a fff jf j jj je j jf j jj je j jf j e jj je j

b fffjjjj jj j

jjj jj j

jd jj jj

a fff jf j je j jf j je j

b fffjj

jj jj

jj

NEAPOLITAN-SIXTH CHORDS

����II

6 (or N

6) = a major triad built on

���� �� ��2

functions as a dominant preparation chord moving to V, especially at cadences

� more common in minor, because the chord 5th is diatonic to minor (�6 in minor, ��6 in major)

� usually in 1st inversion, with �4 in bass, to avoid the tritone root motion from ��2 to �5

� usually the third of the chord (the bass) is doubled, since the root is chromatically altered

� it is often approached from the VI chord a perfect 5th away

voice-leading:

� ��2 (root of chord) usually moves down to �7 (3rd of V)

� �4 (3rd of chord) is normally doubled: one note moves up to �5 or remains (as root or 7th of V7),

and the other moves down to �2 (5th of V)

� (�)�6 (5th of chord) moves down to �5 (root of V)

passing chords between ����II6 and V:

sometimes resolution to V is preceded by a cadential 64 or viiº7/V

when this happens, ��2 passes through �1 on its way to �7

for comparison: examples of common dominant preparation chords

Note that these all contain scale degrees �4 and �6,

the characteristic pre-dominant degrees that surround �5,

and either �1 (a third above �6) or �2 (a 3rd below �4), or both �1 and �2.

All of these chords usually function the same way: to prepare V.

IV iv ii6 iiº6 ii6 iiø 6 V / V V6 / V N6

a iii if ii iii if ii iiii if iii id ii d iiii if if i

C: IV iv ii6 ii°

6 ii 6

5 iiø 6

5 V/V V 65 /V

�II

6

�II

6 V

�II

6 V

7

�II

6 i 6

4 V

�II

6 i 6

4 V

7

�II

6 vii°7/V V

EXAMPLES OF NEAPOLITAN-SIXTH CHORDS

Beethoven, Bagatelle op. 119 #9

i �II

6 V

7 i

�II

6 V

7 i

Beethoven, Piano Sonata Op. 27 No. 2 (“Moonlight”), 1st mvt., mm. 49-51

Mozart: Piano Concerto K. 488, 2nd mvt., mm. 7-12

adddd E

3

kj k k

3

k k k3

kj k k

3

k k k

3

e ke j k k

3

k k k

3

d kd j k k

3

k k k kj z k k k k k

V6 /V i b I I6 V7 i

bc# :

dddd Ed jjd j

jjj

jj

jj j z

j z

addd 68 k k d k k k k

e k k k d k k k k d ks e ks o o e k z k k k ks e kz kzkze kz kz kz

k z d k k kk d kks k

bddd 68 d k

k kktd kk kk

tkk kkt e kk kkt kke k kkk

tkkk kkktkke k o n o k

k kktkkkktkk

c#m: V 65 i

�II

6 V

7 i

f�m: IV 65 V

6 i VI

�II

6 V 6

4 8

6

4

-

-

-

7

5

3

i

i �II

6 V

7 i

�II

6 V

7 i V i 6

4 V i 64 V i

Beethoven, Symphony #7/i, mm. 364ff

Schubert, “Erlkönig,” ending

Chopin, Prelude in C minor, Op. 28/20, ending

gm: iv �II

[vii°

7]

�II

�II

6 [vii°

7] V

7 i

i6 iv V

6 i

VI �II V

7 i

(53!)

reduction:

TONICIZATIONS OF THE NEAPOLITAN (����II)

Schubert, “Arpeggione” Sonata, opening

Chopin, Prelude Op. 28 No. 6, excerpt

Beethoven, Sonata Op. 57 (“Appassionata”), 1st mvt., opening

�II

6

[V2] �II

6 Gr

+6 (= enh. V

7/�II

6)

[V2] �II

6

�II

i V

6 [vii° ] V

6

�II

V6 [vii° ] V

6 V

6 [vii° ] V

6 �II

NEAPOLITAN-SIXTH CHORDS: EXAMPLES FOR ANALYSIS

Bach, “Ach, Gott, vom Himmel sieh’ darein,” opening

Verdi, Il Trovatore, Act II No. 8, “Stride la vampa” (Azucena), excerpt

Schubert, “Wehmut” D. 772, ending

a

jj

jj

jj

jj

jj

jj

jj

jj

f jf j

jj

jd j

jj

bjj jj f jj jj jj jj d jj jj j

jjj f jj jj

AUGMENTED-SIXTH CHORDS

construction:

� built on the note a semitone above the goal note, which is usually �5 (��6 in major, �6 in minor)

� like Neapolitan 6ths, augmented 6ths are more diatonic to minor than major

� like Neapolitan 6ths, augmented 6ths usually act as pre-dominants (but can also be dominants)

� the chord is named for the interval of an augmented 6th above the bass note: (�)�6 to

��4

resolution of aug. 6th to 8ve

+6 P8

assorted pre-dominants moving to V

IV V iv6 V ii65 V V6

5/V V �II

6 V Fr

+6 V

different types:

all augmented 6th chords have, at minimum, a major 3rd (the tonic of the key) above the bass note

and an augmented 6th above the bass note (��4 of the key)

� It.6 has only three notes: bass, major 3rd, and augmented 6th (

�63 ):

(�)�6, �1,

��4

� Fr.6 has those three notes plus an augmented 4th (

�6

4

3

): (�)�6, �1, �2,

��4

� Ger.6 has those three notes plus a perfect 5th (

�65 ):

(�)�6, �1,

(�)�3,

��4

the rhyme “I, F, G; 1, 2, 3” may help you remember which scale degrees are part of which chord

� the “Swiss” 6th, or doubly aug. 4th chord, has the basic 3 notes plus (surprise!) a doubly aug.

4th (++4

3 ). Enharmonically it is the same as the Ger.6, but it is spelled like an altered Fr.

6

because it resolves to a cadential

64 in major (

��3 is spelled as

��2, because it moves to

��3)

different augmented 6th types compared to closely related pre-dominants

It.

6 iv

6 vii˚

6/V Ger.

6 iv

65 vii˚

65 /V Fr.

6 ii

ø 43 V

43 / V Sw.

6

�63

�65

�6

4

3

�6

��4

3

the Italian, German, and “Swiss” aug. 6th chords are enharmonically equivalent to

dominant 7th chords built on (�)�6 (= V

7/�II)

the French aug. 6th is enharmonically equivalent to a dominant 7th chord with flatted 5th

a f iid i f iii iidi f iif id i f iif ii iif id i f iiid i f iiii iiid i f iid id i

a f id i ii

voice-leading:

� the interval of the aug. 6 resolves outward by half step to an 8ve on �5 (��6 goes down;

��4 goes up)

these notes are tendency tones that function as double leading tones in contrary motion

� �1 resolves down to the leading tone, and is doubled in the It.+6

(moving to �2 as well as �7)

� be careful to avoid parallel P5s in resolving a Ger. +6

directly to the dominant

common ways to avoid this problem are:

- move first to a cadential

64 or other passing chord

- leave the fifth out of the V chord

- arpeggiate the chords

- change the Ger. +6

to an It.+6

(i.e., leave out the 5th) before resolving it

different augmented 6th types and their resolutions to V

It.6 V Fr.

6 V Ger.

6 6

4 −− 5

3 Sw.

6 6

4 −− 5

3

other resolutions of aug. 6th chords:

� commonly, to a cadential

64 (see above); more rarely, to V 4

3 /V or viiº 6

5 /V before resolving to V

� to V7, with the notes of the augmented 6th moving down in parallel by semitone to a minor 7th

� the aug. 6th may be inverted to a dim. 3rd that resolves inward (rather than outward) to an 8ve

� one of the other notes of the chord might be in the bass (not shown, but you can imagine it)

� to a non-dominant chord (more on this later)

Ger.

6 [V 4

3 ] V Ger.6 [vii° 6

5 ] V Fr.6 V

7 °3 V

(Ger.6)

Summary:

• Notes of augmented 6th typically resolve in contrary motion by ½ step to 8ve

(or in parallel motion down by ½ step to dominant 7th)

• In pre-dominant augmented 6th, ��6 and

#�4 resolve to �5

• Other possible chord tones: major 3rd; augmented 4th OR perfect 5th

a jdj d jj jd j d jj jd j jj d jjddd jd j jj jj

bjj jj jj jj jj jj jj ddd e j

d j jj je j

a ff jd j jd j d jj jd j jd j d jj jd j d je j jj d jj

b ff jj e jj jj jj e jj jj jj jj d j

j jj+6 m7

EXAMPLES OF AUGMENTED SIXTH CHORDS

Grieg, Lyric Piece, op. 12 no. 7, mm. 21-24: Italian 6th

em: V7 i ii° 6

4 It.6 V

4 - 3

Beethoven, Symphony No. 5/i, mm. 1-22 (piano reduction): Italian 6th

Beethoven, Piano Sonata Op. 13/iii (“Pathétique”), mm. 44-47: French 6th moving to V

