Shostakovich at the Crossroads

Author(s): Tim Souster

Source: Tempo, No. 78 (Autumn, 1966), pp. 2-9
Published by: Cambridge University Press
Stable URL: http://www.jstor.org/stable/942501
Accessed: 10-11-2015 14:32 UTC

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SHOSTAKOVICH AT THE
CROSSROADS

byTimSouster

The storyof the composition of Shostakovich'sFourth Symphonyat the

heightof the LadyMacbethaffair(1935-6), its withdrawalat an advancedstageof
rehearsal (avowedly because of the composer's dissatisfactionwith the finale)
and the subsequentproffering
of the FifthSymphonyas "a Sovietartist'sreplyto
is
well
But only since the recentre-emergenceof the
known.
just criticism",
Fourth Symphonyhas it been possible to discover to what extent this work
represents"the path not taken", and to assess whetherthe jolt that his music
sufferedat thisperiod was fundamentally
beneficial,or harmful,or neither.
The FourthSymphonyis burstingwith ideas: it proceeds cumulatively,not
by symmetry-a dangerousand exhilaratingcourse, steeredby a reckless,rather
thana calculatingtemperament.The firstmovementis builton threemainthemes,
ofwhichtwo (the firstassertiveand motoric,Ex. i, thesecond restrainedand lyrical, Ex. 2) emergein the course of an extendedbut fairlyconventionalexposition.
Ex. 1
Allegrettopoco moderato =92
>>>
....>>>>

>

> > >

.>

>..

Ex. 2
p espiessivo
etc.

The long and less conventionaldevelopmentsection opens with the clangorous

collision of these two themes (Ex.3). But with the thirdmain theme (Ex.4)
Ex. 3>>

Trpts>

Cl.&
-B.
Bsns.
>
4?h108
Ex.
espressivo
Strgs.Brassi>c> >b>a>

Ex.4

>;

>>
11"q

>

>>

Bs.p

r
Rassi
(col
8va
bassa)

&P
Celli

which is added to rather than developed, the music settles into a 3/8 metre.
While Shostakovichgives the impulseof the momentfull rein, little is heardof
materialfromthe expositionuntila flippantpolka forwoodwindpops up in which
the firstsubject is juxtaposed with a melodic fragment(Ex.5 ) which not only
links the firstsubject and the developmenttheme, but, as John Burn' has
pointed out, anticipatesthe firsttheme of the FifthSymphony'sfinale. Abrupt
I 'Shostakovich's 4th Symphony' (Composer,Spring 1964)
? 1966 by Tim Souster

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SHOSTAKOVICH

AT THE CROSSROADS

Ex.5

Bsn. & Contra

(coI 8va)

changesof mood of thiskindare typicalof Shostakovich'searlymusic, but whereas in the First Symphonyand the ballet The GoldenAge this parodisticvein is
normally exploited for comic effects,in the Fourth Symphonythese neoMahlerian assaults on the conventionalprocesses of developmentstrike home
with a bitter irony. Indeed, at the hectic climax of the polka, Shostakovich
introducesa furtherdiversion: a frenziedfugatofor strings(Ex.6) which is
loosely relatedto the firstsubject. Yet anothergrotesqueparodyof the firstsubject follows (Ex.7).
Ex. 6

PrestoJ=L1s8

Ex.7

I
0eVlnS.

etc.

J=184

Strgs.

Trpt.

&W.W. Trbns. >

v.

no no..-.f
,OF

, ...

.I .

i ..

? S,
I MI

As the momentumof the waltz rhythm,now characteristicof thisdevelopment section, dies down, Shostakovichresortsto harmonicadventureand sheer
volume of sound (Ex.8) to regeneratethe tensionnecessaryforthe launchingof
the recapitulation. This shatteringbuild-up of a complex harmonicblock (in
this case all twelve notes are present) is comparableto the apocalypticnine-note
chordwhich is repeatedin an analogouspassagein the firstmovementofMahler's
Tenth Symphony(Ex.9). Shostakovichhere reaches the limits of the experimentationrunningthroughhis earlymusic.
Ex.8
A

Trpts. con sord.

=_

Timp.

pp-

7W

+ Tubas con sord.

