Part Four Chromaticism 1

Chapter Sixteen
Secondary Functions 1
Chromaticism and Altered Chords
The term chromaticism refers to the use of pitches foreign to the key of the passage. The
only chromaticism we have discussed so far involves chromatic nonchord tones (review
Chapters 12 and 13). For instance, Example 16-1 contains several notes not found in the B b
major scale, and all of them are nonchord tones.

Example 16-1 Haydn, String Quartet op. 64, no. 3, I

16 EX 16-1.mp3

Some people use the term nonessential chromaticism to describe the use of chromatically
altered tones as NCTs. Essential chromaticism refers to the use of tones from outside the
scale as members of chords. Such chords are called altered or chromatic chords.

255
256 Chapter Sixteen Secondary Functions 1

Secondary Functions and Tonicization

By far the most common sort of altered chord in tonal music is the secondary function. A
chord whose function belongs more closely to a key other than the main key of the passage
is called a secondary function. Listen to Example 16-2, paying special attention to the end-
ing. Although the two-part texture means that incomplete chords will have to be used, it is
clear that the F# 4 in m. 7 is not an NCT. In fact, the last two chords are D and G, and they
sound like V–I in the key of G.

Example 16-2 Haydn, Symphony no. 94, II

16 EX 16-2.mp3

If our ears were to lose track of the original tonic at this point, or if the music were to con-
tinue in the key of G, employing F# s and centering on G, we would analyze this as a change
of key (a modulation). However, because we still hear the G chord as a V, and because the
next phrase is a repeat of the first one, we label the G chord as V and call the D chord a V of
V (the symbol is V/V). We say that the D chord has tonicized the G chord, giving it special
emphasis, but that a change of tonic has not taken place.
Most secondary functions are either secondary dominants (V of and V7 of) or secondary
leading-tone chords (vii° of, vii°7 of, and viiø7 of).

Secondary Dominant Chords

Because tonic triads are always major or minor, it makes sense that only major and minor
triads can be tonicized by secondary dominants. This means that you would not expect to
find V/ii° in minor or V/vii° in either major or minor. All other diatonic chords (other than
I, of course) may be tonicized by secondary V or V7 chords. Example 16-3 illustrates the
possibilities in F major. Notice that most of the accidentals create a leading tone to the root
of the chord being tonicized.
Secondary Dominant Chords 257

Example 16-3 Secondary dominants in F major

Only one of these chords, V/IV, is identical to a diatonic chord in F. Because V/IV sounds
like I, composers most often use V7/IV instead of V/IV to make the secondary function
clear.
The secondary dominants in d minor are illustrated in Example 16-4. Here, three
chords are identical to diatonic chords in d minor. The V/III (= VII) and the V7/III (= VII7)
are both usable, even though they are not altered chords, because VII and VII7 usually
function as dominants of III anyway. The V/VI, however, would usually be analyzed as III
instead of as a secondary dominant.

Example 16-4 Secondary dominants in D minor

The major or minor triad that is tonicized by a secondary dominant may occur with its 7th,
or the tonicized chord may itself be altered to become a secondary dominant. This means,
for example, that any of the following progressions might be encountered in C major.
V 7/ii–ii V 7/ii–ii7 V 7/ii–V/V V 7/ii–V 7/V
C: A7–Dm A7–Dm7 A7–D A7–D7
258 Chapter Sixteen Secondary Functions 1

Spelling Secondary Dominants

There are three steps involved in spelling a secondary dominant.
1. Find the root of the chord that is to be tonicized.
2. Go up a P5.
3. Using that note as the root, spell a major triad (for V of) or a major-minor seventh
chord (for V7 of).
For example, to spell a V/vi in E b, the steps are the following (Ex. 16-5).
1. The root of vi in E b is C.
2. A P5 above C is G.
3. A major triad on G is G–B n –D.

Example 16-5

Or, to spell a V7/V in b minor (Ex. 16-6),

1. The root of V in b is F#.
2. A P5 above F# is C#.
3. A Mm7 on C# is C# –E # –G # –B.

Example 16-6

Recognizing Secondary Dominants

If you encounter an altered chord in a passage, there is a good chance that it will be a
secondary dominant. These steps will work in most cases.
1. Is the altered chord a major triad or major-minor seventh chord? If not, it is not a
secondary dominant.
Recognizing Secondary Dominants 259

2. Find the note a P5 below the root of the altered chord.

3. Would a major or minor triad built on that note be a diatonic triad in this key? If so,
the altered chord is a secondary dominant.
You may find that beginning an analysis with lead-sheet symbols will help you to identify
secondary dominants as well as other altered chords.

