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RICHARD BASS
towardsany
has promptedno sustainedeffort
Prokofiev'senduringpopularity
of
his
music.
substance
of
the
structural
Indeed,
meaningfulexplanation
Prokofievbelongsto thatgroupof composersforwhosemusic,accordingto
Benjamin Boretz, 'no explanation of a minimum adequacy reasonably
comparableto thatwhichwould routinelybe demandedof tonal or 12-tone
thusfarhas been successfulonlyto
musichas yetbeen offered'.1
Commentary
ofkeys,themesand motivesapply,
theextentto whichcustomary
descriptions
observations
and has providedonlysuperficial
concerningthemoreidiomatic
ofhis music.
characteristics
Prokofiev'sharmoniclanguage in particular,displayingan ostensibly
to tonalityin the traditionalsense, seems to invitea
inveteratecommitment
moreconventional
analyticalapproachthanis whollyadequate. Such methods
chords
and can in somefashionaccountfor
can identify
and progressions,
keys,
the
occasional
and theadded and
theextendedtertiary
harmonies,
polychords,
alterednoteswhichare integralpartsof his harmonicvocabulary.Onlya few
writershave attemptedto isolate those devices whichbelong exclusivelyto
have been frustrated
Prokofiev,and theirefforts
by thelack ofan established
of
the
or
of the chromatic
essence
capable revealing
significance
terminology
substitutions
thatpervadeso muchofhis music.
A caseinpointisWilliamW. Austin'sRoman-numeral
analysisoftheopening
sectionofthe'Gavotte'fromtheClassicalSymphony,
Op. 25 (Ex. 1).2 Inasmuch
as the semanticvalidityofchordsymbolsrestson theirabilityto demonstrate
withthepre-existent
functional
conformity
implicationsassociatedwiththose
symbols,Roman numeralsare sufficientto explain the shiftsof tonality
ofchordsofdominantfunction.3
There
accomplishedbydeceptiveresolutions
is no shortageof precedentsforthisdevice in the tonalrepertoire.4
Austin's
ofC#in thefinalphrase.
analysisbreaksdown,however,at a brieftonicisation
The lastchordin b.9 (V7in D) mayperhapsbe reinterpreted
as an augmentedsixthchordin the'new' key- anothercommonmodulatory
procedurein tonal
music- butthereis no good explanationin thesetermsfortheprogression
that
returnsso abruptlyto D at b. 12.
MUSIC ANALYSIS 7:2,1988
197
BASS
RICHARD
Ex. la Prokofiev:ClassicalSymphony,
Op.25, Gavotte,bs 1-12,piano score
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198
vi
f : iv
MUSIC ANALYSIS
7:2, 1988
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
in an earlierarticle,
Austinaddressesthisharmonicdevicemorespecifically
on theFifthSymphony,
Op. 100: in bs 12-13ofthefirstmovementthetonality,
in his view, 'slips' fromBb to A when the raised fourth(E) becomes the
dominantofthenewkey.sHere he observesthatthe'slip' is ofsomestructural
importance,havingbeen preparedby earlierappearancesofE in thecello and
bass parts.MalcolmBrown,in a discussionofthePiano SonataNo. 8, Op. 84
(also in Bb), presentsa table whichlistsE as a 'chromaticinflection'of the
subdominant,Eb .6 In thetonalshiftto whichhe refers,however,as wellas in
Austin's 'slip' in the FifthSymphony,the raised fourthhas no discernible
subdominantfunction.7In the symphonyin particular,E functionsas a
whenitreachesfruition
in b. 12. Whatis missing
dominant,nota subdominant,
fromboth discussionsis an expositionof the compositionaltechniquewhich
allowsforthereinterpretation
offunctions
thatmakesthiskindofsubstitution
possible.
The use ofdirectchromaticmovementto shifttonality
bya semitoneis, like
modulationby deceptiveresolution,nothingnew in tonalmusic. A familiar
whichinitiatesthecoda in thefinaleofBeethoven's
exampleis theprogression
Piano Sonata,Op. 7 (bs 154-5):here,theprincipalkeyofEb giveswaytoa few
barsin E as a resultofa directlinearconnectionbetweenthedominantnotesof
the two keys. The essentialdifference
betweenBeethoven'sand Prokofiev's
applicationsof thetechniqueis thatBeethovenpreparestheshiftdeliberately
and at a pointof structuralarticulation,whereasProkofievaccomplishesit
fluentlyand withoutpreparation,oftenin mid-phrase.With Beethoven,the
arrivalof a new keyis experiencedas a structural
event;withProkofievit is
intothetextural
fabricand subordinated
totherhythmic
andmelodic
integrated
momentum.When this procedureis viewed not as modulatory,but as a
temporary
displacementin a diatoniccontext,it becomesclearwhatMalcolm
Brownmeansbyhis statement
thatProkofiev's'chromaticism
is antithetical
to
chromaticism
in theWagner- Mahler- Schoenbergtradition.It derivesfrom
the concept of expanded tonalityratherthan fromthe concept of tonal
dissolution'.8Brown leaves his 'concept of expanded tonality'undefined.
