Jazz Theory Advanced

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CHAPTER I The II-V-I Progression and Its Variations 
CHAPTER 2 II-V-I in Transient Modulations 
CHAPTER 3 General Modulations 
CHAPTER 4 Beginnings 
CHAPTER 5 Classic Bridges 
CHAPTER 6 Chords In Symmetry 
CHAPTER 7 Other Progression Cells 
CHAPTER 8 More Recent Traits 
THE LIST - a list of songs, discussed in the text 
ROADMAPS 
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The II-V-I Progression and its Variations 
?? II-V-I IN MAJOR 
?? II-V-I IN MINOR 
?? II - #II° - III 
?? IV - #IV° - I 
?? TRI-TONE SUBSTITUTION 
?? BACK DOOR PROGRESSION 
?? COLTRANE MATRIX 
?? EXTENSIONS OF II-V-I 
?? CONFIRMATION SEQUENCE 
?? BEBOP TURNAROUND 
Of all the progression cells taken up in this book, none is even remotely as prevalent as 
the II-V-I progression. 
Although contemporary jazz compositions have been moving away from it for quite 
some time, the II-V-I remains the basic unit of tonal organization of the jazz, 
popular, Broadway, standard, and bossa nova tunes that comprise much of the jazz 
musician's repertoire. And those tune-types are still the common denominator for jazz 
musicians today, even in the many countries other than the U.S. in which jazz music is 
performed. 
However complex the harmonic traits of modern jazz may become, those tune-types 
will still form an essential part of the jazz repertoire, and they are heavily- laden with II-
V-I's. 
Lest the reader surmise that the II-V-I progression was invented by the composers who 
wrote the tunes that comprise the jazz repertoire, understand that the foundations were 
laid several centuries ago by European Classical composers, who very frequently used 
the progression cell and its variations, though in slightly different ways than it appears 
in the jazz and pop tunes of this century. 
It was at the core of what musical analysts refer to as "tonic-dominant harmony," a 
harmonic system which stresses the use of "key centers" (represented by tonic, or 
simply I chords) that were prepared/preceded and supported by "dominant seventh 
chords" (V7), and the latter were often preceded by chords of the "subdominant 
function" (IV or II). 
The classical analyst generally labels this progression cell as ii6 - V7 - I (small case 
Roman Numeral on the II chord indicates a minor chord and 6 indicates first inversion 
of that chord, which was the usual form). 
The jazz analyst usually omits the use of small case Roman Numerals, owing to the 
rather high frequency of chords which are altered from the structure that is formed 
naturally within a diatonic system. 
 
 
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For example: 
?? a chord built on the second degree of a major scale (as in d - f - a of a C major 
scale) is a minor chord, yet in tunes used by jazz musicians that chord often 
appears as a D7 (a dominant seventh structure on II), for a variety of reasons that 
are unnecessary to discuss at this point. 
?? An even more significant example is the chord that is naturally formed on the 
sixth (VI) degree of a major scale, which is a minor chord (or minor seventh 
chord), as in A C E (G) of the C major scale. Yet the VI chord in jazz tunes 
appears far more often as a dominant seventh chord (VI7) than as a minor 
seventh chord (VIm7). 
?? The IV chord is major, when formed naturally within a key, but it frequently 
appears as a minor chord, as in the "back door progression" that will be 
discussed later in this chapter. 
?? Altered Roman Numerals (bIII, #IV, bII, #II, etc.) are even more freely-
structured, depending upon the needed function of the moment. 
?? Finally there is the problem created by, say, a half-diminished seventh chord, 
which is neither major nor minor, hence a classical analyst's ii7 designation for 
a IIø, even with supplementary markings could be confusing. 
For all the foregoing reasons, only large case Roman Numerals will be used in this 
book, whether the chord is major, minor, augmented, or diminished, and whether the 
chord's root is within the scale of the key or an altered scale-tone. 
Nearly all tunes used by jazz musicians are "tonal" (as opposed to "atonal"); that is, 
there will be at least one "key center" in each tune . 
Often there will be several key centers within the overall length of a given tune. 
The first requirement of a key center is the existence of a chord which can function as 
I (tonic). 
Though a wide variety of chord-types could serve as I, such as the dominant seventh 
structure found in most blues progressions (I7), or the Im7 in BLUE BOSSA, the most 
obvious and common forms of the I chord are the major seventh and major sixth chords 
( in a major key), and the minor-major seventh and minor sixth chords ( in a minor key) 
. 
Whether in a major or minor key, the second requirement is a chord which functions 
as a V (dominant) to the tonic. 
Though we will explore other possibilities later in the chapter, the most common choice 
is the V7 chord (dominant seventh struc ture). 
The third likely chord function to be used in establishing a key center (though not 
always present) is the IIm7 (subdominant function) or a common substitute, such as a 
IV major seventh chord (in a major key), or IIm7b5 or IVm (in a minor key). 
Variations and substitutions notwithstanding, the classic IIm7 - V7 - I ( in major) and 
the IIm7b5 - V7 - I- (in minor) prevail for an astounding 63-95% of the time in tunes 
which outline or establish key centers! 
 
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The II-V-I Progression in Major 
The IIm7 - V7 - I progression is formed by three chords that are all diatonic to the key 
center (that is, they are naturally-formed in accordance with the key signature of I), the 
three chord roots are consecutive in the cycle, and move in a forward (clockwise) 
direction within the cycle. 
Figure 1-A 
 C 
 G F 
 D Bb 
A Eb 
 E Ab 
 B Db 
 F# 
Bb 
 
Cyclic motion of this sort is very common in most forms of tonal music, including 
classical music, where its use can be traced back for at least three centuries. 
Identifying this 3-chord segment of the cycle, when viewing part of a lettered chord 
progression of a tune, is one of the two "tests" needed to determine the existence of a II-
V-I cell. 
The other aspect to be examined are the chord-types of each of the three chords. 
So if we see three consecutive chord roots that agree with a 3- letter segment of the cycle 
(in a forward direction, and the chord-types are minor seventh, dominant seventh, and 
major seventh respectively, then we can be certain that we are viewing a II-V-I 
progression in a major key. 
It was stated earlier that the II-V-I progression satisfies the requirements for establishing 
a key center. 
In jazz and pop music, this statement can be extended to include nearly every 
modulation to a new key center within a given tune's length. 
In other words, the II-V-I is frequently used as the modulating apparatus itself! 
 
 
 
 
 
