Advanced Modal Jazz Harmony Applied To Twentieth Century Music Compositional Techniques in Jazz Style

ADVANCED MODAL JAZZ HARMONY APPLIED TO TWENTIETH CENTURY
MUSIC COMPOSITIONAL TECHNIQUES IN JAZZ STYLE: A PRACTICAL

GUIDE FOR STUDENTS.
By
DIEGO CELI RAMOS, Bachelor of Arts in Contemporary Music
Presented to the Faculty of the Graduate School of
Stephen F. Austin State University
In Partial Fulfillment
Of the Requirements
For the Degree of
Master of Arts in Music Education
STEPHEN F. AUSTIN STATE UNIVERSITY
December, 2009
2
ADVANCED MODAL JAZZ HARMONY APPLIED TO TWENTIETH CENTURY
MUSIC COMPOSITIONAL TECHNIQUES IN JAZZ STYLE: A PRACTICAL
GUIDE FOR STUDENTS.
By
DIEGO CELI RAMOS, Bachelor of Arts in Contemporary Music
APPROVED:
______________________________________
Dr. Stephen Lias, Thesis Director
______________________________________
Dr. Ronald Anderson, Committee Member
______________________________________
Dr. Juan Carlos Ureña, Committee Member
______________________________________
Dr. Brian Utley, Committee Member
__________________________
Dr. Tom Wheeler,
Associate Vice President for
Graduate Studies and Research
3
ABSTRACT
Contemporary jazz modal harmony and composition pedagogy is an
underdeveloped area, which shows as one of its characteristics a lack of
published material for undergraduate level. In addition, the available texts on the
mentioned topic do not bridge a clear path between what is currently composed
and recorded in the jazz industry, and the composition student. Most of these
books are publications merely explaining the old and overused tonal system. This
situation has made the craft of teaching contemporary jazz composition and
advanced modal harmony a job difficult to achieve.
The overall purpose of this study is to create a method for college
students that seeks to expand the harmonic and compositional language of jazz
music, through the use of synthetic scales and twentieth century music
compositional techniques applied to the style of jazz.
iii
ACKNOWLEDGMENTS
This work could not have been accomplished without the help and support
of many individuals. I would like to thank very specially to Dr. Stephen Lias for all
his patience, hard work and great spirit during the course of this thesis; also for
all the knowledge I received from his lectures. I would also like to thank the
Committee members, Dr. Brian Utley, Dr. Juan Carlos Ureña, and a very special
gratitude to Dr. Ronald Anderson, without the knowledge on music research I
learned in his course, I wouldn’t have been able to achieve this goal.
Appreciation goes to Dr. Mark Turner, for being always available when I needed
help, for opening my mind, for teaching me how to be a better music pedagogue,
and for encouraging me to write this thesis. Finally, I would like to give a special
thank to my wife and son, without their love and support I would not have been
capable of studying a master degree; and I would like to thank God, for giving
me new ideas all the time.
iv
TABLE OF CONTENTS
ABSTRACT .. iii
ACKNOWLEDGMENTS iv
LIST OF FIGURES . .. ... . viii
SECTION 1
Chapter 1
1. Introduction . .1
2. Historical Comparison . . .. 3
3. Modal Jazz . .. 5
Chapter 2
1. Synthetic Scales .8
2. Method 10
3. List of 462 Heptatonic Scales . 14
Chapter 3
1. The Use of Synthetic Scales in Jazz .. 73
2. Tertian Diatonic Harmonization .. . 77
v
3. Quartal, Quintal and Secundal Diatonic Harmonization .. 77
4. Chord Labeling . ..... 78
5. Parental Scales .. 80
6. Modal Names for Synthetic Scales . 80
7. Derivative and Parallel Form ... 81
8. Diatonic Harmonization of Synthetic Scales ... .. 82
9. Major Scale . 84
10. Major b9 Scale ... 87
11. Major #9 Scale ... 90
12. Major b5 Scale ... 93
13. Harmonic Major Scale . . 96
14. Major #13 Scale . 99
15. Major b9 b5 Scale ... 102
16. Double Harmonic Major Scale... .. . 105
17. Major b5 b13 Scale... ... .. 108
18. Major #9 #13 Scale ..... 111
19. Major Augmented #13 Scale . 114
20. Harmonic Minor Scale .. ..... 117
21. Melodic Minor Scale... ... . 120
22. Melodic Minor Scale b9 .. .. . 123
23. Augmented Melodic Minor Scale . . 126
vi
SECTION 2
Chapter 4
1. Chord Voicings 129
2. Close Voicing . .. 129
3. Open Voicing . . . 130
4. Drop 2 131
5. Drop 3 132
6. Drop 2+4 ... 132
7. Tensions ... .... 133
8. Spread Voicings .. 134
9. Mixed Voicings ... . 135
10. Traditional Voice-Leading .. 135
11. Strict and Free-Voiced Texture 138
Chapter 5
1. Contemporary Compositional Techniques .. 139
2. Contemporary Voice-Leading 139
3. Olivier Messiaen’s Voice-Leading Pattern .. 140
4. Arnold Schoenberg’s Voice-Leading Patterns 146
5. Paul Hindemith’s Two-Voice Framework... . 154
6. Pandiatonicism 158
7. Omnibus ... 163
vii
8. Béla Bartók’s Axis System . 169
9. Conclusion 180
BIBLIOGRAPHY .. 181
VITA . . 187
viii
LIST OF FIGURES
Figure Description Page
1 Chromatic Scale ... . 11
2 First Permutation ... 11
3 Second Permutation ..... 11
4 Third Permutation .. 12
5 Fourth Permutation 12
6 Lydian .. 12
7 Major . ... . .. 12
8 Mixolydian . .. 13
9 Melodic Minor . 13
10 Dorian . . 13
11 Lydian Augmented ... . 13
12 Lydian b7 ... . 13
13 Major #13 14
14 Dorian #11 .. 14
15 Major Scale Formula . 75
16 Chord-Tones Formula Labels .. 75
ix
17 Scale-Tones and Tensions Formula Labels .... . 76
18 First Permutation ... 76
19 Permutation 238 77
20 Cmaj7(9) . 79
21 C Quartal Chord . 79
22 Cmaj7(11) omit 5th . 79
23 List of Parental Scales .. 83
24 C7 Four Way Close . 130
25 C-7 Drop 2 131
26 C7+5 Drop 3 . 132
27 C-maj7 Drop 2+4 ... .. 133
28 Tension and Scale-Tone Replacement Chart 134
29 Spread Voicings .. 135
30 Mixed Voicings . 135
31 Voice-Leading With One Common Tone . 137
32 Voice-Leading Without Common Tones . . 137
33 Voice-Leading With Parallel Fourths... .... 137
34 Diminished Scale Mode 2 .. 140
35 Olivier Messiaen’s Harmonization 141
36 Messiaen’s Voice-Leading Pattern . .. 141
37 Messiaen’s Voice-Leading Pattern Top Voice ... . ... 142
x
38 Messiaen’s Voice-Leading Pattern 2nd & 3rd Voices .. 142
39 Messiaen’s Voice-Leading Pattern Bass Voice .. 142
40 Messiaen’s Pattern Application Part 1. 143
41 Messiaen’s Pattern Application Part 2 ... .. 143
45 Assignation of Chord Tones and Tensions . 147
46 Assignation of Voice-Leading Pattern . . 148
47 Completed Voice-Leading Part 1 ... .. 148
48 Completed Voice-Leading Part 2 . . 149
49 Bass Note Added... . 149
50 Schoenberg’s Voice-Leading Patterns List ... .. 150
51 Pattern Application Part 1 . . 151
54 Two-Voice Framework Part 1 155
55 Two-Voice Framework Part 2 ... .... 155
56 Two-Voice Framework Part 3 156
57 Two-Voice Framework Part 4 ... ... . 157
58 Pandiatonicism Part 1 ... ... .. 159
xi
59 Pandiatonicism Part 2 . 160
61 Pandiatonicism Part 4 ... ... .. 161
63 Omnibus Part 1 164
64 Omnibus Part 2 .. . 164
65 Omnibus Part 3 . .. 165
66 Omnibus Part 4 ... 165
69 Omnibus Part 7 . .. 167
71 Circle of Fifths . . 170
72 Harmonic Functions .... 170
73 Tonic Axis ... .. 171
74 Dominant Axis . . 172
75 Subdominant Axis ... 172
76 Axis System Complete Diagram .. . 173
77 Function Symmetry ... .. 173
78 Primary and Secondary Branches .. . 174
79 Major Third Relationship .... 174
xii
80 Chord Substitution Table 1. .. . 175
81 Parallel Minor Axis .. 176
82 Chord Substitution Table 2 .. .. 176
83 Axis System Application 1 . ... . 177
84 Axis System Application 2 . ... . 178
85 Axis System Application 3 ..... 179
xiii
SECTION 1
Chapter 1
Introduction
Jazz composition and harmony is a subject that has caught the attention
of many contemporary musicians around the globe for many reasons. One of
those is that even though jazz is considered an innovative type of music, its
composition still remains a very underdeveloped area. In order to understand the
reasons why jazz composition has not been developed in the same manner as
classical (western art music) and contemporary music, it is possible to think of
many points to explore. One of the main circumstances that stopped jazz
composition from developing started with the disappearance of the big bands.
The big band was the main representative of jazz large ensembles; it
made its appearance around 1920 to 1945. During that time, big bands were
devoted almost exclusively to playing dance music, but it wasn’t until the years
between 1935 and 1945 that big bands reached their peak of popularity; this
period is known as the Swing Era.
After 1945, the economical effects of World War II started to affect the
music industry just as they affected everything else in common life. Owners of
clubs and theaters were not able to hire large ensembles with jazz singers
1
anymore, and sponsored radio shows also started to disappear. In order to keep
working, jazz musicians started to perform in small instrumental ensembles,
usually quintets or sextets.
These events in the world economy led jazz to what is now known as the
Be–bop Era, from the late 1940’s up to 1955. The Be–bop Era took jazz into a
completely new and different stage. It moved jazz from being considered
exclusively as dance music, to becoming art music. It also includes one
characteristic now considered a fundamental part of jazz; it became mainly an
improvised instrumental art form.
The subject of jazz composition has many meanings. Traditionally, a jazz

