27.1 Introduction

When analyzing tonal music, you will very frequently encounter chords that include non-diatonic pitches—pitches that do not belong to the key at hand. Some of them, like the common-tone fully-diminished seventh chords discussed toward the end of Chapter 23, arise from voice-leading procedures and expand a reference sonority. We will now look at another set of sonorities, known as applied chords, which also enrich the harmonic vocabulary by incorporating chromatically altered pitches.

Applied chords are modeled on familiar dominant-function chords (V, V7, vii^o, vii^o7, and vii^ø7) and suggest a temporary tonic function for some chord other than the global tonic (or home key). The momentary highlighting of such a pseudo-tonic by means of a pseudo-dominant chord is called tonicization. This is similar to modulation—a more substantial shift to a new key area—but differs in both scope and effect.

In this chapter, we will first discuss the difference between tonicization and modulation. That distinction is essential for understanding how applied chords work. We will then look at several examples of applied dominant chords and applied leading-tone chords as well as related voice-leading issues. (A more detailed discussion of modulation may be found in Chapter 28.)

27.2 Modulation vs. tonicization

Tonicization occurs when a chord other than the global tonic is heard momentarily, or in passing, as a rival tonic. By contrast, a modulation establishes a new key more enduringly, generally as a sign of large-scale structural organization, sometimes even leading to a change in key signature. Tonicization and modulation are most clearly differentiated by duration and structural significance. A tonicization is brief, lasting from two or three chords to a phrase, and is not a factor in a work’s overall structure. A modulation, on the other hand, takes hold for a longer period, usually prevailing for an entire section, and is a factor in a work’s overall structure.

Because modulation entails a change of key, it almost always has one or more key-defining cadences, among them often a perfect authentic cadence. In the case of a tonicization, although the resolution of an applied chord sounds cadential, the tonicized chord soon loses its pseudo-tonic function and reverts to its diatonic function, with no change of key.

You may have come across such terms as “implied tonic” or “temporary tonic” to identify and describe the chord being tonicized. In these chapters we will use “pseudo-tonic.” This terminology reflects the fact that the chord being tonicized retains its function in terms of the global key. It is made to sound like a tonic, but the effect is fleeting and the chord never actually attains a true tonic function.

As you will see in later chapters, applied chords can be used to initiate a modulation. For now, we will limit our discussion to tonicizations.

27.3 Applied dominant chords

The pervasive dominant/tonic relationship is the most important, defining characteristic of tonal music. Tonicization is possible precisely because that harmonic relationship is so common and familiar. Most listeners will immediately recognize the link between an applied dominant and the chord being tonicized.

In the following example, a V chord is tonicized by an applied dominant. The progression is labeled with Roman numerals “I – V/V – V” (to be read out loud as “one, five of five, five”).

The dominant in C major is a G-major chord (the V on beat three). The applied chord is formed from the pitches of the key implied by the pseudo-tonic. Since a G-major chord is being tonicized, the applied dominant is built from the pitches of the dominant chord in G major, the pseudo-tonic key. (As mentioned above, the chord being tonicized is referred to as a pseudo-tonic because in the larger context, it does not have tonic function. In Example 27–1 the V on beat three is still the dominant.) The dominant of G major is a D major chord. Thus, the applied dominant to G major has the pitches D, F#, and A. As you can see in Example 27–1, the applied chord resolves normatively as if in the key of the pseudo-tonic. Most importantly, the key-defining temporary leading tone, F#, resolves up by semitone to the pseudo-tonic keynote, G.

