Growing with Improvisation

Author(s): John Kratus

Source: Music Educators Journal , Dec., 1991, Vol. 78, No. 4 (Dec., 1991), pp. 35-40
Published by: Sage Publications, Inc. on behalf of MENC: The National Association for
Music Education

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 IMPROVISATION
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How do young musicians become improvisers, and what
* le ph?oto
can teachers do to foster the process? John Kratus looks
* A
at the phenomenon of improvisation and offers some
suggestions for a learning sequence.

ry to imagine an improvised as he weaves an intricate melodic

music educators use improvisation
duet played by jazz master Lionel in their teaching. Some educators
line over a set of repeating harmon-
Hampton on vibraphone and sev- ic changes. In the meantime, Sean believe that improvisation is a high-
en-year-old beginner Sean on an plays from the lowest note on hisly sophisticated, technically de-
alto xylophone. As the two begin to instrument to the highest and back manding behavior and should be
play, each brings to the task a again, all the while struggling to taught only after a student has de-
different set of musical skills and veloped his or her musicianship
keep a steady beat. Are both per-
different levels of knowledge and formers in this example improvis-and performance skills to an ad-
vanced level. Others see improvi-
experience. Hampton's fingers fly ing? Or are the differences between
the child and the professional sosation as a natural, intuitive behav-
John Kratus is associate professor ofgreat that comparisons betweenior that can be part of preschool
music and director of music educationthem are nonsensical? music instruction. Depending on
at Case Western Reserve University, The answers to these questions one's point of view, instruction in
Cleveland, Ohio. have direct implications for how improvisation could begin in pre-

MEJ/December '91 35

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school or should be delayed until students develop knowledge, scribed the behaviors of four-, six-,
college. A closer look at the nature skills, and experience. and eight-year-old children en-
of improvisation can help deter- In this article I propose that im- gaged in improvising on a pentaton-
mine which position is correct. provisation can be divided into sev- ic Orff xylophone.2 Flohr found
Actually, beginners and experts en levels of musical behavior. I that the older children's improvisa-
share several qualities in their ap- believe that these levels develop
tions were more cohesive and had a
proaches to improvisation. First, sequentially, and the role of the stronger orientation to a tonal cen-
all improvisers make purposeful music educator changes as stu- ter than did those of the younger
movements to produce sounds in dents move from one level of im- children. He also reported that the
time. The purposeful movements provisation to another. This viewchildren he studied were able to
may be coordinated to produce of improvisation as multileveled isimprovise patterns and were able
sounds with the body, as when based on the results of research on to vary their improvisations to con-
singing or clapping, or with an in- improvisational behaviors of chil- vey mood. In his second study,
strument. Second, all sounds creat- dren and adults and on theoretical Flohr investigated the musical
ed in improvisation form a part of models of improvisation. characteristics of pentatonic xylo-
the final product, and an improvis- phone improvisations by children
er cannot revise the music after it Studies of improvisation ages two to six years during a four-
has been played. In this way im- A number of researchers have year period.3 The results of this
provisation differs from composi-investigated the musical character- second study confirmed that young
tion, because a composer can take istics of young children's improvi-children can use musical patterns
the time to modify, evaluate, andsations. One of the earliest pub- to unify their improvisations.
accept or reject musical ideas. Thelished studies of children's impro- Based on these results, Flohr
third shared quality is that impro- visations was conducted in the proposed three developmental
visers have the freedom to choose 1940s by Gladys Moorhead and stages in children's improvisation:
the pitches and durations whileDonald Pond at the Pillsbury Foun- the motor energy stage (ages two to
they play, often within certain mu- dation School in Santa Barbara, four years), in which the child uses
sical constraints. Some elements California.1 Moorhead and Pond notes of roughly equal duration and
such as chord changes, modes, me- observed the improvised chanting repeated pitches; the experimenta-
ters, and tempos can be set in ad- and instrumental improvisationstion of stage (four to six years), char-
vance of an improvisation, but nei- the two- to six-year-olds enrolledacterized
in by an emphasis on trying
ther the specific sequence of pitch-the school. The authors found that new ideas with little regard for the
es nor their durations are predeter-with experience the children werelarger context; and the formal
mined. In the opening vignette, able to explore melodic and rhythm properties stage (six to eight
both Lionel Hampton's improvisa- patterns in their improvisations.years), in which structural charac-
tion and Sean's shared these quali- The improvisations that Moorheadteristics such as tonality and repeti-
ties. and Pond observed were character- tion of larger patterns occur.
But to say that all improvisationized by asymmetrical rhythm pat- Deborah Reinhardt examined the
is the same does not address the terns, a steady beat, and both sim-rhythmic characteristics of impro-
vast differences between accom- ple and compound meters. They visations by 105 three-, four-, and
also
plished improvisers and novices. found that when the children five-year-olds.4 Reinhardt asked
Clearly, one would not attempt first
to each child to improvise a song on
began to improvise on instru-
teach improvisation to a college-
ments, they focused primarily ona diatonic alto xylophone while
exploring timbre and other soundaccompanied by a simple bordun
level jazz musician and an elemen-
qualities.
tary student in the same way. What played on a bass xylophone. She
is needed is a more precise way ofJohn Flohr conducted two stud- found that the five-year-olds made
conceptualizing improvisation iesto of young children's improvisa- greater use of various rhythmic du-
allow for changes that occur as tions. In his first study, he de- rations and rhythm patterns than