composition was an arrangement for big band that was composed by the
arranger. Most of the earlier jazz composition textbooks (and there were
few) took that approach. A jazz composition for universal use was not a
practiced consideration at that time: most small group performances were
based on playing standards or blues, or tunes with new melodies derived
from an improvised solo over the original or varied version of the original
chords. Even the most forward–looking composers of the time were tied to
the song form and tonal harmonic system. Although they produced
classic, beautiful compositions, the closed quality of their harmonic
vocabulary and symmetric form deprived them of diverse expression. It
wasn’t until the early sixties, when a group of university educated
composers hit the scene, that jazz compositions evolved into venues of
individual expression for both the composer and the improvisor. These
young composers, aware of the harmonies of Bartók, Stravinsky, Ravel
and Rachmaninov, and the use of extended and free form, introduced a
new concept of jazz composition to the jazz world.1
1
Ron Miller, Modal Jazz Composition & Harmony (Rottenburg, Germany: Advance
Music, 1996), 6.
2
As Ron Miller (senior jazz composition professor at the University of
Miami) describes above, it wasn’t until the sixties that things started to change for
jazz composition. This has created a big disadvantage in terms of time if
compared to the development of classical music composition. That is another
reason why almost every jazz composition book available is still devoted to tonal
functional harmony material and big band approach.
There are very few jazz composition and harmony books that try to
expand their harmonic and compositional language, and most never refer to
composing for small ensembles, not to mention that even fewer try to adopt and
explore new compositional techniques. The overall purpose of this thesis is to
create a method to help undergraduate jazz students that want to stretch the
limits of tonality, or seek to incorporate atonal concepts into their jazz
compositions. In order to achieve this goal, this study will use as a guide the
development and transformation of the tonal into the atonal system of western art
music.
Historical Comparison
Toward the end of the nineteenth century, aesthetic trends in music were
going through a period of transformation. The late romantic musical idiom started
to be replaced by a new language. Adding to that, the musical hegemony of
Germany was being challenged by two new forces: the nationalism most evident
3
in Russia and Bohemia, and the rise of a new composition school in France
mostly represented by impressionist composers.2
The classical concept of tonality was threatened by these new
compositional movements; chromaticism, complex and unorthodox chords,
modality, and the use of non-classical scales like pentatonics, symmetric scales,
synthetic scales, and concepts like polytonality were trends used as substitutes
for the traditional diatonic material.3 With the arrival of the twentieth century, an
almost total rejection of the principles regulating tonality showed that evolution
does not always proceed in a straight line. Sometimes, as in this case, it turns
with sharp angles.4
A similar and almost parallel situation occurred later in jazz between the
years of 1950 to 1955, commonly known as the Cool-jazz Era. That period
brought to jazz the end of the Be-bop Era, and with it, the decline of the tonal
system. This period of time started with the recording of the album Birth of the
Cool by Miles Davis in 1949.5 On that recording the very first attempts to
establish new directions in jazz harmonic language were made, but it wasn’t until
1958 with the release of the albums Milestones and Kind of Blue in 1959, both
2
Donald Jay Grout and Claude V. Palisca, A History of Western Music, 3rd ed. (New
York: W.W. Norton & Company, 1980), 636.
3
Ibid., 681.
4
Ibid., 683.
5
H. Wiley Hitchcock and Kyle Gann, Music in the United States: A Historical Introduction,
th
4 ed. (Upper Saddle River, NJ: Prentice Hall, 2000), 305.
4
also by Miles Davis, that a new concept of harmonic vocabulary was adopted by
jazz musicians: modal jazz.6
Modal Jazz
The emergence of this new trend in jazz harmonic material can be traced
back to 1953 with the publication of the harmony/theory jazz book Lydian
Chromatic Concept of Tonal Organization by the jazz pianist and composer
George Russell. In this book Russell conceives the Lydian mode as the primary
scale of western music, and introduces into jazz for the first time the concept of
chord/scale relationship as a vertical diatonic unity.7 This concept is considered
the first original theory to come from jazz, and is credited with greatly influencing
Miles Davis in his creation of modal compositions.8
Originally, the early concept of modal jazz was based on tunes with just
one or two chords/modes. The aim of this type of harmony was to fully represent
the sonority of a specific mode on the composition and through the improvisation.
The best example is the composition “So What” included in the album Kind of
Blue by Miles Davis, where the whole piece is based on just one mode in two
non-diatonic tonal centers: D Dorian and Eb Dorian. This simplicity, somehow
6
Thelonious Monk Institute of Jazz, “National Jazz Curriculum-Jazz Resource Library:
Timeline.” Thelonious Monk Institute of Jazz. http://jazzinamerica.org/JazzResources/Timeline
(accessed August 5, 2009).
7
George Russell, Lydian Chromatic Concept of Tonal Organization: The Art and Science
of Tonal Gravity, 4th ed. (Brookline, MA: Concept Publishing, 2001).
8
Concept Publishing, “About George Russell,” George Russell Homepage.
http://www.georgerussell.com/gr.html (accessed August 7, 2009).
5
comparable to the one found in minimalism, didn’t lasted for too long. Very soon
other types of compositions made their appearance on the jazz scene with more
varied key centers and different modes like in the Herbie Hancock composition
“Maiden Voyage” from the album of the same name. In that piece, the Mixolydian
mode is represented through the use of dominant seventh sus4 chords in
different non-diatonic tonal centers.
These modal compositions don’t have a standardized categorization, as
was mentioned earlier, mainly because there are few texts available on the topic.
One of the few efforts to create different categories on this topic was made by
Ron Miller, who labeled these types of tunes as “linear modal” and “plateau
modal,” representing compositions on one or in few different modes at different
key centers respectively.9
It was just a matter of time before this new harmonic current opened a
new universe of possibilities in jazz composition. Possibilities include asymmetric
forms, faster harmonic rhythm, non-diatonic key centers, and scales and modes
different from the ones of the major and minor scale. The harmonic content of
these types of compositions is basically atonal, but due to the ancestor they
came from, in jazz they are still called modal tunes. The name that Ron Miller
gave to this category is “vertical modal.”10 A couple of the main representatives of
9
Music, 1996), 9.
10
Ibid.
6
this style of composition are Wayne Shorter, with pieces like “Fee-Fi-Fo-Fum”
and Herbie Hancock with “Dolphin Dance”. It is important to point out that the
categories mentioned above are not necessarily found as a whole composition;
this harmonic material can be found as part of a piece, intertwined with other
modal content, or even mixed with sections of tonal material.
Among the innovations that this period of time brought to jazz composition
was the use of different scale formations not derived from the major scale. This
was a phenomenon that also happened during the end of the nineteenth century
and the beginning of the twentieth. It can be adduced that jazz musicians used
that transitional period as a model in order to incorporate some of that material
into their own language. Examples of this include the whole-tone scale (one of
Debussy’s favorites), diminished scale, Lydian b7 scale (sometimes referred by
Bartók as acoustic scale, or by Kostka and Payne as Lydian-Mixolydian scale11).
These types of scale formation are usually called “artificial” or ”synthetic”
scales.12
11
Stefan Kostka and Dorothy Payne, Tonal Harmony with an Introduction to Twentieth-
rd
Century Music, 3 ed. (New York: McGraw-Hill, 1995), 456.
12
Ibid., 460.
7
Chapter 2
Synthetic Scales
A synthetic music scale can be defined as “a partition of the octave into
smaller musical interval relationships.”13 Considering the fact that any two tones
form an interval, a synthetic scale can be considered as any formation of three to
twelve pitch-classes (in tempered tuning or equitempered system) inside an
octave. The exceptions would be the major scale, its modes, minor scales
(natural minor, harmonic minor, melodic minor), triads and seventh chord
arpeggios.
In 1907 the Italian composer Ferruccio Busoni attempted to write all the
possible heptatonic (seven-tone) scales in his book Sketch of a New Esthetic of
Music. The method Busoni used was to alter (by raising or lowering) the different
degrees of the major scale obtaining a total of 113 combinations, as he states:
I have made an attempt to exhaust the possibilities of the arrangement of

