Form, Harmony, and Tonality in S. Rakhmaninov's Three Symphonies

Form, harmony, and tonality in S.
Rakhmaninov's three
symphonies.
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Authors Collins, Dana Livingston.
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Form, harmony, and tonality in S. Rakhmaninov's three

symphonies
Collins, Dana Livingston, Ph.D.

The University of Arizona, 1988
Copyright ©1988 by Co11ins, Dana Livingston. All rights resel"Ved.
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FORM, HARMONY, AND TONALITY
IN S. RAKHMANINOV'S THREE SYMPHONIES
by
Dana Livingston Collins
Copyright c Dana Livingston Collins 1988
A Dissertation Submitted to the Faculty of the
SCHOOL OF MUSIC
In Partial Fulfillment of the Requirements

For the Degree of
DOCTOR OF PHILOSOPHY
WITH A MAJOR IN MUSIC THEORY
In the Graduate College
THE UNIVERSITY OF ARIZONA
1 9 B B
THE UNIVERSITY OF ARIZONA
GRADUATE COLLEGE
As members of the Final E;M;amination Committee, we certify that we have read
the dissertation prepared by _-"D"'ana"'-'U!<llvi"ng"'s"t"'on"--"Ce,ol"'ll"'n"s'---_ _ _ _ __
entitled rom, Harmony, and Tonality in S. Rakhmaninov's Three SYDlphonies
and recommend that it be accepted as fulfilling the dissertation requirement
for the Degree of Doctpr Or PbDQsnphy
Date
Date
Final approval and acceptance of this dissertation is contingent upon the

candidate's suhnission of the final copy of the dissertation to the Graduate
College.
I hereby certify th~_t I have read this dissertation prepared under my

direction and recommend that it be accepted as fulfilling the dissertation
requirement.
Dissertation irector Edward Murphy Date

STATEMENT BY AUTHOR
The dissertation has been submitted in partial

fulfillment of requirements for an advanced degree 03.t. The
university of Arizona and is deposited in the university
Library to be made available to borrowers under rules of the
Library.
Brief quotations from this dissertation are allowable

without special permis:;;ion , provided that accurate
acknowledgment of source is made. Reques'ts for permission
for extended quotation from or reproduction of this
manuscript in whole or in part may be granted by the
copyright holder.
Signed: 18....._ko',,,,.J....- tillY.,.,

•
ACKNOWLEDGEMENTS
The author wishes to acknowledge the :following people:
Dr. Edward W. Murphy, for his invaluable assistance,

supervision, and support o:f this dissertation, and the
remainder of my graduate committee, Dr. Roy Johnson and Dr.
James Anthony, :for their support and oomments.
My parents, Drs. Lloyd R. and Janet Duthie Collins,

for their continuing love, support. and enoouragement
throughout my entire eduoation, as well as proofreading and
edi ting the many dra:fts o:f this work.
Dr. Felix E. Fernandez :for long distance

encouragement and eupport.
John M. Kissler .for reading through the work and

offeriog many valuable suggestions and Gatherine Tesch and
Karen Zieglemann .for their encouragement, support, and
willingness to read the paper.
T ABLE OF CONTENTS
LIST OF MUSICAL EXAMPLES
LIST OF FIGURES 12
LIST OF TABLES 13
ABSTRACT 14
CHAPTER ONE
INTRODUCTION 16
PURPOSE OF THE STUDY 17
NEED FOR THE STUDY 17
METHOD OF THE STUDY 18
DEFINITIONS AND ABBREVIATIONS 20
Cadence Types 20
Modulation Types 20
Sonor:Lty Types 21
LITERATURE REVIEW 23
BIOGRAPHY 32
CHAPTER TWO
SYMPHONY NO. 1 IN D MINOR, OPUS 13
INTRODUCTORY COMMENTS 38
STRUCTURE AND COMPONENTS

OF THE INDIVIDUAL MOVEMENTS
Mov::-ment One 52
Movement Two 62
Movement Three 70
Movement Four 75
Summary 84
CHAPTER TH!1:EE
SYMPHONY NO. 2 IN E MINOR, OPUS 27
INTHODUCTORY COMMENTS 94

MovS':n~nt One 104
Movement Two 112
Movement Three 118
Movement Four 122
Summary 131
CHAPTER FOUR
SYMPHONY NO. 3 IN A MINOR
INTRODUCTORY COMMENTS 135

Movement One 140
Movement Two 153
Movement Three 160
Summary 1&7
CHAPTER FIVE
SUMMARY AND CONCLUSIONS 171
LIST OF REFERENCES 188

LIST OF MUSICAL EXMtPLES
CHAPTER TWO
Example 1. Motives X, YI and Z 44
Example 2. Motive X as used in Movement Two 46
Example J. Motive X combines with the first theme 47
Example 4. Motive Y in the climax of the

development, first movement 48
Example 5. Motive Z: derivation 49
Example 6. Movement two, Scherzo theme derivation 50
Example 7. Motive Z.. Movement four 51
Example 8. Plagal Cadence, measures 6-7 53
Example 9. Climax of the transi ticn

movement one, measures 64-65 54
Example 10. ostinato and pedal point, development

measures 137-138 57
Example 11- Modulations 59
Example 12. Whole tone scale I measures 200-202 59
Example 13. Perfect authentic and plagal

cadence sequence 61
Example 14. Derivation of Motive W 63
Example 15. Phl:ases (la) and (10)

movenent two 64
Example 16. Unsettled harmony accompanying motive X

in the Scherzo, measure 72 65
Example 17. Linearly derived chords,

measures 11-12 66
Example 18. Chords used in the retransition

measures 123-132 66
Example 19. Motives X, Y, and W in trio

measures 137-143 67
LIST OF MUSICAL EXAMPLES--Contiued
Example 20. Quintal chords, measures 211-214 67

Example 21. Altered chords measures 275-281 68
Example 22. Plagal cadence measure 26 72
Example 23. Grfo to tonic cadence, measures 50-51 72
Example 24. Mati ves X and Y in movement three

development, measures 59-62 72
Example 25. Non-traditional cadence,
measures 149-152 74
Example 26. Transition, measures 27-28 77
Example 27. Rapid alterations of key areas

in transition 77
Example 28. Altered cadence, end of exposition 78
Example 29. Phrases derived from second movement 78

Example 30. Music that frames the development 79
Example 31. First theme combined with motive X

measures 335-337 81
Example 32. Octatonic scale, measures 149-150 82
Example 33 . Motive X at the end of the symphony 83
Example 34. Measures 92-95, non-traditional

progression 85
Example 35. Altered chords, Third movement

measures 59-60 86
Example 36. Third relation modulation 87
Example 37. Diatonic pivot chord modulation 88
CHAPTER THREE
Example 38. Motive of symphony, measures 1-2 98
Example 39. Woodwinds, first variant

measures 3-5 99
LIST OF MUSICAL EXAMPLES--continued
Example 4 o. strings, second variant

measures 4-6 99
Example 41. Themes derived from the motive 100
Example 42. Themes derived from second theme,

movement one 101
Example 43. Modal progressions, movement one

measures 73-77 105
Example 44. First theme and motive X, development
measures 201-203 108
Example 45. Measures 271-274,

derived from the introduction 108
Example 46. Chromatic pivot chord modulation

measures 52-53 113
Example 47. Mm7 from circle of fifths

Example 48. End of the Scherzo, measures 182-188 115
Example 49. octatonic scale, measures 189-190 115
Example 50. Retransition to the scherzo

Example 51. End of movement two, measures 530-532 117
Example 52. Principle theme of movement four

measures 5-9 123
Example 53. Harmonic Rhythm, measures 28-31

mostly one chord per beat 124
Example 54. Movement four, section B

measures 53-57 124
Example 55. Retransi tion to tonic key of e:

measures 80-81 125
Example 56. Chords resulting from stepwise

motion in bass, measures 163-167 127
10
LIST OF MUSICAL EXAMPLES--Continued
Example 57. Retransition to first theme area,

movement four 129
Example 58. Non-traditional progression 133
CHAPTER FOUR
Example 59. Motive of the Symphony, measures 1-4 141
Example 60. Opening progression, measures 8-9 142
Example 61. First theme derived from motive,

12-14 142
Example 62. Measures 30-31 143
Example 63. Cadence at end of second theme

measures 83-84 145
Example 64. Parallel chords measures 105-108 146
Example 65. Altered progression measures 142-144 147
Example 66. Alternating chords a tri tone apart

measures 190 149
Example 67. Alternating chords a tritone apart

measure 192 150
Example 68. Tonal movement from retransition

to recapitulation, measures 229-230 151
Example 69. Beginning of movement two,

measures 1-9 154
Example 70. Principle melody of the Adagio

measures 10-13 154
Example 71. Altered plagal cadence

measures 23-24 155
Example 72. Measure 89, Triplet pattern

developed in the Scherzo 156
Example 73. Principle :nelody of the Scherzo 157

11
LIST OF MUSICAL EXAMFLES--Continued
Example 74. Retransition to the Adagio

combination of fragments from the
JI..dagio and the Scherzo 157
Example 75. Return of the Adagio 158
Example 76. End of movement two

Example 77. opening tritonal progression of

the third movement 161
Example 78. First' theme Movement three,

measure 2 161
Example 79. Tritone progression in

CodettajTransition measures 85-86 162
Example 80. Fugal subject darived from

first theme, measures 97-98 162
Example 81. Dies Irae fragment, measure 299 165
Example 82. Final cadence--bV-I measure 376 166
CHAPTER FIVE
Example 83. Measures 86-88, Symphony #1,

Al tered Progression 183
Example 84. Flagal cadence 183
Example 85. Altered progressions in all

three symphonies 184
12
LIST OF FIGURES
CHAPTER TWO
Figure 1. First Symphony, first movement,

tonal and structural chart 52
Figure 2. First Symphony, second movement,

Figure 3. First Symphony. third movement,

Figure 4. First Symphony, fourth movement,

tonal and struotural chart 75
Figure 5. Perfect authentic and plagal cadentiel

sequence 90
CHAPTER THREE
Figure 6. Second Symphony, :first movement,

Figure 7. Second Symphony, second movement,

Figure B. Second Symphony. third movement,

Figure 9. Second Symphony, :fourth movement,

tonal and structurel chert 122
CHAPTER FOUR
Figure 10. Third Symphony, :first movement,

Figure 1l. Third Symphony, second movement,

Figure 12. Third Symphony, third movement,

13
LIST OF TABLES
CHAPTER TWO
Table 1. Sonor1 ty Types, First Symphony 84
Table 2. Modulation Types, First Symphony B7
Table 3. Cadence Types, First Symphony BB
CHAPTER THREE
Table 4. Tredi tional cuts taken in the
Second Symphony 102
Table 5. Sonar! ty Types, Second Symphony 132
CHAPTER FOUR
Table 6. Sonari ty Types, Third Symphony 16B
Table 7. Modulation Types, Third Symphony 169
CHAPTER FIVE
Table 8. Cadence Types, Symphonies One through

Three 179
Table 9. Sonority Types, Symphonies One through

Three 182
Table 10. Modulation Types, Symphonie?s One through

Three IB5
14
ABSTRACT
Sergey Rakhmaninoll wrote three symphonies in
differemt periode:: of his life'. The First Symphony in D
Minor, opus 13 (1895) reflects his style as an apprentice
and beginning composer; the Second Symphony in E Minor, opus
27 (1907), his mature style of the early 1900's; and the
Third Symphony in A Minor, opus 44 (1936), his style at the
end of his life in the Un! ted States. Each symphony is
representative of his musical style at its time o:f
composition. In addition, the evolution of his musical
language be traced through a study of various components
of thesE' three works.
StructUral, harmonic, and tonsl aspects of each o:f
the three symphonies are the musical components examined in
this dissertation. The formal and tonal structures
examined and concisely presented in a series of charts for
the individual movements of eaoh symphony. The examination
of the formal struoture of the symphonies shows
Rakhmaninov's gradual expansion and al teratio.. of the
symphonic plan, as well as the :formal construction o:f the
individual movements. The First Symphony stays within the
boundaries of the student composer, while the Second

15
Symphony expands eve-ry aspect of the symphonic blueprint.
The Third Symphony is the antithesis of th-=: Second Symphony
and turns away .from the excesses of that Symphony. Some of
the chan~ ... t:!; .iil the composer's style can be seen in the tonal
relationships Bnd plans o£ each work. The tonalities of
the symphon.ies and the individual movements are related to
and helps determine the formal structure of the • movements.
For these reasons the important tonal! ties of E'Bc::h movement
presented on the formal charts.
Rakhmaninov's harmonic language, in his early years,
considered daring and progressive, but, at the end o:f
his life, anachronistic and conserva.tive. The harmonic
analysis traces Bnd he>lps evaluate his progression from a
daring to anachronistic composer. The harmonic analysis
will include a tabulation of sonority and modulation types.
according to type and frequency of use, well
investigation into of the representative harmonic
progressions of each symphony.

16
CHAPTER 1
INTRODUCTION
Sergei Vasilyevich Rakhmaninov '1873-1943) was CInE' o:f
the last great representatives o:f late Russian Romanticism
(Norris, ~~!!!:_§!:Qys:_g 75). His music ~s s t i l l part o:f the
standard repertoire o:f symphonies and solo artists and
belies the idea thst his music would :fade :from the standard
repertoire s:fter his death.
Rakhmaninov was always versatile as a musician.
Be:fore the Revolution he wa~ simultaneously a composer,
per:former, and a conductor. A:fter he immigrated to the
United State.=; {1'31B} he restl'icted his musical activities to
performing and composing, excelling in both. As a composer,
he worked in three major media: vocal, instrumental (mainly
piano), and orchestral.
Throughout most of his 1i£e his works were popular
with audiences and most musioians. However, musical
styles and fashions changed in the twentieth centu:r'}', his
works became less popular with the academic community, who
considered them reaotiooary to the aocepted musical styles
o£ the twentieth century. It was believed that his works,
in Bpi te o£ the £act that they are appreciated by the

17
general public. would eventually disappear tram the standard
repertoire o:f artists and orchestras because they are
monuments o:f nineteenth century Post-Romantic "decadence,"
The article on Rakhmaninov in the 1954 edition of the
~!:QY!LQ~g:!::!Q!2§!:~LQ;Ltl!:!§!!!L~n!Ltl!:!!~~!.~S;!.§!:!§ is the summation of"
the prevailing opinion about his music. Rakhmaninov' s music
no longer "fashionable" since i t did not "progress" into
the twentieth century. His music was old-fashioned and,
therefore, considered unimportant. Time has proven that
these judgments are not universal and that musical fashion
cannot dictate which music shall be forgotten and which will
be played. Rakhmaninov' s music has those qual! ties which
allow i t to transcend the transitory predictions of a fickle
and changing world.
Purpose of the Study
The purpose of" this dissertation is to present formal
and harmonic analyses of" Sergey Rakhmaninov' s three
symphonies.
Need for the Study
Today, Sergey Rakhmaninov's music :forms part of the
standard repertoire Ior symphOtly orchestras, pianists, and
singers alike. However" despi te this popularity wi th
concert goers and musicians, there are few detailed analyses
of either the .formal construction or the harmonic language

18
of his works. Of the existing analyses, only the popular
works .for p:l.ano solo and piano and orchestra have been
studied. As the three symphonies are part of the current
day repertoire and have been extenSively recorded, there is
a need for an analytical study of" the formal and harmonic
components of these three works as well. A useful by-
product of" this study is a chronological overview of
Rakhmaninov's musical development because these three
symphonies span his entire career as a composer.
Method o:f the Study
The ",+:udy consists of harmonic and .formal analyses
of the three symphonies o:f Sergey Rakhrnaninov. The harmonic
analysis includes a breakdown o:f the harmony and tabulation
of the sonorities, modulation, and cadential types according
to the following criteria. Definitions of the abbreviations
far the sonari ty Types and defini tiona of the modulation and
cadential types follow:
Sonority Types--according to type and frequency ot:

occurrence
Modulation Types--organized according to type and

frequency of occurrence:
Diatonic pivot chord

Chromatic pivot chord
Third relation
Enharmonic major-minor seventh
Enharmonic diminished seventh
Major-minor seventh beL.:.mes diminished
Linear motion
19
Cadence Types grouped according to type and frequency

of occurrence:
Perfect Authentic
Imperfect Authentic
Half
Decli'ptive
Altered
The formal analysis examines the types o£ f'orms used
to structure the individual movements: the tonalities of
the symphonies as totalities, the individual movements, and
the smaller internal sections, and the degrE-e to which the
works are cyclicEdly organized. The results are summarized
in a series of structural and tonal charts throughout the
text. Complete descriptions of the findings and integration
of the areas examined are then given.
The charts of the forms show the £orms of the
movements, the keys Bnd important cadences, and any unusual
it~m$ that CCCiJ.r in the music. Throughout this paper, key
are indicated by an upper case letter :for a major key
and a lower case letter :for the minor key. In all instances
the letter will be :followed by a colon (:) to indicate a key
area (e. g., A: is the key of A major, and a: is the key of a
minor). The measure in which the key :first appears
immediately :follows the colon if it is !lQ:!;, at the beginning
o:f a section. Important tonalities are precedsod by an arrow
(» and determined by their location wi thin the larger
structure (i.e., >DI178).

20
DEF'HIITIONS AND ABBREVIATIONS
Cadence Types
Perfsct AuthEmtic Cadence PAC

Imperfect Authentic Cadence lAC
Plagal Cadence PC
Half Cadence He
Deceptive Cadenoe DC
Al tered Cadence (non-traditional) Alt
These abbreviations for the cadence types will be used on
the :formal charts when appropriate.
Modulation Types
Diatonic pivot chord--A pivot chord that is diatonic to

both the old and new keys.
Chromatic pivot chord--A pivot chord that is chromatic

in at least one key.
Third relation--Two adjacent !!!§!;j£!!: chords (or chords

with a major base triad) a major or minor third apart.
Enharmonic major-minor seventh--A German augmented sixth

chord that functions as. an augmented sixth chord in one
key and the dominant seventh in the next.
Enharmonic: diminished seventh--A fully diminished

seventh chord that. is functional in both the old and new
keys. It can be spelled enharmonlcally.
Major-minor seventh becomes diminished seventh--The root

of a major-minor chord is raised one half step causing
the sonority to change from major-minor to fully
diminished. Also vice versa.
Pivot Note--One note, which is common to both the old

and the n:?w keys, is held over a period of measures.
Linear motion--Hodulation between keys with no pivot

chord (or note). third relation, or enharmonic means
used.
21
Sonority Types
Chords are re:ferred to throughout the te-xt by letter
(upper case :for major base triad and lower case for
minor) plus the appropriate indicators as to the irLtervallic
structure>. In this paper the triad is consideored the
smallest son or! ty possible. The intervals that compose the
tried not indicated 1n the sonar! ty abbreviation.
Chords that exceed the triad are notated by the type o:f base
triad of' the chord plus the remaining intervals above the-
reat of the chord. Examples of the preceding are: DM is a
D major chord, dm is a d minor chord, Glim is a C major minor
seventh chord (the dominant seventh chord), etc. Pitch
enclosed by double quotation marks. All flat
signs indicated by a lower case letter b £ollowing the
letter name o£ the note (i.e., Bb is "B" £lat).

22
Sonor! ty Abbreviations
Triads:
Major triad
Minor triad
Augmented triad
Diminished triad
Seventh chords:
Major triad major seventh 1111

Maj or tried minor seventh 11m
Minor triad minor seventh mm
Half: diminished !diminished triad minor seventh) ~7
Fully diminished (diminished triad diminished seventh) 07
Minor triad major seventh roM
Major triad with a lowered £i:fth minor seventh Mmb5
Augmented triad major seventh +11
Augmented triad minor seventh
Ninth chords:
Major triad minor seventh major ninth MmM

Maj or triad minor seventh minor ninth Mmm
Minor triad minor seventh. major ninth mmM
Augmented triad minor seventh minor ninth
Major triad major seventh major ninth MMM
Chords beyond the ninth:
Major triad minor seventh major ninth perfect eleventh MmMP

Mejo;r- triad m.inor seventh minor ninth perfect eleventh MmmP
Major triad minor seventh major ninth augmented eleventh I1mMT
Other:
Two superimposed different chords 8i-chord
Chord built in fourths (i.e., d 9 c: f) QUBrtel
A chord built in fifths (L e.,d a e bl
,
Guintel
Unknown-no tertian relationships present
Non-functional chords NF
Scalar work Scales
Unique to the eymphony--discuased in context Specialized
23
Literature Review
As has been stated. very little haa been writt&m on the
struotural components of Rakhmaninov' s symphonic music. The
most important and accurate biography is by Sergei Bertensson
Bnd Jay Leyda. It is an accurate study based upon the
documents, letters, Bnd reviews o:f Rakhmaninov's life and
music.
Two important analytical articles on Rakhmaninoy' s
orchestral music are by Joseph Yasser end Richard Coolidge.
Yasser, in his art.icle ·Progressive Tendencies in
Rachmanino:ff's Music· (Yasser 11-25), originally published in
1948 , but revised and expanded in .1949, presents ideas about
Rakhmaninov's harmony that are derived from a thorough study
of the music Bnd literature. Coolidge (1979) limits himsel:f
to studying the forms of the Piano Concertos Bnd the
Y§£i:g~i:gruLgrL!LIt!g!!!!Le:Legg§n!n!·
Yasser traces the 'modern', but not radical, h~rmonic
elements in Rakhmaninov' s music in his article. He examines
the harmony Bnd proves that the charges of extreme
"conservatism" leveled against Rakhmaninov'lS lIIusic
unfounded if the music is examined and heard in the proper
context (Yaeser 12, 21;: as explained in Coolidge 181). To
fu:"ther support this argument, he cites many of the remarks
of Rakhmaninov' s contemporaries that say his music is
harmonically daring and goes on further to state that

24
"grains of progressiveness" can be heard in his music;: <Yasser
16), To substantiate this olaim he cites the now famous, but
harsh, review of the First Symphony by Cesar Cui, who equated
thE' symphony to the "seven plagues of Egypt" and underlined
the n modern" characteristics of Rakhmaninov' s music (Yasser
18). This, along with his statement about Rakhmaninov's
"morbid perversions of harmony" clearly indicates that
Rakhmaninov's harmony is not as conservative as is assumed
today (Yasser 18>,
Yasser then draws attention to the .fact that
Rakhmaninov's music is chromatic and that his harmonies and
harmonic progressions can be seen to have been in£luenced at
a deep level by Wagner. However, he states that while there
is a npersistent c:hromatic:izing o:f the tonal :fabric n CYasser
20). the ohromaticism is o:f a di:f:ferent type from that o:f
Wagner. and that their music has little in common CYasser 21).
Wagner's chromaticism results in nebulous key areas that
result o:f maneuvering between different keys.
Rakhmaninov's, the other hand, is the resul t of
chromaticism wi thin one key by the use o:f altered chords.
progressions, and digressions ('lesser 21).
While 'lasser conoentrates on harmony, Richard
Coolidge considers the use of form in Rakhmaninov' s works
:for piano and orchestra in his article nArchitectonic
Technique and Innovation in the Rakhmaninov Piano Concertos n

