The Effects of Embouchure and Breathing Instruction On Beginning Brass Students' Performance

THE EFFECTS OF EMBOUCHURE AND BREATHING INSTRUCTION ON
BEGINNING BRASS STUDENTS PERFORMANCE

by
Christopher M. Hulett
A Dissertation Presented in Partial Fulfillment

o f the Requirements for the Degree
Doctor o f Musical Arts
ARIZONA STATE UNIVERSITY

May 2006
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THE EFFECTS OF EMBOUCHURE AND BREATHING INSTRUCTION ON

BEGINNING BRASS STUDENTS PERFORMANCE
by
Christopher M. Hulett
has been approved

April 2006
APPROVED:
. Chair
Supervisory Committee
ACCEPTED:
o f the School
Dean, Division o f Graduate Studies
ABSTRACT
The purpose of this study was to investigate whether different approaches to
teaching beginning brass players to breathe, buzz, and form an embouchure had
significant effects on performance measures. The study was conducted with fourth-grade,
public school, beginning brass students. Six intact groups were randomly assigned to
either Treatment Group A or Treatment Group B. Three band directors each taught two
classes, one in each treatment group.
The study included two phases. During Phase 1, the first 10 weeks o f the fall
semester, students ( N= 120) received brass instruction once weekly. Treatment Group A
(n = 62) received the researcher-designed approach which included extensive breathing
and buzzing exercises and open-embouchure instruction. Treatment Group B (w = 58)
worked from their regular method book which included brief breathing and buzzing and
closed-embouchure instruction. During Phase 2, the first 10 weeks o f the spring semester,
students (N= 112) in Treatment Group A (n = 58) continued with the researcherdesigned approach. Treatment Group B (n = 54) received the same breathing and buzzing
exercises as Treatment Group A, but continued closed-embouchure instruction.
Four dependent variables were vital capacity, playing duration, range, and tone
quality. Vital capacity was measured using a spirometer. Duration and range were
measured using researcher-designed tests. A three-member panel o f brass experts
evaluated the tone quality o f recorded etudes.
The data were evaluated using multivariate, univariate, and regression analyses.
The independent variables for both phases were treatment group and teacher. In Phase 1,
a main effect for group revealed that Treatment Group A had significantly greater range
iii
scores than Treatment Group B (p < .05). During Phase 2 there was no significant
difference between groups for tone quality scores. Regression analyses showed that
duration (during Phase 1) and range (both phases) were significant predictors o f tone
quality, while vital capacity was not.
Findings support the use o f an open-embouchure approach for the development o f
greater range in beginning brass players. Additionally, results revealed that range is a
significant predictor for tone quality.
iv
For Kristen, William, and Bryce
ACKNOWLEDGEMENTS
I want to thank the faculty at Arizona State University for their support and
motivation during my doctoral studies. The scholarly examples set by these teachers were
challenging to live up to. Dr. Bush, Dr. Schmidt, and Dr. Solis were outstanding teachers
and made learning a pleasure. Professor Hill, Dr. Bailey, and Dr. Reber opened my eyes
to wonderful opportunities in the world o f conducting. Dr. Jere Humphreys set a very
high standard in scholarly work that I will always be reaching up to try to meet.
Additionally, the faculty provided much guidance through my pursuit and I greatly
appreciate that. As well as being an outstanding teacher, Dr. Sandra Stauffer was a friend
and mentor throughout my course o f study that I will cherish.
I want to thank my committee for their time and expertise. I especially want to
thank Professor Pilafian for his enthusiasm for brass pedagogy and for my study. I give
special thanks to my committee chair, Dr. Jill Sullivan, for her time, patience, effort,
expertise, and passion through the whole process. Her guidance was invaluable.
I want to thank the three dedicated band teachers in this study. Without their
dedication to students, and willingness to participate, this study would never have
happened. They are truly heroes. Thank you. I also wish to thank my co-workers and
especially my supervisor for giving me the time and opportunity to complete this study. I
want to acknowledge all o f the band teachers I have known for their professionalism and
dedication to the music education o f children.
Finally, I want to thank my family for their support. My two boys are too young
to fully realize what daddy has done, but they know he is not there as much as they might
vi
want. My wife knows exactly what I have gone through and has supported me every step
o f the way. She has been wonderful and understanding. Thank you.
vii
TABLE OF CONTENTS
Page
LIST OF TABLES....................................................................................................................... xi
CHAPTER
1
INTRODUCTION..................................................................................................... 1
Brass Research Studies....................................................................................... 5
Beginning Instrumental Research..................................................................... 6
Brass Pedagogy.................................................................................................... 6
Need for the Study...............................................................................................8
Purpose of the Study........................................................................................... 8
Statement o f the Problem ....................................................................................9
Research Variables.............................................................................................11
Definition o f Terms............................................................................................11
Scope and Limitations....................................................................................... 12
REVIEW OF RELATED LITERATURE............................................................13

Beginning Instrumental Method B ooks..........................................................13
Brass Pedagogy..................................................................................................21
Brass Research Studies.....................................................................................44
Beginning Instrumental Research................................................................... 47
Summary o f Literature Review ....................................................................... 62
M ETHODOLOGY..................................................................................................63
Subjects............................................................................................................... 65
viii
CHAPTER
Page
Duration o f the Study........................................................................................ 66
Instructional Procedures....................................................................................67
Data C ollection..................................................................................................70
Design and A nalysis......................................................................................... 73
Internal and External Validity..........................................................................73
RESU LTS................................................................................................................. 75
Analytical Procedures....................................................................................... 76
Phase 1 R esults.................................................................................................. 77
Phase 1 Descriptive Statistics......................................................... 77
Phase 1 Multivariate Analysis o f Variance....................................82
Phase 1 Correlation and Regression A nalysis.............................. 85
Phase 2 R esults.................................................................................................. 88
Phase 2 Descriptive Statistics..........................................................88
Phase 2 Univariate Analysis o f Variance....................................... 89
Phase 2 Correlation and Regression A nalysis.............................. 91
Summary o f Results.......................................................................................... 94
SUMMARY, CONCLUSIONS, DISCUSSION, OBSERVATIONS, AND

RECOMM ENDATIONS................................................................................. 95
Conclusions........................................................................................................ 98
D iscussion...........................................................................................................99
O bservations.................................................................................................... 102
ix
CHAPTER
Page
Recommendations for Future Research........................................................104
REFEREN CES.......................................................................................................................... 106

APPENDIX
A
INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN

EMBOUCHURE) DURING PHASE 1 .............................................................. 114
INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN

INSTRUCTION MANUAL FOR TREATMENT GROUP B (CLOSED

SUMMARY TABLE OF TEACHERS AND TREATMENT GROUPS........154
SUMMARY TABLE OF TREATMENT GROUPS AND PH A SE S............. 156
INFORMED CONSENT DOCUMENT.............................................................. 158
VITAL CAPACITY R EC O R D ............................................................................ 160
DURATION R EC O R D ..........................................................................................162
RANGE RECORD.................................................................................................. 164
TONE QUALITY RECORDING SH E E T .......................................................... 166
LIST OF TABLES
Table
Page
1.
Interjudge Reliability for Tone Quality Rating........................................................... 77
2.
Mean Range Interval by Teacher and Treatment Group in Half-Steps in Phase

1......................................................................................................................................... 78
3.
Mean Duration by Teacher and Treatment Group in Seconds in Phase 1 ...............79
4.
Mean Vital Capacity by Teacher and Treatment Group in Milliliters in Phase

1......................................................................................................................................... 80
5.
Mean Tone Quality Score by Teacher and Treatment Group in Phase 1 ................81
6.
MANOVA Test for Vital Capacity Gain, Range, Duration, and Tone Quality
by Treatment Group and Teacher in Phase 1..............................................................82
7.
Summary o f ANOVA Tests for Vital Capacity, Range, Duration, and Tone
Quality by Treatment Group and Teacher in Phase 1................................................83
8.
Post-Hoc Comparison o f Vital Capacity Interaction during Phase 1 Using Tukey

HSD...................................................................................................................................84
9.
Correlation o f Vital Capacity, Duration, Range, and Tone Quality Scores at

the Conclusion o f Phase 1..............................................................................................86
10. Phase 1 Regression Model Sum m ary.......................................................................... 86

11. Phase 1 Regression Analysis o f Variance....................................................................87
12. Phase 1 Regression Coefficients................................................................................... 87
13. Mean Tone Quality by Treatment Group and Teacher in Phase 2 ...........................89
14. Analysis o f Variance for Tone Quality in Phase 2 .....................................................90
xi
Table
Page
15. Correlation o f Vital Capacity, Duration, Range, and Tone Quality Scores at
the Conclusion o f Phase 2 ............................................................................................. 91
16. Phase 2 Regression Model Sum m ary...........................................................................92
17. Phase 2 Regression Analysis o f Variance.................................................................... 92
18. Phase 2 Regression Coefficients....................................................................................93
19. Summary Table o f Treatment Groups and Phases.................................................... 155
20. Summary Table Teachers and Treatment G roups.................................................... 157
xii
CHAPTER 1
INTRODUCTION
Instrumental music educators who teach beginning band students are concerned
with teaching fundamentals for the development o f good tone quality. Teachers use a
variety o f strategies to help their students establish effective air usage and embouchure
formation to meet this goal. The present study focused on beginning brass pedagogy,
specifically embouchure formation and air production as a means to find a more effective
approach for instrumental music educators to teach beginning brass tone production.
While teachers recognize the importance o f good fundamentals, there has been little
psychomotor research in this area (Sehmann, 1990; Staples, 1988).
Instrumental pedagogues recognize that good tone quality is elusive on beginning
brass instruments without focused attention on this fundamental from the start o f
instruction. Kohut (1973) states, possession o f a good tone is, without a doubt, very
important to every performing musician and deserves high priority in his training and
development (p. 56). S. Whitener (1990) added:
All good brass players have one characteristic in common: a free production o f
sound. Whether in the high or low ranges, loud or soft, notes respond easily and
reliably with a full, clear tone. This is the result o f good fundamental procedures
and the way in which the instrument is approached, (p. 107)
Many brass pedagogues have published articles explaining different ways to form
the embouchure for optimum tone production (Bailey, Miles, Siebert, Stanley, & Stein
2
1992; Colwell & Goolsby, 1992; Dudgeon, Eastop, Herbert, & Wallace, 1997; Farkas,
1956, 1962; Hunt, 1978; Hunt & Bachelder, 1994; Johnson, 2002; Meyers, 1997;
Sanderman, 2004; Vernon & Wilson, 1997; S. Whitener, 1990); a review o f this literature
reveals two basic approaches. Some pedagogues advocate forming and maintaining an
open embouchure where the center o f the lips never touches during tone production
(Dudgeon et al., 1997; Farkas, 1956, 1962; Sanderman, 2004; S. Whitener, 1990). Farkas
(1956) described this embouchure as follows, The lips should not actually touch each
other in the center o f the opening during vibration (p. 19). Colwell and Goolsby (1992)
state most accomplished trombone players feel that they perform with an open
embouchure, that is, that the center o f their lips never touch (p. 410).
Another approach to brass embouchure advocates a closed or M embouchure
formation (Bailey et al., 1992; Colwell & Goolsby, 1992; Hunt, 1978; Hunt & Bachelder,
1994; Johnson, 2002; Meyers, 1997; Vernon & Wilson, 1997), where students initiate the
shaping of the embouchure with the lips closed and touching, as in pronouncing the letter
M. Vernon and Wilson (1997) describe the M embouchure stating, The trombone
embouchure is easily formed by saying the letter M and bringing the lips together (p.
27). A description o f the closed or M embouchure can be found in many beginning band
methods such as in Pearsons (1993) Standard o f Excellence which states, Bring your
lips together as if saying 'em (p. 3).
These two approaches to embouchure formation contradict each other. They ask
the student to either place their lips together as they begin to play or keep them separated.
3
The author o f this study believes one approach may be superior in producing better
beginning brass tone quality.
As early as 1808, brass pedagogues advocated using the open embouchure to
perform on a brass instrument. Betts (1984) reviewed several examples o f brass
pedagogical writing throughout history. Domnich wrote in 1808, One should try to play
every note without straining and grimaces (p. 58). Dauprat, in 1824, wrote nevertheless
leaving a sufficient opening in the center o f the mouth to allow this great abundance o f
air to enter entirely into the mouthpiece (p. 58). Betts, quoting Gallay in 1845, stated,
The lips pull back . . . to leave in the center an opening between the lips (p. 59). Betts,
quoting Kling in 1865, noted, one must leave a large enough opening between the upper
and lower lips for the passage o f air (p. 59). Quoting Franz in 1881, Betts commented,
The lips are closed at their comers leaving only a small opening in the center o f the
mouth (p. 59).
Taylor (1968), in his dissertation, conducted a review o f brass pedagogical texts
relating to embouchure formation dating to 1936. He concluded, There are more reasons
for keeping an opening between the lips than for keeping them together (p. 121). The
authors that he reviewed who support his conclusion were Louis Saint-Jacome, Edwin F.
Goldman, Robin Gregory, Philip Farkas, Vincent Bach, Edward Kleinhammer, and
Vemon Leidig.
The survey o f beginning band method books by the author o f the current study
found relatively little in the way o f pedagogical tone instruction compared to the volume
o f brass pedagogy texts; however, those beginning band books published since 1976 that
4
do include pedagogy are unanimous in their approach for teaching embouchure. The M or
closed embouchure is suggested in eight methods (Dvorak & Froseth, 1976; Froseth,
1997; Lautzenheiser et al., 1999; O Reilly & Williams, 1997; Pearson, 1982, 1993;
Ployhar 1977; Rhodes, Bierschenk & Lautzenheiser, 1991). Clearly, the M approach for
teaching embouchure is overwhelmingly accepted by the authors and publishers of
contemporary beginning band method books.
While there is some disagreement among brass educators on the formation o f the
embouchure, there seems to be agreement that air support is crucial to good tone. One of
the foremost authorities on the subject o f breathing for wind instruments, Arnold Jacobs,
(Frederickson, 1996) emphasized the importance o f air. He stated, The musical engine is
the vibration o f the lips. However, the lips cannot vibrate without wind (p. 139). Pilafian
(Pilafian & Sheridan, 2002), one o f Jacobs students, stated, Breathing correctly when
singing or playing a wind instrument uses a great deal more o f our lung capacity than we
normally use in everyday life. This extreme use o f our airflow is a skill that must be
practiced (p. 4). Further, Farkas (1962) stated, Without a doubt, the correct use of the
breath is an exceedingly important part o f playing a brass instrument (p. 64).
The current study compared approaches to embouchure and breathing instruction,
measuring which approaches help beginning brass students play with better tone quality,
range, duration, and vital capacity. Considering the disagreement found in the brass
pedagogical texts, questions remain concerning whether the M approach to embouchure
formation should be the only technique found in todays band method books. Clearly,
there are enough expert pedagogues, both currently and through the history o f brass
5
study, who believe that an open embouchure is necessary for good tone quality in brass
playing.
Brass Research Studies