36 MEJ/December '91

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the three-year-olds did. Further- the ability to achieve coherence in
more, almost all the children were an improvisation.
able to improvise to the accompa- P. N. Johnson-Laird developed a
niment with a steady beat and a model of creativity and applied this
consistent meter. model to jazz improvisation.8 Ac-
The results of the research cited cording to the model, the first step
here indicate that young children in creativity is the generation of
are capable of improvising music ideas or potential solutions to a
that uses simple structural ele- problem. These initial ideas are
ments. These findings support the evaluated using certain constraints
use of improvisational activities as to exclude unreasonable solutions,
a meaningful part of early-child- and among the remaining possible
hood music education. What these solutions, one is chosen arbitrarily.
studies do not address, however, is In jazz improvisation, the con-
the question of what goes on in the straints involved are the musician's
mind of the child who is improvis- knowledge of musical grammar and
ing. To use improvisation effective-File photo the conventions of the musical
ly, teachers should know how stu- style being performed. Once a mu-
dents learn to develop and improveny) in a rather rigid manner, or (3) sician knows the stylistic conven-
their improvisational skills. At pre-focusing on one element while re- tions, he or she is able to generate
sent, music education researchers maining open to change as the im- ideas for the direction of the im-
are unable to provide clear descrip-provisation progresses. The ex- provisation, determine which of
tions of the underlying cognitive perts' approach to their improvisa- the ideas are acceptable in the
processes that accompany improvi-tions was quite different. All but style, and then choose almost arbi-
sation. The following studies andone expert had some sort of strate- trarily among the possibilities.
hypothetical models represent thegy or plan in mind for the improvi- Johnson-Laird believes that only
first attempts to investigate the in-sation at the outset. These strate- the rare innovators are able to
ner states of improvisers. gies served to organize and unifybreak the rules completely and cre-
the improvisation stylistically orate their own new conventions.
An inside look through imagery or mood. Further- The importance of audiation
Using an introspective approach, more, the experts were able to (hearing music inwardly with
David Sudnow wrote a detailed and change their strategies as they im- meaning) in improvisation was ad-
fascinating account of his own de- provised; they were relaxed, often dressed by Edwin Gordon, who
velopment as a jazz pianist.5 He used musical clichEs, and per- wrote, "Unless one can audiate
described his learning as occurring formed without being conscious of what he is going to create and im-
in three phases. In the first phase, the technical devices they used. provise before he performs it ....
he developed a vocabulary of pat- Some educators who have spec- all that may be heard at best are the
terns or "licks" that he was able to ulated on what goes on in the mind mechanics of scales and arpeggios,
play in a formulaic way. The sec- of the improviser have proposed and at worst, mere exploration."9
ond phase, which he called "going models and offered a number of According to this view, the ability
for the sound," was characterized theories about the process. One to audiate the patterns that one is
by a more flexible use of patterns such model was developed by Jeffimprovising is a prerequisite for
together and in variation. In the Pressing, who described improvi-meaningful improvisation.
third phase, "going for the jazz," sation as a decision-making proc-
Sudnow's improvisations became ess.7 According to Pressing, an im-Product versus process
more relaxed, fluid, and coherent. proviser begins with a musical idea The developmental level and
David Hargreaves and others or pattern and then extends it using perspective of the improviser
compared the improvisations of some feature inherent in the pat- should be taken into account when
four college students in an intro- tern. For example, a pattern's considering the creative musical
ductory jazz improvisation course rhythm or melodic contour may activity of children and novices.
with improvisations by four expert suggest to the improviser that he or My view is that children and novice
jazz musicians.6 After improvising she continue the rhythm or contour improvisers approach the task of
to four backing tracks, subjects in the music that immediately fol- improvisation from perspectives
were asked what they thought dur- lows. In addition, a good improvis- quite different from that of an ex-
ing and after their performances. er is one who is able to shift atten- pert improviser.10 For example,
Results indicated that the college- tion from one feature to the next musicians usually think of improvi-
age novices used one of three strat- while improvising. Among other sation as a musical product; that is,
egies while improvising: (1) filling abilities necessary for good im- music that can be shared with and
in the time with no organizational provisation, Pressing listed the understood by others. As such, the
plan, (2) emphasizing one musical ability to perceive and adjust to improviser demonstrates a con-
element (such as rhythm or harmo- relevant changes in the music and sciousness of an audience. But this

