Theoretical Foundations for Understanding the Meaning Potentials of Rhythm in Improvisation ____________________________________________________________________ A Dissertation Submitted to the Temple University Graduate Board _____________________________________________________________________ in Partial Fulfillment of the Requirements for the Degree DOCTOR OF PHILOSOPHY _____________________________________________________________________ by James Hiller May, 2011 Examining Committee Members: Kenneth E. Bruscia, Advisory Chair Kenneth S. Aigen, Assistant Professor of Music Therapy Michael Klein, Chair of Music Studies i © Copyright 2011 by ii ABSTRACT This study is a theoretical inquiry into the meaning potentials of rhythm in improvisation, with implications for improvisational music therapy. A review of music therapy literature regarding assessment and treatment reveals that improvisation is a widely applied music therapy method, but that rhythm—found universally in all forms of clinical improvisational processes—has received little attention. Theories from the areas of music philosophy, psychology of music, social psychology of music, musicological studies of jazz, and music therapy are explicated and implications for potential meanings of rhythm for improvisation and improvisational music therapy are described. Concepts that are foundational to the ways that the various theories find meaning in music include symbolism, metaphorical conceptualization, and interpersonal interactions. Theoretical foci for analysis include improvised rhythm (i.e., the rhythmic products), an improviser or co-improviser’s processes while playing, and the perspective of a listener. Differences between solo improvisation and co-improvisation processes are considered. An integral theory of rhythm in improvisation is proposed along with clinical implications. Potential benefits of the study for music therapy and musicology are proposed and considerations for future investigations regarding the topics of rhythm and improvisation are articulated. iii ACKNOWLEDGEMENTS I would like to gratefully acknowledge Dr. Kenneth Bruscia for all the love, support, motivation, inspiration, and care he has shared with me for more than twenty years on my journey into music therapy, self-awareness, and deeper levels of thought and knowledge about music as a force for change than I ever imagined possible. I want to thank my beautiful children Katlin Maya and Leah Grace who have been ever-present positive forces for me as we’ve journeyed through our lives together and as I have pursued my professional aspirations through doctoral study. And to Heidi who has cared for our girls always with exceptional grace and tenacity. I wish to thank my dissertation committee for their willingness to be a part of this work: Dr. Ken Aigen for his leadership in pursuing ever deeper understandings of “the music” in a profession that sometimes forgets what the music is for; Dr. Michael Klein for validating my analyses of theories of music and meaning; and Dr. Maurice Wright for his kind words about my writing—I needed that! I wish to express my deep appreciation and admiration for Dr. Cheryl Dileo who brought additional dimensions to my understanding of music therapy during my training at Temple that helps me daily to teach music therapy from a more holistic viewpoint. Many thanks to my fellow Temple University music therapy colleagues for their inspirational friendship, knowledge, and skills, especially Darlene Brooks, Kathy Murphy, Bryan Muller, Brian Abrams, Tony Meadows, John Carpente, Nancy Jackson, Andi Hunt, Seung-A Kim, Sue Hadley, Joy Allen, Elaine Abbott, Tian Gao, and Lillian Eyre. A special thank you to Dr. Darlene Brooks who walked with and sometimes carried iv me through the first miles of my music therapy journey, and to Dan Pardo who always loves me. Thank you to my friend, research partner, and clinical supervision partner for many years, Larisa McHugh, from whom I continue to learn and who listened as I struggled to articulate what I was learning through this research. Thanks also to Damon Sink and Phil Farris, colleagues at the University of Dayton, whose thoughtfulness about music and its meanings and how to bring that to students is inspiring on a daily basis. I wish to offer a special thank you to Dr. Sharon Gratto for unwavering support of my work as a scholar and as a teacher, and to my students and clients from whom I have learned much about the way rhythm and clinical improvisation works. Thank you to Sam Crews, my dear old friend, who opened the door for me to walk through and begin my journey as a musician, and to his father Curt who always asked how my journey was going and listened as I played for him the answer. Lastly, I want to express my