Rifkin Diss PDF

Tonal Coherence in Prokofiev's Music: A Study of the Interrelationships
of Structure, Motives, and Design
by
Deborah Anne Rifkin
Submitted in Partial Fulfillment
of the
Requirements for the Degree
Doctor of Philosophy
Supervised by
Professor Daniel Harrison
Department of Music Theory
Eastman School of Music
University of Rochester
Rochester, New York
2000
Reproduced with permission of the copyright owner. Further reproduction prohibited without permission.
ii
Curriculum Vitae
The author was bom in Great Neck, NY on October 10, 1969. She attended Binghamton
University from 1987 to 1991 and graduated with a Bachelor of Arts degree in 1991. She
attended The University of Michigan &om 1991-1993 and began graduate studies in music
theory. She graduated with a Master of Music degree in 1993. She came to the Eastman
School of Music in the Fall of 1993 and pursued her research on Prokofiev's music under the
direction of Professor Daniel Harrison.
iii
Acknowledgements
I have had the generous help of many people. I would like to thank Steven Laitz
and Robert Morris at the Eastman School of Music for their advice during the early stages
of the dissertation. The staff at the McHenry Library at the University of California at
Santa Cruz treated with me special kindess and provided research materials and resources.
I would also like to thank the Santa Cruz Volunteer Center for their printing and copying
facilities.
I am indebted to my advisor, Daniel Harrison. At every stage of the process, he has
been an inspiring teacher, mentor, and writing counselor. Expecting me to produce the best
work possible, he has been a thorough and fair critic. The lessons he has taught me during
the dissertation process are ones that I will take with me throughout my professional
career.
My friends and family offered profound support, love, and encouragement, which
helped me immensely. With much appreciation, I thank Corinna Lewis, Kathy Miriam,
Irene Reti, Eva Rifkin, Arthur Rifkin, and Bill Rifkin.
iv
Abstract
Prokofiev has written some of the most widely-admired music in the twentieth-
century, including Peter and the Wolf. Romeo and Juliet. Loye for Three Oran&=· and
Lieutenant Kije. His distinctive compositional style can be recognized easily by its quirky
turns of phrases and unexpected harmonies, which have been called "wrong notes" by many
scholars.
Integrating "wrong notes" into a theory of musical coherence has been problematic
for scholars. Using the term "wrong'' seems to imply that these chromatic excursions are
incorrect substitutes for the "right notes," which would be notes that conform to
conventional tonal expectations. Most studies interpret Prokofiev's music as tonal, yet they
relegate the "wrong notes" to an insignificant structural status. Other analyses consider
"wrong notes" integral elements of an atonal structure and approach wrong-note music using
pitch-class set analysis. This dissertation proposes a third analytic perspective. It
demonstrates how Prokofiev's supposedly ''wrong-note" passages, rather than being
anomalous to a tonal structure, instead actively participate in tonal coherence.
One reason "wrong notes" challenge tonal theories of coherence is because they
cannot be represented within a hierarchical system. The dissertation explores an
alternative means of representation, a network model, which can accommodate non-
hierarchical musical associations. Using a network model not only accommodates wrong
notes, but it also better represents Schenkerian analytic practice. In addition to non-
hierarchical prolongation techniques and wrong-note harmonic functions, networks can also
represent relationships created by motives and design. Chapter Two discusses motives,
differentiating between strongly and weakly tonal ones. Whether dependent or
independent of their tonal context, however, motives help create relationships that make
a supposedly "wrong note" belong in the music. While Chapters One and Two concentrate
v
on pitch aspects of wrong-note music, the third chapter prioritizes non-pitch attributes.
Chapter Three discusses formal and surface designs and their impact on the perception of a
note as wrong.
Overall, Prokofiev's music can be best described using tonal networks that can
represent corroborating and conflicting relationships between structure, motives, and design.
vi
Table of Contents
Introduction ...... .. .. ... ... . . ........ .. ....... .. ... .. .... . ....... ... .... . .. .. ............. .. . .. . .... .. .. ....... .. ...... .. . 1
Chapter 1 Wrong-Note Structures ............................................................................ 4
Chapter 2 Pitch Motives, Networks, and Wrong Notes ........................................... 49
Chapter 3 Design and Wrong-Note Music ............................................................... 89
Chapter 4 The Range of Coherence: Analytic Studies ........................................... 119
Bibliography ............................................................................................................ 143
vii
List of Examples
Example ntk lqc
Example 1 Violin Sonata op. 94, mvt. 3, mm. 1-17 5

Example2 Unique Connection Principle in Hierarchical Structures 9
Example3 Hierarchical Structures and Network Structures 12
Example4 Restrictions on Transformations at the First Level, from
Bryce Rytting, Table 4 p. 68 (citations in parentheses refer to
sections from free Composition) 14
ExampleS Voice Exchange Prolongations in a Network 15
Example 6 Prolongation of a Dissonant Passing Tone 18
Example 7 Hierarchical Inconsistencies in Schenker's Notation,
reproduced from Allan Keiler, "On Some Properties of
Schenker's Pitch Derivations." 22
Example 8 Back- and Front-Weighted Interruption Structures 23
Example 9 Scale Degrees and Their Functional Descriptions 28
Example 10 Summary of Wrong-Note Categories 29
Example 11 Unique Agent Function and Agent Discharge 30
Example 12 Wrong-Note Dominant Agent, Violin Concerto No.2, mm. 32
18-52
Example 13 Wrong-Note Subdominant Agent, Cinderella's Waltz, op.
102, no. 1, mm. 17-25 34
Example 14 Combination of Agent and Base Discharges 36
Example 15 Wrong-Note Dominant Agent+ Dominant Base, strong
salience, Piano Sonata No.2, Scherzo, mm. 31-48 38
Example 16 Wrong-Note Dominant Agent +Dominant Base, low salience
Violin Sonata op. 94, mvt. 3, mm. 1-17 39
Example 17 Wrong-Note Dominant Agent+ Dominant Base, Ambiguous
Case,Violin Concerto, No.2, mvt. 1, mm. 1-18 41
Example 18 Chordal Root vs. Base Function, Peter and the Wolf, Peter's
Theme, mm. 1-8 43
Example 19 Wrong-Note Dominant Agent + Dominant Associate, Violin
Sonata op. 94, mvt. 3, mm. 35-53 45
Example 20 Wrong-Note Subdominant Agent + Subdominant Associate,
Piano Sonata No.5, mvt.1, mm.l-9 47
Example 21A-c Motivic Connections in Mozart Piano Sonata k. 330, mvt. 1
(A) First Theme (B) Second Theme (C) Development 52
viii
Eximl!l~ :~:ilk Ela

Example21D Motivic Connections in Mozart Piano Sonata k. 330, mvt 1
(D) Network Relationships 53
Example21E Motivic Connections in Mozart Piano Sonata k. 330, mvt.1
(E) Motivic Coherence 54
Example22 Tonal Motivic Network in "Oassical" Symphony, mvt. 1 56
Example23 Pitch-Class Motives in Violin Sonata op. 94, mvt. 3 59
Example24 Pitch-Class Motive in Violin Concerto No. 2, mvt. 1 63
Example25 Pitch-Class Motive in Cinderella's Waltz, op. 102, no. 1 65
Example26 Set Motives in Piano Concerto No. 3, mvt. 2 68
Example27 Minturn's Analysis of Violin Sonata op. 94, mvt. 2, mm. 1-7
(from Examples 6.7 and 6.8 in The Music gf 5er~J!i Pmkofiey.
p. 147) 71
Example 28 Tonal Derivation of Violin Sonata op. 94, mvt. 2, mm. 1-7 73
Example29 Comparison of Two Different Analyses of Violin Sonata op.
94,mvt.2 75
Example30A Piano Sonata No. 7, mvt. 2, (A) Tonal Structure 78
Example 30B Piano Sonata No.7, mvt. 2, (B) Network 79
Example30C Piano Sonata No. 7, mvt. 2, (C) Motivic Analysis 81
Example30D Piano Sonata No. 7, mvt. 2, (D) Tonal Network with
Implied Cadence and Motives 83
Example 31A-B Cinderella Gavotte op. 95, no. 2, mm. 8-15, (A) Tonal
Structure, (B) Motivic Analysis 85
Example31C Cinderella Gavotte op. 95, no. 1, mm. 8-15, (C) Network 87
Example32 Middleground Structure Schubert's Piano Trio in Eb Major,
mvt.2,Dln1.84-129 93
Example33 Wrong-Note Tonic Prolongation in the "Classical"
Symphony Gavotte 95
Example34 Transition Section, Violin Concerto No. 2, mvt. 1, mm. 28-52 97
Example35 Comparison of Structure and Design, Peter's Theme 99
Example36 Structure and Design of Wrong-Note Harmony in Romeo and
h&Jii:t, Gavotte mm. 42-46 102
Example37 "Classical" Symphony, mm. 5-12 104
Example38 Cinderella's Waltz, mm. 17-25 105
Example39 Sonata Form Design and Structure 109
Example40 Structure and Design of Violin Sonata op. 94, mvt. 3 112
ix
E!im5!1~ ll.tk bp
Example41 Wrong-Note Progression in Violin Concerto No. 2, mvt. 1,
mm.1-18 115
Example42 Wrong-Note Progression in Violin Concerto No. 2, mvt. 1,
mm.18-52 117
Example43 "Classical" Symphony, mvt. 1, Exposition 120
Example44 The Youn& Juliet. Romeo and bt!jet 123
Example45 Lieutenant Kijg. Rgmaoce 125
Example46 Masks- Rgmeg and Juliet 127
Example47 Piano Sonata No.9, mvt. 3 131
Example48A Violin Concerto No. 2, mvt. 1, (A) Tonal Opening of Violin
Solo, mm. 1-2 134
Example 48B Violin Concerto No. 2, mvt. 1, (B) Transition Section, mm. 28-
52 135
Example48C Violin Concerto No. 2, mvt. 1, (q Violin Solo, mm. 1-9 136
Example480 Violin Concerto No. 2, mvt. 1, (D) Diatonic and Chromatic
Transformation in the Second Theme 137
Example48E Violin Concerto No. 2, mvt. 1, (E) Recapitulation Transition,
mm.197-223 139
Example 48F Violin Concerto No. 2, mvt. 1, (F) Intervallic Difference
Between 3-1 and 3-2 Trichords 140
1
Introduction
Prokofiev's distinctive compositional style can be recognized easily by its quirky
turns of phrases and unexpected harmonies, which have been called "wrong notes" by many
scholars.l "Wrong notes" helped Prokofiev earn his early international reputation as an
impudent child prodigy unintimidated by authority. Ironically, Prokofiev's impertinent
"wrong-note" music is some of the most widely-admired music in the twentieth-century,
including Peter and the Wolf, Romeo and fuliet. Love for Three Oran=. and Lieutenant
~-
"Wrong-Note Music"
From a compositional standpoint, a note cannot be "wrong." Composers do not
accidentally include a note that does not belong and then forget to edit it out of publisher
proofs. Theorists and critics describe notes as "wrong" in order to capture the notes'
incongruous effect within tonal contexts. Describing notes as "wrong'' seems to imply that
they are incorrect substitutes for the "right notes," which would be notes that conform to
conventional tonal expectations. The term is problematic because it makes two incorrect
assumptions. Firstly, it assumes a generic tonal standard applicable to the music of any
century. Secondly, it assigns a negative value to notes that do not conform to such a
standard. Although Prokofiev's chromatic excursions may be uncharacteristic of an 18th-
century tonal style, they are not incorrect notes. Nonetheless, I use the term throughout the
dissertation for two reasons:
lA list of scholars who use the term "wrong note" ( in chronological order}:
William Austin, "Prokofiev's Fifth Symphony'' Musjc Review 17 (1956}: 205-220; Patricia
Ashley, "Prokofiev's Piano Music: Une, Chord, Key'' Ph.D. Dissertation, University of
Rochester, 1963; Rebecca Kaufman, "Expanded Tonality in the Late Chamber Works of
Sergei Prokofiev" Ph.D. Dissertation, University of Kansas, 1987; Richard Bass,
"Prokofiev's Technique of Chromatic Displacement" Music Analysis 7 (1988): 197-214;
Jonathan Kramer, Listen to the Music A 5elf-Guided Tour Throu&h tbe Orchestral
Repertoire (New York: Schirmer Books, 1988), and Neil Minturn, The Music of 5er~i
Prokofiev (New Haven: Yale University Press, 1997).
2
• I wish to maintain consistency with previous Prokofiev scholarship, which has
used the term for over SO years.
• The term describes a psychological effect created by Prokofiev's sudden chromatic
twists.
For ease of reading, I have dropped the cautionary quotation marks around "wrong-note
music" throughout most of the dissertation. Despite their name, wrong-note passages can
actively participate in tonal coherence. Paradoxically, they can also detract from tonal
coherence.
Analytic Methodology
The study begins by exploring how wrong notes function in a Schenkerian model of
tonal coherence. Although a Schenkerian model can account for them as chromatic passing
and neighboring tones, wrong notes break hierarchical transformation rules that form the
philosophical basis of Schenker's theory. Instead of excluding wrong notes from a system of
tonality because they lack hierarchical derivation, I question the hierarchial nature of
Schenkerian graphs. This study reveals that Schenker's theory does not produce strictly
hierarchical graphs as defined by mathematical models. Chapter One discusses an
alternative means of representation, a network model, which can accommodate non-
hierarchical musical associations. Using a network model not only accommodates wrong
notes, but it also better represents Schenkerian analytic practice.
Along with a network representation of musical associations, this dissertation
relies upon an analytic method developed by Daniel Harrison. Originally conceived for
nineteenth-century chromaticism, Harrison's theory of harmonic functions can also help
explain wrong-note chromaticism. Chapter One explores various harmonic functions of
wrong notes that contnoute to the tonal coherence of Prokofiev's music. Using a revised
Schenkerian theory and Harrison's function-theory, wrong notes can be integrated into a
tonal conception of coherence.
3
Dissertation Overview
In addition to non-hierarchical prolongation techniques and wrong-note harmonic
functions, networks can also represent relationships created by motives and formal design.
Chapter Two discusses motives, differentiating between strongly and weakly tonal ones.
Whether dependent or independent of their tonal context, motives help create
relationships that make a supposedly "wrong note" belong in the music. While Chapters
One and Two concentrate on pitch aspects of wrong-note music, the third chapter prioritizes
non-pitch attributes. Chapter Three discusses formal and surface designs and their impact
on the perception of a note as wrong. Integrating the analytic methods of the first three
chapters, the final chapter presents six analyses that demonstrate a wide range of
coherence based upon corroborating and conflicting relationships among structure, motives,
and design.
4
Cbapter One: Wrons-Note Strudures
"Wrong notes" is a misleading term used to describe unexpected chromatic twists in
Prokofiev's music. These chromatic excursions have been called "wrong" because they
challenge conventional tonal expectations created by Prokofiev's use of traditional
cadential goals and phrase structures. It is as if the wrong notes are atonal spices added to
an otherwise tonal structure. Using the term "wrong" seems to imply that these chromatic
notes disrupt coherence by not participating in a tonal structure. In this chapter, however, I
will demonstrate how Prokofiev's supposedly "wrong-note" passages, rather than being
anomalous to a tonal structure, instead actively participate in tonal coherence.
Part 1: Wrong Notes, Hierarchies, and Networks
An Example of a Wrong-Note Passage
Example 1, an excerpt from Prokofiev's Violin Sonata op. 94, mvt. 3, illustrates a
typical wrong-note phrase-
The background structure of the first phrase of the movement, shown at level C, is
easily understood as an antecedent phrase in an interruption structure; the opening tonic
moves to a dominant half cadence atm. 17. The foreground perspective, however, shown at
level A, is not so readily placed into an established theoretical paradigm. In m. 8 an F#-
minor harmony, shown with an asterisk, seems sudden and out of context in relation to the
surrounding F-major tonic and dominants. This F#-harmony is the "wrong note," as
if the bass passing motion in m. 7 went awry and incorrectly landed on the F#.
5
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Example 1: Violin Sonata op. 94, mvt. 3, mm. 1-17
Comparing Prokofiev's usage with that of Beethoven, Richard Bass describes a
wrong-note passage in this way:
"The use of direct chromatic movement to shift tonality by a semitone is, like modulation
by deceptive resolution, nothing new to tonal music ... The essential difference between
Beethoven's and Prokofiev's applications of the technique is that Beethoven prepares the
shift deliberately and at a point of structural articulation, whereas Prokofiev
accomplishes it fluently and without preparation, often in mid-phrase. With Beethoven,
the arrival of a new key is experienced as a structural event; with Prokofiev it is integrated
into the textural fabric and subordinated to the rhythmic and melodic momentum."l
1 Bass, Prokofiev's Iechnique of Chromatic Qi!iplacement p. 199.
6
Often consisting of sudden shifts by step or half-step, wrong-note passages sound out of
context because they fluidly juxtapose distantly-related harmonies in the middle of a
phrase.
The wrong-note phrase of Example 1 demonstrates a typical structural conflict
between forces contnbuting to coherence and forces detracting from it. A study of the
hierarchical relationships in this example reveals a weak correlation between levels that
detracts from the coherence of the phrase. A standard consonant support for the C# in m. 8
would be an A-major harmony. A-major creates a stronger hierarchical structure because it
creates a falling fifth progression, A major to D minor, which is a foreground diminution of
middleground and background progressions. A major would thus represent a parallel
transformation in the foreground of deeper-level processes. F# minor, however, does not
parallel middleground and background processes; the progression to F# minor is not a direct
diminution of a deeper-level structure. The root motion by half-step between F-major and
F# minor is not a harmonic progression derived from deeper levels of structure. F# minor
does not participate in the harmonic syntax of the phrase; in fact, its ~ purpose appears
to be as consonant support for voice-leading motions. It "breaks" the transformational
process at the middleground level.
If wrong notes cause a break in transformational process between hierarchical
levels, does this exclude them from being incorporated into a Schenkerian conception of
tonal coherence? Because Schenker's strong metaphorical descriptions of organic unity
invite a strict hierarchical interpretation of his theoretical system, it would seem as if the
answer to that question is yes. The following quotes are typical:
7
"Musical coherence can be achieved only through the fundamental structure in the
background and its transformations in the middleground and foreground ... The
hands, legs, and ears of the human body do not begin to grow after birth; they are
present at the time of birth. Similarly, in a composition, a limb which was not
somehow born with the middle and background cannot grow to be a diminution.''2
"The principles of yoice-leadin,. organically anchored, remain the same in

background, middleground and foreground, even when they undergo transformation .
. . Nothing new is to be expected ... nothing truly new appears: we witness only
further transformations."3
Schenker states that coherence is created by the background structure and m

transformations (my emphasis). Taken literally, this requires that the foreground consist
only of diminutions of the background. If tonal coherence necessitated such strict
hierarchies, then the wrong-note progressions of Prokofiev's music would fall outside the
scope of tonality. It is a mistaken assumption, however, that Schenker's theory of tonal
music is based upon strict hierarchical relationships. Although Schenker implies that
hierarchical structures are necessary for tonal coherence, I will argue that Schenkerian
analysis, as practiced by Schenker and American theorists, does not always result in
hierarchical structures.4
Definition of Hierarchy
There are many heuristic uses of the term hierarchy in music research that dilute
the meaning of the term to such an extent that it sometimes refers merely to a ranking of
musical events. When I say that Schenkerian analysis does not always depict hierarchical
structures, I am assuming a much more ambitious meaning of the term, in which musical
2Heinrich Schenker, Free Composjtion: Volume ill of New Musical Theories and
Fantasies ed. and trans. Ernst Oster. (New York: Longman, Inc., 1979), p. 6.
3Schenker, Free Composition. pp. 5-6.
4for a discussion of hierarchical inconsistencies in the work of Schachter, Rothgeb,

Rothstein, Burkhart, and Oster, see: Richard Cohn and Douglas Dempster, "Hierarchical
Unity, Plural Unities: Toward a Reconciliation" in Qisdplinin' Music: Musjcol~ and jts
Canons ed. Katherine Bergeron and Phillip V. Bohlman. (Chicago: University of Chicago
Press, 1992), pp. 156-181. See especially pp. 164-168.
8
functions are understood as part of a system. I adopt a definition of hierarchy developed by
Robert Morris, Richard Cohn and Douglas Dempster that is derived from systems science.S
A hierarchy is a system of events that are organized according to two constraining
requirements. Firstly, every element or node of the system must be connected to every other
element or node by exactly one path. Cohn and Dempster refer to this as the "Unique
Connection Principle."6 Example 2 illustrates this first condition of hierarchical
structures. The three events of the hierarchy, enclosed in boxes in Example 2A, are
uniquely connected and therefore represent a proper hierarchical structure. Comprised of an
E-melod.ic tone supported by a C-harmony, event 1 is the initial starting point of the zug,
Event 2 is the passing tone 0, and event 3 is the final destination of the melodic line.
Notice that there is only one path connecting Event 2 with what comes before it and with
what comes after it. Connecting the E to D, the first slur shows that the prolongation begins
by a descending stepwise motion. The second slur shows that the prolongation is completed
by the motion D to C. Because all events are uniquely connected, a deeper-level of the
hierarchy can be depicted, which is shown in the staff below. If the D had any other
connecting path, such as the one shown in Example 28, it would break a hierarchical
structure. The structure in Example 2B is not a hierarchical one because Event 2, the passing
tone D, has two derivations. One slur depicts D as a passing tone that prolongs the C-
harmony, while another slur depicts the D as an anticipation to the subsequent dominant
harmony. Because there are two conflicting paths relating the D to its surrounding events,
it is difficult to determine systematically a deeper-level structure of the relationships in
Example 28. Should the D be considered part of the prolongation of the C-harmony,
5The following definition of musical hierarchy is based upon: Robert Morris,

Composition with Pjtch-CJas-se; (New Haven: Yale University Press, 1987), pp. 234-6;
Cohn and Dempster, "Hierarchical Unity, Plural Unities," pp. 156-162.
6Cohn and Dempster, "Hierarchical Unity, Plural Unities," pp. 157-162.
9
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Structure Structure
Example 2: Unique Connection Principle in Hierarchical Structures
resulting in the deeper-level structure of Example 2A, or should the D be considered part of
the prolongation of the G-harmony, resulting in a deeper-level structure defined by a G-
chord? The question marks in the lower staff of Example 2B point out these ambiguous
derivations of the first melodic D. In order to derive hierarchical levels, unique connections
are required for all structural events.
10
The second condition of hierarchical structures requires that a hierarchy be
"rooted." The lowest level of the hierarchy, the root, must be the source from which all
other hierarchial events are generated. Based upon Schenker's description, the
fundamental structure could be considered the root of a hierarchical system:
"The life of the fundamental line and the bass arpeggiation manifests itself not
only in the first horizontal succession and in the first arpeggiation; it also expands
through the middle~ound. through what I have called the voice-leading and
transformation levels, prolongations, elaborations, and similar means, into the
foreground. . .. Whatever the manner in which the foreground unfolds, the
fundamental structure of the background and the transformation levels of the
middleground guarantee its organic life.''7
" ... Thus in the creative act the fundamental structure is ever present. It
accompanies each transformation in the middleground and foreground, as a
guardian angel watches over a child."8
A corollary of the root condition is that non-root nodes must be formed by a systematic
application of reductive transformations. If the root is understood as the generative seed,
then looking from the opposite direction, the non-root nodes must be related to the seed by a
process of reduction. Some system scientists consider the reductive properties of
hierarchies as the primary defining characteristic of the structure. For example, Robert L.
Flood and Ewart R. Carson define hierarchy in this way:
"Hierarchical organization is a logical representation of phenomena as systems

and subsystems. This type of organization is made and understood by employing
systematic reductionism. The strongest hierarchies are those in which the paths
between nodes are defined by strict reductionism. " 9
7Schenker, Free Composition p. 5.
8Schenker, Free Composition p. 18.
9Robert L. Flood and Ewart R. Carson, Oealinl with Complexity; An Introduction to

the Theory and Application of Systems Science (New York: Plenum Press, 1993), p. 17.
11
Schenkerian Theory and Hierarchies
According to the above definition of hierarchy, wrong notes cannot fit into a
hierarchical conception of tonal structure because the transformational process between
levels of a wrong-note progression is not systematically reductive. But do all Schenkerian
prolongational techniques create systematically reductive structures? In the following
sections of the chapter, it will be shown that many tonal prolongations, such as a
prolongation of a dissonant passing tone, or a prolongation by voice-exchange, cannot be
represented within a strictly hierarchical structure. The transformational break between
hierarchical levels of wrong-note progressions, rather than being anomalous to Schenkerian
tonal structures, is actually an exaggerated disclosure of the hierarchical inconsistencies
within Schenker's theory. In order to model Schenkerian analytic practice accurately, I
develop a revised conception of Schenkerian tonal coherence using network structures,
rather than hierarchical ones. This revised conception is based upon ideas from Cohn and
Dempster, who imagine coherence as a plurality of unities.lO
Network Structures
Networks are flexible constructs that allow more than one path to connect the nodes
of its system. While a hierarchy limits the connections between its nodes to a singular
path, a network requires merely that at least one path may be traced between any pair of
nodes. A network must have a hierarchy as a subset of its system, but it also allows for
extra-hierarchical connections between events.ll Example 3 illustrates the differences
between a hierarchy and a network. Example 3A depicts a strict hierarchical structure in
which circles represent events and lines represent transformation operations. The topmost
circle is the root of the hierarchy, and each event is uniquely connected. In Example 38, the
IOCohn and Dempster, "Hierarchical Unity, Plural Unities," pp. 171-181.
llCohn and Dempster, "Hierarchical Unity, Plural Unities," p. 171.
Example 3: Hierarchical Structures and Network Structures
hierarchical structure is replicated, yet some of the circles are filled in. Along with the
hierarchical relationships of events, Example 3B introduces an extra-hierarchical
association, which could be defined as "black events." 3B depicts a network structure that
combines the hierarchy of 3A with the extra-hierarchical "black-event" associations
shown in 3C. The structure in 3B is not a hierarchy because the black events do not fulfill
the Unique Connection requirement of hierarchical structures.
13
Network Structures in Schenker's Theory
Some of the prolongational transformations that Schenker defines in fu.e
Composition can be better incorporated into a network structure, instead of a hierarchical
one. In the chapters entitled, " Specific Characteristics of the Middleground: The First
Level," and "Specific Foreground Events," Schenker describes restrictions and differences
between transformations of the middleground and foreground analytic levels.12 Because
some transformations are designated to specific structural levels, the reductive process can
be a variable procedure from one level to the next. Example 4, a reduction of Table 4 from
Bryce Rytting's dissertation, shows Schenker's explicitly detailed transformational
differences between the first analytic level (deepest middleground) and other analytic
levels.13 At the top of the table are transformations that are allowed at surface levels, but
which are not allowed at the deep, first level of the middleground. For example, voice
exchanges are frequent at foreground levels, but they are not allowed at the deepest
middleground level. The lower part of the table lists restrictions on transformations at the
deepest middleground level. For example, the transformation of an upper neighbor, which
is unrestricted at surface levels, can only be applied to the Kopfton at the deepest
middleground level.
12Schenker, Free Composition, p. 29 and 87 respectively.
13Bryce Rytting, Structure versus Orpnicism in Scheukerian Analysis (Ph.D.