Research studies on brass pedagogy are scarce in the literature. The author found
three areas o f research related to the current investigation: (a) studies that deal with
medical problems, (b) historical studies, and (c) breathing studies. Three studies deal
with medical problems faced by adult brass players relating to embouchure or physical
demands (Chesky, Devroop & Ford, 2002; Heuser & McNitt-Gray, 1998; Lederman,
2001). These reveal the complexity o f the psychomotor processes involved with
advanced brass performing.
The authors of three other studies reviewed pedagogical literature related to brass
playing and teaching. These documented the history o f horn pedagogy (Betts, 1984), the
history o f brass pedagogical sources (Taylor, 1968), and the history o f pulmonary study
as it relates to brass playing (Smith, 1993).
The last category o f studies related to the current investigation are two
experimental studies: one pertaining to the effect o f physical restrictions on the vital
capacity o f adult brass players (Staples, 1988); and a closely related study on the effect of
breathing instruction on duration, range, and tone quality o f beginning brass players
(Sehmann, 1990). Clearly, a lack o f scholarly research in brass pedagogy in general, and
especially for beginning band students exists; however, the historical studies provide
overviews o f existing brass literature.
6
Beginning Instrumental Research
The review of literature provides a larger body o f scholarly work in the area o f
beginning instrumental teaching. This includes descriptive, quasi-experimental, and
experimental research studies in teaching beginning instrumental music (Alexander,
1980; Brokaw, 1982; Dunlap, 1989; Gleason, 1998; Groeling, 1975; Hufstader, 1974; S.
N. Kelly, 1993; Kress, 1981; Noble, 1971; O Donnell, 1987; Sehmann, 1990; Weeks,
1987; W. T. Whitener, 1980). Some studies provide models for the current research
(Dunlap, 1989; Gleason, 1998; Sehmann, 1990); however, only one o f the quantitative
studies involved brass students (Sehmann, 1990).
Sehmann (1990) examined how breathing instruction might improve vital
capacity, duration, range, and tone quality. Results showed that breathing instruction
alone could significantly improve duration and range, as well as abdominal displacement
but did not significantly improve tone quality. Sehmanns study suggests that breathing
instruction alone is not enough for improving the tone quality o f beginning brass
students. The current study added embouchure formation and buzzing exercises to
breathing instruction to determine whether the combination results in significant
improvements in tone quality, range, duration, and vital capacity.
Brass Pedagogy
Brass pedagogues range from expert performers (Farkas, 1956, 1962;
Kleinhammer, 1963), to university brass teachers (Bailey et al., 1992; Hunt & Bachelder,
1994; Johnson, 2002; S. Whitener, 1990), and music educators (Colwell & Goolsby,
7
1992; Hunt, 1978; Kohut, 1973), to brass instrument experts (Dudgeon et al., 1997;
Meyers, 1997). While all agree that breathing instruction is critical to tone production,
not all agree on the type o f embouchure students should use. Some prefer an openembouchure formation (Dudgeon et al., 1997; Farkas, 1956, 1962; S. Whitener, 1990)
and some expressed no preference (Kleinhammer, 1963; Kohut, 1973) while others prefer
a closed formation (Bailey et al., 1992; Colwell & Goolsby, 1992; Hunt, 1978; Hunt &
Bachelder, 1994; Johnson, 2002; Meyers, 1997).
Trade articles advocate a number o f ideas for better brass performance. These
include emphasizing product over process (Campbell, 2001; K. Kelly, 1983; Rocco,
1997; Vemon & Wilson, 1997), better breathing techniques (Campbell, 2001; K. Kelly,
1983; Laudermilch, 2002; Stufft, 1998), buzzing on the mouthpiece (Heiles, 2002;
Lychner, 2002), and reducing pressure or tension (Orcutt & Buchtel, 1998). While they
advocate different approaches, all focus on improving brass tone quality.
Texter (1975) examined 66 band methods dating to 1973; only 11 mention
embouchure formation. In the current review o f method books published since 1976,
eight included pedagogical material (Dvorak & Froseth, 1976; Froseth, 1997;
Lautzenheiser et al., 1999; O Reilly & Williams, 1997; Pearson, 1982, 1993; Ployhar,
1977; Rhodes et al., 1991). All eight o f these advocate the M approach to embouchure
formation. Other method books include no pedagogical information at all (Elledge &
Haddad, 1992; Feldstein, 1973; Feldstein & O Reilly, 1977, 1987; Froseth, 1970;
Robinson, 1934; Weber, 1962). Due to the circumstances described above, the M
approach is the only option currently available in printed form in beginning band method
8
books for beginning band teachers who choose to use published method books for
delivering instruction.
Need for the Study

Beginning instrumental pedagogy is a vital part o f our music education offerings.
The Music Educators National Conference (MENC, 1994) lists Performing on
instruments, alone and with others, a varied repertoire o f music (p. 42) as one o f the
National Standards for Music Education. Band teachers agree that embouchure formation
and development is one o f the most important skills for young brass students to produce
good tone quality; however, brass pedagogues disagree about how to teach the mechanics
o f embouchure formation and development. Method books and some experts support the
M approach, while others favor an open-embouchure formation approach. Much has been
written in trade journals and brass texts on the subject, but the effects o f embouchure
mechanics on tone quality have not been investigated in an experimental study. Brass
pedagogy at the beginning level has only been studied once: the effects o f breathing
instruction. Clearly, there is a need for research in this area.
Purpose o f the Study

The current study tested open embouchure instruction with beginning brass
students. The purpose of this study was to determine if using an open embouchure would
help students produce a better tone quality than students who use a closed embouchure
approach. In addition, the current study examined an approach to breathing instruction
9
and buzzing techniques to aid in the process o f tone development. Specifically, this study
sought to determine if embouchure and breathing instruction would effect a significant
change in tone quality, range, duration, and vital capacity o f fourth-grade beginning brass
students.
Statement o f the Problem

This study included two phases. During Phase 1 the students in Treatment Group
A received the open embouchure approach and also received breathing and buzzing
instruction guided by using guidelines provided by the researcher (Appendix A). The
breathing exercises were taken entirely from Pilafian and Sheridans The Breathing Gym
(2002). The students in Treatment Group B received instruction in the closedembouchure approach and breathing and buzzing instruction from Standard o f Excellence
(Pearson, 1993). This study examined the effects o f embouchure formation, breathing,
and buzzing instruction on individual tone quality, individual range, individual duration,
and individual vital capacity. During Phase 1 o f this study the researcher investigated
four research questions:
1. At the conclusion o f Phase 1, does Treatment Group A (open-embouchure
approach with extensive breathing and buzzing) perform better on measures o f
tone quality, range, duration, and vital capacity than Treatment Group B
(closed-embouchure approach with brief breathing and buzzing)?
2. At the conclusion o f Phase 1, do students taught by different teachers perform
better on measures o f tone quality, range, duration, and vital capacity?
10
3. At the conclusion o f Phase 1, does Treatment Group A perform better on
measures o f tone quality, range, duration, and vital capacity than Treatment
Group B when examining groups by teacher?
4. At the conclusion o f Phase 1, which o f the following variables: vital capacity,
duration, and range, contribute most to the variance found in tone quality for
all students?
During Phase 2 both groups o f students received identical breathing and buzzing
instruction while Treatment Group A continued to receive the open-embouchure
approach (Appendix B) and Treatment Group B continued to receive the closedembouchure approach (Appendix C). Appendices B and C are identical except for the
open or closed embouchure. For a summary table o f treatment groups and phases please
see Appendix D. During Phase 2 the researcher investigated four additional research
questions:
5. At the conclusion o f Phase 2, does Treatment Group A (open-embouchure)
perform better on a measure o f tone quality than Treatment Group B (closedembouchure)?
6. At the conclusion o f Phase 2, do students taught by different teachers perform
better on a measure o f tone quality?
7. At the conclusion o f Phase 2, does Treatment Group A perform better on a
measure o f tone quality than Treatment Group B when examining groups by
teacher?
11
8. At the conclusion o f Phase 2, which o f the following variables: vital capacity,
duration, and range, contribute most to the variance found in tone quality for
all students?
Research Variables
The independent variables in this study were treatment group (A and B) and
teacher (1, 2, and 3). During Phase 1 Treatment Group A used an open-embouchure
approach with breathing and buzzing instruction (Appendix A) while Treatment Group B
used the closed-embouchure approach with breathing and buzzing instruction from the
method book. During Phase 2, Treatment Group A used an open-embouchure approach
with breathing and buzzing instruction (Appendix B) while Treatment Group B used the
closed approach with breathing and buzzing instruction (Appendix C). There were four
dependent variables in this study: tone quality, range, duration, and vital capacity. A
three-member panel o f brass experts judged tone quality on a 5-point Likert-type scale. In
the analysis o f data in Phase 1, the researcher used raw scores for range, duration, and
vital capacity, and cumulative scores from three judges for tone quality.
Definition o f Terms
Duration - The length o f time in seconds that a student can play a note on one breath
while maintaining a minimum volume (90 dB).
Embouchure formation - the procedure by which instrumentalists form their lips and
mouth to play a wind instrument.
12
M or closed-embouchure approach - Students are asked to form their lips as if saying the
letter M, then asked to blow through them to create a buzzing sound. The
students lips start together and air blows them apart.
Open-embouchure approach - Students are asked to start the embouchure with the lips
apart and not touching as if saying the syllable ohh. Then the students blow the air
stream between the open lips causing them to vibrate or buzz.
Range - The distance in half-steps between the lowest note a student can play and the
highest note the student can play.
Tone quality - The quality o f a musical tone as perceived by a panel o f experts.
Vital capacity - A persons usable volume o f air in a single breath.
Scope and Limitations

The researcher limited the current study to beginning brass students who
completed the treatment in six suburban elementary schools in the southwestern United
States. The study took place during the first and second semesters o f instrumental music
class in the fourth grade. The instruction occurred during brass-only classes, once per
week. The treatment during Phase 1 and Phase 2 consisted o f ten weekly lessons, no
more than 45 minutes in duration. The researcher measured tone quality, range, duration,
and vital capacity at the end o f the first semester, and only tone quality at the end o f the
second semester. The study did not involve other areas o f basic musicianship. The study
used intact groups randomly assigned to two treatments.
CHAPTER 2
REVIEW OF RELATED LITERATURE
Chapter 1 relates that embouchure and breathing techniques are essential brass
pedagogy fundamentals. Various authorities discuss the formation o f the embouchure and
use of breathing exercises; still, there is little research to support these pedagogical
approaches. This chapter reviews literature in areas related to the present study: brass
pedagogy, brass research, and beginning band research.
Pedagogical sources differ in their approaches to embouchure and breathing
instruction for brass instruments. The literature review also examined the perspectives
included in beginning band method books, brass trade journal articles, and brass
pedagogy texts.
Beginning Instrumental Method Books

