Prokofiev's Technique of Chromatic Displacement

Prokofiev's Technique of Chromatic Displacement Author(s): Richard Bass Source: Music Analysis, Vol. 7, No. 2 (Jul., 1988), pp. 197-214 Published by: Wiley Stable URL: http://www.jstor.org/stable/854056 . Accessed: 22/05/2014 10:34 Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp

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RICHARD BASS

PROKOFIEV'S TECHNIQUE OF CHROMATIC DISPLACEMENT

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


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Ex. la Prokofiev:ClassicalSymphony, Op.25, Gavotte,bs 1-12,piano score Non troppo allcgro

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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,

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as somethingof a surprise,the listeneris obligedto deal withit in a diatonic of its diatonicshadow. At the same time, the context,as a representative and generatesimplicationsof its own. displacementis not quicklyforgotten, The fact that it is perceivedambiguouslyenables the composerto use it to drawparallelrelationships betweenit and othereventsin the motivically, structure. voice-leading In somerespects,thetonalsyntaxofProkofiev'smusiccan be elucidatedby existingmethodsofanalysis.For example,a modifiedSchenkerianmodelcan illustratethetonaland voice-leadingstructure ofProkofiev'smusic effectively from deviations strict diatonicism. The despitefrequent purposeofthepresent to is show in this chromatic that, study repertoire, displacementof the kind notedabovebyAustinand Brownis subsumableintoa largertheoretical system whichcan explainnotonlythefundamental diatonicstructure ofa piece,but alsohowtheseemingly elementsassumebotha tonalanda motivicrole. foreign A rudimentary of example how a simplechromaticdisplacementcan be explainedwithinthecontextofa linear-harmonic analysisis theopeningpassage fromtheRondo,Op.60, No. 2, byDmitriKabalevsky,a youngercontemporary ofProkofievbestknownforhis pedagogicalpianocompositions (Ex. 2): Ex. 2 Kabalevsky:Rondo,Op. 60, No. 2, bs 1-12 Allegretto

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The firstsectionof the rondo(bs 1-8) consistsof twofour-barphraseswhich in onlyone respect.The progression differ in bothphrasesis I-vi-V7-Iin D, but thebass in b.3 is Bb insteadofthe'true'dominant,A. That Bb functions as a itcadencesonthetonicin thenextbar,the dominant,however,is incontestable: chord, and the true upper notes are membersof the dominant-seventh bar (b.7) of the nextphrase. In b.3, dominantappearsin the corresponding then,A is theshadowofBb (see box in Ex. 3). The displacednotehas another function,as an enharmonicA#,the leading note of the submediant.A#is preparedbyan earlierappearanceas a lowerneighbourtothesubmediant(b. 1); and theentireharmonyin b.3 is a diminished-seventh chordabovetheBb/A , implyinga returnto thesubmediantin b.4. The factthatthisdoes nothappen, and thatthedisplacement is 'corrected'in b.7, wouldseemto putthematterto rest.Onlyinb.9, thebeginningofthesecondsectionoftherondo,is themotivic ofBb revealed:hereA#appearsin thebass (in thesameregister as significance theBb in b.3), is prolongedthroughb. 11as theleadingnoteofthesubmediant, and resolvesaccordingly in b. 12: Ex. 3 Kabalevsky:Rondo,bs 1-9,foreground sketch 1

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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


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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

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The chromaticnotesin thefirstphrase(D# in b.3, Eb in b.6 and Db in bs 3-6) can all be construedas chromatic toE andC inthesurfacestructure. neighbours As alterednotes theyare fullyabsorbedinto the voice leadingand have no motivic significanceon any deeper structurallevel (see Ex. 5a). As on theotherhand,theyall representD, lyinga semitoneabove displacements, thatreflects thetruefunction (D#/Eb)orbelow(Db), anditis thisinterpretation ofthechromaticnotes(Ex. 5b). In thediatonicstructure, D existsonlyas a shadowcastbythedisplacednotes in thefirstphrase.In fact,D does notactuallyoccuruntilb.9, thepenultimate bar oftheperiod,containingthestructural descent.Here D appearsin each of thethreevoices.AgainsteachD inb.9 thereis a chromatic note,buttheseareno longerdisplacements- each one 'resolves'to its diatoniccounterpart. Bar 9

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Ex. 5a Prokofiev:'March',bs 3-10,surfacestructure 3

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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


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endingon thedominant,thesecondon thetonic.The tonalshiftsoccurin the secondperiodand in thelastphrase;otherwise, the'March'is entirely diatonic. The formis extremelyregularand the melodyhighlyrepetitive;only the chromaticdisplacements generateinterest: Ex. 6 Shostakovich:'March',fromChildren's Album Tempo di Marcia

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In the last phrase,the shiftfromC to Db producesa diatonicas well as a surfacestructure,and withinthe diatonicstructurethereare voice-leading