 
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The II-V-I Progression in Minor 
Approximately 25% of the tunes in the jazz musician's repertoire are in a minor key. 
Add to this the high incidence of tunes that are chiefly in major, but which modulate to 
one or more minor keys within their overall length (especially at the "bridge" or "B 
section"), it is easy to see why we cannot afford to overlook aspects found in the minor 
mode. 
Though the II-V-I progression in a minor key is used in much the same way as it is in a 
major key, especially with regard to establishing the key center(s), the structures of the 
individual chords are quite different and more complex. 
We could relate those differences by discussing the nature of the tonic minor scale (or 
scales would be more accurate) from which all three chords are derived, as was done 
with the major version of the cell. However, it is less confusing to simplydiscuss the 
chord structures themselves. 
First of all, since many songs will include both major and minor key segments, there is 
the need to prepare the listener/player for the change of mode, so that the hearer can 
sense the impending change even before the tonic (I) chord arrives. 
We can surmise, in the case of II-V-I in major, that the fact that all three of the chords 
derive their notes from the major scale of the I chord, that the ear is prepared to hear the 
approaching I major chord even before it arrives, during the closely-related II and V 
chords. 
To prepare the sound of a minor key center, we need chord-types for the II and V that 
will already be hinting at the minor I chord that is to follow. 
?? And so we generally find that the II chord will be a half-diminished seventh 
chord (m7b5), instead of the IIm7 that was used in major. 
The half-diminished seventh chord only differs from the minor seventh structure 
by one note, that being a fifth that is lowered one half-step. 
In fact, as pointed out in the Introduction of this book, an alternate symbol for 
the half-diminished chord is the minor seventh with a lowered fifth (b5). 
If we relate that b5 of the IIm7b5 chord to the key center, we find it to be the 
lowered sixth (b6) of the key, a note that is found in two of the tonic minor 
scales (harmonic and natural minors). 
Hence the half-diminished form of the II chord prepares the ear to anticipate an 
approaching minor key center. 
Furthermore, the most common substitute for a IIm7b5 is a IVm (or IVm6) 
chord, which has the same note for its third of the chord as the IIm7b5 has for its 
fifth. 
In fact, the IVm6 is spelled with exactly the same notes as the IIm7b5 of the 
same minor key (example: an Fm6, which is IV of C minor, is spelled F, Ab, C, 
and D, and a Dm7b5, which is II of C minor, is spelled D, F, Ab, and C). 
?? The V chord could prepare a I minor chord by simply adding a lowered 
ninth (b9), which is also the b6 of the key center. 
The more complete, common, and effective structure for the V chord, however, 
is a dominant seventh with a raised fifth ( + 5 ) and a raised ninth ( +9), 
sometimes referred to as the "altered dominant." 
A b9 in place of the +9 is equally effective (they can even co-exist in the same 
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chord), still including the +5 as well, but the +9 is the most commonly-used 
form of the ninth in an altered dominant. 
We already know that the b9 helps to prepare a minor I chord, and the +5 causes the 
sounding of the same note that will be the lowered third of the I chord, which is a great 
preparation for a minor key. 
But what about the seemingly preferred +9? 
Why should that note foretell the sound of an impending minor I chord? 
After all, if the V chord was a G chord (V of C), the +9 would be an A#, which is an 
enharmonic spelling for Bb. 
Wouldn't the presence of an equivalent for Bb reduce the powerful effect of the "leading 
tone" (B natural) that is already in the V chord as its third, and which propels the chord 
toward a logical resolution to I? 
There are several answers to this, all worth presenting at this time: 
?? First of all (staying in C minor for the moment), Bb does exist in the "natural 
minor scale" on C. 
?? Secondly, the "leading tone" (B natural) is still present, as the third of the G7 
chord. 
?? Thirdly, the inclusion of Bb (A#) gives the V chord the illusion of being minor, 
offering a sort of poetic support to the minor I chord. 
?? Finally, the "altered dominant" chord is, by nature of its sound, a very dramatic, 
almost "bluesy" chord, enhancing the usually-desired intent of composers to 
employ minor keys for dramatic effect. 
So the common form of the II-V-I progression in minor is: IIm7b5 - V7alt - 
Im(maj7) 
Despite the fact the chord structures for the II and V, in major and minor keys, are 
primarily used to prepare the listener for the expected form of I (major or minor), 
songwriters sometimes like to surprise us, by using a I chord we didn't expect. 
In nearly all of such cases, the composer will set us up to hear a minor form of I (by 
preceding it with IIm7b5 and V7alt), but surprise us with a I major instead. 
Examples of this delightful sort of deception are in: 
?? EVERYTHING HAPPENS TO ME (measure B5), 
?? PENSATIVA (m.13), 
?? WHAT'S NEW (m.7 and B7) and 
?? FOR HEAVEN'S SAKE (m.1). 
This almost never happens in reverse, where a composer precedes a minor tonic with 
the major forms of II and V (m7 and 7, respectively). 
The prototypical forms of the II-V-I progression, in major and minor, are so 
commonplace in the tunes played by jazz musicians that it is very difficult to locate 
tunes which don't contain at least one II-V-I progression, even among contemporary 
tunes, and most tunes have many occurrences of that cell. 
For this reason it would be pointless, and perhaps impossible, to list all the tunes which 
have at least one II-V-I progression. 
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Variation 1: IIm7 - #II°7 - IIIm7 (or I) 
This peculiar, yet popular, progression cell substitutes a #II°7 for the V7, and 
sometimes a IIIm7 for the tonic major chord (I). 
The latter is easier to understand, as a IIIm7 has at least two notes in common with the I 
chord, hence it has always been regarded as a logical substitution. 
The #II°7, on the other hand, has little or nothing in common with the V7. In fact, the 
third of the #II chord is the major seventh of the V chord, which is a virtual 
anachronism to a dominant function. 
It only works because the #II functions as a "leading tone chord" of III (or VII°7 of III, 
as a classical theorist would put it). 
Since VII° has long been considered as a substitute for V7, when going to I, the door is 
open to precede any object chord with a diminished chord whose root is a half-step 
below the root of the object chord (in this case, the object chord is IIIm7). 
When the I chord is used instead of III, it is usually in first inversion, so that its bass 
note (not its root) is the same as the root of the III chord, causing the #II to become a 
leading tone chord (or VII) of the third of the object chord. 
The reader might find it hard to believe that this variation would resemble the 
prototypical II-V-I discussed earlier. But consider that it has been used so often in tune 
progressions and in arrangements that even improvisers will consciously and 
unconsciously play the variation against a sounded II-V-I progression! 
The two phrases shown in Figure 1B have appeared in numerous jazz recordings, each 
time against the conventional II-V-I. 
The first one has been played by many players over the years, whereas as the second 
example was invented by John Coltrane and then adopted by his many 
followers/imitators. 
Figure 1B 
 
(sometimes No. 2 is used with a 2-bar duration of I maj7) 
The likely historical source for the IIm7 - #II°7 - IIIm7 (or I) progression is the solo 
piano style of the 20's and 30's, in which self-accompanying pianists frequently used the 
progression in the left hand, usually voiced in tenth intervals. 
The cell generally happened at times when the given chord was a relatively long 
duration (4 beats or more) of a tonic major chord. 
Since the music of that time was pretty lively, a sustained chord in the left hand would 
inhibit the needed pulse- like effect, hence pianists would expand, say a one-measure 
duration of a tonic chord, into quarter-note durations by playing I - IIm7 - #II°7 - IIIm7 
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(or I in first inversion) with the left hand. 
This practice was particularly noticeable in performances by Art Tatum and by the 
countless admirers/imitators who followed him. 
An even more expanded version of the progression was used by George Gershwin in 
LIZA, where the first three and one-half measures use a five-chord progression, in half-
note durations(in a fast alla breve tempo), that is I - #I°7 - IIm7 - #II°7 - I (in first 
inversion). 
That same progression also forms the first three and one-half measures of Eubie Blake 's 
MEMORIES OF YOU. 
Unamplified rhythm guitarists, like the legendary Freddy Green in the Count Basie 
Orchestra of the 30's and 40's, also needed to transform long durations of a given chord 
into quarter-note durations to support the pulse, and so they also were given to using the 
progression under discussion (and others as well). 
In all of the foregoing examples, whether II - #II - III, I - II - #II - III, or I - #I - II - #II - 
III, the progressions result in a bass-note motion that rises by step and/or half-step, 
creating a strong feeling of climbing and a growing intensity. 
The excerpt shown in Figure 1-C is a classic tune that exemplifies the use of the 
harmonic device we are studying. 
It occurs in the fifth measure, tonicizing the IIIm chord in the key of F (Am7). 
It is interesting to note that, before we encounter the device of mm.5-7, a regular II-V-I 
has already occurred in mm.1-3. 
If we listen closely to the tune, or if we play the progression on piano, the two cells can 
be heard to function in the same way, though they don't sound identical. 
As is the case with all the harmonic traits studied in this book, it is essential to learn the 
appearance and sound of each, and to be able to distinguish between the basic form of a 
trait and its common variations. 
Figure 1-C 
(bossa nova) 
 
 
 
 
 
 
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The following tunes use the IIm7 - #II° - IIIm7 (or I in first inversion) progression: 
?? Ain't Misbehavin' (m.3) 
?? Got Rhythm (m.2) 
?? Ill Wind (B1 and B5) 
?? In The Wee Small Hours (m.S) 
?? Like Someone In Love (m.3) 
?? Liza (m.2) 
?? Memories of You (m.2) 
?? Once I Loved (m.5) 
?? Rain Check (m.1) 
?? Tiny Capers (m.4) 
Variation 2: IV - #IV° - I 
When compared, theoretically and aurally, it becomes clear that Variation 2 is only 
slightly different from Variation 1. 
Looking at Figure 1-D, we see that the first chord of each is a subdominant function, 
either IIm7 or IV major, and the two chords have long been considered to be substitutes 
for one another. 
Similarly, the #II° and #IV° chords are closely related, being part of the same 
diminished scale that forms both. 
The I chord that completes the cell differs only with respect to the bass note, Variation 1 
being in first inversion (3rd in the bass) and Variation 2 in second inversion (5th in the 
bass). 
Each has an alternate chord form for the third chord that has the same bass note as its 
counterpart. 
Figure 1-D Variation 1: IIm7 #II° I (3rd in bass) or IIIm7 
 Example: Dm7 D#° C/E or Em7 
 
 Variation 2: IV #IV° I (5th in bass) or V7 
 Example: F F#° C/G or G7 
Sometimes the IV chord of Variation 2 has a dominant seventh structure , rather than 
major, as in Duke Ellington's IN A MELLOW TONE (m.25), Clifford Brown's TINY 
CAPERS (B1), and in many blues progressions (m.6). 
Also, many of the arrangements for the Count Basie Orchestra (and others of a similar 
style), as well as many of Basie's improvised piano introductions, use Variation 2 with a 
dominant structure on the IV chord. 
Tunes which use Variation 2 would include: 
?? Blues (m.6) 
?? Doxy (m 9) 
?? In A Mellow Tone (m.25) 
?? Rhythm Changes (m.5) 
?? St. Thomas (m.13) 
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?? Scrapple From The Apple (m.5) 
?? Someday My Prince Will Come (m.27) 
?? Tiny Capers (B1) 
?? Tricotism (m.5) 
?? You Go To My Head (m.9) 
 
 
 
Variation 3: Tri-Tone Substitution 
By definition, "tri-tone substitution" is the practice of replacing a V7 with a dominant 
seventh chord whose root is a tri-tone interval away (bII7), a harmonic trait which has 
been common in jazz circles since the early 40's (the incubation period for the bebop 
style). 
On the surface it would seem that two chords with roots that are a tri-tone apart would 
have little in common and therefore difficult to justify, theoretically. 
After all, the roots in question are on exact opposite sides of the cycle of fifths, 180° 
removed from one another, and seven key signatures apart! 
However, there are several very compelling reasons for the success of tri- tone 
substitution: 
1. the second most common root motion to cyclic motion is descending 
chromaticism, in this case bII to I. 
2. the third and seventh of a dominant seventh are considered to be, functionally 
anyway, the two most important notes of the chord, and dominant seventh 
chords that are a tritone apart share the same thirds and sevenths , though the 
names are reversed. 
3. the remaining notes of the G chord, G and D, are equivalent to the +4 and b9 of 
the Db chord, and the remaining notes of the Db chord, Db and Ab, likewise 
function as the +4 and b9 of the G chord, therefore the two chords could even be 
played simultaneously without loss offunction; and 
4. if one of the two chords is altered (using a +5 and a b9 and/or +9) and the other 
is left unaltered (but with a +4, which is not really considered to be an 
alteration), the composer/improviser would use the same scale for both chords 
(see Figure 1-E) ! 
 
