Expert Improvisers in Western Classical Music: Perceptions, Learning Pathways and Creative Processes

Expert improvisers in Western classical music: Perceptions, learning pathways and creative processes

Jean-Philippe Després Faculté de Musique, Université Laval, Canada [email protected]

In: Jakubowski, K., Farrugia, N., Floridou, G.A., & Gagen, J. (Eds.) Proceedings of the 7th International Conference of Students of Systematic Musicology (SysMus14) London, UK, 18-20 September 2014, http://www.musicmindbrain.com/#!sysmus-2014/cfmp This paper is released under a CC BY-NC-ND Creative Commons License (http://creativecommons.org/licenses/).

Aims. The research question of the present study is: “What are Western classical music improvisers’ perceptions, learning pathways and creative processes?” To address this question, a threefold rationale has been developed: (1) describe how Western classical music expert improvisers perceive their practice; (2) map Western classical music improvisation learning pathways; and (3) identify and define the cognitive processes and strategies implemented by Western classical music experts, as well as the states they experience in the course of performance.

Method. Open-ended, semi-structured interviews have been conducted with (N=8) internationally recognized Western classical music expert improvisers. Expertise has been determined by peer recognition and professional performing/recording/teaching activity in Western classical music. After transcription, the interviews have been coded and analysed using NVivo 10 software, with a mixed category approach.

Results. The participants perceived improvisation as a spiritual experience, situated at the core of their musical practice, which is ideally created collaboratively and ex nihilo. Furthermore, even though improvisation, interpretation and composition are often intricate activities, distinctions are clearly drawn for the participants. Two different types of learning pathways have been identified: native improvisers and immigrant improvisers. While in the former pathway improvisation was introduced at the very beginning of instrumental learning, in the latter pathway improvisation was learned after developing high-level of instrumental proficiency. Both these learning pathways led the participants to develop improvisational expertise. Thus, we hypothesize that expertise can be attained even when improvisation is introduced in later phases of musical development, as long as know-how and know-what are sufficient. Moreover, beyond knowledge and skills, expertise is also built on risk-taking and acceptance of the unexpected. Finally, the strategies implemented by Western classical music improvisers can be grouped into six categories: motivic, pitch- oriented, real-time, rhythmical, structural and stylistic and, from a broader perspective, the improvisational cognitive processes and strategies identified are either transversal or language-specific. On the one hand transversal cognitive processes and strategies could be implemented in any improvisational context; on the other hand Western classical music-specific cognitive processes and strategies are linked to the peculiar constraints of this language.

Keywords: Musical improvisation, expertise, perceptions, learning, creative process.

Acknowledgement. The author wishes to acknowledge the generous financial contribution of the Social Sciences and Humanities Research Council of Canada (SSHRC) and of the Society for Education, Music and Psychology Research (SEMPRE).

Musical improvisation has been a central Moore, 1992; Sloboda, 1996). However, in component of Western classical music for recent decades, musical improvisation is centuries; most Renaissance, Baroque, slowly coming back to life in Western art Classical and early-Romantic musicians music performance practice. possessed a relative degree of ability to While musical improvisation has been improvise, compose and perform notated described as an “art neglected in scholarship” music (Moore, 1992). (Nettl & Russell, 1998, 1), such a statement However, from the second half of the 19th is no longer valid (Solis & Nettl, 2009, 7-9). century, improvisation gradually vanished Indeed, researchers’ interest in musical from Western classical music, as musicians’ improvisation has burgeoned in the last few roles gradually separated and specialized. decades. However, even if empirical studies Many factors probably contributed to this on jazz and “world” music have recently phenomenon, importantly the ever-increasing made significant breakthroughs, so far technical difficulty of the repertoire and the Western classical music received relatively similarly growing public expectations in terms little attention in comparison. of technical perfection (Berkowitz, 2009;

