The Phrygian II or Neapolitan 6th, like the diminished 7th chord, originates in the minor mode. It is a chromatic variant of II6 with a lowered scale degree 2. The altered chord produces a major triad that replaces the diminished triad built on the second degree the scale. The chord is sometimes called the Phrygian II in reference to Phrygian mode where the triad built on the second degree of the scale is major and its root is a half step above the tonic. The 6th in the name Neapolitan 6th refers to the fact that the chord most often appears in 6/3 position.
The chord is considered chromatic, because the altered second scale degree does not result from either tonicization or mixture. The contrapuntal origin of the lowered second scale degree is as either a chromatic neighbor embellishing the tonic scale degree or a chromatic passing tone connecting scale degree 2 to scale degree 1. In fact, bII6 often functions as neighbor chord prolonging the tonic.
The Table 1 below summarizes the main functions of the bII6.
| Three Main Uses of the Neapolitan Chord | ||
|---|---|---|
| Dominant Preparation | Goal of Tonal Motion | Neighbor Chord Prolonging the Tonic |
| Standard bass motion. Scale degee 4 moving to scale degree 5 | Tonicizing the neapolitan making it the goal of a tonal motion | The Neapolitan functions as a neighbor chord prolonging the tonic usually in a coda |
| 5/3 bass motion . Root position Neapolitan moving to V, V6, V6/5, or VII07. | ||
Of the three functions in Table 1, the most important is preparing the dominant with the standard bass or standard voice leading motion. Table 2 below summarizes the ways in which the bII6 can approach the dominant.
| bII6--V | |||
|---|---|---|---|
| Standard voice leading | Change of bass Motion | Altering the standard voicing | The direct progression of b2 to natural 2 |
|
bII 6 moving to V4/2 or VII 04/3 | Scale degree b2 in an inner voice | One possibility |
The following list contains the standard voice leading motions for connecting bII6 to V.
The remaining progressions in the Standard Voice Leading column of Table 2 could all be considered contrapuntal variations of the basic bII6 to V voice leading model. In Example 1 for instance, the F4 of the tenor in bII6 moves by the interval of a third to the D4 of the dominant. We can smooth out this gap by either holding the F4 creating a common tone with V and a V7 chord, or a passing tone can fill the gap. Example 2 illustrates the former.
This technique can even be used to correct potential voice leading problems. Example 3 exchanges the inner voices of Example 1. This might be a highly desirable variation, because it changes the chord voicing from close to open position. Unfourtunately, the combination of the F4 in the alto and the Ab3 in the tenor produce a hidden fifth moving to the D4 and G3 of the V chord. In Example 3a, holding the F4 as a common tone with V7 eliminates the hidden fifth.
As well as the gap between scale degree 4 and 2 in the bII6 to V progression, the b2 in the soprano moving to the leading tone creates the unusual interval of a diminished third. The dimished third, like the the third created between scale 4 and 2, can be filled in with a passing tone. If we place the passing tones that fill each gap on the strong beat of measure 2 instead of the weak portion of beat four in measure 1, they will become appoggiaturas to the V chord. By the addition of passing tones and a slight rhythmic alteration, we have generated the next progression in column one of Table 2: bII 6--V6/4--5/3, or the Neapolitan to cadential 6/4. Example 4 illustrates this progression.
By having the cadential 6/4 resolve to V7 rather than V, the inner voices will move to new melodic goals. Consequently, the inner voices become more melodic, and the overall texture becomes more contrapuntal. Example 5 illustrates the cadential 6/4 resolving to V7.
As well as filling in the interval of a third with passing notes, we can also insert a chromatic passing tone between two notes a whole step apart. The chromatic pitch is a tendency tone that increases the motion to its goal by acting as a leading tone. For example, one of the most common tendency tones in tonal music is #4, which acts as a leading tone to the dominant. If we add #4 as a chromatic passing tone in the bass of our model, harmonize the F# with the C and Eb passing tones from previous models, and add an A natural, we generate VII07 of V, a chord contrapuntally connecting the Neapolitan to the Dominant. Example 6 illustrates this possibility.
The final variation, illustrated in Example 7, has the VII07 of V moving to the cadential 6/4 and then V7.
In all of the previous examples, I6 was the chord used to approach the bII6. Since the bII6 is a chromatic variant of II6, any chord that can approach II6 can also approach bII6. Example 8 illustrates VI approaching bII6.