This review focuses on the major instrumental methods written from 1933 to the
present that currently remain in use, and specifically examines brass pedagogy,
embouchure, and breathing. For each method the reviewer examined each brass book: Bb
trumpet/comet, horn, trombone, baritone/euphonium, and tuba. The information
presented in this review is from the trumpet book o f each method, which is similar, if not
identical, to the pedagogical information in the other instrument books. The review
includes any differences between the instrument method books related to embouchure.
These books are often the blueprint for what band directors teach. The pedagogical
14
information presented in the front o f Book I o f the students text may be used by the
student and teacher as a resource in the first days and weeks o f learning to play the
instrument.
Texter (1975), in her historical study o f beginning band method books published
before 1974, examined 66 method books and found that only 11 (16.7%) made any
reference to embouchure development. She noted method books do not exhibit
pedagogical approaches that are compatible with current knowledge o f the musical
teaching-learning process (p. 191). The author cites three possible reasons for this
incompatibility: (a) the books are designed to be a functional tool o f instruction only
(p. 191), (b) publishing costs may hamper longer methods, and (c) band directors seem to
be satisfied with the methods they use.
The author o f the current study reviewed eleven method books published after the
Texter (1975) study and found that eight (72.7%) included some pedagogical instruction
in embouchure formation. Clearly, some o f the concerns discussed by Texter (1975) have
been overcome, and publishers are finding more space for pedagogy including
embouchure development in their method books.
Robinson (1934) called his Rubank Elementary Method a fundamental method.
The trumpet book includes only the following note related to embouchure: The student
must not get in the habit o f forcing or using extreme pressure in playing the higher
notes (p. 3).
W ebers (1962) First Division Band M ethod presents photographs o f Leonard
Smith playing a comet. The method book uses photographs to show the proper way to
15
hold the instrument. It also provides a good view o f Mr. Smiths embouchure and
includes suggestions such as Always play with a clear, steady tone and Make each
note as pretty and pleasant as possible (p. 8). The only pedagogical instruction given is
Tighten lips a little to get higher tones and loosen to get lower tones (p. 8).
Froseths (1970) first method, The Individualized Instructor, includes no
photographs. The only pedagogical instruction advises students, To produce a tone, take
a normal breath and blow easily and evenly. Maintain proper posture and do not force or
overblow (p. 2). Feldsteins (1973) first method, A lfred s New Band Method, included
only two pictures o f a player and the following note: Your teacher will show you . . .
how to produce a tone (p. 2).
Dvorak and Froseths (1976) method, Introducing the Instruments, includes ten
pages o f pedagogical instruction covering practice techniques, care o f the instrument,
posture, breathing, embouchure, mouthpiece placement, buzzing, articulation, and hand
position. The authors include detailed instruction and photographs, as well as parent and
teacher checklists with each section. The breathing section includes figures illustrating
the mechanics o f breathing. The authors suggest that tension in the upper chest,
shoulders, and throat should be avoided. They also present two experiments on
breathing. The first experiment requires the student to sit up straight and take a full breath
while feeling his or her abdomen, hoping to feel an expansion. The second experiment
has the student tape a ribbon o f tissue to a pencil. Holding the pencil three inches from
their mouth, the student blows the tissue at an angle towards the floor and times how long
they can hold it there. The authors conclude with a review checklist for breathing.
16
In the embouchure section, the authors provide three steps for embouchure
formation and three photographs. The steps include:
1. Bring the lips together by pronouncing the syllable em.
Note: The upper and lower teeth should be slightly apart and approximately
aligned.
2. Hold the position o f the lips and jaw. Then,
3. Firm the comers of the mouth, pucker the lips slightly, and draw the chin
muscles downward to form a concavity between the lower lip and chin.
Note: Do not change the position o f the lower ja w as you draw the chin
muscles downward.
4. Blow a steady stream o f air between the lips to make a long buzzing sound.
Note: The opening between the vibrating lips is called the aperture.
Caution: Do not allow the air to p u ff out your lips or cheeks, (p. 7)
The next section, Placing the mouthpiece on the lips, includes five photographs
showing students how to properly place the mouthpiece on their lips. The authors
recommend starting with a one-half-upper-lip and one-half-lower-lip alignment while
acknowledging that alignment will be effected greatly by the shape o f the lips, formation
of the teeth, and jaw structure. In addition, the following pages included rudimentary
buzzing exercises. The instruction provided by Dvorak and Froseth appear to be the first
appearance o f the M approach to embouchure formation in a beginning band method
book.
17
Feldstein and O Reillys (1977) second method, A lfreds Basic Band Method,
includes only two pictures o f a performer without any note or pedagogical explanation.
This method was one o f two published in 1977.
Ployhars (1977) method, Band Today, includes two pictures o f a professional
player and pedagogical instruction in embouchure formation and buzzing. Ployhar
advises young players:
1. Moisten the lips very slightly and say the letter M.
2. The mouth should be firm (not tight) at the comers and relaxed in the center.
3. Keeping the sides firm, take a good breath and blow. The lips should cause a
BUZZING sound to occur. D ont worry if the buzz doesnt start immediately.
Keep trying!
4. Hold the mouthpiece in your left hand and place it on your lips. The
mouthpiece should be approximately 2/3 on the top lip and 1/3 on the lower
lip. This will vary from student to student.
5. When the mouthpiece is in position repeat the air blowing exercise we did
earlier. We call this BUZZING the mouthpiece.
6. After obtaining any kind o f sound, put the mouthpiece in the trumpet and try
again, (p. 4)
It is interesting to note that the Ployhar was willing to accept any kind o f sound (p.4)
on the mouthpiece. The current approach sought a full, open buzzing sound.
Pearsons (1982) first method, Best in Class, includes a section called Getting a
Good Tone This section included instructions for mouthpiece placement, embouchure
18
formation, posture, breathing, buzzing, and buzzing exercises. This method gave detailed
instructions on embouchure formation. These include:
1. Bring your lips lightly together as if saying the letter m.
2. Holding your lips together, slightly separate your upper and lower teeth.
3. It is important to have firm comers, but a relaxed center o f your lips.
4. Remember . . . the embouchure is formed into place. NOT blown into place.
5. The embouchure must be formed without tension. NEVER use a smile to form
an embouchure, (p. 3)
The buzzing section includes two exercises: (a) buzzing for four beats, resting for four
beats, and repeating, and (b) the siren exercise.
Feldstein and O Reillys (1988) next method, Yamaha Band Student, did not
include any pedagogical instruction. The authors provided only a picture o f the
instrument and a fingering chart.
Essential Elements, by Rhodes, Bierschenk, and Lautzenheiser (1991) includes a
section called The Basics, covering posture, breathing, and tone production. In the
subsection on buzzing the authors provide six steps for success:
1. Moisten your lips.
2. Bring your lips together as if saying the letter m .
3. Relax your jaw to separate your upper and lower teeth.
4. Form a slightly puckered smile to firm the comers o f your mouth.
5. Direct a full air stream through the center o f your lips, creating a buzz.
6. Buzz frequently without your mouthpiece, (p. 2)
19
This method included no photographs or illustrations o f the players embouchure or
expectations for sound quality.
Elledge and Haddads (1992) Step-by-Step includes no photographs or
pedagogical instruction at all. A brief section on warm-ups provides general information
that does not apply to the individual instrument, but rather to the whole ensemble.
Pearsons next published method, Standard o f Excellence (1993) (used in the
current study), includes an illustration o f a student using a mouthpiece visualizer. It also
included a five-step section called Playing your [Instrument]. These included:
1. Shape the inside o f your mouth as if saying oh. Bring your lips together as if
saying em.
2. Your lips should have firm comers but a relaxed center. Your chin should be
flat and pointed.
3. Take a full breath o f air and blow, creating a relaxed, buzzing tone.
4. While buzzing, place the mouthpiece over the buzz with equal amounts o f the
mouthpiece on the upper and lower lips.
5. Put the mouthpiece into the lead pipe. Take a full breath o f air and play a long,
steady tone. (p. 3)
This approach was the method used by Treatment Group B in the current study. The
section also mentions posture: Sit up straight on the edge o f your chair (p. 3).
O Reilly and W illiams (1997) method, Accent on Achievement, also discusses
posture, embouchure formation and tone production. This method presents a three-step
approach:
20
1. Moisten your lips and bring them together as if youre saying the letter M .
2. Keeping your jaw open and relaxed, firm up the comer o f your lips to form a
slightly puckered smile.
3. While the comers o f your lips are firm, the center o f your lips should stay
relaxed for the best sound, (p. 4)
This section also includes instruction on breathing, mouthpiece alignment, tonguing, and
the siren exercise.
Froseths (1997) Do It! method includes several illustrations o f students
embouchures, playing, buzzing, and using a visualizer. The first three steps listed in the
method for embouchure formation are:
1. Position your lips and lower jaw to form the syllable em .
2. Firm the comers o f your mouth inward, towards the center o f your mouth.
Note: To avoid puffed cheeks, maintain a firm inward pucker.
3. Draw your chin muscles downward.
Note: A concavity should be visible between your lower lips and chin. (p. 2)
Froseth also discusses posture and mouthpiece alignment, and suggests using a
mouthpiece rim for buzzing practice.
Essential Elements 2000 by Lautzenheiser et al. (1999) includes a section called
The Basics. This remained virtually unchanged from the 1991 version o f Essential
Elements (Rhodes, Bierschenk, & Lautzenheiser, 1991). The authors again use the M
approach o f embouchure formation and provide no expectations for sound quality.
21
In the 15 methods reviewed above, 8 (53.3%) include a pedagogy section;
however, 8 o f the 11 methods (72.7%) published since Dvorak and Froseths (1976)
method Introducing the Instruments include pedagogy. All eight o f these advocate some
variation o f the M approach o f embouchure formation. In other words, since 1976, all
pedagogical material presented in beginning band methods advocate the M approach o f
embouchure formation for brass players.
Brass Pedagogy
This section o f the literature review focuses on brass pedagogy from recent trade
sources. The review begins with articles on brass teaching specifically related to
breathing, buzzing, embouchure, and tone quality written by brass specialists, band
conductors, music educators, and performers, followed by a review o f brass pedagogy
texts. Collegiate brass method classes commonly use these texts written by music
educators, brass specialists, and expert performers.
K. Kelly (1983) presented an interview with two preeminent experts in the field o f
respiration as it relates to brass pedagogy. He began with a discussion on breathing
especially misconceptions on breathing with David W. Cugell, Bazely Professor o f
Pulmonary Diseases at the Northwestern University Medical School in Chicago, Illinois,
who also headed the Pulmonary Function Laboratory at Northwestern Memorial
Hospital. Cugell gave a detailed description o f the process o f inspiration and expiration.
He began with the most misunderstood muscle in the process, the diaphragm. As he
described, the diaphragm is a muscle o f inspiration. As a person inhales the diaphragm
22
contracts and flattens out, lowering in the abdomen causing negative pressures in the
thorax. This leads to an expansion o f the lungs downward, and if the airway is open,
inhalation. The diaphragm then relaxes on exhalation and returns to its dome-like shape.
The intercostal muscles also contract during inspiration and expiration. Some o f the
intercostals contract during inhalation to expand the rib cage and others contract during
exhalation to shrink the rib cage. These muscles work in opposition to each other. The
point Dr. Cugell made about the misconception regarding the diaphragm is that we
cannot use the diaphragm to support blowing out. We can, however, use abdominal and
intercostal (chest) muscles to assist in blowing air out.
Dr. Cugell made another crucial point in describing the air pressure/volume
relationship in the lungs. The following is a summary o f his statements: The lungs at rest
are roughly one quarter full. In general, to increase pressure one must reduce volume. It is
far easier to first increase volume (breathe in) and then create pressure by reducing
volume than it is to do so without breathing in first. The result o f this relationship is that
as we expel air we will necessarily lose air pressure, unless we work harder to maintain it.
He described a trumpet player playing a high C where, at the beginning o f the note,
pressure is generated easily by slight contraction o f the chest and abdomen. However, as
the air escapes and the volume reduces so does the pressure. In order to maintain the
correct intra-oral pressure for the high C the trumpet player has to contract chest and
abdomen muscles even more. Eventually the required pressure is no longer possible and
the player has to stop even though there might be more air in his lungs. At the other
extreme, a tuba player playing a low soft note could use nearly all o f his air and not lose
23
tone quality because the inter-oral pressure required is so much less. In fact, a wind
player playing a long, low, soft note will need to reduce the pressure at the beginning of
the note by using the intercostal muscles to brake the exhale. Without applying the
inspiration intercostal muscles at the beginning o f the note, there will be too much air
volume or pressure to play the low, soft note.
Ultimately, Cugell suggested, wind players will find the most efficient way to
breathe. He stated:
So if we subscribe to the concept, with respect to instrument playing, that we will
spontaneously assume the most efficient and effective pattern, then it certainly
makes good sense not to concern yourself with it so you can concentrate on all the
other aspects o f your playing, (p. 9)
In the basic design of Treatment A (Appendix A) in the current study, breathing is treated
as a tool for air support to aid in creating optimal tone quality. The mechanics of
breathing are left to the student to, as Dr. Cugell put it, assume the most efficient pattern
o f use.
In the same interview Arnold Jacobs discussed his views on breathing and playing
wind instruments. The following is a summary o f Jacobs comments. He first made a
distinction between anatomy and function through what he calls the computer activity of
the brain and the thinking part o f the brain (p. 9). The thinking part is activethe part
that we consciously control. As we play an instrument we think about the product,
phrasing, dynamics, articulations, and so on. The computer activity comprises all o f the
physiological reactions within the body to produce the sounds. We dont have to tell our
24
bodies how to breathe, but rather how long a phrase is. Jacobs strongly advocated starting
with the product. So often a teacher makes the mistake of altering the machine activity
rather than altering the product or what he wants accomplished (p. 10).
Jacobs believes students need to discover how to work with wind rather than
pressure. Many teachers experience problems when they tell their students to support or
to use specific muscles. Telling a student to contract a muscle during respiration creates
tension which inhibits wind. This is different from the free flow o f air that is necessary
for wind playing. Jacobs describes an exercise to illustrate this difference. He suggests
blowing on the back o f your hand through clenched teeth in a loud hissing sound. There
will be little air with high pressure. Then repeat with an open mouth and there will be a
large quantity o f air with little pressure. Ultimately, Jacobs said about air, waste it, its
free (p. 12). In the current study, the researcher-designed approaches (Appendices A, B,
& C) promote movement o f large quantities o f air from the beginning o f instruction. The
teachers, however, focused on the final product o f tone quality without over-analyzing
the breathing process.
Jacobs also discussed posture as it relates to air. He stated that the standing
position is the best for air production; however, if you cannot stand, then you should
stand from the waist up. He stated that with larger people this is not as critical, but
smaller players will need every advantage they can get. Jacobs concluded by saying:
In this art form we are dealing in sound. Respiration is made too much of. We
need sufficient quantities o f fuel that we can use easily.. .but dont make a big
deal out o f it. We have to make sure that we dont take the level o f the brain at
25
which we try to take charge o f the human machine through its individual
components. We cant handle it. Y ouve got to get out o f the way and allow your
body to function for you. The point is to try to sound great when you play. (p. 12)
The current study used this philosophy in its design o f its breathing instruction
(Appendices A, B, & C). The aim o f the approach was simplicity, muscle training, and
repetition. The teachers did not give students overly technical instruction, but rather
simple exercises easily modeled, executed, and reinforced by repetition and imagery.
Rocco (1997) describes different embouchure problems related to younger players
including: (a) overbites, (b) braces, (c) mouthpiece position and pressure, and (d)
physical limitations o f smaller players. He suggests that teachers pay more attention to
the sound coming out of the horn than what the embouchure looks like when compared to
a standard. He recommends the player do the same: Any player who focuses on how the
embouchure looks and feels is not concentrating on matching their concept o f good tone
(p. 70). In the current study the focus was on the product o f the breathing and
embouchure and not the analysis o f the process.
Vernon and Wilson (1997) discuss strategies for starting beginning trombone
players and developing good tone quality. They suggest modeling good tone production
over a range o f notes first, followed by buzzing a pitch. To form the correct embouchure,
they recommend the student place the mouthpiece with 2/3 upper lip and 1/3 lower lip.
They state that a 50/50 placement is also acceptable and that comfort should dictate
placement. For embouchure formation they advise, The trombone embouchure is easily
formed by saying the letter M and bringing the lips together. The comers o f the mouth
26
should be firm and in a slight frown, pointing downward (p. 27). They also suggest not
allowing the student to puff their cheeks outward while playing. This embouchure
formation technique is similar to many others reviewed in this chapter. The current study
utilized a technique where the lips did not touch in the center for Treatment group A.
Orcutt and Buchtel (1998) present advice for starting beginning comet students.
They recommend that these students first work with the mouthpiece alone. They advocate
a comfortable placement of the mouthpiece on moistened lips, but note that most comet
teachers advocate a 50/50 ratio o f upper lip and lower lip placement. After applying
gentle pressure on the lips the student should be able to buzz. They do not discuss
embouchure formation, but they do recommend maintaining the embouchure as the
student breathes through the sides o f the mouth. They also warn the teacher to watch for
excessive pressure indicated by a white ring left on the lips. Pressure is usually
compensatory for a lack o f air volume or velocity. The current study instructed students
in Treatment Group A to use ample amounts o f air to support a good tone, reducing the
need for pressure.
Stufft (1998) presents three techniques for teaching breath support. He
recommends having students stand with their backs, heads, and heels against a wall and
practice breathing. He claims that he had never had a student breathe incorrectly in this
position (p. 30). His second approach has students standing with one hand on their
abdomen, covering their mouths with the other hand and coughing to feel the abdominal
muscles contracting. Then students should pretend their stomach is a balloon and should
try to inflate it. The third approach involves having the students place their hands on their
27
hips and breathe like a bellows. Then the students gradually move their hands up their
sides until they are just under their ribcage. In this position, it is nearly impossible to
breathe incorrectly (p. 48). The current study incorporated breathing exercises that are
similar to these.
Campbell (2001) presented a short interview with world renowned trombonist,
Christian Lindberg, who gave advice about attaining good tone quality. He suggested that
trombone players need to have a concept o f an ideal sound in their heads. They should
not concern themselves with the specifics o f embouchure but rather trust their ears and let
their embouchures adjust to match. In the end, he warned, poor posture or breath support
can cause the embouchure to compensate and cause problems. One o f the basic principles
o f the current study was to develop good breathing skills in order to avoid embouchure
faults due to compensation.
Heiles (2002) described the trumpet studio o f world-renowned trumpeter Ronald
Romm, professor at the University of Illinois. Each day began with a buzzing session
with his students. Romm pointed out several benefits to the buzzing regimen. He stated
that buzzing helps to develop better breathing and clarifies the tone. Buzzing also
improves accuracy, reduces stress, and extends the playing range. When brass players
can produce a musical phrase on the mouthpiece, they can play it (p. 56). The
researcher-designed approaches in the current study utilized buzzing exercises to
reinforce range and musicianship.
Laudermilch (2002) discussed the problems o f young trumpet players. He
suggested that good air support will fix many tone and embouchure problems (p. 40).
28
Laudermilch also pointed out that some embouchure problems require the player to
actively change the embouchure. He suggested that such a change should only be
undertaken with the guidance o f a private teacher and could take from two months to two
years.
Lychner (2002) provided a lesson-by-lesson guide for beginning bands. He
suggested that band lessons should start with exercises that emphasize posture, air
support, and mouthpiece work. All o f these should be focused on good tone production.
Learning notation and other technical considerations such as how to put the instrument
together should come later. Mouthpiece work should focus on imitation and
improvisation. Students should listen and repeat what they hear. They should also
improvise musical phrases. This approach is similar to Treatment A in the current study.
Sanderman (2004) wrote a short guide to help beginning trumpeters develop
better embouchures. She noted that a majority o f problems for beginners are related to
wind control. In this article she addressed embouchure and tongue placement, stating
that, to find the vibrating center (of the lips), students can force a focused stream o f air
through tightened, almost closed lips, which will cause their lips to vibrate or buzz (p.
57). This concept o f almost closed lips is precisely how the current study addressed
trumpet students (Treatment Group A), in contrast to the M or closed approach found in
beginning method books (Treatment Group B).
Farkas (1956), in his treatise on horn playing, discussed embouchure and tone
production at length. He stated:
29
The embouchure, for the brass player, is the setting o f the lip and face muscles in
a position which will enable them to vibrate at varying speeds and intensities
when the lips are blown through.. . . This vibration is created by the breath being
moved through the lips while they are in tension.. . . The lips should not actually
touch each other in the center o f the opening during vibration.. . . I believe some
of the audible noise is the lip snapping back against the concentrated air stream.
(p. 19)
He also stated that the tension needed to play higher notes serves two purposes. It
stretches the lips to encourage them to snap back more quickly when they are blown
through, and it shrinks the aperture through which the air is blown. In forming the
embouchure, Farkas described two extremes o f thought. First, he described the smiling
embouchure, in which the lips form a smile. Secondly, he described the pucker
embouchure in which the player puckers his lips. He warned against either o f these
extremes, advocating a combination o f both practices. He called this combination a
puckered smile.
He continued to discuss the lip aperture in more detail and made a crucial point
when discussing the aperture formation. He concluded:
This opening must be apparent when the air is being pushed through it. However,
the opening should be fo rm ed by the lips and should definitely exist when the air
is not flowing. Remember that this opening is form ed into shape, not blown into
shape, (p. 25)
30
Farkas reiterated these positions in his seminal work in the area o f brass
pedagogy, The Art o f Brass Playing (1962). In the section on The Lip Aperture he
stated, The open end o f an oboe reed so closely duplicates the . . . shape and function o f
the brass players embouchure aperture that it is ideal for comparison purposes (p. 38).
He discussed how the aperture must remain open and formed even when the air is not
blown through it. He also described the symptoms o f having an aperture that is too thin:
1. Tight, bright, hard tone.
2. A tendency to play sharp.
3. Pianissimo attacks which fail to speak.
4. A sizzling sound, like frying bacon, particularly apparent in long-sustained,
soft high notes.
5. Inability to carry a diminuendo down to nothing, (p. 38)
The current study used Farkas idea o f an open aperture as the basis for its openembouchure approach (Treatment Group A).
Kleinhammer (1963) summarized the relationship between tension and air, stating
to achieve correct blowing we must divorce throat and tongue tension from tension of
the embouchure. We must blow through the lips in a relaxed manner and project through
the horn into space, without any element o f squeeze (p. 15). Aside from avoiding
tension Kleinhammer also stressed that trombonists should avoid the smile or stretch
method o f embouchure formation. He stated that this method will lead to a thin or fuzzy
sound, whereas an embouchure that has a rounder formation and support all around by
the facial muscles will produce a rounder, richer tonal result (p. 25). Finally, he warned
31
individuals to be careful about mouthpiece pressure. He stated that endurance is the main
limiting factor in brass playing and excessive mouthpiece pressure can lead to early
fatigue. The researcher-designed approaches in the current study (Appendices A, B, & C)
addressed this problem by teaching students to play with more air volume, thus reducing
the need to increase pressure to compensate for low air volume.
Kohut (1973), on the subject o f wind playing, stated, There can be no doubt, that
embouchure and proper breath support are critical to good tone quality and intonation
(p. 99). In regard to embouchure, he made particular mention o f the problem o f tension in
the lips, jaw, and throat, calling them the most persistent and frustrating student problem
in embouchure (p. 100). He claimed that young students trying to play notes that are too
high create this tension. He also pointed to a lack o f breath support as damaging to
intonation and tone quality. He recommended the abdominal method o f breathing where
the diaphragm lowers during inhalation and the abdominal muscles tense during
exhalation. Kohut suggested that young wind players should sit upright in a relaxed
manner when playing in order to avoid both tension and laziness. He noted that some
military style bands sit too upright and stiff which leads to tension. Most young players
should avoid sitting in a manner that is too relaxed and could reduce their breathing
capacity.
Kohut concluded his discussion o f tone quality and intonation by mentioning the
size of the oral cavity. Besides embouchure and breath support, he pointed to an open
throat and oral cavity to improve tone quality. He then stated, When this is
accomplished, intonation should improve, allowing for better ensemble blend (p. 109).
32
Hunt (1978) wrote a Guide to Teaching Brass. In his chapter on embouchure he
presented a very detailed discussion o f the muscles o f the face as they relate to
embouchure formation. He also discussed at great length how different teeth formations
can affect the embouchure, stating, nature does not make a set o f teeth that can be
changed, formed, or developed to fit correctly the outline o f the ordinary straight-rim
mouthpiece (p. 20). He continued with many examples and photographs o f malformed
embouchures and the special mouthpieces made to accommodate them. In his discussion
o f embouchure development he stated:
During the initial development o f a correct embouchure for brass instruments, the
buzz without the mouthpiece, can be extremely valuable. To produce the
buzz the student should place the lips lightly together (as though humming the
letter M) while keeping the teeth slightly apart.. . . Then by blowing air between
the lips a buzz will occur similar to that necessary for tone production on the
instrument, (p. 22)
It is clear that Hunt also advocated starting the buzz with the lips closed. However, he
perhaps allowed that the actual buzz in the instrument is only similar to that which is
achieved in this manner. In his discussion o f embouchure faults, he instructed students to
avoid the smile, pucker, and rolling the lower lip under the upper. He also advised against
undue strain, closed throat, or excessive pressure (p. 23). Finally, he warned against
throat tension or tension in the arm that is holding the instrument (p. 33).
S.
Whitener (1990) wrote in his book A Complete Guide to Brass: Instruments
and Pedagogy:
33
In the production o f a sustained tone, the fluctuations in pressure within the
mouthpiece brought about by the standing wave help the flow-control valve to
open and close (the vibration o f the embouchure), (p. 3)
Whitener adds in a footnote, In the authors view, the flow-control valve never
completely closes (p. 3). Whitener made two additional references to this idea later in
the book. In a section on tone production, Whitener stated, the aperture must remain
open (p. 109), and continued with The embouchure should be formed before placing
the mouthpiece on the lips (p. 109). This idea supports Farkas (1956) notion that the
embouchure is formed, not blown, into place. These few comments taken together seem
to support one o f the basic premises o f the current study, the idea that the embouchure
never fully closes during buzzing.
In his Chapter 10 on Tone Production, S. Whitener (1990) stated, [tone
production] consists o f a few basic techniques which, when established, allow the player
to concentrate on the sound and the music (p. 107). He continued to describe how some
brass students reach paralysis by analysis, described as an obsession with an analytical
approach to tone production that leads to psychological paralysis. The current study
sought to avoid this phenomenon by teaching tone production both simply and by
imitation.
In The Teaching o f Instrumental Music (1992) Colwell and Goolsby wrote six
chapters on brass pedagogy: An overview, trumpet/comet, horn, trombone,
baritone/euphonium, and tuba. Each chapter contains a section on embouchure. In the
overview chapter the authors do not advocate either the smile embouchure or the pucker
34
embouchure. Instead they described the proper embouchure: lips placed together and the
comers o f the mouth tightened. This embouchure provides a fleshy cushion in the center
o f the lips that vibrates when the airstream passes though it (p. 318). They also
advocated a 2/3 upper and 1/3 lower lip placement for most o f the brass instruments.
Colwell and Goolsby (1992) described two common mouthpiece faults: too much
pressure and a pinched sound. According to the authors, the cause o f both faults is a lack
o f air support. The young student mistakenly uses mouthpiece pressure to achieve higher
notes when the necessary air velocity is lacking. With proper air velocity the inter-oral
pressure provides the energy for higher pitches. The other fault is closely related: A
pinched sound may result from keeping the jaws too closed or bringing the teeth too close
together (p. 321). The authors suggest having the young student play a long tone while
slowly raising and lowering the jaw. The teacher may then listen for the best placement.
In the chapter on the hom, Colwell and Goolsby (1992) discussed two different
embouchures: einsetzen and ansetzen. Einsetzen means setting in, and ansetzen means
setting on. In the former the hom mouthpiece rests inside part o f the players lips and the
player uses the inner, fleshy part o f the lips to produce a tone. The latter is similar to all
other brass embouchures. The authors advised that the einsetzen embouchure is not
recommended for young students as it is very hard to control anywhere but the lower
register and the player will have difficulty developing any endurance. The authors
advocated the embouchure described by Farkas in The Art o f Brass Playing (1962) where
the lips resemble a bag tightly shut around a coffee can, both tightly bunched and pulled
back at the same time.
35
In the chapter on the trumpet Colwell and Goolsby (1992) recommended that the
student should form his lips as if saying the letter M and vocalize the word pooh to start a
note. They admitted this procedure will naturally produce a sound with a tone quality
considerably short o f that by Maurice Andre (p. 383). They continue with Practice and
careful instruction in shaping a proper embouchure along with proper breathing will
result in rapid improvement (p. 383). In other words, the teacher will have to teach the
student to unlearn this poor tone quality. The current study explored whether there is a
way to start the student with a tone quality that will not need to be unlearned.
In the chapter on trombone, Colwell and Goolsby (1992) described the trombone
embouchure: The basic embouchure formation is similar to that for most brass
instruments lips relaxed across the front o f the teeth, comers o f the mouth clamped
tightly and anchored firmly against the teeth (p. 409). Here they also advised starting
with the letter M for embouchure formation.
In the chapter on baritone and euphonium, Colwell and Goolsby (1992) suggested
that an open, buzzing sound should be emphasized when practicing on the mouthpiece
alone (p. 434). They pointed out similar faults to the other brasses, such as pinched or
closed embouchures. They described a secondary fault o f the embouchure being blown
open by high air pressure without enough strength to control it. The current study used
this fault as a starting point by teaching students to use too much air and then develop,
over time, the strength to control it.
In the chapter on the tuba, Colwell and Goolsby (1992) described five common
problems with young tubists:
36
1. Lips too tight, which especially affects flexibility;
2. Too much puckering often accompanied by a bunched-up chin;
3. Chewing each note;
4. Teeth too close together (occasionally a piece of 1.5 cm cork can be held
between molars to keep them apart); and
5. The tongue too high in the mouth, (p. 453)
The author o f the current study believes that all o f these faults are symptoms o f the same
problem lack o f sufficient air to properly play the instrument. The current study sought
to address all o f these problems before they started by enabling the student to play with
sufficient air support from the very beginning.
In the chapter on trombone, Colwell and Goolsby (1992) made a revelatory
statement. In discussing how the tongue should be low in the mouth to produce an open
sound they state most accomplished trombone players feel that they perform with an
open embouchure, that is, that the center o f their lips never touch (p. 410). This
revelation, if true, means several things. By asking beginning brass students to start by
saying the letter M we ask them to start with their lips together and not apart as most
accomplished trombone players (p.410) feel they perform. Then, by starting students
this way, they are then forced to spend weeks, months, or even years unlearning this
starting embouchure in order to achieve good tone quality, assuming that professional
trombone players have good tone quality. Lastly, the lips are not actually blown open, as
so many method books suggest, but rather the air stream causes the center o f the lips to
37
vibrate but never actually touch. Therefore, Colwell and Goolsbys statement supports
the open-embouchure approach tested in the current study.
Bailey et al. (1992) wrote a text titled Teaching Brass: A Resource Manual.
Chapter 2 of this work is entitled The Embouchure. In it, the authors stated, the
embouchure . . . involves an airstream passing over the lips to cause them to vibrate
against each other (p. 4). The authors expressed the same theory o f brass tone
production that many others in this review have stated that the lips vibrate against each
other. While they state that the embouchure on each brass instrument must be formed
differently (p. 4), they present six traits common to all brass embouchures. The third of
these traits is, The aperture (the opening in the lips created by the expulsion o f the air
column) should be oval in shape (p. 5). The fourth is, The lips should be together but
not pressed together (p. 5). Both o f these traits taken together indicate that the authors
believed that the lips begin together and that the air column blows them apart. These
statements seem to contradict what several authors (Farkas, 1956; Farkas, 1962; S.
Whitener, 1990) reviewed here have described, an aperture that is formed, not blown into
place. The authors also contradict Farkas idea that the lips should remain open. In the
present study, the researcher hypothesized that the airstream actually pulls the lips
together and the embouchure pulls them apart with the center never touching.
Bailey et al. (1992) highly recommend the use o f a mouthpiece visualizer to
diagnose embouchure problems. They present many photographs o f trumpet embouchure
faults using the apparatus. These faults include:
38
1. The smile embouchure. This results from the student pulling the lips up into
a smile.
2. The bunched-up chin. This is caused by the clinching o f the jaw or bunching
the lower lip.
3. Playing with the mouthpiece too low.
4. Playing with the mouthpiece not centered.
5. Puffed-out cheeks.
6. Excessive pucker.
7. Excessive mouthpiece pressure, (p. 7)
The researcher-designed approaches (Appendices A, B, & C) in the current study
instructed students to use more air in order to combat many o f these faults.
Bailey et al. (1992) stated, Arguably the most discussed aspect o f brass playing
is the embouchure (p. 24). The current review o f literature would confirm that the
embouchure is discussed at length. However, scant research has been conducted on the
formation o f the embouchure in beginning brass players and its effect on tone quality.
On the importance o f initial embouchure formation Bailey et al. (1992) stated that
establishing a correct embouchure during the first few lessons is critical to the success o f
the [trumpet] player (p. 24). In Chapter 7 on the horn, they also stated, The single most
important factor for the beginning homist is the embouchure. The majority o f problems
encountered by young homists, including those entering college, are due to faulty
embouchure (p. 46). Additionally they stated, Proper embouchure development is the
single most important element for the beginning trombonist (p. 68). Finally, in Chapter
39
10 on the tuba, the authors stated, Most problems on the tuba are the result o f an
incorrectly formed embouchure (p. 108).
In the chapter on trumpet, Bailey et al. (1992), stress that the oral cavity .. . must
be open and relaxed (p. 25). They further suggest using the analogies o f relaxing the
throat as if yawning or forming an oh syllable inside the mouth (p. 25). In the chapter
on the horn they also state, the oral cavity should be open, with no resistance point to the
air column (p. 46). In the section on trombone they further state, The oral cavity should
be very large, open and relaxed (p. 68). Finally, in Chapter 10 on the tuba, they state,
The tongue is very low and flat on the bottom o f the m o u th .. .. The throat remains very
open and relaxed in all registers (p. 107). The approach o f the researcher-designed
approach in Treatment Group A o f the current study emphasized this concept o f open
throat, oral cavity, and especially embouchure.
In Chapter 6 on trumpet, they state, Mouthpiece buzzing should be introduced at
the first lesson (p. 26). They presented four buzzing exercises designed to strengthen the
lips: (a) sirens, (b) buzzing scales, (c) buzzing for range, and (d) buzzing the overtone
series. In Chapter 7 on the horn they state, To start the initial note, the student should
first buzz on the mouthpiece (p. 47). For the trombone they suggest buzzing the lips
alone first, then on the mouthpiece, and finally on the instrument. They do not
recommend buzzing on the mouthpiece alone for the beginning tubist. However, they
state that buzzing is the best o f the tuba embouchure exercises (p. 108). The current
study utilized buzzing exercises not only for the trumpet but for all o f the brass
instruments.
40
Bailey et al. (1992) also advocate starting the first tone on the trumpet with a
closed embouchure. They state, Ask the student to put the lips together as if saying the
syllable m m or emm, take a large breath, and blow air through the lips (p. 29). In the
section on the horn the authors do not recommend any starting syllable; however, they do
suggest a slightly pursed or puckered embouchure. In Chapter 8 on the trombone, under
the heading Forming the Trombone Embouchure, they state The lips are together (p.
68). Additionally, in the chapter on the tuba, under the heading Proper Tuba
Embouchure, they state Keep the lips gently touching . . . and slightly forward (p.
107). The current study investigated if the opposing approach o f starting with an open
embouchure produced a better tone quality then the traditional M approach.
Hunt and Bachelder (1994) in their Guide to Teaching Brass describe the process
o f lip vibration during brass playing. They state that the lips begin closed as air pressure
builds behind them. Eventually the air bursts through during which air pressure and
velocity are high because of the small opening (p. 2). Hunt and Bachelder continue to
describe the process of buzzing; the lips continue to open as the air pressure and velocity
drop. As the air pressure and velocity drop the lips come back together due to the tension
o f the lips. Finally the lips touch again and produce a sound.
The description of the buzzing process by Hunt and Bachelder (1994) above
seems to contradict basic laws o f physics and flow dynamics. Bernoullis principle states
that as air velocity increases pressure decreases. Stemheim and Kane (1986) wrote:
The fact that the pressure drops when the velocity increases . . . is a consequence
o f energy conservation. . . . That means a net force must act on a segment o f the
41
moving fluid, and that the pressure must be lower at the end where the velocity is
higher, (p. 285)
In other words, as air velocity decreases, pressure increases. So both air pressure and
velocity could neither be high nor drop. Air pressure and velocity are inversely related.
As one increases the other decreases. This concept supports the open-embouchure
approach to playing brass instruments. As fast air passes through open lips the pressure at
the aperture drops and pulls the lips closer together. The tension o f the muscles pulling
against this force allows the lips to pull apart again.
In a section on teaching and forming the embouchure, Hunt and Bachelder (1994)
provide four steps to proper embouchure formation. The first step is to place the lips in an
M formation with the lips closed. Next, they suggest blowing through the lips at a small
point below and in front o f the chin. Then the player should press the lips together until
they vibrate. Finally, the player should use enough air to maintain vibration.
Meyers (1997) briefly describes how brass instruments work. He stated that
standing sound waves travel back and forth from the closed end o f the brass instrument
(the mouthpiece end) to the open end (the bell). They are reflected back by the bellmouth or the flare o f the bell. The embouchure reflects the waves back during the brief
time that the lips are closed. The player, by blowing through buzzing lips, adds just
enough energy to the system to maintain the tone. Meyers writes, Although the player
opens his/her lips by blowing air through them, because he/she is buzzing his/her lips
they are effectively closed for enough time to reflect most o f the sound waves traveling
42
towards them through the instrument (p. 19). This description supports the closed or M
embouchure approach used in the current study.
Dudgeon et al. (1997) discuss the playing, learning, and teaching o f brass
instruments. In the section on sound production, they point out that it is the turbulent
airflow passing by the edge o f the firm lips that causes them to vibrate. This assertion
supports the idea that the lips are maintained in an open manner with the airstream
passing between them. They also point out that in beginners the range o f types o f
embouchures is wide, while professionals tend to use just one o f a very few successful
model embouchures. The authors also note that a brass player should try to play all
registers with the same embouchure, by establishing a good middle-range embouchure
and slowly working outward. Finally, they advocated the use o f lips-alone or mouthpiece
alone practice (buzzing) as a way to strengthen the embouchure. The current study
utilized mouthpiece buzzing in order to strengthen the embouchure.
Johnson (2002) discussed both embouchure formation and maintenance. In
forming the embouchure he suggests that the beginning player use firm comers and a
gentle closing o f the lips as in humming the letter M. He notes that the center o f the
embouchure should be relaxed and responsive (p. 32), and that the player should
possess a pointed chin, center the mouthpiece, and generally utilize opposing muscles
around the embouchure. For initial tone production he recommends humming the letter
M and then blowing a simple note. He also lists four areas o f concern for embouchure
development: (a) pitch accuracy, (b) endurance, (c) range, and (d) flexibility. In order to
43
correctly develop in each o f these areas, Johnson recommends practice and gradual
development.
There has been general agreement for some time on the importance o f proper
breathing to good brass playing; however, there is currently only one published method
book for improving breathing specifically written for instmmentalists, The Breathing
Gym (Pilafian & Sheridan, 2002). It is designed to be used as part o f a warm-up routine,
as a mid-rehearsal change o f pace, or to address specific issues such as dynamics,
articulation, and phrasing (p. 5). The book also includes an index chart that prescribes
certain exercises for different levels including Elementary/Early Middle School and
High School/Advanced Groups (p. 30). In their introduction to The Breathing Gym,
Pilafian and Sheridan (2002) state:
The exercises in The Breathing Gym can be used as part o f a warm-up routine, as
a mid-rehearsal change o f pace, or to address specific issues such as dynamics,
articulation, and phrasing in a certain piece o f music. The exercises can also help
produce a calm, focused atmosphere before a performance or competition, (p. 5)
Pilafian and Sheridan group their exercises into five categories: (a) stretches; (b) flow
studies; (c) therapies; (d) strength and flexibility; and (e) breathing for the brain. In the
treatment approaches (Appendices A, B, & C) o f the current study the author used only
exercises in the following categories: stretches, flow studies, and strength and flexibility.
The pedagogy texts vary in their advice. Farkas (1956, 1962), Dudgeon et al.
(1997), and S. W hitener (1990) all advocate starting the embouchure with the lips open;
however, six texts clearly advise starting the embouchure with the lips closed (Bailey et
44
al., 1992; Colwell & Goolsby, 1992; Hunt, 1978; Hunt & Bachelder, 1994; Johnson,
2002; Meyers, 1997). The current study tested the effects o f an open or closedembouchure approach, both with and without breathing and buzzing instruction, on tone
quality, range, duration, and vital capacity in beginning brass students.
Brass Research Studies

