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8/9/2019 Prokofiev's Technique of Chromatic Displacement
1/19
8/9/2019 Prokofiev's Technique of Chromatic Displacement
2/19
RICHARDBASS
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
Prokofiev's
nduring opularity
as
prompted
o sustained
ffort
owards
ny
meaningful
xplanation
f the structural
ubstance
of his music.
Indeed,
Prokofiev
elongs
o that
group
of
composers
orwhose
music,
according
o
Benjamin
Boretz,
'no
explanation
of a minimum
adequacy
reasonably
comparable
o thatwhichwould
routinely
e
demanded
of tonal or
12-tone
music
has
yet
been
offered'.1
ommentary
husfar
has been successful
nly
o
theextent
o
which
ustomary escriptions
f
keys,
hemes nd motives
pply,
andhasprovided nly uperficial
bservations
oncerning
he
more
diomatic
characteristicsfhis music.
Prokofiev'sharmonic
anguage
in
particular,displaying
n
ostensibly
inveterate
ommitment
o
tonality
n
the traditional
ense,
seems
to invite
more onventional
nalytical pproach
han s
wholly dequate.
Such
methods
can
dentify eys,
hords
nd
progressions,
nd can
n some
fashion
ccount or
the xtended
ertiary
armonies,
heoccasional
olychords,
nd
the dded and
alterednotes
which re
ntegral arts
f his harmonic
ocabulary. nly
a few
writers ave
attempted
o
isolate
those devices which
belong
exclusively
o
Prokofiev,
nd their fforts ave been frustrated
y
the
ack of an established
terminologyapableofrevealingheessenceorsignificancef the chromatic
substitutionshat
ervade
o
much
ofhis
music.
A
case
n
point
s WilliamW. Austin's
Roman-numeral
nalysis
f he
pening
section
f
he Gavotte'
rom
heClassical
ymphony,
p.
25
Ex. 1).2
Inasmuch
as
the semantic
alidity
f
chord
ymbols
ests
n
their
bility
o
demonstrate
conformity
ith he
pre-existent
unctional
mplications
ssociatedwith hose
symbols,
Roman numerals re sufficient o
explain
the
shifts
f
tonality
accomplished
y deceptive
esolutions
f
chords
f
dominant
unction.3
here
is
no
shortage
f
precedents
or
hisdevice
n
the tonal
repertoire.4
ustin's
analysis
reaks
down,however,
t a brief
onicisationf
C#
n
thefinal
hrase.
The lastchordn b.9 (V7 nD) mayperhaps ereinterpreteds anaugmented-
sixth hord n
the
new'
key
another
ommon
modulatory rocedure
n tonal
music but
there s
no
good
explanation
n
these erms or
he
progression
hat
returnso
abruptly
o
D
at
b.
12.
MUSIC ANALYSIS
7:2,
1988
197
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3/19
RICHARD
BASS
Ex.
la
Prokofiev: lassical
ymphony,
p.25,
Gavotte,
s
1-12,
piano
score
Non
troppo allcgro
.:
I t
___.
q
q4 ,"
I,
jr
I
,-:
f I
I
I
.
--
m
pmfp
AL
,
AL
IF
_ _
____
Ex.
lb
William
W. Austin'sharmonic
eduction
nd Roman-numeral
nalysis
of the
bove
D:
I
IV
I
V vi
b: III
N6
B:
16 V
b:
VI
f
:
iv
D: I
passing V of vi
VI of vi=IV
I
V
vi=iv
of
iii
D: I v [rall.]
ft: v
vI
c#:
iv
C#:
16
V
iv
D:
V
of
Iii
VI of
Ili=I
ivofVII
VofVII
VI of VII
=V
I
Reproducedby
kindpermission
f W.
W. Norton& Co.,
Ltd.
198
MUSIC
ANALYSIS
7:2,
1988
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4/19
PROKOFIEV'S
TECHNIQUE
OF
CHROMATIC
DISPLACEMENT
Austin ddresses
hisharmonic evicemore
pecifically
n
an earlier
rticle,
ontheFifth
ymphony, p.
100:
n bs 12-13
f hefirstmovement
he
onality,in his view, slips' fromBb to A whenthe raisedfourthE) becomesthe
dominant fthenew
key.s
Here
he observes hat
he
slip'
s of ome
tructural
importance,
aving
een
prepared y
earlier
ppearances
fE
in
the
cello
and
bass
parts.
Malcolm
Brown,
n
a discussion
f
thePiano
SonataNo.