Dissertation, Princeton University, 1996,) p. 68. For a slightly different list of
transformational restrictions on the deep-middleground level see Matthew Brown, A
Rational Reconstruction of Schenker's Theory (Ph.D. Dissertation, Cornell University,
1989, p. 144.)
14
Transformations not available at the first level

Voice exchange (§236)
Lower neighbor (§106)
Transformations restricted at the first level
The fundamental bass cannot descend to Vat the first level (§§53, 54, 186)
V-I cannot be prolonged (§86, see also §65)
Mixture is limited to AJ (§102)
Upper Neighbors are restricted to the Ko12fton of "'5 and "'3 lines (§106)
The only permitted goal for an ascending linear progression is the Kg12ftQD (§120)
Descending linear progressions limited to members of the fundamental line (§113)
The only permitted goal for arpeggiations is the Kg12fton
(apparently only of AS and AJ lines) (§125-6))
Reaching over at the first level relates only to the Kg12ftgo (apparently of "5 and AJ
lines} (§132}
Motion from an inner voice may not transform the Kgpftgn and it is restricted to the
tones of the fundamental line and the upper neighbor (§136)
Unfolding is restricted to fundamental line tones and the upper neighbor
Descending register transfer and coupling apply to tones of the fundamental line and bass
(§§ 151, 153}
Example 4: Restsrictions on Transformations at the First Level, from Bryce Rytting,

Table 4, p. 68. (citations in parentheses refer to sections from fi=
Qmpg;jtim)
v gice Excham~es
The differences between levels described in Example 4, which could not exist in a
systematically reductive hierarchical structure, tm be incorporated into a network
structure. Example 5C shows a network in which voice exchanges are shown as "black
event" associations between the middleground and the foreground. The root node of this
network is the fundamental structure shown in Example SB. As the generative seed of the
hierarchical subset of the network, this root contains the germinal transformations that
generate further hierarchical levels, including stepwise descending melodic motion, and
15
,.. ,.. ,..

3 2 I ,.. ,..
~ :.....- r~
[E -
3
2
I l
1\
l
..
'\ ~-
'~
.....~
....
'~"
"'~
LJ' /
'
<
. X
t _,I_• ~
I
- v
7
I
l
I v I
7
3
,. ..l ,.
l
[ v [
[£] (0
. .
x~ e ~0 .. level 1
: ;.( \ A
l
v
l
I
• 0 level 2
X~
l 3
Example 5: Voice Exchange Prolongations in a Network
hannonic root motion by fifth. On the middleground level 1, shown in Example SA, the
first tonic chord is prolonged by a voice exchange 1-16, a transformation run derived from
the root node. The black node on level2 of C represents the voice exchange of the upper
voices within the opening root-position tonic chord. The presence of black nodes on
16
successive levels of the network demonstrates that extra-hierarchical associations can be
embedded, creating associations between network levels.
Prolonp tion of a Passini Tone
Another kind of prolongation that requires a network structure, rather than a
hierarchical one, is the prolongation of a passing tone. Since the hierarchical
inconsistencies of wrong-note progressions primarily derive from the inconsistencies
presented by the prolongation of a passing tone, it is useful to examine Schenkerian
descriptions of this prolongation technique. Prolongation is a concept that is usually
reserved for consonances, and therefore the prolongation of a dissonance requires theoretical
justification. Oswald Jonas describes the conditions necessary for the prolongation of a
passing tone:
The only sonority that can be composed out is a stable one, thus a consonance. If
composing-out is to be applied to a dissonance, it must temporarily be divested of
its character of driving toward a goal; that is, the dissonant tone must be
transformed into a consonance. 14
In other words, what is consonant at one level, can be dissonant at another level. This
transformation of a dissonance at a deep level into a consonance at a more surface level is
integral to a Schenkerian conception of levels and prolongation. If applied systematically,
the change of contrapuntal function from dissonance to consonance could be part of a
hierarchical tonal structure. However, it is not always applied systematically;
harmonies that support a dissonance are sometimes interpreted differently from harmonies
that support a consonance. Consider the following quote from Oswald Jonas:
14 Oswald Jonas, Introduction to the Theory of Heinrich Ss;henker; The Naturg of

the Musical Work of Art (New York: Longman Inc., 1972), p. 100.
17
"The dissonant passing tone has become a composed-out triad that has even been
tonicized. Nonetheless, the necessity of its appearance, its logical place in context,
is to be attributed, only to the passing tone. ...The dissonance itself is sterile. As a
passing tone it is, to be sure, a vehicle of composing-out; but to be itself composed-
out, it must be transformed into a consonance, a bearer of a triad that admits of
composing-out. 5o transformed, it can unfold with its own passing tones.
Harmonically, however, the thus elaborated triad has no relationship to the point
of origin of the passing tone."15
Jonas states that the triad that consonantly supports the dissonant passing tone
may not be harmonically related to the harmony that supports the consonant beginning-
tone of the zug. Because the beginning harmony has hierarchical primacy, it controls the
harmonic meaning of the entire progression at deeper levels. This kind of relationship is
shown in the prolongation of the initial C-harmony in Example 6. As shown in A-1, C
major is prolonged by a melodic descending third progression. In A-2, the passing tone of the
melodic line is consonantly supported by a B-minor triad. Because the passing tone now has
a consonant context, it may itself be prolonged, shown in A-3. As a triad outside of the C-
major scale, however, B minor is not harmonically related to the prevailing C-harmony of
the deeper-level. B minor functions only as consonant harmonic support for the D-passing
tone. Consequently, B minor is not harmonically derived from the C-harmony.
Sometimes a harmony that supports a passing tone ~harmonically derive from
the harmony that supports the initial tone of the progression. In the fundamental structure,
the dominant chord that supports "2, a dissonant passing tone, is. harmonically related to
the tonic harmony that surrounds it. The dominant is related by the strongest tonal
harmonic connection, root motion by fifth. In other words, sometimes the harmony that
supports a passing tone is an integral element in the harmonic phrase, (the dominant of the
fundamental structure), and sometimes it does not harmonically participate in the phrase
(B minor in the C-tonic phrase of Example 6). Because the transformation from foreground
15Jonas, Introduction to the Iheocy of Hejnrich Schenker, p. 60. Italics in the

original.
18
j A
I i i i i
0 l.--..._, I l 0~, I l 01 I I I
~
l1 l1 - l1
I4:J
~
. -?
* .--:----. * ..--.. -~. ~--.
*
C-harmony prolonged by Consequent support of

passing tone the passing tone 8 minor:
I\ I\ 1\
2 1
~
3
I v I
0
1\
3 /~ 1\
2
1\
1
I 0 0 v I
(
II.
I
3 •
PT
/1.
2
I
/1.
1
Example 6: Prolongation of a Dissonant Passing Tone
19
to middleground is not a systematic reductive process, the progression in Example 6A-3
cannot be depicted using a strict hierarchical structure.l6 Example 6B shows a network
structure for the phrase. The white nodes show the hierarchical subset of the network, and
the black node at the bottom is connected to the network using less stringent
transformational rules based only on preserving contrapuntal consonance and disregarding
harmonic function.
The Constructive Conflict Paradigm
Not all non-hierarchical network relationships in Schenkerian analyses are
created by prolongational techniques. Many American Schenkerians17 have drifted away
from a hierarchically unified view of music analysis, and have instead adopted what
Richard Cohn calls a "Constructive Conflict Paradigm,"
"whereby some significant compositional feature is incompatible with the

'structure' of the composition (as defined by the Ursatz and the voice-leading
transformations which form the 'structural hierarchy'), and the relationship of
feature to structure assumes a healthy dialectical demeanor that contributes in
some way to the essence or experience of the composition."18
In other words, musical features other than structure, such as motives and formal design, can
play an important role in Schenkerian analysis. If one accepts this analytical premise of
Constructive Conflict, then musical coherence becomes a confederation of related, yet not
singularly derived, musical associations that can be depicted using networks. The musical
16When discussing the music of Liszt, Howard Cinnamon extends Schenker's

conception of the functional irrelevance of a harmony supporting a dissonant tone.
According to Cinnamon, the middle stage of Liszt's tonal evolution features a break in
correlation between foreground and middleground such that there is no longer a correlation
between the harmony that is being prolonged and the linear procedure that prolongs it. In,
"Tonic Arpeggiation and Successive Equal Third Relations as Elements of Tonal Evolution in
the Music of Franz Liszt" Music Theocy Spectrum 8 (1986): 1-24.
17For a list of scholars who use a Constructive Conflict analytic strategy, see
footnote #19 and #20.
18Richard Cohn, "Schenker's Theory, Schenkerian Theory: Pure Unity or

Constructive Conflict?" Indiana Iheocy Review 13 (1992): 3.
20
features that create constructive conflicts are generally either motivic design or formal-
thematic design. Some theorists who illustrate a conflict between motives and structure are
Charles Burkhart, Allan Cadwallader, William Pastille, David Beach, and John
Rothgeb.19 Among those illustrating a conflict between formal design and structure are
David Beach, William Rothstein, and Carl Schachter.20
Although Beach does not explicitly use the word, "network," his analytic
conclusions support a network conception of coherence. In an article that describes analytic
contradictions between the prolongational structure and formal-thematic designs of some of
Schubert's sonata forms, he presents a typical Constructive Conflict.21 Beach notes a
Schubertian predilection for presenting the thematic recapitulation of a sonata in a key
other than tonic, which confuses the issue of recapitulation. Is the recapitulation defined
by the resumption of the tonic harmony, or by the return of opening thematic material?
Beach asserts that both views are analytically worthy and should be considered for a true
understanding of Schubert's music. Rather than a systematic unity, this Constructive
Conflict suggests a confluence of related, yet independent systems, whose interaction resists
hiPrarchical modelling.
Although the Constructive-Conflict paradigm is a specifically American adoption
of Schenkerian principles, it is derived from an analytic practice developed by Schenker,
19Charles Burkhart, "Schenker's Motivic Parallelisms" ToyrnaJ of Music Theory 22

(1978): 145-75; Allan Cadwallader and William Pastille,"Schenker's High-Level
Motives" foymal of Music Theory 36 (1992 ): 119-148; David Beach, "Motive and Structure
in the Andante Movement of Mozart's Piano Sonata I<. 545" Music Analysis 3 (1984): 227-
241; John Rothgeb, Review of Walter Frisch, Brahms and the Principle of Develqpin&
Variation. Mysic Theory Spes;trum 9 (1987): 209.
20William Rothstein, Phrase Rbytbm jn Tonal Music (New York: Schirmer, 1989);
Carl Schachter, "Rhythm and Linear Analysis: A Preliminary Study," Mysk forum 4
(New York: Columbia University Press, 1976).
21David Beach, "Schubert's Experiments with Sonata Form: Formal-Tonal Design

versus Underlying Structure." Musjs; Theory Spec;trum, 15 (1993): 1-18.
21
who included formal and motivic relationships in his voice-leading graphs. The following
discussion highlights the work of Richard Cohn, Bryce Rytting, and Allan Keller, who
clearly delineate hierarchical inconsistencies that result from including many musical
features, such as structure, motives and design, in a music analysis. Their findings support
the position that Schenkerian analysis depicts network structures, rather than
hierarchical ones.
Fonnal Design and Structure
Allan Keller discusses how strict hierarchical relationships are sacrificed when
one confuses the distinction between formal-thematic relationships and structural voice-
leading relationships.22 Keiler points out notational inconsistencies in Schenker's graphs
that are caused by introducing formal-thematic elements into a structural voice-leading
graph. For example, in Schenker's graph of the theme in Brahms's Haydn Variations,
shown in Example 7, the dominant harmony that supports A2 of the Urlinie has quarter-
note bass support, while the dominant support of the neighbor note, which generates the
middle section of the theme, gets a half-note support.23 This notational inconsistency is
shown most clearly in the example by the boxed events on Schenker's first middleground
level of analysis (Schenker's level 1). Schenker has demoted the hierarchical importance
of the dominant associated with A2 in favor of the dominant prolongation of the middle
section. This reverses the hierarchical derivation of these pitches. The A2 support is
hierarchically prior and therefore should be given a half-note, while the neighbor-note
melodic tone, which is not part of the Urlinie, should receive a closed notehead.
22Allan Keiler, "On Some Properties of Schenker's Pitch Derivations" Mmk

Perception 1 (1983-4): 211-227.
23Example 7 is reproduced from Allan Keller, "On Some Properties of Schenker's

Pitch Derivations," p. 216.
22
Schenker'spph of chcme, lnhms H..,d• V..n.woas.
Example 7: Hierarchical Inconsistencies in Schenker's Notation, reproduced from Allan

Keller, •an Some Properties ofSchenlcer's Pitch Derivations."
23
In this graph, Schenker is willing to sacrifice notational consistency based on the
hierarchical derivations of pitches, in order to depict the formal significance of the
neighbor-note A4.
In a study of Schenker's interruption structures, Rytting attnbutes notational
inconsistencies in Schenker's graphs to a hierarchical conflict between c;terivational and
formal representations of interruption structure.24 Interruptions contain two descending
linear progressions, one partial [A3-A2) and one complete [A3-J\2_1\1J. The second 1'3
represents the regained primary tone, which passes through the Ursatz A2 to the final AI.
From a derivational point of view, the first A2 arises at a later hierarchical stage than the
Ursatz A2 because it is not part of the Ursatz; it is subordinate to the initialA3 and is
usually supported by a back-relating dominant. Therefore, the second 1\2 has hierarchical
priority in a derivational perspective and creates a graph such as the one in Example SA,
which Rytting calls a back-weighted interruption structure.
-'II
3
1\
r
1\
2
1//
1\
3
r....
I
1\
2
II -
1\
3
I I
1\
2
I
1\
3
I
,.,
1\
2
1\
.• ~
~-
l... I l
" II
j_ I ....J
I
Back-weighted interruption structure Front-weighted interruption structure
Example 8: Back- and Front-Weighted Interruption Structures
24The following discussion of interruption structures comes from Rytting, Structure

Versus Or.pnjcism, pp. 53-75.
24
From a formal standpoint, however, the first "2 has hierarchical priority. In sonata form,
for example, the first "2 generates the entire secondary key group, development and
retransition, which is more formally significant than the Ursatz "2's dominant chord in the
final authentic cadence of the recapitulation. Rytting calls this formal interpretation of
interruption structure "front-weighted,"shown in Example 88. By far, the most common
type of interruption structure depicted in Free Composition is the front-weighted version.25
Rytting concludes that the conflicting considerations of derivation and form lead to two
contrasting hierarchical arrangements of interruptions. The back-weighted reading looks
back to the way in which the interruption was derived from the Ursatz· the front-
weighted reading looks forward to the formal potential of the first "2. In a network
structure, these two interpretations could exist side by side; networks would not force an
either I or decision between formal-design and voice-leading structure. The relationship
between formal design and structure in tonal networks will be the focus of Chapter Three of
this dissertation.
Motives and Structure
Richard Cohn's work is similar to that of Rytting and Keiler because it also
advocates a network conception of Schenkerian analyses using a Constructive Conflict
paradigm. Cohn shows that the inclusion of motivic relationships into a Schenkerian
voice-leading graph challenges a hierarchical model of structure.26 In system science
terms, he doubts that the Ursatz is a proper root of a hierarchy. If the fundamental
structure were a root of a hierarchy, then all motivic relationships would need to be
embodied in the fundamental structure. In analytic practice, Schenker and Schenkerians
25Rytting compiles and categorizes the types of interruption structures depicted in

Free Composition in Table 2a, 2b and 2c of his dissertation, Stnu:;ture Vexsus Orpnicism. pp.
58-60.
26Richard Cohn, "The Autonomy of Motives in Schenkerian Accounts of Tonal

Music" Musk Theory Spes:trum (1992) 14: 150-170.
25
allow for motivic relationships that do not follow these stringent requirements. Cohn
demonstrates that sometimes a succession of pitch classes suffices for motivic association,
even though the pitch classes have different structural meanings in their respective
contexts.27 Cohn's critique of Schenkerian theory as a hierarchical system is based upon a
simple logical argument: if motivic relationships do not derive from the Ursatz. which is
often the case in Schenkerian practice, then the Ursatz is-tWt the sole source of
compositional unity. By corollary, if the Ursatz is not the sole source of unity, then the
structure devicted, using different sources of unity -structural and motivic - is a network,
not a hierarchy. The relationship between motives and structure in tonal networks will be
the focus of Chapter Two of this dissertation.
Keeping these hierarchical inconsistencies in mind, the fact that wrong notes
challenge a hierarchical model of tonal structure should not be grounds to exclude them
from an interpretation of coherence based upon tonal structure. As the preceding discussion
notes, many features of Schenkerian analysis cannot be modeled by a hierarchy, yet they
QID be modeled by a network. Wrong notes may sound unconventional, not because they defy
hierarchical modelling, but because their network associations outweigh their
hierarchical relationships in a tonal structure. If this is so, it leads to an important
question: how much of a hierarchical sub-structure must a piece have in order to be tonal?
What are the limits and boundaries of a tonal network?
Limits and Boundaries of Tonal Networks
Networks have the advantage of allowing for many different kinds of analytic
associations, creating an inclusive definition of coherence. The flexibility of a network
system, however, can be too encompassing to model coherence usefully. As Cohn and
27For further examples of motives defined by pitch class .an!):, see Steve Laitz, "The
Submediant Complex: Its Musical and Poetic Roles in Schubert's Songs" Theocy and Pradjre
21 (1996): 123-165. Especially note Laitz's description of the occurrence of the Submediant
Complex in major-mode context, (p. 132), in which structure and motivic design function
independently.
26
Dempster eloquently write, "Abandoning the hierarchical home for unconstrained
networks threatens theorists with a nomadic life of promiscuous pluralism."28 The
optimal construct for coherence would relax the stringent requirements of a hierarchical
system, yet constrain the flexibility of a network structure. The more flexible conception of
unity afforded by a network assumes that coherence, rather than being a binary distinction
of "yes" or "no," is a continuum from strong to weak. The inclusiveness that this relative
scale creates is, however, tempered with limits and boundaries. As Neil Minturn questions,
"When does the tonal theoretical structure collapse from the corrosive effect of
overgeneralization?" 29 My answer is that a tonal middleground structure must exist for a
specifically mnai coherence. It can be difficult to decide where the boundary exists
between a weakly coherent tonal structure and a completely incoherent. Music that I
designate as weakly tonal must have clear phrase structures defined by harmonic motion,
and distinct contrapuntal functions of consonance and dissonance. These two conditions
secure the following minimum tonal network structure: a hierarchical subset that is in
effect at least through the deep-middleground tonal structure, and an associative tonal
connection defined by consonance throughout the entire network.
Wrong-Note Structural Networks
Prokofiev's wrong-note progressions are well modeled by the tonal network
described above. In the wrong-note progression of Example 1, the hierarchical subset of the
network is the clear m.iddleground and background phrase structures. Because the
progression to and from the F#-minor wrong-note harmony is not a strict diminution of
deeper level progressions, the strict hierarchy is broken at the foreground level. The
foreground and middleground are connected using less stringent transformational rules based
28Cohn and Dempster, "Hierarchical Unity, Plural Unities," p. 171.
29Mintum, The Musjc of Ser~i Prokofiev, p. 38.
27
only on preserving contrapuntal consonance and disregarding harmonic function or voice-
leading rules. In other words, although the F._minor triad does not have harmonic
significance in the phrase, it~ consonantly support C#. Structural coherence is most
strongly asserted by the hierarchical structure of the background and middleground.
Although weaker than those in a strict hierarchy, the transformations connecting the
foreground to the middleground still create an associative tonal connection that can be
incorporated into a tonal network structure.
Not all wrong-note progressions follow the same structural model presented in
Example 1. The rest of this chapter discusses different categories of wrong-note networks
that are distinguished by the voice-leading behavior of the pitches within a wrong-note
harmony.
Put U: Categories of wrong-note networks
The categories developed in this chapter, which exhibit various degrees of tonal
coherence, are differentiated from one another by their extra-hierarchical tonal
associations. One tonal association that wrong-note networks share is the consonance of the
wrong note within its triadic harmonic support. If, in addition to this consonant context, the
wrong note creates other tonal associations, such as participating in conventional voice-
leading motions, then tonal coherence is strengthened. A tonal association caused by voice-
leading can be found in Example 1. The C# of the wrong-note harmony in m. 8 functions as a
leading-tone to the subsequent 0-minor harmony. Even without conventional dominant
triadic support of the leading tone, C#'s resolution, as a melodic motion, adds a tonal
association to the phrase. In order to create categories of wrong-note networks, there must
first be a theory that explains the tonal associations of melodic voice-leading connections.
Fortunately, there already exists a theoretical model that does this.
28
Melodic Tonal Motion
Daniel Harrison's theory of scale-degree functions provides a basis for explaining
tonal associations created by voice leading connections.30 In Harmonic Function in
Chromatic Music Harrison develops a systematic description of scale-degree functions by
disassembling the traditional harmonic unit, the chord, into its constituent pitches. Based
upon its role in the primary triads, each scale degree is ascnbed a function. As shown in
Example 9, each primary triad contains three scale-degree functions, a base, an agent and
an associate.
1 5 2 < - associates
6 3 7 <-agents
4 1 5 <-bases
Subdominant Tonic Dominant
Example 9: Scale Degrees and Their Functional Descriptions31
Voice leading is a motion between these functional states.32 The normative voice-
leading motion resolving "7 to "1 in Example 1 can be described as a discharge of a dominant
agent to a tonic base. The wrong-note categories developed in this chapter are based upon
the tonal associations created by the functional discharge of agents, bases and associates.
30The following discussion is based upon Daniel Harrison's theory of scale-degree

harmonic functions found in Harmonic Function in Chromatic Musjc; A Renewed Dualist
Theory and an Account of Its Precedents (Chicago: University of Chicago Press, 1994), pp.
43-72.
31 Copied from Harrison, Harmonic Function p. 45, Fig. 2.1.
32For a related discussion of tonal motion, see Harrison, Harm,onjc function pp. 90-
102.
29
Example 10 lists the wrong-note categories, which are differentiated by the number
and combination of scale-degree functions contained within a wrong-note harmony. Each
scale-degree function contributes to tonal coherence in varying degrees of strength. The more
scale-degree functions there are from a primary triad, the closer a wrong-note harmony can
approximate the full triadic function of dominant or subdominant.
Dominant Subdominant
Category 1: Wrong-note dominant agent Wrong-note subdominant
agent only unaccompanied by other dominant agent unaccompanied by
scale degree functions other subdominant scale
degree functions
agent+base supported by dominant base agent supported by
subdominant base
agent + associate supported by a dominant associate agent supported by a
subdominant associate
Example 10: Summary of Wrong-Note Categories
Because they have different tonal strengths, subdominant and dominant functions
are separated. In general, tonal associations created by subdominant scale-degree functions
are weaker than those created by dominant ones because the fundamental structure of
tonality is defined by the progression from dominant to tonic, not by a progression from
subdominant to tonic.33
The rest of this chapter focuses on each category in Example 10, providing wrong-
note examples and discussing the characteristic tonal associations of each category.
33Harrison discusses the role and relative strength of subdominant function in tonal
theories and practice in Harmonic Function, pp. 48-49 and pp. 97-102.
30
Cate&o&y 1; Wmn& Nota as Apnls
Agent function
According to Example 10, all of the categories contain an agent. As the strongest
communicators of scale-degree function, agents control much of the perception of tonal
motion in wrong-note progressions. An agent's tonal force is based upon its singularity of
purpose. "6, "3, and A7 are dedicated to only agent function- (refer to Example 9). Unlike
agents, bases and associates share scale degrees with other functions, and are therefore
more dependent upon context for their function. As shown in Example llA, "5 can be both a
dominant base and a tonic associate. "7, on the other hand, always functions as a dominant
agent, regardless of its context.
I'A1 Dominant Dominant Tonic