MEJ/December '91 37

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view does not apply to all improvi- structuring an improvisation to audiate the patterns played in
sation and certainly does not apply and the flexibility to change exploration, the resulting music be-
to much improvisation by young strategies, if necessary; comes more directed and pattern-
children. Some children create mu- * Knowledge of stylistic conven- dominated. This is Level 2 im-
sic as a private, exploratory activi- tions for improvising in a given provisation, which can be identi-
ty, while other children create mu- style; and fied by the emergence of cohesive
sic to share with others. * The skill to transcend stylistic patterns. The student at Level 2
When a person creates music for conventions to develop a per- improvises for his or her own plea-
the sake of experiencing the proc- sonal style. sure but does not organize the mu-
ess of creation, that person has a sical material enough through
process orientation to creativity. Seven improvisation levels mode or meter to enable others to
When a person creates music that Given the differences between share the music's meaning. The
is or could be shared with others, novice and expert improvisers, it teacher's
is role and the educational
then that person has a product ori- clear that not all improvisationalactivities for students improvising
entation. In the duet described ear- at Level 2 are the same as those for
activity is the same. A more appro-
lier, Hampton played music that Level 1. As the student continues
priate way to look at improvisation
could be shared with others, be- to audiate and use patterns, the
is to conceive of it as being multi-
cause the music was organized ac- student learns to organize the pat-
leveled, consisting of a sequence of
cording to a series of chord terns into larger musical structures.
different, increasingly sophisticat-
changes that could be followed by ed behaviors. The level at which a Level 3: Product-oriented im-
the audience. In contrast, Sean student can improvise is deter- provisation. When a student impro
probably explored sounds without mined by the student's level of vises with a product orientation at
outside structural references, sim-knowledge and skill. The educa- Level 3, he or she is conscious of
ply for the sake of engaging in antional advantage of considering im-certain external constraints on the
enjoyable activity. provisation in this way is twofold:music. For example, when a stu-
Another difference between be- (1) it allows teachers to work withdent is able to improvise with a
ginners and experts is that an ex- students at a developmentally ap-steady pulse, in triple meter, or in a
pert is able to match his or her propriate level, and (2) it suggests aminor tonality, or to the melody of
musical intentions with the sounds logical sequence for teaching the"Jingle Bells," the student shows
being performed, whereas a begin- knowledge and skills necessary foran awareness of larger structural
ner often has difficulty manipulat- expert improvisation. The seven principles. At this point in the stu-
ing an instrument or voice effec- levels are as follows: dent's development, group im-
tively enough to match intentions Level 1: Exploration. Explora- provisation is possible. In imple-
with the sounds produced. There- tion can be thought of as a neces- menting activities for Level 3 im-
fore, when listening to a beginner sary preimprovisational step. provisation, teachers can provide
improvise, one should keep in mind When a student explores on an students with different constraints
that the music produced may not instrument, he or she tries out dif- on their improvisations. For exam-
be the same as the music intended ferent sounds and combinations of
ple, a teacher may ask students to
by the performer. sounds in a loosely structured con-improvise using a given rhythm
To summarize the research and text. The sounds, however, are notpattern or set of chord changes.
theories on improvisation, young guided by audiation, and the im-While improvising at Level 3, stu-
children are capable of rudimenta- provisation is process-oriented. dents begin to use patterns in a
ry improvisational behavior, but While exploring, a student begins more coherent way, and the per-
expert improvisers approach im- to discover combinations of sounds formance technique improves.
provisation in a somewhat differentthat can be repeated. Through the Level 4: Fluid improvisation. At
way, given the experts' differentrepetition of patterns, students can this level, the student's perform-
level of knowledge and skills. To learn to audiate the patterns, which ance technique is relaxed and fluid.
leads to Level 2. The teacher's role
improvise at an expert level, a mu- In the case of instrumental im-
sician must possess the following: at Level 1 is to provide studentsprovisation, the student is able to
* The skill to hear musical pat- with sufficient time to explore andcontrol the instrument so that the
terns inwardly as they are abouta variety of sound sources for ex- technical manipulation of the in-
to be played (audiation); ploration. Exploration activities strument becomes automatic, and
* The knowledge that music is can be varied by changing timbreslittle conscious thought is given to
structured in such a way as to (for example, from metallophone tofinger placement, embouchure, and
allow others to understand itxylophone) or by changing the similar matters. With vocal im-
(product orientation); available pitch materials (such as provisation, the voice is equally
* The skill to manipulate an in-adding or deleting tone bars). Ex-well controlled. The teacher's role
strument or the voice to match ploration is a private, creative ac- at the fourth level is to focus on the
the performer's musical inten- tivity, rather than a group activity. technical facility by providing the
tions fluidly; Level 2: Process-oriented im- student opportunities to improvise
* Knowledge of strategies for in a variety of modes, keys, me-
provisation. Once a student begins

