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Ian Nelson

5/5/2014
Final Paper

An Analysis of Contemporary Techniques in Shostakovichs Fifth Symphony


Shostakovichs fifth symphony is a very historically important piece that defined a
relationship between the Russian composer and the ruthless control of the Soviet government.
The fourth movement of the symphony is especially important because of what happens both
harmonically and structurally. Due to the backlash from a piece Shostakovich had written earlier,
Lady Macbeth of the Mtsensk District, a harsh backlash from the government forced him into
hiding until the premiere of this major work. The fifth symphony was Shostakovichs shining
moment in the eyes of the Soviet government and seemed to fit exactly into the ideas and effects
desired by the Russian Association of Proletarian of Music. By examining the movement further,
many ideas that were forbidden by the government show up through the modulations presented
by Shostakovich. Due to the basic structural makeup of the movement the piece at first glance
appears to be a straight forward movement of a symphony. However, Shostakovich utilizes many
harmonic approaches such as chromatacism and octatonic elements to disguise his use of
unconventional modulations and use of the major and minor modes.
One aspect of the Fifth Symphony that separates the piece from most of Shostakovichs
other works is the environment in which the piece was composed in. In the year 1936
Shostakovich was part of a festival that featured operas and other pieces by Russian composers.
The festival featured a performance of Shostakovichs opera Lady Macbeth of the Mtsensk
District. At the time Shostakovich was regarded as one of the finest composers in Russia and the
opera was doing extremely well throughout the country. One night the opera was performed for
Soviet leader Joseph Stalin and a collection party officials. After the performance a scathing

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review of the opera from the communist party journal attacked Shostakovich and lead to a series
of threats from the government.1 This lead to the removal of Lady Macbeth of the Mtensk
District from theaters, and it would not return to audiences until 1963.2
After being put under heavy surveillance by the Soviet government, Shostakovich
was preparing to premiere his fourth symphony which was to feature a massive orchestra that
would rival those of Wagner and Mahler. Due to the large number of threats he received from the
communist party for his music Shotakovich canceled the premiere.3 In 1937 Shotakovich began
to write a piece the Fifth Symphony, that would hopefully put him back into good standing with
the Soviet government. After the premiere the communist party began to lift their pressure due to
the success of the symphony.4 As stated by Richard Taruskin: The immediate reward was an
orgy of public praise (later there would be Stalin prizes and titles and honorary posts).5
While creating his Fifth Symphony, Shostakovich utilized a traditional structure
for the overall four movement piece. The first and fourth movements follow a sonata form. In the
second movement the piece moves to a scherzo and the third movement, titled Largo, removes
the brass from the orchestra and features only the strings, woodwinds, and harp. Along with the
traditional set up of movements, the piece also consists of a smaller orchestra, which was a
drastic decrease from the massive group required for the fourth symphony. Having such a
traditional form and idea helps to cover up a lot of more progressive ideas that are presented by
Shostakovich. Many of the techniques used by Shostakovich feature interactions between the
melody and bass parts in an attempt to keep a strong sense of tonality throughout each movement
1

Richard Taruskin, The Oxford History of Western Music College Edition (New York, NY: Oxford University
Press, 2013), pg. 960-961.
2
Ibid., 961.
3
Encyclopedia Britannica, s.v. Dimitri Shostakovich, accessed April 30, 2014, http://www.britannica.com/
EBchecked/topic/541847/Dmitry-Shostakovich.
4
Ibid., 962.
5
David Fanning, Shostakovich Studies (Cambridge: Cambridge Press, 1995), 26.

