Tonal Plan and Narrative Plot in Tchaikovsky Symphony 5

Society for Music Theory
Tonal Plan and Narrative Plot in Tchaikovsky's Symphony No. 5 in E Minor

Author(s): Joseph C. Kraus
Source: Music Theory Spectrum, Vol. 13, No. 1 (Spring, 1991), pp. 21-47
Published by: Oxford University Press on behalf of the Society for Music Theory
Stable URL: https://www.jstor.org/stable/745972
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Tonal Plan and Narrative Plot in Tchaikovsky's
Symphony No. 5 in E Minor
Joseph C. Kraus
Several scholars have argued persuasively that an under- movements

movements into
intoa asingle
singlebroader
broaderscheme."2
scheme."2
It is
It my
is my
con-
con-
standing of the thematic content of a Romantic symphony- tention that such a tonal "plot" exists for one of the most
both the evolution of a particular theme and the interaction popular works of the late nineteenth-century repertoire,
of one theme with another-explains the narrative structure Tchaikovsky's Symphony No. 5 in E Minor (1888). This pa-
of the work and helps the listener to perceive the piece as per explains the large-scale tonal plan of the symphony
a unified whole.' This predilection for cyclic unity, however, (which hinges upon the opposition of two keys, E and D)
was not necessarily confined to the area of thematic growth and shows how this plan interacts with the work's narrative
and development: in his discussion of approaches to the anal- plot, as presented by its themes.
ysis of chromatic music in the late nineteenth century, A brief summary of the approach used to determine the
Patrick McCreless asserts that "many late nineteenth- tonal plan of the symphony will serve as a useful prelude to
century symphonies and operas are not suites of movements the analysis proper. In the past decades several writers have
linked by surface reappearances of tunes but multi- asserted that the principles of "Classical diatonic tonality"
movement wholes that present complex tonal 'plots'-to (to use Gregory Proctor's term) cannot adequately explain
adopt a metaphor from drama-that interlock separate the chromatic tonal plans of many nineteenth-century works,
since the choice of keys is no longer controlled by scale-step
functions related to a single tonic.3 A useful alternative has
This article is an expanded version of a paper given at the Tenth Annual 'Patrick McCreless, "Ernst Kurth and the Analysis of the Chromatic
Meeting of the Society for Music Theory. Rochester, 1987. Music of the Late Nineteenth Century." Music Theory Spectrum 5 (1983),
'A particularly fine example is Anthony Newcomb, "Once More 'Be- 69.
tween Absolute and Program Music': Schumann's Second Symphony," 3See. for example. Gregory Proctor, "Technical Bases of Nineteenth-
Nineteenth-Century Music 7 (1984), 233-250. See also Newcomb. "Schu- Century Chromatic Tonality: A Study in Chromaticism" (Ph.D. dissertation,
mann and Late Eighteenth-Century Narrative Strategies." Nineteenth- Princeton University, 1978). Proctor asserts that "nineteenth-century chro-
Century Music 11 (1987). 164-174: Maynard Solomon, "Beethoven's Ninth matic tonality" is based upon a chromatic scale rather than a diatonic one:
Symphony: A Search for Order." Nineteenth-Century Music 10 (1986), 3-23. since the diatonic scale is no longer the basis, Schenker's concepts of mixture
22 Music Theory Spectrum
been
been to
toregard
regardkeykeyas as
symbol
symbol
for for
a particular
a particular
dramatic
dramatic
char- char- quite effectively
effectively by
by Christopher
Christopher Lewis
Lewis in
in his
his probing
probinganalysi
analys
acter
acter or
oridea-a
idea-aconcept
concept which
which
Robert
Robert
Bailey
Bailey
has labeled
has labeled
the the of Mahler's Ninth
Ninth Symphony.
Symphony. HeHe demonstrates
demonstrates thatthatthe
th
"associative"
"associative"useuseofof
tonality.
tonality.
Structure
Structure
may may
then then be created tonal plan for the entire work is quite rational and
be created
by
by aa network
networkofof
cross-references
cross-references
defined
defined
by the
byreturn
the return
of a of depends
a upon the cross-referencing of a web of interrelated
certain
certainkey
keyfor
foreach
each
recurrence
recurrence
of the
of associated
the associated
literary
literary
keys at various musical levels.6 The same holds true for
element.4
element.4Although
Although this
this
approach
approach
was was
firstfirst
employed
employed
in ex- in ex-Tchaikovsky's Fifth Symphony, though naturally the specific
plaining
plainingthethetonal
tonal plans
plans
of of
operas,
operas,
McCreless
McCreless
suggests
suggests
that that details of the tonal plan and its working out are quite dif-
it
it may
mayalso
alsobebeapplied
applied to to
purely
purely
instrumental
instrumental
compositions,
compositions, ferent. (Lewis himself states that tonal relationships in the
if
if we
we consider
considerthe thekeykeyitself
itself
(rather
(rather
thanthan
the idea
theassociated
idea associatedmusic of the later nineteenth century are "contextually de-
with
with that
thatkey)
key) as as
cross-referential.5
cross-referential.5This This
stratagem
stratagem
is usedis used termined," and one can well imagine that the tonal world of
Tchaikovsky would be quite different from that of Mahler.)
and
and tonicization
tonicization(which
(whichexplain
explain
chromatic
chromatic
elements
elements
in relation
in relation
to diatonic
to diatonic
ones)
ones) no
nolonger
longer obtain,
obtain,
andand
alternative
alternative
methods
methods
of explanation
of explanation
are war-are war-
Inaddition, the tonal plan of the Fifth Symphony is allied
ranted. with the narrative plot presented by the thematic content of
4See Robert Bailey, "The Structure of the Ring and Its Evolution," the work; therefore, it will also be appropriate to ascertain
Nineteenth-Century Music 1 (1977), 51. A blending of this concept with a the symbolic associations of various keys, in order to connect
more traditional, functional approach may be found in Siegmund Levarie,
the tonal plan to the narrative. Thus, the analysis in this
"Key Relations in Verdi's Un ballo in maschera," Nineteenth-Centlury Music
2 (1978), 143-147. Its intersection with Schenkerian methods may be ob-
paper will address the work on two different levels: the
served in Roger Parker and Matthew Brown, "Motivic and Tonal Interaction purely musical approach suggested by McCreless and Lewis
in Verdi's Un ballo in maschera," Journal of the American Musicological for instrumental pieces, and the literary approach posited by
Society 36 (1983), 243-265: also David Lawton, "Tonal Systems in Aida, Act Bailey for the Wagner operas.
III" and Patrick McCreless, "Schenker and the Norns," both in Analyzing
In addition to the associative use of tonality, the other
Opera, ed. Carolyn Abbate and Roger Parker (Berkeley and Los Angeles:
guiding principle for the analysis of tonal structure in Sym-
University of California Press, 1989), 262-275 and 276-297. For other ap-
proaches, see David Lewin, "Amfortas's Prayer to Titurel and the Role of phony No. 5 is to be called the tonal dialectic: a fundamental
D in Parsifal," Nineteenth-Century Music 7 (1984), 336-349: Allen Forte, opposition of two key areas, each cross-referenced through-
"Musorgsky as Modernist: The Phantasmic Episode in Boris Godunov,"
Music Analysis 9 (1990), 3-45. In actuality, the idea of tonal symbolism has one advocated by McCreless (inasmuch as it documents various cross-
long been familiar to students of the dramatic musical repertoire. For ex- references to a particular key), it suffers from a lack of meaningful ways to
ample, McCreless discusses Ernst Kurth's understanding of tonal association relate the different tonal centers to one another. See, for example, George's
in the works of Wagner in "Ernst Kurth," 68-70. rather lengthy analysis of Wagner's Die Meistersinger (pp. 53-70), where the
'McCreless, "Ernst Kurth," 60-61. A similar attitude toward the im- tonal structure of the entire work is reduced to: C (home key)-F (dark
key)-G (bright key)-[F]-C (home)!
portance of cross-reference is tacitly expressed in the writings of Graham
George, who developed a rather loose theory of tonal logic in large-scale 6Lewis argues that the opening double-tonal complex of the work (D/B)
dramatic and instrumental works of the eighteenth and nineteenth centuries
serves as a source for the "constellations of third-related complexes which
(Tonality and Musical Structure [New York: Praeger, 1970], 29-33). His unfold throughout the first movement"; these in turn "generate the crucial
theory of "interlocking" structures might best be described as a tracing of [tonal] material of the last three" movements. See Tonal Coherence in Mail-
multiple "tonal streams," where each "stream" is defined by the recurrence er's Ninth Symphony (Ann Arbor: UMI Research Press, 1984), especially
of a single key area or pair of keys. Although this approach is similar to the9-11.
Tonal Plan and Narrative Plot in Tchaikovsky's Symphony No. 5 in E Minor 23
out
out the
thecomposition.7
composition.7In music
In music
of the
ofeighteenth
the eighteenth
centurycentury deep-rooted conflict between two
two tonalities
tonalities can
can create
create aa per-
per-
(following
(followingthethe
procedures
procedures
of classical
of classical
diatonic
diatonic
tonality)
tonality)
this this vasive ambiguity which is endemic
endemic to
to the
the musical
musical language,
language,
dialectic
dialecticwas
was
normally
normallyarticulated
articulated
by a polarity
by a polarity
betweenbetween
the the replacing the scheme of tonal tension
tension followed
followed by
by symmet-
symmet-
overall
overalltonic
tonic
andand
another
another
secondary
secondary
key (often
key (often
the domi-
the domi- rical resolution that is such a hallmark
hallmark of
of the
the Classical
Classical style.
style. 00
nant):
nant):a amodulation
modulationaway
away
from from
the tonic
the tonic
to the to
opposing
the opposing
key key The present study explains the tonal
tonal structure
structure of
of the
the Fifth
Fifth
area created a structural dissonance which was later resolved Symphony in terms of a dialectic
dialectic involving
involving E
E and
and D,
D, and
and
when the principal tonic was explicitly regained.8 In the chro-considers whether or not this dialectic is best understood as
matic music of the nineteenth century, however, this tonal a salient example of double tonality in a late nineteenth-
opposition might evolve into a situation of double tonality, century work. This investigation of the Fifth Symphony will
where two different key centers compete with one another begin with a purely musical approach, followed by a dis-
for the position of primary tonic in the composition.9 This cussion of its narrative plot in relation to the tonal plan.
TONAL PLAN
7Steven P. Johnson also uses this term in "Thematic and Tonal Processes
in Mahler's Third Symphony" (Ph.D. dissertation. University of California, The tonal plan for the entire Symphony is presented in
Los Angeles, 1989). Example 1. White noteheads represent major-mode keys,
8See. for example, Charles Rosen, The Classical Style: Haydn, Mozart, black noteheads minor-mode keys." Statements of the cy-
Beethoven (New York and London: Norton, 1972). 26. Deborah Stein uses
the terms "polarity" and "conflict" in reference to this situation in Hugo
Wolf's "Lieder" and Extensions of Tonality (Ann Arbor: UMI Research
Press, 1985), 6. Century Music," Journal of Music Theory 25 (1981), 1-16; Lewis, Tonal
TFor a discussion of the "double-tonic complex" in the first act of Tristan, Coherence in Mahler's Ninth Symphony; and Stein. Hugo Wolf's "Lieder,"
see Bailey. "An Analytical Study of the Sketches and Drafts," in Prelude especially Chapter 4.
and Transfiguration from "Tristan und Isolde," ed. Robert Bailey (New "'Christopher Lewis explains that a particular passage of music may
York: Norton, 1985), 118-120. According to Bailey, the two tonics are often imply first one tonality. then the other: the two may exist in vertical com-
related by the interval of a third, though other intervals are also possible. bination in different parts of the same texture, or a single phrase might
Deborah Stein reports that Bailey has distinguished between two types of contain ambiguous chords which function successfully in either key. See
double tonality: tonal pairing, where the opening tonality is threatened by Mahler's Ninth Symphony, 6; also "Mirrors and Metaphors: Reflections on
the second tonality, but is not replaced by it (and the work begins and ends Schoenberg and Nineteenth-Century Tonality," Nineteenth-Century Music
in the same key); and directional tonality, where the original key is gradually 11 (1987), 26-42. The pairing of keys is thus pervasive and affects the actual
replaced by the second one, so that the work begins and ends in different musical syntax, much like the reflection of functional stereotypes onto dif-
keys. See Stein, Huigo Wolf's "Lieder, " 228-229, n. 12. (Directional tonality ferent hierarchical levels in classical diatonic tonality.
has also been termed "progressive tonality" by Dika Newlin, Jim Samson, "Gregory Proctor and Robert Bailey both contend that in the music of
and others.) the later nineteenth century modal mixture is so pervasive as to create
For analyses utilizing the principle of double tonality, refer to Harald "twelve keys with interchangeable mode," as Patrick McCreless expresses
Krebs, "Third Relation and Dominant in Late Eighteenth- and Early it ("Ernst Kurth," 60). A distinction between major and minor modes will
Nineteenth-Century Music" (Ph.D. dissertation, Yale University, 1980), be maintained in this study, however, since it is my belief that Tchaikovsky
Chapter 3: Krebs, "Alternatives to Monotonality in Early Nineteenth- treats mixture in an essentially Classical manner; in fact, a differentiation
Example 1. Tonal Plan for Complete Symphony
IIconflict
conflict
presentedpresented II tonal
II contrast
tonal contrast
Intro. Exposition Devel. Recap. Coda A B A'
R R
R _-
(.I:
.r I N
^ ^*1 ,
1---*t0 o ^^
1 I o i ||I
o 11
e: I - IV - I b / D-- d e c} / E- e D fr D
III pivotal point IV conflict resolved