8,
Op.
84
(also
in
Bb
,
presents
table which
ists
E
as a 'chromatic
nflection'
f
the
subdominant,
b
6
In
thetonal hift
o
which
he
refers,
owever,
s wellas
in
Austin's
slip'
in
the Fifth
Symphony,
he
raised
fourth
as
no
discernible
subdominant
unction.7
n
the
symphony
n
particular,
functions
s
a
dominant,
ot
subdominant,
hen t reaches
ruition
n b.
12. What s
missing
from othdiscussions s an exposition f thecompositionalechniquewhich
allowsfor he
reinterpretation
ffunctionshat
makes his
kind
of
ubstitution
possible.
The use of
direct hromatic
movement
o shift
onality
y
a
semitone
s,
ike
modulation
y deceptive
esolution,
othing
ew in
tonal music.
A
familiar
example
s
the
progression
hich
nitiates
hecoda n
thefinale
f
Beethoven's
Piano
Sonata,
Op.
7
(bs
154-5):
here,
he
principal ey
of
Eb givesway
oa few
bars
n
E as a
result f
direct inear
onnection
etween
he
dominant
otes
f
the two
keys.
The
essential
ifference
etween
Beethoven's nd
Prokofiev's
applications
f the
technique
s
that
Beethoven
repares
he shift
eliberately
and at a pointof structuralrticulation, hereasProkofievccomplishest
fluently
nd
without
reparation,
ften
n
mid-phrase.
With
Beethoven,
he
arrival f a
new
key
s
experienced
s
a
structural
vent;
with
Prokofievt
is
integrated
nto he
extural
abric
nd
subordinatedothe
hythmic
nd
melodic
momentum.When
this
procedure
s
viewed
not as
modulatory,
ut as a
temporary
isplacement
n
a
diatonic
ontext,
t
becomes
lear
whatMalcolm
Brown
means
by
his
statement
hat
rokofiev's
chromaticisms
antitheticalo
chromaticismn
the
Wagner
Mahler
Schoenberg
radition.t
derives rom
the
concept
of
expanded
tonality
ather
han
from
the
concept
of
tonal
dissolution'.8
rown
leaves
his
'concept
of
expanded
tonality'
undefined.
However, it is evidently ne which permitsa relationshippproaching
equivalency
etween
ny
wo
key
ystems
eparated
y
a
semitone.
Although
whole
key systems
nd
their
component
harmonies
may
be
subjected
o
chromatic
isplacement,
t
s the
displacement
f
ndividual
otes
withinthe
system
hat is
fundamental o
the
technique.
A
chromatically
displaced,
or
so-called
wrong',
note s
also
a
kind of
substitution,
hat
s,
it
appears
nstead
f,
rather han
n
addition
o,
the
notes
f
he
hord.9
t
does
not
function
s
an
altered
note,
but
represents
diatonic
ne;
the
diatonic
note
t
represents
s
present
s
a
shadow'
cast
by
the
displacementtself,
nd
the
result
is
a
musical
synesis'
n
which unction
s clear
but
terms
n
the
diatonic
yntax
are not in strict greement.Chromaticdisplacement ependsheavilyon
perception
n
the llusion
t
creates.A
displaced
note s
treated
xactly
s its
diatonic
ounterpart
ould
be- it
sneither
repared
or
resolved,
nd
behaves
as
though
othing
ere
wrong'
with
t nthe
first
lace.
Even
though
tcomes
MUSIC
ANALYSIS 7:2,
1988
199
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5/19
RICHARD
BASS
as
something
f
a
surprise,
he
istener
s
obliged
o
deal with t
in
a
diatonic
context,
s a
representative
f its diatonicshadow. At the same
time,
the
displacement
s not
quicklyforgotten,
nd
generatesmplications
f tsown.
The fact
that
t
is
perceived
mbiguously
nables the
composer
to
use it
motivically,
o draw
parallelrelationships
etween
t
and other vents
n
the
voice-leading
tructure.
In
some
respects,
he
tonal
yntax
f
Prokofiev'smusic
an
be elucidated
y
existing
methods
f
analysis.
or
example,
modified chenkerian
modelcan
effectively
llustrate
he
tonal nd
voice-leading
tructure
f
Prokofiev'smusic
despite requent
eviations
rom
trict iatonicism.
he
purpose
f
he
present
study
s
to
show
that,
n
this
repertoire,
hromatic
isplacement
f
the kind
noted bovebyAustin nd Brown ssubsumable nto largerheoreticalystemwhich an
explain
not
only
hefundamentaliatonic
tructure
f
a
piece,
but
also
how
he
eemingly
oreign
lements ssume
both tonal nd a
motivic ole.