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of the piece. In the fourth movement, the piece switches from a clear hold in d minor at the
beginning to a less clear tonality halfway through where it begins to rapidly progress through
multiple keys. This process is accomplished through a theme, initially presented by the trumpet
in measure 108, which develops into the slower section of the piece and becomes the main point
of focus in the movement.
Looking more closely at the theme presented by the trumpet in m. 78, which will
be labeled as Theme B, presents initial insights into how Shostakovich is able to present more
modern ideas while still retaining a strong sense of tonality. The first seven measures of the
trumpet solo consist of a series of large leaps with constant sixteenth notes flowing below.
Looking at the first two measures, the trumpet plays a statement that initially appears to be in the
key of d minor but begins to tonicize Eb by moving from Bb to Eb then shifting to a chromatic
neighbor tone, E natural. The E natural acts in a very unusual way by leaping up a Major 7th to
return to Eb instead of simply moving back down a half step. This lead then prepares a series of
leaps. The second measure consists entirely of fourth leaps, Eb to Bb then back to Eb and finally
to Ab on the downbeat of m. 84, these leaps bring the general tonality of the piece to G. Looking
at this passage in comparison to the beginning of the movement, the piece shifts from being
securely in the key of D minor to being tossed between Eb and Bb within only three measures.
Another interesting aspect of this section lies within the lack of defining a modality. The trumpet
solo only outlines either dominant or tonic notes within each key and never plays any identifying
note. By examining the accompaniment the first violin outlines Bb, A, G, and F#; these notes
create a more complicated texture since they suggest G minor under what was just previously
heard as d minor with no clear switch. This underlying figure remains consistent throughout the
solo and moves up through chromatic passing tones when shifting to a new tonality.

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Moving through the end of the trumpet solo, in measurer 87, Shotakovich places two
trumpets in parallel descending thirds with a rising chromatic background being play by the
strings and upper woodwinds. The rising chromatic sixteenth note part eventually rises to an E
natural which is played in all of the upper woodwinds and upper strings and xylophone. The
descending line played in the trumpets and French horns outlines notes within the D natural
minor scale however, the lines begin on G and E ending on F and A. This idea suggests being in
D minor without ever resolving because of the persistent Eb elsewhere. In m. 90 the bass
instruments, Bassoon, Tuba, Cello, and String Bass, re-enter and provide a new moving line that
moves almost entirely in stepwise motion all the way down E natural. At this point the orchestra
moves together at the end of m. 94 into m. 95 arriving on a clean A major harmony. Looking
over the rest of this section before the French horn solo, Shostakovich utilizes a lot of chromatic
motion within the accompaniment and the bass parts to create a sense of assumed tonality. The
bass and trumpet part create the sense of being in a key however the music never articulates a
clear cadence. The shift to A major is a brief moment of clarity as Shostakovich immediately
returns to the theme initially presented by the trumpet in m. 78. By this point the theme has
moved into the upper woodwinds and the upper strings. The interaction between the theme and
the accompaniment is much more contrapuntal with the trumpets providing a repeated triplet
figure and the bass shifting the sense of tonic using chromatic passing tones. A major shift
occurs after the brass take over a repeated rhythmic figure in m. 105. The trumpets repeat a G#
as the french horns, trombones, and tubas move in parallel descending triads which move by
descending whole tones through m. 108. On the down beat of m. 109, the orchestra arrives on a
D diminished triad. After this the timpani then comes in with repeated eighth notes on G# and D
as the tuba and trombones play the opening theme of the movement, Theme A, in G# minor,

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which is again echoed in the French horns a measure later. One way to view this whole section is
to look at the trumpet part in m. 105 when they begin to repeat the G# in octaves. At this point
the tonality is still being recognized as A major, the chords that are being outlined by the lower
instruments of the orchestra are moving in descending whole steps as the upper voices repeat a
sixteenth note neighbor pattern between Ab and G, this further accents the sense of G#/Ab
played by the trumpets. Looking to the theory of mixed functions discussed by Daniel Harrison,
the G#/Ab is able to perform a dual function.6 The G# of the trumpets can be viewed as the
dominant agent of the dominant of A major while the Ab could be viewed as the new tonic base
of G#/Ab. This theory of dual tonics is made more apparent due to the spelling of the notes
within each instruments part as stated above. Creating two tonics becomes a very critical point in
the movement creating a very climactic point.
Another section that utilizes heavy chromaticism is the transition into the French horn
solo. Starting m. 113, the trumpets outline a tritone between B natural and F natural, along with
the violins and violas. The timpani also continues to play the previously mentioned tritone G#
and D. Shostakovich adds an even further level of chromaticism by having the string bass,
cellos, tuba, trombones, 3rd and 4th French horns, and all of the bassoons play an ascending
chromatic scale in tritones. By this point the tonality has been completely disassembled and
reached the loudest dynamic marking of the movement making this an extremely dramatic
moment. Looking back to the beginning of the movement, Shostakovich begins in a simple D
minor tonality. The piece spends the next 115 measure slowly unraveling into more and more
chromatic sonorities until eventually reaching measure 109 where the most tonic sonority that
can be identified is G#. After restating the theme once more using a diminished harmony, the
orchestra quickly enters a tutti section in measure 113 in which there are numerous instances of
6

Daniel Harrison, Harmonic Function in Chromatic Music (Chicago: University of Chicago Press, 1994). pg. 64-6.