 
 
 
 
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Figure I-E 
the B lydian-augmented scale 
 Applied to: G7alt. (+5,+9) Db7 unalt. (+4) 
 B 3 7 
 C# +4 root 
 D# +5 9 
 E#(F) 7 +34 
 Fx(G) root 5+4 
 G# b9 135 
 A# +9 13 
(remember that it is necessary to apply enharmonic spellings) 
* The same as the notes of Ab ascending melodic minor, Db lydian dominant, G 
diminished whole tone and F locrian #2, in the event that one of these is more familiar 
to the reader. 
reversing the process... 
the F lydian-augmented scale 
 Applied to: G7 unalt. Db7 alt. 
 F 7 3 
 G root +4 
 A 9 +5 
 B 3 7 
 C# +4 root 
 D 5 b9 
 E 13 +9 
Tri-tone substitutions might appear in different aspects of jazz performance. 
That is, it is sometimes a part of the given progression to the tune (put there by the 
composer), as in the last measure of the 1st ending of Wayne Shorter's VIRGO. 
Other times it is part of a planned reharmonization of a tune, especially a standard tune 
(where the substitution is chosen by the arranger or the performer). 
And still other times, tritone substitution is incorporated spontaneously, at the discretion 
of an improviser, a "comping" keyboardist, or a bassist. 
It is generally known that a IIm7 can be placed before a V7 (sharing its duration), even 
when the given progression only supplies the V chord. 
For example, the bridge of I GOT RHYTHM (in the key of Bb) begins with a 2-bar 
duration of D7, but most performers will transform those two measures into one bar of 
A-7 and one of D7. 
In this case, the D chord isn't even a V function (in Bb), but it nevertheless works, hence 
the principle can be applied to any dominant seventh. 
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This being the case, a composer or performer will sometimes apply the principle to tri-
tone substitution, so that a Db7 that is substituting for a G7 could become Abm7 - Db7. 
This is a relatively mild variation though it does impact the use of tri-tone substitution 
somewhat. 
For example, if the tri-tone II-V occurs over (or instead of) the regular II-V, the chord 
and scale spellings for the II chords will be in very sharp contrast with each other, not 
having the sort of amelioration and duality found on the V chords (as in Figure l-E). 
Also, when the given melody to the tune is being sounded, it is necessary to see if the 
melody notes that happen over the regular II-V will also work over the tri-tone II-V. 
Sometimes they will, but it should be considered. 
If, on the other hand, a tri-tone II-V-Is used in place of the regular V chord's duration 
only (as opposed to the total duration of both the regular II andV chords), the trait 
usually works very well. 
The tri-tone II does have one scale note (the seventh of the chord/scale) that conflicts 
with the regular V chord, functioning as an unwanted major seventh of the regular V 
chord. 
Nevertheless, the tri-tone II has been used against the regular V7 frequently, and for 
quite some time, by major jazz artists, Charlie Parker and John Coltrane , for 
example. 
Tri-tone substitutions, in either the tri-tone II-V or simply the tri-tone V use, can replace 
the regular II-V or follow it, so that both the tri-tone and regular V or II-V are used. 
In the case of the latter, the duration normally given to the regular change(s) is usually 
split into smaller fragments to accommodate the presence of the tri-tone change(s). 
For example: a four beat duration of a G7 (in the key of C) would become 2 beats, 
followed by 2 beats of Db7. 
A 2-beat duration of Dm7, followed by a 2-beat duration of G7 would become: 1-beat 
durations of D-7, G7, Abm7 and Db7, respectively. 
Also, it is not necessary to use the same form for both the regular and tri-tone "keys." 
Sometimes we see a regular II, followed by the tri-tone II and V, omitting the regular V 
before the tri-tone substitution. 
It's interesting to note that when both the regular and tri- tone versions are used, the 
regular always precedes the tri-tone . 
Despite the profusion of verbiage and examples used here to define, explain, and 
illustrate tri-tone substitution, remember that the most important aspect of all this is that 
you be able to aurally cognize its presence in a progression, and in that regard, it is 
much easier to hear it than to explain it. 
It sounds logical, smooth, even familiar to most musicians, and reviewing the point 
made in Figure 1-E, that both the regular V7alt. and the tri- tone V7unalt. use exactly the 
same scale, it should be clearly understood that hearing tri-tone substitution is no more 
difficult to hear than an altered V7, and most students learn to hear the altered dominant 
rather quickly. 
There are "irregular" uses of tri-tone substitution, also. 
In Roberto Menescal's MY LITTLE BOAT (O BARQUINHO), we find the 
progression, G - C#m7 - F#7 - F - Bm7 - E7 - Eb - Am7 - D7 (to Bm7, which is IIIm7 
of G). 
What we have is a tune that modulates down in whole-steps (keys of G, F, and Eb), 
approaching F by way of tri-tone substitution, instead of a C7, then approaching the key 
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of Eb by the same means. 
Retaining the symmetry, Eb is followed by Am7, which conveniently brings us back to 
the starting key of G, though Menescal chooses to then substitute B-7 for the more 
obvious choice of G major. 
When we hear the tune for the first time, unaware that it will modulate down in whole 
steps in a 3-key sequence, it is difficult to anticipate where the first tri-tone substitution 
will take us, perhaps to B major, since the second and third chord of the progression 
could be II and V of that key, so the resolution to F major comes as a surprise. 
Michele Legrand's A MAN AND A WOMAN has exactly the same "irregular", 
sequential use of tri- tone substitution. 
Four more examples of irregular uses of tri-tone substitution occur in Clare Fischer's 
PENSATIVA. 
The piece begins with five measures of Gb major chords (the key center), alternating 
with G7 chords, with the Gb chords placed in mm. 1, 3 and 5, and the G7 chords 
appearing in mm.2 and 4. 
This has the effect of strongly establishing Gb as the key. 
The G7 chords are tritone substitutions for Db7 (V). 
In the sixth measure an Eb7 is used, presumably (to the unwary listener) functioning as 
a VI7 in the key of Gb, which would have been a logical, time-honored move at that 
point, usually going on to a II chord. However, the so-called VI7 chord resolves down a 
half-step to D major! 
In other words the Eb7 chord is being used as bII7 of D major, which makes it a tri-tone 
substitution for A7 (V of D). 
The significance of Fischer's use of the Eb7 (in the key of Gb) going to D major is that 
he has taken a principle that normally involves a substitute for a V7 and has expanded 
the principle to a dominant seventh chord other than V, which opens doors to still other 
possibilities. 
Going on, he follows the D major chord with a G chord (simulating the common 
progression cell of I to IV), but G is also bII of Gb, providing an easy path back to the 
original key, which, in a sense, is what Fischer does, except that the Gb chord becomes 
a I minor chord. 
But what is pertinent to our discussion here is that the G chord provides yet another 
twist to tri- tone substitution, since it is deceptively-placed to initially sound like IV of 
D, but becomes bII of Gb. 
The fourth example occurs at the end of the bridge, where a Dm7 - G7 cell leads us 
back to Gb major for the final A section. 
The innovative twist here, however, is that the bridge modulates first to the key of C 
major, then to A major, so that when the Dm7 and G7 chords appear at the end of the 
segment in A major, we're not at all sure whether those chords are functioning as a 
"back door progression" in A (IVm7 - bVII7, a trait to be discussed a little later in this 
chapter), or signaling a return to C major (as a II-V), or as a tri- tone substitution leading 
back to Gb (which is the case). 
Anyone wishing to seriously study, hear, and practice tri- tone substitution should 
investigate the playalong, SOME OF THE THINGS I AM, found in Volume 16 
(TURNAROUNDS AND CYCLES) of Aebersold's A NEW APPROACH TO JAZZ 
IMPROVISATION. 
The progression is a contrafact of ALL THE THINGS YOU ARE, to which Aebersold 
has added eleven tri-tone substitutions, making it the most thoroughgoing study of 
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tritone substitution in existence! 
The fact that it is a play-along provides the student with the best possible opportunity to 
hear and practice the trait. 
Tunes which use Variation 3 (tri-tone substitution) include: 
?? A Man And A Woman (mm.3 &7) 
?? Angela (B3 &B7) 
?? I Can't Get Started (m.4) 
?? Bolivia (B4 &B14) 
?? Little Dancer (m.8 & B2) 
?? Bonnie's Blue (mm.4 &6) 
?? Mr. Broadway (m.19) 
?? The Chase (B8) 
?? Nutville (m.11) 
?? Clockwise (m.11) 
?? O Barquinho (mm.3 &7) 
?? Delores (mm.6 &24) 
?? Pensativa (mm.2, 4, 6, 8, &B15) 
?? Early Autumn (mm.2 &4) 
?? Sail Away (mm.10 &47) 
?? Ecaroh (m.4) 
?? Satin Doll (m.6) 
?? E.S.P (m 31) 
?? Saudade (mm.3 &11) 
?? Fantasy In D (mm.6 &12) 
?? Smoke Gets In Your Eyes (m.3) 
?? Four On Six (m.8) 
?? Some Of The Things I Am (mm.3, 4, 6, 11, 12, 14, 18, 22, 27, 28, &34) 
?? Gibraltar (B2) 
?? The Girl From Ipanema (mm.6 &8) 
?? Virgo (mm.8 &16) 
?? West Coast Blues (m.4) 
 15
 
