Engines of Creation

by Joe Satriani

Mode Swings
An Introduction to Modal Theory.

A major stepping-stone in my musical development was when I was introduced to the study of modes.
Learning how modes work really opened my eyes and ears and gave me a lot of insight into how melodies
relate to chords.

The term “mode” refers to a set of notes that can be derived from a specific scale. For example, the C major
scale is spelled C D E F G A B; this is also known as the C Ionian mode. If you were to take this same set of
notes and start from the second scale degree, D, and continue up to D one octave higher, the resultant
“scale” is known as the D Dorian mode (D E F G A B C) (see FIGURE 1). As you can see and hear, both
modes (C Ionian and D Dorian) are composed of the same seven notes, the only difference being the way
they’re oriented.

This same modal relativity concept can be applied to each degree of the C major scale: if we begin on the
third scale degree, E, and continue through the same note series to E one octave higher, we’d be playing
the E Phrygian mode (E F G A B C). The remaining modes that are built from the C major scale are F Lydian
(F G A B C D E), G Mixolydian (G A B C D E F), A Aeolian (A B C D E F G) and B Locrian (B C D E F G A).
These seven modes—Ionian, Dorian, Phrygian, Lydian, Mixolydian, Aeolian and Locrian—are all simply
different orientations of the “parent” major scale, each beginning on a different scale degree, and are known
collectively as the “fundamental modes.”

I used this particular scale to illustrate the theory of the fundamental modes because, unlike the other major
scales, it contains no sharps or flats and is easier to “think in.” Realize, however, that this same principle of
modal relativity applies to every key, not just C. For example, the G major scale (G A B C D E F#) spawns
seven modes, one for each note of the scale.

Though thinking of a mode as being the same as some other major scale is a very useful learning device, it
is only when one fully understands and internalizes the sound of each mode’s intervallic structure that one
will master the modal concept. One day, back when was in my first year of music college, I was taking a
piano lesson when my teacher and I came to a particular section of improvisation. I said, “This is in the A
Dorian mode.” My teacher said, “Well, it’s really the same as playing in G major,” but I disagreed. I said that
if I’m playing in A Dorian, I’ll emphasize the notes differently than if I were thinking G major.
As I began to study the seven fundamental modes, I became fascinated with the differences in their
intervallic structures and the inherent chord forms that can be constructed out of them. I also liked to
compare them by playing them off of the same root note (as parallel modes, as opposed to relative modes).
I discovered that certain modes were nearly identical in form, except for a single interval. An example of this
would be the E Phrygian (E F G A B C) and E Aeolian (E F# G A B C D) modes, the former being the third
mode of the C major scale and the latter being the sixth mode of the G major scale. Comparing modes this
way—back to back, in the same key—helped me understand the differences in their structure and sound.

One of my early mentors, a very open-minded high school music teacher who also taught Steve Vai, once
told me that one should not change the way one listens to music in order to understand the theory behind it.
He said that the whole point of studying theory and harmony should be to discover more ways to better
express one’s own musical vision.

My song “Time” is based on the B Phrygian mode (B C D E F# G A). As illustrated in FIGURES 2a and 2b,
this mode is theoretically formed by taking the G major scale and using the third, B, as the root note.
FIGURE 3a illustrates the B Phrygian mode in the seventh position. Memorize this fingering pattern by
playing it up and down repeatedly. The exercises depicted in FIGURES 3b-3e are intended to get the unique
sound of the B Phrygian mode into your mind. Before playing these patterns, tape-record yourself strumming
sustained B5 chords, enough to fill about 5 or 10 minutes of tape. Listening back to the tape while you play
these modal exercises will reinforce the sound of the B root note beneath these Phrygian “melodies.”
Mode Swings more on modal theory.

Before we continue last month’s examination of modal theory, I’d like to say a little something about the
study of music theory in general. Music, in the true sense, is not theory, nor is it an academic study. To me,
something can only be classified as music if it transcends theoretical or academic perimeters and becomes
something that’s much more ambitious and fulfilling. Music is a mind-body-spirit thing: your fingers must be
working, your soul has got to be immersed in it, and your brain is there simply to put two and two together.

In terms of modal study, the modes only have meaning when they’re addressed and understood as entities
unto themselves, not as permutations of any “parent” scale. Whatever the root note of a particular mode
may be—for example, B in the B Phrygian mode—that root note must be made clear to the listener in order
for the unique harmonic texture of a given mode to be experienced by the listener. It is only when a mode is
heard against a particular root note or tonal center that its quality can be understood. Its position or fingering
on the fretboard is irrelevant to the listener.

For example, FIGURE 1a illustrates a G major scale with the B Phrygian mode extracted from it. You’ll
notice that B Phrygian is built from the third note of the G major scale, so Phrygian is logically known as the
third mode of the major scale. If we play a C note within the context of B Phrygian, the function of this note is
entirely different than if it were played within the context of G major. When C is played over G, as illustrated
in FIGURE 1b, it’s heard as the fourth, as in a Gsus4 chord (G C D).