A B A' Intro. Exposition
Development
Development Recap. Coda (Mvt. I
--- R R R R R recalled)
t:# k oV ) t S. ItvI kV II / 0%IY- - - 0 Io (IV - I) -

'A: I - V - I' f# A 'E: I - IV - I e C B ---a e F 6 e --E
(greatest opposition to I l _ l
e: I - IV - I)
clical
clical
"motto" theme (here called the Refrain
"motto"[R]), which th
terial formerly in B minor/D major returns,
occurs
occurs
at least once in every movement, are also atindicated.
higherleast
(in CX minor/E major). In onc
the second mo
At the
At beginning of Movement
the I the Refrain introduces
beginningthe
conflicting key of D major assumes full promin
opening
opening
tonality of E minor, which is defined not byprincipal the
tonalitytonic. Two questions immediately arise
tonic-dominant
tonic-dominantbut by the tonic-stubdominant relationship, the dialectic of E in opposition to D: (1) buIs thi
the pattern
the I-IV-I being emphasized
pattern repeatedly in the open- of double tonality, as I-IV-I
defined in the previous se
ing bars.
ing Within the Exposition bars.
of the first movement, paper?the Within
(2) How is the juxtaposition of two tonal t
keyskeys
of E minor and D major are juxtaposed of for the first
by E whole stepminor
to be understood, when third rela
time,
time,
the latter being introduced by its relative
the far the latter
minor, B.12 more common procedure for the b per
After
After
D is weakened by change of mode in the D these
Developmentis questions deserves to be considered in t
weaken
section,
section,
E is reaffirmed in the Recapitulation when the E ma- is
First, the oppositionreaff
of E and D does not follo
ciple of double tonality described by Bailey and
between
between though
major and minor is completely necessary for an understanding
major of Tchaikovskyandpairs E and D on at
mi least tw
the interaction between tonal and narrative structures.
temporal levels (within Movement I and bet
"The competing key areas could be regarded as "agents. struggling for
ments I and II), this juxtaposition does not really
supremacy," to quote Fred Everett Maus ("Music as Drama." Music Theory
the
Spectrum 10 [1988]. 56-73). At the end of the article Maus touches briefly more immediate levels (that is, it does not b
influence upon local
upon the "dramatization of pitch relations" in the writings of Schoenberg. syntax within individual ph
Schenker, and Tovev. tions) to produce a "pervasive ambiguity." Instea
ing
ingofof
E and
E and
D more D closely
moreresembles
closelythe
resembles
polarity of keys level.16
level.16
the polarity This
of keys Thisemphasis
emphasis
on plagal
on plagal
relationships
relationships
is supported
is by
su
found
foundin Classical
in Classical
works, aworks,
polarity which
a polarity
requires which
subse- requires
several
severalsubse-
details
details
shown
shown
in Example
in Example
1. At the
1. beginning
At the beginn
of the
quent
quent resolution.
resolution.
Here thatHere
resolution
thatoccurs
resolution occurs infirst
in the finale themovement
finale both the Refrain and the first theme em-
with
with thethe
return
return
of E, thus
of precluding
E, thus theprecluding
quality of ambiguity
the quality ofphasize the pattern I-IV-I in E minor, foreshadowing th
ambiguity
which
which is integral
is integral
to double
totonality.13
double tonality.13 importance of the plagal progression for the work as a whole
The
The second
second
issue issue
raised by
raised
the dialectic
by the involving
dialectic
E and involving E andstructural level, the development section of the
On a higher
DDisis
the
the
juxtaposition
juxtaposition
of keys related
of keysby second,
related
rather
by than
second, rather than than ending with the typical dividing dominant
finale, rather
by
byfifth
fifth
or third.14
or third.14
The contextual
The contextual
function of D in
function concludes
the multi- of D in with the subdominant (A), which leads directly
the multi-
movement
movement tonaltonal
structure
structure
provides oneprovides
possible answer
one topossibleback
answer to the Recapitulation. Hence, a plagal axis may
to E for
this
this question.
question.
As shown
As in
shown
Examplein
1, the
Example
main progression
1, the main progression
explain the structure of the finale from the Exposition to th
of
ofkeykeyareas
areas
for the
forfour
themovements
four movements
of the symphony of is the symphony
beginning ofisthe Recapitulation.
E-D-A-E.
E-D-A-E. If the Ifsymphony
the symphony as a whole isas monotonal,
a wholethen is monotonal, The usethenof A as the "hinge" or pivot connecting D to E
the
theA A major
majorof Movement
of Movement III can be viewed
III can as a be
large-scale
viewed as aislarge-scale
logical in two additional ways. First, Ft is used as a sec
subdominant,
subdominant, preparingpreparing
for the return
for of theE inreturn
the finale.
ofTheE in theondary
finale.key Thearea in both the second and third movement
DDmajor
major of Movement
of Movement II may in II turn
maybe viewed
in turn as IV of
beA,viewed asAs IVupper
of A, major third of D and lower minor third of A, the
hence
hence IV/IV.15
IV/IV.15 Thus, the Thus,journeythe from journey
D back tofromE (re- D back keytoofEF# (re-
functions as a third relation which is "common"
solving
solving the the
opposition
opposition
of the two) ofis the
accomplished
two) is byaccomplished
several tobytheseveral
two primary key areas, and this cross-referencing of
plagal
plagal motions,
motions, as shown as inshown
the example.
in the The plan
example.
I-IV/ The Fjplan
helpsI-IV/
to link Movements II and III together in the overall
IV-IV-I
IV-IV-I recalls
recalls
Deborah Deborah
Stein's theory
Stein's of a "plagal
theory axis"of a "plagal axis" the progression I (A)-V (E)-I (A) in the thir
plan. Second,
in
inlater
later
nineteenth-century
nineteenth-century tonal structures,
tonal wherestructures,
the sub- wheremovement
the sub- presents the greatest possible contrast to the
dominant
dominant has replaced
has replaced the dominanttheon dominant
a high structural
on a highopening
structuralphrase of the Symphony, where E minor (rathe
than major) functioned as tonic (rather than dominant), and
13Although
13Although a "Classical"
a "Classical"
polarity ofpolarity
keys exists of
in the
keys
Fifthexists in the Fifth A
Symphony, minor (rather than major) functioned as the subdominant
Symphony,
its
itstonal
tonal
language
language
is not the
is same
not asthe
thatsame
found in
asa that
Classical
found
symphony
in a As a result,
of,Classical symphony of,the relation between E and A in Movement I
say.
say. Mozart;
Mozart;on theon
contrary,
the contrary,
its language does
its include
language
examples
does of include
the (I-IV) isof
examples completely
the reversed in Movement III (V-I), il-
syntax
syntax normally
normally
associated
associated
with later nineteenth-century
with later nineteenth-century
compositions. See compositions. See
lustrating Bailey's concept of "reciprocal function" for fifth-
the discussion below.
14A precedent for this relation may be found in Tchaikovsky's Piano

