Note : It would be a good idea to consult the chapters on ‘Music of the Romantic Period’, ‘The Symphony’ and  ‘Sonata Form’ in the Study Area before studying this analysis.

Background and Overview
Having lived out his musical career in his home city of Prague in the Czech Republic, in 1892 Antonin Dvořák took up the position of Director of the National Conservatory of Music in New York.  This move had a profound and direct effect on his composition style which is most clearly seen in his 9th symphony, subtitled, ‘From the New World’.

Completed in 1893, the work was first performed on December 16th of that year by the New York Philharmonic society at Carnegie Hall, to public and critical acclaim.  Writing to his publisher, Dvořák proudly relays, “The success was enormous; the newspapers say no composer has ever before had such a triumph.  The people applauded so much that I had to thank them from the box like a king!”

Presented in four movements, the first begins with a slow introduction before three important themes are laid out in a Sonata Form that contains a repeated exposition.  The slow second movement contains elements of Sonata and Rondo Form but a sense of this structure tends to get lost in the beauty of the famous plaintive melody.  The lively and predominantly cheerful Scherzo in Rondo Form leads us to the tragedy and climax of the Finale, once again in Sonata Form, in which Dvořák merges many of his themes together in a powerful and dramatic culmination to the symphony.

Following the successful premiere, the symphony acquired a certain air of controversy.  Debate raged as to the validity of the themes used by Dvořák.  Given the title, it was natural for the assumption to be made that the melodies he presented were developed from the Native American and Afro-American traditions.  Much has been made of the fact that this would not have been possible, due to time constraints in his diary restricting him from gaining first-hand access to the folk music of his new homeland before he jotted the first sketches of his famous themes, a mere four months after his arrival.  Ethnomusicologists have analysed the music and declared it to have as much in common with his native Bohemian folk music as with that of North American origins. 

And yet this debate seems to somehow miss the point.  Dvořák himself stated that he was merely influenced in his composition rather than claiming authentic sources.  What remains in the music is a turning point in the work of the composer.  A quintessentially folk feel, be it American or otherwise, is retained through the presentation and development of his themes and as a result of mastery of musical material, the symphony has remained one of the most popular in the entire Romantic symphonic canon.

Analysis

First movement: Adagio.  Allegro molto

The Symphony begins with a very slow adagio introduction, marked pianissimo in the score.  The melody in the ‘cello is full of melancholia, layered in thin scoring of only violas and basses.

This melody is taken up by the flute and accompanying woodwinds before a sudden and dramatic eruption across the orchestral sections shakes us from our reverie [ 1:01 ].  From this a surging development leads us a new tempo of allegro molto with a change in time signature to 2/4 where the First Subject is powerfully stated in French Horns, delicately answered in clarinets and bassoons [ 1:56 ].

This theme is powerfully taken up by the whole orchestra, the b section providing the basis for the transition [ 2:34 ], which moves through a circle of 5ths before calming into the entry of the first theme of the Second Subject in G minor [ 2:39 ]. 

This theme is presented over a dominant pedal (D) in the Dorian mode, as can be recognised by the flattened 7th, the F natural, in the last bar.  Dvořák’s use of modes and scales, outside of the tempered scale that we are used to in classical music, is central to this work.  Indeed, the use of the pentatonic scale is what gives the work the ‘folky’ feel.

Following some surging development of this theme a second is calmly introduced in G major, scored for flute with sustained chordal accompaniment from the strings [ 3:58 ].

It is only upon analysis that we realise the rhythmic similarity this theme has with ex.2, which goes a long way to explaining how the exposition can be so seamlessly repeated, Dvořák simply scoring repeat bar lines back to the first subject.

The development that follows [ 7:07 ] is made up of sequences of ex.4, heard firstly on horn and then piccolo, the only time the instrument is used throughout the whole symphony.  These increase in tension until ex.2 is stated in its full drama in the home key of E minor, at first leading us to believe that the recapitulation is underway [ 8:00 ].  However, Dvořák uses this as a device to lead us through a series of modulations on this theme , slowly winding up the tension before a moment of calm from the oboe and then flute [ 8:22 ], finally lead us back into the recapitulation [ 8:37 ].