25
(Coolidge 176-216). Be-cause he addresaes the problem o:f :form
in the works for piano and orchestra and because acme of his
ideas, comments, and conclusions are applicable to the
symphonic works BS well, his article provided valuable
background in:formatian :for this dissertation.
Coolidge begins his article wi th a discussion of the
~:fashionB" in music and why certain styles and composers are
loved by the publiC, but simply tolerated by academiCians,
which arose becBuse of ssturation o£ a certain style
(Coolidge 176). He contends that Rakhmaninov is considere>d
by many musicians to be the epitome o:f late romantic
decadence and, the cUlmination o:f the Romantic period in
music (Coolidge 178-79) and, :for these reasons, his mus:lc is
tre-ated as a "scapegoat" ::for romantic music (178-184). He
:la the symbol of everything objectionable about the Romantic
period (Coolidge 179).
The main thrust o:f Coolidge· s article is
examination into the :forms of the works :for piano and
orchestra to prove that the charges of "formlessness and the
lack of developmental technique" (Coolidge 182) leveled
against Rakhmaninov' s music are unSUbstantiated (Coolidge
182). He then gives very detailed analyses of the four
conoert:l and the ~!!g!!Q.!Q!_Y!!!:'!~j:.!QQE! to support his major
argument. In the course of thia article Coolidge presents
the idea (and proves i t ill the anelyses) that Rakhmaninov

26
utilized the aooepted forme in the Conoertos and the?
y!!!::.!g!:!9!}!§! (Le .• sonata, rondo, ternary, and binary, etc. l,
albei t in a different manner from the acoepted (181), He
also notes, as did YaaBer, that Prokofiev nhimself recognized
a marked Rakhmaninov influence in hie own music ft (lBl). This
is contrary to the generally accepted opinion that Rakhmaninov
had no influence on other composers.
John Culshaw and Geoffrey Norris both give brief
biographies of the composer and discuss all categories of
his music in their respective books. The main topics
discussed in both books are mostly melody and orchestration,
wi th some references to form.
B!!~h!!!§H];!.!!Q;!:!. is an earnest attempt to present objective
analyses o~ Rekhmeninov's music. Unfortunately, at times he
falls short of this goal and views the music from the
subjective end negative bias of his generation as is ohvious
in the following quotation:
From the harmonic point of view he broke little

new ground. He did establish a certain flavour
which is unmistakably his own, but generally
there is little to be gained f"rom a study of" this
aspect o:f his music. (Culshaw 52)
Further evidence of this bias occurs in the following
passage: "Yet it is distressing these days to find people
wallowing in Rachmsninov ••. to the exclusion of other music~
(Culshaw 53). By the time the reader reaches the end of the
27
book, it is easy to conclude that Mr. Culshaw considered
Rakhmanlnov's music inzerior to most other music,
though this not intended by the Buthor. CuI shaw does at
the end 0:£ the book give a slightly positive review 0:£ the
composer's music, "To those who know it, his music will be
great within its boundaries. n Hawever, even this conclusion
weak and restricted aiter the many and repetitive
criticisms leveled against Rakhmaninov's music earlil2'r in
the book. Norris in his bock, g§;~h!!!~!!;!.!:!9Y:, does in general
present an objective view of the music, pointing cut the
weaknesses and the strengths in all the areas studied.
Among other books and articles on the symphonic
music, Terrance Greenawalt briefly disCUSSE?S only the
Symphony No. in D Minor in his dissertation on the
development o;f the symphony in Russia up to the early
twentieth century. However, Greenawalt does not consider
the Second Symphony in E Minor at all, even though it waa
vritten in the earl.y part of the twentieth century. Patrick
Pig got gives detailed program notes and histories of the
orchestral works in his book ~~~h!!!~!!!!!9~ __ Q~9:!:!~!§!!.~~ __ !:!!!!§!!e,
while Benjamin Woodruff covers the historical background and
use of the orchestra and melody in Rakhmaninov' s orchestral
composi tiona, along with some painters for conductors in his
dissertation. None of these monographs thoroughly
investigate harmonic or formal aspects of the symphonies.

2.
All of the books and ert.1clE.>s reviewed present, each in its
individual way, different aspects and conclusions about
Rakhmaninov's music.
The various general. surveys of western music, as well
as the specialized surveys o:f Russian music, de>el with
Rakhmaninov and his music in a variety of superficial ways,
with minor attempts to include analytical detaiL Gerald
Abraham, mentions
Rakhmaninov brie.fly as a giited piano virtuoso (which he
was), but makes little re:fe>r<;[lnce to Rakhmaninov as a
composer, other than as being influenced by Tohaikovsky
(Abraham, !'QQ__ Xg@;:,§ 173), He goes on to rank him with
Glazunov, Lyadov and Arensky as "pale shadows of their
masters and predecessors (Abraham, !QQ_X~§!!:§ 248). This
approach is also :found in his ~2nQ!'§~ __ Q~~2!:'Q __ H!.€1Q!:Y __ Q,{
!:!~§!g. Abraham does not refer to Rakhrnaninov at all in his
monographa, Q!L!h~€!§!.5!!Ltl!:!€!!.9 and §'!;.BQ!.§:€!_!.n_gY€!§:!.5!n __ !!!:!§!.g.
William Austin limits his discussion to the essentials of
Rakhmaninov's life as well as agreeing with the prevailing
idea of the time that Rakhmaninov could not convincingly
utilize large forms, especially those :for symphonic music
and that he was much better when hE> limited himself to the
smaller forms, such as the preludes and Bongs (Austin 68).
Donald Grout limits his discussion o:f Rakhmaninov's
compositions to one paragraph (Grout 659), while Plantings

29
mentions only his ability as a virtuoso pianist (Plantings
174, 360). Hugo Leiohtentri t t scarcely cHacusaes e1 ther his
11£e or music (Leichtentritt 262). Wilfred Mellers states
that "the orig1nal and evocative moments in his music. &. BrE'
almost expansions of harmonic devices Buggested by thE?
behavior of his hands at the keyboard" (Mellers 91),
The many surveys of Russian music shed just as little
light on Rakhmaninov's compositions. This is partially due
to the fact that many of these surveys were written before
the composer's death in 1943 and could not possibly include
everything. They are sketchy and basically biographicaL
Of these, James Bakst devotes one paragraph to all three
symphonies, one to thE' eY!!!Q!:!9:Q!£U2§;QQ€§! Bnd onE' to I!:!!L!!::!.!€
Montagu Montagu-Nathan givE'S
a short synopsis oi" Rakhmaninov's lii"eo up to 1917 and a
smal.l analysis oi" his orchestral style (Hontagu-Nathan
While- Leonid
Sabaneyef£ gives a detailed account of Rakhmaninov's
li£e, he goes into very little analytical detail about the
music (Sabaneyef£ 103-120). Richard Anthony Leonard, in his
book ~ __ !!!@19!:}!_9:L~!!@~!!:m_~!!!§!!~ again basically outlines
Rakhmaninov's life while interspersing comments about the
music (Leonard 227-250>' All of these surveys of Western
and Russian music F.lpply the post World War Two negative
evaluation o£ late nineteenth century romantic music to
Rakhmaninov's music.
30
The article in the !:!~~_§:r.eY:~_Q!.£1!Q!!!!£~_e!_~!:!~!£ __ ~!!~
~~§!!9!~~§! (1980) J updated in 1986 in the !:!~lr_!i!:9Y!L_B:!:!§!§!!!!n
tl!!§!:!;;€!:!:L_~, shows the beginning of a reversal of opinion
regarding Rakhmaninov's music. This 1980 article presents a
view that ie the exact appoai te of the one that appeared in
the 1954 edition of the §!:ey:€~§_Q!91!Q!!!!!:y __ e~ __ tl!:!§!!L_!!!!Q
!:!!:!§!!~!!!!!§. Geof':frey Horris states in the !:!§:!LI~h:eY€ __ B!!§§!.!!!!
tl!!5!~§l!:~L_g. "He was one of the finest pianists of his day
and, as a composer, the last great representative of RUBS ian
late Romanticism" (Norris, N~~_§!:Qy§:_g 75), whereas, Eric
810m said in the 1954 edition, "Technically he was h:i.ghly
gifted, but alao severely limited" <810m 27), Slom also
gives inaccurate information as well as an inaccurate works
list in this article. The most glaring inaccuracy is the
statement that the "First Symphony was given at a concert of
the Royal Philharmonic Society in London, May 1909,
conducted by Nikisch; the second, in E minor, at the Leeds
Festival, 1910, conducted by the composer~ (810m 27),
Contrary to the above statement, The First Symphony
withdrawn :from performance and publication in 1897 after the
ini t i a l performance' Iiliesemann 98). 810m continued on to
say, liThe enormous popular succeBS some few o:f Rakhmaninoy's
works had in his lifetime is not likely to last, and
musicians never regarded i t with much :favor (810m 27), This
article helped to perpetuate the idea that Rakhmaninov's

31
music vas considered poor because it represented the extreme
of Romantic decadence.
Besides Yasser, Coolidge, Bnd Norris, other authors
basically concentrate on Rakhmaninov· s 1:l.fe, with only
sporadic occurrences of analytical detail about the music
included in their respective books Bnd articles. Besides
the authors who solely concentrate on his life (Bertensson
Bnd Leyda, Lyle. Riesemann; Threl£sll; Walker), most
consider him to be at best an imitation o:f Tchaikovsky
(Abraham, !QQ_X~!£!l!' 173; Sabaneyef£ 106), unable to utilize
the traditional forlllS (Austin 68; Culshaw, §!!:g~;'
1i§9hm!!D:i:D9!! 49; Plellers 91; Simpson 128), as well as being
harmonically and rhythmically uninteresting (Culshaw, §€;rg€~
B@9b!!!!!!!::!:!!9;U: 49, 52~ Rosen£eld 169; SabBneye££ 112).

32
Biography
Sergey RakhmaninoV' was born cn 1 Ap;'il 1873 .in
Semyonva, Russia. Here he began his piano at udy with his
mother and e St. Petersburg Conservatory graduate, Anna
Ornatskaya. Because of his f'athers' predilection :for
wasting the £amily £ortune, the Rakhmaninovs were reduced to
penury and. by 1882, zerced to sell all that they had. The
family then moved to St. Petersburg where Sergey entered the
Conservatory and where he received training in piano and
harmony as well as general education. Un:fortunately, while
at the Conservatory he showed more for his own
entertainment and music lessons than for his general
studies, and, BS a result he failed most, i f not all, of the
gene-ral courses.
On the advice or Rakhmaninov' s cousin, Alexander
Ziloti~ his mother removed him £rom the St. Petersburg
Conservatory and plaoed him with Nikoley Zverev, as B junior
stUdent in the Moscow Conservatory. Zverev was a strict man
who housed, raised, and trained promising young pianists.
In 1888, Rakhmaninov advanced to the senior department o£
the Moscow conservatory. He continued at the Conservatory
1. The in£ormation £or this short biography was obtained

£rom Bertensson' S Bnd Leyda' e book §~!:g§:~ __ B§~h!!!§!!~!!9~.L __ l!.
k!~~j;j:.!!!~ ___ !g __ t!:!!§.!.g. New Yark~ Ne-. York University Press,
1956.
33
until 1891, when he graduated one year earlier than the
expected date end with the Gold Medal, which consisted of a
first 1n composition for his opera ~!~~Q, and a first in
piano per:formance.
Between 1891, when he grsd ... ated , and 1897, when his
First Symphony was :first performed, he completed opuses 4-
12, which include the op. 4 and B Bongs, the E!!~:!:~!~!~=
:r§!J:~!§:~~~. two violin pieces and the tone poem, !h!LBggls,

well as various pieces for piano.
Bakhman1nov began his work the First Symphony in
1895 and completed it in 1897 when the first and only
performance occurred March of that same year with Glazunov
conductor. The performance was a complete disaster and
negatively criticized most o:f the critics. A:f'ter this
single performance, Rakhmaninov withdrew the piece from the
publisher and vowed never to let i t be seen or heard again.
Nearly fifty years would pass before its second performance.
Until this time Rakhmaninov had been the fair-haired
'wunderkind' "who. as he says himself, imagined there was
nothing he could not do in the sphere of musical
composition" (Yaaser 17). His compositions until then had
all been accepted, the Piano Concerto No. 1 very much so,
and he was considered to have a great future. However, with
the failure of the First Symphony the bubble that surrounded
him burst. Rakhmaninov fell into a depression which

34
lasted until around 1900. During this time, although he
basically did not compose, he kept his interest 1n music by
conducting the Moscow Private Russian Opera (supported by
Hamatov) from 1897 to 1898. It was here that hE' met Feydor
Challapin (for whom he composed many of his later songs) and
received a thorough knowledge of Russian and Western opera.
When he was not conducting, or when he had no steady job, he
taught piano privately, although he loathed teaching.
In 1900, xriends took him to Bee the hypnotist, Dr.
Nikc.ley Dahl, who cured bim of the depression caused by the
.failure of his First Symphony. After this he returned to
composing and completed the Second Piano Concerto (dedicated
to Dr. Dahl) in 1901. This concerto was immediately popular
then, is so today, and is probably one of his most well-
known pieces. Also in 1901, he married his cousin Natalia
Satin, a1 though not without Borne dif.ficul ties. It was
:forbidden by the Russian Orthodox Chur.:>h :for first cousins
to marry, and, in addition, the Tsar had to give permission
during the ceremony for the cousins to marry. However,
since one of Rakhmaninov' s aunts knew a priest at the
Archangel Cathedral and the Tsar sent his permission, they
allowed to marry in May uf 1901.
The years from 1901 to 1917, when he and his .family
le.ft Russia for good, were extremely productive. In fact,
by 1917 he had completed more than two thirds of his

35
lifetime composition. He completed his Second Symphony
(the most popular of his symphonies), the First Piano Sonata
and his symphonic poem, :rh!L!§!~LQ;L:!:h!L_Q~!!~ in Dresden
between 1906 and 1910. Later works composed before leaving
for the Un! ted States are> the 6!.:!;,~!:gy __ g!, __ §:!;,!... ___ ~gQ~
gh£I§!Q§!:!;,e~, the g!:!!Q€~LT!!!J;!:!€!!!!~, the Third Piano Concerto,
and one of his xavor! tea, :rh§_~€!!§!, B work for orchestra,
chorus and Bolo singers. The works from this period are
probably hie most famous and most performed.
Because Rakhmaninov ..... as a landowner, his situation
in Russia during the Revolution was precarious. In 1917,
at the first possible chance, Rakhmaninov and his family
left Russia forever. All that he took with him when the
family left were some children'S books, the first act of his
unfinished opera, tl9!!!!~LY:~!!!!~, some music sketchbooks for
some new piano pieces, and the score of the §!:!!Q§:!!_G:9Q~§:!:§:!,
by Rlrnaky-Koreakov. Everything else was left behind, and
some of his works, including the original manuscript of the
Second Symphony, have yet to be found.
The Rakhmaninovs traveled first to Sweden and thence
to the United States, where the composer knew he could earn
a living ae a performer. After leaving Russia, he was to
compose only six more major works, approximately three
quarters of his compositions having been written before the
Russian Revc1.ution.
36
A£teor arrivi.ng 1n the United States, Rakhmaninov
chose a life o:f per:formance, not of composition, in order to
support his :family. Composing, there£ore, seemed from this
time forward to take second place. The reasons :for the
small output are unknown. Whether i t waa due to homesickness
or to his heavy concert schedule is unknown. However,
while his original compositional output during this time waa
minimal, he did make a number of arrangements of orchestral
works for piano and various revisions of his own works.
Rakhmaninov died from a rapidly spreading melanoma in
1943, at his home in Beverly HillS, California, B few weeks
a:fter be became an American citizen and just be:fore his
seventieth birthday.
37
CHAPTER 2
Symphony #1 j.n D iiinor.
Introductory Comments
There is unusual history behind Rakhmaninov' s
Symphony #1 in D Minor. It was begun 1n January and
finished in September of 1895 and dedicated to !lA. L. .. A. L.
the initials of Anna Alexandrovna Lydyzhenskaya, a gypsy
by birth and the wife of one of his friends, Pyotr
Lodyzhensky (Bertensson and Leyda 64).
The symphony was :first performed on March 27, 1897.
(Thompson 402) for the only time during Rakhmaninov's
li.fetime. It waa not to be heard again until after his death
because the work was withdrawn from publication by him
reaction to the negative comments of the critics (cf. Cesar
Cui' B review below).
Part of its :failure to be accepted can be ascribed to
the rivalry that existed between the composers of Moscow and
St. Petersburg schools. However, there
indications that the work WBS not polished enough for its
premier performance. The first negative response came from
Sergei Ivanovich Taneyev, Rakhmeninov's friend and professor
of composition at the Moscow Conservatory from 1887-1891. He
was one of the first to hear s piano reduction o:f the

38
finished symphony in 1986 and his response was: "These>
melodies are flabby, colorless--there is nothing that can be
done w1 th them" ( 8ert.enason and Leyda 70). Rimsky-
Kcrsakov's opinion, voiced at the rehearsal, more blunt:
"Forgive me, but. I do not find this muaio at. all agreea.ble"
(Bertensson and Leyda 71). These comments foreshado\ted the
symphony' a u1 timete doom.
The premier performance was financed by Mitroian
Petrovich Beleyev (Berte nason and Leyda 68). Beleyev, in
order to promote Russian music, :financed the Russian
Symphony Concert. Series that. began in IBB6 (Abraham, N~!
In 1896, Taneyeov deep! teo his original
misgivings about. the work~ wrote to Beleyev and said that
although the symphony had some minor £laws. Rakhmaninov
correcting them and the symphony would be ready £or the
concert in 1897 (Bertensson and Leyda 70).
The premier perf'ormance was given in St. Petersburg
by the Russian Symphony Orchestra and conducted by Alexander
Glazunov. It was a complete disaster, and the critical
reaction to this f'irst perf'ormance was f'ata!. Cesar Cui
wrote o.:f i t in his review in the ~!:!:!!g~k;b:
.•• If there' s a Conservatory :1..0 Hell, and one o.:f

its gif'ted pupils shol'ld be given the problem of'
writing a programmatic Symphony on the Seven
Plagues of" Egypt, and if he should write a
symphony resembling til". Rachmanino£f's symphony--
his problem would have been oarried out
brilliantly Bnd he would enchant all the inmates
of' Hell (Bertensson and Leyda 72).
39
Al though Cui did say later on in the review that
"While Rachmanino££ shunned banality, he most probably felt
deeply and atrongly and tried to express his emoticna in new
musical forma" (Serc££ 55), his analogy to the "Seven
Plagues of Egypt and the enchantment of the inmates of' Hell"
did their worst for the work. Because of Cui's prominence
in the musical world, his review was the death blow £or the
symphony. Other more moderate reviews of' the work, such
no e££ect on the history or acceptance of the symphony:
••• The
climax of the concert, B§!Qh!l!§!!:!!.!:!Q!!:':@ __ Q
!t!n2!: ___ eY!!!ah9!!Y,
was not very success£ully
interpreted, and was therefore largely
misundel~stood and underestimated by the audience.
This work shows new impulses, tendencies toward
new colora, new themes, new images, and yet it
impresses one as something not :fully said or
saIyed. Howeyer, I ahall refrain from expressing
my final opinion, for i"t would be toe easy to
repeat the history of Tchaikovsky' a Fi£th
Symphony, only recently ... 'discovered' by us, and
which everyone now admires as a new, marvelous,
and beautiful. creation. To be sure,
Rachmaninoff"' s First Symphony may not. be wholly
beautif"ul, integrated and definite, but some of'
its pages seem far from mediocre... (Bertensson
and Leyda 72).
Rakhmaninov's own reactions to the symphony changed
many times. His initial. reaction to the per.formance echoed
Cui' a statements:
I .found the orchestration abominable, but I know

that the music also was net up to much ..• DUring
the evening I could not go into the concert hall.
I left the artists room and hid mysel.f, siting on
an iron fire escape staircase which led into the
40
gallery of the "Nobili.ty Hall" ••• Sometimes I

stuok my fingers in my ears to prevent myself
from hearing my own music, the discords of which
abaolutely tortured me... <,Riesemann 98-99)
Even though the Moscow publisher Gutheil had
arranged, sight unseen, to pubH.sh the symphony,
Rakhmaninov withdrew i t and vowed to destroy the manuscript
(Riesemann 98). A ::few months later, however, in a letter to
his friend, Alexander V. Zataevich, he erne-nd ..,.:!: this and
stated that most of the problem lay not with the work, but
with Glazunov' B interpretation:
••• the fault was with the p2'r£ormance ••• I am

deeply grieved and very upset by the fact that
the symphony displeased me from the first
rehearsal. 'Then'. you would eay, ' i t was badly
orchestrated. ' 'But I am sure', I shall reply,
• that good music can be recognized even through a
bad orchestration and besides I do not consider
the orchestration so bad. Therefore there
remains but two suppositions. Either, like aome
composers, I am unduly partial to this
composi tion or this composition was badly
performed. And this [the latter] was actually
the case. I am astonished that such an extremely
talented man as 131azunov could conduct so badly.
I am not speaking of his technique in
condUcting •.• I am merely speaking of his
musicianship. He does not £ee1 anything when he
conducts. It seems as though he does not
understand anything • • . And so I assume .•• that
the performance may have been the reason for the
£ailure ••• I am not going to disown my symphony
and I will look at i t again after i t has taken a
rest for a half a year... (Serof£ 55-56)
Rakhmaninov gave his £in&.l and most objective opinion
on the symphony in a letter to Boris Asafiev 1n 1917:

41
Before the Symphony WBS played, I had an

exaggeratedly high opinion o£ it. After I heard
:l t for the first time, this opinion changed,
radically. It nov seems to be that a true
estimate at: i t would be somewhere between these
two extre;;;..,s. It hae some good music, but i t
also haa much that is weak, childish, strained
and bombastic. The Symphony 'Was very badly
orchestrated, end its performance was just. Be bad
(Glazunav was the conductor)... (Bertensson and
Leyda 74)
In addition to the above letters, there Bre other
indicators that Rakhmaninov did not destroy the manuscript
BS originally intended. Hiss Sophie Satin, the composer~ s
let ters of the composer that support the existence o.f the
manuscript of" the symphony (Satin 120). In her
"Communication" Miss Satin cites two letters from
Rakhmaninov to various people, aEl well as the letters quoted
above. that ind:l.cate the manuscript vas not destroyed.
Furthermore, Hiss Satin P s own recollections of Rakhmaninov
end his 1:1£9 support this:
As Racbmaninoff was leaving Russia in he gave

me the key of his desk where he kept the
manuscript of the score of the First
Symphony ••• Eefore leaving Russia in 1921 I handed
over the key of Rachmaninoff's desk to our
trusted f'riend and housekeeper, Mrs. M. A.
Shatalina, who was in charge of Rachmaninof'f" S
other belongings. She died in 1925~ her husband
~e.a exiled to a concent.ration camp; and
everyt.hing belonging to Rachmaninoff which had
heen entrusted to her, including the desk with
the manuscript of the Symphony, op. 13 in it,
disappeared... (Satin 120)
42
The original autographed manuscript is still lost.
However, during World War II, the ,or'chestral parts used in
the :first performance were discovered in the Library o:f thE'
Leningrad Conservatory of Music (Culshaw 5S). The four hand
piano reduction made by the composer was also found in the
Glinka State- Central Museum in Moscov. The second
performance, based on the newly found 1897 orchestral parts,
took place on October 17, 1945, approximately 50 years after
the completion o:f the work and near ly 2 years after the
death of the composer. It WBS performed by the U. S. S. R.
state Symphony Orchestra under the direction of A. V. Gauk
{Culshaw 55}. A complete Bcore, reconstructed :from both the
orchestral parts and the composer's piano arrangement,
compiled and published by the State Husic Publishers, l1oscow
in 1946-47.
Programmatic Influences
Of Rakhmaninov'B compositions, almost all are either
programmatic in content or inspired by extra-musical
elements and the First Symphony in 0 Minor is no exception.
Rakhmaninov, himself says:
When composing, I find it of great help to have in

mind a book just recently read, or a beautiful
picture, or a p!:Iem. Sometimes a definite story is
kept in mind, which I try to convert into tones
without disclosing the source of my inspiration.
(Rakhmaninov 848)
43
However he goes on to Bay that he does not reveal the
sources of his inspiration eo the "public may listen to the
music absolutely" (Rakhmaninov 848).
This symphony has two important extra-I'/mi'li_~al
influences, that when combined together, form a aingle
fundamental program. The most important aspect o:f this is
inescapable Fate. Rakhmaninov employed the concept of Fate
Tchaikovaky did in his later symphonies; it is
inescapable and intrudes into every aspect o:f Ii:fe. Fate is
portray~d by the presence of an unchanging motive (motive X-
example one) in every movement of the symphony. The
idea of Fate is also hinted at by the biblical quotation
"Vengeance is mine, I will repay" that, according to Sophie
Satin, ends the aut.ographed score (5ero££ 55). This
quotation also begins Tolstoy' a novel ~Q!}~L~S!!:~m!!H!, and, as
the concept o£ Fate is woven throughout the novel, so, too,
is it present in the symphony.
The second program is a more broad religious
program or mood that permeates the symphony. It is
supported by the use o£ the traditional chants from the

1
Q~:!:9~!=:h9§; o£ the Russian Orthodox Church , the Dies Irae
chant, as a basis for main thematic ideas, the biblical
L The Oktoechos is a liturgical book that "contains the

variable hymns o£ the O££ice throughout the Church
Year •.• Since these proper chants recurred every 8 weeks in
the same order, they were all allocated to the eight modes,
one :for each week." (!i~!_!!~!:Y2!:!:LQ!ES!9n!!!:Y p. 263)
44
quotation c1 ted above, an~ by the continual use of plagal
cadences to end sections or complete movements.
These two programs, Fate and religion, combine to
£orm the major program of the symphony: Divine Justice
(Bertenseon and Leyda 68).
l10tivic Organization of the Symphony
cyclical symphony since i t is organized around three seminal
motives that occur in each of the four movements. These
motives
Example 1. Motives X. Y, end Z

45
Motive X
The moat significant motive in the symphony,
designated as motive X, serves the Symphony' s Fate
motive. To portray the concept of predetermined Fate,
motive X is the only motive of the symphony that is not
manipulated or altered. Furthermore, the fate.iul elements
o£ t.he motive are confirmed in the very beginning by the
three dramatic and ominous opening st.atements of motive X 1n
the low woodwinds. Motive X opens the symphony and each
movement, and is usually :found 1n conjunction with motive Y,

2
except when it is a head motive as will be shown below.
While motive X appears in every movement, it is used most
extensively in the first movement. In this movement, either
the motive or its rhythm highlights the build-ups to the
climaxes of the transition (22-60) and development (152-
159), the climex of the movement (169-200) and the
recapitulation of the first theme area. It is employed
unifying device for this movement.
The motive is used morE> sparingly in the second
movement than in the :first. It is an integral part of the
theme of the trio, but only appears tw:Lce in the scher20
2. A head motive is a motive that begins each movement of

a multi -movement work Cor a series o£ Single works) and
establiBhes a relationship between them. Alao called
"motto." (Fellowe 419)
46
sections of the aecond movement. After beginning the trio
C183-215) in ita original form, motive X is then worked into
the fabric o:f the melodic material in the third subsection
(227-279) along with two other motives, W Bnd Y. It is
still recognizable and essentially unchanged.
=
3
@
1;1
II§ rI r
I
: ==
Example 2. Mot1v~ X BS used in Movement Two
The use of motive X in the third movement is almost
parallel to that in the second movement. It is present in
the first [AJ of the terna~y; however, its character"
despite the sforzando dynamics, is gentler and leas ominous,
if ons momentarily has control over Fate.
It is in the rBJ section of the movement, where
motives X Bnd Yare developed simultaneously, that the true
foreboding atmosphere of the motive X is perfectly evident.
In the fourth movement, motive X is restricted to
appearing in important programmatic sections. In the
e~pcfl:ition i t is net ~tated with the first theme, but begins
the transition and shatters the confident mood established

47
by the first theme area. Motive X begins to establish its
com!llete dominance 1n the recap! tulat10n by being integrat.ed
wi th the first theme.
Example 3. Motive X combined with the first theme

fourth movement
At the end of the aymphony, motive X defeats
everything and is alone, with the pi tches and rhyt.hm the
aame as those found in the beginning of the symphony.
Notive Y
The second motivE' o:f the symphony that helps to unify
the symphony is motive Y. which is derived from t.he f1rst
phrase of the Dies Irae. However. because only the first
four notes o:f the chant. aI'e utilized, the composer chose to
center it around the tonic, not t.he med1ant o£ the key
is the chant.
48
In movements two, three, and four the in1 t.1s1 three
to four notes of motive Y follow the intervallic pattern of
the chant, but in the first movement the opening statements
of the second and fourth notes are lowered B half step (to
"t9o" and "Ie") so as to emphasize the key cf d:. However,
while the first appearance o£ the first theme of movement
one is an a1 teraticn of the chant, the climax of that
movement <169-200) presents the motive in its final form
with the second and fourth notes raised as they are in the
chant.
Example 4. Motive 'i in the climax of the development

First movement
Motive Y is an important basis for major themes in
all four movements~ In movements one and four .1 t is the
first theme, in the second it is part of the [BJ section
(183-300), while in the third, in conjunction with motive X,
i t is the material that is developed in t.he middle aection.

49
Unliks motive X. Y undergoes many transformations
throughout the symphony and, because ox this, can be e1 ther
a theme or an accompanying device. In fact, every page of
the symphony has music that can be derived :from this motive.
The opening combination of motives X and Y that occurs in
the beginning of the symphony is also used throughout the
symphony. Thia pairing of motives occurs whenever X is
present. Motive X will either precede or accompany motive
Y. The only time motive X appears alone is when i t is used
BS a head motive and at the very end o£ the symphony.
Motive Z
The third motive used in this symphony, motive Z, is
derived from the second theme area of the :first movement,
which is itself derived :from motive Y.
Example 5. Motive Z, derivation

so
Beginning with the second movement, this motive is
used after the in! tiel statement of motive X, and together
they constitute the head mCltive of the symphony. These
motives are used :In this order only at the beg:Lnning of" the
movements.
After motive Z appears in the beginning of the second
movement, i t is altered to become the theme of section CAl:
Example 6. Movement two, Scherzo theme derivation
The motivic pattern, X ... Z, appears again at the
beginning of and throughout the third and fourth movements.
In the :fourth movement motive Z has again been transformed.
No longer does 1 t have the gentle undulating rhythm of the
previous movements, but haa a hard driving rhythm that
compels the listener on to the end of the symphony.

51
Example 7. Motive Z. Movement four
Host of the music in this symphony is derived :from
of these three motives and causes the symphony to be
truly cyclical since the whole work grows organically from
the three motives.
The concept of inescapable Fate is shown the ominous
and unchanging character of motive X, its combination with
motive Y (from the Dies Iree), its use and intrusion in all
:four movements, and its final triumph over everything in the
end.
The broad religious meod c£ the symphony is alluded
to by the derivation of motive Y from the Dies Irae, motive
Z from motive V, the use of the traditional chants of the
Russian Orthodox Church, and the biblical quotation at the
end of the symphony.

52
~
§~ !~ a
U;;'j
if lim:
~ ~ ~~~
~:.: i~~
i :.:i £2i
it J~~
,
i I
lUi! ,~f
53
Structure and Components of the Individual Movements
Movement One
This movement is a sonata form (figure 1) which is in
many respects modeled along the tonal structure of the first
movement of Beethoven' s Symphony #9, which is also in 0
Minor. The dramatic Bnd o~:i.nc)uB introduction simultaneou!31y
presents two of the three main motives of the symphony and
at the same time sets the mood of the symphony--dramatic.
powerful, and forbidding, where Fate is inescapable. The
final p!agal cadence of the introduction, which cloee9 thl?
first presentation motives X and Y, underscores the
religious in£luences of the program.
Exemple 8. Plagal Cadence, measures 6-7
The :first theme area is a continuation and
development of motive Y as presented in the introduction,
and is accompanied by motive X.

54
In the trans! tien the religious mood oi the symphony
.is again reflected by the tonal flw:::tuat1on between the keys
of d: and g: (tonic to subdominant), the final resolution
into the subdominant key area of g: in measure 56. and the
subsequent iterated pIa gal cadences (CHm7 - gm {IV7 i» in
the climax of the transition (60-86). At the height of this
climax, these plagal cadences change into a tutt.i non-
fUnctional progression that is illustrative of Rakhmaninov's
early style.
If, ::: ~: .j:: I

Example 9. Climax o£ the transition, movement one
meaBU'I,'eS 64-65
A:ft.er the climax of the transition, the music .fades
to a single line in the violoncell! (80-85) which leads into
the second theme The second theme area (86-100) is a
lyrical section thst. E,l~o fluctuates b""'tween tWCl keys ae did
the transition, although, in t.his case the t.vo fluctuating
key areas are g; and Bb:. The second half of this sect.ion
becomes import.ant in the fo~lowing movements. However, the
complet.e second t.heme area functions in the first movement

55
specif'1cBlly as ccntre.st1ng material to the :first theme and
transitional It is not deoveloped in this movement at
all.
The second theme area is contrasted to previous
material by major changes in four important elements:
tempo, time. Bcale, and texture. The tempo changes from
allegro to moderato, the time signature from 4/4 to 7/4. the
texture :from tutti to non tutti and the scale :from a

3
tradi tiona! minor or major to the gypsy Bcale The £inal
key o:f the second theme Brea is Bb: I thereby creating an
overall tonal movement :from the tonic minor (d: ) to the
aubmediant major (Bb;) and following the tonal plan of the
first movement of' Beethoven's Ninth Symphony 1n D Minor.
The momentum irom the expos! ticn to the development
is abruptly halted in measure 110 on a fortississimo half
cadence in d: which is followed by a rather lengthy paul3e
caused by a fermata over a quarter note rest. The open-
ended cadence is reaol ved on the first chord of the
development (dm) and allows :for a smooth transition from the
expos! tion to the development.
3. The gypsy scale is a modification of the minor scale,

Le., i t is a form of the harmonic minor scale with e raised
fourth scale degree (g B bb c# d eb fll g). The tvo
minor thirds between scale steps three and four and six and
seven are cberacteristics of this scale (~~lLH~!::y:~!::g, 729).
56
The development is one large build-up, composed of
smaller build-upa, that begins in measure 110 and
climaxes in measures 169-200. The build-up to the climax
of the deve~opment, which is also the climax of the
movement, is achieved by means of textural and dynamic
expansion, increasing harmonic ambiguity and tension, and
the use of oetinet!, sequences, and pedal points.
The most obvious method of creating a build-up is the
gradual thickening of the texture. The development begins
with an exact two-voice canon at the upper fourth (the
voices are doubled) in the strings. Gradually more voices
are added to this crystalline structure until the massive
tutti is reached in measure 169. As the texture thickens,
the teasi tura continually expande from a narrow range (f -
£2) to a wider range to include the very low and the very
high (AA - g4L
To the eye the, dynamic build-up ia not extremely
noticeable, since from the initial • ff' in measure 112 to
the 'fff' in measure 169 is not a great contrast. However,
the dynamic growth when oombined with the texture ohanges ia
more obvious. The initial marking, 'ff', is for essentially
two voices, thus limiting the available power. By the time
the climax ie reached in 169 t.he orchestra is at a
:fortississimo £ul.l tutti with the melody, motive Y, in the
tutti brass section. This is vastly di£ferent from the
beginning of the development.

57
Detinet!, sequencEs, and pedal points are the
remaining methcds used to create a ,build-UP. These features
absent from the beginning c:i the development <111-132),
but are gradually added section by section unt.il the climax
is reached in measures 169-200. Both an aatinato rhythm and
a pedal point are employed in subsection two of the
development (137-145). Here, "a" derian Bcale is
iterated in the same rhythmic pattern and B pedal on "e lt is
in the horns. The harmoniee in this subsection are- obscured
by both the tempo and the muddy effects of the scales in the
low woodwinds and strings.
Example 10. Ostinato and pedal pOint, development

measures 137 -138
As SUbsection two comes to a close, a second rhythmic
ostinato is introduced in the woodwinds, while the dorian
scale on" a" in the low strings and woodwinds is dropped.
This leads into both a melodic sequence in the violas and
woodwinds and an ost1nato based moti ve X in the
violoncelli and contra basses in the second half of

58
aubsection three. A per.tect authentic cademce in a: in
measure 160 a~ti:; up the final and most e££a'ciivl? build-u}:l to
the grand climax o;f the movement, as well as dividing the
development in half Bnd emphasizing the binary :form of the
development (see .figure 1).
In subsection four a melodic sequence in the violins
Bnd woodwinds is fragmented into the following pattern: 2
bars-2 bBrs-l bar-l bar-1/4 bar. Th~ 1/4 bar .fragment then
becomes the basis for a melodic and rhythmic osttnato that
is supported b}' ostinato pattern based on motive X 1n the
low strings. These pat.terns in the woodwinds, upper
strings, Bnd basses, lead t.he listener into the climax of
the movement (169). In measure 169 the complete brass
section enters, fortississimo, on motive V, while the basses
change the ostinato on motive X to a pedal pOint of "b",
and the strings continue with their established patterns.
The c~imax o£ the movement contains statements of the
first theme Cmot::.vc- "f~ at a dynamic level of ":f£f". The
first theme at this point bears a stronger resemblance to
the Diea Irae than i t did in t.he exposition Presented in
detail above. Motive Y is sequenced throughout this section
£iret by the use o£ diatonic pivot chard modulations that
are retrogressive progressions (IV fol~oved by III) and
then by thirdl.y related modulations.

59
These tvo modulation types are characteristic of the
climax and the movement. The clilllax then slips easi.ly into
the retransition in mll!!oaeur@ 200A
Example 11. Modulations
The retransition, although not. at the dynamic level of
the previous section, continues to build tension through the
use of a pedal. pOint, a whole tone scale in the tuba and
t.rombones, and unrelated or dissonant chords.
Example 12. Whole tone scale, measures 200-202

60
This J.eads into a restatement. a£ the introductory
material in 'IIeBSUres 208-2126 However, t.he return of t.he
introduction is unlike the beginning o:f the movement. Here
the key is A:, not d:, the material is at a different.
dynamic and tonal level than in the exposition, and
functions as a false recapitulation. The expected key of
the recapitulation, d:, comes with the beginning o:f the
recapitu.lation of the first. t.heme area. The recapitulation
essentially follows the order of the expoait1on. What.
differences there are between the expos! tiOR and the
recapitulation are in the length and in the orchest.ration of'
the first. theme Bnd trans! tien.
The :first. theme is nov :fortissimo Bnd doubled in the
st.ring sect.1on, with the original string accompaniment in
the horns and a r:l.sing scale based on motive X accompanying
it. in the v.f.olas and clarinets. The changes:l.n the :first
theme area create a wild and boisterous atV\osphere, qu.f. te
di.f£erent .from the subdued beginning •
The recapitulation o.f the transition has been
shortened considerably. Keasures 26-80 of' the orig:l.nBl
transition; which const:l.tute a.pproximately 85" o:f the
or:l.g:l.na1 music, have been omitt.ed.
The rema:l.n:l.ng sections, the second t.heme area and
codetta, are essentially the same, but stat.ed in the ton:l.o

61
key. The coda (275-338) .functions alii a final build-up that
cu.lmin@tes in an extremely abrupt ending.
Both the recap! tulation and coda end vi th a plagal
cad&nca that is preceded by B perfect authentic cadence.
This sequence of cadences (a per£ect Buthentic followed by a
plagal cadence) establishes a pattern that v111 occur in the
other movements. It aliii'D imitates the pattern of' cadences
in a church hymn and reinforces the religious overtones of
the symphony.
ST Cod
PAC )Plagal
Coda
section 4 section 5
PAC ::;:::).PlagBl
PAC
Example 13. Perfect authentic and plagal cadence sequence

62
i~ 8
I~~ ~
Movement Two
The form o£ the second movement i.s a Scherzo-Tri.o-
Scherzo. as shown on the chart i.n :fi.gure 2. A new motive,
labeled W, i.e introduced in measures 12-13 o:f thi.s movement.
It can be deri.ved from both motive Y Bna the stri.ng bass
part at the end ox the :fi.rat movement.
Example 14. Derivati.on of Moti.ve W
Mati.ve W uni.fiee the whole of" the second movement,
and is used solely in this moveme~t or i.n the secti.ons of
subsequent movements that are deri.ved from it.
The Scher20 secti.ons of" thi.s movement are hi.ghly
structured, rounded binaries, with each subsecti.on of the
.rounded binary also highly structured. The (a] secti.ons all

64
consist of the same phrases in the same order, Is, Ib, le r
lef, 2. Phr.ase (la), the main theme o:f the movement, is a
transformation of motive Z, Bnd phrase (lc) is an inversions
of phrase (Is).
'Phrase (Is) measures 6-9
'j '-=F.
--
!
Phrase (1c) measures 20-22
Example 15. Phrases (la) and (lc), movement two
Phrase <1b) introduces motive Wand is essentially
cadential in function. Phrase (1d) is derived from motive
Y. Phrase (2) consists o:f motive W in the lov strings Bnd
usually haa dissonant harmonies present, normally either
augmented triads or Fr " of' i . In this phrase, motive W will
b~ spelled as :a diminished :fourtb rather than = :;;~je:" third.

65
The accompanying material :for the Scherzo is der.1ved from
motives W. Y, Bnd :?:.

The (b) section of the rounded binary (69-132)
mot! veo W as B accompanying figure. It 1e in this section
that only tvo statements of motive X in t.he scherzo occur.
Each time motive X appears, the underlying harmony is
disBer-ent and unsettled. The chords at these points

"7
eo! thera1 tered dominants (+mm9/7) or chord a full step
.. 7
e..
"'
above a pedal tone, 1. cit over b pedal.
C "lIo~~...
I,
Example 16. Unsettled harmony accompanying

motive X 1n the Scherzo, measure 72
In the schs-r:;:o, the (a] sections are iirml.y in F:,
while the tonality of the !:bl sections is doubtful. The
tonal uncertainty of [bJ is caused by the altered chords
mentioned above or non-traditional progressions that are a
resul t of vo.:l.ce leading procedures.

66
Example 17. Linearly derived chords, measures 11-12
The climax o£ the Scherzo is :firmly grounded 1n the
key o:f Db:. To return to section [a] and the tonic key of"
F: o:f the rounded binary, the :fifth o£ the Db: chord of the>
retraneition is lowered one half step to £orm a Db+ chord.
Then the root of the Db+ chord is lowered to :form a F major
chord, the tonic o£ the Scherzo, and leads the listener
smoothly back to F: irom Db:.
EXample lS. Chords used in the retransition

measures 123-132
The sequence of cadences used in the first movement,
perfect authentic cadence to a plage1 cadence, also ends the
(a] sections of the rounded binary. The £inal cadence o£

e
the scherzo is a Fr o£ I in F:.
67
The T::-10 (183-300) is not as structured the
scherzo, but it is mor~ developmental in character. In this
section motive Y is B r~ccgp:l:zable quotation of the Dies
Irae. The theme of its middle subsection is a melody that
is compoiiied of mo+..:!..vea W, X, and Y BS well, and is
accompanied by motive K or its rhythm .
If j r I' I G .01 J I
r0 I I I . I Lf'r "0 rr I ru
-"3 .... )-;-
I'
Example 19. Motives X, Y, end W in trio, measures 137-143
The trio features many unusual harmonies, such as the
quintal chords in 211-214:
J! ··.tl iE!2i:: !
"":
Example 20. Quintal chords, measures 211-214

"'8
The cadences at the end of: the first and second
subsect.ions are traditional authentic cadencea. However,
the third subsection (222-279) ends with an 81 tered plagBl
cadence 1n :f/h that. is characterist.:Lc for this movement..
The cadence begins with an a1 tered dominant in the key o.:f d:

9
EA+(m)M71 (275-276). In measure 277 the Cit pedal (and the
third of the chord) drops out, thus changing the chord to a
"'"
b 5 which to the new tonic in f#:. The altered
dominant. in 275-276 can also be considered a b

"7 over a elf
pedal which follows the chord construction used in measures
79-82 and 72-75.
275-276 277-278 279-281

9 "7
A+ (m)J'l7 b £Im
d,
f#:
V+9/7
NF
vi 5"'"
Example 21. Altered chords measures 275-281
While the ;first. half of the trio section is tonally
stable, the- last half is not. This is caused by many rapid
and transitory modulations not by altered cbords or non-
tradi tional progressions. The tonal instability o£ this
section underscores the developmental. asperrts of the trio.
The retrans! tion to the Scherzo is accompl.ished by
r.5.'ld1ng fragments of phrases (1a) and (1d) together and (1d)
and 1b) together. According to John Culahaw, measures 302-
340 of the retransi tion were cut in the 1897 orchestral

69
parts (Culshaw 59), Essentially, then, ell that is left of
the retranai ticn is phrase (ld) from the Scherzo. The cut
is Buccessful because 1t removes extraneous Bnd repetitive
material that makes the movement overlong.
The return of the Scherzo (340-481) is a repeat of 5-
182. However, there
phrasea (1s) and (1e) are interchanged, and the :form is
reduced to an • aba' design rather than the opening • aaba' •
Throughout the movement the mood is sinister and mysteriOUS.
This is underscored by the unexpected chords Bnd
progressions eillployed. In add! ticn, the orchestration,
which is unusual :for li!akhmaninov, is light and :flits from
instrument to instrument. Rakhmaninov's tendency toward a
heavy string sound is successfully avoided in this movement.
Even the very end of the movement is mysterious and
ominous because of the fragment from the Dies Irae (motive
y) that is immediately followed by motive X (495-499). To
add to the atmosphere motive X does not resolve immediately,
BS it usually does, but suspends a "Db" over the notes "fll
and "a", thus creating an augmented chord that lasts for 5
measures (500-504), The Db of this augmented chord finally
resol ves into the C oi the CHm7 chord, which then moves to
PH in the pizzicato strings in measure 505.