related elements.'7 The use of both -IV and V- proves
Concerto No. 1 (1874-75), where the B -minor tonic is pitted against Ab
major in the Exposition of the first movement. The treatment of VII in this 'Refer to Stein, Hugo Wolf's "Lieder, " Chapter 2, particularly 21-38.
earlier example is quite different from that found in the Fifth Symphony; '7Bailey states that "any two elements brought into harmonic or tonal
moreover, the influence of the subtonic does not extend beyond the opening
juxtaposition have not one but two possible relationships." Where elements
movement.
are related by perfect fifth (for example, A and E). the relationship could
'5Wallace Berry suggests that the subtonic may function be asv IV/IV in the two are equally possible. He claims that this "ambiguity
- I or I ~-I
Structural Functions in Music (Englewood Cliffs, N. J.: Prentice-Hall,
of function"1976;
is a normative component of the later nineteenth-century har-
corrected ed.. New York: Dover, 1987), 50-51. My thanks to monic
Harald Krebs
and tonal style. See Bailey's essay in the Norton Critical Score of
for suggesting this interpretation. Tristan, 118-20.
the
theviability
viabilityof of
both
both
relationships
relationships
in the symphony
in the symphony
as a as most
a
most lyrical
lyricalof
ofallallmusical
musicalforms-.
forms-.
. . express
. . express
everything
everything
for which
for whic
whole,
whole,and
andlinks
links
Movement
Movement
III to III
its to
reciprocals,
its reciprocals,
Movements there
there are
Movements areno
nowords,
words,but
but
which
which
thethe
soulsoul
wishes
wishes
to express,
to express,
and which
and whi
I and IV. requires
requiresto
tobe
beexpressed?
expressed?. . .. .I'll
. I'll
add,add,
moreover,
moreover,
that that
therethere
is notis n
a note
note in
inthis
thissymphony
symphony (that
(that
is, is,
in mine
in mine[No.[No.
4]) which
4]) which
I did Inot
did n
If the opposition of D to E indeed constitutes a polarity
feel
feel deeply,
deeply,and
andwhich
whichdid
didnotnot
serve
serveas an
as echo
an echo
of sincere
of sincere
impulses
impul
which is resolved by the return of E in the last movement,
within
within mymysoul.18
soul.18
is there any evidence of this resolution on a more local level
in the finale? Several details of the last movement suggest With
With these
thesewords
wordsTchaikovsky
Tchaikovsky explains
explains
his his
viewview
of sym-
of sym
phonic
phonic music
an affirmative answer. As shown in Example 1, the shifting musicasasa avehicle
vehicle for
forexpression.
expression. Unlike
Unlike
the sym-
the sym
phonic
phonic
of the D-major 6 down by whole step to the C-major 6 in poems,
poems,where
wherethis
this
expression
expression
depends
depends
on aon
specific
a speci
the Exposition weakens the former and links the latter literary
literary
to the allusion,
allusion,the
thesymphonies
symphonies depict
depict
a series
a series
of deeply
of deeply
felt f
tonic key, E minor. The Development then begins with emotions.19
emotions.19
a This
Thisartistic
artistic
attitude
attitude
waswas
shared
shared
by Robert
by Robert
Schu-Schu
mann,
mann, aacomposer
statement of the Refrain in C major. The third relationship composerwhom
whomTchaikovsky
Tchaikovsky
greatly
greatly
admired,
admired,
par- par
thus established between E minor and C major signals ticularly
ticularly
the forforhis
hissecond
secondandand
third
third
symphonies.2)
symphonies.2)
Writing
Writin
about
about
demise of D as a source of conflict. The replacement of the Schumann's
Schumann's Second
SecondSymphony,
Symphony,Anthony
Anthony
Newcomb
Newcom
has
hasthe
step relation by this particular third relation is logical in suggested
suggestedthat
thata view
a view
of of
music
music
as communicating
as communicatinga series
a ser
of
broader context of the entire tonal plan: C, the "new" thirdof emotions
emotions isis
essential
essential
for
for
recognizing
recognizingthe the
"story"
"story"
of many
of man
nineteenth-century
nineteenth-century
relation to E in the finale, is also related by third to A, the symphonies:
symphonies:
tonic for the previous movement. Just as D (Mvt. II) and
TheA
The conception
conceptionofofmusic
musicas as
composed
composednovel,
novel,
as a as
psychologically
a psychologica
(Mvt. III) shared F, as a common third relation, A true(Mvt.
true course
courseof
ofideas,
ideas,
was
wasandand
is an
is an
important
importantavenue
avenue
to the
toun-
the u
III) and E (Mvt. IV) are connected by C as a common derstanding
third.
derstanding of
ofmuch
muchnineteenth-century
nineteenth-century
music:
music:
Beethoven's
Beethoven's
Fifth Fif
The network of relationships defined by these principal and
Symphony,
Symphony, for
forexample,
example,was
was
so so
understood
understood
by at
byleast
at least
some some
lis-
secondary tonics is summarized in Figure 1.
'8Tchaikovsky,
'8Tchaikovsky,letter
letter
toto
Sergey
Sergey
Taneyev,
Taneyev,
March
March
27 (April
27 (April
8), 1878,
8), 187
quoted
quoted in
inDavid
DavidBrown's
Brown'sdefinitive
definitive
study
study
of the
of the
composer's
composer's
life and
lifeworks,
and wor
Tchaikovsky:
Tchaikovsky:AABiographical
Biographicalandand
Critical
Critical
Study,
Study,
vol. 2,
vol.
The
2, Crisis
The Crisis
Years Ye
NARRATIVE PLOT
(1874-1878)
(1874-1878)(London:
(London:Victor
Victor
Gollancz,
Gollancz,
1982),
1982),
163. 163.
"9John
"9John Warrack
Warrackechoes
echoes
this
this
view,
view,
stating
stating
thatthat
Tchaikovsky's
Tchaikovsky's
last three
last thr
I should not wish symphonic works to come from my pen which
symphonies
symphoniesdo
donot
notinvolve
involve
"literal
"literal
program
program
representation
representation
after after
the fashion
the fashi
express nothing, and which consist of empty playing with chords,
of his own Romeo and Juliet or Francesca da Rimini." Rather, their thematic
rhythms, and modulations .... Ought not a symphony-that is, the
material is "colored by association with emotional states," the symphonic
process being "related to their implications." See his Tchaikovsky (New
York: Charles Scribner's Sons, 1973), 215. David Brown echoes this sen-
Figure 1. timent in his description of the fantasy overture Hamlet, whose composition
overlapped work on the Fifth Symphony in the summer of 1888 (The New
Grove Dictionary of Music and Musicians, 6th ed., s.v. "Tchaikovsky," 623).
X"D A E 2"Brown, Tchaikovsky, vol. 1, The Early Years (1840-1874) (London:
Victor Gollancz, 1978), 280. Newcomb mentions this fact in "Schumann's
c
Second Symphony," 238.
teners
teners from
fromthe
theoutset.
outset.
Thus
Thus
we we
maymay
findfind
at the
at basis
the basis
of some
of some Allegro
Allegro (I)
(I) Murmurs,
Murmurs, doubts,
doubts,plaints,
plaints,reproaches
reproachesagainst
against
XXX
XXX
symphonies
symphoniesananevolving
evolving
pattern
pattern
of mental
of mental
states,
states,
muchmuch
as theas
Rus-
the Rus- [three
[three crosses
crosses in
in the
the original]
original]
sian
sian formalists
formalistsand
andthe
the
structuralists
structuralists
findfind
one of
oneseveral
of several
plot ar-
plot ar- (II) Shall
Shall II throw
throw myself
myselfintointothe
theembraces
embracesofofFaith???
Faith???
chetypes
chetypesasasthe
thebasis
basis
ofof
novels
novels
andand
tales.21
tales.21
[In the
the corner
corner of
of the
the page:]
page:]AAwonderful
wonderfulprogram,
program,ifif
I could
I could
only
only
Quoting
Quotingcontemporary
contemporaryreviewers,
reviewers,
Newcomb
Newcomb
asserts
asserts
that that
carry it out.25
the
the plot
plotarchetype
archetypefor
for
Schumann's
Schumann's
Second
Second
is based
is based
on on
Beethoven's
Beethoven'sFifth,
Fifth,and
and
involves
involves
"the"the
expression,
expression,
reinforced
reinforced Although the exact meaning of this preliminary program
by
by sound
soundsymbols,
symbols,ofof
a psychological
a psychological
evolution,
evolution,
such such
as suf-
as suf- for the first movement is open to debate, and its direct rel-
fering
fering followed
followedbybyhealing
healingor or
redemption."22
redemption."22Tchaikovsky
Tchaikovsky evance to the finished complete work could be called into
was
was not
notonly
onlyfamiliar
familiarwith
with
thisthis
archetype;
archetype;
it is it
clear
is clear
from from
his his question, it is reasonable to assert that "XXX" (whether or
own
own writings
writingsthat
thathehe
employed
employed
it in
it his
in Fourth
his Fourth
Symphony
Symphony not it refers to the composer's homosexuality, as some schol-
(1877-78):
(1877-78):"In
"Inessence
essence
mymy
symphony
symphony
imitates
imitates
Beethoven's
Beethoven's ars believe26) is a cause of some kind of suffering-the "mur-
Fifth;
Fifth; that
thatis,
is,I was
I was
not
not
imitating
imitating
its musical
its musical
thoughts,
thoughts,
but but murs, doubts, plaints, reproaches." The following invocation
the fundamental idea."23 In a letter to Nadezhda von Meck of Faith (which echoes the appeal to "day-dreams" in the
from around the same time, the composer attempted to put first movement of the Fourth) again suggests escape, but
into words what was expressed in each movement of the perhaps something more is involved: behind any act of es-
Fourth. The main plot involves a struggle between the "hard cape from unpleasant circumstances lies the desire to change
reality" of Fate and the "impulse to happiness," the latter those circumstances-to transform them. In the Fifth Sym-
being achieved only by an escape into the world of "day- phony, the reworking of the minor-mode Refrain (Fate) into
dreams" (Movement I, second theme) or the "festive mer- triumphant major-mode mode music in the finale constitutes
riment of the people" (Movement IV, with its obvious ref- such a transformation and suggests the redemption which is
erences to folk music).24 Tchaikovsky's notes for his next characteristic of a "strife to victory" plot.27 As a consequence
symphony, the Fifth, suggest that the basic archetype from
the Fourth was still very much in his thoughts as he struggled
to complete the composition in 1888: 25Herbert Weinstock, Tchaikovsky (New York, Knopf, 1943), 299 (n. 4).
The bracketed insertions above are Weinstock's.
Program of the First Movement of the Symphony: 26Several Western scholars posit that "XXX" is one of the symbols that
Introduction. Complete resignation before Fate, or, which is the Tchaikovsky used in his private notebooks and diaries to refer to his ho-
same, before the inscrutable predestination of Providence. mosexuality. See Brown, The Crisis Years, 103-106; Vol. 3, The Years of
Wandering (1878-1885) (London: Victor Gollancz, 1986), 256-267. The lat-
ter reference contains extensive excerpts from Tchaikovsky's private diary
21Newcomb, 234. of 1884 in which the symbols "X" and "Z" indicate (in Brown's opinion)
22Walter Wiora, "Zwischen absoluter und Programmusik," in Festschrift "homosexual drives." On the other hand, Vladimir Volkoff suggests that the
Friedrich Blume (Kassel: Barenreiter, 1963), 388; quoted in Newcomb, documentary evidence is inconclusive (Tchaikovsky: A Self-Portrait [Boston:
"Schumann's Second Symphony," 234. Crescendo/London: Robert Hale, 1975], 250-260).
23Brown, The Crisis Years. 163. 27See Edward Garden, Tchaikovsky (London: Dent/New York: Octa-
'4Ibid., 163-166. gon, 1973), 119.
the
the narrative
narrativeofofthe
theFifth
Fifth
might
might
be even
be even
moremore
closely
closely
alliedallied (mm. 44-45).
44-45). Pitted
Pitted against
against these
these ideas
ideas are
arethe
theprimary
primarymo-
mo-
with
with Beethoven's
Beethoven'splot
plot
archetype
archetype
than
than
is its
is predecessor,
its predecessor,
the the tives of Theme
Theme II,II, the
the descending
descending fifth
fifthleap
leapand
andthe
theascending
ascending
Fourth. sixth leap (indicated
(indicated by
by brackets
brackets in
in the
theexample).
example).In
Inpar-
par-
If an appeal to biography seems inconclusive in the es- ticular, the
the rising
rising sixth
sixth may
may be
be heard
heard in
incontext
contextasasthe
thean-
an-
tablishment of plot, a consideration of the music itself-that tithesis of
of the
the falling
falling sixth
sixth from
from the
the Refrain,
Refrain,the
thereversal
reversalof
of
is, its thematic materials-may prove to be more compelling. contour and
and faster
faster tempo
tempo of
of Theme
Theme IIII producing
producingaarapid
rapid
Even within the first movement (whose principal themes are ascent rather than a slow descent.
shown in Ex. 2) the listener can sense a struggle between Before going any further, it would seem prudent to a
negative and positive emotional states: the Refrain, thor- knowledge the difficulties posed by the emotive descrip
oughly morose in character (because of its minor mode, sub- in the previous paragraph. Emotional expression in m
dued dynamics and rhythmic activity, and use of clarinets in has often been viewed as completely subjective or trivial
their lowest register), and Theme I, a rather grim march, the serious theoretical literature of the past few decades,
stand in distinct contrast to Theme II in D major, where the recent scholarship points toward a rehabilitation of this
change in mode, faster tempo, and ascending contours are maligned concept.29 Addressing the problem of intersub
expressive of brighter and more confident feelings. This op- tivity, Peter Kivy claims that emotive descriptions ca
position of moods is paralleled by an opposition of pitch objective, provided that they are not overly specific; "fi
shapes (hereafter called motives) in the melodic structure of tuning" is possible only when the music is tied to an exp
the themes. The Refrain presents two ideas which may be text.3? From a different standpoint, Anthony Newcomb
associated with the state of suffering suggested by the music: nies the need for any stringent objectivity: since a "stri
the neighbor motion 3-4-3 (mm. 1-2) and the falling sixth rule-governed semantic" for musical expression does not
(mm. 4-6). (This observation is not meant to imply that the cannot exist, there is no need for widespread agreement t
upper neighbor pattern or the falling sixth in themselves specific descriptions of musical meaning are "true," only
cause a particular emotional state to be produced, pace they are "appropriate" or "persuasive."31 The latter v
Deryck Cooke.28 Rather, these patterns assist in defining recalls Edward T. Cone's concept of the "expressive
thematic material which is expressive of pathos; since the tential" of music, a "wide but not unrestricted range of
theme as a whole conveys a particular emotional state, the
29See Wilson Coker, Music and Meaning (New York: The Free P
constituent elements of the theme-its pitch motives-may
1972): Peter Kivy, The Corded Shell. Reflections on Musical Expre
carry an association with that state.) Theme I of the first (Princeton: Princeton University Press, 1980); Edward T. Cone, "Schu
movement is concerned only with the first of the Refrain's Promissory Note: An Exercise in Musical Hermeneutics," Nineteenth-
motives, now presented as an incomplete neighbor pattern: Century Music 5 (1982), 233-241. A particularly good summary is found in
i-4-3. The falling third from m. 2 of the Refrain is also Anthony Newcomb, "Sound and Feeling," Critical Inquiry 10 (1984), 614-
643. Kivy responds to criticisms by Newcomb and others in Sound Sentiment:
present, now enlarged to occupy a span of two measures
An Essay on the Musical Emotions, Including the Complete Text of "The
Corded Shell" (Philadelphia: Temple University Press, 1989).
2,Deryck Cooke.
Cooke. The
The Language
Language of
of Music
Music (London
(London and
and New
New York:
York:Ox-
Ox- 3"Kivy, Sound Sentiment, 11, 135-136, 190.
ford, 1959). 3'Newcomb, "Sound and Feeling." pp. 629-630, 638.
Example 2. Movement I: Themes
( 6th ;
Andante N
3 4 3 I f
m- <o
, ,,-
R
:#" c r If I II r 11' I ' 1 I I F' 11
(C1.)
(C1.)p p mf n
A;] I IV I I
Allegro con anima N

