chord. For example:

/
C
.
C C C
.
. .
. .
.
,
.
.
.
.
.
.
.
.
.


Jazz Theory
16
• Third. If the third of a chord is major, this component is omitted. If the third is
minor, the chord symbol must contain either “m” or “-”. For example:
/
Am
.
Am Am Am
.
. .
. .
.
,
.
.
.
.
.
.
.
.
.

• Sixth or Seventh. Jazz chords almost always have a sixth or seventh above the
root (i.e., the basic jazz chord consists of four different notes: root, third, fifth, and
sixth or seventh). The sixth is always the major sixth. The seventh is the minor
seventh unless the major seventh or diminished seventh is explicitly specified.
The major seventh is indicated either as majÏ or úÏ; thus, for example, CÏ denotes
the dominant seventh built on C, while CmajÏ or CúÏ denotes the major seventh
chord built on C. The diminished seventh is indicated either as „Ï or dimÏ.
/
.
.
.
.
C6
.
.
.
. ,
C7
.
.
.
.
Cmaj7 Cº7
.
.
.
. ,
,
,


• Tensions. The basic four-note chords can be extended upwards to include ninths,
elevenths, and thirteenths. In jazz harmony, chord tones beyond the sixth or
seventh are called “tensions” (this term, although common, is somewhat
misleading). In current jazz practice, almost every chord contains one or more
tensions and/or one of the alterations described below. If a chord is to have
tensions, they are generally given in a list following the sixth or seventh. The
chord symbol CÏÓÑÓÉË, for example, calls for a C dominant seventh chord with the
flatted ninth (DÓ) and flatted thirteenth (AÓ) added:

/
C7b9b13
.
. ,
,
,
.
.
.
,


Ninths and thirteenths are assumed to be major unless otherwise indicated.
Elevenths are assumed to be perfect unless otherwise indicated.

• Alterations. Certain alterations of basic chord types are common. These
alterations are most often applied to the fifths of dominant sevenths to give these
chords a bit of added interest. The alterations are:

+5 raises the fifth of a chord based on a major triad:
/
G7+5
.
. ¸
,
.
.

II – The Harmonic Vocabulary of Jazz
17
ë5 lowers the fifth of a chord based on a major or minor triad:
/
G7b5
.
. ,
,
.
.


Alterations are indicated in the list following the sixth or seventh. The chord
symbol CÏÓÑÓÍ, for example, calls for the C dominant seventh chord with flatted
ninth (DÓ) and flatted fifth (GÓ) added:
/
C7b9b5
.
. ,
,
,
.
.
.
,

CÏ…Í calls for the C dominant seventh chord with augmented fifth:
/
C7+5
.
. ¸
,
.
.
,


• Bass note. In standard chord notation, the lowest tone of a chord is assumed to be
the root; however, depending on the artist or the style, the actual lowest tone
played may turn out to be any of the four in the basic chord or, occasionally, even
a tension. When a composer or arranger wants to guarantee that some specific
tone will be the lowest, the desired pitch is appended to the chord symbol
preceded by a slash. For example, CÏ/E specifies the first inversion of the C
dominant seventh chord:

/
C7/E
.
. ,
,
.
.


The use of these so-called “slash” chords is often an indication that the composer
or arranger has a specific bass line in mind. The performer should therefore study
the chord symbols carefully to see if such a line is implied. (See the Implied
Countermelodies section below for more details on this practice.)

NB: In jazz chord notation, “m” and “-” (for “minor”) refer only to the third of a chord,
and “maj” and “ú” (for “major”) refer only to the seventh of a chord. The third of a chord
is assumed to be major unless an explicit indication of minor is given; the seventh of a
chord is assumed to be minor unless an explicit indication of major or diminished is
given. The fifth of a chord is assumed to be perfect unless an alteration is specified.
Jazz Theory
18
Basic Chord Types
The harmonic vocabulary of jazz consists of seven basic types of chords together with
some “tension” notes and alterations. As in traditional harmony, jazz chords are built up
in thirds from a root pitch; however, in jazz each basic chord consists of four different
tones (bare major and minor chords are used sparingly in jazz, but they are common in
current pop music.) The seven basic chord types are the following:

• Major seventh
/
.
.
.
.
Cmaj7

• Sixth
/
C6
.
.
.
.

• Minor sixth
/
Cm6
.
.
.
.
,

• Minor seventh
/
Cm7
.
.
.
. ,
,

• Dominant seventh
/
C7
.
.
.
. ,

• Diminished seventh
/
Cº7
.
.
.
. ,
,
,
.
.
.
.
,
,

The use of accidentals is often haphazard in jazz, and enharmonic spellings abound. It
is rare to find a double sharp or double flat when these would be the correct
accidentals. In the chord on the right above, for example, A replaces the Bê which
would be the correct spelling of this note.

• Half-diminished seventh
/
CØ7
.
.
.
. ,
,
,

These seven chord types are sufficient to account for all of the distinct harmonic
functions found in jazz.
II – The Harmonic Vocabulary of Jazz
19
Here are the basic diatonic jazz chords in C major:
/
.
.
.
.
C6
.
.
.
.
Cmaj7
.
.
.
.
Dm7 Em7
.
.
.
.
F6
.
.
.
.
.
.
.
.
Fmaj7 G7
.
.
.
.
.
.
.
.
Am7
.
.
.
.
BØ7


The list of basic diatonic chords in C minor is considerably longer because of the
possibility of using either the natural or raised sixth and seventh scale degrees in minor:
/
,
,
,
Cm6
.
.
.
. ,
Cm7
.
.
.
.
Cmmaj7
.
.
.
. ,
DØ7
.
.
.
.
Eb6
.
.
.
.
Ebmaj7
.
.
.
.
Fm6
.
.
.
.
Fm7
.
.
.
.
/
,
,
,
F7
.
.
.
.
,
Gm7
.
.
.
.
G7
.
.
.
.
,
Ab6
.
.
.
.
Abmaj7
.
.
.
.
AØ7
.
.
.
. ,
Bb7
.
.
.
.
Bº7
.
.
.
. ,
BØ7
.
.
.
. ,
,

Note that EëmajÏ…Í is not included in this list even though it is diatonic. The reason is that
in jazz harmony as presented here, any chord containing an augmented fifth is considered
to be an altered chord rather than a basic chord. For a complete list of all of the basic jazz
chords, see Appendix A: Jazz Chord Dictionary.
An Interlude on Shorthand and Anomalous Notations
Several shorthand and anomalous chord notations are in common use:

• Sometimes a shorthand notation is used for chords with tensions. For example, CÑ
denotes a CÏ chord with added major ninth; CÉË denotes a CÏ chord with added
major thirteenth; CmajÑ denotes a CmajÏ chord with added major ninth; CmÑ
denotes a CmÏ chord with added major ninth.

• The diminished seventh chord is indicated with the „ symbol or dim. C„Ï and
CdimÏ, for example, both denote the chord C EÓ GÓ BÒ. This usage does not
follow the rules given above, but it is standard practice.

• The half-diminished seventh chord is often indicated with the ƒ symbol. CƒÏ, for
example, denotes the chord C EÓ GÓ BÓ. This usage does not follow the rules
given above. This is apparently the reason that the mÏÓÍ notation for the half-
diminished seventh chord has become standard: this notation follows the rules. On
the other hand, mÏÓÍ suggests that the designated chord has an altered (i.e.,
lowered) fifth. This is often not the case since the half-diminished seventh chord
is diatonic in both the major mode (as VII) and minor mode (as II).

• The dominant seventh chord with augmented fifth is sometimes indicated as, for
example, C+Ï. This notation puts the alteration of the fifth, +, before the Ï instead
of after. This notation is common and musicians are not confused by it.
Tensions
Here are the tensions generally used with the basic chord types (the tensions are indicated
by stemless quarter note heads above the basic chord, which is given in whole notes):
Jazz Theory
20
• Major seventh: major ninth, augmented eleventh, major thirteenth
/
¸
.
.
.
.
,
,
,


• Sixth: major ninth, augmented eleventh
/
¸
.
.
.
.
,
,

• Minor sixth: major ninth, perfect eleventh
/
,
.
.
.
.
,
,

• Minor seventh: major ninth, perfect eleventh, major thirteenth
/
,
,
.
.
.
.
,
,
,

• Dominant seventh: minor, major, or augmented ninth; augmented eleventh;
minor or major thirteenth. These tensions can be combined and voiced in many
different ways to produce a wide variety of colors. The only combinations to be
avoided are those that would put together two tensions separated by a half-step,
such as the minor and major ninth; however, to achieve a particular effect a
composer, performer, or arranger might deliberately use such a combination.
/
,
,
.
.
.
.
, , , , ¸
, ¸
, , , ,

The tensions here are strung out on the staff in melody-like fashion simply
because there are too many of them to stack up vertically as in the other examples
in this section. This physical arrangement should not be taken to imply that the
tensions should be played one after the other in the order shown as a sort of
melody.

• Diminished seventh and half-diminished seventh chords: these chords
ordinarily take no tensions (as explained below, they are sometimes used as
“incomplete” dominant ninths).

Some general words of advice about tensions: When they are desired, ninths, elevenths,
and thirteenths should always be indicated in a chord symbol. If you find yourself writing
lots of tensions into the chord symbols, you probably have very specific sonorities in
mind. Because of the inherent vagueness of chord notation, the performer may not be
able to infer from the chord symbols exactly the sound you want. In such cases it’s better
to simply write out the specific chords you want. Many composers and arrangers provide
chord symbols that indicate only the basic chords (i.e., no ninths, elevenths, or
thirteenths), anticipating that pianists and guitarists will add their own favorite tensions.
They include specific tensions in a chord symbol only when they occur in the main
II – The Harmonic Vocabulary of Jazz
21
melody or another prominent part. The purpose of this practice is to allow pianists and
guitarists latitude in creating their accompaniments, but to alert them when a particular
tension is present in another instrument’s part in order to avoid clashes. Many of the
musical examples in this book follow this practice.
Suspensions
sus or sus 4 suspends, or withholds, the third of a chord and inserts a fourth above the
root:
/
G7sus4
.
.
,
.
.


Although the suspension originated as a melodic device, the sus tone is treated in jazz as
a chord tone. It has no obligation to resolve downward by step; however, the jazz artist
may choose to provide such a resolution to achieve a particular musical effect.

It should be noted that the extensive use of sus 4 chords found in the playing of some
recent pianists implies a harmonic system based on chords built in fourths rather than
thirds. The tones of the GÏsus4 above, for example, could be rearranged to form the chord
D G C F, a “quartal” (i.e., fourth-based) harmony. Standard chord symbol notation is not
well suited to the representation of quartal harmony. When quartal harmony is in force,
the composer or arranger should probably write out the exact sonorities he or she wants
rather than using the sus notation and hoping the performers will guess the desired
sounds.
Implied Countermelodies
It is a common practice in jazz to write simple countermelodies into the chord notation.
There are two distinct ways to do this, depending on whether the countermelody is a bass
line or an upper line:

1. If the countermelody is in the top or inner voice, it can be written as the numeric parts
of a sequence of chord symbols. For example, the melody C-B-BÓ-A over a C-minor
chord can be written into the chords symbols as Cm CmmajÏ CmÏ CmÎ:
/
Cm
,
.
.
Cmmaj7
.
Cm7
,
,
.
.
Cm6
.
,
.
.
.
.

The chord symbols do not say whether the top or inner part is to play the implied
countermelody. This decision is left up to the performer. For an example of this
technique, see the opening bars of My Funny Valentine.

2. When the countermelody is the bass line, a different notational technique must be
employed: the so-called “slash” chord notation mentioned above. With slash
Jazz Theory
22
chords, the letter name of each note of the countermelody is written after a slash
(“/”) in the chord symbol. For example, the bass line C-B-BÓ-A under a C-minor
chord would be written as Cm Cm/B Cm/BÓ Cm/A:
/
.
.
,
Cm Cm/B
.
.
,
Cm/Bb Cm/A
,
.
.
. , .
.
.

For an example of this technique, see the opening bars of Like Someone in Love.

Both of these techniques have an obvious limitation: the rhythm of the countermelody is
tied to the harmonic rhythm indicated (sometimes ambiguously) by the chord symbols.
The resulting melodies are necessarily very simple and predictable. For this reason,
several authors refer to such melodies as “line clichés.” When the composer or arranger
has in mind a countermelody that has its own independent rhythm and contour, he or she
should write it out in full.
Roman Numeral Chord Notation
When it is desired to describe chords or chord progressions in general terms — without
reference to a specific key — it is standard practice to use a form of Roman numeral
notation similar to that used in connection with traditional harmony. In the major mode, a
Roman numeral in the range I to VII identifies the scale degree on which a chord is built,
and the other attributes of the chord (third, sixth or seventh, tensions and alterations, bass
note) are indicated exactly as with standard jazz chord notation. Here, for example, are
the diatonic jazz chords in C major, but this time with their Roman numeral designations:
/
I6
.
.
.
.
Imaj7
.
.
.
.
IIm7
.
.
.
.
IIIm7
.
.
.
.
IV6
.
.
.
.
IVmaj7
.
.
.
.
V7
.
.
.
.
VIm7
.
.
.
.
VIIØ7
.
.
.
.

Chords belonging to the minor mode are treated as modifications of the major mode in
jazz Roman numeral notation. The chords on the scale degrees in the minor mode are
indicated as I II ëIII IV V ëVI or VI ëVII or VII. Here, for example, are the diatonic
jazz chords in C minor with their Roman numeral designations:
/
,
,
,
Im6
.
.
.
. ,
Im7
.
.
.
.
Immaj7
.
.
.
. ,
IIØ7
.
.
.
.
bIII6
.
.
.
.
bIIImaj7
.
.
.
.
IVm6
.
.
.
.
IVm7
.
.
.
.
/
,
,
,
IV7
.
.
.
.
,
Vm7
.
.
.
.
V7
.
.
.
.
,
bVI6
.
.
.
.
bVImaj7
.
.
.
.
VIØ7
.
.
.
. ,
bVII7
.
.
.
.
VIIº7
.
.
.
. ,
VIIØ7
.
.
.
. ,
,

The jazz Roman numeral notation treats the third, sixth, and seventh degrees of the
natural minor scale as lowered versions of these scale degrees in the major.
II – The Harmonic Vocabulary of Jazz
23


Exercises
1. Notate the following chords: AmÎ, EÓÏ, EmajÏ, BÓ„Ï, FƒÏ, AÓmÏ, FÕÏ.
2. Notate the following chords: CÑ, EÉË, DÏÓÑ, GmÑ, AÏÕÑ, DmajÑ, BÓÏÓÑÓÉË.
3. Notate the following chords: FÏ…Í, DÓÏÓÍ, E…Ï, GmajÑ…ÉÉ, DmÏÓÍ, AÏsusÌ, FÕÏÓÍ.
4. Write the diatonic ninth chords in G major (There are only five of them. Why?). Give
the standard chord symbol that specifies each chord.
5. Find the implied countermelodies in Liza, The Birth of the Blues, Body and Soul, The
Man I Love, It Could Happen to You, Someone to Watch Over Me, But Beautiful, or
Memories of You (note: some of these are tricky and require attentive listening). Write
out the countermelody and describe how it is indicated in the score.
Jazz Theory
24
III – Jazz Melody
25
III. Jazz Melody

Unlike harmony and counterpoint, which are grounded in principles that can be taught to
almost any musician, melody remains a largely personal art. Some people have a gift for
it, others don’t. Fortunately, jazz has a simple technique for creating melodies that is
quite often successful: riffing. A riff is a short melodic fragment — typically two bars in
length — that is repeated as many times as necessary to fill out an 8-, 12-, or 16-bar
section of a tune. Riffing is used both by soloists during improvisation and by composers
when they are writing new compositions. Riffing has been a basic technique throughout
most of the history of jazz, but it played an especially prominent role in the big band
music of the 1930s and 40s. Many of the hits of this period were simple tunes based on
one or more riffs. The musical examples in this section are all drawn from this time.
These tunes are still played today by high school, college, and amateur big bands,
evidence of the enduring interest and utility of the riffing technique.

In the simplest type of riffing, the riff is repeated note-for-note. Count Basie’s 1938 hit
Jumpin’ at the Woodside employs a two-bar riff that is repeated four times in the A
section of the tune. This example shows the first two repetitions of the riff together with
its accompanying brass figure in the lower staff:
,
,
,
,
,
,
,

,
,
,
,
.
. .
,
,
,
,
.
. .
,
,
,
,
,
,
,
. .
,
,
,
,

,
,
,
,
,

,
,
,
,

, . .
,
,
,
,

,
,
,
,
,

,
,
,
,

, .


A slightly more sophisticated riffing technique repeats the riff note-for-note except for
the last statement of the riff, which is often a modified version of the riff. Sy Oliver’s
Opus One (1943), written for the Tommy Dorsey orchestra and also recorded by the
Mills Brothers, repeats a two-bar riff three times, followed by a two-bar unit based on a
truncated version of the riff. This example shows just the first two repetitions of the riff,
which itself contains two slightly different versions of a simple figure:
,
, /
¸

G6
,
.
,
,
,
,

,
.
,
,
,
, ,

C7
,
.
,
,
,
,

,
.
,
,
,
, ,

,
.

Flying Home (1940) by Benny Goodman and Lionel Hampton repeats the following riff
note-for-note three times and then concludes the section with a different melodic idea.
Notice that the chord symbols imply a scalewise descending bass line:
,
, /
,
,
,
,
Ab
,
,
,
,
,
.
Ab7/Gb Fm E9
,
,
,
,
Eb7
, ,
,
,
,


Jazz Theory
26
Many of Glenn Miller’s hits were simple, riff-based tunes in which the riff is modified on
each repetition just enough to fit the prevailing harmony. Miller’s In the Mood (1939),
for example, uses this arpeggiated riff on a very simple G blues chord progression:

,
, /
¸
,
,
,
,
,
,
,
,
,
,
,
, ,
.
,

Duke Ellington made frequent use of riff-like melodic ideas in his compositions. In a
Mellow Tone (1940), Don’t Get Around Much Anymore (1942), and Do Nothing ‘Til You
Hear From Me (1943) — three of Ellington’s perennially popular favorites — combine
literal repetitions of a riff, modified versions of the riff, and additional melodic ideas not
based on the riff.

A riff can be used as the foreground melody of a composition or as a background behind
a composed or improvised melody. Both uses often occur within the same composition.
In any case, riffs do not occur in a vacuum. At a minimum, they are played against the
background provided by a rhythm section. A great rhythm section like Count Basie’s
could transform a simple riff like the one used in Jumpin’ at the Woodside into a
powerful musical statement.

Exercises
1. Write three different two-bar riffs. Try to make the rhythmic pattern of each one
different, and have at least one riff begin on a pickup.
2. Write the A section of your own riff-based AABA tune over chord changes provided
by the instructor. Present your tune in lead sheet form: melody on the treble staff,
with each chord symbol placed immediately above the first note the chord is to
accompany. Use first and second endings for the AA part of the form.
3. Write the B section, or “bridge”, of your riff-based tune. The bridge should use a
different riff from the A section. Again, present your tune in lead sheet form: melody
on the treble staff, with each chord symbol placed immediately above the first note
the chord is to accompany.
IV – Developing a Bass Line
27
IV. Developing a Bass Line

With the exception of solo jazz pianists and the occasional jazz duo (e.g., two guitars,
guitar and a horn, etc.), most jazz groups have a bass player. Jazz bass players usually
create their own bass lines from the information provided by chord symbols; however, it
is important for any jazz musician who wants a complete understanding of jazz harmony
to be able to write appropriate bass lines.

Ideally, a jazz bass line will be a true melody, perhaps simpler than the lead part, but a
melody nonetheless. As with melody in general, writing a good bass line is an art;
however, one can make a good start toward the development of a successful bass line by
following a few simple guidelines. Assuming a half-note harmonic rhythm, use the
following procedure:

1. Place the roots of the indicated chords on beats 1 and 3 to create the skeleton of
the bass line. As far as possible, select the root notes so that the interval between
them is minimized (e.g., choose a fourth up rather than a fifth down, a third down
rather than a sixth up, etc.).

,
,
,
,
F6
,
Dm7
,
Gm7
,
C7
,
Am7
,
Ab7
, ,
Gm7
,
Gb7
, ,
F6
,


2. Fill in beats 2 and 4 according to the interval between the notes on beats 1 and 3:
,
,
,
,
F6
,
,
Dm7
,
,
Gm7
,
,
C7
,
,
Am7
, ,
Ab7
, , ,
Gm7
, ,
Gb7
, ,
, ,
F6
,
,
,
,

The different intervallic situations, and their solutions, are as follows:

a. If the roots are separated by a third, put a diatonic passing tone between
them. In measure 1 we insert E between F and D, and from measure 2 to
measure 3, we insert BÓ between C and A.
b. If the roots are separated by a fourth or fifth, fill out the interval with a
tone drawn from the first chord. In measure 1 we insert F between D and
the G in the following measure, and in measure 2 we insert D between G
and C.
c. If the roots are separated by a major or minor second, repeat the bass note
as shown in measures 3 and 4. As can be seen in measure 4, an octave leap
can be used instead of a repetition. This move is sometimes used
reposition a bass line that is approaching either the lower or the upper
extreme of the range of the instrument.
d. If a chord is held for the entire duration of a measure, the bass line can be
filled out with a scalewise line from the root of the chord down to the fifth.
This is done under the FÎ chord in measure 5.
Jazz Theory
28

3. Finally, look for opportunities to smooth out the bass line through judicious use of
the third, fifth, or seventh of a chord, or non-chord tones. Here, for example, the
scalewise line in measure 1 is continued downward through C (the 7
th
of the DmÏ
chord) to the BÓ on the first beat of measure 2. This movement puts the root of the
GmÏ chord on the second beat of measure 2, which is perfectly acceptable:
,
,
,
,
F6
,
,
Dm7
,
,
Gm7
,
,
C7
,
,
Am7
, ,
Ab7
, , ,
Gm7
, ,
Gb7
, ,
, ,
F6
,
,
,
,

This method is unlikely to produce a bass line with the fire and drive of one by a Ray
Brown or a Charles Mingus, but a competent bass player will be able to make the line
swing and it will adequately support the harmony of a piece.


Exercises.
1. Write a bass line for a tune selected by your instructor. The bass part should include
both chord symbols and a written-out bass line. Also prepare a guitar/piano part that
includes chord symbols and “virgules” (bolded slashes) to indicate the rhythm. If
possible, have class members play the tune, the chords, and your bass line.
2. Choose a tune from the lists in the Form section of Chapter I and write a bass part
for it. The bass part should include both chord symbols and a written-out bass line.
Also prepare a guitar/piano part that includes chord symbols and “virgules” (bolded
slashes) to indicate the rhythm. If possible, have class members play the tune, the
chords, and your bass line.
V – Standard Chord Progressions: Blues and “Rhythm”
29
V. Standard Chord Progressions: Blues and “Rhythm”
A Jazz Approach to Blues
The blues has been, and continues to be, a strong influence in jazz. Within the jazz
tradition, a 12-bar form of the blues has become standard; however, there is considerable
variety in the chord progressions used. These progressions generally exhibit root
movement by fifth, up or down, but the actual chords used can range from basic triads to
richly extended seventh chords connected in chromatic patterns. The traditional blues
progression, which had already become standardized by the 1920’s, is the following:
/
C
   
F7
   
C
   
C7
   
/
F7
       
C
       
/
G7
   
F7
   
C
       

An even more basic (not to say primitive) form of the blues chord progression can be
obtained simply removing all the sevenths from chords in this example and just using
plain triads. Such simple harmony would be almost unthinkable in jazz, but rock groups
have used it.

Here is a more modern version of the blues progression:
/
C7
   
F7
   
C7
   
Gm7
 
Gb7
 
/
F7
   
Fm7
 
Bb7
 
Em7
   
A7
   
/
Dm7
   
G7
   
Em7
 
Ebm7
 
Dm7
 
Db7
 

As can be seen, this version uses “borrowed” chords, secondary dominants, and linear
chords, which should all be familiar to students from the study of traditional harmony.

Here is a list of well-known blues tunes that should be studied:

All Blues Jumping with Symphony Sid
Au Privave Misterioso
Bags’ Groove Mr. P.C.
Ba-Lue Bolivar Ba-Lues Are Now’s the Time
Bessie’s Blues Opus de Funk
Bud’s Blues Short Stop
Blue Monk Stolen Moments
Blues for Alice Straight, No Chaser
Blue Trane Tenor Madness
C-Jam Blues West Coast Blues
Jazz Theory
30
The so-called “blues scale” is often proposed as the basic melodic material for
improvisation on blues chords. Here are two versions of the blues scale:

1
^
1
^
1
^
ë3
^
ì3
^
ë5
^
ì5
^
6
^
ë7
^


For C blues, this scale would be:

/
.
. , .
. , . ,
.
. ,



1
^
2
^
Ó3
^
Ô3
^
4
^
Õ4
^
5
^
6
^
Ó7
^


Again for C blues, this scale would be:

/
.
.
. , .
. . ¸
.
.
. ,



These scales correspond quite closely to actual blues practice; however, to understand
how jazz, blues, and rock musicians use these scales, careful listening to a variety of
blues performances is necessary.
Traditional/Rock Approach to Blues
A traditional approach to blues, which is often used in rock, is to combine the traditional
blues chord progression shown above with melodies based on the pentatonic scale.
3
The
pentatonic scale could be thought of as a major scale minus the fourth and seventh
degrees:

/
.
.
.
.
.


However, this view of the pentatonic scale is somewhat misleading. Because of the
absence of half-steps in this scale (and the resulting absence of the tritone between the
fourth and seventh scale degrees), it is impossible to establish a Tonic by the usual
harmonic or melodic means (e.g., the VÏ-I cadence). Thus, unlike the major and minor
scales, the pentatonic scale does not have an unambiguous Tonic. Also because of the
absence of half steps, it is impossible to create a strong dissonance with any combination
of tones from the pentatonic scale — the notes all sound good together. This has been
discovered by countless generations of children “improvising” on the black keys of the
family piano (which form a pentatonic scale), and it is also one of the cornerstones of the
Orff-Kodaly method of music instruction. The special characteristics of the pentatonic

3
The pentatonic scale is used in all forms of American popular music and thus deserves a fuller treatment
than can be given here.
V – Standard Chord Progressions: Blues and “Rhythm”
31
scale make it an excellent vehicle for improvisation, especially for beginners. There
simply are no “wrong” notes.

For purposes of the blues, the appropriate pentatonic scale pattern to use is

1
^
Ó3
^
4
^
5
^
Ó7
^

Thus, for example, the scale notated above (C D E G A) would be used for blues in A
(i.e., this scale begins on the “blue” third, C).

As an experiment with this approach to the blues, try the following at the piano: with
your left hand play the traditional blues chords in EÓ, and with your right hand play
arbitrary black notes or perhaps try to improvise a simple melody. The following is an
example of the kind of results that can be obtained with a little practice. Notice that the
exact same pentatonic phrase is used over each 4-bar unit of the blues progression even
though the harmony of each unit is different. The use of the pentatonic scales guarantees
that, from the standpoint of blues usage, there will be no harmony/melody clashes.

,
,
,
,
/
,
,
,

,
.
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
, ,
,
,
,
.
,
,
,
,
-
Eb7
.
.
.
.
,
Ab7
.
.
.
.
,
Eb7
.
.
.
.
, .
.
.
.
,
5
/
,
,
,
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
, ,
,
,
,
.
,
,
,
,
Ab7
.
.
.
.
, .
.
.
.
,
Eb7
.
.
.
.
, .
.
.
.
,
9
/
,
,
,
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
,
.
,
,
,
,
Bb7
.
.
.
.
,
Ab7
.
.
.
.
,
Eb7
.
.
.
.
,
.



Exercises
1. Write your own blues melody over the chord changes of a tune selected from the
list in the A jazz approach to the blues section above.
2. Write a bass line and piano/guitar part for the tune selected for exercise 1. Play
the original tune and your melody with your bass and piano/guitar
accompaniment.
Jazz Theory
32
3. Write a blues melody based on a two-measure riff using a blues scale, and then
write bass and piano/guitar parts for it using the “traditional” blues chord
progression. Play the entire composition.
4. Write a blues melody consisting of three identical four-bar phrases. Write bass
and piano/guitar parts to accompany the melody. Play the entire composition

“Rhythm” Changes
The chord progression of Gershwin’s I Got Rhythm is the second most commonly used in
jazz, the blues progression being the most used. Because the I Got Rhythm progression is
so common, musicians often refer to it simply as the “Rhythm changes.” Here is the
traditional version of the Rhythm changes:



,
, /
,
,
Bb6
  
Gm7

Cm7
 
F7
 
Dm7
 
Dbº
 
Cm7
 
F7
 
Bb
  
Bb6/D

Eb
 
CØ7
 
1.


2.
/
,
,
!

Bb6/F

F7
  
Bb6

Cm7

B7
 
Bb6

Eb7
 
D7
       
D.C. al Coda
/
,
,
G7
       
C7
        
F7
      
Coda(jazz)
Coda(Gershwin's)
/
,
,
!

Bb6/F

F7
 
Bb6
   
!
Bb6/F
 
F7/Eb
 
DØ7
 
G7
  
C9

F7
 
Bb6
   


Among the many well-known jazz tunes based more or less on the Rhythm changes
are:
Thelonious Monk: Rhythm-a-ning
Sonny Rollins: Oleo
Charlie Parker: Anthropology, Moose the Mooche
Bud Powell: Bud’s Bubble, Wail
Duke Ellington: Cottontail
Dizzy Gillespie: Salt Peanuts
Count Basie: Lester Leaps In

V – Standard Chord Progressions: Blues and “Rhythm”
33

Exercises
1. Write your own riff-based melody over the Rhythm changes. Use different riffs
for the A and B sections.
2. Write a bass line for the tune written for exercise 1 and play the entire
composition.
3. Write your own riff-based melody over the version of Rhythm changes in one of
the other tunes in the list above. Use different riffs for the A and B sections.
4. Write a bass line for the tune written for exercise 3 and play the entire
composition.
5. Compare the harmony of any of the Rhythm-based tunes above with the
“standard” Rhythm changes and comment on any differences between the two.
6. If you compare all of the Rhythm-based tunes listed above with Gershwin’s
original, what (if anything) stays constant across all of the tunes?
Jazz Theory
34
VI – Chord Voicings
35
VI. Chord Voicings

“Voicing” refers to the way chord tones are deployed. There are many different
approaches to chord voicing. The choice of which approach to use is partly a matter of
what kind of musical group is involved: solo keyboard, piano trio, big band, soli group,
vocal jazz ensemble, etc. The choice of approach is also affected by the aesthetic
preferences of the performer, composer, or arranger. And, finally, the choice of approach
is affected by the background and training of the performer, composer, or arranger.
Musicians who have had training in traditional harmony, counterpoint, and orchestration
are likely to use more sophisticated voicing techniques, while musicians with less formal
training are more likely to use automatic techniques based on the mechanical application
of a few voicing rules. As crude as these latter techniques may appear, they do not
necessarily give poor musical results.
Solo Keyboard Voicing
This section presents some guidelines for a reasonable approach to solo keyboard
voicing. Students of traditional harmony will recognize several of the guidelines as
standard procedures for writing the typical textbook exercises in four-part harmonization.
These guidelines are fairly general and can therefore be extended, with appropriate
modifications, into other musical contexts; however, one caveat concerning piano voicing
of chords should be noted here. In the excellent little book, Composing for the Jazz
Orchestra, William Russo observes that

…the piano ‘absorbs’ sound very well — it minimizes dissonant structures.
Consequently, a chord which would be terrifying in its impact if voiced for brass
will be mildly tingling when played on the piano. This fact can be turned around:
much clear and clean wind instrument writing sounds weak when played on the
piano. The piano is inadequate as the sole criterion of orchestral writing. It does
not give a representation of the orchestra.
4


The general guidelines for keyboard voicing are:

• Include the root as the bottom note of the chord.
• Include the characteristic tones of the chord:

Chord Type Characteristic Tones
Minor seventh and dominant seventh chords third and seventh
Sixth chords, major or minor third and sixth
sus 4 seventh chords fourth and seventh
Half-diminished seventh chords root, fifth, and seventh*
Diminished seventh chords root, fifth, and seventh*
Augmented seventh chords third, fifth, and seventh
* if the chord is functioning as a dominant, the characteristic tones would be the
third, seventh, and ninth above the root of the underlying dominant chord.

4
William Russo. Composing for the Jazz Orchestra. Chicago: The University of Chicago Press, 1961.
Jazz Theory
36

• Observe the recommended range for characteristic tones:
/
.
,
.