The voice-leading from V/V to V in Example 27–1 can be explained using the same methods outlined in Chapter 12. The primary interval progression is formed by the bass and tenor: 5–8 as the bass leaps down from D to G and the tenor steps up from A to B. The alto harmonizes in parallel sixths with the tenor and the soprano forms an oblique 6–5 progression with the alto. These patterns are shown in Example 27–2:

Applied chords are readily identifiable because they contain chromatic pitches. In Example 27–1, the V/V contains an F#. F# is the leading tone in G major and its presence in the applied dominant is indispensable for implying pseudo-tonic status for the G major chord. Were it not for the F#, the listener would have no reason to suspect anything other than a diatonic chord progression. As with any chromatic pitch, temporary leading tones in applied dominants must be treated carefully. Ideally, the chromatic pitch should be approached by step, taking care to avoid linear augmented intervals (scale degree [latex]\hat3[/latex] to # [latex]\hat4[/latex] in minor, for example), and to resolve dissonances according to established, conventional interval progressions.

Tonicization of the V chord with an applied dominant triad occurs very frequently in tonal music. The following example shows a progression with V/V resolving to V in G major:

It will help you in identifying tonicizations of V to notice that scale degree [latex]\hat4[/latex] (the C# in m. 2) is a semitone higher than usual. Raised scale degree [latex]\hat4[/latex] is a half-step away from scale degree [latex]\hat5[/latex]. Scale degree [latex]\hat4[/latex] must be raised in an applied chord in order to function as a leading tone to V.

Tonicizations using V/V appear very frequently in tonal Western art music and composers voice these progressions in a number different ways. Consider the following example:

This example shows the same basic progression as the one shown in Example 27–3, but here the composer uses just two voices, one note at a time. Notice that V/V is inverted (V6/V) and how # [latex]\hat4[/latex] is introduced as a chromatic passing tone in the lower voice.

The examples above show applied dominant triads, but applied chords can also incorporate a chordal seventh:

The major-minor seventh sonority is used more often than the triad because it has an immediately and unmistakably recognizable dominant function. (As discussed in Chapter 18, the dominant seventh chord is the only diatonic major-minor seventh chord.) In other words on hearing a major-minor seventh, we instinctively assign it a dominant function. That instinct is confirmed when the chord resolves to the pseudo-tonic—as it does from the second to the third beat in Example 27–5. As in Example 27–1, the applied dominant seventh in Example 27–5 resolves as it would in the key of G major. Most importantly, the leading tone resolves up by step and the chordal seventh down. (Refer to Chapter 19 to review conventional treatment of dominant seventh chords.)

Applied dominant seventh chords resolve according to the same conventions of basic interval progressions presented in Chapter 12 and Chapter 18. In Example 27–5, the diminished fifth (F# and C) formed by alto and soprano in the applied dominant contract to form a major third (d5–M3). The soprano and tenor illustrate basic interval progression 3–3, alto and tenor 6–8, and tenor and bass the special cadential progression 5–8.

The following example shows a progression with V6/5/V tonicizing V.

In Example 27–7, despite the applied chord appearing in inversion (V6/5/V), the tendency tones resolve in the same manner as the progression in Example 27–6: G and Bb (scale degrees [latex]\hat2[/latex] and [latex]\hat4[/latex] in the tonicized key) step down, while the pseudo-leading tone (E§) resolves up to the pseudo-tonic.

Depending on the instrumentation and other contextual considerations, composers do not always follow voice-leading conventions as closely as in the progressions shown above. This is particularly true when multiple melodic voices are played by a single instrument, such as the piano in the following example:

Example 27–8 shows two tonicizations using V7/V, the second of which resolves to a dominant seventh chord in the global tonic. Some of the typical voice-leading conventions appear intact—the pseudo-leading tone Bn resolving to C in mm. 3–4, for example—whereas others are absent due to the figuration in the piano part.

An applied chord itself may also be expanded. The following example shows a tonicization of V with a V/V preceded by a cadential 6/4 chord:

The sixth and fourth above the bass resolve downwards by step—just as they would in a typical cadential progression—creating the applied dominant harmony before resolving to the tonicized V. The same progression appears in the following two examples:

Although other chords besides V may be tonicized (more on this below), tonicization of the dominant is a special case. The following example shows a common progression from the tonic to the dominant through a pre-dominant ii chord:

Compare Example 27–1 and Example 27–12. As you can see, the only difference is the alto’s second note (F in Example 27–12 instead of F#). V/V may be considered a chromatically modified ii chord as it often appears in harmonic progressions as a replacement for ii . In other words, in their tonicizing function applied dominants may serve as pre-dominants.