IA
A (42) ! 41 3
Th.I
(CI. Bsn. \
8va basso) IP -
Fe[ ~I IV I IV I
6th t
I I
Th. II
9) (Cl.)f (Strs.) -f _ _ _ _
_ _ _ _ - - ffz z~Q -
sible expression" where "a given text specifies one possi- emotive ones" (the "convention theory").33 M
bility."32 The present study follows the approach of Kivy in rhythmic shapes are treated by the contour theo
the hopes of retaining some degree of objectivity. Kivy char- traditional associations of major and minor mod
acterizes musical expressiveness as a cognitive process itive and negative feelings (respectively) are bet
whereby the listener recognizes some property of the music by the convention theory. In dealing with th
as appropriate to the expression of a particular emotion. This phony, it seems best to exercise due caution w
recognition may occur when the music "resembles our ex- descriptions, citing the specific musical properti
pressive behavior" (when music mimics rhetorical speech, might regard as expressive of a particular emot
bodily gesture, and so forth-the "contour theory" of ex- If these observations should fail to seem obje
pressiveness) or may come about as a consequence of "the readers, perhaps they may still prove to be p
customary association of certain musical features with certain As the plot continues, signs of hope at the
Exposition give way to adversity in the Develop
II, restated triumphantly to close the Exposition
32Edward
32Edward T. Cone,
T. Cone,
The Composer's
The Composer's
Voice (Berkeley:
Voice
University
(Berkeley:
of Cal- University of Cal-
ifornia Press. 1974), 166. 33Kivy, Sound Sentiment. 52, 77.
Figure 2. Tonal-Expressive Interaction in Movement I

Exposition Development Recapitulation
Recapitulation Coda
Th. I Th. II Th. I Th. II Th. I

e D e E e
(a) tonal: + -(reverses)-. - +
expressive: - -(reverses)-- + _ + *-
(b) E: reality reality reality reality
struggle ^
imagined ideal
Lv0 ~ ~ (made real)
is
is then
thensubjected
subjectedto a to
dynamic
a dynamic
and textural
and textural
decrescendo close
close in in
decrescendo
and the the
low and
register
low register
of bassoons,
ofcellos,
bassoons,
and double
cellos, and
loses
losesmuch
much of of
its impact.
its impact.
The descending
The descending
fifth motive basses.
fifth
thenmotive then
sounds
sounds two
two
times
timesin the
inhorns,
the horns,
first in first
D majorin(f,
D m.
major
214),This
(f, description
m. 214), of the first movement raises question
then
theninin D minor
D minor(mf,(mf,
m. 218);
m.this
218);
sudden
thisreversal
suddeninreversal
mode
about the innature
modeof the relationship between the tonal plan
casts
castsa a
shadow
shadowoverover
the theme's
the theme's
previousprevious
brightness.
brightness.
The thematic plot
and Theof the symphony. Is there a direct cor
theme
theme then
then
recedes
recedes
into the
intobackground
the background
as an accompani-
as respondence
an accompani-
between the conflict of keys and the conflict of
ment
menttoto
a two-bar
a two-bar
fragment
fragment
from Theme
fromI. Theme
At the conclusion
I. Atemotive
the conclusion
themes? The pertinent information is provided in
of
of this
thissection
section
D is D
suppressed
is suppressed
as a keyas
area
a key
whenarea
a prom-
when
Figure 2a,awhich
prom- illustrates tonal plan and expressive plot in
inent
inentbass
bass
Bb Bb
(the(the
flatted
flatted
submediant
submediant of D) is relation
of D) is reinterpreted to the first movement's sonata form. The tonal
reinterpreted
as
as Af
Af(leading
(leadingto the
to dominant
the dominantof E minor).
of E Accompanied
minor). Accompanied
"value" of a section is positive for the principal tonic
by
byan anextensive
extensive diminuendo,
diminuendo,this event
thisleads
eventto a leads
sadnegative
re-to a otherwise;
sad re- the emotive values reflect the previo
surgence
surgence of of
Theme
ThemeI in EI minor
in E minor
at the point
at theof recapitu-
point of recapitu-
discussion. We may observe that within the Exposition, t
lation.
lation. The
The fight
fight
is notis yet
notover,
yethowever.
over, however.
The returnand
The
of emotive
return of consistently contradict one another in
values
Theme
Theme II II
transposed
transposedup a step
up atostepE major
to E in major
the Reprise
in the Reprise
synchronic (vertical) realm. There does exist a corresp
brings
brings positive
positive
sentiments
sentimentsinto the
into
"correct" key anddence
the "correct" re-keyin and
the diachronic
re- (horizontal) dimension, howe
verses the minor mode of Theme I.34 The success of this since both the tonal and the expressive values of Them
move is short-lived, however, for the Coda reinstates the first reverse themselves for Theme II, in keeping with the
theme in E minor, and the movement comes to a lugubrious
ditional psychological plan for the sonata form expositio
The sonata form schema does not fare as well at the be-
34The transposition of this theme upward by step from its statement in

ginning of the Recapitulation: although the return of
I in E minor signals the (local) resolution of
the Exposition also signifies a dramatic intensification, according to Bailey's the tonal co
concept of the expressive use of tonality ("The Structure of the Ring," negative
51). feelings prevail in the expressive realm, cont
Figure 3. altered
alteredfrom
fromnegative
negative(minor)
(minor)
to positive
to positive
(major)
(major)
duringduring
the th
~e A ' E course
courseofofthe
thework;
work;D could
D could
reflect
reflect
his imagined
his imagined
ideal (faith/
ideal (faith/
redemption)
redemption)which,
which,in in
thethe
first
first
movement,
movement,
is brought
is brought
into the
into th
domain
domainof ofthethereal
real
byby
its its
transposition
transposition
up by
upwhole
by whole
step tostep to
D
E
E in
in the
theReprise.
Reprise. The
The
interests
interests
of objectivity,
of objectivity,
however,
however,
are are
probably
probablybestbestserved
servedbybyrestricting
restricting
the discussion
the discussion
chiefly
chiefly
to t
the
the first,
first,less
lessspecific
specific
setset
of tonal
of tonal
associations.
associations.
ing the expected elimination of tension at this stage in the Signs
Signs of
oftransformation
transformation appear
appear
in the
in second
the second
movement
movement
form. (In light of this discrepancy, Tchaikovsky's dovetailing (Ex. 3). The horn solo in D major (Theme Al) is over-
of Development and Recapitulation, preventing a strong for- whelmingly positive in its expression: according to Kivy's
mal articulation of the latter, seems quite appropriate.) The contour theory, its rising appoggiatura figures (mm. 8-9,
damage to the sonata form is not fatal, however, for tonal 9-10, and 10-12) may be interpreted as "speech icons"
and expressive aspects are eventually synchronized when which, in conjunction with their arch-like rhythmic gestures
Theme II returns in E major, positive emotions now sound- ( . . .. d. ) and simple major-mode setting, convey an
ing in the tonic key. In fact, the Recapitulation's transfor- atmosphere of "great tenderness and longing," as John War-
mation of E minor to E major through the agency of material rack puts it.35 Granted, one could easily dispute his inter-
originally in D major-a process also at work in the sym- pretation of the second movement as a "love scene," but the
phony as a whole-suggests a refinement in the original in- music certainly exerts a positive impulse, its simple utterance
terpretation of D in the tonal plan: though a source of con- markedly opposing the "murmurs and doubts" from Theme
flict, D also serves as the source for the introduction of the I of the previous movement. Paradoxically, these two themes
major mode and is perhaps best viewed as a catalyst--initially share a common pitch motive: after circling around the tonic,
disruptive, yet necessary in the long run to achieve a positive the horn solo ascends from tonic to the upper neighbor of
transformation of E, at which time D may "disappear" from the mediant (mm. 10-12), not unlike the first two bars of
the scene, its work completed (see Fig. 3). Theme I from the previous movement. In Movement II,
Given the somewhat complex nature of the relationship then, the neighbor motion to 3, originally allied with the
between E minor, D major, and E major, is it possible to pathetic, is now associated with a more positive emotion-as
attribute consistent extra-musical associations to the keys in
though the pitch shape itself were a character who has un-
this symphony? The answer is a qualified yes, provided that dergone a healing experience. This process introduces a type
such associations are "cross-cut" with a distinction between of "transformation" into the thematic plot which, metaphor-
the modes; hence, E minor is associated with negative qual- ically speaking, is "redemptive" in quality. Another element
ities, E major and D major with positive ones. Keeping in
35Warrack, Tchaikovsky, 216. The expressive appoggiatura figures heard
mind Tchaikovsky's notes for Movement I, one could spec-
here may be traced to Theme lib of Movement I (m. 172; see Ex. 9), implying
ulate further in a more biographical vein (Fig. 2b): E in
that the horn solo amplifies an affirmative sentiment in D major from the
general might refer to the way that the composer's personaprevious movement. (The fact that Theme lib is in a slower tempo-like the
views himself-his perception of his own reality, which is
horn solo-helps to cement this connection.)
Example 3. Movement II: Themes