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tri-tone relations along with rising chromatic scales. Immediately after this section of immense
chromatic tension, Shostakovich establishes a tonic and moves back to conventional tonality by
articulating a Bb major triad with the F being repeated in the French horns and trombones.
In this section, Shostakovich is able to give another example of dual function by treating
the repeated F as a dominant associate while using the bass voices to descend down to an F in
measure 118, outlining an F minor scale starting on scale degree four. At this point the F
becomes a tonic sonority, but only for a moment. The F minor tonality is only held for a
moment, as the violins, clarinet, and flute enter with an ascending chromatic pattern moving
back towards Bb as a tonic, measure 121. These two sections, measure 105-8 and measure 11315, display two examples of dual functionality while also utilizing extremely chromatic passages
to create dissonance and tension.
In measure 123, the French horn features the same melody heard in the trumpet at m. 78.
A major difference between the theme from the trumpet and this new section is the switch in
harmony. Measure 78 features an accompaniment that muddies the tonality and attempts to
confuse a sense tonic. With the French horn, the violins create a much more clear idea of tonality
using neighboring chromatic notes to outline chord tones. In the first two measures of the horn
solo the two parts outline a Bb sonority mimicking the idea presented in m. 78. Moving through
to the third measure of the solo, the harmony shifts to Bb with a dominant chord featuring a Bb
pedal in the bass. The horn leaps a minor seventh instead of a major seventh creating a more
calm feeling as the theme moves through a general Bb harmony.
The melody is later taken over by the violins in measure 141, where Shostakovich scores
them in octaves, utilizing the upper register of the first violins. In this passage the string section
combines to play the melody, while numerous chromatic ideas appear the viola and cello. As the

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violins take over the theme, the harmony shifts around the numerous sonorities being presented
by the lower strings and clarinet. Looking at the cello part provides an idea of what tonic is
intended. In the first three measures of this section, starting at m. 141, seems to either be
tonicizing D minor, possibly a relation back to the initial key of the movement. Moving through
the rest of the section, until m. 161, the orchestra distorts the idea of being in D by moving
upwards chromatically eventually moving up to through measure 153 where the violins seem to
be in E minor briefly. This is quickly dismissed as the violas and bassoons take over the
ascending sequence played by the violins reintroducing the chromatic ideas that descend into
measure 162.
After the dense contrapuntal section starting at measure 141 the orchestra shifts to a more
chamber setting introducing a very new tonal sense in the flute. In measure 162, the flute present
an ascending scale starting on C#. Due the resolution to a F# minor chord on the downbeat
suggests that the line played by the flute represents C# phrygian. This new idea is repeated again
by the flute in measure 164 which suggests that Shostakovich is moving to make the harmony of
the piece shift from a more chromatic environment to one that focuses on modal ideas. The small
chamber group begins to trade patterns that play scale frequently re-establishing the chromatic
nature that was so strongly present before. Looking at the bassoon and clarinet parts that play
under the flute in this first section, beginning at measure 163, Shostakovich moves in descending
second inversion triads.
Starting in measure 174 the first violin begins to repeat a pattern of quarter notes that
slowly evolves into its final form in measure 182. This pattern consists of a chord tone followed
by a chromatic upper neighbor, a return to the chord tone, a leap up an octave then a leap back
down to restart the pattern. This pattern becomes an important background to the bass melody