CHECKPOINT
1. What is the definition of a secondary function?
2. Most secondary functions are either secondary dominants (V of and V7 of) or
.
3. Why is a V/IV in major less convincing than a V7/IV?
4. The root of a secondary dominant is how far above the root of the chord being
tonicized?
5. In a major key, which triad(s) cannot be tonicized by a secondary dominant?
What about minor keys?

Self-Test 16-1
(Answers appear in Appendix D.) (p. 609)

A. Review how to spell secondary dominants. Then, notate these secondary dominants
in the specified inversions. Include key signatures and lead-sheet symbols without
slash symbols.
260 Chapter Sixteen Secondary Functions 1

B. Review Recognizing Secondary Dominants. Then, label with a roman numeral any
chord that might be a secondary dominant according to the steps outlined previously.
Label all others with an X.

Exercise 16-1 See Workbook.

Secondary Dominants in Context

Secondary dominants generally resolve just as primary dominants do. That is, a V 65/V in
C will resolve the same way as V 65 would in the key of G (Ex. 16-7a). The only exception
is that sometimes the chord of resolution contains a 7th. In that case, the leading tone may
need to slide down a half step to become the 7th of the chord of resolution (Ex. 16-7b).
Notice that complete seventh chords in root position alternate with incomplete ones in
Example 16-7c. This part-writing principle should be familiar to you from Seventh Chords
and the Circle-of-Fifths Sequence in Chapter 15. (p. 249) The arrow notation shown on
the second line of the analysis is an acceptable method of abbreviation.

Example 16-7
 Secondary Dominants in Context 261

The V7/V is the most frequently encountered secondary dominant. In Example 16-8, the V
is delayed by a cadential six-four. This is not an irregular resolution of the V7/V because,
as we know, the I 64 –V together stands for V.

Example 16-8 Schumann, “Noveletten,” op. 21, no. 1

16 EX 16-8.mp3

In our preceding discussion of Example 16-7b, we pointed out that the leading tone of the
secondary dominant will sometimes move down by a half step if the chord that follows
contains a 7th. This is illustrated by the F# to Fn in the bass of Example 16-9.

Example 16-9 Chopin, Mazurka op. 68, no. 1

16 EX 16-9.mp3
262 Chapter Sixteen Secondary Functions 1

The common deceptive progression V(7) –vi is often given added impetus by inserting a
dominant of vi between the V and the vi, as in Example 16-10.

Example 16-10 Schumann, “Eintritt,” op. 82, no. 1

16 EX 16-10.mp3

The only deceptive progression that we have discussed up to this point is the progression
from V or V7 to vi (or VI), but there are other kinds of deceptive progressions that we will
encounter through the next several chapters. (Remember that a deceptive progression is not
necessarily a deceptive cadence.) In general, a deceptive progression is the result any time
a dominant chord is followed by something other than a tonic triad, as in the V 65 –V 42/IV
progression in Example 16-11. Notice also the stepwise bass line.

Example 16-11 Tchaikovsky, Piano Trio op. 50, II

16 EX 16-11.mp3

A much less smooth introduction to a V7/IV is shown in Example 16-12. Here we see the
ending of a phrase that concludes with a deceptive cadence (m. 24). All parts then im-
mediately leap to C n , which is b7̂, to state the three-note motive that began the piece. This
example also illustrates the V6/ii.
 Secondary Dominants in Context 263

Example 16-12 Haydn, String Quartet op. 20, no. 4, I

16 EX 16-12.mp3

Examples of dominants of iii in major are not frequently encountered because the iii itself
is the least often used diatonic triad. However, the III in minor, which represents the rela-
tive major key, is very often tonicized by VII or VII7, which should be labeled as V/III
or V7/III. Listen to Example 16-13, and hear the brief shift to B b in the second measure.
Notice also the root-position vii°, not all that unusual after a IV 65 because of the smooth
voice leading it allows.

Example 16-13 Bach, Jesu, du mein liebstes Leben

16 EX 16-13.mp3

Secondary dominants abound in jazz and popular music, as do many other kinds of
chromaticism. The harmonically simple but effective film theme in Example 16-14
reaches a half cadence in mm. 7 to 8 with a V7/V–V progression. The V chord in the last
measure includes a 4-3 suspension. Notice the stepwise descent in the bass in mm. 1 to 5
(C–B–A–G–F), specified by the lead-sheet symbols and including a passing I 64 chord.
264 Chapter Sixteen Secondary Functions 1

Example 16-14 Bacalov, “Il Postino”

16 EX 16-14.mp3

Self-Test 16-2
(Answers appear in Appendix D.) (p. 610)

A. Analysis
1. This excerpt is from a set of variations on a tune that we know as “Twinkle,
Twinkle, Little Star.” Label the chords and the NCTs, and number the suspensions
(as in 7-6). Draw an arrow to any consonant suspensions that you find.
Vogler, Variations on “Ah! vous dirai-je, Maman”
16 ST 16-2A1.mp3