N
Andante N A A
cantabile 7 1 1 4 3
Al
li 1 __ I I , mJ I II . ! i
(tn.) -
|D I VI I6
Con moto 6th t
. ? -o%L"_ _ - c^. -.
A2 if ' nI ,t 5. iv * 'I
'- (Ob.) -7- - -
f.
Moderato 6th 1
con anima
> 4..
B
t "/ 1k It ' ' I I I Tr r 11
fi (cl.)v7,
fi r _I 7 I=w 1 IT X f C7
(cl.)v7,
Vif]
of
ofthis
thisaffirmative
affirmative
theme theme
is the lower-neighbor
is the lower-neighbor
motion motion nervous
nervous rhythms
rhythmsof
ofthe
thethird
thirdand
andfourth
fourth
measures
measures
of of
Theme
Them
ii -7
-7-i-i
(mm.
(mm.
8-10),
8-10),
an inversion
an inversion
of the upper-neighbor
of the upper-neighbor
con- con- B, in
in conjunction
conjunctionwith
withthe
theconstant
constantoff-beat
off-beatsyncopation
syncopation
in i
tour,
tour,whichwhich
will will
resurface
resurface
in the finale.
in the
A subsidiary
finale. theme
A subsidiary theme the
the string
string accompaniment,
accompaniment,contribute
contributetoto
the
the
restlessness
restlessness
of o
in
inF# F#major
major
(A2, (A2,
m. 24 m.of Ex.
243)of
is also
Ex.more
3) ispositive
also more
in tone.positive in tone. this
this section.
section. The
Thekey
keyof
ofF#
F#minor
minorcontradicts
contradictsthethe
F#F#
major
maj
Its
Itsascending
ascending
sixthsixth
(established
(established
as a confident
as aelement
confident
in the element in the of the
the previous
previoussection,
section,again
againsuggesting
suggestinga move
a move
toward
towar
first
firstmovement)
movement)is intensified
is intensified
by several by
appoggiaturas
several appoggiaturas
(en- (en- darkness.
darkness. Moreover,
Moreover,Ft
Ftminor
minorisisushered
usheredinin
byby
itsits
dominant,
dominan
closed
closed in in
parentheses
parentheses
in the example).
in the example). stand- a tonal stand- C#;
From a tonalFrom C#; the
the expressive
expressiveshift
shiftdownward
downward from
fromDD(end
(end
of of
thethe
A
point,
point, thethe
introduction
introduction
of F# major
of F# within
major
the Awithin
section the A section section)
section) to
to Cf
Cf signals
signalsa afalling
fallingmotion
motioninin
the
the
drama.
drama.TheTh
represents
represents a kind
a kind
of emotional
of emotional
heightening
heightening by the use of D's dominant
by the use of D's dominant of
of F#
F#isisprolonged
prolongedoverovera a
considerable
considerable time
time
span
span
upper
upper major
majorthird.
third. and
and never
never actually
actually resolves
resolvesto
to an
anF#-minor
F#-minor chord,
chord,
intensi-
intensi
Confidence
Confidence givesgives
way toway
doubttoand
doubt
agitation
andin agitation
the B in the B fying
fying the
the tentative,
tentative,anxious
anxiousnature
natureofofthis
this
section.
section.
A parallel
A parall
section of Movement II. The Ff-minor theme in solo clarinet passage
passage at
at the
the end
endof
ofthe
theBBsection
section(not
(not
shown)
shown)
presents
presen
features an idea already associated with a negative emotional V/C#
V/C# minor,
minor, which
whichprepares
preparesforforanan
expressive
expressiveshift
shiftupward
upwa
state in the previous movement: the descending minor sixth by halfhalf step
step to
toV/D
V/Dmajor
majorasasthe
theRefrain
Refraininterrupts
interruptsthethe
formal
form
(a2-cj2, intensified by an appoggiatura), which directly op- structure for the first time. The intrusion of the Refrain at
poses the rising major sixth c#2-at2 from Theme A2. The this point comes at the end of a long textural and dynami
crescendo, representing the culmination of doubts which motives

motives from
fromthe
theoriginal
originalRefrain
Refrainhave
have
taken
taken
on on
a more
a more
have been building throughout the B section. This is ap- positive
positive emotional
emotionalassociation,
association,evidence
evidence
that
that
thethe
evolution
evolution
propriate, since the Refrain depicted a state of suffering from
from suffering
sufferingto
torestoration
restorationis is
nearing
nearing
itsits
completion.
completion.
ThisThis
when it appeared at the beginning of Movement I. After interpretation
interpretationisissupported
supportedbyby
the
the
tonal
tonal
plan,
plan,
since
since
thethe
keykey
calm is restored by the return of A, the Refrain intervenes of this
this movement,
movement,AAmajor,
major,represents
represents
thethe
pivotal
pivotal
point
point
in in
a second time to interrupt the final cadence of the movement the resolution of the conflict between E and D.
proper (when the structural V resolves deceptively to a The middle section of Movement III provides further ev
diminished-seventh chord). The timing of this second inter- idence of a turning point in the plot. The theme (B) sound
vention, postponing closure in D, reminds the listener that in F# minor, a key associated with agitation and doubt in t
this is not yet the end of the story: the progress toward a central section of the previous movement. Few listene
positive transformation portrayed by the second movement would ascribe these qualities to the Ft-minor section of th
is still quite fragile and is subject to reversals; and with regard Valse, however: the polyrhythms of its decorative perpetuu
to tonality, the conflict between E and D is as yet unresolved. mobile (implying 2 measures) inject an element of play int
The turning point in the plot occurs in the third move- the proceedings which follows logically upon the heels of t
ment, the Valse. As illustrated in Example 4, the principal syncopated bassoon solo at the end of the previous sect
theme (A1) traverses a descending sixth from c#2 to el, re- (mm. 60-64 and 68-72); furthermore, the reiterated upper
calling the falling sixth introduced in the Refrain from Move- neighbor gestures in spiccato sixteenths call to mind a "fl
ment I; in fact, the Valse theme occurs on the same pitch tering" motion (by way of the contour theory) suggestive
level used for the sixth at the conclusion of the Refrain (mm. the world of the ballet. Hence, the B section continues the
27-30: c' to e) and the two statements share four common character of the A section rather than threatening it (as did
pitch classes. In Movement III, however, the expressive the middle section of Movement II), indicating that FP mi-
value of the sixth is reversed: instead of being connected with nor, like a dynamic character in a drama, has undergone a
suffering, the sixth is now part of a theme which is pleasant positive transformation, perhaps in reaction to the change in
and amicable in nature. In addition, as Tchaikovsky varies the plot in section A. The arrival of the turning point in the
this theme (A2 and A3), a pitch pattern previously associated drama is finally confirmed by the appearance of the Refrain:
with affirmative sentiments emerges-the lower auxiliary (1) it now functions merely as a suffix to the structural ca-
B-A#-B.36 This "rehabilitation" of the descending sixth sig- dence, rather than as the irruptive element heard in the
nals that another stage in the healing process has been com- previous movement;37 (2) for the first time it is associated
pleted. Remember that another primary motive from the with a major triad, preparing for the crucial statement in E
first movement, the upper neighbor to 3, was similarly major which begins the fourth movement.38
"transformed" for its appearance within the principal theme
of the second movement. At this point, therefore, both pitch
37Several scholars would disagree with this assessment. For instance,
Edward Garden states that the Refrain at the end of the third movement
36In fact, the same pitch classes are emphasized at the climax of the first "'gives to the proceedings a touch of the sinister." See Tchaikovsky, 120.
movement. See the discussion of Example 5 below. 38I am grateful to Gregory Karl for drawing my attention to this fact.
Example 4. Movement III: Themes
Valse
Allegro moderato 6th
C T) I
A'
r
(Vlns.)
B)a
(2-N--N-2?)
-w
A2
(Ob., I r
(Ob., /
Bsn.) \
/
AL i 2 / N 2
A3
Y " D ' J I I J I . I '.
(Bsn.) $ >' ? - - - #4.
A L i4
r -- 1_-Ir
B
gmts
gmtsmI
mI LrLr r _r__rr
ry _r__rr
,!:,~~~~~~~~~~~ - - - "do ___ __T_-_-I
___ __T_-_-I I- F _-fi I- F _-fi
" -~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
p
p (Srs
(Srsspiccato
spiccato
assaiassai
l[if#: I (IV6) (VII?7)
tonic ped.
interior
The metamorphosis from a negative to a positive emo- movements of the work. The melodic structure of
tional state is completed in the finale. For the first time since
Theme I also refers to past positive associations: the upper
the beginning of the symphony, the Refrain recurs in its
neighbor pattern from Movement I is inverted to a lower
entirety, now in E major rather than E minor. The "darkness
neighbor figure (1 -7 -1, presented in the horn solo from the
to light" imagery is obviously derived from Beethoven's
slow Fifth
movement), and leads to a descending fifth from dom-
Symphony, but with one important difference: rather than
inant to tonic (established as a positive element in Theme
remaining in major mode for the entire movement,IITheme
of the opening movement). In fact, the combination of
I (Ex. 5) reverts to minor mode. The connection of Elower
minor
neighbor and falling fifth may be traced specifically to
to this energetic, folk-like theme neutralizes the aprevious
moment of jubilation in the first movement, when a lower
negative associations for this key and mode, effectingneighbor
a trans-
figure leads to the restatement of Theme II at the
formation much like the changing role of Ft minor emotional
in the climax of the Recapitulation (mm. 451-466, Ex.
Example
Example5. 5.
(? N 5th l
Allegro A A A
A It vivace - I
Mvt. IV:
Th.I
(Strs.)
(+ 8va) 5th;
(9) N N
AL . A - A . S s - St 2 F
Mvt.
Mvt. I:I:
Th. II *8
(Strs.,W.W.)
(Strs.,W.W.) ffff
(X) (Vlns.,
(Vlns.,Fls.) Fls.)
8 I v
E v I
(in D in Exposition, m. 194)
5).
5).An insistent
An insistent
B-A#-B in stringsB-A#-B
and woodwinds (fff) Refrain recurs in C major at the beginning
in ush-
strings and of the Devel- woodwinds (fff) u
ers
ersin a most
in powerful
a most and exultant
powerful
statement ofand opment, its faster tempo and brighter orchestration
the theme
exultant impart-
statement of the th
at m. 455. ing a more overt sense of joy than the more reserved pre-
sentation (Andante maestoso) at the beginning of the
The second theme group of the finale (Ex. 6) also contains
movement. At the point of recapitulation (Ex. 7) a new
references to earlier material which help to define the plot
of the last movement. Theme IIa in D major is similar counterline
in is added to Theme I: in addition to increasing
shape to mm. 10- 12 of the principal theme from Movement the complexity of the texture, its ascending motion through
II (also in D); specifically, the pattern D-G-Ft invokes the
an octave intensifies the positive expression of the theme.
transformed neighbor motive from the horn solo, a sign of (Note also its two descending fifths from dominant to tonic,
mm. 300-303!) A lengthy Coda reiterates the change in
progress toward healing. As the tonality shifts downward
from D to C, Theme IIa evolves into IIb. Note that the mode for the Refrain (minor at m. 428, major at m. 472),39
outline 1-4-3 is now eliminated through intervallic con- and many of the themes from the first and second groups of
traction, paralleling the elimination and subsequent removal the Exposition are now revisited, all in major mode (mm.
of D as a threat to E in the tonal plan. The invocation of 504-565). The quotation of Theme I from the first move-
key and pitch shape from the slow movement for Theme IIa, ment, now in major mode and without its original synco-
followed by its removal for Theme IIb, is motivated by the pation, provides a final demonstration of the evolution from
plot: now that a positive transformation has been achieved,
there is no further need for the "progress toward healing"
39It is interesting that the statement at m. 472 is accompanied by a line
associated with the slow movement's material.
in the woodwinds which features the lower neighbor figure B-At-B, heard
The remainder of the finale corroborates and amplifies the
previously at the expressive high point of the Recapitulation in Mvt. I (mm.
expression of the basic plot line: the struggle is over. The
451-454). See Example 5.
Example 6.
N
0 A
1
4
4
Mvt. II:
A'
(Hn.) I
I6
WD
IN
128 A I A A
I, 1 1 4 , J
Mvt. IV:
Th. IIa
N:r) ' [
I I I
iD V42
1(4)8 II" I1I 1 I 1
W i I I
Th. IIb
IOo I - _*T 0
strife
strifeto victory
to which
victory
characterizes
which the narrative plot ofwhich
characterizes which
the shedshedfurther
further
the light
light
on the
narrativeontonal
the conflict
tonal
plotconflict
between
ofbetween
D and
the D
symphony.40 E, in relation to the emotional narrative of the work. Several
insights may be gained from an investigation of the first state-
DETAILS
ment of the Refrain, which functions as the slow introduction
to the
Now that the tonal plan and narrative plot of the first movement. Its basic chordal structure is given in
Fifth
Example
Symphony have been examined in their broad outlines, the 8. The particular syntax chosen by Tchaikovsky is
reader's attention is directed to some specific musical well suited to the function of this section in the plot, its
details
uniformity of mood (pathos) being matched by its unity of
key:
4tThe tendency toward overstatement in this lengthy coda hasthe conflict between E and D is not strongly articulated
inspired
here,
a great deal of criticism; in fact. the entire finale is often judged bythough
critics the chords D major and E minor are briefly
to be a fatally flawed attempt to achieve triumph over the adversity of the
juxtaposed at mm. 7-8 and 17-18, when D (as V of G)
previous movements. See. for example. Warrack, Tchaikovsky Symphonies
resolves deceptively to E minor. The Refrain does emphasize
and Concertos, 2nd ed. (London: British Broadcasting Corporation. 1974)
32-33. Edward Garden states that the "failure" of the last movement is several tonal elements which will ultimately act as agents in
the resolution
inevitable and even appropriate given Tchaikovsky's tragic real-life situation of the conflict. The progression in the opening
(Tchaikovsky. 119-20). I would disagree with those who consider the finale
measures (foreshadowing the first theme of the Exposition)
a complete "failure." Though its musical diction might be judged as effusive
suggests an important role for A, the key of the third move-
or repetitive. I would hope that my explication of tonal plan and thematic
ment and the pivotal point in the tonal plan. In addition, the
process in this work demonstrates that the fourth movement successfully
completes the tonal and narrative structures begun in the first three move- class C, to be used later as a replacement for D in the
pitch
finale, is prominent in several ways. First, C is emphasized
ments: in these respects, at least, the finale may be termed a "success."
Example 7. Movement IV, mm. 296-304