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The present study aims to broaden the and states that musicians implement and understanding of Western classical music experience in the course of an improvised improvisational expertise. Similar research, performance were the final subjects led by Norgaard (2008) in the field of jazz addressed during the interview. These themes music, has already demonstrated its value were prompted by questions such as: “In per se and the relevancy of its pedagogical what state do you find yourself when you implications. The main objective of this improvise?” or “What specific strategies, research is to analyse musicians’ tactics or ‘tricks’ do you implement in the developmental and generative processes, course of improvisation?” more precisely answering the following research question: “What are Western Perceptions – Rationale 1 classical music improvisers’ perceptions, Describe how Western classical music expert learning pathways and creative processes?” improvisers perceive their practice. In order to address this broad question, a The participants interviewed perceive threefold rationale has been developed: (1) improvisation as a spiritual experience, describe how Western classical music expert situated at the core of their musical praxis. improvisers perceive their practice; (2) map Furthermore, they believe that improvisation Western classical music improvisation should ideally be created ex nihilo and form a learning pathways; and (3) identify and collaborative product between them, other define the cognitive processes and strategies performing musicians and the audience. implemented by Western classical music However, as inspiration cannot always be experts, as well as the states they experience called up at will, possessing a “lifeline” – in the course of performance. composed of motifs, digital patterns, harmonies, modulations, and so on – is a Method necessary condition of improvisational Open-ended, semi-structured interviews have expertise development, which, in turn, been conducted with (N=8) internationally contributes to the likelihood of the performer recognized Western classical music expert experiencing a flow-state in the course of the improvisers. Expertise has been determined performance. by peer recognition and professional Finally, even though improvisation, performing/recording/teaching activity in interpretation and composition are often Western classical music. After transcription, intricately intertwined activities (e.g. an the interviews have been coded and analysed improvisation might contain one or many pre- using NVivo 10 software, with a mixed learned – therefore composed and interpreted category approach (L’Écuyer, 1987). An initial – formulas) the distinctions between these coding scheme had previously been practices are clearly drawn for the developed from an in-depth literature review interviewed participants. of musical improvisation by the author (Després & Dubé, in press). Versus interpretation. Even if some micro- structural components of an improvisation Results might be repeated from one time to another, its macro-structural constitution is unique. The participants’ perceptions of musical This characteristic distinguishes clearly improvisation have been expressed improvisation from interpretation; even if throughout the interviews with little, if any, subtle micro-structural components of an prompting from the researcher. Improvisation interpretation might (and will, inevitably) vary learning was the first topic specifically from one performance to another, its macro- addressed during the interviews. The structural construction will remain unchanged following question served as an introduction through time (save the musician’s memory to this topic: “How did improvisation enter lapse). However, the musician’s contact with your musical learning?”. Subsequent his instrument is common to both discussion stemmed from the participants’ improvisation and interpretation. In effect, a answer. The cognitive processes, strategies