• Include an altered fifth (+5 or ë5) in the chord if it is indicated in a chord symbol,
but the unaltered fifth may be omitted.
• Keep all tensions above F on the fourth line of the bass staff.
• Allow no more than an octave between adjacent chord tones, except that the
lowest tone may be up to two octaves from the next lowest tone,
• Don’t double tensions or altered notes; however, the sixth or seventh may be
doubled.

The characteristic tones shown in the table above are sometimes called “guide tones” in
the context of melodic improvisation. Guide tones may be used as known points to guide
the development of a melody. The improviser may, for example, try to arrive at a guide
tone on the first beat of each measure or wherever he or she places a dynamic accent.
Guide tones are also important in writing for small ensembles. If the part for each melody
instrument makes intelligent use of guide tones, a satisfying sense of harmony can be
created with only one or two voices.
Chord Voicing Styles
The voicing of chords in jazz is every bit as free as it is in classical music; however, a
few specific voicing styles occur over and over in jazz. Every jazz musician should
understand how chords in these styles are constructed and in what contexts they are most
typically used.
Close Position
In close position voicing, chord tones are grouped together so that they fit in an interval
smaller than an octave. The bass note, which is generally the root of the chord, is treated
separately: if the bass note is the root of the chord, the root may be omitted in the upper
group of notes and replaced with a tension, as can be seen in this example:

,
,
,
,
,
,
Am9
.
.
.
.
,
Ab9
.
.
.
.
,
,
,
Gm9
.
.
.
.
Gb13
.
.
.
.
,
,
Fmaj9
.
.
.
.
,
,
. . ,
. . ,
.

VI – Chord Voicings
37
“Shells”
5

In the shell style, the two lowest chord tones form the “shell” of each chord. A shell
consists of the root and either the third or seventh, that is, just the outline of a chord. The
upper parts provide the remaining characteristic tone(s), other chord tones, and any
desired tensions. The following example shows 7 and 3 shells in the typical 7-3
alternation used in both solo playing and “comping”:
6

,
,
,
,
/
Cmaj9
.
.
.
Fmaj7
.
.
.
B7b9
.
.
. ¸
¸
Em7
.
.
.
A7b9
.
.
.
¸
,
Dm7
.
.
.
G7b9
.
.
.
,
Cmaj7
.
.
.
,
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.

shell: 7 3 7 3 7 3 7 3

In this example there are three upper parts: the characteristic tone not included in the
shell, a chord tone, and an either a tension or a doubled third. The choice of the number
and the pitches of the upper tones are determined by the performer, composer, or arranger
according to his or her taste, the effects he or she is trying to achieve, and the available
musical resources. A common jazz piano style consists of shells in the left hand and a
single-line melody in the right hand.
“Axis”
Axis voicing is so named because a particular tone in the middle of a chord serves as an
axis, or reference point, around which the rest of the chord is built. This type of voicing
always has a fifth on the bottom (the root and fifth of the given chord), and the axis tone
is always third or seventh of the chord. In an axis-3 chord, the third of the chord is the
axis, and the upper parts are typically 7 and 3 above the root:

,
,
,
,
/
Cmaj7
.
.
.
Dm7
.
.
.
Em7
.
.
.
Eb7
,.
.
.
Dm7
.
.
.
Db7
,.
.
.
Cmaj7
.
.
.
,
axis
.
.
.
.
.
.
.
.
,
,
.
.
.
.
,
,
.
.


In an axis-7 chord, the seventh of the chord is the axis, and the upper parts are typically 3

5
The “shell” and “axis” terminology used here is due to John Mehegan, whose four-volume work, Jazz
Improvisation, was one of the first serious attempts to present a complete and consistent theory of jazz.
6
“Comping,” undoubtedly a contraction of “accompanying”, refers to the chordal accompaniment a jazz
pianist plays behind an ensemble or soloist. It typically consists mostly of block chords played to coincide
rhythmically fairly closely with the harmonic rhythm implied by the written chord changes.
Jazz Theory
38
and 7 above the root:

,
,
,
,
/
Cmaj7
.
.
.
Dm7
.
.
.
Em7
.
.
.
Eb7
,
,
.
.
.
Dm7
.
.
.
Db7
.
.
.
Cmaj7
.
.
.
,
axis .
.
.
.
.
.
.
.
,
,
.
.
.
.
,
,
.
.


Axis chords are most frequently used in parallel motion, as illustrated in the two
examples here. From the point of view of the solo pianist, the purpose of the axis is to
provide a known anchor point for the right hand thumb. Above this point, the remaining
chord tones (if any) can be deployed between the melody and the axis tone. Since the left
hand part is always a fifth, and since the melody note is generally given, the pianist need
only select whichever axis tone, 3 or 7, is more convenient. Thus, the mental workload
imposed by this style during performance is relatively small, which accounts for its
popularity with pianists of modest ability. Axis voicing also works well in orchestrations
for big band or other jazz ensembles with multiple horns.
“Rootless” Chords
So-called “rootless” chords are often used by pianists in contexts where another
instrument, usually a bass, is available to play the roots of the chords. A rootless chord
consists of the characteristic tones plus one or two others, all in close position (in the
sense that the entire chord fits within the space of one octave). The additional notes will
generally be tensions. When playing in a rootless style, jazz pianists will include these
tensions whether or not they are indicated in the chord symbols. In all cases, the bottom
tone of the chord is the third or seventh. Here are the “standard”
voicings of the rootless jazz chords:

• Major seventh
,
Cmaj9
.
.
.
.
.
.
.
.


• Minor seventh
,
Cm9
.
.
.
. ,
,
.
.
.
.
,
,

• Dominant seventh
,
F#7#9b13
C9(13)
.
.
.
.
,
F#9(13)
C7#9b13 C9(13)
F#7#9b13
.
.
.
.
¸
,
,
F#9(13)
C7(#9b13)
.
.
.
. ,
.
.
.
.
,
,
¸

These are the four most commonly used rootless dominant seventh chords. Notice
that two sets of chord symbols are given. The reason is that each chord can
VI – Chord Voicings
39
represent two different dominant seventh chords. The roots of these chords are
separated by a tritone (C and Fí here). The dual use of each of these chords is a
consequence of the ëIIÏ dominant seventh substitution, which is discussed in
Chapter VIII. One and the same chord can be used as VÏ in one key (here it
would be F) and also as the ëIIÏ substitute

dominant seventh of another key that
lies at the interval of a tritone (which would be B in this example).

• Sixth
,
.
.
.
.
C6

The sixth and minor sixth chords are the most limited rootless forms, each having
only one usable voicing: 3 5 6 9 above the missing root. Other arrangements of
the tones of the sixth chords do not produce a sonority of the same musical
character as the other rootless chords shown here. Of course, if consistency of
sound is not a primary consideration, other voicings of rootless sixth chords are
possible.

• Minor sixth
,
.
.
.
. ,
Cm6

As noted above, there is only one usable voicing of the minor sixth chord if
consistency of sound is desired.

• Diminished seventh and half-diminished seventh
The diminished seventh and half-diminished seventh do not have rootless forms.
Generally, whichever inversion of these chords gives the smoothest movement to
the following chord will be used.

In order to maintain a consistent musical character, the bottom tone of a rootless chord
should normally be within the following range:
/
.
,
.


Below this range the chords become dark or muddy; above it, they sound noticeably
lighter and brighter than chords within the normal range. Because this range is less than
an octave, it may be necessary to cheat a little by going slightly beyond the limit of the
range at one end or the other in order to obtain a desired chord. This is especially true for
the rootless sixth chords, which have only one usable voicing. For example, how would
you voice AÎ, AmÎ, or AÓÎ in a rootless chord context?


Jazz Theory
40
Although rootless chords are popular with jazz pianists, they are — as the discussion here
suggests — quite restricted. They are generally effective only in the range shown above,
and the number of distinctly different chords is very limited; the examples above almost
completely exhaust the possibilities. For a complete list of all of the “standard” rootless
chord voicings, see Appendix B: Rootless Chord Dictionary.


Exercises
1. For each of the chords in the list below, write a solo piano voicing in (a) close
position, (b) shell, (c) axis, and (d) rootless styles. You may include tensions not
given in the chord symbols. Make sure each voicing follows the general
guidelines given on pp. 33-34 above.
a. FÏÓÍ
b. AmÑ
c. DÏÓÑÓÉË
d. GmajÑ…ÉÉ
e. EÓÏ
f. BÎ×ÑØ
g. CƒÏ
2. Choose a root tone and then write all of the “standard” rootless versions of the
major seventh, minor seventh, sixth, minor sixth, and dominant seventh chords on
that root. Write the chords in the bass staff as a left-hand piano part.
3. Using the rootless chords you wrote for exercise 2, add to each chord three
different right-hand parts in the treble staff. Each right-hand part may be (a) all or
part of the underlying triad that the left-hand part is based on, (b) an upper
structure triad, (c) additional tensions to the left-hand part, or (d) some
combination of all of these. The chords you create should be ones that sound right
to you.
4. Write a block-chord piano accompaniment based on the Rhythm changes. Use
one voicing style for the A section and a different voicing style for the bridge.
Don’t worry too much about voice leading; this will be covered in the next
section.

VII – Voice Leading
41
VII. Voice Leading
This little book cannot do justice to the range of concerns lumped under the heading of
“voice leading.” Superficially, this topic is concerned with how the composer or arranger
conducts the individual instrument or voice parts from note to note. In reality it involves a
set of interrelated issues:

• technical concerns such as counterpoint — a subject deserving extensive study in
its own right (highly recommended)
• pragmatic concerns such as instrument ranges and capabilities
• artistic concerns such as style and the creation of particular musical effects.

The view of voice leading in current jazz and pop professional practice is well summed
up by Felts:

Traditional voice leading focuses on the resolution of tendency tones and avoidance
of such intervals as parallel fifths, octaves, and certain doublings of pitches within
chords. … Current jazz and pop composers are less concerned with traditional voice
leading rules, but still strive for balanced note spacing and reasonably smooth
connection from one chord to the next.
7


Following are some general principles that, if observed, will generally lead to a smooth
overall texture. These rules are all familiar to students of traditional music theory.

• Hold common tones. Whenever a tone is common to neighboring chords, hold that
tone when moving from the first chord to the second.
• Move to the nearest note. Move each part to the nearest note in the next chord.
Try to move stepwise as much as possible. When leaps are necessary, choose the
smallest available.
• Avoid parallel octaves. Parallel octaves are a form of doubling, with one voice
simply copying the motions of another. Thus, they effectively reduce the musical
texture by one part. Such doublings can be objectionable if they occur
unpredictably and without any justification in the given musical context. Octave
doubling may of course be used to reinforce a particular line or voice, or to
thicken a sequence of chords.
• Think of the bass line as a countermelody. Write bass lines that have nice melodic
shapes and that have a combination of contrary, parallel, and similar motion with
respect to the upper parts (which in some jazz styles move more or less in parallel
with one another and may therefore be thought of as a single “thickened” melodic
line). The formal study of counterpoint will help greatly in achieving this goal.

The following publications give the contemporary professional view of jazz voice leading

7
Randy Felts. Reharmonization Techniques. Berklee Press, 2002. ISBN: 0634015850, p. 96.
Jazz Theory
42
for the piano, small and medium ensembles, and big band, respectively:

• Randy Felts. Reharmonization Techniques. Berklee Press, 2002. ISBN:
0634015850. Presents a different take on much of the material in this book and
has a good discussion of piano voicing techniques.
• Ted Pease and Ken Pullig. Modern Jazz Voicings. Berklee Press, 2001. ISBN:
0634014439. A study of voicing techniques for small and medium jazz
ensembles, with some discussion of jazz theory.
• Dick Lowell and Ken Pullig. Arranging for Large Jazz Ensemble. Berklee Press,
2003. ISBN: 0634036564. Detailed study and analysis of big band arranging
techniques from the earliest big bands to the present.

These books should be consulted for information about the specific voicing and voice
leading techniques used in the instrumental group of interest.

It should not be assumed that a smooth texture is the goal of every jazz artist. Smooth
texture implies notions of craftsmanship and professionalism, values that are not given
top priority by every jazz artist. The composer/arranger of a high-budget TV special or
Las Vegas show almost certainly has a set of musical standards different from those of
the leader of a small jazz group who views his or her work as an aspect of social protest
or as avant garde art.
Standard Voice Leading Techniques
The comping techniques commonly used by jazz pianists provide a reasonable starting
point for learning jazz voice leading. The specific voice leading technique chosen for any
given situation depends partly on root motion: one technique is used when root motion is
up or down by fifth, a different technique when root motion is up or down by second, and
yet another technique when root motion is by third. It should be understood that all of
these techniques are generalizations of average practice, and that the greater the skill and
inventiveness of the musician, the less likely his or her playing can be characterized by
any simple application of these techniques. Even pianists of very modest abilities quickly
learn how to combine and modify these techniques to produce more interesting effects.
Circle of Fifths Root Motion
When chords follow the circle of fifths, the “7-3” voice leading technique based on the
chord “shells” discussed above is a good choice. Here is an example of this approach:
,
,
,
,
/
Cmaj9
.
.
.
Fmaj7
.
.
.
B7b9
.
.
. ¸
¸
Em7
.
.
.
A7b9
.
.
.
¸
,
Dm7
.
.
.
G7b9
.
.
.
,
Cmaj7
.
.
.
,
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.

The lower two parts alternate sevenths and thirds, while the upper parts fill in whichever
characteristic tone is not present in the lower voices, additional chord tones, and any
desired tensions.
VII – Voice Leading
43
Root Motion by Second
When chords move up or down by second, parallel voice leading is often used. In this
technique, the pianist chooses a nice voicing for the first chord and then simply
transposes it up or down to obtain the succeeding chords (adjusting, of course, as
necessary to get the required chord quality). In one style, each chord has a seventh (shell)
in the two lowest parts:
,
,
,
,
/
Cmaj9
.
.
.
Dm9
.
.
.
Em9
.
.
.
¸
Eb9
.
.
. ,
,
,
Dm9
.
.
.
Db9
.
.
. ,
,
Cmaj7
.
.
.
,
.
.
.
.
.
.
.
. ,
,
.
.
.
. ,
,
.
.

In another style, each chord has a fifth in the two lowest parts, and either 3 7 3 or 7 3 7
above the root in the upper parts. Here the chords use the “axis” structure described
above. This is an example of the 3 7 3 or “axis 3” version:
,
,
,
,
/
Cmaj7
.
.
.
Dm7
.
.
.
Em7
.
.
.
Eb7
.
.
.
,
Dm7
.
.
.
Db7
.
.
.
,
Cmaj7
.
.
.
,
.
.
.
.
.
.
.
.
,
,
.
.
.
.
,
,
.
.

And here is an example of the 7 3 7 or “axis 7” version:
,
,
,
,
/
Cmaj7
.
.
.
Dm7
.
.
.
Em7
.
.
.
Eb7
.
.
. ,
,
Dm7
.
.
.
Db7
.
.
.
Cmaj7
.
.
.
,
.
.
.
.
.
.
.
.
,
,
.
.
.
.
,
,
.
.

Root Motion by Third
When root motion is by ascending or descending third, the typical approach is to hold the
common tones and move to the new chord tones by the shortest and smoothest route
available. Here, for example, C and E in the upper voices are held throughout, and the
upper parts as a group are arranged in close position:
,
,
,
,
/
C6
.
.
.
.
Am9
.
.
.
.
Fmaj9
.
.
.
.
Dm9
.
.
.
.
C6
.
.
.
.
,
.
.
.
.
.

Voice Leading with Rootless Chords
Voice leading with rootless chords is very simple because there are so few different
rootless chords — it amounts to little more than moving from one standard rootless chord
to another by the shortest route possible. The usual way to illustrate voice leading with
rootless chords is to present different realizations of the II V I chord progression. Here,
Jazz Theory
44
for example, is the II V I progression in major. There are two basic forms, corresponding
to the two possible voicings of the IImÏ chord:

,
Bb: II V I
Cm9
.
.
.
. ,
,
F9(13)
.
.
.
.
Bbmaj7
.
.
.
.
Cm9
.
.
.
.
,
,
F9(13)
.
.
.
.
,
.
.
.
.
Bbmaj7


And here is the II V I progression in minor. Again there are two basic forms,
corresponding to the two possible voicings of the IIƒÏ chord:
,
Am: II V I
BØ7
.
.
.
.
E7(b9b13)
.
.
.
.
¸
Am9
.
.
.
.
BØ7
.
.
.
.
E7(#9b13)
.
.
.
. ¸
.
.
.
.
Am9

Note that the IIƒÏ chords are not rootless, but rather first or third inversions of the
ordinary half-diminished seventh chord. This is standard practice.

Some limited variation of the patterns above is possible. For example, the II V I
progression can end with a sixth chord, rather than a major or minor seventh, when the II
chord has its third as the lowest note (i.e., when it is in first inversion). In major, for
example, we could have
,
Bb: II V I
Cm9
.
.
.
. ,
,
F9(13)
.
.
.
.
Bb6
.
.
.
.

And in minor:
,
Am: II V I
BØ7
.
.
.
.
E7(b9b13)
.
.
.
.
¸
Am6
.
.
.
.
¸

The AmÎ here goes slightly below the normal range for rootless chords. This is
acceptable if it occurs only occasionally.
Parallel Voice Leading Styles
There is a family of voice leading styles in which all of the harmony parts simply follow
the lead line in parallel. Every note of the lead line is harmonized with an appropriate
chord, which in each case is determined by a few simple rules. Here are the first few bars
of Thelonious Monk’s Blue Monk arranged in the basic “close position” parallel style,
which is discussed below. As can be seen, all the parts have the same melodic contour
VII – Voice Leading
45
and they all fit within an interval smaller than an octave below the lead line
,
,
,
,
/
,
,
Bb7
,
,
,
,
,
,
,
,
,
,
¸
,
,
,
, ,
¸
,
,
,
,
,
, .
.
.
.
Eb7
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
, ,
,
¸
,
,
,
,
,
, .
.
.
.
,
,
,
- -

All of the other parallel voice leading styles discussed in this section are variants of this
basic style. They are derived from the basic voicing simply by doubling one or more
voices an octave below or by transposing a voice down an octave. All of these parallel
styles are “automatic” techniques in the sense that, once a voicing scheme is chosen, the
harmonizing parts can be determined in most instances by rule from the given lead line
and the accompanying chord symbols.
The Basic Close Position Style
The basic close position style is aptly called the “thickened line” by Russo
8
because the
parallel motion from one close-position chord to another effectively produces a single,
“thick” melodic line. To create an arrangement in this style, it is necessary to follow only
two rules — with some qualifications:

1. If the current lead line note is a chord tone (i.e., it is the root, third, fifth, sixth or
seventh, or tension of the prevailing chord), fill out the harmony with exactly
three chord tones taken in order reading down from the lead line note. Unless the
lead line note is the root of the prevailing chord, the root of a chord is often
omitted in favor of a tension. In any case, make sure the characteristic tones of
each chord are always included. In the Blue Monk example above, the D of the
BÓÏ in the first measure and the G of the EÓÏ in the second measure are
harmonized with the remaining notes of the chord; however, the harmonization of
the F of the BÓÏ at the end of the first measure and the Bë of the EÓÏ at the end of
the second measure substitute the ninth for the root.

2. If the current lead line note is a non-chord tone — a neighbor- or passing tone, for
example — it may be harmonized with an appropriate linear chord in close
position. Some experimentation with different harmonizations of non-chord tones
may be necessary to achieve a completely satisfactory arrangement. A common
technique used with passing tones is to harmonize them with the diminished
seventh chord based on their letter pitches. In the Blue Monk example, the passing
tones Eë and EÔ in the first measure are harmonized with EÓ„Ï and E„Ï,
respectively. Similarly, Aë and AÔ in the second measure are harmonized with
AÓ„Ï and A„Ï, respectively.

After a basic arrangement has been created following these two rules, it can be modified
to achieve different musical effects or to accommodate different instrumental resources
by applying the simple techniques discussed next.

8
Op. cit., p. 35. The account of “thickened line” given here is somewhat oversimplified. Russo’s
description of this technique contains many subtleties that are not discussed here. In the end it is up to your
ears to decide if a particular thickened line passage works, whether it follows the rules or not.
Jazz Theory
46
The Widened Line: Drop 2 and Drop 3
The widened line
9
consists of the lead line and three harmony voices, just as in the
thickened line. The difference is that one of the harmony voices of the basic close
position is dropped down an octave, thereby producing a more spread-out texture. All
parts still move in parallel.

A “drop 2” widened line transposes the second part (i.e., the part immediately below the
lead line in the basic close position) down an octave. Here is the Blue Monk example
again, this time in a drop 2 arrangement.
,
,
,
,
/
,
,
Bb7
,
,
,
,
,
,
,
,
¸
,
,
, ,
,
,
,
, .
.
.
Eb7
,
,
,
,
,
,
, ,
,
,
,
,
, ,
,
,
,
,
, .
.
.
,
,
,
,
, , ¸
, .
,
, , ¸
, .


A “drop 3” widened line transposes the third part (i.e., again counting down from the lead
line in the basic close position) down an octave. This modification has the effect of
spreading the texture out quite a bit, as can be seen in the Blue Monk example:
,
,
,
,
/
,
,
Bb7
,
,
,
,
,
,
¸
,
,
, ,
¸
,
,
,
, .
.
.
Eb7
,
,
,
,
,
, ,
,
,
,
, ,
¸
,
,
,
, .
.
.
,
,
,
, , , ,
,
, .
, , , ,
,
, .

Other variations on the basic parallel model are also used. For example, the combination
of a “drop” pattern with a doubling of the lead melody at the octave above or below is
often encountered.
Locked-Hands
The “locked hands” style is a also simple variation of the basic close position. The locked
hands style is so named because, on a keyboard, the right and left hands both play exactly
same melodic line one octave apart. The hands are thus “locked” together in parallel
motion. This style has been popular with pianists and organists since at least the 1950s,
but it was originally derived from big band section writing techniques of the 1930s and
40s. Here is an example of locked hands applied to the opening of Laura:
,
,
,
,
/
¸
Am9
.
.
.
.
.
.
.
.
,
,
,
,
D7b9
,
,
,
, ¸
,
,
,
,
,
,
,
,
,
,
,
,
,
Gº7
,
,
,
,
,
,
,
3
Gmaj9
,
,
,
,



C9
,
,
,
,
.
.
.
.
.
,

. . ,
, ¸
,
,
,
,
3
,

,
,
.


9
Another apt term coined by Russo, op. cit., p. 36.
VII – Voice Leading
47
Note the departure from strict parallelism in this example: the alternation between B and
AÕ in measure 2 is not matched by corresponding movement in the interior parts. This
partial independence of the lead and the interior parts is a common feature of the locked
hands style.


Exercises
1. Choose an AABA tune from the list in the Form section of Chapter I. Write a
block-chord piano accompaniment for the A section using (a) 7-3 voicing, (b)
axis-3 and/or axis-7 voicing, or (c) rootless chords — whichever seems most
appropriate. Write the melody on a separate treble staff above the piano’s
treble/bass system.
2. Write a piano accompaniment for the B section of the tune selected for exercise 1
using a different voicing style.
3. On a separate bass staff, add a bass line to the arrangement you wrote for exercise
1. Play the arrangement with class members.
4. Do exercise 1, but provide a “broken” or arpeggiated piano accompaniment
suitable for a solo piano arrangement of the tune..
5. Write your own tune in one of the standard forms and provide a block-chord
piano accompaniment and bass line. Play the arrangement with class members.

Scoring for Small Jazz Ensembles
Now that you have some facility with jazz voicings and voice leading, it will be possible
to begin to write for small jazz ensembles consisting of a rhythm section and two to five
“horns.”
10
The same piano voicing and voice leading techniques we have studied can be
applied with little or no modification to small groups consisting of some combination of
trumpets, trombones, and saxophones, which are the most common jazz horns.
Instrument Ranges
Unlike writing for the piano, small ensemble writing demands that the composer/arranger
into account the limited ranges of the jazz horns. Every horn has a lowest note, below
which it cannot physically produce a usable tone, and it also has a somewhat more
variable upper limit beyond which even the most skilled player cannot go. Within these
extremes lies a practical range where any competent player will feel comfortable and
produce a good sound. The chart below illustrates these ranges for the five basic jazz
horns. In the left column is the physically possible complete range, in the right the
generally accepted practical range.


10
In jazz parlance, a “horn” is any brass or woodwind instrument.
Jazz Theory
48
/
Trumpet
Complete possible range
.


Suggested practical range
. ,
,
.
.
/
Trombone
.
.
,
.
.
/
Alto Sax
. ,
.
,
. ,
.
/
Tenor Sax
. ,
.
,
. ,
.
/
Baritone Sax
. ,
.
,
. ,
. ,



If you are using music notation software such as Sibelius®, you will be warned whenever
you attempt to enter a note out of an instrument’s range. This is a very useful capability
that will help beginning composer/arrangers to avoid common mistakes.
VII – Voice Leading
49
Instrumental Combinations
Certain instrumental combinations work very well with the voicing and voice leading
techniques discussed above. The list below gives many of the more commonly used
combinations.

1. Basic Close Position (ranges permitting)
a. alto alto tenor tenor
b. alto tenor tenor tenor
c. alto alto tenor baritone
d. alto tenor tenor baritone
e. tenor tenor tenor baritone
f. alto tenor trombone tenor
g. alto tenor trombone baritone
h. trombone tenor trombone tenor
i. trombone tenor trombone baritone
j. trumpet alto trombone tenor
k. trumpet tenor trombone tenor
l. trumpet alto trombone baritone
m. trumpet tenor trombone baritone
n. trombone trombone trombone trombone
o. trumpet trumpet trumpet trumpet
p. trumpet trumpet trumpet trombone
2. Drop 2/Drop 3 (ranges permitting)
a. trumpet alto trombone baritone
b. trumpet tenor trombone baritone
c. trombone trombone trombone trombone
d. trumpet trombone trombone trombone
3. Axis and Shells (ranges permitting)
a. alto alto tenor baritone
b. alto tenor tenor baritone
c. tenor tenor tenor baritone
d. alto tenor trombone tenor
e. alto tenor trombone baritone
f. trombone tenor trombone baritone
g. trumpet alto trombone baritone
h. trumpet tenor trombone baritone
4. Five horns, any voicing style (ranges permitting)
a. trumpet alto tenor tenor baritone
b. trumpet alto alto tenor baritone
c. trumpet tenor tenor tenor baritone
d. trumpet alto trombone tenor trombone
e. trumpet tenor trombone tenor trombone

Note that each sublist is presented with the caveat “ranges permitting.” A given voicing
technique doesn’t necessarily work automatically with a given instrumental combination.
Jazz Theory
50
The composer/arranger still has to make sure that the selected technique doesn’t drive
one or more instruments outside their ranges.

Exercises
1. Choose a tune from the list in the Form section in Chapter I. Write a piano
arrangement of an 8-bar section using any of the parallel voicing styles described
above. Add bass and drum parts. Score the arrangement for any appropriate
combination of four horns.
2. Do exercise 1 again, but this time using the Arrange feature described in
Appendix C if you have access to Sibelius®. Try several different jazz styles and
pick the one that gives you what you think are the best results.
3. Complete the score for the tune selected for Exercise 1 and extract the individual
parts.
VIII – Functional Harmony in Jazz
51
VIII. Functional Harmony in Jazz
In functional harmony each chord plays a specific role within the sequence of chords
where it occurs. A chord may be used to establish the tonality at the beginning of a piece,
to serve a concluding function at the end, to rove between more stable points, to prolong
a preceding chord, etc. By contrast, chords in a non-functional context are used primarily
as sonorities, that is, as sounds that have a particular color or texture. It is not possible to
determine whether an isolated chord is functional or non-functional because almost any
given chord could be used in either a functional or non-functional way.

Jazz today spans the full spectrum of harmonic possibilities from functional to non-
functional. This book covers the primarily functional practice that extends from the
origins of jazz in New Orleans to the post-bop music of the 1950s and 60s. This practice
continues to this day, but since the late 1950s new, non-functional harmonic languages
have been created and have taken their place alongside the traditional, functional
harmonic language.
Theory of Chord Progressions
Root Motion
In jazz, chord progressions are usually described in terms of root movement. The most
common root movements follow the “circle of fifths,” moving in either direction from a
given chord to one of its neighbors in the circle. There are two different versions of the
circle of fifths: diatonic (in-key) and chromatic.
The Diatonic (In-Key) Circle of Fifths
The basic jazz chords in any key are the diatonic, or scale-tone, seventh chords. It is
possible to harmonize many tunes using these chords alone. The roots of the diatonic
chords can be arranged in a circle that summarizes their fifth relationships:
I
I V
V I I
I I I V I
I I
V

The Major Diatonic (In-Key) Circle of Fifths

The counterclockwise arrow indicates that the most typical movement between diatonic
chords is by descending fifth (or ascending fourth). Many chord progressions use all or
most of either the major or the minor circle.

Jazz Theory
52
The following example shows a typical jazz piano realization of the complete major
circle of fifths in the key of C major. Notice that the bass moves by perfect fourth or fifth
except from IV to VII, which is a tritone. When the harmony of a piece follows the circle
of fifths, jazz pianists will often alternate sevenths and thirds in the left hand and build
the rest of the chord in the right hand as shown here.

,
,
,
,
/
Cmaj9
.
.
.
Fmaj7
.
.
.
BØ7
.
.
Em7
.
.
.
Am9
.
.
.
Dm7
.
.
.
G9
.
.
.
Cmaj7
.
.
.
,
I
.
.
IV
.
.
VII
.
.
III
.
.
VI
.
.
II
.
.
V
.
.
I
.
.


The minor mode has its own diatonic circle of fifths. The traditional jazz practice is to
show scale degrees III, VI, and VII as lowered versions of these degrees in the parallel
major:
I
I V
ëV I I
ëI I I ëV I
I I
V

The Minor Diatonic (In-Key) Circle of Fifths

The following example shows a typical jazz piano realization of the complete minor
circle of fifths in the key of C minor. Notice that the bass moves by perfect fourth or fifth
except from ëVI to II, which is a tritone:
,
,
,
,
/
,
,
,
Cm9
.
.
.
Fm7
.
.
.
Bb9
.
.
.
Ebmaj7
.
.
.
Abmaj9
.
.
.
DØ7
.
.
.
G7b9
.
.
.
,
Cm7
.
.
.
,
,
,
,
I
.
.
IV
.
.
bVII
.
.
bIII
.
.
bVI
.
.
II
.
.
V
.
.
I
.
.

The Chromatic Circle of Fifths
There is also a chromatic circle of fifths, which shows the fifth relationships of all 12
chromatic pitches:
VIII – Functional Harmony in Jazz
53
C

A Ó
B
E
D
F

D Ó
G Ó
G
A



The Chromatic Circle of Fifths

Some chord progressions use segments of the chromatic circle of fifths. As with the
diatonic circle of fifths, the chromatic circle illustrates the tendency of chords to succeed
one another in root patterns of descending fifths (or ascending fourths) regardless of the
qualities of the chords built above the roots. Although there are several tunes that use the
entire diatonic circle of fifths (Fly Me to the Moon (In Other Words), Prelude to a Kiss,
All The Things You Are, and Autumn Leaves, for example), it is extremely unlikely that
one could be found that uses the entire chromatic circle of fifths; however, certain
segments of the chromatic circle are often used. For example, this “turnaround” chord
progression is used in Tadd Dameron’s Lady Bird:

| I majÏ ëIIIÏ | ëVImajÏ ëIIÏ | ImajÏ - - |

The following is a typical jazz piano realization of this progression:

,
,
,
,
/
Cmaj9
.
.
.
Ebmaj9
.
.
.
Abmaj7
.
.
.
,
Db7(9+11)
.
.
.
,
Cmaj9
.
.
.
,
I
.
.
bIII
.
. ,
bVI
.
. ,
bII
.
. ,
I
.
.

Strong/Weak Alternation of Chords
It is a noteworthy feature of much jazz harmony that chords tend to occur in a strong-
weak alternation, creating a downbeat-upbeat feel within the harmonic rhythm. The
paradigm of this feature is the II V I chord progression, which is ubiquitous in jazz. As
generally used, I and II are strong chords, while V is a weak chord. A sequence of
II V I progressions would typically be arranged as follows:

| ¥ ¥ | ¥ ¥ | ¥ ¥ | ¥ ¥ | ¥
| I * | II V | I * | II V | I … etc.

Jazz Theory
54
where “*” denotes a “weak” chord. In a context where the harmonic rhythm is the half
note, the first (strong) half of each measure is occupied by I or II, while the second
(weak) half is occupied by V or some other weak chord.