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ters, and tempos. Once the techni- ciency in structuring an improvisa- learning to achieve Level 6 may
cal problems of improvising are tion, he or she begins to shift strat- benefit from direct imitation of
taken care of, the student is better egies while improvising. At this models. For most musicians, edu-
able to concentrate on structuring point, the student is ready to im- cation in improvisation ends at
the improvisation as a whole. provise stylistically. Level 6. Only the most proficient
Level 5: Structural improvisa- Level 6: Stylistic improvisation. improvisers can advance to the
tion. A student improvising at the A Level 6 improvisation is one in highest level of improvisation.
fifth level performs with an aware- which the student improvises skill- Level 7: Personal improvisation.
ness of the overall structure of the fully within a given style. The stu- The seventh level is achieved by
improvisation. The student devel- dent learns various melodic, har- those musicians who are able to
ops a repertoire of strategies for monic, and rhythmic characteris- transcend recognized improvisa-
shaping an improvisation. These tics of a style and gains skill in tion styles to develop a new style.
strategies may be nonmusical (such Miles Davis is an example of this
incorporating those characteristics
as moods or images) or musical into an improvisation. A teacher kind of musician. To a certain ex-
(such as modes or development of can demonstrate for the student tent, all improvisation is personal,
patterns). The teacher's role is to what the conventions and cliches but Level 7 improvisation breaks
suggest or model different means of a style are. Recordings can also new ground and establishes its own
for giving structure to an improvi- be used effectively to model a set of rules and conventions. Oddi-
sation. As a student develops profi- style. For a time, students who arety or originality for its own sake
does not produce a Level 7 im-
provisation. To help a student de-
DEVELOPMENTAL LEVELS OF IMPROVISATIONvelop to the seventh level, a teach-
er can be encouraging and support-
ive of experimentation. But the
O EXPLORATION teacher cannot have expectations
The student tries out different sounds and for what a Level 7 improvisation
combinations of sounds in a loosely might sound like, because there
structured context. would be no way to predict what
the new style would be.
PROCESS-ORIENTED IMPROVISATON
The student produces more Seqlencing instrnction
To help students develop their
cohesive patterns. W
improvisational skills, music edu-
cators can provide structured op-
, PRODUCT-ORIENTED IMPROVISATION portunities for students to impro-
The student becomes conscious of structural vise at the appropriate level and
principles such as tonality and rhythm. assist them in advancing from one
level to the next. In a recent article
FLUID IMPROVISATION for MEJ, I suggested an approach
The student manipulates his or her for writing and sequencing objec-
instrument or voice in a more automatic, tives for creative music activities. "
relaxed manner.
The method described in that arti-
cle could be used to generate objec-
tives at any of the seven levels of
O STRUCTURAL IMPROVISATION
improvisation.
The student is aware of the overall structure
There are two rules to keep in
of the improvisation and develops a mind when using the levels to se-
repertoire of musical or nonmusical quence instruction in improvisa-
strategies for shaping an improvisation. tion. First, advancing from one lev-
el to the next requires attainment of
STYLIsnC IMPROVISATION the knowledge and skills of the
The student improvises skillfully within a given preceding level. The knowledge
style, incorporating its melodic, harmonic, and skills that students develop at a
certain level, however, need not be
and rhythmic characteristics.
taught only at that level. For exam-
ple, while a student is working at
. PERSONAL IMPROVISATION
Level 3 (product-oriented improvi-
The musician is able to transcend
sation), the teacher could introduce
recognized improvisation styles to develop some characteristics of specific
a new style. improvisational styles, which
would be the primary educational