Variation 4: The Back Door Progression 
The "back door progression," in the present, is a cell made up of IVm7 and bVII7 
chords, leading to I. 
Historically, it began as a bVII7 only, most often appearing as a brief turnaround 
(more on that later in the chapter) at the end of a tune's section, usually as I - bVII7 - I. 
The approach to I by way of a dominant seventh whose root is a whole-step below the 
tonic is probably the source of the name, back door. 
At least as early as the bebop era, the IVm7 was added to the b7VII chord, providing a 
quasi II function before the dominant seventh chord, in the same manner as was 
encountered earlier in this chapter. 
The back door progression generally functions in one of three ways: 
1. as a substitute for the II-V progression (or just the V); 
2. as a means of returning to the original key center after a brief modulation to IV 
major; and 
3. as a free-standing cell, usually sandwiched between two I chords. 
When pondering the question as to why a back door progression should work as a 
substitute for the II-V (or simply the V chord), remember the well-established precedentof hearing the bVII as a turnaround chord in songs of an earlier period, as it trained our 
ears to accept the sound of bVII leading to I. 
There are melodic justifications, also. 
One of the most common phrase-endings for a melody is the formula of b7, b6, 5 
(numbers related to the key center, not the individual chords), as shown in Figure 1-F. 
Note that this common melodic phrase-ending can be harmonized several different ways 
with equal effectiveness, one of which is the back door. 
In other words, the harmonication of a common melodic phrase-ending also helps in 
establishing the tradition of hearing a back door progression lead to I. 
Figure 1-F 
 
When the back door is used as a substitute for the V chord only, the II chord usually 
precedes the back door, creating a harmonic formula of: 
IIm7 - IVm7 - bVII7 - I 
By far the most common use of the back door progression is its use after a IV major 
chord. 
A very high percentage of tunes contain at least one modulation to a key a perfect fourth 
above the original key center, or simply to IV. 
 16
That modulation is so common that it is almost pointless to use a modulation symbol 
(i.e., showing a modulation from C to F by using the symbol F: ). 
In the great majority of tunes that modulate to IV, the tenure of the key of IV is 
extremely brief, returning to the orginal key center within one or two measures. 
The brevity of the stay in IV and its probable return to I points to a need for an efficient 
means to weaken the IV chord shortly after its arrival and a render quick, safe passage 
back to I. 
Both needs are accommodated by the back door progression. 
The IVm7 instantly weakens the previous IV major chord and the bVII7, through 
established traditional practice, provides an acceptable precedent for the I chord. 
Unconsciously, the ear of even the casual listener is drawn to anticipate the return to I as 
soon as the IV minor chord is sounded. 
A much- less common use of the back door progression is its use as a free-standing cell, 
in which it is not following IV major, not really being used as a substitute for II-V, and 
seemingly disconnected from the chords that exist before and after its use. 
Nevertheless, some trace of the logic behind the more common uses of the back door is 
usually present, though obscure. 
Examples of free-standing back doors exist in the following tunes: 
?? Ladybird (m.3) 
?? Half-Nelson (m.3) 
?? Yardbird Suite (m.2) 
?? Somebody Loves Me (mm.2 &4) 
?? Poor Butterfly (m.1) 
?? Godchild (m.4) 
?? I Never Knew (m.2) 
?? Moments Notice (m.4) 
?? How High The Moon/Ornithology (m.28) 
?? Speak Low (m.9) 
?? Joy Spring (mm. 4&12) 
?? Lush Life (m.17 
?? The Song Is You (m.13) 
?? Valse Hot (m.10) 
?? I Get A Kick Out Of You (m.9) 
?? For Heaven's Sake (m.5) 
?? I'm Old Fashioned (m.26) 
?? September In The Rain (m.5) 
?? Desafinado (m.26) 
?? Too Marvelous For Words (m.30) 
?? My Romance (m.28) 
?? Rosetta (m.2) 
(be advised that some of the tunes on the 3 lists of progressions contain more than one 
type of back door) 
 
 
 17
Tunes which use the back door progression as a substitute for V or II-V: 
?? Days Of Wine And Roses (m.7) 
?? Groovin' High (m.30) 
?? I Should Care (m.8) 
?? The Shadow Of Your Smile (m.26) 
?? Tenderly (m.6) 
?? Georgia On My Mind (m.4) 
?? The Christmas Song (m.5) 
?? On Green Dolphin Street (m.28) 
?? Four (m.7) 
?? I Gave You Violets For Your Furs (m.3) 
?? My Old Flame (m.4) 
?? Darn That Dream (m.6) 
?? Embraceable You (m.6) 
?? Over The Rainbow (m.6) 
?? Summer Samba/So Nice (m.7) 
?? Strollin' (m.28) 
?? I Fall In Love Too Easily (m.15) 
?? Stardust (m.4) 
?? Soon (m.7) 
?? When Sunny Gets Blue (m.2) 
?? Fools Rush In (m.26) 
?? It Could Happen To You (m.10) 
?? But Beautiful (m.28) 
The following tunes use the back door as a means of leaving IV major to return to I: 
?? Donna Lee/lndiana (m.10) 
?? I've Grown Accustomed To Her Face (m.9) 
?? Long Ago And Far Away (m.28) 
?? My Ideal (m.26) 
?? My Shining Hour (m.21) 
?? Time After Time (m.24) 
?? Will You Still Be Mine (B3) 
?? Little Dancer (m.11) 
?? Mean To Me (m.4) 
?? I Hadn't Anyone Til You (m.26) 
?? Easy Living (m.4) 
?? Freight Train (m.6) 
?? It Might As Well Be Spring (m.36) 
?? Meditation (m.11 &B3) 
?? Moon River (m.12) 
?? My Romance (m.9) 
?? Don't Get Around Much Anymore (B2) 
?? I Thought About You (m.10) 
?? It Could Happen To You (m.6) 
?? Mood Indigo (m.12) 
?? Out Of Nowhere (m.28) 
?? Just The Way You Are (m.10) 
 18
?? Cherokee (m.7) 
?? Stella By Starlight (m.8) 
?? The Night Has a Thousand Eyes (m.12) 
?? How Long Has This Been Going On (m.4) 
?? Blues ForAlice (m.6) 
?? Moonglow (m.2) 
?? Lil Darlin' (m.10) 
?? I Got It Bad (B3) 
?? Do Nothin' Til You Hear From Me (m.4) 
?? Just Friends (m.3) 
?? I Remember You (m.6) 
?? Ray's Idea (m.6) 
?? You've Changed (B2) 
?? Good Bait (m.6) 
?? Street Dreams (m.10) 
?? But Not For Me (m.10) 
?? Between The Devil And The Deep Blue Sea (m.6) 
?? In A Mellow Tone (m.10) 
?? Little Girl Blue (m.6) 
?? Misty (m.4) 
?? My Foolish Heart (m.12) 
?? My Secret Love (B8) 
?? One Note Samba (m.12) 
?? Polka Dots And Moonbeams (m.5) 
?? Tangerine (m.26) 
?? There Will Never Be Another You (m.10) 
?? Wave (m.6) 
?? Unforgettable (m.10) 
?? If I Had You (m.4) 
?? A Foggy Day (m.12) 
?? All The Things You Are (m.30) 
?? How About You (m.10) 
?? I Gave You Violets For Your Furs (m.26) 
 
 
 
 
 
 
 