Three functions — Dominant Preparation, Dominant, and Tonic — are needed to
establish a key. A single major or minor chord is undefined. Prefacing it with its own
dominant somewhat clarifies its meaning, but the situation is still ambiguous. A third
chord is needed to “prepare” the dominant — that is, to make it sound like the dominant
— after which the original major or minor chord will sound unambiguously like the
tonic. A dominant preparation chord is typically some form of II or IV. A variety of
chords can perform each of these functions. Following is a table of some of the
possibilities. A Dominant preparation-Dominant-Tonic progression can be developed
by taking one chord from each column and deploying the chords in the indicated strong
and weak positions within the prevailing harmonic rhythm.

Dominant Preparation
Occurs in strong position
Dominant
Occurs in weak position
Tonic
Occurs in strong position
IImÏ VÏ IÎ or ImajÏ
IVÎ or IVmajÏ ëIIÏ ImÎ or ImÏ
IVmÎ or IVmÏ VIIƒÏ (IIImÏ)
IIƒ7 VII„Ï (VImÏ)
ëVIÏ
ëVImÏ

If we compare the chords in each column, we observe that (1) all of the dominant
preparation chords have at least two tones in common with IV, the subdominant; (2) all
of the dominant chords contain scale degrees 4
^
and 7
^
; and (3) all of the tonic chords have
at least two tones in common with I, the Tonic. This overlap in the content of the chords
within each functional category is related to — but not identical with — the concepts of
“characteristic tones” and “guide tones” explained below. The essential point of all these
concepts is that a satisfactory sense of chord function can be achieved with less than a
full chord. The complete, richly extended and altered chords that have become customary
in jazz are not necessary, but rather an artistic option..

I, II, and IV are generally treated as strong chords. V, VI, and III are generally treated as
weak (IIImÏ and VImÏ as representatives of the Tonic constitute a special case, which is
discussed below.) As we shall see, VII has a context-dependent role in tonal music.
Sometimes it is treated as a form of dominant, while at others it is used as part of a circle-
of-fifths structure such as IV VII III. In either case it would be considered a weak chord
in the sense used here.

The chord progression of Gershwin’s I Got Rhythm illustrates all of the principles
discussed in this section.

VIII – Functional Harmony in Jazz
55


,
, /
,
,
Bb6
  
Gm7

Cm7
 
F7
 
Dm7
 
Dbº
 
Cm7
 
F7
 
Bb
  
Bb6/D

Eb
 
CØ7
 
1.


2.
/
,
,
!

Bb6/F

F7
  
Bb6

Cm7

B7
 
Bb6

Eb7
 
D7
       
D.C. al Coda
/
,
,
G7
       
C7
        
F7
      
Coda(jazz)
Coda(Gershwin's)
/
,
,
!

Bb6/F

F7
 
Bb6
   
!
Bb6/F
 
F7/Eb
 
DØ7
 
G7
  
C9

F7
 
Bb6
   


There are many variations on the Rhythm changes. The Rhythm changes “map” below
attempts to capture the underlying logic of these variations. The map focuses on the A
section of the tune since the bridge of most Rhythm-based tunes generally stays quite
close to the original harmony, i.e., IIIÏ-VIÏ-IIÏ-VÏ. To develop a variation on the Rhythm
chord progression using the map, simply follow a path from left to right through the
boxes, selecting one chord from each box.
Jazz Theory
56

I m a j Ï
I Î
( I I I m Ï)
( V I m Ï)
I I I m Ï
V I Ï
( I I I Ï)
I Ï
í I Ï
ëI I I Ï
í I V Ï
ëV I Ï
í I „Ï
í I ƒ Ï
I „Ï
I ƒ Ï
ëI I I m Ï
I V m Ï
I I m Ï
I I m Ï
I I Ï
I I ƒ Ï
I V m a j Ï
I V m Ï
ëV I m a j Ï
ëV I m Ï
I V m a j Ï
I I m Ï
I I Ï
I I m Ï
I V m a j Ï
V Ï
ëI I Ï
I m Ï
V I m Ï
Tonic
Tonic prolonging
Tonic prolonging
Secondary dominants
Voice leading
Dominant
Dominant preparation
Alternate starting point


Rhythm Changes Map

VIII – Functional Harmony in Jazz
57
The movement from weak to strong is more constrained than is the movement from
strong to weak. VÏ, for example, typically goes to some form of I. On the other hand, I
can go to a large number of different chords, as shown in the Rhythm changes map. In
general, the movement from a weak chord to a strong chord requires some kind of
justification. Typical justifications are:

1. The weak to strong movement follows the circle of fifths. A typical case is a
secondary dominant that “tonicizes” the following strong chord.
2. The weak chord is made up of neighbor/passing tones that connect the preceding
strong chord to the following strong chord. A very common case is the ëIIIÏ in the
progression

| IIImÏ ëIIImÏ | IImÏ
| ¥ ¥ | ¥

The ëIIImÏ here is made entirely of chromatic passing tones. In this book, such
chords are called “voice leading” chords because they are essentially the result of
horizontal movement from chord tone to chord tone. Other authors call these
chords “linear” harmonies. Voice leading chords are discussed below.
3. The weak chord is justified “backwards” to the preceding strong chord. A very
common case is a I chord followed by either VImÏ or IIImÏ. Both of the latter can
be seen as prolongations of I: VImÏ is simply an inverted IÎ, while IIImÏ is a
“rootless” ImajÑ. In C major, for example, we have

/
C6
.
.
.
.
.
.
.
.
Am7
.
.
.
.
.
Cmaj9
.
.
.
.
Em7

In both cases, the weak chord prolongs the preceding strong chord, but gives it a
slightly different color.
Tensions and Chord Function
Adding tensions to a chord does not change its function. For example, a dominant
seventh chord with added ë9 +11 13 still functions as a dominant chord in its key. From
the point of view of traditional harmony, the effect of tensions on chord function is such
that more tensions create a greater tendency for the chord to resolve to a particular chord.
In the following example, every note in the first chord except G is, in traditional
theoretical terms, a “tendency tone,” that is, a tone that has a sense of being directed
towards another specific tone:

,
,
,
,
/
.
G7b9b13
.
.
.
,
,
C
.
.
.
,
.
.
.
.
.

Jazz Theory
58
The tritone F-B resolves outward to E-C according to the usual rules for dominant
seventh chords. EÓ and AÓ are both lowered notes, which exhibit a tendency to continue
downward by half step to notes of the next chord. Thus, there is a strong “pull” toward
the specific C chord with added 9
th
shown here.

Whether the jazz composer, arranger, or performer respects such tendencies is a separate
issue. Because of the looser treatment of dissonance in jazz, a dissonant chord has no
obligation to resolve to a chord predicted by the stylistic conventions of classical music.
Non-Tonic Beginnings
Many tunes do not begin on the Tonic; however, such tunes often use chord patterns that
are simply displaced versions of the Rhythm changes. I VI II V is frequently employed
in a form beginning on II, so that one cycle of this pattern appears as II V I VI (The
“alternate starting point” in the Rhythm changes map above illustrates this usage.) The
opening four bars of the standard Gone With the Wind follow this pattern.
Turnarounds
In standard AABA , ABAC, and ABA song forms, it is generally necessary to conduct
the harmony from wherever it is back to the chord with which the A section begins. This
is typically accomplished with a two-measure unit called a “turnaround.”

The chord progression used to support a turnaround generally follows the strong/weak
alternation described above. In a typical case, a turnaround involves four chords in the
prevailing harmonic rhythm. For example:

,
,
,
,
/
C6
.
.
.
9 Eb7
.
.
.
,
Dm11
.
.
.
Db7+11
.
.
.
,
,
I6
.
.
bIIIm7
.
. ,
,
IIm11
.
.
bII7+11
.
. ,
,


The general pattern for a turnaround is:

| Turnaround . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | A . . . .
| ¥ ¥ | ¥ ¥ | ¥
| Tonic Tonic-prolonging | Dominant Dominant |
or Voice leading preparation

In general, turnarounds end with a dominant on the weak part of the harmonic rhythm,
followed by the tonic at the beginning of the A

section of the piece.
VIII – Functional Harmony in Jazz
59
Tritone Substitution: ëIIÏ Substituted for VÏ
It is often said that jazz uses a lot of “substitute” chords. What this comment generally
indicates is that many musicians are unhappy with the blandness of the chords provided
in the sheet music for tunes, and they seek to replace these chords with ones that better
express their sense of the harmony of the tunes. From the musician’s point of view, then,
“substitute” in this context means something closer to “correct.”

In jazz there is at least one true chord substitution: ëIIÏ substituted for VÏ. ëIIÏ is a
dominant seventh chord based on a root located a tritone away from the root of the actual
dominant. Because ëIIÏ contains the characteristic tones of the dominant seventh, 4
^
and 7
^
,
it has a similar tendency to move to the tonic. ëIIÏ also contains ë2
^
and ë6
^
, chromatically
altered scale tones which tend strongly down to 1
^
and 5
^
, which define the tonic chord:

/
Db7
.
.
C
.
.
,
C: bII7
.
.
,
,
I
.
.

The same tritone substitution can be applied to any secondary dominant, and chains of
such substitute chords are not uncommon. For example, if ëIIÏ is used as a substitute for
the dominant seventh chord, it my be preceded by its own dominant seventh, ëVI7, which
in turn may be preceded by its dominant seventh, ëIIIÏ:
,
,
,
,
/
Eb7
.
.
.
.
,
Ab7
.
.
.
.
,
,
Db7
.
.
.
. ,
,
Cmaj9
.
.
.
.
,
. ,
. ,
. ,
.

ëIIÏ may also be preceded by its own dominant preparation chord. Billy Strayhorn, for
example, employs this harmony at the end of the A section of Satin Doll:
/
,
Abm9
,
,
,
,

,
,
,
,
Db9
,
,
, ,

Cmaj9
,
,
,
, ,
,
.
.
.
.
.
,
,
,
,

,
,
,
, ,

,
,
,
.
.

Voice Leading Chords
Chords made up mostly or entirely of neighbor- and/or passing-tones are common in jazz.
These are designated “voice leading” or “linear” chords because they are primarily the
result of the motion of the voices or parts. There are several types of voice leading
chords:

• Neighbor chords. Often, an entire chord is used as if it were a neighbor note.
Jazz Theory
60
Here FÕÉË and BÉË act as lower neighbors to GÉË and CÉË, respectively:

,
,
,
,
/
¸
G13
,
,
,
.

F#13 G13
,
,
,
¸
¸
,
,
,
,
,
,
,
C13
,
,
,
.

B13 C13
,
,
,
¸
¸
,
,
,
,
,
,
,

,
, ,
.

,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
,

• Passing chords. A minor seventh chord may be used to slide chromatically
between two diatonic chords. For example: EmÑ EÓmÑ DmÑ. Here the EÓmÑ is a
passing chord between EmÑ and DmÑ
,
,
,
,
/
Em9
,
,
,
¸
.

Ebm9 Dm9
,
,
, ,
,
,
,
,
,
,
.
.
.
,
,
,
,

,
, ,
,
,
,
.
.

Downward sequences of dominant seventh-type passing chords are also common.
Sonny Rollins’ Doxy, for example, begins with BÓÏ AÏ AÓ7 GÏ.

• Neighbor-passing chords. A chord can also be made out of a combination of
neighbor- and passing-tones. In the EëÑ in this example, F is a neighbor tone and
Dë and Bë are chromatic passing tones:
/
Cmaj9
.
.
.
.
Eb9
.
.
.
.
,
,
Fmaj9
.
.
.
.
,
.
. ,
.


The bass line here supports the interpretation of the middle chord as EëÑ, but the
voices in the treble staff could easily occur in jazz without this bass line as, for
example, “rootless” piano chords or as part of a passage written for four
saxophones. In such cases, the middle chord would be indicated as GƒÏ.

• Interpolation. If a voice leading chord is preceded by its own dominant,
supertonic, or subdominant, or a combination of these, the result is a more
elaborate structure called an “interpolation.” The interpolated chords are typically
built on raised or lowered steps of the prevailing scale or are borrowed from the
parallel key. A typical interpolation is:

| ¥ ¥ | ¥ | ¤ ¤ ¤ ¤ | ¥
| IIImÏ VIÏ | IImÏ becomes | IIImÏ VIÏ ëIIImÏ ëVIÏ | IImÏ

Here the sequence ëIIImÏ ëVIÏ is inserted between VIÏ and IImÏ. The interpolated
unit, ëIIImÏ ëVIÏ, is simply the preceding unit, IIImÏ VIÏ, transposed down a half
step. To accommodate this interpolation, IIImÏ and VIÏ are played at twice the
prevailing harmonic rhythm rate — quarter notes rather than half notes — and the
interpolated ëIIImÏ and ëVIÏ are also played as quarter notes. The interpolation
VIII – Functional Harmony in Jazz
61
can be viewed as a slightly elaborated chromatic slide downward from IIImÏ to
IImÏ. (See Thelonious Monk’s Round Midnight for an example of this type of
interpolation.)

The following is a little keyboard exercise that illustrates this type of
interpolation. Every other measure is part of the chromatic circle of fifths, and the
intervening measures are the interpolations. Movement from measure to measure
is by half-step down:

,
,
,
,
/
Cm7
.
.
.
,
F7
.
.
.
Bm7
.
.
. ¸
¸
E7
.
.
.
Bbm7
.
.
.
,
Eb7
.
.
. ,
Am7
.
.
.
D7
.
.
.
Abm7
.
.
. ,
,
,
Db7
.
.
. ,
Gm7
.
.
.
,
C7
.
.
.
,
.
.
,
.
.
.
.
.
.
¸
.
.
,
,
.
. ,
.
.
.
.
¸
.
.
,
,
.
. ,
.
.
.
.
/
F#m7
.
.
. ¸
¸
B7
.
.
. ¸
Fm7
.
.
.
,
Bb7
.
.
.
Em7
.
.
. ¸
A7
.
.
.
Ebm7
.
.
.
,
,
Ab7
.
.
. ,
Dm7
.
.
.
G7
.
.
.
C#m7
.
.
. ¸
¸
F#7
.
.
. ¸
,
.
.
¸
.
. ¸
.
. ,
.
.
,
.
.
.
. ¸
.
. ,
,
.
.
,
.
.
.
.
.
.
¸
.
. ¸
¸

The voice motion in this example is noteworthy. The lower two parts in the right hand
hold common tones within each measure, while the upper part in the left hand holds
common tones (sometimes enharmonically) across the bar line.
The Diminished- and Half-Diminished Seventh Chords
The diminished seventh and half-diminished seventh chords occur in a variety of roles in
jazz and therefore deserve separate treatment.
The Diminished-Seventh Chord
The diminished-seventh chord is symmetrical, being composed entirely of minor thirds.
As a result, all four inversions of a given diminished-seventh chord sound approximately
the same. For example, B„Ï, D„Ï, F„Ï, and AÓ„Ï all contain enharmonically the same four
pitches: B, D, F, and AÓ.

/
.
.
.
. ,
.
.
.
.
,
.
.
.
.
,
.
.
.
. ,

No matter which note is the lowest, the structure above it will be (enharmonically) all
minor thirds. As a result of the symmetrical nature of the diminished-seventh chord, there
are only three different diminished-seventh chords. If a given diminished-seventh chord
is repeatedly transposed up by half-steps, the third transposition will give the same set of
letter pitches as the original chord. These properties make the diminished-seventh chord
somewhat ambiguous and slippery, but also very useful precisely because of this.
Jazz Theory
62
The Diminished Seventh as a Connecting Chord
Diminished seventh chords are most frequently used to connect other chords. A very
frequent use of diminished seventh chords in writing for big bands is shown in the
following excerpt from Thelonious Monk’s Blue Monk. Here, diminished seventh chords
on the second and third eighth notes of each measure smoothly connect different
inversions of BÓ7 and EÓ7, respectively, on the first and fourth eighth notes.

,
,
,
,
/
,
,
Bb7
,
,
,
,
,
,
,
,
,
,
¸
,
,
,
, ,
¸
,
,
,
,
,
, .
.
.
.
Eb7
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
, ,
,
¸
,
,
,
,
,
, .
.
.
.
,
,
,
- -

This usage of the diminished seventh chord was described in greater detail above in the
Parallel Voice-Leading Styles section.

Another familiar use of the diminished seventh as a connecting chord can be found, for
example, in Dizzy Gillespie’s “Salt Peanuts”:
/
,
F6
.
.
.
.
F7/A
.
.
.
.
,
Gm7/Bb
.
.
.
.
Bº7
,
,
,
,
,
¸

F6/C
,
,
,
,
.
,
,
.
.
. , ,
,
.


If we consider just the chords in the treble staff, the B„Ï clearly results from the chromatic
alteration of the G and Bë in the preceding GmÏ, which is IImÏ in F major.

A similar use of the diminished-seventh chord gives this “barbershop quartet” cliché:
/
,
Dm7
.
.
D#º7
.
.
C7/E
.
.
,
,
.
.
.
.
¸
¸
.
.


The DÕ„Ï results from the chromatic alteration of the D and F in the preceding DmÏ,
which is VImÏ in F major.

Another old-timey use of the diminished-seventh chord is the following chromatic slide
down from the Tonic chord in first inversion through ÓIII„Ï to IImÏ. Here, the EÓ„Ï chord
results from the chromatic voice motion in the bass (E“EÓ“D) and right-hand (G“GÓ“F)
VIII – Functional Harmony in Jazz
63
while the A and C in the other voices are held:

,
,
,
,
/
C6/E
.
.
.
.
Ebº7
.
.
.
.
,
Dm7
.
.
.
.
G13
.
.
.
.
,
. . ,
.
.


Both this usage of the diminished-seventh chord and the barbershop quartet cliché above
disappeared from non-retro jazz in the 1940s and both are considered old-fashioned today
(which does not mean they cannot be used to achieve particular musical effects).
The Diminished Seventh as an “Incomplete” Dominant
The diminished-seventh chord can be viewed as an “incomplete” dominant seventh with
flat ninth. It is incomplete because it is missing the root:
/
.
.
.
. ,
,
"missing" root
,

Because there are really only three different diminished-seventh chords, each one must
represent four of the twelve different dominant sevenths. The following table summarizes
these relationships. Enharmonic respellings of some pitches in the left column are
necessary to obtain the correct spellings of some of the chords in the right column. For
example, the AÓ in the middle row has to be respelled as GÕ and the CÓ has to be respelled
as B in order to get the correct spelling for EÏ.

Pitches in °7 chord Dominant-seventh chord
CÕ E G BÓ in any order represent AÏ, CÏ, EÓÏ, or GÓÏ
D F AÓ CÓ in any order represent BÓÏ, DÓÏ, EÏ, or GÏ
DÕ FÕ A C in any order represent BÏ, DÏ, FÏ, or AÓÏ

Because the diminished-seventh chord has a flat ninth, it is most naturally used as a
dominant in the minor mode or as a secondary dominant to a minor chord.
The Half-Diminished Seventh Chord
The half-diminished seventh chord (or either m7Ó5 or m7-5, as many musicians prefer to
call it) occurs diatonically as II in minor, and it can be used as such in a sequence of
Jazz Theory
64
circle of fifths-related chords:


,
,
,
,
/
,
,
,
Cm9
.
.
.
Fm7
.
.
.
Bb9
.
.
.
Ebmaj7
.
.
.
Abmaj9
.
.
.
DØ7
.
.
.
G7b9
.
.
.
,
Cm7
.
.
.
,
,
,
,
I
.
.
IV
.
.
bVII
.
.
bIII
.
.
bVI
.
.
II
.
.
V
.
.
I
.
.

It also occurs diatonically as VII in major and, again, can be used as such in a sequence
of fifth-related chords:

,
,
,
,
/
Cmaj9
.
.
.
Fmaj7
.
.
.
BØ7
.
.
Em7
.
.
.
Am9
.
.
.
Dm7
.
.
.
G9
.
.
.
Cmaj7
.
.
.
,
I
.
.
IV
.
.
VII
.
.
III
.
.
VI
.
.
II
.
.
V
.
.
I
.
.

The Half-Diminished Seventh as a Connecting Chord
The half-diminished seventh chord, like the diminished seventh chord, is often used as a
connecting chord. Here, for example, CƒÏ is used to make a smooth passing movement
between DÏ and BƒÏ:
,
,
,
,
/
¸
D7
.
.
.
CØ7
.
.
. ,
,
,
BØ7
.
.
.
,
E7
.
.
. ¸

.
.
.
.

The Half-Diminished Seventh as an Incomplete Dominant Ninth
The half-diminished seventh chord can be treated as an incomplete dominant ninth chord
in major. As with the diminished-seventh chord, the root is missing. However, because
the half-diminished chord is not symmetrical, there is no problem of determining which
chord it represents: the root of the parent dominant chord always lies a major third below
the indicated root of the half-diminished chord. Here, for example, BƒÏ functions as the
dominant of C:
/
BØ7
.
.
.
.
C
.
.
.
,
"missing" root

Which of the possible uses of the half-diminished chord is the one operative in any given
case must be determined from context.
VIII – Functional Harmony in Jazz
65

Exercises
1. Choose a tune that uses the Rhythm changes. Using the Rhythm changes map
above, create an alternate harmonization for the A section of the tune. Make sure
the new chords fit the melody reasonably well. Write guitar/piano and bass parts
for your harmonization. Play your arrangement with class members.
2. More difficult: using any of the techniques discussed above (substitute chords,
voice leading chords, harmonic rhythm changes, etc.), create an alternate
harmonization for the bridge of your chosen Rhythm-based tune. Make sure the
new chords fit the melody reasonably well. Write guitar/piano and bass parts for
your harmonization. Play your arrangement with class members.
3. Create your own harmonic background for a 32-bar AABA tune. You may draw
progressions from the Rhythm changes map or the circle of fifths, or just make up
your own sequences of chords. Maintain a half-note harmonic rhythm throughout.
Write guitar/piano and bass parts. Play the tune and your background with class
members.

Secondary Functions and Tonicization
Dominant seventh-quality chords abound in jazz. Of course, each key contains only one
dominant seventh, the chord built on the fifth scale degree. However, many other
dominant seventh-quality chords can be used within a given key. The chord on every
scale degree (with the possible exceptions of VII in major and II and VI in minor) can be
preceded by its own dominant or dominant seventh chord. This means that there can be a
V of II, V of III, V of ÓIII, V of IV, V of V, V of VI, V of ÓVI, and V of ÓVII. These
dominants are called secondary dominants because they function just like the actual
dominant of the key except that they go to some chord other than I. The destination chord
is said to be “tonicized” by the secondary dominant. That is, the secondary dominant
causes the destination chord to treated as a sort of temporary tonic. In jazz, chains of
secondary dominants are common. For example, the pop standard Please Don’t Talk
About Me When I’m Gone has the following sequence of secondary dominants:
*………………………………………*
| EÓÎ | GÏ | CÏ | | FÏ | BÓÏ | EÓÎ | |
| IÎ | VÏof VI | VÏof II | | VÏof V | VÏ | IÎ | |
| ¦ | ¦ |¦ | ¦ | ¦ | ¦ | ¦ |¦ |

For a chord to be a true secondary dominant, it should resolve to the chord of which it is
in fact the dominant: V of V should resolve to V, V of VI should resolve to VI, etc.
However, a so-called “deceptive cadence” would also be considered a correct treatment
of a secondary dominant. For example, V of VI could resolve upward by half-step to IV,
mimicking the deceptive cadence in minor, V ëVI. Sunny Side of the Street contains this
move complete with dominant preparation:
*..….……………...*
| CÎ | BƒÏ EÏ | FÎ
| IÎ | II of VI VÏof VI | VI of VI
| ¦ | ¥ ¥ | ¦
Jazz Theory
66

Here is a possible keyboard realization of this chord progression:
/
.
.
.
.
.
BØ7
.
.
.
.
E9b13
.
.
.
.
¸
Fmaj9
.
.
.
.
, .
.
.
.
.
.
,
C: I II of VI V of VI VI of VI
.
.
.
.
. ,

As this example shows, a secondary dominant can be preceded by its own supertonic (II).
Thus we can have “secondary supertonics.” Often these chords are already available in
the given key. For example, VI can function as a secondary supertonic to V of V, III to V
of II, VII to V of VI, etc. Other chords require some modification to become secondary
supertonics. In Duke Ellington’s Satin Doll the Em7-A7 progression of the A section is a
secondary supertonic followed by a secondary dominant, as are the Gm7-C7 and Am7-D7
progressions in the bridge. Only the Gm7 requires a modified note (BÓ) to function as a
secondary supertonic (Students of traditional music theory, give a Roman numeral
analysis of the harmony here):





,
,
,
,
/
Dm7
,
,


G7
,
,
,
.
.
,
,
,
,

,

Dm7
,
,
,


G7
,
,
,
,
,
Em7
¸,
,

¸
A7
,
,
,
.
.
,
,
,
,

,


Em7
¸
,

,
,

A7
¸
,
,
,
, ,
Am7
.
,

,
,
.
.
D7(b9)
,
, ,
,
,
,


,
,
.
.
.

,
,


,
,
,
,
,

,
,
,
.
.

,
,

,
,
,
.
.
.
.
¸
1.




2.
/

Abm7
,
,
,
,

,
,


Db7
,,
,
,


,
,
, .
,
,
,
,
,

Cmaj7 B7
, ¸
,
.
Bb7
,
.
,
A7
, ¸
,
.
.
.
C^7
.

.

Gm7
,
, ,
C7
, ,
,
,
,
,
,
,

,
,
,
,


,
, ,

 ,
,
,
,
,


,
,
,
.
.
,
,
,
,


,
,
,
.
.
.
.
.
.



,
,
,
,
,
,
.
.
.
.
,
,
,
,
,




,
,
,
,
,
,
/
Gm7
,
C7
, ,
,
F^7
,
,
,
, . .
E7(b13)

Am7
,
,
,
D7
,
,
Am7
,
,
,
, ,
D7
,
,
,
,
,
,
,
.
.
.
.
,
,
,
,
,




,
,
,
,
,
.
.
.
.





,
,
,
,
,
¸
,
.
.
.
.





,
,
,
, ,
,
.
.
.
.
,
,
,
, ¸




,
,
,
,
,
.
.
.
.
.
.
.
. ¸


There is also a “secondary subdominant” function, that is, a chord functioning as IV in
relation to a secondary dominant. Both secondary supertonics and secondary
subdominants function as dominant preparation chords, and therefore belong in strong
positions in chord progressions. As with the ordinary dominant preparation chords, all the
alternate chord possibilities listed in the third column of the Rhythm changes map above
are available.
Borrowed Chords (Modal Interchange)
Chords are often “borrowed” from the parallel major or minor; accordingly, such chords
are called “borrowed chords.” For example, FmÏ might occur as IVmÏ in the key of C
major as a chord borrowed from C minor (see, for example, the bridge of Sunny Side of
VIII – Functional Harmony in Jazz
67
the Street.) Another common borrowing is the progression from I to Im (see, for example,
the opening sections of I’ll Remember April and On Green Dolphin Street.)
Modulation
Actual change of key is relatively rare in jazz. When it does occur, it is most frequently at
the end of a formal section of a tune. In the typical 32-bar AABA tune, the B section is
often in a different key from the A section. In this situation a brief modulating passage is
needed to get from the second A section to the key of the bridge, and another is needed to
get from the bridge back to the key of the final A section. In order to modulate smoothly
(which may not be the goal of some artists) we try to find some common element
between the first key and the second and then use it to make the transition to the new key.
Pivot Chord Modulation
The strongest common element between origin and destination keys is a chord that
belongs to both keys. Such a chord is called a “pivot chord.” Pivot chords generally occur
in a sequence like the following:

| ¥ ¥ | ¥ ¥ | ¥
| I in original key Pivot chord | II in new key V in new key | I in new key

Note that the pivot chord is on the weak part of the harmonic rhythm, followed by II-V-I
in their typical strong-weak-strong arrangement. This is the same pattern found in the
Rhythm changes. The only difference is that the II-V-I sequence is in a new key.

The following three examples illustrate pivot chord modulations to keys closely related to
the starting key and also to a more remote key. The specific harmonies used to effect
each modulation are not the only ones possible. An experienced composer/arranger can
usually find more than one interesting and convincing way to move from key to key.
Here, for example, is a passage that modulates from C major to G major:
/
Cmaj7
.
.
.
.
Em7
.
.
.
.
¸
Am7
.
.
.
.
D7
.
.
.
.
¸
.
.
.
.
¸
Gmaj7
,
C: I III
.
G: VI II V I
.
.
.
.

The pivot chord is EmÏ, which is III in C major and VI in G major. A similar approach is
used in this next example, which shows a modulation from C major to A minor:
/
Cmaj7
.
.
.
.
Fmaj7
.
.
.
.
BØ7
.
.
.
.
E7
.
.
.
.
¸
Am7
.
.
.
.
,
C: I IV
Am: VI II V I
.
.
.
.
.

Jazz Theory
68
In this example, the pivot chord is FmajÏ, which is IV in C major and VI in A minor. In
both of these examples, the pivot chord occurs in the weak position immediately
following I in the key that is the point of departure for the modulation.

If the destination key is remote (i.e., the key signatures of the origin and destination keys
differ by many accidentals) it may be necessary to borrow a suitable pivot chord. In the
following example, CmÏ is borrowed from the parallel minor to serve as the pivot chord
in a modulation from C major to EÓ major:


/
Cmaj7
.
.
.
.
Cm7
.
.
.
.
,
,
Fm7
.
.
.
.
,
,
Bb7
.
.
.
.
Ebmaj7
.
.
.
.
,
,
C: I Im
.
Eb: VI II V I
.
.
. ,
. ,

The borrowed CmÏ chord becomes VI in the new key, EÓ.
Common Tone Modulation
A weaker form of connection between keys can be obtained by using a single tone
common to both keys. The common tone is used in a chord that is otherwise not common
to both keys. Here, for example, is a common-tone modulation from C major to Aë
minor. B in CmajÏ becomes Cë in AëmÏ. In order to convince the listener that a
modulation to Aë minor has really taken place, the AëmÏ is followed by a V-I
“confirming cadence” using the tritone substitute ÓIIÏ dominant (enharmonically, as AÉË):
/
Cmaj7
.
.
,
,
,
,
Abm7
.
.
. ,
,
,
A13
.
.
.
¸
¸
Abm7
.
.
. ,
,
,
,
.
.
.
.
,
,
.
.
,
,
.
.
,
,

Direct Modulation
A final, very weak, approach to modulation might be called “just go there,” which is
known more formally as “direct modulation” (and less formally as “truck driver’s
modulation”). Here, no attempt is made to find a common element between the origin and
destination keys. A familiar example of this approach is the half-step up modulation used
by pop arrangers to create excitement for the final chorus of a tune:

,
,
,
,
rit.
/
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
C: V
7
,
,
,
,
,
,
,
,
Db:V
7
,
,
,
,
,
,
,
,
,
,
To big finish

VIII – Functional Harmony in Jazz
69

Exercises
1. Write chord progressions that modulate from EÓ major to each of the diatonically
related keys except VII. Use the pivot chord approach. Give a Roman numeral
analysis of the modulation.
2. Write chord progressions that modulate from F minor to each of the diatonically
related keys except II and the VI and VII borrowed from the major. Use the pivot
chord approach. Give a Roman numeral analysis of the modulation.
3. Write chord progressions that modulate from BÓ major to EÓ minor, AÓ major, GÓ
major, and D major. Use borrowed pivot chords if necessary.
4. Choose a tune from the AABA list in the Form section in Chapter I that has a B
section in a different key from the A section. Write a different chord progression
for the modulating section (usually the second ending of the A section).
5. Choose a tune that has a relatively remote modulation from the A section to the
bridge (e.g., Smoke Gets In Your Eyes, Cherokee, Body and Soul, Easy Living,
Prelude to a Kiss, The Song is You). Describe how the modulation is
accomplished. If possible, include a Roman numeral analysis.
6. Unforgettable begins in the key of G major and ends in the key of C major. How
and where is the change of key accomplished?
7. Baubles, Bangles, and Beads from the Broadway show Kismet has relatively
complex harmony for a pop song (it is based on a melody from Borodin’s
Polovetsian Dances). Provide a Roman numeral analysis of the harmony. Make
sure to give a plausible account of the modulations or tonicizations you find in
this piece.