admiration, gratitude, and deepest thanks to Susan Gardstrom, my partner in the unique, exciting, and sometimes strange world of music therapy, for her undying love, support, and motivation, for editorial guidance, for helping with generating ideas when my well ran dry, and for making possible the room I needed to grow into this project. v I dedicate this dissertation to the memory of my dearly departed parents Mary L. Hiller and Robert L. Hiller who lovingly found ways to support me in all of my pursuits, and who taught me that hard work is indeed a good part of life. I also dedicate this work to my dear friend and mentor Ken Bruscia, whose friendship and love has enriched my life more than is expressible with words. vi TABLE OF CONTENTS Page ABSTRACT …………………………………………………………………….……… iii ACKNOWLEDGEMENTS …………………………………………………….……… iv DEDICATION …………………………………………………………………………. vi CHAPTER 1. IMPROVISATIONAL MUSIC THERAPY ………………………………….……... 1 Improvisation In Treatment ……………………………………………….…….. 3 Improvisation In Assessment …………………………………………….……... 7 Analyzing Clinical Improvisations …………………………………….……….. 9 Analyzing Rhythmic Aspects of Clinical Improvisations …….……….. 14 Summary ……………………………………………………………….………. 16 Problem Statement …………………………………………………….……….. 17 Personal Context for The Study ………………………………….…….. 17 2. POTENTIAL MEANINGS OF MUSIC/RHYTHM IN MUSIC THERAPY ….…... 20 Rhythm as Symbolic Representation ……………………………………….….. 20 Symbolic Expression of Emotion Through Rhythm ………………..….. 24 Symbolic Expression and/or Manifestation of Energy in Rhythm ….…. 27 Rhythm Viewed Through Embodied Cognition ……………………….………. 29 Rhythm in Relating to Others …………………………………………….……. 33 Statement of the Problem ………………………………………………............ 38 3. METHOD ………………………………………………………………………….. 41 Research Design ……………………………………………………………….. 41 vii The Rhythmic Elements ……………………………………………………….. 41 Primary Sources of Data …………………………………………..…………... 45 Procedures for Analyzing the Data ……………………………………..…...… 47 4. PRELIMINARY CLARIFICATION OF ISSUES AND TERMS ……………..…. 49 Music Therapy Perspectives on Improvised Rhythm and Emotional Expression …………………………………………………………………..…. 49 Intrapersonalist and Interpersonalist Perspectives …………………...... 50 Emotional Expression in Rhythm Improvisation: Overview of Issues …..……. 52 Emotion and Emotion-related Terminology ………………………..…. 54 Musical Emotions ……………………………………………... 55 “Expression” and Expression of Emotion …………………….. 57 Consciousness and Intentionality Regarding Musical Emotions ……... 61 Improvised Emotional Expression ……………………….....… 64 Contexts for Improvised Emotional Expression …………....… 64 Ascription of Meanings in Context ……………………..…..… 68 Summary: Issues and Terms Related to Emotions and Improvisation ………... 70 5. INTRODUCTION TO SYMBOLIC THEORIES OF EMOTION IN MUSIC ...… 73 Music as Symbolic or Representational of Emotion …………………...…...… 76 The Question of Music’s Symbolic Expressiveness ..………………..… 77 A Response to Scruton’s Challenge from Improvisational Music Therapy ..……………………………………………………..…. 78 The Nature of Symbolic Theories of Art and Music …………………...…..… 81 6. SOMATIC THEORIES ………………………………………………………..…. 84 viii Somatic Theory and Improvisational Music Therapy ………………….…..… 85 7. LANGUAGE-BASED THEORIES …………………………………….……….. 89 Theory of Semantics and Music/Rhythm …………………………….….…… 89 Meyer’s Theory of Syntax and Music/Rhythm ……………………….……… 90 Theory of Syntax and Improvisational Music Therapy ……….…...… 91 Expressive Code Theory: Emotion and Expressive Vocal Inflection ……..…. 94 Expressive Code Theory and Improvisational Music Therapy……….. 95 Narrative Theory of Music/Rhythm ……………………………………….… 98 Narrative Theory and Improvisational Music Therapy…….…….….. 101 8. PSYCHOANALYTIC THEORIES …………………………………….……… 103 Id, Ego, Superego, and Primary and Secondary Processes ...………...…….…. 103 Psychoanalytic Theory and Improvisational Music Therapy ...…………..…... 106 Psychoanalytic Perspectives of Rhythm: The IAPs ...………………………… 108 Intra and Interpersonalist Perspectives on Rhythm and Emotion in Improvisation ...………………………………………………………....….. 110 Summarizing Psychoanalytic Views of Improvised Rhythm and Emotion ...… 114 9. CONTOUR, EXPRESSION, AND AROUSAL THEORIES ………………….. 116 Contour Theory of Music/Rhythm ...…………………………………….….… 116 Contour Theory and Improvisational Music Therapy ..…………….… 117 Expression Theory of Music/Rhythm ……………………………………..….. 119 Expression Theory in Improvisational Music Therapy...………….….. 122 Arousal Theory of Music/Rhythm .………………………………………...… 124 Arousal Theory in Improvisational Music Therapy …………..…..… 125 ix 10. SEMIOTIC THEORY OF MUSIC/RHYTHM ..…………………….……....….. 127 Semiotic Theory in Improvisational Music Therapy ………………….…...…. 130 11. MUSIC AS SYMBOLIC OF EMOTION: CLOSING THOUGHTS ……..….…