However, it is evidentlyone which permitsa relationshipapproaching
equivalencybetweenanytwokeysystemsseparatedbya semitone.
Althoughwhole key systemsand their componentharmoniesmay be
it is thedisplacement
ofindividualnotes
subjectedto chromaticdisplacement,
withinthe systemthat is fundamentalto the technique. A chromatically
thatis, it
displaced,or so-called'wrong',noteis also a kind of substitution,
appearsinsteadof,ratherthaninadditionto,thenotesofthechord.9It does not
functionas an alterednote,but represents
a diatonicone; thediatonicnoteit
is presentas a 'shadow'castbythedisplacement
represents
itself,andtheresult
is a musical'synesis'in whichfunction
is clearbuttermsin thediatonicsyntax
are not in strictagreement.Chromaticdisplacementdepends heavilyon
perceptionin the illusionit creates.A displacednoteis treatedexactlyas its
diatoniccounterpart
wouldbe- itis neitherpreparednorresolved,and behaves
as thoughnothingwere'wrong'withit in thefirstplace. Even thoughitcomes
MUSIC ANALYSIS 7:2,
1988
199
BASS
RICHARD
s1
11,'5
I
I
'rAdLA
i,
-i,1
I.,
II
14
31 2 1 1 3 4
2LI~~~~
%.i
12
13
200
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
vi
V71
shadow (Bb)
vi
V7
--
Recognitionoftheequivocalfunctionofthedisplacednoteis essentialto an
ofthepiece. To interpret
itsimplyas functioning
one wayorthe
understanding
otherwould be insufficient
to explainwhathas actuallytakenplace, namely,
thatthecomposerhas forcedthelistenerto rationalizethedisplacednotein a
diatonic frameworkwhile at the same time laying the foundationfor a
event.This functional
ofall
subsequentstructural
ambiguityis characteristic
such displacements.The distinctionbetween chromaticalterationsand
chromatic
substitutions
is notoftenas clearas in theprecedingexample,making
two structuralinterpretations
possible. The firstinterpretation
regardsthe
chromaticnotesas alterednotesin a 'surfacestructure';the secondyieldsa
diatonicstructure
withbothsurfacenotes(thoseactuallypresent)and shadows
(thoserepresented
bythedisplacements).
The firstsectionof Prokofiev's'March', Op. 65, No. 10, is a periodoftwo
four-barphrases preceded by a two-barintroduction.The introduction
MUSIC ANALYSIS 7:2, 1988
201
RICHARD
BASS
establishesboththefiguration
of the accompaniment
and thetonic-dominant
alternation
thatprevailsin thefirstphrase.Followingan imperfect
cadencein
b.6, theperiodconcludeswitha perfectcadencein b. 10 (Ex. 4):
Ex. 4 Prokofiev:'March',Op. 65, No. 10, bs 1-10
Tempo
PIANO
di
marcia
---
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"J
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1"-t
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....7
202
1988
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
.i
10
ri
6
4
C:I
vi
ii
5
3
4
shadow(D#)
C: I
6
shadow(E6)
I V
shadow (Db)
is aurallysatisfying
because it unitesthe diatonicstructurewiththe surface
and does so at the cadence-point:the D whichhad been a shadow
structure,
becomesa diatonicreality,and thedisplacements
ofthefirstphrasearereplaced
by chromaticnotes that resolve,summarizingthe implicationsof the first
phrasein a singlegesture.
The ambiguousfunctions
thataretheessenceofthechromatic
displacements
also operatewhenall voicesaredisplacedtoeffect
a tonalshift.Functionsdo not
exist withina singlekey system,however,but must be viewedas diatonic
elementsoutsidethe systemwithlinearconnectionsto thesurfacestructure.
Diatonic shadowsin thiscase becomeseparate,localizedstructures
withselfcontained functions.Further,when chromaticsubstitutionsfor diatonic
elementsin one keyexhibitdifferent
functional
characteristics
in theseseparate
structures(what mightbe called 'cross-representation'),
still other linearharmonicprogressions
are impliedwhichmayor maynot be realizedon the
surface.