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in both keys. The phrasebegins implicationswhichyieldshadowstructures withthe upbeat to b.21, followingan imperfect cadence. Here thepersistent melodicfigure(the descendingthird)is transferred to thelowervoice forthe firsttime;itis thenexchangedbetweenvoicesin augmentation, and concludes in theuppervoiceat thefinalcadence.The uppervoiceis displacedfirst(b.21, beat 3), whereAb appearsas a substitutefortheexpectedG. The lowervoice followsone beatlater,whereF is substituted forE. All functions arein Db until both voices shiftagain at the firstbeat of b.23. The returnto C beginswith supertonicharmonywhichprogressesto thecadence. The surfacestructureof Ex. 7 shows a prolongationof 3 aftera registral transfer fromthepreviousphrase;a neighboursupportedby Db, thenD; and the structural descentin thelast twobars. The neighbourhas no preparation elsewherein thepiece: it is nota resultofanydiatoniclinearprogression, but insteadgrowsabruptlyoutofthedisplacement.Initiallyitis nota neighbourat of 3, as shownin the C shadowstructure.It is only all, but a representative as a neighbourin b.23, whereitis supportedbythediatonicnoteD. legitimized The treatment oftheneighbourfigureunitesthesurfaceand diatonicstructures E = 3, F = 3, F = N, througha gradualprocessoffunctional reinterpretation: E = 3. The shiftin thesecondperiodproducesbothsurfaceand diatonicstructures, but throughthe use of cross-representation obscuresthe functionalrelationas shipsbetweenthetwo. The Ab thatappearsin bothvoicesin b.9 functions thedominantofDb, butis clearlya substitute for6 (A) in C. 6 is introducedin thefirstperiod.Here all themelodicnotesbelongto theopeningthird-figure exceptA. The A comes as an unexpectednote at the outsetbecause of the it prevailingdominantharmonyin bs 4 and 7, whereit occurs.Harmonically, can be reconciledas a memberof the supertonic,whichin turnleads to the dominant;butit has no linearconnectioneitherto thedominantor tothetonic in thefirstperiod,and therefore becomesthegenerating forceforthemiddle section.Even thoughthe Ab functionseventuallyas 5, it mustbe perceived initiallyas 6, and the listeneris confrontedwith implicationsthat are not realized:does theAb signala shiftto theminormode,ora shiftto subsequently a new key- perhapsCb ? Displacementin theoppositedirection,to Db, is in conflictwithexpectation,and the phraseends witha returningshiftto the dominantofC in b. 12. Whatbeginsas a sequentialstatement in b. 13 (on Bb) does nothingtosettletheissue.A returning shiftatb. 15confirms thattheactual functionoftheBb is as a representative of7 in C, yettheexpandednetworkof contributes totheclimacticnatureofthesection.The implications substantially surfacestructure illustrates theremaining facetsofthestructural complex:the thateffect theshiftstoand fromthekeyofC, and therealizationof progressions a linearconnectionbetweenscaledegree6 and thetonic(an ascendingthird:Ab, ofthedescending BbIB, C). Onlytheelaboration in conjunction with third-figure thesecondshiftto Db in thefinalphraseprovidesa resolutionoftheconflict. A remarkableby-productof chromaticdisplacement,particularlywhen is involved,is thedistortion cross-representation ofharmonicrhythm. Onlyin MUSIC

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Ex. 7 Shostakovich:'March', bs 21-4 21

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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.

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Ex. 8 Shostakovich:'March',bs 9-16

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The tonalshiftinb.8 oftheAndantesognando fromtheEighthPiano Sonatais a displacementwhichdoes not returnto its keyof origin,but continuesin a different tonalcontext(Ex. 9). The shadowproducedbythisdisplacement has littlebearingon thevoiceleadingin D6 becauseall functions arerepeatedin D until b.17, which begins the second sectionof the movement,in F. The repetitionof the openingmaterialin the key of D serves the purpose of thestructural melodicnotefromAb as 5 in D6 toA as 3 inF: A6 = 5, converting MUSIC

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Ex. 9 Prokofiev:Piano SonataNo. 8, Op. 84, II, bs 1-17 Andantesognando dolce

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Ex. 10 Prokofiev:Piano SonataNo. 8, II, bs 1-17 1

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In theeventthatsomevoicesin theharmonyare displacedwhileothersare not, the resultingshadow structuresare not only incomplete,but may be suggestive of altered harmonies. Ambivalence of function is thereby compounded,and the bond betweenlinearand harmonicelementsmay be severed.Such partialdisplacementscan help to explainmanyof temporarily Prokofiev'schromaticallyaltered harmonies.10They may also be used to generatepolychords.An excerptfromthefinaleoftheSixthPiano Sonata,Op. 82 (Ex. 11), exhibitsa displacement whichis accomplishedin stages:thelower voicesshiftin b. 143,withtheuppervoicesfollowing in b. 144: Ex. 11 Prokofiev:Piano SonataNo. 6, Op. 82, IV, bs 141-7