An applied dominant can also enhance the pre-dominant function, as it does in the following two examples, where the diatonic pre-dominant function is subsequently intensified when one of its members is chromatically altered to create a tonicizing applied dominant.

The following example shows a progression in which a diatonic IV chord moves through V7/V before resolving to V:

By simply raising the root of the IV chord (Eb to E§) and dropping the bass down to C, the diatonic IV chord is transformed into a secondary dominant.

27.4 Applied leading-tone chords

In addition to applied dominant chords, applied leading-tone chords are also quite common. The following example is similar to Example 27–1, but this time the leading-tone triad borrowed from the dominant key tonicizes the V chord.

The leading-tone chord resolves normatively, as it would in the key of G major. (Refer to Chapter 16 for a discussion of the leading-tone chord.) Most importantly, the leading tone (F#) steps up to the pseudo-tonic (G). The voice-leading from vii^o6/V to V6 adheres to the basic intervals progressions from Chapter 12. The tenor and alto ascend with the bass, respectively forming parallel 6–6 and 3–3 progressions, while the octave formed by the bass and soprano resolves inwards to a minor sixth (8–6).

As with any vii^o6 chord, a tritone occurs in vii^o6/V as a resultant interval formed by voices that are consonant with the bass. In Example 27–6, the tritone formed by the tenor and alto (F# and C respectively) resolves in similar motion to a perfect fifth (G and D). Chapter 16, on the vii^o chord, illustrates the guiding 3–3 progression between the bass and an upper voice.

In this case, the tritone could not resolve to a major third (G and B), because to do so would be to double the leading tone of C major in the V6 chord, resulting in forbidden parallel octaves when both leading tones ( [latex]\hat7[/latex]) resolve to [latex]\hat8[/latex].

Applied leading-tone triads are also abundant in the tonal repertoire. The following example shows a tonicization of V using vii^o6/V:

In Example 27–18, the tritone occurs between the soprano and the alto as an augmented fourth. It resolves properly with both voices ascending by step to form a perfect fourth.

Like the related applied dominant chord, applied leading-tone chords may also include a chordal seventh. Fully-diminished applied leading-tone chords are common even when tonicizing major triads because of their immediately recognizable sonority. (Half-diminished seventh chords are less common and can only be used to tonicize major triads.) The following example tonicizes the V chord with a fully-diminished leading-tone chord:

The rules for resolving diatonic leading-tone sevenths chords also hold for resolving applied leading-tone sevenths. (Refer to Chapter 18 for discussion of leading-tone seventh chord treatment.) Both tritones must resolve properly according to the basic interval progressions involving a tritone, as outlined in Chapter 16. In this case, the bass and tenor (F# and C respectively) form a diminished fifth. This tritone is resolved normatively to a major third. The alto and soprano meanwhile (Eb and A respectively) form a diminished fourth. This tritone also resolves normatively, in similar motion to a perfect fourth:

Note the adherence to basic interval progressions between the other voice pairs. The bass and soprano follow a 10–8 progression while the tenor moves in parallel thirds and sixths with the alto and soprano respectively. As in Example 27–17, care must be taken to avoid doubling the leading tone in the V chord. Here, the A steps down to G instead of resolving up to B.

The following examples show applied leading-tone seventh chords tonicizing the dominant:

In m. 14 of Example 27–21 we find an applied fully-diminished chord tonicizing V. As you can see, all of the usual considerations for resolving a fully-diminished chord remain the same. The diminished fifth formed by C# and G contracts inward to a major third, while the augmented fourth between Bb and E§ moves in similar motion to a perfect fourth. Example 27–22 follows suit, though here the applied leading-tone seventh chord appears in second inversion and therefore resolves to a dominant in first inversion.