Shostakovich's'March' fromtheChildren's
Albumcontainstwotonalshifts
which are prototypicalof the technique (Ex. 6). The piece is a jewel of
a two-voiceternary
form(A B A') in whicheach sectionconsistsofa
simplicity,
periodoftwofour-bar
phrases.In each periodthephrasesare similar,thefirst
MUSIC ANALYSIS 7:2,1988
203
BASS
RICHARD
P
5
106
---
ILX
- _
4-1- r1.4
0
cresc.
-i --2
J6
204
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
ANALYSIS
7:2, 1988
205
BASS
RICHARD
D :
Diatonic
Structure
(V6)
22
_-
(v)
,~-
shadow)
23
--
:k
24
-_2
I(shadow)
-N
--/,----
C:
Structure
ii
6
5
-4 3
6,o
6.-
C:
thesurfacestructure
do thecadencesfallon strongbeats;withouttheshiftsthey
would arrivea beat early.The influenceof thisrhythmic
legerdemainon the
voice leading causes some notes that begin as shadows to be immediately
as surfacenotes,and viceversa(notes'tied'acrossshadowlinesin
reinterpreted
Ex. 8).
In the music of Prokofiev,applicationsof chromaticdisplacementare so
limitless.The remainder
ofthisstudyfocuseson
widelyvariedas tobe virtually
selectedexcerptswhichillustrate
a
few
of
the
in
only
ways whichthistechnique
servesto unitediverseelementswithintheframework
of local and long-range
structural
designs.
206
PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
11
12
13
15
16
(6)
IC:
vi 4 3 4 3 V
Diatonic
Structure
VI
:V
D,
(
6)
fii
(ii)
Surface
Structure
V
C:
bII
I
bVI
(b III)
ANALYSIS
7:2, 1988
207
RICHARD
BASS
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208
MUSIC
ANALYSIS
7:2, 1988
PROKOFIEV'S
OF CHROMATIC
TECHNIQUE
DISPLACEMENT
17
oto A-1-6
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209
RICHARD
BASS
143
g-
g-/G
145
144
g# g#/G
G
F"/G
147
g-
FI/G
The twofour-bar
phrases(bs 5-8and 9-12)inEx. 13arestructurally
identical,
- upwardsin thefirstphrase,
althoughbothcontainchromaticdisplacements
downwardsin thesecond- eachsucceededbyreturning
shifts.The background
harmonicprogressionin each of thephrasesis fromtonicto subdominant(G
minor to C minor),as illustratedby a skeletalversionof the outer-voice
elementgleanedfromthecombined
(Ex. 14), a strongunifying
counterpoint
surfaceand shadowstructures
One
ofthe
(Ex. 15).
completediatonicstatement
is
in
embedded
the
but
it
is
dividedbetweenthetwophrases
melody
excerpt,
and is obscurednot onlyby the displacementsbut also by the dense texture,
which is heavilyencrustedwithadded and alterednotes. The factthatthe
passage remainsaurallyintelligible,ratherthan incoherent,atteststo the
The displacements
and the
controlling
powerofthediatonicshadowstructure.
harmonicdestinationof the themeare conciselyheraldedin the introduction
(bs 1-2):thenotesAb and F (eacha semitoneremovedfromthetonic),and the
unconnectedand unresolved.
skipawayfromC thatleavesthesubdominant
When tonality is not verified through traditional linear-harmonic
of diatonic surfaceand shadow structures
progressions,the identification
becomesproblematical.Whetheror not a displacementtakesplace at all can
the underlyingcounterpointthat
only be ascertainedby cross-referencing
connectsharmoniesrelatedby semitone.Number5 oftheVisions
for
fugitives,
is establishedmorethroughpersistence
example,is in G major,butthetonality
thanthroughtraditional
tonalfunctions,
and does notgovernthestructure
of
thefirsteightbarsin anyconclusiveway.Melodic-rhythmic
cadencesoccurat
bs 2, 4, 6 and 8, alternating
Gb/F#withG. The dualisminthesebarsanticipates
thepolychordalformations
thatfollow(bs 12-18),and shadowsexistwithina
contrapuntalstructurein whichdiatoniclinearconnectionsare only loosely
defined.
a firststeptowardsa morethorough
Examplessuch as theabove constitute
210
PROKOFIEV'S
OF CHROMATIC
TECHNIQUE
DISPLACEMENT
Piano Solo V9 4
Piano IIT
(Orchestra)
(1.
Andantino
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211
RICHARD
BASS
7
11
6
10
8
12
iv
g:i
(shadow)
10
11
iv
12
IV
a,,
- -
gt:
(shadow
hadow
Diatonic
,+o."J
,(s
Structure
v
IV
g: i
(hadow)
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-----
g#:iv g:v
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PROKOFIEV'S
TECHNIQUE
OF CHROMATIC
DISPLACEMENT
7:2, 1988
213
RICHARD
BASS
214
1988