The next section o f the literature review contains studies related to adult brass
playing. These studies fall into three categories: (a) medical studies, (b) breathing studies,
and (c) embouchure studies. The three medical studies relate to problems o f brass
players, such as embouchure and other physical problems related to playing a brass
instrument. The first o f these is a historical review o f breathing studies, and the second
relates to vital capacity in adults. The two embouchure studies are historical and discuss
the issue o f open versus closed-embouchure formation.
Heuser and McNitt-Gray (1998) conducted a case study investigation o f the use o f
electromyography (EMG) during trumpet instruction. They sought to discover if EMG
could supplement and validate pedagogical information by allowing teacher and student
to see how the embouchure muscles at work. EMG is the measurement o f electrical
signals from specific muscles. In this case, the muscles were the left and right depressor
anguli oris and zygomaticus major, four muscles surrounding the embouchure. They
showed how EMG readings from a professional trumpet player reveal uniform activation
o f these four muscles during tone production. They then showed the preliminary EMG
patterns for a college-age trumpet student who complained of: (a) pain in his upper lip,
45
(b) a callus inside his upper lip, (c) unreliable tone production above G5, (d) a lack o f
flexibility, and (e) playing with a fuzzy tone. His EMG readings showed a lack o f
uniformity, activity between notes, and an inverted reading on the left zygomaticus
major, indicating activity where there should not be and no activity where there should.
After seven weeks o f instruction using the EMG to supplement instruction the student
showed remarkable improvement in all areas. His post-instruction EMG looked much
more like the professional players pattern.
Lederman (2001) presented the results from 43 adult brass players with
embouchure problems. Most players complained they lacked muscle control (dystonia) or
had pain. In all cases, Lederman prescribed a course o f rest and rehabilitation including
buzzing and a gradual return to playing. He also prescribed technical retraining which
proved less successful for the patient with dystonia.
Chesky, Devroop, and Ford (2002) surveyed adult brass players (N = 739)
regarding their medical problems such as musculoskeletal and other related maladies.
They found that women reported more problems than men, and female low brass and
horn players reported the highest occurrence o f embouchure problems.
Smith (1993) presented a historical review o f pulmonary science as it relates to
wind playing. He traced the subject from the ancient Egyptians up to the work o f Arnold
Jacobs. He concluded that while there have been many cooperative studies between
physicians and musicians few o f the results have reached the practicing musicians who
could derive benefit from them.
46
Staples (1988) investigated the effect o f six different physical conditions on the
measured vital capacity o f brass players. The conditions were: (a) size o f mouth opening
during inspiration, (b) the use o f a breathing tube during inspiration, (c) time allowed for
inspiration, (d) restriction o f chest movement during inspiration, (e) restriction o f
shoulder movement during inspiration, and (f) encouragement o f shoulder movement
during inspiration. Data analysis showed significant differences in all but mouth opening
and shoulder movement encouragement. Both physical restrictions and the shortest
inspiration time reduced the vital capacity, while the use of the breathing tube increased
the vital capacity. The current study utilized breathing instruction to improve air flow and
tone quality.
Taylor (1968) reviewed writings on brass pedagogy. On the issue o f the opening
o f the embouchure in the center he states, Seventeen writers contribute to this issue.
Eight say that the lips should touch (at the center), eight say they should not (p. 120).
The seventeenth writer, not conforming to either side, said they should touch before the
note but not during. However, Taylor (1968) wrote: There are more reasons for keeping
an opening between the lips than for keeping them together (p. 121). Clearly, these
findings reflect the general disagreement on this issue present at the time o f this study.
Betts (1984) in his study o f horn literature, noted that Jacques Francois Gallay (in
his horn method o f 1845) suggested leaving a hole in the center o f the embouchure
about a centimeter in length and a millimeter and a half in width (p. 59). Henri Kling in
his horn method o f 1865 also advocated leaving a large enough opening between the
upper and lower lips for the passage o f air (p. 59). Finally, Oscar Franz, in his method of
Al
1880 agreed, stating: In playing, the lips are closed at their comers leaving only a small
opening in the center o f the mouth (p. 59). These nineteenth century hom teachers all
wrote that the hom player must leave an opening while playing. This is in contrast to
many o f the writings o f twentieth-century pedagogues who advocate blowing through a
closed embouchure.
The above studies represent the small amount o f scholarly research on the subject
o f brass playing. The historical studies (Betts, 1984; Smith, 1993; Taylor, 1968) illustrate
that the results o f research are not reaching the pedagogues, and there is clearly a debate
between open and closed-embouchure formation. The current study tested an openembouchure approach.
Beginning Instrumental Research