degrees within the seven-tone scale; and succeeded, by raising and
lowering the intervals, in establishing one hundred and thirteen different
scales. These 113 scales (within the octave C-C) comprise the greater
part of our familiar twenty-four keys, and, furthermore, a series of new
keys of peculiar character. But with these the mine is not exhausted, for
13
Robert M. Mason, “Enumeration of Synthetic Musical Scales by Matrix Algebra and a
Catalogue of Busoni Scales,” Journal of Music Theory 14, no.1 (Spring 1970): 95,
http://www.jstor.org/stable/843038 (accessed September 15, 2009).
8
we are at liberty to transpose each of these 113, besides the blending of
two such keys in harmony and melody.14
Although Busoni considered his achievement as a success, the fact is that
the total number of 113 is far from being the real number of possible heptatonic
scales. It is important to point out also that Busoni counted in his scales different
tonalities and used a non-tempered tuning system. In 1929 J. Murray Barbour
published an article in the American Mathematical Monthly, where he explained
mathematically the procedure to obtain the real number of seven-tone
permutations that can be derived from the chromatic scale. Adding to that,
Barbour focused on what he considered was the problem in Busoni’s theory. He
observes that
A serious objection to Busoni’s scheme is that, in accordance with the

usual method of notation and with the conception of a seven-tone scale on
successive alphabetical degrees, his octave contains twenty-one different
tones instead of the twelve that belong to our system of enharmonic
temperament on the piano. This would seem to be an unnecessary
complication– and restriction –in a proposal that is otherwise so novel.15
The mathematical procedure that Barbour used, gives a total number of 462
heptatonic scales, all of them beginning in one same pitch.16
14
Ferruccio Busoni, Sketch of a New Esthetic of Music, (1907). trans. Theodore Baker
(New York: G. Schirmer, Inc., 1911), 29.
15
J. Murray Barbour, “Synthetic Musical Scales,” The American Mathematical Monthly
36, no. 3 (March 1929): 155, http://www.jstor.org/stable/2299681 (accessed August 11, 2009).
16
Ibid., 160.
9
An important objection that can be imputed to Barbour and Busoni’s work
is that none of their papers included the scales written in standard music
notation, or in any form. The only information provided to the reader in both
cases is a three-digit number of absolutely no musical use and the description of
the method used to obtain their scales.
In the spring of 1970, Robert M. Mason published in the Journal of Music
Theory an article explaining through the use of matrix algebra, another system to
obtain the same results as Barbour. In his paper Mason provides all the Busoni
scales written in letter notation, but he fails to provide the complete Barbour list.17
It is the aim of this thesis to provide (among other things) the complete list of
heptatonic scales written in standard music notation. The reason to write such a
big list is to transform a musically meaningless number, into fruitful and
productive compositional material. In order to achieve that, a different method
from those cited above was used.
Method
Since the aim is to apply the proposed theory to the style of jazz, the
tempered tuning system will rule the enharmonic material in a piano-like manner.
The reason for this is that in jazz, the standard musical instruments used are all
tempered (with the exception of the human voice).
17
Robert M. Mason, “Enumeration of Synthetic Musical Scales by Matrix Algebra and a
Catalogue of Busoni Scales,” Journal of Music Theory 14, no.1 (Spring 1970): 95-125,
http://www.jstor.org/stable/843038 (accessed September 15, 2009).
10
In order to obtain all the possible seven-tone (pitch-class) permutations
derived from the twelve notes of the chromatic scale, the list will start by
assigning numbers to each tone of the chromatic scale, somehow reminiscent to
the “pitch-class set theory”, as shown in the following example:
Figure 1. Chromatic Scale.
As a second step, every possible permutation consisting of seven tones
will be written one by one, by scrolling down every number/note to every possible
position like in an abacus as it is shown in the next example:
Figure 2. First Permutation.
Figure 3. Second Permutation.
11
Figure 4. Third Permutation.
Figure 5. Fourth Permutation.
As the list of scales keeps scrolling down, it is obvious that all the seven-
note common domain scales and modes sooner or later will appear inevitably, for
example the major scale and its modes (Dorian, Phrygian, Lydian, etc.), the
melodic minor, harmonic minor, harmonic major scales and their modes too as
shown below (enharmonic spelling will be necessary in most cases):
Figure 6. Lydian.
Figure 7. Major.
12
Figure 8. Mixolydian.
Figure 9. Melodic Minor.
Figure 10. Dorian.
Also many rarely used scales and modes will appear on the list; even
though those scales are not common domain scales, they can be of benefit to
any composer, like is shown in the following example:
Figure 11. Lydian Augmented.
Figure 12. Lydian b7.
13
Figure 13. Major #13.
Figure 14. Dorian #11.
Every possible scale consisting of seven tones, starting in the same root
that fits into the western tempered tuning system is going to be included in the
list. If transposed to the twelve keys (462 x 12) the total number of scales is
5544. Even though these scales derive modes that don’t have standardized
names, labels derived from the analysis will be provided in subsequent chapters
with a complete explanation of the process to assign them.
It is also important to point out that the scales selected from this list, to be
labeled and harmonized in subsequent sections, are going to be presented
traditionally spelled. The organizational system here explained derives scales
that in most cases are enharmonically spelled. In order to fit the western musical
system and tradition, every chosen scale will be re-spelled in order to line up to
the conventional manner of spelling seven-note collections, which means using
every note-name correspondingly to every scale degree.
List of 462 Heptatonic Scales
A complete list of the 462 heptatonic scales is provided below:
14
Chromatic Scale.
Permutations.
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
Chapter 3
The Use of Synthetic Scales in Jazz
In order to establish how many of these scales can be useful to the jazz
composer, it is important to determinate what makes a scale “usable” in this
language. To clarify this issue Paul Hindemith states that
In contrast to the scales of oriental peoples, as well as to those of

medieval Europe, our series will not serve exclusively melodic purposes.
Not every scale that was originally evolved for melodic purposes is well
adapted to the needs of harmonic organization. If a scale is to perform
both functions, the intervals must be such that the combinations of tones
are as pure as possible.18
As Hindemith argues, the scales derived from the list provided need to perform
melodic and harmonic functions as it is traditionally done in jazz; Bolin states,
“When thinking of chord/scales we are thinking harmonically and melodically at
the same time”.19 This tradition of treating scales as a vertical diatonic unity is
derived from improvisation. Contemporary jazz instrumentalists, in order to
18
Paul Hindemith, The Craft of Musical Composition, Book1: Theory, 1942. trans. Arthur
Mendel, 4th ed. (New York: Schott 1970), 25.
19 nd
Mark E. Bolin, The Jazz Theory Workbook, ed. Jerry Coker, 2 ed. (Rottenburg,
Germany: Advance Music, 1993), 43.
73
improvise, perform one scale for each chord; that concept is known as
chord/scale relationship.20
The majority of these scales and modes are heptatonic, and are
harmonized diatonically in seventh chords with added tones ninth, eleventh and
thirteenth from each degree of the scale. The added tones (or non-chord tone
extensions) hereafter referred to as tensions “because of this tense relationship
with the chord tones of the 7th chord,”21 are also derived diatonically.
Summarizing, in order for a heptatonic scale to be “usable” in jazz, it
needs to have a root, third, fifth, seventh, ninth, eleventh and thirteenth; these
degrees add seven tones that complete a heptatonic scale. Bolin states that
Contemporary jazz musicians tend to think of a chord and its related scale
as an entity. We have seen that by extending a seventh chord upward in
thirds to the thirteenth, we arrive at a seven note chord. If the notes in this
chord are re-ordered in seconds, the result is a scale.22
Every degree of the scale represents the intervallic relationship with the
root that can be of different qualities (i.e. major, minor, augmented, diminished).
This intervallic relationship generates a formula as shown in the next example:
20
Ibid.
21
Barrie Nettles, Harmony 1 Workbook (Boston: Berklee College of Music, 1992), 37.
22 nd
74
Figure 15. Major Scale Formula.
R 2 3 4 5 6 7
nd rd th th th th
major 2 major 3 p.4 perfect 5 major 6 major 7
According to this system, the formula for a natural minor scale will be: R,
2, b3, 4, 5, b6, b7; for a harmonic minor scale: R, 2, b3, 4, 5, b6, 7; and so on. A
complete list of chord tones, scale tones and tension labels as used in jazz is
provided in the following tables:
Figure 16. Chord-Tones Formula Labels.
Chord-Tone: Label:
Root R
Diminished Third bb3
Minor Third b3 Also identified with the label “Minor”
Major Third 3 Also identified with the label “Major”
Augmented Third +3
Diminished Fifth b5
Perfect Fifth 5
Augmented Fifth +5 Also identified with the label “Augmented”
Diminished Seventh bb7
Minor Seventh b7
Major Seventh 7
75
Figure 17. *Scale-Tones and Tensions Formula Labels.
Scale-Tone: Label: Tension: Label:

Minor Second b2 Minor Ninth b9
Major Second 2 Major Ninth 9
Augmented Second #2 Augmented Ninth #9
Diminished Fourth b4 Diminished Eleventh b11
Perfect Fourth 4 Perfect Eleventh 11
Augmented Fourth #4 Augmented Eleventh #11
Diminished Sixth bb6 Diminished Thirteenth bb13
Minor Sixth b6 Minor Thirteenth b13
Major Sixth 6 Major Thirteenth 13
Augmented Sixth #6 Augmented Thirteenth #13
* Scale tones and tensions represent the same intervals correspondently; the
different labeling will depend if analyzed in a scale or chord context.
In order to satisfy the requirements of scale degrees (R, 3, 5, 7, 9, 11, 13)
necessary for a scale to be “usable” in jazz, many of the 462 permutations will be
discarded. For example, the first permutation would be impossible to categorize
into the above-mentioned labels:
Figure 18. First Permutation.
The resulting formula of this scale would be: R, ####2, +++3, ###4, ++5, #6, 7; or
enharmonically: R, #4, 5, +5, 6, #6, 7. Although neither of these two formulas fit
76
the required system, by looking into other permutations, it is easy to find scales
that match perfectly. The following example shows a scale that fits this system:
Figure 19. Permutation 238.
The resulting formula of this scale would be: R, b2, 3, #4, +5, #6, 7.
Tertian Diatonic Harmonization
The jazz harmonic system has evolved from European theory of the
common practice period, which is partly based in building chords in diatonic
thirds, resulting in so-called tertian harmony. In the classical tradition, those
tertian chords are three-note structures known as triads. On the other hand, jazz
harmony builds diatonic chords by thirds up to the seventh as the basic unit of its
harmonic system. It is important to point out that these seventh chords are often
extended to the diatonic ninth, eleventh and thirteenth.23
Quartal, Quintal and Secundal Diatonic Harmonization
Another trend of the late nineteenth and the twentieth century was the
construction of chords stacked in intervals other than thirds. Three of them were
the more representative; quartal chords are structures of fourth intervals (usually
23 nd
77
perfect 4ths). Quintal chords are based on intervals of fifths (often perfect 5ths),
and secundal chords are based on intervals of seconds. The American composer
Henry Cowell coined the term tone cluster to describe any secundal formation of
three or more pitches.24 These types of structures were widely used by
composers like Béla Bartók, Maurice Ravel, Claude Debussy, and more
contemporary ones like Paul Hindemith, Alberto Ginastera, Olivier Messiaen,
Heitor Villa-Lobos and Aaron Copland among others. Quartal, quintal and cluster
chords started to be used in jazz during the 50’s and 60’s by composers,
arrangers and instrumentalists with the emergence of modal jazz.25 These types
of non-tertian structures have been extensively used by composers and
performers like Bill Evans, Chick Corea, McCoy Tyner, Gil Evans, Wayne
Shorter, Herbie Hancock, and more contemporary ones like Maria Schneider, Pat
Metheny, Kurt Rosenwinkel, and Brad Mehldau, Ben Monder among others.
Chord Labeling
The standard method used in jazz to label chords shares one
characteristic with classical music traditional harmonic labeling, and that is that
neither works well in harmonic contexts other than tertian functional. It has been
an unaccomplished task of jazz theorists to find a labeling system for quartal,
quintal and cluster chords; the problem lays in the fact that jazz chord labeling
24
Century Music, 3rd ed. (New York: McGraw-Hill, 1995), 468-471.
25
Ted Pease, Jazz Composition: Theory and Practice, ed. Rick Mattingly (Boston:
Berklee Press., 2003), 64-67.
78
doesn’t contain any voicing implication. For example, a chord labeled Cmaj7(9)
can be voiced in any of the following ways:
Figure 20. Cmaj7(9).
Any of these chords perfectly fits the label; it is up to the improviser to
choose among the possibilities. But how can a quartal chord like the next one be
correctly labeled?
Figure 21. C Quartal Chord.
An accurate label cannot be provided because the closest one like
Cmaj7(11) omit 5th, doesn’t imply necessarily a quartal voicing:
Figure 22. Cmaj7(11) omit 5th.
79
This chord perfectly represents the label but it is not quartal; jazz chord
labels are incapable of transmitting information regarding voicing type. For this
reason chord labels in this section will be provided just on tertian formations.
Parental Scales
From the list of 462 heptatonic scales, there are a limited number that
contain a different intervallic relationship. All these scales are going to be related
to a parent scale (also contained in the list). For example, permutation 290
(Phrygian mode) is related to its parent scale, permutation 126 (Ionian mode or
major scale); they both share the same interval relation and, although inverted, is
in its essence the same.
If each heptatonic parent scale derives seven modes like in the major
scale, the total amount of parent scales that can be derived from the list, is the
product of 462 divided by 7, which is 66.26 From those sixty six parent scales a
total of fifteen of the more usable ones are going to be diatonically harmonized,
and the modes of each degree, of every scale will be derived in an upcoming
section.
Modal Names for Synthetic Scales
Since most of the parent scales that are going to be used, derive modes
that don’t have standardized names (like Dorian, Locrian, etc.), the current trend
in jazz is to give them names derived from the comparison with the major scale
26
J. Murray Barbour, “Synthetic Musical Scales,” The American Mathematical Monthly
36, no. 3 (March 1929): 155, http://www.jstor.org/stable/2299681 (accessed August 11, 2009).
80
modes. For example, an scale with a formula R, b2, 3, #4, 5, 6, 7; can be labeled
as Lydian b9, because it is the mode from the major scale that most resembles
this formula. The alteration is added to the name using the labeling system for
chord-tones, scale-tones and tensions mentioned in the charts previously given
(see fig. 16-17). In this way the modal name for a melodic minor scale would be
Dorian 7, and Aeolian 7 for the harmonic minor scale. The only exception would
be the altered scale (7th mode of the melodic minor scale), which traditionally
receives its name in jazz due to this formula: R, b2, b3, b4, b5, b6, b7 (if
compared to the major, this scale has all the degrees altered).27
Derivative and Parallel Form
Many methods have been used in order to teach and understand
chord/scale relationship; one of the most effective is the derivative and parallel
approach. The derivative approach, like its name indicates, derives the modes
from each degree of the parent scale (i.e. C Ionian, D Dorian, E Phrygian, etc.).
This approach is, in its first stage, easier because modes are directly related to
the parent scale. On the other hand, the parallel approach builds each mode
from one same root, usually C, (i.e. C Ionian, C Dorian, C Phrygian, etc.). The
advantage of this method is that it shows clearly the interval relationship of every
27
Music, 1996), 16.
81
degree with the root; in that way it permits an easier establishment of the mode
formula, and clearly determinates similarities and differences between scales.28
Diatonic Harmonization of Synthetic Scales
The scales below represent fifteen parental scales, from which their
modes are derived diatonically in derivative and parallel form. Adding to that,
tertian seventh chords with tensions ninth, eleventh, and thirteenth, are also
harmonized diatonically and labeled from each mode. Lastly, every parent scale
is harmonized in tertian, quartal, quintal and secundal voicings. A complete list of
the parental scales being used is provided next:
28 nd
Germany: Advance Music, 1993), 43-45.
82
Figure 23. List of Parental Scales.
1. Major Scale.
2. Major b9 Scale.
3. Major #9 Scale.
4. Major b5 Scale.
5. Harmonic Major Scale.* *This label is derived by comparing
6. Major #13 Scale. this scale with the harmonic minor.
7. Major b9 b5 Scale.
8. Double Harmonic Major Scale.** **This label is given due to the two
9. Major b5 b13 Scale. augmented seconds included.
10. Major #9 #13 Scale.
11. Major Augmented #13 Scale.
12. Harmonic Minor Scale.
13. Melodic Minor Scale.*** ***As used in jazz, ascending and
14. Melodic Minor b9 Scale. descending in the same manner.
15. Augmented Melodic Minor Scale.
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
SECTION 2
Chapter 4
Chord Voicings
The term voicing refers to the “vertical spacing of tones”29, in other words,
to the particular configuration of pitches in a chord and their intervallic distance.
Depending on the spacing between voices (pitches), the chords fall into different
categories, as explained below.30
Even though it is not the aim of this thesis to delve into the field of jazz
arranging and orchestration, it is essential to add certain information on chord
voicings and voice-leading. In subsequent sections the terminology explained in
this chapter will be stressed, and it is important for the reader to have a clear
understanding of how the voicings are going to be constructed in the next
chapter.
Close Voicing
Also referred to as “close structure” or “four-way close”, close voicing
permits a spacing of less than an octave between the soprano and tenor parts for
29
Rayburn Wright, Inside the Score (New York: Kendor Music, Inc., 1982), 187.
30
Norman David, Jazz Arranging (New York: Ardsley House Publishers, Inc., 1998), 33.
129
traditional partwriting31, and also less than an octave for the two outer voices in
jazz partwriting. Close voicings give sweep and flow, and are often used in
parallel movement.32 This spacing allows the organization of seventh chords and
their inversions as shown in the next example:
Figure 24. C7 Four Way Close.
Root Position 1st Inversion 2nd Inversion 3rd Inversion
Another type of chord structure that can be easily placed in this category
is cluster voicings (containing up to seven pitches).
Open Voicing
These types of structures are also referred as “open structures”, and allow
exceeding one octave between the tenor and soprano voices for traditional
partwriting, but cannot span beyond two octaves.33 The same intervallic distance
applies to the outer voices of jazz partwriting. In this category there is a voicing
31
Robert Gauldin, Harmonic Practice: In Tonal Music, 1st ed. (New York: W.W. Norton &
Company, 1997),55.
32
William Russo, Composing For the Jazz Orchestra (1961; repr., Chicago: University of
Chicago Press, 1961), 13.
33 st
Robert Gauldin, Harmonic Practice: In Tonal Music, 1 ed. (New York: W.W. Norton &
Company,1997),55.
130
technique usually called “mechanical technique” or “mechanical voicing,”34 which
is deeply present in the style of jazz. This technique generates three different
types of voicings, drop 2, drop 3, and drop 2+4. Adding to these, five-voice (or
five-way) quartal chords, and four-way quintal structures also fit into the open
voicing category.
Drop 2
In drop 2 voicings, the second voice (counting from the top of a four-way
close structure), is shifted an octave lower to the bottom of the chord. Drop 2
voicings are useful when applied to three- and five-way close structures, but the
most common application is in four-way close; it can be in root position or in any
inversion.35 The resulting chord structure is an open voicing as shown in the next
example:
Figure 25. C-7 Drop 2.
Root Drop 2 1st Drop 2 2nd Drop 2 3rd Drop 2

