MU182: Theory II R. Vigil
Chromaticism II: Tonicization/Modulation General Mixture is a type of chromaticism involving the introduction of elements from another mode. In contrast, Tonicization and Modulation involve the introduction of elements from another key. More specifically, tonicization and modulation are concerned with a change of key. Tonicization versus Modulation: Initial Definitions The line separating these two terms in not always absolutely clear. In general, the difference can be thought of as one of scale (a matter of quantity, not quality). Tonicization refers to a situation where a single chord (other than the local tonic) is treated as a "new" tonic. Modulation refers to an extended passage in a new key.
I.
Tonicization
We speak of a chord (usually a diatonic chord, within the prevailing key) as being "tonicized" when it is temporarily treated as a tonic. Most of the time this is accomplished by preceding the "new tonic" with its own dominant. The "foreign" chord in such situations is referred to as a secondary dominant or an applied dominant.
7
6
# I
vi=[ii V]
V
I
#
viio=[ii V]
vi
C: I
vi F: iii
ii vi
Chords are also frequently tonicized by viio.
#6 I=[IV viio]
V
b
b7
v? ii
? V
IV I
2
Less frequently, a chord might be "tonicized" by a plagal-type motion (often strengthened by b 6) of a post-cadential character.
bb 64 I
vi
IV
[iv]
bb 46 IV
[iv]
IV
II. Modulation While the term tonicization refers to the brief treatment of a non-tonic as a tonic, modulation refers to passages (as short as a few measures, as long as entire sections within a movement) that lie entirely within a new key. Modulation generally employs two features: the cadential establishment of the new key; and a subsequent re-start in that new key. In music where cadential confirmation is less likely (e.g., many development sections, and much 19th-century music), modulation can be identified by: the exclusive membership of all harmonies to a key other than tonic; and the relative length of the passage at hand (i.e., while tonicization applies generally to just a few chords, modulation refers at least to complete phrases). The following example can be seen to modulate to iii (e minor), because not only is that chord tonicized (in mm. 2-3), but the following phrase continues in iii before finally modulating back to I (C major). P
6
6
#5 #
I (viio) I IV V vi=iv V
i
#5 #
#5
V
i (V) i
iii(e-)
6
P
6
iv=vi ii
V
I
3 III. Clarification: Chord, Tonality, and Key Area, Tonal Region A possible terminological confusion arises with the use of Roman numerals, which can refer to specific, individual chords, or to regions within a key. Furthermore, the terms "tonal region" and "key area" are used interchangeably, and can be referred to by letter name (e.g., G), or Roman numeral (e.g., V) - when Roman numerals are used to describe a key area this is done in reference to the predominant tonality of the work (or movement) at hand. In reference to the previous example, it is correct to speak of a modulation from I to iii and then back to I. This can be clarified by speaking of a modulation from I (C major) to iii (e minor) and then back to I (C major). Note in this regard the difference between I as a chord, and I as a tonal region (C major, the tonic area of C): we have modulated back to C by measure 6 (at the latest), even though we are on a V chord - in other words the harmony is on V (as a chord), but because we quite clearly understand that G major as a V chord within C major, we have modulated back to I (as a tonal region). With this in mind, we can see that it is possible to tonicize a given key area without actually arriving at that chord. The most common example of this is when the dominant is reached, but fails to lead to its respective tonic. 6
#
#5 #
6
I (viio) V ii vi
V
vi
V I iii
IV. Tonicization versus Modulation: Analytical Distinctions Comparing the examples above, it can be seen that different annotational systems are employed to show the distinction between tonicization and modulation: Tonicization is shown by enclosing the "foreign" chords in brackets: the Roman numeral inside the brackets refers to the foreign chord as it relates to the temporary tonic; an arrow is then drawn to the tonicized chord, which is labeled in terms of its relation to the predominant tonality. As in the previous example, when the tonicized chord (key area) does not actually appear, the foreign chord(s) are placed above a "slash," underwhich is placed a Roman numeral indicating the tonicized chord. Modulation is show by analyzing the entire passage in the new key: all Roman numerals apply to the new key, and the analysis is executed above an extended horizontal line; the Roman numeral under the horizontal line indicates the new key in which to read the above Roman numerals. When an entire section is in a new key the horizontal line may be abandoned, a letter name and/or Roman numeral followed by a colon indicates that what follows is to be read in relation to a new key (e.g., "V (Gmaj.):").
4 V. Tonicization versus Modulation: The Reinterpreted Half-Cadence A special case highlighting the sometimes foggy distinction between tonicization and modulation comes into play with a cadential progression moving to the dominant. In this formula, what appears to be a modulation to V is reinterpreted as a half cadence based on the subsequent restart in the tonic.
6 4
I
(V)
6
I=[IV
# V]
V HC
I
IV
V
I
PAC
The same two measures which were, above, analyzed as a half cadence (where the dominant is tonicized) can be seen as participating in a modulation if the second phrase is re-composed as follows:
6 4
I
(V)
6
I=IV
# V
4
I
IV
V
#3 I
PAC (in V)
V (G)
VI. Pivot Chords Within the context of tonicization and modulation, a Pivot Chord is defined a as a chord with membership in both the original key and the goal tonality. Analytically, pivot chords are given two labels. The first refers to where the music has been. The second refers to where the music is going, and is enclosed within a bracket or placed over a horizontal line, as appropriate. The "pivot" is indicated by placing an "equals sign" (=) between the two labels. The most common pivot chords function as predominants in the new key. A glance at the preceding examples gives a good sense of the annotational treatment and analytical utility of pivot chords.
5 Especially when the movement (via either tonicization or modulation) is to a closely-related key (i.e., one diatonically-related to the overall tonic), pivot chords are easy to find and easily employed. Nevertheless, such a chord may be absent, and we can characterize various tonicizing and modulating progressions as being more or less abrupt based on the presence or absence of a pivot chord. with pivot
abrupt
# I VII.
with pivot
#
6
vi=[ii V]
V
I
abrupt
IV [V]
V
I V=[IV V]
6
ii
I
[V]
ii
Overlap
Often more than one chord that can be read in both keys. In such cases, it may seem analytically useful to analyze in reference to both keys at the same time. This is achieved by utilizing two sets of Roman numerals, one on top of the other. Generally the "original" key is placed on top, and the "new" key below. This procedure is particularly useful when analyzing passages whose tonality is either ambiguous or shifting quickly. When a chord fits perfectly clearly in one tonality but less clearly in another, the chord-label may simply be omitted (i.e., left blank) in reference to the problematic key, or as clear a label as possible may be applied (often accompanied by a question mark) - when a label is ventured in such cases it is usually not to assert that the chord is actually heard in relation to that tonality, but to indicate the relative "degree of foreignness." Particularly complex passage may be analyzed in reference to three or more tonalities.
6 4
6
C: I (V) I
6
n II?
G: IV V
#5 #
6
6
7
V (vi IV) V
I
vi nVII? iii (#ivo) iii vi
I
IV
ii
ii VII? I
e-: iv
n III?
vi (viio) vi ii
V
i (iio) i iv
# V V
I III