I I> I
296@ counterline
F 1 -) r r r i I I r r r F r r - >
4_
RECAP. ff
Th.I
/Tf j jrr I j ^ J j I I j I JJ
nI
Example
Example
8. Movement I, Introduction/Refrain:
8. Reduction
Movement I, Introduction/Re
m. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
:m - ...N W.2jN N -
I -
-5 rv --
6 /6 6 5
e: I-IV-I G6 D-e ("C6-e6) (C6-e) G6D e 4 ---3
G6 D-e
21 22 23 24 25 26 29 30 31 32 33 34 35 37
27 28 36
Ir ?|*l^ C G- *C G -I c5j 6V
I III VI V
as an upper
as neighbor to B in mm.an
3 (soprano), 9 (bass), upper
major, while deceptive cadences in mm. 27-30 introduce C
11-14 (soprano),
11-14 18 (soprano), and 30-37 (bass). In the rather than(sopr
the expected harmonic goal of E minor. From
second second
division of the Refrain, mm. 12 and 14, several pair- a Schenkeriandivisi
point of view, C functions as VI in the basic
ings of ings
C major and E minor chords occur as by-products ofof tonal motion for theC third division ofma
the Refrain: I (m.
this upper
thisneighbor-note embellishment. Second, C major
upper
is 21)-VI (mm. 28 and 30)-V (m. 32). The connection n from
articulated
articulated
rather unexpectedly at several phrase endings in bass E to bass C, accomplished in a single measure atr mm.
the third division of the Refrain, mm. 21-37: at m. 26 the 8-9 of the first division, is expanded in mm. 21-28, again
logical goal of G major is diverted at the last moment to C suggesting that the third relation between E and C has an
important
important role
role
to play
to play
in thein
Fifth
theSymphony.
Fifth Symphony.
One might One might with exultation
exultation at
at mm.
mm. 194-199
194-199 inin the
theExposition.)
Exposition.)In
Inbot
bo
even
evenspeculate
speculate thatthat
the pronounced
the pronounced
use of C use
in the
ofinitial themes of
C in the initial of this
this group
group DD major
major is
is expressed
expressedusing
usinga aharmo
harm
Refrain
Refrain is is
an an
ironical
ironical
stroke:
stroke:
the solution
the solution
to the tonal
to "prob- language
language which
the tonal "prob- which isis much
much more
more clearly
clearlyfunctional
functional(that
(th
lem"
lem"ofof thethework-C
work-Cas replacement
as replacement
for D-was for
present
D-was present rooted in
in the
the tonic-dominant
tonic-dominant axis),
axis), signifying
signifyingthat
thatDDma m
from
fromthe
thevery
very
start,
start,
but not
butrecognized
not recognized
until the until
last move- and its associated
the last move- associated feeling-is
feeling-is now
now stronger
strongerand
andmore
mores
ment. assured.
assured. In
In addition,
addition, the
the method
method of
ofpresentation
presentationof
ofthe
thests
Within the Exposition of Movement I, it is interestingtural
to melodic
melodic tonetone (3
(3 in
in D)
D) in
in these
these themes
themessuggests
suggest
note the correlation of modulatory process and thematicgrowing
growing
nar- confidence:
confidence: in in Theme
Theme IIa,IIa, f#2
f#2isispostponed
postponedunti
unt
rative as the music gradually evolves from a negative157, while
while in
to a in Theme
Theme IIb
IIb (see
(see p.
p. 40),
40), f#2
f#2initiates
initiatesthe
thephr
ph
directly.
directly.
positive emotional state. The relevant passages are shown in It
It is
is also
also noteworthy
noteworthy that that the
theff22ininTheme
ThemeIIaIIa
Example 9. Note that D major first emerges in subsection approached
approached by
by an
an ascending
ascending sixth
sixth in
inmeasures
measures156-157;
156-157;tht
b of the transition (mm. 128-130). This appearance couldsame
be technique
technique was
was used
used to
to introduce
introduce33in inBBminor
minorininme
m
considered somewhat tentative in nature, since D is sec- sures 116-118
116-118 of
of the
the transition
transition (see(see the
thebrackets
bracketsin
inExE
ondary in important to B minor, which predominates in the The sixth
sixth within
within Theme
Theme IIa,
IIa, though,
though,unfolds
unfoldsmore
morerapidl
rapid
a and a' subsections. This initial statement of D major might enhancing
enhancing the
the positive
positive effect
effect ofof the
thepassage.
passage.Finally,
Finally,not
no
be judged as tentative in another respect: D is established that the
the descending
descending third
third in
in the
the melody
melodyatatm.m.170
170of
ofTh
T
by means of tonic-subdominant motion, imitating the syntax IIb (curly
(curly bracket)
bracket) has
has aa clear
clear precedent
precedentatatm.
m.129
129of
of
characteristic of Theme I-a syntax associated with negative transition-again
transition-again suggesting
suggesting that
that aa theme
themefrom
fromthe
thesec
se
sentiments. Metaphorically speaking, D major is struggling group has
has "evolved"
"evolved" from
from earlier
earlier materials.
materials.
against the negative impulses of the previous E minor sec- The emotional
emotional high
high point
point of
of the
the Exposition
Expositioncontains
containsth
t
tion, and is not yet successful (evidenced by the presence of final stage
stage of
of the
the evolutionary
evolutionary process
processunder
underdiscussion.
discussion
I-IV -I).41 restatement
restatement of
of Theme
Theme IIa
IIa at
at the
the close
closeof
ofthe
thetheme
themegr
g
The next stage in the evolution toward a more affirmative (Ex. 9, m.
m. 198)
198) functions
functions as
as the
the culmination
culminationof
ofan
anenorm
enorm
emotional state occurs at the end of the transition (mm. registral,
registral, textural,
textural, and
and dynamic
dynamic crescendo
crescendogenerated
generated
140-143). In this sequential passage E minor gives way to Theme IIb.
IIb. Note
Note that
that IIa
IIa is
is now
now accompanied
accompaniedby bythe
therhyt
rhy
D major; notice that the descending fifth A-D introduced of Theme
Theme I, I, without
without its
its customary
customary syncopation;
syncopation;the
thenew
newm
in mm. 142-143 is later picked up by Theme IIa (m. 154), rical clarity
clarity of
of the
the motive,
motive, along
along with
withits
itsnew
neworchestra
orchestr
providing a clear sense of progression from the end of the (brass, fff),
fff), imparts
imparts aa greater
greater stability
stabilityand
andvitality
vitalityto
toth
t
transition to the second theme group. (It is interesting that material
material (by
(by way
way of
of Kivy's
Kivy's contour
contour theory),
theory),suggesti
suggest
the falling fifths in mm. 140-143 are decorated by a lower triumph
triumph over
over earlier
earlier adversity.
adversity. This
Thisinterpretation
interpretationisissup
su
neighbor-note embellishment, a shape soon to be associated ported byby aa comparable
comparable rhythmic
rhythmic transformation
transformationoccurr
occur
simultaneously
simultaneously in in the
the strings:
strings: the
the displaced
displacedhemiolas
hemiolasofofm
41It should be noted that the D-major and Fe-major triads are brought
into close proximity in the transition section, being juxtaposed directly in
194-197
194-197 give
give way
way to
to the
the forceful
forceful trochaic
trochaicpatterns
patternsof
ofThe
Th
mm. 127 and 128. This presages the use of F# as a secondary key area IIa, again
again exemplifying
exemplifying aa move
move from
fromrhythmic
rhythmicdissonanc
dissonan
associated with D in the second movement. consonance. When this moment returns at the end of the
Example 9. Movement I: Exposition
Theme I ( (3)
A .1 -
IV I IV I ivadd 6 I
transition:
(a) (b) A (a')
~ {- . 1 1 3 12. I 1j I I @
ftI I il-j i - i j4- t - -, I I I I bI |I 1 i 1 1
u ,, V - I -''T i -#i - I W - I a?
Strs. ' Strs. i * S- W.W.
wf- - P
8fp f --=-- ff 7------6-5 Strs.
,r f f I ff t M #: - b? ?= _ I- L I L
b: V (F0 ) b: V b: V
D: I IVb
e
[V7] V
Example 9 continued
Theme IIb (Molto piu tranquillo)
I D: I (V ) 16 V6 V7
triumph
struggle Theme IIa
Strs.,W.W. (+ 8va octava, basso) 19 Vlns., Fls. (+8va octava)
^ 1 ) A | H; d d J 4 Q 4 1 s . I
Ij
-I I) -I
k
I}
,e _, J~i _i Tpts., Obs. (+8va octava) Tutt

Hns., Trbns. i q i 7 _ i T t
p > - !* &2 ffi . W i r r r r r r r r r r r r
Trbn., Tuba, -
Timp,Cb. _ _
6- -5- -5
V 4- -4- -3 I
Recapitulation-its impact heightened by transposition

folding
foldingup-
in
inboth
bothtonal
tonal
plan
plan
andand
expressive
expressive
plot. The
plot.harmo
The
ward to E major-it functions as the expressive Hohepunkt
structure
structureof ofthe
the
Development
Development is presented
is presented
in Example
in Ex
Sketch
Sketcha asummarizes
of the entire movement. It is only fitting that this important summarizes thethe
basic
basic
structure
structure
of the
ofDevelopm
the Dev
climax should take place when tonal, formal, and expressive
in
in relation
relationtotoitsits
surroundings,
surroundings, usingusing
a Schenkerian
a Schenkerian
frame
structures are most clearly synchronized (as demonstrated
reference.
reference.Further
Further details
details
are are
provided
provided
in sketches
in sketches
b and
above in Fig. 2). It is well known that the formal scheme of this movement
Details of the Development section of Movement is unique, since the Recapitulation (presenting the ton
I chron-
icle the struggle between positive and negative values un-
overlaps the end of the preceding Development (presentin
Example 10. Movement I: Development
285
285 287
287
A . * -*
V r I -
/
/
\
(end of
N /I (Recap.)
(Recap.)
Expos.) (Dev.)
(21?4) 226 231
(descending 2-
240 254 255 266 (26) 285-7 309 (32 326
277 280 284
fifths: D (d) G c f Bb eb a, )
(D: IV-) ()
_____\G A: IV- 16) , AL _+1 (d: IV6-16-IV6 )
I :n _ I,1 _ I __
- f -~~~~~~~~?', " 7 ~'_ - . - * 1 ~_ V ' r dr
r - - 5 ') 6-- ---6 ---5 6 4 7 - b5 5-6 5-6 5-6 6 6 I rL