 19
Variation 5: The Coltrane Matrix 
Seldom are we able to credit a single individual with the invention of an innovative 
formula for a chord progression. 
Ordinarily such things evolve slowly through the compositions of many composers over 
an extended period of time. 
The Coltrane Matrix, however, came about very suddenly and involved the creative 
genius of a single musician John Coltrane . 
Even when an individual does invent a new organizational method for some aspect of 
music, it almost never survives to become a new, widely-accepted tradition. 
But the Coltrane Matrix is being studied, practiced, performed, and incorporated into 
new compositions by musicians all over the world. 
Furthermore, having survived for nearly forty years, it is safe to say that it has withstood 
the test of time! 
Its origin is an interesting story. Coltrane was a musician whose life definitely evolved 
in clearly discernable periods, each with its own thrust. 
?? In the late bebop era, one of Trane's debuts was as a featured soloist on Dizzy 
Gillespie 's recording of THE CHAMP (by Gillespie), where he was a bluesy, 
honking, emotionally-charged player. 
?? A few years later (about 1956), Trane made a series of recordings with the Miles 
Davis quintet and sextet, in which his solos were marked by considerable 
double-time playing, thorough realizations of all harmonic substance available 
within the framework of the tunes selected by Davis, and in general, a very high 
degree of technical virtuosity. This period is often referred to as his "change-
running period," and it culminated (with his own group) in tunes like GIANT 
STEPS, COUNTDOWN, and 26-2, all of which were based upon the 
progression we now know as the Coltrane Matrix. 
?? Having taken change-running and exploratory chord substitutions as far as he (or 
anyone) could, he suddenly abandoned those activities and turned his focus to 
the harmonic opposite of change-running, namely modal vehicles, which 
became his next developmental period, culminating in recordings like 
ALABAMA, MY FAVORITE THINGS, and the masterful and inspired album, 
A LOVE SUPREME. 
?? His subsequent, and last, period found him experimenting with a whole host of 
new musical directions,to include free form, ethnic and international musics, 
new instruments, new group instrumentation, duets with drummer Rashied Ali, 
spiritually- inspired music etc., all the while stretching the techniques and 
nuances of his instrument. 
Trane's contributions to music go far beyond those listed here. 
A more thorough list appears in David Baker's book, John Coltrane, from his "Giants 
of Jazz" series. 
The Coltrane Matrix was actually a product of his earlier "change-running" period, and 
some have put forth the theory that it was originally inspired by the bridge of HAVE 
YOU MET MlSS JONES (a standard tune). 
The Matrix is a symmetrical arrangement of key centers that descend (by modulations) 
in major third intervals, as in the keys of C, Ab, E, and C. 
Note that the keys symmetrically divide the octave into three equal parts, so that it 
 20
comes out even at the octave (C down to C). 
When V7's precede each of the three keys, it becomes a seven-chord progression: 
 Cmaj7 Eb7 Abmaj7 B7 Emaj7 G7 Cmaj7 
C: Imaj7 Ab: V7 Ima7 E: V7 Imaj7 C: V7 Imaj7 
At this point in our study, the reader should understand that the above progression has 
other options, such as using II functions in place of each of the V chords, or using both 
the II and the V (if chord-duration time permits!). 
With this in mind, let's compare the Matrix with the bridge of MISS JONES. 
Note that even the melody of GIANT STEPS fits the bridge of this standard. 
Figure 1-G 
 
Coltrane used his matrix in a variety of ways. 
On an informal, spontaneous level, he could play the seven-chord matrix, giving the 
first six chords two-beat durations and a four-beat duration to the last one, using it over 
any II-V-I progression that lasted four measures in all (and there are many of those!). 
?? Bear in mind that when the matrix is used over a II-V-I progression, the first 
chord of the matrix is changed to become the same II chord as the regular 
changes. The remaining six chords remain the same as the ones originally 
presented earlier. 
Sometimes the matrix was built into a reharmonisation of, say a standard tune like 
BODY AND SOUL or BUT NOT FOR ME, which meant that the pianist and bassist 
were also using those changes in the accompaniment. 
At other times, though, Trane would superimpose the matrix over the regular changes 
without reinforcement from the rhythm section. 
This requires a certain degree of courage, tenacity, presence of mind, and the ability to 
hear the matrix independently of what is being played in the accompaniment. 
One of the challenges is that II-V-I changes (over a four-measure duration) causes the I 
chord to arrive at the third measure and be retained for the fourth measure as well. 
When one plays the matrix over a four-bar II-V-I progression, the I chord of the matrix 
doesn't arrive until the fourth measure , causing the matrix player a reasonable amount 
of discomfort when he/she hears the accompaniment arrive at I in the third measure, 
perhaps resulting in the player imagining that he/she has erred somewhere, since there 
are still three more matrix chords to be played. 
 21
When Trane used the matrix in his compositions, we see other variations. 
For example, GIANT STEPS uses the matrix twice in the first eight measures, but each 
is shortened to five chords. 
In other words, he stops the matrix two chords before it returns to the starting key (see 
Figure 1-H). 
Figure 1-H 
 
In COUNTDOWN, which is a contrafactual Trane tune that is based on Miles Davis ' 
TUNE-UP, the entire seven-chord matrix, starting on a II chord is used for each of the 
first three 4-measures of the 16-bar tune, which modulates downward in whole-steps 
(the "downstep progression," to be taken up in Chapter 2) every four measures. 
Coltrane also wrote a contrafactual tune that is based upon CONFIRMATION, called 
26-2. 
This time Trane ignores the exact nature of the A section progression of 
CONFIRMATION, which uses a significantly common chord sequence called the 
"Confirmation Sequence" (taken up later in this chapter). 
But Trane does structure 26-2, despite the matrices, so that it starts from the same chord 
as CONFIRMATION and matches up with each "goal" of the CONFIRMATION 
progression, such as the modulation to IV in the fourth and fifth bars, the II dominant 
seventh chord in the seventh bar, and the I chord in the last bar before the bridge. 
At the bridge, CONFIRMATION modulates to IV, by way of its IImV, which consumes 
the first four bars, so 26-2 makes the same modulation to IV, but via a shortened version 
of the matrix. 
The second half of both bridges are the same, providing, a resting place for 26-2, since 
the matrix is not used there. 
In the event that the reader is wondering why an improvising soloist would use the 
matrix at times when the accompaniment is not, consider that it creates a format for 
"outside playing" (adding tension and chromaticism to the solo) that is logically-
structured and begins and ends in a consonant manner. 
In time it is likely that the Coltrane Matrix will also begin to be used in minor, by using 
minor-major seventh chords in place of the major sevenths, and altered dominants in 
place of the unaltered dominants. 
The seven-chord matrix would then become, for example, Cm(maj7) - Eb7alt. - Abm - 
B7alt - Em - G7alt - Cm(maj7). 
In minor, the progression is even more dramatic, mysterious, harmonically- intriguing, 
and symmetrical than it is in major. 
The chord-types are stronger, the key contrasts more stunning, and the scalar 
 22
applications (for the improviser) more uniform. 
With respect to the latter, the entire progression could be accomodated by a single triad 
(a B, Eb, or G augmented triad) or by a single scale (a B, Eb, or G augmented scale). 
The major version of the matrix doesn't have these unities. 
For the improviser, the minor version is more challenging (if the single triad or single 
scale shortcuts are not taken) and ultimately creates a more melodic, lyrical result. 
In major, most players, even Trane, have been forced to use a higher percentage of 
mechanistic content in their solos, owing to the short chord durations, the quick and 
incessant modulations to remote keys, and the tempos. 
The minor version also has the problems of short duration chords, the modulations, and 
perhaps the tempos (the more- interesting sound in minor will likely result in using 
slower tempos), but there are no easy solutions, like the digital patterns and change-
running when played in major. 
For example, the major seventh of a minor chord is more crucial to its sound than the 
major seventh is to a major seventh chord, to say nothing of the ninths and elevenths 
that are also more effective on minor chords. 
Also, an altered dominant is so much more colorful ( +4, +5, b9, and +9) than the 
unaltered dominant, that realizations such as the 1-2-3-5 digital pattern are neither 
possible nor aesthetically pleasing. 
The potential for the Coltrane Matrix in minor is currently being explored by several 
composers/improvisers, at both faculty and student levels, at the University of 
Tennessee, already producing fruitful results. 
The following tunes use the Coltrane Matrix (or show its influence): 
?? Giant Steps 
?? Countdown 
?? 26-2 
?? Dear John 
?? Do You Hear The Voices 
?? El Toro 
?? Coltrane Blues 
?? (and don't forget to investigate) Have You Met Miss Jones 
 
 
 
 
 
 
 
 
 23
Variation 6: Extensions of the II-V-I Progression (in 
major) 
There can be but a single tonic (I) chord in a given key center. 
However, what precedes the I chord (the II and V chords) has a number of interesting 
variations. 
For example, we know that tri- tone substitution makes possible a cell of IIm7 - bII7 - I. 
We also know thatsometimes the minor form of II (m7b5) is used in a major key. 
Though it has not yet been discussed, sometimes the II chord appears as a dominant 
seventh chord. 
Using various combinations of the foregoing, we already have six mathematically 
possible versions of the II-V-I progression! 
If we substitute a IIIm7 for the I chord, we increase the possibilities to twelve. 
By substituting #II° or bVII7 for the V chord, or IVm7 or bVIm7 for the II chord 
(borrowing from the "back door" and "tri-tone substitution"), the possibilities increase 
again. 
And then there is the Coltrane Matrix and partial matrices (such as IIm7 - bIII7 - bVI - 
V7 - I). 
The use of IIIm7 as a substitute for I, opens a very large door to yet more possibilities, 
mostly relating to the extension of the II-V-I progression. 
Figure 1-I shows two cycles of fifths, one of which is the more familiar (in letters, with 
12 entries), and the other being a diatonic cycle (one-key approach, instead of 
chromatic) in Roman Numerals, with seven entries. 
With regard to the latter, note that the intervals between the numerals are not all the 
same, the distance from IV to VII being a tri-tone interval, as it is between the fourth 
and seventh degrees of a major 
 
 
 
 
 
 
 
 
 
 
 