At first this recapitulation seems a direct transcription of the opening allegro section, however an altered transition into the second subject takes us into the unfamiliar territory of G# minor, a semitone above the previous incarnation and a seemingly oblique major third above the home tonality of E minor.  From here the recapitulation continues as a direct restatement in this new key and its enharmonic equivalent of Ab major up until the climax following the second theme of the second subject.  At this point we move into the coda [ 10:43 ], where ex.2 and ex.3 are heard overlapping in trumpets and trombones respectively.  This drama returns us galloping to a powerfully ferocious and tragic climax in E minor, the home key.

Second movement: Largo

The second movement begins in the remote key of Db major, a seemingly impossible modulation away from the climax of the previous movement.  And yet Dvořák uses the first six bars to show how the two movements are tonally connected, modulating from E to Db over a series of 7 slow, sustained and sumptuously beautiful chords in brass and low woodwind.  It is after this short introduction that the principal theme of the movement is heard as the First Subject, played as an emotive lament on the cor anglais.

The end of the theme tails off with an echoing repeat in the clarinets followed by chords building up from the woodwinds and then brass that reminds us of the sound world created in the introduction.  We are led to believe perhaps a second theme is to be introduced, but instead Dvořák re-imagines the theme, this time scored for lush strings in the minor [ 2::51 ] in a moment of almost unbearable passion.  The returning cor anglais [ 3:47 ] re-affirms the mood before muted French horns lead us through the transition to a new key of C# minor, the enharmonic minor of Db major.  Here we reach the second subject, which as in the previous movement Dvořák gives two themes, first a triplet and quaver falling figure heard on oboes and flutes [ 4:54 ]–

–followed by a slow moving theme in 3rds heard first on the clarinets, accompanied by pizzicato contrabasses [ 5:22 ].

In this loosely based structure both of the Second Subjects are repeated in reworkings that place the melody in the violins as we hear a build to a semi-quaver rhythmic and dynamic climax and then shimmering tremolando cellos replacing the contrabass movement. 

There follows a brighter development section, as if the mood needs to be lifted in tone [ 7:46 ].  This acts as an interlude with staccato sextuplet semiquavers heard in the flute and then clarinet.  This builds to a grand climax where the first subject from the first movement (ex.2) underneath which can be heard an altered version of the principal theme of the second movement (ex.5) as the climax falls away, a ritardando slipping us back into a recapitulation of the principal theme (ex.5), once again heard on the cor anglais and completed by strings [ 8:39 ].  Unexpected pauses give a disjointed feel to this final statement, as if its life is fading away, finally finishing on solo violin, harmonised by solo ‘cello, the string section surging one final time in an altered ending.

The coda brings the movement to a conclusion, led into by first violins dying away into the opening choral movement from the introduction [ 10:55 ], these in turn melting into an exquisite chord on four divisi double basses.

Third movement: Scherzo – Molto Vivace

Like most symphonic scherzos, Dvořák’s has three beats in a bar and retains some of the original meaning of the Italian word – ‘joke’.  Certainly the feel is lighter and more exuberant than the previous two movements.  We begin section A with a powerful quaver-quaver-minim movement that seems at first to be a regular triad in E, until a D in the violins creates an E minor 7th chord, leading us into the principal theme, heard in canonic woodwinds with the Em7 chord retained in strings.

The remainder of the A section is made up of dramatic presentations of this staccato theme, the brass pounding out a simple descending scalic countermelody.

A calming harmonic transition to E major leads us into the pentatonic melody of section B [ 1:31 ], a theme of contrasting tranquil joviality, the pairing of flutes and oboes in unison once again employed. 

This mood is retained throughout the B section, until we return for a short recapitulation of the dramatic A section.  Once again the mood calms, an eerie version of ex.2 from the first movement emerging from the ‘cellos and then violas that lead us into the optimistic Trio, section A [ 3:12 ]. 

It is interesting to note Dvořák’s development of his themes in the way the first three notes of the lower part of the accompanying violin figure are the same as the last three notes of the French horn theme in ex.2.  The cheery disposition is retained through section B where leaping quavers and trills in a descending sequence keep the music skipping pleasantly along.