Position Inversion Inversion Inversion
34
Mark E. Bolin, The Jazz Theory Workbook, ed. Jerry Coker, 2nd ed. (Rottenburg,
35
Norman David, Jazz Arranging (New York: Ardsley House Publishers, Inc., 1998),101.
131
Drop 3
This type of voicing is the result of shifting the third note, counting from the
top voice, down an octave in a four-way close chord, in root position or in any
inversion. These types of voicings are also applicable to five-way close chords.36
The following example shows these voicings applied to a four-way close chord.
Figure 26. C7+5 Drop 3.
Root Drop 3 1st Drop 3 2nd Drop 3 3rd Drop 3

Drop 2+4
In this type of voicing, the second and fourth voices of a four-way close
chord, are shifted an octave lower, maintaining the order of the dropped pitches.
These types of structures are also useful in five-way close structures, and can be
applied to chords in root position or any inversion.37 The following example
shows drop 2+4 voicings applied to a four-way close chord.
36
Ibid.
37
Jerry Coker, A Guide to Jazz Composition & Arranging (Rottenburg: Advance Music,
1998), 64.
132
Figure 27. C-maj7 Drop 2+4.
Root Drop 2+4 1st Drop 2+4 2nd Drop 2+4 3rd Drop 2+4
Tensions
A different and distinctive color can be added to any seventh chord by the
addition of one or more tensions. This can be easily achieved in a five, six or
seven-note structure, but in order to add a tension to a four-way chord, a chord
tone needs to be replaced. Chord tones can also be replaced in some cases by
scale tones depending on the color sought for the chord. The result of replacing
chord tones is sometimes an incomplete sounding chord if the third or the
seventh is replaced. In the next chart, a list of tensions and scale-tones is given
with its corresponding chord tone to replace.38
38
Ted Pease and Bob Freeman, Arranging 2 Workbook (Boston: Berklee College of
Music, 1989), 41-89.
133
Figure 28. Tension and Scale-Tone Replacement Chart.
Tension & Scale-Tones Chord-Tone Replaced
b9, 9, #9. Root.* *Not when the root is in the
b11, 11, #11 b5, 5, +5. bass.
bb13, b13, 13, #13. b5, 5, +5.
b11, 11, #11 bb3, b3, 3, +3.** **This creates an incomplete
b2, 2, #2. bb3, b3, 3, +3.** sounding chord.
b4, 4, #4. bb3, b3, 3, +3.**
bb6, b6, 6, #6. bb7, b7, 7.
Spread Voicing
A spread voicing allows a span of two octaves or more between the outer
voices of a four, five, six and seven-voice structure. The maximum spacing
between two adjacent upper voices is one octave.39 Also included in this
category are six-voice quartal chords and five-way quintal structures. This type of
voicing gives a very full texture40, as shown in the next example.
39
Norman David, Jazz Arranging (New York: Ardsley House Publishers, Inc., 1998),125.
40
William Russo, Composing For the Jazz Orchestra (1961; repr., Chicago: University of
Chicago Press, 1973), 13.
134
Figure 29. Spread Voicings.
Quartal Voicing Quintal Voicing Scriabin’s Mystic Chord
Mixed Voicings
In this type of voicing, the adjacent tones are of a combination of seconds,
thirds, fourths, fifths, sixths, sevenths, octaves, or wider intervals. The next
example shows this type of voicings in five-voice structures.
Figure 30. Mixed Voicings.
Traditional Voice-Leading
Chord connection is one of the most important aspects of a good
composition. Even in contexts where harmonic content is developed according to
135
the rules of traditional harmony, poor voice-leading between chords can ruin a
composition. In traditional voice-leading it is important to maintain the movement
of the voices horizontally as close as possible. In chorale style (four voices),
melodic leaps should be avoided as much as possible in every voice, with the
exception of the bass that can leap unrestrictedly. The primary goal is to give
each of the four voices its own individual melodic profile with the smoothest
motion.41
In order to achieve this, step-wise motion should be the principal
ingredient of horizontal movement. In addition, common tones in between
chords, if possible, should be held in the same voice. If there are not common
tones, the three upper voices proceed in the opposite direction of the bass.
Contrary motion is considered to be the most enriching movement, because it
gives independence to every voice, for that reason it is always desirable to create
contrary motion in the outer voices.
Parallel octaves or fifths, are prohibited in the outer or inner voices,
parallel fourths are used only if supported by parallel or similar thirds below.
Parallel sixths and thirds are used without restriction.42 Although these rules must
be managed with caution, certain musical situations may necessitate exceptions.
“In other words, the set of rules is broken whenever greater musical interest can
41
Arnold Schoenberg, Structural Functions of Harmony, ed. Leonard Stein, 2nd (rev.) ed.
(London: Faber and Faber, 1969), 4-9.
42
Walter Piston, Harmony, rev. ed. (London: W.W. Norton & Company, 1959), 20-25.
136
be achieved by breaking them.”43 The following figures show some examples of
well-achieved voice-leading.
Figure 31. Voice-Leading With One Common Tone.
Figure 32. Voice-Leading Without Common Tones.
Figure 33. Voice-Leading With Parallel Fourths.
43
Ibid., 22.
137
Strict and Free-Voiced Texture
In voice-leading there are two basic types of textures, strict and free-
voiced. Strict texture retains a specific number of voices throughout a
composition; this type of texture is typically found in four-voice chorales and in
polyphonic compositions like baroque fugues and inventions. On the other hand,
free-voiced texture shows variations in the number of parts, which is typical of
classical piano compositions.44
Piano style doesn’t require a strict preservation of the number of voices,
as the four-voice chorale does45; this characteristic is independent of the style. In
the case of jazz piano free-voiced texture also applies, as it does to classical or
jazz guitar. In orchestral (classical, third stream or jazz) or big band contexts, if
the basic voice-leading is free from parallel octaves, each voice can be doubled
in octaves.
44
Robert Gauldin, Harmonic Practice: In Tonal Music, 1st ed. (New York: W.W. Norton &
Company, 1997), 54.
45
Arnold Schoenberg, Fundamentals of Musical Composition, ed. Gerald Strang and
Leonard Stein (London: Faber and Faber, 1970), 84-86.
138
Chapter 5
Contemporary Compositional Techniques
One of the most difficult tasks to achieve in advanced modal and atonal
harmony is to create chord progressions that, without having a diatonic link, still
involve a sense of homogeneity. In tonal music that sense of homogeneity is
given by diatonicism and chord functions. Since tonality doesn’t play a major role
in atonal and modal environments, the tendency among composers using these
systems is to connect chord progressions through melodic means. For that
reason, music has experienced a revival of polyphonic techniques since the
beginning of the twentieth century. A list of techniques used by important
composers to create atonal chord progressions is given next.
Contemporary Voice-Leading
Most of the rules of traditional voice-leading are not maintained in atonal
and modal contemporary music. In some cases composers have created their
own rules to connect chords depending on the harmonic system used.
Contemporary and traditional voice-leading have very little in common. Two of
the few characteristics that they share are to hold common tones in the same
part and to avoid melodic leaps in each voice as much as possible. Parallelism is
permitted regardless of the interval, and dissonances are used in a free manner.
139
David Cope states
While voice-leading often occupies a central position in studies of tonal