Rakhmaninov 1-3
(Intra] 1-/" [Al 4 -5B

(a) ~ -26, (b) 26 2 -55, (cod/tr) 55-58
(a) 4 -21, (cod) 21-26,
X,z x,Y theme 3x
mot x- t p
inverted
-;. Bb: Bb: F: F, -::>{\b:
~ F:20 -'loBb:27
Eb:35
Ab:43
PC-4, PAC-21, PC- 26, PC-55,
[B) 59-95
(a) 59-71, (~L7j~~j91 (2) 79-84,
[RT] 84-95,
x,Y x,Y =4-7

h-4-4 2-2-2- H-t (cod)
--~
? eb: ~Bb:
~u
[Coda] 125-158
[A?a~49:1!~d8, (a) 108-125, ~ (1) 125-140 (2) 141-158
=4-18 =4-1B =31-32 =22-25
canon original pitches y; Dies lrae z, w, x
origianl pitches origianl insts. Vi+ - I; vi - I
x-rhythm z ~
-7' Bb: Bb: Bb: Bb:
lAC-lOB PAC-125 IAC-140 Alt Cad -153 Ci
Figure 3. Third movement, tonal and structural chart

71
Movement Three
The rhapsodic beginning oz the third movement. is a
welcome contrast to the restless and forbidding moods o£ the
previous two movements. It is a ternary form [ABA],
shown in figure 3. Although motivea X and Yare present in
the first section (4-58), their presence adds no ominous
foreboding elements because they are subdued, as i.f' one
moment.arily haa control over Fate. The :first [Al section is
a binary form with a change of key and cadence in the
dominant, half way through the section (not counting the
introductory measures). The melody of this section is
presented in the first. half of the binary, while in the
second the same tune is restated and sequenced three times p
each time up a per£ect fourth.
The cadences once again are cl.early indicative of the
section endings and program. The £irst cadence of the
movement at the end of the introduction is a plagal cadence
where the music moves from an ebm chord to the BbH tonic.
After this there is a change of key at the end of the theme
to F: • This modulation is emphasized by perfect
authentic cadence in F: in measure twenty one. However, the
cadence that emphasizes the binary form is yet another
plagal cadence.
72
_6
9 5 Fl'I
_6
!is
Example 22. Plagal cadence measure 26
The [A] section also ends vi th an a1 tered plagal

S
cadence: Gr I, which is also used in the fourth
movement.
Example 23. Gre. to t.onic cadence, measures 50-51
Fate intrudes into the restful and idyllic setting in
the CBl aection of the ternary (59-95). Here motives X and
.
Yare combined to form the theme that is developed.
,
£ Ii jl.#1ICI7j I
Example 24. Motives K and Y in movement three. development

59-62
73
The cOfiibifiEit.~on of motives X and Y, as ve~l as the
low timbre, dynamics, accent marks, unsettled harmony, and
restless rhythms all work together to delineate and
pmphasize the true nature of X as the Fate motive. The
style of this section is more developmental than rhapsodic.
The theme is fragmented into the following pat tern of 4 bars
:for three statements, 2 bars for three statements, Bnd
half bars for one statement, and one half bar :for
statement. This fragmentation culminates in a sforzando
chord that j.B i.mmed!ately :followed by an abrupt deClr~'::Bendo
into the retransi ticn.
The retransi ticn returns the music to [A] by
manipulating motive Z and the undulating figure of the
transition/codc:otts in measures 55-58. The return of CAl is
elided into the end of the retransi tion in meaeure 95.
In the return ox [Al the mood established in the
beginning is shattered. No longer is the music restful and
rhapsodic, but is now yearning and tense.
The key centers of both CAl sections aTe firmly in
Bb:, but that of the [Bl section is uncertain. The tonal
ambiguity is caused by extensive use of altered chords and
non-traditional progre~=:!.ons and rapid modulations.
Al though the tonality of tne return of [A] is firmly
established, the recurring nervous rhythms, the use of
motive Z intertwined wit.h the theme, and the continual

74
crescendo and decrescendo of t.he dynamics add to the
unsettled atmosphere, of the section.
The coda <125-140) is the climax of the rnovemen"t and
is baaed on the opening section of the melody (4-5).
Supporting this melody is an oat1nato figure in the horns
and violas based on motive 'I and a syncopated rhythm in the
second violins. This section gradually diminishes, Bnd
motives X and Z are presented together again, but now their
order is reversed to that order occurring in the beginning
The movement ends in unce~-·t."'ii1ty caused partially by
the non-traditional final cadentisl pattern:
Gb+ BbM gm BbM
(VI-t-) vi
Example 25. Non-t.raditional cadence, measures 149-152
This pat tern, from eubmediani:. to tonic, will also occur in
the :fourth movement. The cadential pattern coupled with the
extremely loy dynamics ('ppp') and the chalumeau register o:f
the clarinets all help to bring about the unsettled ending.

75
f
g
g~
~~Ei i Ii
~
f ~
"
76
Movement Four
The fourth movement .is.in a sonata £orm, with
material from the second Bnd third movements replecing the
e)(pected development 'see figure 4).
The movement beg.:1ns with an upbeat fanfare and march
based on motive Y. However, Fate immediately intervenes in
the transition, and the mood established in the introduction
and first theme areas is destroyed. The transition is
based moetly on a. three note motto derived from motive Y and
accompanied in the beginning by motives X and Z. It is a
build-up to the second theme area. The foreboding mood of
the transition is a result of the combination of motives X,
Y, and Z at a distance of a tritone, which causes the
section to border on b:Ltonal!ty.
Example 26. TranSition, measures 27-28

77
In the first Bubsection Q:f the transition the Y
motive is stated in the horna on a D major chord (no fifth),
while underneath thi!;l ere motives K end Z which center
around '9#', a trii:.one sway :from the D major chord.
As the trl tone relat1oT~ah1p disappears, the
instability of this section is continued in a chordal
progression in the strings that rapidly a1 ternatea first
between b: and Bb: and then between d: Bnd Db:.
43 44 54 55
bm Fltl1 BbM Ftl Bbl1 dm AM DbM AbH OhM
b: i V d: 1 V
Bb: bVI I V Db: bVI v
Example 27. Rapid alterations of key areas in transit;i.on.
The third subsection a:f the transition (57-72)
employs alternating, unrelated, first inversion, parallel
major chords B hal..! step apart which annihilates any sense
of key. The tonal instability of" the transition continues
until the beginning o:f the second theme in measures 72-
122, which is firmly in the key c£ the dominant (A:).
However this i teel:f is undermined when the key o£ C#: is
alternated with A:.
The juxtaposition o£ elements o:f these two major
keys, a major third apart creates a £eeling o:f tonal

78
ambiguity. The tonal uncertainty brought about by these
thirdly related chorda and keys continues to tbe very end of'
the second theme area where a £1na1 perf'ect authentic
cadenoe in A major £1na11y con£.irma t.hat. tonality.
The closing theme/cadette also utilizes consecutive
third related major chords. Even the :final cadence of the
exposition is unusual because of the non-traditional
progression, which is a Variation of' the :final cadence o:f
i:.h@ third movement (see example 27 above).
FJ1 AM flm AM
bVI vi
Ex 28. Altered cadence, end of" expos! tion
The middle section of' the fourth movement (143-355)
belongs more to the second movement because the mejority of
the material is xrom that movement Bnd not :from the fourth.
Tyo phrases (shown in exampl.e 28 bel.ow). as well. as motive
W, are taken directly £rom the second movement.
Example 29. Phrases derived £rom the second movement

79
In addition to the material from the second lIIovement,
there 1s also one melody of this seotion C204-242) that
bears a st.rong :r'liI'lIiiIemblance to the main theme o;f the t.hird
movement. The middle section of the :fourth movement. can be
loosely considered a :f1ve-part rondo forti of a b a c a. The
Cb) Bnd (e) subsections contain the modulations and unstable
tonalities while the (a) subsections are for the 1I0st part
in Cit major or minor Bnd feature the same melody, albeit.
slightly elaborated. In addition t.o this internal rondo
form, the develop'Ilent. is also framed by silliler music at t.he
beginning and the end of t.he eel B6!ction (measures 313-324
here are equivalent to meaBures 135-143 in the beginning of'
the development section).
11. ,It ,)".IPI19

- ... ~
Example 30. Kusic t.hat. :frames t.he development
The undulating :figure in the at-ringe (144-146) is a
second mot.1vic or ..~lodic thread that uni.:fies this [C]
sect.ion. It. is ~ound t.hroughout. t.he complete [C] sect.ion.
This :figure CBn be related to hoth mot.ives Z and Y because
it cOllies direct.ly .from the transitional mat.erial based on

80
motive Z and consists of the onE' hB~:f-step formation .found
in the thrae nota motto based on motive Y.
Motive Y makes its sole appearance in this section in
measures 243-259. Here i t is agBi.n reminiscent of th,,",
second movement because of the simile:-- timbre and speed
found in both movements.
The le} subsection of the internal five-part rondo is a
build-up to the final (a) subsection. It starts p1anissimo
Bnd gradually increases to a full tutti ':if' in the next
section (271-304) Immediately after this build-up there is
a quick decrescendo into t}le retranai t:lon where the order
and character of the recap! tulation is di££erent :from the
expos! 'lion.
The developmental section of this mO'l."ement elsa
features the Gr6 - I cadence formula, where i t is used after
the ini tisl (a) of the internal rondo and at the end of the
complete section. In addition to this, the development
(143-204) ends with the perfect Buthentic cadence to plagal
cadence sequence that was first seen in the first movement.
The order of the various sections of the
recapitulation is dif'ferent .from what they were in the
exposi tion. It opens with the first section of the
trans! tion and then proceeds to the £irst theme. However~
as in the exposition, the tonality o.f the transition is
again quite unstable, due to parall.el major first inversion

81
chords a half step apart. The music then recapitulates the
first theme~ into wh.ich motive X has been incorporated i it
¥ee not pa:i"'t of the :first theme 1n the exposition). The
character o£ the f1r~t t.heme here is quite di£:ferent from
that in the expos! tion; nO' longer is i t a bombastic fan£are
and march, but is, instead, a restless and ominous melody
influenced by Fate.
¥ I;} -'
Example 31. First theme combined with motive X

measures 335-337
The transition is composed of the same material the
second and third subsections of the transl. tion in the
exposition. However. the material here is down a step from
the original statements. Again, as in the expos! tion, these
sections funct.ion as build-ups into the second theme area.
In the second theme area the order of the parts is
revers~d for the second time in the recapitulation. The
second hal:! of the second theme ia stated first, not in the
t.onic key of the movement, but in the subdominant G:. Here
again is another example of the IV to I or plagel

82
relationship and subsidiary religiouB program that permeates
this symphony. Rakhmaninov then states the complete second
theme, both parts (a) and (b) in the tonic key. The end of
the recap! tulation is firmly established by a fortississimo
perfect authentic cadence in 0: in measure 414.
The coda {414-465> is a binary form with the halfway

07
point emphasized by the half cadence on vii IV, an abrupt
change in tempo from presto to largo and a long period of
silence (a measure of rest set off by a fermata). The first
he.l£ of the binary is tonally unstable for 21 of the 25
measures, which is a reBul t of e1 ther using thirdly related
chords (432-439) or non-traditional chordal progressions
(414-432).
The second half of the> binary is for the most part
tonally stable. It be>gins with a beautiful largo statement
of motive Y, accompanied by motive X and its rhythm. There
is a solemn bUild.-up on an octatonic scale to the final
unison statement of motive> X, that indicates Fate cannot be
Example 32. Octatonic Bcale, measures 149-150

83
A~l mot,;l.ves, exoept X, are dropped before the .final ending
of' the symphony.
The- symphony ends with an altered plagal. cadence, Gr7-
I. The use oL the perfect. authe-ntic cadence to end the
recapitulatian and t.he plagal. cadence t.o end the addendum to
t.he symphony forms yet another cadential. sequence that might
be consi;.6"ued to be a reference to the religious program.
The .final st.atement of' motive X uses "t.he Bafle notes and
rhythms as those of l'ItDt.ive X in the beginning of' the :first

1 1 1 1
movement I c#, d , eb , d. The symphony has come full
cycle.
- ,.. .........
Example 33. Koti ve X at the end of' the symphony

84
SUMMARY
Table 1. Sonor! ty Types

Grouped according to type an"d frequency of use
total
197
'" 51'
553.53'Sl 117
710.5
17Z.5
1845.5 36.45
1200 23.37
0 "
155
109
• 1:;<; 1:;<; 3.08
..'" . " """

20 11
'.5 4 5 "16.5
1.15
.",
175 114
to, ,.,
513' 11.32
" " .
14 78 4.74
" 18 51
...
196 3.87
07
'" 33 17
5 "" .. "
.to
""OS 45
18 18
45 ...
.36
......"" •
EO
7 49
1
61
20
.02
..,
1.21
,
3 .06
""
Bidlord
Unison
17
101 51
2l
44
144
44
44
2%
.87
.87
5.85
Uuintal 11 11
."
The sonority types employed in this symphony span B
wide range from triads to complex chorde. As can be seen on
Table one above, e vast major! ty of these sonor! ties are
conventional tertian Bonor! ties with only a small percentage
of them either altered or dissonant. Cui's remarks about
-devilish d.l.Bcorda ll and Itmusical modernisms" (Sero.{t" 5:5)
seem unfounded. Perhaps those "discords- were caused by the
poor playing of the first performance which VBS noticed by
the composer and so stated in the let.ter on page 26.

85
Another possibility is that Cui waa referring not to the
ohords themselves, bui:. i:.o Borne of the ohordal progressions,
which were uncon'lentional and not Expected by that.
particular audience. Al though the Germanic composers of
that ti.me '!1e;;:-e using non-traditional progressions quite
frequently. Rskhmaninov often employed non-functional Bnd
non-traditional progreSSions and retrogressions throughout.
the First Symphony. The fourth movement. features many of
these non-traditional progressions, such BS:
92 93 94 95
C#M AM C#M AM
C#: I bVI I bVI
Example 34. Measures 92-95, non-tradlt.ional progression
An excellent example of the retrogressions was the one cited
above on page 42 that occurred at t.he climax of the :first
movement.
Another aspeot of the music that possibly struck the
oritics and audience of that time as "modern"
Rakhmaninov' a periodic uae of altered chords, especially in
movement a tvo, three, and :four. In the second movement he
vas fond of employing aome type of augmented chard, either
augmented triad or an augmented sixth chord (pre.ferably

6
the F of I). The middle section of the third movement
86
employe a1 tered augmented sixth chords that. were nct tn ...
usual t.ype o£ chord used at. that time.
Example 35. Altered chords, Third movement, measures 59-60
Furthermere, the rapid harmonic progressions of
sections and quick modulation!;! b,=,twe~11 keys and chorde that.
Rakhmaninov employed .in the :fourth movement are not unusual
for him. However, these progressions possibly created a
nebulous tonal center Bnd is another possible reason :for the
negative response of the audience and critics.
Because many of the sonor:!. tieet used in this symphony
"conventional· types, i t is conceivable that. i t vas the
manner in which they vere employed that. caused the uproar.

87
Table 2. Modulation Types

Arranged aocording frequency of use
Modulation Type Frequency
Diatonic Pivot Chord 40.83X

Third Relation 17.50X
Linear 14.17:<
Modulations to ?: key areas 13.33:<
Chromatic Pivot Chord 12.S0r.
Pivot Note .8:~m
Enharmonic diminished 7th .83%
The important modulation types used in this symphony
diatonic pivot. chromatic pivot chord or third relation.
Examples of enharmonic major-minor. 7th chord or diminished
seventh chord becomes major-minor chord are non-existent.
The choice 0;£ modulation types is not unconventional or
unusual, as Rakhmaninov mainly used the three most common
types 0:£ the era. The third relation modulation types occur
most commonly in the climaxes of the movements. The fourth
moment provides some excellent examples of modulation by
third relation such ;found seen in the £ollowing example.
101 102
6
tim C#M6 AM4 EHm7
f#: i V6 (bVI)
6
A. 14 V7
Example 36. Third relation modulation
A typical modulation by diatonic pivot chord is in
37-38 of the first movement.

88
37 38
0, o!,
~d" bm
vi
c. ~6
5 bm
~6
b, ii 5
Example 37. Di.atonic pivot chord modulation
The cadences in this piece, as in any tonal York,
play an important part in defining the forms. Hot only do
they define, but they also subtly under1ine and capture the
essence of the material Bnd the implied programs. In the
:following discussion only the important cadences, which will
be grouped according to the type# will be discussed.
Table 3. Cadence Types

Grouped according to .f"requency of
Perfect Authentic
Imperfect Authentic
Plagal
Half
Deceptive
Al though the perfect authentic oadence occurs the
most frequently, the :featured cadence of th.:Ls symphony is
the plagal cadence. It not only ends the two outer
movements of the symphony, but also some of the major
sections of the individual movements as well. The
appearance of thia cadence at these illportant pOints

.9
supports the religiouB hal:! of: the symphony' s prog-rs.m. A
:further re£erence to the religious program is the cadential
pattern of: a per:fect authentic cade'nee :followed by a plagal
cadence. This cadential sequence, which imitates the
pat tern o:f cedences 1n a church hymn, is used at least
in every movement BE'e :figure 5,
Rakhmaninov also employed a1 tered cadences, both
types plagal, authentic, and non-traditional cadences in the
symphony. The most commonly used altered cadences the
Gr S - i or the Fr " o£ i resolving to i seen in the second,
third, and £ourth movements. The use of the p1.ege1
cadences, both conventional and altered, reflects the
symphony' B program.
The per£ect authentic cadence is not as important in
this symphony. either structurally or programmatically,
might be thought. It Co.lds either the inner movements
of the inner sections o:f the individual movements.
The third and fourth movements present.!l cadence pattern
that is unique to this work: a submediant resolving to B
tonic chord. It is employed at the end of the third
movement and at the end of the exposition o:f the fourth
movement.
Exam:Lnation shows that while there
"progressive" parts in the symphony, there is very little
that accounts for its initial n-dgative critical reaction.

90
~
~ ~
~
~
~] ~
~ ~l ~
~
§ ~
~
J
~-
§
§
:1 ~
~
~
~
~ ~
~
~
~J
ti
~
~
~
~
c ~
~ ~.::
~ I
E ~
~-, ~
1i
I 1l
~ ~
~...J ~
:J ~l
~
~J
~
~
~
~ '0.
~
~
~
~
~
~
~
~
~
~
~
~
i
I
~
~
~~
~
~
~l ~
~
~ ,-
<" ~
~
~ 8
~
g
§ ~' t
~J
~ ~
~
~
:;; ~ ~
~
~
I ~ ~
~
~ ~
~
~
~l
~
~
~
2 ~ c
i - :s8
2 ~
~
~ :1 ~ !
E
E
91
Many of the sonorities arE' not "new" or "modern N for th1s
time period. In fact, their o1'1,g1ns can be traced to
compositions by Wagner, Tchaikovaky, Liszt, and others.
Some of thE" chordal progressiona are extraordinary, but,
again, this was common in the composers of the European
a:::hoolli::. It ....ould b~ only 12 years later tha.t Strauss would
However, when compared to Borne o:f the
popular composers of the era, sllch as Alexander Gla:zunov,
Rakhrnaninov's symphony does seem advanced 1n the techniques
and ihe materials utilized. Perhaps this is because the
development of music in Russia was slower than the rest of
Europe in accept.ing anything even slightly new or unusual.
This is amply proven by RilDsky-Korsakov's rewriting o:f
Hussorgsky's opera, ~!;!!:!!~!L~!:!QQnQ~ because of the "wrong"
notes and chords, and incorrect voice leading procedures of
the original score. Even though R1msky-Koraakov, himself,
is known for periodically using "unusual" harmonies.
Rakhmaninov is considered to be leas nationalistic in
his compos! tiona than his contemporaries or predecessors in
St. Petersburg. However, his use of the gypsy scale, the
borrowing o£ the themes from the Qg:!:Q@ghQ!l! of the Russian
Orthodox Church, the use of sequences and ostinst1 at the
climaxes of the movements, and his programmatic tendencies
all t;lf Russian influence. While he 1s less "Russian"
than the St. Petersburg composers, e. g., he does not employ

92
1dent!£iable Russian .folksongs or mUEI'ic, his compos! tiona
"Russian" in origin end Bound.
There are indications that Rakhmaninov was influenced
by the symphonies of Beethoven and Tchaikovsky. In the
first movement there is s possibility that the .form is
modeled a£ter the first movement of Beethoven's Ninth
Symphony. The :first noticeable similarity between the
symphonies is that the key relationships of the parts
similar. Just as Beethoven modulated to the suhmediant in
the second theme Bnd codetta. so did Rakhmaninov.
Secondly, the concept and planning of the respective
developments is again similar. Each development consists of
a large build-up, made up of smaller build-ups. that leads
to thE!' climax of the movement. In addition, the keys of
three of the movements one, three, and four are sim:l.lar to
Beethoven' a key scheme of d:, Bb, and 0:. The key of the
aecond movement is the relative major of that in Beethoven's
Ninth Symphony.
Tchaikovsky's influence is everywhere, which is not
surprising, since he was an idol and model for Rakhmaninov.
Tchaikovsky also employed the developmental process of"
numerous small build-ups that leae to the grand climax of
the movement. Some other notable characteristics that that
traceable to Tchaikovsky are the use of" a Fate motive

93
throughout the symphony, the Gr to tonic progression, and
the use of" melodic sequences t.hroughout the development.
Rekhman1nov' a First. Symphony in D Minor shows traces
of the composer he was to become. While he did not. ut.ilize
the strings in this symphony BS he would in his later works,
t.ha- iiiingill.g seccmci th"",lh9S and codeties ox the ii.rs1:. a.nd
fourth movements are unmistakably his.
Whi1e, Rakhmaninov said in a letter to Boris
Asafiev in 1917, there is much that is "weak, childish,
strained and bombastic" (BertensBon and Leyda 74) in this
aymphc-ny, there is also much that is good about it. It does
not deserve t.o be forgotten beCBuse of this justi.fied but
actually minor crt ticism of its structure or the .famous
critical reaction that the Symphony received a:fter its
premier per:formance.
94
Ci-iAPTER THREE
S~J1PHONY #2 IN E HINO'R, OPUS 27
After the fiasco of the Firat Symphony in 1897,
Rakhmaninov turned completely away from composing Bnd
concentrated on conducting and perf"orming. He was to
compi:Jse nothing until after he began seeing Dr. Nikolai Dahl
at the suggestions of his friaonds in January of 1900. Dahl
wee a neurologist who specialized in hypnosis as B :form of
therapy for his patients (Bertensaon Bnd Leyda 89). The
sessions with Dahl did some good, for by December ox 1900
Rakhmaninov had completed two movement.s of his Second Piano
Concerto. and he had :finished the whole concerto in 1901-
Confidence in his compositional skills was almost completely
restored. However, there still lingered a residue o£
insecurity regarding his compositional skills, but not in
his per£orming ability, that stayed with him £or the rest o£
his 11£e.
In the years that apanned the completion c£ the
Second Piano Concerto ( 1901) and the Second Symphony
(1906/7), Rakhman1nov composed various pieces £or piano,
voice and piano, orchestra and celloa Among these works are
the tvo operas, Ib~_~!!§!~!::1l!:_~~!gb~ and E!:~~Q§:~!:!!LE!!L_B!!!!!!!!,