The following studies represent the body o f research on beginning instrumental
music. The majority o f the studies reviewed were experimental in design. The current
study emulated many o f these design elements. The experimental studies typically
examined a new method for teaching in order to improve performance. O f all o f these
studies, only Weeks (1987) and Sehmann (1990) deal with beginning brass players. The
Sehmann (1990) study is closely related in design to the current study.
O Donnell (1987), in his descriptive study, presented teaching strategies for
beginning brass students. In the section on embouchure formation, the author reflects the
notion o f many o f his colleagues that the embouchure should be formed by saying the
letter M. He also states that the trumpet and tuba embouchures both use one-half lower
48
lip and one-half upper lip, while the hom and trombone use two-thirds upper and onethird lower. He advocates using a mirror for self checking during instruction. In the area
o f tone production the author instructs: form embouchure; inhale deeply; blow through
embouchure (p. 63).
Kress (1981) conducted a quasi-experimental study to determine the effect o f
method books based on Piagets theory o f conservation on beginning band students
musical achievement and performance. The study examined four intact classes o f band
students taught by four different band directors. Two (n = 22) used The Individualized
Instructor (Froseth, 1970), a method, which according to Kress, utilizes Piagets theory.
Two (n = 44) control groups used First Division Band Method (Weber, 1968). Colwells
(1968) Music Achievement Tests, given to both groups, served as a pretest and posttest.
The researcher administered Gordons (1965) Music Aptitude Profile (MAP) as a pretest
only. Additionally, both groups took the Comprehensive Test o f Basic Skills (1975) as a
pretest measure. The researcher used the Watkins-Farnum Performance Scale as a
posttest for music performance.
Kress compared the means for the two groups using the non-parametric MannWhitney U test, chosen due to the unequal samples sizes and the small group sizes. He
also compared six independent and two dependent variables using the Spearman rankorder correlation test. Mann Whitney U analysis o f the Musical Achievement Test scores
between the experimental and control group and between the pretest and posttest showed
no significant differences (p > .05). Additionally, the Mann Whitney U analysis o f the
performance scale scores compared by method book revealed no significant difference (p
49
> .05). Spearman rank-order correlations showed some significant correlations between
reading and math scores, as well as between socio-economic level and some o f the music
achievement variables. Other comparisons, however, were not significant, and those that
were showed no consistent pattern.
Noble (1971) examined the effect o f teaching concepts before skills versus
traditional teaching on elementary band students performance achievement. He found
that the experimental group performed better on the performance test ( Watkins-Farnum)
than the control group (F= 35.577, p < .05). Additionally, he discovered that the sex of
the students did not have a significant effect (p > .05). He also revealed that students with
higher I.Q. scores performed better with traditional methods than with concept teaching.
This led the researcher to question whether standard verbal measures o f intelligence
adequately measure music performance intelligence (p. 214). Finally, Noble chose a
posttest-only design for this study with beginning students (p. 211). The current study
used the same design.
Hufstader (1974) developed a battery o f tests designed to predict success in
beginning instrumental ensembles. His tests included musical aptitude, academic
achievement, intelligence, and psychomotor skills. Four band directors divided their
students (N = 70) into three groups by achievement: high, middle, and low. The
researcher did not use the middle group in the study in order to increase the difference
between the groups. Forty-six students remained in the high and low groups, of which
only thirty-four completed the testing battery. The researcher utilized discriminate
function analysis to determine if there was a significant difference between groups (V=
50
14.444,p < .05) and what tests accounted for what percent o f the difference. The battery
o f tests accounted for 37% of the difference between groups. While all o f the tests
contributed significantly, the researcher determined that the intelligence test, the test o f
musicality, and the academic achievement tests were the best predictors o f success.
Groeling (1975) conducted a comparative study of two methods o f teaching
beginning instrumental music students: a traditional band method approach and a
discovery approach. He randomly assigned 22 students into two groups, the experimental
group (n = 10) and the control group (n = 12). The researcher used the Gordon (1965)
MAP and I.Q. scores as covariates and the Watkins-Farnum Performance Scale and
Colwell (1968) Music Achievement Test (MAT) as dependent measures. The results
showed no significant difference in either music comprehension or playing skill likely
due to the low number o f subjects. The researcher justified the use o f the I.Q. score as a
covariate by quoting Gordons assertion o f the positive relationship which exists
between academic aptitude and observed success in music (p. 63). Later, Gordon (1997)
wrote, There is virtually no relation between music aptitude and academic intelligence
(p. 16). Based on this assertion, the current study did not use an I.Q. test as a covariate.
W. T. W hitener (1980) investigated the effects o f a comprehensive musicianship
on beginning band students. He compared this approach to a performance-based method.
He found significant differences in measures o f interval, meter, major-minor mode, and
auditory-visual discrimination. All differences favored the experimental group. The
musical skills posttest revealed no difference between the control and experimental
groups. The implication is that a method utilizing comprehensive musicianship will help
51
students in musical knowledge areas and will not hurt their performance skills. The
researcher utilized a pretest-posttest design for the musical knowledge, but a posttest only
for the performance skills. He explained that a pretest in performance skills for absolute
beginners would not be possible. The current study also used a posttest-only design for
the same reason.
W. T. W hitener (1980) suggested that a possible interaction occurred due to the
teacher assignments to the treatment and control groups. In W hiteners study, three
teachers taught control groups and three different teachers taught treatment groups. The
design of the current study avoided this interaction by having each teacher teach both
Treatment Group A and Treatment Group B. Like the W. T. Whitener (1980) study, the
current study did not have the researcher teaching the groups in order to avoid
experimenter bias.
Alexander (1980) conducted an experimental study to examine the effects of
tutoring on both the tutees (n = 54) and the tutors (n = 48) in a beginning band setting,
using three suburban schools. One school served as the control group, not utilizing
tutoring. The other two schools employed the tutoring techniques. H alf o f the tutors,
randomly assigned, used an approval technique while the other half used a disapproval
technique. The researcher conducted the study for five weeks and tested the students for
musical performance. Alexander analyzed the data using one-way and two-way analyses
o f variance, as well as dependent t tests, and Newman-Keuls post-hoc tests. Results
showed that there was no significant difference between the control group and
experimental tutor group, indicating that being a tutor did not adversely affect the
52
students. Results also indicated a significant difference between the experimental and
control tutee groups with the experimental tutees performing at a higher level regardless
o f approvals or disapprovals. The current study did not examine the effects o f approval
on performance.
Brokaw (1982) investigated the relationship between parental supervision o f athome practice and musical performance in beginning instrumentalists. He used Froseths
(1970) Individualized Instructor as the method, which included instruction for parents
about how to supervise practice at home. Subjects (N = 25) were two intact beginning
band classes in an American elementary school on a military base in Japan. All students
received the treatment. The researcher was the teacher. Prior to treatment, Brokaw
administered the Gordon (1965) MAP and the Froseth (1973) How I Feel About Music
tests. After the ten-week treatment period, the researcher video-taped the students playing
five short researcher-written etudes. The etudes, designed to be pedagogically
appropriate, reflected both musical and technical-physical demands. Two experts, with
extensive experience working with beginning instrumental music students (p. 40) judged
the videos. The judges used a form developed by the researcher using a Likert-type scale
to rate the performance o f each o f five etudes. They rated two o f the etudes for
embouchure, hand position, instrument position, posture, and musical factors (p. 40).
They rated the other three for articulation, melody, rhythm, phrasing, and technicalphysical (p. 40).
Brokaw (1982) used Pearson product-moment correlations to determine the
relationships between student achievement and age, interest inventory scores, MAP
53
scores, minutes o f home practice, and minutes o f parent-supervised home practice. The
researcher also used a Spearman rank-order correlation test to examine the relationship
between achievement and practice time. He utilized an analysis o f variance (ANOVA) to
look for significant differences, and an ANOVA to examine the differences between
student achievement and percent o f time English is spoken at home and grade level.
The researcher established inter-judge reliability at the 0.89 level (p < .0001), and
established the stability o f the student performance criteria using a test-retest score. The
combined score was 0.85 (p < .0001). The Pearson product-moment correlation showed a
high correlation between supervised home practice and student achievement. High
skewness, however, forced the researcher to apply a Spearman rank-order correlation to
confirm these results. The researcher found significance for correlation between parental
supervision time and student achievement (p < .01).
Clearly, severe limitations exist in the Brokaw (1982) study due to experimental
design. The lack o f multiple experimental groups, the small number o f subjects, and the
researcher-as-teacher could have contributed to internal and external validity threats that
could have influenced the results. The researcher also compromised generalizability by
teaching the classes. Unlike Brokaw (1982), the current study used two treatment groups
and used teachers other than the researcher.
Weeks (1987) conducted an experimental study of the effectiveness o f computerassisted instruction on beginning trumpet students knowledge o f trumpet techniques and
performance achievement. He described the participants as forty-six students from four
suburban Massachusetts communities (p. 18). None o f the participants had played
54
trumpet prior to the study and the researcher divided students who had previous recorder
instruction equally between the groups. The author pretested students using the musical
exploration test (p. vi) to match and place students in the treatment and control groups.
Using an analysis o f covariance with practice time as the covariate, Weeks found a
significant difference, F ( l , 32) = 15.56, (p < .001), between the experimental and control
groups on the knowledge posttest. He did not find any significant difference on the
performance posttest, F ( l , 32) = 1.60, (p > .05).
Dunlap (1989) investigated the effects o f singing and solmization instruction on
the musical performance o f beginning band students. Using a random number table, he
assigned four intact classes o f fifth-grade band students to treatment and control groups.
Due to the use o f intact classes, the researcher compared student characteristics including
gender, instrument played, socioeconomic status, musical background, interest in musical
study, participation in musical activities during the study, and musical aptitude. Dunlap
found that both groups were similar in these respects; he also found attrition to have not
significantly affected the outcome o f the study. Seventy-eight o f the original ninety-two
students completed the study.
The independent variable in Dunlaps (1989) study was singing and solmization
instruction in the beginning band class. Students attended two 50-minute classes per
week for a 14-week treatment period. The treatment and control groups both received
beginning band instruction. In addition, the treatment group received the singing and
solmization instruction. Dunlap designed the instructional method from Froseths (1984)
55
The Comprehensive Music Instructor: Listen, Move, Sing, and Play. One instructor, who
was the students regular music teacher, taught the four classes.
The dependent variables were one pretest-posttest measure and four additional
posttests. The pretest-posttest measure was Stauffers (1985) Melodic Echo Test (MET).
The other posttest measures, including two designed by Froseth and the author, were the
Melodic Ear-to-Hand Coordination Test (MEHCT) and Test o f Melodic Reading
Recognition (TMRR), Dunlaps Instrument Performance Test (IPT) and Instrumental
Sight-Reading Test (ISRT).
The IPT, designed by Dunlap, was a performance by the student o f four etudes.
The student prepared two etudes independently and prepared the other two with
assistance from the instructor. Two experts on both technical and musical criteria
independently judged the videotaped performances. The technical criteria included:
posture, instrument position, hand position, embouchure, breathing/breath support, and
articulation. The musical criteria included: tone quality, intonation, consistency o f tempo,
rhythmic accuracy, melodic accuracy, and musical expression. Every students score
resulted from the sum o f the 12 scores for each etude. The researcher adapted the
percussion scoring to percussion techniques. Results showed there were no significant
differences between treatment and control groups on any o f the achievement tests. There
were correlations between vocal accuracy scores and: (a) melodic ear-to-hand
coordination, (b) melodic aural-visual discrimination, (c) musical aptitude, and (d)
instrument performance.
Dunlap (1989) analyzed MET posttest, MEHCT, TMRR, IPT, and ISRT results
for test reliability, inter-judge reliability, t test, and various analyses o f covariance.
Results showed stable test reliability and high judge agreement on all tests. T tests
showed no significant differences between control group means and treatment group
means on any o f the performance measures. Analysis o f covariance results for
achievement tests also showed no significant differences between group means after
adjusting for MET pretest scores, MAP composite scores, average weekly practice, or
piano background. Therefore, the singing and solmization instruction o f the treatment
group neither detracted from nor aided their musical performance scores.
S. N. Kelly (1993) investigated the effects o f conducting instruction on a variety
o f musical performance and knowledge measures. Results revealed that students in the
experimental group made a significant {p < .001) improvement over individuals in the
control group on rhythm reading. The researcher used him self and a replicator teacher
who also taught both the control and treatment groups in order to avoid bias. Instruction
took place for ten minutes, two to three days a week, for ten weeks. The Watkins-Farnum
Performance Scale was the dependant measure. Kelly selected beginning ensemble music
from The Yamaha Band Student (1988). The researcher selected judges from the music
faculty at a nearby university and from surrounding public schools. Judges rated
performance tests using a Likert-type instrument with 29 items. Kellys use o f a
replicator to conduct instruction is similar to the process used in the current study in that
researcher trained the three teachers to teach the researcher-designed treatments.
57
Gleason (1998) investigated the effect o f whole-music instruction, which he
defined as instruction in performance skill, comprehensive musicianship,
multiculturalism, and interdisciplinary material (p. 10), on sixth-grade beginning band
students knowledge of music history, music theory, general knowledge, and
performance skills. The researcher used whole-music instruction on the treatment group
(n = 67) and performance instruction only on the control group (n = 67). Gleason
assigned two bands at one school to control and experimental groups by a coin toss. The
study was a posttest only design as there was no way to pretest musical skills not present
at the outset. The band method used for the experimental groups was Pearsons Standard
o f Excellence (1993). The control groups used the same method without the supplemental
whole-music instruction. The data analysis included seven separate ANOVAs with the
treatment condition (control or treatment) as the independent variable. The researcher
found no significant difference in performance measures between the treatment group
and the control group. Results also showed no differences in music history, music theory,
or general knowledge. Results did show a significant difference in favor o f the control
group for self-esteem in musical ability (p < .005) and retention (p < .05). Results
indicated that whole-music instruction does not adversely affect performance.
Sehmann (1990) investigated the effects o f breath management techniques on the
performance o f elementary brass players. She based this study on an earlier study by
Phillips (1985) which investigated the effects o f breath-control training on teaching
children to sing. Phillips used a 2 x 3 factorial design with grade level and treatment as
the independent variables. He analyzed the data using pretest measures for physiological
58
attributes and performance scores as covariates in a multivariate analysis o f covariance
design and found that breath-control training significantly improved students singing
ability and had a significant effect in changing students from chest breathing to
abdominal breathing. Sehmann, using a similar design, developed a psychomotor
instructional sequence designed to improve beginning brass students use o f air during
performance. The first part o f the sequence included postural exercises to reduce muscle
tension during respiration and instruction on abdominal/diaphragmatic breathing. The
second part o f the sequence included breathing exercises designed to improve the
exhalation portion o f the breathing process. Sehmann included the sequence in the
appendix o f her study.
The duration o f Sehmanns (1990) study was 16 weeks; however, the teachers
only delivered treatment for ten o f the 16 weeks. The researcher gave the physiological
pretests during the first week. During the next five weeks, subjects received the breathing
instruction. The following four weeks, subjects prepared for a solo and ensemble contest
during which time they received no treatment instruction. The breathing instruction
resumed for the next five weeks followed by one week o f posttesting. The length o f the
treatment period was 10 weeks. The current study used two ten-week treatment periods
with one week of post testing following each treatment period.
The subjects of the Sehmann (1990) study were 64 brass students in five
elementary school band programs. Their grade levels ranged from fourth to sixth grade.
In addition to their full band class, the subjects received one 30-minute small-group
lesson per week for the duration o f the study. At the beginning o f the lesson, the
59
experimental group received five to seven minutes o f breathing instruction. The control
group continued to work from their method books without supplemental breathing
instruction. Sixty-one o f sixty-four subjects attended the minimum o f eight o f the ten
group lessons required to complete the study.
Sehmann (1990) randomly assigned subjects by instrument group in order to have
similar instrumentation in both control and experimental groups. Subjects included 34
trumpet students, 6 hom students, and 21 trombone/baritone students. There were no tuba
students enrolled in the grade levels tested. The researcher in the current study randomly
assigned intact classes to treatment groups by a coin toss.
Sehmann (1990) collected data using three physical measures o f breathing and
three performance measures. The physical measures included thoracic displacement,
abdominal displacement, and vital capacity. The performance measures included tone
quality, range, and duration. Elastic bands attached to a recording device wrapped around
the subjects chest and abdomen provided the data for the two displacement measures.
The researcher measured the lung capacity using a Respiradyne pulmonary function
monitor. Experts judged tone quality by watching and listening to a videotaped
performance o f an etude. The range test consisted o f a series o f scales with the highest
and lowest pitches achieved being recorded. The researcher then counted the half-steps
between the outer notes. The researcher determined the duration measure by timing how
long the subject could hold a pitch. In her study, the pitch was a concert B-flat a step
below middle C. In order to measure duration reliably, Sehmann required all students to
play the pitch at the same decibel level (> lOOdb).
60
The current study measured tone quality, duration, range, and vital capacity. Tone
quality and range measurement procedures followed the Sehmann (1990) study closely,
while duration and vital capacity differed slightly. In the Sehmann study, the trumpets
played a low C while the trombones played an upper Bb. Psychologically and
physiologically these are different notes for these instruments and could cause students to
approach playing them differently. Additionally, the back pressure o f the trumpet is
different than that o f the trombone, making inter-instrument comparisons spurious at
best. In the current study, instead o f all students playing the same concert pitch, students
playing each instrument type performed a given pitch in the middle o f the range for that
instrument. Using this technique, the researcher was able to compare like instruments
using a technique that did not require any student to play either relatively high or low on
their specific instrument for the duration test. In the current study the researcher used a
Buhl-type spirometer with a windmill mechanism to measure vital capacity, measuring
vital capacity for each subject three times, similar to the Sehmann study; however, unlike
Sehmann, the researcher took the maximum measurement o f the three trials as the
maximum vital capacity rather than the average o f the trials.
In the Sehmann (1990) study, interjudge reliability measures for all dependent
variables were between 0.85 and 0.99. The study was a 2 x 3 x 3 factorial design. The
independent variables were group (experimental and control), instrument (trumpet, hom,
and trombone/baritone), and grade (fourth, fifth, and sixth grade). The current study was
also a 2 x 3 factorial design. Independent variables included treatment and teacher.
61
Sehmann found no significant interactions. Results showed significantly greater
scores for the experimental group (p < .05) on measures for abdominal displacement,
range, and duration. In addition, regardless o f treatment, the hom group had significantly
greater duration scores than the other two instrument groups. The hom group had
significantly (p < .05) higher tone quality scores than the trombone group. There were no
significant differences between grade level groups.
These results suggest that breathing instmction can improve abdominal
displacement, duration, and range in elementary brass students. The instmction did not
lead to any improvement, however, for the variables o f tone quality, lung capacity or
thoracic displacement. Taylor (1968) notes that it is generally agreed that abdominal
displacement is required for proper brass performance. While the Sehmann study showed
that students can significantly improve abdominal displacement, it is surprising that vital
capacity did not improve as well. Perhaps the ability to effectively use ones lung
capacity takes more time to develop than the span o f this study. It is not surprising to find
that tone quality did not significantly improve. Better breathing by itself will not
overcome bad embouchures, poor instmment conditions, and poor sound concept by the
beginning student. Also the treatment time is too short for these factors to be overcome.
The researcher designed the current study to assess an approach for improving not only
breathing but also tone quality.
The Sehmann (1990) study served as the model for the current research, and the
other quantitative studies provide support for design choices made. While Groeling
(1975) used an I.Q. test as a pretest, Nobel (1971) questioned its validity. Gordon (1997)
62
stated that no relationship exists between I.Q. and success in music. The posttest only
design in Sehmann (1990) is supported by others (Noble, 1971; W. T. Whitener, 1980).
Several researchers used judging methodologies (Brokaw, 1982; Dunlap, 1989; S. N.
Kelly, 1993; Sehmann, 1990) similar to that used in the current study.
Summary o f Literature Review