Miscellaneous Harmonic Techniques
Tonic-by-Assertion
Alternation between I and ÓVII is common in both jazz and pop music. Familiar examples
include Charles Mingus’ Nostalgia in Times Square, Benny Golson’s Killer Joe, and pop
oldies such as On Broadway, Uptight, and Got to Get You Into My Life. The use of ÓVII
could be viewed as an example of borrowing in the sense of the discussion above, that is,
the ÓVII chord could be analyzed as a borrowing from the parallel minor. However, in the
usual context, the ÓVII is used as a neighbor chord, with all voices moving strictly in
parallel back and forth between it and the Tonic. The effect over several measures of
alternation is to establish a Tonic simply by repeatedly asserting it and embellishing it
with its lower neighbor. Here, for example, are the opening bars of Nostalgia in Times
Square:

,
, /
,
F7
,
.
, , .
Eb7

F7
,
.
, , .
Eb7

F7
,
.
,,,
Eb7
, , ,
F7
, ,
, ,
,
, , .
Eb7
3

The overall harmony of this piece is a sophisticated variation on the standard 12-bar blues
chord progression, while the portion of the melody shown here uses the pentatonic scale
just as in traditional blues and much rock (see the Blues section in Chapter V).
Jazz Theory
70
Pedal Point
Jazz musicians sometimes use pedal points to create a complex or ambiguous tonality.
John Coltrane’s Naima is a good example of this practice:

,
,
,
,
/
,
,
,
,
Bbm9
.
.
.
.
,




Ebm9
,
,
,
.
.
.
.
,
B13b5
.
.
.
.
.
¸
,
¸
A13b5
,
,
,
, , ,
,
,
.
.
.
.
Abmaj9
3
3
,
,
,
,
,
ppp



.



.



.



.

Here the indicated key is AÓ, but the EÓ pedal point together with the chromatic harmony
of the accompanying chords combine to create a tentative, unstable feeling which is not
resolved until the coda provides a sequence of I and IV chords in root position.
Upper Structure Triads
Some jazz artists group tensions into distinct triadic units that are played against an
underlying chord. For example, the chord CÏ×Ñ …ÉÉ ÉËØ could be thought of as the
combination of a D-major triad over CÏ:
/
D
.
.
.
¸
,
C7
.
.
.
,

When tensions are treated in this way, they are said to be “upper-structure triads,” and the
chord as a whole — that is, the lower chord plus the upper structure triad — is a type of
polychord. There is a great variety of combinations of basic chords and upper structure
triads. The following examples only suggest the possibilities. Note that a non-standard
version of the “slash” notation is used for these examples. The chord symbol that
precedes the slash is the upper structure triad, while the chord symbol that follows the
slash is the lower chord. Here are some of the many possible upper
structure triads that may be added above a dominant seventh:
/
A/C7
.
.
.
¸
D/C7
.
.
.
¸
F#/C7
.
.
. ¸
¸
¸
Eb/C7
.
.
. ,
,
Ab/C7
.
.
.
,
,
A/C7
.
.
. ¸
F#/C7
.
.
. ¸
¸
¸
,
.
.
.
, .
.
.
, .
.
.
, .
.
.
, .
.
.
, .
.
.
, .
.
.
,
/
D/C7
.
.
.
¸
Eb/C7
.
.
.
,
,
Ab/C7
.
.
.
,
,
A/C7
.
.
.
¸
F#/C7
.
.
.
¸
¸
¸
Eb/C7
.
.
.
,
,
,
.
.
.
, .
.
.
, .
.
.
, .
.
.
, .
.
.
, .
.
.
,

VIII – Functional Harmony in Jazz
71
A smaller number of upper structure triads is available for minor sevenths and major
sevenths:
/
.
.
.
Em/Dm7
.
.
.
C/Dm7
.
.
.
G/Dm7
.
.
.
Em/Dm7
.
.
.
C/Dm7
.
.
.
Em/Dm7
.
.
.
C/Dm7
,
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
/
.
.
.
¸
D/Cmaj7
.
.
.
¸
D/Cmaj7
.
.
.
¸
Bm/Cmaj7
.
.
.
G/Cmaj7
.
.
.
¸
D/Cmaj7
.
.
.
¸
Bm/Cmaj7
.
.
.
G/Cmaj7
,
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.


Finally, a still smaller number of upper structure triads is available for sixth and
minor sixth chords:
/
D/C6
.
.
.
¸
Bm/C6
.
.
.
¸
D/C6
.
.
.
¸
Bm/C6
.
.
.
¸
D/C6
.
.
.
¸
,
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.

/
.
.
.
Dm/Cm6
.
.
.
G/Cm6
.
.
.
F/Cm6
.
.
.
Dm/Cm6
.
.
.
G/Cm6
.
.
.
Dm/C6
,
.
.
.
.
,
.
.
.
.
,
.
.
.
.
,
.
.
.
.
,
.
.
.
.
,
.
.
.
.
,


All of the above examples of upper structure triads show the lower chord in root position
and voiced in close position. Many colorful harmonies can be achieved by using different
voicings for the lower chord. The chords discussed in the “Rootless” Chords section
in Chapter VI, for example, offer many interesting combinations.
Polychords and Polytonality
Consistent use of upper structure triads can result in a kind of “bitonality”: two different
keys in force simultaneously. The upper structure triads can represent one key, while the
lower chords represent another. For example, the following chord progression would be
indicated in standard chords symbols as DmÏ×Ñ ÉÉ ÉËØ GÏ ×Ñ …ÉÉ ÉËØ CÎ×Ñ …ÉÉØ:

/
.
.
.
.
.
.
¸
.
.
.
¸
,
.
.
.
.
.
.
.
.
.
.
.

Under a bitonal interpretation, the chord symbols could be rewritten as

Em/DmÏ A/GÏ D/CÎ
Jazz Theory
72

This progression could therefore be interpreted as II V I in D major simultaneously with
IImÏ VÏ IÎ in C major. It is up to the jazz artist to determine whether and how such an
interpretation is to be brought into prominence.

Exercises
1. How can “tonic by assertion” be explained in terms of linear chords? Are there
any chord combinations other than those mentioned above that can be used to
create a tonic by assertion? If so, give at least one example. If not, why not?
2. Analyze the pedal-point section near the end of Bach’s Prelude #1 from the Well-
Tempered Klavier Book 1 using jazz Roman numeral chord symbols.
3. For the chord GmÏ, find five UST’s that you think don’t work as acceptable
extensions of the underlying chord. Explain why in each case.
4. Write a polytonal harmonization of the Rhythm changes such that the chords in
the bass staff remain in the standard key of BÓ, while the chords in the treble staff
are consistently in a different key.
IX – Chord Scale Theory
73
IX. Chord-Scale Theory

Chord scale theory concerns the question of which scales go with which chords.
Typically a jazz soloist wants to know what scale to use to improvise a melody over a
particular chord or sequence of chords. Chord scale theory provides some guidelines (not
rules) for choosing scales in this situation. Chord scale theory is most properly used as an
planning tool to help the musician map out a sequence of scales to be used as material for
improvisation, which should be done before an actual performance rather than “on the
fly” during a solo. The key to using chord scale theory is not to think of the harmony of a
piece as a sequence of isolated chords, but rather as sequences of chords related to one
another by their functions within a specific key. Under this interpretation of chord scale
theory, the goal is to find the longest sequences of chords that can be accompanied by
one scale. This encourages the performer to think across sequences of chords rather than
from chord to chord
A Simplified
11
Approach To Chord-Scale Theory
Only the major and minor scales are needed to accompany all seven of the basic chord
types. In practice, then, the simplest application of chord scale theory generally comes
down to choosing the right major or minor scale to go with a chord or sequence of
chords. In order to apply chord scale theory successfully in jazz improvisation, it is
necessary for the performer to know, and be able to play, all of the major and minor
scales. In addition, the performer should know how to do the usual Roman numeral
analysis of harmony. This traditional skill helps the performer select the right scale to go
with a particular chord in a given context.

The very simplified approach to chord-scale theory presented here can be summarized in
the following table:

Chord Type Scale To Use For Improvisation
Any diatonic chord in major The major scale of the prevailing key
Any diatonic chord in minor The minor scale of the prevailing key
(with the necessary adjustment of scale
degrees 6
^
and 7
^
to avoid clashes)
Dominant 7
th
–quality chords (including
secondary dominants, voice leading 7
th
chords, and “incomplete” dominant ninths)
The major or minor scale of the key in
which the given chord functions as a
dominant
Borrowed (modal interchange) chords The major or minor scale of the key from
which the chord is borrowed
Voice leading (linear) chords See discussion below


11
As with the federal government’s recurring income tax “simplification” proposals, you should keep your
hand on your wallet at all times when the “simplification” of anything is promised. I’ve done my best to
simplify chord-scale theory, but, in keeping with the motto at the beginning of this book, I’ve tried to avoid
making it appear simpler than it really is.
Jazz Theory
74
The following discusses the details of handling each of the indicated chord types:
1. Diatonic chords in the major mode: for all of these, simply use the major scale
of the key in force. For example, in the key of C major, the C major scale is used
with CÎ, CmajÏ, DmÏ, EmÏ, FÎ, FmajÏ, GÏ, AmÏ, and BƒÏ.
2. Diatonic chords in the minor mode: for all of these, use the minor scale of the
key in force. If it is desired to avoid clashes between the melody and the chords,
select the versions of scale degrees 6
^
and 7
^
— natural or raised — that coincide
with those used in the accompanying chords (it should not be assumed that
clashes are always to be avoided; sometimes a clash is precisely the effect that is
wanted) Performers can use Kostka and Payne’s arrow notation — ↑6
^
, ↓6
^
, ↑7
^
, or ↓7
^

— to remind themselves which form of scale degrees 6
^
and 7
^
to use.
12
↓ 6
^
and ↓7
^

denote the natural sixth and seventh degrees, while ↑6
^
and ↑7
^
denote the raised
degrees borrowed from the parallel major. In the following example, all of the
chords are diatonic in C minor; however, some adjustment of the sixth and
seventh scale degrees is necessary as the piece proceeds from chord to chord. The
desired versions of the scale degrees are indicated with the arrow notation. The
lower case “c:” indicates that the prevailing scale is C minor.
c: ↑6
^
↓7
^
↓6
^

,
,
,
,
,
,
,
,
Trumpet in Bb
Piano
String Bass
/
,
,
,
,
,
, ,
,
.
,
,
,
,
,
,
,
,
,
,
,
.
/
,
,
,
Cm7
,
,
,

AØ7
,
,
,
.
.
DØ7
,
,
,

Gb9b13
,
,
,
,
.
,

Cm7
,
,
,
,
.
.
.
.
.
,
,
,
,
,
,

,
, ,
,
.
,
,

,
,
.
,

,
,
,
.
.
.
,
,
,
,
,
,
, ,
,
,
,
,
, ,
,
, .

Notice that the pianist is working from either chord symbols or a fully notated
accompaniment, while the trumpet player needs only a few hints about the scale
he or she is to use for improvisation.
3. Dominant seventh-quality chords: Secondary dominant seventh chords and
chords that are built like dominant seventh chords abound in jazz. The simplest
approach to selecting scales to go with these chords, including the tritone-
substitute ëIIÏ and the “incomplete” dominant ninths VIIƒ and VII„, is to treat
them as dominant sevenths and accompany them with the major or minor scale of
the key in which they function as the dominant. For example, if in the key of C a
BÏ chord occurs as VÏ of E minor, it would be appropriate to accompany it with
the E minor scale with suitably chosen sixth and seventh degrees. Furthermore, if
the BÏ is preceded by FÕƒÏ (IImÏ of E minor), this chord would also be
accompanied by the E minor scale. In other words, the entire II V I sequence (FÕƒÏ
BÏ EmÏ) should be accompanied by an appropriate form of the E minor scale.

12
Stefan Kostka and Dorothy Payne. Tonal Harmony, 4
th
ed. Boston: McGraw-Hill, 2000.
IX – Chord Scale Theory
75
4. Borrowed chords: When a chord is borrowed from the parallel major or minor, it
is usually best to use the scale that would accompany that chord in the key from
which it is borrowed. For example, if an FmÏ chord is used in the context of C
major, we identify it as IV in the parallel minor key, C minor, and therefore use
the C minor scale with the lowered sixth degree (and probably the lowered
seventh degree as well) for improvisation.
5. Voice-leading chords: There are two principal cases of chords not already
covered by items 1-4. These are chords made up mostly or entirely of neighbor-
and/or passing-tones:
a. If the chord is a minor seventh chord used to slide chromatically between
two diatonic chords (EmÏ EÓmÏ DmÏ, for example), use the same scale,
major or minor, used with the first chord in the sequence, but transposed
down a half-step. In this case, the EÓ minor scale could be used to
accompany the EÓmÏ.
b. If the chord is a diminished seventh, it can be treated as an incomplete
dominant ninth and accompanied by the appropriate minor scale. For
example, BƒÏ could be treated as an incomplete dominant ninth in C minor
(regardless of the prevailing key) and accompanied with the C minor scale
with lowered sixth degree. A different approach to diminished sevenths —
in any context — is to use the “diminished” (or “octatonic”) scale. This is
described below.

As mentioned above, this is a very simplified version of chord scale theory. It covers all
the cases involving the seven basic chord types described above, and it will serve to get
the beginning student of jazz started on improvisation. But it should not be imagined that
professional jazz performers make any such simple system the basis of their art.
The “Diminished” Scale
The “diminished” (or “octatonic”) scale is often a colorful alternative to the major or
minor scales used in the approach described above. This scale is based on the repeating
pattern whole step-half step, whole step-half step, …etc.
13
Like the diminished chord,
the diminished scale can be transposed by half-step in either direction only twice. A third
transposition simply reproduces the tones of the original. Here are the three diminished
scales:

/
,
,
, ,
, , ¸
, ¸
,
,
,

/
, ¸
, ¸
,
, ¸
,
,
, ,
, , , ¸


13
The diminished scale can also be created as the repeating pattern half-step-whole-step,…, etc. This does
not produce new scales. The resulting scales are the same as the three shown here but starting from a
different note.
Jazz Theory
76
/
,
,
,
,
, ,
, , , ,
, ¸
,

The following example shows one way that diminished scales can be used to accompany
diminished seventh and dominant seventh chords:

,
,
,
,
/
Cº7
,
,
, ,
,
C#º7
, ¸
, ¸
,
,
, ¸
, ¸
,
, ¸
Dº7
,
,
, ,
,
,
,
,
,
, ,
, ,
, ,
, ,
,
.
.
.
.
,
,
.
.
.
.
,
¸
.
.
.
.
,
,
/
Ab7
,
,
, ,
,
A7
, ¸
, ¸
,
,
, ¸
, ¸
,
, ¸
Bb7
,
,
, ,
,
,
,
,
,
, ,
, ,
, ,
, ,
,
.
.
.
,
,
,
.
.
.
.
.
.
,
,

In this example, the whole-step/half-step pattern begins on the root of the diminished
seventh chord and on the third of the dominant seventh chord. These are merely reference
points for the purposes of this example. In actual improvisation, one could of course
begin a melodic line on any note of the diminished scale. The diminished scales can be
combined with the major and minor scales used in the simplified approach described
above to produce a more sophisticated sound.
Chords With Alterations And/Or Tensions:
If the characteristic “sound” of a jazz artist’s work will be lost if alterations and tensions
are not included in a performance exactly as specified, the simplified chord-scale theory
presented above will not work well. In these circumstances it will be necessary to
construct appropriate chord scales. This is done by making a list of the notes in each
chord, including the tensions and alterations. Any gaps are then filled in to form a
continuous scale. For example, suppose we need to provide a scale for a chord like this
CÏÓÑÓÍ:

/
C7b9b5
.
. ,
,
,
.
.
.
,

An appropriate chord scale for this harmony would include all the chord tones plus (in
this case) two passing tones:
/
,
, ,
, , , ,
, ¸
,
,
, ,
,

Here we have added EÓ and A to complete a scale. These are not the only choices. We
could have added D instead of EÓ, and AÓ instead of A. Note that the scale we created in
IX – Chord Scale Theory
77
this case is the diminished scale described above (starting on DÓ). The diminished scale
often works well with altered chords and chords that have chromatic tensions.

Constructing a chord scale is the lowest common denominator of chord scale theory — it
will work with almost any harmony. Simply listing the notes of the prevailing harmony,
whatever it is, and filling in appropriate passing tones will yield a complete scale for
improvisation. A composer or arranger who creates music in this way should write out
exactly what he or she wants rather than relying on the informal jazz/pop chord notation
to convey his or her intentions.

If a composer or performer uses tensions and alterations in an essential way in his or her
music (i.e., the character of the music depends critically on all the chords being played
exactly as notated), George Russell’s Lydian Chromatic Concept (Brookline, MA:
Concept Publishing Company, 2001) becomes an attractive choice of chord scale theory
because it provides a logical choice of scale to accompany almost any conceivable
extended and/or altered chord. In effect, Russell has pre-constructed for the jazz musician
all the scales that would be needed for improvisation on the most complex harmonies. All
the musician has to do is to look up the appropriate scale in Russell’s book; however,
Russell’s system is quite complex, so that one should expect to commit a substantial
amount of time and energy to learning how to use it.
Interlude On The Minor Mode
The discussion of chord-scale theory above was perhaps a bit vague whenever the minor
mode was mentioned. Certain issues were deliberately swept under the rug until the basic
points could be established, but the time has come to confront the issues. Perhaps
surprisingly, the minor mode is a contentious area in music theory pedagogy, even after
hundreds of years of tonal music and its accompanying theory. Everyone who has tried to
teach beginners about minor is all too aware of the problems. This book’s view of minor
rests on the following argument:

1. Jazz is a form of tonal music and, like most tonal music, it is — at almost any
point in a piece — in some particular key.
2. Each key has a scale, which is simply a list of tones that can be used to create
melodies and chords in that key.
3. There are only 24 different scales, 12 major and 12 minor, corresponding to the
12 major and 12 minor keys.
4. There are no inviolable rules concerning the relationship of melody to chords.

These principles are uncontroversial, except perhaps for principle 3, which claims that
there are only 12 minor scales. Most of us learned that there are three forms of the minor
scale — natural, melodic, and harmonic — and thus that there are actually 36 different
minor scales; however, if we accept principle 2, that is, that a scale is simply a list of the
tones that belong to a particular key, and if we observe which tones are used in real music
Jazz Theory
78
in the minor mode, then we must come to the conclusion that there is only one form of
the minor scale:
14

/
,
,
,
.
.
.
.
.
. . ,
. . ,
.

This scale has both the natural and the raised forms of scale degrees 6
^
and 7
^
. For the
composer or performer, the question is — as it always has been in all forms of tonal
music — which form of scale degree 6
^
or 7
^
to use in any given situation. This question
can generally be answered partially through harmonic analysis of the specific case in
question. But in the end you have to use yours ears: what sounds right is right.
“Outside” Playing
It should not be assumed that playing “inside” the harmony — the evident goal of chord
scale theory — is an absolute requirement for good jazz playing. The attitude of jazz
musicians toward the relationship of melody and chords can perhaps be better gauged by
considering the practices of two great and widely imitated soloists, Lester Young and
Charlie Parker. As early as the late 1930s, both of these musicians had developed
techniques for “outside” playing, improvisation that in some way conflicts with the
prevailing harmony.

Lester Young would sometimes play slightly ahead or slightly behind the chords, so that
his improvised melody would either anticipate the next chord or continue within a chord
that had already passed by. The anticipation or delay would typically cause a mild
conflict between melody and harmony. Charlie Parker had a somewhat different
approach. His idea was to treat the tensions of each chord — ninths, elevenths, and
thirteenths — as basic melodic materials for improvisation. Tensions such as ë9, í9, +11,
and ë13 could be used freely in melody and required no resolution. When carried through
consistently, this approach leads to a form of bitonality, as discussed above. Whether
melody that emphasizes tensions is heard in a bitonal sense is a separate issue. The point
is that the improvising musician can think of melody in this way.

Neither Lester Young’s nor Charlie Parker’s approach to outside playing represents an
attack on tonal harmony or an attempt to escape it. In fact, these techniques depend for
their effects on a background of tonal harmony. It is precisely in the perceived clash
between the harmonic implications of the improvised melody and the actual harmony that
much of the charm of Young’s and Parker’s outside playing is found. Jazz musicians ever
since the time of these two great musicians have adopted their techniques; therefore,
these techniques should be viewed now as standard skills for jazz players.

Jazz players have introduced other devices for outside playing, many of which produce
what might be called “apparent complexity.” These techniques produce a seemingly
complex musical texture that can actually be described very simply. One recipe for
producing such textures is to improvise melody on a scale at some specific interval above

14
A full discussion of the issues raised here can be found in Paula J. Telesco. “Rethinking the Teaching of
Minor Scales and Keys,” Journal of Music Theory Pedagogy. 15(2001).
IX – Chord Scale Theory
79
or below the indicated bass note or chord root. This approach often amounts to the same
thing as Charlie Parker’s technique of emphasizing tensions. Here, for example, the G
major scale is used for improvisation over a CmajÏ chord (i.e., a perfect fifth above the
chord root), and D minor is use for improvisation over the following CmÏ chord (i.e., a
major second above the chord root):
,
,
,
,
/
G/C6

,
.
, ¸
,
,
,
,
,
, ¸
,
,
,
.
Dminor/Cm7
,
,
,
, ,

,
.
,
, ,
,
,
, ,
,
3
,
.
.
.
.





,
,
,
,
,
,
,
,
,




,
,
,
,
,
,
,
,
,
,

,
,
,
, ,
,
,
.
.
.
.





,
,
,
, ,
,
,
.
.
.
.




,

Note the use of “rootless” chords in the left-hand part here. The recommended intervals
for this technique are given by Felts:
15


1. up or down a major second from the bass note or chord root
2. up a perfect fifth from the bass note or chord root
3. up a tritone from the bass note or chord root (less common)
4. up or down a minor second from the bass note or chord root (less common)

The quality of the results obtained using a technique such as this depends — as always —
on the skills of the individual performer. It goes without saying that this technique is not
for musicians who wish to maintain clarity of harmonic function in their music.
Treatment Of “Non-Chord” Tones
The prevalence of stable dissonances and outside playing techniques raise questions
about what a “non-chord tone” is. Traditional music theory gives precise definitions of
various embellishing tones — neighbor, passing, changing, escaped, anticipation,
suspension, etc. — and prescribes how they are to be treated. The jazz musician can
choose to observe these prescriptions or not. The logic of jazz does not depend on their
being observed. Thus, a jazz artist may choose to set up a musical context in which
embellishing tones are handled in the traditional manner; however, if he or she does this,
the treatment of these tones has the status of a stylistic effect rather than obedience to the
grammatical rules of music. Of course, in one and the same performance there may be
passages that follow the traditional rules and others that do not.


15
Op. cit., p. 146 ff.
Jazz Theory
80

Exercises
1. Mark up a copy of the Rhythm changes with the names of the scales that would be
appropriate for improvisation.
2. Modify the bridge of the Rhythm changes by using substitute chords and/or
interpolations, and then indicate the scales to be used for improvisation on the
modified bridge.
3. Choose a tune from one of the lists in the Form section in Chapter I. Analyze
the harmony and then indicate reasonable scales to use for melodic improvisation.
You may use the arrow notation described in the text or write out the names of the
scales to be used. If it is necessary to construct a chord scale, write the scale out in
full on a separate staff above the appropriate place in the tune.
4. Write a melody based on the analysis you performed in exercise 3.
X – Other Systems
81
X. Other Systems
As was mentioned at the beginning of this book, the system presented here is not the only
one in current use in jazz. There are several others that do not share the entire set of core
practices of jazz as described in this book. Some approaches represent a minimal
departure from the common practice. Among these are the use of quartal and secundal
harmonies to accompany standard tunes. These methods appear to be designed mainly to
bring a fresher sound to conventional jazz performance. The other elements — form,
melody, and rhythm — are kept much the same as in the conventional approach. “Free”
jazz, on the other hand, departs radically from the traditional jazz idioms.
Modal Jazz
“Modal” jazz provides a framework for improvisation based on scales rather than chord
progressions. For example, Miles Davis’ So What — one of the earliest examples of
modal jazz — has the 32-bar AABA structure of many pop standards, but the A section is
specified as being in the D “Dorian” mode, while the B section is in the EÓ “Dorian”
mode. No chord symbols are given (except for the misleading — and completely
redundant — “Dm7” and “EÓm7” at the beginnings of the A and B sections,
respectively). Solos follow the AABA pattern of the head, but the soloist improvises
along the modal scale rather than on chord changes. Since all the notes in the modal scale
are considered to be consonant with one another, the musician(s) providing the harmonic
background can play any chords (triadic, quartal, secundal, etc.) made from the notes of
the modal scale. This brief description of one modal piece cannot begin to convey the
variety of modal approaches developed since Davis’ pioneering work in the late 1950’s.
To give a complete account of modal jazz would require a second book as least as large
as this one.
Free Jazz
“Free” jazz presents a truly different picture. The various forms of free jazz do without
most or all of the traditional structure of jazz. Free jazz consists of many different
musical languages; therefore, the genre as a whole cannot be summed up in any one set
of principles or techniques. A free jazz style may use familiar jazz idioms, but it does
away with the templates provided by pre-composed material such as chord changes and
song forms. From the free jazz point of view, the jazz techniques described in this book
represent a kind of surface ornamentation of a fixed underlying framework, namely the
harmony of a selected “head.” Free jazz players seek to carry improvisation all the way
down. As a consequence, continuous improvisation of every aspect of a performance —
melody, harmony, rhythm, and form — is required. This requirement is a very
demanding one. It requires the jazz artist to confront all of the problems any composer
faces: choosing the harmonic, melodic, and rhythmic materials to be used; specifying the
instrumental resources required; and designing the larger “architecture” of the work. For
this reason it is a fantasy to assume that the move to free jazz will automatically release a
torrent of creativity that was previously confined in the box of traditional jazz structure.
Not surprisingly, free jazz is a genre that only a few gifted musicians who have worked
together for an extended period can explore successfully. Free jazz also makes much
greater demands on the listener, who must work to understand the unique musical
Jazz Theory
82
language employed by a free jazz group. Free jazz thus remains less popular than other
forms of jazz.
Tonal Systems In Rock
Since the late 1960’s there has been considerable interaction between jazz and rock.
Although the system of jazz harmony described in this book is still also the dominant one
in rock, alternative systems developed by rock musicians have had some influence in
jazz. Walter Everett has identified six distinct tonal systems operating in rock.
16
Most of
these have already been covered in this book: major- and minor-mode “common
practice” harmony, much like what you study in traditional music theory; diatonic modal
harmony, as described in the Modal Jazz section above; and the blues chords +
pentatonic melody technique described in Chapter V.. Everett’s paper should be
consulted for detailed descriptions of the other, uniquely rock-oriented systems.


16
Making Sense of Rock’s Tonal Systems.
<http://mto.societymusictheory.org/issues/mto.04.10.4/mto.04.10.4.w_everett.html>
83
Appendix A: Jazz Chord Dictionary
y
,
Cmaj7
.
.
.
.
C6
.
.
.
.
Cm7
.
.
.
.
,
,
Cm6
.
.
.
.
,
C7
.
.
.
.
,
CØ7
.
.
.
.
,
,
,
Cº7
.
.
.
.
,
,
,
,
.
.
.
. ¸
Gmaj7 G6
.
.
.
.
Gm7
.
.
.
.
,
Gm6
.
.
.
.
,
G7
.
.
.
.
GØ7
.
.
.
.
,
,
Gº7
.
.
.
. ,
,
,
,
Dmaj7
.
.
.
.
¸
¸
D6
.
.
.
.
¸
Dm7
.
.
.
.
Dm6
.
.
.
.
D7
.
.
.
.
¸
DØ7
.
.
.
.
,
Dº7
.
.
.
.
,
,
,
Amaj7
.
.
.
.
¸
¸
A6
.
.
.
. ¸
¸
Am7
.
.
.
.
Am6
.
.
.
. ¸
A7
.
.
.
.
¸
AØ7
.
.
.
.
,
Aº7
.
.
.
.
,
,
,
.
.
.
.
¸
¸
Emaj7 E6
.
.
.
.
¸
¸
Em7
.
.
.
.
Em6
.
.
.
.
¸
E7
.
.
.
.
¸
EØ7
.
.
.
.
,
Eº7
.
.
.
.
,
,
,
.
.
.
.
Fmaj7 F6
.
.
.
.
Fm7
.
.
.
.
,
,
Fm6
.
.
.
.
,
F7
.
.
.
.
,
FØ7
.
.
.
.
,
,
,
Fº7
.
.
.
.
,
,
,
,
.
.
.
. ,
Bbmaj7 Bb6
.
.
.
. ,
Bbm7
.
.
.
.
,
,
,
Bbm6
.
.
.
.
,
,
Bb7
.
.
.
.
,
,
BbØ7
.
.
.
.
,
,
,
,
Bbº7
.
.
.
.
,
,
,
,
,
.
.
.
. ,
,
Ebmaj7 Eb6
.
.
.
.
,
,
Ebm7
.
.
.
.
,
,
,
,
Ebm6
.
.
.
.
,
,
,
Eb7
.
.
.
. ,
,
,
EbØ7
.
.
.
.
,
,
,
,
Ebº7
.
.
.
.
,
,
,
,
,
.
.
.
.
,
,
Abmaj7 Ab6
.
.
.
.
,
,
Abm7
.
.
.
.
,
,
,
,
Abm6
.
.
.
.
,
,
,
Ab7
.
.
.
.
,
,
,
AbØ7
.
.
.
.
,
,
,
,
Abº7
.
.
.
.
,
,
,
,
,
.
.
.
. ,
,
Dbmaj7 Db6
.
.
.
.
,
,
,
Dbm7
.
.
.
.
,
,
,
,
Dbm6
.
.
.
.
,
,
,
,
Db7
.
.
.
. ,
,
,
DbØ7
.
.
.
.
,
,
,
,
Dbº7
.
.
.
.
,
,
,
,
,
.
.
.
.
¸
¸
¸
¸
F#maj7 F#b6
.
.
.
. ¸
¸
¸
¸
F#m7
.
.
.
. ¸
¸
F#m6
.
.
.
. ¸
¸
¸
F#7
.
.
.
.
¸
¸
¸
F#Ø7
.
.
.
. ¸
F#º7
.
.
.
. ¸
,
,
.
.
.
.
¸
¸
¸
Bmaj7 Bb6
.
.
.
.
¸
¸
¸
Bm7
.
.
.
.
¸
Bm6
.
.
.
.
¸
¸
B7
.
.
.
.
¸
¸
BØ7
.
.
.
.
Bº7
.
.
.
.
,



Jazz Theory
84

85

Appendix B: Rootless Chord Dictionary

,
Bbmaj7
.
.
.
.
Bbmaj7
.
.
.
.
Bb6
.
.
.
.
Bbm7
.
.
.
. ,
,
Bbm7
.
.
.
.
,
,
Bbm6
.
.
.
. ,
Bb7
.
.
.
.
,
Bb7
.
.
.
.
,
,
,
Bb7
.
.
.
. ,
Bb7
.
.
.
.
,
,
¸
BbØ7
.
.
.
.
,
,
,
,
Bbº7
.
.
.
.
,
,
,
Bmaj7
.
.
.
.
¸
¸
¸
¸
Bmaj7
.
.
.
.
¸
¸
¸
¸
Bb6
.
.
.
.
¸
¸
¸
¸
Bm7
.
.
.
.
¸
¸
Bm7
.
.
.
.
¸
¸
Bm6
.
.
.
.
¸
¸
¸
B7
.
.
.
.
¸
¸
¸
B7
.
.
.
. ¸
B7
.
.
.
.
¸
¸
¸
B7
.
.
.
.
,
BØ7
.
.
.
.
Bº7
.
.
.
.
,
,
Cmaj7
.
.
.
.
Cmaj7
.
.
.
.
C6
.
.
.
.
Cm7
.
.
.
. ,
,
Cm7
.
.
.
.
,
,
Cm6
.
.
.
. ,
C7
.
.
.
.
,
C7
.
.
.
.
,
,
,
C7
.
.
.
. ,
C7
.
.
.
.
,
,
¸
CØ7
.
.
.
.
,
,
,
Cº7
.
.
.
.
,
,
,
Dbmaj7
.
.
.
.
,
,
Db6
.
.
.
.
,
,
,
Dbm7
.
.
.
. ,
,
,
,
Dbm7
.
.
.
.
¸
¸
Dbm6
.
.
.
.
,
,
,
,
Db7
.
.
.
.
,
,
,
Db7
.
.
.
.
,
,
Db7
.
.
.
.
,
¸
Db7
.
.
.
.
,
DbØ7
.
.
.
. ,
Dbº7
.
.
.
.
,
,
,
Dmaj7
.
.
.
. ¸
¸
D6
.
.
.
. ¸
Dm7
.
.
.
.
Dm6
.
.
.
.
D7
.
.
.
. ¸
D7
.
.
.
.
,
¸
DØ7
.
.
.
.
,
Dº7
.
.
.
.
,
,
Ebmaj7
.
.
.
.
,
Ebmaj7
.
.
.
.
,
Eb6
.
.
.
.
,
Ebm7
.
.
.
. ,
,
,
Ebm6
.
.
.
.
,
,
Eb7
.
.
.
.
,
Eb7
.
.
.
.
¸
¸
EbØ7
.
.
.
.
,
,
,
Ebº7
.
.
.
.
,
,
,
Emaj7
.
.
.
. ¸
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Jazz Theory
86

87









Appendix C: Using Sibelius®
Jazz Theory
88
Sibelius Basics
Using the Sibelius “Arrange” Feature

If you are using the Sibelius music notation software, you can take advantage of a very
useful capability called “Arrange.” Arrange is designed to assist Sibelius users in
making arrangements and orchestrations. It intelligently copies music from any number
of staves to any other number of staves. The copying can be done according to many
different styles supported by Sibelius, including several jazz styles that are useful for
scoring pieces for groups ranging from small combos to big band.
Procedure
1. Make a piano version of your piece. Arrange is easiest to use if the piano version
has a constant number of voices (all of the “parallel” voicing styles described
above work very well). A piece can be broken up into phrases or sections, each
with its own constant number of voices.
2. Select the passage you want to arrange and copy it to the clipboard using Edit >
Copy.
3. Hit I on the keyboard and add the instruments you want in your arrangement.
Sibelius arranges only pitched instruments. While in the Instrument dialog, make
sure to group your brass and woodwind instruments together, separate from the
rhythm section instruments.
4. Select the staves into which you want to paste the resulting music.
5. Choose Notes > Arrange.
6. The Arrange dialog appears. Choose the desired style from the drop-down list
and click OK (“Standard” is a good initial choice if you’re not sure about style.)
7. Check out the arrangement Sibelius has made to see if it’s what you wanted, and
modify as necessary.
Example
In the following example, the piano, bass, and drum parts for the first two bars of Blue
Monk were given. Staves were then added for three saxophone parts and three brass parts.
From among the many jazz styles provided by Sibelius, the jazz quintet style was selected
in the Arrange dialog. The result is shown here. Note that Arrange “decided” to double
the lead line on the alto and trumpet and to give the lowest part to the bass trombone,
leaving the trombone part with nothing to do. The arranger could decide to delete the
trombone part, or copy the bass trombone part to the trombone, or cut the bass trombone
part and paste it into the trombone part. In addition, the piano part could be removed or
reduced to just chord symbols since the horns are now carrying both the melody and the
complete harmony.

