Microsoft Word - Jazz Theory Justified

Jazz Theory
4th Revised edition

by
Stuart Smith

Copyright 2004, 2006, 2007, 2008 Stuart Smith

2

To Robert Dix Lincoln

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 oI my teaching career at UMass Lowell, I had thought about
writing a book on jazz theory. I had developed a detailed set oI notes Ior such a book, but
the notes spent most oI their time languishing in my Iile cabinet. Every now and then I
would take them out and add or change a Iew things. But then, Ior lack oI 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 Ior my boss, William Moylan (proIessor
oI Music and Iormer Chairperson oI the UMass Lowell Department oI 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
aIter a 21-year stint in Computer Science. He assigned me to direct the Jazz Lab, which
made it possible Ior me to work with young jazz musicians again. Jaclyn, Chad, and
Maxxx encouraged me to create the jazz theory course Ior which this book was written. I
was so impressed by their desire to gain a deeper understanding oI jazz that I simply
couldn't say no to their request to provide a course Ior them.

The task oI actually writing the book was made much easier and more enjoyable by my
colleague, Iriend, and current boss, Paula Telesco, who served as both gadIly and
cheerleader on this project. She read several draIts oI this book, providing innumerable
useIul suggestions, pointing out errors and weaknesses in my presentation, and asking
many thought-provoking questions. The book is Iar 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 Iortunate to Iall in with two diIIerent groups oI musicians who
were willing to jam Ior hours simply Ior the enjoyment oI playing and learning. In the
Iirst 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 oIten
wished we could all get together Ior a reunion jam session, but we've long since gone our
separate ways and, sadly, members oI 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 oI all kinds oI music on short notice. She introduced me to pop chord
notation and showed me how she developed piano accompaniments to popular songs
Irom the chord symbols in sheet music. This experience sparked my interest in jazz
harmony, which ultimately led to the writing oI this book.

4

5
Preface

Why write a book like this? It`s unlikely to be to the taste oI many music students, most
oI whom Iind music theory oI 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 oI the groups they play with, and budding composers and
arrangers (who are also very likely pianists oI 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 oI original music. Because the development oI jazz was
concurrent with the development oI recording technology, we are able to listen to
outstanding perIormances oI all the great jazz artists almost all the way back to the
origins oI jazz. Recordings have in eIIect kept all oI jazz available, and many people
young and old want to be able to play in various styles they have heard. Big band
music, Ior example, has never gone out oI style with amateur groups, and young
musicians Ior decades have considered it a point oI pride to be able to play lightning Iast
bebop tunes Irom the late 1940s and early 1950s.

There is a need Ior instructional materials to help these aspiring jazz musicians to learn
how to play jazz. In Iact, a lot oI such material is available. Much oI 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 speciIic 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 oI 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 oI students there is also the possibility oI
immediately putting into practice anything they learn in class: students can Iorm
ensembles and play the music. Jamming is oI course the best learning tool Ior jazz.

Chapters I-VII are pretty down-to-earth and pragmatic. Most oI the real 'theory in jazz
theory is covered in Chapter VIII. Some oI this material is Iairly heavy going, but, even
so, it still only suggests the actual complexity oI the most advanced jazz harmony.
Chapters IX and X touch brieIly on chord scale theory, modal jazz, and Iree 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 Ior themselves.

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7
Table oI Contents
Acknowledgments............................................................................................................... 3
PreIace................................................................................................................................. 5
I. The Structure oI Jazz ....................................................................................................... 9
Rhythmic Structure......................................................................................................... 9
Jazz Rhythmic Interpretation........................................................................................ 10
Form.............................................................................................................................. 11
AABA....................................................................................................................... 11
ABAC ....................................................................................................................... 12
Through-Composed .................................................................................................. 12
Ternary...................................................................................................................... 12
The Role oI Song Forms in Jazz................................................................................... 13
II. The Harmonic Vocabulary oI 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 oI FiIths 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 Ior Small Jazz Ensembles................................................................................ 47

8
Instrument Ranges .................................................................................................... 47
Instrumental Combinations....................................................................................... 49
VIII. Functional Harmony in Jazz .................................................................................... 51
Theory oI Chord Progressions ...................................................................................... 51
Root Motion.............................................................................................................. 51
The Diatonic (In-Key) Circle oI FiIths ..................................................................... 51
The Chromatic Circle oI FiIths................................................................................. 52
Strong/Weak Alternation oI Chords ............................................................................. 53
Tensions and Chord Function....................................................................................... 57
Non-Tonic Beginnings.................................................................................................. 58
Turnarounds.................................................................................................................. 58
Tritone Substitution: II Substituted Ior V ................................................................. 59
Voice Leading Chords .................................................................................................. 59
The Diminished- and HalI-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 HalI-Diminished Seventh Chord ....................................................................... 63
The HalI-Diminished Seventh as a Connecting Chord............................................. 64
The HalI-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 SimpliIied 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 OI '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 oI Jazz
9
I. The Structure of 1azz
Much oI what happens in jazz is strongly inIluenced by the rather rigid structure oI the
genre. But, Iar Irom being an obstacle, the structure provides a set oI agreed-upon 'rules
oI 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 oI jazz has three principal components: rhythmic, Iormal, and harmonic.
The rhythmic component dictates Iixed rhythmic relationships among the participating
instruments. The Iormal component is based largely on popular song Iorms, which Iollow
a Iew small, highly predictable patterns. The harmonic component is governed by a
relatively small number oI types oI chord progressions; however, these chord
progressions and the individual chords themselves are subject to a great deal oI
variation and elaboration, which accounts Ior much oI the real complexity encountered in
jazz. Accordingly, several sections oI this book will be devoted to various aspects oI jazz
harmony. Rhythm and Iorm will be treated in this section.

The rhythmic, harmonic, and Iormal components together conIine jazz to a Iairly narrow
range oI musical possibilities. Jazz has been criticized Ior these limitations
1
, but it is this
very conIinement that allows several musicians to collaborate successIully in the
production oI mostly improvised perIormances.
Rhythmic Structure
Rhythmically, jazz has three layers: melody, chords, and bass. These layers have more or
less Iixed rhythmic relationships. In the typical case, the bass part coincides with the beat,
which is generally the quarter note. The melody oIten moves twice as Iast (i.e., in eighth
notes), while the chords typically change at halI the rate oI the bass (i.e., in halI 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 oI the three-layer structure is dependent on the available instrumental
resources solo piano, duo, trio, combo, big band, etc. A solo pianist, Ior example, must
either provide all three layers with two hands or else omit one layer. By contrast, a big
band oIIers many ways to provide the three layers. Chords, Ior example, can be played by
just the pianist or the guitarist, or by any combination oI the available brass and/or reed
instruments.

1
Igor Stravinsky remarked on the absence oI 'true rhythm in jazz in his Poetics of Music, and T.W.
Adorno was critical oI the rigid treatment oI melody, rhythm, and harmony in jazz (see, e.g., in Pri
Jazz Theory
10
What is the Iunction oI 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 uniIy the sound oI the piano and bass and to maintain continuity oI
sound. In Latin-oriented groups, percussion plays a Ioreground role that is essential to the
character oI the music; oIten multiple percussionists are needed to realize the Iull
rhythmic complexity oI this music. In a big band, the drummer is essential both as a basic
timekeeper and as the provider oI much oI the rhythmic 'punch oI arrangements through
hits, Iills, and solo passages.
Jazz Rhythmic Interpretation
The unique rhythmic character oI 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 perIormer. This interpretation is Iocused on the
treatment oI eighth notes. The Iollowing example would not sound like jazz iI played
literally as written at tempos Irom 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
Iollowing. Depending on the perIormer, the eighth-note triplet might be slightly accented:
Drum Kit
Piano
String Bass
Ride cymbal
, , ,
,
, , ,
,
, , ,
,
, , ,
,
! ! ! !
_
,
,
,
,
,
,
, ,
, ,
,
, ,
,
,
.
!
!
!
!
_
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
,
,
,
.
!
_
,
,
,
,
,
,
,
,

This treatment oI eighth notes is one oI 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 Ieel 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 Iast bebop range, the
usual interpretation oI the eighth notes increasingly approaches the straight eighth notes
oI the Iirst example above.
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 Ieel oI the preceding example.

With slower pieces, which jazz musicians generally call 'ballads, the notated rhythm is
interpreted quite Ireely. The techniques used include rubato and other alterations oI the
given note values, playing behind the beat, and playing out-oI-time (i.e., without a
discernible beat or pulse).
Form
Jazz inherited much oI its Iormal structure Irom earlier music. The typical jazz
perIormance is a type oI theme and variations, a Iorm which goes back centuries in
European music. In the jazz version oI theme and variations, a perIormance begins with
the statement oI a pre-composed melody, oIten a pop standard or a Iamiliar jazz tune,
which jazz musicians call the 'head. This constitutes the 'theme part oI theme and
variations. The theme/head is then Iollowed by an indeIinite number oI improvised
variations on the theme. These improvised 'choruses generally Iollow the structure and
harmony oI 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 Iours or 'trading eights. In this case, the soloists
improvise in round-robin Iashion on 4- or 8-bar segments oI the Iorm. It is traditional to
Iinish oII a perIormance with a restatement oI all or part oI the original head tune. More
elaborate versions oI the jazz version oI the theme and variations Iorm may include an
introduction, one or more interludes, and either a short 'tag or an extended coda section.
The Iorm oI the theme itselI is generally one oI a small number oI stock patterns that are
Iound in all types oI popular music. These are covered next.
AABA
By Iar the most common song Iorm is the 32-bar 'AABA Iorm. In this Iorm, there are
two diIIerent eight-bar sections, called 'A and 'B. The A section is played twice and
typically has Iirst and second endings. The Iirst ending generally contains a 'turnaround,
a passage designed to lead back to the opening oI the tune. The second ending oIten
modulates to the key oI the B section, or 'bridge. At the end oI 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 oI the A section. Here is a list oI 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 oI the Blues Satin Doll
Body and Soul September in the Rain
I Cover the WaterIront Skylark
I Got Rhythm SoItly, 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 BeautiIul
Lullaby oI Birdland You Took Advantage oI Me

ABAC
Another common song Iorm could be called 'ABAC. This Iorm has Iour 8-bar sections
grouped into two 16-bar units, which are oIten identical except Ior their respective
endings. Here is a list oI some popular standards that have the ABAC

Iorm:

But Not Ior Me I Can`t Give You Anything But Love
Dancing in the Dark I Know that You Know
Days oI 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 AIter Time
Fine and Dandy When Your Lover Has Gone
Fools Rush In

Through-Composed
A small number oI songs is 'through-composed. That is, they consist oI one big section
that runs Irom beginning to end, although the melody may still be organized as Iour 8-bar
units (yielding an 'ABCD Iorm). This Iorm does not preclude a certain amount oI
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 oI tunes uses the ABA, or 'ternary, Iorm that is
common in European art songs. As with AABA tunes, this Iorm has two diIIerent
sections, but the A section is not repeated beIore the B section. Ill Remember April is
one oI the best-known popular standards in ternary Iorm.
13
The Role of Song Forms in Jazz
All oI the standard song Iorms are complete and selI-contained within a small number oI
measures, usually 32. There is only a small number oI such Iorms to remember, and each
Iorm is simple enough that players can easily keep the entire structure in mind while
improvising. This is what makes these Iorms so useIul Ior jazz. Longer, more complex
Iorms would require special skills to navigate, making collective improvisation more
diIIicult.

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

Exercises

1. Analyze the Iorms oI several oI the Iollowing tunes. Indicate the major sections
with the usual letter notation (A, B, C, etc.), and indicate any signiIicant thematic
ideas and motives. Also comment on whether each tune exactly Iollows one oI the
Iormal 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 oI the lyrics occur?

a. Alone Together n. Love Ior 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`WonderIul
I. 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 oI You w. A Time Ior Love
k. I Only Have Eyes Ior You x. What is This Thing Called Love
l. Just One oI Those Things y. What`s New?
m. Liza z. You Go to My Head

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

Degrees oI the minor scale will be indicated with the appropriate accidentals. For
example, the 'natural Iorm oI the minor scale (or Aeolian mode) would be indicated as
1
^
2
^
3
^
4
^
5
^
6
^
7
^

Standard Chord Notation
In the standard system Ior the notation oI chords, a chord symbol gives the letter name oI
the root oI each desired chord, as well as any Iurther inIormation needed to indicate the
correct pitches Ior the third, IiIth, sixth or seventh, and 'tensions. Chord symbol
notation does not speciIy the 'voicing oI chords, that is, the actual deployment oI the
chord tones. Voicing is leIt to the perIormer, composer, or arranger.