L!lJ Agent Base Associate
t~ J .. ..
<
J
. r.1 r--1 r-1
~
A A A
C: 7 s s
Domin:mt :aaent disctlarJc Subdominant qent discb:qc
[[I C:
A
7
A
1
A
7
A
1
A
6
A
s
A
6
A
s
~ I I I I
,~~
• • • 11 • ..
.
' D - T 0- s s - 0 S - T
Example 11: Unique Agent Function and Agent Discharges
31
Not only do agents have a singular purpose, but they also have consistent
normative behaviors. The dominant agent, A7, normatively discharges to Al in progressions
to tonic function, as well as in progressions to subdominant function, shown in Example llB.
Similarly, the subdominant agent, A6, normatively discharges only to AS.34 Since agents
have consistent normative resolutions, they can create an expectation for a specific voice-
leading motion. The presence of A7 can incite an expectation for a resolution to Al. Other
scale-degree functions do not share the agent's clarity of function or discharge, and
therefore agents, With their singularity of purpose and behavior, are the strongest
ambassadors of tonal function. When a wrong note discharges as a functional agent, it
contnbutes a tonal association to a network beyond that of mere consonance; it embodies
normative tonal melodic motions.
eatesocy 10; WroDI Note .as Doptinant Apnt (without other sglc-dclf'' SYJ!portl
When a wrong note functions as a dominant agent and discharges to a tonic base, it
contributes to tonal coherence by reproducing a strong element of the tonal motion from a
dominant chord to a tonic chord.
Example 12: Violin Concerto No. 2. mvt 1 rom. 18-52.
In the exposition of the first movement of Prokofiev's Violin Concerto No.2. a
wrong-note dominant agent discharges its function to tonic. Example 12 shows the beginning
of the transition in the exposition, in which the tonic G minor, (mm. 18), progresses to an F-
major harmony (mm. 28) as the dominant of the second theme area, which is in Bb major. F
major is prepared by its dominant agent, E, which occurs as the third of the wrong-note Cfl:-
minor harmony, shown with an asterisk. (mm. 24-27) TheE-leading tone would
traditionally be supported as the third of a C-major harmony, as shown in Example 12B,
which supports the leading tone with other dominant-functioning scale degrees, (dominant
base and dominant associate). Although the Ct wrong-note harmony lacks two
34Agent discharges are discussed in Harrison, Harmonic Function, pp. 91-96.
32
® @ ® ®s 1\
1\
s *
~
'\ I I...- ..... I"T ~- .........
...
t
~
!'
~
......
., ..... - I
·- \_
F: 7
A
"1
_
<
••
1.... _ ... *-
Dominant- Tonic
t, .... _,
r
-- _U. u.
:...
tt• \tt•1
"r
g-minor:
.. of~ofCit
vu
' m
2nd theme
A
F: 7 "I
B Dominant - Tonic
........ ,./
"I ~
,/"""'
~--
U!'
I ~
!)
<
.,. •• II
-
' F: V
q. 'tj
.,
I
Bb: VN V
Example 12: Wrong-Note Dominant Agent, Violin Concerto No.2, mm. 18-52
33
of the three dominant scale-degree functions, it does contain the E-dominant agent. The
tonal coherence of this passage is strengthened by the discharge of this dominant agent to
the tonic base F.
Categoxy lS; Wrona Note u Sybdomjnant A~t
This category is similar to the previous one, except that it includes wrong notes
that are subdominant agents, rather than dominant ones. Unlike its dominant counterpart,
subdominant agents discharge by desc::endina motion from "6-"5. Although the discharge of
a subdominant agent does not have the same tonal power ascribed to the dominant agent, its
discharge still realizes normative tonal motions that contribute tonal associations to a
network. The following example, from Cinderella's Waltz. contains two wrong-note
harmonies, one of which includes a subdominant agent.
Example 13: Cinderella's Waltz gp. 102 no 2
Within the first phrase of the waltz theme, which begins in E minor, there is a
curious harmonic motion to Eb major in m. 23. Compared to the conventional bass-line of mm.
17-22, the Eb-major chord and its dominant (Bb) sound like wrong-note harmonies
disassociated from the harmonic progression. Immediately after the Eb tonicization, the
thematic material that opened the waltz is repeated in A minor, (beginning in m. 25},
creating a m.iddleground harmonic motion from E-minor tonic to the A-minor subdominant.
In typical wrong-note fashion, the wrong-note harmonies, (Eb and Bb), do not participate in
the harmonic syntax of the phrase, but they do support melodic tonal motions.
As shown in Example 13, the primary melodic tone of the phrase, G, is reached
after an initial ascent from B. Usually an initial ascent prolongs tonic, and the primary
tone of the melodic progression is supported by a tonic harmony. In this case however, the
34
wrong-note Eb-harmony supports the primary tone of the phrase.35 Eb major does not
harmonically function in the phrase as a triad, yet it does consonantly support the melodic
goal of the initial ascent.
r A: 1\
6-S
1\
Subdominant -Tonic
E min: i
-------+---r (Eb-Major !: 1---V) iv
Example 13: Wrong-Note Subdominant Agent, Cinderella's Waltz, op. 102, no. 1, mm. 17-25
From the G in m. 23, a descending third progression through the wrong-note F,
(circled in the example), leads toE, the fifth of the A-minor harmony. Within A-minor,
the scale degree progression from F toE is "6-"5, the characteristic subdominant agent
discharge. Notice that the wrong-note progression creates parallel fifths between the
outer voices, enhancing the perception of this progression as "wrong."
35 It is not unprecedented to support the melodic goal of an initial ascent with a non-
tonic harmony. See, Franz Schubert's Piano Trio in Bb, mvt. 1 and Hugo Wolf's "In dem
Schatten meiner Locken."
35
Modal affiliation of agents
This example of subdominant agent function is in the minor mode, which makes the
discharge from "6-"5 a half-step resolution.36 The tonal strength of agent discharges is
most powerful as half-steps, and consequently, agent discharges have modal affiliations.
The dominant agent, "7, resolves by half step to "1 in the major scale, (or in the harmonic
minor scale, which borrows the seventh scale degree from major.) In the natural minor
scale, however, the dominant agent resolves by whole-step to "1. Consequently, a
dominant agent is most powerful in the major mode, where its half-step ascending
discharge occurs diatonically in the scale. Correspondingly, the subdominant agent
resolves by half-step in minor scales ("6-"5), making subdominant agent discharge strongest
in minor-mode contexts.
Catesor.y 2: Wroq-Note A&ent Supported by a Bue
Base function
Bases are the elemental reduction of the chordal functions, tonic, subdom.inant and
dominant.37 Unlike agents, bases share scale degrees with other functions, (as shown in
Example UA), which makes bases dependent upon context for their function. In order to
communicate its dominant function, "5 must be heard as a base. Harrison defines two
conditions for base function contexts: The base must be either the lowest sounding voice of
the chord, or, if it is not the lowest voice, the base must be accompanied by the functional
agent.38 The first condition minimizes functional ambiguity by providing an appropriate
36The following discussion is based upon Harrison's explanation of harmonic

dualism and the modal affinities of dominant and subdominant functions. Refer to
Harrison, Harmonic Function, pp. 15-28. For a discussion specifically of agents and
modality refer to pp. 50-53.
37'fhe following discussion is based upon Harrison's description of base _function in

Harmonic Function. pp. 45-49.
38Harrison, Harmonic Function. p. 46.
36
context for a base discharge from "5 to "'1. Since large melodic leaps are uncharacteristic
motions for upper voices, a base function can discharge most effectively when it is in the
lowest register.
The strongest tonal context occurs when the base, sounding in the lowest voice,
discharges by a melodic motion of a fifth, shown in Example 14A. The C~ wrong-note
harmony in 14A maximizes its dominant potential because it contains the discharge of both
an agent and a base.39 Notice how similar the wrong-note harmony in A sounds to the
primary dominant triad shown in 140. In 148, the base scale degree is taken out of the bass
register, leaving the sole responsibility of base function to the upper voice "'5 in the tenor.
agent discharge: IJ31

l...B.J [li]/\7
,1,1. i
1\
7
1\
~ 7--
1\
--
"' "' "'
~
~ - - -s--s
,.. ~ ~~ ~
s--s
-1\
2--3
-
A
Dominant base
or
. IL Tonic associare'?
' L
base
discharge:
s----1 1\
s--1
A
WN I WN - 1 WN - I v I
Base discharge plus agent Base function (no same as B without Primary dominant
discharge discharge) plus agent agent; no agent triad with
discharge discharge and no discharge of agent.
base discharge base. and associate
Example 14: Combination of Agent and Base Discharges
39Together, a base and agent communicate most of the functional power of a

dominant chord. See, Harrison, Harmonic; function, p. 55.
37
Without a base discharge, (this inner-voice "'5 is held in oblique motion to the tonic A-
harmony,) the progression in 14B sounds much less like a dominant harmony compared to
the progression in 14A.
According to Harrison, however, the "5 in Example 14B can be assigned a base
function because it is accompanied by the dominant agent. The dominant function of the
agent nudges the ambiguous functional assignment of "'5 towards the dominant side.
Example 14C reveals the ambiguous situation created by removing the agent function from
this wrong-note progression. Without the agent, a dominant base assignment to the ""5 in
the tenor voice would be dubious, at best.
Because the base function is context dependent, the coherence provided by an
agent/base combination can be varied according to musical context. I will provide a few
wrong-note examples in this category that show various degrees of tonal coherence.
eate&oiY ZD; Wron& Note Domirynt Apnl Supported by Dominant Base
Example 15: Piano Sonata no. 2 scherzo:
Featuring the discharges of both an agent and a base dominant function, this
example demonstrates the strongest possible tonal context for a wrong-note harmony.
Example 15 shows the middle of the scherzo movement in the Pjano Sonata No. 2 , which is
framed by a beginning D-tonic in m. 31 and an ending A-dominant in m. 48. Atm. 40, the D-
tonic slides to a wrong-note Db-major harmony, subsequently re-interpreted in m. 44 as a
C#- minor harmony. The wrong note is the melodic Ab of mm. 40-44 (enharmonically
reinterpreted as a G# in m. 44), which functions as a dominant agent to the A of the final A-
major chord. The G# dominant agent, circled in the example, is supported by an E-dominant
base, also circled, which descends by fifth bass motion from E to A.
Because the E is not given proper bass salience in a lower voice, the supportive role
of theE as a base function is not emphasized in the measures leading up "tom. 47. In fact, as
the third of the C# wrong-note harmony, E is not explicitly stated on the surface of the
38
music in mm. 44-46. The base salience of E changes drastically, however, in m. 47, when E
discharges by falling fifth in the lowest sounding register. This salient base position and
discharge of E adds a strong dominant flavor to the wrong-note C# harmony as it leads to A-
major.
@ ® ® ® @ ®®
----------------------------------------
.
A J···· .. ~ JC····~ ~--·J
~I
'< ~ I - I
I A: 7 A
S-1
i I
t~:~~~~~§§~~
0-min:
r
i
:r------! -~r V
Example 15: Wrong-Note Dominant Agent+ Dominant Base, strong salience

Piano Sonata No.2, Scherzo, rom. 31-48
Example 16: Vjolin Sonata op. 94. mvt. 3. opening:
This example, a closer evaluation of the excerpt studied in Example 1, illustrates a
weak base context, in which the base is submerged in an inner voice of a chord. If a base is
not the lowest sounding voice, it will usually wn discharge by fifth. More likely, in terms
of voice-leading conventions, a dominant base in an upper voice would remain in oblique
motion to the tonic chord, (as seen in Example 148), which would severely weaken the
base's discharge. A base that is in an upper voice can add a dominant presence to a wrong-
note harmony, however, if the base does not discharge, then it cannot ~eate tonal
associations generated by voice leading motions. The extra dominant weight that a non-
39
discharging base brings to a wrong-note harmony supports an agent's dominant function, but
it does not directly affect coherence.
As Example 16A shows, the opening tonic of the movement moves to a dominant
half-cadence atm. 17. In the middle of the phrase, the wrong-note C# in m. 8 acts as a
leading tone to the 0-harmony of m. 10. The C# wrong note is supported by an F# minor
harmony, which contains A, ,... 5 of 0-minor. ,...5 is not, however, in a salient base position in
the lowest voice; the A is held between the F# minor and the 0-minor harmony. Although
the A contributes a base function, its lack of discharge considerably weakens its dominant
support of the C# leading tone. Example 168 shows a hypothetical re-voicing of the wrong-
note harmony that emphasizes the potential base discharge pOSStble between F# minor and
D minor. Were the A in the lowest voice and were it to discharge to the tonic base of the 0-
harmony, it would then have a significant impact on the tonal coherence of the phrase-
[A] 0 0® @IE
I
"
3 ~
Basescale
deaiee
-- .,
A
'.
<
~
tJ ~
D.
_If •
. 7-t
~ . ~ oblique
qent ~ :"'
discb;qe: 7 - 1
,..-
r'-
I
~
-
V
bass
discharle:
A
S-1
A
Example 16: Wrong-Note Dominant Agent + Dominant Base, low salience

Violin Sonata op. 94, mvt. 3, mm. 1-17
40
Ambiguous Cases
From the last two examples, one might think that there is a binary distinction
between a discharging bass and a non-discharging bass. Either a base resolves by fifth
motion in the lowest sounding voice, or it does not. Prokofiev often plays with the
expectations of scale-degree motion, however, creating ambiguous contexts that lie
somewhere between these two extremes. One of his techniques is to blur the boundary
between wrong-note and diatonic-functional harmonies by holding some scale-degree
functions in common. This technique delays scale-degree discharge until after the wrong-
note harmony is over. A dominant base may have one context within the wrong-note
harmony, but quite a different one within a subsequent diatonic harmony. If tonal coherence
is dependent upon functional discharge, and a base's discharge is contingent upon musical
context, what happens when musical contexts shift?
Example 17· 5econd Violin Concerto. I.
In the opening of the Second Vjolin Concerto a dominant base is held constant
between a wrong-note harmony and a subsequent dominant chord. The salience of the base
changes between the two harmonies, which affects the interpretation of the base's tonal
impact within the wrong-note harmony. The wrong-note 8-minor triad, shown with an
asterisk at m. 9 , supports F#, the dominant agent of the G-minor tonic. When F# is first
sounded (m. 8 of the solo violin introduction), it does not sound like a wrong note because it
functions in a conventional capacity as a leading-tone within an implied half-cadence.
Without any harmonic counter-indicators, the listener assumes a conventional dominant D-
major support for the leading tone in m. 8. Instead of the implied D-major harmony,
however, the orchestra enters in m. 9 with a surprising wrong-note B-minor harmony,
which consonantly supports the F# dominant agent, as well as the dominant base D. D is
neither the lowest sounding pitch nor a salient tone; instead, it is submerged as the third of
8-minor triadic arpeggiations.
41
@@@ @
Example 17: Wrong-Note Dominant Agent+ Dominat Base, Ambiguous Case

Violin Concerto No.2., mvt.l, mm.1-18
The D becomes salient in m. 16, where it is emphasized in the solo violin part not only by an
octave doubling, but also by a double-stop unison on Din the violin's lower register. One
measure later, D is heard in the low contrabass register, giving it even more base salience.
By m. 17, the B-minor wrong-note harmony has subtly slid into a more conventional 07-
dominant harmony outlined by the contrabass descending arpeggiation: C-F#-D. By the
time the D has strong base salience, B-minor has transformed into a conventional D7 chord.
Since the base discharge is not heard until the 07 harmony, one could assume that
the base function does not affect the B-minor wrong-note harmony's contribution to tonal
coherence. This assumption, however, glosses over the subtle musical associations created
by the changing contexts of the D. Because of its lack of base salience within the B-minor
harmony, D's base function is more a potential tonal factor, rather than an active one,
becoming fully realized only after the wrong-note harmony has progressed to a dominant 0-
harmony. This passage has thus a crescendo of dominant function. At the end of m. 17,
Prokofiev reminds us of the fluid dominant connection between B-minor and 0-major.
Immediately before the resolution of dominant tensions, Prokofiev inserts a B, a non-chord
tone of the D7-dominant harmony, in the descending arpeggiation of ~e lower strings.
This momentary surface reference to B-minor, presented just after the peak of the dominant
42
function's strength, invites the listener to make retrospective associations between 8-minor
and 07. In this playful manner, Prokofiev promotes a re-interpretation of the dominant
base within the wrong-note 8-minor harmony as tonally significant, if only in retrospect.
Base function and Chordal Roots
An important clarification must be made about this example, however. There is a
difference between how a dominant base functions in a wrong-note harmony and how it
functions in a diatonic dominant chord. Within the dominant chord, the base not only has a
base function from its essential harmonic relationship of a fifth to tonic, but it is also
invested with a chordal root function. Harrison describes the distinction between a base
and a root in the following manner:
"It is important to note, however, that roots of triads are different in meaning and
structural responsibilities from distilled expressions of functions [ie -scale degree
functions.] Chord roots, as generating sources, are responsible for their chords; their
principal relationship is to the chordal constituents that they beget. But, when
considered as functional bases, these same scale degrees have different
responsibilities. They are cofactors in harmonic function; their principal
relationship is to the tonal center... An important difference between roots and
bases is that the former express their 'rootedness' regardless of where they are
located in the chord... A functional base, however, is very sensitive to
placement..."40
Within a dominant chord, the base is also the root of the chord, which binds it in a closer
relationship to the other members of the chord. Whereas, in a wrong-note harmony, a base
does not necessarily have the added significance of a chordal root. The following example,
quite similar to the previous one, highlights the difference between a root and a base.
Example 18: Peter and the Wolf Peter's Theme
Peter's theme from Peter and the Wolf is similar to the previous Vjolin Concerto
N.Q...Z example in that both excerpts feature an F# dominant agent that is held constant
between a B-minor wrong-note harmony and aD-major dominant harmony. The B-minor
harmony shown with an asterisk in Example 18 includes both the do~t agent (F#) and
40Harrison, Harmonic Function p. 46.
43
a low-salience dominant base (0), which is boxed in the example. The similarity between
the two examples ends here, however. In Peter's theme, the D never is heard as a salient
base. Even though the wrong-note harmony progresses to a diatonic dominant D-ebord in
m. 7, the dominant is in second inversion, which places the base scale degree in the upper
voices. What impact does this placement have on the base function within the wrong-note
harmony?
0 0-0 0
G: 7-::::::=:::::=::
C: I blll v
G:V1
no salient base
function!
Example 18: Chordal Root vs. Base Function, Peter and the Wolf, Peter's Theme mm. 1-8
Because root function is unaffected by chord inversion, the D of the dominant chord
(V4/3) retains its chordal function as a root. The impact of the D as a base is minimal,
however, because bases are context dependent and thus ~affected by chord inversion. The
D of the dominant chord is not given base salience, and therefore D is heard almost
exclusively as a chord root, rather than as a base; the base function is never invoked.
Peter's theme has less tonal coherence than the excerpt from the Second violin Concerto
because the base scale degree cannot even retrospectively be attnbuted base discharge.
44
Cate&ory 2S: Wrona Note Sybdomjnant Apnt Suwortccl by Sgbdominant Base
The previous four examples illustrate various dominant base contexts, each with a
different affect on tonal coherence. According to the summary of categories in Example 10,
there is a subdominant counterpart to this category. Although it exists as a theoretical
possibility, Prokofiev very rarely uses the subdominant base in wrong-note harmonies. I
have not found a good example for this category among Prokofiev's orchestral, chamber, or
piano works.41
Cate~ry 3D: Wmna-Notc Dominant Apnt Syp.portcd by a Qomjnant Ayociate
While the combination of a dominant agent and a dominant base function can create
the strongest possible wrong-note tonal coherence, the combination of the agent with the
dominant associate creates a stronger dominant function than would be created by the agent
alone.
Example 19: Violin Sonata op. 94 myt 3 8-theme
The.wrong note in this passage is the B (circled in A atm. 43), which is a dominant
..
agent. Bis supported by a 8-minor harmony, which is itself tonicized with an F# dominant
chord. Ultimately, B minor leads to C major, completing the prolongation of the C-
harmony. The dominant strength of the wrong-note B is fortified by the accompanying
dominant associate, 0, which is boxed in Example 19A. Both dominant agent and associate
discharge to tonic chord members: "7 (agent) and "2 (associate) discharge to "1 and "3
(agent), respectively.
41 It is certainly possible that wrong-note harmonies containing subdominant bases

can be found in Prokofiev's oeuvre. My research has left many works unexplored.
45
Slalldard lllllal
DomiDallt • TOllie:
DomiJwlt - Tonic
A
7--I
A
apt
,.
7--I
.
,..
2--3
.. associarc:
,..
2--J
,..
Example 19: Wrong-Note Dominant Agent+ Dominant Associate, Violin Sonata op. 94,
mvt. 3, mm. 35-53
Comparing this progression to a more traditional setting helps determine the
dominant strength of the wrong-note progression. Example 19C shows a diminished vii6
triad leading to a C-major harmony. Despite the missing dominant base, the vii chord has
a dominant chordal function. Because it contains the same two dominant scale-degree
functions-the agent (A7) and the associate (A2)-shown in Example 198, the wrong-note 8-
minor harmony closely approximates the tonal functions of a diminished vii6 chord. The
fifth of 8 minor, F#, detracts from the diatonic clarity of the dominant to tonic progression
defined by the agent and associate discharge. 42 Despite F#'s chromatic intrusion, the
dominant function of the wrong note harmony is clear. The progression from 8-minor to C-
major preserves the discharge of two out of the three dominant scale-degree functions.
42for a discussion of F#'s function in this context, see Harrison's discussion of "#4 and
Ab2 as projections and ambassadors of function in, Harmonic Function. pp. 115-123.
46
Cate~cy3S; Wrons-Note Subclomin.mt Apnt Supported by a Subdomjnant Associate
In the following example, a wrong-note subdom.inant agent is accompanied by a
subdominant associate. Since an associate is a relatively weak indicator of function, and
since a subdominant associate's discharge involves oblique motion, its contribution to
subdominant function is m.inima1.43
Example 20: Piano Sonata No. 5. mvt. 1. op. 38 (revised as op. 135):
The opening measures of the movement feature a conventional middleground
progression in C-major. l-IV-V7-[, shown at B. At the foreground level, shown at A,
harmonic functional relationships are weakened by the Eb wrong-note harmony in m. 6,
which is shown with an asterisk. Although an Eb-major chord could be integrated into a
functional harmonic progression inC major (assuming secondary mixture relationships), in
the musical context of this excerpt, the Eb major chord does not participate in the harmonic
syntax of the phrase. Eb, as a triadic harmonic unit, does not functionally relate either to
the F-subdominant chord of m. 5, or to the G-dominant chord of m. 8. Instead, Eb major
consonantly supports the Eb wrong-note passing tone between F and D.
43Harrison discusses associate function in Harmonic Function. pp. 55-57. A

discussion of associate discharge, as an accompaniment to agents, is on pp. 102-115.
47
0
A
(J:] qenc G:I'6--S
(A A
J
3~
,- I-....I A I
~ G: ~A
dA
'
~6--S
A A
t--l :associare:G: i--t
. *
OI
~
1\
~~-
L..
I
-- !
~
I
1
.IlV I
'.
<
')
.
' I....._
I
r
IV
-- y7
I
WN c:T 0 E7RG7
Example 20: Wrong-Note Subdominant Agent+ Subdominant Associate, Piano Sonata