When the bII6 approaches a root position dominant chord, the implication is that a strong cadence will follow. That is, the dominant scale degree in the bass will move by fifth motion to the tonic. However, it is not always desirable to have the bII6 move to a root position chord. For example, if you want to delay the strong cadence, then you should delay arriving on the dominant. One of the best ways of delyaing the arrivial of the dominant is to have the bass note of the bII6 suspend into the dominant chord producing a V4/2. The V4/2 will change the direction of the bass, since V4/2 always resolves to I6. Example 9 illustrates bII6 moving to V4/2.
In the standard voice leading model illustrated in Example 1, the scale degree b2 appears in the soprano. You can alter the standard voicing so that scale degree b2 appears in an inner voice, or you could transpose the tenor up an octave and transpose the alto down an octave exchanging the inner voices. However, either of these alterations can easily lead to either parallel or hidden fifths. We have already seen the hidden fifth that exchanging inner voice parts can produce in example 3. Example 3a illustrated one voice leading solution that corrected the hidden fifths.
Placing scale degree b2 in an inner voice can cause a parallel fifth, when bII6 moves to the cadential 6/4. If the scale degree b2 is below scale degree 6 (or the root is below the fifth of the chord), then a parallel fifth results from scale degree b2 moving to scale degree 1 and scale degree 6 moving to scale degree 5. Example 10 illustrates the voice leading problem.
To eliminate the parallel the fifth, scale degree b2 must be above scale degree 6 (in the standard voice leading model, scale degree b2 is always above scale degree 6). Exchanging the inner voices produces parallel fourths, eliminating the fifths. Example 10a illustrates the voice leading correction.
Although the scale degree b2 and the natural scale degree 2 in the V chord produce a cross relation, its effect is softened by the distribution of the pitches in the progression. The direct progression of b2 to natural 2 would eliminate the cross relation altogether; however, it is generally avoided. Direct motion between b2 and natural 2 causes too many voice leading problems in the remaining voices. In Example 11, which is adaptedted from Harmony and Voice Leading by Aldwell and Schachter, the altered voice leading in 11a for instance, results in parallel octaves and an augmented second. In Example 11b, changing the V chord to V7 eliminates the parallel octaves, but not the augmented second. Although Aldwell and Schachter recommend avoiding 11c, it could be used in the correct context. That is, the leading tone in V would have to move to the tonic rather than scale degree 5. 11d, the possible solution, requires double scale degree b2 and placing the direct progression of b2 to natural 2 in an inner voice.
Although the function of the bII6 is to lead to and prepare the dominant, it can sometimes function as the goal of a tonal motion. By tonicizing the bII6, it becomes the temporary goal of motion. Tonicizing bII6 is very easy, especially in minor. As we discussed in class, the VI chord in the minor mode can function as the dominant of the bII6. Of course, since tonicizing the bII6 is so easy, modulation to key of the Neapolitan is also easy. Modulation is an extended form of tonicization. Tonicizing the bII6 in major is also possible through the employment of mixture. The figured bass we realized in class, part of which is illustrated in Example 12, introduced the bII6 by first introducing a deceptive cadence. However, rather than moving to VI from A major, the V chord moves to VI from a minor, a chord produced by mixture. The VI chord then becomes V7 of bII6 by adding the passing note Eb in the bass. The bII6 then fulfills it normal function of moving to V, in this case V4/2. As discussed above, the V4/2 delays the arrival of the structural dominant by changing the direction of the bass line. The dominant now arrives one bar later.
Scale degrees 6 and 4 can function as neighbor note embellishments of scale degrees 3 and 5 of the tonic triad. If we use the 6th scale degree from minor and add b2 as a chromatic neighbor to scale degree 1, we can generate a chord that is identical to the Neapolitan in structure, but functions to embellish the tonic as a neighbor note chord. When using the Neapolitan to embellish the tonic, it is very easy to generate a parallel fifth. Recall that when the bII6 moves to the cadential 6/4, if the b2 is below scale degree 6, these notes will form a parallel fifth with their notes of resolution. The identical situation occurs using bII6 to embellish the tonic. As in the cadential 6/4 motion, the solution is keeping scale degree b2 above scale degree 6. Example 13 from the figured bass we realized in class illustrates a neighbor bII6 embellishing the tonic.
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