3 i'3 3 (tt) (D -1(
(D -a ------ ----- A----- Bb ) Ie (I)

(intensification) (intensification) B (V)Jf '
SUMMARY
Dev. Recap.
I (2)---
L - - ---
a
\- ) N
.00, b : | - +:(#7) __5 ~ 111r,
e: VII V
the
the dominant).42
dominant).42This
Thisoverlap
overlap
is illustrated
is illustrated
on the
on right-hand
the right-hand cending
cending5-6
5-6progression
progression
effects
effects
a change
a change
of harmony
of harmony
from fr
side
side of
of the
theexample,
example,between
between
sketches
sketches
b and
b and
c, and
c, is
andalso
is also aa B
B -major
-major5 5
toto
a G-minor
a G-minor
6 in 6mm.
in mm.
269-285.
269-285.
A comparison
A comparis
reflected in sketch a. The ramifications of this "structural
of
of sketch
sketchb b
toto
sketch
sketch
c reveals
c reveals
that that
the passing
the passing
tone F#
tone
in F#
m.
m. 277
dovetailing" will be taken up shortly. With regard to sketch 277actually
actuallyoccurs
occurs
in the
in the
bass bass
as an as
unfolding,
an unfolding,
and it a
a, the Development section contains a bass descent from initiates
initiates
D a adescending
descending 5-6 5-6
sequence
sequence
whichwhich
connects
connects
to the to
(actually heard at the end of the Exposition) to Bk. In the G-minor
G-minor6 6atat m.m.285.
285.
Once
Once
again
again
E andEDand
are D
juxtaposed,
are juxtapo
area of D, one might interpret the bass B, as b 6, expectingnow
now asasintermediate
intermediate points
points
in the
in sequence
the sequence
(mm. 280
(mm.and280
a resolution downward by half step to A as V of D. Instead,284).
284).This
Thistime
timeD temporarily
D temporarilygainsgains
the upper
the upper
hand, though
hand, tho
Bb is reinterpreted as A# at the end of the Development andthe
the "wrong"
"wrong"mode
modeis present:
is present:
whenwhen
the G-minor
the G-minor
3 is attained
3 is atta
resolves upward by half step to B~ as V of E. The over- at
at m.
m.285,
285,itit
may
may
be be
heard
heard
in its
inlocal
its local
context
context
as IV6 of
as D
IV6
lapping of Development and Recapitulation, however, minor.
minor.Since
Sinceminor
minor
mode
modeand and
subdominant
subdominant
emphasis
emphasis
were
somewhat weakens the arrival of E, implying that D major connected
connectedwith
with
pathos
pathosin the
in the
Exposition,
Exposition,
it would
it would
appear ap
(and its positive attribute) has not been fully defeated, and that
that events
eventsare
are
taking
taking
a turn
a turn
for the
forworse.
the worse.
Even the
Even
motive
the mo
will emerge again (in the second movement). associated
associatedwith
with
D-the
D-the descending
descendingfifthfifth
from from
Theme Theme
IIa-is
The conflict between D and E may also be observed atadversely
adverselyaffected
affected
(Ex.(Ex.
10d),
10d),
its fifth
its fifth
now reduced
now reduced
to a fourth
to a fo
more immediate structural levels (see sketch b). From the at
at m.
m.285.
285.The
Themotive
motive struggles
struggles
to retain
to retain
its original
its original
shape sh
end of the Exposition through the first half of the Devel- in
in the
thefollowing
followingmeasures,
measures, thenthen
disappears
disappears
completely
complete
at
opment, D is embellished through equal subdivision of the m.
m. 297,
297,overwhelmed
overwhelmed by by
fragments
fragmentsof Theme
of Theme
I in D minor.
I in D min
octave into minor thirds in mm. 214-254. Chromatic passing The
The subdominant
subdominant of of
D minor
D minoracts acts
as theasinitial
the initial
point in
point
the in
motion in mm. 255-269 connects from D to B.43 It is in- voice
voiceleading
leadingconnection
connectionbackback
to E to
minor
E minor
at m. 321.
at m.Coupled
321. Coup
with
withdescending
teresting that the first of these chromatic passing tones, C#, descendingcontours,
contours,
texture
texture
reduction,
reduction,
and fragmen-
and fragm
supports a 6 chord; the progression in mm. 254-255 could tation
tationofofthe
thesurface
surface
motive,
motive,
the return
the return
to E minor
to E minor
in mm. in m
309-321
309-321expresses
be heard locally (sketch c) as subdominant-tonic in A. Note expresses
most
most
fittingly
fittingly
the disintegration
the disintegration
of the o
that D functions not as tonic but as subdominant, conse- confidence which emerged during the course of the
quently weakening its position in the conflict with E. As Exposition.
shown in sketch b, bass Bb is prolonged throughout the Refrain statements in the second and third movements
second portion of the Development (mm. 269-320). An as- support the interpretation of the former movement as
intensification of the struggle to achieve a positive trans
42See, for example, Douglass M. Green, Form in Tonal Music, 2nd ed. mation, and of the latter as a turning point in this stru
(New York: Holt, Rinehart, and Winston, 1979), 216-217. Example 11 provides the two appearances of the Refrain
43From an alternate vantage point, mm. 214-269 could be explained in Movement II. Beginning melodically on A and B (re
a different manner, where the emphasized chords define several expressive
tively), these statements represent a dramatic intensifica
shifts upward by minor third, then half step: D (214)-f (231)-a, (240)-A
(255)-Bk (269). (See the notation between sketches b and c.) These shifts
related to those of the first movement, where the Refra
signify a heightening of tension as Bl, the pivotal note in the argument began on the melodic note G. Taken in the order in w
between D and E, is approached. they are presented in the Symphony, these statements
Example 11. Statements of Refrain in Movement II

(a) end of B section
D: V4 16
c#: V
(b) beginning
beginning of
of Coda
Coda
R
@ @ D - E - D
1LVS 0 1ou CL --
mnnnues .. .)
J(T,, J b|so aLI _ n * f I I J c I

a" -p ii^ L'r ^r ^' - ... 4- ~) ( t) '..
(Trbn., 8vabasso) (b6 - 5)
[interruption of cadence]
Lb#ll i -,-r /
D: V7 ---?7 IVadd6 _ I
press a rising melodic trajectory (G-A-B) which reinforces intense reminder

reminder that
that the
the gains
gains of
of the
the second
second movement
movement are
are
the increased tension created by the opposition of positive tentative in nature.
nature. Several
Several details
details in
in Example
Example lib
lib support
support
and negative forces in the second movement, the place of this view. The melodic
melodic line
line in
in mm.
mm. 158-159
158-159 is
is repeated
repeated inin
greatest tonal contrast to the overall tonic, E. Recall that sequence up a minor
minor third
third in
in the
the following
following measures;
measures; this
this
from the dramatic standpoint the statements in Movement expressive shift
shift upward
upward further
further heightens
heightens tension
tension by
by bringing
bringing
II interfere with the redemptive qualities of the principal the conflicting pitch
pitch classes
classes D
D and
and EE into
into close
close juxtaposition.
juxtaposition.
theme in D major. Though the first (at the end of the B D and E also appear
appear at
at mm.
mm. 164-169,
164-169, where
where they
they are
are com-
com-
section) is deflected by the connection back to D and a re- bined vertically
vertically to
to form
form aa pungent
pungent dissonance
dissonance in
in the
the added-
added-
sumption of Theme A1, the second (at the beginning of the sixth chord on G. Note that the resolution of this chord to
Coda) interrupts the structural cadence in D, offering a more tonic at m. 170 involves a rather striking 6-5 suspension
(which
(whichtemporarily
temporarily creates
creates
an augmented
an augmentedtriad);triad);
the reso-
the reso-D in
in the
the last
lastmovement
movementparallels
parallels
thethe
conclusion
conclusionof the
of the
strug-
strug
lution
lutionfrom
fromb1b
b1bto to
a1 a1
fulfills
fulfills
the the
implication
implication
of B asofb6B of
as b6 of gle
gle to
to achieve
achievehealing
healingfrom
from suffering.
suffering. To To
reflect
reflect
thisthis
recon-
recon
D,
D, left
leftincomplete
incompleteat at
thethe
endendof the
of the
Development
Development
sectionsection
of ofciliation,
ciliation, the
theRefrain
Refrainappears
appearsinin
E major
E majorin in
thethe
Introduction
Introductio
Movement
MovementI,I,where
where BbBbwaswas
respelled
respelled
as AXasand
AXdeflected
and deflected and
and Coda
Coda (Ex.
(Ex.13),
13),highlighting
highlighting a large-scale
a large-scalechange
change
of mode
of mod
back
back to
toEEminor.
minor.(The
(The
casecase
forfor
a cross-reference
a cross-reference
between
between
from
from EE minor
minorto
toEEmajor
majorinin
the
the
outer
outer
movements
movements
of the
of th
these
these passages
passagesis is
supported
supportedby the
by the
fact fact
that that
the same
the chord
same chordwork.
work. AA comparison
comparisonofofthe
the
harmonic
harmonicstructure
structure
of the
of the
newnew
is
is featured
featuredininboth;
both;in in
thethe
first
first
movement
movement
(mm. (mm.
309-310)
309-310)
the themajor-mode
major-modeversion
versionofofthe
theRefrain
Refrain
(the
(the
start
start
of of
Movement
Movement
added-sixth chord has Bb in the bass, while in the second IV)
IV) to
to the
the original
originalRefrain
Refrainfrom
fromMovement
Movement I shows
I shows
thatthat
a
movement (mm. 166 and 169) B occurs in the melody.) This change
change in
in syntax
syntaxreflects
reflectsthe
the
resolution
resolution
of of
thethe
tonal
tonal
conflict
conflic
"change of fortune" for Bb reflects the progress made in the in favor
favor of ofE:E:the
thebasic
basicharmonic
harmonic motion
motion
in in
E major
E major
(Ex.(E
plot: negative feelings prevailed at the end of the Devel- 13a:
13a: II [m.
[m. 1]-III
1]-III[m.
[m.6]-V
6]-V[m.
[m.
8])8])
strengthens
strengthensE by
E by
pre-
pre-
opment of Movement I (D gave way to E minor), but these senting
senting aa stronger,
stronger,more
moreclearly
clearly
tonal
tonal
progression
progression
than
than
the th
are put aside at the end of Movement II (D is retained). one
one encountered
encounteredininmm.mm.1-8
1-8
ofof
thethe
first
first
movement
movement(shown
(shown
The Refrain in the third movement bears witness to the at the
the bottom
bottomof ofthe
theexample).
example).AA similar
similarchange
changein syntax
in syntax
was
was noted
necessary withdrawal of D (the tonal catalyst) as preparation noted when
whencomparing
comparing Themes
Themes I and
I and
II of
II of
Movement
Movemen
for the introduction of E major in the finale. At the closeI; in
in both
both cases
casesthe
theadjustment
adjustment signals
signals
a move
a movetoward
toward
a more
a mo
of the Valse (Ex. 12) the Refrain outlines E-F-E in con-positive
positive emotional
emotionalstate.
state.
junction with the closing plagal cadential formula, I-IVi-IThe
The Refrain
Refrainundergoes
undergoesfurther
further
transformation
transformation
in the
in th
in A major. Note that for the first time the Refrain melody
opening
opening ofof the
theDevelopment
Developmentsection
section
of of
thethe
finale
finale
(Ex.(Ex.
13b).
13b).
Recall
Recall that
sounds a half-step upper-neighbor pattern rather than the that the
themajor-mode
major-mode version
versionof of
thethe
Refrain
Refrainrecurs
recu
whole step heard throughout the first two movements. This
here
here in
in CC major,
major,reinforcing
reinforcingthe
thenew
new function
functionof CofasC re-
as r
change has two consequences. First, it establishes a prece-
placement
placement for
forD.D.An
Anadditional
additionalchange
change
emphasizes
emphasizes
thisthis
rel-rel-
atively
atively new
dent for the half-step figure G#-A-G# to be heard shortly newthird
thirdrelation
relationbetween
betweenE and
E and
C: in
C: the
in the
Devel-
Deve
in the E-major Refrain which begins the finale (E-F-E opment
re- only III (E minor) is tonicized; there is no
curring literally in the C-major Refrain of the finale's De-
continuation to the dominant, as in Example 13a. As a result,
velopment). Second, the use of Fb rather than F# renders the third from C to E is, as it were, brought to center stage,
the D triad minor instead of major; in this way, D is weak-lending further credence to E/C-and not E/D-as the pri-
ened by reversals in mode and function (D as major tonic
mary tonal relationship in the finale.44
now D as minor subdominant), as shown at the end of the The basic tonal plan of the Development as a whole (Ex.
example. These details set the stage for the resurgence of 14a)
E further illustrates the increased importance of C major.
(associated with major mode and affirmative sentiments) in Despite an extremely chromatic foreground, the basic har-
the fourth movement.
44C is also emphasized in the slow introduction of the fourth movement
The statements of the Refrain in the finale strongly re- (mm. 20-21 and 43-44) as IV of G, and assumes a prominent position as
inforce the tonal plan and narrative plot of the symphony. a pedal point in mm. 70-74 of Theme I in the Exposition. These passages
Recall that the resolution of the tonal conflict between E and return verbatim in the Coda and Recapitulation, respectively.
Example 12. Refrain in Movement III
F E
(final
(final
cadence) cadence)
EE
Ils ~ E I i
yettf 5 E0j J n -:^ > 1_4i E W _