No.S,Dnvt. 1,~. 1-9
The tonal associations of the wrong-note progression are strengthened by the scale-
degree functions within the wrong-note harmony. The root of the wrong-note chord, Eb, is a
subdominant agent of G-major that discharges conventionally in the upper voices to the
tonic associate. Notice that Prokofiev accentuates the agent discharge of the wrong-note
harmony by matching scale-degree function with modal affiliation. Despite the
prevailing major-Dnode of the phrase, Prokofiev uses the minor ""6, Eb, creating a descending
half-step resolution to ""5, D. Comparing this wrong-note progression to the diatonic one in
Example 20C reveals that the wrong-note progression contains two of the three subdominant
conveyances: agent and associate. The subdominant associate, G, maintains oblique motion
48
into the tonic chord. Without a change of pitch, a functional discharge is effectively
annulled. Therefore, the associate in this phrase carries little functional power, and its
discharge is non-existent, resulting in a minimal, barely perceptible tonal contribution.
The wrong-note harmony is the first break of functional harmonic progression
within this phrase. The Eb wrong-note harmony ushers in a non-functional succession of
planed major triads and dominant sevenths in m. 7, which support a rising whole-tone
melodic line, Bb-C-0-E-F#, illustrated in Example 200. Ultimately, harmonic function
resumes in m. 8 with the G-dominant-seventh chord, yet the tonal coherence of the phrase
is weakened by the extended lapse of harmonic function in mm. 6-7.
Summary
Despite the lapse of functional harmonic progression that it induces, a wrong-note
harmony can contnbute tonal associations to a phrase based upon the scale-degree functions
of its component pitches. In general, wrong notes function as agents, and dominant agents
provide stronger tonal coherence than subdominant ones. Agent discharges can be fortified
by other scale-degree function discharges. Although any support that reproduces
normative melodic voice-leading will strengthen the tonal coherence of a wrong-note
network, the strongeo;t tol'.al support for an agent is a discharging base. This chapter has
focused on the structural participation of wrong notes in a tonal network. The next two
chapters concentrate on other musical factors that affect coherence, such as motivic and
formal design. These other kinds of musical connections will broaden the branches of wrong-
note tonal networks.
49
Cbaptcr Two; Pitch Motiya. Networks. and Wrona Notes
Introduction
This chapter adds pitch motives to the tonal networks developed in Chapter One.
Motives provide another path along a tonal network, creating an alternate means of
coherence. In this chapter, I discuss motivic coherence and how it relates to the tonal
coherence already descnbed in Chapter 1.
What is a Motive?
I will be concentrating on the pitch content of motives, which I define as repeated
pitch patterns within and across structural levels. Features such as rhythm, contour,
register, and timbre are of secondary importance for pitch motives. The conceptions of
motives and their repetitions relevant to wrong-note music are summarized below:
A motive can be:
1. a linear pattern of pitches correlated to a tonal process (i.e., a diminution of

neighbor motion, or linear progression.) The recurrence of this kind of
motive may involve different pitch classes, as long as the motivic elements
share tonal functions. I will call this a ton11l motive.
2. an ordered set of pitch classes not necessarily correlated to a tonal process.

The recurrence of this kind of motive involves the same pitch classes,
irrespective of their tonal context. I will call this a pitch-class motive.
3. an unordered set of pitch classes that are not correlated to a tonal process. I
will call this a pitch-class set motive.
A repetition can be:
1. a reiteration of the motive at the same structural level. Coherence results

from intra-level motivic relationships.
2. a reiteration of the motive at different structural levels. Coherence results

from inter-level motivic relationships.
2. a saturation of a musical space with the motive. Coherence results from an

abundant repetition of a motive, its augmentation, or its inversion on both
the surface and deep levels of the music.
50
Prokofiev's music contains all three kinds of motives, each making a different contribution
to coherence. With tonal motives, motivic coherence is inextricably linked with tonal
coherence because the motives are defined by their tonal functions. This kind of motivic
coherence will be discussed first in order to introduce the concept of motivic associations
within a tonal network. The connection between tonal and motivic coherence is less
intertwined with the other types of motives. These will be discussed later in the chapter.
Tonal Motivic Coherence
Cadwallader and Pastille offer a useful Schenkerian description of a tonal
motive.! They argue that motives are diminutions of middleground linear patterns of a
tonal system, such as stepwise progressions, neighbor motions, or arpeggiations. This
perspective links the pitches of a motive to tonal functions; it is the repetition of the
function, not the pitches, that constitutes the motive. In his article "Motive and Structure
in the Andante Movement of Mozart's Piano Sonata I<. 545," David Beach explains that
motivic coherence results from the repetition of these linear patterns at both surface and
deeper levels of structure.2 Although few explicitly acknowledge using networks as a
means to incorporate motives in tonal analyses, many Schenkerian analytic descriptions
and insights nonetheless assume a network paradigm.3 Example 21, derived from
lCadwaUader and Pastille, "Schenker's High-Level Motives," pp. 119-148. See

especially, pp. 134-140.
2 Beach, "Motive and Structure in the Andante Movement of Mozart's Piano Sonata
I<. 545," pp. 227-241. The following articles also discuss coherence created by motivic
parallelism: Burkhart, "Schenker's Motivic Parallelism,"pp. 145-176; Carl Schachter,
"The First Movement of Brahms's Second Symphony: The Opening Theme and its
Consequences" Music Analysis 2 (1983):55-68.
3Richard Cohn discloses the network structure of many Schenkerian motivic

analyses in, "The Autonomy of Motives," pp. 167-70.
51
Burkhart's analysis of Mozart's Piano Sonata K. 330, mvt. 1, shows the network
relationships of a Schenkerian view of motives."
The central motive of the piece is the linear progression A5-I\6-A5-A4-A3. As shown
in Example 21A, the first-theme presentation of the motive occurs inC major, the tonic of
the piece. The neighbor motion G-A-G prolongs tonic harmony, and the third progression G-
F-E supports a motion from dominant to tonic. Although the pitch classes are different in
the repetition of the motive in the second theme and development, shown in Example 21 B
and 21C, the scale degrees and tonal functions of the motivic elements are preserved. The
motive consists of neighbor tones prolonging tonic, and passing tones supporting a dominant
to tonic progression. As Burkhart states, "Schenlcerian motivic parallelism is indissolubly
wedded to the harmony of the passage in which it occurs.''5
Reconfiguring the musical notation of A-C, Example 210 shows network
relationships. Each node represents a structural event. The boxed node in the first-theme
branch represents the tonal structure of Example 21A, a deep middleground level of the
first theme. The black nodes show motivic associations, which recur at different structural
levels. These motivic associations link nodes of the network together, providing an
additional connection between structural events. The boxed node is thus connected to the
circled node in the development, not only because of a shared tonal structure of I-V-I, but
also because they share the motivic progression, A5-A6-A5-A4-A3. Because they represent
exact tonal repetitions, these two reiterations are highlighted. Even though they consist
of different pitch-classes, the two motives share the same harmonic support for theAS.I\6-
AS-"4-.1\3 progression. Not all of the pitches within the motivic repetitions share exactly
the same harmonic support. The natural-VU version of the motive, marked with a double
48urkhart, "Schenker's Motivic Parallelisms," pp. 161-167.
5Burkhart, "Schenker's Motivic Parallelisms," p. 167.
52
c ...
c ...
---;.
c.., I----ta I
®
® c ... r
fc• r-
- ~
c ...
c ..
1--
t--
---
J
®._,.1
c ... _)
==
WI
" A A A A
5 4 l 2 I
I V I
·o·
dI
lbdleiiiC
W lbcmc 1111
1: I
a V I V: I V
dewcklpmelll
I 1: I
0Y I
• \ o
/~e
;a;;i 0
A
2
A
I Y:lvliiY
-It-51
I ; a; ; i
I: I V I V I V: I ii -VII Y I
1\ \~
.a•·;
A
e
A
oA A A A A
e e; a ; e
A
s ' s
A A A A
4; s • s
A A A A if sA a s .. ,
A A A'
s ' s• , 2 I 4 , 4
; ' i 4;
-; \Y: I vi Yf V I I: I
_,. y I II: V
-·71
I -VII : Ill
-71-7J
v
\ ... ,,.,~
I -11-1'
y: I
e 0
A A
s ' s •
_I,..
A A A
l
A
' s•
vi
A A A
l I n
Example 210: Motivic Connections in Mozart Piano Sonata k. 330, mvt. 1, (D) Network Relationships
~
~
Example 21E: Motivic Connections in Mozart Piano Sonata k. 330, mvt. 1, (E) Motivic Coherence
.
e
e
[E]
55
arrow in Example 210, has a ill-V-I harmonic support, and the ii-version of the motive,
marked with a single arrow, begin on the dominant rather than the tonic. In all of the
motives, however, the scale-degree functions of the motives are preserved as well as the
linear functions as neighbors and third progressions. The motivic coherence of this passage
can be represented by the black-node associations within the network, shown in Example
21E.
A network similar to the one in Mozart's Piano Sonata K. 330 can be found in
Prokofiev's "Classical" Symphony. Featuring the motive "5-"4-"3-"2-"1, Example 22
illustrates the tonal motivic network of the first movement. In this case, the motive
originates at the root of the network and recurs at all levels of structure. The motivic scale-
degree descent occurs not only in the tonic key of D major , but also in A major, C major, B
minor, and Ab major. Once again, not all recurrences of the motive feature exactly the same
harmonic support, but in each case the scale-degree functions of the motives are preserved
as well as the linear function of the descending progression. Generalizing from these two
examples, a tonal motivic coherence results from an association of tonal processes between
structural levels. Resulting from the recurrence of linear melodic tonal functions, motivic
coherence becomes a by-product of tonal structure.
.. 4.. ..3
s
.. ..I
1
D: I lfvu I v I
e
0
Ie e
..5 4.. ..3 ..5 4.. ..J .. ..I
1
1\
S
A
C
A
3
A
1
A
I
D: I lfvn V I vi A: I vi v I D:llfvUiviV I
flllllbemc ~lbemc dcvelopmcnaMd
mm.I ...S mm.-46-86 recapiaubllioft
mm. 81·'1111
\ ~
e
..5 •.. ..J ..
1
..
I
.. .. e.. 5 4 J 1
.. ..I ..5 4.. e) .. ..I
1
D: I C·DII: I D: I
mm.l-10 mm.ll-14
0-min: I
mm.87-94
.--
.. .. ..3
' • ..:1 ..
I ~
A :I
.. .. ..3
5
mm.9S-103
C
..:1 ..I
C: I
' .•
.. .. 3..
mm.l42...9
..:1 ..I s •
D: I
e
.. .. ..3
mm.ISO.SB
..
:1
..I 0
......
3 :1 I
D: vi V I
mm. IS9-207
Example 22: Tonal Motivic Network in "Classical" Symphony, mvt. 1
~
57
Pitch-Oass Motive Coherence
While the tonal motive is defined by the reiteration of a tonal process, pitch-class
motives deal primarily with the reiteration of an ordered progression of pitch-classes
across structural levels. Despite the theoretical underpinning of motives as diminutions of
tonal processes in Schenkerian theory, some Schenkerian motivic analyses use pitch-class
motives rather than tonal motives. In his analysis of Chopin's Etude op. 10, no. 12,
Schenker notes the cohesive properties of a pitch-class motive, "Here we have the
repetition of a mere neighboring-note figure which maintains its pitch position while the
harmonic degrees {V-1, IV-I) change; yet precisely this feature contnoutes greatly to the
cohesiveness of the whole."6 Although many Schenkerian analyses focus on tonal motivic
relationships, some contemporary American Schen.kerians have also noted the cohesive
properties of pitch-class motives.7 In these cases, motivic analysis involves identifying a
melodic gesture and tracing its repetition through levels of a musical structure, without
regard to the tonal position or function of the pitches in the gesture. Pitch-class motives
create motivic coherence by placing pitch classes, not tonal processes, in connective
relationship to one another.
A random recurrence of a pitch-class pattern, however, does not constitute motivic
significance. In order to have motivic meaning, a progression of pitch classes must be
marked as significant in some manner. lt must be a salient and memorable melodic motion,
6Schenker, Free Composition. p. 100.
7In chronological order: Carl Schachter, "Beethoven's Sketches for the First
Movement of Opus 14, No. 1: A Study in Design" Tournai of Musk Theory 26 (1982): 1-21;
Allen Cadwallader, "Motivic Unity and Integration of Structural Levels in Brahms's B
Minor Intermezzo, Op. 119 No.1" Theory and Practice 8 (1983): 5-24; ~"Schenker's
Unpublished Graphic Analysis of Brahms's Intermezzo Op. 117 No. 2: Tonal Structure and
Concealed Motivic Repetition" Music Tbeocy Spectrup16 (1984): 1-13; David Beach,
"Motivic Repetition in Beethoven's Piano Sonata Op. 110, Part 1: The First Movement"
Inte~I 2 (1988): 75-97; Laitz, "The Submediant Complex," pp. 123-165. For a related
discussion, see Richard Cohn, "The Autonomy of Motives in Schenkerian Accounts of Tonal
Music," especially pp. 159-169.
58
which, when repeated, is recollected as a version of the original statement. This
corresponds to a Schenkerian practice that attributes motivic importance not to every
dim.inutional pattern but only to those that contribute to individuating a particular piece.s
As notable chromatic events, wrong notes are good pitch-class motivic material because
they have a recognizable, distinctive sound. The chromaticism of the wrong note marks the
motive for memory.9
An Example of a Wrong-Note Pitch-Class Motive
The chromatic voice-leading of wrong-note progressions within a phrase will often
have pitch-class motivic repetitions at a middleground level, usually as tonicized key
areas. This motivic repetition connects the wrong-note pitch classes of the foreground
motives with the pitch classes of the deeper-level motives. In the Violin Sonata, op. 94,
mvt. 3, motives expressed in the first phrase correspond to motives stated at deeper levels
throughout the movement. Example 23A shows three motives of the first and second
themes: X (C-C#-D),Y (F-F#-G), and Z (Bb-B-C). Example 23B, a m.iddleground motivic
analysis of the movement, shows the interaction of these motives. All three of them
participate in motivic parallelism. The beams in Example 23B show the middleground
repetition of the motives. Near the end of the movement, there is a m.iddleground overlap
of all three motives, where the opening thematic material, labelled by the circled A,
returns in the distant key of Gb major (m. 66). Thus, motivic design provides a motivation
for the unusual key of the thematic return, relating the wrong-note F# harmony of the first
phrase to the middleground Gb major return of the opening theme. According to this motivic
interpretation, the wrong-note F# harmony promotes coherence through motivic means.
8Burkhart,"Schenker's Motivic Parallelisms," pp. 151-167.
9for a non-wrong note chromatic pitch-class motive, see Steven Laitz's analysis of
Haydn's Menuetto from String Quartet op. 64, mvt. 1, in "Submediant Complex," pp. 124-6.
59
First Theme Second Theme
A
l
t) .r 'r_j
X
I
L--~
I
z
I
.
1
r ~r
,. r f...____/1
y
-
®@ z ®®®
I
@)
@@@
® z ~~ ..
- . -
@ = 1st theme materi31
t).~"
@x@ r T r
. -- "(A) @=2nd theme malerial
' r-..__,/
y
·r "'f I
r
v
0
F: IV I~
.----+-=imm. 1-&1 ' \
KEY:
~~
\!:.:) m.8l
••••• Mali X
••• _ _.: • Ye
r v""
mm.l.....,
• M&xiveY
0 MocivcZ
I
mm. 1-53
~-L
:····:
··:/ .....
(vi v (kl..a.iq)
mm. l-17
Example23: Pitch-Class Motives in Violin Sonata op. 94, mvt. 3
60
Because it depicts more than one motive, the network contains different kinds of
node-symbols. Motive X is represented by a dotted-circle, motive Y is a filled in black node,
and motive Z is a bold-lined circle. Showing the simultaneous presentation of all three
motives, the boxed node represents the beamed-note relationships on Example 23B. Two
different kinds of transformations connect this middleground node to the nodes at the
bottom of the network, which represent foreground progressions and motives. The straight
lines that create a hierarchical tree formation represent the tonal transformations relating
one level to another. For example, the lines connecting the bottom nodes to their generative
node one level above represent the transformations that prolong the tonic harmony, namely
the progression to a back-relating dominant. Representing the motivic associations between
nodes, the curved arrows show an alternate path. As the example illustrates, pitch-class
motives provide a path that differs from the one connecting the nodes structurally.
Because motives can create their own paths in a network, they can depict different
interpretations of a passage. For example, the pitches emphasized by motivic
relationships can differ from the pitches emphasized by the tonal structure. From a
structural perspective, the most important mid-phrase harmony in the first phrase of the
Violin Sonata is the D-minor harmony of m. 10.10 As shown in level2 of Example 1
(Chapter 1, p.S), D minor is the upper-neighbor chord to the dominant that ends the
phrase. D minor is emphasized by its leading-tone, C#. This structural interpretation
coexists with an alternate motivic view. As part of motive Y, the opening bass F moves to
F# in m. 8. Because it is the leading-tone to the G-major applied dominant, one would
expect this F# to resolve to G. This resolution is delayed by the 0-minor harmony and is not
achieved until m. 16. In this motivic interpretation, the D-minor harmony is not a goal but
rather a parenthetical insertion that delays the F# resolution. Thus, a structural
tOOne could argue that 0-minor arrives earlier, in m. 6, but for the motivic reasons
cited above, I prefer the interpretation provided in Example 1 of Chapter 1.
61
interpretation emphasizes D minor as the neighbor to the dominant, whereas the motivic
interpretation de-emphasizes D minor in favor of the G-major harmony as the resolution of
the motive's F# dominant agent.
Surface design reinforces both of these interpretations. D minor is highlighted by
the stepwise bass motion down to the D and by the agogic accent created by sustaining 0
minor for four measures. In the motivic reading, the parenthetical feeling of the 0-minor
harmony is reinforced by a sudden change to a softer dynamic level and to a less active bass.
Both the dynamic level and the bass activity are resumed after the 0-minor insertion. In
other words, surface design emphasizes both the curved-arrow path and the straight-line
path of the network. Unlike a hierarchical structure that would mandate an either/or
decision, the network model allows for these two interpretations to coexist The network
allows for a both/ and analytic perspective that is, I believe, suggested by the surface
design of the passage.
Because motives create an independent network path, one might think that they
are entirely separate from tonal structure. Ironically, this is not the case because the
motives in this excerpt contain scale-degree functions, which connect them to tonal
structure. In the example, both C# of motive X and F# of motive Y function as dominant
agents that discharge to tonic bases. These scale-degree functions are preserved at every
motivic repetition, making the scale-degree function part of the motive. In this excerpt,
the motivic repetition involves not only a recurrence of pitch classes, but also a recurrence of
scale-degree discharge. Although the motive may emphasize different pitches of the
tonal structure, it is not independent of its tonal context because the scale-degree functions
within the motive imbue it with tonal meaning.
A comparision between the pitch-class motives of this example and the tonal
motives described earlier reveals a weakening link between tonal and motivic design.
While tonal motives are defined exclusively by the diminutional patterns of tonal
62
language, the pitch-class motives of the Violin Sonata are only partly defined by their
tonal elements, namely their scale-degree functions. Along with the scale-degree
discharges, the motives from the Violin Sonata contain reiterations of specific pitch
classes. In the following example from the Violin Concerto No. 2, the scale-degree function
of the pitches of the motive may be variable from one reiteration to another, resulting in a
motive defined exclusively by pitch-class reiteration. This further weakens the connection
between motivic and tonal design.
Wrong-Note Motive Without Repetition of Scale-Degree Function
As shown by the beamed notes in Example 24A, the first phrase (mm. 1-18) of the
Violin Concerto No.2, mvt. 1 contains a voice-leading motion from Bb-B-C. The Bb is a
tonic agent supported by a G-minor harmony. Borrowed from the major mode, B-natural is
also a tonic agent. Instead of being supported by a tonic harmony however, 8-natural is
supported by a wrong-note B-minor harmony. B minor is a functionally mixed triad
consisting of the dominant agent and base in G minor, F# and D, and the major-mode tonic
agent, B-natural. After an octave transfer, B-natural discharges to C supported by a
dominant-seventh harmony in m. 17. Even as the seventh of a dominant chord, this C
functions as a subdominant base, adding a subdominant flavor to the dominant chord.ll To
summarize, the scale-degree functions of the Bb-8-C pitch-class motive in this first phrase
are: tonic agent, major-mode tonic agent, and subdominant base.
llfor a discussion of the functional mixture of dominant seventh chords, see