Band methods available today are unanimous in their endorsement o f the M
approach to embouchure formation. Brass pedagogues are not as unified. In pedagogical
text books and trade articles, most continue to advocate for a closed approach for
embouchure formation while a smaller group suggests starting with an open approach.
The open embouchure idea is not new, as studies indicate that nineteenth-century
pedagogues espoused the virtues o f an open embouchure. Farkas (1956, 1962) described
in detail the purpose and effect o f such an embouchure. Some pedagogues point to a
difference between professional and beginners embouchures. Research seems to support
this. The current study sought to close the gap between the professional brass players
and the beginners embouchure. The body o f quantitative research on beginning
instrumental teaching provides several excellent models for experimental design. The
current study sought to emulate the best o f these studies and learn from their short
comings.
CHAPTER 3
METHODOLOGY
Brass pedagogues agree that fundamentals o f brass playing, such as breathing and
embouchure instruction, are critical in helping students develop the basics required to
play with a characteristic tone quality (Bailey et al., 1992; Colwell & Goolsby, 1992;
Dudgeon et ah, 1997; Farkas, 1956, 1962; Heiles, 2002; Hunt, 1978; Hunt & Bachelder,
1994; Johnson, 2002; Kleinhammer, 1963; Kohut, 1973; Laudermilch, 2002; Lychner,
2002; Orcutt & Buchtel, 1998; Pilafian & Sheridan, 2002; Rocco, 1997; Sanderman,
2004; Vernon & Wilson, 1997; S. Whitener, 1990). Nevertheless, these same pedagogues
do not agree on the approach to embouchure instruction. Two differing approaches
revealed in the literature review to teaching beginning brass players to produce a sound
exist. Some pedagogues advocate an open embouchure, one where the lips do not touch
in the center during sound production (Dudgeon et ah, 1997; Farkas, 1956, 1962; S.
Whitener, 1990). Others, including beginning band method book authors, advocate a
closed embouchure, where the student is instructed to form their lips as if saying the letter
M resulting in the center o f the lips touching during sound production (Bailey et ah,
1992; Colwell & Goolsby, 1992; Hunt, 1978; Hunt & Bachelder, 1994; Johnson, 2002;
Meyers, 1997). None o f the previous research studies found by this author investigated
brass embouchure approach and its effect on tone quality.
64
Brass performers and teachers have agreed that proper breathing technique is
critical to good brass performance (Bailey et al., 1992; Betts, 1984; Campbell, 2001;
Colwell & Goolsby, 1992; Dudgeon et al., 1997; Farkas, 1956, 1962; Hunt, 1978; Hunt &
Bachelder, 1994; K. Kelly, 1983; Kleinhammer, 1963; Kohut, 1973; Orcutt & Buchtel,
1998; Pilafian & Sheridan, 2002; Sehmann, 1990; Stufft, 1998; S. Whitener, 1990). Many
o f the authors above wrote brass pedagogy methods which included sections on how to
improve breathing performance for brass players. Pilafian and Sheridan (2002) developed
a comprehensive method, The Breathing Gym, for teaching breathing techniques to all
wind students. This method served as the basis for the breathing approach in the current
study. Sehmanns (1990) research on the effect o f breathing instruction on beginning
brass students physical and musical performance provided a model for the design o f the
current research.
This study was conducted in two phases. This design resulted as an effort to
compare two approaches o f breathing, buzzing, and embouchure instruction, as a means
for improving beginning band students vital capacity, tone quality, duration, and range.
Treatment Group A used an open-embouchure approach while Treatment Group B used a
closed-embouchure approach. Along with the embouchure approach, each group received
instruction in breathing techniques and buzzing exercises. During Phase 1, Treatment
Group A (the open-embouchure group) also received breathing and buzzing exercises
included in an approach designed by the researcher. All o f the breathing exercises in the
researcher-designed approaches were from Pilafian and Sheridans The Breathing Gym
(2002). Treatment Group B (the closed-embouchure group) received the breathing and
65
buzzing instruction included with their method book, Pearsons (1993) Standard o f
Excellence. During Phase 2, Treatment Group A continued with the open-embouchure
approach as well as the breathing and buzzing exercises. In an effort to isolate the
embouchure approach as an independent variable during Phase 2, Treatment Group B
continued with closed-embouchure instruction while adding the breathing and buzzing
exercises that Treatment Group A received. The current study used four dependent
measures o f brass performance (tone quality, duration, range, and vital capacity) to
determine the effect of the pedagogical approach.
Subjects
The subjects in this study were fourth-grade beginning brass students (N = 120 in
Phase 1, N = 112 in Phase 2) attending six suburban elementary schools in a large
southwestern school district. The researcher selected the participating schools, looking
for large band programs from similar geographic and socio-economic areas. Being the
Fine Arts Coordinator in this school district, he possessed an insight into these
characteristics and allowed him easy access to teachers and school campuses. Band
teachers in this school district teach at two schools. The researcher selected six programs,
two each from three teachers. For a summary table o f teachers and treatment groups
please see Appendix E. The teachers each had at least eight years o f experience in the
district. The students were in fourth grade and had not had previous brass instrument
instruction. Teachers questioned the students and any that indicated previous brass
instruction had their data excluded from the study. The researcher used a /-test to
66
compare initial vital capacity mean scores between treatment groups and results showed
that the students vital capacities were not significantly different by group (t = -.20,/? =
.84). The study used six intact groups o f students instructed by three teachers, two classes
per teacher. Each teacher taught the open approach to one class and the closed approach
to the other. The researcher used a coin toss to assign classes to Treatment A or
Treatment B. The use of random assignment o f intact groups is common in education
research.
Phase 1 o f the study lasted ten weeks during the fall semester o f 2004, and Phase
2 lasted ten weeks during the spring semester o f 2005 with the subjects receiving ten
weekly lessons during each phase. If a student failed to complete eight lessons they
continued to receive the instruction but the researcher excluded their data from the
analyses. The researcher asked each student to review and sign, with their parents, the
informed consent letter (Appendix F). Students received one o f the two treatments within
their normal, weekly band class in order to not disrupt their normal school routine and
unnecessarily emphasize their participation in a research study. At the beginning o f Phase
1, 148 students were enrolled in the six brass classes used in this study. Twenty-eight
students did not complete Phase 1 due to absence, leaving the band program or moving
from the district. O f the 120 students who began Phase 2, 8 did not complete it
Duration o f the Study