2. Analyze with roman numerals. Find the sequence and enclose it in brackets.
Although the voice leading is conventional throughout most of this excerpt,
parallel 5ths do occur. Find them. Be sure to play this example so that you can
appreciate the effect of the last four measures.
 Secondary Dominants in Context 265

Schumann, Papillons, op. 2, no. 12

16 ST 16-2A2.mp3

3. Label the chords and NCTs.

Schubert, Symphony in B b, II
16 ST 16-2A3.mp3
266 Chapter Sixteen Secondary Functions 1

4. Analyze chords and NCTs. To what extent is this example sequential? If you play
the first half of m. 1 as a chord, you will discover that there are seven different
parts in the texture. To what extent are some of these voices doubling another voice
at the octave? Except for this doubling, are there any parallel 8ves to be found?
Schumann, Romanze, op. 28, no. 1
16 ST 16-2A4.mp3
 Secondary Dominants in Context 267

5. Analyze chords and NCTs. To what extent is this example sequential?

Mozart, Violin Sonata, K. 481, II
16 ST 16-2A5.mp3

6. This passage, from the beginning of Verdi’s Requiem, is a beautiful example

of a cappella writing. It features two circle-of-fifths progressions that employ
secondary dominants. Label all chords and NCTs. (The iiø43 in m. 53 is an example
of mode mixture, the subject of Chapter 21.)
Verdi, Messa da Requiem, “Requiem aeternam”
16 ST 16-2A6.mp3
268 Chapter Sixteen Secondary Functions 1

7. This excerpt is the introduction to a piece for chorus and piano. Label chords and
NCTs.
Schumann, Beim Abschied zu singen, op. 84
16 ST 16-2A7.mp3

B. For each of the following problems, first analyze the given chord. Next, find a smooth
way to lead into the chord. Although there are many possibilities, it will often work to
use a chord whose root is a P5 above the root of the secondary dominant. Experiment
with other relationships also. Then, resolve each chord properly, taking special care
with the leading tone and the 7th resolutions. Analyze all chords with roman numerals
and lead-sheet symbols without slash symbols.
Secondary Dominants in Context 269

C. Below each note, list the secondary V and V7 chords that could harmonize that note.
You might find it helpful to refer to Examples 16-3 and 16-4. (p. 257)

D. Provide roman numerals to show how the first note could be harmonized as a
secondary dominant. The second note should be harmonized by the tonicized triad.
270 Chapter Sixteen Secondary Functions 1

E. Following is the first phrase of “America” (or “God Save the Queen”), along with
lead-sheet symbols. Put roman numerals below the staff, and complete the four-part
harmonization. Be careful with the voice leading around m. 4, which can be tricky.
Where is the hemiola in this excerpt?

F. Harmonize each chorale phrase for SATB chorus. Include one or more secondary
dominants in each phrase, and activate the texture with some NCTs. Note that the key
of the phrase does not always agree with the key signature.
Secondary Dominants in Context 271

G. Analyze the harmonies specified by each figured bass, and make a setting for SATB
chorus.

Exercise 16-2 See Workbook.

272 Chapter Sixteen Secondary Functions 1

Summary
Chromaticism refers to the use of pitches that are not diatonic in the key of the passage. Chords that
employ chromaticism are called altered or chromatic chords, and the most commonly encountered
altered chord in tonal music is the secondary function. A secondary function is a chord whose
function belongs more closely to a key other than the main key of the passage. Most secondary func-
tions are either secondary dominants (V of and V7 of) or secondary leading-tone chords (vii° of, viiø7
of, and vii°7 of).
Secondary dominants can tonicize only major or minor triads or major or minor triads with a 7th.
This means that the vii° chord, for example, cannot be tonicized by a secondary dominant.
To spell a secondary dominant, go up a P5 from the root of the chord to be tonicized and spell a
major triad (for V of) or a major-minor seventh chord (for V7 of). To determine whether an altered
chord that you encounter in analysis might be a secondary dominant, see whether it is a major triad
or a major-minor seventh chord with a root that is a P5 above a scale degree that usually carries a
major or minor triad in that key. If so, the altered chord is a secondary dominant.
Secondary dominants resolve just as primary dominants do, except that the chord of resolution
frequently contains a 7th. In that case, the leading tone of the secondary dominant moves down by a
half step if necessary to become the 7th of the chord of resolution.
The V7/V is the most frequently encountered secondary dominant. Two variations on the
deceptive progression that employ secondary dominants are V(7) –V7/vi–vi and V(7) –V7/IV. The
V(7)/iii in major is seldom used, but the V(7)/III in the minor mode is quite common.