******************** Annotation Reference ******************** Introduction ============ Thank you for your interest in the DCML harmony annotation standard. Harmonic analysis is a notoriously complex task, as of now very difficult to teach to a computer. Therefore, we need to rely on hand-annotated data when analyzing the development of tonal harmony over the last five centuries with quantitative methods. With this goal in mind, we have devised an annotation standard for encoding harmonic analyses in a machine-readable format. This document serves as a reference for looking up aspects of its syntax together with some examples. If you want to learn how DCML annotators use MuseScore to enter harmonic analysis directly into digital scores, please refer to our :doc:`annotation tutorial <../tutorial/index>`. What is it? ----------- In its essence, the standard consists of two things: A set of rules for constructing chord labels in a standardized way and this reference on how to apply these labels to music and how to interpret those that you encounter. In this context, we use the words 'symbols', 'chord symbols', 'labels', 'expressions', and 'annotations' interchangeably. Generally you encounter them in two different contexts: Either when you open a digital score in the XML format of the open-source notation software `MuseScore 3.6.2 `__, or in the form of an annotation table, that is a table in which each row represents a label and each column one of its properties such as position in the score, the key it occurs in, the chord tones it represents, and its different features. This reference is mainly concerned with explaining what these different properties are. About this reference -------------------- Everyone is free to use the proposed standard for encoding harmonic analyses in ways, contexts, and environments of their free choice. The goal of this reference is not to tell anyone how they should analyse harmony. Instead, its purpose is to clarify what the different parts of the syntax are supposed to express in order to allow analysts to communicate their musical interpretations in a precise and consistent manner. The examples and recommendations are supposed to be guidelines that have as a goal to make annotations from different users comparable and interoperable. .. Comments for annotators Depending on the source of the notation file that you receive for annotation, it might be advisable to have a scan of the *Urtext* opened in the background for tacit correction of the score. At least the bar numbers have to be 100% correct. Please make sure, that upbeat measures are counted by MuseScore as measure 0. For the computer assisted evaluation of your data, a number of things are important: - Chord symbols (i.e. Roman numerals) have to be attached to the moments in the score where the respective harmony begins. They are understood to be valid until the next symbol is written. That is to say, identical symbols are never repeated consecutively. - The symbols have to be linked to the upper system of the score, even if it contains only rests. Every symbol has to be attached to the precise position where the harmony occurs. N.B.: Symbols are stored with the original position, even if you move them by hand! - If a symbol starts with a note name, Musescore will save it differently which annotators have to avoid by putting a dot in front of the note name. For example: ``I6``, ``ii7``, ``V65`` etc. can be written without a starting dot but ``.bVI`` and ``.Ger`` (German sixth chord) need one, as does the initial indication of the main key such as ``.Eb.I.``. - Arabic numbers indicating :ref:`inversions ` or :ref:`suspensions ` always appear in descending order (e.g. ``65`` or ``9#74``). - The information about a harmony has to be expressed in a fixed order (syntax) and orthographical errors can be automatically detected. - The annotations always need to represent a consistent reading, also in the case of repetitions, first and second endings, dal segnos, etc. - Major keys are indicated by uppercase, minor keys by lowercase letters. However, as we are slowly moving towards automated analyses, **consistency** is the order of the day. In other words, while different annotators would interpret the same music differently, it is important that the same annotator interprets the same music identically. That is to say, once you have made a difficult decision about annotating a certain chord progression, you have to stick to this decision every time the progression occurs. If at one point, for the sake of consistency, you get the idea of :ref:`copying your