Chord symbols Iollow this general sequence oI components:

Root Third] Sixth or Seventh] ~Tensions] / Bass note]

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

Root. The root oI each chord is speciIied by a capital letter denoting the pitch
class oI 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. II the third oI a chord is major, this component is omitted. II 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 oI four diIIerent notes: root, third, IiIth, 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 speciIied.
The major seventh is indicated either as maj or ; thus, Ior example, C denotes
the dominant seventh built on C, while Cmaj or C denotes the major seventh
chord built on C. The diminished seventh is indicated either as or dim.
_

,
C'
Cmaj' C'

,
,

Tensions. The basic Iour-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 oI the alterations described below. II a chord is to have
tensions, they are generally given in a list Iollowing the sixth or seventh. The
chord symbol C, Ior example, calls Ior a C dominant seventh chord with the
Ilatted ninth (D) and Ilatted thirteenth (A) added:

_
C'''`
,
,
_

,

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

Alterations. Certain alterations oI basic chord types are common. These
alterations are most oIten applied to the IiIths oI dominant sevenths to give these
chords a bit oI added interest. The alterations are:

+5 raises the IiIth oI a chord based on a major triad:
_
G'+

17
5 lowers the IiIth oI a chord based on a major or minor triad:
_
G''
,
_

Alterations are indicated in the list Iollowing the sixth or seventh. The chord
symbol C, Ior example, calls Ior the C dominant seventh chord with Ilatted
ninth (D) and Ilatted IiIth (G) added:
_
C'''
,
,
_

,

C calls Ior the C dominant seventh chord with augmented IiIth:
_
C'+
,

Bass note. In standard chord notation, the lowest tone oI 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 oI the Iour in the basic chord or, occasionally, even
a tension. When a composer or arranger wants to guarantee that some speciIic
tone will be the lowest, the desired pitch is appended to the chord symbol
preceded by a slash. For example, C/E speciIies the Iirst inversion oI the C
dominant seventh chord:

_
C'/E
,
_

The use oI these so-called 'slash chords is oIten an indication that the composer
or arranger has a speciIic bass line in mind. The perIormer should thereIore study
the chord symbols careIully to see iI such a line is implied. (See the Implied
Countermelodies section below Ior more details on this practice.)

NB: In jazz chord notation, 'm and '- (Ior 'minor) reIer only to the third oI a chord,
and 'maj and ' (Ior 'major) reIer only to the seventh oI a chord. The third oI a chord
is assumed to be major unless an explicit indication oI minor is given; the seventh oI a
chord is assumed to be minor unless an explicit indication oI major or diminished is
given. The IiIth oI a chord is assumed to be perIect unless an alteration is speciIied.
Jazz Theory
18
Basic Chord Types
The harmonic vocabulary oI jazz consists oI seven basic types oI chords together with
some 'tension notes and alterations. As in traditional harmony, jazz chords are built up
in thirds Irom a root pitch; however, in jazz each basic chord consists oI four diIIerent
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 Iollowing:

Major seventh
_

Cmaj'

Sixth
_
C

Minor sixth
_
Cm
,

Minor seventh
_
Cm'
,
,

Dominant seventh
_
C'
,

Diminished seventh
_
C'

,
,

,
,

The use oI accidentals is oIten haphazard in jazz, and enharmonic spellings abound. It
is rare to Iind a double sharp or double Ilat when these would be the correct
accidentals. In the chord on the right above, Ior example, A replaces the B which
would be the correct spelling oI this note.

Half-diminished seventh
_
C'
,
,
,

These seven chord types are suIIicient to account Ior all oI the distinct harmonic
Iunctions Iound in jazz.
19
Here are the basic diatonic jazz chords in C major:
_

Cmaj'
Dm' Em'
Fmaj' G'
Am'
B'

The list oI basic diatonic chords in C minor is considerably longer because oI the
possibility oI using either the natural or raised sixth and seventh scale degrees in minor:
_
,
,
,
Cm

Cm'
Cmmaj'

D'
E'
E'maj'
Fm
Fm'
_
,
,
,
F'
Gm'
G'
A'
A'maj'
A'

B''
B'

B'

Note that Emaj 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 IiIth is considered
to be an altered chord rather than a basic chord. For a complete list oI all oI the basic jazz
chords, see Appendix A: 1azz 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 Ior chords with tensions. For example, C
denotes a C chord with added major ninth; C denotes a C chord with added
major thirteenth; Cmaj denotes a Cmaj chord with added major ninth; Cm
denotes a Cm chord with added major ninth.

The diminished seventh chord is indicated with the symbol or dim. C and
Cdim, Ior example, both denote the chord C E G B. This usage does not
Iollow the rules given above, but it is standard practice.

The halI-diminished seventh chord is oIten indicated with the symbol. C, Ior
example, denotes the chord C E G B. This usage does not Iollow the rules
given above. This is apparently the reason that the m notation Ior the halI-
diminished seventh chord has become standard: this notation Iollows the rules. On
the other hand, m suggests that the designated chord has an altered (i.e.,
lowered) IiIth. This is oIten not the case since the halI-diminished seventh chord
is diatonic in both the major mode (as VII) and minor mode (as II).

The dominant seventh chord with augmented IiIth is sometimes indicated as, Ior
example, C+. This notation puts the alteration oI the IiIth, +, before the instead
oI aIter. This notation is common and musicians are not conIused 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, perIect eleventh
_
,
,
,

Minor seventh: major ninth, perIect 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
diIIerent ways to produce a wide variety oI colors. The only combinations to be
avoided are those that would put together two tensions separated by a halI-step,
such as the minor and major ninth; however, to achieve a particular eIIect a
composer, perIormer, or arranger might deliberately use such a combination.
_
,
,

, , ,
,
, , ,

The tensions here are strung out on the staII in melody-like Iashion simply
because there are too many oI 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 aIter the other in the order shown as a sort oI
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. II you Iind yourselI writing
lots oI tensions into the chord symbols, you probably have very speciIic sonorities in
mind. Because oI the inherent vagueness oI chord notation, the perIormer may not be
able to inIer Irom the chord symbols exactly the sound you want. In such cases it`s better
to simply write out the speciIic 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 Iavorite tensions.
They include speciIic tensions in a chord symbol only when they occur in the main
21
melody or another prominent part. The purpose oI 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 oI the
musical examples in this book Iollow this practice.
Suspensions
sus or sus 4 suspends, or withholds, the third oI a chord and inserts a Iourth above the
root:
_
G'sus

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 eIIect.

It should be noted that the extensive use oI sus 4 chords Iound in the playing oI some
recent pianists implies a harmonic system based on chords built in fourths rather than
thirds. The tones oI the Gsus4 above, Ior example, could be rearranged to Iorm the chord
D G C F, a 'quartal (i.e., Iourth-based) harmony. Standard chord symbol notation is not
well suited to the representation oI quartal harmony. When quartal harmony is in Iorce,
the composer or arranger should probably write out the exact sonorities he or she wants
rather than using the sus notation and hoping the perIormers 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. II the countermelody is in the top or inner voice, it can be written as the numeric parts
oI a sequence oI chord symbols. For example, the melody C-B-B-A over a C-minor
chord can be written into the chords symbols as Cm Cmmaj Cm Cm:
_
Cm
,
,
Cmmaj'
,
Cm'
,
,
,
Cm
,
_

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

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

,
Cm Cm/B
,
Cm/B' Cm/A
_
,
, , ,
,

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

Both oI these techniques have an obvious limitation: the rhythm oI 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 reIer to such melodies as 'line cliches. 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 Iull.
Roman Numeral Chord Notation
When it is desired to describe chords or chord progressions in general terms without
reIerence to a speciIic key it is standard practice to use a Iorm oI 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 identiIies the scale degree on which a chord is built,
and the other attributes oI the chord (third, sixth or seventh, tensions and alterations, bass
note) are indicated exactly as with standard jazz chord notation. Here, Ior example, are
the diatonic jazz chords in C major, but this time with their Roman numeral designations:
_
I
Imaj'
IIm'
IIIm'
IV
IVmaj'
V'
VIm'
VII'

Chords belonging to the minor mode are treated as modiIications oI the major mode in
jazz Roman numeral notation. The chords on the scale degrees in the minor mode are
indicated as I II III IV V VI or VI VII or VII. Here, Ior example, are the diatonic
jazz chords in C minor with their Roman numeral designations:
_
,
,
,
Im

Im'
Immaj'

II'
'III
'IIImaj'
IVm
IVm'
_
,
,
,
IV'
Vm'
V'
'VI
'VImaj'
VI'

'VII'
VII'

VII'

The jazz Roman numeral notation treats the third, sixth, and seventh degrees oI the
natural minor scale as lowered versions oI these scale degrees in the major.
23

Exercises
1. Notate the Iollowing chords: Am, E, Emaj, B, F, Am, F.
2. Notate the Iollowing chords: C, E, D, Gm, A, Dmaj, B.
3. Notate the Iollowing chords: F, D, E, Gmaj, Dm, Asus, F.
4. Write the diatonic ninth chords in G major (There are only Iive oI them. Why?). Give
the standard chord symbol that speciIies 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 oI 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. 1azz 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 giIt Ior
it, others don`t. Fortunately, jazz has a simple technique Ior creating melodies that is
quite oIten successIul: riffing. A riff is a short melodic Iragment typically two bars in
length that is repeated as many times as necessary to Iill out an 8-, 12-, or 16-bar
section oI a tune. RiIIing is used both by soloists during improvisation and by composers
when they are writing new compositions. RiIIing has been a basic technique throughout
most oI the history oI jazz, but it played an especially prominent role in the big band
music oI the 1930s and 40s. Many oI the hits oI this period were simple tunes based on
one or more riIIs. The musical examples in this section are all drawn Irom this time.
These tunes are still played today by high school, college, and amateur big bands,
evidence oI the enduring interest and utility oI the riIIing technique.

In the simplest type oI riIIing, the riII is repeated note-Ior-note. Count Basie`s 1938 hit
Jumpin at the Woodside employs a two-bar riII that is repeated Iour times in the A
section oI the tune. This example shows the Iirst two repetitions oI the riII together with
its accompanying brass Iigure in the lower staII:
_
_
_
_
_
,
,
,
,
,
,
,
,
. . ,
,
,
,
,
,
. . ,
,
,
,
,
_
,
,
. .
,
,
,
,
,
,
,
,
,
,
,
,
,
, . .
,
,
,
,
,
,
,
,
,
,
,
,
,
, .

A slightly more sophisticated riIIing technique repeats the riII note-Ior-note except Ior
the last statement oI the riII, which is oIten a modiIied version oI the riII. Sy Oliver`s
Opus One (1943), written Ior the Tommy Dorsey orchestra and also recorded by the
Mills Brothers, repeats a two-bar riII three times, Iollowed by a two-bar unit based on a
truncated version oI the riII. This example shows just the Iirst two repetitions oI the riII,
which itselI contains two slightly diIIerent versions oI a simple Iigure:
_
_ _
,
G
,
,
,
,
,
,
,
,
,
,
, ,
,
C'
,
,
,
,
,
,
,
,
,
,
, ,
,
,

Flying Home (1940) by Benny Goodman and Lionel Hampton repeats the Iollowing riII
note-Ior-note three times and then concludes the section with a diIIerent melodic idea.
Notice that the chord symbols imply a scalewise descending bass line:
_
_ _
,
,
,
,
A'
,
,
,
,
,
,
A''/G' Fm E
,
,
,
,
E''
, ,
,
,
,

Jazz Theory
26
Many oI Glenn Miller`s hits were simple, riII-based tunes in which the riII is modiIied on
each repetition just enough to Iit the prevailing harmony. Miller`s In the Mood (1939),
Ior example, uses this arpeggiated riII on a very simple G blues chord progression:

_
_ _
,
,
,
,
,
,
,
,
,
,
,
, ,
,

Duke Ellington made Irequent use oI riII-like melodic ideas in his compositions. In a
Mellow Tone (1940), Dont Get Around Much Anymore (1942), and Do Nothing Til You
Hear From Me (1943) three oI Ellington`s perennially popular Iavorites combine
literal repetitions oI a riII, modiIied versions oI the riII, and additional melodic ideas not
based on the riII.

A riII can be used as the Ioreground melody oI a composition or as a background behind
a composed or improvised melody. Both uses oIten occur within the same composition.
In any case, riIIs 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 transIorm a simple riII like the one used in Jumpin at the Woodside into a
powerIul musical statement.