A
rudimentary
xample
of
how a
simple
chromatic
isplacement
an
be
explained
within
he
ontext
f
linear-harmonic
nalysis
s the
pening
assage
from
he
Rondo,
Op.60,
No.
2,
by
Dmitri
Kabalevsky,
youngerontemporary
of
Prokofiev
estknown or
his
pedagogical iano
compositions
Ex.
2):
Ex. 2
Kabalevsky:
Rondo,
Op.
60,
No.
2,
bs
1-12
Allegretto s
4 2
11,'5
4
I
'rAdLA
?
I
i
i,
II
I.,
-i,1
14
3
1
2 1 1
3
4
1
2
4
1
13
2LI~~~~
%.i
1
v I
Reproducedby
kind
permission
f
Boosey
&
Hawkes,
Ltd.
200
MUSIC
ANALYSIS
7:2,
988
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6/19
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
The first ection
f the rondo
bs 1-8)
consists
f two four-bar
hrases
which
differ
n
only
ne
respect.
he
progressionn bothphrasess -vi-V7-InD, butthe bass in b.3 is
Bb
instead fthe true'
dominant,
. That
Bb
functionss
a
dominant, owever,
s ncontestable:
t
cadences
n
the onic n thenext
ar,
he
upper
notes
are membersof the dominant-seventh
hord,
and the
true
dominant
ppears
n
the
corresponding
ar
(b.7)
ofthe next
phrase.
n
b.3,
then,
A is the hadowof
Bb
(see
box
n Ex.
3).
The
displaced
notehas
another
function,
s an enharmonic
#,
the
leading
note of the submediant.
A#
s
prepared
y
n earlier
ppearance
s a lower
neighbour
othe ubmediant
b. 1);
and theentire
armony
n
b.3
is a diminished-seventhhord
bove
the
Bb
/A
,
implying
return o the
ubmediant
n
b.4.
The
fact hat
his
does
not
happen,
and that hedisplacements corrected'nb.7,would eem oputthemattero
rest.
Only
n
b.9,
the
beginning
f he econd
ection
f
he
ondo,
s themotivic
significance
f
Bb
revealed:
here
A#
ppears
n
the
bass
in
the ame
register
s
the
Bb
in
b.3),
is
prolonged hrough
.
11
as the
eading
ote f he
ubmediant,
and resolves
ccordingly
n b.
12:
Ex. 3
Kabalevsky:
Rondo,
bs
1-9,
foreground
ketch
1
2
3
4 5
6
7
8
9
I
vi
V71
I
I
vi
V7
shadow
(Bb)
--
Recognitionftheequivocalfunction fthedisplacednote sessential oan
understanding
f
he
piece.
To
interpret
t
simply
s
functioning
ne
way
r
the
other
would
be
insufficiento
explain
what
has
actually
aken
place,
namely,
that
he
composer
as
forced
he
istener o
rationalize
he
displaced
note n
a
diatonic
framework
while at
the
same
time
laying
the
foundation or
a
subsequent
tructural
vent.
This
functional
mbiguity
s
characteristic
f
all
such
displacements.
The
distinction
between
chromatic
alterations
nd
chromatic
ubstitutions
s not
often s
clear
s
in
the
preceding
xample,
making
two
structural
nterpretations
ossible.
The first
nterpretation
egards
he
chromatic
otes
as
altered
notes
n
a
'surface
tructure';
he
second
yields
diatonic tructure ith oth urface otes those ctually resent)ndshadows
(those
represented
y
the
displacements).
The
first
ection f
Prokofiev's
March',
Op.
65,
No.
10,
s a
period
of
two
four-bar
phrases
preceded
by
a
two-bar
ntroduction.
he
introduction
MUSIC
ANALYSIS
7:2,
1988
201
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7/19
RICHARD BASS
establishes oth
the
figuration
f the
accompaniment
nd
the
tonic-dominant
alternation
hat
prevails
n the
first
hrase.
Following
n
imperfect
adence
n
b.6, theperiod oncludeswith perfectadence nb. 10 Ex. 4):
Ex. 4
Prokofiev:
March',
Op.
65,
No.
10,
bs
1-10
Tempo
di
marcia
PIANO
P
---
p
1"-t
:.:
J
,
,j
,
,j
.,
kt7.1
"
"
J "- A
" J ....7
Reproducedby
kind
permission
f
Boosey
&
Hawkes,
Ltd.