89
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Trombone
Bass Trombone
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String Bass
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2

To Robert Dix Lincoln
Þ

Things should be made as simple as possible. But no simpler. Remark attributed to Albert Einstein Jazz theory is simple. It has to be. S.S.

3

Acknowledgments
Since the earliest days of my teaching career at UMass Lowell, I had thought about writing a book on jazz theory. I had developed a detailed set of notes for such a book, but the notes spent most of their time languishing in my file cabinet. Every now and then I would take them out and add or change a few things. But then, for lack of a compelling reason to begin writing, I would just put them away again. This project would probably never have come to completion had it not been for my boss, William Moylan (professor of Music and former Chairperson of the UMass Lowell Department of Music) and my 2003-2004 Jazz Lab ensemble students — especially Jaclyn Soep, Chad Gosselin, and M. Xavier (“Maxxx”) Lewis. Dr. Moylan welcomed me back into the Music Department after a 21-year stint in Computer Science. He assigned me to direct the Jazz Lab, which made it possible for me to work with young jazz musicians again. Jaclyn, Chad, and Maxxx encouraged me to create the jazz theory course for which this book was written. I was so impressed by their desire to gain a deeper understanding of jazz that I simply couldn't say no to their request to provide a course for them. The task of actually writing the book was made much easier and more enjoyable by my colleague, friend, and current boss, Paula Telesco, who served as both gadfly and cheerleader on this project. She read several drafts of this book, providing innumerable useful suggestions, pointing out errors and weaknesses in my presentation, and asking many thought-provoking questions. The book is far better than it would have been without her assistance. I learned jazz by playing with some talented musicians in high school and college. During those years, I was fortunate to fall in with two different groups of musicians who were willing to jam for hours simply for the enjoyment of playing and learning. In the first group were Bill Campbell, Lynn Eberhart, Bill Sprague, Vic Weinrich, and Bernie Yaged. In the second were Joe Goodman, Pete Plonsky, and Bob Shechtman. I've often wished we could all get together for a reunion jam session, but we've long since gone our separate ways and, sadly, members of both groups have already passed on. Finally, I have to thank my late, multi-talented mother, Marge Smith. For many years, Mom was the rehearsal pianist at a ballet/tap/jazz dance school and had to produce piano arrangements of all kinds of music on short notice. She introduced me to pop chord notation and showed me how she developed piano accompaniments to popular songs from the chord symbols in sheet music. This experience sparked my interest in jazz harmony, which ultimately led to the writing of this book.

4

Most of the real “theory” in jazz theory is covered in Chapter VIII. even so.5 Preface Why write a book like this? It’s unlikely to be to the taste of many music students. Because the development of jazz was concurrent with the development of recording technology. it still only suggests the actual complexity of the most advanced jazz harmony. to which jazz has made numerous contributions. who are typically the resident music theorists of the groups they play with. most of whom find music theory — of both the traditional and the jazz varieties — boring and irrelevant. and many people — young and old — want to be able to play in various styles they have heard. Much of it isn’t very good. a lot of such material is available. . In fact. and free jazz. There is a need for instructional materials to help these aspiring jazz musicians to learn how to play jazz. Chapters I-VII are pretty down-to-earth and pragmatic. All three contain idiosyncratic and controversial elements that students must assess and work out for themselves. has never gone out of style with amateur groups. Exceptions to this glum observation might be jazz pianists. we are able to listen to outstanding performances of all the great jazz artists almost all the way back to the origins of jazz. for example. These topics are not as amenable to theoretical treatment as the earlier material in the book. Jamming is of course the best learning tool for jazz. Big band music. This book was written with a very specific audience in mind: college-level music majors who have completed a standard two-year music theory sequence. Recordings have in effect kept all of jazz available. Along with “The Great American Songbook”. These students have acquired a vocabulary and an array of concepts that permit them to approach jazz at a higher level and to accomplish more in a shorter time than would otherwise be possible. but there are some outstanding exceptions (which are mentioned at appropriate points in this book). the jazz tradition has bequeathed us an enormous quantity and variety of original music. Be that as it may. With this group of students there is also the possibility of immediately putting into practice anything they learn in class: students can form ensembles and play the music. Chapters IX and X touch briefly on chord scale theory. and young musicians for decades have considered it a point of pride to be able to play lightning fast bebop tunes from the late 1940s and early 1950s. Some of this material is fairly heavy going. modal jazz. and budding composers and arrangers (who are also very likely pianists of at least modest accomplishment). but. the goal here is to give students some insight into a great musical tradition that appears now to be passing into history.

6 .

........................................................................................................ The Harmonic Vocabulary of Jazz................................................................... 15 Notational Conventions .................................................................................................................................................... 12 The Role of Song Forms in Jazz.................................................................... 11 AABA ..................................................... 30 “Rhythm” Changes ..................................................................................................................................................................................................................................... 46 Scoring for Small Jazz Ensembles............................................................................................................................................................................................................................................................................................... 12 Through-Composed ............ 43 Voice Leading with Rootless Chords .............................................................................................................................................................................................................................................................................................................................................................................................................. Chord Voicings..................... Standard Chord Progressions: Blues and “Rhythm”............. 18 An Iinterlude on Shorthand and Anomalous Notations............................................. 22 III.................................. 10 Form................................. 43 Parallel Voice Leading Styles........................................................................................................................... Voice Leading ................ 46 Locked-Hands ............................................ 42 Circle of Fifths Root Motion................................................................................. 38 VII.................................................................................................7 Table of Contents Acknowledgments...................................................................................................... 21 Implied Countermelodies................................................. 25 IV.................................. 36 Close Position .......................................................................... 27 V...... 37 “Axis” .................................................................................. 41 Standard Voice Leading Techniques ................................................................................................................................................................................................................................................................................................................................................................................................................ 15 Notation ................................................................................................................................................................................... 15 Basic Chord Types.............. 47 ........................... 9 Jazz Rhythmic Interpretation ............................................................................................................................................................................................................. 5 I......................................................... 35 Chord Voicing Styles.............................. 37 “Rootless” Chords.......................................................... 35 Solo Keyboard Voicing .......................... 15 Standard Chord Notation .......................................................................................................................... 19 Tensions ........ 19 Suspensions............................................................................... 36 “Shells” ........................................................................... 29 A Jazz Approach to Blues.................................................................................................................... 13 II............ 32 VI.. 9 Rhythmic Structure . 42 Root Motion by Second .................................................................................................................................. 44 The Basic Close Position Style .................................... Jazz Melody .......................................................................................................................... The Structure of Jazz ................. 12 Ternary................................... 29 Traditional/Rock Approach to Blues .................... 21 Roman Numeral Chord Notation.................................................................................................................... Developing a Bass Line ........................................................................................... 11 ABAC ...... 43 Root Motion by Third ............. 45 The Widened Line: Drop 2 and Drop 3 .................. 3 Preface..............................................................................................................................................

.................................................................................................................................................................... 88 ............ 63 The Half-Diminished Seventh Chord .................................................................................................................................................................................................................................................................. 75 Chords With Alterations And/Or Tensions: ...................................... 58 Tritone Substitution: ëIIÏ Substituted for VÏ ................................... 70 Upper Structure Triads................................................................................................................... 62 The Diminished Seventh as an “Incomplete” Dominant ................. 61 The Diminished Seventh as a Connecting Chord .............................. 59 Voice Leading Chords ... 57 Non-Tonic Beginnings............................................................................................................... 65 Borrowed Chords (Modal Interchange)....................................................................... 58 Turnarounds ..................................................................................................... 68 Direct Modulation................................................................................................................................................................ 81 Free Jazz ..................................................................................................................... 70 Polychords and Polytonality .................. 82 Appendix A: Jazz Chord Dictionary................................................................................................. 51 Theory of Chord Progressions ................ 73 A Simplified Approach To Chord-Scale Theory............................................................... 51 Root Motion .......................... 61 The Diminished-Seventh Chord ......................................................... 52 Strong/Weak Alternation of Chords .................................................. 87 Sibelius Basics ...................................................................................................................................................................... 51 The Diatonic (In-Key) Circle of Fifths ....................................................................... 68 Miscellaneous Harmonic Techniques............................. 76 Interlude On The Minor Mode........................................... 66 Modulation.............................................................................................. 81 Tonal Systems In Rock ......................................................... 64 Secondary Functions and Tonicization........................and Half-Diminished Seventh Chords................................................................... 69 Tonic-by-Assertion .....................8 Instrument Ranges ......................... 53 Tensions and Chord Function ...................................................... 83 Appendix B: Rootless Chord Dictionary ................................................................................... 77 “Outside” Playing .......................................................................................................... 73 The “Diminished” Scale .......................................................................................................................................................................... 59 The Diminished................................................................................................................ 51 The Chromatic Circle of Fifths .................................................................................................................................................................................................................................................................................................................... 67 Pivot Chord Modulation .............................................................................................................................................................. 67 Common Tone Modulation....... 78 Treatment Of “Non-Chord” Tones ........................................................................ 81 Modal Jazz .............................. Other Systems ............................................................... 69 Pedal Point ........................ 47 Instrumental Combinations. 49 VIII........................................................................ 71 IX............................................................................................................................ 79 X................................................................... Chord-Scale Theory...................................................................................................................................................... 63 The Half-Diminished Seventh as a Connecting Chord........................................ 85 Appendix C: Using Sibelius® .......................... 64 The Half-Diminished Seventh as an Incomplete Dominant Ninth ...................................................... Functional Harmony in Jazz .....................................

harmonic. The rhythmic. But. ____ in Pri .e. Adorno was critical of the rigid treatment of melody. 1 Igor Stravinsky remarked on the absence of “true rhythm” in jazz in his Poetics of Music. several sections of this book will be devoted to various aspects of jazz harmony. for example. The melody often moves twice as fast (i. and T. and formal components together confine jazz to a fairly narrow range of musical possibilities. rhythm. which is generally the quarter note. duo. the so-called “harmonic rhythm”.g. These layers have more or less fixed rhythmic relationships. The Structure of Jazz Much of what happens in jazz is strongly influenced by the rather rigid structure of the genre. trio.. The structure of jazz has three principal components: rhythmic. in half notes). etc. A solo pianist. a big band offers many ways to provide the three layers. far from being an obstacle. the bass part coincides with the beat. Chords. or by any combination of the available brass and/or reed instruments. The formal component is based largely on popular song forms. however.I – The Structure of Jazz 9 I. Accordingly. these chord progressions — and the individual chords themselves — are subject to a great deal of variation and elaboration. By contrast. the structure provides a set of agreed-upon “rules of the game” that allow musicians to come together and play jazz with little more advance communication than is required to pick a tune and the key to play it in. chords. The harmonic component is governed by a relatively small number of types of chord progressions. combo. which follow a few small. Understanding this structure is essential to playing jazz well. in eighth notes). jazz has three layers: melody. and harmonic. Jazz has been criticized for these limitations1. is sometimes halved or doubled — changed to whole notes or quarter notes — within a piece. Rhythmic Structure Rhythmically. must either provide all three layers with two hands or else omit one layer. The rate at which chords change. e. highly predictable patterns. The rhythmic component dictates fixed rhythmic relationships among the participating instruments. while the chords typically change at half the rate of the bass (i.W. can be played by just the pianist or the guitarist. big band... but it is this very confinement that allows several musicians to collaborate successfully in the production of mostly improvised performances.e. Rhythm and form will be treated in this section. and harmony in jazz (see. and bass. In the typical case. Layer Typical Note Value Melody Bass Line Chord Changes £ or ¢ ¤ ¥ or ¦ The realization of the three-layer structure is dependent on the available instrumental resources — solo piano. formal. which accounts for much of the real complexity encountered in jazz. for example.

to see how percussion is actually employed. even individual groups or artists. In Latin-oriented groups. or eighth-note. In a big band. This rhythm is not notated in jazz lead sheets. It is learned by listening to more experienced musicians and then attempting to capture the same feel in one’s own playing.  . This interpretation is focused on the treatment of eighth notes. percussion plays a foreground role that is essential to the character of the music. layer. often multiple percussionists are needed to realize the full rhythmic complexity of this music. the eighth-note triplet might be slightly accented: Ride cymbal Drum Kit    Piano          3      3 3         3   3       3             3  3     3     String Bass      This treatment of eighth notes is one of the key elements that give jazz its characteristic “swing. Jazz Rhythmic Interpretation The unique rhythmic character of jazz is generated mainly in the melodic.” Swing cannot be notated exactly. Depending on the performer. In the traditional piano trio. the drummer is essential both as a basic timekeeper and as the provider of much of the rhythmic “punch” of arrangements through hits. and parts but must rather be supplied as an interpretation by the performer. and solo passages. The following example would not sound like jazz if played literally as written at tempos from roughly ¤ = 60 to medium “up” jazz tempos: Drum Kit    Ride cymbal Piano                                         String Bass        Instead. Whenever eighth notes occur in the bass or chord layers. the ride cymbal or brushes are used primarily to blend and unify the sound of the piano and bass and to maintain continuity of sound. scores. the same rhythmic interpretation used in the melodic layer applies. As the tempo is increased into the fast bebop range. at tempos in this range.10 Jazz Theory What is the function of percussion in the three-layer structure? To answer this question it is necessary to look at each style. fills. the usual interpretation of the eighth notes increasingly approaches the straight eighth notes of the first example above. this passage would be played something like the following.

More elaborate versions of the jazz version of the theme and variations form may include an introduction. playing behind the beat. In the jazz version of theme and variations.2 This example would instead be played with the eighth-note triplet feel of the preceding example. The second ending often modulates to the key of the B section. however. which jazz musicians generally call “ballads. . The form of the theme itself is generally one of a small number of stock patterns that are found in all types of popular music.I – The Structure of Jazz Jazz is occasionally notated like this: Drum Kit 11    Ride cymbal Piano                                     String Bass             It would almost never be correct to play this as written.   Form Jazz inherited much of its formal structure from earlier music. each soloist will take his or her turn playing one or more choruses. The first ending generally contains a “turnaround. The dotted eighth/sixteenth rhythm is considered “square” by jazz musicians.. AABA By far the most common song form is the 32-bar “AABA” form. With slower pieces. The techniques used include rubato and other alterations of the given note values. and either a short “tag” or an extended coda section. often a pop standard or a familiar jazz tune. several soloists may share one or more improvised choruses by “trading fours” or “trading eights.” In this case.e.or 8-bar segments of the form. These are covered next. there is 2 Ragtime is notated this way and should be played exactly as written. the soloists improvise in round-robin fashion on 4. a performance begins with the statement of a pre-composed melody. without a discernible beat or pulse). This constitutes the “theme” part of theme and variations. a form which goes back centuries in European music. The theme/head is then followed by an indefinite number of improvised variations on the theme. or “bridge. called “A” and “B.” a passage designed to lead back to the opening of the tune. In this form. there are two different eight-bar sections. Normally. one or more interludes. which jazz musicians call the “head”. and playing out-of-time (i. These improvised “choruses” generally follow the structure and harmony of the original theme quite closely. The typical jazz performance is a type of theme and variations.” The A section is played twice and typically has first and second endings.” the notated rhythm is interpreted quite freely. It is traditional to finish off a performance with a restatement of all or part of the original head tune.” At the end of the bridge.

and You Do Something to Me. but the A section is not repeated before the B section. As with AABA tunes. they consist of one big section that runs from beginning to end. which are often identical except for their respective endings.” That is. a much smaller number of tunes uses the ABA. Ternary Finally. I’ll Remember April is one of the best-known popular standards in ternary form. . this form has two different sections. As In a Morning Sunrise Someone to Watch Over Me What’s New? You AreToo Beautiful You Took Advantage of Me ABAC Another common song form could be called “ABAC. Here is a list of some popular standards that have the AABA structure: Ain’t She Sweet Am I Blue Anything Goes As Time Goes By The Birth of the Blues Body and Soul I Cover the Waterfront I Got Rhythm I May Be Wrong It’s Only a Paper Moon Jeepers Creepers Lullaby of Birdland The Man I Love Misty Oh. This form does not preclude a certain amount of thematic repetition. Here is a list of some popular standards that have the ABAC form: But Not for Me Dancing in the Dark Days of Wine and Roses Do It Again Dream Embraceable You Fine and Dandy Fools Rush In I Can’t Give You Anything But Love I Know that You Know I Thought About You I’ve Got a Crush on You Sometimes I’m Happy Time After Time When Your Lover Has Gone Through-Composed A small number of songs is “through-composed.” form that is common in European art songs. Stella by Starlight.12 Jazz Theory generally a modulation back to the key of the A section. although the melody may still be organized as four 8-bar units (yielding an “ABCD” form). or “ternary. Lady Be Good ‘Round Midnight Satin Doll September in the Rain Skylark Softly. Three well-known through-composed songs are Avalon.” This form has four 8-bar sections grouped into two 16-bar units.

s. b. f. among other things. i.). m. d. Indicate the major sections with the usual letter notation (A. the harmonic innovators of the jazz tradition — Art Tatum. As a result. usually 32. j. v. the amount of harmonic exploration that can be accomplished within the scope of these forms. Come Back to Me Night and Day Please Don’t Talk About Me When I’m Gone S’Wonderful Somebody Loves Me Someone to Watch Over Me Soon Thou Swell A Time for Love What is This Thing Called Love What’s New? You Go to My Head . and lowest notes. Longer. Thelonious Monk. They simply are not long enough to allow the construction of pieces having sections in several different keys. and indicate any significant thematic ideas and motives. c. Bill Evans. o. musical ideas that can be realized in a relatively short space. among others — have focused their harmonic imagination on the development of novel chord progressions and distinctive chord voicings and sonorities. t. w. Also comment on whether each tune exactly follows one of the formal patterns described above or deviates in some way (explain how it deviates). x. z. Indicate the starting. Exercises 1. C. e. more complex forms would require special skills to navigate. B. k. g. l. Analyze the forms of several of the following tunes. r. Love for Sale Lover. making collective improvisation more difficult. q. On which note does the emotional high-point of the lyrics occur? a. h. etc. y. This is what makes these forms so useful for jazz. highest.I – The Structure of Jazz 13 The Role of Song Forms in Jazz All of the standard song forms are complete and self-contained within a small number of measures. Duke Ellington. and John Coltrane. There is only a small number of such forms to remember. p. and each form is simple enough that players can easily keep the entire structure in mind while improvising. The restrictions imposed by the standard song forms severely limit. u. Alone Together Angel Eyes April in Paris Autumn in New York Caravan Crazy Rhythm Day by Day Fascinating Rhythm How Long Has This Been Going On? I Get a Kick Out of You I Only Have Eyes for You Just One of Those Things Liza n.

14 Jazz Theory .

fifth. the actual deployment of the chord tones. the following font will be used: ^ ^ ^ ^ ^ ^ ^ 1 2 3 4 5 6 7 Degrees of the minor scale will be indicated with the appropriate accidentals. sometimes by the scale degree they occupy. For example:       C     C     C     C . a chord symbol gives the letter name of the root of each desired chord.II – The Harmonic Vocabulary of Jazz 15 II. that is.) A single-letter chord symbol denotes a major chord. sixth or seventh. as well as any further information needed to indicate the correct pitches for the third. For example. and “tensions. The grammatical rules for each component of a chord symbol are as follows: • Root. the “natural” form of the minor scale (or Aeolian mode) would be indicated as ^ ^ ^ ^ ^ ^ ^ 1 2 ë3 4 5 ë6 ë7 Standard Chord Notation In the standard system for the notation of chords. all E’s — no matter which octave they are in — are in the same pitch class. individual chord tones are sometimes referred to by the interval they make with the root of the chord. Voicing is left to the performer. The Harmonic Vocabulary of Jazz Notation Virtually all forms of popular music use a common system for the notation of chords. When the text refers to intervals above the root. To distinguish between these two usages. this book uses two different fonts. the following font will be used: 1234567 When the text refers to degrees of the major scale. composer. Chord symbols follow this general sequence of components: Root [Third] [Sixth or Seventh] [“Tensions”] [/ Bass note] The bracketed components are optional.” Chord symbol notation does not specify the “voicing” of chords. The other elements of a chord symbol are incorporated as necessary to make clear what harmony is intended. The root of each chord is specified by a capital letter denoting the pitch class of the root (a “pitch class” is all the notes that have the same name. Only the root is required. but it is as good as it needs to be for its purpose. or arranger. This system is not entirely consistent. Notational Conventions In the description of the structure of a chord. For example.

almost every chord contains one or more tensions and/or one of the alterations described below. third. • Alterations. The chord symbol CÏÓÑÓÉË.16 Jazz Theory • Third. this component is omitted.     • C6     C7 Cmaj7         Cº7 Tensions. Certain alterations of basic chord types are common. they are generally given in a list following the sixth or seventh. In current jazz practice. For example:  Am Am      •     Am     Am     Sixth or Seventh. CÏ denotes the dominant seventh built on C. In jazz harmony. If a chord is to have tensions. The seventh is the minor seventh unless the major seventh or diminished seventh is explicitly specified. chord tones beyond the sixth or seventh are called “tensions” (this term. calls for a C dominant seventh chord with the flatted ninth (DÓ) and flatted thirteenth (AÓ) added:    C7b9b13     Ninths and thirteenths are assumed to be major unless otherwise indicated. for example. elevenths. The diminished seventh is indicated either as „Ï or dimÏ. Elevenths are assumed to be perfect unless otherwise indicated. If the third of a chord is major.. and thirteenths. for example. the chord symbol must contain either “m” or “-”. thus. fifth. while CmajÏ or CúÏ denotes the major seventh chord built on C. Jazz chords almost always have a sixth or seventh above the root (i. the basic jazz chord consists of four different notes: root. and sixth or seventh). The sixth is always the major sixth. is somewhat misleading). although common. If the third is minor.e. The major seventh is indicated either as majÏ or úÏ. These alterations are most often applied to the fifths of dominant sevenths to give these chords a bit of added interest. The alterations are: +5 raises the fifth of a chord based on a major triad:       G7+5 . The basic four-note chords can be extended upwards to include ninths.

(See the Implied Countermelodies section below for more details on this practice. For example. the actual lowest tone played may turn out to be any of the four in the basic chord or. the lowest tone of a chord is assumed to be the root. . The third of a chord is assumed to be major unless an explicit indication of minor is given. for example. the desired pitch is appended to the chord symbol preceded by a slash. the seventh of a chord is assumed to be minor unless an explicit indication of major or diminished is given. however. “m” and “-” (for “minor”) refer only to the third of a chord. CÏ/E specifies the first inversion of the C dominant seventh chord:       C7/E The use of these so-called “slash” chords is often an indication that the composer or arranger has a specific bass line in mind. and “maj” and “ú” (for “major”) refer only to the seventh of a chord. even a tension. In standard chord notation. occasionally. calls for the C dominant seventh chord with flatted ninth (DÓ) and flatted fifth (GÓ) added:              • C7b9b5 CÏ…Í calls for the C dominant seventh chord with augmented fifth: C7+5 Bass note.) NB: In jazz chord notation. The fifth of a chord is assumed to be perfect unless an alteration is specified. depending on the artist or the style. When a composer or arranger wants to guarantee that some specific tone will be the lowest. The performer should therefore study the chord symbols carefully to see if such a line is implied. The chord symbol CÏÓÑÓÍ.II – The Harmonic Vocabulary of Jazz ë5 lowers the fifth of a chord based on a major or minor triad: 17       G7b5 Alterations are indicated in the list following the sixth or seventh.

A replaces the Bê which would be the correct spelling of this note. • Half-diminished seventh         These seven chord types are sufficient to account for all of the distinct harmonic functions found in jazz. In the chord on the right above. As in traditional harmony. for example. jazz chords are built up in thirds from a root pitch. and enharmonic spellings abound.18 Jazz Theory Basic Chord Types The harmonic vocabulary of jazz consists of seven basic types of chords together with some “tension” notes and alterations. however. but they are common in current pop music. It is rare to find a double sharp or double flat when these would be the correct accidentals.      CØ7 .) The seven basic chord types are the following: • Major seventh •       Cmaj7 Sixth • Minor sixth    C6 •     Minor seventh Cm6 •           Cm7 Dominant seventh C7 • Diminished seventh Cº7 The use of accidentals is often haphazard in jazz. in jazz each basic chord consists of four different tones (bare major and minor chords are used sparingly in jazz.

for example. see Appendix A: Jazz Chord Dictionary. lowered) fifth. CÑ denotes a CÏ chord with added major ninth. The dominant seventh chord with augmented fifth is sometimes indicated as. This notation puts the alteration of the fifth. For a complete list of all of the basic jazz chords. denotes the chord C EÓ GÓ BÓ. • • • Tensions Here are the tensions generally used with the basic chord types (the tensions are indicated by stemless quarter note heads above the basic chord. +. For example. On the other hand. This usage does not follow the rules given above.II – The Harmonic Vocabulary of Jazz Here are the basic diatonic jazz chords in C major: 19     C6 Cmaj7         Dm7 Em7     F6        Fmaj7     G7 Am7     BØ7     The list of basic diatonic chords in C minor is considerably longer because of the possibility of using either the natural or raised sixth and seventh scale degrees in minor:                F7 Cm6 Cm7     Cmmaj7     DØ7     Eb6        AØ7 Ebmaj7     Fm6        Bº7 Fm7     Gm7         G7    Ab6 Abmaj7     Bb7     BØ7     Note that EëmajÏ…Í is not included in this list even though it is diatonic. CmajÑ denotes a CmajÏ chord with added major ninth. both denote the chord C EÓ GÓ BÒ. mÏÓÍ suggests that the designated chord has an altered (i. This usage does not follow the rules given above. This is often not the case since the half-diminished seventh chord is diatonic in both the major mode (as VII) and minor mode (as II). The half-diminished seventh chord is often indicated with the ƒ symbol. This is apparently the reason that the mÏÓÍ notation for the halfdiminished seventh chord has become standard: this notation follows the rules. C„Ï and CdimÏ. The reason is that in jazz harmony as presented here. This notation is common and musicians are not confused by it. any chord containing an augmented fifth is considered to be an altered chord rather than a basic chord. for example. before the Ï instead of after. which is given in whole notes): .e. CƒÏ. but it is standard practice. CmÑ denotes a CmÏ chord with added major ninth. CÉË denotes a CÏ chord with added major thirteenth. The diminished seventh chord is indicated with the „ symbol or dim. for example. C+Ï. An Interlude on Shorthand and Anomalous Notations Several shorthand and anomalous chord notations are in common use: • Sometimes a shorthand notation is used for chords with tensions..

or arranger might deliberately use such a combination.. or thirteenths). no ninths. augmented eleventh. major thirteenth • Dominant seventh: minor. augmented eleventh. Many composers and arrangers provide chord symbols that indicate only the basic chords (i. This physical arrangement should not be taken to imply that the tensions should be played one after the other in the order shown as a sort of melody. These tensions can be combined and voiced in many different ways to produce a wide variety of colors. you probably have very specific sonorities in mind. augmented eleventh  • •               Minor sixth: major ninth. • Some general words of advice about tensions: When they are desired.20 Jazz Theory • Major seventh: major ninth. performer. They include specific tensions in a chord symbol only when they occur in the main . major thirteenth         • Sixth: major ninth. the performer may not be able to infer from the chord symbols exactly the sound you want. anticipating that pianists and guitarists will add their own favorite tensions. elevenths. Diminished seventh and half-diminished seventh chords: these chords ordinarily take no tensions (as explained below. ninths. elevenths. Because of the inherent vagueness of chord notation.            The tensions here are strung out on the staff in melody-like fashion simply because there are too many of them to stack up vertically as in the other examples in this section. and thirteenths should always be indicated in a chord symbol. minor or major thirteenth. such as the minor and major ninth. or augmented ninth. they are sometimes used as “incomplete” dominant ninths). however. The only combinations to be avoided are those that would put together two tensions separated by a half-step. In such cases it’s better to simply write out the specific chords you want. If you find yourself writing lots of tensions into the chord symbols. perfect eleventh. perfect eleventh      Minor seventh: major ninth.e. to achieve a particular effect a composer. major.

or withholds. however.. When quartal harmony is in force. This decision is left up to the performer. Standard chord symbol notation is not well suited to the representation of quartal harmony. With slash . It should be noted that the extensive use of sus 4 chords found in the playing of some recent pianists implies a harmonic system based on chords built in fourths rather than thirds. For example. If the countermelody is in the top or inner voice. fourth-based) harmony. There are two distinct ways to do this. Suspensions sus or sus 4 suspends.II – The Harmonic Vocabulary of Jazz 21 melody or another prominent part. see the opening bars of My Funny Valentine. could be rearranged to form the chord D G C F. the jazz artist may choose to provide such a resolution to achieve a particular musical effect. Implied Countermelodies It is a common practice in jazz to write simple countermelodies into the chord notation. The tones of the GÏsus4 above. a “quartal” (i. a different notational technique must be employed: the so-called “slash” chord notation mentioned above. the melody C-B-BÓ-A over a C-minor chord can be written into the chords symbols as Cm CmmajÏ CmÏ CmÎ:       Cm Cmmaj7      Cm7 Cm6  The chord symbols do not say whether the top or inner part is to play the implied countermelody. When the countermelody is the bass line. 2. for example. the composer or arranger should probably write out the exact sonorities he or she wants rather than using the sus notation and hoping the performers will guess the desired sounds. depending on whether the countermelody is a bass line or an upper line: 1. it can be written as the numeric parts of a sequence of chord symbols. For an example of this technique. the sus tone is treated in jazz as a chord tone. the third of a chord and inserts a fourth above the root: G7sus4      Although the suspension originated as a melodic device. Many of the musical examples in this book follow this practice. It has no obligation to resolve downward by step. but to alert them when a particular tension is present in another instrument’s part in order to avoid clashes. The purpose of this practice is to allow pianists and guitarists latitude in creating their accompaniments.e.

he or she should write it out in full.” When the composer or arranger has in mind a countermelody that has its own independent rhythm and contour. several authors refer to such melodies as “line clichés. bass note) are indicated exactly as with standard jazz chord notation. The chords on the scale degrees in the minor mode are indicated as I II ëIII IV V ëVI or VI ëVII or VII. the bass line C-B-BÓ-A under a C-minor chord would be written as Cm Cm/B Cm/BÓ Cm/A:       Cm Cm/B      Cm/Bb Cm/A  For an example of this technique. are the diatonic jazz chords in C minor with their Roman numeral designations:        Im6 IV7         Vm7     Im7         V7 Immaj7        IIØ7     bVI6 bVImaj7     bIII6        bIIImaj7     VIØ7 bVII7     IVm6        IVm7     VIIº7 VIIØ7     The jazz Roman numeral notation treats the third. Roman Numeral Chord Notation When it is desired to describe chords or chord progressions in general terms — without reference to a specific key — it is standard practice to use a form of Roman numeral notation similar to that used in connection with traditional harmony. sixth. and seventh degrees of the natural minor scale as lowered versions of these scale degrees in the major. For example. tensions and alterations. For this reason. The resulting melodies are necessarily very simple and predictable. the letter name of each note of the countermelody is written after a slash (“/”) in the chord symbol.22 Jazz Theory chords. Here. and the other attributes of the chord (third. In the major mode. a Roman numeral in the range I to VII identifies the scale degree on which a chord is built. for example. for example. sixth or seventh. Both of these techniques have an obvious limitation: the rhythm of the countermelody is tied to the harmonic rhythm indicated (sometimes ambiguously) by the chord symbols. see the opening bars of Like Someone in Love. Here. . but this time with their Roman numeral designations:     I6 Imaj7     IIm7     IIIm7     IV6    IVmaj7                 V7 VIm7 VIIØ7 Chords belonging to the minor mode are treated as modifications of the major mode in jazz Roman numeral notation. are the diatonic jazz chords in C major.