Exercises
1. Write three diIIerent two-bar riIIs. Try to make the rhythmic pattern oI each one
diIIerent, and have at least one riII begin on a pickup.
2. Write the A section oI your own riII-based AABA tune over chord changes provided
by the instructor. Present your tune in lead sheet Iorm: melody on the treble staII,
with each chord symbol placed immediately above the Iirst note the chord is to
accompany. Use Iirst and second endings Ior the AA part oI the Iorm.
3. Write the B section, or 'bridge, oI your riII-based tune. The bridge should use a
diIIerent riII Irom the A section. Again, present your tune in lead sheet Iorm: melody
on the treble staII, with each chord symbol placed immediately above the Iirst note
the chord is to accompany.
IV Developing a Bass Line
27
IV. Developing a Bass Line

With the exception oI 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 Irom the inIormation provided by chord symbols; however, it
is important Ior any jazz musician who wants a complete understanding oI 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 oI a successIul bass line by
Iollowing a Iew simple guidelines. Assuming a halI-note harmonic rhythm, use the
Iollowing procedure:

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

_
_
_
,
F
,
Dm'
,
Gm'
,
C'
,
Am'
,
A''
, ,
Gm'
,
G''
, ,
F
,

2. Fill in beats 2 and 4 according to the interval between the notes on beats 1 and 3:
_
_
_
,
F
,
,
Dm'
,
,
Gm'
,
,
C'
,
,
Am'
, ,
A''
, , ,
Gm'
, ,
G''
, ,
, ,
F
,
,
,
,

The diIIerent intervallic situations, and their solutions, are as Iollows:

a. II 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 Irom measure 2 to
measure 3, we insert B between C and A.
b. II the roots are separated by a Iourth or IiIth, Iill out the interval with a
tone drawn Irom the first chord. In measure 1 we insert F between D and
the G in the Iollowing measure, and in measure 2 we insert D between G
and C.
c. II 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 oI a repetition. This move is sometimes used
reposition a bass line that is approaching either the lower or the upper
extreme oI the range oI the instrument.
d. II a chord is held Ior the entire duration oI a measure, the bass line can be
Iilled out with a scalewise line Irom the root oI the chord down to the IiIth.
This is done under the F chord in measure 5.
Jazz Theory
28

3. Finally, look Ior opportunities to smooth out the bass line through judicious use oI
the third, IiIth, or seventh oI a chord, or non-chord tones. Here, Ior example, the
scalewise line in measure 1 is continued downward through C (the 7
th
oI the Dm
chord) to the B on the Iirst beat oI measure 2. This movement puts the root oI the
Gm chord on the second beat oI measure 2, which is perIectly acceptable:
_
_
_
,
F
,
,
Dm'
,
,
Gm'
,
,
C'
,
,
Am'
, ,
A''
, , ,
Gm'
, ,
G''
, ,
, ,
F
,
,
,
,

This method is unlikely to produce a bass line with the Iire and drive oI 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 oI a piece.

Exercises.
1. Write a bass line Ior 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. II
possible, have class members play the tune, the chords, and your bass line.
2. Choose a tune Irom the lists in the Form section oI Chapter I and write a bass part
Ior 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. II 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 inIluence in jazz. Within the jazz
tradition, a 12-bar Iorm oI the blues has become standard; however, there is considerable
variety in the chord progressions used. These progressions generally exhibit root
movement by IiIth, up or down, but the actual chords used can range Irom 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 Iollowing:
_
C

F'

C

C'

_
F'

C

_
G'

F'

C

An even more basic (not to say primitive) Iorm oI the blues chord progression can be
obtained simply removing all the sevenths Irom 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 oI the blues progression:
_
C'

F'

C'

Gm'

G''

_
F'

Fm'

B''

Em'

A'

_
Dm'

G'

Em'

E'm'

Dm'

D''

As can be seen, this version uses 'borrowed chords, secondary dominants, and linear
chords, which should all be Iamiliar to students Irom the study oI traditional harmony.

Here is a list oI 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 Ior Alice Straight, No Chaser
Blue Trane Tenor Madness
C-Jam Blues West Coast Blues
Jazz Theory
30
The so-called 'blues scale is oIten proposed as the basic melodic material Ior
improvisation on blues chords. Here are two versions oI the blues scale:

1
^
1
^
1
^
3
^
3
^
5
^
5
^
6
^
7
^

For C blues, this scale would be:

_

,
,

,

1
^
2
^
3
^
3
^
4
^
4
^
5
^
6
^
7
^

Again Ior 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, careIul listening to a variety oI
blues perIormances is necessary.
Traditional/Rock Approach to Blues
A traditional approach to blues, which is oIten 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 oI as a major scale minus the Iourth and seventh
degrees:

_

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

3
The pentatonic scale is used in all Iorms oI American popular music and thus deserves a Iuller treatment
than can be given here.
31
scale make it an excellent vehicle Ior improvisation, especially Ior beginners. There
simply are no 'wrong notes.

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

1
^
3
^
4
^
5
^
7
^

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

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

_
_
_
_
_
,
,
,
,
,
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
, ,
,
,
,
_
,
,
,
-
E''
,
A''
,
E''
,
5
_
,
,
,
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
, ,
,
,
,
_
,
,
,
A''
,
E''
,
9
_
,
,
,
, ,
, ,
, , ,
, ,
, ,
, ,
, , ,
, ,
, ,
,
, ,
,
.
, ,
,
,
.
_
,
,
,
B''
,
A''
,
E''

Exercises
1. Write your own blues melody over the chord changes oI a tune selected Irom the
list in the A jazz approach to the blues section above.
2. Write a bass line and piano/guitar part Ior the tune selected Ior 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 riII using a blues scale, and then
write bass and piano/guitar parts Ior it using the 'traditional blues chord
progression. Play the entire composition.
4. Write a blues melody consisting oI three identical Iour-bar phrases. Write bass
and piano/guitar parts to accompany the melody. Play the entire composition

Rhythm Changes
The chord progression oI 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 oIten reIer to it simply as the 'Rhythm changes. Here is the
traditional version oI the Rhythm changes:

_
_ _
,
,
B'

Gm'
Cm'

F'

Dm'

D'

Cm'

F'

B'

B'/D
E'

C'

1.
2.
_
,
,
!
B'/F
F'

B'
Cm'
B'

B'
E''

D'

D.C. al Coda
_
,
,
G'

C'

F'

Coda(jazz)
Coda(Gershwin's)
_
,
,
!
B'/F
F'

B'

!
B'/F

F'/E'

D'

G'

C
F'

B'

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: Buds Bubble, Wail
Duke Ellington: Cottontail
Dizzy Gillespie: Salt Peanuts
Count Basie: Lester Leaps In

33

Exercises
1. Write your own riII-based melody over the Rhythm changes. Use diIIerent riIIs
Ior the A and B sections.
2. Write a bass line Ior the tune written Ior exercise 1 and play the entire
composition.
3. Write your own riII-based melody over the version oI Rhythm changes in one oI
the other tunes in the list above. Use diIIerent riIIs Ior the A and B sections.
4. Write a bass line Ior the tune written Ior exercise 3 and play the entire
composition.
5. Compare the harmony oI any oI the Rhythm-based tunes above with the
'standard Rhythm changes and comment on any diIIerences between the two.
6. II you compare all oI the Rhythm-based tunes listed above with Gershwin`s
original, what (iI anything) stays constant across all oI the tunes?
Jazz Theory
34
VI Chord Voicings
35
VI. Chord Voicings

'Voicing reIers to the way chord tones are deployed. There are many diIIerent
approaches to chord voicing. The choice oI which approach to use is partly a matter oI
what kind oI musical group is involved: solo keyboard, piano trio, big band, soli group,
vocal jazz ensemble, etc. The choice oI approach is also aIIected by the aesthetic
preIerences oI the perIormer, composer, or arranger. And, Iinally, the choice oI approach
is aIIected by the background and training oI the perIormer, 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 Iormal
training are more likely to use automatic techniques based on the mechanical application
oI a Iew 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 Ior a reasonable approach to solo keyboard
voicing. Students oI traditional harmony will recognize several oI the guidelines as
standard procedures Ior writing the typical textbook exercises in Iour-part harmonization.
These guidelines are Iairly general and can thereIore be extended, with appropriate
modiIications, into other musical contexts; however, one caveat concerning piano voicing
oI 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 terriIying in its impact iI voiced Ior brass
will be mildly tingling when played on the piano. This Iact 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 oI orchestral writing. It does
not give a representation oI the orchestra.
4

The general guidelines Ior keyboard voicing are:

Include the root as the bottom note oI the chord.
Include the characteristic tones oI 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 Iourth and seventh
HalI-diminished seventh chords root, IiIth, and seventh*
Diminished seventh chords root, IiIth, and seventh*
Augmented seventh chords third, IiIth, and seventh
* iI the chord is Iunctioning as a dominant, the characteristic tones would be the
third, seventh, and ninth above the root oI the underlying dominant chord.

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

Observe the recommended range Ior characteristic tones:
_

_

Include an altered IiIth (+5 or 5) in the chord iI it is indicated in a chord symbol,
but the unaltered IiIth may be omitted.
Keep all tensions above F on the Iourth line oI the bass staII.
Allow no more than an octave between adjacent chord tones, except that the
lowest tone may be up to two octaves Irom 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 oI melodic improvisation. Guide tones may be used as known points to guide
the development oI a melody. The improviser may, Ior example, try to arrive at a guide
tone on the Iirst beat oI each measure or wherever he or she places a dynamic accent.
Guide tones are also important in writing Ior small ensembles. II the part Ior each melody
instrument makes intelligent use oI guide tones, a satisIying sense oI harmony can be
created with only one or two voices.
Chord Voicing Styles
The voicing oI chords in jazz is every bit as Iree as it is in classical music; however, a
Iew speciIic 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 Iit in an interval
smaller than an octave. The bass note, which is generally the root oI the chord, is treated
separately: iI the bass note is the root oI the chord, the root may be omitted in the upper
group oI notes and replaced with a tension, as can be seen in this example:

_
_
_
_
_
,
Am
,
,
,
,
A'
,
,
,
,
,
,
,
Gm
,
,
,
,
G'`
,
,
,
,
,
,
Fmaj
,
,
,
,
_
,
, , ,
, , ,
,

VI Chord Voicings
37
Shells
5

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

_
_
_
_
_
Cmaj
,
,
,
Fmaj'
,
,
,
B''
,
,
,
Em'
,
,
,
A''
,
,
,
,
Dm'
,
,
,
G''
,
,
,
,
Cmaj'
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,

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 oI the number
and the pitches oI the upper tones are determined by the perIormer, composer, or arranger
according to his or her taste, the eIIects he or she is trying to achieve, and the available
musical resources. A common jazz piano style consists oI shells in the leIt hand and a
single-line melody in the right hand.
Axis
Axis voicing is so named because a particular tone in the middle oI a chord serves as an
axis, or reIerence point, around which the rest oI the chord is built. This type oI voicing
always has a IiIth on the bottom (the root and IiIth oI the given chord), and the axis tone
is always third or seventh oI the chord. In an axis-3 chord, the third oI the chord is the
axis, and the upper parts are typically 7 and 3 above the root:

_
_
_
_
_
Cmaj'
,
,
,
Dm'
,
,
,
Em'
,
,
,
E''
,,
,
,
Dm'
,
,
,
D''
,,
,
,
Cmaj'
,
,
,
_
axis
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

In an axis-7 chord, the seventh oI 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 Iour-volume work, Jazz
Improvisation, was one oI the Iirst serious attempts to present a complete and consistent theory oI jazz.
6
'Comping, undoubtedly a contraction oI 'accompanying, reIers to the chordal accompaniment a jazz
pianist plays behind an ensemble or soloist. It typically consists mostly oI block chords played to coincide
rhythmically Iairly closely with the harmonic rhythm implied by the written chord changes.
Jazz Theory
38
and 7 above the root:

_
_
_
_
_
Cmaj'
,
,
,
Dm'
,
,
,
Em'
,
,
,
E''
,
,
,
,
,
Dm'
,
,
,
D''
,
,
,
Cmaj'
,
,
,
_
axis ,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

Axis chords are most Irequently used in parallel motion, as illustrated in the two
examples here. From the point oI view oI the solo pianist, the purpose oI the axis is to
provide a known anchor point Ior the right hand thumb. Above this point, the remaining
chord tones (iI any) can be deployed between the melody and the axis tone. Since the leIt
hand part is always a IiIth, 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 perIormance is relatively small, which accounts Ior its
popularity with pianists oI modest ability. Axis voicing also works well in orchestrations
Ior big band or other jazz ensembles with multiple horns.
Rootless Chords
So-called 'rootless chords are oIten used by pianists in contexts where another
instrument, usually a bass, is available to play the roots oI the chords. A rootless chord
consists oI the characteristic tones plus one or two others, all in close position (in the
sense that the entire chord Iits within the space oI 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 oI the chord is the third or seventh. Here are the 'standard
voicings oI the rootless jazz chords:

Major seventh
_
Cmaj

Minor seventh
_
Cm
,
,

,
,

Dominant seventh
_
FF'F'`
C'`
,
FF'`
C'F'` C'`
FF'F'`
,
,
FF'`
C''F'`
,
,

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

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

Sixth
_

C

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

Minor sixth
_

,
Cm

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

Diminished seventh and half-diminished seventh
The diminished seventh and halI-diminished seventh do not have rootless Iorms.
Generally, whichever inversion oI these chords gives the smoothest movement to
the Iollowing chord will be used.