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sine qua non condition of expertise classical music experts as well as the states development in these practices is technical they experience in the course of performance. fluency, which is necessarily acquired through Aiming for a better comprehension of the hours and hours of rehearsal. participants’ states and cognitive processes, Versus composition. Composition, qua the researcher asked them: “What’s going on improvisation, is a creation of original musical in your head in the course of performance?” material. Nevertheless, as opposed to He also questioned them about the specific composition – which can be reworked strategies they use during improvisation. indefinitely, in quest for a relative aesthetical Cognitive processes. Broadly speaking, “perfection” – improvisation is a unique cognition refers to the processes of temporal event. Therefore, risk-taking – and perception, archiving, storage, organization in it the probability of unexpected events and and utilisation of information (Martinsen, technical glitches – is conceived, by the Kaufmann, & Furnham, 2011). More expert improvisers interviewed, as a specifically, Plucker, Runco, & Hegarty (2011) necessary condition of a “good define cognitive processes as: “Actions taken improvisation”. Finally, because improvisation by the human mind to process information.” is, by definition, a unique occurrence, any (p. 456). attempt to re-perform an improvised performance will alter its nature, turning it While talking about “what’s going on in their into an interpreted composition with an head” in the course of musical improvisation, improvisatory feel. the participants revealed their improvisational cognitive processes. Four different expert Learning – Rationale 2 improvisers’ cognitive processes have been Map Western classical music improvisation identified: two were part of the initial coding learning pathways. scheme and two emerged from the participants’ discourse. Table 1 presents Two different types of improvisation learners these cognitive processes and their respective have been identified: native improvisers and definitions; emergent cognitive processes are immigrant improvisers. While the former in bold. started to improvise from the very beginning RappelCognitive (Kenny et LeDefinition musicien se remémore des of his instrumental training, the latter only Gellrich,processes 2002) initiated his improvisation learning after Anticipation Theévènements musician plansmusicaux forthcoming passés. musical having reached a high-level of instrumental events (Kenny & Gellrich, 2002; Norgaard, 2011). proficiency. Native improvisers started to Memorisation The musician stores information in his improvise autonomously, “naturally” and memory. Execution The musician transforms his musical without any conscious effort, in a playful ideas into sounds (Johansson, 2008; manner. On the other hand, immigrant Kratus, 1995). improvisers learned improvisation Selection The musician filters through his ideas. deliberately, with conscious effort and Table 1. Expert improvisers’ cognitive processes. exterior guidance from a mentor and/or instructional methods. Overall, native Strategies. Strategies can be defined as “the improvisers tended to describe their series of procedures an individual uses to improvisational practice by using terms accomplish a cognitive task” (Lemaire & related to leisure (e.g. “fun” “enjoyable” and Fabre, 2005, p.2). Thus, as opposed to a “pleasant”). In contrast, immigrant cognitive process (which can either be improvisers tended to use expressions related conscious or unconscious), a strategy is, by to work, such as “labour”, “clean”, “select” definition, deliberate and conscious; it is a and “get to the bottom”. means elaborated in order to achieve an end. Furthermore, the realisation of a strategy Cognitive Processes, Strategies and generally implies the utilisation of multiple States – Rationale 3 cognitive processes. Identify and define the cognitive processes and the strategies implemented by Western

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In the specific context of musical Using the idea Using formulas stored in long-term improvisation, strategies correspond to the bank memory (Norgaard, 2008). means implemented by the musician to Table 2. Expert improvisers’ improvisational strategies. generate and select musical elements (form, harmony, notes, rhythm, timbre, etc.) of his Using “errors” creatively is the strategy that improvisation. In sum, strategies are was mentioned by the most participants conscious, deliberate and goal-oriented. (N=4). Hierarchical improvisation and Data analysis revealed 17 expert improvisers’ feedback came next (N=3). strategies: seven of which were contained in States. A state corresponds to the lived the initial coding scheme and ten which experience of the musician. A state is a emerged from participant discourse. Table 2 condition lasting for a given time period that presents these strategies and their respective encompasses and partly determines the definitions; emergent strategies are in bold. musician’s mental activity (cognitive Strategy Definition processes and strategies). Alternating Planning the whole concert program program, alternating between What is going on in the musician’s head in the improvised and interpreted course of improvisation? Vacuity – a state pieces/movements. that can be related to Csikszentmihalyi's Chromatic Using the chromatic scale to (1997) notion of flow experience – appears to approach determine which notes to play. be the optimal condition during Feedback Reusing elements that have been played earlier in the course of improvisation: “The best thing is that nothing improvisation (Kenny & Gellrich, happens” (Sophie1). How does one feel in that 2002). flow state? Philippe answered: Hierarchical Creating new musical ideas on the improvisation basis of melodic or harmonic “One is in another space-time. When I play a elements of the piece on which note, it is as if I opened a wall. I go through it one improvises (Clarke, 1988). Hypermeter Building the improvisation upon and I don’t know where I am. When I’m large-scale, structural phrasings. done, I come out through the wall. I don’t Interrupt Developing contrasting material in know what I just did.” generation relation to what has just been played (Pressing, 1988). When the researcher asked Daniel the key to Melodic priority Thinking in terms of melodic attain flow in every concert, he answered in a contour to determine which notes poetical fashion, evoking Philippe’s previous to play (Norgaard, 2008). Pastiche of a Using musical elements inspired words: “Well, the body must be as wide as composer by a given composer. the room and as moving as the music. Pastiche of a Using musical elements inspired Because we are no longer the body.” These work by a given musical work. two latter participants (Philippe and Daniel) Prosodic Constructing an improvisation on approach the natural rhythm of the spoken claimed to be in a constant flow state during voice. their concerts. Rhythmical Taking rhythmical freedom while freedom keeping a steady pulse interiorly. For others, flow cannot always be reached in Sketch planning Determining, before starting to the course of improvisation. When asked: play, the general characteristics of “What’s going on in your head in the course the improvisation (Hargreaves & of performance?” Isaac answers: al., 1991). “In the moment” Focusing the attention on the “It changes according to the mood of the tactic present or immediate future (1-2 concert, according to the “Je ne sais quoi”. seconds) in order to be “in the Moreover, in these words “Je ne sais quoi” moment”. Timbre/texture Thinking in terms of timbre or there is, I think, this mysterious but priority texture. important mix of one’s instinct with one’s Tonal approach Building the improvisation around know-how. One’s instinct reacts differently its tonal axis (e.g. using a tonal depending on one’s state of mind, one’s centre or superimposing two emotional state, one’s contact with the different tonalities). Using “errors” Using creatively an unexpected audience – whether it is a warm or a cold creatively event (Csikszentmihalyi et Rich, 1997).