The
chromatic
otes n
the
first
hrase
D#
n
b.3,
Eb
in
b.6
and
Db
in
bs
3-6)
can all
be
construed
s
chromatic
eighbours
o
E
and
C
in
the
urface
tructure.
As
altered
notes
they
re
fully
bsorbed
nto
the
voice
leading
and
have
no
motivic
significance
n
any
deeper
structural
evel
(see
Ex.
5a).
As
displacements,
n
the
other
and,
they
ll
represent ,
lying
semitone
bove
(D#
Eb)
r
below
Db),
and
t s
this
nterpretation
hat
eflectshe
rue
unction
of
the
hromatic
otes
Ex.
5b).
In
the
diatonic
tructure,
exists
nly
s
a
shadow
ast
by
he
displaced
otes
inthefirsthrase. n fact,D does not ctually ccuruntil .9, thepenultimate
bar
of
the
period,
ontaining
he
tructural
escent.
Here D
appears
n
each of
the
hree
oices.
Against
ach D
in
b.9
there
s
a
chromatic
ote,
ut
these
reno
longer
displacements
each
one
'resolves'
o its
diatonic
ounterpart.
ar
9
202
MUSIC
ANALYSIS
7:2,
988
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8/19
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
Ex.
5a
Prokofiev:
March',
bs
3-10,
urface
tructure
3
5
6
7
9
10
.i
r
6 5
4 3
C:I
I
I I V I vi
ii
I
Ex. 5b
Prokofiev:
March',
bs
3-6,
diatonic
tructure
3
4
5
6
shadow
D#)
shadow
E6)
C:
I
I
I
I V
shadow
(Db)
is
aurally
atisfying
ecause it
unites
the
diatonic
tructure ith
the
surface
structure,
nd
does
so at the
cadence-point:
he D
which
had
been
a
shadow
becomes
diatonic
eality,
nd
the
displacements
f he
irst
hrase
re
replaced
by
chromatic
otes
that
resolve,
ummarizing
he
implications
f
the
first
phrase
n a
single esture.
The ambiguous unctionshat rethe ssence f he hromaticisplacements
also
operate
when ll
voices re
displaced
o
effect
tonal
hift.
unctions o
not
exist
within
single
key system,
owever,
but
must be
viewed
as
diatonic
elements
utside
he
system
with inear
onnections o
the surface
tructure.
Diatonic
shadows n
thiscase
become
eparate,
ocalized
tructures
ith
elf-
contained
functions.
Further,
when
chromatic
ubstitutions
or
diatonic
elementsn
one
key
xhibit
ifferent
unctional
haracteristicsn
these
eparate
structures
what
might
be
called
'cross-representation'),
till
other
inear-
harmonic
rogressions
re
implied
which
may
or
may
not
be
realized
n
the
surface.
Shostakovich'sMarch'from heChildren's lbum ontains wotonal hifts
which
are
prototypical
f
the
technique
Ex.
6).
The
piece
is
a
jewel
of
simplicity,
two-voice
ernary
orm
A
B
A')
in
which
ach
section
onsists f
period
f
two
four-bar
hrases.
n
each
period
he
phrases
re
similar,
he
first
MUSIC
ANALYSIS
7:2,
1988
203
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9/19
RICHARD
BASS
ending
n
the
dominant,
he
econd
on
thetonic.The tonal
hiftsccur
n
the
second
period
nd
n the ast
phrase;
therwise,
he March'
s
entirely
iatonic.
The form s extremely egular nd themelodyhighly epetitive; nlythe
chromatic
isplacements
enerate
nterest:
Ex.
6
Shostakovich:
March',
from
hildren's lbum
Tempo
di
Marcia
P
5 5 5 5
106
ILX - _--
5
4-
1-
r1.4
0
P cresc.
-i
5-2
J6
1-
Reproduced
by
kind
permission
f
Boosey
&
Hawkes,
Ltd.
In
the
ast
phrase,
he
shift rom
to
Db
produces
diatonic
s well
as
a
surface
tructure,
nd
within he diatonic
tructure
here re
voice-leading
204
MUSIC
ANALYSIS
7:2,
1988
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10/19
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
implications
hich
yield
hadow
structures
n both
keys.
The
phrase
begins
with he
upbeat
to
b.21,
following
n
imperfect
adence.