(CI., Bsn.;8va basso) Movement II Movement III
(weakened)
49:,* t * T I
_ _`
~s '-_ __ s. .J r I t D 'I V I A: I I I
A: I (IV ) I I IV"dd i IVadd II IV 6add6 D: I V I A: I IVi I
Example 13. Refrain in Movement IV

(a) Introduction (and Coda) (b) beginning of Development
(also 474)
1 6 7 8 172 180 182 186
1 S N N
N N
i B A,,t t + 0 . , - _r <f> $N ^ ^ <.*
6 66 6 6 6 7
E: I IV I- - 4 #:
III V C: I III
e
?
(Mvt. I: I (III6) VII-I)
monic
monic progression
progression
outlines
outlines
an extended
an motion
extended
through
motion
the Two
Two final
through the final examples
examplesfrom
fromthe
thelast
lastmovement
movement furnish
furnish
co
circle
circle ofof
descending
descending
fifths fifths
from C (m. from
206) to
CA (m.
(m. 206)
292). to A (m. roboration
292).
roboration of
of the
theprincipal
principalarguments
arguments ofof
this
thispaper.
paper.
Examp
Exa
As
Asshown
shownin sketch
in sketch
b, when b,viewed
when in viewed
relation to
inExposition 15 provides
relation to Exposition provides the the closing
closingbars
barsof
ofthe
theRefrain
Refrain inin
the
theDev
D
and
andRecapitulation,
Recapitulation,
C serves
C as
serves
a thirdasdivider
a third
in the
divider opment
opment (mm.
large- in the large- (mm. 195-206).
195-206).The
Thefalling
fallingsixth
sixth
motive,
motive, spann
spa
scale
scalebass
bass
motion
motion
from from
E (beginning
E (beginning
of Exposition)
oftoExposition)
A toto
C AE
to E for
for its
its previous
previousstatements
statementsininmm.mm.180-186
180-186(Ex.
(Ex.
13
(end
(endofof
Development).
Development).
RelativeRelative
to this arpeggiation
to this arpeggiation
of the ofisthe
now
now transposed
transposedup
upaathird
thirdatatmm.
mm.195-198,
195-198,spannin
spann
subdominant, the D at the start of Theme II functions as a to G,
G, the
the primary
primarypitch
pitchlevel
levelfor
forthis
thismotive
motivefrom
from
Movem
Mov
large-scale passing tone which is clearly subordinate to the I (mm.
(mm. 5-8).
5-8). The
The previously
previouslynegative
negativeconnotation
connotation
for
fot
C which follows-substantiating the claim that C has super- sixth is avoided as it evolves into a variant of the finale's
seded D in the finale. exultant first theme at m. 202. This explicit example of t
Example 14. Movement IV: Development

Dev. Recap.
206 218 226 232 244 248 260 266
266 292 296
4
4 (6
(6b7---7
b7---7(f6)
(f6)
06
2 K4 \4 h5 '4 h3 V5
5 (b"6)
06
b5 (b"6)
#3 b3
4 17 4 b6
17I5
b3 3
_ . ^ 6- b- - ti6 , b _ ,- I
(8 h7)
r
e: VI IV
desc. fifths: C F# B (Bb - Eb) E A
Expos. Dev. Recap.

Th. I
t -r-i'-- -> ,ml 1|

(VI) IV I
Example 15. Movement IV, mm. 19
6th
1 ,. I
195) 2
( Tutti) i r pt
ff R (repeat) Th. I (repeat)
" (-)^ I I I cM uo ) 0 I I I I I ^ a , ^ :
I I I I I )
"rehabilitation" bodies the resolution of the conflict

of between Ethe
and D: the
contention antecedent that phrases move fromthe E minor to D ev

major, and
for the consequent phrases
Fifth Symphonreturn to E. Therefore, the para
thematic materials. "tonic to dominant, dominant to tonic"-which manifests
The passage quoted in Example 16 is taken from the suffixthe polarity between I and V in antecedent-consequent
to Theme I (mm. 82-98 in the Exposition, mm. 324-340 in phrase structures of the Classical period-has become "tonic
the Recapitulation). A repeated period of two phrases em- to subtonic, subtonic to tonic." If the subtonic now acts as
Example
Example16. Movement
16.IV,Movement
mm. 82-98 IV, mm. 82-98
antecedent A consequent
m -, (3) Cl.; Fl. 8va octava; Bsn. 8va basso Cs.; 8va
Bsn. assobasso Q k
t o in- ; h , r;I -if

St".n f f ? ? f \
Vin. I (pizz.) (90-98=varied
Bsn. (+Cl. 8Vaoctava) Cello (pizz.) ^ V I (Pizz Cello, Bs. rep.of 82-90)
"~ ~'rr C r rF J ; rr I nr rr
;f/
D,
D,
I VII VII
a substitute for the traditional dominant, then this would pressive

pressive narrative
narrative
of the of
work-an
the work-an
example of the
example
"strife to
of th
indicate a situation of Classical polarity, not double tonality. victory"
victory" plotplot
archetype,
archetype,
defined by
defined
thematicbycontent
thematic
and
Furthermore, VII has "found its proper role" in the com- process.
process. In reviewing
In reviewing
the "analytical
the "analytical
plot" of this plot"
paper, it
of
position as an element subordinate to the tonic even at the is
isinteresting
interesting to note
to that
notea consideration
that a consideration
of the emotional
of th
phrase level, signaling that its work as a catalyst is now com- narrative
narrative of the
of first
the movement
first movement
led to the recognition
led to the of D
reco
plete. There could be no more appropriate way for the tonal major
major as as
a catalyst
a catalyst
(rather(rather
than a simple
than antagonist)
a simple in antag
the
syntax to mirror the successful conclusion of the Symphony's tonal
tonal plan.
plan.
Perhaps
Perhaps
a lessona may
lesson
be drawn
mayfrom
be drawn
this se- fr
expressive narrative. quence
quence of of
events:
events:
a strategy
a strategy
of analytical
of "give
analytical
and take""gi
In summary, the dialectic of E minor in opposition to D between
between musical
musical
structure
structure
and modesand
of expression
modes of has express
much
major is introduced in the first movement of Tchaikovsky's to
tooffer
offer
us as
usweasstrive
we strive
to enrichto
our
enrich
understanding
our unders
and
Fifth Symphony and is played out over the entire sonata enjoyment
enjoyment of symphonic
of symphonicmusic-indeed,
music-indeed,
of all music-from
of all
cycle. The reconciliation of the tonal conflict through several the Romantic era.
plagal motions (I-IV/IV-IV-I) in effect puts a late

nineteenth-century face on a late eighteenth-century proce-
ABSTRACT
dure: the establishment of a polarity of keys which requires
This article explains the large-scale tonal plan of Tchai
a subsequent resolution. In the Fifth Symphony the strongest
Symphony in terms of a dialectic between two key
evidence of this resolution appears in the finale when C ma- work's thematic content and process define its narrati
jor replaces D major in the tonal structure. Over the course follows the familiar "strife to victory" archetype o
of the work, the transformation of E minor to E major Fifth Symphony. The ensuing discussion demonstra
(through the agency of D major) parallels a gradual trans- action of tonal plan, thematic materials, and emotio
formation from negative to positive sentiments in the ex- with reference to specific musical details.

Tonal Plan and Narrative Plot in Tchaikovsky Symphony 5

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Tonal Plan and Narrative Plot in Tchaikovsky Symphony 5

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Society for Music Theory

Tonal Plan and Narrative Plot in Tchaikovsky's Symphony No. 5 in E Minor

Several scholars have argued persuasively that an under- movements

Example 1. Tonal Plan for Complete Symphony

III pivotal point IV conflict resolved

t:# k oV ) t S. ItvI kV II / 0%IY- - - 0 Io (IV - I) -

14A precedent for this relation may be found in Tchaikovsky's Piano

Example 2. Movement I: Themes

Allegro con anima N

Figure 2. Tonal-Expressive Interaction in Movement I

Th. I Th. II Th. I Th. II Th. I

(a) tonal: + -(reverses)-. - +

Lv0 ~ ~ (made real)

34The transposition of this theme upward by step from its statement in

Example 3. Movement II: Themes

Con moto 6th t

crescendo, representing the culmination of doubts which motives

Example 4. Movement III: Themes

(in D in Exposition, m. 194)

Example 7. Movement IV, mm. 296-304

Example 9. Movement I: Exposition

Theme IIb (Molto piu tranquillo)

,e _, J~i _i Tpts., Obs. (+8va octava) Tutt

Recapitulation-its impact heightened by transposition

Example 10. Movement I: Development

r - - 5 ') 6-- ---6 ---5 6 4 7 - b5 5-6 5-6 5-6 6 6 I rL

(D -a ------ ----- A----- Bb ) Ie (I)

.00, b : | - +:(#7) __5 ~ 111r,

Example 11. Statements of Refrain in Movement II

J(T,, J b|so aLI _ n * f I I J c I

press a rising melodic trajectory (G-A-B) which reinforces intense reminder

Example 12. Refrain in Movement III

yettf 5 E0j J n -:^ > 1_4i E W _

Example 13. Refrain in Movement IV

Example 14. Movement IV: Development

Expos. Dev. Recap.

t -r-i'-- -> ,ml 1|

Example 15. Movement IV, mm. 19

"rehabilitation" bodies the resolution of the conflict

contention antecedent that phrases move fromthe E minor to D ev

t o in- ; h , r;I -if

a substitute for the traditional dominant, then this would pressive

plagal motions (I-IV/IV-IV-I) in effect puts a late

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