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that comes in at measure 185 which begins to move through multiple keys as it reintroduces the
original thematic material. The initial presentation of the melody in the cello and string bass
begins in the key of Eb minor. Shostakovich then shifts up chromatically to a G natural in
measure 189 to prepare another modulation to C. The next key that is present is Eb major which
then shifts to F major. As the section progresses, Shostakovich moves through descending
diatonic patterns until measure 210 which begins a pattern that outlines a Db major triad in the
cello and string bass. This pattern leads to another statement of the melody except it shifts from
Dd major into D minor using the shift from Ab to A natural in measure 214. This pattern of
shifting keys continues through until measure 231 when a final pattern is presented in the first
violin which is an inversion of the initial pattern from measure 182. The violins move through
numerous harmonies featuring A, Bb, and C before presenting a haunting second inversion Db
major triad played by the strings, French horns, and flutes in measure 239. The harp is finally
introduced at this point in the movement continuing the pattern upward present D, F, and Bb.
Underneath this progression upward by thirds the bass line, including both cello and string bass
moves down by thirds until they both land on Bb in measure 244. This point of the piece
suggests that Bb will become the prevailing harmony of the piece until once again, Shostakovich
inserts another shift that changes the sense of a strong tonic. The cello and bass in measure 246
leap down a tri-tone to E which then destabilizes the chord constructed the measure before. This
dissonance then resolves to an A minor chord which could be viewed as a dominant or 64 chord
in the key of D minor. This case is made stronger by the repeated pattern on A in the timpani.
This final push is able to bring the piece back into the initial key of the piece as
Shostakovich begins to move away out of the development section of the piece and towards the
recapitulation. In the final pages of the movement, the orchestra remains in mostly D minor with

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a one final chromatic build up before the climax in measure 318 where Shostakovich moves into
D major to signify the triumph over minor. Creating one final moment of chromatic tension, one
that has created a desire to receive a true resolution, allows for the shift to major to become the
most dramatic moment of the piece and creating a traditional ending for the symphony.
One of the most interesting aspects of this finale is how Shostakovich is able to move to
these extreme keys and create an extended and chromatic development section that is able to
combine contemporary theory with the strict conventions of the Soviet culture. Moving to the
initial trumpet solo in measure 95, Shostakovich moves to a typical key featured in sonata forms
by moving to the dominant. After this point the piece begins to venture to more less traditional
keys such as G# minor in measure 109, Bb in measure 123, and small sections that tonicize D
minor, C, Eb, F# minor before moving into the modal section, measure 162. The continuous
shifting of keys is a normal occurrence within sonata form; the use of chromaticism creates a
situation where tonality becomes difficult to identify while listening. By going through and
analyzing each section it is clear that Shostakovich is shifting to different keys but when
listening to the contrapuntal interaction between parts the tonal center becomes very clouded and
difficult to identify.
When looking at the inner workings of the piece there are clear uses of contemporary
theory that would in any other context be condemned by the Soviet government. According to
historical statements, Members of the audience, one by one, began to stand during the
extravagant finale, and the work was cheered for gully half an hour when it was over.7 Seeing
the positive response to the piece was enough to put Shostakovich back into the spotlight of the
USSR and give some relief from the tireless threats that became a part of normal life for the past
year. The use of chromaticism by Shostakovich throughout his finale proves to give the same
7

Taruskin, 962.

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effect of tension and release as the great Romantic and Classical composers who he was ordered
to imitate. As described in Taruskins article on the Fifth Symphony Shostakovichs Fifth
Symphony self-evidently belongs to the tradition establish in the wake of Beethovens Ninth.8
Seen as a revival of Shostakovchs prominence, the symphony also serves as a revival of his life
and acceptance back into Russian society by its leaders, at least provisionally. Much of the
symphony still includes ideas that mimic Shostakovichs writing style seen in the previous pieces
that got him in trouble initially. However, his effort in this symphony shows the importance of
presentation and development. Much of the chromaticism is used to add effects within the
development section while the outer sections of the movement remained rather traditional. The
movement symbolizes a stand against the limits set on a composers creativity and the ability to
go against the tyranny that controlled Russia during Shostakovichs early years.

Fanning, 28.

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Works Cited Page


Encyclopedia Britannica. s.v. Dimitri Shostakovich. Accessed April 30, 2014.
http://www.britannica.com/ EBchecked/topic/541847/Dmitry-Shostakovich.
Fanning, David. Shostakovich Studies. Cambridge: Cambrige Press, 1995.
Harrisson, David. Harmonic Function in Chromatic Music. Chicago: University of Chicago
Press, 1994.
Taruskin, Richard. History Oxford History of Western Music College Edition, New York: Oxford
University Press, 2013.

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