Here the
persistentmelodicfigurethedescending hird) s transferredothe owervoice for he
first
ime;
t s
then
xchanged
etween oices
n
augmentation,
nd
concludes
in
the
upper
voice t
thefinal
adence.
The
upper
voice s
displaced
irst
b.21,
beat
3),
where
Ab
appears
s
a
substitute or
he
expected
G. The lower
voice
follows ne
beat
ater,
where is
substitutedor . All
functionsre n
Db
until
both
voices
shift
gain
at
the first eat
of b.23.
The return
o
C
begins
with
supertonic
armony
hich
rogresses
o
the
cadence.
The
surface
tructure f
Ex.
7
shows a
prolongation
f 3
after
registral
transfer
rom
he
previous
hrase;
neighbour
upported
y
Db,
then
D;
and
the
structural
escent
n
the
ast two
bars.
The neighbour asnopreparationelsewherenthe
piece:
it s nota result f
any
diatonic
inear
rogression,
ut
instead
rows
bruptly
ut of
the
displacement.
nitially
t
s not
neighbour
t
all,
but a
representative
f
3,
as
shown
n
the
C
shadow
structure.t is
only
legitimized
s
a
neighbour
n
b.23,
where t
s
supported y
thediatonic
ote
D.
The
treatmentf
he
neighbour
igure
nites
he
urface nd
diatonic
tructures
through
gradual
rocess
f
functional
einterpretation:
=
3,
F
=
3,
F
=
N,
E
=
3.
The
shift
n
the
econd
period
roduces
oth
urface nd
diatonic
tructures,
but
through
he
use of
cross-representation
bscures he
functional
elation-
shipsbetween hetwo.The Ab that ppears nbothvoices nb.9 functionss
the
dominant
f
Db,
but s
clearly
substitute or
(A)
in
C. 6 is
introducedn
the
first
eriod.
Here all
the
melodic
notes
belong
o
the
opening
hird-figure
except
A.
The
A
comes as
an
unexpected
ote
at the
outset
because of
the
prevailing
ominant
armony
n
bs
4
and
7,
where
t
occurs.
Harmonically,
t
can
be
reconciled
s a
member f
the
supertonic,
hich n
turn
eads
to
the
dominant;
ut t
has no
inear
onnection
ither
o
the
dominant
r
to
the
tonic
in
the
first
eriod,
nd
therefore
ecomes
he
generating
orce
or
he
middle
section.
Even
though
he
Ab
functions
ventually
s
5,
it
must
be
perceived
initially
s
6,
and
the
listener s
confronted
ith
mplications
hat
are not
subsequentlyealized:doestheAbsignal shiftotheminormode,ora shifto
a
new
key
perhaps
Cb
?
Displacement
n
the
opposite
direction,
o
Db,
is in
conflict
with
expectation,
nd
the
phrase
ends
with
returning
hift
o
the
dominant f
C
in
b.
12.
What
begins
s a
sequential
tatementn
b.
13
(on
Bb
does
nothing
o
settle
he
ssue.
A
returning
hift
t
b.
15
confirms
hat
he
ctual
function
f
the
Bb
is
as a
representative
f7
in
C,
yet
he
xpanded
network
f
implications
ontributes
ubstantially
o
the
limactic
ature f
he
ection.
he
surface
tructure
llustrates
he
remaining
acets
f
the
tructural
omplex:
he
progressions
hat
ffect
he
hifts
o
and
from
he
key
f
C,
and
the
realization
f
a
linear
onnection
etween
cale
degree
and
the
onic
an
ascending
hird:
Ab,
Bb B,C). Only he laboration f hedescendinghird-figurenconjunction ith
the
econd
hifto
Db
in
the
final
hrase
provides
resolutionf
the
conflict.
A
remarkable
y-product
f
chromatic
isplacement,
articularly
hen
cross-representation
s
involved,
s
the
distortionf
harmonic
hythm.
nly
n
MUSIC
ANALYSIS
7:2,
1988
205
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11/19
RICHARD
BASS
Ex. 7
Shostakovich:
March',
bs
21-4
21 22 23 24
shadow)
D
: (V6)
(v)
i
V
I
Diatonic
I
Structure
I(shadow)
N
_-
,~-
-- :k -_2
--/,----
-N
6
5
-4
3
C: I I
I
ii V
I
Structure
6,o
6.-
-
C: I
l
i
V
the
urface
tructureo the
adences
all
n
strong
eats;
without he
hifts
hey
would
arrive
beat
early.