AÓmÏ. Notate the following chords: FÏ…Í. BÓÏÓÑÓÉË. Give the standard chord symbol that specifies each chord. BÓ„Ï. EÓÏ. GmajÑ…ÉÉ.II – The Harmonic Vocabulary of Jazz 23 Exercises 1. or Memories of You (note: some of these are tricky and require attentive listening). Notate the following chords: CÑ. 4. But Beautiful. Write the diatonic ninth chords in G major (There are only five of them. The Birth of the Blues. FÕÏ. FƒÏ. EmajÏ. E…Ï. 2. Why?). It Could Happen to You. FÕÏÓÍ. AÏÕÑ. Someone to Watch Over Me. 3. . DÓÏÓÍ. AÏsusÌ. DmÏÓÍ. Body and Soul. EÉË. GmÑ. DÏÓÑ. Find the implied countermelodies in Liza. DmajÑ. Notate the following chords: AmÎ. 5. The Man I Love. Write out the countermelody and describe how it is indicated in the score.

24

Jazz Theory

III – Jazz Melody

25

III. Jazz Melody
Unlike harmony and counterpoint, which are grounded in principles that can be taught to almost any musician, melody remains a largely personal art. Some people have a gift for it, others don’t. Fortunately, jazz has a simple technique for creating melodies that is quite often successful: riffing. A riff is a short melodic fragment — typically two bars in length — that is repeated as many times as necessary to fill out an 8-, 12-, or 16-bar section of a tune. Riffing is used both by soloists during improvisation and by composers when they are writing new compositions. Riffing has been a basic technique throughout most of the history of jazz, but it played an especially prominent role in the big band music of the 1930s and 40s. Many of the hits of this period were simple tunes based on one or more riffs. The musical examples in this section are all drawn from this time. These tunes are still played today by high school, college, and amateur big bands, evidence of the enduring interest and utility of the riffing technique. In the simplest type of riffing, the riff is repeated note-for-note. Count Basie’s 1938 hit Jumpin’ at the Woodside employs a two-bar riff that is repeated four times in the A section of the tune. This example shows the first two repetitions of the riff together with its accompanying brass figure in the lower staff:

               

    

                                  

A slightly more sophisticated riffing technique repeats the riff note-for-note except for the last statement of the riff, which is often a modified version of the riff. Sy Oliver’s Opus One (1943), written for the Tommy Dorsey orchestra and also recorded by the Mills Brothers, repeats a two-bar riff three times, followed by a two-bar unit based on a truncated version of the riff. This example shows just the first two repetitions of the riff, which itself contains two slightly different versions of a simple figure:
G6 C7                        

Flying Home (1940) by Benny Goodman and Lionel Hampton repeats the following riff note-for-note three times and then concludes the section with a different melodic idea. Notice that the chord symbols imply a scalewise descending bass line:

          

Ab

Ab7/Gb Fm

     

E9

Eb7



26

Jazz Theory

Many of Glenn Miller’s hits were simple, riff-based tunes in which the riff is modified on each repetition just enough to fit the prevailing harmony. Miller’s In the Mood (1939), for example, uses this arpeggiated riff on a very simple G blues chord progression:

  

          

Duke Ellington made frequent use of riff-like melodic ideas in his compositions. In a Mellow Tone (1940), Don’t Get Around Much Anymore (1942), and Do Nothing ‘Til You Hear From Me (1943) — three of Ellington’s perennially popular favorites — combine literal repetitions of a riff, modified versions of the riff, and additional melodic ideas not based on the riff. A riff can be used as the foreground melody of a composition or as a background behind a composed or improvised melody. Both uses often occur within the same composition. In any case, riffs do not occur in a vacuum. At a minimum, they are played against the background provided by a rhythm section. A great rhythm section like Count Basie’s could transform a simple riff like the one used in Jumpin’ at the Woodside into a powerful musical statement. Exercises 1. Write three different two-bar riffs. Try to make the rhythmic pattern of each one different, and have at least one riff begin on a pickup. 2. Write the A section of your own riff-based AABA tune over chord changes provided by the instructor. Present your tune in lead sheet form: melody on the treble staff, with each chord symbol placed immediately above the first note the chord is to accompany. Use first and second endings for the AA part of the form. 3. Write the B section, or “bridge”, of your riff-based tune. The bridge should use a different riff from the A section. Again, present your tune in lead sheet form: melody on the treble staff, with each chord symbol placed immediately above the first note the chord is to accompany.

IV – Developing a Bass Line

27

IV. Developing a Bass Line
With the exception of solo jazz pianists and the occasional jazz duo (e.g., two guitars, guitar and a horn, etc.), most jazz groups have a bass player. Jazz bass players usually create their own bass lines from the information provided by chord symbols; however, it is important for any jazz musician who wants a complete understanding of jazz harmony to be able to write appropriate bass lines. Ideally, a jazz bass line will be a true melody, perhaps simpler than the lead part, but a melody nonetheless. As with melody in general, writing a good bass line is an art; however, one can make a good start toward the development of a successful bass line by following a few simple guidelines. Assuming a half-note harmonic rhythm, use the following procedure: 1. Place the roots of the indicated chords on beats 1 and 3 to create the skeleton of the bass line. As far as possible, select the root notes so that the interval between them is minimized (e.g., choose a fourth up rather than a fifth down, a third down rather than a sixth up, etc.).

   

F6

Dm7

Gm7

C7

Am7

Ab7

Gm7

Gb7

F6


Am7


Ab7


Gm7


Gb7

2. Fill in beats 2 and 4 according to the interval between the notes on beats 1 and 3:

                      
The different intervallic situations, and their solutions, are as follows: a. If the roots are separated by a third, put a diatonic passing tone between them. In measure 1 we insert E between F and D, and from measure 2 to measure 3, we insert BÓ between C and A. b. If the roots are separated by a fourth or fifth, fill out the interval with a tone drawn from the first chord. In measure 1 we insert F between D and the G in the following measure, and in measure 2 we insert D between G and C. c. If the roots are separated by a major or minor second, repeat the bass note as shown in measures 3 and 4. As can be seen in measure 4, an octave leap can be used instead of a repetition. This move is sometimes used reposition a bass line that is approaching either the lower or the upper extreme of the range of the instrument. d. If a chord is held for the entire duration of a measure, the bass line can be filled out with a scalewise line from the root of the chord down to the fifth. This is done under the FÎ chord in measure 5.

F6

Dm7

Gm7

C7

F6

or seventh of a chord. the scalewise line in measure 1 is continued downward through C (the 7th of the DmÏ chord) to the BÓ on the first beat of measure 2. Finally.28 Jazz Theory 3. Also prepare a guitar/piano part that includes chord symbols and “virgules” (bolded slashes) to indicate the rhythm. If possible. If possible. The bass part should include both chord symbols and a written-out bass line. fifth. the chords. have class members play the tune. . and your bass line. The bass part should include both chord symbols and a written-out bass line. and your bass line. Write a bass line for a tune selected by your instructor. This movement puts the root of the GmÏ chord on the second beat of measure 2. which is perfectly acceptable:                        This method is unlikely to produce a bass line with the fire and drive of one by a Ray Brown or a Charles Mingus. F6 Dm7 Gm7 C7 Am7 Ab7 Gm7 Gb7 F6 Exercises. but a competent bass player will be able to make the line swing and it will adequately support the harmony of a piece. 2. the chords. for example. or non-chord tones. Choose a tune from the lists in the Form section of Chapter I and write a bass part for it. Here. have class members play the tune. look for opportunities to smooth out the bass line through judicious use of the third. Also prepare a guitar/piano part that includes chord symbols and “virgules” (bolded slashes) to indicate the rhythm. 1.

C. but the actual chords used can range from basic triads to richly extended seventh chords connected in chromatic patterns. a strong influence in jazz. Within the jazz tradition. Here is a more modern version of the blues progression:                  F7 Fm7 Bb7 Em7 A7 Dm7 G7 Em7 Ebm7 Dm7 Db7          C7 F7 C7     Gm7     Gb7                  As can be seen. up or down. but rock groups have used it. Here is a list of well-known blues tunes that should be studied: All Blues Au Privave Bags’ Groove Ba-Lue Bolivar Ba-Lues Are Bessie’s Blues Bud’s Blues Blue Monk Blues for Alice Blue Trane C-Jam Blues Jumping with Symphony Sid Misterioso Mr. secondary dominants. however. Now’s the Time Opus de Funk Short Stop Stolen Moments Straight. These progressions generally exhibit root movement by fifth. P.V – Standard Chord Progressions: Blues and “Rhythm” 29 V. which had already become standardized by the 1920’s. a 12-bar form of the blues has become standard. Standard Chord Progressions: Blues and “Rhythm” A Jazz Approach to Blues The blues has been. there is considerable variety in the chord progressions used. Such simple harmony would be almost unthinkable in jazz. is the following:               F7 C               C F7 C C7 G7 F7               C          An even more basic (not to say primitive) form of the blues chord progression can be obtained simply removing all the sevenths from chords in this example and just using plain triads. and linear chords. which should all be familiar to students from the study of traditional harmony. this version uses “borrowed” chords. The traditional blues progression. No Chaser Tenor Madness West Coast Blues . and continues to be.

is to combine the traditional blues chord progression shown above with melodies based on the pentatonic scale. Here are two versions of the blues scale: ^ ^ ^ ^ ^ ^ ^ 1 ë3 ì3 ë5 ì5 6 ë7 For C blues. and rock musicians use these scales. this scale would be:           These scales correspond quite closely to actual blues practice. The special characteristics of the pentatonic 3 The pentatonic scale is used in all forms of American popular music and thus deserves a fuller treatment than can be given here. and it is also one of the cornerstones of the Orff-Kodaly method of music instruction. to understand how jazz. Also because of the absence of half steps. blues. which is often used in rock. . Thus. it is impossible to establish a Tonic by the usual harmonic or melodic means (e. it is impossible to create a strong dissonance with any combination of tones from the pentatonic scale — the notes all sound good together.g. this view of the pentatonic scale is somewhat misleading. Because of the absence of half-steps in this scale (and the resulting absence of the tritone between the fourth and seventh scale degrees). this scale would be:         ^ 2 Ó3 Ô3 4 Õ4 5 6 Ó7 ^ ^ ^ ^ ^ ^ ^ ^ 1 Again for C blues. Traditional/Rock Approach to Blues A traditional approach to blues. unlike the major and minor scales.3 The pentatonic scale could be thought of as a major scale minus the fourth and seventh degrees:       However. the VÏ-I cadence). the pentatonic scale does not have an unambiguous Tonic.30 Jazz Theory The so-called “blues scale” is often proposed as the basic melodic material for improvisation on blues chords. however. careful listening to a variety of blues performances is necessary. This has been discovered by countless generations of children “improvising” on the black keys of the family piano (which form a pentatonic scale)..

As an experiment with this approach to the blues. The use of the pentatonic scales guarantees that.                         Eb7 5           Ab7            Eb7                                                    Ab7 Eb7              9                                         Bb7 Ab7 Eb7  Exercises 1. Notice that the exact same pentatonic phrase is used over each 4-bar unit of the blues progression even though the harmony of each unit is different. .. The following is an example of the kind of results that can be obtained with a little practice.e. and with your right hand play arbitrary black notes or perhaps try to improvise a simple melody. For purposes of the blues. especially for beginners. the scale notated above (C D E G A) would be used for blues in A (i. try the following at the piano: with your left hand play the traditional blues chords in EÓ. 2. Write a bass line and piano/guitar part for the tune selected for exercise 1. Write your own blues melody over the chord changes of a tune selected from the list in the A jazz approach to the blues section above. C). there will be no harmony/melody clashes. the appropriate pentatonic scale pattern to use is ^ Ó3 4 5 Ó7 ^ ^ ^ ^ 1 Thus. for example.V – Standard Chord Progressions: Blues and “Rhythm” 31 scale make it an excellent vehicle for improvisation. from the standpoint of blues usage. There simply are no “wrong” notes. this scale begins on the “blue” third. Play the original tune and your melody with your bass and piano/guitar accompaniment.

4. al Coda G7 C7 F7                           Coda(Gershwin's)  Coda(jazz) Bb6/F F7 Bb6 Bb6/F F7/Eb DØ7 G7 C9 F7 Bb6                           Among the many well-known jazz tunes based more or less on the Rhythm changes are: Thelonious Monk: Rhythm-a-ning Sonny Rollins: Oleo Charlie Parker: Anthropology.32 Jazz Theory 3. Write bass and piano/guitar parts to accompany the melody.C. and then write bass and piano/guitar parts for it using the “traditional” blues chord progression.Bb6 Cm7 B7 Eb7 D7  Bb6/F F7                        D. the blues progression being the most used.Bb6 2. Moose the Mooche Bud Powell: Bud’s Bubble. Because the I Got Rhythm progression is so common. Write a blues melody consisting of three identical four-bar phrases. Wail Duke Ellington: Cottontail Dizzy Gillespie: Salt Peanuts Count Basie: Lester Leaps In . Play the entire composition “Rhythm” Changes The chord progression of Gershwin’s I Got Rhythm is the second most commonly used in jazz. Write a blues melody based on a two-measure riff using a blues scale. musicians often refer to it simply as the “Rhythm changes. Play the entire composition.” Here is the traditional version of the Rhythm changes: Bb6 Gm7 Cm7 F7 Dm7 Dbº Cm7 F7 Bb Bb6/D Eb CØ7                               1.

Write a bass line for the tune written for exercise 3 and play the entire composition. what (if anything) stays constant across all of the tunes? . 3. 2. 4. Use different riffs for the A and B sections. Compare the harmony of any of the Rhythm-based tunes above with the “standard” Rhythm changes and comment on any differences between the two. Write your own riff-based melody over the version of Rhythm changes in one of the other tunes in the list above. 5. If you compare all of the Rhythm-based tunes listed above with Gershwin’s original. Write your own riff-based melody over the Rhythm changes. Write a bass line for the tune written for exercise 1 and play the entire composition. Use different riffs for the A and B sections.V – Standard Chord Progressions: Blues and “Rhythm” 33 Exercises 1. 6.

34 Jazz Theory .

composer. As crude as these latter techniques may appear. a chord which would be terrifying in its impact if voiced for brass will be mildly tingling when played on the piano. fifth. William Russo observes that …the piano ‘absorbs’ sound very well — it minimizes dissonant structures. Consequently. Students of traditional harmony will recognize several of the guidelines as standard procedures for writing the typical textbook exercises in four-part harmonization. Solo Keyboard Voicing This section presents some guidelines for a reasonable approach to solo keyboard voicing. with appropriate modifications. These guidelines are fairly general and can therefore be extended. composer. the characteristic tones would be the third. The choice of approach is also affected by the aesthetic preferences of the performer. big band. finally. fifth. or arranger. they do not necessarily give poor musical results. In the excellent little book. etc. soli group. counterpoint. and seventh* Diminished seventh chords root. one caveat concerning piano voicing of chords should be noted here. It does not give a representation of the orchestra. The piano is inadequate as the sole criterion of orchestral writing. and seventh* Augmented seventh chords third. while musicians with less formal training are more likely to use automatic techniques based on the mechanical application of a few voicing rules. or arranger. And. the choice of approach is affected by the background and training of the performer. The choice of which approach to use is partly a matter of what kind of musical group is involved: solo keyboard. Musicians who have had training in traditional harmony. however.4 The general guidelines for keyboard voicing are: • • Include the root as the bottom note of the chord. fifth. and seventh * if the chord is functioning as a dominant. Composing for the Jazz Orchestra. . major or minor third and sixth sus 4 seventh chords fourth and seventh Half-diminished seventh chords root. seventh. into other musical contexts. vocal jazz ensemble. This fact can be turned around: much clear and clean wind instrument writing sounds weak when played on the piano. Composing for the Jazz Orchestra. There are many different approaches to chord voicing. piano trio. Include the characteristic tones of the chord: Characteristic Tones Chord Type Minor seventh and dominant seventh chords third and seventh Sixth chords. Chord Voicings “Voicing” refers to the way chord tones are deployed. Chicago: The University of Chicago Press. 4 William Russo. and orchestration are likely to use more sophisticated voicing techniques. and ninth above the root of the underlying dominant chord. 1961.VI – Chord Voicings 35 VI.

the sixth or seventh may be doubled. chord tones are grouped together so that they fit in an interval smaller than an octave. Guide tones are also important in writing for small ensembles. the root may be omitted in the upper group of notes and replaced with a tension. however. The bass note. If the part for each melody instrument makes intelligent use of guide tones. except that the lowest tone may be up to two octaves from the next lowest tone. is treated separately: if the bass note is the root of the chord. Close Position In close position voicing. The improviser may. however. which is generally the root of the chord. Don’t double tensions or altered notes. Keep all tensions above F on the fourth line of the bass staff. as can be seen in this example:           Am9 Ab9        Gm9 Gb13 Fmaj9            . Guide tones may be used as known points to guide the development of a melody. Every jazz musician should understand how chords in these styles are constructed and in what contexts they are most typically used.36 Jazz Theory • Observe the recommended range for characteristic tones:     • • • • Include an altered fifth (+5 or ë5) in the chord if it is indicated in a chord symbol. a few specific voicing styles occur over and over in jazz. a satisfying sense of harmony can be created with only one or two voices. but the unaltered fifth may be omitted. try to arrive at a guide tone on the first beat of each measure or wherever he or she places a dynamic accent. for example. The characteristic tones shown in the table above are sometimes called “guide tones” in the context of melodic improvisation. Chord Voicing Styles The voicing of chords in jazz is every bit as free as it is in classical music. Allow no more than an octave between adjacent chord tones.

composer. refers to the chordal accompaniment a jazz pianist plays behind an ensemble or soloist. the two lowest chord tones form the “shell” of each chord. other chord tones. The upper parts provide the remaining characteristic tone(s). a chord tone. just the outline of a chord. In an axis-3 chord. The following example shows 7 and 3 shells in the typical 7-3 alternation used in both solo playing and “comping”:6        shell: 7 Cmaj9 Fmaj7      B7b9 Em7     7      A7b9 Dm7 G7b9 Cmaj7      7      3      7      3 3 3 In this example there are three upper parts: the characteristic tone not included in the shell. that is.VI – Chord Voicings 37 “Shells”5 In the shell style. and the axis tone is always third or seventh of the chord. was one of the first serious attempts to present a complete and consistent theory of jazz. It typically consists mostly of block chords played to coincide rhythmically fairly closely with the harmonic rhythm implied by the written chord changes. and the upper parts are typically 3 The “shell” and “axis” terminology used here is due to John Mehegan. A shell consists of the root and either the third or seventh. the effects he or she is trying to achieve. and an either a tension or a doubled third. “Axis” Axis voicing is so named because a particular tone in the middle of a chord serves as an axis. and the available musical resources. or reference point. and the upper parts are typically 7 and 3 above the root: axis        Cmaj7 Dm7      Em7           Eb7 Dm7           Db7 Cmaj7      In an axis-7 chord. the seventh of the chord is the axis. 6 “Comping. and any desired tensions. The choice of the number and the pitches of the upper tones are determined by the performer. whose four-volume work. 5 . This type of voicing always has a fifth on the bottom (the root and fifth of the given chord). A common jazz piano style consists of shells in the left hand and a single-line melody in the right hand. Jazz Improvisation. around which the rest of the chord is built. the third of the chord is the axis. or arranger according to his or her taste.” undoubtedly a contraction of “accompanying”.

3 or 7. The additional notes will generally be tensions. “Rootless” Chords So-called “rootless” chords are often used by pianists in contexts where another instrument. the bottom tone of the chord is the third or seventh. The reason is that each chord can . is available to play the roots of the chords. Notice that two sets of chord symbols are given. the pianist need only select whichever axis tone. as illustrated in the two examples here. is more convenient. When playing in a rootless style. A rootless chord consists of the characteristic tones plus one or two others. the remaining chord tones (if any) can be deployed between the melody and the axis tone. From the point of view of the solo pianist. Since the left hand part is always a fifth. usually a bass. which accounts for its popularity with pianists of modest ability.38 Jazz Theory and 7 above the root: axis         Cmaj7 Dm7      Em7           Eb7 Dm7           Db7 Cmaj7      Axis chords are most frequently used in parallel motion. Here are the “standard” voicings of the rootless jazz chords: • Major seventh      • Cmaj9    Minor seventh Cm9          • Dominant seventh         F#7#9b13 F#9(13) C9(13) C7#9b13     C9(13) F#7#9b13     F#9(13) C7(#9b13) These are the four most commonly used rootless dominant seventh chords. and since the melody note is generally given. the purpose of the axis is to provide a known anchor point for the right hand thumb. Thus. Above this point. the mental workload imposed by this style during performance is relatively small. In all cases. jazz pianists will include these tensions whether or not they are indicated in the chord symbols. all in close position (in the sense that the entire chord fits within the space of one octave). Axis voicing also works well in orchestrations for big band or other jazz ensembles with multiple horns.

the bottom tone of a rootless chord should normally be within the following range:     Below this range the chords become dark or muddy. • Minor sixth     Cm6 As noted above. Of course. Other arrangements of the tones of the sixth chords do not produce a sonority of the same musical character as the other rootless chords shown here. For example. they sound noticeably lighter and brighter than chords within the normal range. there is only one usable voicing of the minor sixth chord if consistency of sound is desired. In order to maintain a consistent musical character. which have only one usable voicing. whichever inversion of these chords gives the smoothest movement to the following chord will be used. • Sixth C6     The sixth and minor sixth chords are the most limited rootless forms. each having only one usable voicing: 3 5 6 9 above the missing root. Because this range is less than an octave. The roots of these chords are separated by a tritone (C and Fí here).VI – Chord Voicings 39 represent two different dominant seventh chords. other voicings of rootless sixth chords are possible. • Diminished seventh and half-diminished seventh The diminished seventh and half-diminished seventh do not have rootless forms. One and the same chord can be used as VÏ in one key (here it would be F) and also as the ëIIÏ substitute dominant seventh of another key that lies at the interval of a tritone (which would be B in this example). if consistency of sound is not a primary consideration. or AÓÎ in a rootless chord context? . it may be necessary to cheat a little by going slightly beyond the limit of the range at one end or the other in order to obtain a desired chord. which is discussed in Chapter VIII. how would you voice AÎ. This is especially true for the rootless sixth chords. Generally. The dual use of each of these chords is a consequence of the ëIIÏ dominant seventh substitution. AmÎ. above it.

33-34 above. minor sixth. (b) shell. Don’t worry too much about voice leading. they are — as the discussion here suggests — quite restricted. CƒÏ 2. Exercises 1. They are generally effective only in the range shown above. Write the chords in the bass staff as a left-hand piano part. minor seventh. (b) an upper structure triad. 4. (c) additional tensions to the left-hand part. Using the rootless chords you wrote for exercise 2. (c) axis. Choose a root tone and then write all of the “standard” rootless versions of the major seventh. or (d) some combination of all of these. EÓÏ f. Write a block-chord piano accompaniment based on the Rhythm changes. GmajÑ…ÉÉ e. BÎ×ÑØ g. . a. and the number of distinctly different chords is very limited. Each right-hand part may be (a) all or part of the underlying triad that the left-hand part is based on. the examples above almost completely exhaust the possibilities. write a solo piano voicing in (a) close position. and dominant seventh chords on that root. You may include tensions not given in the chord symbols. sixth. DÏÓÑÓÉË d. Use one voicing style for the A section and a different voicing style for the bridge. FÏÓÍ b. For a complete list of all of the “standard” rootless chord voicings. see Appendix B: Rootless Chord Dictionary. Make sure each voicing follows the general guidelines given on pp. For each of the chords in the list below. AmÑ c.40 Jazz Theory Although rootless chords are popular with jazz pianists. The chords you create should be ones that sound right to you. 3. this will be covered in the next section. and (d) rootless styles. add to each chord three different right-hand parts in the treble staff.

p. In reality it involves a set of interrelated issues: • • • technical concerns such as counterpoint — a subject deserving extensive study in its own right (highly recommended) pragmatic concerns such as instrument ranges and capabilities artistic concerns such as style and the creation of particular musical effects. Think of the bass line as a countermelody. … Current jazz and pop composers are less concerned with traditional voice leading rules. 2002. The view of voice leading in current jazz and pop professional practice is well summed up by Felts: Traditional voice leading focuses on the resolution of tendency tones and avoidance of such intervals as parallel fifths. 96. they effectively reduce the musical texture by one part. octaves. • • • Hold common tones. and certain doublings of pitches within chords. this topic is concerned with how the composer or arranger conducts the individual instrument or voice parts from note to note. or to thicken a sequence of chords. Move to the nearest note. hold that tone when moving from the first chord to the second.” Superficially. Reharmonization Techniques. with one voice simply copying the motions of another. Whenever a tone is common to neighboring chords.7 Following are some general principles that. Voice Leading This little book cannot do justice to the range of concerns lumped under the heading of “voice leading. if observed. and similar motion with respect to the upper parts (which in some jazz styles move more or less in parallel with one another and may therefore be thought of as a single “thickened” melodic line). ISBN: 0634015850. Avoid parallel octaves. Try to move stepwise as much as possible. When leaps are necessary. These rules are all familiar to students of traditional music theory. Octave doubling may of course be used to reinforce a particular line or voice. Parallel octaves are a form of doubling. Move each part to the nearest note in the next chord. The formal study of counterpoint will help greatly in achieving this goal. • The following publications give the contemporary professional view of jazz voice leading 7 Randy Felts. .VII – Voice Leading 41 VII. Thus. Berklee Press. choose the smallest available. Such doublings can be objectionable if they occur unpredictably and without any justification in the given musical context. but still strive for balanced note spacing and reasonably smooth connection from one chord to the next. Write bass lines that have nice melodic shapes and that have a combination of contrary. will generally lead to a smooth overall texture. parallel.

Presents a different take on much of the material in this book and has a good discussion of piano voicing techniques. A study of voicing techniques for small and medium jazz ensembles. and yet another technique when root motion is by third. 2001. Reharmonization Techniques. Here is an example of this approach:        Cmaj9 Fmaj7      B7b9 Em7          A7b9 Dm7 G7b9 Cmaj7                     The lower two parts alternate sevenths and thirds. the “7-3” voice leading technique based on the chord “shells” discussed above is a good choice. small and medium ensembles.42 Jazz Theory for the piano. Circle of Fifths Root Motion When chords follow the circle of fifths. . Standard Voice Leading Techniques The comping techniques commonly used by jazz pianists provide a reasonable starting point for learning jazz voice leading. The composer/arranger of a high-budget TV special or Las Vegas show almost certainly has a set of musical standards different from those of the leader of a small jazz group who views his or her work as an aspect of social protest or as avant garde art. Modern Jazz Voicings. It should be understood that all of these techniques are generalizations of average practice. ISBN: 0634036564. Detailed study and analysis of big band arranging techniques from the earliest big bands to the present. a different technique when root motion is up or down by second. These books should be consulted for information about the specific voicing and voice leading techniques used in the instrumental group of interest. with some discussion of jazz theory. Dick Lowell and Ken Pullig. Even pianists of very modest abilities quickly learn how to combine and modify these techniques to produce more interesting effects. The specific voice leading technique chosen for any given situation depends partly on root motion: one technique is used when root motion is up or down by fifth. Berklee Press. values that are not given top priority by every jazz artist. Ted Pease and Ken Pullig. ISBN: 0634014439. the less likely his or her playing can be characterized by any simple application of these techniques. respectively: • • • Randy Felts. It should not be assumed that a smooth texture is the goal of every jazz artist. and any desired tensions. ISBN: 0634015850. Berklee Press. additional chord tones. while the upper parts fill in whichever characteristic tone is not present in the lower voices. and big band. 2003. and that the greater the skill and inventiveness of the musician. 2002. Arranging for Large Jazz Ensemble. Berklee Press. Smooth texture implies notions of craftsmanship and professionalism.

as necessary to get the required chord quality). In one style. This is an example of the 3 7 3 or “axis 3” version:        Cmaj7 Dm7           Em7  Eb7                    Eb7 Dm7                     Db7 Cmaj7           And here is an example of the 7 3 7 or “axis 7” version:         Cmaj7 Dm7 Em7 Dm7 Db7 Cmaj7 Root Motion by Third When root motion is by ascending or descending third. for example. parallel voice leading is often used. and either 3 7 3 or 7 3 7 above the root in the upper parts. each chord has a fifth in the two lowest parts. the typical approach is to hold the common tones and move to the new chord tones by the shortest and smoothest route available. and the upper parts as a group are arranged in close position:         C6 Am9 Fmaj9 Dm9 C6                  Voice Leading with Rootless Chords Voice leading with rootless chords is very simple because there are so few different rootless chords — it amounts to little more than moving from one standard rootless chord to another by the shortest route possible.VII – Voice Leading 43 Root Motion by Second When chords move up or down by second. The usual way to illustrate voice leading with rootless chords is to present different realizations of the II V I chord progression. of course. Here the chords use the “axis” structure described above. Here. In this technique. C and E in the upper voices are held throughout. . each chord has a seventh (shell) in the two lowest parts:        Cmaj9 Dm9             Em9 Eb9 Dm9         Db9 Cmaj7     In another style. the pianist chooses a nice voicing for the first chord and then simply transposes it up or down to obtain the succeeding chords (adjusting. Here.

when it is in first inversion). For example. the II V I progression can end with a sixth chord. As can be seen. Parallel Voice Leading Styles There is a family of voice leading styles in which all of the harmony parts simply follow the lead line in parallel. is the II V I progression in major. we could have      Bb: II Cm9 F9(13)    V    I Bb6 And in minor:     Am: II BØ7 E7(b9b13)    V    I Am6 The AmÎ here goes slightly below the normal range for rootless chords. Here are the first few bars of Thelonious Monk’s Blue Monk arranged in the basic “close position” parallel style. There are two basic forms. but rather first or third inversions of the ordinary half-diminished seventh chord.. Some limited variation of the patterns above is possible. Every note of the lead line is harmonized with an appropriate chord. This is standard practice. Again there are two basic forms. all the parts have the same melodic contour . corresponding to the two possible voicings of the IImÏ chord:      Bb: II Cm9 F9(13)    V Bbmaj7     I Cm9     F9(13)     Bbmaj7    And here is the II V I progression in minor.44 Jazz Theory for example. for example. corresponding to the two possible voicings of the IIƒÏ chord:     Am: II BØ7 E7(b9b13)    V Am9     I    BØ7 E7(#9b13)       Am9 Note that the IIƒÏ chords are not rootless. rather than a major or minor seventh. which in each case is determined by a few simple rules. which is discussed below.e. This is acceptable if it occurs only occasionally. In major. when the II chord has its third as the lowest note (i.