Harrison, Harmonic function in Chromatic Music, p. 65.
63
I
00 @
I I l
' ~ . .. llv
~X!H
11 . .. . . . _ . . . . .. .
piii:!Kiass molitt.
-
~~;
~
:
"· I
r ~r I .I
patch-class monve
I I
B~ Bq - - C
tonic agent - naL tonic agent - subdominant base
tonic a&ent - dominant agent of C- local C- tonic base
First Phr.ase
Development
Example 24: Pitch-Class Motive in Violin Concerto No. 2, mvt. 1
At a middleground level, the pitches of this wrong-note motive are reiterated as
tonicized keys of the development. Example 24B shows this deeper-level repetition of the
motive. At this level, the pitches in the motive have different scale-degree functions from
their foreground presentation. B-natural adopts a traditional wrong-note function as a
dominant agent that discharges to the C-tonic base. The scale-degree functions of the
motive in Example 24B are: tonic agent (in G)-dominant agent (in C)-tonic base (in C).
How does having different scale-degree functions in motivic repetitions affect
motivic coherence? Because they are different for each presentation of the motive, the
scale-degree function is not part of the motive. [n the Second Violin Concerto example, the
motivic repetition consists ~ of specific pitch-classes. The tonal context of the motive is
irrelevant for motivic coherence. The link between tonal and motivic design in this
example is severed. With pitch-class motives, it is possible to have a motivic coherence
that is independent from tonal processes, yet which can co-exist with the tonal relations in
a network.
To those accustomed to the strong interdependence of tonal and motivic structures
typical of tonal motives, the separation of tonal and motivic realms may represent a
64
formidable, and radical step. The following example provides another analytic excerpt,
showing that even one note alone-a wrong note-can achieve motivic significance, despite
its lack of tonal reference. Because of its striking chromatic effect, a wrong note can be
sufficiently remarkable to create an inter-level motivic relationship on its own, even as a
single pitch.
As shown in Example 25A, and as descn"bed in Chapter 1, (pp. 33-34) the first
phrase of Cinderella's Waltz contains a wrong-note subdominant agent, F-natural, that
discharges to E in m. 25. F-natural is prominent not only because of its chromatic deviation
from the governing E-minor tonic, but also because of its high register, dynamic emphasis,
and metrical placement at the end of a sub-phrase defined by a 4-measure hypermeter. All
of these factors combine at this foreground level to make the wrong note salient and
memorable.
F-natural becomes prominent at a middleground level in m. 33, the beginning of an
F-minor presentation of the waltz theme. The thematic emphasis might lead one to hear
F-minor as a modally-mixed Neapolitan of E-minor. From a structural viewpoint,
however, F-minor relates not to the home key, but instead to the C-major harmony of mm.
32-45. As shown in Example 2SB, F-minor is a neighboring chord prolonging the C-major
submediant of the progression.12 Thus, in this middleground context, F-natural is a
subdominant base that discharges to a tonic base.
12 Support for this hearing can be garnered from a rondo repetition of the theme (at
the "Meno mosso della prima volta'') which, by omitting the F-minor section completely,
shows explicitly the structural progression of C-major submediant to B-major dominant in
mm. 230-232.
65
®3
A
@) - [A: 6 Sl
J~~ ~ ---~
Itt. .u, ~ 'F ~
I~,
WN
5 6
< *
I
..
r N> -
r
iv
E-minor: i
@ @ @) ®® ® ® @@
A
4
A A
j J·
A
3 I
rn:J ;i_~~ l
. Jl.a. = - = - .. / J-._. h. .u,
t )
s - 6 [A: 6 sl S--6
.
' l~ ~r~ ::::?rlf
[C: 4--------i]
subdom. loaic:
bae base
VI v
Example 25: Pitch-Class Motive in Cinderella's Waltz op. 102, no. 1
66
Despite the different scale-degree functions of the F-natural on the foreground and
middleground leveLs, tl'tis wrong note is capable of motivic reference because of its
remarkable salience-- '8oth the modal mixture and the thematic statement in F-minor in
mm. 33-45 mark th~ F-ttatutal as a significant pitch at this middleground level. Because F-
natural is also saliel"1t on the foreground, the two F-natural contexts can be easily
associated, first in n. 24. and then in mm. 33-45. Even without the recurrence of scale-
degree functions, tl:le reiteration of this single prominent pitch class creates a motivic
association not depe:rldent upon a tonal context.
Despite thei.l differences, tonal and pitch-class motives share some common
qualities. They are C:l>ntprised of an ordered progression of pitches that create motivic
coherence by literal <lr concealed repetitions of the motive. In contrast, the following
section of the chapter discusses pitch-class set motives that consist of the set
characteristics of UIJ.Qt:dcf~ pitch classes. Set motives are defined not by specific pitch
classes, but instead by the relationship of the pitches to one another, which can be
generalized as set p:roperties. Instead of achieving coherence through concealed
repetitions, pitch-clcass set motives create coherence by saturating a musical space with
repetitions of the motivic set. The unordered aspect of the motive removes the sense of
teleological progres~iort between motivic elements, thus precluding any tonal associations.
Like pitch-class motives Without scale-degree functions, pitch-class set motives are
completely independent of tonal structure.
An Example of a Se-t Moti\'e and Motivic Saturation
In, The Mu:;;k gf Ser~j Prokofiev Neil Minturn discusses the importance of set-
motivic relationshii7s to the coherence of wrong-note music. I call this kind of coherence a
satllration because it involves an abundant repetition of a pitch-class set motive, its
augmentation, or its in'\'ersion on both the surface and deep levels of the music.
67
Example 26, derived from Minturn's analysis of the theme from the Piano Concerto No. 3,
mvt. 2, shows a representative use of a set motive and its cohesive properties derived from
saturation.
The first few measures provide motivic seeds that foreshadow the constellation of
sets that characterize the theme, namely 4-23 [0257], its subset 3-9 [027], and its superset 5-
35 [02459].13 Minturn's analysis begins with motive i, the descending tetrachord of m. 1
shown on Example 26A. Motive i repeats in m. 2 transformed by no and extended to 5 notes,
labelled as motive i+. A diatonic version of motive i+ spans mm. 1-3, labelled as MPENT.
MPENT, a 5-35 set, is abundantly repeated in trus theme, beginning with the TS repetition
in the bass voice in mm. 3-4. The beamed notes in Example 26A reveal other repetitions of
the MPENT motive. Almost all of the bass notes in mm. 4 -12 can be derived from some form
of MPENT and its inversions. In addition to the repetitions of set-classes, recurrences of the
transformations between sets are also abundant. TS recurs as a transformation creating a
cycle of fifths root motion in mm. 9-11, shown in parenthesis below the staff. Example 268
illustrates another TS transformation, relating the 3-9 sets defined by the melodic points of
articulation of mm. 1-7. These two 3-9 sets, (46e) and (9e4), combine to create (469e), a form
of 4-23 [0257) that recurs as the half-note bass pitches of mm. 5-8, shown as the upper-
beamed notes in Example 26C. This (469e)-bass-note set begins a chain ofTIO
transformations that span mm. 5-12. The overlapping recurrences of these sets and
transformations provide a motivic coherence to the phrase.
l3This discussion is based upon Minturn's analysis in The Musjc: of Ser~i Prokofiev
pp. 157-162.
68
". l I J
..arrteiWl
I
.C- ~~-
I
•
-.r
(8 . -
..
-· Ttl
--
....
....,..
~
I :::r
-~..,.
·•· I)
TIO
@
J ] ••• t - .~.~ .1... J
I I
~
~~)
-
I I..J.....I
{461Je) -------~ (U79)

4-23(9tU)
4-23(U79)
TIO -T=-=Io=----4) taZ51)
Example 26: Set Motives in Piano Concerto No.3, mvt. 2
69
Because set motives are non-tonal in conception, they do not participate in tonal
networks. As a result, it may seem as if Minturn's and my analytic strategy are unrelated.
Minturn centralizes pitch-class sets as the primary means of coherence in Prokofiev's
music.14 He relegates tonal relationships to a subsidiary status by subsuming them into a
set-theoretic structure created by motives. For Minturn, tonal relationships become a sub-
set of possible pitch-class relationships available from the motive. In Prokofiev's less
tonal music, particularly pieces written in his middle period, this analytic perspective
appropriately attends to the non-tonal cohesive force of the music. In most of the Prokofiev
examples studied in this dissertation, however, the tonal relationships are the main means
of coherence, with the set-motivic relationships adding a subsidiary cohesive force. Our
methodologies reveal different kinds of forces for coherence, which suggests that musical
unity does not necessarily derive only from a singular source. Instead, tonal and non-tonal
forces create different kinds of coherences, which can co-exist. The following section
discusses how non-tonal relationships can co-exist with tonal ones.
Tonal and Non-Tonal Coherences
Minturn's motivic perspective can complement my own analytic strategy. More
specifically, his analyses can provide a pitch-class set explanation for wrong-note
progressions, creating a completely independent means of coherence. For pieces that are
weakly tonal, the combination of our methodologies creates the most accurate analytic
description of coherence.
14Minturn summarizes these aspects of his analytic methodology in: The Mysk of
Sergei Prokofiev. pp. 58-76.
70
Set Motives in Weak Tonal Contexts
An excerpt from the second movement of the Violin Sonata, op. 94 demonstrates the
cohesive properties of non-tonal motivic associations. Example 27, excerpted from Minturn's
analysis, shows how the presentation of sets 3-3 [014], 3-4 [015}, and 4-19 [0148] in the first
seven measures exposes the sets and motivic structures that shape many aspects of the rest
of the piece.15 As shown in the second measure of Example 27A, the rising parallel thirds
in the right-hand of the piano part illustrate interwoven, inversionally related forms of
set 3-4. These sets relate to the opening vertica13-4 sonority comprised of the pitches, 8-C-
E, which Minturn refers to as the "nearly A-minor tonic" opening chord. Minturn also
segments the chromatic, ascending thirds of the piano into inversionally related 3-3 sets,
shown in the third measure of Example 27A. The transpositional relationship of the
elements of the 3-4 set, shown by the T3 and T4 arrows in the fourth measure, mirror the
transpositional relations of 4-19 sets that permeate the excerpt. The arrows connecting the
4-19 sets in Example 27B illustrate this repetition of T3 and T4.16 Minturn's analysis points
out recurring sets and transformations that create a non-tonal coherence.
15The following analysis is based upon Minturn's description in The Mysic of Ser~i
Prokofiev p. 147.
16Minturn, The Music of5er&ei Prokofiev pp. 147-8.
71
If·. (0145)
&I ,
b
..
(00)
l;;i
(015)
c
I .&. •
(014)
& • •
•(145)
,, ..
d
•
~
(0145]
+19(1904)
if•.. ...
+19(BI)
I I
~ I I I
kt§(§U3)
+19 +19 +19
CSl)
~) (ill5)
,.../
~ti __./
T4
Example 27: Minturn's Analysis of Violin Sonata op. 94, mvt. 2, mm. 1-7 (from Examples
6.7 and 6.8 in 1be Musk gf Sexpi Pmlsgfiev p. 147.)
His analysis does not capture all of the musical forces in the opening measures of
the movement. There is a tonal framework that the set-theory perspective does not
address. Example 28A shows a tonal interpretation of the passage. The biggest difference
between these analyses is that the tonal version interprets the piano introduction as an
extended upbeat dominant rather than the "nearly" tonic as Minturn suggests. In the tonal
n
interpretation, the first tonic does not arrive until the entrance of the violin in m. 7. An
opening dominant (a hearing which is supported by the grace-notes of m. 1), is prolonged by
a chromatic passing motion between the upper-voice E and G#. Example 288 sketches a
possible step-by-step derivation from a middleground to a foreground level. The deepest
m.iddleground structure (Levell), shows a chromatic passing motion fromA3 to #f/\3 supported
by a dominant that resolves to tonic. Level2 introduces the wrong-note Bb as a descending
chromatic passing tone in the upper voice B-8b-A. The 8b creates a dissonant diminished
third between G# and Bb. At Level3 the wrong-note Bb is given local consonant support as
part of a 8b-minor triad, which is tonicized. The arrival of the G# is delayed by a passing
motion from E to G#. Level4 shows parallel thirds accompanying the passing motion.
Level 5 puts the soprano voice in the bass, which weakens the dominant effect
considerably. The only dominant root sounding in the bass register is the very fleeting E in
the grace notes. Finally, Level 6 introduces the C of the first chord as an anticipation to the
tonic in m. 7. In my interpretation, the Cis the non-chordal note, not the B that Minturn
suggests for his opening tonic interpretation. This tonal structure is weakly stated because
of the many weakening structures of Example 288. The most effective of these is the
removal of a functional bass voice at Level 5 and the insertion of an anticipation to the tonic
harmony at Level6.
73
'i -a
~ 'i
~
N
....>
~
>
-ee
t"j"
N'
>
e
.... '#.
->
.... 'i "'
l
c.
0
~
~ ~ ~
-;
c
§I J5
.5
15
e ....>0
.s-;c
·.:>
d
-;
~
e • >
ciO
N
.!!
Q.
l3J e
~
~
74
While I disagree with Minturn's tonal functions, his set-theoretic analysis
provides a motivic explanation for coherence that co-exists with the weak tonal coherence
illustrated in Example 28. Minturn's analysis provides a non-tonal explanation for the
wrong-note Bb. When the tonal connections are weak, these set-theoretic connections
become central to motivic coherence. In this introductory phrase, Minturn's and my analytic
methodologies describe coincidental but not cooperative networks. Both tonal and non-
tonal forces create independent coherences.
In stronger tonal contexts, however, set relationships are harder to hear because the
tonal relationships override the set ones. A continued comparison of Minturn's and my
analyses of the second movement shows how the perception of set relationships becomes
harder in strong tonal contexts. Interestingly, the ambiguously tonal introduction leads to a
movement that is otherwise strongly tonal. The juxtaposition of weakly and strongly tonal
contexts within this movement make it a good example for comparing Minturn's technique to
mine.
Minturn states that the opening section spanning mm. 1-33 begins "as though to
arpeggiate the tonic triad: a tonic statement [m. 7] is followed by a mediant statement [m.
15]. But measure 19, rather than moving to the dominant E and completing the tonic
arpeggiation, brings in Ab, the dominant of Db."11 As shown on Example 29A, the tonal
areas of this section, A-C-Ab-Db, create a set 4-7 [0145]. According to Minturn, these key
areas are a middleground presentation of the structural4-7 set occurring in the right hand of
the piano part in mm. 1-7, as described in Example 27A. Minturn further explains that the
endpoints of this section, A and Db, together with the D-starting pitch of the next section
create 3-4 (912}, a subset of 4-7 shown in Example 29A. Minturn's analysis incorporates the
Db-wrong-note harmony in m. 27 as a participant in pitch-class set relationships.
17Minturn, The Music of Seq~ej Prokofiey. p. 148.
75
0@@®®
I AI 3-4 (912}
I?'~ P· ¥¥I
L 4-7 (8901}
Minturn's pitch-class set analysis
m DbWN
•
iv
pitch-class motive
.. ,
Surface Motive X+
v Ob
WN
•
recurrence of pileh-class molive with
different W!'OilJ-nole lwmonizaliOD
Example 29: Comparison of Two Different Analyses of Violin Sonata op. 94, mvt. 2
76
My explanation considers the wrong-note Db harmony as part of a pitch-class
motive instead of a set motive. As shown in Example 298, the Db is part of motive X
defined by the upward chromatic motion C-Db-D.18 As a leading tone, Db prepares the 0-
subdominant harmony. This middleground motive is a concealed repetition of the surface
presentation of the motive in nun. 1-6, shown in Example 29C. Because the chromatic
motion is extended to E in the planed thirds of the piano part, the surface motive is
labelled as Motive X+. In mm. 103-123, Motive X recurs with a different harmonization
from before, shown in Example 29D. In m. 27, Db is a root of a major chord, and later in m.
113 it is the fifth of a Gb major chord. The different harmonizations do not alter Db's
dominant-agent function (enharmonically re-spelled from C#), that discharges to the 0-
tonic base. In my interpretation the motive contains both a pitch-class association and a
discharge of an agent. Because both Db- and Gb-major lack other supporting dominant
scale-degrees, Db acts alone in both cases as a purveyor of dominant function.
Is a reconciliation needed between Minturn's and my analytic perspective? Both
analytic strategies acknowledge different unifying aspects of motivic coherence. They can
co-exist. Tonal and non-tonal motives, however, do not necessarily contribute evenly to
motivic coherence. Because the introduction has a weak tonal structure, Minturn's pitch-
class relationships of the introduction are easier to hear than those of the rest of the
movement. Pitch-class set relationships are more prominent when tonal relationships are
faded, leaving an absence of clear cohesive relationships. The saturation of a musical
space with pitch-class set relations can help mitigate the lack of coherence left by the loss
of strong tonal coherence.
Instead of adopting a radically different analytic strategy for Prokofiev's tonal
and non-tonal music, a network conception allows for the difference between them to be a
18Note that this motive, C-C#-D, is also Motive X, described in the analysis of the
third movement.
77
matter of degree. A non-tonal piece relies more on its non-tonal network branches for
coherence, while a strongly tonal piece relies almost exclusively on the tonal branches of its
network. Tonally ambiguous pieces or phrases, like the opening of the second movement, lie
somewhere in the middle, relying more evenly on tonal and non-tonal branches of the
network. The following section discusses networks that have incomplete tonal branches,
which affect the interplay between tonal and non-tonal network paths.
Implied Cadences
In the preceding examples, wrong notes occur in the middle of phrases, keeping the
initial and cadential harmonic structure of the phrases intact. In Chapter One, I
differentiate between a tonal network and a non-tonal one by the presence of a clear
middleground phrase structure (p. 26). Whereas the tonal networks discussed so far have
included complete tonal middleground phrase structures (although perhaps only weakly
stated), the following phrases lack cadential harmonies, resulting in missing tonal
branches in their networks. Excerpts from the Piano Sonata No. 7 and the "Gavotte" from
Cinderella begin with strong, functional progressions that dissolves into non-functional
harmonies by the end of the phrase, creating a marked absence of tonal closure. I call these
wrong-note phrase endings "implied cadences." Set-motivic relationships can fill the
cadential void of implied cadences by creating closure using non-harmonic means.
Compared to the interactions discussed previously, this motivic closure results in a
different interaction of tonal and non-tonal branches of a network
Motivic Cosure of Phrases
Example 30 shows the opening phrase of the second movement of the Piano Sonata
No.7. The functional harmonic language at the beginning of the phrase, namely the
neighboring subdorninant and dominant chords of mm. 2-4, strongly ~tablishes the tonic key
of E major. In m. 9 the opening thematic material repeats in D major as part of a progression
that leads to the dominant in m. 12. Because this dominant is the last dominant
78
.-.
-
ILL-
) > ~
.au
·~
~ .. -
)
~
~
s
en
!
)~ >
--- ~
1
-s
~
N
.;
~0;L--
F
e
@
"z0
c ... .1!
Ill
J; ~ J
~
11•
<
~
I
79
chord within the phrase, one might expect it to be a cadential dominant. This is not the
case, however. The dominant in m. 12 functions as a mid-phrase dominant that resolves
deceptively. A cadential dominant never occurs. Phrase closure is achieved not by an
authentic cadence, but instead by melodic means, by the discharge of the D# dominant
agent to tonic, shown by the box in Example 30A. The agent receives a wrong-note harmonic
support instead of a B-major dominant one. Example 30B shows the network configuration
of this phrase, including the implied cadence shown by the dotted lines.
0v
0
/~0
1 qvr v
0
/ ..
. -.
V qVI A
7 "
1
/~
(V) I
0 0v
qy11
0qvr
Example 308: Piano Sonata No. 7, mvt. 2, (B) Network
80
Motivic relationships help compensate for the weak harmonic language of the
cadence by providing an alternate means for closure. Example 30C shows a motivic analysis
of the phrase, consisting of the presentation and development of Motive X, a rising
chromatic line D-0# -E. In mm. 1-4, Motive X and its inversion help establish E as an
important pitch because of a symmetrical centricity about E. The restatement of thematic
material in the key of the subtonic, beginning in m. 9, repeats Motive X and its inversions at
TlO. So far, this example seems similar to the previous ones, with tonal and motivic
structures working together within a network. What makes this example different,
however, is the lack of a harmonic cadence. The tonal branches of the network dissolve by
the end of this phrase, leaving only pitch-class set branches to create coherence.
Saturation, which has cohesive properties by nature of repetition, does not necessarily
provide closure. Motivic closure is achieved in this phrase by replicating rhetorical cues
of tonal closure within a motivic realm. Because Prokofiev strongly invokes tonal language
and expectations for the beginning of the phrase, rhetorical cues of tonal closure play an
important role in defining the phrase. Specifically, closure is achieved by a resumption of
the initial transpositional level of the motive. The transpositional pattern of the motives,
X-TIO(X)-X, reproduces a generalized element of tonal progressions, namely the move away
and eventual return to a starting point. Because it defines a home position, the D-0*-E
version of the motive is similar in function to a tonic harmony. This is a very generalized
conception of tonal progression, yet the metaphor is powerful enough to create closure
because it works in conjunction with an implied cadence. In this specific case, in which
tonal language and expectations are very strong, the rhetorical presence of the tonal
language can persist despite the lack of harmonic closure. Motivic closure can be achieved
by adopting the rhetorical cues of tonal closure.
~ 0 0 0 @
'
I"
...
Motive TID I("
II r---- - ~)- r-,
I(X)
,..-- ......., TIO(X)
,.--- - ,..-- r
_,. ·~
.f. jL ·~t~~f-~ 1" !~ ..
• I
@) @
Auan-ICCIX
r •
=) "
Motivic Analysis
Example 30C: Piano Sonata No. 7, mvt. 2, (C) Motivic Analysis
~
82
There is another means of creating closure in this phrase. As the augmented motive
in mm. 14-17 reaches the tonic E, an embedded eighth-note version of the motive in the bass
of mm. 14-17 also finishes its motivic statement, creating a sense of arrival on the tonic E.
The simultaneous completion of the motives marks the E in m. 17 as a significant musical
moment. Both of these motivic effects-the return to the initial motivic pitch-level, and
the embedded arrival on E, bolster the cadential effect of the motion from the dominant
agent to tonic base. These motivic relationships help provide a cadential function in lieu of
a full harmonic cadence.
The only network branches directly connecting the implied cadence to the beginning
of the phrase is the curved motivic branch shown in Example 300. In other words, the only
cohesive element connecting the end of the phrase to its beginning is the motivic saturation
represented by the non-tonal network branches. Because this network lacks the complete
hierarchical subset of tonal branches necessary for a middleground phrase structure, it is
technically a non-tonal network. However, the scale-degree functions within the implied
cadence and the motivic adoption of tonal rhetoric make a non-tonal descriptor seem
inadequate. The interaction between tonal and non-tonal network branches in this example
creates a network that can be ambiguously described as either tonal or non-tonal.
83
0V I
0
/~0
I qVI v
/0 ·-·
1 v qv1 A
7
A
I
0
/\ 0 0
X
(V) I
IDDeEI
~IIV q~~
0 0 0
IIV lVI ~:1 lV I
(DDeEI (FIFEJ (FIFEJ (CCIDJ [EEbDJ
X I(}C) I{X) TlO {X) TIOI{X)
Tonal Network with Implied Cadence and Motives
Example 300: Piano Sonata No. 7, mvt. 2, (D) Tonal Network with Implied Cadence and
Motives
84
The next example from Cinderella demonstrates a network with an implied cadence
that does not even contain an agent discharge. Despite the strong tonal language at the
beginning, phrase closure is achieved in this case only by motivic means, making coherence
almost entirely a product of the network's non-tonal branches. The opening of the piece
contains strong tonal progressions that create the expectation of a harmonically-defined
cadence. As shown in Example 31A, the opening measures begin with a conventional
progression featuring a neighboring subdominant chord and fully-diminished seventh that
prolongs tonic. At the end of the antecedent phrase in m. 11, the tonic progresses to a V/V,
which leads to the dominant pick-up that starts the consequent phrase. The conventional
harmonic progression, the classic phrase rhythm, and the regular hypermeter of the
antecedent phrase help establish a dear tonal phrase structure. The only feature that
disturbs the classic regularity of the phrase is the unusual salience given to the dissonant
G#. As a non-harmonic pitch, the G# is emphasized by the large leaps to and away from it,
in mm. 9, 10, and 11, and by its off-beat rhythmic accent in m. 9. G# becomes a chord-member
of the V/V in m. 11, and receives a bass- voice agogic accent starting on beat 2. Despite its
surface emphasis, G#'s subordination to A as a lower-neighbor tone to the fifth of the tonic
harmony is clear. The surface salience of G# is portentous because it establishes G# as an
important pitch-class that gets motivic significance later in the phrase.
The consequent begins as if to continue the clear tonal structure of the antecedent.
However, in mm. 14-15, where the authentic cadence would be expected, functional
harmonic progression ceases. Instead of a V-I harmonic progression, a cadence is achieved
by the melodic descent of A-Ab-G-F. F is supported by the final tonic harmony of the
phrase. Tonic is preceded, however, by neither a dominant chord nor a dominant agent.
Instead, cadential rest is achieved by the contrary-moti~n counterpoint between the outer
voices of mm. 14-15. The half-step chromatic descent of the upper voice is supported by the
0 ® @
A lfiL ~ .. .. lf-·;J.
•,., -~
v --=-"I I -
~ ~""=t !r
v r--.. li ~ binsfer ~
r '--1 f ~
~
i iv yjjol V/v II
D-minor: i v .
I
Tonal SIIUCiure
[BJ. ® Inverted and @