The
influence f
this
rhythmicegerdemain
n
the
voice
leading
causes some
notes
that
begin
as
shadows to
be
immediately
reinterpreted
s
surface
otes,
nd
viceversa
notes
tied'
across
hadow
ines
n
Ex.
8).
In
the music of
Prokofiev,
pplications
f
chromatic
isplacement
re
so
widely aried s tobevirtuallyimitless. heremainderf his tudy ocuses n
selected
xcerpts
hich
llustrate
nly
few
f he
ways
n
which his
echnique
serves o
unite
diverse
lementswithin
he
framework
f
ocal and
long-range
structural
esigns.
206
MUSIC
ANALYSIS
7:2,
988
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12/19
PROKOFIEV'S
TECHNIQUE
OF
CHROMATIC
DISPLACEMENT
Ex.
8 Shostakovich:
March',
bs
9-16
9
11
12
13
15
16
(6)
S u
fii
IC:i 4 3 4 3
V
V I
Diatonic
tructure
,
D,
:V
I
I V
(ii)
V
I
(
L
6)
Surface
Structure
V
I
V
I
(b
II)
C:
bII
bVI
V
V
I
The
tonal
hiftn
b.8 of
he
Andante
ognando
rom
he
Eighth
iano
Sonata s
a
displacement
hich
does
not
return
o
its
key
of
origin,
ut
continues n a
different
onal
ontext
Ex.
9).
The
shadow
produced
y
this
displacement
as
little earing nthevoice eadingnD6 becauseallfunctionsrerepeatedn D
until
b.17,
which
begins
the
second
section
of
the
movement,
n F.
The
repetition
f
the
opening
material n
the
key
of
D
serves
the
purpose
of
converting
he
tructural
elodic
ote
rom
b
as
5
n
D6
toA
as
3
n
F:
A6
=
5,
MUSIC
ANALYSIS
7:2,
1988
207
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13/19
RICHARD BASS
Ex.
9 Prokofiev:
iano SonataNo.
8,
Op.
84,
II,
bs 1-17
Andante ognando
dolce
k3m2
1~
.....
.
.,,
"
,.,
.
.
I
,.,
I
.
...
.
,.,l
,
,
?
i
I.
I I
r
- - -
-....
17
mf
Reproduced y
kind
permission
f
Boosey
&
Hawkes,
Ltd.
A =
5,
A = 3. The linear rogressionsnbs 3-7 mbue heAb/Awith oncentric
qualities
as
well,
by
approaching
from below and
above
(a
procedure
foreshadowed
y
the
opening
urn
igure)
nd
thus
orroborating
ts tructural
importance
t the
point
f
conversionn
b.8:
208
MUSIC
ANALYSIS
7:2,
1988
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14/19
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
Ex.
10
Prokofiev: iano Sonata
No.
8, II,
bs
1-17
1
2 3 4
5 6 7 8
9
17
oto
A-1 6
toA -
---
------
--
9-
16
=
1-8
(V) (V)
(V)
(v) (v)
(V)
Db:
I
IV
I[D:V
I
)]
III
In theevent
hat ome
voices
n
the
harmony
re
displaced
whileothers
re
not,
the
resulting
hadow
structures
re
not
only ncomplete,
ut
may
be
suggestive
of
altered
harmonies.
Ambivalence of
function s
thereby
compounded,
nd the
bond between
inear nd
harmonic
lements
may
be
temporarily
evered.Such
partial
displacements
an
help
to
explainmany
f
Prokofiev's
hromatically
ltered harmonies.10
hey may
also be
used to
generate
olychords.
n
excerpt
rom
hefinale f
theSixth
iano
Sonata,
Op.
82
(Ex.
11),
exhibits
displacement
hich
s
accomplished
n
stages:
he
ower
voices hiftn b.143,with heuppervoicesfollowingn b.144:
Ex.
11
Prokofiev:
iano
SonataNo.
6,
Op.
82,
V,
bs 141-7
i
t
Li
It
AV,
TL q I I t-,I . as M
~ r
tf
Reproducedby
kindpermission fBoosey
&
Hawkes, Ltd.
1
x
This
involves
mode
exchange
n
which
G
major
s
substituted
or
G#minor;thevoice withthechordthirdB) does notparticipate,nd thetwocoexist
temporarily
s a
polychord
n
b.143.
After
he
upper
voices
come
nto
phase
with
he
ower
nes,
a
second
hift
ccurs
b.
145),
but
n
the
upper
voices
nly,
pitting #
major
gainst
G
major
until
he
return
o
G#
minor
n
b.