annotations ` when music repeats, make sure that you are dealing with an exact repetition and check the annotations after copying. The syntax ========== Every chord symbol *must* have at least one compulsory Roman numeral and *may* start with an indication of key, followed by a separating dot. Such an indication sets the context for the attached Roman numeral *and* for all subsequent symbols up to the next indication of key. Phrase annotations represent a separate standard. Therefore they can stand alone, without a chord label, or at the very end of one. Indication of key. ------------------ - The first symbol written in a score always starts with the absolute indication of the entire piece's tonality. - Simply type the tonic's note name {A/a,B/b,C/c,D/d,E/e,F/f,G/g(#/b)} followed by a dot. Examples: ``f#.i`` for the first harmony of a piece in F sharp minor; ``Ab.I`` for the first harmony of a piece in A flat major; both pieces beginning with the tonic harmony. - All other indications of key (i.e. 'local keys') are entered as Roman numerals relative to that. - Example 1: As soon as a piece in C major modulates to G major, you can indicate the new key by typing ``V.I`` over the harmony of G major. All subsequent Roman numerals up to the next indication of key relate to the new key of G major. - There is a way of annotating secondary dominants (see `relative key <#relative-key>`__); however, if you find a ``V/vi`` chord and the music then stays in the key of ``vi`` for a longer time (cf. next paragraph), you can write ``vi.V`` right away. Every following ``i`` symbol designates the new tonic. Example ^^^^^^^ ``I6 ii65/V V7/V V`` and ``I6 V.ii65 V7 I`` (from the Schumann example below), in general, express the same chords but a preference has to be given either to the first version - i.e., with **applied chords** - or to the second - i.e., with change of **local key**. In principle, it is an objective of your analyses to include a bigger picture of a piece's tonality through exactly this kind of choices. This means that upon making such a choice, you need to include the broader context: * If the example passage is a mere tonicization of ``V`` followed by a return to the original tonic, that is a case for the version with applied chords because the local key stays the same. This is the case in the given example. (**NB** ``I/V`` has exactly the same meaning as ``V`` and, at the end of an authentic cadence should should be the preferred solution.) * If, on the other hand, the music continues in the key of V, the second option should be chosen. The general rule is that, in such a modulation, the change of local key should be annotated * at the latest when a chord cannot be interpreted in the old, but in the new key (i.e., where the A# occurs); * as early as consistently possible; so, depending on the context you could even write ``V.IV6 ii65 V7 I``. .. note:: Note that the key indications of applied chords always relate to the local key (see the following section). So, if the Schumann example below was not in E major but in A major instead, the same harmonic progression would be standing in the key of V: ``V.I6 ii65/V V7/V I(4)/V`` with the **applied notation** remaining unchanged (``/V``) because it is **relative** to the local key; whereas the **change of local key** would indicate the *absolute* key instead: ``V.I6 II.ii65 V7 I(4)`` .. |localkeycorrect| image:: img/local_key_correct.svg :width: 100 % .. |localkeywrong| image:: img/local_key_wrong.svg :width: 100 % +------------------------+---------------------------------+ | Approriate annotation | Unappropriate annotation | +========================+=================================+ | |localkeycorrect| | |localkeywrong| | +------------------------+---------------------------------+ | *mm. 4-5 from Schumann's "Wehmut", Liederkreis op. 39/9* | +------------------------+---------------------------------+ The rationale behind this logic can be seen in these automated key analyses of two different annotations of the same piece: .. |ganttbefore| image:: img/gantt_before.png .. |ganttafter| image:: img/gantt_after.png +--------------------------------------+---------------------------------------+ | With too many changes of local key | After correction to relative keys | +======================================+=======================================+ | |ganttbefore| | |ganttafter| | +--------------------------------------+---------------------------------------+ | *Gantt chart showing the local keys in the first movement of Mozart's K. 533*| +--------------------------------------+---------------------------------------+ The remainder of the Reference is currently under reconstruction ================================================================ .. HIDDEN FOR NOW Relative key ------------ If a symbol relates to a different key than the one you are in, you can indicate the relative key using a slash ``/``. Most prominently this is the case for secondary dominants such as ``V65/IV``. The relative key is indicated as relative to the local key and does not change the local key. E.g.: ``iv.i #viio6 i6 V65/iv iv viio7/V V7 i`` (see below) designates a cadence in the key of ``iv`` (here: G minor) because of the initial indication of key. Note that * the relative keys ``iv`` (C minor) and ``V`` (D major) relate to the *local* key ``iv`` and not to the *global* (tonic) key (here: D minor); * ``viio7/V`` is not spelled ``#viio7/V`` although the bass is altered. The reason is that it is the natural 7th scale degree in the key of ``V`` (D **major**). B flat, of course, is not natural in D major but is clearly annotated through the choice of ``viio7`` rather than ``vii%7``. * combining relative key with a modulation can be counterintuitive because relative keys relate to the *local* key, whereas `key indications <#--indication-of-key-->`__ used for modulation always relate to the *global* key. A theoretically correct but illegible and non-sensical variant of the example annotation would be ``iv.i #viio6 i6 V65/iv vii.io6 #viio7/ii V7/v iv.i`` To avoid confusion, don't use relative key annotation if a modulation to that same relative key follows. .. figure:: img/relativekey.png :alt: relativekey Relative keys of relative keys can be annotated, for example the dominant of the dominant of the dominant: ``V7/V/V``. .. _roman-numerals: Roman numerals -------------- The smallest possible symbols consist of a single Roman numeral. They stand for a major (``I, II, III, IV, V, VI, VII``) or minor (``i, ii, iii, iv, v, vi, vii``) triad in root position. *All other chords* - those which are no major or minor root position triad on one of the key's natural degrees - need additional symbols. For altered scale degrees simply use ``[.]b/#``\ +[Roman numeral], e.g. ``.bVI`` for an Ab major chord in the context of C major; or ``#vi`` for an A minor chord in the context of C minor. Remember the leading dots if ``b`` appears at the beginning of a symbol (``V/bVI`` works but ``bVI`` not!). .. note:: You always indicate the chord type *before* the inversion. Triads ^^^^^^ Every triad symbol must indicate the [type of triad] and its {inversion} if it is one. - Other than major triads (``I``) and minor triads (``i``) the syntax provides the symbol ``o`` for diminished triads (e.g. ``viio`` in the major or ``#viio`` in the minor) and the symbol ``+`` for augmented triads (e.g. ``I+``). Summary: - major: uppercase numeral - minor: lowercase numeral - diminished: lowercase numeral + ``o`` - augmented: uppercase numeral + ``+`` - Inversions are annotated by adding ``6`` or ``64`` (NOT ``46``) to the triad type. Examples: - ``ii6`` in major context, ``iio6`` in minor context - ``viio6`` in major context, ``#viio6`` in minor context - ``I64`` for a passing 64 chord on scale degree ^5 (as opposed to a dominant with 64-suspension, `see below <#suspensions-and-retardations>`__) - ``I+6`` as a shorthand for V6/IV with augmented fifth (relative to the root, `see below <#suspensions-and-retardations>`__). Tetrads ^^^^^^^ All tetrads are annotated as springing from a seventh chord. Therefore, every tetrad must indicate the [type of seventh chord] AND, for example, a ``7`` for root position OR ``65 43 2`` for the three possible inversions. - The possible types of root position seventh chords are: - diminished seventh: lowercase numeral + ``o7``, Examples: ``#viio7 iio65`` - half-diminished seventh: lowercase numeral + ``%7``, e.g. ``viio%7 ii%43`` - augmented (minor) seventh: uppercase numeral + ``+7``, e.g. ``V+7`` - augmented major seventh: uppercase numeral + ``+M7``, e.g. ``V+M7`` - mm7 (minor seventh): lowercase numeral + ``7``, e.g. ``ii7 i2`` - mM7 (minor with major seventh): lowercase numeral + ``M7``, e.g. ``ivM7`` (although, in most cases, such a chord will be annotated as a retardation of 8, see below) - MM7 (major seventh): uppercase numeral + ``M7``, e.g. ``IVM7 IIIM65`` - Mm7 (dominant seventh): ``V7``. Theoretically, it could appear on other degrees than V, e.g. in a falling fifths progression: ``i iv7``\ **``VII7``**\ ``IIIM7 VIM7 ii%7 V7 i`` - but in such a case, where the respective tonic follows, it will be annotated as (secondary) dominant: ``i