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contact – and how we feel in real-time, in this “I must not fear. Fear is the mind-killer. Fear lived time.” is the little-death that brings total obliteration. I will face my fear. I will permit it For him, there is a dynamic interaction between instinct (flow) and know-how to pass over me and through me. And when it (knowledge and skills) which depends on has gone past I will turn the inner eye to see multiple factors (i.e. the “mood of the its path. Where the fear has gone there concert”). will be nothing. Only I will remain.” (Bolding mine) But how do one’s instinct and one’s savoir- faire interact with each other? Isaac Secondly, the complex debate about the continues: distinctions and similarities between improvisation, interpretation and “It depends, it depends on the day, it 2 depends on my state. When I'm not in very composition continues. Still, according to the good condition, from the point of view of musicians interviewed, they are inspiration, from the point of view of freedom fundamentally distinct musical practices: […] I base myself more on my know-how. It because improvisation leads them to is in my best concerts that I rely less [on it] … encounter the unexpected and the “other” that I'm less conscious. And it is a state of (i.e. musicians and the public) they perceive uncertainty; it is a state between two worlds, that improvisation holds a greater between control and letting go.” transformative potential for them and Here, the mood of the musician is involves them more profoundly then perceived as strongly correlated to his chance interpretation or composition. of experiencing flow. Learning The interaction between an instinctive and a rational state was a recurring theme Because native improvisers and immigrant throughout the interviews and there appears improvisers have both developed high-level of to be consensus among all participants that a improvisational achievement, we hypothesize flow-instilled performance is a better that expertise can be achieved even when performance. Table 3 presents the two states improvisation is introduced in later phases of as revealed in data analysis. musical development. However, early improvisational experiences do foster Instinctive (Flow) The musician's attention is musicians’ self-efficacy perception and entirely focused on the

moment, while he improvises facilitate the process of expertise in a quasi-automatic fashion. development. Rational The musician's develops its States improvisation consciously and States, Cognitive Processes and deliberately, using declarative Strategies knowledge. Musicians seem to consider the development Table 3. Expert improvisers’ improvisational states. of extensive know-how and know-what to be simultaneously: (1) a necessary condition for Discussion flow to be experienced and (2) a “safety net” on which to rely if for some reason flow does Perceptions not occur in the course of a given Know-how and know-what are determinant performance. There is a peculiar link between conditions of improvisational expertise. improvisation learning and improvisers’ states However, the interviewed participants in the course of performance: that is, “the revealed something beyond knowledge and more you learn, the less you think”. skills: a meditative space where the Strategies. The strategies implemented by unexpected is accepted and where fears are Western classical music improvisers can be transfigured into a witness facing the grouped into six categories: motivic, pitch- unknown. Their words echo the litany against oriented, real-time, rhythmical, structural and fear found in Frank Hebert’s (1965) famous stylistic (Table 4). These categories are not novel Dune: hermetic (e.g. motivic strategies have