Beethoven, Piano Sonata Op. 13/iii (“Pathétique”), mm. 5-8: German 6th moving to 64 , then V

c: i It.6

V

Schumann, “Am leuchtenden Sommermorgen,” mm. 1-7: “Swiss” 6th as opening sonority

Mendelssohn, Song Without Words, Op. 102/3, mm. 22-28: Italian 6th as neighbor to dominant

Beethoven, Sonata Op. 57 (“Appassionata”)/ii, mm. 1-8: “Swiss” 6th resolving to V7

B�: Sw.6

V 8

6

4

7

5

3

I

D�: I IV I Sw.6 V

7

4 - 3 I

Mozart, Piano Sonata in F major, K. 280/ii, ending: interpolated vii°7/V

Chopin, Prelude in G minor, Op. 28/22, mm. 4-7: diminished-3rd chords (inverted aug. 6ths)

Brahms, Symphony #1/ii, mm. 11-17 (piano reduction): �� ��1 (chord “third”) in bass

fm: Ger.6

V vii°7/V vii° 4

3

Ger.6 vii° 6

5 /V

V7

gm: vii° 43 i 6

4 °3 (Ger.6) V °3/

�VII V/

�VII

E: Ger.6 V

4-3

a jj jj f jj jj jj jj f kj k jj

bjj jf j jj f jf j f jj jf j f jj jf j

a i3

k k k3

kk k k3

kkk kk kkkk k k iii

iiiii

kkkkzn mkzn m f NPP

yi

bsfz

iiikkkkz kz kz f NP f i i N f N kz

n mkzn mf NPP i

DOMINANT-FUNCTION AUGMENTED-6TH CHORDS

Through the 18th and early 19th centuries, most aug.-6th chords functioned as pre-dominants,

with ��4 and

(�)�6 resolving to �5 as part of a dominant harmony. In later 19th-century music, dominant-

function aug. 6th chords aree increasingly common, with ��2 and �7 resolving to �1 as part of a tonic triad.

assorted dominant chords resolving to the tonic

( ) ( ) ( ) ( )

V 43 I (i) viiº 6

5 I (i) V�6

4

3

(Fr.6) I (i) Ger.

6 It.

6 I (i)

Schubert, String Quintet in C, ending

I Fr.6 I

Brahms, Symphony #4/iv, opening

Fauré, “Au bord de l’eau,” Op. 8/1, ending

adiiid i id ii

iiiii e iiid i iii

ipre-dominant augmented 6th dominant augmented 6th

e: Ger.6 V

Ger.

6 i

i

e: iv6 ii°

6 i iv

6 V

7/V i

6 Fr.

6 I

c�: vø7/�1 V

7/�1 I It.

6 I

AUGMENTED-SIXTH CHORDS: EXAMPLES FOR ANALYSIS

Mozart, Requiem, Lacrimosa, mm. 4-9

Mozart, Fantasia in D minor, K. 397, mm. 12-24

Beethoven, Sonata op. 10 #1, 1st mvt., mm. 27-51

Brahms, Variations on a Theme of Paganini, end of theme

Schumann, Novelette op. 21 #4, mm. 9-16 and 184-189

adkkk kkkjd jj jk k jj j j

j jj jj d je j

d jjj jjj jf jf j iij k k jjj i zi zi z

bdkkkkkkkkkkkkkkkk kkkkkkkkd kd kkke ke kkkkkkkd kd kkke ke kkkd kd kkkkkkk

kkkkkkkk i zi z

adjz k z k j z k j z k j m j d j i

bd kkkkkkkkkkkkkd kkkkkkkkkkk kk kk kk kk k

f kkkkkk kkk kkkkkkkkd k kkk kke k kkk kkk kkk f jjj m

e je jjjj

jjjd jjj

iiiii

Chopin, Prelude in G minor, op. 28 #22, ending

Chopin, E-minor Prelude, mm. 20-25

Bach, Mass in B Minor, Crucifixus, ending

Brahms, Variations on a Theme of Haydn, var. 4 (piano reduction), excerpt

Schubert, Schwanengesang, “Der Doppelgänger,” mm. 29-35