147.
The B
MUSIC
ANALYSIS
7:2,
1988
209
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15/19
RICHARD BASS
extends
hrough
heentire
assage,
nd
F#
major,
because
t s more han
ne
semitone emoved
rom he
governing
#
minor
armony,
oes not
ppear
s
anindependenthord:"
Ex. 12
Prokofiev:
iano SonataNo.
6, IV,
bs
141-7
141
143
144
145
147
g-
g-/G
G
"/G
g-
g# g#/G G FI/G
The
twofour-bar
hrases
bs
5-8
nd
9-12)
n
Ex.
13
are
tructurally
dentical,
although
othcontain
hromatic
isplacements
upwards
n
the
first
hrase,
downwards
n
the econd
each
ucceeded
y
returning
hifts.
he
background
harmonic
rogression
n
each
of the
phrases
s
from onic
o
subdominant
G
minor to
C minor),as illustrated y a skeletalversionof the outer-voice
counterpoint
Ex.
14),
a
strong
nifying
lement
leaned
from
he
combined
surface
nd shadow
tructures
Ex.
15).
One
complete
iatonic
tatement
f
he
melody
s
embedded
n
the
excerpt,
ut t s
dividedbetween
he
two
phrases
and is
obscurednot
onlyby
the
displacements
ut also
by
the
dense
texture,
which
s
heavily
ncrusted
with
added and
alterednotes.
The
fact
hatthe
passage
remains
urally
ntelligible,
ather
han
incoherent,
ttests
o the
controllingower
f
he
diatonic
hadow
tructure.
he
displacements
nd
the
harmonic
estination f
the
theme
re
concisely
eralded n
the
ntroduction
(bs
1-2):
the
notes
Ab
and
F
(each
a
semitone
emoved
rom he
onic),
nd the
skip wayfrom that eaves he ubdominantnconnectedndunresolved.
When
tonality
is
not
verified
through
traditional
inear-harmonic
progressions,
he
identificationf
diatonic
surface
nd
shadow
structures
becomes
problematical.
Whether r
not a
displacement
akes
place
at
all can
only
be
ascertained
y
cross-referencing
he
underlying
ounterpoint
hat
connects
armonies
elated
y
semitone.
Number5
of
the Visions
ugitives,
or
example,
s
in
G
major,
ut
the
onality
s
established
more
hrough
ersistence
than
hrough
raditional
onal
functions,
nd
does
not
govern
he
structure
f
thefirst
ight
ars
n
any
conclusive
way.
Melodic-rhythmic
adences
ccur t
bs
2, 4,
6
and
8,
alternating
b
/F#
ith
G.
The
dualism n
these ars
nticipates
thepolychordalormationshatfollowbs 12-18), nd shadows xistwithin
contrapuntal
tructure
n
which
diatonic
inear
connections
re
only
oosely
defined.
Examples
uch
as
the
above
constitute
first
tep
towards
more
horough
210
MUSIC
ANALYSIS
7:2,
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16/19
PROKOFIEV'S
TECHNIQUE
OF
CHROMATIC
DISPLACEMENT
Ex.
13 Prokofiev:
iano ConcertoNo.
2,
Op.
16, ,
bs
1-13
Antlantino
V9
4
ianoSolo
4
Piano
IT
(Orchestra)
(1.
Andantino
22
8
.......
.
d.[]
S
/pochisoO
esc.
.
b
L
A
I W '
I F
-
A,
I
Quart.
on
so,
1L
:-
__._
.
.
........
#
F
11 I[ 1
.t"
1
2,
2
A 1 '14
I
ten
.i
Rps
11
p-orhiss.
it.
I
--
I
:
M
1
0 m f
I
M
msy
&Haw esLtd
MUSIC
ANALYSIS
7:2,
1988
211
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17/19
RICHARD
BASS
Ex. 14
Prokofiev: iano
ConcertoNo.
2,
I,
bs
5-12,
diatonic
ounterpoint
5 6 7 8
9 10
11 12
g:i iv
Ex. 15 Prokofiev: iano
ConcertoNo.