95
the Sonata in G Minor for Cel.lo Bnd Piano, and the
The Second Syinphony vas composed in i 906-7 when
Rakhmaninov living in Dresden. The symphony seems to
have presented some problems. While working on it the
composer wrote a letter to his £riend, N!kits l1Cl"'O%OV, in
which he explains the structure o:f the fourth movement, but
questions the valid! ty of the .form. Because the form of: t.he
fourth movement was a rondo and one that he only vaguely
remembered, he asked about that form it appeared in
Beethoven's sonatas in order to become familiar with that
stshdard :form. I'Io1"'020v replied with a complete lesson on
the ronde .form, £or which the composer was very grateful
(Bertensson and Leyda 133).
Rakhmaninov was working on two other pieces at the
same time he was composing the Second Symphony. These works
were the unfinished opera ~gnn!LY§!l!H! and the First Piano
Sonata in D Minor (Bertensson and Leyda 413). Of the three,
only the opera, which remained unfinished, pleased him •
• • • As :for the qual! t.y o:f all these things

[compositions written in Dresden, 1906-71, 1 must
say that the worst is the Symphony. When I get.
it written Bnd t.hen correct my E!!:~:!:_§Y!!!2h9n~, I
give my solemn W'ord--no more symphonies. Curse
them! I don't know hew to write them, but
mainly, I don't want to. My second York [the
Piano Sonata] is slightly better tha.n the
symphony, but still is dubious in quality. I am
fully satisfied with my third york r~gm:!§
~!!!m!!]. (Bertensaon and Leyda 136-7).
96
Periodically, when a critic evaluates the Second Symphony,
the above letter is e1. thet' said to be or suggested to be
proo:! that even Rakhmaninov recognized his own inability to
compose good symphonies.
Culshaw says of his symphonic shil! ty:
Symphonic :form was not one of his strong

points ••• The Second Symphony hangs together on
the thread o:! a motto theme or motive, 'lthich
continually haunts the background ••• Symphonic
:form was e. barrier which perpetually challenged
his essentially rhapsodic style •.• (Culshaw 49)
This c:cmment about Rakhman:Lnov's symphonic style is sharply
contrasted to Robert Maycock's view of the Second Symphony •
••• the architecture of" the Second Symphony, for

example, is based on B successful balancing of
the length and weight of each part 0:£ the
struct.ure. (Maycock 41)
The divergence of opinion among different critics is
not remarkable, but is the norm. For example, Culshaw finds
the work "rhapsodic", Maycock, "successfully balanced".
This author found t.he form of t.he symphony t.o be quite
clear. The meandering and senseless :farm structure
ment.1oned in the criticism to can be traced tc some 0:£ the
large cuts taken in performance. These cuts, both those
sanctioned by the composer Bnd those not,
approximately ten minutes of music, and as Maycock again
says:
97
One reason for the less than total success D£ the

First and Third Symphonies is that their
proportions do not qui te balance. The
same ••• goes for the cut ve,rsion of the Second
Symphony, usually played, in which the removal of
a good ten minutes of music leaves a structural
ruin that paradoxically seem too long simply
because .it contains more material than is fully
worked out. (Maycock 41)
This argument is echoed in the N~~Lg!:9Y§: article by
Geoffrey NorriS, who states that some o:f the cuts sometimes
may throw the work off balance (Norris; H§::!L§r:QY!~L~ 94),
One of the major flaws of this work is its extreme
length (sixty-fiVE! minutes at e moderate to quick tempo).
If taken at too slow a tempo the symphony seems very long
Bnd is tiring to listen to. The cuts mentioned above are an
at tempt to shorten the length of the symphony BO the work
will be performed more often, and hopefully,
interesting.
The first performance of the Second Symphony in
St.. Petersburg on January 26, 1908 with Rakhmaninov the
conductor (Thompson 412). The first performance of' this
symphony was the complete anti thesis of the Firat Symphony' is
:first performance. Both were premiered in St. Peteraourg,
but the Second Symphony was a resounding success whereas the
First Symphony vas B complete failure. The :first edition was
published in 1908 by Gutheil.
The motiv!c organization of this symphony is subtle
and understated. There is a thread that un:l.f'ies t.he work

98
atul, Ole John Culahaw indicatea, i t is, iie strain which
epitomizes the Symphony ••• "(Culahaw, p.6-4). This strain is
the Fate motive of' the work.
The F'~te motive is intertwined wi thin Bnd worked into
the fabric of" each movement. Fate is omnipresent, but
always in the background of the Symphony. It influences
everything, but is not overtly stated.
A majority of" the themes can be derived :from the
motive of the symphony. However, thE' second half of the
second theme area of: the iirat movement also influences
other themes in the symphony. In keeping with the subtle
use of the motive, the resemblances between the themes of' the
various movements and their origins are faint, for the
character of each movement, not the motive, is ref"lected in
the themes of" those movememts.
The motive o:f the symphony, in which motive X in
bracketed, is: shown below.
Example 38. Motive of" Symphony, measures 1-2

99
After the opening presentation of the motive (given above),
the woodwinds enter with the first variant.
-=i II
Example 39a Woodwinds, :first variant, measures 3-5
Underneath this, in the st.r1ngs, is B second variation of
the motive:
Example 40. Strings,. second variant, measures 4-6
These three elements, motive X itself and the tvo variants
in the woodwinds and the strings, are developed throughout
the Symphony.
After t.he initial. appearance of the Ilotive, i t is not
repeated aga1n in its original format. However, a portion

100
OI the motive, designated motive X, is integrated into the
whole of the symphony. Below are the themes that have
elements: OI motive X worked into the :fabric of their
thematic structure:
first theme, first movement LA] theme, second movement
[8] theme, second movement
b 9
First theme, fourth movement
Example 41. Themes derived from the motive
The second haLf 0:£ the second theme of the :first
movement is, used as B secondary unifying device.
Reminiscenc::es of this theme appear in the principal. theme of
the third movement, the theme :from the [CJ section of"
movement four, and the second theme of the second move>ment.

101
1*
1l' 01 :
,f=!:: tts §
Second theme, first movement
Main theme, third movement
[c] theme, fourth movement
Example 42. The-mes derived :from aecond theme, movement one
The second symphony, like the First Symphony, is
uni£ied by the use of: similar melodic material i.n each
movement. However, unlike the First Symphony, the quotes of:
the motive are not exact, only portions are hinted at, and
these are a1 tered to £1 t the character of the
individual movement. Until recently, this symphony has
Buffered xrom cuts in the music t.hat have through time and
use become traditionaL Most of these outs .ers sanctioned
and taken by the composer in order to get the work

102
per-:iormed. Others were not indicated by the composer, but
are taken anyway. I examined the various scores in the
Library of Congress, including the conductoris score used by
Rakhmaninov, in order to determine whether more cuts were
made which not authorized nor used by Rakhmaninov himself.
In the :following chart the cuts that are in the composer' S
indicated
Table 4. Traditional cuts o:f the Second Symphony
2-1 2-2 2-3 2-4
69-70 370-496 109-132 81-102

> -j6St..:'172 211-214
189-194 225-236
255-258 276-286
265_266 351-415
283_296 432-435
361_377
403-410
494-504
508-511
524_531
103
Complete, uncut per£ormances and recordings of this
work are much more common today than in the paat. Two of
the best of these uncut versions are by Andre Previn and the
London Symphonic Orchestra Bnd Eugene Ormandy and the
Philadelphia Orchestra, the latter being the Composer's
f"avor! te conductor and orchestra. Sir Adrian Boult's
recording of" the Symphony with the London Philharmonio
Orchestra is among those that t9.ke some or all of the cuts.
I find the cuts, both those sanctioned" by the composer and
those not, create havoc, because they eliminate the logical
progression of ideas of the symphony and cause the symphony
to become :formally unbalGnc~d. Whole sections of music
removed, thereby making the symphony incoherent. In
addi tion, when the traditional cuts are taken, the tempos of"
the Symphony in general seem to slow down. The slow tempos
emphasizes the £ormal chaos oreated by the outs, as well as
lengthening sections that, as a result of. the cuts, become
unimportant. The music needs to move, not drag. The cuts
in the music shall be discussed in the context of each
individual movement.
104
105
STRUCTURE AND COMPONENTS OF THE INDIVIDUAL MOVEMENTS
Movement One
The first movement is in sonata :form and is presented
the chart in :figure 6. The Fate motive of the Symphony,
and its first two variants, are presented and extensively
developed in the introduction of t~1s movement. This
section builde by canonic imitation to a olimax in measure
fifty. This is a prime example of the composer's
contrapuntal skills, with the harmonies o:f this section
reflecting the contrapuntal nature o£ the music.
The first theme area, which is derived from motive X,
is in a binary form. It is generally subdued end modal in
character, underpinned by tension and .foreboding that is
z'e:flected by the tremolos in the string accompaniment. The
harmonic progressions throughout this part emphasize the
modal character of the aymphony.
Example 43. Modal progressiona, movement one

measures 73-77
106
Tenaion and excitement begin to build in the
transi tional section (114-134) by intensification of the
dynam:i.cs Bnd rhythm, and a w:lden:L'ng of the range of the
instruments to encompass the low registers as well the
high (0 -d2>. This build-up reaches a high point in
124 Bnd then gradually fades into the- second theme
(134-172>. Although the transition passes through only two
keys, e: Bnd g: I the secondary key regions of a: and D:
hinted at bexers reaching the final key (G:) of the
trans! tien Bnd second theme area (shown in the accompanying
chart presented in figure 6).
The .first and second theme areBS contrasted, not
by their lyricism because both sections lyrical, but by
the charsote-%' of the individual sections. The aecond theme
area is a lilting and gracef'ul theme in a major key, whereas
the :first theme is in a minor key and is .filled with tension
and foreboding. The second theme grCl':lB after the
gloomy and stormy atmospheres of the £irst theme and
transitional This section also belies the
conventional idea that Rakhmaninov could only successfully
compose in minor keys and that everything he wrote was
gloom-laden (Walsh, 43), The first haLf of the second theme
(134-148) is repeated and expanded in 148-178. This
repeat also :functions as a bUild-up to the climax of the
section (measure 159), which then gradually decrescendos

107
through the second part of the second theme area ( 173-189)
to the cadette (173-199),
It i s .1n the second theme that. the first. of the
traditional cuts is taken. When 169-172
removed, this CBuaes the winding down :from the climax to be
shortened and eliminates the descending line (g, fit, :f, e,
d). While this is o:f minor importance, i t is indicative o:f
the havoc that is to occur because of the remaining
"traditional" cuts that are taken. The disproportions
established here will continue throughout the symphony.
The cadette (189-198) £unctions as a :further .... inding
down :from the climax of' t.he second theme However,
this ef:fect is lost if" another established cut (189-94) is
taken. This reduces the codette by three-:fi:fths, from ten
to :four.
The devel.opment section o:f this symphony is a large
binary form. The :first section (199-271) is also a binary
:form, while the second section (271-345), which begins in
the dominant minor key (b:), is in a sectional :form.
In the (a) section of the development (199-271) the
key descend Btepwise down from the tonic in 199 to the
dominant minor. A:fter the initial descent, the ~ey of b: is
then circumvented and circled be:fore being :firmly
established :l.n measure 271-
Motive X of the symphony and the accompanying figure
of the :first theme ar£!' developed in the first subsection.

108
Example 44. Firat theme and motiv~ X, development

measures 2Q1-203
Also, in this section there arE' two cuts that
tradi tlonally taken in 255-58 and 265-66.
Uni'ortunately these cute disrupt the exactness o:f the binary
fOTm of the (a) section.
In measure 271, the hal:f way point of the development,
Fate bursts through in the dominant minor key (b:). Not
only is i t recognizable as the Fate motive, but i t resembles
the beginning of the introduction with the opposition of the
brass section to the string section.
Example 45. Heasure 271-274, derived :from the introduct.ion

109
From this point on, the music builds up to the climax
of the development (321-345) with the orchestra at a
iortiaadmo full tutti. There is 'an eighth note pattern
based upon motive X in the strings and woodwinds and a
f"anfare in the brass section. The eli max of" the
development, however, is not the climax of the movement. It
is but the beginning of the final build-up to the grand
climax that occurs in the recapitulation of the transition.
In this final build-up (321-386) each" section iOT1fIS the
climax of the previous section and the beginning of another
build-up. The techniques used' to create these massive
build-ups are sequences, pedal points, Bnd oetinet!, typical
of the RUBsian aymphonists. The build-up begins in
279 with a main pedal en "e" in the herns, timpani, and
violaa and a secondary pedal on "eb" in the string basses.
The "c" pedal changes in BUc!'S'ection :2 to an oatinato pattern
based on motive X which is l.ater sequenced in the viol.ins.
Unfortunately, the (b) section o:f the development, which is
the beginning o:f the build-up to the grand climax, does not
escape the ravages of" expediency. Fourteen measures (283-
96) of the second SUbsection (283-321) are usually removed,
and, again, the balance of the binary f"orm and the
e:ffect of" the bUild-up Bre weakened.
Thi~ section cl:Lmaxes into the retransition where the
descending pedal tones in the contrabaasea, the pedal chords

11Q
1n the trombones and violencelli, the oatinato and sequences
in the strings, and the iortississimo falling fi:fths Bnd
octaves in the horns, woodwinds, and trumpets all combine to
make this passage very exciting. The change :from the
retrsnsition to the recapitulation of the first theme area
is inaudible because the tension begun in the de?velopment
continues to build through the retransition and into the
first theme area of the recapitulation. The tension created
by the dominant pedal in th~ contrabssses and the
continuation of the £811109 fifths and octaves 1n the
woodwinds and horns make the :first theme sound like part of
the development. This build-up continues throughout the
recapitulation of" the first theme area and into the first
section of the transition.
In the recapitulation of the first theme £IrS's, th~ .
theme i teel:f is turned into an ostinato pattern in 367-376
which J.eads into the :finel section of the build-up to th~
climax of the movement. As in the :first movement of
Tcheikaveky's Fourth Symphony, the length o:f the first theme
Brea has been curtaile!:! ~by sixty-five percent) to maintain
interesL At this point one of the "traditional" cuts
usually made completely eliminates the recap! tuletian of the
first theme area. This cut, above all others in this
movement, truly gives meaning to the charge o:f
"formlessness" cited bi" many critics in the past, beceuse

111
the return of the first thematic area is mi8z3ing compleott.'"ly.
With the arrival of the gecond theme area in 424-494 the
listener is finally aware that the recapitulation haa
arrived. The second theme area is essentially the same as
it was in the exposition, except i t is now stated in the
tonic major.
Like the second theme ares the cod etta (494-504) is
similar to that in the exposition. However, unlike the
second theme area, the cadet ts is another of the sections
that is totally cut in thE' purged version of this symphony.
With this cut the second theme moves directly, but not very
convincingly, into the coda (504-568) and :final build-up of
the movement, which is aleo shortened by a cut of aeventeen

112
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113
Movement Two
The second movement is in a Scherzo-Trio-Scherzo
.form BS shown in £:lgure 7. The Scherzo, 1 teel£ a rounded
binary form, begins with a fan£are passage in the trumpets
that bears some resemblance to the Dies Irae chant. The
main theme o:f the Scherzo is then presented in the first
Bubaection of the rounded binary (7-19) and is developed in
the (b) subsectien (49-65). The key structure in measures
49-65 is a stepWise descent from e: to Bb:, in which all oi
these modulations, .from e: to D:; 0; to C: ~ and C: to Bb:
respectively, are achieved by chromatic pivot chords such as
is shown in example 9.
Example 46. Chromatic pivot chord modulatioi1

measures 52-53
The (bl section of the Scherzo (85-173) is in the key
of the mediant major, C:. This section is a complete
contrast t.o the (a) sect.ion in that the melody is IImolto

114
cant.abile", and the harmOftio rhy-th;; is essent.:La11y one chord
per measure, which is Wlueh slower t.han the previous section
where the general harmonic rhyt.hm VEiS one chord per beat.
I t 1e this sect:l..an (85-133) wbich Pecipl.iO- cOlis:Ldi.sr -typical-
of Rakhmaninov' s music. It. has a lyrical, singing melody in
the string section, has a slow harmonic rhythm Cone c;::hord
per bar), and is modal in quality in that i t moves either by
step or by thirds. From measures 8:5-101 there is no
dominant eeventb cbord, ~nd this further emphasizes thli'
modal quality of the section. The hermonies employed
tonic, medient, suhmed:lant, or suhdominant in function.
When the first Km7 chord appears, i t is not. the dominant of
the key of the section, but is merely part o£ a circle o£
fifths.
Example 47. Km7 :froll circle o£ fifths, measurlfi>&I 101-104
The retransi tion to the return a£ (a) is accoMplished

9
DY an Enm" or EliMa? pedal. chard. and a mel.od1c line 1ft the
v1ol1ns that descends chromatical.ly frOID t.he dom1nant of the

115
The return o£ section (e) (133-188) is baaed upon the
theme of that section, but is not an exact repeat of the
original (a) (1-85). The oomposer curtailed the length Bnd
used the material as an anticlimax that. leads into the
codet ts Bnd end of the Scherzo.
The Scherzo ends in indecision. The dynamics fade to
a pizzicato pian1es.1es1mo witb the violoncelli Bnd the
contrabaseea pitted against. the violins Bnd violas.
f:
Example 48. End of the Scherzo, measures 182-188
The overall form of the Trio <189-308) is yet again

7
another binary. ThiEl is confirmed by the BMm chord, the
dominant. of the key of the Trio, at. the haLf-way point.
(measure 241). The Trio begins as a Iour- voice fugato
(189-227), where the subject is divided between two voices
and outlines an oct atonic aoale.
Example 49. Octaton.1c Scale, measures 189-193

116
The eighth note pattern eatablished in the violins in
this section becomes a rhythmic ostinata that continues
throughout the Trio. The fugato then leads into en epiaode
based upon the subjo;;.~t {211-227L i1eaau:C'ea 227-241 :function
gradual dynamic descent into the next s""ction of the
Trio.
S£'ction (b), the central section of the Trio, after
introductory phrase based on the :fugal subject, features
a march or hymn-like chant in the brass section that is in
the' key of the nee pol! tan~ The cadet ta :fades into nothing,
just as in the Scherzo. However, immediately after the
softest pOint (measure 2B7) the ratrans! 'lion to the Scherzo
erupts.
F,~
'f!
J@ I~
Example 50. Retrans! 'lion to the Scher:c.:o, measures 307-308
The materiel of the retrBnsi tion is based upon the
eighth note :fugal subjeot of" th~ Scherzo and is a build up
to the olimax o:f the movement. The return o:f the Scherzo in
117
t.he uncut version essentially follows t.he pattern of the
orig1.nal Scherzo. However, a cut :from measure 370-454 has
become tred! tional. This cut of e1ghtY-£OLlX"
destroys the form and coherence o£ the movement because it
eliminates whal.e sections from the recap!. tulation o:f the
Scherzo (see figure 2) Bnel thus approximately half o£ the
section has been removed.
The code. begins with an altered state1llent of motive X
in the low brass, which bears a resemblance to the Dies Irae
Chant. The music £adil!!'s into oblivion and enda with aD

6
altered authentic cadence, III to 1.
Example 51. End of movement tvo, 1IIeasures 530-532

Rakhmanlnov 2-3
[Intra] 1_5 [A] 6-691 (TR] 41-49, [0] 48,,_94 \11
--
(a)6-2~ {b)28~ -49, (,1)4&t- 67, (2)67-87. 0)87_94
(1)28 -36, l2136.. -4'. (a)48.4 -58 (a)59-67, ~ =-=-
t 4ths '" \-5 repeat 45 2 m phrase 2 m phrase cut 67-74 .. 1-5
mot X =4a~-5B 3-Rel Mod.
~D: -t A: .:,. 0: 0, ~C: 1: -., C:
0:14, ..,. C:45 8:53 G:60 1 "
(c#:69)
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mot x- OntroJ 1043 -108 (a)109-132. (blt32-139, (2)147.155 1 0) 155·170
=1-5 cut 109-3~ <:::::. ::=-
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0:97 0:117 b:141 0:154 4 A:159
b:99 fA: "9
£:101 A:123
elf: 1032,
D:104~
A: 105,
lAC 104 PC lOB PC 131 PAC 139 PAC 10
Figure 8. Third movement structural chart

119
Movement Three
The third movement is a large ternary BS presented in
;figure 8. The main theme of the Adagio is presenteG 1i"~ 'the
introduction (1-5), and is derived £rom the second subject
of the first movement.
The theme of section [A], which is in the clarinets,
is one of' the two types o:f Rakhmaninov's me.lod1c style as
presented in Culshaw' s bock, §~~g~~ __ R§H:;;:t,mgn!!1g*;{ (Culsha'r!
50). It is extraordinarily long (22 measures), hEiB a
range. Bnd:La centered around one primary note, £02. (The
second type is lyrical and expansive, with a range a£
than octave. ) This sUbsection (2-28) essentially
consists of the above melody plus the orchestral
accompaniment. The second subsection of rAl is a sequence
based on the melody presented in 6-28, and builds to the
climax on the theme o£ the adagio (1-5) in 36-41. The
cadetta o:f section [Al, which is quite obviously from the
introduction of the .first movement, gently fades into the
beginning of seot.ion [E] (48-94).
Section [Bl 0:£ the adagio is in three eeoticm. The
first (48-67) is a set of two-measure phrases that are in
block :formation. First, the strings !llay for two measures,
followed by t.he woodwinds. The alternation of these two
bar-phrases continues until the beginning of subsection 2

120
(67-87), Subsection 2, bEtaed on measures 57-58, is a build-
up to the grand climax of the movement, which is in 87-94.
To f'urther heighten the effect of t.he bUild-up, a majority
o£ the modulation types are by third relation, a good
example of which occurs .1n measures 67-69.
Eight measures <67-74) of this build-up form part of
a standard cut. The removal of these measures from the
bUild-up unhappily reduces the impact of the climax. No
longer does the music creecenGo from piano to fortissimo,
but from for't~ to Ioz-tissimo. With the cut there is no
bUild-up, and the c11max is almost anti-climatic.
The retransition to the return of [Al is based on the
main theme of the movement (1-5). Accompanying the
statements of the pri.nciple theme is music from the cadetta
of section [Al. The modulation types employed throughout
the retransition are either DPC or CPC, vastly different
from the third relations of the build-up.
The recapi tu~ation of section l Al, beginning vi th a
restatement of the introductory mat~rial, fo~lows the basic
layout of the original [Al. The return of the original
clarinet melody o;f section [A 1 is in the shortened version
totally eliminated. The music jumps :from the recapitulation
of the introductory material (measure lOB) to subsection (b)
of section [Al (132). Subsection (b) (132-139) functions as

