德米特里•蕭斯塔可維奇為蘇聯時期的重要俄國作曲家之一，其作品類型廣泛，曾經創作了許多大型的管絃樂曲與歌劇，為了順應俄國政府的政策，也大量寫作了膾炙人口的電影音樂。其歌劇作品在一九三六年受到「真理報」嚴厲的批判，雖然曾經歷過挫折，但蕭斯塔可維奇依舊不放棄創作，在一九四○年所寫作的鋼琴五重奏獲得國家文藝界的最高榮譽肯定，終於在國內及國際上都獲得極高的聲譽。
在室內樂領域方面，均為小提琴、中提琴和大提琴各寫作了一首奏鳴曲及十五首弦樂四重奏，此首《D小調大提琴奏鳴曲，作品四十》是一九三四年所完成的作品，曲式結構以較傳統的架構寫成，而調性卻是逐漸跳脫傳統的束縛，並以特有的抒情旋律及民謠風格與獨特的和聲音響及節奏效果深深打動人心，成為俄國著名的大提琴作品。
本研究分為三大部份，第一部份概述俄國的近代社會背景，第二部份為蕭斯塔可維奇之生平背景介紹，第三部份敘述此曲之創作背景與分析此曲之創作語法，藉由參考蕭斯塔可維奇個人的錄音版本，進而說明筆者對此曲所使用的演奏技巧與詮釋方式，希望藉由本研究讓蕭斯塔可維奇的《大提琴奏鳴曲》在演奏上能使音樂更能貼近作曲者的意念並能發揮出個人的風格。

Dmitri Shostakovich is one of the most important Russian composers of the Soviet period. Being a prolific composer, he had created a great many orchestra music and opera, as well as a substantial quantity of popular film music under the pressure of the Soviet regime. Although Shostakovich was judged crucially in one of his works in opera by Pravda in 1936, his passion still remained firm he for composition. It was only until his piano quintet finished in1940 that received the national awards, and became honored and well-known both domestically and internationally.
In terms of chamber works, Shostakovich had composed one sonata each for violin, viola and cello and fifteen string quartets. His“Cello Sonata in D Minor, op. 40” finished in 1934. This work is subject to traditional musical form with unconventional tonality. For example, Shostakovich’s use of unique harmonics and resonances, blended with lyrical melody and folk style, is so penetrative that it has become one of the most celebrated cello master pieces in Russia.
This lecture-recital document includes three major discourses. The first and the second parts summarize the introduction of the background of modern Russia and the personal review of Shostakovich. The third section gives an analysis on the creation background and techniques of the “Cello Sonata in D Minor, op. 40”. This document will try to discuss the techniques and possible interpretations by looking into the recording by Shostakovich. Hopefully, the document can shed light onto the composer’s originality.