 24
Figure 1-I Lettered Cycle: 
 C 
 G F 
 D Bb 
A Eb 
 E Ab 
 B Db 
 F#/Gb 
Roman Numeral Cycle (diatonic): 
 I 
 V IV 
 
 II VII 
 
 VI III 
Looking at the cycle of Roman Numerals, we see that II-V and I are adjacent and 
progress in a foward direction, as described at the beginning of this chapter. 
However, III and II are not adjacent, separated by the VI chord. This explains, in part, 
why a IIIm7 is so often followed by a dominant seventh or minor seventh chord on VI, 
causing the progression to flow smoothly on to the II chord. 
So if a IIIm7 is used as a substitute for I, it is very likely that the next chord will be a VI 
chord, leading to II. 
This helps to explain why statistical studies have shown that the IIIm7 and VI7 chords 
are the fourth and fifth most populous chord functions in the jazz-pop repertoire, just 
behind the II, V, and I chords. 
Actually, there are more VI7's than IIIm7's, owing to the number of times that I moves 
to VI7, then to II. 
The sixth most- frequently occurring chord function is the VI minor seventh chord. 
In any event, the expanded cell of Roman Numerals, III-VI-II-V-I, remains faithful to 
the cycle, and as a group, is the most common five-chord cell in the repertoire, used in 
ongoing progressions, as turnarounds, ending tags, and as introductory progressions, 
(especially for standards). 
The number of tunes which use this progression is so great as to nullify any attempt to 
provide the reader with a list, being only slightly less common than the basic II-V-I 
progression. 
However, if the reader wishes to hear the progression in a continuous, repetitive 
manner, so that it is thoroughly assimilated, play and/or listen to Clare Fischer's 
MORNING. 
A slightly different, not as common a progression as the III-VI-II-V-I progression of the 
foregoing paragraph, is the progression VIm7 - IIm7 - V7 - I. 
Though this cell uses the last four numerals as they were given in the first progression 
 25
(so that it begins on VI instead of III), it also differs with respect to the chord-type of 
VI, being a minor seventh, rather than a dominant seventh (which makes it completely 
diatonic). 
Another distinction between the two progressions is their usual placement within a 
progression. 
The first progression could occur anywhere, as an introduction, as the beginning of the 
tune, as a turnaround, as a tag, etc., whereas the VI-II-V-I progression is nearly always 
placed at the beginning of a tune's progression. 
When a I is added to the beginning of the cell (just before the VI, omitting the I chord at 
the end) it becomes a more common progression that is also used for introductions, 
turnarounds, and tags. 
Tunes which use Variation 6 (VIm7 - IIm7 - V7 - I) include: 
?? All The Things You Are (m.1) 
?? How My Heart Sings (m.2) 
?? Fly Me To The Moon/ln Other Words (m.1) 
?? I Hear A Rhapsody (m.1) 
?? Quickie (m.1) 
Tunes which use Variation 6, but begin on I: 
?? Emily (m.1) 
?? I Can't Get Started (m.1) 
?? (and many others) 
Another mild variation on the III-VI-II-V-I sequence substitutes a bIII° for the VI7 
chord, so that the progression becomes IIIm7 - bIII° - IIm7 - V7 - I. 
That cell is used in: 
?? All The Things You Are (m.31) 
?? Body And Soul (m.4, but doesn't quite reach I) 
?? Out Of Nowhere (m.29) 
?? Night And Day (m.11) 
Returning to the Roman Numeral cycle in Figure 1-I, some tunes will extend the cycle 
even further by using VII-III-VI-II-V-I. 
Usually the VII is an altered dominant seventh and preceded by a I chord, as in I - 
VII7alt. - IIIm7(or ø) - VI7 - IIm7 - V7 - I. 
Though the VII chord is the only one shown here to be an altered dominant, it should be 
understood that any of the dominant sevenths in the progression could be altered, at the 
discretion of composers, arrangers, keyboardists, and even improvising soloists. 
The dominant seventh on VII, for example is nearly always altered, in common practice. 
It is interesting to note, in this regard, that certain dominant seventh chords within a 
key's seven potential chord roots are frequently altered, and others are almost never 
altered. 
 
 
 26
?? Dominant seventh chords on V, VI, and VII are very often altered, whereas 
?? IV is almost never altered. 
?? III is generally only altered if the chord is heading toward a VI minor chord 
(relative minor of I), and 
?? II is seldom altered unless the tune is in a minor key or the tune has a bluesy 
flavor. 
?? I, of course, is only an altered dominant seventh if the tune is very blues- like (at 
that point, anyway) or being used as V of IV. 
?? The altered Roman Numerals (bII, bIII, bV, bVI, and bVII) are seldom altered 
dominants. The latter point helps to explain why, in chromatically descending 
dominant sevenths, the chord-types usually alternate between unaltered and 
altered, as in C7 - B7alt. - Bb7 - A7alt. - Ab7 - G7alt., etc. 
In such progressions the first chord, if it is I, is often a major chord, then 
becoming dominant sevenths (altered and unaltered) for the remainder of the 
pattern. In Dan Haerle's MAGIC MORNING, for example (play-along 
available in VOLUME 4 of Aebersold's series), the first four chords are E 
(major seventh), Eb7alt., D7, and Db7alt. 
Extending the Roman Numeral cycle even further, a number of well-known tunes begin 
a phrase with a harmonic sequence whose first chord root is bV (or #IV), proceeding 
around the cycle to VII-III-VI-II-VI. 
Looking at the Roman Numeral cycle in Figure 1-I, we don't see an altered numeral on 
IV or V, only their diatonic form. 
However, as pointed out earlier, the interval between IV and VII is a tri-tone interval, 
which is not consistent with the distances between all other numerals, hence the root of 
IV must be raised to become a #IV chord, so that it will lead gracefully to VII. 
So now the extension has become: 
#IVm7(or m7b5) - VII7 - IIIm7 - VI7 - IIm7 - V7 - Imaj7 
or in lettered symbols (in the key of C): 
F#m7(or m7b5) - B7 - Em7 - A7 - Dm7 - G7 - Cmaj7 
The foregoing progression is found in the following tunes: 
?? Woody n' You/Algo Bueno (m.1) 
?? Little Dancer (m.1) 
?? I'll Keep Loving You (m.1) 
?? I've Grown Accustomed To Her Face (m.5) 
?? Airegin (m.30) 
?? Ceora (m.13) 
?? Mayreh/All God's Chillun (m.9) 
?? Moments Notice (m.8) 
?? In The Wee Small Hours (m.7) 
?? Moon River (m.14) 
?? Stablemates (m.8) 
?? Stella By Starlight (m.25, usingø on #IV, III, and II) 
?? Strollin' (m.8) 
?? This I Dig Of You (m.26) 
 27
?? Smoke Gets In Your Eyes (m.4) 
?? Soul Eyes (m.26) 
?? Our Love Is Here To Stay (m.8) 
?? My Romance (m.27) 
?? Yes And No (B 1) 
It was pointed out earlier that even the II-V-I has many variables, if we include tri-tone 
substitution, back door, #II° substitutes, Coltrane Matrix, halfdiminished or dominant 
seventh structures on II, and so on. 
The more the progression is expanded backward through the cycle to include more 
chords, like #IV, VII, III, and VI, the more possibilities there are for slight permutations 
here and there. 
A progression that begins on #IV has a long way to go to reach I, the variables could 
come into play at any point in that long "road back," and some progressions don't even 
make it all the way back to I! 
We have reached the point in our expansions and permutations where it would be better 
for the reader to recognize, analyze, categorize, and assimilate the next list of tunes, 
rather than having the authors continue subdividing what's left into even smaller pigeon-
holes. 
Each of the following has a segment that begins on #IV, but the subsequent chords of 
the cell will vary slightly from the presented models, as well as the other tunes on the 
list. 
?? Days Of Wine And Roses 
?? Tour de force 
?? Del Sasser 
?? I'm Getting Sentimental Over You 
?? Speak No Evil 
?? Tenderly 
?? That's All 
?? Time After Time 
?? Emily 
?? I Don't Stand A Ghost Of A Chance With You 
?? Night And Day 
?? Stranger In Paradise 
?? When Sunny Gets Blue 
?? I Thought About You 
?? I Should Care 
?? YoungAnd Foolish 
?? Georgia 
 
 
 
 
 28
Variation 7 The Confirmation Sequence 
The "Confirmation Sequence" derives its name from the Charlie Parker composition 
of the same name. 
It wasn't the first occurrence of the progression, having existed in several standard tunes 
before it was used in CONFIRMATION, but the latter seemed to be the tune most 
responsible for the popularity of the sequence. 
The progressions that formed Variation 7 (expansion of the II-V-I ) all began further 
back in the cycle, working their way back to I. 
The Confirmation sequence generally begins on I and works its way to the object chord 
(or key) of IV. 
It also uses descending II-V's as a path, like those in Variation 6, but this time ending on 
IV7 (or major). 
The progression is: 
I - VIIm7b5 - III7 - VIm7 - II7 - Vm7 - I7 - IV7 (or IVmajor) 
Or in lettered symbols (in C): 
C - Bm7b5 - E7 - Am7 - D7 - Gm7 - C7 - F7 (or Fmajor) 
Sometimes the VII chord is a minor seventh chord, instead of half-diminished, but the 
latter seems to be the preferred forn. 
After reaching the IV chord, the progression usually works it way on down to I, but that 
segment is not the topic of our discussion. 
The progression shown above usually consumes five measures, but sometimes the 
durations are twice as long, so that it consumes nine measures (the IV either begins a 
new four-measure phrase or a new eight-measure phrase, hence the odd numbers). 
Tunes which use the Confirmation Sequence sound as though they're modulating to the 
relative minor, and indeed they do (by way of the nature of the second, third, and fourth 
chords of the cell), but then the progression continues unabatedly until the IV chord is 
reached. 
Tunes which use the Confirmation Sequence are: 
?? Confirmation 
?? There'll Never Be Another You 
?? Bluesette 
?? Blues For Alice 
?? Freight Train 
?? Doujie 
(note the preponderance of blues tunes) 
 