music, it rarely enjoys the same status in studies of atonal music. This
difference in status may occur as a result of the chromatic disjunct motion
characteristic of much of the atonal concert music of the twentieth century
(Benjamin 1981; Roeder 1984). Chromatic disjunct motion often resists
even the most liberal interpretations of voice-leading.46
Even with the enormous freedom present in atonal music, voice-leading
analysis shouldn’t be set aside. Voice-leading can be just as much help in the
understanding of atonal music it is for its tonal counterpart. The following are
some examples of voice-leading patterns and procedures used by some
important composers.
Olivier Messiaen’s Voice-Leading Pattern
The next example shows a voice-leading technique used by Olivier
Messiaen to harmonize the mode 2 of the diminished scale, sometimes referred
as auxiliary diminished scale.
Figure 34. Diminished Scale Mode 2.
46
David Cope, “Computer Analysis and Composition Using Atonal Voice-Leading
Techniques,” Perspectives of New Music. 40, no.1 (Winter 2002): 121-146, http://gateway.
proquest.com/openurl?url_ver=Z39.88-2004&res_dat=xri:iimp:&rft_dat=xri:iimp:article:
citation:iimp00342552 (accessed August 29, 2009).
140
Figure 35. Olivier Messiaen’s Harmonization.
Messiaen describes this progression as “parallel succession of chords”;
there are two close voicing structures derived from this. The first one is a
dominant with a thirteenth (replacing the 5th), C7(13) omit 5th, and the second
one is a second inversion major triad enharmonically spelled with an added
#11th, F#/Db (add #11). Since this is a symmetrical scale, the third chord has the
same structure as the first one, and the fourth as the second, etc.47
Maybe the most interesting aspect of this technique is the voice-leading
analysis done by Christoph Neidhöfer, as shown in the next example.
Figure 36. Messiaen’s Voice-Leading Pattern.
In this pattern, the top voice of the first chord is held as the second voice of the
second chord.
47
Christoph Neidhöfer, “A Theory of Harmony and Voice Leading for the Music of Olivier
Messiaen,” Music Theory Spectrum. 27, no.1 (Spring 2005): 1-34, http://gateway.proquest.com/
openurl?url_ver=Z39.88-2004&res_dat=xri: iimp:&rft_dat=xri:iimp:article:citation:iimp00385451
141
Figure 37. Messiaen’s Voice-Leading Pattern Top Voice.
The second and third voices of the first chord descend in a smooth movement to
become the bass and third voice of the second voicing.
Figure 38. Messiaen’s Voice-Leading Pattern 2nd & 3rd Voices.
And lastly, the bass of the first chord is shifted up an octave to become the
soprano voice of the second voicing.48
Figure 39. Messiaen’s Voice-Leading Pattern Bass Voice.
In order to be able to apply this technique to the style of modal jazz, it is
important to point out that all these voicings are close structures. These close
voicings can be treated as the upper structure of any chord, which means that a
bass note can be added to complete a five-way voicing. In the following example,
48
Ibid.
142
Messiaen’s voice-leading pattern is applied to chord structures derived from
some of the modes harmonized in chapter 3.
Figure 40. Messiaen’s Pattern Application Part 1.
C Dorian Augmented Gb Lydian Augmented
As shown here, when this pattern is applied to structures derived from
heptatonic modes, the resulting second chord is an open structure. For that
reason it is easy to apply the same technique backwards to obtain a third chord
in close voicing, without necessarily returning to the pitches of the first structure.
Gb Lydian Augmented Bb Lydian Augmented #9 b7
In the same way, this technique can be applied again to create a fourth
chord in open structure that can sometimes share the pitches of the second
voicing. These four-way collections constitute the upper structure of the voicings;
it will depend on the bass note to complete the chords. This means that even
143
when some voicings share the same upper structure, they are not necessarily the
same chord; neither derived from the same parent scale.
C Dorian Augmented Gb Lydian Augmented Bb Lydian Augmented #9 b7 C Mixolydian
Once the bass note is added, the five-voice chord is completed.
C Dorian Augmented Gb Lydian Augmented Bb Lydian Augmented #9 b7 C Mixolydian
This chord succession doesn’t have any key center and can be seen as
an atonal progression. If applied to a harmonic rhythm, style, and different
instruments, it can be a perfect seed for a composition.
The next example uses this chord progression, applied to a symmetric
harmonic rhythm to create a plateau modal chord progression as described by
144
Ron Miller.49 In style of swing, the roots of the chords have been transformed into
a walking bass line (as it is traditional in swing style) based on the synthetic
modes from where the voicings were derived. On the other hand, the voice-
leading pattern has been assigned to the piano part with a swing comping
rhythm. The use of swing style is just an example. This progression, and any
other derived from this technique, can be easily applied to any style or genre.
49
Music, 1996), 13.
145
Arnold Schoenberg’s Voice-Leading Patterns
Among the techniques analyzed by Henry James Klumpenhouwer in his
dissertation “A Generalized Model of Voice-Leading for Atonal Music, vol. 1 & 2”,
one of the most interesting is a series of voice-leading patterns derived from
Arnold Schoenberg’s atonal music, which he exemplifies through graphics. On
these graphics Klumpenhouwer shows how Schoenberg shifts voices between
146
chords maintaining the pitch class through the use of different models of voice-
leading.50 Considering the purposes of this thesis, pitch class sets and twelve-
tone music don’t apply easily to the harmonic system explained in previous
sections. In this case it will be easier to apply these techniques to chord tones
and tensions, as it will be explained next.
In the following example, letters SATB stand for soprano, alto, tenor, and
bass. Each one of these voices (SATB) is assigned with either a chord tone or a
tension, like shown in figure 45. In order to focus on the upper structure of the
voicing, the root of the chord has been omitted and will be added later.
Figure 45. Assignation of Chord Tones and Tensions.
S: #11
A: #9
T: 7
B: 3
The second step is to assign a voice-leading pattern to the SATB voices;
all the models are taken from a list that will be presented on page 150. The
following example shows the assignation of the voice-leading pattern.
50
Henry J. Klumpenhouwer, “A Generalized Model of Voice-Leading for Atonal
Music, vol. 1 & 2,” PhD diss., Harvard University, 1991. http://proquest.umi.com/pqdweb?did=
747148401&sid=1&Fmt=2&clientId=97&RQT=309&VName=PQD (accessed June 19, 2009).
147
Figure 46. Assignation of Voice-Leading Pattern.
S: #11 S:
A: #9 A:
T: 7 T:
B: 3 B:
The third step consists of shifting each chord tone or tension to the voice
assigned by the voice-leading model; the part to be shifted must be generic and
adapted to every specific harmonic situation. This means that if the tenor voice of
the first chord is assigned with a 7 as part of a Bbmaj7(#9,#11) and the pattern
indicates that the voice needs to be shifted to the soprano of the second voicing,
which is a Ab-7(9,#11), then the resulting chord tone would be a b7, due to the
fact that a minor seventh chord has a b7 and not a 7. The following example
shows this graphically.
Figure 47. Completed Voice-Leading Part 1.
S: #11 S: b7
A: #9 A: 9
T: 7 T: 11
B: 3 B: b3
148
The next step is to transform the graphic into standard music notation.
Figure 48. Completed Voice-Leading Part 2.
Finally, the root of the chord is added to complete a five way structure.
Figure 49. Bass Note Added.
The application of voice-leading patterns like the one shown above
doesn’t create an automatically-smooth chord connection. The smoothness of
the voice-leading between chords will depend to a large extent on the chord
tones and tensions selected for the voices of the structures, and especially on
the intervallic distance between the roots and the rest of the voices of each
chord. For that reason, it is important to have a list of different possibilities of
voice-leading patterns.
149
Another important aspect to consider is that once a set of tensions and
chord tones is chosen for a given voice-leading pattern, those same degrees are
going to be carried out to all the resulting chords, but harmonically adapted to
every voicing. In that way a major third of a chord can be transformed to a minor
third on the next voicing. If one or more voices need to be changed in order to fit
the requirements of a specific voicing, the replacement has to be performed
following the list provided in figure 28. The following is a list of voice-leading
models derived from Arnold Schoenberg’s atonal music.
Figure 50. Schoenberg’s Voice-Leading Patterns List.
150
Any of these patterns can be applied from left to right, but also backwards.
The following example shows the application of some of these patterns to
synthetic modes derived from chapter 3.
Figure 51. Pattern Application Part 1.
Pattern 1 Pattern 3 Pattern 4 Pattern 7 Pattern 7