The study was conducted in two phases, each ten weeks long. Since beginning
band classes in this school district do not meet for several weeks at the beginning o f the
67
school year due to the administrative needs o f establishing beginning band classes, the
treatment period began at each school approximately three weeks after the start o f the
school year. Because o f this, instruction at each school did not start on the same day or
week; however, students at each school received ten weeks o f instruction during each
phase o f the study. Each brass class met for 45 minutes once per week. The teacher
taught the research instruction (Treatment A or B) at the beginning o f each class. The
researcher visited each class on at least two occasions during each phase to ensure the
approaches were being taught correctly. Data collection occurred on two occasions: after
Phase 1 and after Phase 2.
Instructional Procedures
The subjects received the open or closed-embouchure instruction during their 45minute class period each week for twenty weeks during this study. Both treatment groups
worked from their method book, Pearsons (1993) Standard o f Excellence. Each o f the
three teachers instructed one o f the treatment groups at each o f the two separate schools
assign to them. Treatment Group A consisted o f the beginning brass students in fourth
grade at one o f their schools and Treatment Group B were the beginning brass students at
their other school.
During Phase 1, Treatment Group A began each 45-minute brass class with the
prescribed treatment lesson (Appendix A) using an open-embouchure approach. This
treatment included breathing exercises taken from Pilafian and Sheridans The Breathing
Gym (2002). The researcher prescribed step-by-step lessons to each teacher (Appendix
68
A). Treatment Group B also started each lesson with breathing and buzzing as prescribed
by the method book, Standard o f Excellence (Pearson, 1993), and using the closed
embouchure approach.
The students regular band directors taught Treatment A at one o f two schools and
Treatment B at the other school. Two o f these teachers were trumpet players and the
other was a percussionist. These instructors attended a two-hour class on how to deliver
the approach. The researcher taught each lesson from the researcher designed treatments
(Appendices A, B, & C) and assessed the teachers for comprehension. The teachers
demonstrated a clear understanding o f the approach by teaching the treatment lessons to
each other. The researcher observed, during Phase 1 and Phase 2, the instructional
sessions in both treatment groups to ensure the approaches were being taught properly.
The researcher instructed the teachers how to deliver those exercises taken from The
Breathing Gym (Pilafian & Sheridan, 2002), which were included in the researcherdesigned approaches (Appendices A, B, & C). While the researcher provided each
teacher with The Breathing Gym book and DVD, he did not provide any instruction on
how to teach any exercises not contained in the current study. Neither the researcher, nor
the teachers made any effort to deliver the complete method contained in The Breathing
Gym.
Treatment Group A followed the researcher-designed approach which included
breathing exercises from Pilafian and Sheridans (2002) The Breathing Gym, as well as
embouchure development, and buzzing exercises found in Appendices A and B. They
used Appendix A during Phase 1 and Appendix B during Phase 2. The researcher adapted
69
these exercises from The Breathing Gym to address young students psychomotor
breathing processes as they relate to the playing o f wind instruments, which included
stretches, flow studies, and strength and flexibility exercises. These were necessary
during all parts o f the study; therefore, they were a part o f the approach from beginning
to end. As the instruction continued the students became more proficient at these
exercises. Subsequently, the teachers added additional tone building and flexibility
exercises, included long tones, lip slurs and buzzing.
During Phase 1, Treatment Group B worked only out o f their method book,
Pearsons (1993) Standard o f Excellence, which utilizes a closed approach to
embouchure formation. This method included posture and embouchure formation
instruction on page 3 of the student book. The teachers edition included exercises in
breathing and buzzing instruction used to teach Treatment Group B during Phase 1. The
three teachers each had more than five years o f experience delivering the instruction from
Standard o f Excellence and did not require, nor did they receive, any further instruction
from that band method book. During Phase 2, Treatment Group B used the researcherdesigned approach for breathing and buzzing found in Appendix C. This approach is
identical to Appendix B except that the embouchure formation was a closed-embouchure
approach rather than the open approach found in Appendix B. The researcher instructed
the teachers to listen for the tonal characteristics o f each type o f embouchure; however,
the researcher did not ask the teachers to make any effort to visually confirm whether a
student was playing with an open or closed embouchure (e.g. with a visualizer or
transparent mouthpiece).
70
Data Collection
The researcher collected four posttest measures o f performance (vital capacity,
duration, tone quality, and range) at each site during band class after each phase. The
researcher analyzed all data after the conclusion o f Phase 2. The subjects performed the
tests individually in a practice room at their respective elementary schools with the
students band director also present. In order to ensure the reliability o f the measure o f
tone quality, the researcher verified that each testing site was similar acoustically by
recording himself playing an excerpt using the same microphone and setup that would be
used in the study. He listened to these recordings using the same playback equipment that
the judges would listen to during the evaluation. The researcher also ensured the rooms in
which recordings were made were physically similar. Specifically, he chose small rooms
with low ceilings and cluttered walls in order to reduce reverberation as much as
possible.
The first test, a measure o f vital capacity, used a spirometer, a Spiropet
manufactured by Nihon Medical Instruments Co., Ltd. which is a windmill instrument.
Students inhaled as completely as possible and blew into the spirometer. The students had
three opportunities to blow into the spirometer. The researcher recorded all three attempts
and used the highest measurement, recorded in milliliters, as the vital capacity score
(Appendix G).
The second test measured the students range. The researcher asked each student
to play a starting pitch (G4 for trumpets, F3 for trombones and baritones, and F2 for
tubas). If a student could not play the requested pitch, the researcher allowed them to start
71
from whichever pitch they could play. Then he asked each student to play downward
diatonically or by half-steps, depending on each students ability, until the student
reached his lowest note. Next, the researcher instructed each student to return to the
starting pitch and play upward using the same method until they played their highest
note. All students practiced this procedure with their teacher during the study. The test o f
range was not in tempo, but simply a measure o f how high and low they could play.
Students had as many chances as they felt they needed in order to play the notes. The
assessment ended when the student and tester agreed that the highest and lowest note had
been reached. The interval between the two notes served as the measured range
(Appendix H).
The third measure consisted o f a duration test. Students held a concert F pitch (G4
for trumpets, F3 for trombones and baritones, and F2 for tubas); the horn students played
a concert C pitch (G4). All o f these notes rest comfortably in the middle o f the playing
register for all o f the brass instruments. The researcher used a stopwatch to time the trials.
The elapsed time from the beginning o f the note to the moment they dropped below the
required decibel level was their score on the duration test. The researcher encouraged the
students to look at a decibel meter (RadioShack 33-2055) placed 3 feet away. They
needed to hold the pitch above a level o f 90 dB for the entire duration o f the test. As soon
as they dropped below 90 dB the test was over. Students made three attempts; each
students longest trial counted as the score for that student (Appendix I).
The last dependent variable collected was tone quality. The recorded etude was
selected from their method book (#23, Merrily We Roll Along). Prior to the beginning o f
72
the test sequence, the teacher led his students as a group in a warm-up which included the
etude. All students learned this etude previously during their band class. During the test,
the researcher gave the students a chance to play the etude through once more before
recording. He encouraged the students to play the etude slowly so that they would not be
hindered by technique and so that they could focus on producing their best tone quality.
The researcher recorded the etude and burned the recording directly to a digital
compact disc (CDR) using a professional portable CD recorder (Marantz CDR300/U1B)
and a stereo condenser microphone (Rode NT4). The microphone had a frequency
response o f 20 Hz - 20 kHz and used a 90 degree XY configuration.
A three-judge panel evaluated the recordings o f each student playing an etude.
The judges were expert brass players and scored each subjects tone quality using a
Likert-type scale from 1 to 5, resulting in a cumulative score with a possible range from 3
(lowest) to 15 (highest). They received instruction on how to evaluate tone quality
reliably by listening to examples and using a rubric (Appendix J). During the instruction
the judges informally discussed results prior to the actual scoring to ensure understanding
o f the rubric. Once the evaluation started, the researcher played the student recordings in
a random order. The researcher confirmed an acceptable inteijudge reliability by
calculating a Pearson correlation between judges scores on the tone quality measure. The
students score was the sum o f the three judges scores.
73
Design and Analysis
The study was a posttest-only design. Campbell and Stanley (1963) support this,
stating, in the primary grades, we must frequently experiment with methods for the
initial introduction of entirely new subject matter, for which pretests in the ordinary sense
are impossible (p. 25). The independent variables, embouchure approach (Treatment
Group A and B) and teacher (three teachers) comprised a 2 x 3 factorial design. At the
conclusion of each phase, the researcher collected results from four dependent
variables tone quality, range, duration, and vital capacity. The researcher subjected all
four dependent variables from Phase 1 to Multivariate Analysis o f Variance (MANOVA).
Additionally, the researcher subjected the tone quality scores from Phase 2 to ANOVA
analysis. Following each phase, the researcher subjected data from all four dependent
variables to correlation and regression analysis. The researcher completed all statistical
procedures using SPSS 10.0 statistical software on a personal computer.
Internal and External Validity

Campbell and Stanley (1963) state that a posttest-only design controls for all
internal threats to validity. The use o f two treatment groups allows for control o f the
threats from mortality and maturation because both groups are affected equally. The
threat from testing due to the students recording the same etude at the conclusion o f each
phase is mitigated by the use o f two randomly assigned treatment groups. The design of
the study controlled for a regression threat because the study included all fourth-grade
74
brass students and the researcher did not select any o f the groups in the study due to
extreme performance achievement.
By randomly assigning intact classes in different treatment groups, the researcher
mitigated the threat o f selection and mortality even though he did not randomly select or
assign individual students. Using intact classes taught by their regular band teachers
controlled for the threat o f experimenter bias.
The design also controlled for external validity threats including interactions
between testing and treatment, selection and treatment, and reactive agents. The
researcher gave no pretest for performance measures, preventing any interaction between
testing and treatment. The researcher did not select the students for the experiment for
any reason other than they were in beginning band, thus preventing any selection
interaction. The design o f the study controlled for reactivity because neither group knew
if they were in a study. There was a chance that the students discussed their class
instruction with an older sibling or among themselves, but that chance was remote and
unlikely to cause any history threat.
Instrumentation was another possible threat to validity. The judges evaluated tone
quality for 232 etudes played by beginning brass students over a 2-hour period. This
could produce inconsistencies in scoring depending on when, during the session, the
judges heard the etude. The researcher attempted to control for this by randomizing the
order o f the students recordings. Any inconsistencies in judging affected both treatment
groups scores equally. The judges took a 10 minute break in the middle o f the
evaluation.
CHAPTER 4
RESULTS
The present study, conducted in two 10-week phases, investigated the effects o f
breathing, buzzing, and embouchure formation on the vital capacity, range, duration, and
tone quality of fourth-grade beginning brass students. Phase 1 took place during the fall
semester and included students in six intact groups. Three teachers each taught two
groups o f beginning brass students at two different schools. Each teacher taught one class
included in Treatment Group A and one in Treatment Group B. During Phase 1 the
students in Treatment Group A used a researcher-designed approach (Appendix A) which
included breathing from Pilafian and Sheridans The Breathing Gym (2002), buzzing, and
open-embouchure formation exercises. While both groups played etudes from their
method book, Standard o f Excellence (Pearson, 1993) Treatment Group B received brief
breathing, buzzing, and closed-embouchure formation instruction from their regular
method book. At the conclusion o f Phase 1, the researcher tested all students for vital
capacity, duration, range, and tone quality.
During Phase 2, Treatment Group A continued using the researcher-designed
approach (Appendix B) which was a continuation o f the breathing, buzzing, and openembouchure exercises found in Appendix A. Treatment Group B now worked from the
same researcher-designed approach that Treatment Group A used except their teacher
instructed them to use a closed-embouchure approach (Appendix C). Both groups
continued to played etudes from their regular method book, Standard o f Excellence
76
(Pearson, 1993). Everything in Phase 2 instruction was identical except embouchure
approach. At the conclusion o f Phase 2, the researcher recorded the students playing an
etude.
This chapter includes the results o f the data analyses. The analyses include
descriptive statistics, MANOVA and ANOVA tests, correlations, and regression
analyses.
Analytical Procedures
The researcher chose to use a MANOVA test to analyze the data obtained in
Phase 1. Independent variables included teacher (1,2, and 3) and treatment group (A and
B). Dependent variables included vital capacity (in milliliters), duration (in seconds),
range (interval in half-steps), and tone quality judged by three expert brass players using
a Likert-type scale from 1 to 5, resulting in a cumulative score with a possible range from
3 (lowest) to 15 (highest). In Phase 2, the researcher analyzed the data using an ANOVA
test with tone quality as the dependent variable and teacher and treatment group as the
independent variables.
At the conclusion o f each phase, the researcher conducted a regression analysis
using tone quality as the dependant variable and vital capacity, duration, and range as the
predictors. This analysis included a correlation matrix between the four dependent
variables.
77
Phase 1 Results
At the conclusion o f the study, a three-judge panel o f brass experts scored each
recorded etude for tone quality. The researcher conducted a brief training with the judges
on how to use the scoring rubric (Appendix J). The researcher calculated a coefficient
alpha for the interjudge reliability rating. The result is presented in Table 1 indicates
acceptable reliability.
Table 1
Interjudge Reliability fo r Tone Quality Rating
Source
Items
Judges
Interjudge Reliability
.90
228
Phase 1 Descriptive Statistics

At the conclusion o f Phase 1, the researcher tested the students for range,
duration, vital capacity, and tone quality. Tables 2, 3, 4, and 5 present the mean scores by
group and teacher for each o f the four dependent variables at the conclusion o f Phase 1.
78
Table 2
Mean Range Interval by Teacher and Treatment Group in Half-Steps in Phase 1
Treatment
group
M
N
SD
Source
Teacher 1
Teacher 2
Teacher 3
Total
16.87
15
7.62
14.67
12
5.40
Total
15.89
27
6.70
16.79
29
5.12
12.70
23
4.82
Total
14.98
52
5.35
18.44
18
6.45
16.30
23
5.30
Total
17.24
41
5.86
17.29
62
6.13
14.53
58
5.30
Total
15.96
120
5.88
79
Table 3
Mean Duration by Teacher and Treatment Group in Seconds in Phase 1
Treatment
SD
Source
group
M
N
Teacher 1
Teacher 2
Teacher 3
Total
12.60
15
5.74
11.58
12
4.03
Total
12.15
27
4.99
10.31
29
3.40
12.04
23
5.70
Total
11.08
52
4.60
12.44
18
3.94
12.43
23
4.08
Total
12.44
41
3.97
11.48
62
4.30
12.10
58
4.71
Total
11.78
120
4.49
80
Table 4
Mean Vital Capacity by Teacher and Treatment Group in Milliliters in Phase 1
Treatment
group
M
N
SD
Source
Teacher 1
Teacher 2
Teacher 3
Total
1963.33
15
399.76
1950.00
12
322.63
Total
1957.41
27
360.74
1898.28
29
271.73
1843.48
23
321.33
Total
1874.04
52
292.97
1633.33
18
282.32
2095.65
23
467.32
Total
1892.68
41
456.01
1837.10
62
332.76
1965.52
58
396.39
Total
1899.17
120
369.02
81
Table 5
Mean Tone Quality Score by Teacher and Treatment Group in Phase 1
Treatment
M
Source
group
N
Teacher 1
Teacher 2
Teacher 3
Total
SD
5.93
15
2.09
7.25
12
2.63
Total
6.52
27
2.39
6.28
29
2.94
6.87
23
2.28
Total
6.54
52
2.66
7.22
18
2.02
7.43
23
2.21
Total
7.34
41
2.10
6.47
62
2.52
7.17
58
2.30
Total
6.81
120
2.43
82
Phase 1 Multivariate Analysis o f Variance
The summary of the multivariate analyses o f variance for the main effects of
group and teacher and for the group by teacher interaction on vital capacity, duration,
range, and tone quality is found in Tables 6 and 7. Research questions 1, 2, and 3 refer to
the information presented in Tables 6 and 7. The MANOVA statistic in Table 6 is W ilks
Lambda. The current study used an alpha level o f .05 for rejecting null hypotheses;
however, the multiple ANOVAs require the use o f the Bonferroni technique to adjust the
alpha level (.05 divided by 4 = .0125, .01 divided by 4 = .0025).
Table 8 presents a post-hoc comparison o f vital capacity means scores for all
groups by teacher and treatment. The researcher made the comparison by making cellwise multiple comparisons using a Tukey honestly significant difference (HSD)
calculation.
Table 6
MANOVA Test fo r Vital Capacity Gain, Range, Duration, and Tone Quality by Treatment
Group and Teacher in Phase 1
Source
df
Treatment group
3.95**
.01
Teacher
1.04
.41
Treatment x teacher
2.60**
.01
* * p < . 01
Note. W ilks Lambda calculated for MANOVA
83
Table 7
Summary o f ANOVA Tests fo r Vital Capacity, Range, Duration, and Tone Quality by
Treatment Group and Teacher in Phase 1
Dependent
F
Source
Variable
MS
df
P
3.90
.05
6.70*
.01
1.53
.08
.78
13.78
2.34
.13
Vital Capacity
81549.32
.67
.51
Range
78.35
2.41
.09
Duration
19.35
.96
.39
Tone
7.47
1.27
.29
Treatment
Vital Capacity
845053.48
6.94*
.00
x Teacher
Range
13.59
.42
.66
Duration
18.73
.92
.40
Tone
2.46
.42
.66
Vital Capacity
114
121761.70
Range
114
32.50
Duration
114
20.26
Tone
114
5.88
Treatment
Teacher
Error
Vital Capacity
475188.25
Range
217.72
Duration
Tone
* p < .0125 adjusted by the Bonferroni adjustment technique (.05 divided by 4)
Table 8
Post-Hoc Comparison o f Vital Capacity Interaction during Phase 1 Using Tukey HSD
Teacher 1
Treatment A
Teacher 1
Treatment A
Teacher
Treatment A
Teacher 2
Treatment B
Teacher
Treatment A
Teacher 3
Treatment B
.17
(d f= 25)
.82
( # = 42)
1.52
( # = 36)
4.18*
(# = 3 1 )
-1.68
(# = 3 6 )
.66
(df= 39)
1.35
( # = 33)
4.01
(# = 2 8 )
-1.84
(# = 3 3 )
Teacher 2
Treatment A
.69
( # = 50)
3.36
( # = 45)
-2.50
(# = 5 0 )
Teacher 2
Treatment B
2.66
( # = 39)
-3.19
( # = 44)
-5.86**
(# = 3 9 )
Teacher 1
Treatment B
Teacher 3
Treatment A
Teacher 1
Treatment B
Teacher 3
Treatment B
* p < .05
*V<.oi
oo
85
Research Question 1. At the conclusion o f Phase 1, does Treatment Group A (openembouchure approach with breathing and buzzing) perform better on measures o f tone
quality, range, duration, and vital capacity than Treatment Group B (closed-embouchure
approach)? The results o f the MANOVA and subsequent ANOVA indicate that the mean
range interval for Treatment Group A (17.29) was significantly greater than the mean
range interval for Treatment Group B (14.53).
Research Question 2. At the conclusion o f Phase 1, do students taught by different
teachers perform better on measures o f tone quality, range, duration, and vital capacity?
The results o f the MANOVA show no significant differences.
Research Question 3. At the conclusion o f Phase 1, does Treatment Group A (openembouchure approach with breathing and buzzing) perform better on measures o f tone
quality, range, duration, and vital capacity than Treatment Group B (closed-embouchure
approach) when examining groups by teacher? The results o f the MANOVA and
subsequent ANOVA showed a significant interaction between teacher and treatment
group on vital capacity scores (see Table 4). Mean vital capacity scores for Teacher 3,
Treatment Group A were significantly lower than Teacher 3, Treatment Group B and
Teacher 1, Treatment Group A (see Table 8).
Phase 1 Correlation and Regression Analysis