In order to maintain a consistent musical character, the bottom tone oI a rootless chord
should normally be within the Iollowing 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 oI the
range at one end or the other in order to obtain a desired chord. This is especially true Ior
the rootless sixth chords, which have only one usable voicing. For example, how would
you voice A, Am, or A 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 eIIective only in the range shown above,
and the number oI distinctly diIIerent chords is very limited; the examples above almost
completely exhaust the possibilities. For a complete list oI all oI the 'standard rootless
chord voicings, see Appendix B: Rootless Chord Dictionary.

Exercises
1. For each oI 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 Iollows the general
guidelines given on pp. 33-34 above.
a. F
b. Am
c. D
d. Gmaj
e. E
I. B
g. C
2. Choose a root tone and then write all oI the 'standard rootless versions oI the
major seventh, minor seventh, sixth, minor sixth, and dominant seventh chords on
that root. Write the chords in the bass staII as a leIt-hand piano part.
3. Using the rootless chords you wrote Ior exercise 2, add to each chord three
diIIerent right-hand parts in the treble staII. Each right-hand part may be (a) all or
part oI the underlying triad that the leIt-hand part is based on, (b) an upper
structure triad, (c) additional tensions to the leIt-hand part, or (d) some
combination oI all oI 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 Ior the A section and a diIIerent voicing style Ior 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 oI concerns lumped under the heading oI
'voice leading. SuperIicially, this topic is concerned with how the composer or arranger
conducts the individual instrument or voice parts Irom note to note. In reality it involves a
set oI 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 oI particular musical eIIects.

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

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

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

Hold common tones. Whenever a tone is common to neighboring chords, hold that
tone when moving Irom the Iirst 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 Iorm oI doubling, with one voice
simply copying the motions oI another. Thus, they eIIectively reduce the musical
texture by one part. Such doublings can be objectionable iI they occur
unpredictably and without any justiIication in the given musical context. Octave
doubling may oI course be used to reinIorce a particular line or voice, or to
thicken a sequence oI chords.
Think of the bass line as a countermelody. Write bass lines that have nice melodic
shapes and that have a combination oI 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 thereIore be thought oI as a single 'thickened melodic
line). The Iormal study oI counterpoint will help greatly in achieving this goal.

The Iollowing publications give the contemporary proIessional view oI jazz voice leading

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

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

These books should be consulted Ior inIormation about the speciIic voicing and voice
leading techniques used in the instrumental group oI interest.

It should not be assumed that a smooth texture is the goal oI every jazz artist. Smooth
texture implies notions oI craItsmanship and proIessionalism, values that are not given
top priority by every jazz artist. The composer/arranger oI a high-budget TV special or
Las Vegas show almost certainly has a set oI musical standards diIIerent Irom those oI
the leader oI a small jazz group who views his or her work as an aspect oI social protest
or as avant garde art.
Standard Voice Leading Techniques
The comping techniques commonly used by jazz pianists provide a reasonable starting
point Ior learning jazz voice leading. The speciIic voice leading technique chosen Ior any
given situation depends partly on root motion: one technique is used when root motion is
up or down by IiIth, a diIIerent 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 oI
these techniques are generalizations oI average practice, and that the greater the skill and
inventiveness oI the musician, the less likely his or her playing can be characterized by
any simple application oI these techniques. Even pianists oI very modest abilities quickly
learn how to combine and modiIy these techniques to produce more interesting eIIects.
Circle of Fifths Root Motion
When chords Iollow the circle oI IiIths, the '7-3 voice leading technique based on the
chord 'shells discussed above is a good choice. Here is an example oI this approach:
_
_
_
_
_
Cmaj
,
,
,
Fmaj'
,
,
,
B''
,
,
,
Em'
,
,
,
A''
,
,
,
,
Dm'
,
,
,
G''
,
,
,
,
Cmaj'
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,

The lower two parts alternate sevenths and thirds, while the upper parts Iill 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 oIten used. In this
technique, the pianist chooses a nice voicing Ior the Iirst chord and then simply
transposes it up or down to obtain the succeeding chords (adjusting, oI course, as
necessary to get the required chord quality). In one style, each chord has a seventh (shell)
in the two lowest parts:
_
_
_
_
_
Cmaj
,
,
,
Dm
,
,
,
Em
,
,
,
E'
,
,
, ,
,
Dm
,
,
,
D'
,
,
, ,
,
Cmaj'
,
,
,
_
,
,
,
,
,
,
,
, ,
,
,
,
,
, ,
,
,
,

In another style, each chord has a IiIth 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 oI the 3 7 3 or 'axis 3 version:
_
_
_
_
_
Cmaj'
,
,
,
Dm'
,
,
,
Em'
,
,
,
E''
,
,
,
,
Dm'
,
,
,
D''
,
,
,
,
Cmaj'
,
,
,
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

And here is an example oI the 7 3 7 or 'axis 7 version:
_
_
_
_
_
Cmaj'
,
,
,
Dm'
,
,
,
Em'
,
,
,
E''
,
,
, ,
,
Dm'
,
,
,
D''
,
,
,
Cmaj'
,
,
,
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

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, Ior example, C and E in the upper voices are held throughout, and the
upper parts as a group are arranged in close position:
_
_
_
_
_
C
,
,
,
,
Am
,
,
,
,
Fmaj
,
,
,
,
Dm
,
,
,
,
C
,
,
,
,
_
,
,
,
,
,

Voice Leading with Rootless Chords
Voice leading with rootless chords is very simple because there are so Iew diIIerent
rootless chords it amounts to little more than moving Irom one standard rootless chord
to another by the shortest route possible. The usual way to illustrate voice leading with
rootless chords is to present diIIerent realizations oI the II V I chord progression. Here,
Jazz Theory
44
Ior example, is the II V I progression in major. There are two basic Iorms, corresponding
to the two possible voicings oI the IIm chord:

_
B": II V I
Cm
,
,
,
, ,
,
F'`
,
,
,
,
B'maj'
Cm
,
,
,
,
,
,
F'`
,
,
,
,
,

B'maj'

And here is the II V I progression in minor. Again there are two basic Iorms,
corresponding to the two possible voicings oI the II chord:
_
Am: II V I
B'
,
,
,
,
E''''`
,
,
,
,
Am
B'
,
,
,
,
E''F'`
,
,
,
,

Am

Note that the II chords are not rootless, but rather Iirst or third inversions oI the
ordinary halI-diminished seventh chord. This is standard practice.

Some limited variation oI 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 Iirst inversion). In major, Ior
example, we could have
_
B": II V I
Cm
,
,
,
, ,
,
F'`
,
,
,
,
B'

And in minor:
_
Am: II V I
B'
,
,
,
,
E''''`
,
,
,
,
Am

The Am here goes slightly below the normal range Ior rootless chords. This is
acceptable iI it occurs only occasionally.
Parallel Voice Leading Styles
There is a Iamily oI voice leading styles in which all oI the harmony parts simply Iollow
the lead line in parallel. Every note oI the lead line is harmonized with an appropriate
chord, which in each case is determined by a Iew simple rules. Here are the Iirst Iew bars
oI 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 Iit within an interval smaller than an octave below the lead line
_
_
_
_
_
,
,
B''
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
E''
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
_
,
,
- -

All oI the other parallel voice leading styles discussed in this section are variants oI this
basic style. They are derived Irom the basic voicing simply by doubling one or more
voices an octave below or by transposing a voice down an octave. All oI 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 Irom 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 Irom one close-position chord to another eIIectively produces a single,
'thick melodic line. To create an arrangement in this style, it is necessary to Iollow only
two rules with some qualiIications:

1. II the current lead line note is a chord tone (i.e., it is the root, third, IiIth, sixth or
seventh, or tension oI the prevailing chord), Iill out the harmony with exactly
three chord tones taken in order reading down Irom the lead line note. Unless the
lead line note is the root oI the prevailing chord, the root oI a chord is oIten
omitted in Iavor oI a tension. In any case, make sure the characteristic tones oI
each chord are always included. In the Blue Monk example above, the D oI the
B in the Iirst measure and the G oI the E in the second measure are
harmonized with the remaining notes oI the chord; however, the harmonization oI
the F oI the B at the end oI the Iirst measure and the B oI the E at the end oI
the second measure substitute the ninth Ior the root.

2. II the current lead line note is a non-chord tone a neighbor- or passing tone, Ior
example it may be harmonized with an appropriate linear chord in close
position. Some experimentation with diIIerent harmonizations oI non-chord tones
may be necessary to achieve a completely satisIactory 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 E and E in the Iirst measure are harmonized with E and E,
respectively. Similarly, A and A in the second measure are harmonized with
A and A, respectively.

AIter a basic arrangement has been created Iollowing these two rules, it can be modiIied
to achieve diIIerent musical eIIects or to accommodate diIIerent instrumental resources
by applying the simple techniques discussed next.

8
Op. cit., p. 35. The account oI 'thickened line given here is somewhat oversimpliIied. Russo`s
description oI this technique contains many subtleties that are not discussed here. In the end it is up to your
ears to decide iI a particular thickened line passage works, whether it Iollows the rules or not.
Jazz Theory
46
The Widened Line: Drop 2 and Drop 3
The widened line
9
consists oI the lead line and three harmony voices, just as in the
thickened line. The diIIerence is that one oI the harmony voices oI 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.
_
_
_
_
_
,
,
B''
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
E''
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
, ,
,
,
_
,
,
,
, ,
, ,
,
, ,
, ,

A 'drop 3 widened line transposes the third part (i.e., again counting down Irom the lead
line in the basic close position) down an octave. This modiIication has the eIIect oI
spreading the texture out quite a bit, as can be seen in the Blue Monk example:
_
_
_
_
_
,
,
B''
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
E''
,
,
,
,
,
, ,
,
,
,
,
,
,
, ,
,
,
_
,
,
, , ,
,
, ,
, , ,
,
, ,

Other variations on the basic parallel model are also used. For example, the combination
oI a 'drop pattern with a doubling oI the lead melody at the octave above or below is
oIten encountered.
Locked-Hands
The 'locked hands style is a also simple variation oI the basic close position. The locked
hands style is so named because, on a keyboard, the right and leIt 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 Irom big band section writing techniques oI the 1930s and
40s. Here is an example oI locked hands applied to the opening oI Laura:
_
_
_
_
_
Am
,
,
,
,
,
,
,
,
,
,
,
,
D''
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
G'
,
,
,
,
,
,
!
Gmaj
,
,
,
,
C
,
,
,
,
,
,
,
,
,
_
, , ,
,
,
,
,
,
!
,
,
,
,

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

Exercises
1. Choose an AABA tune Irom the list in the Form section oI Chapter I. Write a
block-chord piano accompaniment Ior 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 staII above the piano`s
treble/bass system.
2. Write a piano accompaniment Ior the B section oI the tune selected Ior exercise 1
using a diIIerent voicing style.
3. On a separate bass staII, add a bass line to the arrangement you wrote Ior exercise
1. Play the arrangement with class members.
4. Do exercise 1, but provide a 'broken or arpeggiated piano accompaniment
suitable Ior a solo piano arrangement oI the tune..
5. Write your own tune in one oI the standard Iorms 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 Iacility with jazz voicings and voice leading, it will be possible
to begin to write Ior small jazz ensembles consisting oI a rhythm section and two to Iive
'horns.
10
The same piano voicing and voice leading techniques we have studied can be
applied with little or no modiIication to small groups consisting oI some combination oI
trumpets, trombones, and saxophones, which are the most common jazz horns.
Instrument Ranges
Unlike writing Ior the piano, small ensemble writing demands that the composer/arranger
into account the limited ranges oI 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 Ieel comIortable and
produce a good sound. The chart below illustrates these ranges Ior the Iive basic jazz
horns. In the leIt 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
,

_
,
,

II you are using music notation soItware such as Sibelius, you will be warned whenever
you attempt to enter a note out oI an instrument`s range. This is a very useIul 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 oI 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
I. 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
I. 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 Irom the list in the Form section in Chapter I. Write a piano
arrangement oI an 8-bar section using any oI the parallel voicing styles described
above. Add bass and drum parts. Score the arrangement Ior any appropriate
combination oI Iour horns.
2. Do exercise 1 again, but this time using the Arrange Ieature described in
Appendix C iI you have access to Sibelius. Try several diIIerent jazz styles and
pick the one that gives you what you think are the best results.
3. Complete the score Ior the tune selected Ior Exercise 1 and extract the individual
parts.
VIII Functional Harmony in Jazz
51
VIII. Functional Harmony in 1azz
In Iunctional harmony each chord plays a speciIic role within the sequence oI chords
where it occurs. A chord may be used to establish the tonality at the beginning oI a piece,
to serve a concluding Iunction at the end, to rove between more stable points, to prolong
a preceding chord, etc. By contrast, chords in a non-Iunctional 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 Iunctional or non-Iunctional because almost any
given chord could be used in either a Iunctional or non-Iunctional way.