(Backward)
The next step will be to assign the corresponding bass note.
Bb Lydian #9 Ab Dorian #11 D Locrian 9 F Ionian b5 C Locrian F Ionian b5
Finally, the root of the chords and the upper structures are assigned to
different instruments. In the following example the chord progression from figure
52 is assigned to the style of jazz-funk, somewhat reminiscent to the music of
151
Weather Report during the Jaco Pastorious years. The roots of the chords are
assigned to a bass-line written on the modes from which the chords were derived
on electric bass; while the upper structure is assigned to the comping of an
electric piano.
152
153
Paul Hindemith’s Two-Voice Framework
In his books The Craft of Musical Composition vol. 1 & 2, Paul Hindemith
describes an interesting technique for generating chord successions with an
atonal sense. It is important to mention that Hindemith didn’t agree with the use
of the term “atonality” and engaged in a deep discussion on the use of that label.
Paul Hindemith considered that atonality and antitonality were terms coined in a
period of time dominated by propaganda of all sorts.51 But regardless of his
objections, the term “atonality” has been consistently used and it is useless to try
to avoid it. On the other hand, a term is just that, and music shouldn’t be trapped
in semantic problems.
The two-voice framework described by Hindemith52 consists of organizing,
in a melodic manner, the two most important voices of a chord progression,
which are the outer parts. The importance of these melodic lines lay in the fact
that they create the contour of a voicing succession and establish the register
limits. In order to create this two-voice framework, a basic knowledge of strict
counterpoint is needed, as those same rules are used by Hindemith to obtain the
framework. The intervallic treatment is the same as in any 1:1 strict counterpoint;
thirds and sixths serve as the strongest intervals, while seconds, sevenths, and
fourths are more unstable. One big difference with traditional counterpoint is that
51
th
Mendel, 4 ed. (New York: Schott 1970), 155.
52
Ibid., 113.
154
parallel motion is not prohibited in fourths and fifths or any interval, and there is
more freedom regarding melodic leaps. The following example shows a two-
voice framework.
Figure 54. Two-Voice Framework Part 1.
The next step is to fill in the inner voices through “the time-honored
practices of harmony–voice-leading,”53 using the synthetic modes derived from
chapter 3. It is important to point out that the resulting chords of this procedure
are once again the upper structure of the complete voicing; a bass note will be
added later. The following figure shows the resulting chords of this process.
53
Ibid., 119.
155
Then the bass note is added to complete the five-voice chords.
D F C B A G Bb G
Dorian Phrygian 7 Ionian b9b5 Aeolian bb7 Mixolydian Ionian b13 Dorian Ionian
A very important aspect of this technique is that the same two-voice
framework can be applied to many different chord progressions, creating a sense
of homogeneity between two (or more) different atonal successions. By using
different bass notes and a different voice-leading, the result will be different
chords and thus different modes.
The final steps are to assign the bass note and the upper structure to
different instruments, choose a style and a harmonic rhythm. In the following
example the bass note is assigned to an acoustic bass and the upper structure to
an acoustic nylon-string guitar.
The style assigned is bossa-nova and, due to its harmonic content, it’s
somewhat similar to the music of Toninho Horta. The stylistic bossa-nova bass
156
moves from the root to the descending fifth of the chord with some exceptions,
while the guitar maintains a traditional bossa-nova comping rhythm.
157
Pandiatonicism
The composer, author and conductor Nicolas Slonimsky (1894-1995)
coined the term “pandiatonic” in 1937 for the first time; this label was used to
describe a diatonic counterpart of the twelve-tone technique. Slonimsky uses the
term to describe a musical system where the seven tones of the diatonic scale
are used freely, both harmonically and melodically.54 Pandiatonic harmony is
described by Slonimsky as “the twentieth century counterpart of classical
harmony,”55 in which chords are freely formed and combined from the seven
tones of the diatonic scale (whether tertian or non-tertian), regardless of their
functions. This technique of composition can be found in the works of Igor
Stravinsky, Maurice Ravel, Darius Milhaud, Paul Hindemith, and Aaron Copland
(among others).
Although this technique was widely used by many composers, the concept
itself didn’t have a very long span of acceptance. Maybe the most important
aspect, as Woodward states, is to establish what pandiatonicism is not. “It is not
chromatic. It is not atonal or twelve tone.”56 In this sense it is similar to the early
period of modal jazz, where the very first modal compositions stayed in just one
mode avoiding any chromaticism and the sense of tonality. Regardless of the fact
54
Nicolas Slonimski, Thesaurus of Scales and Melodic Patterns, 1947. Reprint,
(New York: Schirmer Books, 1975) iv.
55
Ibid.
56
James Charles Woodward, “A System for Creating Pandiatonic Music” DM diss.,
Arizona State University, 2009. http://proquest.umi.com/pqdweb?did= 1790314261&sid=2&Fmt=
2&clientId=97&RQT=309&VName=PQD (accessed August 11, 2009).
158
that this concept didn’t have a wide development, pandiatonic harmony is highly
present in the late nineteenth- and twentieth-century music.
One of the main risks of writing pandiatonic harmony is to sound static. In
order to avoid that problem, one solution is to create two or more different
pandiatonic “plateaus” in a composition. Another good option is to choose scales
or modes other than the major. In this specific case, synthetic modes from
chapter three will be used.
In the following example, the mode Bb Lydian b7 #9 is used as the main
source to create a chord succession of four structures. Each one of these
voicings contains five parts, and uses freely all the degrees from the scale. The
only method used to connect these chords is voice-leading.
Figure 58. Pandiatonicism Part 1.
The same procedure is repeated with two different modes with two
different roots, Eb Lydian #9+3 and E Ionian Augmented #9, each generating
four different chords. The following examples show these respectively.
159
The second to last step is to combine all these pandiatonic plateaus. In
this specific case the first example is alternated with figures 59 and 60. As a
result, the first example is repeated, but the second and third appears just once.
The following figure shows this in detail.
160
Finally the voicings are assigned to bass and piano, and a ¾ swing style.
161
162
Omnibus
This technique is also referred as transformational technique, and was
typically used in the music of the romantic period by composers like Frédéric
Chopin and Franz Liszt. The basic function of this technique is to link
“chromatically saturated sequential successions”57 as stated by Kostka. The
basic procedure to create an omnibus succession of chords starts by creating an
ascending or descending non-functional chromatic bass line. Then, a second
voice moves chromatically in contrary motion to the bass. The other two voices
move in the smoothest voice-leading possible, most of the time one or even two
voices remain static.58 It is important to point out that in most of the typical
omnibus sequences, the voice that is moving in contrary motion to the bass is
passed back and forth between soprano, alto and tenor as shown in the following
examples.59
57
Century Music, 3rd ed. (New York: McGraw-Hill, 1995), 439.
58
Julian Hook, “Cross-Type Transformations and the Path Consistency Condition,”
Music Theory Spectrum. 29, no.1 (Spring 2007): 1-39, http://gateway.proquest.com/openurl?
url_ver=Z39.88-2004&res_dat=xri:iimp:&rft_dat=xri: iimp:journal:JID01956167 (accessed October
19, 2009).
59
Century Music, 3rd ed. (New York: McGraw-Hill, 1995), 440.
163
Figure 63. Omnibus Part 1.
The following figure shows each voice individually. Notice how the ascending
chromatic line is shifted from the soprano to the alto and lastly to the tenor.
The following example shows another typical omnibus sequence.
164
The following figure shows each voice individually, in this specific case the
ascending chromatic line is shifted between voices. From the soprano to the alto,
to the tenor, then back to the soprano and finally again to the alto.
In order to apply this concept to the style of jazz, the four voice omnibus
will be used as the upper structure of the chords, which means that a bass note
will be added later. Also the synthetic modes from chapter three will be used to
165
create the chords. The following example shows the omnibus technique with
synthetic modes.
G Ionian b9 C Dorian Bb Lydian #9 A Ionian Augmented B Aeolian Ab Lydian +3 #13
The following figure shows each voice separately.
166
The next step is to add a bass note.
Finally, these voicings are assigned to an acoustic bass and piano, in a fast-
swing style.
167
168
Béla Bartók’s Axis System
One of the most prominent characteristics of Bartók’s music is the
symmetry contained in his works. Sometimes subtle, sometimes obvious, it could
cover everything from melodies, structures, tonal centers, rhythms, to forms and
chord relations. During the course of his professional life, Bartók never revealed
or spoke openly about his compositional techniques (nor did he publish anything
on the topic), he always claimed to be an instinctive composer.
It was the Hungarian musicologist Ernö Lendvai who dedicated a big
portion of his life to investigate Bartók’s compositional style, and revealed to the
world important techniques that he considered Bartók used in his compositions.
The list includes, for example, the use of the Fibonacci series, mi-pentatony, six-
four structures, hypermajor and hyperminor chords, alpha harmonies, golden
section, etc. Among those techniques one represents the culmination of
Lendvai's research, the “axis system.”
The axis system as described by Ernö Lendvai, is a method used to divide
the chromatic scale symmetrically considering the harmonic functions of
subdominant, tonic and dominant. The aim of this technique is to create chord
successions using the twelve pitches from the chromatic scale and still maintain
169
a sonority reminiscent of the tonal system. The explanation Lendvai gives to this
theory can easily be visualized from the circle of fifths.60
Figure 71. Circle of Fifths.
C
F G
Bb D
Eb A
Ab E
Db B
F#
Lendvai starts by organizing the circle of fifths according to the harmonic
functions of subdominant, tonic and dominant major triads in the key of C major.
Figure 72. Harmonic Functions.
Subdominant Tonic Dominant
F C G
60
Karen Anne Bates, “The Fifth String Quartet of Béla Bartók: An Analysis Based on the
Theories of Ernö Lendvai,” PhD diss., University of Arizona, 1986. In ProQuest Dissertations and
Theses, http://wwwlib.umi.com/dxweb/ details?doc_no=1186293 (accessed February 21, 2008),
44-49.
170
Lendvai then draws a symmetric axis using C (tonic) as the starting point,
creating a link between opposing poles C, A ,F#, and Eb, named as the “tonic
axis”.
Figure 73. Tonic Axis.
Eb A
F#
Using the same concept, Lendvai then draws the “dominant axis”, which
links opposing poles G, E, Db, and Bb.
171
Figure 74. Dominant Axis.
Bb
Db
In the same manner the “subdominant axis” links the opposing poles F, D,
B, and Ab.
Figure 75. Subdominant Axis.
Ab
When superimposed, the three axis (tonic, dominant and subdominant)
complete the “axis system” diagram.
172
Figure 76. Axis System Complete Diagram.
T
SD C D
F G
D Bb D SD
T Eb AT
SD Ab E D
Db B
D F# SD
T
What this symmetry creates according to Lendvai is an equivalent-function
relationship between all the pitches contained in each axis.61
Figure 77. Function Symmetry.
F, D, B, Ab. C, A, F#, Eb. G, E, Db, Bb.
Once the axis pitches are organized in this way, Lendvai creates a
secondary subdivision of the pitch-classes contained in each function into
primary and secondary “branches” in clockwise motion, as shown in the next
figure.
61
Ibid.
173
Figure 78. Primary and Secondary Branches.
Primary Secondary Primary Secondary Primary Secondary
F, D. B, Ab. C, A. F#, Eb. G, E. Db, Bb.
The categorization into primary and secondary branches is derived from
the relative minor relationship. The starting point of each axis (IV, I, V) is related
to the degree of its relative minor and grouped as primary, and the opposing
poles are the secondary branches.
Considering this, Lendvai points out that the symmetry founded in the
relation of perfect fifths between F, C, G (creating the functions of subdominant,
tonic, and dominant), can also be found in other symmetric relations. For
example the symmetrical relationship of major thirds Ab, C, and E, creates, in an
atonal manner, a sonority similar to the tonal functions of subdominant, tonic, and
dominant.
Figure 79. Major Third Relationship.
Ab C E
174
Lendvai also points out that regardless of symmetrical relations, any chord
can be substituted for another from its axis, creating in an atonal manner, a
sonority similar to tonal functions.
Figure 80. Chord Substitution Table 1.
F A Bb
D C Db
B Eb G
Ab F# E
The final step in Lendvai’s analysis is to add to every axis major triad its
parallel minor.
175
Figure 81. Parallel Minor Axis.
T
SD C- D
F- G-
D Bb- D- SD
T Eb- A- T
SD Ab- E- D
Db- B-
D F#- SD
T
Lastly, any of the major triads can be substituted for its parallel minor.
Figure 82. Chord Substitution Table 2.
F- A Bb-
D C- Db
B Eb- G-
Ab F#- E
176
Since the very first moment the axis system appeared in Ernö Lendvai’s
book entitled Bartók’s Style in 1955, there have been many defenders of
Lendvai’s theories like András Szentkirályi. At the same time, some very sharp
detractors like Peter Petersen, János Kárpáti, Malcolm Gillies and Paul Wilson,
argued that the axis system lacks valid fundamentals and is pure fantasy.62
Regardless of what position any musician assumes in this debate, the axis
system is still a great tool for composing music. Whether this was one of the
means Bartók used to achieve his compositional goals, it is something that may
never be established. Nevertheless, it remains as a very useful tool to analyze
and understand Bartók’s music.
In order to apply this system to the style of jazz, the first step is to choose
a root movement derived from the three axis. In this case six roots have been
chosen, as shown in the next figure.
Figure 83. Axis System Application 1
Ab F# E
B Eb G
62
János Kárpáti, “Axis Tonality and Golden Section Theory Reconsidered,” Studia
Musicologica 36 (1995): 365-380, http://iimp.chadwyck.com/marketing.do (accessed February 18,
2008).
177
The next step is to determinate the modes that are going to be assigned to
each root. In order to do that, it is important to consider what types of chords are
conventionally used in a subdominant, dominant, tonic progression in jazz. Since
most of the time this type of cadence is achieved through a ii-7, V7, Imaj7
progression, the following example maintains a minor chord for the subdominant,
a dominant 7th for the dominant, and a major 7th for the tonic roots. It is also
important to point out that the same modes (from chapter 3) have been
maintained for the two subdominant, two dominant, and two tonic roots, in order
to continue with the symmetry.
Figure 84. Axis System Application 2.
Ab E F# B G Eb
Dorian Lydian b7#9 Lydian #9#13 Dorian Lydian b7#9 Lydian #9#13
Augmented #11 Augmented #11
Finally, the resulting chords and modes are assigned to an electric piano,
and an electric bass in a style of jazz-rock, similar to the music of Mike Stern.
178
Figure 85. Axis System Application 3.
179
Conclusion
Contemporary jazz composition is an open field for new trends and ideas.
The concepts discussed contain sufficient information for the creation of beautiful
and forward-looking harmonic structures, but they don’t pretend by any means to
be the only material needed by jazz students in order to develop their
compositional skills in modal jazz. Melodic, stylistic, rhythmic, tonal-functional
harmonic, contrapuntal and formal knowledge are of primal importance in order
to develop compositional material. Also it is of utmost relevancy that the students
train their ears in order to be able to hear this material. As Paul Hindemith states:
A true musician believes only in what he hears. No matter how ingenious