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consequences on pitches and rhythmical priority has been identified in Norgaard's elements) but they outline the focus of (2008, 2011) study as the main strategy musicians’ attention while they use each implemented by experts jazz improvisers. strategy. However, this strategy was not mentioned by any of the improvisers we interviewed; Motivic strategies focus on short and musical language differences may explain this recurrent musical utterances and their omission. Indeed, the most common praxis in permutations. The main function of pitch- jazz band improvisation is to “take turns”, oriented strategies is to define the actual improvising over pre-established (and notes to be played. Real-time strategies are commonly agreed-upon) chord sequences. used to deal with the extemporaneous nature Such a practice is rarely found in Western of improvisation and its subsequent risk- classical music improvisation. Hence, in jazz, taking and unexpectedness. Rhythmical the structure of the improvisation is pre- strategies highlight the temporal placement of determined, while in many instances the notes that are to be played. Structural (excluding namely ornamentation and strategies are used to determine the formal thorough-bass realization) the structure of construction of the improvisation. Finally, Western classical music improvisation itself is stylistic strategies define the global musical improvised. language of the improvisation. Thus it is arguable that there are two broad Categories Strategies Motivic Using the idea bank types of cognitive processes and strategies: Hierarchical improvisation transversal and language-specific. A number Pitch oriented Tonal approach of the Western classical music improvisation- Melodic priority specific strategies identified (i.e. alternating Chromatic approach program, hypermeter, pastiche of a Real-time “In the moment” tactic Using “errors” creatively composer, pastiche of a work, tonal Rhythmical Rhythmical freedom approach) may allow the musician to ensure Prosodic approach the coherence of his improvisation on a level Hypermeter that, in jazz, is already granted by the pre- Structural Sketch planning defined harmonic and rhythmic structures of Feedback the piece. Interrupt generation Alternating program States. The dialectic between “instinct” and Stylistic Timbre/texture priority Pastiche of a composer “savoir-faire” has previously been Pastiche of a work documented by Berkowitz (2009) in his research on classical period improvisation. Table 4. Categories of Western art music improvisational Following his work, the present research strategies. supports the point of view that flow is transversal to all improvised music. Two (out of four) cognitive processes and seven (out of 17) strategies we identified Conclusion through data analysis have also been found in previous theoretical or empirical work on As observed by Berliner (1994) in his in- musical improvisation. The remaining depth research on jazz improvisation, cognitive processes and strategies we musicians are not “picking notes out of thin inventoried are not echoed in the literature. air” (p.1). Likewise, Western classical Explanations as to why these cognitive musicians have named and described processes and strategies have not been numerous strategies they use in order to documented can be only hypothetical at this develop their improvisation. These strategies point. However, the nature of Western range from short-term, tactical approach to classical music improvisation may explain concert-long planning. The strategies these differences. identified and defined could be used as an empirical foundation for elaborating and As an example, we will discuss the particular improving Western classical music case of harmonic priority strategy. Harmonic pedagogical practices. Consequently, through