Jazz today spans the Iull spectrum oI harmonic possibilities Irom Iunctional to non-
Iunctional. This book covers the primarily Iunctional practice that extends Irom the
origins oI jazz in New Orleans to the post-bop music oI the 1950s and 60s. This practice
continues to this day, but since the late 1950s new, non-Iunctional harmonic languages
have been created and have taken their place alongside the traditional, Iunctional
harmonic language.
Theory of Chord Progressions
Root Motion
In jazz, chord progressions are usually described in terms oI root movement. The most
common root movements Iollow the 'circle oI IiIths, moving in either direction Irom a
given chord to one oI its neighbors in the circle. There are two diIIerent versions oI the
circle oI IiIths: 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 oI the diatonic
chords can be arranged in a circle that summarizes their IiIth 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 IiIth (or ascending Iourth). Many chord progressions use all or
most oI either the major or the minor circle.

Jazz Theory
52
The Iollowing example shows a typical jazz piano realization oI the complete major
circle oI IiIths in the key oI C major. Notice that the bass moves by perIect Iourth or IiIth
except Irom IV to VII, which is a tritone. When the harmony oI a piece Iollows the circle
oI IiIths, jazz pianists will oIten alternate sevenths and thirds in the leIt hand and build
the rest oI the chord in the right hand as shown here.

_
_
_
_
_
Cmaj
,
,
,
Fmaj'
,
,
,
B'
,
,
Em'
,
,
,
Am
,
,
,
Dm'
,
,
,
G
,
,
,
Cmaj'
_
I
,
,
IV
,
,
VII
,
,
III
,
,
VI
,
,
II
,
,
V
,
,
I

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

The Minor Diatonic (In-Key) Circle of Fifths

The Iollowing example shows a typical jazz piano realization oI the complete minor
circle oI IiIths in the key oI C minor. Notice that the bass moves by perIect Iourth or IiIth
except Irom VI to II, which is a tritone:
_
_
_
_
_
,
,
,
Cm
,
,
,
Fm'
,
,
,
B'
,
,
,
E'maj'
,
,
,
A'maj
,
,
,
D'
,
,
,
G''
,
,
,
Cm'
_
,
,
,
I
,
,
IV
,
,
'VII
,
,
'III
,
,
'VI
,
,
II
,
,
V
,
,
I

The Chromatic Circle of Fifths
There is also a chromatic circle oI IiIths, which shows the IiIth relationships oI all 12
chromatic pitches:
53
C
E
A
B
E
D
F
B
D
G
G
A
F

The Chromatic Circle of Fifths

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

, I maj III | VImaj II | Imaj - - ,

The Iollowing is a typical jazz piano realization oI this progression:

_
_
_
_
_
Cmaj
,
,
,
E'maj
,
,
,
A'maj'
,
,
,
,
D'''+
,
,
,
,
Cmaj
_
I
,
,
'III
,
, ,
'VI
,
, ,
'II
,
, ,
I

Strong/Weak Alternation of Chords
It is a noteworthy Ieature oI much jazz harmony that chords tend to occur in a strong-
weak alternation, creating a downbeat-upbeat Ieel within the harmonic rhythm. The
paradigm oI this Ieature 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 oI
II V I progressions would typically be arranged as Iollows:

, , , , ,
| 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 halI
note, the Iirst (strong) halI oI each measure is occupied by I or II, while the second
(weak) halI is occupied by V or some other weak chord.

Three Iunctions Dominant Preparation, Dominant, and Tonic - are needed to
establish a key. A single major or minor chord is undeIined. PreIacing it with its own
dominant somewhat clariIies 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
aIter which the original major or minor chord will sound unambiguously like the
tonic. A dominant preparation chord is typically some Iorm oI II or IV. A variety oI
chords can perIorm each oI these Iunctions. Following is a table oI some oI the
possibilities. A Dominant preparation-Dominant-Tonic progression can be developed
by taking one chord Irom 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
IIm V I or Imaj
IV or IVmaj II Im or Im
IVm or IVm VII (IIIm)
II7 VII (VIm)
VI
VIm

II we compare the chords in each column, we observe that (1) all oI the dominant
preparation chords have at least two tones in common with IV, the subdominant; (2) all
oI the dominant chords contain scale degrees 4
^
and 7
^
; and (3) all oI the tonic chords have
at least two tones in common with I, the Tonic. This overlap in the content oI the chords
within each Iunctional category is related to but not identical with the concepts oI
'characteristic tones and 'guide tones explained below. The essential point oI all these
concepts is that a satisIactory sense oI chord Iunction can be achieved with less than a
Iull 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 (IIIm and VIm as representatives oI 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 Iorm oI dominant, while at others it is used as part oI a circle-
oI-IiIths structure such as IV VII III. In either case it would be considered a weak chord
in the sense used here.

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

55
_
_ _
,
,
B'

Gm'
Cm'

F'

Dm'

D'

Cm'

F'

B'

B'/D
E'

C'

1.
2.
_
,
,
!
B'/F
F'

B'
Cm'
B'

B'
E''

D'

D.C. al Coda
_
,
,
G'

C'

F'

Coda(jazz)
Coda(Gershwin's)
_
,
,
!
B'/F
F'

B'

!
B'/F

F'/E'

D'

G'

C
F'

B'

There are many variations on the Rhythm changes. The Rhythm changes 'map below
attempts to capture the underlying logic oI these variations. The map Iocuses on the A
section oI the tune since the bridge oI most Rhythm-based tunes generally stays quite
close to the original harmony, i.e., III-VI-II-V. To develop a variation on the Rhythm
chord progression using the map, simply Iollow a path Irom leIt to right through the
boxes, selecting one chord Irom each box.
Jazz Theory
56

I m a j
I
( I I I m )
( V I m )
I I I m
V I
( I I I )
I
I
I I I
I V
V I
I
I
I
I
I I I m
I V m
I I m
I I m
I I
I I
I V m a j
I V m
V I m a j
V I m
I V m a j
I I m
I I
I I m
I V m a j
V
I I
I m
V I m
Tonic
Tonic prolonging
Tonic prolonging
Secondary dominants
Voice leading
Dominant
Dominant preparation
Alternate starting point

Rhythm Changes Map

57
The movement Irom weak to strong is more constrained than is the movement Irom
strong to weak. V, Ior example, typically goes to some Iorm oI I. On the other hand, I
can go to a large number oI diIIerent chords, as shown in the Rhythm changes map. In
general, the movement Irom a weak chord to a strong chord requires some kind oI
justiIication. Typical justiIications are:

1. The weak to strong movement Iollows the circle oI IiIths. A typical case is a
secondary dominant that 'tonicizes the Iollowing strong chord.
2. The weak chord is made up oI neighbor/passing tones that connect the preceding
strong chord to the Iollowing strong chord. A very common case is the III in the
progression

| IIIm IIIm | IIm
| |

The IIIm here is made entirely oI chromatic passing tones. In this book, such
chords are called 'voice leading chords because they are essentially the result oI
horizontal movement Irom chord tone to chord tone. Other authors call these
chords 'linear harmonies. Voice leading chords are discussed below.
3. The weak chord is justiIied 'backwards to the preceding strong chord. A very
common case is a I chord Iollowed by either VIm or IIIm. Both oI the latter can
be seen as prolongations oI I: VIm is simply an inverted I, while IIIm is a
'rootless Imaj. In C major, Ior example, we have

_
C
Am'
Cmaj
Em'

In both cases, the weak chord prolongs the preceding strong chord, but gives it a
slightly diIIerent color.
Tensions and Chord Function
Adding tensions to a chord does not change its Iunction. For example, a dominant
seventh chord with added 9 +11 13 still Iunctions as a dominant chord in its key. From
the point oI view oI traditional harmony, the eIIect oI tensions on chord Iunction is such
that more tensions create a greater tendency Ior the chord to resolve to a particular chord.
In the Iollowing example, every note in the Iirst chord except G is, in traditional
theoretical terms, a 'tendency tone, that is, a tone that has a sense oI being directed
towards another speciIic tone:

_
_
_
_
_
.
G'''`
,
,
,
,
,
C
_
.
,
,

Jazz Theory
58
The tritone F-B resolves outward to E-C according to the usual rules Ior dominant
seventh chords. E and A are both lowered notes, which exhibit a tendency to continue
downward by halI step to notes oI the next chord. Thus, there is a strong 'pull toward
the speciIic C chord with added 9
th
shown here.

Whether the jazz composer, arranger, or perIormer respects such tendencies is a separate
issue. Because oI the looser treatment oI dissonance in jazz, a dissonant chord has no
obligation to resolve to a chord predicted by the stylistic conventions oI classical music.
Non-Tonic Beginnings
Many tunes do not begin on the Tonic; however, such tunes oIten use chord patterns that
are simply displaced versions oI the Rhythm changes. I VI II V is Irequently employed
in a Iorm beginning on II, so that one cycle oI this pattern appears as II V I VI (The
'alternate starting point in the Rhythm changes map above illustrates this usage.) The
opening Iour bars oI the standard Gone With the Wind Iollow this pattern.
Turnarounds
In standard AABA , ABAC, and ABA song Iorms, it is generally necessary to conduct
the harmony Irom 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 Iollows the strong/weak
alternation described above. In a typical case, a turnaround involves Iour chords in the
prevailing harmonic rhythm. For example:

_
_
_
_
_
C
,
,
,
E''
,
,
,
,
Dm
,
,
,
D''+
,
,
,
,
_
I
,
,
'IIIm'
,
, ,
,
IIm
,
,
'II'+
,
, ,
,

The general pattern Ior 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 oI the harmonic rhythm,
Iollowed by the tonic at the beginning oI the A

section oI the piece.
59
Tritone Substitution: II Substituted for V
It is oIten said that jazz uses a lot oI 'substitute chords. What this comment generally
indicates is that many musicians are unhappy with the blandness oI the chords provided
in the sheet music Ior tunes, and they seek to replace these chords with ones that better
express their sense oI the harmony oI the tunes. From the musician`s point oI view, then,
'substitute in this context means something closer to 'correct.

In jazz there is at least one true chord substitution: II substituted Ior V. II is a
dominant seventh chord based on a root located a tritone away Irom the root oI the actual
dominant. Because II contains the characteristic tones oI the dominant seventh, 4
^
and 7
^
,
it has a similar tendency to move to the tonic. II also contains 2
^
and 6
^
, chromatically
altered scale tones which tend strongly down to 1
^
and 5
^
, which deIine the tonic chord:

_
D''
_
C: 'II'
,
,
I

The same tritone substitution can be applied to any secondary dominant, and chains oI
such substitute chords are not uncommon. For example, iI II is used as a substitute Ior
the dominant seventh chord, it my be preceded by its own dominant seventh, VI7, which
in turn may be preceded by its dominant seventh, III:
_
_
_
_
_
E''
,
,
,
,
,
A''
,
,
,
,
,
,
D''
,
,
,
, ,
,
Cmaj
_
, ,
, ,
, ,

II may also be preceded by its own dominant preparation chord. Billy Strayhorn, Ior
example, employs this harmony at the end oI the A section oI Satin Doll:
_

A'm
,
,
,
,
,
,
,
,
D'
,
,
, ,
Cmaj
,
,
,
,
_

,
,
,
,
,
, ,

,
,
,

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

Neighbor chords. OIten, an entire chord is used as iI it were a neighbor note.
Jazz Theory
60
Here F and B act as lower neighbors to G and C, respectively:

_
_
_
_
_
G`
,
,
,
,
FF` G`
,
,
,
,
,
,
,
,
,

C`
,
,
,
,
B` C`
,
,
,
,
,
,
,
,
,

_
,
,

,
,
,
,
,
,
,

,
,
,
,
,
,
,
,
,
,
,

Passing chords. A minor seventh chord may be used to slide chromatically
between two diatonic chords. For example: Em Em Dm. Here the Em is a
passing chord between Em and Dm
_
_
_
_
_
Em
,
,
,

,
E'm Dm
,
,
, ,
,
,
,
,
,
,
,
_
,
,
,
,
,
, ,
,
,
,
,
,

Downward sequences oI dominant seventh-type passing chords are also common.
Sonny Rollins` Doxy, Ior example, begins with B A A7 G.

Neighbor-passing chords. A chord can also be made out oI a combination oI
neighbor- and passing-tones. In the E in this example, F is a neighbor tone and
D and B are chromatic passing tones:
_
Cmaj
,
,
,
,
E'
,
,
,
,
,
,
Fmaj
,
,
,
,
_
,
, ,
,

The bass line here supports the interpretation oI the middle chord as E, but the
voices in the treble staII could easily occur in jazz without this bass line as, Ior
example, 'rootless piano chords or as part oI a passage written Ior Iour
saxophones. In such cases, the middle chord would be indicated as G.

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

, , | ,
| IIIm VI | IIm becomes , IIIm VI IIIm VI | IIm

Here the sequence IIIm VI is inserted between VI and IIm. The interpolated
unit, IIIm VI, is simply the preceding unit, IIIm VI, transposed down a halI
step. To accommodate this interpolation, IIIm and VI are played at twice the
prevailing harmonic rhythm rate quarter notes rather than halI notes and the
interpolated IIIm and VI are also played as quarter notes. The interpolation
61
can be viewed as a slightly elaborated chromatic slide downward Irom IIIm to
IIm. (See Thelonious Monk`s Round Midnight Ior an example oI this type oI
interpolation.)