121
a build-up to the £inal climax o£ the movement in
139.
The climax, which begins the coda, is again based
upon the theme o£ the introduction. After the £1na1 c1.1max,
the music winds down, and the movement ends quietly and
gently_
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123
Movement Four
The form of the fourth movement, as shown in figure
9, is a seven-part Sonata Rondo. This is clearly described
in a letter :from Rakhmaninov to his friend Hr.lrozov C1906)
(which is discussed in the .introduction to this chapter).
The AB-developrnent/episode-AB, description proposed by John
C:ul~ha~ deeo::: net :folluw the pI en explained by
Rekhmaninov. Culshaw'a rBl is actually a third theme (or
section eel) of the seven-part Rondo.
The .:I..r.troduction begins with a stuttered utterance of
the prinCipal theme and leads very quickly into the CAl
section o:f the Rondo and the principal theme of the
movemE?nt. The principal theme is another -atypical" one.
It 16 happy Bnd upbeat, not gloomy, morose, or singing,
his themes are norma.lly assumed to be.
Example 52. Principle theme o;f movement ;four, measures 5-9

12.
The harmonic rhythm of this section (5-41) is rather
:fast, mostly one chord per beat. While the [AJ section is
:firmly grounded in the tonality a£ E:, there ere unusual
s1 tered chords or progressions caused by the voice leading
and contrapuntal techniques.
28 29 30 31
EM £J1m DM
4
AM C+ g#m a#
G
"7 am c#m. DM Bl1m
G
EI'I
2 4 7
Example 54. Harmonic: Rhythm, measures 28-31

mostly one chord per beat
It is in this movement that the use of a1 tered
progressions or chords is evident. The first [Al section is
divided into a binary .:form with B dominant seventh chord at
twenty .five. The Cb) section is B further
elaboration 0:£ the principal theme.
The [BJ section is a soft march-like tune in the
woodosinds. Its derivation from motive X is obvious.
wr.. &1,1
Ex::omple 54. Movement £o'Ur, section 5, mE'BSUreS 53-57
125
This section uses keys other than the "textbook" keys that
one expects from reading about Rakhmaninov' s retrenchment
follow.iog the failure of his First Symphony. It follows the
established pattern of tonal movement up a third of the
pr:!O' .... iou8 movements (see figures 6, 7, and Sl,
Even though the retransition to the principal theme
arrives at the expected tonic in a round-about method. It
begins with an ebm chord that eventually leads to the German
atlgmented sixth chcrr'd in eb ~.' "!'hich becomes the dominl!nt
seventh in the new key of e:. The key of e; is immediately
confirmed by a perfect authentic cadence.
b,
Example 55. Retrans! tion to tonic key of" e:, messures 80-81
The first return of section [AJ (Sl-117) essentially
:follows the same order as the original EAJ (5-41). At this
pOint, though, another traditional out, :from 81-102: if:
commonly taken. When this occurs, all that remains is

126
fourteen measures of the original thirty-six. or j uat
one-third of the section.
The transition to section [el (121-131) sets the
lyrical and expansive tone of the third theme. The
character ot" aection [el (131-250) is totally dii.ferent from
the preceding two themes, being net ther· :fast (rAJ) or march-
like [Bl. The theme stays in D: for the most part, with
only momentary e;(cursione into the subdominant key area of
G:. The form of this section is B rounded binary (aba).
These di·.. is!ons are not decided by key, but mostly by
melodic considerations. The first subsection (s), (131-
159), is composed o:f two parallel periods, the second
subsection [(b) 159-181] is of different melodic material
(derived :from the third movementl l but does not begin in the
key of the dominant. It is this subsection that contains
all o:f the modulation of section [CJ. The melodic material
of subsection (al, returns once more in 189-196l in the
tonic D:. However, the music has been curtailed. The first
statement 0:£ Subsection (a) now consists o:f only one phraae
o:f the origl.:~al parallel period.
The harmonic rhythm of this section is relatively
slow, one chord per measure. The slow rhythm accentuates,
by p~olongetion, the e.ltered chords that are part of this
section. One of the featured chordal progressions of this
section is caused by the contrapuntally conceived voice

127
7
lead1ng~ V7 - VbS - I. To :further emphasize the altered
chord and progressions, the woodwinds Bnd high brass iterate
the individual chords in the £ollowing triplet pattern~
Example 56. Chords reaul ting from stepwise motion

in bass, measures 163-167
The cadette (210-250) is a winding down :from the :final
statement o:f subsection (a), which is the climax of' section
[C].
The developmental section begins by stating material
£rom all three previous movements. Measures 245-250 are
remin1scent of' t.he themes of movelllents one Bnd two, while
measures 251-66 develop material from the third movement.

128
The majority of the developmental section is devoted to
working out the- possibilities of the principle theme of the
fourth movement. It appears in augmentaticn~ diminution,
and 1n
The ret.ransition is B masterpiece of scalar work with
the debt to Tchaikovsky being quite obvious. However,
Ra.knmilninoy uses the scales in a manner unlike TchBik~vsky' s
which are normally quite metrical and in block formation as
in the :fourth movement. of" the Fourth Symphony. The passage
begins softly and in solo in the bassoons. As the music
grows, instruments are added section by section until a
massive tutti is reached. Each instrumental section plays
its scales in a different rhythm from the other sections,
never in the same rhythmic pattern, and on both the strong
and weak beats of the measure.

129
Example 57. Retranai ticn to first theme area

130
The passage grows and climaxes in the recapitulation of
section CAl. The recap:Ltulation o:f the £.1rst part of the
movelllent (1-131) follows the order of the beginning.
However, at this po.1nt, several cuts are taken by some.
These cuts consist of measures 340-415, 432-435 and 452-455
and make up .forty-siX" percent of the music. The damage to
the coherence is of such magnitude that i t is no wonder his
music is considered formless when so much is removed at a
whim.
Section [el is recapitulated in the Coda (504-573) in
the tonic major key, E:. The music builds to the climax of
the movement, which is on the theme of section [e), Bnd
finally moves into the final build-up to the very end of the
movement and symphony.

131
SUMMARY
Rakhmaninov' e Second Symphony is very tightly
structured. He employed the "stendard" :forms :for movements,
i. e., Sonata, Scherzo-Trio, Ternary, and Rondo. The binary
:form is extensively employed for the smaller internal forms
ot: the movements. The theme;s of this symphony :fall into the
two basic categories established by Johp Culshaw in his book
on fiakhmani.nov·s music (Culshaw 64). They either center
around one single note, BS the motive of: the symphony does,
or are expansive and lyrical melodies that move by step or
third, and occur usually in the string section. It is thS'
latter type of melody that is considered "typical" of
Rakhmaninov, because they are the easiest type to remember
and are the ones that are lifted bodily out of the symphony
and used for the melodies of popular tunes and musicals
(~!!~:i~).
Structurally, his themes are irregular in shape.
good example of this is the clarinet theme of the third
movement. It is twenty two measures long, having no
de:finable internal structure.
The cuts in the music that are traditionally taken
destroy the exactness of the whole form and the smaller
internal. forms. Often times the recapitulation of principle
themes or sections are cut and causes structurel chaos.

132
Because of these extensive cuts in the music, it is
wonder critics consider his music "formless", because the
cuts made the original. :form structureless.
Harmonically, Rakhmaninoy used B wide range ox
sonorities varying from major triads to eleventh chords, but
all of these aonorities are well within nineteenth century
tertian harmonic language Csee Table 5, below).
Table 5. Sonority Types
total
591 481 153

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27.92
0
20
, "
13 10 IOJ I.'"
..""
16 18 16 .71
" '"'"
3J 5 J4 1.57
640 361 171
47
" " "" "" 179 306
24.30
4.15
" '.S<
...
lOB 111 J5 103 363
•,, •
07 9B 58 .. ez
16 ZOO
16 17 .Z!
10 5 18 .24
...... , " ."

-
"'b5 ZI
• 2 19 .Z8
"'"
57
" , ... 125 1.70
,....,
.., J4
.03
.05
Bichord
Unison
18
20 ., ." 18
Scales "' 48
79 79
I.",
1.07
133
His chromaticism stems from altered chords and from
unusual or modal progressions and the use of non-functional
chords wi thin a key. An exccollen't example of this is in
measures 390-414 of the second movement where the following
progression is repeated Bnd sequenced.
390 391 392 393 394 395 396 397 398 399
~ ~
6
e "
6
~ d "
7
~
4 5
Example 58. Non-traditional progression
Other unusual progressions arise from the
contrapuntal nature of the music and the composer's tendency
to fill every space the page with notes and quickly paaa
through secondary tonal areas.
The majority of the modulation types utilized in this
symphony are either diatonic or chromatic pivot chords,
which together make up 68. sa percent of' the modulation types
employed. Af"ter these two modulation types are the linear
(14.07 percent), enharmonic Mm7th (7. 41 ~ercent), third
relation (5. 19 percent), and enharmonic di m1nished seventh
(2.96 percent).
The perf"ect authentic cadence is the important
cadence of" the work since it' makes up fifty-one percent of
the cadence types and ends the important sections. The
plagel, imperfect and half' cadences are used to end internal

134
sections and none are BS structurally imp~rtant as the
perfect Buthentic cadence.
This symphony, when peri"crmed v1thc!!.!t the cuts snd
taken at a moderate to quick tempo, is B masterpiece.
Un£crtunately, there are many recordings and performances of
this work where the> above conditions are ignored. The cuts,
as has been shown above, render the music meaningless, while
the slow tempo favored by some ciJii.duotors causes the work to
Both of theBe cend! tiona
detrimental to a successful per:formance, Granted the
symphony is not without its faulta, such as periods where
the music is static, but these occurrences are far :fewer
than is led to believe by the critics. The work is
truly beautiful and interesting.

135
CHAPTER FOUR
SYMPHONY NO. 3 IN A MINOR, OPUS 44
The Third Symphony in A Minor, Opus 44 waa completed
in 1936 almost thirty years a£ter the Second Symphony was
finished in 1907. Rakh;naninov wes very aot! ve during these
years BS a composer, pianist, and conductor. Most of his
masterpieces were written in the years tha't. span the
completion of the Second Symphony in 1907 and the beginning
o:f the Russian Revolution in 1917. Most notable of these
the tone- poem Ih~_!§!.!!L9;L!:h~_Q§!!!~ (1909), the Third
Piano Concerto (1909). b!!:!:!!:gy __ g;g __ §£!.. __ :=!S!b!L_~b!:~§g§t.Q!!!
(1910), Ab;LM;hgh!:_y!g!! (1915). !h!LE§:!!.§ (1913), and many
songs Bnd Bolo piano pieces.
The symphony's :first per:formance was on November 6.
1936. It was played by the Philadelphia Orchestra and
conducted by Leopold Stokowski {Thompson 417). The score
was first published by Charles Foley in 1937 and the revised
score was published in 1939 again by Charles Foley. Both
the original Bnd the revised scores were TAIR editions
CThrelfall and Norris. g!!t~J:Qgy~ 142). According to

136
Threlfall and Horris the first edit.ion by TAlR "appears to
have been originally '1m Selbstverlag des Komposisten'
(Shades of Schoenberg Bnd Sar-iabin)" (Tbrelfall and Harris,
~!!:t..@!gg 1.43). This is pOBsibly B reference t.c some of: t.he
characteristics of this symphony, most. notably the extended
use of the tritone.
The reactions of the crt tica t.o the first. performance
of the Third Symphony were mixed, both :for and against., but
mostly a9a1n81:.. Edwin Schloes' review in t.he f!!!!!!g!!:=l:l!h;!;!

~!!:gg!:g is en excellent axample of t.he prevailing opinion.
The new Rachmaninoff Symphony a

disappointment. at. least. to one member of
yeste-r-c,!!IY's audience. Writt.en in three-
movements. there are echoes in the music o:f the
composers earlier lyric spaciousness o:f style.
But sterility seems largely written in the pages
0:£ the new score. (Bertensson and Leyda, 323)
However, Samuel L. Laciar presented an opposite view
The symphony ••• is a most excell.ent work in

musical conception, compos:!. tion and
orchestration. Emot.ionally, i t 1.s :full o:f that
def':l.snt melancholy which :l.s one o:f t.he
outstanding characteristics of the composer. Mr.
Rachmanino:f:f, as always, has been conservative in
his harmonizat:l.ons, and he has given us another
example in this work that i t is not necessary to
wr1 te dissonant music in order to get the
originality which is the great.est.--and usually
the singl.e--demand of the ultra-moaerns ••• It.s
single drawback seeMed to be insufficient
contrast. in t.onal! ty and mood. (Bertensson and
Leyda 324)
137
The symphony is a controversial work, with comments about i t
ranging from Alf'red Swan's positive appraisal in his article
The symphony contained all that wss beat in

Rachmaninoff: rich, original melodic material,
rhythmic brilliance and masterly orchestration,
and is a work that, as I have said before, is on a
par with the i'inest creations o.f his pre-exile
period. (Swan 190)
to B. H. Haggins' lie chewing over again of something that
never had importance to start with, II (Bertensson and Leyda
324),
Most or! tic1sm seems to indicate that this symphony
essentially a rehashing of his earlier mu~ic Bnd
therefore he.d nothing to add to the musical repertoire. As
John Culshaw says:
What makes i t f:iOlil iz, ,,:::'!: 80 TlH.!t::n an inadequate

plan :for a symphony, but simply the lack of"
something to say ••• the final result iI'S a feeling
of emptiness... (Culshaw 71)
Culshaw continues to give a sketchy analysiS o:f the
Symphony. He begins with "Formally, it [the Third Symphony]
is exactly similar to the Second Symphony" (Culshaw 69), In
ae much aa the symphony is loosely organized around a single
motive, with elements o:f the motive subtly woven throughout
part of the piece, i t does partially :follow the format o:f
the Second Symphony. However, unlike the SecoJ)d Sf.!'Iphony,
i t is in three movements, not :four. Even at :first glance i t

138
is not exactly similar to the Second Symphony, but ie, when
examined thoroughly, far different from the Second.
Gone are the lyrical elements of the Second Symphony
and Second and Third Piano Concertos. Instead the Th.1rd
Symphony is a work that is terse, tight, and concise, with a
form that is no longer as clear cut as the form is the First
and Second Symphonies. Its :form seems much more rambling
End presents more variety in the choice of moods than
el ther the First or Second Symphonies. i\1:: Limes the music
is very lyrical and sweet, as in the expoai tien of the first
movement, while at other times i t is terse, ominous, and
confused, with a continuous underlying sense of" unease. The
juxtaposition of the di££erent moods and styles is the
for the development section 0:£ the first and last movements
and the middle section of the second movement. The changes
from one mood to the neKt often abrupt.
Thia symphony, also, like the two previous
symphonies, is a "Fate" symphony. The Fate motive opens the
~o=-k E1.~d is '.\e~d ~t :I.mportant structural points aa well as
both beginning and ending the first and second movements.
However, in the third movement the "Fate" motive is used
sparingly and is replaced in the third movement by a
:fragment of the Dies Irae.
Some o:f the motivic traits of both the First and
Second Symphonies appear in this York. Like the First, the

139
motive is repeated in different movements (especially
movements one and tyo) and like the Second, the motive is
wovaon into the fabric of the symphony. Although the Fate
motive is worked into the i'abric of this symphony, its use
is not as extens.:l.ve as in the Second Symphony. Neither does
the mot.ive dominate the work as the FatS' motive did in the
First Symphony. In addition to the motive, Rakhmaninov also
used the interval of B tritons (usually :from -a" to "eb W ) to
organize the symphony. It is used in all three movements and
appears b&tween the key areas o£ d!f.ferent sections,
important chorda, as well as beginning and ending the
symphony.
Mention must be made on the three movement form
which, Robert. Walker says, an innovation for
Bekhmeninov (Walker 118) • Wi thin the central movement,
though, were elements of the more tred1 tional four movement
structure becaus,,", the second movement contains both the
Adagio and the Scherzo. In this symphony, though, it is the
Adagio which is recapitulated, not the Scherzo of the
trad! tiona I form.
This symphony is more experimental that either the
First or Second Symphony. The Third Symphony abounds with
al tared chorda, as well functional and
traditional progressions that part of Rakhmaninov' s
trademark. These very chords and progressions create the
mysterious atmosphere t.hat pervades the symphony.

140
141
STRUCTURE: AND COMPONENTS OF THE INDIVIDUAL MOVEMENTS
iiovement One
The Symphony, which is in a aonsta :form as shown in
figure 10, begins with a quiet statement of' the Fate motive
in the clarinets, stopped horns and vio.lincelli. The modal
quality of this beginning, and of the work in general, has
caused many people to observe that this symphony is his most
"RU9sian R sounding symphony (Glebov 5B). In the original
manuscript (1936) the Fate motive was scored for :four horna
in octaves and three trumpets (Threlfall Bnd Norris,
Q!a:t.~J.Qg!!€ 141).
Example 59. Motive of' the Symphony, measures 1-4
The progression that is important throughout the
symphony is the tr1 tone relationship between the Ebl'lmM+
eleventh chord in measure eight and the "B" minor chord in

142
measures nine and ten, which is the chord of resolution.
The tritone relationship between these two chords is
important unifying element of the symphony and :I. ts
appearance in the intr<:lduction presages :I. ts use throughout
the symphony. In addition, the chord, itself, contains the
same tritone between the root, "eb lt , and the eleventh, lIa."
Example 60. Opening progression, measures 8-9
The music then sweeps eway from the motive and into
the first thematic area, which enters very quietly and
gently, still 1n the modal key of "a" phrygian. The f:l..rst
theme area is a recognizable derivative of the symphony's
Fate motive:
01 rl
Example 61. First Theme Derived From Motive, measures 12-14

143
The first theme area, which begins in "a" phrygian if""'
very lyrical and bittersweet 1n character. The quiok
contrasts presented in the introduction and first theme area
show at once the frantic and disjointed nature of thla'
symphony. The atmosphere of the music changes abruptly from
subdued (measures 1-4) to frantic (measures 5-10) and back
to subdued (measures 10-30) within a span of twelve
Not until the transition begin:::: does excitement and
tension begin to build. The transition is basically B
build-up to the second theme area and begins with
alternating eighth note duple and triplet patterns in the
woodwinds Bnd strings. The tonality o£ the beginning o:f the
transition is blurred because of the undulating patterns in
these instruments.
Example 62. Measures 30-81
By the middl.e o£ the trans! ticn the tona1.1 ty has
set. tled into d:, which then moves to the dominant key of the
symphony, E:, £or the second theme area.

144
The eecond theme area 1s the start of B bu..11d-up to
t.he cadetta. The beginning o:f the second theme is similar
in quality to the :first theme area, however, these two
sect.1ons are eventually contrasted by the changes in range
and dynamics wi thin the second theme area. The :first. theme
mostly centers around one note (ne") and remains at a
dynamic level tJf piano. The lyrical second theme area is
not. centered around one note, but grows to encompass a range
of up to an interval of a tenth, and gr~duBlly builds up
from p1anissimo at the beginning of the section to
fortissimo at the end of the section.
The :form of the second theme area is a rounded
binary .. In the ;first half of this binary (measures 49-69)
the tonality is solidly ;firmly in E:. However, in the
(.b) section of the rounded binary the stable character of
the tonality and melody changes. No longer is the section
firmly in &t, but rather it is now modulatory as it leads
into the codetta, the climax of' the exposition. The music
passes through tonalities that spell oui" the leading tone-
chord (bI!S7) of the penultimate key of the Exposition, Ct.
This is itself the dominant o:f t.he next and :final key o:f the
exposition, F =
Thil!!!' important modulations o:f the exposition, from the
tonic key (al) through t.he dominant (E=) and to the
sublllediant CF:), :form a long range deceptive cadence. The

145
deceptive quality of this tonal movement is imitated at the
local level by the cadences at the end of the aecond theme
and throughout the cadette. This cadence 1e
:functional in the local key of' F:, but is a deceptive
cadence in the tonic key of the movement, B:. Furthermore,
it underscores the deceptive quality of the overall tonal
movement.
==
Example 63. Cadence at end of Second Theme
Measures 83-84
The development is divided into :five sections and
re:flects the unsettled and :frantic tone set. in the
introduction. Accompanying most of the development is the
nervous triplet rhythm :first heard in the transition (3Q-
49). The first section features parallel chords, that are a
result of descending, parallel thirds between the bass and
the upper voices and parallel £i£ths and oblique motion
between the bass and middle voices.

146
I::. I
Example 61!. Parellel chords measu.ras 105-10a
In section two (126-139) of the devi!'lopment, the
triplet rhythm o£ the previous sections is expanc~-! into a
aextuplet rhythm in the clarinets, Bnd a nervous tune is
sequenced in the strings. All o£ this occurs over a pedal
tone on "bb" in the horns, trombones, and tuba. These
£estures when combined constitutes a build-up that climaxes
be£ore the third section o£ the development begins.
Section three (139-159) is the beginning ox the £inal
build-up to the grand climax o£ the movement. This build-
up, which spans seventy-£ive measures, is composed of
numerous smaller build-ups. There is no central tonic to

147
this section, and the combinations of the various sonor! ties
do not creatE' a strong sense of B tonal center.
142 143 144
BbMm AMmm d e EbMM B·

7 9 6 4
5 2
Example 65. Altered progrEl'ssion measures 142-144
Example sixty-fiVE? shows the lack of a tonic center.
Measure 142 can be considered as being in the key of d:
because of the BbMm to AMmm, (rGrtD--I) progression that
resolves to a lid" chord. However, the sense of lid"
tonal. center is negated with the dlll7 chord because the half
diminished quaIl ty is not associated with a tonic chord.
The following chords again suggest d: since the e04/2 is
enharmonically the leading tone diminished seve;>nth chord and
the EbMI1 seventh chord is the Heapoli tan seventh in the key
of d:. However, the 8+, like the dczl7 chord, brings the
tonal ce .. t.er egain into questio:l. The abov2 p:-ogrQQs:Lcn
exemplifiea Rakhmaninov's tendency to establish e key
end then negate that key area by the use of al tered,
functional chords. Other aspects of section three that
in:fluence the nebulous, drifting effects are both the rhythm
and orchestration. The rhythm is quite jerky, not as smooth
and flowing as one would expect fro>.: Rakhmaninov, and the
orchestration moves from one instrumental group to another.

148
The music reaches a secondary climax in section four
(159-177). This section is another binary atructure in
which the music of the (b) Bubsection <169-177) is totally
di.f.ferent from the (s) subsection (159-168), Subsection (a)
Q£ section four is choppy end' angular Bnd contrasts sharply
with subsection (h) which is smooth, flowing, and
antiphonal. The section begins with t.he horns and trombones
blaring out. a portion of the motive. This pattern, along
.... ith an accompanying triplet pattern in the strings. is
sequenced and builds until SUbsection (h) begins in measure
169. The two antiphonal parts of 169-177 merge
into one at the end of the section (175-176) Bnd lead into
the final and most. climatic section of the development.
It is in section five, the climax of the development,
that the weird, almost insane, nature of the music comes
through. After the beginning (177-189), the music abruptly
changes texture and a xylophone and a piccolo are added. As
Culshaw points out, the effect of the added xylophone and
piccolo with the bassoon on a melody derived from the motive
of the symphony is uncanny (Culshaw 70). Underneath this
odd-sounding tune, the harmonies alternate between AMm7
(dominant seventh of D~) and EbMm7 (GrS of I of D:), with
the tritone difference between the two chord being iterated
in the basses and repeating the opening tritone of the
symphony.
149
Example 66. Alternating chords a tritone apart

Measure 190
After th~s the musical line in the string bassE's
proceeds to move down a haLf step in 192 from Ira" to
~g#, II which is the pedal tone of the next chord and section.
No longer are the above two chords (AMm7 and EbMm7)
featured, the "Fate" chord, i#i! over a g# pedal tone, has
taken their plJ;tce. The chord is functional in the old key
(G:) as the vl1m7 with a neapolitan pedal and in the new key
(a:) as the vit.7 over a leading tone pedaL In the original
key of G t, the i# and the g# surround the tonic note by a
halt" step. In the new key of a: these ssme to tones
function ~s the sixth and seventh scale degrees of the
melodic minor form of the scale.