·-
AucmenraiX
~
Mocivic: Analysis
Example 31A-B: Cinderella Gavotte op. 95, no. 2, mm. 8-15, (A) Tonal Structure, (B) Motivic Analysis
81
86
ascending bass motion Ab-Bb-0. The contrapuntal convergence in m. 15 on the outer-voice
0-F dyad helps provide a sense of rest and finality to the 0-minor tonic triad.
Motivic relationships provide an additional closure that helps compensate for the
weak tonal ending of the phrase. Example 31S shows the F-G-G#-A motive and its shorter
variants, F-G#-A and F-G-G#, that saturate the surface of the antecedent phrase. In the
consequent the motive returns, but this time it is augmented and in inversion, shown by the
beamed half notes: A-G# (Ab)-G-F. The G#, which was a salient, decorative tone of the
antecedent phrase, returns enharmonically in the consequent phrase as an Ab, supported by
a wrong-note Db triad (m. 14.) Motivic closure is attained not only by the ritardando effect
created by motivic augmentation, but also by inversion that changes the melodic ascent to a
descent. The fast, upward motion of the motive in the antecedent suggests a question, to
which the slower, descending motion in the consequent replies. The clear tonal language of
the antecedent creates a strong expectation for a consequent phrase, yet the consequent does
not harmonically materialize. It is only implied. The motivic adoption of rhetorical cues
of tonal closure accomplishes rhetorically what remains harmonically unfulfilled.
Is this a non-tonal network? Because the implied cadence lacks an agent discharge,
one might designate this as a less tonal network than that of the Sonata No. 7. The
network of the phrase from Cinderella, shown in Example 31C, is a not a completely non-
tonal network because the tonal hierarchical substructure is still implied. The motivic
closure described in these two examples is dependent upon the strong expectation of a tonal
cadence, which never happens. A motivic augmentation, or inversion does not by itself
have a cadential affect. Only when motivic relationships adopt the rhetorical cues of
tonal closure within a context where tonal closure is expected, can motives manifest
cadential properties. When tonal syntax dissolves, _the non-tonal motivic branches of a
network can come to the fore as a means of closure.
87
0v
mm. 8-11 0
/~0 mm. 12-15
vii v
0
/ \0 0
I . -.
: (implied cadence)
(V) I
i iv i vii 0 7 i v/. v i iv i
mm.S-10
v
mm. 11 mm. 12-13 mm.14-1S
FGGifA AAbGF
X ;;'! [(X)
Example 31 (cont.): Cinderella Gavotte op. 95, no. 2, mm. 8-15, (Q Network
Tonal rhetoric and networks
In most of the musical examples in this chapter, tonal and motivic networks merely
co-exist without interacting with each other. In these last two examples from the Piano
Sonata No.7 and Cinderella, motivic networks appear to adopt capabilities of cadential
closure, a property ordinarily belonging exclusively to tonal networks. Do the motivic and
tonal networks of these last two examples interact? No. The motivic networks of
Cinderella and the Piano Sonata do not differ in ~oncept from any of the other motivic
networks described in this chapter. What makes them appear to interact with tonal
networks is their adoption of tonal rhetorical behaviors. In the Piano Sonata No. 7, the
88
return of an initial transposition level of a motive communicates cadential meaning because
of its rhetorical similarity to a return to a tonic key. Similarly, in the Cinderella example
a motivic inversion helps create closure because of its correlation to a cadential melodic
descent. These rhetorical behaviors from tonality appear in the non-tonal setting of pitch-
class set motivic networks. In other words, tonal rhetoric can appear as a common feature
across network types, thus hiding the seam between tonal and non-tonal coherences.
Despite a motivic network's adoption of tonal rhetoric, it remains a representation of
musical coherence separate from tonal networks.
Summary
A wrong note can belong in a tonal network not only because of its scale-degree
function, but also because of its motivic importance. The three types of motives discussed in
this chapter, tonal motives, pitch-class motives, and pitch-class set motives, can be
arranged on a continuum that measures the relatedness between motivic and tonal design.
Consisting exclusively of tonal functions, tonal motives exhibit the strongest link between
tonal and motivic design. Pitch-class set motives lie toward the non-tonal end of the
continuum because they can be divorced of tonal meaning. The coherence created by set
motive involves a saturation of unordered pitch-class presentations that does not depend
upon the teleology of tonal language. The insights from these two independent analytic
viewpoints can complement one another, as shown by the comparison between Minturn's and
my analysis of the second movement of the Violin Sonata. Pitch-class motives fall between
these two extremes. They create a motivic coherence derived primarily upon pitch-class
recurrence, rather than tonal function recurrence, and yet, these motives can remain
somewhat connected to tonal structure via scale-degree functions. All of these motives can
be used towards a common analytic strategy. Whe~er dependent or independent of their
tonal context, motives help create relationships that make a supposedly "wrong note"
belong in the music.
89
Cbapkr Three; Daip and Wrona-Nott Musjc
Chapters One and Two discuss two different kinds of coherences: structural and
motivic. Both of these coherences deal primarily with pitch relationships in music. This
chapter presents a third type, design coherence, which introduces non-pitch attributes of
music. Design is a broad term used to describe not only surface compositional elements, such
as dynamics, text'..rre, and rhythms, but also large-scale organization, such as form,
thematic layout, and key succession. With a range of reference this broad, theoretical
discussions about design vary considerably.! According to Felix Salzer, design is "the
organization of the composition's motivic, thematic and rhythmic material through which
the functions of form and structure are made clear.''2 Salzer assumes that design clarifies
form and structure. More recent accounts, however, acknowledge a possible conflict between
design and structure. Articles by Rothstein, Beach, and Schachter describe situations in
which design features, such as the layout of themes or phrases, conflict with the
underlying harmonic-linear structure of a composition.3 This chapter studies the
interaction between design and structure in Prokofiev's wrong-note music and discusses the
effect on coherence of a design that corroborates or conflicts with structure.
Rather than investigate all manners of design, this chapter confines itself to two
design features that are particularly relevant to wrong-note music, surface design and
formal design. I define these as follows:
lFor a brief summary of the literature discussing design and structure see Beach,
"Schubert's Experiments with Sonata Form," pp. 1-4.
2Felix Salzer, Structural Hearin' (New York: Dover, 1962), p. 224. John Rothgeb
also asserts that design clarifies structure in "Design as a Key to Structure in Tonal Music"
foumal of Music Theory 15 (1971): 230-253.
3 Scholars who discuss a conflict between structure and design include: Schachter,
"The First Movement of Brahms's Second Symphony," pp. 55-68; Beach, "Schubert's
Experiments with Sonata Form," pp. 1-18, and Rothstein Phrase Rhythm in Tonal Mysjc, p.
104.
90
• Surface design: groups or divides musical elements within a phrase according to
dynamics, texture, rhythms, contour, register, instrumentation, and articulation.
• Formal design: groups or divides a piece into sections based upon formal functions,
such as phrases, periods, thematic statements, connecting passages, development
sections, and recapitulations.
The first half of the chapter discusses designs that corroborate structure, and the second
half discusses designs that conflict with structure. In each half, the discussion moves from
the small-scale concerns of surface design to the larger-scale issues of formal design.
Surface Design and Wrong Notes
By creating the musical context for structural functions, surface design provides the
rhetoric of tonal structure.4 A phrase is harmonically defined by its cadence, yet surface
design provides the cadential context, such as hypermetric placement, melodic shape, or a
slowing tempo. A ritard, for example, signals a conclusion not because of an inherent
cadential affect of a slower tempo, but rather because a ritard is often accompanied by
harmonic closure. Tonal listeners learn to associate ritards with harmonic closure. As John
Rothgeb confirms in his 1971 article, "Design as a Key to Structure in Tonal Music," it is
conventional tonal practice for changes in SUI'face design to coincide with crucial structural
points.S Rothgeb urges listeners to give thoughtful attention to surface design changes in
deriving or verifying an analysis because there is often a strong affiliation between surface
design and tonal structure.
Because changes in design can signal structural tonal events, a lack of design change
at a structural event can have a disorienting musical effect. Much of Prokofiev's wrong-note
4For a related discussion on tonal rhetoric see, Kofi Agawu, "Concepts of Oosure in
Chopin's Opus 28," Musi<: Theoey Spectrum 9 (1987): 1-17; see also, Harrison, Harmonic
Function jn Chromatic; Musi<: pp. 76-90.
5Rothgeb, "Design as a Key to Structure in Tonal Music," pp. 230-253.
91
music is heard as "wrong" because Prokofiev fails to provide an expected change of surface
design at the wrong note. Richard Bass' description of a wrong note emphasizes the
importance of surface design:
"The use of direct chromatic movement to shift tonality by a semitone is, like
modulation by deceptive resolution, nothing new to tonal music ...The essential
difference between Beethoven's and Prokofiev's applications of the technique is
that Beethoven prepares the shift deliberately and at a point of structural
articulation, whereas Prokofiev accomplishes it fluently and without preparation,
often in mid-phrase. With Beethoven, the arrival of a new key is experienced as a
structural event; with Prokofiev it is integrated into the textural fabric and
subordinated to the rhythmic and melodic momentum."6
In other words, Prokofiev's wrong notes lack rhetorical preparation that tonal listeners
expect for chromatic events.
Once again, the first phrase of the Violin Sonata offers a prototype of Prokofiev's
compositional style. The wrong-note harmony in m. 8, is integrated into the phrase with a
minimum of change in surface design. The piano continues its eighth-note accompanying
figure in the right-hand, and the violin maintains its lyrical line and its rhythmic
language of eighth-notes and quarter-notes. As Bass comments, the sudden chromaticism
occurs within a fluid textural fabric. Although m. 8 receives slight emphasis as a melodic
climax in the middle of the phrase, this emphasis is minimal compared to surface design
changes that mark other events in the movement. Compare the surface design context of the
wrong-note harmony to the surface features that clearly separate the second-theme
materials from its environs. At the entrance of the second theme in m. 35, the solo violin
drastically changes its rhythmic language to sixteenth-note triplets, and the piano
accompaniment changes to a chordal style. The changes in surface design in m. 35
rhetorically mark the arrival of the second theme. In contrast, the maintenance of surface
design in the first phrase fails to mark the wrong-note harmony as different from its
surroundings.
6Bass, "Prokofiev's Technique of Chromatic Displacement," p. 199.
92
By not articulating the wrong note as a distinct event from its diatonic context,
Prokofiev fails to prepare the wrong-note chromaticism rhetorically. The "wrongness" of
chromatic slides can be tempered by design features that place the direct chromatic motions
at points of structural articulation. To show the significant effect that design can have, I
will compare Prokofiev's wrong-note phrase in the Violin Sonata to a similarly structured
phrase from Schubert's Piano Trio in Eb major. Unlike Prokofiev, Schubert prepares the
chromatic slides rhetorically, making the chromaticism seem less disruptive to a tonal ear.
Schubert's phrase, shown in Example 32, has a similar middleground structure to
the first phrase in the Violin Sonata. An initial tonic in m. 84 progresses to an F#-minor
harmony in m. 114 , which consonantly supports a C# passing tone. At the cadential
dominant in m. 122, the C# resolves to D. The F#-minor tonicization in the middle of the
phrase is similar to Prokofiev's F# wrong-note excursion in the Violin Sonata. By changing
dynamics, attacks, texture, or register, Schubert provides surface gestures to signal that an
"other" event is happening at each shift of harmony. Each supporting harmony is given its
own thematic beginning, surface articulation, and hypermetrical emphasis, meaning that
surface design provides rhetorical boundaries that prepare the chromatic shifts. In other
words, Schubert's changes in surface design help clarify the phrase's structure.
93
't I L
- -r
_, 11:'
t ' v
4!) -
w:
-
~
I
itt
,. ..... ~
<
'
~·
••
-, 'r _/ ~
:-
r
I -
C minor: v I
Example 32: Middleground Structure Schubert's Piano Trio in Eb major, mvt. 2, mm. 84-129
Although Schubert's design prepares the listener for the sudden chromatic
excursions, the surface design is disjunct, which detracts from continuity. The changes in
rhythm, dynamics, texture, and articulation are appropriate contexts for the chromaticism,
yet they do not create the musical impression of a unified, fluid progression prolonging a C-
tonic. Instead, Schubert's context accentuates the disruptive nature of the chromaticism.
Because the disjunct design for chromatic shifts conforms to tonal expectations, Schubert's
setting sounds less aberrant. It is tonally conventional to contextualize a disruptive
chromatic event with a disruptive surface design. In comparison, Prokofiev integrates the
wrong note into the surface design of the ~iolin Sonata phrase, maintaining a surface
coherence that ironically makes the direct chromatic motion sound wrong.
94
Surface Design and Coherence
The comparison of these examples highlights the paradoxical relationship
between surface design and coherence. Although a static maintenance of surface features
would achieve a coherence based upon a unified surface continuity, such a seamless design
would fail to differentiate musical functions. Sometimes, a change in surface design can
promote coherence, such as when the arrival of a new harmonic area is demarcated, or
when the onset of a significant chromatic event is indicated. As shown in the Schubert
example, a change of surface design can help signal a change of musical function. To
summarize, design can best promote coherence when it corroborates tonal functions.
A Wrong-Note Example: Surface Design Corroborating Structure.
If the design given to a wrong-note harmony corroborates its structural function,
then the wrong note may not seem so "wrong." Design can help mitigate the weakening
effect that a wrong note has on structural coherence. An excerpt from Prokofiev's
"Oassical" Symphony Gavotte demonstrates a corroboration between a wrong-note
harmony's structural function and its design context.
The Gavotte begins on a tonic chord and cadences on the subdominant in m. 4.
Example 33A shows a harmonic reduction of these first four measures, featuring two wrong-
note harmonies, shown with an asterisk. Because the wrong-note harmonies fail to
establish tonic strongly, the progression of the first three chords is an unconventional
opening for an introduction. Despite this weak harmonic context, design characteristics
help clarify the structural function of the progression. Example 33B shows a comparison
between the wrong-note progression in the first two measures and a more conventional
prolongation of tonic. In the tonal model on the right, a passing vii6 chord connects a root-
position tonic to a first-inversion tonic. The t9nic prolongation features stepwise voice-
leading and contrary motion between outer parts. Prokofiev's progression, on the left,
preserves the same outer-voice pitches and the stepwise motion.
95
I ~ j 111 .. _..
j. ...
t '"iJv -
<
I ~~--
• - ---
I I
* *
D: I WN WN IV
Harmonic reduction of "Classical" Symphony Gavotte, mm. 1-4
Prokofiev's Progression Tonal Model
~
"'
•u -4
~
-·
•
o• -~ ,, "'
-''11
1T
111
_....
•
--
_..
iJ iJ
<
• ••
t ,
. . . .JL
··n. .... ---
~
I I I I
WN
I I
Comparison of Gavotte nun. 1-2 and tonic prolongation
Example 33: Wrong-Note Tonic Prolongation in the "Classical" Symphony Gavotte
96
The third chord, however, is a B-major wrong-note harmony instead of an inverted tonic.
Although B major lacks the tonic base, it does contain the tonic agent, prominently placed
in the bass. The contrapuntal context integrating B major into the progression, most notably
the stepwise voice leading and the contrary motion between outer parts, displays tonal
behaviors of a tonic prolongation. By contextualizing the B-major harmony within a tonic-
prolonging design, demonstrated by the similarity between the two progressions in Example
33B, Prokofiev makes the wrong-note harmony seem less jarring. The design reinforces the
tonic functions within the wrong-note B-major harmony.
Another Wrong-Note Example: Formal Design Corroborating Structure
Formal design can also work together with structure to strengthen coherence. The
next example, from the first movement of Prokofiev's Second Violin Concerto, demonstrates
how formal design can reinforce structure.
Example 34 shows the transition section of the exposition. The transition's
structural function is to lead from the G-minor tonic of the first theme to the Bb key of the
second theme. A common modulatory technique of a transition is to conclude with a
dominant chord that introduces the new key, which in this case would be an F-major chord.
The final chord of the transition is not quite an F-major chord (m. 51,) but it contains its two
strongest scale-degree functions, an A-agent, and an F-base that falls by fifth to the Bb-
tonic of the second theme. This final chord, however, is not the culmination of a directed
harmonic progression, but instead it is tacked on to the end of a sequence of tonicizations.
Although the transition begins with an F-major chord in m. 28, the progression that follows
cannot be interpreted easily as a prolongation of F. As shown on Example 34, the transition
features a series of tonicizations in the keys of C major, Eb major, B minor, and D minor. The
F-major chord on the last beat of m. 5~ is achieved through a common-tone progression from
the A harmony, locally heard as the dominant of D minor. Because the harmonic direction
of this section is ambiguous, its modulating function to Bb major is only weakly presented.
97
@ ®
Transition Sccood Theme
~ ll -.b- I& I I I I
l
I 4J
p
<
I .. b•
:
' C:
IV
I
Eb: [V
I
b:
I p..._...,l
v d:
1~1'
v f7 Bb:
Example 34: Transition Section, Violin Concerto No.2, mvt. 1, mm. 28-52
Despite an ambiguous harmonic structure, the transitory nature of the excerpt is
clear. Prokofiev provides many design cues that make the formal function of the passage
unmistakable. Unlike stable thematic areas, transitions are restless formal segments that
push momentum forward towards a thematic goal. To offset them from thematic
statements, transitions are often rhetorically marked by sequences, sudden key changes,
motivic development, fragmented textures, sequential patterns, and contrasting dynamics.
The transitory feeling of mm. 28-51 is achieved mostly by these formal design techniques
and not by harmonic structure. Prokofiev sequentially repeats fragments of the theme in
four different keys (C# minor, F major, Ab major, and 8 minor,} using irregular hypermetric
patterns and sudden changes of orchestral texture. These design techniques clarify the
formal function of the transition, and help compensate for the ambiguity of its harmonic
structure.
98
Part Two: Conflicts Between Design and Structure
The previous examples show alignment between design and structure, which creates
maximal coherence. The next part of the chapter discusses how the failure of design to
corroborate structure can negatively impact coherence.7 An example from Peter and the
~ demonstrates the powerful effect that a conflict of design and structure can have on
coherence.
The opening eight-measure phrase of Peter's Theme from Peter and the Wolf
(Example 35) demonstrates beautifully how design can obscure structure. The structure of
the phrase is shown at (A} and features a Basshrechnung C-Eb-G. Example 35B shows the
formal design of the phrase based upon the repetition of four-measure thematic segments.
Shown by the T3 arrow underneath the staff in Example 35B, the second thematic segment
begins with an exact repetition of the theme transposed up a minor third. The bass
progression in mm. 5-7 from Eb to B is an enharmonic transpositional equivalent to the
initial descending major third from C to Ab. The regular 4 +4 hypermeter, the symmetrical
thematic balance, and the exact transposition of the opening thematic material suggest the
interpretation graphed in Example 35B. Because design creates an apparent difference
between the Eb harmony in mm. 3-4 and the one in mm. 5-6, the graph depicts the Eb chords
separately. The quarter-note Eb in m. 4 is a resolution of plagal motion; the half-note Eb in
m. 5 marks the beginning of thematic repetition.
Whereas design articulates two Eb functions, structure presents only one. Eb is the
mediant harmony of the B3SSbres;hnung Design's two-faced presentation obscures Eb's
single structural function. Design's emphasis of Eb as a resolution conflicts with Eb's
structural function as a beginning point of a new harmonic area.
7Although Kofi Agawu does not frame his discussion in terms of coherence, he does
describe eloquently conflicts between design and structure. He distinguishes between
syntactic and semantic closure in "Concepts of Oosure in Chopin's Opus 28," pp. 1-17. See
especially his discussion of Prelude No.4 on p. 14.
99
1\ 1\
3 2
t t)"
1\ I
"'- L.l"
•
Structure
<
.
~ _, ~
- ~-
-r
._
C: I
1\ 1- --+ ,, 1- I
~ 1'- v
4)
hypermeter: I 2 3 4 1 2 3 4 Design
<
......
_,~·
•• ~
·-
' ........_
C: 1 - - - -
__.,-
~m
'---1
Eb: 1--~vi
T3
Theme T3 (Theme)
Example 35: Comparison of Structure and Design, Peter's Theme
Does having two interpretations of the Eb harmony detract from coherence? One
could assume that these different analytic viewpoints describe different aspects of the
music, and that they reflect different analytic interests, rather than a lack of unity in the
100
music. Yet a design that articulates an interpretation different from structure can detract
from coherence because design has the capability of reinforcing structure. Without the
bolstering effect of an alignment between design and structure, an aspect of musical unity is
lost. In other words, the conventional corroborating relationship between design and
structure, described by John Rothgeb, no longer exists. In Peter's theme, design fails to
clarify structure. Unlike the previous Gavotte example, or the Violin Concerto example,
Peter's theme demonstrates a situation in which design detracts from coherence.
The strongest possible structural coherence available to music cannot be attained
when design conflicts with structure. An ultimate structural coherence can occur only when
musical features reinforce one another. This ideal one-ness results when structure, surface
design, and formal design work together to articulate the same musical goals. According to
this ideal, very few musical works achieve ultimate structural coherence. Most tonal works
of the eighteenth- and nineteenth-century achieve strong coherence, if not the strongest
coherence, because many musical factors reinforce each other. If all factors do not work
together, however, then structural coherence is not total. If a musical event can be ascribed
conflicting functions such as Eb-as-resolution-of-plagal-motion, and Eb-as-beginning-point-
of-harmonic-area, then coherence is weakened. A conflict between musical functions
introduces difference, meaning that not all musical factors work towards the same unifying
goal.
The following discussion provides more illustrations of design conflicting with
structure, focusing specifically on surface design.
Surface Design Conflicts With Phrase Structure
Frequently, Prokofiev's surface designs contextualize a wrong note in a manner
inconsistent with its structural ~ction, thus contributing to the perception of the note as
"wrong." In the Gavotte from Romeo and Juliet, shown in Example 36, surface design helps
101
disguise the structural function of a wrong-note harmony.s As shown in the harmonic
reduction in Example 36A, the structural harmonies at the beginning of the phrase are tonic
and dominant. A voice exchange prolongs the dominant, shown in Example 36B, which
includes a passing wrong-note harmony. Usually, the passing harmonies of a voice elCchange
occur in less salient positions than the beginning and goal harmonies of the voice exchange.
In this case, however, the passing harmonies occur in a rhetorically prominent position.
The wrong-note C#-minor harmony begins a two-measure sub-phrase, supports the lowest
pitch of the melody, occurs on the downbeat of a measure, and, in addition, is given accent
marks in all parts. The second-inversion applied dominant, another passing harmony of
the voice exchange, concludes the two-measure pattern and also occurs on the downbeat of
the measure. In contrast, the final root-position dominant of the voice-exchange occurs as
an anacrusis figure, which introduces the next part of the phrase. This root-position
dominant occurs in a less salient context than the passing harmonies. Instead of hearing
the A-major harmony as an ending to a voice-exchange prolongation, Prokofiev overlaps
the phrase units, making the dominant sound like an unaccented beginning to the next part
of the phrase. Prokofiev's surface design makes the wrong-note harmony more salient than
the A-dominant, which contextualizes the chords contrary to their structural significance.
In this excerpt, Prokofiev's surface design fails to reinforce the wrong-note's structural
function.
s The Gavotte is not in any of the orchestral suites. It appears only in the full-
ballet version of Romeo and Juliet.
102
@ @
JJ J I I J
-
"'
t~, I
I I Harmonic
< reduction
mm.43-46
. I
' I I
WN
t
l I "I 'I
v
·----- .. -----
@ @
j
Voice-exchange
prolonging
the dominant
WN CMaj VN
y6_____________________ v
Example 36: Structure and Design of Wrong-Note Harmony in Romeo and Juliet.
Gavotte mm. 42-46
Thirty years prior to its inclusion in the Romeo and Juliet ballet, the Gavotte theme
was first composed as part of the "Classical" Symphony. In the symphony, where the
reference to a tonal practice similar to Haydn's was explicit9, Prokofiev's surface design
9 In an autobiography written between 1939-41, Prokofiev wrote the following

concerning the "Classical" Symphony:
So this was how the project of writing a symphony in the style of Haydn came
about-Haydn's technique had become particularly clear to me after working with
Tcherepnin and it seemed it would be easier to dive into the deep waters of writing
without the piano if I worked in a familiar setting. If Haydn had lived in our era,
I thought, he would have retained his compositional style but would also have
103
corroborates structural function, conforming to eighteenth-century compositional practice. A
comparison between the passage from the ballet and its counterpart in the "Oassical"
Symphony can demonstrate the significant effect that surface design can have on coherence.
Example 37 shows the version of the Gavotte theme in the "Classical" Symphony.
The opening of the phrase is similar to the ballet version in that it begins with two-
measure units. But, instead of a voice exchange, the progression consists of two deceptive
cadences, the first in D major followed by another in F# minor. The graph in Example 37
shows the different harmonic support that the Gavotte melody receives in the Symphony.
Instead of ending the fourth measure with a dominant chord as the ballet does, the
Symphony ends the fourth measure with a D-major harmony as submediant of a locally
tonicized F# minor. The third and fourth measures of the excerpt are almost an exact
transposition of the two opening measures. Structural harmonies, such as the D-major tonic
and the subsequent F#-minor mediant, occur on hypermetrically accented positions,
resulting in an alignment of phrase units with hypermeter missing in the ballet version.
Other surface design features-tutti, accents, and dynamics- also emphasize the structural
harmonies. Because surface design corroborates structure in the "Oassical" Symphony
version, the passage sounds more coherent than the ballet version.
absorbed something from what was new. That's the kind of symphony I wanted to
compose: a symphony in the classical style. Then, when it started to come together,
I renamed it as the "Classical" Symphony. I called it that for several reasons: first
of all, because it was easier that way; secondly, out of naughtiness and a desire to
"tease the geese," secretly hoping that in the end I would have my way if the title
"Classical" stuck.
This is quoted from, Harlow Robinson, 5er~i Prokofiev; A BjoiJj~phy. (London: Robert
Hale, 1987,) p. 131. This original Russian text can be found in: 5 S. Pmkof'ey; Matgrialy
dokumenty yospominaniia <Materials Documents Memoirs), Shlifshtein, S.I., ed. 2nd
edition, ( Moscow, 1961.)
104
0 @
J J1
I&
'II
I, -J\,J&~*-
~
11
f)
'"
'\
bypame!er: I 2 I 2 3
3
" "
I
.• Jl.....-........_
n• ..
11 ....
I"-"'' I I
iii v
Example 37: "Classical" Symphony, mm. 5-12
According to these two examples, the less that surface design corroborates structure,
the less cohesive the music sounds. The following example demonstrates an extreme case of
conflicting perspectives, in which a passing wrong-note harmony is heard, not merely as
structural, but as a phrase-ending cadential harmony based almost entirely upon its surface
design.lO
Cinderella's Waltz
Example 38 shows the theme of Cinderella's Waltz, which conforms to many
stylistic expectations for a waltz dance. A consistent oom-pah-pah bass establishes the
3/4 meter, and the 4+4 hypermeter creates regular eight-measure metrical units. Aspects of
the music that are uncharacteristic of the waltz genre, (wild jumps in register and
lOfor a nineteenth-century version of a similar situation, in which design asserts a

cadence despite a lack of harmonic closure, see Justin London's and Ronald Rodman's
discussion of Chopin's Prelude No.4 op. 28 in, "Musical Genre and Schenkerian Analysis,"
Tournai of Music Theory 42 (1998): 101-124. See especially, pp. 112-116.
105
syncopated melodic figures,) do not compromise the waltz character of the theme. Because
the passage features misalignments between melody and harmony, Example 38A shows a
rhythmic normalization of the excerpt.ll As discussed in Chapter 1, the Eb-major and Bb-
major chords of mm. 23-24 are wrong-note harmonies.
3 4 2 3 4
r * * r
WN WN
r
5----------- 6
WN
r
iv
Example 38: Cinderella's Waltz, mm. 17-25
11Rhythmic normalization is a concept discussed by William Rothstein in,

