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
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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.
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197

BASS

RICHARD

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

.:

jr
,-:

q4

-q
___.

'I

,"

tI

--I

I,

t
pmfp

m
AL

IF

A
IL

____

Ex. lb WilliamW. Austin'sharmonicreductionand Roman-numeral

analysis
oftheabove

D:
ft:

D: V of Iii

D: I
b: III

N6

D: I

passing

vI

VI of Ili=I

B: 16

IV
b: VI

V of vi

VI of vi=IV

c#: iv C#: 16

[rall.]
V

ivofVII VofVII

vi=iv of iii

iv

VI ofVII
=V
I

Reproducedbykindpermissionof W. W. Norton& Co., Ltd.

198

vi
f : iv

MUSIC ANALYSIS

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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
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199

BASS

RICHARD

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

s1

11,'5

I
I

'rAdLA

i,

-i,1

I.,

II
14
31 2 1 1 3 4

2LI~~~~
%.i

12
13

Reproducedby kindpermissionof Boosey & Hawkes, Ltd.

200

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PROKOFIEV'S

TECHNIQUE

OF CHROMATIC

DISPLACEMENT

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

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
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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

---

:.:, ,j J

"J

"
"-

1"-t

! , Ikt7.1
!
,j

"

.,

....7

Reproducedbykindpermissionof Boosey & Hawkes, Ltd.

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

202

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PROKOFIEV'S

TECHNIQUE

OF CHROMATIC

DISPLACEMENT

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

3

.i

10

ri

6
4

C:I

vi

ii

5
3

Ex. 5b Prokofiev:'March',bs 3-6,diatonicstructure

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
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203

BASS

RICHARD

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

P
5

106

---

ILX

- _

4-1- r1.4
0

cresc.

-i --2

J6

1Reproducedby kindpermissionof Boosey & Hawkes, Ltd.

In the last phrase,the shiftfromC to Db producesa diatonicas well as a

surfacestructure,and withinthe diatonicstructurethereare voice-leading

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PROKOFIEV'S

TECHNIQUE

OF CHROMATIC

DISPLACEMENT

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
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205

BASS

RICHARD

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

21

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.

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PROKOFIEV'S

TECHNIQUE

OF CHROMATIC

DISPLACEMENT

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

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)

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
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ANALYSIS

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207

RICHARD

BASS

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

Andantesognando
dolce

k3m2

. . .,,
.....

"

1~

,.,

,.,

...

i
. ,.,l

, ?

iTI.

r -- - - -....

17 mf

ReproducedbykindpermissionofBoosey& Hawkes,Ltd.

A = 5,A = 3. The linearprogressions

inbs 3-7imbuetheAb/Awithconcentric
qualities as well, by approachingfrom below and above (a procedure
foreshadowed
itsstructural
by theopeningturnfigure)and thuscorroborating
at thepointofconversionin b.8:
importance

208

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7:2, 1988

PROKOFIEV'S

OF CHROMATIC

TECHNIQUE

DISPLACEMENT

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

1

17

oto A-1-6

A~- --toA

(V)
II

Db:

(V)

(V) (v)

------

--

(v) (V)

IV

I[D:V

16
91-8

III

)]

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

t
Li It

-TL
AV,

q II

t-,I

as M

tf
Reproducedby kindpermissionof Boosey & Hawkes, Ltd.

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
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209

RICHARD

BASS

extendsthroughtheentirepassage,and F#major,becauseitis morethanone

semitoneremovedfromthegoverningG#minorharmony,does notappearas
an independentchord:"
Ex. 12 Prokofiev:Piano SonataNo. 6, IV, bs 141-7
141

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

MUSIC ANALYSIS 7:2,1988

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PROKOFIEV'S

OF CHROMATIC

TECHNIQUE

DISPLACEMENT

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

Antlantino

Piano Solo V9 4

Piano IIT
(Orchestra)

(1.

Andantino

L
Quart.con

so,

A,

228

. d.[]

.......
.

12
/pochisoO
bresc.

I WT'

__._

I[ 1

.t"

ALI 1

'14

ten

LL

.........
.
:-

11

Fl

2,

rit.
p-orhiss.

11

.i

Rps

Isy&HawI . esLtd
: M 1 0 mf I
--

M m

MUSIC ANALYSIS 7:2, 1988

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211

RICHARD

BASS

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

5
9

7
11

6
10

8
12

iv

g:i

Ex. 15 Prokofiev:Piano ConcertoNo. 2, I, bs 5-12

5

(shadow)

10

11

iv

12

IV

a,,

- -

gt:

(shadow

hadow

Diatonic

,+o."J

,(s

Structure

v
IV

g: i

(hadow)

f#:i

Surface

Structure

g:i

212

-----

g#:iv g:v

i -34f:i

g:iv

MUSIC ANALYSIS 7:2,1988

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PROKOFIEV'S

TECHNIQUE

OF CHROMATIC

DISPLACEMENT

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

7:2, 1988

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213

RICHARD

BASS

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.

214

1988

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