iv7``\ **``V7/III``**\ ``IIIM7 VIM7 ii%7 V7 i``. However, there are cases where the same sonority occurs as ``IV7`` or ``IV65`` in a minor key, which will not be notated as a dominant. - The respective inversions are annotated by replacing ``7`` with ``65`` (NOT ``56``), ``43`` (NOT ``34``) or ``2`` respectively. - There are special symbols to annotate the French, German and Italian sixth chords: ``.Fr``, ``.Ger`` and ``It6``. The latter actually does not need an initial dot because it does not start with a note name. .. _suspensions-and-retardations: Suspensions and retardations ---------------------------- Suspensions and retardations are annotated as arabic numbers within round parentheses ``()`` following the Roman numeral, form and inversion. The numbers designate the note's interval **to the root**. That is to say a suspensional 4 is marked as ``(4)`` in any inversion: ``V(4) V6(4) V65(4) V43(4) V2(4)`` (yes, two of them have the suspension in the bass). It implies, that the functional third of the chord (i.e., the third above the root) is not present. In order to indicate the resolution, write the sounding chord without the suspension, e.g. ``V65(4) V65`` or ``V(4) V7``. If an interval is altered, add ``#/b`` in front of the digit, e.g. ``V7(b6) V7``, which is possible only in a major context because in minor, the 6th would already be flat. .. note:: The intervals designated by the arabic numbers in parantheses depend on the chord's position in the scale and the scale itself! If several suspensions are sounding at the same time, annotate all of them within the same parenthesis and always in descending order, e.g. ``V(64)``. A *cadenza doppia* could look like ``V7 V(64) V(4) V`` followed by ``I`` or ``i``. .. note:: The digits {3, 5, 8, 10, 12} are used for alterations of chord tones, and {2, 4, 6, 7, 9, 11, 13, 14} for suspensions and alterations - depending on a set of rules that is explained in the following and which is important to understand. The digits stand for * ``(2)``: Suspension of the root, meaning that the **root is not present** in the chord; as opposed to * ``(9)``: designating the same pitch but indicating that the **root is present** at the same time; * ``(4)``: Suspension of the third (third not present) * ``(11)``: Suspension of the third but the third is present at the same time in a lower voice, in particular if the third is in the bass * ``(6)``: Suspension of the fifth * ``(7)``: Retardation of the root, i.e. the resolution goes upwards * ``(#``\ *``N``*\ ``)``: digit *N* is a retardation resolving upwards, e.g. ``(#2)`` retarding the third. The ``#`` overrides the rule that you use ``(2)`` only if the root is not present. * ``(b``\ *``N``*\ ``)``: digit *N* is a suspension resolving downwards. There are cases where you need to express that, for example, a 2 is not replacing the root, but the third instead. In other words you want to identify it as an retardation rather than a suspension. In such a case you can use the symbol ``^`` as in ``i(^2)``. This is not necessary if it is a raised interval, e.g. ``i(#2)``. .. Attention!:: Designating suspensions or retardations as intervals above the root will be counterintuitive if you are used to thinking in figured bass. For example, a falling fauxbourdon ``ii6 I6 viio6`` with 7-6 suspensions has to be written as ``ii6(2) ii6 I6(2) I6 viio6(2) viio6``. Note that you use ``(2)`` and not ``(9)`` because the root is not present. Other than what some would typically write, a Classical ending with retardation looks like ``i(9#74) i``, and not ``i(#742) i`` or ``i(24#7) i``. Added and missing notes ----------------------- Generally, there are only very few notes in the Common practice era which cannot be explained as suspensions or retardations. .. note:: We don't annotate neighbour notes, passing notes nor embellishments. A typical additional note would be that of a pedal note which appears in a different voice than the bass. In this case, you would annotate the additional note - analogue to a suspension - as a digit indicating the interval *from the root* in parenthesis, but preceded by a ``+``. Example: Imagine a C major context and a pedal on G in some middle voice. Around that, the other voices do the progression ``I viio6 I6 ii6 I64 IV6 .Ger V\\``: Some harmonies contain the G and do not change (namely ``I``, ``I6``, ``I64`` and ``V``), one harmony supports an added G (``viio6`` with G is ``V43``) and the rest neither support G nor can it be interpreted as suspensions. So the correct annotation would be ``I V43 I6 ii6(+4) I64 IV6(+2) .Ger(+7) V\\``. In analogy, ``-`` can