The Iollowing is a little keyboard exercise that illustrates this type oI
interpolation. Every other measure is part oI the chromatic circle oI IiIths, and the
intervening measures are the interpolations. Movement Irom measure to measure
is by halI-step down:

_
_
_
_
_
Cm'
,
,
,
,
F'
,
,
,
Bm'
,
,
,
E'
,
,
,
B'm'
,
,
,
,
E''
,
,
, ,
Am'
,
,
,
D'
,
,
,
A'm'
,
,
, ,
,
,
D''
,
,
, ,
Gm'
,
,
,
,
C'
,
,
,
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
_
FFm'
,
,
,
B'
,
,
,
Fm'
,
,
,
,
B''
,
,
,
Em'
,
,
,
A'
,
,
,
E'm'
,
,
,
,
,
A''
,
,
, ,
Dm'
,
,
,
G'
,
,
,
CFm'
,
,
,
FF'
,
,
,
_
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
,
,
,

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 leIt hand holds
common tones (sometimes enharmonically) across the bar line.
The Diminished- and Half-Diminished Seventh Chords
The diminished seventh and halI-diminished seventh chords occur in a variety oI roles in
jazz and thereIore deserve separate treatment.
The Diminished-Seventh Chord
The diminished-seventh chord is symmetrical, being composed entirely oI minor thirds.
As a result, all Iour inversions oI a given diminished-seventh chord sound approximately
the same. For example, B, D, F, and A all contain enharmonically the same Iour
pitches: B, D, F, and A.

_

,

No matter which note is the lowest, the structure above it will be (enharmonically) all
minor thirds. As a result oI the symmetrical nature oI the diminished-seventh chord, there
are only three diIIerent diminished-seventh chords. II a given diminished-seventh chord
is repeatedly transposed up by halI-steps, the third transposition will give the same set oI
letter pitches as the original chord. These properties make the diminished-seventh chord
somewhat ambiguous and slippery, but also very useIul precisely because oI this.
Jazz Theory
62
The Diminished Seventh as a Connecting Chord
Diminished seventh chords are most Irequently used to connect other chords. A very
Irequent use oI diminished seventh chords in writing Ior big bands is shown in the
Iollowing excerpt Irom Thelonious Monk`s Blue Monk. Here, diminished seventh chords
on the second and third eighth notes oI each measure smoothly connect diIIerent
inversions oI B7 and E7, respectively, on the Iirst and Iourth eighth notes.

_
_
_
_
_
,
,
B''
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
E''
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
_
,
,
- -

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

Another Iamiliar use oI the diminished seventh as a connecting chord can be Iound, Ior
example, in Dizzy Gillespie`s 'Salt Peanuts:
_
,
F
,
,
,
,
F'/A
,
,
,
,
,
Gm'/B'
,
,
,
,
B'
,
,
,
,
F/C
,
,
,
,
_
,
,
,
, ,
,

II we consider just the chords in the treble staII, the B clearly results Irom the chromatic
alteration oI the G and B in the preceding Gm, which is IIm in F major.

A similar use oI the diminished-seventh chord gives this 'barbershop quartet cliche:
_
,
Dm'
,
,
DF'
,
,
C'/E
_
,
,
,
,
,

The D results Irom the chromatic alteration oI the D and F in the preceding Dm,
which is VIm in F major.

Another old-timey use oI the diminished-seventh chord is the Iollowing chromatic slide
down Irom the Tonic chord in Iirst inversion through III to IIm. Here, the E chord
results Irom the chromatic voice motion in the bass (EED) and right-hand (GGF)
63
while the A and C in the other voices are held:

_
_
_
_
_
C/E
,
,
,
,
E''
,
,
,
,
,
Dm'
,
,
,
,
G`
,
,
,
,
_
, , ,
,
,

Both this usage oI the diminished-seventh chord and the barbershop quartet cliche above
disappeared Irom non-retro jazz in the 1940s and both are considered old-Iashioned today
(which does not mean they cannot be used to achieve particular musical eIIects).
The Diminished Seventh as an Incomplete Dominant
The diminished-seventh chord can be viewed as an 'incomplete dominant seventh with
Ilat ninth. It is incomplete because it is missing the root:
_

,
_
"missing" root
,

Because there are really only three diIIerent diminished-seventh chords, each one must
represent four oI the twelve diIIerent dominant sevenths. The Iollowing table summarizes
these relationships. Enharmonic respellings oI some pitches in the leIt column are
necessary to obtain the correct spellings oI some oI the chords in the right column. For
example, the A in the middle row has to be respelled as G and the C has to be respelled
as B in order to get the correct spelling Ior E.

Pitches in 7 chord Dominant-seventh chord
C E G B in any order represent A, C, E, or G
D F A C in any order represent B, D, E, or G
D F A C in any order represent B, D, F, or A

Because the diminished-seventh chord has a Ilat 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 halI-diminished seventh chord (or either m75 or m7-5, as many musicians preIer to
call it) occurs diatonically as II in minor, and it can be used as such in a sequence oI
Jazz Theory
64
circle oI IiIths-related chords:

_
_
_
_
_
,
,
,
Cm
,
,
,
Fm'
,
,
,
B'
,
,
,
E'maj'
,
,
,
A'maj
,
,
,
D'
,
,
,
G''
,
,
,
Cm'
_
,
,
,
I
,
,
IV
,
,
'VII
,
,
'III
,
,
'VI
,
,
II
,
,
V
,
,
I

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

_
_
_
_
_
Cmaj
,
,
,
Fmaj'
,
,
,
B'
,
,
Em'
,
,
,
Am
,
,
,
Dm'
,
,
,
G
,
,
,
Cmaj'
_
I
,
,
IV
,
,
VII
,
,
III
,
,
VI
,
,
II
,
,
V
,
,
I

The Half-Diminished Seventh as a Connecting Chord
The halI-diminished seventh chord, like the diminished seventh chord, is oIten used as a
connecting chord. Here, Ior example, C is used to make a smooth passing movement
between D and B:
_
_
_
_
_
D'
,
,
,
C'
,
,
, ,
,
,
B'
,
,
,
E'
,
,
,
_
,
,
,
,

The Half-Diminished Seventh as an Incomplete Dominant Ninth
The halI-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 halI-diminished chord is not symmetrical, there is no problem oI determining which
chord it represents: the root oI the parent dominant chord always lies a major third below
the indicated root oI the halI-diminished chord. Here, Ior example, B Iunctions as the
dominant oI C:
_
B'
,
,
,
,
C
,
,
,
_
"missing" root

Which oI the possible uses oI the halI-diminished chord is the one operative in any given
case must be determined Irom context.
65

Exercises
1. Choose a tune that uses the Rhythm changes. Using the Rhythm changes map
above, create an alternate harmonization Ior the A section oI the tune. Make sure
the new chords Iit the melody reasonably well. Write guitar/piano and bass parts
Ior your harmonization. Play your arrangement with class members.
2. More difficult: using any oI the techniques discussed above (substitute chords,
voice leading chords, harmonic rhythm changes, etc.), create an alternate
harmonization Ior the bridge oI your chosen Rhythm-based tune. Make sure the
new chords Iit the melody reasonably well. Write guitar/piano and bass parts Ior
your harmonization. Play your arrangement with class members.
3. Create your own harmonic background Ior a 32-bar AABA tune. You may draw
progressions Irom the Rhythm changes map or the circle oI IiIths, or just make up
your own sequences oI chords. Maintain a halI-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. OI course, each key contains only one
dominant seventh, the chord built on the IiIth 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 oI 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 III, V of IV, V of V, V of VI, V of VI, and V of VII. These
dominants are called secondary dominants because they Iunction just like the actual
dominant oI 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 oI temporary tonic. In jazz, chains oI
secondary dominants are common. For example, the pop standard Please Dont Talk
About Me When Im Gone has the Iollowing sequence oI secondary dominants:
*...............*
, E | G | C | | F | B | E | |
| I | Vof VI | Vof II | | Vof V | V | I | |
| | | | | | | | |

For a chord to be a true secondary dominant, it should resolve to the chord oI which it is
in Iact 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
oI a secondary dominant. For example, V of VI could resolve upward by halI-step to IV,
mimicking the deceptive cadence in minor, V VI. Sunny Side of the Street contains this
move complete with dominant preparation:
*............*
, C | B E | F
| I | II of VI Vof VI | VI of VI
| | |
Jazz Theory
66

Here is a possible keyboard realization oI this chord progression:
_

,
,
B'
,
,
,
,
E'`
,
,
,
,
Fmaj
,
,
,
,
_
C: I II oI VI V oI VI VI oI VI
,
,

,

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

_
_
_
_
_
Dm'
,
,
G'
,
,
,
,
,
,
,
,
,
,
,
,
Dm'
,
,
,
G'
,
,
,
,

Em'
,
,

A'
,
,
,
,
,
,
,
,
,
,
,
,
Em'
,
,
A'
,
,
,
,
Am'
,
, ,
,
,
,
,
D'''
,
,
_
,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
1.
2.
_
,
A'm'
,
,
,
,
,
,
D''
,,
,
,

,
,
,
,
,
,
,
Cmaj' B'
,
,
,
B''
,
A'
,
,
,

C^'
,
Gm'
,
, ,
C'
, ,
,
,
,
,
,
_
,
,
,
,
,

,
, ,

,
,
,
,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,

,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
_
Gm'
,
C'
, ,
,
F^'
,
,
,
, ,
E'''`
,
Am'
,
,
,
D'
,
,
Am'
,
,
,
, ,
D'
,
,
,
,
,
,
_
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,

,
,
,
,
,
,
,
,
,
,
,
,
,

There is also a 'secondary subdominant Iunction, that is, a chord Iunctioning as IV in
relation to a secondary dominant. Both secondary supertonics and secondary
subdominants Iunction as dominant preparation chords, and thereIore belong in strong
positions in chord progressions. As with the ordinary dominant preparation chords, all the
alternate chord possibilities listed in the third column oI the Rhythm changes map above
are available.
Borrowed Chords (Modal Interchange)
Chords are oIten 'borrowed Irom the parallel major or minor; accordingly, such chords
are called 'borrowed chords. For example, Fm might occur as IVm in the key oI C
major as a chord borrowed Irom C minor (see, Ior example, the bridge oI Sunny Side of
67
the Street.) Another common borrowing is the progression Irom I to Im (see, Ior example,
the opening sections oI Ill Remember April and On Green Dolphin Street.)
Modulation
Actual change oI key is relatively rare in jazz. When it does occur, it is most Irequently at
the end oI a Iormal section oI a tune. In the typical 32-bar AABA tune, the B section is
oIten in a diIIerent key Irom the A section. In this situation a brieI modulating passage is
needed to get Irom the second A section to the key oI the bridge, and another is needed to
get Irom the bridge back to the key oI the Iinal A section. In order to modulate smoothly
(which may not be the goal oI some artists) we try to Iind some common element
between the Iirst 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 Iollowing:

| | |
[ 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 oI the harmonic rhythm, Iollowed by II-V-I
in their typical strong-weak-strong arrangement. This is the same pattern Iound in the
Rhythm changes. The only diIIerence is that the II-V-I sequence is in a new key.