150
When this chord first appeareci, i t is in conjunction
with the dominant of G: (OHm7). The combination of the two
chords continuE'S the tritonsl pattern established in 191-
192. Because whenever the chords change every voice
tTl tone to its next nate.
~
~
Example 67. Alternating chords a tritone apart measure 192
By measure 196 the Dl'1m7 chord has been dropped and the only
sonority heard :for remaining t.h.irt.y :feur l'i'I~asures ot" the
"
retrensition is the "f# 7/g# pedal. This chord is the "Fate"
chord of the symphony because i t heralds in the return of
the Fate motive, accompanies the return of the motive, and
lasts for one hundred and forty four beats (based on the
quarter note beat).
The return of the introduction (226-229) is part of
both the retransition and the recapitulation. As the

151
beginning of the symphony the motive is present, however,
the accompany lng harmoniec not the aame. This section
is part of the recapitulation because i t brings back the
introductory material. It is part of the retrans! tion
because i t is accompanied by the £#v!J7/g# chord that unifies
the whole of" the retrans! tionA The restatement of the
introductory material resolves into the key of a: when the
"g#" in the basses moves up a half step to liB," then thE'
"f#n :first moves down to an ~f~ (and in the process forms
FI1 chord) and thence to the fifth of the "a" minor chord.
I'::: ~~ I: i
E:<ampleo 68. Tonal movement from retransition

to recapitulation measures 229-230
In the recap! tul.ation there are some changes from the
exposition, most notably in the transition, second theme and
codette. Both the transi ticn and cadette are shorter. The
large differences occur .in the second theme area where the
Cb) section is no longer a complete theme, but is composed
of three :false starts based upon the beginning of the second
theme. Finally, in the repeat of Bubsection (a) (275-288)

152
a oomplete state men t o£ the second theme ar:ooa is heard. The
coda £unctione: as a gentle winding down to the £inal ominous
statement o£ the motive.

153
f •~ ;:
E f
f
g ~-
~
~
f
~
~
f
5
,-.
i~ G§u
;;
~
~T~ ;~
u:.:.:;
:§-
I
j
154
Movement Two
The second movement of this three movement work, is B
ternary :form Bnd replaces bo'Jth the second Bnd third
moveraents found in the usual four movelnent symphonic plan.
The first part of the ternary, the Adagio. is a sonata rondo
(see .figure 11>. The movement begins with an inverted
statement of the motive accomJ)sn1ed by complex chords beyond
the seventh.
Example 69. BQlginning of movement two measures 1-9
The principle melody of section Ca), which is in ott
phrygian, comes after the opening statellent of the motive.
Exampl.e 70. Principle melody of the AdagiO measures 10-13

155
4
Section (a) (1-26) ends with en altered plagal. cadence v VII3
4
- I 'Btfm3 - C#M). The plagal. quali t.ies of this cadence
emphasized by the bass movement of "f#" - "0#".
Example 71. Altered Plagel Cadence measures 23-24
The second section of the rondo (30-49) is a binary
form, in which the first halz is very delicately scored :for
harp, strings and woodwinds. The second half is much less
lyrical and relaxed because of the use of sequences and
complex chords in the strings and the harp and builds-up to
a climax in measure :fcrty-:five. After the climax in
forty five, the music slowly fedes until. section (a) returns
in measure :forty-nine. However, i t is not in the original
tonic key o:f C#:, but in Eb:.
The .following section [Ce)] C55-82) develops both the
melody and harp accompaniment o£ section (b) (measures 30-
49). The- music slowly builds, most~y through sequences, to

156
the climax in measures 76-82. The return of the (a)
section (82-85) functions as the cadette to the Adagio
well as the :final statement of the melody. Again i t is not
in the tonic key of C#:, but this time 1n the key of F:.
The Adagio is organized melodically, not tonally,
into a I"Clndo form. Whenever the main melody (measures 10-16)
returns, i t is not in the expected tonic (e#: >, but in Eb:
and F: respectivE'ly (see figure 11). Each atatement o:f the
principle tune is a whole step higher that the previous
Section [B] (89-226) of the ternary functions as the
Scherzo o£ the symphony and is divided into three sections.
The :first section (89-109) is masterpiece of
orchestrationsl technique. There in no real melody for this
part. Instead the :following triplet pattern, which is the
uni:fying motive :for the Scherzo, is developed.
Example 72. Measure 89,

Triplet pattern developed in the Scherzo
The principle theme of the Scherzo enters in
119. This march-like tune i"orms the first half of the
binary of section two.

157
1'$
Example 73. Principle melody o£ the Scherzo
The second hal:f of the binary devel.ops Bnd builds
the principle triplet. pattern o£ the Scherzo. The bUild-up
is brought about by the addition of e new inst.rument. every
two bars. The complete section (119-135> is repeated in
meas\.'res ! 74-207. The third section o£ the Scherzo is
based upon the material. presented in 135-159. However, now a
hemiele is used to heighten t.he tension. This music builds
to a GMmKP e19venth chord in the codetta. the climax o:f the
Scherzo. The retransition back to the Adagio 1e accomplished
by melding :fragments o:f both the AdagiO and the Scherzo
together.
Example 74. Retransit.ion to t.he Adagio

Comb1net.ion of fragments :from the Adagio and the Scherzo
158
Th~ return ox the Adagio begins with the
harmonic progression as in the beginning of the movement
(BeE' example 9 above) • However, this time it is not
accompanied by the complete inverted form o.f the motive as
it was in the beg.inning, but only by :fragments of the
motive. Furthermore, the meter has now changed to 4/4 £rom
3/4, resulting in a long range hemicia when contrasted with
the beginning of the movem~nt.
Example 75. Return of the Adagio
The recapitulation of section (s) (245-253) of the
Adagio sounds more like B continuation of the Scherzo
because of the c# pedal in the herns, the tremolo in the
violins. and the iterated use of B fragment of' the motive.
Not until the transitional material (measures 253-256)
returns does the li.st~ner realize that the reClB.pitulation o£
the Adagio has begun.
The> recapitulation o£ the Adagio i.s much shorter than
the original.. No longer is it a complete £ive-part rondo,

159
but is a simple ternary form (aba). The first (a) section
(245-253) recapi.tulatea only the harmonic progression
presented in measures 1-9 followed by e portion of section
Cb) (256-265), The principle theme of the original Adagio
returns only once more before the coda, this timi? i t is in
the tonic key of C#:.
The coda is a gentle, mysterious descrescendo to the
final atatement of the symphony's motive (stated in
diminution) at the very end.

150
r ~~~~~
f .§
iI~:;; ;1 ~j~~
"'t-
o
r
~
~
r
, f
i t: ~
,
~ I B~
~~ri ,jii r
161
Hevelllent Three
The £1na1& of the Symphony is the sonata form
presented in figure 12. The motive of the symphony playa
onl.y a slIall. part in this movement. Instead a four note
fragment from the Dies Irae Chant periodicall.y takes its
place, and neither the motive not the fragment from the
chant predominate. This movement is the 1'1ost loose1y
constructed of this symphony and of the three symp!\onies
examined in this dissertation.
The third movement begins first with a fort.1ssimo
statement of the tri tone progreasion first heard at the very
beginning of the- symphony.
Example 77. Open1ng tri tonal progression of the symphony

Bnd the t.hird mov&'111li'nt.
This progression Noves iWlmediatel.y into the upbeat
and positive bilIary first theme area. Hest of the mu.sie
developed throughout the mevement is derived from this
seet1en.
162
Ex-ample 78. First theme movement three, measure 2
The second theme area 1s divided into two parts. The
first part is a binary form in which the melody of each half
is sequenced. The first section (30-51) of the second theme
sres is also loosely derived frOID the Fate motive o:f the
symphony. As the second section (51-67) of the second
theme is lyrical and expansive, i t is a definite contrast to
the previous section (3D-51). The music builds to a climax
in measure .fifty-nine. After the climax in meSSUTe fl£ty-
nine the music slowly tapers down to the cadetta/tranaition
in measures 67-95. A portion of" the first theme is
contrasted with the tritone progression that unifies the
symphony in the cadette/transition (67-95).
EXBmple 79. Tritone progression in Codetta/Transition

Measures 85-86
163
Partial statements c:f the first theme precede Bnd
follow the block chords shown in example 16 and then lead
the listener into the development section. The
codette/transition ends in the key of Eb:, A tritone away
frem the tonic, a:, and a reflection o;f one o:f the binding
forces oJ: the symphony.
The development is a complete :fugue with the subject
derived from the first theme of the movement.
Example 80. Fugal subjeot derived from first theme

Measures 97-98
The fugue consists o:f :four entry groups (with
complete statements of the subject) and three episodes. "All
of the entry groups and two of the episodes are fairly
short. However, the third episode is lengthy
developmental section.
164
In the third episode, the music begins a build-up in
measure 174 to & secondary climax i,n measure 202. The four
note fragment from the Dies Iree chant used in this symphony
first occurs in this section in measure 202. The build-up
in this seotion is based on the fugal subject and the Dies
Iree fragment.
Section :four of the development (202-222)
decrescendos into the retransition which then begins the
:final build-up to the climax in measure 240. The tonal
shift irom lasi sectl.on oi the development. t.o the
retransition is by B tritone, :from BbM to EM. Above this
statement of the tritone a fragment from the Dies Iree
appears and established the relationship between the tritons
and Fate BS represented by t.he Dies Irae. The retransi tion
builds to a climax in measure 240, still on the Diee Iree.
The whole o:f the second section o:f the retransi tion has !!Q
tonal cE"nter because of parallel major minor BE'venth chords
that traverse the tr!tone from "Bb" to "E." After outlining
e tritone these consecutive major minor seventh chords then
outline the four note fragment :from the Dies Iree.
The recap! tulation does not follow the order of the
exposition. In addition, much o:f the music has been
exten~;i vely r€'~ork~d or al teredo Th~ first instance of this
can be seen in the recapitulation o:f the second theme area.

165
What limi ted to B spans of: less than an octave is
expanded to B tenth. Furthermore, one third of the
second theme, 41-51, omitted in the
recap! tulation. The cadette uses the same music
the exposition, however this time what was originally in a
high pitched instrument is ,now in a low pitched instrument
and vice versa.
New music, based upon the Dies Irae, is presented in
the last half of the cadette.
Example 81. Dies lrae :fragment, measure 299
The notes of: the chant are played Bnd emphas1zed by
the stopped horns. Underscoring this and adding to the
unsettled atmosphere are the tremolos in the violas.
The coda (307-321> begins with B build-up based
this portion of the chant, after which a light rendition of
the symphony's motive is juxtaposed to the ominous sounding
Dies Iree. The motive and the chant contrasted Bnd
pi t ted against one another throughout the coda, however,
ne:\. ther will predominate. The .final theme heard in the

166
symphony is the first theme of the third movement. Before
this there is another sequence of parallel major miner
seventh chords similar to the one heard at the end of the
retransition in the final build-up t.o the end of t.he
symphony. However, the chords traverse a perfect. fifth 1n
this passage instead of the established tr! tone.
This section of the coda concludes with a variation
of the tr! tone progression that opened the symphony. In
this Beetion, though, the EbHmM+ chord does not resolve
directly to the established chord of resolution (AM)
tritons away, but moves .first to an EMm dominant sevent.h
chord (V7) before proceeding to the AM chord of the cadence.
The tritons relationship between the Eb and the A has
temporarily been resolved by the per:fect authentic cadence
in A ~. This resolution via the per:fect :fi£th is only
transitory for the symphony ends with the :fateful. tri tone in
a bV to I progresaion in the tonic key o:f A ~ •
Example 82. Final cadence--bV-I measure 376

167
SUMMARY
The main unifying :factor of the symphony, besides the
motive, is the use at the tritone, both between keys Bnd
chords. Ita importance is established in the very beginning
and is continually reinforced throughout the symphony. This
relationship occurs in all three movements, organizing
sections BS well as complete movement. the moat extensive
of the tritone is in the third and final movement. In
occurred mostly between chords, not keys or sections of the
form, except in the developments of the first movement.
This section is rOllghly organized around the tr! tonal
relationship. Over B span of sixty measures, tht~ music
modulates :from F: to Cb: in measure 157). The Cb: section
is highlighted by the antiphonal writing that ia a greet
oontrast to the previoua section.
It is in the third movement that the importance of
the tritone is emphasized. This relationship
frequently between chords and structural aection of the
movement. There is a difference of a tri tone bE.'tween the
beginnings and endings of both the exposition and th£~
recapitulation since bot.h begin and end in Eb: or eb:.
Also, at the end of the symphony the tonality briefly
to eb: be:fore ending in A: ;:ith the final cadence of the

168
symphony consisting o:f the same tritone ae in the b~ginning-
-A to £b (bY-I)'
The tri t.ones the loc~l level between
adjacent chorda such as the one at measure 83 and :following
and 221-222, and underline the large scale structure. In
the Thi:c-cl Sympnony moat o.i the expected long range key
relationBhips are· replaced by a tri tone relationship. This
unusual tonal relationship wi thin the m,?vements adds to the
chromatic che~acter of" the symphony.
The harmonic rhythm of" this symphony is quite :fast
based mostly on the eighth note, not the quarter not as in
the Firat or Second Symphonies. The harmonies utilized
which are standard post-romantic harmonies with only a :few
sparse exceptions (see Table 6, below).
Table 7. Seneri ty Types

Grouped according to type and frequency of
'" ''''''
"'.,
.18
ZI'J.5
... 9JI.5 27.21 ... 16.5
"
,." ,.~
., '""71., In,. ,...

-
--
I.' I.,
14.14 13 13 .~
.. U<J
, "
""
.73
"., ..",
OM 49.5
.. ... ...
1.14
:;
170.5
m.5
..
ISo.s
70.., "'.,
"'" S., 17.4<!
, , ''.53
.57 ",., ...
.as
.18
..,, .. ."
. ." ...
......
61.5 51
.
07
'"
U.S
"., ,,
so
1
17'II UniSQII J1 .",, '"",,
..
~ !l\w.rt~1 .15
.... , 1
10.5 .n
.16
Clustl!l'
IM/gt I~ 4.21
" " I.' '5.5 .15
169
What crealee the chromatic atmosphere o:f the
Rymphony are the progressions. Part of the time the
progressions stay within the boundaries of" a key area by the
iteration of the tonic chord or note, a tonic pedal point
a dominant seventh to tonic progression. Other times a
feeling of a tonal center is negated by the use of
unrelated, a1 tered progressions.
Table 8. Modulation Types

Grouped according to f'requency ci
Chromatic Pivot Chord 35.20Y.

Linear Motion 32.40r.
Diatonic Pivot Chord 17.60r.
Third Relation 11. lOr.
Enharmonic Major Minor 7th 1.85r.
Deceptive Cadence .93X
Enharmonic Diminished 7th ,93r.
The modulations used in this piece, and presented in
table 2, re.flect the chromatic char-Betel' of the symphony.
Unlike the First or Second Symphonies the diatonic pivot
chord is not the mClst In fact. it is used
approximately only half as much as the chromatic pivot chord
or the linear motion modulations. Both the chromat.1c pivot
chord snd the linear motion modulation reflect the chromatic
nature of the mus.:l.c since they use chords that are either
non-functional, altered or chromatic to one or both of" the
keys of the modulation.

170
For the moat part the cadences that close the section
either perf'ect or imperfect authentic cadences.
However, Rakhmaninov used altered 'cadences such as the one
at measure 84, that ends the second theme area. The oddest
cadence is the final cadence of' the movement which ref'lects
the power of the tritons in the symphony. It consists of' a
bV - I (EbHm7 - AM). This cadence is preceded by a perfect
Buthent:ic ced;:>r;ce in m<='aEure 365~ twelve measures beX"ore the
end.
171
CHAPTER FIVE
SUMMARY AND CONCLUSIONS
Rakhmaninov's three symphonies represent each oi, the
different compositional periods of his 11£e. Their dates of
compos! tien apan his complete life as composer.
Furthermore, the development of his musical sty Ie can alao
be traced from symphony to symphony.
All three symphonies are :firmly grounded in the tonal
post-romantic style with extreme " Avant-Garde"
characteri~tics in the music. This ia in keeping with his
own philosophy, as he said. "I myself could never to
write in a radical vein which disregards the J.BWS of
tonality or harmony" <Rakhmaninov 804), His symphonies
tonal and organized around the trad! tional harmonic and
formal procedures of the nineteenth century.
The First Symphony (lB97) is. as the composer himself
eaid# scmewhat "childish" CBertensson and Leyda 74). but.
despite thiS, it does represent his style in hie early
years. He a young composer reaching out and
experimenting with aome of the new styles that were then in
vogue. The Second Symphony (1907), which is representative
of his style in the early part of this century, is a
movement away irom the imagined "excesses" of the Firat

172
Symphony. The Third Symphony (1936), although essentially
in the same vein as the Second, shovs expc>ilsion in the areas
of tonal! ty and harmony that vaa to become part of his music
in the latte", part of his life.
The tonality and form in the Firat Symphony are
essentially traditional in concept, but there is a reaching
out and experimentation with some of unusual techniques.
Most notable o:f these is the e~tensive use of more then one
motive to uni:fy the Symphony. The use' of a single motive
as B unifying or programmatic device is iilot new, but
Rakhmeninov carried it one step :farther by deriving almost
everything :1.n the First Symphony irom ~!H::~~ di:fferent
motives.
While the Second and Third Symphonies are also
moti vic, neither are organized in this manner to the extent
of the First. Both symphonies use only motive, in
contrast to the three motivea of the First Symphony, which
are thoroughly integrated into the fabric of the music.
However, this is truer for the Second Symphony than the
Third. A majority of the melodic and accompanying material
o:f the Second Symphony is derived t"rom the opening motive
(cf. chapter:3, above) whereas, in the Third Symphony only
of the material, such as the :first theme area gf th0
:first movement, ia derived .from the opening motive (cf.
chapter 4, above). Other than the obvious direct. quotes

173
that open thE' :first and second movements of the Third
Symphony, t.h~ r.:o-rnain:i..ng material is only super:ficially
related to the motive at best.
All three symphonies are "Fate fi Symphonies along the
lines established by Tchaikovsky. The idea of "unavoidable
Fate" is not a new one as i t is used in many symphonies and
other works of the era by such composers as Tchaikovsky,
Wagner, l'rahlel', and even Beethoven. With Rakhmaninov, the
use and Eipp.litmti:::;n of Fate a.s G. progr::lI~matic device chgnged
:from symphony to symphony. In the First Symphony it
dictates, intrudes into, and controls everything. This is
shown by the appearance o:f the Fate motive (motive X) in
the idyllic third movement and the ending o£ the symphony In
movement three it intrudea Bnd destroys the peaceful
setting, while at the end of the symphony the Fate motive is
stated alone in t.he original pitches, rhythm, and key of the
opening of the Symphony. It dominates and controls every
aspect of the symphony by its unchanging nature.
In the Second Symphony, Fate has a covert
inil uence in the music. It is not a constant, unchanging
and overt force, but subtly influences the material Bnd
COurse o£ the symphony.
By t.he time of t.he Third Symphony, the concept of
II Fat.e II in t.he structure of the symphony is less obvious.
Like in the Second Symphony the Fate moti.ve does not pervade
174
the work in an overt manner as it did in the First Symphony.
While the Fate motive is stated for th.e f'inal time the
end of the Third Symphony, the £1'na1 melodic idea of the
Symphony is the poa! ti ve first theme of the last movement,
not the Fate motive.
The element that is indicative of Fate's power Bre
the tritone relationships found throughout the Third
Symphony. The tritone, almost always centered around the
notes "a" and " e b", pervades the whole 'of the work both
the large and small scale dimensions. The opening and the
ending of the symphony both :feature the " a - e b" tritone. By
using this interval at these important points suggests
Fat.e' a complete control over everything.
All three symphonies are cyclically organized, the
First than the Second or Third. The cyclical
organization of the First Symphony is quite obvious since
most of the symphony is derived from one of the three
principal motives. The Second and Third Symphonies are only
superficially cyclical because all of the music does not
ertem :from the motive, although the motive appears throughout
the work (cf. Chapter 1 for definition of cyclical>. This
narrower meaning of: of the term cyclical is especially true
when applied to the Third Symphony.
Rakhmaninov is famous for the use of the Dies Irae
chant in most of his major orchestral compositions,

175
including his symphonies (Y~!::!!!:!:!.9!!!iL9!L§LIh~!!!!Lf!Y_E~g§!!!!!!:!,
!@:1.!L_g;L_:!:!!!L!2~!!g:, and the Concerto No. 4 to few).
Most of the time only a portion of" the chant is used (only
in the Y'§I:~§j;,l,gn!Lg!L!iLI.b~!!!!iLfly_~§!g§n!n! does he come close
to using t.he complete chant). In the First Symphony the
derivation of one of" the main motives (motive Y) is quite
obviously :from the Chant (cf. chapter 2, above). This
motive pervades the whole of" lhe Symphony Bnd is tied into
the main program of the work, Vengeance. The use of the
Dies Ira:? is much less obvious in the Second Symphony and is
traced in article by David Rubin (1962).
The beginning four to six notes of the chant are used
in the lest movement of the Third Symphony. This partial
statement is not a theme or even part o:f a theme, but occurs
in a truncated :form and stands on its own. It does, in
fact, momentarily take the place of the symphony'S motive
and is then pitted against that motive i.n the coda of the
last movement. The juxtaposition of these two melodic ideas
underlines the :fateful qualities of the motive and of the
symphony. However, th~ fact that neither the excerpt from
the chant nor the "Fate" motive conquer as they did in the
previous symphonies possibly shows Rakhmaninov's change of
thought on the omnipotence and omnipresence of F'&te.
The formal analysis of the symphonies proves that
these works are not ":formless" as thought by Rakhmanincv's

176
detractors. It also shows that he was quite capable of
composing convincing works in the larger :forms. This is
contrary to Culshaw's opinion that "it took Rachmaninov
nearly thirty years to realiz9 that the only large musical
form he COLId handle with ease "r9,S a theme and variations"
(Culshaw 96). The controlling architectUre of the individual
movements, and of the symphonies as a whole, is apparent and
decisive. The composer's individuality continually shows,
such as when he does not develop the material presented in
the exposition of the First Symphony's finale, but rather
rt'l'places it with new material. His changes of' the standard
forms and their enhancement are remerkable, and far from
detracting and con:fusj.ng the lir-1tener. add j.nterest to what
j.s otherwj.se merely a :formula.
Formally, the Fj.rst and Second Symphonies :follow the
standard :four-movement symphonic scheme. The Third
Symphony, on the other hand, has. only three movements. The
second movement takes the place o£ both the normal second
Bnd third movements. In both the First and Second
Symphonies the movementa also follow the traditional order
o£ the classical symphony, i. e., Sonata; Adagio; Scherzo-
Trio; Sonata or Rondo. However, William Flanagan
indicates, these structures are decorated to the composer's
own taste CFlanagan 5).