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a better understanding of experts’ behaviour descriptions can be compared to their actual and mental activity, efficiency of instructional behaviour. methods can be optimized. References Implications for music education Azzara, C. D. (2002). Improvisation. In R. Colwell (Ed.), The new handbook of research on Although the participants perceived music teaching and learning (pp. 171– improvisation as a core component of their 187). New York: Schirmer Books. musical praxis, it forms a merely peripheral Berkowitz, A. (2009). Cognition in improvisation: component of Western classical music The art and science of spontaneous pedagogy. Subsequently, this research musical performance (Thèse de doctorat). supports the numerous advocates of Harvard University, Massachusetts. improvisation (re)introduction in Western Berliner, P. (1994). Thinking in jazz: The infinite classical pedagogy (Azzara, 2002; Kenny & art of improvisation. Chicago: University of Chicago Press. Gellrich, 2002; McPherson, 1993; Wilson, Csikszentmihalyi, M. (1997). Creativity: Flow and 1970, inter alios). In doing so, teachers the psychology of discovery and invention. should work on developing in learners Harper perennial. strategies akin to those used by experts, Després, J.-P., & Dubé, F. (In press). Revue de starting with in-the-moment strategies, and littérature des écrits scientifiques portant gradually tending towards longer-term sur l’improvisation musicale : identification structural planning. Since the creative use of des concepts clés et des recommandations “errors” is an important strategy for Western pédagogiques liés à ce domaine. In Actes classical improvisers, it deserves special scientifiques du congrès : L’apprentissage de la musique : son apport pour la vie de attention from the music educator. Creating a l’apprenant du 21e siècle. context favourable to the occurrence of Johansson, K. (2008). Organ improvisation- unexpected events (e.g. improvising in activity, action and rhetorical practice. unusual meters/tonalities; or trying to Malmö Academy of Music. modulate suddenly in a remote tonality) may Kenny, B. J., & Gellrich, M. (2002). Improvisation. foster the learner’s self-confidence, especially In R. Parncutt & G. McPherson (Eds.), The when attempts are valued over results. Science and Psychology of Music Performance (pp. 117–134). New York: Limitations Oxford University Press. Kratus, J. (1995). A developmental approach to The main limitations of this study are related teaching music improvisation. International to its data collection method. Self-reporting Journal of Music Education, (1), 27–38. methods may come under various biases, L’Écuyer, R. (1987). L’analyse de contenu: notion both conscious and unconscious. Indeed, self- et étapes. In J. P. Deslauriers (Ed.), Les reporting participants may involuntarily forget méthodes de la recherche qualitative (pp. 49–65). Québec: Les Presses de or modify past events, they also may l’Université du Québec. voluntarily omit certain details of their Lehmann, A. C., Sloboda, J. A., & Woody, R. H. narrative, for social desirability or other (2007). Composition and improvisation. In reasons. Nonetheless, the in-depth Psychology for musicians: Understanding perspective of experts in Western classical and acquiring the skills. New York: Oxford musical improvisation provided by our University Press. research data validates our exploratory Lemaire, P., & Fabre, L. (2005). Strategic aspects methodological choice. of human cognition: Implications for understanding human reasoning. In M. J. Further research Roberts & E. J. Newton (Eds.), Methods of though: Individual differences in reasoning Further research would benefit from a direct strategies (pp. 11–56). focus on expert improvisers’ behaviour. Both Martinsen, Ø. L., Kaufmann, G., & Furnham, A. rehearsing and performance practices should (2011). Cognitive Style and Creativity. In M. A. Runco & S. R. Pritzker (Eds.), be documented using verbal protocol Encyclopedia of Creativity (Second Edition) methods so that the participants’ self- (pp. 214–221). San Diego: Academic Press.

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McPherson, G. (1993). Evaluating improvisational ability of high school instrumentalists. Bulletin of the Council for Research in Music Education, 119, 11–20. Moore, R. (1992). The decline of improvisation in Western art music: An interpretation of change. International Review of the Aesthetics and Sociology of Music, 23(1), 61–84. Nettl, B., & Russell, M. (1998). In the course of performance: Studies in the world of musical improvisation. University of Chicago Press. Norgaard, M. (2008). Descriptions of improvisational thinking by artist-level jazz musicians (Ph.D.). University of Texas, Austin. Norgaard, M. (2011). Descriptions of improvisational thinking by artist-level jazz musicians. Journal of Research in Music Education, 59(2), 109–127. Plucker, J. A., Runco, M. A., & Hegarty, C. B. (2011). Enhancement of Creativity. In M. A. Runco & S. R. Pritzker (Eds.), Encyclopedia of Creativity (Second Edition) (pp. 456–460). San Diego: Academic Press. Sloboda, J. A. (1996). The acquisition of musical performance expertise: Deconstructing the“ talent” account of individual differences in musical expressivity. Solis, G., & Nettl, B. (2009). Musical improvisation: art, education, and society. Urbana: University of Illinois Press. Thompson, S., & Lehmann, A. C. (2004). Strategies for sight-reading and improvising music. In A. Williamon (Ed.), Musical excellence: Strategies and Techniques to Enhance Performance (pp. 143–159). Oxford: Oxford University Press. Wilson, D. S. (1970). A Study of the Child Voice from six to twelve (Ph.D.). University of Oregon, Eugene, OR.

1 All participants’ names are fictional in order to ensure their anonymity. 2 See Lehmann, Sloboda, & Woody (2007) and Thompson & Lehmann (2004) contributions to this discussion.