 
 29
Variation 8 - The Bebop Turnaround 
A "turnaround" (an alternate term is "turnback") is a brief progression cell, usually two 
measures in length, containing four chords, that transpires at the end of a section, and is 
headed for a repeat of that section or a repeat of the entire tune (as in another chorus). 
Its purposes are to avoid a harmonic lull that might be created by an extended duration 
of a tonic chord, and to prepare the listener for a repeat. 
It generally perpetuates the harmonic motion, sometimes in interesting ways, and keeps 
the listener from feeling that the tune, or the performance of it, is over. 
Turnarounds have been around for a long time. 
The following are examples of early turnarounds: 
I V7 
I V7 I 
I bVII7 I 
bVII7 VII7 I 
I VI7 IIm7 V7 
I VI7 II7 V7 
I VI7 bVI7 V7 
IIIm7 VI7 II7 V7 
The "bebop turnaround" came into being in the 40's, and was a sort of precursor of the 
Coltrane Matrix of about fifteen years later, as you will see. 
The Roman Numeral sequence of the bebop turnaround is I (or III) - bIII - bVI - bII. 
Had the last chord (bII) been a V, it would have been the same as the truncated 
Coltrane Matrix, used by Trane on a number of occasions. 
The chordtypes of the bebop turnaround are somewhat variable. 
?? If the first chord is I, it will be a major seventh chord, or 
?? if it is III, it will be a minor seventh chord. 
?? The bIII chord is usually a dominant seventh chord, but some times it is a major 
seventh type. 
?? The bVI is nearly always a major seventh, but it can be a dominant seventh. 
?? The bII is most often a dominant seventh (with a +4), but sometimes it is a major 
seventh chord (also with a +4). 
The classic formula would be: I (or III-7) - bIII7 - bVI - bII7(+4). 
The following tunes use the bebop turnaround: 
?? Half-Nelson (m.15) 
?? Ladybird (m.15) 
?? West Coast Blues (m.11) 
?? I'll Take Romance (m.5) 
(and many other tunes of the bebop era, too obscure to mention) 
 
 30
PRACTICE SUGGESTIONS 
?? Play the progression illustrations at the piano (or or guitar) until they become 
familiar to the ear. 
?? Play the illustrations in all keys. 
?? Locate as many of the tunes on the lists as possible and locate the traits within 
them. 
?? Learn to see the context in which the trait occurs. What comes before and after 
the occurrence of th trait? In what part of the tunes does it occur? 
?? Learn as many of the listed tunes as possible. Locate play-alongs for them; play 
them at the keyboard play them at jam sessions; locate recordings of them to 
hear etc. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 31
II-V-I in transient modulation 
?? Downstep modulations 
?? Modulations downward in half-steps 
In Chapter 1 the II-V-I progression was shown as the primary means of establishing a 
single key center. 
Even the various extensions and variations of the II-V-I cell (i.e., IIIm7 - VI7 - IIm7 - 
V7 - I, tri-tone substitution, etc. ), if not further strengthening and supporting a key 
center (I), were certainly not suggesting a new or different key center. 
Yet most songs, when viewed in their entirety, will indeed modulate to at least one 
other key, even if the tenure of that new key is brief. 
Furthermore, many tunes will modulate to several temporary or transient key centers, 
sometimes in well-organized "sequences" of keys, and that is the purpose of Chapter 2. 
A modulation to a new key is accomplished by the same means as was presented in 
Chapter 1 for creating a single or "home" key of a song... by way of a II-V-I progression 
(or one of its variants), but in a new key. 
When a series of short-duration key centers occurs in which all the keys (I's) are 
separated by the same interval (i.e., the successive keys of C, Bb, and Ab, each "new" 
key being a whole-step lower than the previous key), we can refer to that as "transient 
modulations in a symmetrical sequence." 
Other common modulations which are not so transient and are not organized in 
symmetrical sequences of keys will be taken up in Chapter 3. 
But having just taken up the foundational aspects of the II-V-I progression in Chapter 1, 
it wouldbe easier to recognize that substance, both in print and by ear, if the first 
modulations taken up are in relatively transparent, symmetrical sequences. 
Though there are a few examples of tunes which contain symmetrical modulations that 
move in an ascending pattern (such as Thad Jones' CENTRAL PARK NORTH, or the 
bridge of Benny Carter's WHEN LIGHTS ARE LOW, where the key centers are 
moving upward in minor third intervals), far more examples exist in which the keys are 
in a descending order. 
Similarly, there is a small handful of tunes which contain symetrical modulations that 
move downward by, say, intervals of a major third between keys, such as John 
Coltrane 's GIANT STEPS (B down to G, then to Eb) or the standard HAVE YOU 
MET MISS JONES (at the bridge, Bb down to Gb, then to D), but the majority of 
symmetrical modulations move by minor second and major second intervals. 
Hence Chapter 2 will examine tunes which contain symetrical, transient modulations 
that move "downward by half-steps and by whole-steps." 
Though this book is primarily concerned with the aural recognition of harmonic traits 
commonly found in the tunes we play, visual and mental cognizance of those traits is 
also important, assisting the development of the ear by methodically introducing the ear 
to the challenges to be met. 
In Chapter 1 it was not necessary to recognize modulations visually since we were only 
concerned with showing how a single key center is established, along with the manner 
in which extensions and substitutions are formed within a single key. 
So, with the inevitable likelihood of modulations in most of the tunes we learn and play, 
 32
how can we know (when viewing progressions in lettered symbols) that a modulation is 
taking place? 
It wouldn't be a problem if the progressions were rendered in Roman Numerals, as we 
could simply look for "modulation symbols" (i.e., C:, Ab:, F#:, etc.), indicating the 
adoption of a new I... but that's not the common practice of people who prepare the 
chord symbols for a tune's progression. 
Instead, the translation of lettered symbols into Roman Numerals is generally a mental 
process helping us to understand harmonic function and to memorize and/or transpose 
progressions more accurately and efficiently. 
Chapter 1pointed out that the chord-root sequence of the II-V-I progression key, major 
or minor) will always be a 3-note segment of the cycle of fifths, such as D, G, C, or Bb, 
Eb, Ab. 
Therefore the existence of a II-V-I progression, used extensively in virtually all tunes, 
even when modulating to a new key or keys, may be easily confirmed if: 
?? three consecutive chord roots match a 3-note segment of the cycle of fifths; and, 
?? if the three chord-types used are appropriate functions of II, V, and I, 
respectively. 
For the benefit of readers who have received at least part of their training in Classical 
music theory, the term "modulation," as it is used here, could create some confusion. 
Classical composers generally approached modulations to new keys in a very deliberate, 
lengthy, and sometimes complicated manner, incorporating "pivot chords," "augmented 
sixth chords," "secondary dominants," and other traditional devices. 
The average tune from the genres of standard, pop and jazz is likely to have a length of 
approximately 32 measures, hence a lengthy, carefully-prepared modulation of the sort 
found in Classical music is neither appropriate nor reasonable. 
Instead, we generally find no more than the II and V of the new key, as modulating 
chords, sometimes only the V, and in a few cases neither of those chords, moving 
directly to the new I! 
Classical theorists might term such quick changes of key "temporary tonicization," but 
in this book they will be considered "modulations." 
The accelerated, fleeting sort of modulations found in jazz and pop tunes create an 
efficiency that allows time for several modulations, perhaps as many as 4-6 
modulations. 
Jazz improvisers have always been attracted to tunes that contain multiple modulations 
(especially in the bebop era), selecting standard tunes like CHEROKEE, HOW HIGH 
THE MOON, and STAR EYES, and composing tunes like AFTERNOON IN PARIS, 
AIREGIN, and RECORDAME. 
 