177
The structural parts of each 0;£ the individual
mOllements of the first two symphonies are not obscure.
O£t/:imtimea the sections of the movements are contrasted in
some way, such as a tutti section following a non-tutti
section a very .!.:.~'t"1cal theme £ollowing a non-lyrical
theme. Another of Rakhmaninov' s signatures is a . :ii?ry
lyrical and singing second section, following a section that
is either very fast and non-thematic or has a theme that is
centered aolely around one note. Both of these melodic
types reprsasntat1 ve of the melodies .found in
Rakhmaninov's symphonies. They are either expansive or
confined to a small interval, normally a third, and center
around one important note. In all three symphonies the
first movements are in sonata forms and ell ere relatively
straight ~orward.
The second movement :forms of the :first two symphonies
in a Scherzo-Trio format. but not in the Third
Symphony. This second movement is in a ternary form. with
each major section of the form displaying the
characteristics of both the Scherzo or the Adagio movemente
it replaces. The adagio third m~v~m~nts of t.he First and
Second Symphoni~a are both ternary forms.
The final movements of the three symphonies are in
either Bonata or rondo forms. The divisions of the sections
of the last movements of the First and Second Symphonies

178
are di.ff'erentieted and not obscure. However, the last
movement of the Third Symphony presents analytical
problema in that the divisions are blurred, Bnd the material
in the recap! tulation has been reworked.
There are some variations in the overall tonEd
movement o:f the thr~e symphonieB~ which not only make the
music individual and interesting. Few o:f the sonata
movements, the form which has the most established and
expected internal tonal relationships, . :follow the standard
model. The tonal. movement between the sections o£ the first
movement of the First Symphony, moves .from d: (first theme)
to Bb: (second theme, cadette) and generally follows the
tonal plan of' Beethoven's Ninth Symphony, detailed in
Chapter two. In the third movement of the Third Symphony
the music modulates :from the tonic to the aubdominant
keys, moving down a perfect fifth. thereby replacing the
dominant tonal area. In the f.1rst movement of the Third
Symphony the tonali ty moves from the minor tonic up B
perfect fift:, to ths major dominant.
Only the first movement of the Second Symphony and
the last movement of the First Symphony move to the expected
standard keys. By the time of the Third Symphony the
tradi tional hahi t of recapitulating in the tonic that which
wae presented is non-tonic key in the expos! tiOD is
circumvented, e. g., in the first movement of t.he Third

17.
Symphony the second theme area is recap! tulated in keys
oth~r than the tonic (cf. chapter 4), These tonal
variations jjr~ not "ne-w!! 1 but iunciion simply t.o make the
music more interesting and individual.
Rakhmaninov o:ften uses cadencea to help establish the
formal sections; however, their use is curtailed the later
into the twentieth century his music falls (BE'E' table a,

below),
Table 8. Cadence Types,

Frequency o.:f o~currenoe and percentage of use
S#l( IS9?} 8#2(1907) S#3(1936)
Cadence type
Per:fect Authentic 1. 39Y. 22 51Y. 14 33Y.
Imperfect Authentic 12 24r. 11 26. 15 34~·~
Hal.!
Plagal
3
14
6'
29%
3 7X
16%
4
5
9Y.
12r.
Al tered Cadeno,=, 3 'Jr.
Deceptive !----~~ -~---;!~
TOTAL 49 10m: 43 100r. 43 100r.
Table a is divided into three two-part columns. The
:first number o:f each column represents the number o:f times
e cadence occurs in that symphony and the second number is
the percentage o:f use in the whole symphony.
Table B also shows that the most common cadence is
the per£ect Buthentic cadence. Although the :fact is real,
it is not a.lways the meat import.o:>:nt. cadence of the

180
individual symphony. A case in point is the First Symphony
where the plegel cadence, not the per£ect authemtic cadence,
is the most important one. Its importance is determined by
its sppearance at major structural endings. It not only
occurs at the end of important sections ox the individual
movements, but also at the ends o£ the two weightiest
movements, the first and the :fourth. Furthermore, the use
of the plagal cadence echoes and underlines the religious
influences of the work (ef. chapter 2, introduction>. The
religious program o:f the First Symphony is also very subtly
underscored by the cadential sequence ox a perfect Buthentic
cadenes £cllc~ed by a plagal cadence. This relationship
only become evident at the- end of the symphony_
In the Second Symphony, the authentic cadence is most
important and comprises more than 75Y. of all the cadence
types used in the symphony. Following classical formal
procedures, the perfect authentic cadence carries more
weight than the imperfect. It defines the important
section endings, clarifies the smaller internal forms of
the movements, and ends the work. The same is true for the
Third Symphony. Many of the cadences in the Third Symphony
er-e elided or the edges are blurred in some This
adds to the fluid character of the music.
Some of the cadences used are e1 ther altered plagal
authentic cadences, or cadences that are unique to the

181
individual. symphony. Theae cadences are used mainly in the
First and Third Symphonies. In t.he F1r~t Symphony the
cadent1al progression used in the third and ~ourth
movlil'ments, bVI I bYI I, is an altered plagal cadence
because the bVI shares two tones in common with the IV which
£orms the basic plagal cadence.
Rakhmaninov's harmonic language presents
interesting dichotomies. It is at ODe time both traditional
and non-traditional. His choice of sonorities basically
stays within tradi°c.:i.ohal post-romantic tertian boundaries,
as shown in table 1 on the following page, but his
progressions not always within those confines,
especially in the Third Symphony. This is because he used
complex chords (not. always built. on the dominant. pit.ch) and
al t.er&'d chords to creat.e these unusual progressions and alii a
resul t a type o£ chromaticism that is unique unt.o himself.
It. is a possibil..i t.y t.hat. t.he combinat.ion of a11 these
cont.ribut.ed to t.he initial sour reaction o£ the cri t.ics
toward his First Symphony.

182
Table 9. Sonority Types, Symphony 1-3
lM5.S
'zoo
,." ''''
".37
...
27."
~
...
SJI.li zr.21
'$ '-00 ""

,~
'.W
14.14
1.69
::. ~
...,
1.15
.S2
II.~
S2 .71
,." ....
'" 24.30 .00
'" , 17.42
',W,%" "" ..4.15., 321.5 .."
"
07 ..,, ..
~.14
'-87
'" '"
'76
." ""17 .... ", ."
~
." ."
1511.'
...'-E'
.,"",.,.
..
.~
" " .J9 10.5:5;5 .,..J!
", ..".., " ""', .~
55., .~
-..
~
" IJ
,.~
.~
--... .... . ......

,
• 87
~
2
"
",5., ."
.~
.,. .., ."

" '-IS
J9
.73
1.14
.~
.~
lInison
~rt~l "'
,.~
"
~
, I~
.15
,
Quint.l
."
.00
Clmer
""~
~ilJmd
Although, Rakhmaninov altered many chords and
progressions, he kept within established tertian Bnd tonal
contexts. Many of the Bonor! tiee employed are neither new
nor unusual, but the manner in which they are combined to
form the progressions in all three symphonies is individual
to th~ composer. Many times the progressions
digressions, for they neither go anywhere nor resolve in
the expected These types of non-progresaions do
stay wi thin tertian boundaries. This finding supports

183
Joseph Yasser's com:lusion that Rakhmeninov's chromaticism
atli2ms from II his many sided uses of a1 tered chords,
progress.:Lons and bold digression~ within t.he limits of a
single or, at any rate, long exploited key (Vaaser 21).
The progression in measures 86-aa of the first
movement of the Third Symphony typifies this type of
chromaticiam.
86 87 88
FM (F+) Bb+ El'fm7 FH (F+) Bb+ EMm7 FM
Example 83. Symphony #1 Altered Progression, measures 86-Sa
The iteration of the F major triad and the existence
of a pedal tone on 11£11 establishes the key of F:, but the
progression featUres a1 tered chords on diatonic Bcale steps.
Not until 90 is F: con.firmed by the plagal
progression borrowed from the minor form of the scale:
"'7
9 --Bbr.m7--FM
ii
"'7 -- IV7 -- I
Example 84. Flagal cadence
Further examples o£ the unusual progressions that
Rakhmaninov employed £ollow. These are frequently caused by
the voice leading and occur throughout the three symphonies.

184
83 84 85 86
6
C+ El'I4 G#M E.,. EM4 elm AHmS
1-1. measures 83-86
297 298 299 300 301 302 303
OHm em6 C·6 FHM EMm dm 0.6
2-1, measures 297-303
142 143 144

~6 04 4
BbMm AHmm d 5 e 2 EbHH3 Bb.
3-1, mesaures 142-144
Example 85. Al tered progressions in all three symphonies
Rekhman1nov's harmonic language can also be traced by
studying his modulation types. Table 10 presents the
frequency of use ;for each type within each symphony.

185
Table 10. Modulation Types~ Symphonies 1-3
5" 5n 5'3
Modulation Type
Diatonic Pivot 40. B3X 39.40" 17.60"

Chromatic Pivot 12.50Y. 31.10% 35.19%
Third Relation 17.50Y. 6.10Y. 11. lOY.
Linear Modulation 14.17Y. 15 .. 20" 32.40%
Enharmonic Hm7th 6.8D¥' 1. 8S"
Enharmonic Dim 7th .93"
Pivot. Note .83Y. .80r.
Deceptive Cadence .93%
In both the First Bnd Second Symphonies the most
modulation type was the diatonic pivot chord. It accounted
for almost :forty-one percent of the modulation types used in
the First Symphony and almost :forty percent of t:~oee in the
Second Symphony. By the time of the Th.:i.rd Symphony
Rakhmaninov's music was more chromatic and he used less that
half the amount fOHnd in the :first two symphonies.
As his music progressed into the twentieth century~ his
choice of modulation types reflected some of the current
practices. The music of the Third Symphony shifts abruptly
.from key to key. whereas, in the First and Second Symphonies
the changes from key to key were less obvious and
smooth. Despite the broader range of modulation types
employed and lSl'ger amount o:f linear modulations used in the
Third Symphony. Rakhman1nov's music stays within nineteenth
century harmonic idioms. Rakhmaninov was a conservative
composer because his music remains wi thin the tertian

186
confines of the post-romantic period. However, the
conaervat:l~m is not overwhelming, since there ar£> threads of
chromaticism in his music.
In the beginning, t.here was a possibility that he
would boldly venture into the re3lma of "new" music with his
First Symphony because this work explored realms that
contemporary Russian composers had not investigated. This
"taint" of" "modernism", along with the existing rivalry
between the Moscow School where he was' a student, and the
St. Petersburg School, which was avidly supported by Cesar
Cui, created an unfriendly atmosphere and were :factors' in
the initial rejection o:f his First Symphony.
Al though he did not venture again into any form
style that wad not immedie:tely accessible or established in
the musical world, he did alter those £orms to suit his own
tastes and personality. Because of the accessibility of" his
works, his music has been '::o!'!s!dered pure fluff and not
worthy of notice by t.heorists or musicians. This point is
emphasized by the article in the 1954 edition of the ~!:QY§
Q;!;g!:!Q~!!;!:Y __ Q~ __ !1y§;!g __ !insL_~!:!!§!!.Q;!;§n§; and is extensively
discussed in the introduction to this dissertation. This
article helped to perpetuate t.he ideas that Rakhmaninov's
music wes the extreme example -0£ the Romantic style and that
he was an i.ncompetent composer who had committed grave
compositional errors. These critical attitudes helped to

,.7
general di.sinterest in his mus.:1c and eventually
resulted in Borne overshadowing of the real mer! t of" hie:
music.
These attitudes about RakhmBnincv~s music still
exist. However, the new edition of the §!:s!Y!L~!g1!g!!!:!!:1I.: __ Q~
~~§;!,,!;L_~im!;L_!1!:Hi!!9!!iiHl§ has done much to amend past wronga.
Instead c,f being allotted a page and a half for an
inaccurate account of his life Bnd works, the article is
The attitude of musicians, is
changing BS well. His music is artistically creftaod as well
as being enjoyable to listen to. Music does not have to be
Rne, .. n or "unu,'3ual" to be good. or to merit being played.

188
LIST OF' REFERENCES
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and Turner, 1974.
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Unviersity Press, 1985.
QQ __ Bl:!§§!.g!L_t!!!§.!g. 1964. Freeport, NY: Books :for

Libraries, 1970.
n Rimsky-Korsakov." Ih~_N~!L!;i!!:9~~ __ gl:!§§.!g!! __ !':!e§:!=:~!:!L_£'

New York: Norton, 1986. pp 1-74.
e:!;!!~!~§ __ !!L_g!!§§!~!L!':!!!§:!:.9. Freeport, NY: Books :for

Libraries, 1936.
Anderson, W. R. Rachmaninof£ and His Concertos.

London: Hinrich;;;;~~-1946::---------------------------
Au~tin, William W. !1!:!§.!g_!.!L:!:h§'_I:!!§:!!!:!~!:!:!_g§:!!!:!!!:y. New York:

WW Norton, 1966.
Bakst, James A. ~_tl.!§!:9!:Y_Q;LB:!!§§:!g!L_§QY.!§:1 __ .!1!:!§;!,g. New

York: Dodd and .l'f<:,ad, 1966.
Bertenason, Sergei and Jay Le:>yda. §~!:9§:;! __ B§gh!!!§!!!2!;; ..L_~

b!~§:!';!,J!!~ __ !n __ !1y§!g. New York: New York University
Press, 1956.
810m, Eric. "Rakhmaninov". §!:QY§:':§LQ!9:!;;!2!!g!:::L2;L!1Y§!9 __ !E~Q

!'!!!§!g!§!}§. 5th ed. New York: st. Martins PresB, 1955.
Coolidge, Richard. "Arch1tec:tonic Technique and Innovation

10 Rakhmaninov' a Piano Concertos." !'!Y§!!9_R§:y?,.§:! 15.3
(1979): 176-216.
Culshaw, John. §§:!:9§:.!_K§gh!!!§!!!.!nQ!!. London: Denis Dobson,

1949.
Flanagan, William. "Sergei Rachmanino.f.f: A Twentieth Century

Composer." !§:J!!QQ 22 (1951-52) ~ 4-8.
Greenawalt, Terrance Lee. b:_§!:ygY_Q!_!:h!L§Y!!!Qngny_.!!! __ RY§~.!!!

~!:Q!!! __ §!.!n~~_!:Q_!:h§:_§;!.!!:!.:L!!§:n!.!§:!:h_~§:n!:!!!:Y. Diss. U
a.f Rochester, Eastman, 1974. Ann Arbor: UMI, 1974.
Grout, Donald Jay. b::_!:!!.§!:Q£::CQ!_!t§:§!!:§:!:!!_!1!:!§:!g. 1973. New

York: WW Norton, 1980.
189
Leichtentri tt, Hugo. !:!l::!§!9L __ !!!§.!;.Q!:YL __ §!'!J!L_!Q~~§. 1938.

Cambridge, Mass.: Harvard University Press, 1947.
Leonard, Richard Anthony. A_!!!§iE!:Y_Q;LB!:!§§!~!:L_!:!!:!§!g. New

York: MacMillan, 1957.
Lyle, Watson. g~91:H!!'§!:!2!nQ!:;:' London: Will am Reeves, 1938.
Mellers. Wilfred. BQ!!!.§,,:~!,;b9.!§!!L§H]fL:!;;t:HL_rY§:!}:!;,!§:!:!L_~§:!}:!:g!:y.

Fairlawn, New Jersey: Essential Books, 1957.
Montegu-Nathan, Montagu. GQ!!!:§:!!!I;!Q!:§!:y __ B!:!§§!§!.!! __ !;Q!!!QQ§§:!:§-

1917 Westprot, Conn: Greenwood Press, 1970.
Montagu-Nathan, Mont.agu. S_!!!§'!,Q!:Y_Q!:_B!:!§§!§!.!L!:!!:!§!9. 1914.

Boston: Longwood Press, 1977.
N~! __ !!§!:Y§!,!:Q __ Q!9i!Q!l§!!:Y_Q;L!1!:!§.!g.

ed. Dan Michael Randel.
Cambridge, Mass: Belknap Press of Harvard University
Press, 1986.
NorriS, Geo:ffrey. "Rakhman:1.nov." ~§:~L§!:QY:§: __ Q!g:t!.m]'§!:2: __ Qt

Music and Musicians. Ed. Stanley Sadie. 20 vole.
L;;;:;d;;;:;-;--M~;;i1ill~;:;~-198D.
"Rakhmeninov. n B:!:!§!§:!:~~L!!e§:!:.§:!:§_~. Ney YC!~~k, WW norton,

1986.
Piggot. Patrir::k. R.§.g!:!!!!.§~:!:[!QY. London: Faber and Faber, 1978.
Rakhmaninov. Sergey. "Music Comes from the Heart. nIh§:

g:!;'!:!Q~ 37 (1919) 804. B48
Symphony No. 1 in D Minor, Opus 13. Ney York: Kalmus,

n.d.
Symphony No. 2 in E Minor. Opus 27. Nev York: Belwin

Mills, n. d.
Symphony Mo. 3 in A Minor, Opus 44. Ney York: Bel win

Mills, 1937.
Sasenield, Paul. th!§!g~!._EQ!:~!:~!.~§. Freeport, NY: Books for

Libraries, 1920.
Siesemann, Oscar Von. B§2!:!!!!§n!.!}gtt':§_R§:gg!!.~g:!;.!9n§_~§ __ I9!Q

1!~LQ§g§!r_Y.!..._R!.§:§§:!!!§!!!!!. New York: MacMillan, 1934.
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Rubin, David. "TrBnsi"ormatione of the Dies Ires .in

Rachmaninov's Second Symphony. II !,!~§.!.g_~~y:!@:~ (1962):
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Sabaneye£:f, Leonid. !199g!:!LB~~§.!§!;~_g9E!E9§@:!:§' tr. Judah A.

Ja:fZee. Freeport, NY: Books :for Libraries, 1927.
Satin, Sophie. "Communications." J9~!:Q~J,_Q:! __ !:!:H~: __ l!,!!)g!:!2§!!!

tll:H~!!;91.Qg!g!§!J:_§gg!~!.~ 21.1 (1968): 120-21.
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Simpson, Rabert. Ih~L§Y!'ll;!hQnY. 2 vols. Baltimore: PengUin,

1967.
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Reminiscenses." Ihg_t1b!§!.s~:Lg~~!:!:§:!:!.y 30 (1944): 1,
174.
Thompson, Kenneth. ~ __ Q.!g!:!.9~i!!EY __ Q; __ !~.§n!:.!~!:!L __ g~n!:J:!!:Y

g9!!!EQ§§:!:§. London: Faber and Faber, 1973. c by
Kenneth Thompson, 1973.
Threlfall, Robert. §~:rg~!_B:~g!:!!!!§!'2!.!!g!!. London: Eoosel' and

Hawkes, 1973.
Threlfall, Robert and Geo:f:frey Norris. ~§!:§.!29~§: __ 2;;;: __ !'h§:

~2!!!QQ§!!j:Q!!§!_Q~L§!..._!l~gh!!!§!!;h!!Q!!.
London: Scholar, 1982.
Walsh, Stephen. "Sergei Rachma:\inoff." IS:!!!Q2 105 (1973):

12-21.
Walker, Robert. B:§9!!!!!§!'2..!!'2Q!!1._H..!§!_'=!!!L!H!!LIi.!!!§:§. Tunbridge

Wells, England: Hidas, 19BO.
Woodruff, Benjamin. E§gh.!!!§!'2i.[!Q!!':S! __ Q!:gh@:§:!;,!:2! __ ~Q!:~§1. __ §

Q@:§:g!:.!Q!..!y@: __ ~Q!!!!!!~!]!:§!::z:. Dies. U of Illinc.ls, 1976.
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Form, Harmony, and Tonality in S. Rakhmaninov's Three Symphonies

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Item type text; Dissertation-Reproduction (electronic)

Authors Collins, Dana Livingston.

Publisher The University of Arizona.

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Link to item http://hdl.handle.net/10150/184555

Form, harmony, and tonality in S. Rakhmaninov's three

Collins, Dana Livingston, Ph.D.

Copyright ©1988 by Co11ins, Dana Livingston. All rights resel"Ved.

Dana Livingston Collins

Copyright c Dana Livingston Collins 1988

A Dissertation Submitted to the Faculty of the

In Partial Fulfillment of the Requirements

THE UNIVERSITY OF ARIZONA

As members of the Final E;M;amination Committee, we certify that we have read

the dissertation prepared by _-"D"'ana"'-'U!<llvi"ng"'s"t"'on"--"Ce,ol"'ll"'n"s'---_ _ _ _ __

entitled rom, Harmony, and Tonality in S. Rakhmaninov's Three SYDlphonies

and recommend that it be accepted as fulfilling the dissertation requirement

for the Degree of Doctpr Or PbDQsnphy

Final approval and acceptance of this dissertation is contingent upon the

I hereby certify th~_t I have read this dissertation prepared under my

Dissertation irector Edward Murphy Date

The dissertation has been submitted in partial

Brief quotations from this dissertation are allowable

Signed: 18....._ko',,,,.J....- tillY.,.,

The author wishes to acknowledge the :following people:

Dr. Edward W. Murphy, for his invaluable assistance,

My parents, Drs. Lloyd R. and Janet Duthie Collins,

Dr. Felix E. Fernandez :for long distance

John M. Kissler .for reading through the work and

LIST OF MUSICAL EXAMPLES

PURPOSE OF THE STUDY 17

NEED FOR THE STUDY 17

METHOD OF THE STUDY 18

DEFINITIONS AND ABBREVIATIONS 20

SYMPHONY NO. 1 IN D MINOR, OPUS 13

STRUCTURE AND COMPONENTS

SYMPHONY NO. 2 IN E MINOR, OPUS 27

STRUCTURE AND COMPONENTS

MovS':n~nt One 104

Movement Two 112

Movement Three 118

Movement Four 122

SYMPHONY NO. 3 IN A MINOR

INTRODUCTORY COMMENTS 135

STRUCTURE AND COMPONENTS

Movement One 140

Movement Two 153

Movement Three 160

SUMMARY AND CONCLUSIONS 171

LIST OF REFERENCES 188

Example 1. Motives X, YI and Z 44

Example 2. Motive X as used in Movement Two 46

Example J. Motive X combines with the first theme 47

Example 4. Motive Y in the climax of the

Example 5. Motive Z: derivation 49

Example 6. Movement two, Scherzo theme derivation 50

Example 7. Motive Z.. Movement four 51