be used to indicate that a given chord tone is missing and **that it is not implied** by the music. For that reason, this symbol is used rarely because in most cases the missing note (the fifth in particular) is considered as implied. Examples where the symbol is used are pronounced empty fifths such as ``I(-3)``, or, if it is not clear which third is missing (e.g. at the beginning of a piece) ``I(-3)-i(-3)``. Another application of the symbol could be in chords where the root is missing, for example in two-voice counterpoint (e.g. ``IV(-1)``). Sometimes, it can seem ambiguous whether a note is an added note, a suspension without resolution or an embellishment (anticipation). The following example from Monteverdi's *Lamento della ninfa* might give a hint how to differentiate. .. figure:: img/added_notes.png :alt: added\_notes Compare the first halves of mm. 40, 41 and 44. The B in m. 41 is interpreted as an embellishment (incomplete neighbour) although it could be seen as part of a ``iio43``. The B in m. 40, however, is interpreted as being more than just an embellishment (anticipation) because it is more pronounced. However, unlike in m. 44, the B is neither prepared nor resolved and therefore it is annotated as added note, i.e. ``i(+9)``, rather than as a suspension ``i(9)``. Phrase endings -------------- The annotation of phrases consists in a separate annotation standard which can be used alongside with the harmony annotations. For that it is important to remember, that phrase annotations are **always the label's last part**. Curly brackets ``{}`` are used for annotating phrases. For example, the first phrase of a piece could begin with the label ``.C.I{``. The closing bracket ``}`` always marks the structural ending of a phrase - typically the target chord of a cadence, e.g. ``I}``. It has proven useful to listen to your completely annotated score once again just to detect phrase endings and cadences. Note that many cadences and other structural endings are followed by an appendix or some transitional codetta, which is alwas the part between the structural ending marked with ``}`` and the next beginning ``{``. Curly brackets can stand alone (i.e. don't have to be preceded by a label) and can fall together in the case of phrase interlocking: ``}{``. .. figure:: img/phrase_boundaries.png :alt: phrase\_boundaries Corelli: Sonata da chiesa op. 1/7, I, mm. 1-4 Pedal points (Organ points) --------------------------- If several harmonies appear over the same bass note, the start of the pedal point is marked by ``[`` and the end by ``]``. In front of the opening ``[`` stands the Roman numeral corresponding to the bass note's scale degree, immediately followed (within the same expression!) by the first harmony above the bass note. Thus, the most common pedal points start with ``I[I``, ``i[V7/iv`` or ``V[V``. The pedal point ends at the end of the terminal symbol's duration, i.e. it ends with the next symbol after ``I]`` or ``V7]``. The two criteria must apply for using the pedal-point annotation: \* if it involves three or more distinct harmonic events sharing the same bass note \* at least one harmony appears of which the pedal note is not a component. Therefore, a 5/3-6/4-5/3 contrapuntal movement (often on scale degree 1) is generally annotated as a simple neighboring motion over a pedal point: ``I I(64) I`` (in other words, the information that we are confronting a pedal-point motion is implied in this expression). .. |notapedal| image:: img/notapedal.png .. |auskomponiert| image:: img/auskomponiert.png +-----------------+-------------+ | Example | Explanation | +=================+=============+ | |notapedal| | No pedal | | | point | | (KV | because the | | 333, | bass is a | | II, 19) | constituent | | | of every | | | harmony. | +-----------------+-------------+ | |auskomponiert| | This is | | | considered | | | a mere | | (KV | `i i(64) i` | | 333, | prolongation| | III, | (only two | | 65-8) | distinct | | | events). | | | | | | | +-----------------+-------------+ If you think about it, if you want to write the simple progression ``I I(64) I`` as an organ point, you're left with four different possibilities, depending on whether or not you include the bass note in the harmonies above it: \* ``I[I IV I]`` or \* ``I[I IV64 I]`` or \* ``I[I6 IV I6]`` or \* ``I[I I(64) I]`` This question occurs for nearly every organ point you will come to write. A rule of thumb is: If the bass note is a part of the harmony, you write the inversion corresponding to the bass note; otherwise, the inversion of the chord above. But, more