The Chord That Isn't What It Sounds Like
A candidate's harmonic analysis of a 12-bar piano miniature in E minor (4/4, Andante) is being reviewed. The passage begins i – VI – X – V in bars 1–4, then i – VI – Y – ♭II in bars 5–8. Chord X is spelled C4–E4–G4–A♯4; chord Y is spelled C4–E4–G4–B♭4. The next chord after X is B major (V), and the next chord after Y is F major (♭II). The candidate has labelled X as 'V7/IV in C major' and Y as 'German augmented sixth in E minor', claiming that the two chords are enharmonically equivalent and therefore interchangeable. The examiner has asked for a written re-evaluation, pointing out that the soprano line has A♯ resolving to B over X, and B♭ resolving to A over Y. The candidate must also consider that the piece's key signature has one sharp (F♯), and that the chord X contains no F♯.
1. Identify the correct Roman-numeral label for chord X and chord Y in E minor. Justify each label using chord spelling, the resolution of the chromatic note, and the surrounding harmonic progression. Explain why the candidate's labels are swapped.
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Chord X (C–E–G–A♯) is a German augmented sixth in E minor, labelled Ger+6 (or ♭6 with raised 4). The A♯ is the raised fourth degree, which resolves upward by half step to B, the dominant. The chord resolves to V (B major), so its function is predominant. Chord Y (C–E–G–B♭) is a dominant seventh on C, labelled V7/♭II, because B♭ is the minor seventh above C and resolves down by step to A, the third of F major (♭II). The candidate's labels are swapped because they relied on the enharmonic equivalence (A♯ = B♭) but ignored spelling and resolution. In X, the A♯ is not a chordal seventh; it is an augmented sixth that must resolve up. In Y, the B♭ is a chordal seventh that must resolve down. The key signature (one sharp) supports E minor; the absence of F♯ in X does not change the function, because the chord is chromatic. The principle: enharmonic equivalence does not imply functional equivalence; spelling and voice leading determine Roman-numeral analysis.
2. If the composer had notated chord X with B♭ instead of A♯, what would change in (a) the Roman-numeral label, (b) the expected resolution, and (c) the performer's voice leading? Refer to the surrounding chords.
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If X were notated C–E–G–B♭, it would be a C dominant seventh (V7/♭II), not a German sixth. The expected resolution would be to F major (♭II), because the B♭ would resolve down to A. The passage would then tonicize ♭II rather than approach V. The performer's voice leading would change: the B♭ must resolve down to A, not up to B. If the next chord remained B major, the resolution would be irregular and would not match the established progression i – VI – X – V, which requires a predominant-to-dominant motion. The composer's choice of A♯ signals the Ger+6 function and the upward resolution to B. The surrounding chords establish a cadential approach, so the A♯ spelling is necessary to preserve that function. The performer would also adjust intonation: A♯ leads up, B♭ leads down.
3. Explain how an examiner should mark a candidate who writes 'the chord sounds like C7, so it is C7' without considering spelling. What analytical habit should the candidate develop?
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The examiner should mark the answer as incomplete or incorrect because it substitutes sound for function. The candidate has identified the sonority but not the harmonic function. The examiner should award credit for recognizing the enharmonic equivalence but deduct for ignoring resolution and spelling. The candidate should develop the habit of checking four things before assigning a Roman numeral: (1) the notated accidental; (2) the direction of resolution of the chromatic note; (3) the Roman numeral of the chord of resolution; and (4) the voice-leading interval (augmented sixth versus minor seventh). A useful rule: an augmented sixth resolves outward to an octave; a minor seventh resolves inward to a third. The candidate should also consider the key context and the bass line. This habit prevents mistaking a German sixth for a dominant seventh (or vice versa) in chromatic passages.