In the Blue Monk example. To create an arrangement in this style. If the current lead line note is a non-chord tone — a neighbor. Op. the harmonizing parts can be determined in most instances by rule from the given lead line and the accompanying chord symbols. After a basic arrangement has been created following these two rules. Aë and AÔ in the second measure are harmonized with AÓ„Ï and A„Ï. the D of the BÓÏ in the first measure and the G of the EÓÏ in the second measure are harmonized with the remaining notes of the chord. Bb7 Eb7 The Basic Close Position Style The basic close position style is aptly called the “thickened line” by Russo8 because the parallel motion from one close-position chord to another effectively produces a single. In any case. the harmonization of the F of the BÓÏ at the end of the first measure and the Bë of the EÓÏ at the end of the second measure substitute the ninth for the root. or tension of the prevailing chord). Similarly. the passing tones Eë and EÔ in the first measure are harmonized with EÓ„Ï and E„Ï. “thick” melodic line. it can be modified to achieve different musical effects or to accommodate different instrumental resources by applying the simple techniques discussed next. A common technique used with passing tones is to harmonize them with the diminished seventh chord based on their letter pitches. it is the root. sixth or seventh.VII – Voice Leading and they all fit within an interval smaller than an octave below the lead line 45                                             All of the other parallel voice leading styles discussed in this section are variants of this basic style. fill out the harmony with exactly three chord tones taken in order reading down from the lead line note. however. All of these parallel styles are “automatic” techniques in the sense that.e.or passing tone. 35. whether it follows the rules or not. If the current lead line note is a chord tone (i. third. respectively. In the Blue Monk example above. the root of a chord is often omitted in favor of a tension. 2. respectively. Some experimentation with different harmonizations of non-chord tones may be necessary to achieve a completely satisfactory arrangement. Unless the lead line note is the root of the prevailing chord. They are derived from the basic voicing simply by doubling one or more voices an octave below or by transposing a voice down an octave. Russo’s description of this technique contains many subtleties that are not discussed here. fifth. cit. 8 .. once a voicing scheme is chosen. In the end it is up to your ears to decide if a particular thickened line passage works. The account of “thickened line” given here is somewhat oversimplified. for example — it may be harmonized with an appropriate linear chord in close position. make sure the characteristic tones of each chord are always included. p.. it is necessary to follow only two rules — with some qualifications: 1.

the combination of a “drop” pattern with a doubling of the lead melody at the octave above or below is often encountered.. This style has been popular with pianists and organists since at least the 1950s.. this time in a drop 2 arrangement.46 Jazz Theory The Widened Line: Drop 2 and Drop 3 The widened line9 consists of the lead line and three harmony voices. just as in the thickened line.e.. A “drop 2” widened line transposes the second part (i. 36. The difference is that one of the harmony voices of the basic close position is dropped down an octave. but it was originally derived from big band section writing techniques of the 1930s and 40s. For example. op.     Bb7                                                  Eb7 A “drop 3” widened line transposes the third part (i. All parts still move in parallel. the right and left hands both play exactly same melodic line one octave apart. . The hands are thus “locked” together in parallel motion. the part immediately below the lead line in the basic close position) down an octave. Here is an example of locked hands applied to the opening of Laura:           9 Am9                                 3 D7b9 3 Gº7 Gmaj9                  C9 Another apt term coined by Russo. The locked hands style is so named because. as can be seen in the Blue Monk example:     Bb7                                             Eb7 Other variations on the basic parallel model are also used. thereby producing a more spread-out texture. p. again counting down from the lead line in the basic close position) down an octave. This modification has the effect of spreading the texture out quite a bit. Here is the Blue Monk example again.e. on a keyboard. Locked-Hands The “locked hands” style is a also simple variation of the basic close position. cit.

add a bass line to the arrangement you wrote for exercise 1. small ensemble writing demands that the composer/arranger into account the limited ranges of the jazz horns. it will be possible to begin to write for small jazz ensembles consisting of a rhythm section and two to five “horns. Write the melody on a separate treble staff above the piano’s treble/bass system. and it also has a somewhat more variable upper limit beyond which even the most skilled player cannot go. 4. In the left column is the physically possible complete range. Choose an AABA tune from the list in the Form section of Chapter I. Play the arrangement with class members. (b) axis-3 and/or axis-7 voicing. Exercises 1. 5. in the right the generally accepted practical range. but provide a “broken” or arpeggiated piano accompaniment suitable for a solo piano arrangement of the tune. Scoring for Small Jazz Ensembles Now that you have some facility with jazz voicings and voice leading. or (c) rootless chords — whichever seems most appropriate. 10 In jazz parlance. below which it cannot physically produce a usable tone. On a separate bass staff. Write your own tune in one of the standard forms and provide a block-chord piano accompaniment and bass line.VII – Voice Leading 47 Note the departure from strict parallelism in this example: the alternation between B and AÕ in measure 2 is not matched by corresponding movement in the interior parts. . Every horn has a lowest note. This partial independence of the lead and the interior parts is a common feature of the locked hands style. a “horn” is any brass or woodwind instrument. Play the arrangement with class members. which are the most common jazz horns. Within these extremes lies a practical range where any competent player will feel comfortable and produce a good sound. Do exercise 1. The chart below illustrates these ranges for the five basic jazz horns. and saxophones. 2. Write a piano accompaniment for the B section of the tune selected for exercise 1 using a different voicing style.”10 The same piano voicing and voice leading techniques we have studied can be applied with little or no modification to small groups consisting of some combination of trumpets.. 3. trombones. Write a block-chord piano accompaniment for the A section using (a) 7-3 voicing. Instrument Ranges Unlike writing for the piano.

.48 Jazz Theory Complete possible range Trumpet    Suggested practical range                     Trombone Alto Sax         Tenor Sax Baritone Sax If you are using music notation software such as Sibelius®. This is a very useful capability that will help beginning composer/arrangers to avoid common mistakes. you will be warned whenever you attempt to enter a note out of an instrument’s range.

trumpet alto alto tenor baritone c. trumpet trumpet trumpet trombone 2. 1. alto alto tenor baritone b. Drop 2/Drop 3 (ranges permitting) a. trumpet alto trombone baritone h. trumpet alto tenor tenor baritone b. alto tenor tenor tenor c. trombone tenor trombone tenor i. trumpet alto trombone tenor trombone e. alto tenor trombone tenor e. trombone trombone trombone trombone d. trumpet trombone trombone trombone 3. alto alto tenor baritone d.VII – Voice Leading 49 Instrumental Combinations Certain instrumental combinations work very well with the voicing and voice leading techniques discussed above. The list below gives many of the more commonly used combinations. alto tenor trombone baritone f. trumpet tenor trombone tenor l. trumpet alto trombone baritone b. tenor tenor tenor baritone f. trumpet alto trombone tenor k.” A given voicing technique doesn’t necessarily work automatically with a given instrumental combination. alto tenor trombone baritone h. Five horns. tenor tenor tenor baritone d. trombone tenor trombone baritone g. trumpet tenor trombone baritone c. trumpet alto trombone baritone m. trombone tenor trombone baritone j. Axis and Shells (ranges permitting) a. . trumpet trumpet trumpet trumpet p. trumpet tenor tenor tenor baritone d. alto tenor tenor baritone c. trumpet tenor trombone baritone 4. trombone trombone trombone trombone o. trumpet tenor trombone baritone n. alto tenor tenor baritone e. trumpet tenor trombone tenor trombone Note that each sublist is presented with the caveat “ranges permitting. Basic Close Position (ranges permitting) a. alto alto tenor tenor b. alto tenor trombone tenor g. any voicing style (ranges permitting) a.

3. Add bass and drum parts.50 Jazz Theory The composer/arranger still has to make sure that the selected technique doesn’t drive one or more instruments outside their ranges. . Score the arrangement for any appropriate combination of four horns. 2. Complete the score for the tune selected for Exercise 1 and extract the individual parts. but this time using the Arrange feature described in Appendix C if you have access to Sibelius®. Try several different jazz styles and pick the one that gives you what you think are the best results. Do exercise 1 again. Exercises 1. Write a piano arrangement of an 8-bar section using any of the parallel voicing styles described above. Choose a tune from the list in the Form section in Chapter I.

There are two different versions of the circle of fifths: diatonic (in-key) and chromatic.VIII – Functional Harmony in Jazz 51 VIII. to prolong a preceding chord. or scale-tone. as sounds that have a particular color or texture. chords in a non-functional context are used primarily as sonorities. The most common root movements follow the “circle of fifths. seventh chords. functional harmonic language. It is possible to harmonize many tunes using these chords alone. Theory of Chord Progressions Root Motion In jazz. to rove between more stable points. Functional Harmony in Jazz In functional harmony each chord plays a specific role within the sequence of chords where it occurs.” moving in either direction from a given chord to one of its neighbors in the circle. to serve a concluding function at the end. By contrast. that is. but since the late 1950s new. The Diatonic (In-Key) Circle of Fifths The basic jazz chords in any key are the diatonic. This practice continues to this day. non-functional harmonic languages have been created and have taken their place alongside the traditional. A chord may be used to establish the tonality at the beginning of a piece. This book covers the primarily functional practice that extends from the origins of jazz in New Orleans to the post-bop music of the 1950s and 60s. etc. The roots of the diatonic chords can be arranged in a circle that summarizes their fifth relationships: I IV V V II II III VI The Major Diatonic (In-Key) Circle of Fifths The counterclockwise arrow indicates that the most typical movement between diatonic chords is by descending fifth (or ascending fourth). chord progressions are usually described in terms of root movement. Jazz today spans the full spectrum of harmonic possibilities from functional to nonfunctional. . It is not possible to determine whether an isolated chord is functional or non-functional because almost any given chord could be used in either a functional or non-functional way. Many chord progressions use all or most of either the major or the minor circle.

which shows the fifth relationships of all 12 chromatic pitches: . and VII as lowered versions of these degrees in the parallel major: I IV V ëV I I II ëI I I ëV I The Minor Diatonic (In-Key) Circle of Fifths The following example shows a typical jazz piano realization of the complete minor circle of fifths in the key of C minor. VI. jazz pianists will often alternate sevenths and thirds in the left hand and build the rest of the chord in the right hand as shown here. Notice that the bass moves by perfect fourth or fifth except from ëVI to II.52 Jazz Theory The following example shows a typical jazz piano realization of the complete major circle of fifths in the key of C major. When the harmony of a piece follows the circle of fifths. The traditional jazz practice is to show scale degrees III. Notice that the bass moves by perfect fourth or fifth except from IV to VII.         I Cmaj9 Fmaj7      BØ7 Em7     VII      Am9 Dm7 G9 Cmaj7     VI      II IV III V          I The minor mode has its own diatonic circle of fifths. which is a tritone:              I Cm9 Fm7      Bb9 Ebmaj7     bVII      Abmaj9 DØ7 G7b9 Cm7     bVI      II IV bIII      V      I The Chromatic Circle of Fifths There is also a chromatic circle of fifths. which is a tritone.

this “turnaround” chord progression is used in Tadd Dameron’s Lady Bird: | I majÏ ëIIIÏ | ëVImajÏ ëIIÏ | ImajÏ . and Autumn Leaves. A sequence of II V I progressions would typically be arranged as follows: |¥ ¥ |¥ ¥ |¥ ¥ |¥ ¥ |¥ | I * | II V | I * | II V | I … etc.| The following is a typical jazz piano realization of this progression:        I Cmaj9 Ebmaj9     bIII Abmaj7      Db7(9+11)      Cmaj9     I bVI bII Strong/Weak Alternation of Chords It is a noteworthy feature of much jazz harmony that chords tend to occur in a strongweak alternation.. For example. however. Although there are several tunes that use the entire diatonic circle of fifths (Fly Me to the Moon (In Other Words). while V is a weak chord. All The Things You Are. Prelude to a Kiss. it is extremely unlikely that one could be found that uses the entire chromatic circle of fifths. As generally used. certain segments of the chromatic circle are often used. which is ubiquitous in jazz. I and II are strong chords.VIII – Functional Harmony in Jazz 53 F BÓ EÓ AÓ DÓ C G D A E GÓ Fí B The Chromatic Circle of Fifths Some chord progressions use segments of the chromatic circle of fifths. for example). As with the diatonic circle of fifths. The paradigm of this feature is the II V I chord progression. creating a downbeat-upbeat feel within the harmonic rhythm. . the chromatic circle illustrates the tendency of chords to succeed one another in root patterns of descending fifths (or ascending fourths) regardless of the qualities of the chords built above the roots.

. The complete. and IV are generally treated as strong chords. A single major or minor chord is undefined.) As we shall see. the Tonic. and III are generally treated as weak (IIImÏ and VImÏ as representatives of the Tonic constitute a special case.. I. Dominant Preparation Occurs in strong position Dominant Occurs in weak position Tonic Occurs in strong position IImÏ IVÎ or IVmajÏ IVmÎ or IVmÏ IIƒ7 ëVIÏ ëVImÏ VÏ ëIIÏ VIIƒÏ VII„Ï IÎ or ImajÏ ImÎ or ImÏ (IIImÏ) (VImÏ) If we compare the chords in each column. V. Sometimes it is treated as a form of dominant. the subdominant. but rather an artistic option. The chord progression of Gershwin’s I Got Rhythm illustrates all of the principles discussed in this section.54 Jazz Theory where “*” denotes a “weak” chord. but the situation is still ambiguous. and (3) all of the tonic chords have at least two tones in common with I. Following is a table of some of the possibilities. VI. This overlap in the content of the chords within each functional category is related to — but not identical with — the concepts of “characteristic tones” and “guide tones” explained below. Dominant. richly extended and altered chords that have become customary in jazz are not necessary. A third chord is needed to “prepare” the dominant — that is. A Dominant preparation-Dominant-Tonic progression can be developed by taking one chord from each column and deploying the chords in the indicated strong and weak positions within the prevailing harmonic rhythm. VII has a context-dependent role in tonal music. the first (strong) half of each measure is occupied by I or II. (2) all ^ ^ of the dominant chords contain scale degrees 4 and 7 . In either case it would be considered a weak chord in the sense used here. In a context where the harmonic rhythm is the half note. The essential point of all these concepts is that a satisfactory sense of chord function can be achieved with less than a full chord. to make it sound like the dominant — after which the original major or minor chord will sound unambiguously like the tonic. which is discussed below. A dominant preparation chord is typically some form of II or IV. A variety of chords can perform each of these functions. II. while the second (weak) half is occupied by V or some other weak chord. Prefacing it with its own dominant somewhat clarifies its meaning. and Tonic — are needed to establish a key. while at others it is used as part of a circleof-fifths structure such as IV VII III. Three functions — Dominant Preparation. we observe that (1) all of the dominant preparation chords have at least two tones in common with IV.

To develop a variation on the Rhythm chord progression using the map. i..C. The Rhythm changes “map” below attempts to capture the underlying logic of these variations. The map focuses on the A section of the tune since the bridge of most Rhythm-based tunes generally stays quite close to the original harmony. al Coda C7 F7  G7                          Coda(Gershwin's)  Coda(jazz) Bb6/F F7/Eb DØ7 G7 C9 F7 Bb6  Bb6/F F7 Bb6                          There are many variations on the Rhythm changes.e. IIIÏ-VIÏ-IIÏ-VÏ.VIII – Functional Harmony in Jazz 55 Bb6 Gm7 Cm7 F7 Dm7 Dbº Cm7 F7 Bb Bb6/D Eb CØ7                               1.Bb6 Cm7 B7 Eb7 D7  Bb6/F F7                        D. .Bb6 2. selecting one chord from each box. simply follow a path from left to right through the boxes.

56 Jazz Theory Alternate starting point Im Ï V Im Ï Tonic prolonging IV m Ï IIm Ï IIm Ï IIÏ IIIm Ï Tonic prolonging IIƒÏ I V m a jÏ IV m Ï ëV I m a jÏ ëV I m Ï I V m a jÏ IIm Ï IIÏ IIm Ï I V m a jÏ Dominant preparation V IÏ I m a jÏ IÎ ( I I I m Ï) ( V I m Ï) Tonic ( I I I Ï) IÏ Secondary dominants VÏ ëI I Ï Dominant íI Ï ëI I I Ï íI V Ï ëV I Ï íI „Ï íI ƒ Ï I „Ï IƒÏ ëI I I m Ï Voice leading Rhythm Changes Map .

In general. In this book. a dominant seventh chord with added ë9 +11 13 still functions as a dominant chord in its key. Voice leading chords are discussed below. a tone that has a sense of being directed towards another specific tone:            G7b9b13 C      . while IIImÏ is a “rootless” ImajÑ. Other authors call these chords “linear” harmonies. the effect of tensions on chord function is such that more tensions create a greater tendency for the chord to resolve to a particular chord. VÏ. On the other hand. for example. but gives it a slightly different color. the movement from a weak chord to a strong chord requires some kind of justification. every note in the first chord except G is. as shown in the Rhythm changes map.” that is. typically goes to some form of I. I can go to a large number of different chords. for example. A very common case is a I chord followed by either VImÏ or IIImÏ. such chords are called “voice leading” chords because they are essentially the result of horizontal movement from chord tone to chord tone. The weak chord is justified “backwards” to the preceding strong chord. Tensions and Chord Function Adding tensions to a chord does not change its function. A very common case is the ëIIIÏ in the progression | IIImÏ ëIIImÏ | IImÏ |¥ ¥ | ¥ The ëIIImÏ here is made entirely of chromatic passing tones. A typical case is a secondary dominant that “tonicizes” the following strong chord. The weak chord is made up of neighbor/passing tones that connect the preceding strong chord to the following strong chord. Both of the latter can be seen as prolongations of I: VImÏ is simply an inverted IÎ. The weak to strong movement follows the circle of fifths. From the point of view of traditional harmony. 2. the weak chord prolongs the preceding strong chord. Typical justifications are: 1. For example. 3. In the following example.VIII – Functional Harmony in Jazz 57 The movement from weak to strong is more constrained than is the movement from strong to weak. In C major. a “tendency tone. we have     C6 Am7     Cmaj9      Em7     In both cases. in traditional theoretical terms.

however. . . . . Non-Tonic Beginnings Many tunes do not begin on the Tonic. there is a strong “pull” toward the specific C chord with added 9th shown here. For example:                 I6 C6 9 Eb7 Dm11 Db7+11 bIIIm7 IIm11 bII7+11           The general pattern for a turnaround is: | Turnaround . . Thus. Whether the jazz composer. . arranger. . . . . . I VI II V is frequently employed in a form beginning on II. EÓ and AÓ are both lowered notes. . . . | A . and ABA song forms. such tunes often use chord patterns that are simply displaced versions of the Rhythm changes. . . . . . . . it is generally necessary to conduct the harmony from wherever it is back to the chord with which the A section begins. |¥ ¥ |¥ ¥ |¥ Dominant | | Tonic Tonic-prolonging | Dominant or Voice leading preparation In general. This is typically accomplished with a two-measure unit called a “turnaround. . . . . . . . . a dissonant chord has no obligation to resolve to a chord predicted by the stylistic conventions of classical music. . . . . which exhibit a tendency to continue downward by half step to notes of the next chord. . .58 Jazz Theory The tritone F-B resolves outward to E-C according to the usual rules for dominant seventh chords. . . ABAC. . . so that one cycle of this pattern appears as II V I VI (The “alternate starting point” in the Rhythm changes map above illustrates this usage. . . In a typical case. . . . . . Because of the looser treatment of dissonance in jazz. . . followed by the tonic at the beginning of the A section of the piece. . or performer respects such tendencies is a separate issue. Turnarounds In standard AABA . . .” The chord progression used to support a turnaround generally follows the strong/weak alternation described above. a turnaround involves four chords in the prevailing harmonic rhythm.) The opening four bars of the standard Gone With the Wind follow this pattern. turnarounds end with a dominant on the weak part of the harmonic rhythm.

ëVI7.” In jazz there is at least one true chord substitution: ëIIÏ substituted for VÏ. From the musician’s point of view. What this comment generally indicates is that many musicians are unhappy with the blandness of the chords provided in the sheet music for tunes. ^ ^ it has a similar tendency to move to the tonic. it my be preceded by its own dominant seventh. and chains of such substitute chords are not uncommon. then. employs this harmony at the end of the A section of Satin Doll:                            Abm9 Db9 Cmaj9      Voice Leading Chords Chords made up mostly or entirely of neighbor. “substitute” in this context means something closer to “correct. . which in turn may be preceded by its dominant seventh. and they seek to replace these chords with ones that better express their sense of the harmony of the tunes. Because ëIIÏ contains the characteristic tones of the dominant seventh. if ëIIÏ is used as a substitute for the dominant seventh chord. Often. chromatically ^ ^ altered scale tones which tend strongly down to 1 and 5 . ëIIÏ is a dominant seventh chord based on a root located a tritone away from the root of the actual ^ ^ dominant. for example. 4 and 7 .and/or passing-tones are common in jazz. ëIIÏ also contains ë2 and ë6 . which define the tonic chord:      Db7 C: bII7     I C The same tritone substitution can be applied to any secondary dominant. For example.VIII – Functional Harmony in Jazz 59 Tritone Substitution: ëIIÏ Substituted for VÏ It is often said that jazz uses a lot of “substitute” chords. Billy Strayhorn. These are designated “voice leading” or “linear” chords because they are primarily the result of the motion of the voices or parts. an entire chord is used as if it were a neighbor note. There are several types of voice leading chords: • Neighbor chords. ëIIIÏ:            Eb7 Ab7 Db7 Cmaj9                ëIIÏ may also be preceded by its own dominant preparation chord.

for example.60 Jazz Theory Here FÕÉË and BÉË act as lower neighbors to GÉË and CÉË. is simply the preceding unit. IIImÏ and VIÏ are played at twice the prevailing harmonic rhythm rate — quarter notes rather than half notes — and the interpolated ëIIImÏ and ëVIÏ are also played as quarter notes. A typical interpolation is: |¥ ¥ |¥ | IIImÏ VIÏ | IImÏ becomes |¤ ¤ ¤ ¤ |¥ | IIImÏ VIÏ ëIIImÏ ëVIÏ | IImÏ Here the sequence ëIIImÏ ëVIÏ is inserted between VIÏ and IImÏ. but the voices in the treble staff could easily occur in jazz without this bass line as. respectively: G13 F#13 G13 C13 B13 C13                                              • Passing chords. To accommodate this interpolation. or subdominant. “rootless” piano chords or as part of a passage written for four saxophones.” The interpolated chords are typically built on raised or lowered steps of the prevailing scale or are borrowed from the parallel key. In the EëÑ in this example. or a combination of these. the result is a more elaborate structure called an “interpolation. A minor seventh chord may be used to slide chromatically between two diatonic chords. • Neighbor-passing chords. The interpolation . If a voice leading chord is preceded by its own dominant. In such cases. begins with BÓÏ AÏ AÓ7 GÏ. supertonic. transposed down a half step. Here the EÓmÑ is a passing chord between EmÑ and DmÑ Em9  Ebm9 Dm9                           Downward sequences of dominant seventh-type passing chords are also common. F is a neighbor tone and Dë and Bë are chromatic passing tones:            Cmaj9 Eb9 Fmaj9      The bass line here supports the interpretation of the middle chord as EëÑ. A chord can also be made out of a combination of neighbor. IIImÏ VIÏ. for example. Sonny Rollins’ Doxy. the middle chord would be indicated as GƒÏ. For example: EmÑ EÓmÑ DmÑ. • Interpolation. ëIIImÏ ëVIÏ. The interpolated unit.and passing-tones.

No matter which note is the lowest. and AÓ„Ï all contain enharmonically the same four pitches: B. B„Ï. the structure above it will be (enharmonically) all minor thirds.VIII – Functional Harmony in Jazz 61 can be viewed as a slightly elaborated chromatic slide downward from IIImÏ to IImÏ. For example. F„Ï. all four inversions of a given diminished-seventh chord sound approximately the same. and the intervening measures are the interpolations.and Half-Diminished Seventh Chords The diminished seventh and half-diminished seventh chords occur in a variety of roles in jazz and therefore deserve separate treatment.               . while the upper part in the left hand holds common tones (sometimes enharmonically) across the bar line. The Diminished-Seventh Chord The diminished-seventh chord is symmetrical. and AÓ. there are only three different diminished-seventh chords. F. If a given diminished-seventh chord is repeatedly transposed up by half-steps. The Diminished. Every other measure is part of the chromatic circle of fifths. (See Thelonious Monk’s Round Midnight for an example of this type of interpolation. D„Ï. The lower two parts in the right hand hold common tones within each measure.) The following is a little keyboard exercise that illustrates this type of interpolation. These properties make the diminished-seventh chord somewhat ambiguous and slippery. but also very useful precisely because of this. As a result. Movement from measure to measure is by half-step down:                   Cm7 F7                Fm7 Bm7      Bb7 E7 Bbm7           A7 Eb7 Am7           D7       Dm7 Abm7      G7 Db7      Gm7 C7      F#m7 B7 Em7 Ebm7 Ab7 C#m7 F#7                                                       The voice motion in this example is noteworthy. the third transposition will give the same set of letter pitches as the original chord. being composed entirely of minor thirds. As a result of the symmetrical nature of the diminished-seventh chord. D.

A very frequent use of diminished seventh chords in writing for big bands is shown in the following excerpt from Thelonious Monk’s Blue Monk. Here. respectively. on the first and fourth eighth notes.62 Jazz Theory The Diminished Seventh as a Connecting Chord Diminished seventh chords are most frequently used to connect other chords. which is VImÏ in F major. the B„Ï clearly results from the chromatic alteration of the G and Bë in the preceding GmÏ. Another familiar use of the diminished seventh as a connecting chord can be found. for example. the EÓ„Ï chord results from the chromatic voice motion in the bass (E“EÓ“D) and right-hand (G“GÓ“F) . A similar use of the diminished-seventh chord gives this “barbershop quartet” cliché:  Dm7 D#º7 C7/E              The DÕ„Ï results from the chromatic alteration of the D and F in the preceding DmÏ. in Dizzy Gillespie’s “Salt Peanuts”: Bb7 Eb7            F6 F7/A Gm7/Bb Bº7 F6/C                   If we consider just the chords in the treble staff. Here. Another old-timey use of the diminished-seventh chord is the following chromatic slide down from the Tonic chord in first inversion through ÓIII„Ï to IImÏ. diminished seventh chords on the second and third eighth notes of each measure smoothly connect different inversions of BÓ7 and EÓ7.                                              This usage of the diminished seventh chord was described in greater detail above in the Parallel Voice-Leading Styles section. which is IImÏ in F major.

Pitches in °7 chord CÕ E G BÓ in any order D F AÓ CÓ in any order DÕ FÕ A C in any order Dominant-seventh chord AÏ. It is incomplete because it is missing the root:        "missing" root Because there are really only three different diminished-seventh chords. DÓÏ. or GÏ BÏ. The Diminished Seventh as an “Incomplete” Dominant The diminished-seventh chord can be viewed as an “incomplete” dominant seventh with flat ninth. DÏ. EÓÏ. and it can be used as such in a sequence of . as many musicians prefer to call it) occurs diatonically as II in minor.VIII – Functional Harmony in Jazz while the A and C in the other voices are held: 63              C6/E Ebº7 Dm7      G13     Both this usage of the diminished-seventh chord and the barbershop quartet cliché above disappeared from non-retro jazz in the 1940s and both are considered old-fashioned today (which does not mean they cannot be used to achieve particular musical effects). Enharmonic respellings of some pitches in the left column are necessary to obtain the correct spellings of some of the chords in the right column. it is most naturally used as a dominant in the minor mode or as a secondary dominant to a minor chord. each one must represent four of the twelve different dominant sevenths. EÏ. FÏ. The Half-Diminished Seventh Chord The half-diminished seventh chord (or either m7Ó5 or m7-5. the AÓ in the middle row has to be respelled as GÕ and the CÓ has to be respelled as B in order to get the correct spelling for EÏ. CÏ. or GÓÏ BÓÏ. For example. The following table summarizes these relationships. or AÓÏ represent represent represent Because the diminished-seventh chord has a flat ninth.

because the half-diminished chord is not symmetrical. Here. for example. BƒÏ functions as the dominant of C:         "missing"   root Which of the possible uses of the half-diminished chord is the one operative in any given case must be determined from context. CƒÏ is used to make a smooth passing movement between DÏ and BƒÏ:               D7 CØ7         BØ7 E7 The Half-Diminished Seventh as an Incomplete Dominant Ninth The half-diminished seventh chord can be treated as an incomplete dominant ninth chord in major. BØ7 C . As with the diminished-seventh chord. the root is missing. again. for example. Here. there is no problem of determining which chord it represents: the root of the parent dominant chord always lies a major third below the indicated root of the half-diminished chord. like the diminished seventh chord.64 Jazz Theory circle of fifths-related chords:             I Cm9 Fm7      Bb9 Ebmaj7     bVII      Abmaj9 DØ7 G7b9 Cm7     bVI      II IV bIII      V      I It also occurs diatonically as VII in major and. can be used as such in a sequence of fifth-related chords:        I Cmaj9 Fmaj7      BØ7 Em7     VII      Am9 Dm7 G9 Cmaj7     VI      II IV III V          I The Half-Diminished Seventh as a Connecting Chord The half-diminished seventh chord. is often used as a connecting chord. However.

V of ÓVI.. Maintain a half-note harmonic rhythm throughout. 3.). Make sure the new chords fit the melody reasonably well. In jazz. V of VI. Using the Rhythm changes map above. Write guitar/piano and bass parts. For example. mimicking the deceptive cadence in minor. or just make up your own sequences of chords. a so-called “deceptive cadence” would also be considered a correct treatment of a secondary dominant. Play your arrangement with class members. V of III.. However. You may draw progressions from the Rhythm changes map or the circle of fifths. create an alternate harmonization for the bridge of your chosen Rhythm-based tune. For example. V of VI should resolve to VI. These dominants are called secondary dominants because they function just like the actual dominant of the key except that they go to some chord other than I. V of VI could resolve upward by half-step to IV. That is. The chord on every scale degree (with the possible exceptions of VII in major and II and VI in minor) can be preceded by its own dominant or dominant seventh chord. Sunny Side of the Street contains this move complete with dominant preparation: *. each key contains only one dominant seventh.* | CÎ | BƒÏ EÏ | FÎ | IÎ | II of VI VÏof VI | VI of VI |¦ |¥ ¥ |¦ . Of course. More difficult: using any of the techniques discussed above (substitute chords. This means that there can be a V of II. many other dominant seventh-quality chords can be used within a given key. the secondary dominant causes the destination chord to treated as a sort of temporary tonic. The destination chord is said to be “tonicized” by the secondary dominant. Play the tune and your background with class members.VIII – Functional Harmony in Jazz 65 Exercises 1. voice leading chords. and V of ÓVII. the pop standard Please Don’t Talk About Me When I’m Gone has the following sequence of secondary dominants: *………………………………………* | GÏ | CÏ | | FÏ | BÓÏ | EÓÎ | | | EÓÎ | IÎ | VÏof VI | VÏof II | | VÏof V | VÏ | IÎ | | |¦ |¦ |¦ |¦ |¦ |¦ |¦ | |¦ For a chord to be a true secondary dominant. the chord built on the fifth scale degree. create an alternate harmonization for the A section of the tune.…. etc. Write guitar/piano and bass parts for your harmonization. it should resolve to the chord of which it is in fact the dominant: V of V should resolve to V. V of IV. V ëVI. etc. However. Create your own harmonic background for a 32-bar AABA tune. Write guitar/piano and bass parts for your harmonization. chains of secondary dominants are common. harmonic rhythm changes. 2. V of V. Make sure the new chords fit the melody reasonably well. Choose a tune that uses the Rhythm changes. Secondary Functions and Tonicization Dominant seventh-quality chords abound in jazz. V of ÓIII. Play your arrangement with class members..…………….