a theory is, it means nothing to him until the evidence is placed before him
in actual sound.63
In the same way the techniques of some twentieth century composers
have been described in this thesis, any new resource can easily be applied to
contemporary jazz. It will always depend on the new composers to expand the
boundaries of jazz.
63
th
Mendel, 4 ed. (New York: Schott 1970), 156.
180
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ADVANCED MODAL JAZZ HARMONY APPLIED TO TWENTIETH CENTURY

MUSIC COMPOSITIONAL TECHNIQUES IN JAZZ STYLE: A PRACTICAL

DIEGO CELI RAMOS, Bachelor of Arts in Contemporary Music

Presented to the Faculty of the Graduate School of

Stephen F. Austin State University

For the Degree of

Master of Arts in Music Education

STEPHEN F. AUSTIN STATE UNIVERSITY

MUSIC COMPOSITIONAL TECHNIQUES IN JAZZ STYLE: A PRACTICAL

GUIDE FOR STUDENTS.

DIEGO CELI RAMOS, Bachelor of Arts in Contemporary Music

Contemporary jazz modal harmony and composition pedagogy is an

underdeveloped area, which shows as one of its characteristics a lack of

advanced modal harmony a job difficult to achieve.

The overall purpose of this study is to create a method for college

compositional techniques applied to the style of jazz.

gratitude to Dr. Ronald Anderson, without the knowledge on music research I

me new ideas all the time.

LIST OF FIGURES . .. ... . viii

3. List of 462 Heptatonic Scales . 14

1. The Use of Synthetic Scales in Jazz .. 73

2. Tertian Diatonic Harmonization .. . 77

4. Chord Labeling . ..... 78

6. Modal Names for Synthetic Scales . 80

7. Derivative and Parallel Form ... 81

8. Diatonic Harmonization of Synthetic Scales ... .. 82

10. Major b9 Scale ... 87

11. Major #9 Scale ... 90

12. Major b5 Scale ... 93

13. Harmonic Major Scale . . 96

14. Major #13 Scale . 99

15. Major b9 b5 Scale ... 102

16. Double Harmonic Major Scale... .. . 105

17. Major b5 b13 Scale... ... .. 108

18. Major #9 #13 Scale ..... 111

19. Major Augmented #13 Scale . 114

20. Harmonic Minor Scale .. ..... 117

21. Melodic Minor Scale... ... . 120

22. Melodic Minor Scale b9 .. .. . 123

23. Augmented Melodic Minor Scale . . 126

1. Chord Voicings 129

2. Close Voicing . .. 129

3. Open Voicing . . . 130

6. Drop 2+4 ... 132

7. Tensions ... .... 133

8. Spread Voicings .. 134

9. Mixed Voicings ... . 135

10. Traditional Voice-Leading .. 135

11. Strict and Free-Voiced Texture 138

1. Contemporary Compositional Techniques .. 139

2. Contemporary Voice-Leading 139

3. Olivier Messiaen’s Voice-Leading Pattern .. 140

4. Arnold Schoenberg’s Voice-Leading Patterns 146

5. Paul Hindemith’s Two-Voice Framework... . 154

7. Omnibus ... 163

Figure Description Page

1 Chromatic Scale ... . 11

2 First Permutation ... 11

3 Second Permutation ..... 11

11 Lydian Augmented ... . 13

15 Major Scale Formula . 75

16 Chord-Tones Formula Labels .. 75

18 First Permutation ... 76