"Rhythmic Displacement and Rhythmic Normalization" in Trends in S<:henkerian
Research, ed. Allen Cadwallader, (New York: Schirmer Books, 1990), pp. 87-114.
106
Despite the lack of cadential harmonies, many rhetorical signs indicate a
cadential effect at m. 24, making the Bb wrong-note chord sound like a cadence point. For
one thing, m. 24 ends an eight-measure hypermetrical unit. For another, the melodic
rhythms slow considerably from the quarters and eighths of the beginning measures to
dotted half-notes for the would-be cadential measures. Finally, the theme is restated in
the subdominant beginning in m. 25, retrospectively creating a thematic division that
would ordinarily correspond to the beginning of a phrase.
As shown in Example 388, the harmonic structure does not correspond at all to the
rhetorical phrasing suggested by surface design. The harmonic progression leads from the
opening tonic to the subdominant in m. 25, with the wrong-note harmonies participating as
non-essential passing harmonies inside the phrase. Surface design not only makes the Bb
harmony sound like more than a passing event, it makes it sound like a significant
cadential harmony. In other words, the phrase determined by harmonic structure is
completely in conflict with the phrase determined by surface design. Because of this
conflict, structural coherence is not the strongest it could be.
These previous examples demonstrate the effects on coherence of a conflicting
interaction between surface design and structure. The following discussion concentrates on
formal design and its relationship to structure. A conflicting formal design can have a
similar impact on coherence as a conflicting surface design, but at a larger level.
107
Formal Design and Structure
Formal design emerged as a concept distinct from structure at a point when
Schenkerian scholars struggled with the conflicts between Schenker's definition of form,
and the traditional definition derived from the legacy of Koch, A.B. Marx, and Riemann.12
Schenker effectively describes the different perspectives on form:
" ... I reject those definitions of song form which take the motive as their starting
point and emphasize manipulation of the motive by means of repetition, variation,
extension, fragmentation, or dissolution. I also reject those explanations which are
based upon phrases, phrase-groups, periods, double periods, themes, antecedents,
and consequents. My theory replaces all of these with specific concepts of form
which, from the outset, are based upon the content of the whole and of the
individual parts; that is, the differences in prolongations lead to differences in
form."13
Schenker's integration of form with prolongational structure opposes the
nineteenth-century conception of form, which considered the relationships of phrases,
phrase-groups, and thematic elements to be the basis of formal organization; in this
dissertation, formal design refers to the ninetheenth-century conception. As Schenker
notes, formal design separates form from structure.
David Beach's work on Schubert's music provides analytic examples that
highlight the relationship between design and structure.l4 Beach acknowledges that it is
sometimes necessary to represent form and structure using two different analytic graphs.
Despite Schachter's recommendation for an either/or decision, Beach contends that two
possible interpretations can concurrently exist, as long as they attend to different musical
12Although not all of them use the term "formal design," the following theorists
provide a representative sampling of discussions about formal organization in relation to
structure: Salzer, Structural Hearin~, Rothstein, Phrase Rhythm in Tonal Music, Allen
Cadwallader, "Form and Tonal Process: The Design of Different Structural Levels," in
Trends jn 5chenkerian Re:;earrb, ed. Allen Cadwallader, (New York: Schirmer Books,
1990), pp. 1-22.
13Schenker, Free Composition, p. 131.
14Beach, "Schubert's Experiments with Sonata Form," pp. 1-18.
108
perspectives. IS If formal design and structure are two distinct entities, how does their
relationship affect coherence? I extend Beach's acknowledgement of the difference
between design and structure, and suggest that these differences yield a weaker structural
coherence than would exist if formal design and structure confirmed each other's functions.
The weak coherence created by a conflict between formal design and structure is not
at all exclusive to wrong-note music. Quite to the contrary, this conflict is common in most
eighteenth- and nineteenth-century sonata forms. There are, however, particular
interactions between structure and formal design that have become conventional. As Janet
Schmalfeldt states, "Certain well-established types of formal procedure tend to become
associated with specific harmonic-contrapuntal plans."16 In other words, certain conflicts
between formal design and structure have become part of the tonal rhetoric of sonatas.
Before discussing Prokofiev's wrong-note adaptions of tonal rhetoric, I will briefly
summarize eighteenth- and nineteenth-century conventions.
Conventional Relationships between Design and Structure
Example 39 shows conventional conflicts between formal design and tonal structure.
In the exposition, design and structure mostly correlate because changes in design correspond
to harmonic changes. In the development, however, design and structure are not so neatly
correlated. The development section has a distinct formal function from the exposition, yet
its harmonic structure is not distinctly defined from the exposition. The arrival of the
recapitulation is a dramatic moment of a sonata, and the relationship between design and
structure at this formal juncture varies considerably in the eighteenth- and nineteenth-
centuries. In the eighteenth-century, recapitulations tend to resume a coordinated
15"Either/Or'' refers to Carl Schachter's article by that title in, Schenker Studies,
ed. Hedi Siegel (Cambridge: Cambridge University Press, 1990), pp. 165-79.
16Janet Schmalfeldt, "Schenkerian Concepts and Traditional Theories of Form,"

Music Analysis 10 (1991): 234-5.
Sonata Form
Ponnal Design: Exposition Develo ment Reca itulation
Mole derailed
fonnal design:
I first tonal
area
transition second tonal closing section
area
retransition first tonal
area
I transition Isecond
area
tonal 1closing section
first theme second closing first theme second closing

themes: I theme theme or
fragmcnllltion, stqucnces
theme theme or
cadclltial cadential
figuration tigul'lllion
function: 1establishes
main key
I
modulates 101 establishes loonfirms
coatrastlng contrasting contrasting
modulates freely, but logically IMStablisbes does NOT
main key modulate 10
continues ia conlimiS
main key main
key key key coatrasting key
key
SbUCture
IBtb-centu.y .
"
I conventions:
Major I ~VN V ----'\J\IV> v I
Minor ~vnu m ----'\J\IV> v"

(intcnuplion) - 19tb-cepty.y copyentjons:
non-tonic I or i
Example 39: Sonata Form Design and Structure ...

~
110
relationship between design and structure that was abandoned in the development. The
return of tonic harmony usually coincides with a return of stable thematic statements. In
the nineteenth-century, however, the tonal rhetoric of the recapitulation tends to be very
different. Recapitulations might not begin with first theme material, and they might not
begin in tonic. An unarticulated formal beginning of the recapitulation builds tension and
pushes momentum towards the structural close of the sonata, resulting in an uninterrupted,
goal-directed harmonic progression.l7
Formal Design and Coherence
In the eighteenth-century model, formal design helps articulate the large-scale
parallelism between exposition and recapitulation, reinforcing the structural functions of
sonata form. In the nineteenth-century model, the thematic repetition that begins the
recapitulation (not necessarily first theme material), marks a formal beginning in the
middle of the uninterrupted background progression. In other words, design fails to reinforce
structure. It might be helpful to consider a rhythmic metaphor. A resolution of tonal
motion that coincides with a thematic return creates a formal accent. The convergence of
tonal and formal accents creates a strong sense of arrival. Without an alignment of tonal
function and formal boundary, there is no accent, and the arrival of the recapitulation no
longer focuses at one musical moment. Instead, the impact of recapitulation is dispersed
across time with separate, weaker arrival points for the harmonic and thematic elements
of a recapitulation. When harmonic and thematic emphases converge, it creates a more
significant accent than when they are staggered. Because coherence is strongest when
170avid Beach cites many Schubert examples of this from the Trout Ouintet,
Quintet inC-Major, D. 956, "Unfinished'' Symphony, and Quartet in G Major, D. 887 in
"Schubert's Experiments with Sonata Form," pp. 9-18. Peter Smith discusses non-tonic
recapitulations in Brahm's music citing examples from the Piano Quartet, op. 60;
Symphony No. 3 , op. 90; String Quartet, op. 51 no. 1; and the Violin Sonata op. 108 in" A
Mutual Response to Sonata Form," Music Theocy Spectrum 16 (1994): 86-103.
111
design reinforces structure, sonatas that follow the eighteenth-century model are more
coherent structurally than ones that follow the nineteenth-century one.
Wrong-Note Conflicts of Design and Structure
If something goes counter to the conventional conflicts between design and structure
outlined in Example 39, then the musical effect seems exceptional, even wrong. Prokofiev
combines features of both eighteenth- and nineteenth-century recapitulation practice,
creating unconventional conflicts between formal design and structure. Example 40 graphs
the structure of the third movement from the Violin Sonata, which features a I-V-I
progression with two wrong-note tonicizations within the dominant prolongation. Both the
B-minor and Gb-major wrong-note tonicizations function as lower neighbors to structural
harmonies. In both cases, the lower neighbors function as dominant agents to the next chord.
(Gb is an enharmonic spelling of an F# agent of G.) Aside from the assertion of tonic
harmony at the beginning, the most significant structural points in the movement are the
arrival of the dominant in m. 17, (and its corresponding place in the varied repetition of
the phrase in m. 34,) and the resumption of tonic harmony in m. 81.
The vertical lines beneath the staff show where the formal points of articulation
occur in relation to the tonal structure. At the beginning of the movement, formal design
corroborates structure because changes of thematic material coincide with the change of
harmony from tonic to dominant, as a tonal listener would expect. As described in Example
39, this alignment corresponds to that typical of exposition sections of sonatas. The return
of the A-theme material in m. 66, however, does not coincide with a resumption of tonic
harmony. Instead, the theme is supported by a Gb-major wrong-note harmony, which
functions as a neighboring chord to a secondary dominant.
@ ® ® @ @ ®A ®A2 I
•
LN C•• 1A A
I G•• 1A A
I
~ ~
~-
(C: II v B-minor Wf'OOI·D(ICe I
lollkizalion -~...... -,_ V -
It
P: I v v
Desip: A-Theme B-Tbeme I'CIIInlition Return or A-lhemc Coda
Example 40: Structure and Design of Violin Sonata op. 94, mvt. 3
....
~
113
Starting the recapitulation in a remote key creates a conflict between design and
structure similar to the one in the nineteenth-century model. A thematic return occurs in m.
66, however the harmonic resolution does not arrive until the end of the thematic statement
in m. 81. In accordance with nineteenth-century practice, Prokofiev makes tonic the goal,
rather than the departure point of the thematic return. This example differs from the
nineteenth-century model in one important aspect, however. In the sonatas by Schubert and
Brahms cited in footnote 17, the avoidance of tonic at the thematic recapitulation results in
a continuous, goal-directed harmonic motion. In Prokofiev's Violin Sonata, the wrong-note
harmony at the beginning of the recapitulation disrupts harmonic continuity. Gb major
contains an dominant agent, but it lacks triadic functionality.
This movement fails to conform to either eighteenth- or nineteenth-century formal
expectations. Although Prokofiev's surface design recalls eighteenth-century practice,
(thematic parallelism, developmental style of retransition, and salient dominant
preparation of recapitulation key,) the Gb wrong-note harmony spoils the large-scale
parallelism. Combining aspects of eighteenth- and nineteenth-century formal designs
results in weak reinforcement of structural coherence because there is neither the large-
scale parallelism of eighteenth-century formal design, nor the nineteenth-century continual
harmonic momentum leading towards the final tonic. As explained in Chapter Two, there
are motivic reasons for Gb major in m. 66. However, these do not counteract the lack of
corroboration between formal design and structure.
Other Formal Discrepancies -Wrong-Note Themes
The previous example discusses an exceptional relationship between design and
structure that occurs at a specific formal moment, the thematic recapitulation. Prokofiev
plays with the relationship of formal design and structure not only at the point of
recapitulation, but also at other lesser points of formal function. The second line of Example
39 shows a more detailed level of formal functions within a sonata, such as a transition or a
114
first tonal area. Often, Prokofiev misaligns design and structure at these smaller levels by
providing an unconventional formal context for a wrong-note passage.
Although there are conventional norms for each of these detailed formal functions,
for this study it is necessary only to distinguish between thematic functions and the non-
thematic ones. The thematic functions include the first tonal area, second tonal area,
closing section of the exposition, and their corresponding counterparts in the recapitulation.
Non-thematic functions are the transition sections, and the entire development. As
Rothstein states in Phrase Rhythm jn Tonal Music, thematic statements tend to be stable
tonal areas with relatively symmetrical phrases and metrical structures.lS They have
clearly defined phrases and cadences, regular hypermetric patterns, and consistent textures.
In contrast, transition areas and developments tend toward asymmetrical phrase
constructions, unstable hypermetrical organization, and lengthy passages that cannot
easily be traced to symmetrical models. Prokofiev's most typical technique challenging
formal expectations at this level is to provide thematic emphasis to a wrong-note passage
that is not a stable tonal event, thus inverting expectations of thematic function.
The opening of the Violin Concerto No.2 (Example 41) shows a wrong-note setting
in which the wrong-note harmony receives thematic emphasis. The first theme clearly
establishes G minor as tonic by arpeggiating G-Bb-0. A cadence is expected in m. 9 that
would resolve the F# diminished seventh chord, but a tonic resolution is avoided by a
wrong-note 8-minor presentation of the opening theme. Example 41 shows the structure of
the passage, featuring a prolongation of an F# diminished-seventh chord that leads to a
cadential dominant in m. 17.
18Rothstein, Phrase Rhythm jn Tonal Musis; p 99.
115
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Example 41: Wrong-Note Progression in Violin Concerto No.2, mvt. 1, mm. 1-18
Structurally, B minor is part of a voice exchange that composes out the F# diminished-
seventh chord. Because it is dissonant, a diminished-seventh chord cannot be prolonged
without being transformed into a consonance. As Jonas Oswald describes,
"The only sonority that can be composed out is a stable one, thus a consonance. If
composing-out is to be applied to a dissonance, it must be temporarily divested of its
character of driving toward a goal; that is, the dissonant tone must be transformed
into a consonance."19 ·
How are the tones Eb and F# temporarily divested of their dissonant character? The
musical surface makes this shift from dissonance to consonance salient. The diminished-
seventh leap in m. 8 accentuates the dissonant tones. The F# is sustained by the solo violin
as the lower instruments emerge with the theme in 8 minor. 8 minor consonantly supports
F# as the fifth of the triad, and locally resolves the Eb to D as part of the third progression
to an inner voice.
19Jonas, lntrodm;tion to the Theory of Heinrich Ss;benJser." p. 100.
116
The passing function of the B-minor harmony is de-emphasized because Prokofiev
contextualizes the wrong-note harmony as a stable tonal event, rather than as a
contrapuntal convergence of passing voices. Prokofiev uses the rhetorical cues of thematic
presentation and regular phrase structure to give the B-minor wrong-note passage formal
stability, despite its structural passing function within the voice-exchange. One reason the
B-minor harmony sounds aberrant is because its formal context contradicts its structural
function. By providing the wrong-note harmony with its own thematic statement,
Prokofiev challenges the typical relationship between formal design and structure.
In the varied repetition of this phrase immediately following the above passage,
Prokofiev demonstrates another example of a wrong-note harmony given thematic
emphasis. After the brief B-minor wrong-note episode shown in Example 41, the opening
theme returns in G minor and again culminates on an F# diminished-seventh chord at the
end of m. 23. Example 42 shows this continuation of the first tonal area. This time, the
diminished-seventh chord is enharmonically re-interpreted as a diminished-seventh of
C#, shown in parenthesis, which resolves immediately to a C#-minor presentation of the
theme. The structural motivation for this distantly related wrong-note key is the
E-natural dominant agent. E leads to F major, the key of the transition section that begins
in m. 28. In other words, C# minor consonantly supports E as part of the melodic progression
from D-0#-E-F, shown in the top voice of the graph in Example 42. Once again, Prokofiev
states the theme in a wrong-note key that has a passing function. The thematic statement
emphasizes C# minor in a manner inconsistent with formal expectations for a chromatic
passing harmony.
117
eE
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118
Conclusion
Surface design and formal design affect coherence by either corroborating or
conflicting with structure. As shown by the examples in this chapter, Prokofiev's wrong-
note music features designs that both strengthen and weaken coherence. Ironically, a
surface design strengthens coherence not by maintaining surface continuity, but instead by
reinforcing structural functions. If a wrong-note harmony has a passing function, then its
strongest context is a passing design, even if that design breaks surface continuity.
Similarly, coherence is strongest when formal design corroborate structural functions. If the
conventional alliance between design and structure is abandoned, then the cohesive aspect
of their coalition is lost. When design competes with structure, coherence is weakened. Not
only can design fail to mark structural events, but it can also assert an interpretation
completely separate from the structural one. Although they may weaken a coherence
between design and structure, wrong-note contexts do not completely destroy musical unity.
Quite to the contrary, their wrong-note character depends upon thwarting tonal
expectations that, ironically, the wrong notes themselves help create. The examples in
this chapter show the analytic benefit of allowing coherence to be a continuum. Prokofiev's
music can be best descnbed using a graduated conception of coherence, which allows for
corroborating and conflicting relationships between structure and design.
The first three chapters of this dissertation study how structure, motives, and
design each individually affect coherence. The next chapter discusses how these categories
affect coherence in combination with one another.
119
Chapter Four; The Ranp of Cobcrencc: Apalytic: Studies
Introduction
This chapter presents analyses of pieces and excerpts, integrating the tools
developed in the first three chapters of the dissertation. Each previous chapter
concentrated on only one analytic category- wrong-note structures in Chapter 1, wrong-note
motives in Chapter 2, and wrong-note designs in Chapter 3. Instead of focusing on one
particular analytic strategy, this chapter combines them by studying the relationships
between structure, motives, and design. The analyses are organized according to the tonal
strength of the music they descnbe, beginning with pieces demonstrating the strongest tonal
coherence and ending with pieces that have the weakest.
Part One: Strong Tonal Coherence
The strongest structural coherence results when structure, motives, and design are
individually at their most unified and also when they collectively support each other's
functions. According to the principles developed in this dissertation, this would require a
hierarchical structure, supportive design, and motives that exercise tonal motions.
Prokofiev's "Classical" Symphony demonstrates this strongly reinforced tonal coherence.
"Oassical" SymphoOJ
In his first symphony, Prokofiev imitates Joseph Haydn's compositional style.
(See Chapter 3, footnote 9.) Prokofiev adopts not only the surface gestures and orchestral
manner of the classic style, but also the pervasive cohesive relationships among structural
levels characteristic of 18th-century music. Thus, the structure, and design of the first-
movement exposition work together to express one coherent tonal expression.
Example 43 shows the structure of the exposition, featuring a melodic descent from
"5 to "2 and a harmonic progression from an opening 0-major tonic to an A-major dominant.
Because foreground diminutions of middleground progressions conform to conventional tonal
practice, there are no wrong-note harmonies in this exposition. Firstly, consonant structural
120
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harmonies support the fundamental descent. Secondly, the 0-major tonic and A-major
dominant harmonies of the fundamental structure are prolonged by their own I-Y-1
progressions, producing a hierarchical structure. Lastly, foreground events can be directly
derived from tonal processes of deeper levels. Without a wrong-note disruption of
hierarchical transformational process, this tonal structure demonstrates classic structural
coherence.
As discussed in Chapter Two (pp. 55-56), the motivic coherence of this movement
derives from tonal motives, the type of motive the most connected to tonal processes.
Example 43 shows the recurrence of the motive, which consists of a reiteration of the
descent from 1\S to /\1. The foreground repetitions of the motive are notated with a slur, and
the deep middleground presentation of the motive is represented by the beam of the
fundamental melodic descent. Because the motive occurs in four different keys--0 major, C
major, B minor, and A major, motivic repetitions do not necessarily reiterate the same pitch
classes. This motivic coherence is a by-product of tonal structure, resulting from the
recurrence of linear melodic tonal functions. Consequently, motivic and structural coherences
are inextricably intertwined.
The surface and thematic design of the exposition reinforces the tonal functions
expressed by the structure and motives. The tonic and dominant harmonies that are the
structural pillars of the exposition are emphasized rhetorically by thematic presentations.
As one would expect in a sonata exposition, the opening tonic harmony supports the first
theme, and the dominant harmony supports the second theme. Because of their regular 4+4
hypermeters that coincide with the phrase rhythm, both themes are contextualized as
stable formal areas. In contrast, these stable thematic statements are connected by an
unstable formal transition, rhetorically marked by an asymmetrical hypermeter and a
fragmentation of surface motives. Transitional surface designs include shortened phrases,
lengthened phrases, fragmented motives, and inverted themes. These developmental
122
techniques expand a two-measure thematic subphrase (mm. 19-20) into a ten-measure
transitional unit (mm. 36-46.) Return of hypermetric regularity and phrase symmetry occurs
only atm. 46, where the second theme begins supported by dominant harmony. By marking
the thematic statement with a new violin melodic register, a new pizzicato bass
articulation, and a sudden change of dynamics to pianissimo, surface design clarifies the
change of formal function. Throughout the exposition. design coordinates with structure,
contextualizing fundamental harmonies as stable and transitional passages as unstable.
Overall, this example shows strong structural and motivic coherences, resulting
from structure, motive and design working together to achieve the same tonal goals.
The Youn&lu1iet
Because it contains wrong notes, The 'Youn1 Juliet from the ballet Romeo and Juliet
demonstrates a weaker structural coherence than that of the "Oassical" Symphony. The
wrong-note progression of the opening measures of the first phrase is repeated twice, shown
in Example 44A. In both cases, it is marked as different rhetorically by a sudden change of
surface design. The orchestral texture shifts to a chordal style, the harmonic rhythm
accelerates dramatically, a higher register is introduced, and the wrong-note harmony
receives isolated staccato articulation. Although the E-major chord in m. 2 passes by
quickly at the vivace tempo, it has an important impact on the coherence of the movement.
It detracts from structural coherence because it cannot be integrated into a hierarchial
structure, since the progression from Ab major to E major to C major is not a progression
derived from deeper levels of structure. Despite these weakening factors, the wrong-note
harmony does retain some tonal purpose. A comparison between this wrong-note
neighboring progression and a more conventional neighboring prolongation, shown in
Example 448, reveals two important structural similarities: both progressions consonantly
123
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support a melodic neighboring motion, and both include a discharge of the dominant agent,
"7-"1. Despite its lack of hierarchical derivation, the neighboring function of the wrong-
note harmony is clear.
The B to C discharge from the wrong-note harmony in m. 2 participates in motivic
repetitions throughout the movement, shown by brackets in Example 44. In m. 4, B is
supported traditionally by a cadential dominant. A few measures later, B is tonicized by a
cadential progression in B minor. The root of the B-minor harmony acts as a dominant agent
to the C harmony that ends the phrase in m. 8. The deepest-level repetition of the motive,
shown in Example 44C, occurs in mm. 19-23, where the theme is presented in
E major-a wrong-note key that is a clear middleground reference to the fleeting E-major
wrong-note harmony in m. 2. In the Youn& TyUet the pitch-class motives ocrur in different
harmonic contexts, yet they include a scale-degree function. In every recurrence, the B acts
as a dominant agent to C. The motivic coherence of this movement is strong, yet the
interconnection between structure and motives is slightly weaker than it was in the
"Classical" Symphony. The motives in the "Classical" Symphony are tonal motives
inextricably linked to their structural context. In the Youn& IuUet, the motives are pitch-
class motives connected to tonal structure only by their scale-degree function.
Overall, this example demonstrates a weaker coherence than that of the
"Classical" Symphony because of the wrong notes, which weaken both structural and
motivic coherence. Structurally, wrong notes weaken coherence because they break
hierarchical transformational process. Motivically, they weaken coherence because they
create pitch-class motives rather than tonal motives. Despite these weakening factors,
both types of coherence-structural and motivic-are still fairly strong in this passage
because the phrase structure is clear, motivic coherence includes scale-degree functions, and
surface design clarifies structural functions.
125
Lieutenant Kijf. Romance
The midclleground structure of the Romance from Lieutenant Kije. shown in Example
45, contains some unconventional mixed-mode relationships. Although they are unusual,
the minor-mode mediant and submediant harmonies do not disrupt tonal continuity. At the
end of the movement, however, there is a wrong-note F#-minor presentation of the theme, a
striking event considering the uninterrupted flow of tonal language that predominates prior
to the wrong-note intrusion. A retrospective motivic hearing of the piece can help explain
the wrong-note occurrence near the penultimate measures of the movement. Although the
wrong note weakens hierarchical structure, the factor that truly disturbs coherence in this
movement is the lack of correlation between tonal and motivic structures.
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The dowrtward-stemmed beams in Example 45 show a motivic association based
upon pitch-class recurrence. The second theme begins in the minor submediant and ends
with a major submediant chord, highlighting a motion from Gb to G. The motive recurs
enharmonically in mm. 66-69, where the F# dominant agent is supported by a wrong-note
126
theme. The agent does not resolve immediately from the wrong-note harmony, but instead
it anticipates a full triadic 0-major dominant function in m. 67. Notice that this motivic
repetition does not involve a recurrence of scale-degree functions. In its wrong-note version
at the end of the movement, the F#-G motive represents a resolution of a dominant agent to
a tonic base. In the second-theme version of the motive, the Gb is a minor-mode tonic agent
and the G is a major-mode tonic agent. Compared to the Youm~ Juliet example, the motivic
associations of the Romance are not as well connected to tonal processes because the motivic
repetitions lack scale-degree recurrence. In the Romance. the motives consist only of pitch-
class reiterations.
Although these three examples are presented in descending order of tonal strength,
they all share features making them unequivocally tonal works. They have clear phrases,
tonal middleground structures, and distinct contrapuntal functions of consonance and
dissonance. To this basic tonal coherence, the "Classical" Symphony and Yoyns- WHet
examples add tonal motivic relationships and designs that support structure. The Romance
is the weakest example of the three because its motives are unconnected to tonal processes.
The following section discusses tonally ambiguous pieces, concentrating on the interaction
between weak tonal structures and non-tonal motivic relationships.
Part Two: Weak Tonal Coherence
Masks from Romeo and Juliet