Playing C over B Phrygian is an entirely different matter. When C is played over B, it functions as both the
minor, or “flatted,” second or ninth (“b2” or “b9”). The sound of a C note played over a B root is very
dissonant and is totally unlike the suspended fourth sound of C played over a G tonal center. To illustrate
this point, FIGURE 1c shows the notes B and C played as flatted seconds/ninths and also illustrates how C
functions as the “b9” over a B root note in two commonly used chords.

Early on in my academic study of music, I felt there was an audible distinction between music created by
someone who is really thinking about the listener versus someone who has “crossed the line” and done the
dreaded thing of creating music that succeeds only as an academic study. Unfortunately, a great many
music theoreticians suffer the consequence of becoming so out of touch with listening to music as art, they
believe that simply constructing it absolves them of whether the final product expresses true musicality. This
is something that just about everyone comes up against when studying music within an academic institution.

Getting back to the real world, utilizing modal concepts within rock was a challenge that musicians of my
generation were faced with. In the late Sixties, guitarists like Jimmy Page and Carlos Santana, who basically
started off as third-generation blues players, came up with new concepts that echoed sounds they’d
experienced, which originated from all around the world. An analysis of rock music of the Sixties reveals
Oriental, Indian and Asian influences, as well as elements of virtually every other type of ethnic music. When
Jimmy Page incorporated Moroccan influences to create something like “Black Mountain Side” (Led
Zeppelin), he was already building on the influence of Delta and Chicago blues and early rock and roll.
Bringing in these ethnic influences helped blaze the trail toward the rock music of today.
One could write volumes in an attempt to unravel the development of modern music. In a nutshell,
composers of the last 300 years have all been working toward changing the idea of cadence and tension
and resolution. In the old days, composers were commissioned by royalty, so their reasons for writing a
piece of music, and who it was written for, played a huge part in the nature of the music itself, no matter how
brilliant these classical composers proved themselves to be. And, needless to say, the music of the great
classical composers is worthy of intensive study.

Fast-forward centuries later to the existence of jazz clubs, where musicians are encouraged to improvise
spontaneously and at great length. This type of creative environment was available in the days of Mozart,
rare as it may have been. But jazz saxophonist John Coltrane thrived on the privilege of artistic expression;
not only could he compose a piece of music that emphasizes the Mixolydian mode, he could, in terms of
improvisation, take the initiative to build separate, unrelated modes off of the different notes of the
Mixolydian mode. His artistry developed by having the opportunity to do this night after night, year after year.
If the network of jazz institutions was not there, that form of music would never have grown the way it did.

When I first began to compose music, I became fixated on evoking certain feelings and emotions from the
listener, and I came to realize that each mode communicates a certain emotional quality. The song “Time”
[Live in San Francisco] is based on the B Phrygian mode, and listeners who are only familiar with American
musical forms like pop or blues may feel that a song like “Time” sounds very “exotic.” But in other parts of
the world, like, say, India or China, the sound of the Phrygian mode is well familiar.
Mode Music Getting familiar with modal sounds.

Learning the modes was, for me, a three-tiered experience. The first part involved recognizing that there
were sounds out there that were new to me and developing a strong desire to investigate what those sounds
were about. The second part was learning the theory of how modes are constructed and how they relate to
each other. The third phase began with a few weeks of intense personal musical discovery, spent practicing
voraciously and learning how to apply modes to real musical situations. Though this was many years ago, I
feel that I’m still in this boundless phase of learning and exploration.

Of course, it’s necessary to learn to walk before you can run. With this in mind, the following is a clear
theoretical breakdown of how the seven fundamental modes are derived from the major scale. FIGURE 1
illustrates the G major scale (G A B C D E F#) and shows how seven different modes are generated using
the same seven notes arranged in different orders. The first mode, G Ionian, is identical to the G major
scale. The second mode, A Dorian (A B C D E F# G), is formed by beginning on the second scale degree of
the G major scale, A, and ascending, through the same set of notes, to the A note one octave higher. The
third mode, B Phrygian, is produced by starting on the third scale degree of the G major scale, B, and
ascending to the octave B note.

Here’s the magic formula you’ll need to memorize in order to teach yourself the seven modes in all 12 keys:
the Ionian mode is the same as the major scale; the Dorian mode is formed by beginning and ending on the
second degree of the major scale; Phrygian is the major scale starting on the third degree; Lydian starts on
the fourth note of the major scale; Mixolydian, Aeolian and Locrian begin on the fifth, six and seventh major
scale degrees, respectively.

When learning the seven fundamental modes, it definitely helps to think of each mode as simply being a
different orientation of its parent major scale. Ultimately, however, it’s better to break away from this relative
or associative way of thinking and look at each individual mode as being its own harmonic entity. Each of the
seven modes comprises a different sequence of half steps and whole steps that gives it its characteristic
harmonic quality, or “color.”