The Iollowing three examples illustrate pivot chord modulations to keys closely related to
the starting key and also to a more remote key. The speciIic harmonies used to eIIect
each modulation are not the only ones possible. An experienced composer/arranger can
usually Iind more than one interesting and convincing way to move Irom key to key.
Here, Ior example, is a passage that modulates Irom C major to G major:
_
Cmaj'
,
,
,
,
Em'
,
,
,
,
Am'
,
,
,
,
D'
,
,
,
,
,
,
,
,
Gmaj'
_
C: I III
,
G: VI II V I
,
,
,
,

The pivot chord is Em, which is III in C major and VI in G major. A similar approach is
used in this next example, which shows a modulation Irom C major to A minor:
_
Cmaj'
,
,
,
,
Fmaj'
,
,
,
,
B'
,
,
,
,
E'
,
,
,
,
Am'
,
,
,
,
_
C: I IV
Am: VI II V I
,
,
,
,
,

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

II the destination key is remote (i.e., the key signatures oI the origin and destination keys
diIIer by many accidentals) it may be necessary to borrow a suitable pivot chord. In the
Iollowing example, Cm is borrowed Irom the parallel minor to serve as the pivot chord
in a modulation Irom C major to E major:

_
Cmaj'
,
,
,
,
Cm'
,
,
,
,
,
,
Fm'
,
,
,
,
,
,
B''
,
,
,
,
E'maj'
,
,
,
,
,
_
C: I Im
,
E": VI II V I
,
,
, ,
, ,

The borrowed Cm chord becomes VI in the new key, E.
Common Tone Modulation
A weaker Iorm oI 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, Ior example, is a common-tone modulation Irom C major to A
minor. B in Cmaj becomes C in Am. In order to convince the listener that a
modulation to A minor has really taken place, the Am is Iollowed by a V-I
'conIirming cadence using the tritone substitute II dominant (enharmonically, as A):
_
Cmaj'
,
,
,
,
A'm'
,
,
, ,
,
,
A`
,
,
,
A'm'
,
,
,
_

,
,
,
,
,
,
,
,

Direct Modulation
A Iinal, very weak, approach to modulation might be called 'just go there, which is
known more Iormally as 'direct modulation (and less Iormally as 'truck driver`s
modulation). Here, no attempt is made to Iind a common element between the origin and
destination keys. A Iamiliar example oI this approach is the halI-step up modulation used
by pop arrangers to create excitement Ior the Iinal chorus oI a tune:

_
_
_
_
rit.
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
_
C: V
7
,
,
,
,
,
,
,
,
D":V
7
,
,
,
,
,
,
,
,
,
,
To big Iinish

69

Exercises
1. Write chord progressions that modulate Irom E major to each oI the diatonically
related keys except VII. Use the pivot chord approach. Give a Roman numeral
analysis oI the modulation.
2. Write chord progressions that modulate Irom F minor to each oI the diatonically
related keys except II and the VI and VII borrowed Irom the major. Use the pivot
chord approach. Give a Roman numeral analysis oI the modulation.
3. Write chord progressions that modulate Irom B major to E minor, A major, G
major, and D major. Use borrowed pivot chords iI necessary.
4. Choose a tune Irom the AABA list in the Form section in Chapter I that has a B
section in a diIIerent key Irom the A section. Write a diIIerent chord progression
Ior the modulating section (usually the second ending oI the A section).
5. Choose a tune that has a relatively remote modulation Irom 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. II possible, include a Roman numeral analysis.
6. Unforgettable begins in the key oI G major and ends in the key oI C major. How
and where is the change oI key accomplished?
7. Baubles, Bangles, and Beads Irom the Broadway show Kismet has relatively
complex harmony Ior a pop song (it is based on a melody Irom Borodin`s
Polovetsian Dances). Provide a Roman numeral analysis oI the harmony. Make
sure to give a plausible account oI the modulations or tonicizations you Iind in
this piece.

Miscellaneous Harmonic Techniques
Tonic-by-Assertion
Alternation between I and VII 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 oI VII
could be viewed as an example oI borrowing in the sense oI the discussion above, that is,
the VII chord could be analyzed as a borrowing Irom the parallel minor. However, in the
usual context, the VII is used as a neighbor chord, with all voices moving strictly in
parallel back and Iorth between it and the Tonic. The eIIect over several measures oI
alternation is to establish a Tonic simply by repeatedly asserting it and embellishing it
with its lower neighbor. Here, Ior example, are the opening bars oI Nostalgia in Times
Square:

_
_ _
,
F'
,
, , ,
E''
,
F'
,
, , ,
E''
,
F'
,
,,,
E''
, , ,
F'
, ,
, ,
,
, , ,
E''
!

The overall harmony oI this piece is a sophisticated variation on the standard 12-bar blues
chord progression, while the portion oI 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 oI this practice:

_
_
_
_
_
,
,
,
,
B'm
,
,
,
,
,

E'm
,
,
,
,
B`'
,
,
,
,
,
A`'
,
,
,
, , ,
,
,
A'maj
!
!
_
,
,
,
,
ppp

Here the indicated key is A, but the E pedal point together with the chromatic harmony
oI the accompanying chords combine to create a tentative, unstable Ieeling which is not
resolved until the coda provides a sequence oI 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 C could be thought oI as the
combination oI a D-major triad over C:
_
D
_
C'
,

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 oI
polychord. There is a great variety oI combinations oI basic chords and upper structure
triads. The Iollowing examples only suggest the possibilities. Note that a non-standard
version oI the 'slash notation is used Ior these examples. The chord symbol that
precedes the slash is the upper structure triad, while the chord symbol that Iollows the
slash is the lower chord. Here are some oI the many possible upper
structure triads that may be added above a dominant seventh:
_
A/C'
D/C'
FF/C'
E'/C'
,
,
A'/C'
,
,
A/C'

FF/C'
,
_
D/C'
E'/C'
,
,
A'/C'
,
,
A/C'
FF/C'
E'/C'
,
,
_

,

71
A smaller number oI upper structure triads is available Ior minor sevenths and major
sevenths:
_

Em/Dm'
C/Dm'
G/Dm'
Em/Dm'
C/Dm'
Em/Dm'
C/Dm'
_

D/Cmaj'
D/Cmaj'
Bm/Cmaj'
G/Cmaj'
D/Cmaj'
Bm/Cmaj'
G/Cmaj'
_

Finally, a still smaller number oI upper structure triads is available Ior sixth and
minor sixth chords:
_
D/C
Bm/C
D/C
Bm/C
D/C
Dm/Cm
G/Cm
F/Cm
Dm/Cm
G/Cm
Dm/C
_

,

All oI the above examples oI upper structure triads show the lower chord in root position
and voiced in close position. Many colorIul harmonies can be achieved by using diIIerent
voicings Ior the lower chord. The chords discussed in the Rootless Chords section
in Chapter VI, Ior example, oIIer many interesting combinations.
Polychords and Polytonality
Consistent use oI upper structure triads can result in a kind oI 'bitonality: two diIIerent
keys in Iorce simultaneously. The upper structure triads can represent one key, while the
lower chords represent another. For example, the Iollowing chord progression would be
indicated in standard chords symbols as Dm G C :

_
,
,
,
,
,
,
_
,
,
,
,
,
,
,

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

Em/Dm A/G D/C
Jazz Theory
72

This progression could thereIore be interpreted as II V I in D major simultaneously with
IIm V I 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 oI linear chords? Are there
any chord combinations other than those mentioned above that can be used to
create a tonic by assertion? II so, give at least one example. II not, why not?
2. Analyze the pedal-point section near the end oI Bach`s Prelude #1 Irom the Well-
Tempered Klavier Book 1 using jazz Roman numeral chord symbols.
3. For the chord Gm, Iind Iive UST`s that you think dont work as acceptable
extensions oI the underlying chord. Explain why in each case.
4. Write a polytonal harmonization oI the Rhythm changes such that the chords in
the bass staII remain in the standard key oI B, while the chords in the treble staII
are consistently in a diIIerent key.
IX Chord Scale Theory
73
IX. Chord-Scale Theory

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

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

Chord Type Scale To Use For Improvisation
Any diatonic chord in major The major scale oI the prevailing key
Any diatonic chord in minor The minor scale oI the prevailing key
(with the necessary adjustment oI 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 oI the key in
which the given chord Iunctions as a
dominant
Borrowed (modal interchange) chords The major or minor scale oI the key Irom
which the chord is borrowed
Voice leading (linear) chords See discussion below

11
As with the Iederal government`s recurring income tax 'simpliIication proposals, you should keep your
hand on your wallet at all times when the 'simpliIication oI anything is promised. I`ve done my best to
simpliIy chord-scale theory, but, in keeping with the motto at the beginning oI this book, I`ve tried to avoid
making it appear simpler than it really is.
Jazz Theory
74
The Iollowing discusses the details oI handling each oI the indicated chord types:
1. Diatonic chords in the major mode: Ior all oI these, simply use the major scale
oI the key in Iorce. For example, in the key oI C major, the C major scale is used
with C, Cmaj, Dm, Em, F, Fmaj, G, Am, and B.
2. Diatonic chords in the minor mode: Ior all oI these, use the minor scale oI the
key in Iorce. II it is desired to avoid clashes between the melody and the chords,
select the versions oI 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 eIIect that is
wanted) PerIormers can use Kostka and Payne`s arrow notation 6
^
, 6
^
, 7
^
, or 7
^

to remind themselves which Iorm oI 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 Irom the parallel major. In the Iollowing example, all oI the
chords are diatonic in C minor; however, some adjustment oI the sixth and
seventh scale degrees is necessary as the piece proceeds Irom chord to chord. The
desired versions oI 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 B"
Piano
String Bass
_
,
,
,
,
,
,
,
. ,
,
,
,
,
,
,
,
,
,
,
,
.
_
,
,
,
Cm'
,
,
,
A'
,
,
,
.
D'
,
,
,
G''`
,
,
,
Cm'
,
,
,
,
,
,
,
.
_
,
,
,
,
,
,
,
,
.
,
,
,
,
,
,
,
,
,
.
_
,
,
,
,
,
,
,
,
,
,
,
,
.

Notice that the pianist is working Irom either chord symbols or a Iully notated
accompaniment, while the trumpet player needs only a Iew hints about the scale
he or she is to use Ior 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 II and the 'incomplete dominant ninths VII and VII, is to treat
them as dominant sevenths and accompany them with the major or minor scale oI
the key in which they Iunction as the dominant. For example, iI in the key oI C a
B chord occurs as V oI E minor, it would be appropriate to accompany it with
the E minor scale with suitably chosen sixth and seventh degrees. Furthermore, iI
the B is preceded by F (IIm oI E minor), this chord would also be
accompanied by the E minor scale. In other words, the entire II V I sequence (F
B Em) should be accompanied by an appropriate Iorm oI the E minor scale.

12
SteIan Kostka and Dorothy Payne. Tonal Harmony, 4
th
ed. Boston: McGraw-Hill, 2000.
75
4. Borrowed chords: When a chord is borrowed Irom the parallel major or minor, it
is usually best to use the scale that would accompany that chord in the key Irom
which it is borrowed. For example, iI an Fm chord is used in the context oI C
major, we identiIy it as IV in the parallel minor key, C minor, and thereIore use
the C minor scale with the lowered sixth degree (and probably the lowered
seventh degree as well) Ior improvisation.
5. Voice-leading chords: There are two principal cases oI chords not already
covered by items 1-4. These are chords made up mostly or entirely oI neighbor-
and/or passing-tones:
a. II the chord is a minor seventh chord used to slide chromatically between
two diatonic chords (Em Em Dm, Ior example), use the same scale,
major or minor, used with the Iirst chord in the sequence, but transposed
down a halI-step. In this case, the E minor scale could be used to
accompany the Em.
b. II the chord is a diminished seventh, it can be treated as an incomplete
dominant ninth and accompanied by the appropriate minor scale. For
example, B could be treated as an incomplete dominant ninth in C minor
(regardless oI the prevailing key) and accompanied with the C minor scale
with lowered sixth degree. A diIIerent 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 simpliIied version oI 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 oI jazz started on improvisation. But it should not be imagined that
proIessional jazz perIormers make any such simple system the basis oI their art.
The Diminished Scale
The 'diminished (or 'octatonic) scale is oIten a colorIul 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 halI-step in either direction only twice. A third
transposition simply reproduces the tones oI 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 Irom a
diIIerent note.
Jazz Theory
76
_
,
,
,
,
, ,
, , ,
,
,

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

_
_
_
_
_
C'
,
,
, ,
,
CF'
,
,
,
,
,
,
,
,
D'
,
,
, ,
,
,
,
,
,
, ,
, ,
, ,
, ,
_

,
,

,
,
_
A''
,
,
, ,
,
A'
,
,
,
,
,
,
,
,
B''
,
,
, ,
,
,
,
,
,
, ,
, ,
, ,
, ,
_

,
,
,

,
,

In this example, the whole-step/half-step pattern begins on the root oI the diminished
seventh chord and on the third oI the dominant seventh chord. These are merely reIerence
points Ior the purposes oI this example. In actual improvisation, one could oI course
begin a melodic line on any note oI the diminished scale. The diminished scales can be
combined with the major and minor scales used in the simpliIied approach described
above to produce a more sophisticated sound.
Chords With Alterations And/Or Tensions:
II the characteristic 'sound oI a jazz artist`s work will be lost iI alterations and tensions
are not included in a perIormance exactly as speciIied, the simpliIied 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 oI the notes in each
chord, including the tensions and alterations. Any gaps are then Iilled in to Iorm a
continuous scale. For example, suppose we need to provide a scale Ior a chord like this
C:

_
C'''
,
,
_

,

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

Here we have added E and A to complete a scale. These are not the only choices. We
could have added D instead oI E, and A instead oI A. Note that the scale we created in
77
this case is the diminished scale described above (starting on D). The diminished scale
oIten works well with altered chords and chords that have chromatic tensions.

Constructing a chord scale is the lowest common denominator oI chord scale theory it
will work with almost any harmony. Simply listing the notes oI the prevailing harmony,
whatever it is, and Iilling in appropriate passing tones will yield a complete scale Ior
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 inIormal jazz/pop chord notation
to convey his or her intentions.