Other chords require some modification to become secondary supertonics. VI can function as a secondary supertonic to V of V. give a Roman numeral analysis of the harmony here):              Abm7 Gm7                              Dm7 G7                                   B7 Dm7 G7 Em7 A7                      C7 Db7 1. C^7      Am7         Em7              A7 Am7              D7(b9) C7 Gm7    Am7                                         E7(b13)                               D7 D7 There is also a “secondary subdominant” function.66 Jazz Theory Here is a possible keyboard realization of this chord progression:        C: I BØ7         E9b13 Fmaj9            II of VI V of VI VI of VI As this example shows. III to V of II. Borrowed Chords (Modal Interchange) Chords are often “borrowed” from the parallel major or minor. FmÏ might occur as IVmÏ in the key of C major as a chord borrowed from C minor (see. and therefore belong in strong positions in chord progressions. Thus we can have “secondary supertonics. the bridge of Sunny Side of .” Often these chords are already available in the given key. as are the Gm7-C7 and Am7-D7 progressions in the bridge. such chords are called “borrowed chords. that is. Cmaj7              F^7                          Bb7 A7       2. VII to V of VI. etc.” For example. Both secondary supertonics and secondary subdominants function as dominant preparation chords. Only the Gm7 requires a modified note (BÓ) to function as a secondary supertonic (Students of traditional music theory. For example. a secondary dominant can be preceded by its own supertonic (II). In Duke Ellington’s Satin Doll the Em7-A7 progression of the A section is a secondary supertonic followed by a secondary dominant. for example. all the alternate chord possibilities listed in the third column of the Rhythm changes map above are available. As with the ordinary dominant preparation chords. a chord functioning as IV in relation to a secondary dominant. accordingly.

for example. the B section is often in a different key from the A section. The specific harmonies used to effect each modulation are not the only ones possible. An experienced composer/arranger can usually find more than one interesting and convincing way to move from key to key. Here.” Pivot chords generally occur in a sequence like the following: |¥ ¥ | I in original key Pivot chord |¥ | II in new key ¥ V in new key |¥ | I in new key Note that the pivot chord is on the weak part of the harmonic rhythm. which is III in C major and VI in G major. Pivot Chord Modulation The strongest common element between origin and destination keys is a chord that belongs to both keys. which shows a modulation from C major to A minor:        C: I Cmaj7 Fmaj7     BØ7         V E7 Am7      IV Am: VI II I . The following three examples illustrate pivot chord modulations to keys closely related to the starting key and also to a more remote key. it is most frequently at the end of a formal section of a tune. In order to modulate smoothly (which may not be the goal of some artists) we try to find some common element between the first key and the second and then use it to make the transition to the new key. Such a chord is called a “pivot chord. In the typical 32-bar AABA tune. A similar approach is used in this next example.VIII – Functional Harmony in Jazz 67 the Street. The only difference is that the II-V-I sequence is in a new key. is a passage that modulates from C major to G major:       C: I Cmaj7 Em7     Am7          V D7      I Gmaj7 III G: VI II The pivot chord is EmÏ. This is the same pattern found in the Rhythm changes. When it does occur. and another is needed to get from the bridge back to the key of the final A section. for example.) Another common borrowing is the progression from I to Im (see. the opening sections of I’ll Remember April and On Green Dolphin Street. followed by II-V-I in their typical strong-weak-strong arrangement. In this situation a brief modulating passage is needed to get from the second A section to the key of the bridge.) Modulation Actual change of key is relatively rare in jazz.

the AëmÏ is followed by a V-I “confirming cadence” using the tritone substitute ÓIIÏ dominant (enharmonically. If the destination key is remote (i. for example. Common Tone Modulation A weaker form of connection between keys can be obtained by using a single tone common to both keys.68 Jazz Theory In this example. B in CmajÏ becomes Cë in AëmÏ. Here. is a common-tone modulation from C major to Aë minor.” which is known more formally as “direct modulation” (and less formally as “truck driver’s modulation”). CmÏ is borrowed from the parallel minor to serve as the pivot chord in a modulation from C major to EÓ major:           C: I Im Eb: VI Cmaj7 Cm7      II Fm7 Bb7  V    Ebmaj7      I The borrowed CmÏ chord becomes VI in the new key. very weak. In order to convince the listener that a modulation to Aë minor has really taken place. the pivot chord is FmajÏ. The common tone is used in a chord that is otherwise not common to both keys. which is IV in C major and VI in A minor. no attempt is made to find a common element between the origin and destination keys. EÓ. Here. In the following example. A familiar example of this approach is the half-step up modulation used by pop arrangers to create excitement for the final chorus of a tune:                        C: V7 rit. 7 Db:V                     To big finish . In both of these examples.. the key signatures of the origin and destination keys differ by many accidentals) it may be necessary to borrow a suitable pivot chord. as AÉË):   Cmaj7               Abm7      A13      Abm7 Direct Modulation A final. the pivot chord occurs in the weak position immediately following I in the key that is the point of departure for the modulation.e. approach to modulation might be called “just go there.

and Beads from the Broadway show Kismet has relatively complex harmony for a pop song (it is based on a melody from Borodin’s Polovetsian Dances). Use the pivot chord approach. Write chord progressions that modulate from F minor to each of the diatonically related keys except II and the VI and VII borrowed from the major. Uptight. 3. The use of ÓVII could be viewed as an example of borrowing in the sense of the discussion above. Miscellaneous Harmonic Techniques Tonic-by-Assertion Alternation between I and ÓVII is common in both jazz and pop music. If possible.. Use borrowed pivot chords if necessary. and pop oldies such as On Broadway.g. Easy Living. are the opening bars of Nostalgia in Times Square:        F7 Eb7     F7 Eb7                3 F7 Eb7 F7 Eb7 The overall harmony of this piece is a sophisticated variation on the standard 12-bar blues chord progression. . and Got to Get You Into My Life. The Song is You). include a Roman numeral analysis. Provide a Roman numeral analysis of the harmony. How and where is the change of key accomplished? 7. AÓ major. Use the pivot chord approach. in the usual context. Baubles. Give a Roman numeral analysis of the modulation. that is. Write chord progressions that modulate from EÓ major to each of the diatonically related keys except VII. the ÓVII chord could be analyzed as a borrowing from the parallel minor.VIII – Functional Harmony in Jazz 69 Exercises 1. Choose a tune that has a relatively remote modulation from the A section to the bridge (e. GÓ major. Prelude to a Kiss. Familiar examples include Charles Mingus’ Nostalgia in Times Square. Unforgettable begins in the key of G major and ends in the key of C major. 2. Write a different chord progression for the modulating section (usually the second ending of the A section). Choose a tune from the AABA list in the Form section in Chapter I that has a B section in a different key from the A section. Make sure to give a plausible account of the modulations or tonicizations you find in this piece. Describe how the modulation is accomplished. and D major. Bangles. 4. Benny Golson’s Killer Joe. Body and Soul. Here. Give a Roman numeral analysis of the modulation. while the portion of the melody shown here uses the pentatonic scale just as in traditional blues and much rock (see the Blues section in Chapter V). for example. Write chord progressions that modulate from BÓ major to EÓ minor. 5. 6. The effect over several measures of alternation is to establish a Tonic simply by repeatedly asserting it and embellishing it with its lower neighbor. with all voices moving strictly in parallel back and forth between it and the Tonic. Cherokee. Smoke Gets In Your Eyes. the ÓVII is used as a neighbor chord. However.

The following examples only suggest the possibilities. John Coltrane’s Naima is a good example of this practice:                    ppp Bbm9  3 Ebm9                B13b5 A13b5        3 Abmaj9       Here the indicated key is AÓ. unstable feeling which is not resolved until the coda provides a sequence of I and IV chords in root position. but the EÓ pedal point together with the chromatic harmony of the accompanying chords combine to create a tentative. Note that a non-standard version of the “slash” notation is used for these examples. the chord CÏ×Ñ …ÉÉ ÉËØ could be thought of as the combination of a D-major triad over CÏ:         C7 D When tensions are treated in this way. For example. while the chord symbol that follows the slash is the lower chord. the lower chord plus the upper structure triad — is a type of polychord. There is a great variety of combinations of basic chords and upper structure triads.70 Jazz Theory Pedal Point Jazz musicians sometimes use pedal points to create a complex or ambiguous tonality. The chord symbol that precedes the slash is the upper structure triad. they are said to be “upper-structure triads. Upper Structure Triads Some jazz artists group tensions into distinct triadic units that are played against an underlying chord. Here are some of the many possible upper structure triads that may be added above a dominant seventh:                 A/C7 D/C7             F#/C7       Eb/C7       A/C7 Ab/C7 A/C7                   Eb/C7 F#/C7 D/C7       Eb/C7    Ab/C7                F#/C7 .” and the chord as a whole — that is.

VIII – Functional Harmony in Jazz A smaller number of upper structure triads is available for minor sevenths and major sevenths: 71         Em/Dm7 C/Dm7       G/Dm7       Em/Dm7       C/Dm7       Em/Dm7       C/Dm7               D/Cmaj7       D/Cmaj7       Bm/Cmaj7 G/Cmaj7          D/Cmaj7       Bm/Cmaj7 G/Cmaj7          Finally. the following chord progression would be indicated in standard chords symbols as DmÏ×Ñ ÉÉ ÉËØ GÏ ×Ñ …ÉÉ ÉËØ CÎ×Ñ …ÉÉØ: Under a bitonal interpretation. Many colorful harmonies can be achieved by using different voicings for the lower chord. for example. the chord symbols could be rewritten as Em/DmÏ A/GÏ D/CÎ                       . The chords discussed in the “Rootless” Chords section in Chapter VI. a still smaller number of upper structure triads is available for sixth and minor sixth chords:         D/C6 Bm/C6             D/C6 Bm/C6       D/C6    G/Cm6            Dm/Cm6       G/Cm6       F/Cm6       Dm/Cm6       Dm/C6       All of the above examples of upper structure triads show the lower chord in root position and voiced in close position. while the lower chords represent another. Polychords and Polytonality Consistent use of upper structure triads can result in a kind of “bitonality”: two different keys in force simultaneously. The upper structure triads can represent one key. offer many interesting combinations. For example.

find five UST’s that you think don’t work as acceptable extensions of the underlying chord. Write a polytonal harmonization of the Rhythm changes such that the chords in the bass staff remain in the standard key of BÓ. Exercises 1. give at least one example. If not.72 Jazz Theory This progression could therefore be interpreted as II V I in D major simultaneously with IImÏ VÏ IÎ in C major. Analyze the pedal-point section near the end of Bach’s Prelude #1 from the WellTempered Klavier Book 1 using jazz Roman numeral chord symbols. 3. It is up to the jazz artist to determine whether and how such an interpretation is to be brought into prominence. How can “tonic by assertion” be explained in terms of linear chords? Are there any chord combinations other than those mentioned above that can be used to create a tonic by assertion? If so. . 4. For the chord GmÏ. while the chords in the treble staff are consistently in a different key. why not? 2. Explain why in each case.

. all of the major and minor scales. This traditional skill helps the performer select the right scale to go with a particular chord in a given context. which should be done before an actual performance rather than “on the fly” during a solo.IX – Chord Scale Theory 73 IX. Chord scale theory is most properly used as an planning tool to help the musician map out a sequence of scales to be used as material for improvisation. and “incomplete” dominant ninths) Borrowed (modal interchange) chords Voice leading (linear) chords Scale To Use For Improvisation The major scale of the prevailing key The minor scale of the prevailing key (with the necessary adjustment of scale ^ ^ degrees 6 and 7 to avoid clashes) The major or minor scale of the key in which the given chord functions as a dominant The major or minor scale of the key from which the chord is borrowed See discussion below 11 As with the federal government’s recurring income tax “simplification” proposals. you should keep your hand on your wallet at all times when the “simplification” of anything is promised. but. the performer should know how to do the usual Roman numeral analysis of harmony. then. and be able to play. voice leading 7th chords. I’ve tried to avoid making it appear simpler than it really is. in keeping with the motto at the beginning of this book. Chord-Scale Theory Chord scale theory concerns the question of which scales go with which chords. In addition. but rather as sequences of chords related to one another by their functions within a specific key. Typically a jazz soloist wants to know what scale to use to improvise a melody over a particular chord or sequence of chords. the simplest application of chord scale theory generally comes down to choosing the right major or minor scale to go with a chord or sequence of chords. I’ve done my best to simplify chord-scale theory. In order to apply chord scale theory successfully in jazz improvisation. Chord scale theory provides some guidelines (not rules) for choosing scales in this situation. the goal is to find the longest sequences of chords that can be accompanied by one scale. The key to using chord scale theory is not to think of the harmony of a piece as a sequence of isolated chords. This encourages the performer to think across sequences of chords rather than from chord to chord A Simplified11 Approach To Chord-Scale Theory Only the major and minor scales are needed to accompany all seven of the basic chord types. The very simplified approach to chord-scale theory presented here can be summarized in the following table: Chord Type Any diatonic chord in major Any diatonic chord in minor Dominant 7th –quality chords (including secondary dominants. it is necessary for the performer to know. In practice. Under this interpretation of chord scale theory.

. CmajÏ. this chord would also be accompanied by the E minor scale. Dominant seventh-quality chords: Secondary dominant seventh chords and chords that are built like dominant seventh chords abound in jazz. Diatonic chords in the major mode: for all of these. Furthermore. 4th ed. simply use the major scale of the key in force. is to treat them as dominant sevenths and accompany them with the major or minor scale of the key in which they function as the dominant. and BƒÏ. sometimes a clash is precisely the effect that is ^ ^ ^ ^ wanted) Performers can use Kostka and Payne’s arrow notation — ↑6 . FmajÏ. ^ ^ select the versions of scale degrees 6 and 7 — natural or raised — that coincide with those used in the accompanying chords (it should not be assumed that clashes are always to be avoided. all of the chords are diatonic in C minor. the C major scale is used with CÎ. ↓6 . it would be appropriate to accompany it with the E minor scale with suitably chosen sixth and seventh degrees. Diatonic chords in the minor mode: for all of these. FÎ. 12 Stefan Kostka and Dorothy Payne. In the following example.74 Jazz Theory The following discusses the details of handling each of the indicated chord types: 1. some adjustment of the sixth and seventh scale degrees is necessary as the piece proceeds from chord to chord. the entire II V I sequence (FÕƒÏ BÏ EmÏ) should be accompanied by an appropriate form of the E minor scale. including the tritonesubstitute ëIIÏ and the “incomplete” dominant ninths VIIƒ and VII„. ↑7 . 2000. The desired versions of the scale degrees are indicated with the arrow notation. Boston: McGraw-Hill. 3.12↓ 6 and ↓7 ^ ^ denote the natural sixth and seventh degrees. however. 2. The lower case “c:” indicates that the prevailing scale is C minor. If it is desired to avoid clashes between the melody and the chords. in the key of C major. if in the key of C a BÏ chord occurs as VÏ of E minor. For example. if the BÏ is preceded by FÕƒÏ (IImÏ of E minor). For example. The simplest approach to selecting scales to go with these chords. In other words. while ↑6 and ↑7 denote the raised degrees borrowed from the parallel major. GÏ. c: ↑6↓7 Trumpet in Bb ^ ^            Cm7                           AØ7 ↓6 ^  DØ7    Gb9b13 Piano               String Bass              Cm7           Notice that the pianist is working from either chord symbols or a fully notated accompaniment. AmÏ. EmÏ. or ↓7 ^ ^ ^ ^ — to remind themselves which form of scale degrees 6 and 7 to use. use the minor scale of the key in force. while the trumpet player needs only a few hints about the scale he or she is to use for improvisation. DmÏ. Tonal Harmony.

…etc. Here are the three diminished scales:                      13 The diminished scale can also be created as the repeating pattern half-step-whole-step. In this case. but transposed down a half-step. This scale is based on the repeating pattern whole step-half step. 5. major or minor. etc. we identify it as IV in the parallel minor key. b. As mentioned above. for example).…. BƒÏ could be treated as an incomplete dominant ninth in C minor (regardless of the prevailing key) and accompanied with the C minor scale with lowered sixth degree. the diminished scale can be transposed by half-step in either direction only twice. A third transposition simply reproduces the tones of the original. Voice-leading chords: There are two principal cases of chords not already covered by items 1-4. The resulting scales are the same as the three shown here but starting from a different note. this is a very simplified version of chord scale theory. it can be treated as an incomplete dominant ninth and accompanied by the appropriate minor scale. This does not produce new scales. . C minor. The “Diminished” Scale The “diminished” (or “octatonic”) scale is often a colorful alternative to the major or minor scales used in the approach described above. But it should not be imagined that professional jazz performers make any such simple system the basis of their art.IX – Chord Scale Theory 75 4. whole step-half step. If the chord is a diminished seventh. used with the first chord in the sequence. use the same scale. and therefore use the C minor scale with the lowered sixth degree (and probably the lowered seventh degree as well) for improvisation. the EÓ minor scale could be used to accompany the EÓmÏ. This is described below. Borrowed chords: When a chord is borrowed from the parallel major or minor. if an FmÏ chord is used in the context of C major. A different approach to diminished sevenths — in any context — is to use the “diminished” (or “octatonic”) scale.13 Like the diminished chord. These are chords made up mostly or entirely of neighborand/or passing-tones: a. and it will serve to get the beginning student of jazz started on improvisation. For example. If the chord is a minor seventh chord used to slide chromatically between two diatonic chords (EmÏ EÓmÏ DmÏ. It covers all the cases involving the seven basic chord types described above. it is usually best to use the scale that would accompany that chord in the key from which it is borrowed. For example.

one could of course begin a melodic line on any note of the diminished scale. The diminished scales can be combined with the major and minor scales used in the simplified approach described above to produce a more sophisticated sound. the simplified chord-scale theory presented above will not work well. suppose we need to provide a scale for a chord like this CÏÓÑÓÍ: An appropriate chord scale for this harmony would include all the chord tones plus (in this case) two passing tones:        C7b9b5  Here we have added EÓ and A to complete a scale. We could have added D instead of EÓ. Ab7 A7 Bb7 Cº7 C#º7 Dº7 Chords With Alterations And/Or Tensions: If the characteristic “sound” of a jazz artist’s work will be lost if alterations and tensions are not included in a performance exactly as specified. and AÓ instead of A. the whole-step/half-step pattern begins on the root of the diminished seventh chord and on the third of the dominant seventh chord. Any gaps are then filled in to form a continuous scale. In these circumstances it will be necessary to construct appropriate chord scales. This is done by making a list of the notes in each chord.76 Jazz Theory           The following example shows one way that diminished scales can be used to accompany diminished seventh and dominant seventh chords:                                                                               In this example. In actual improvisation. For example. These are not the only choices. Note that the scale we created in          . including the tensions and alterations. These are merely reference points for the purposes of this example.

4. and harmonic — and thus that there are actually 36 different minor scales. like most tonal music. Perhaps surprisingly. Russell has pre-constructed for the jazz musician all the scales that would be needed for improvisation on the most complex harmonies. If a composer or performer uses tensions and alterations in an essential way in his or her music (i. 2. Interlude On The Minor Mode The discussion of chord-scale theory above was perhaps a bit vague whenever the minor mode was mentioned. In effect. Jazz is a form of tonal music and. but the time has come to confront the issues. 12 major and 12 minor.. These principles are uncontroversial. A composer or arranger who creates music in this way should write out exactly what he or she wants rather than relying on the informal jazz/pop chord notation to convey his or her intentions. melodic. This book’s view of minor rests on the following argument: 1. There are no inviolable rules concerning the relationship of melody to chords.e. whatever it is.IX – Chord Scale Theory 77 this case is the diminished scale described above (starting on DÓ). that is. however. MA: Concept Publishing Company. George Russell’s Lydian Chromatic Concept (Brookline. the minor mode is a contentious area in music theory pedagogy. 3. Everyone who has tried to teach beginners about minor is all too aware of the problems. however. even after hundreds of years of tonal music and its accompanying theory. Constructing a chord scale is the lowest common denominator of chord scale theory — it will work with almost any harmony. which claims that there are only 12 minor scales. and filling in appropriate passing tones will yield a complete scale for improvisation. Most of us learned that there are three forms of the minor scale — natural. which is simply a list of tones that can be used to create melodies and chords in that key. There are only 24 different scales. it is — at almost any point in a piece — in some particular key. corresponding to the 12 major and 12 minor keys. Simply listing the notes of the prevailing harmony. Certain issues were deliberately swept under the rug until the basic points could be established. the character of the music depends critically on all the chords being played exactly as notated). All the musician has to do is to look up the appropriate scale in Russell’s book. 2001) becomes an attractive choice of chord scale theory because it provides a logical choice of scale to accompany almost any conceivable extended and/or altered chord. if we accept principle 2. except perhaps for principle 3. so that one should expect to commit a substantial amount of time and energy to learning how to use it. Each key has a scale. The diminished scale often works well with altered chords and chords that have chromatic tensions. that a scale is simply a list of the tones that belong to a particular key. and if we observe which tones are used in real music . Russell’s system is quite complex.

Jazz musicians ever since the time of these two great musicians have adopted their techniques. this approach leads to a form of bitonality.” Journal of Music Theory Pedagogy. and thirteenths — as basic melodic materials for improvisation. many of which produce what might be called “apparent complexity. The anticipation or delay would typically cause a mild conflict between melody and harmony. so that his improvised melody would either anticipate the next chord or continue within a chord that had already passed by. Charlie Parker had a somewhat different approach. Tensions such as ë9. One recipe for producing such textures is to improvise melody on a scale at some specific interval above 14 A full discussion of the issues raised here can be found in Paula J. The point is that the improvising musician can think of melody in this way. This question can generally be answered partially through harmonic analysis of the specific case in question. and ë13 could be used freely in melody and required no resolution. “Rethinking the Teaching of Minor Scales and Keys. Whether melody that emphasizes tensions is heard in a bitonal sense is a separate issue. As early as the late 1930s. improvisation that in some way conflicts with the prevailing harmony. Lester Young would sometimes play slightly ahead or slightly behind the chords.” These techniques produce a seemingly complex musical texture that can actually be described very simply.78 Jazz Theory in the minor mode. both of these musicians had developed techniques for “outside” playing. The attitude of jazz musicians toward the relationship of melody and chords can perhaps be better gauged by considering the practices of two great and widely imitated soloists. then we must come to the conclusion that there is only one form of the minor scale:14 This scale has both the natural and the raised forms of scale degrees 6 and 7.               ^ ^ “Outside” Playing It should not be assumed that playing “inside” the harmony — the evident goal of chord scale theory — is an absolute requirement for good jazz playing. therefore. í9. Telesco. But in the end you have to use yours ears: what sounds right is right. When carried through consistently. +11. as discussed above. these techniques should be viewed now as standard skills for jazz players. It is precisely in the perceived clash between the harmonic implications of the improvised melody and the actual harmony that much of the charm of Young’s and Parker’s outside playing is found. these techniques depend for their effects on a background of tonal harmony. the question is — as it always has been in all forms of tonal ^ ^ music — which form of scale degree 6 or 7 to use in any given situation. Jazz players have introduced other devices for outside playing. elevenths. In fact. . Neither Lester Young’s nor Charlie Parker’s approach to outside playing represents an attack on tonal harmony or an attempt to escape it. Lester Young and Charlie Parker. For the composer or performer. His idea was to treat the tensions of each chord — ninths. 15(2001).

e. Of course. if he or she does this.. Here. p. Traditional music theory gives precise definitions of various embellishing tones — neighbor. Thus. cit. for example. The logic of jazz does not depend on their being observed. a perfect fifth above the chord root). escaped. suspension.IX – Chord Scale Theory 79 or below the indicated bass note or chord root. Treatment Of “Non-Chord” Tones The prevalence of stable dissonances and outside playing techniques raise questions about what a “non-chord tone” is. — and prescribes how they are to be treated. It goes without saying that this technique is not for musicians who wish to maintain clarity of harmonic function in their music. the treatment of these tones has the status of a stylistic effect rather than obedience to the grammatical rules of music. and D minor is use for improvisation over the following CmÏ chord (i.. The jazz musician can choose to observe these prescriptions or not. etc. . 4. in one and the same performance there may be passages that follow the traditional rules and others that do not. This approach often amounts to the same thing as Charlie Parker’s technique of emphasizing tensions.e. 146 ff. up or down a major second from the bass note or chord root up a perfect fifth from the bass note or chord root up a tritone from the bass note or chord root (less common) up or down a minor second from the bass note or chord root (less common) The quality of the results obtained using a technique such as this depends — as always — on the skills of the individual performer. the G major scale is used for improvisation over a CmajÏ chord (i. however.. a jazz artist may choose to set up a musical context in which embellishing tones are handled in the traditional manner. a major second above the chord root):                                                                   G/C6 Dminor/Cm7          3    Note the use of “rootless” chords in the left-hand part here. 15 Op. The recommended intervals for this technique are given by Felts:15 1. anticipation. 2. changing. passing. 3.

You may use the arrow notation described in the text or write out the names of the scales to be used. 2. Analyze the harmony and then indicate reasonable scales to use for melodic improvisation. and then indicate the scales to be used for improvisation on the modified bridge. write the scale out in full on a separate staff above the appropriate place in the tune. 3. . Write a melody based on the analysis you performed in exercise 3. Modify the bridge of the Rhythm changes by using substitute chords and/or interpolations. Mark up a copy of the Rhythm changes with the names of the scales that would be appropriate for improvisation. If it is necessary to construct a chord scale.80 Jazz Theory Exercises 1. 4. Choose a tune from one of the lists in the Form section in Chapter I.

Since all the notes in the modal scale are considered to be consonant with one another. secundal. From the free jazz point of view. and rhythm — are kept much the same as in the conventional approach. harmony. The other elements — form. As a consequence. and form — is required. melody. therefore. Not surprisingly.” Free jazz players seek to carry improvisation all the way down. Other Systems As was mentioned at the beginning of this book. Some approaches represent a minimal departure from the common practice. Solos follow the AABA pattern of the head. This requirement is a very demanding one. A free jazz style may use familiar jazz idioms. For this reason it is a fantasy to assume that the move to free jazz will automatically release a torrent of creativity that was previously confined in the box of traditional jazz structure. Free jazz also makes much greater demands on the listener. rhythm. To give a complete account of modal jazz would require a second book as least as large as this one. It requires the jazz artist to confront all of the problems any composer faces: choosing the harmonic. continuous improvisation of every aspect of a performance — melody. the jazz techniques described in this book represent a kind of surface ornamentation of a fixed underlying framework. This brief description of one modal piece cannot begin to convey the variety of modal approaches developed since Davis’ pioneering work in the late 1950’s. These methods appear to be designed mainly to bring a fresher sound to conventional jazz performance. etc. melodic.) made from the notes of the modal scale. The various forms of free jazz do without most or all of the traditional structure of jazz. while the B section is in the EÓ “Dorian” mode. and rhythmic materials to be used. but the soloist improvises along the modal scale rather than on chord changes. “Free” jazz. the musician(s) providing the harmonic background can play any chords (triadic. and designing the larger “architecture” of the work. Free Jazz “Free” jazz presents a truly different picture. respectively). but it does away with the templates provided by pre-composed material such as chord changes and song forms. No chord symbols are given (except for the misleading — and completely redundant — “Dm7” and “EÓm7” at the beginnings of the A and B sections.X – Other Systems 81 X. the genre as a whole cannot be summed up in any one set of principles or techniques. Modal Jazz “Modal” jazz provides a framework for improvisation based on scales rather than chord progressions. specifying the instrumental resources required. For example. who must work to understand the unique musical . free jazz is a genre that only a few gifted musicians who have worked together for an extended period can explore successfully. but the A section is specified as being in the D “Dorian” mode. Among these are the use of quartal and secundal harmonies to accompany standard tunes. quartal. departs radically from the traditional jazz idioms. Free jazz consists of many different musical languages. namely the harmony of a selected “head. on the other hand. There are several others that do not share the entire set of core practices of jazz as described in this book. the system presented here is not the only one in current use in jazz. Miles Davis’ So What — one of the earliest examples of modal jazz — has the 32-bar AABA structure of many pop standards.

04. alternative systems developed by rock musicians have had some influence in jazz.4/mto.16 Most of these have already been covered in this book: major. Although the system of jazz harmony described in this book is still also the dominant one in rock. diatonic modal harmony. and the blues chords + pentatonic melody technique described in Chapter V.. much like what you study in traditional music theory.w_everett. uniquely rock-oriented systems.04.societymusictheory.org/issues/mto. as described in the Modal Jazz section above. <http://mto. Everett’s paper should be consulted for detailed descriptions of the other. Walter Everett has identified six distinct tonal systems operating in rock.10. Tonal Systems In Rock Since the late 1960’s there has been considerable interaction between jazz and rock. Free jazz thus remains less popular than other forms of jazz.10.html> .82 Jazz Theory language employed by a free jazz group. 16 Making Sense of Rock’s Tonal Systems.4.and minor-mode “common practice” harmony.

83 Appendix A: Jazz Chord Dictionary Cmaj7      y         GØ7 CØ7    C6 G6 Cm7     Gm7    Gm6 Cm6 C7     G7         Gº7 Cº7      Gmaj7    D6           Dm6     D7               Dmaj7       A6 E6    Dm7             DØ7 Dº7      Amaj7 Am7        Am6 Em6        A7 E7     AØ7     Aº7  Emaj7      Fmaj7      Em7      EØ7     FØ7        BbØ7  Eº7     Fº7        Bbº7  F6      Bb6 Fm7         Fm6  F7         Bb7      Bbmaj7     Bbm7    Bbm6 Ebmaj7         Ab6 Eb6 Ebm7           Abm6 Ebm6 Eb7     EbØ7     Ebº7               Abmaj7       Db6     Abm7     Ab7     AbØ7     Abº7 Dbmaj7 Dbm7        Dbm6 Db7     DbØ7     F#7 Dbº7     F#maj7      Bmaj7         F#b6     F#m7    F#m6      B7         BØ7 F#Ø7  F#º7    Bº7        Bb6 Bm7        Bm6     .

84 Jazz Theory .

85 Appendix B: Rootless Chord Dictionary      Bbmaj7 Bbmaj7       Bb6     Bbm7 Bbm7        Bbm6    Bb7    Bb7 Bb7        Bb7 Bmaj7 Bb6 Bm7 Bm7 Bm6 B7 B7 B7 B7                                        Bmaj7     BbØ7    BØ7 Bbº7      Cmaj7 Cmaj7       C6         Dbm7 Cm7 Cm7 Cm6 C7              C7 C7         C7 Db7                   Dº7 Cº7 Bº7                Dbmaj7    Db6     Dm7 Dbm7       Dm6 Dbm6    D7     Db7      Db7 Db7            CØ7 DbØ7 Dbº7 Dmaj7    D6 Ebmaj7     D7     Eb7    E7     F7     Eb7 DØ7    Ebmaj7    Eb6        Ebm7 Ebm6           E7 E7 EbØ7           FØ7 EØ7 Ebº7 Emaj7 Emaj7 E6               Em6 Em7 Em7  E7                     F7       F7         Fº7 Eº7      Fmaj7 Fmaj7    F6         Fm7    Fm7 Fm6 F7             F#maj7 F#maj7 F#m6 F#7 F#7  F#7 F#7  F#6    F#m7 F#m7                                       Gmaj7         F#Ø7 F#º7         Gmaj7 G6    Abm7     Gm7    Gm7 Gm6     G7        G7 Ab7       Ab7 G7       AbØ7 G7      GØ7        Abº7 Gº7     Abmaj7         Abm7        A7 Abm6          Amaj7    Am7    A7     AØ7      Aº7 .

86 Jazz Theory .

87 Appendix C: Using Sibelius® .

Choose Notes > Arrange. It intelligently copies music from any number of staves to any other number of staves. bass. A piece can be broken up into phrases or sections. 6. Note that Arrange “decided” to double the lead line on the alto and trumpet and to give the lowest part to the bass trombone. Select the staves into which you want to paste the resulting music. The result is shown here. 5. Make a piano version of your piece. and drum parts for the first two bars of Blue Monk were given. the jazz quintet style was selected in the Arrange dialog. The arranger could decide to delete the trombone part. separate from the rhythm section instruments. Staves were then added for three saxophone parts and three brass parts.” Arrange is designed to assist Sibelius users in making arrangements and orchestrations. the piano part could be removed or reduced to just chord symbols since the horns are now carrying both the melody and the complete harmony. The copying can be done according to many different styles supported by Sibelius. Hit I on the keyboard and add the instruments you want in your arrangement. and modify as necessary. While in the Instrument dialog. or cut the bass trombone part and paste it into the trombone part. Procedure 1. The Arrange dialog appears. you can take advantage of a very useful capability called “Arrange. . 4. 3.88 Jazz Theory Sibelius Basics Using the Sibelius “Arrange” Feature If you are using the Sibelius music notation software. each with its own constant number of voices.) 7. Sibelius arranges only pitched instruments. including several jazz styles that are useful for scoring pieces for groups ranging from small combos to big band. Arrange is easiest to use if the piano version has a constant number of voices (all of the “parallel” voicing styles described above work very well). In addition. Check out the arrangement Sibelius has made to see if it’s what you wanted. leaving the trombone part with nothing to do. or copy the bass trombone part to the trombone. 2. From among the many jazz styles provided by Sibelius. Select the passage you want to arrange and copy it to the clipboard using Edit > Copy. Example In the following example. Choose the desired style from the drop-down list and click OK (“Standard” is a good initial choice if you’re not sure about style. make sure to group your brass and woodwind instruments together. the piano.

89          Tenor Saxophone        Baritone Saxophone          Trumpet in Bb          Trombone  Alto Saxophone Bass Trombone                                                                 Eb7             Bb7                                             Piano String Bass Drum Kit .

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