P=

sft

ml

Brass
Frlll

3F"atfm
AAL.

Org

Ex.9

Despite its many eccentricities,this firstmovement has not until now

divergedbasicallyfromthe structureof the firstmovementof the 'Eroica', but
at the point of recapitulationthe strugglebetween Shostakovichthe instinctive

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TEMPO

and Shostakovichthemodernisticeccentricyieldstrulyunprecedented
symphonist
results. The symphonist'sinstinctforcomprehensiveand balanced recapitulation
is turnedupside-downby the eccentric. The motoricrhythmhithertoassociated
with the firstsubject returns,but above it is heard the developmenttheme,now
malevolentand menacingon mutedbrass(Ex. i o). While thiscross-reference
may
Ex. 10
Trpts. & Trbns.

,f

espressiv?

etc.

Strg.,
; - -

..... ...

?s

i
"

t
ps.

st

- -

,s

ms
- 'm-

be felt to be too far-fetched

to justifythe structuralresponsibility
allotted to it

oftherestofthemovement
is indisputable.
While
here,theimaginative
mastery
the ensuingrestatements
of the secondand firstsubjectsrespectively
occupya
mere eightpages of score (the whole movementis ninety-four
pages long),
contrivesto balancethe movement
Shostakovitch
bythe sheermotivicdensity
ofhisperoration.The continuation
bythecor anglaisofthemutedbrasstheme
containsso manysubtleallusionsto thelabyrinthine
sectionthatits
development
function
can onlybe graspedafterrepeatedhearings.The troubled
unificatory
withtheirsinistercor anglaisostinatoand their
closingbarsof themovement
finalmuffled
outburst
ofdissonance,
are someofthemostdesolatein all Shostakovich(Ex. i i).
Ex. 1
~Spi

(p,,,,

*1

Co-A-

6V

dom

dim.:w
-,L).t

L
awLp

Lk,..kg,
...

dhm4

p]Bras & C.lsu

_
__._ .__.

The FifthSymphonyis supposed to be quite another matter,a returnto

traditionalforms,but in fact the only movementin it which is formallyconventionalis the scherzoand trio. The firstmovementis fundamentally
even more
adventurousin thisrespectthanthatof the Fourth. That movementwas at least
a symphonicallegro: the symphonic'moderato' of the Fifthis not only a far
formbut arguablya more difficult
more idiosyncratic
one, beset as it is withacute
of
and
contrast.
Here
the
harmonic
of the
proportion
problems
experimentation
Fourthis out of the question, for this, togetherwith the composer's delightin
to underminestructuralfoundations.
headlongdigressions,was alreadythreatening
In the Fifththereare againthreemainthemes,which,in thismore strictlyschemto handle. The openingtheme (Ex. 1 2) though
atic context,are farmore difficult
first
not
the
subjectproper,is not a 'motto theme' either,as it is peculiar
clearly
to the firstmovement,where it is an integralpart of the thematicargument. In
the firstsubjectemphasisesstep-wisemotion,although
contrastto thisangularity,
as soon as contrasthas been established,the idea is linked up with the opening
theme by means of the dotted rhythmicfigureof Ex. I 2 (bar 3). The ensuing

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SHOSTAKOVICH

AT THE CROSSROADS

Ex. 12
76

Moderateo

Vs.

to
etc.leading

etc.

firstsubjectgroup is an expansiveparagraphof a quite new strengthand maturity.

It has a wonderfulinevitabilityand freshness,but the potentialfor development
and variationof its thematiccontentis enormous: everyphraseof it is takenup
again as the movementgrows. This growthis verygradual. The whole of the
exposition, without the slightestsense of slackness or monotonyis generally
peaceful and serene (the second subject, Ex. i3, is one of Shostakovich'smost
Ex.13

(J8=) 14

lD

Vmns.I

p espreaa.