II a composer or perIormer uses tensions and alterations in an essential way in his or her
music (i.e., the character oI 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 oI chord scale theory
because it provides a logical choice oI scale to accompany almost any conceivable
extended and/or altered chord. In eIIect, Russell has pre-constructed Ior the jazz musician
all the scales that would be needed Ior 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 oI time and energy to learning how to use it.
Interlude On The Minor Mode
The discussion oI 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 conIront the issues. Perhaps
surprisingly, the minor mode is a contentious area in music theory pedagogy, even aIter
hundreds oI years oI tonal music and its accompanying theory. Everyone who has tried to
teach beginners about minor is all too aware oI the problems. This book`s view oI minor
rests on the Iollowing argument:

1. Jazz is a Iorm oI 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 oI tones that can be used to create
melodies and chords in that key.
3. There are only 24 diIIerent scales, 12 major and 12 minor, corresponding to the
12 major and 12 minor keys.
4. There are no inviolable rules concerning the relationship oI melody to chords.

These principles are uncontroversial, except perhaps Ior principle 3, which claims that
there are only 12 minor scales. Most oI us learned that there are three Iorms oI the minor
scale natural, melodic, and harmonic and thus that there are actually 36 diIIerent
minor scales; however, iI we accept principle 2, that is, that a scale is simply a list oI the
tones that belong to a particular key, and iI 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 Iorm oI
the minor scale:
14

_
,
,
,

This scale has both the natural and the raised Iorms oI scale degrees 6
^
and 7
^
. For the
composer or perIormer, the question is as it always has been in all Iorms oI tonal
music which Iorm oI scale degree 6
^
or 7
^
to use in any given situation. This question
can generally be answered partially through harmonic analysis oI the speciIic 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 oI chord
scale theory is an absolute requirement Ior good jazz playing. The attitude oI jazz
musicians toward the relationship oI melody and chords can perhaps be better gauged by
considering the practices oI two great and widely imitated soloists, Lester Young and
Charlie Parker. As early as the late 1930s, both oI these musicians had developed
techniques Ior 'outside playing, improvisation that in some way conIlicts 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
conIlict between melody and harmony. Charlie Parker had a somewhat diIIerent
approach. His idea was to treat the tensions oI each chord ninths, elevenths, and
thirteenths as basic melodic materials Ior improvisation. Tensions such as 9, 9, +11,
and 13 could be used Ireely in melody and required no resolution. When carried through
consistently, this approach leads to a Iorm oI 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 oI 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 Iact, these techniques depend Ior
their eIIects on a background oI tonal harmony. It is precisely in the perceived clash
between the harmonic implications oI the improvised melody and the actual harmony that
much oI the charm oI Young`s and Parker`s outside playing is Iound. Jazz musicians ever
since the time oI these two great musicians have adopted their techniques; thereIore,
these techniques should be viewed now as standard skills Ior jazz players.

Jazz players have introduced other devices Ior outside playing, many oI 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 Ior
producing such textures is to improvise melody on a scale at some speciIic interval above

14
A Iull discussion oI the issues raised here can be Iound in Paula J. Telesco. 'Rethinking the Teaching oI
Minor Scales and Keys, Journal of Music Theory Pedagogy. 15(2001).
79
or below the indicated bass note or chord root. This approach oIten amounts to the same
thing as Charlie Parker`s technique oI emphasizing tensions. Here, Ior example, the G
major scale is used Ior improvisation over a Cmaj chord (i.e., a perIect IiIth above the
chord root), and D minor is use Ior improvisation over the Iollowing Cm chord (i.e., a
major second above the chord root):
_
_
_
_
_
G/C
,
,
,
,
,
,
,
,
,
,
,
,
. ,
Dminor/Cm'
,
,
,
, ,
,
, ,
,
,
, ,

!
_
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
, ,
,
,
,
,
,
,
,
,
,
,
, ,
,
,
,
,
,
,

Note the use oI 'rootless chords in the leIt-hand part here. The recommended intervals
Ior this technique are given by Felts:
15

1. up or down a major second Irom the bass note or chord root
2. up a perIect IiIth Irom the bass note or chord root
3. up a tritone Irom the bass note or chord root (less common)
4. up or down a minor second Irom the bass note or chord root (less common)

The quality oI the results obtained using a technique such as this depends as always
on the skills oI the individual perIormer. It goes without saying that this technique is not
Ior musicians who wish to maintain clarity oI harmonic Iunction in their music.
Treatment Of Non-Chord Tones
The prevalence oI stable dissonances and outside playing techniques raise questions
about what a 'non-chord tone is. Traditional music theory gives precise deIinitions oI
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 oI 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, iI he or she does this,
the treatment oI these tones has the status oI a stylistic effect rather than obedience to the
grammatical rules oI music. OI course, in one and the same perIormance there may be
passages that Iollow the traditional rules and others that do not.

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

Exercises
1. Mark up a copy oI the Rhythm changes with the names oI the scales that would be
appropriate Ior improvisation.
2. ModiIy the bridge oI the Rhythm changes by using substitute chords and/or
interpolations, and then indicate the scales to be used Ior improvisation on the
modiIied bridge.
3. Choose a tune Irom one oI the lists in the Form section in Chapter I. Analyze
the harmony and then indicate reasonable scales to use Ior melodic improvisation.
You may use the arrow notation described in the text or write out the names oI the
scales to be used. II it is necessary to construct a chord scale, write the scale out in
Iull on a separate staII above the appropriate place in the tune.
4. Write a melody based on the analysis you perIormed in exercise 3.
X Other Systems
81
X. Other Systems
As was mentioned at the beginning oI 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 oI core
practices oI jazz as described in this book. Some approaches represent a minimal
departure Irom the common practice. Among these are the use oI quartal and secundal
harmonies to accompany standard tunes. These methods appear to be designed mainly to
bring a Iresher sound to conventional jazz perIormance. The other elements Iorm,
melody, and rhythm are kept much the same as in the conventional approach. 'Free
jazz, on the other hand, departs radically Irom the traditional jazz idioms.
Modal Jazz
'Modal jazz provides a Iramework Ior improvisation based on scales rather than chord
progressions. For example, Miles Davis` So What one oI the earliest examples oI
modal jazz has the 32-bar AABA structure oI many pop standards, but the A section is
speciIied as being in the D 'Dorian mode, while the B section is in the E 'Dorian
mode. No chord symbols are given (except Ior the misleading and completely
redundant 'Dm7 and 'Em7 at the beginnings oI the A and B sections,
respectively). Solos Iollow the AABA pattern oI 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 Irom the notes oI
the modal scale. This brieI description oI one modal piece cannot begin to convey the
variety oI modal approaches developed since Davis` pioneering work in the late 1950`s.
To give a complete account oI modal jazz would require a second book as least as large
as this one.
Free Jazz
'Free jazz presents a truly diIIerent picture. The various Iorms oI Iree jazz do without
most or all oI the traditional structure oI jazz. Free jazz consists oI many diIIerent
musical languages; thereIore, the genre as a whole cannot be summed up in any one set
oI principles or techniques. A Iree jazz style may use Iamiliar jazz idioms, but it does
away with the templates provided by pre-composed material such as chord changes and
song Iorms. From the Iree jazz point oI view, the jazz techniques described in this book
represent a kind oI surIace ornamentation oI a Iixed underlying Iramework, namely the
harmony oI a selected 'head. Free jazz players seek to carry improvisation all the way
down. As a consequence, continuous improvisation oI every aspect oI a perIormance
melody, harmony, rhythm, and Iorm is required. This requirement is a very
demanding one. It requires the jazz artist to conIront all oI the problems any composer
Iaces: choosing the harmonic, melodic, and rhythmic materials to be used; speciIying the
instrumental resources required; and designing the larger 'architecture oI the work. For
this reason it is a Iantasy to assume that the move to Iree jazz will automatically release a
torrent oI creativity that was previously conIined in the box oI traditional jazz structure.
Not surprisingly, Iree jazz is a genre that only a Iew giIted musicians who have worked
together Ior an extended period can explore successIully. 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 Iree jazz group. Free jazz thus remains less popular than other
Iorms oI jazz.
Tonal Systems In Rock
Since the late 1960`s there has been considerable interaction between jazz and rock.
Although the system oI jazz harmony described in this book is still also the dominant one
in rock, alternative systems developed by rock musicians have had some inIluence in
jazz. Walter Everett has identiIied six distinct tonal systems operating in rock.
16
Most oI
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 Ior detailed descriptions oI the other, uniquely rock-oriented systems.

16
Making Sense of Rocks Tonal Systems.
http://mto.societymusictheory.org/issues/mto.04.10.4/mto.04.10.4.weverett.html~
83
Appendix A: 1azz Chord Dictionary
y
_
Cmaj'
Cm'
,
,
Cm
,
C'
,
C'
,
,
,
C'
,
,
_

Gmaj' G
Gm'
,
Gm
,
G'
G'
,
,
G'
,
,
,
_
Dmaj'
Dm'
Dm
D'
D'
,
D'
,
,
_
Amaj'
Am'
Am

A'
A'
,
A'
,
,
_

Emaj' E
Em'
Em
E'
E'
,
E'
,
,
_

Fmaj' F
Fm'
,
,
Fm
,
F'
,
F'
,
,
,
F'
,
,
_

,
B'maj' B'
,
B'm'
,
,
,
B'm
,
,
B''
,
,
B''
,
,
,
,
B''
,
,
,
_

,
,
E'maj' E'
,
,
E'm'
,
,
,
,
E'm
,
,
,
E''
,
,
,
E''
,
,
,
E''
,
,
,
,
A'maj' A'
,
,
A'm'
,
,
,
,
A'm
,
,
,
A''
,
,
,
A''
,
,
,
A''
,
,
,
,
D'maj' D'
,
,
,
D'm'
,
,
,
,
D'm
,
,
,
,
D''
,
,
,
D''
,
,
,
D''
,
,
FFmaj' FF'
FFm'
FFm
FF'
FF'

FF'

,
_

Bmaj' B'
Bm'
Bm
B'
B'
B'
,

Jazz Theory
84

85

Appendix B: Rootless Chord Dictionary

_
B'maj'
B'maj'
B'
B'm'
,
,
B'm'
,
,
B'm
,
B''
,
B''
,
,
,
B''
,
B''
,
,
B''
,
,
,
,
B''
,
,
_
Bmaj'
Bmaj'
B'
Bm'
Bm'
Bm
B'
B'

B'
B'
,
B'
B'
,
_
Cmaj'
Cmaj'
Cm'
,
,
Cm'
,
,
Cm
,
C'
,
C'
,
,
,
C'
,
C'
,
,
C'
,
,
,
C'
,
,
_
D'maj'
,
,
D'
,
,
,
D'm'
,
,
,
,
D'm'
D'm
,
,
,
,
D''
,
,
,
D''
,
,
D''
D''
D''
,
D''
,
,
_
Dmaj'

Dm'
Dm
D'

D'
D'
,
D'
,
_
E'maj'
,
E'maj'
,
E'
,
E'm'
,
,
,
E'm
,
,
E''
,
E''
E''
,
,
,
E''
,
,
_
Emaj'
Emaj'
Em'
Em'
Em
E'
E'

E'
,
E'
,
,
,
E'
,
E'
,
,
_
Fmaj'
Fmaj'
Fm'
,
,
Fm'
,
,
Fm
,
F'
,
F'
,
,
,
F'
,
,
F'
,
F'
,
,
F'
,
_
FFmaj'
FFmaj'
FF
FFm'
FFm'
FFm
FF'
FF'

FF'
,
FF'
,
,
FF'

FF'

,
_
Gmaj'
Gmaj'
Gm'
,
Gm'
,
Gm
,
G'
G'
,
,
G'
G'
G'
,
,
G'
,
,
_
A'maj'
,
,

,
,
,
,
A'm' A'm'
,
,
,
,
A'm
,
,
,
A''
,
A''
,
,
A''
,
,
,
A''
,
,
_
Amaj'
Am'
A'
,
A'
A'
,
A'
,
,

Jazz Theory
86

87

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

II you are using the Sibelius music notation soItware, you can take advantage oI a very
useIul capability called ~Arrange. Arrange is designed to assist Sibelius users in
making arrangements and orchestrations. It intelligently copies music Irom any number
oI staves to any other number oI staves. The copying can be done according to many
diIIerent styles supported by Sibelius, including several jazz styles that are useIul Ior
scoring pieces Ior groups ranging Irom small combos to big band.
Procedure
1. Make a piano version oI your piece. Arrange is easiest to use iI the piano version
has a constant number oI voices (all oI 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 oI 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 Irom 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 Irom the drop-down list
and click OK ('Standard is a good initial choice iI you`re not sure about style.)
7. Check out the arrangement Sibelius has made to see iI it`s what you wanted, and
modiIy as necessary.
Example
In the Iollowing example, the piano, bass, and drum parts Ior the Iirst two bars oI Blue
Monk were given. Staves were then added Ior 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
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
Alto Saxophone
Tenor Saxophone
Baritone Saxophone
Trumpet in B"
Trombone
Bass Trombone
Piano
String Bass
Drum Kit
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