27.5 Other chords that may be tonicized

For the sake of clarity—and because V is the most commonly tonicized triad—all of the examples in this chapter so far have tonicized the dominant chord. However, applied dominants can also tonicize any diatonic major or minor triad. Thus in major keys ii, iii, IV, V, and vi can be tonicized, and in minor III, iv, v, VI, and VII.

The following example shows the tonicization of a ii chord:

Such tonicizations of chords other than V are common in tonal music. The following two examples show excerpts with tonicizations of ii—first with an applied V6/5 chord and then with an applied vii^o6/5 chord):

Note how in both of the examples above, the tonicized ii chord retains its pre-dominant function and proceeds to a dominant chord in the global key.

The vi chord can also be tonicized with applied chords. The following three examples show excerpts with tonicizations of vi:

Example 27–26 tonicizes vi with a simple dominant triad (V/V) while 21–27 and 21–28 do the same with a V6/5/vi and a vii^o/vi, respectively.

As mentioned above, for a sonority to be an applied chord it must have some kind chromatic alteration. Some progressions may at first resemble a tonicization. Consider the progression of a C-major triad to an F-major triad in a piece in C-major. One might be tempted to analyze this as V/IV–IV, implying that the F-major triad is being tonicized. To do so, however, would throw into question and compromise the functional centrality of the tonic.

Progressions such as these are not tonicizations, but rather represent inherent characteristics of the diatonic scale. To analyze this C-major chord as anything other than “I” would obscure its fundamental role as tonic. If, on the other hand, the sonority on beat one were a major-minor (dominant) seventh chord, a chromatic alteration would be required and the progression would be analyzed as follows:

In Example 27–30, the V7/IV resolves properly to the IV chord. The chordal seventh (Bb in the tenor) resolves down to A, forming 6–6 with the alto and an expanding tritone, A4–6, with the soprano, while the alto forms 6–8 with the soprano.

The following example shows a tonicization of IV, similar to Example 27–30. The Db in the soprano in m. 3 is essential for hearing the chord as an applied dominant seventh.

27.6 Applied chords as auxiliary sonorities

Applied chords may also appear as auxiliary sonorities used to expand a reference sonority. Consider the following example from the chapter off auxiliary sonorities (Chapter 23):

In Example 27–32, an auxiliary sonority coincidentally containing the pitches of a V6 chord is used to expand a vi chord. If the tenor were to include a chromatic lower neighbor note (A–G#–A), the following expansion would result:

In the above example, the auxiliary sonority coincidentally produces the pitches of the vii^o6 of A minor, tonicizing the reference chord, vi. Auxiliary sonorities can expand other reference sonorities as well. In the following example, a IV chord is expanded with an applied dominant seventh in first inversion:

All of the notes in m. 3, save the Bb in the tenor voice, may be understood as neighbors to the tones of the surrounding IV chords.

27.7 Summary

It is essential to remember the difference between tonicization and modulation when interpreting and writing applied chords. Tonicization is a local-level procedure, modulation a global-level one, with large-scale structural significance for a work. The difference is evident both from the comparatively brief influence of pseudo-tonics, and from the quick reversion of tonicized chords to their expected diatonic functions.

Applied chords (or secondary dominants) highlight the arrival of diatonic chords by tonicizing them. They do this by simulating the readily recognizable and pervasive dominant-tonic relationship in tonal music, thereby imparting a pseudo-tonic meaning to diatonic chords other than the reigning tonic. When a tonicized triad leads to the subsequent chord, its native diatonic function emerges clearly. Ultimately, therefore, despite chromatic alterations applied chords actually strengthen the reigning tonality rather than weaken it.

Applied chords may be built on a root either a fifth above or semitone below the chord being tonicized, and may include a chordal seventh. They should resolve according to voice-leading modeled in the basic interval progressions.