前言 1

俄國近代社會背景之概述 3

蕭斯塔可維奇之生平概述 6

蕭斯塔可維奇《D小調大提琴奏鳴曲》
《D小調大提琴奏鳴曲》之創作背景 11
《D小調大提琴奏鳴曲》之創作語法 14
《D小調大提琴奏鳴曲》之演奏詮釋探討 30

結語 66

參考文獻 67

（一）西文書目
Abraham, Gerald, Hugh Macdonald, Geoffrey Norris, Rita McAllister, and Boris Schwarz. The New Grove Russian Masters 2: Rimsky-Korsakov, Skryabin, Rakhmaninov, Prokofiev, Shostakovich. London: Papermac, 1986.
Braun, Joachim. “The Double Meaning of Jewish Elements in Dimitri Shostakovich’s Music.” The Musical Quarterly. Vol. 69 (Spring 1980): 68-80.
Brown, Malcolm Hamrick. A Shostakovich Casebook. Bloomington: Indiana University Press, 2004.
Bunting, Christopher. Cello Technique. New York: University of Cambridge Press, 1987.
Calvocoressi, Michel D. A Survey of Russian Music. New York: Penguin, 1944.
Fanning, David, ed. Shostakovich Studies. New York: Cambridge University Press, 1995.
Fay, Laurel E. Shostakovich : A Life. New York: Oxford University Press, 2000.
Galamian, Ivan. Principles of Violin Playing & Teaching. Ann Arbor: Shar Products Company, 1985.
Hulme, Derek C. Dmitri Shostakovich: A Catalogue, Bibliography, and Discography. Lanham, Md. : Scarecrow Press, 2002.
Leonard, Richard Anthony. A History of Russian Music. New York: Macmillan, 1957.
Lukyanova, N. V. Shostakovich: His Life and Times. Trans. Yu. Shirokov. Neptune City: Paganiniana Publications, 1984.
Maes, Francis. A History of Russian Music: From Kamarinskaya to Babi Yar. Trans. Arnold J. Pomerans and Erica Pomerans. Berkeley: University of California Press, 2002.
Moshevich, Sofia. Dmitri Shostakovich, Pianist. Montreal: McGill-Queen's University Press, 2004.
Norris, Christopher, ed. Shostakovich: the Man and His Music. Boston: Marion Boyars, 1982.
Potter, Louis. The Art of Cello Playing. Princeton: Summy-Birchard Music, 1980.
Roseberry, Eric. Shostakovich. London: Omnibus Press, 1986.
Starkweather, David. “Methods of Shifting.” American String Teacher. Vol. 38 No. 1 (Winter 1988): 67-70.
Stowell, Robin. The Cambridge Companion to the Cello. New York: Cambridge University Press, 1999.
Volkov, Solomon. Shostakovich and Stalin : the Extraordinary Relationship Between the Great Composer and the Brutal Dictator. New York: Knopf, 2004.
______. Testimony: The Memoirs of Dimitri Shostakovich. New York: Harper & Row, 1979.
Wilson, Elizabeth. Shostakovich: A Life Remembered. New Jersey: Princeton University Press, 1994.
Wilson, Miranda Clare. Shostakovich's Cello Sonata: Its Genesis Related to Socialist Realism. DMA Dissertation, The University of Texas at Austin, 2005.

（二）中文書目
卡爾•符籟虛（Carl Flesch）。《小提琴演奏之藝術》，馮明譯。 台北：黎明文化事業，1985年。
李明濱。《俄羅斯文化史》。 台北：亞太圖書出版社，2000年。
周雪舫。《俄羅斯史：謎樣的國度》。 台北：三民書局，2003年。
邵義強。《現代樂派樂曲賞析》。 台北：錦繡出版社，2000年。
姚海。《俄羅斯文化之路》。 台北：淑馨出版社，1991年。
音樂之友社編。《蕭士塔高維契》，林勝儀譯。 台北：美樂出版社，2000年。
理查•皮佩斯（Richard Pipes）。《共產主義簡史 : 從血堆?堳堨葥_來的理想國》，蔡東杰譯。 台北縣新店市：左岸文化，2004年。
陳藍谷。《小提琴演奏統合技術》。 台北：美樂出版社，2005。
麥肯錫（David MacKenzie）、喀然（Michael W. Curran）。《俄羅斯．蘇聯．與其後的歷史》，蔡百銓譯。 台北：翻譯館，1995年。
黃輔棠。《教教琴•學教琴：小提琴技巧教學新論》。台北：大呂出版社，1995。
雷歐波德•奧爾（Leopold Auer）。《我的小提琴演奏教學法》，司徒華城譯。 台北：世界文物出版社，1998年。
瑪格麗特•康貝爾（Margare Campbell）。《不朽的大提琴家》，張世祥譯。 台北：世界文物出版社，1996 年。

（三）樂譜
Beethoven, Ludwig V. Sonata No. 3 for Piano and Violoncello, op.69. München: G. Henle Verlag, 1971.
Shostakovich, Dmitri. Sonata in D Minor, op. 40 for Violoncello and Piano. Hamburg: Musikverlag Hans Sikorski, 1957.
______. Twenty-Four Preludes, op. 34. New York: MCA, 1992.

（四）有聲資料
Shostakovich, Dmitri. Sonata in D Minor, op. 40 for Cello and Piano. Daniel Shafran(Cello) and Dmitri Shostakovich(Piano), 1946.
______. Sonata in D Minor, op. 40 for Cello and Piano. Mstislav Rostropovich(Cello) and Dmitri Shostakovich(Piano), 1957.