Following the return of the Trio’s A section, Dvořák extends the Trio with a further B and A section before reprising the initial Scherzo with a Da Capo repeat [ 5:20 ].  Following this familiar material we flow into the coda [ 7:35 ], where theatrical tremolando strings combine with a slightly altered, and yet clearly recognisable, version of ex.2, returning to its native French horn.  With interjections from ex.8 in high woodwinds, the battle seems about to be won by the horn theme, only for a strident version of ex.4 to take over [ 7:47 ].  Ex.8, as if refusing to die away completely is still audible in the violins as a countermelody, elongated to die away as it moves down through the string section before one final dramatic tutti chord of E minor brings the movement to a close. 

Fourth movement: Finale - Allegro energico e passionate – Piu allegro

The last movement begins with nine bars of tempestuous introduction, the sense of tempo slowly being wound up through shortening rhythms that make one wonder whether John Williams had been listening to this symphony just before he sat down to write the Jaws soundtrack.  And could there also be an echo in his Star Wars theme of the dramatic First Subject, heard in horns and trombones?

The transition appears in violins as lively and bouncing triplets answered by a descending scale in dotted rhythms [ 1:18 ].  Off-beat horns drive us along until quite unexpectedly the music calms, modulating to G major out of which a smooth and calming melody in clarinet emerges as a contrasting Second Subject [ 1:58 ].

Luscious and romantically sweeping violins take us into new territory and, like Dvořák’s previous treatment of Sonata Form in the first and second movements, a secondary theme is introduced, doubled in violins and flutes [ 2:46 ].

Gradually dying away, the last three notes are passed around the orchestra becoming lower and lower in tessitura as we reach the surging Development [ 3:51 ].  It is in the following passages that Dvořák really shows his skill as a master of themes, as in turn we hear versions of melodies taken from all the previous movements.  He begins with treatments from this movement, ex.14 in the woodwinds answered by ex.12 in horns.  The cellos and basses then take up ex.12 in an agitated version rhythmically scored twice as fast [ 4:20 ].  This is juxtaposed with the light-footed triplets originally heard in the transition of this movement.  We then move through a version of ex.12 in staccato violas, the tonality altered to the major.  As this passes through modulations we hear the opening theme from the second movement (ex.5) in the flutes as well as the first theme from the Scherzo in violins canonically answered by cellos and basses.  From this a sudden climax is built, out of which surges forth the first subject from the second movement (ex.5) in trumpets and trombones, first in a major and then in a minor tonality [ 5:14 ].  A scurrying version of ex.12, laced with the first two bars of the first movement’s first subject (ex.2) finally lead us tumbling into the Recapitulation [ 5:52 ].

The first subject returns in hellfire and tragedy, before passionately calming into the second subject, heard on violins and then cellos, bypassing the material from the original transition completely.  The secondary theme is retained, but loses all of its joviality and driving nature, remaining almost reflective in feel.  This is taken up by horns and melded seamlessly into ex.2, an accelerando and crescendo leading us back into the tragic nature of the movement and into the Coda, heralded by the return of the dramatic ex.2 [ 9:00 ] and ex.12 [ 9:06 ].

From within the passion we hear glimpses of other movements, most noticeably the sustained chordal movement from the opening of the second movement, this time scored in blazing fury across brass and woodwind [ 9:16 ].  The fragments of the now clearly recognisable themes die away until one last final cataclysmic outburst of ex. 12 in unison across strings and woodwind, harmonised mid-theme and then combined one final time with ex.2, the opening material from the movement returning to lead us home to a repeated E major chord.  The effect is that of a hammering triumphal overcoming of tragedy, and yet this proclamation is put into question by the diminuendo in woodwinds and brass over the last chord, ethereally dying away to mystery.

Further listening

• Tchaikovsky, Symphony no.6 in B minor, ‘Pathétique’ (8.550782), composed in the same year.
• Puccini, a contemporary of Dvořák, set one of his operas in America, it too being premiered in New York.  A taste from ‘La Fanciulla del West’ can be found at 8.556670, track 15.
• For more American music, try Samuel Barber’s Adagio for Strings (8.559088) Aaron Copeland’s Fanfare for the Common Man (8.550282) or the slightly more experimental Symphony no.2 by Charles Ives (8.559076)

Bibliography
Abraham, Gerald: Dvořák, Symphony No 9 (From the New World) (Eulenburg)
Tibbetts, Hans-Hubert: Dvořák in America (Amadeus, 2003)
Tovey, Donald Francis: Essays in Musical Analysis, Volume II: Symphonies (Oxford University Press, 1935)