MEJ/December '91 39

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focus of Level 6 (stylistic improvi- emerge (Level 7). To help Jamie
spend a few minutes every day
sation). The teacher should not ex- reach this level, the teacher could
freely improvising, and the teacher
pect, though, that the student at push her to break through the
points out the patterns in Jamie's
Level 3 would be able to meaning- improvisations. boundaries and conventions of es-
fully incorporate those stylistic tablished styles.
As the patterns in Jamie's impro-
characteristics in an improvisation. visations become more pervasive,This model of developmental
The second rule for using the and as Jamie begins to developlevels
a of improvisation offers an
levels in teaching improvisation is approach for using improvisation
sense of meter and tonality, the
this: students cannot skip levels as throughout a child's education. Im-
teacher begins to place certain con-
they advance to higher levels, but straints on the improvisationsprovisation is not simply an intu-
they may revert to lower levels for (Level 3). The teacher may clapitive
a musical behavior, nor is it
a variety of reasons. For example, pulse and direct Jamie to improvise an activity reserved for the
only
if the tempo increases too much or at that tempo. As Jamie developsmosta proficient musicians. It is
if an asymmetrical meter is used, a both, and improvisation can and
greater understanding of meter, to-
student can revert from Level 5 nality, and harmony, the teacher should be a meaningful part of ev-
(structural improvisation) to Level may ask her to play an improvisa- ery student's music education,
3 (product-oriented improvisation) from preschool through adulthood.
tion in duple meter and in C major,
using the chords I-IV-I-V-I. After
until he or she is able to play fluid-
a while, Jamie's technical under-
ly. If a student at Level 6 (stylistic
improvisation) encounters a new standing of meter, tonality, and
Notes
harmony improves to the extent
style, there can be a similar rever- 1. Gladys Moorhead and Donald Pond, Mu-
sion. The instrument on which the that she is able to devote greatersic for Young Children (Santa Barbara, CA:
Pillsbury Foundation for the Advancement
performer improvises can affect the concentration to developing in-
of the Arts, 1978, originally published 1941-
level of improvisation, as in the creased facility on the clarinet51).
case of the student who improvises while improvising (Level 4). Ja-
2. John Warren Flohr, "Musical Improvisa-
tion Behavior of Young Children" (Ph.D.
at a high level on saxophone and at mie's teacher encourages this de-
diss., University of Illinois at Urbana-
on a lower level on piano. The velopment by providing her with
Champaign, 1979).
performer's mood also determines opportunities to improvise solo and3. John Flohr, "Young Children's Improvi-
the level of improvisation, as when in small groups while playing sations:
in Emerging Creative Thought" Cre-
ative Child and Adult Quarterly 10 (1985):
an expert capable of improvising at different modes, keys, meters, and
79-85.
Level 7 (personal improvisation) tempos. 4. Deborah A. Reinhardt, "Preschool Chil-
chooses to "doodle" privately at Jamie's music at this point dren's Use of Rhythm in Improvisation"