 
 
 
 33
Downstep Modulations 
Symmetrical modulations are most often found to ke a series of key changes, usually in 
a descending and symmeterical order, and generally accomplished by utilizing the II-V-
I progression once in each key. 
To refer to such modulations as transient is an understatement, as the average durations 
of each key is two measures, four at most. 
The most frequently-used interval between key centers ( I's) is descending whole- steps, 
sometimes referred to as "downstep modulations. 
The number of successive downstep modulations in a given tune will vary, from one 
(involving two keys) to the more common number of two (involving three keys, as 
shown in Fig. 2-A). 
Successive downstep modulations create an interesting drama of changing moods. 
Because it has been a part of our social and cultural ingraining, we tend to regard a 
major chord or a major key as happy, up-lifting, and a minor chord or key as sad, 
depressing. 
With this in mind, look at Figure 2-A, noting the intersection of the modulations, where 
a major chord (I) is immediately followed by a minor chord with the same root (i.e., C 
to Cm7). 
The minor seventh chords are really functioning as IIm7 of the next key, but 
momentarily they sound like Im of the previous key, simulating a succession of rises (I) 
and falls (Im), emotionally. 
The musical effect imitates the ups and downs of human existence... we solve a 
problem, only to encounter another one; we move to a great, new location, only to be 
forced to move again; we find love, but lose it, and so on. 
Fortunately, songwriters generally choose to end the sequence on a positive note! 
The important thing to note here, is that we eventually learn to recognize the sound of 
downstep modulations by noticing how it makes us feel, even at those times when the 
progression is not provided in a written form! 
This is but one of the ways we can learn to aurally recognize a segment of a tune's 
progression... by association (with our emotional response). 
Figure 2-A 
 
Another way to aurally recognize a progression we're hearing, but not seeing, is to 
match the sound with the sound of a progression we do know. 
Again, we're using the associative principal, but this time from the perspective of "aural 
memory". 
For example, if we already know, hear, and play HOW HIGH THE MOON, then when 
we hear, for the first time, AFTERNOON IN PARIS, our aural memory can enable us 
to make the association between two tunes, both of which use the downstep progression. 
The fact that the two tunes are in different keys (G and C, respectively), or that their 
harmonic rhythms are different (MOON taking nine measures to accomplish its 3-key 
sequence, PARIS consuming only five measures to complete the same modulatory 
 34
series) is immaterial. 
What the ear and aural memory are matching is the downstep progression of both tunes. 
When the entire progressions of two tunes are found to be identical (or very nearly so), 
one is usually based upon the other, knowingly. 
The "copy-cat" (or plagaristic) version is referred to as a "contrafact." The contrafact 
will, of course, have a different and original melody, but the progression is the same as 
a tune of prior existence. 
Such events have sometimes taken place unknowingly, unconsciously, by habit, etc. 
For example, it is very unlikely that Frank Sinatra was aware, when he composed 
NANCY WITH THE LAUGHING FACE, that the entire A section (8 measures long, 
played three times in an AABA, 32-measure length) is identical to the chord 
progression usedearlier by John Green in BODY AND SOUL, which has the same 
form and length as NANCY. 
Sinatra undoubtedly knew, performed, and probably loved Green's tune, but any 
allusion to the latter's tune was most likely an unconscious event. 
Many folk and country tunes share similar or identical progressions, partly because 
many of the composers are primarily singers and lyricists, rather than trained, 
sophisticated instrumentalists, but also because the nature of those styles is not what one 
would term "harmonically adventurous." 
Starting in the Bebop Era (ca.1945) and continuing to the present, very deliberate and 
conscious contrafacts have and do abound. 
The writing of contrafacts is considered to be a part of the learning process for young 
jazz musicians/composers, and the more-seasoned players/composers consider it a 
tribute to the composers from whom they borrow progressions (as was the case in 
Freddie Hubbard's contrafact of John Coltrane's GIANT STEPS, which Hubbard 
lovingly titled DEAR JOHN). 
The point of all this is that if you already know the tune from which a contrafact has 
sprung, your aural memory can make the association, making it unnecessary to see the 
written form of the progression. 
Often the method of confirming the correctness of an associative guess is to hear, play, 
sing, or whistle the melody of the original tune with its new contrafact. 
Therefore, if you successfully perform or hear the melody of GIANT STEPS (which 
you already know) against a performance of DEAR JOHN, then you can confirm that 
the latter is indeed a contrafact, and so you already know the progression to that 
contrafact. 
Or, if you already know HOW HIGH THE MOON, then you can not only relate the 
progression's downstep modulations to those of AFTERNOON IN PARIS, but also 
relate the entire progression of MOON to Charles Parker's ORNITHOLOGY, since 
the latter is contrafactual to How HIGH THE MOON. 
In other words, hearing the melodies and/or progressions of already-digested tunes 
against "new" tunes should be a regular part of the disciplines leading to aural 
recognition of chord progressions or segments of chord progressions. 
The following tunes use downstep modulation: 
?? Afternoon In Paris (m.2) 
?? Tune-Up (m.5) 
?? How High The Moon (m.3) 
?? Joy Spring (B2) 
 35
?? Watch What Happens (B3) 
?? Recordame (m.10) 
?? Ornithology (m.3) 
?? Solar (m.7) 
?? New York State Of Mind (m.18) 
?? Bluesette (m.11) 
?? Laura (m.5) 
?? One Note Samba (B5) 
?? Cherokee (B5) 
?? Star Eyes (mm.4, 7 & B3) 
?? The Maestro (m.48) 
?? April Mist 
?? Joshua (B2) 
?? Once I Loved (mm.9 & 33) 
The tune, INVITATION, was omitted from the above list, though the bridge of that tune 
very closely resembles downstep modulation. 
The problem with including it in the list owes to the nature of the resolution to I, which 
is not major, nor is it a minor-major seventh or a minor sixth. 
It is instead a minor seventh chord that is used both as a Im7, then as IIm7 of the next 
key. 
Yet the chord durations, chord sequence, and the altered dominants certainly cause it to 
feel like downstep modulations: 
Figure 2-B 
 
 
 
 
 
 
 36
Modulations Downward In Half Steps 
If downstep modulations can be described as being dramatic, then modulations 
downward in half-steps would need to be described as very dramatic. 
On the surface, the two types of symmetrical modulation seem quite similar, both 
having key centers that are drifting downward in small intervals, and both generally not 
continuing beyond about three successive keys. 
But the similarities end there. 
The two sound very differently, we don't have the same chord root sounded between 
keys with the first functioning as I major and the next as II-7 (as we did in downstep 
modulation), hence removing the positive-negative syndrome, and more importantly, 
the adjacent key centers of the sequence are not nearly as close as they were in 
downstep modulation. 
For example, if the first two keys are a whole-step apart (i.e., C: to Bb:), as they are in a 
downstep sequence, they are only two keys apart (check their locations on the cycle of 
fifths), whereas if the first two keys are a half-step apart (as in C: to B:), they are at least 
five key signatures apart (seven if you count in the opposite direction in the cycle)! 
Figure 2-C 
 C 
 G F 
 D Bb 
A Eb 
 E Ab 
 B Db 
 F#/Gb 
This means that modulations downward in half-steps supply more key contrast, they 
will constitute more of a surprise to the ears (also harder to aurally cognize at first), and 
the effect will be even more dramatic. 
When hearing modulations downward in half-steps, words like "thrilling" and 
"inspiring" come to mind. 
In the Preface, the words "glue" and "hooks" were used to describe logical substance, 
like the II-V-I cell, which "glues" together the chords and keys of a progression, and the 
more stunning events, which represent the "hooks." 
Both of the symmetrical modulations presented in this chapter are "hooks." 
Consciously or unconsciously, songwriters know this, hence the tune lists might seem 
surprisingly long to the reader, considering the nature of the topic. 
Symmetry doesn't usually equate to "thrilling" or "inspiring." 
Figure 2-D 
 
 37
The following tunes use modulations downward in half-steps: 
?? Airegin (m.12) 
?? Bess, O Where Is My Bess (m.18) 
?? Five Brothers (B2) 
?? Masquerade (B9) 
?? Angel Eyes (B5) 
?? Everything Happens To Me (B5) 
?? Peace (mm.3 & 5) 
?? The Summer Knows (m.14) 
?? Clockwise (m.2) 
?? Skylark (B7) 
?? Soul Eyes (m.10) 
THE SUMMER KNOWS repeats the II-V-I's in each key, before going on to the next 
key. 
CLOCKWISE omits the IIm7's, resulting in a series of V7's to I's (but still modulating 
down in half-steps). 
It's important to remember that symmetrical harmonic sequences very often incorporate, 
in the given melody to the tune, symmetrical melodic sequences as well. 
Hence our efforts to spontaneously cognize the chord progression by ear (and memorize 
it also) are aided by tell-tale repetitions in the melody. 
This would be an appropriate time to review and reinforce the goal of this study, and to 
consider our presumed progress. 
Our goal is to learn to cognize chord progressions by ear. 
If the reader was successful assimilating the materials of Chapter 1, then he/she can now 
aurally recognize the II-V-I progression cell which generally occupies 2-4 measures at 
each occurence, and there are usually several such incidents (in the same key) within the 
tune's progression. 
If various "extensions" covered in Chapter 1 were also assimilated, the extended cell 
might be even longer perhaps 6-8 measures for each occurrence. 
The topic of Chapter 2 was symmetrical modulations, which generally consume 
anywhere from 5 to 14 measure each occurrence! 
With the average length of a tune being 32 measures, it is easy to see that reoccurrences 
of these cells and modulation sequences within same 8-measure phrase or within 
repeated phrases/sections (as would occur in an AABA or ABAB form, for example), 
might account for most, if not all, of total number of measures in the tune! 
If you can aurally recognize the II-V-I and its extensions (in major and minor), and that 
same cell in downstep modulations then you are prepared to cognize all of the chords in 
HOW HIGH THE MOON, SOLAR, PENT-UP HOUSE, and IT'S YOU OR NO ONE, 
plus many, many others! 
You will also be able to hear 75-95% of the progressions to TUNE-UP, LAURA, 
AUTUMN LEAVES, PEACE, EVERYTHING HAPPENS TO ME, and GONE WITH 
THE WIND to mention just a few. 
Also consider how easy it would be to memorize those progressions, because you are no 
longer trying to memorize individual chords.