bn~

tt

A=

sublimelycalm inspirations)and the ensuingstruggle(development)catastrophe

(recapitulation)and ambiguousoutcome (recapitulationand coda) have a magnifias anyof the insightsvouchsafed
cent sweep to themas originaland distinguished
in the Fourth.
This new overall organisationof formis achievedby meansof closer control
of material which in its turn is dependent on the new-foundadaptabilityof
Shostakovich'sthemes. In the Fourth,the combinationsof themes(as quoted in
Ex. 3) are, as oftenas not, acts of daring. Shostakovichdoes the impossible in
order to create climaxes of a 'shocking' density. In the developmentof the
Fifth'sfirstmovement,however,a double canon which also combines the opening theme and the second subject (at figure32 in the score) not only sounds
musicallynaturalbut with admirable economy serves an eminentlysymphonic
purpose in buildingup the tensionto be released in the climacticrecapitulation.
In this movement,Shostakovichhas in factevolved a new concept, thatof
the dual theme, which has remainedfundamentalto his method. Here almost
everyidea revealsa dual nature-even the peacefulfirstsubject steelsitselfin the
development(Ex.14). This technique lends itself,surelynot coincidentally,to
the expression of socialistic aims with which Shostakovichwas clearly deeply
concerned, such as "the stabilisationof a personality" (as the composerhimself
described the themeof the symphony),the adventof peace and equalitythrough
the class-struggleand the attainment,in the face of all misfortune,of optimism

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TEMPO

6
Ex. 14
Poco sostenuto l 136

rpts.

,,

Timps.
Bassi
Tuba
(p'izs.)

ifS~-c-~'etc.
i
and joy in living. Indeed, it is even possible that Shostakovitch'sconcentrated
and concise musicalthinkingspring,throughsome mysteriousalchemy,fromthe
dogmatismof the notoriousPravdaeditorialsof the thirties. A geniuscan often
turnadversityto positiveends.
That Shostakovichhas done this in the FifthSymphonyis most clearlyseen
in the firstmovement'srecapitulation. And not only has he distilledmeaning
fromchurlishly-expressed
reproaches-at the same time he assertsthe continuity
of his symphonicdevelopment. In this(againveryshort)recapitulationthe three
and in a differentorder. As in the
main themes again re-emergetransformed
Fourth,the firstsubject ends the movement. But here, the old malicious
glee has mellowed into a maturemusical authorityof voice; despite the extreme
of this theme (by inversion)its identityremainsclear (Ex. i5).
transformation
Ex.15

Solo Fl.

( tr
Strgs. con sord.

In the scherzo this increased range of expression is again in evidence.

The opening of the trio section (Ex. 16) succeeds in conveyinga mood which
lies beyond the scope of the fourthSymphony-genuinehappiness,and although
Shostakovichdoes poke funat the idea in the very last bars of the movement
ratherthanmalicious (Ex. 17).
witha parodisticallusion,the tone is light-hearted
Ex.16
SoloVia.

.-

Celli pizz.

...1L

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SHOSTAKOVICH
Ex.17

AT THE CROSSROADS

>

SoloOb.

Strg
Bpiza.
inS.

Similarly in the slow movement he restrains his satiricalbent (for

whateverreason), to produce an equally fineand consistentmusical entity,in
which the dualistic principle can again be observed in the transformation
of
one of the most beautifuland placid of all Shostakovich'smelodies into an
Here Gerald Abraham's
intensely passionate climax (Exx. I8a and I8b).
claim that "Shostakovich cannot write even a moderately good tune" is
surelyconfounded.
Ex.18

SoloOb.

(a)

(b)

Cell

Clts.)
(Strge.+

etc.

(D,
Bass)
The mostheavilycriticisedmovementof the FifthSymphony
is thefinale,but
the 'bombast' widelyobjected to in it is probablydue to a large extentto faulty
readingsbyconductorswho refuseto adhereto Shostakovich'sdetailedmetronome
markings.The movementcan, if it startsat the righttempo,be made to build up
to a completelyconvincing'triumphant'coda. If thereis any weakness,it is to
be foundin the ratherthreadbare'Fortspinnung'to which Shostakovichresorts
afterthe initial idea has been stated (Ex.I 9). At the heightof the warlike
Ex.19

-A

&eW.W.

Ls
UL

- OR
ONd-fm-

I
SP

...p

--

"

HimF

p"

,M,rMF
. ...FF

"

"

6t

k~

efc.