importantly, another rule can override this: The harmonic progression above the organ point should be meaningful in itself. For example, if there is a fauxbourdon, you might not want to include the bass note but highlight the sixth chords: ``I[IV6 iii6 ii6 I6 viio6 I]`` rather than ``I[IV64 iii6 ii6 I viio6 I]`` .. note:: If you change the local key, you need to end the pedal point with the previous label and start a new one. (e.g. ``WWV096-Meistersinger_01_Vorspiel-Prelude_SchottKleinmichel.mscx``, mm. 33f.) .. _ambiguity: Ambiguity --------- If two interpretations are possible and you are unable to make a decision, you can give both interpretations by separating them with a dash ``-``, e.g. ``viio6-V43``. Use this means as a last resort only and make sure that both interpretations are valid readings *within their context*, i.e. if you read each interpretation in line with the prior and the following symbol. This implies that no modulation can occur within an ambiguous expression (such as ``viio7/V-v.#viio7``) because only one of the readings can be correct in context with the following expression. It is possible to give a relative key (e.g. ``I6-V6/IV``) because both options create correct readings. Unisono ------- Single voice passages generally imply harmonies which you are asked to infer. If the information of the melody line is too sparse to be sure whether it is implying ``viio6`` or ``V43``, for example, you will most likely opt for an ambiguous annotation. However, in such a case, you are also free to choose one interpretation because it is more stereotypical than the other or because it alludes to another passage of the same piece. If no harmony can be inferred - in particular where a composer deliberately withdraws tonal footing - use the symbol ``@none``. Immediate repetion of identical labels -------------------------------------- There are only rare cases where identical labels should be repeated. These include: * If one label marks the beginning or ending of an organ point. * If a repetition is needed in order to allow for consistent reading with repetitions, first and second endings, dal segnos, etc. Example: ``| V |: V I :|`` instead of ``| V |: I :|`` Summary of the Harmony Annotation Standard ========================================== One of the longest possible expressions would be ``.bvii.V[#viio65(+b84)/#vi``. This, of course, is quite theoretical and simply a demonstration of order and meaning of the different syntactic components, with concrete examples given in relation to C major: \* ``.bvii.``, in the context of a major key *(C major)*, means that all following symbols relate to the minor key on the lowered 7th scale degree *(Bb minor)*. The initial dot is necessary because ``b`` is a note name. \* ``V[`` designates the beginning of an organ point on the 5th scale degree *(F)*. \* ``#viio65`` stands for the first inversion of a diminished seventh chord of the raised 7th scale degree \* ``(+b84)`` designates an added diminished octave (added notes usually occur because of pedal tones that are not in the bass) and a (not added but) suspended fourth, withholding the third \* ``/#vi`` means that this chord (the ``#viio65``) relates to the raised 6th scale degree. *Which, in Bb minor, would be G. Therefore, the root of ``#viio65/#vi`` would be F#.* Here, you can see an imaginary context, in C major, where this example could theoretically occur: |longexpression| .. |split1| image:: img/split1.png .. |split2| image:: img/split2.png .. |split3| image:: img/split3.png .. |ocal\_key\_correct| image:: img/local_key_correct.png .. |local\_key\_wrong| image:: img/local_key_wrong.png .. |gantt\_before| image:: img/gantt_before.png .. |gantt\_after| image:: img/gantt_after.png .. |longexpression| image:: img/longexpression.png .. Inter-Annotator Consensus Underspecified Harmony ---------------------- .. figure:: img/beethoven_03-1_240-244_lydia_adrian.png :alt: Two different views on mm. 240-4 of the first movement of Beethoven's Piano Sonata No. 3 Two different views on mm. 240-4 of the first movement of Beethoven's Piano Sonata No. 3 .. figure:: img/beethoven_03-1_240-244_merged.png :alt: Both interpretations merged together. Both interpretations merged together. .. figure:: img/beethoven_03-1_113-127_lydia_adrian.png :alt: Two different views on mm. 113-27 of the first movement of Beethoven's Piano Sonata No. 3 Two different views on mm. 113-27 of the first movement of Beethoven's Piano Sonata No. 3 .. figure:: img/beethoven_03-1_113-127_merged.png :alt: Both interpretations merged together. Both interpretations merged together.