Example 46 shows weak tonal structures for the first and second themes, both of
which feature an F#-minor wrong-note harmony. In each case, the wrong-note harmony
occurs in the middle of the phrase and supports a melodic motion from C# to D. In the first
theme, shown in Example 46A, the tenor voice dissonantly retains the C# of the wrong-note
harmony as the rest of the voices progress to a submediant harmony in m. 8. This dissonant
context accentuatesC#'s "wrongness." C#does not resolve to Din the upper-voice register
until the Bb harmony in m. 9, producing a #"2- 1\3 progression. A #.1\2-1\3 motion can
127
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128
strengthen a cadence by replicating the half-step discharge of the agent at a different
pitch level.l In this case however, both the agent's and the C#'s discharge are not stated
explicitly at the surface of the music. Because its discharge is only implied, C#'s potential
to strengthen the progression is not fully realized. The wrong-note harmony is not the only
weakening element in the passage. The two authentic cadences in the first theme do not
contain a root motion from "5-" 1, creating a lack of dominant base discharge. The
dominants occur in second inversion and emphasize the linear connection from C to Bb of the
bass voice.
Although it contains an F#-minor wrong-note harmony, the cadential structure of
the second theme is stronger than that of the first. As shown by the box in Example 46B,
the second theme contains the only Bb-major "5-"1 base discharge of the movement,
occurring in mm. 29-30. In addition to the bass motion, the cadence is intensified by the C#
augmented fifth over the dominant root. Initially, C# receives consonant harmonic support
as part of the F# wrong-note harmony in m. 26. C# is retained throughout the chromatic
progression leading from the dominant ofF# (m. 28), to a German augmented-sixth chord
(m. 29), and finally to the dominant of Bb (end of m. 29. ) Although C# is introduced as a
wrong note, by the end of the cadence it no longer seems "wrong." Instead, the discharge of
the C# strengthens the progression by replicating the agent's half-step resolution. #"2-"3 is
a chromatic projection that parallel's the agent's discharge from "7 to "1.
Motivic analysis provides some additional explanations for the C# wrong note and
its association with an augmented fifth. In the first theme, the wrong-note harmony helps
supports a progression of pitches Bb-C-C#-0, called Motive X in Example 46A, which has
motivic recurrences throughout the movement. In the most significant version, the
cadential structure of the first theme inverts the motive in the bass voice, shown by the
lfor a discussion of chromatic accompaniments to agent discharges see, Harrison,

Harmonic Function in Chromatic Musk p. 106-8.
129
bracket. The linear motion of the motive is particularly noticeable in the bass voice
because a base discharge would be expected at this cadential moment. By subverting these
expectations, Prokofiev draws attention to the motive at the most important structural
event of the phrase, the cadence. Although the #"2-"3 scale-degree functions are not
preserved in inversion, the inverted motive introduces a different reference, the augmented-
fifth interval. In the second theme, an ascending version of the motive recurs, shown by the
beam, shortened to Bb-C#-0. In this version, the prominent augmented fifth returns, shown
by the vertical bracket in Example 468. These motivic associations provide opportunity for
the wrong-note F# minor harmony, connecting it motivically to the musical structure,
despite its lack of harmonic functionality.
Whereas motives provide a source of coherence, the surface and thematic design of
the movement weakens coherence because it does not clarify structural functions. In the first
theme, the wrong-note harmony is smoothly integrated into the phrase, failing to mark it
as different from its diatonic neighbors and thus failing to clarify its chromatic nature. In
the second theme, the wrong-note harmony receives thematic emphasis by supporting the
theme in F# minor, a ditone away from its original Bb presentation in m.. 22. This thematic
emphasis incongruously contextualizes a chromatic passing tone as if it were a significant
structural harmony.
To summarize, the coherences of this movement are built upon a weak influence of
tonal relationships and a strong influence of motivic ones. One of the most significant
factors weakening tonal coherence is the lack of dominant-base discharge at the end of the
piece and at the end of the first theme. The only dominant base discharge occurs in the
middle of the piece at the end of the second theme. A further weakening factor is the lack
of scale-degree associations in all the motives. In addition, design fails to reinforce
structural functions, thus not fulfilling its potential to bolster structural coherence. By
130
creating an alternate means for coherence, motivic references help mitigate these
weakening structural forces.
The following example, from Piano Sonata No.9, demonstrates an even weaker
tonal structure, which relies heavily upon its motivic relationships for coherence.
Piano Sonata No.9, mvt. 3
The F#-m.inor wrong-note harmony of the first phrase of the movement, shown with
an asterisk in Example 47A. occurs in the middle of the phrase and does not disturb the bll-
V-I cadential structure in mm. 7-8. Despite its wrong-note precursor and its enharmonic
spelling, the Neapolitan chord of m. 7 initiates an unambiguous cadential progression. In
this first phrase of the movement, the wrong-note harmony functions characteristically.
Although it does not participate in the harmonic progression, it does consonantly support a
chromatic voice-leading motion, C-C#(Db)-C, beamed in the example. Both the F#-minor
wrong-note harmony in mm. 5-6 and the A-major Neapolitan chord that follows
consonantly support the C# of this motive. In m. 8, the C# is enharmonically respelled as a
Db, becoming a dissonant seventh of the cadential dominant. In its first presentation in the
movement, this wrong-note progression seems tonally strong, but each time this phrase is
repeated, tonal structure is weakened, resulting eventually in a complete collapse of
functional harmonic progression.
131
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Throughout the movement, the cadential structure becomes progressively weaker.
At first, the weakening effects are restricted only to surface design changes, which
minimize functional harmonies by making them less salient. In m. 25, the dominant
harmony does not occur on the downbeat, as it did in the first phrase, but it occurs in the
middle of the measure. As a result, the final tonic is pushed back a measure, creating an
unexpected nine-measure phrase. In mm. 61-62, the surface design effects are more
disturbing to the phrase's cadence. Another extra measure is added before the dominant,
and there is no bass-register Eb. Because of the irregular hypermetric extensions in mm. 60-
63, the functional harmonies of the phrase arrive at unpredictable moments. The cadential
structure is weakened by this hypermetric play and by the lack of bass discharge. As
harmonic functionality weakens, motivic connections become more salient. The Db of the
dominant harmony is the highest pitch of the phrase and receives a contour and an agogic
accent. This emphasis on Db coinddes with a de-emphasis of dominant function, making
the motivic subdominant resolution from Db to C ("'4- "'3) more prominent.
In the varied repetition of the phrase in mm. 64-72, the weakening effects on tonal
structure expand beyond the realm of surface design. In this version, the wrong-note
harmony is extended to include a full tonicization, ending with an F# tonic in m. 70. The
harmonic progression is altered to emphasize the wrong-note harmony at the expense of the
functional Neapolitan chord, which does not appear at all in this version of the phrase.
Because it is expressed by a single base Eb, which is unsupported by other dominant scale
degrees, the dominant chord's function is also muted. The arrival of this low Eb is delayed
by an augmented sixth chord, occurring on beat two of m. 71. These changes of harmonic
structure accent the wrong-note harmony while minimizing the functional progression. In
this version, changes in harmonic structure and surface design both de-emphasize the
structural coherence of the passage.
133
In the last version of the phrase in mm. 98-108, shown in Example 478, the cadence
is almost entirely obscured, resulting in a very weak tonal structure. After the wrong-note
tonicization in mm. 102-104, the Neapolitan harmony receives a three-measure expansion.
This harmony, with a prominent C# bass note in m. 105, ambiguously melts into a tonic
harmony in m. 107 without a strong presentation of any dominant function. Although there
is a fleeting Eb in the tenor register on the last beat of m. 107, its dominant effect is minimal
because it is registrally unconnected with previous voice-leading lines and because it
coincides with tonic base and agent functions. The Eb sounds more like a tonic associate in
this context than a dominant base. Thus, tonic harmony is re-attained without a strong
dominant precursor. The cadence is accomplished not through harmonic means, but through
melodic and motivic ones.
The weaker the cadential structure is, the more important the motivic C-C#-C
motion becomes for coherence. The three-measure A-major expansion in mm. 104 -106
accentuates the C# to C motion of the motive. In m. 105, the changes in texture emphasize
the C#, which occurs as the only pitch sounded on the downbeat. The eighth-note
chromatic wedge between outer voices in mm. 105-6 transfers the C# from the low bass
register to the alto register, where it is enharmonically spelled as Db. The motive is
completed in m. 107, where Db resolves to C. The resumption of the final C is ornamented by
a chromatic Bb-B-C motion, which is the only moving voice within the tonic harmony.
This dramatic presentation highlights motivic motions that complete the phrase.
In addition to its repetitions within the first theme variations, the C-0~/Db-C
motive also recurs in the B-theme of the movement. In m. 31, Db major functions as a
Neapolitan chord of C major. This Db receives significant emphasis in the repetition of the
B-theme, beginning in m. 83, where the Db opens up the lowest bass register, begins a
thematic statement of the B-theme, and initiates a change of dynamics to a fortissimo
134
level. The motivic associations occurring throughout the movement provide an alternate
means of coherence that comes to the fore as structural coherence decays.
An excerpt from Prokofiev's Violin Concerto No.2 demonstrates very weak tonal
coherence.
Violin Concerto No.2
Ironically, the opening of the movement begins with a strongly tonal violin solo.
The theme arpeggiates a G-minor triad, embellishing 11.5 with a chromatic double-neighbor
motion, shown in Example 48A.
Example 48A: Violin Concerto No.2, mvt. 1, (A) Tonal Opening of Violin Solo, mm. 1-2
Throughout the exposition, however, tonal coherence is not maintained consistently.
Specifically, the transition section, spanning mm. 28-52 cannot be integrated into a
background tonal progression. Example 48B shows salient pitches of the transition based
upon local tonicization, rhythmic emphasis, articulation, and reiteration. Although there
are surface tonal motions, such as the subdominant to tonic progressions that open the
transition, there is no large-scale harmonic progression connecting these locally
emphasized keys. Without a guiding tonal framework, the non-tonal relationships of
salient events become more significant.
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136
The transition prepares the 8b key of the second theme using linear motions instead
of harmonic ones. A stepwise contrary motion between outer voices culminates on 8b in m.
52, boxed in Example 488. This contrapuntal cadence substitutes for a harmonic one. The C-
B-8b bass descent occurs not only in mm. 51-52, but also on a larger scale, shown by the
beamed notes spanning mm. 32-52. Another salient passing motion, D-C-8, is marked by
brackets in mm. 43-47. These three pitches, prominently articulated in the bass voice, begin
the descent towards the Bb goal in m. 52. These linear motions in the bass are stepwise
descents that intensify towards the end, becoming faster and more chromatic. This can be
represented by the arrow connecting the 3-2 [013} and 3-1 [012} trichords in the middle of the
staff. In other words, the drive towards Bb is achieved by a shift to chromatic linear
motion. Atonal set-names are used because they can represent the diatonic-to-chromatic
motion without assuming a tonal context.
Salient surface shifts between the 3-1 and 3-2 trichords recur throughout the
movement, making it a set-motive. In the opening theme, shown in Example 48C , two
neighbor figures receive surface emphasis, which marks them for motivic development.
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SA_ 1111! ./
- ··~-
Violin solo
Example 48C: Violin Concerto No.2, mvt. 1, (C) Violin Solo, mm. 1-9
The first eighth-note neighbor figure (labelled as a 3-1 [012] set) disrupts a pattern of
repeated quarter-notes, includes the only chromatic pitch in the theme, and initiates the
first change of melodic direction. The second neighbor figure (labelled as a 3-2 [013] set)
137
receives tenuto marks-the only articulation markings in the opening violin solo. When the
theme is fragmented in the transition, both diatonic and chromatic versions of the neighbor
motion are restated (mm. 30-31 and mm. 35-36). The second theme is not only saturated
with 3-1 and 3-2 sets, but it also highlights the transformation from one to the other. As
shown in Example 480, the first six notes of the second theme can be segmented as
sequential3-2 sets. Four measures later, this head motive is repeated in Eb with chromatic
alterations, creating two 3-1 sets. In the varied repetition of the theme that immediately
follows in mm. 62-68, the chromatic version of the head motive is stated first, followed by
the diatonic one. The diatonic-to-chromatic exchange occurs not only within each 8-
measure theme, shown by the straight arrows, but also between the two complete thematic
statements, shown by the curved arrow on the example.
Diatonic Chromatic: Chromatic: Diatonic
Example 480: Violin Concerto No. 2, mvt. 1, (D) Diatonic and Chromatic Transformation
in the Second Theme
Co-existence of tonal and atonal coherence
The set associations between the first and second themes occur within a tonal
structure. Labelling these figures as set classes may seem inappropriate within their tonal
context. If there were no other atonal associations in the movement, I would label these
motives as passing and neighboring motions connected to tonal processes. However, motivic
repetitions in the transition sections of the movement consist of recurring set-classes, not
necessarily of recurring pitch-classes or of recurring tonal functions. This is most evident
when comparing the diatonic-to-chromatic motive in its tonal contexts (Examples 48C and
138
480) and its non-tonal context in the transition (Example 488). The set-motives create a
weak secondary atonal coherence that co-exists with the strong tonal structures of the
themes.
Were the lapse of functional harmonic progression in the exposition an isolated
event, its significance for atonal coherence would be minimal. However, tonal coherence
weakens again in the transition of the recapitulation, revealing more levels of non-tonal
coherence. As shown in Example 48E, this transition section preserves many characteristics
of the exposition transition. Because the original version does not have a coherent tonal
background structure, the recapitulation of this material does not function harmonically
either. As one would expect, repeated material is transposed to accommodate the new tonal
goal. Instead of leading to Bb, this transition leads to G, which necessitates the minor-
third transposition of the material in mm. 213-223, shown by the bracket beneath the staff.
Prokofiev does not transpose the entire transition by a minor third, but instead begins the
recapitulation version a whole-step higher than its original, also shown by a bracket.
Why does Prokofiev start the transition at this pitch level?
IE§ @
Ra:apitulllion Transition
@ @ @ @ @8@ €9 @
SccondThel
3-2 (013) 3-1 (012)

) r - - -----,
... .. .
r- ----.
~ -
D: IV I F: IV I dl: i b: i o:r.
1 T2 rram &position 1 1
T-Hrom lhposiajon 1
Wroog-nole keys or
1 first theme! 1
Example 48E: Violin Concerto No. 2, mvt. 1, (E) Recapitulation Transition, mm. 197-223
...~
140
The whole-step shift cannot be explained easily from a tonal perspective.
Although the transition begins with an emphasis on aD-harmony (m. 197-201) that could
harmonically prepare the G-tonic goal of the transition, the potential dominant function of
this chord is not realized. Instead, the succession of keys-0 major, F major, C# minor-
destabilizes tonal momentum. Motivation for the transposition levels can be better
explained from a non-tonal perspective. The [02] and [03] indices of transposition can be
derived from the diatonic-to-chromatic transformation. [02] and [03] are the intervals that
distinguish the 3-1 and 3-2 trichords from one another, as shown in Example 48f.
3-1 [012]
~
X Y Z [01] + [02]
3-2 [013]
~
X
Y Z [01] + [03]
transposition level indices in

the recapitulation transition
Example 48F: Violin Concerto No. 2, mvt. 1, (F) lntervallic Difference Between
3-1 and 3-2 Trichords
There is another important association created by the whole-tone shift. By transposing the
first half of the transition up a step, and the last half down a minor third, Prokofiev
juxtaposes two important keys, C# minor and B minor. As discussed earlier (pp. 114-117,
Examples 41 and 42), these are the wrong-note keys of the first theme. In other words,
Prokofiev chose transposition levels that would review the wrong-note keys, providing a
recapitulation of non-tonal events from the exposition.
141
There are three ways that this transition section strengthens non-tonal coherence.
Firstly, it restates the diatonic-to-chromatic motive in the bass voice (mm. 213-233), this
time culminating on G. Secondly, the transposition levels of the recapitulation, T2 and T-3,
derive from the diatonic-to-chromatic transformation. Lastly, the recapitulation restates
the wrong-note keys of the first theme in succession, creating an association between non-
tonal events in the movement. All of the non-functional key areas in the movement can be
integrated into an atonal network of coherence.
The analysis of the Violin Concerto demonstrates that tonal and atonal coherence
can co-exist. Specifically, the non-tonal transitions perform their formal function by
providing a contrast to the stability and tonality of the thematic statements.
Conclusion
The comparison between Masks· Piano Sonata No.9, and the Violin Concerto
reveals that atonal coherence can have varying degrees of strength. In the Violin Concerto,
the atonal coherence is based upon pitch-class set motives, which are most prominent
during tonal lapses that last for entire formal sections. In Masks and the Piano Sonata No.
9, lapses of harmonic function exist only at the phrase level, and motivic coherence results
from the recurrence of pitch-class motives-a motive-type closer to tonal processes. In all
three cases, tonal and atonal associations co-exist, yet they do not participate equally in
the music. Even in the Violin Concerto example, which demonstrates the strongest atonal
associations, atonal coherence is subordinate to tonal coherence.
142
Bibliography
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1-17.
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143
Bibliography (continued)
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Tonal Coherence in Prokofiev's Music: A Study of the Interrelationships

of Structure, Motives, and Design

Deborah Anne Rifkin

Submitted in Partial Fulfillment

Requirements for the Degree

Professor Daniel Harrison

Department of Music Theory

Eastman School of Music

Rochester, New York

direction of Professor Daniel Harrison.

I am indebted to my advisor, Daniel Harrison. At every stage of the process, he has

Irene Reti, Eva Rifkin, Arthur Rifkin, and Bill Rifkin.

pitch-class set analysis. This dissertation proposes a third analytic perspective. It

demonstrates how Prokofiev's supposedly ''wrong-note" passages, rather than being

anomalous to a tonal structure, instead actively participate in tonal coherence.

cannot be represented within a hierarchical system. The dissertation explores an

alternative means of representation, a network model, which can accommodate non-

differentiating between strongly and weakly tonal ones. Whether dependent or

Chapter 1 Wrong-Note Structures ............................................................................ 4

Chapter 2 Pitch Motives, Networks, and Wrong Notes ........................................... 49

Chapter 3 Design and Wrong-Note Music ............................................................... 89

Chapter 4 The Range of Coherence: Analytic Studies ........................................... 119

Bibliography ............................................................................................................ 143

Example ntk lqc

Example 1 Violin Sonata op. 94, mvt. 3, mm. 1-17 5

Eximl!l~ :~:ilk Ela

Prokofiev's distinctive compositional style can be recognized easily by its quirky

impudent child prodigy unintimidated by authority. Ironically, Prokofiev's impertinent

"wrong-note" music is some of the most widely-admired music in the twentieth-century,

From a compositional standpoint, a note cannot be "wrong." Composers do not

standard. Although Prokofiev's chromatic excursions may be uncharacteristic of an 18th-

dissertation for two reasons:

• I wish to maintain consistency with previous Prokofiev scholarship, which has

used the term for over SO years.

• The term describes a psychological effect created by Prokofiev's sudden chromatic

hierarchical graphs as defined by mathematical models. Chapter One discusses an

alternative means of representation, a network model, which can accommodate non-

notes, but it also better represents Schenkerian analytic practice.

Along with a network representation of musical associations, this dissertation

nineteenth-century chromaticism, Harrison's theory of harmonic functions can also help

explain wrong-note chromaticism. Chapter One explores various harmonic functions of

tonal conception of coherence.

In addition to non-hierarchical prolongation techniques and wrong-note harmonic

Whether dependent or independent of their tonal context, motives help create

Cbapter One: Wrons-Note Strudures

"Wrong notes" is a misleading term used to describe unexpected chromatic twists in

challenge conventional tonal expectations created by Prokofiev's use of traditional

anomalous to a tonal structure, instead actively participate in tonal coherence.

Part 1: Wrong Notes, Hierarchies, and Networks

An Example of a Wrong-Note Passage

typical wrong-note phrase-

easily understood as an antecedent phrase in an interruption structure; the opening tonic

level A, is not so readily placed into an established theoretical paradigm. In m. 8 an F#-

r:::::::-_..--__; .-....___r-· .... --.. -..... -...... l-

Comparing Prokofiev's usage with that of Beethoven, Richard Bass describes a

wrong-note passage in this way:

1 Bass, Prokofiev's Iechnique of Chromatic Qi!iplacement p. 199.

context because they fluidly juxtapose distantly-related harmonies in the middle of a

The wrong-note phrase of Example 1 demonstrates a typical structural conflict

would be an A-major harmony. A-major creates a stronger hierarchical structure because it

creates a falling fifth progression, A major to D minor, which is a foreground diminution of

middleground and background progressions. A major would thus represent a parallel

transformation in the foreground of deeper-level processes. F# minor, however, does not

r:::::::-_..--; .-...._r-· .... --.. -..... -...... l-