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TEMPO

Cossack dance which follows, the second theme of the movementemergesand

here therecan be no doubt as to the qualityof the material(Ex. 20). This moveEx. 20
A SoloTrpt.

ment's middle section (the only categoryinto which one can put this finaleis
'ternary',thougheven thatonlyby ignoringa numberof idiosyncracies)reveals
two other facetsof this theme, firstexultanton the stringsin A major, then in
B flat,calmlybut hopefullyintonedon the solo horn. The ensuingdevelopment
to bring
and slow returnto the tensemood of the openingare extremelydifficult
the
extreme
and
of
the
because
offin performance,
partly
(necessary)length
partly
simplicityof the writing. However, when done with the care it demands, this
transitiongives the endingof the symphonyan inevitableand splendid massiveness(Ex. 2I). Beforecondemningthiskindofwritingherewe mustrememberthe
importancefor Shostakovichof Mahler's 'exultant' style, typifiedby the aweinspiringoutburstin E major shortlybeforethe close of the slow movementof
the FourthSymphony(Ex. 22). Moreover, we must dispel fromour memories

il iiifii f
A
I&
ff~il

21 tg
*Ex.
W"
W.&t
iao.

. ...

Trptr
Trbns?

Ex. 22

& Fits.

V
.ns.

-ri

Trpts. >
Hns.

>I
ilns& F

m
1!---

3R

A
Aix._'

41V:

....4'

...

"

-M

7.--

whichhas subsequentlyfalsified
thereal bombastof the welterof 'epic' film-music
Shostakovich'svision. In the finaleof the Fourth,Shostakovichis not concerned
witha positiveoutcome, thoughthereare similaritieswiththe Fifthnevertheless:
the idiosyncraticformis there,culminatingin a coda which is intendedto crown

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STOCHASTIC MUSIC

the whole work. But whereasthe coda of the FifthSymphonyis the culmination
of a musicalprocess whichbegan in the work's openingbars, in the Fourththere
is no constantprocess in the music to make such a culminationpossible. Shostakovichis henceforcedto attempta massive'summing-up'ofall thathasgone before.
This, in the case of a work whose veryvitalityspringsfromthe riotousprofusion
of its ideas, is of course impossible. The result (at least fromfigure238 to figure
246 in the score) is bombast, tacked on to the rest of the movementby a very
shakytransition.
The relevanceof the finaleto the rest of the work is perhapsthe aspect of
the FifthSymphonyin which it is most superiorto the Fourth. The whole work
opens with a theme (Ex. I 2a) containingtwo minor sixths,a fifthand a minor
third, an intervallicprogressionwhich is resolved only by the 'strong' rising
fourthwithwhichit ends. This keyintervalunderpinsthe entirefirstmovement,
linkingthe firstand second subjectgroups,pervadingthe development,and hammered out in the recapitulation. By the time it comes to be reiteratedsoftlyat
the close of the firstmovement (Ex.23), the work's basic idea of 'striving'is
Ex.23

Solo Vln.

morendo

Ji Celesta

Vlns.

& Timps.orendo
Trpts.

. 9f
,-7:IF

&Bassi

?f-

_7A

__

morendo

inherentin it. The idea is takenup againin the finale,the main themesof which
are also linkedbyfourths. (So too, incidentally,are thoseof theslow movement)
It is finallythis intervalof a fourthwhich, with its triumphantassertiveness,
dominatesthe coda and gives it its coherence. In the closingpages (Ex.2 I) we
hear not emptygesturingbut the logical conclusionof a closely-organisedsymphonic argument. To generalisefromthis would be foolish,but there can be
of a political intervenno doubt, in this particularcase, as to the fruitfulness
tion in the arts.

THE ORIGINSOF
STOCHASTIC MUSIC'

by lannis Xenakis

Art (and especiallymusic) has a fundamentalcatalyticfunction,which is to

effectsublimationby all its meansof expression. It shouldaim to lead by constant
points of referencetowards that total exaltationin which, unaware of self, the
individualwill identifywithan immediate,rare, vastand perfecttruth. Ifa work
of art achieves this even for an instant,it has fulfilledits purpose. This massive
I Translated and abridged by G. W. Hopkins from Xenakis's papers 'Les musiques formelles' in the Revue
MusicaleNo. 253/254, and reprintedby permission.
) 1966 by lannis Xenakis

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