Level 2 (process-oriented improvi- sounds a little stiff, as if the per- Contributions to Music Education 17 (Fall
sation). Therefore, a student may former were "going through the1990): 7-19.
revert from a higher level to a low- motions." To break through this 5. David Sudnow, Ways of the Hand: The
Organization of Improvised Conduct (Cam-
er level when encountering a diffi- stiffness, the teacher asks Jamie to bridge: Harvard University Press, 1978).
cult musical element, a new musi- structure improvisations in ways6. David J. Hargreaves, Conrad A. Cork,
cal style, or a change in mood. that transcend simple obedience to and Tina Setton, "Cognitive Strategies in
the rules of meter and tonality Jazz Improvisation: An Exploratory Study"
(Paper delivered at the International Society
A chance to grow musically (Level 5). For example, Jamie is
for Music Education Research Symposium,
To understand how the levels of asked to improvise "moody music
Stockholm, Sweden, August 1990).
improvisation can be used to se- that gradually becomes brighter," 7. Jeff Pressing, "Improvisation: Methods
quence instruction, consider the and "music that becomes increas- and Models," in Generative Processes in
example of Jamie learning to im- ingly dissonant." The teacher may Music, ed. John A. Sloboda (Oxford, En-
gland: Oxford University Press, 1988).
provise on clarinet. Jamie's first also have Jamie analyze recordings
8. P. N. Johnson-Laird, "Reasoning, Imag-
efforts at creating music (Level 1) of improvised solos to study how ining, and Creating," Bulletin of the Council
sound like a discordant jumble. Ja- other musicians structure their im- for Research in Music Education, no. 95
mie tries various combinations of provisations. At this point, Jamie is (Winter 1987): 71-87.
9. Edwin E. Gordon, "Audiation, Music
fingerings on the clarinet and ex- ready to focus on improvising with-
Learning Theory, Music Aptitude, and Cre-
plores the sounds that result. Ja- in certain established styles (Level ativity," Proceedings of the Suncoast Mu-
mie's teacher suggests that Jamie 6). Jamie's teacher demonstrates sic Education Forum on Creativity, ed. John
spend a few minutes every day some of the characteristic "licks" W. Richmond (Tampa, FL: University of
South Florida, 1989), 78.
exploring different combinations of and playing techniques in a style,
10. John Kratus, "Orientation and Inten-
the pitches that have been learned. such as Dixieland, cool jazz, or
tionality as Components of Creative Musical
Gradually Jamie is able to hear the hard bop. The teacher also asks Activity," in Proceedings of the Suncoast
sounds inwardly as they are pro- Jamie to study and imitate record-Music Education Forum on Creativity, ed.
duced, and the exploration gives ings of various performers such asJohn W. Richmond (Tampa, FL: University
way to music that has some dis- Benny Goodman and Pete Foun- of South Florida, 1989).
11. John Kratus, "Structuring the Music
cernible patterns but no overall tain. Only if Jamie is a truly out-Curriculum for Creative Learning," Music
cohesiveness (Level 2). The teach- standing improviser will a com-Educators Journal 76, no. 9 (May 1990): 33-
er still recommends that Jamie pletely new, individual style 37. Ai

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