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This involvesa modeexchangein whichG majoris substituted forG#minor; the voice withthe chordthird(B) does not participate,and the two coexist as a polychordin b.143. Afterthe uppervoices come intophase temporarily withthelowerones,a secondshiftoccurs(b. 145),butin theuppervoicesonly, pittingF#majoragainstG majoruntilthereturnto G#minorin b. 147. The B MUSIC ANALYSIS 7:2,1988


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extendsthroughtheentirepassage,and F#major,becauseitis morethanone semitoneremovedfromthegoverningG#minorharmony,does notappearas an independentchord:" Ex. 12 Prokofiev:Piano SonataNo. 6, IV, bs 141-7 141

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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

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Ex. 13 Prokofiev:Piano ConcertoNo. 2, Op. 16, I, bs 1-13 Antlantino

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Ex. 14 Prokofiev:Piano ConcertoNo. 2, I, bs 5-12,diatoniccounterpoint 5 9

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ofProkofiev'sapproachto tonality.His individualresourcefulunderstanding ness in combiningtraditionallinear-harmonic progressionsand innovative, style-transforming techniqueswithinthe confinesof a basic tonalframework attests to the richness of a repertoirewhich, in many respects, defies categorization.Furtherinvestigationmight be concernedwith the interbetweentheseand other,seeminglyextraneous,elementswithin relationships complete,cohesivestructures. NOTES 1. Benjamin PartIV: Analytic Boretz,'Meta-Variations, Fallout',Perspectives ofNew

Music,Vol. 11, No. 2 (Spring-Summer 1973),p.188. 2. WilliamW. Austin,Music in theTwentieth (New York: Norton,1966), Century pp.452-3. 3. See PatriciaRuth Ashley,'Prokofiev'sPiano Music: Line, Chord,Key' (Diss., ofRochester,1963),pp. 16-17.Ashleyrefersto thisprogression as 'the University jolt', an exampleof the informaltermsemployedin descriptionsof Prokofiev's harmonicidiom. 4. The secondofChopin'sTroisnouvelles to etudes,forinstance,uses thisprogression effecta cycleofmodulationsby descendingmajorthirds(bs 20-5). 5. WilliamW. Austin,'Prokofiev'sFifthSymphony', MusicReview,Vol. 17, No. 3 (August1956),p.206. 6. Malcolm H. Brown,'Prokofiev'sEighthPiano Sonata', Tempo,No. 70 (1964), pp. 11-12.The tonalshiftto whichhe refersoccursin thethirdbar ofthesonata. 7. The use of words like 'slip' and 'shift', among many others, including further atteststo theabsenceofa terminology 'Prokofievization', adequateto deal with chromaticsubstitutionsin Prokofiev'smusic. Of these, only 'shift' is appropriateto certainproceduresexaminedin thepresentstudy. 8. Brown,'Prokofiev'sEighthPiano Sonata',p.11. 9. The term'wrongnote'is notappliedwithanyconsistency in theliterature. Ashley invokesthetermto refertoa progression in whichthesopranonotesoftwochords appear to be exchanged('Prokofiev'sPiano Music', p.39), and again (p.42) in a situationinwhichbass notesareone semitonetoohightoconform totheharmonies createdbytheuppervoices.Austinusesittodescribean extendedappoggiatura on theraisedfourthscaledegree,eventhoughit progresses,as mightbe expected,to thedominant('Prokofiev'sFifthSymphony',p.216). 10. A remarkable is theopeningsection (and intricate) exampleofpartialdisplacement (bs 1-8)ofthe'Gavotte'fromFour Pieces,Op.32, in F#minor.In b. 1, theupper voices are displaced to a dominantsubstitute,C, over a tonic pedal. The subdominantis representedby Bb majorin b.3, suggestingan alteredharmony tonicsubstitute indicatesthatthevoicewiththeD (IV), buta C#in thefollowing and C#is nota participant in theshift.The partialdisplacement in b.3 is actually thesecondstepin a systematic towardsa morestriking, progression completeshift to C majorin b.7, whichfunctions thistimeas predominant harmony.Formerlya MUSIC ANALYSIS

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dominantsubstitute,C majoris now in a radicallynew contextbut is effective because it correspondsto the majorsubdominantsubstitutein b.3. A complete theimpactof displacement yieldingBb minorwouldnothavepreparedso skilfully C majorleadingintothecadence. occurin everyimportant thematicsegment,often 11. In thismovement, displacements of the sort discussed here: for producingpolychords example,bs 45-52and 65-82. All oftheseare outgrowths ofthedisplacednote(D#) in thefirstbar.

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Prokofiev's Technique of Chromatic Displacement

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