As I explained last month, to convey the sound of a mode to the listener, it’s not enough to just play the
notes in a particular position on the fretboard; the mode’s root note or tonal center (the first note of the
mode) must be clearly established in the listener’s ear. For example, if you’re improvising in the B Phrygian
mode (B C D E F# G A), the notes need to be heard in the context of a B tonal center. One way to ensure
that you’re conveying the intended B Phrygian modality is to play the melody notes over a B bass note or
some kind of B chord that contains notes that fall within the mode, such as B5, Bm, Bm7, Bsus4, B7sus4 or
B7b9sus4.

Another thing that helps to establish a mode’s tonal center is to emphasize the root note in the melody
you’re composing or improvising. This can be particularly challenging if there’s no accompaniment. In the
example given above, the musical color of B Phrygian would need to be clearly communicated to the listener
to avoid any harmonic ambiguity. The most important note would be B, the root note, and all of the other
notes in the mode should surround and relate to that note. If you were to forever rely on the musical crutch
of thinking “G major,” you’d prevent yourself from truly expressing yourself in a musically convincing and
artistic way in the B Phrygian mode.

The best way to really get to know the structure and sound of all seven fundamental modes is to compare
them back-to-back in the same (or parallel) key, beginning each mode on the same root note (G Ionian, then
G Dorian, then G Phrygian, etc.). By playing and listening to the different modes this way, as opposed to
practicing them only in their theoretically relative tonal centers (G Ionian, then A Dorian, then B Phrygian,
etc.), one can easily analyze and appreciate the differences and similarities in their intervallic structures and
harmonic colors.

FIGURE 2 illustrates all seven fundamental modes played in parallel fashion in the key of G. Memorize the
intervallic structure of each mode, as well as the fingerings, and record yourself playing a low G bass note
so you can practice playing the mode while hearing it in an appropriate musical context. Also, try to figure
out how to extend each mode an octave higher, then try playing it in different areas of the fretboard and,
finally, in different keys.

It will take a dedicated effort to learn the modes inside out. But learning them is an essential rite of passage
for any serious player, so set aside time every day to master them.
Pedal to the Modal Comparing modes.

In my previous three columns, I described my own introduction to the study of the seven fundamental
modes, outlined how they’re derived from the major scale and illustrated the structure of each of them
individually. If you’ve been with me thus far, you surely have started to get a firm grasp of the structure of the
modes. If you’ve missed the last three columns, don’t worry; this month I’m going to offer a few other
techniques designed to help you acquire a clear understanding of the seven fundamental modes.

One exercise that I found very useful when studying the modes was to play each of the seven fundamental
modes beginning on the same root note, E, against a droning open low E-string pedal tone. Using the open
low E note as an accompaniment while playing each mode enables one to hear the musical color or flavor of
each mode and compare the similarities and differences between them.

As illustrated in FIGURES 1a–g, the low E string is picked and allowed to ring, and then each mode is
played beginning on the A string. In the first example, the E Ionian mode (the E major scale) ascends two
and a half octaves across the fretboard. In the subsequent examples, each mode ascends two octaves only.
Your task here is to figure out the additional half octave on your own and add it to your fingering pattern.
Though the modes are shown ascending in the illustrated examples, be sure to play them ascending and
descending repeatedly. I’ve included a chord that relates to each mode; strum the chord before and after
playing the mode to hear the harmonic connection.
One of my music teachers taught me that a triad can be built from each note in a scale. Typically, a triad is a
group of three notes that progress in intervals of either a minor third (one and a half steps) or a major third
(two whole steps), played in succession. This can be done by playing the first, third and fifth notes of any
scale/mode, or the second, fourth and sixth notes, or the third, fifth and seventh notes, etc. Using the E
Ionian mode/major scale as an example, if you take the first note, E, the third note, G# (which is two whole
steps above E), and the fifth note, B (which is one and a half steps above G#), and play these three notes
together, you’ve formed an E major triad (E G# B). Starting on the second note of the scale, F#, if you play
an A (one and a half steps above F#) and a C# (two whole steps above A), you’ve formed an F# minor triad
(F# A C#). This is known as harmonizing from each note in the scale. As long as you stay within the given
scale/mode, you’ll be generating what are known as diatonic triads.

After investigating triads that are built from third intervals as they occur within a scale, you can proceed to
four-note, five-note and even six-note chord structures by adding upper extensions or tensions to triads.
Continuing the “stacked thirds” approach and utilizing only notes from that given scale, you can pile these
tones on top of the diatonic triads to create diatonic seventh, ninth, 11th and 13th chords. For me, getting a
grip on this concept took a bit of analysis on paper and a lot of ear training.

One of my old practice routines was to sit down and try to play all of the chords from my chord books, just to
get my fingers to investigate some possibilities different from than what I found in songs by the Beatles,
Stones, etc. Soon, this chordal study and the study of chord building through the modes began to intertwine,
and the picture became clearer. I then began to feel that I was finally bridging the gap between studying
music and being able to implement some of the sounds I was discovering.

I’ll be covering chord/scale relationships and the melodic/harmonic connection in more depth in the future. In
the meantime, keep laying the groundwork for more advanced applications of modes by practicing them in
different keys and positions on the fretboard. Be sure to listen thoughtfully to the sound of each mode and
chord you play and make a mental note of what kind of mood you think it evokes.