2, I,
bs 5-12
5
7
8
9
10 11
12
(shadow)
iv
+
a,,
IV
gt:
- -
v
,(s
hadow
(shadow
,+o."J
Diatonic
Structure
g:
i
IV
(
hadow)
f#:i
Surface
Structure
g:i
-----
g#
iv
g:v
i f:i
34-
g:iv
212
MUSIC
ANALYSIS
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18/19
PROKOFIEV'S
TECHNIQUE
OF
CHROMATIC
DISPLACEMENT
understanding
f
Prokofiev's
pproach
o
tonality.
is
individual
esourceful-
ness in
combining
raditional
inear-harmonic
rogressions
nd
innovative,
style-transformingechniqueswithin heconfines f a basic tonalframework
attests to the
richness of
a
repertoire
which,
in
many
respects,
defies
categorization.
urther
nvestigation
might
be concerned
with the
inter-
relationships
etween hese nd
other,
eemingly
xtraneous,
lements
within
complete,
ohesive
tructures.
NOTES
1.
Benjamin
oretz,
Meta-Variations,
art
V:
Analyticallout',erspectivesfNew
Music,
Vol.
11,
No. 2
(Spring-Summer
973),
p.188.
2.
WilliamW.
Austin,
Music n the
Twentieth
entury
New
York:
Norton,
1966),
pp.452-3.
3. See Patricia
Ruth
Ashley,
Prokofiev's iano
Music:
Line, Chord,
Key'
(Diss.,
University
f
Rochester,
963),
pp.
16-17.
Ashley
efers o this
progression
s
the
jolt',
an
example
of the
nformal
erms
mployed
n
descriptions
f
Prokofiev's
harmonic
diom.
4. The
second
f
Chopin's
Trois
ouvelles
tudes,
or
nstance,
ses this
progression
o
effect
cycle
f
modulations
y
descendingmajor
hirds
bs
20-5).
5. William
W. Austin,Prokofiev's ifth ymphony', usicReview,Vol. 17,No. 3
(August
1956),
p.206.
6. Malcolm
H.
Brown,
Prokofiev's
ighth
Piano
Sonata',
Tempo,
No.
70
(1964),
pp.
11-12.
The
tonal
hift o
whichhe
refers ccurs n
the hird ar
ofthe
onata.
7. The
use of
words
like
'slip'
and
'shift',
among many
others,
including
'Prokofievization',
urther
ttests
o
the
bsence
f
terminology
dequate
o deal
with
chromatic
ubstitutionsn
Prokofiev's
music. Of
these,
only
'shift' s
appropriate
o
certain
rocedures
xamined n
the
present tudy.
8.
Brown,
Prokofiev's
ighth
iano
Sonata',
p.11.
9.
The
term
wrong
ote' s not
pplied
with
ny
onsistency
n
the
iterature.
shley
invokes he erm orefer o a progressionnwhich he oprano otes f wo hords
appear
to
be
exchanged
'Prokofiev's
iano
Music', p.39),
and
again
p.42)
in
a
situation
n
which ass
notes
reone
semitone oo
high
o
conform
o
the
harmonies
created
y
the
upper
voices.
Austin
ses tto
describe
n
extended
ppoggiatura
n
the
raised
fourthcale
degree,
ven
though
t
progresses,
s
might
e
expected,
o
the
dominant
'Prokofiev's
ifth
ymphony', .216).
10. A
remarkable
and
ntricate)
xample
f
partial
isplacement
s
the
pening
ection
(bs 1-8)
of
the
Gavotte'
rom
our
Pieces,
Op.32,
in
F#
minor.
n
b.
1,
the
upper
voices
are
displaced
to a
dominant
ubstitute,
C,
over
a
tonic
pedal.
The
subdominants
represented
y
Bb
major
n
b.3,
suggesting
n
altered
harmony
(IV), but a C# nthefollowingonic ubstitutendicates hat hevoicewith heD
and
C#
s not
participant
n
the hift.
he
partial
isplacement
n b.3
is
actually
the
econd
tep
n
a
systematic
rogression
owards
more
triking,
omplete
hift
to
C
major
n
b.7,
which
unctionshis
ime
s
predominant
armony.
ormerly
MUSIC
ANALYSIS 7:2,
1988
213
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19/19
RICHARD BASS
dominant
ubstitute,
major
s now in a
radically
ew context
ut is
effective
because it
corresponds
o the
major
ubdominantubstituten
b.3. A
complete
displacement ielding
b
minorwouldnothavepreparedoskilfullyhe mpact f
C
major
eading
nto he adence.
11.
In
this
movement,
isplacements
ccur n
every
mportant
hematic
egment,
ften
producing
olychords
fthe ort iscussedhere:for
xample,
s 45-52 nd65-82.
All of
these re
outgrowths
f
the
displaced
note
D#
in
thefirst ar.
214
MUSIC
ANALYSIS
7:2,
1988