The fourth research question refers to the relationship between the dependent
variables. Specifically, how much do three dependent variables (range, duration, and vital
capacity) contribute to the variance in tone quality for all students at the conclusion of
86
Phase 1? Table 9 presents a correlation matrix o f the four dependent variables. Tables 10,
11, and 12 present the results o f a regression analysis using tone quality as the dependent
variable and duration, range, and vital capacity as the predictor variables. Data are from
all students who completed Phase 1 o f the study (N = 120).
Table 9
Correlation o f Vital Capacity, Duration, Range, and Tone Quality Scores at the
Conclusion o f Phase 1
Vital
Tone
Source
Capacity
Duration
Range
Quality
Vital Capacity
.29**
.08
.15
Duration
.19*
.35**
.24**
Range
Tone Quality
* p < .05
** p < .01
Table 10
Phase 1 Regression Model Summary
Model
R2
Adjusted
R2
Standard Error
o f the Estimate
.40
.16
.14
2.26
Note. Predictors: (constant), Duration, Range, Vital Capacity. Dependant Variable: Tone Quality
87
Table 11
Phase 1 Regression Analysis o f Variance
Sum o f
Source
Squares
df
MS
121
.00**
Regression
111.51
37.17
Residual
593.08
116
5.11
Total
704.59
119
N ote. Predictors: (constant), Duration, Range, Vital Capacity. Dependant Variable: Tone Quality
**p<.01
Table 12
Phase 1 Regression Coefficients
Unstandardized
B
SE
3.08
1.20
Duration
.17
.05
Range
.07
Vital Capacity
.00
Source
(Constant)
Standardized
T
2.57
.01
.31
3.37
.00
.04
.18
2.04
.04
.00
.05
.55
.58
Note. Dependant Variable: Tone Quality
Research Question 4. At the conclusion o f Phase 1, which o f the following variables,

vital capacity, duration, and range, contribute most to the variance found in tone quality
for all students? The correlations matrix in Table 9 shows significant correlations
between tone quality and both duration and range. Furthermore, it indicates a significant
88
correlation between duration and both range and vital capacity. The only two pairs o f
dependent variables that are not significantly correlated are vital capacity and range and
vital capacity and tone quality. Further investigation through regression analysis indicates
that a moderate percentage o f the variance in tone quality is explained by the predictor
variables: duration, range, and vital capacity (AR2 = .14). Duration had the greatest
predictive value ((3 = .31, T= 3.37,/? < .01). Range also had significant predictive value
(P = .18, T= 2.04, p < .05). Vital capacity was not significantly predictive o f tone quality.
Phase 2 Results
During Phase 2 both treatment groups worked from the same researcher-designed
breathing and buzzing practice. Treatment Group A continued to use an openembouchure approach (Appendix B) while Treatment Group B continued to use the
closed-embouchure approach (Appendix C).
Phase 2 Descriptive Statistics

Table 13 presents the mean scores by group and teacher for the dependent
variable tone quality at the conclusion o f Phase 2. A three-judge panel o f expert brass
pedagogues evaluated each recording on a five-point Likert-type scale. The researcher
added the scores together for a possible range o f 3 to 15, with 15 being the best tone
quality.
89
Table 13
Mean Tone Quality by Treatment Group and Teacher in Phase 2
Treatment
Teacher
group
M
N
SD
Teacher 1
Teacher 2
Teacher 3
Total
7.31
13
2.32
7.40
10
2.95
Total
7.35
23
2.55
7.43
28
2.75
7.48
23
1.81
Total
7.45
51
2.35
7.29
17
2.26
8.71
21
1.59
Total
8.08
38
2.02
7.36
58
2.48
7.94
54
2.04
Total
7.64
112
2.29
Phase 2 Univariate Analysis o f Variance

Table 14 presents results o f a two-way analysis o f variance for tone quality by
treatment group and teacher.
90
Table 14
Analysis o f Variance fo r Tone Quality in Phase 2
Source
df
MS
Treatment
6.73
1.29
.26
Teacher
4.28
.82
.44
Treatment x Teacher
5.72
1.10
.34
106
4.20
Error
Research Question 5. At the conclusion o f Phase 2, does Treatment Group A (openembouchure approach with breathing and buzzing) perform better on a measure o f tone
quality than Treatment Group B (closed-embouchure approach with breathing and
buzzing)? ANOVA results showed no significant findings for the main effect o f treatment
group for tone quality scores.
Research Question 6. At the conclusion o f Phase 2, do students taught by different
teachers perform better on a measure o f tone quality performance? ANOVA results
showed no significant findings for the main effect o f teacher for tone quality scores.
Research Question 7. At the conclusion o f Phase 2, does Treatment Group A (openembouchure approach with breathing and buzzing) perform better on a measure o f tone
quality than Treatment Group B (closed-embouchure approach with breathing and
buzzing) when examining groups by teacher? ANOVA results showed no significant
interaction between teacher and treatment group for the scores o f the dependent variable
tone quality.
91
Phase 2 Correlation and Regression Analysis
The eighth research question refers to the relationship between the dependent
variables. Specifically, how does the tone quality measure relate to the other three
dependent variables for all students at the conclusion o f Phase 2? Table 15 presents a
correlation matrix of the four dependent variables measured at the conclusion o f Phase 2.
Tables 16, 17, and 18 present the results o f a regression analysis using tone quality as the
dependent variable and duration, range, and vital capacity as the predictor variables. Data
are from all students who completed Phase 2 o f the study (N = 112).
Table 15
Correlation o f Vital Capacity, Duration, Range, and Tone Quality Scores at the
Conclusion o f Phase 2
Vital
Tone
Source
Capacity
Duration
Range
Quality
Vital Capacity
Duration
Range
Tone Quality
.25**
.17
.07
.37**
.29**
* * p < .01
92
Table 16
Phase 2 Regression Model Summary
Model
R2
Adjusted
R2
.51
.26
.24
Standard Error
o f the Estimate
2.00
Note. Predictors: (constant), Duration, Range, Vital Capacity. D ependant Variable: Tone Quality
Table 17
Phase 2 Regression Analysis o f Variance
Sum of
Squares
Source
df
MS
12.43
.00**
Regression
149.34
49.78
Residual
432.38
108
4.00
Total
581.71
111
Note. Predictors: (constant), Duration, Range, Vital Capacity. Dependant Variable: Tone Quality
** p < .01
93
Table 18
Phase 2 Regression Coefficients
Unstandardized
3.19
.00
.13
1.47
.15
.04
.45
5.01
.00
.00
-.04
-.48
.63
SE
3.56
1.12
Duration
.06
.04
Range
.19
Vital Capacity
.00
Source
(Constant)
Standardized
Note. Dependant Variable: Tone Quality
Research Question 8. At the conclusion o f Phase 2, which o f the following variables:

vital capacity, duration, and range, contribute most to the variance found in tone quality
for all students? The correlation matrix in Table 15 shows significant correlations
between tone quality and both duration and range. Furthermore, it indicates a significant
correlation between duration and both range and vital capacity. The only two pairs o f
dependent variables that are not significantly correlated are vital capacity and range and
vital capacity and tone quality. Further investigation through regression analysis indicates
that a moderate percentage o f the variance in tone quality is explained by the predictor
variables: duration, range, and vital capacity (AR = .24). Range had a significant
predictive value (P = .45, T= 5.01,/? < .01). Neither duration nor vital capacity was
significantly predictive o f tone quality.
94
Summary o f Results
Based on the results o f the multivariate, univariate, and regression analyses
conducted on the dependent performance measures, the findings o f this study were:
1. The effects of the breathing, buzzing, and embouchure formation instruction were
significant for the dependent variable o f range in favor o f Treatment Group A
(open embouchure, Appendix A) during Phase 1.
2. The effects of different teachers instruction on the performance o f range,
duration, vital capacity and tone quality was not significant during Phase 1.
3. There was a significant interaction between teacher and treatment group on the
measure o f vital capacity during Phase 1.
4. Regression analysis showed that duration and range were significant predictors of
tone quality scores at the conclusion o f Phase 1 for all students.
5. The effects of the breathing, buzzing, and embouchure formation instruction on
the dependent variable o f tone quality were not significant during Phase 2.
6. The effects of different teachers instruction on the performance o f tone quality
were not significant during Phase 2.
7. There were no significant interactions between treatment and teacher on the
performance o f tone quality during Phase 2.
8. Regression analysis showed that range was a significant predictor o f tone quality
scores at the conclusion o f Phase 2 for all students.
CHAPTER 5
SUMMARY, CONCLUSIONS, DISCUSSION, AND RECOMMENDATIONS
The present study investigated the effects o f embouchure, breathing, and buzzing
instruction on the range, duration, tone quality, and vital capacity o f elementary brass
players performance. The study included two phases, consisting o f ten weekly lessons
with Phase 1 at the beginning o f the fall semester and Phase 2 at the beginning o f the
spring semester o f the fourth grade. During Phase 1, Treatment Group A received
embouchure formation instruction utilizing an open-embouchure approach, as well as
breathing and buzzing exercises (Appendix A) based on Pilafian and Sheridans (2002)
The Breathing Gym. Treatment Group B received embouchure formation instruction
utilizing a closed-embouchure approach, and brief breathing and buzzing exercises from
their regular method book. Both groups played etudes from the regular method book as
well. The regular band teacher taught all students during the study.
During Phase 2, the students in Treatment Group A continued to receive the same
breathing, buzzing, and open-embouchure formation instruction (Appendix B). Treatment
Group B continued with the closed-embouchure formation instruction while now
receiving the same breathing and buzzing exercises as Treatment Group A (Appendix C).
The study included fourth-grade brass students in six elementary schools. Three
band teachers each taught intact groups at two schools, for a total o f six groups. The use
o f random assignment o f intact groups is common in education research. The researcher
randomly assigned each fourth grade brass class to either Treatment Group A or
96
Treatment Group B; all teachers taught one o f each treatment group. Twenty-eight
students did not complete Phase 1 due to absence, leaving the band program, or moving
from the district. O f the 120 students that began Phase 2, 8 did not complete it.
At the completion o f Phase 1, the researcher measured the students for vital
capacity, range, duration, and tone quality. At the completion o f Phase 2 the researcher
measured the students for tone quality. In order to take the vital capacity measurement
students exhaled completely into a spirometer three times. The largest reading was their
vital capacity score. The researcher determined the range score by asking each student to
play successively higher and then lower notes until the highest and lowest playable notes
could be found. The range measurement was the intervallic distance between the two
pitches in half-steps. The researcher then asked the students to play and hold a note as
long as possible. The students held the pitch at or above 90 dB. The students did this
three times with the longest duration in seconds used as their score.
The design of this study was a 2 x 3 factorial design. The two independent
variables were treatment group (A and B) and Teacher (1, 2, and 3). The researcher
analyzed the data from Phase 1 using multivariate analysis o f variance. The dependent
variables in Phase 1 were tone quality, duration (in seconds), range (in half-steps), and
vital capacity (in milliliters). In phase two the researcher analyzed the data using
univariate analysis o f variance. The dependent variable in Phase 2 was tone quality. In
addition, at the end o f each phase the researcher analyzed the four dependent variables
using correlation and regression analysis.
97
In Phase 1 the results for main effects showed that Treatment Group A had
significantly greater scores than Treatment Group B (p < .01) on the performance
measure for range. There was a significant interaction between teacher and treatment
group on the vital capacity score. The correlation at the conclusion o f Phase 1 showed
significant correlations between the performance measures for tone quality and range (p <
.01), and tone quality and duration (p < .01) but not for tone quality and vital capacity.
Additionally the measure for duration was significantly correlated with both range (p <
.05) and vital capacity (p < .01). The researcher further analyzed the data using regression
analysis which showed both duration and range to have significant predictive value for
the tone quality variable.
In Phase 2 there was no significant difference for the main effects o f treatment or
teacher for the performance measure for tone quality. There was also no significant
interaction between teacher and treatment group on the tone quality score. The
correlation at the conclusion o f Phase 2 showed significant correlations between the
performance measures for tone quality and range (p < .01), and tone quality and duration
(p < .01) but not for tone quality and vital capacity. Additionally the measure for duration
correlated significantly with both range (p < .01) and vital capacity (p < .01). The
researcher further analyzed the data using regression analysis which showed only range
to have significant predictive value for the tone quality variable. Neither vital capacity
nor duration was significantly predictive o f tone quality.
98
Conclusions
The results o f this study show that breathing, buzzing, and embouchure
development instruction (using an open-embouchure approach) may improve playing
range in beginning brass students. Treatment group main effects were significant at the
conclusion o f Phase 1 for the range variable for this group o f fourth-grade beginning
brass students. This result seems to support the idea that breathing and buzzing practice
can improve brass performance in beginning students (Sehmann, 1990). The result also
favors the open-embouchure approach advocated by other pedagogues (Dudgeon et al.,
1997; Farkas, 1956, 1962; Whitener, 1990). The absence o f any other significant main
effects in Phase 1 may indicate a lack o f any detrimental effect on tone quality, duration,
and vital capacity due to breathing, buzzing and embouchure development instruction
using an open-embouchure approach for beginners. The results o f the correlation and
regression at the conclusion of Phase 1 indicate that duration and range have a significant
positive correlation and predictive value on the tone quality measure.
When breathing, buzzing, and embouchure formation instruction was added to
Treatment Group B in Phase 2 o f the current study, results showed no significant main
effects for tone quality. This may, however, also indicate the lack o f detrimental effects
on tone quality due to the open or closed approach to embouchure formation. The results
of the correlation analysis at the conclusion o f Phase 2 also showed significant
correlation between tone quality and duration and range. The regression analysis showed
that only range had predictive value for the variable tone quality.
99
Discussion
Sehmann (1990) found breathing instruction to have a significant positive effect
on breathing and performance measures. She did not, however, find any significance for
tone quality. During the first phase o f this study, students in Treatment Group A received
intensive breathing, buzzing, and open-embouchure formation instruction, as well as
playing out o f their method book. The students in Treatment Group B played only out of
their book and received breathing, buzzing, and embouchure instruction (M approach)
included in their method book. At the conclusion o f the first ten weeks o f instruction
those students who received the extra breathing and buzzing and who received instruction
to play with an open embouchure had a significantly greater playing range. The
researcher expected this result. The lack o f significance in duration was unexpected.
Sehmann (1990) found that breath management instruction led to significantly improved
range and duration. The finding that breathing, buzzing, and embouchure formation did
not significantly effect tone quality supports what Sehmann (1990) found, that breathing
instruction did not have a significant effect on the tone quality o f elementary brass
players.
The primary focus o f this study was the effect o f instruction using an openembouchure approach on tone quality. The design o f the study required the teachers to
listen for the tonal characteristics o f an open or closed embouchure. Neither the teachers
nor the researcher in the current study made any effort to visually confirm whether the
students were actually playing with open or closed embouchures. While such a
confirmation is possible using a mouthpiece visualizer or a transparent mouthpiece, it is
100
not a common practice and was not part o f the design o f the current study. The
approaches in the current study relied on the auditory skill o f the teachers to diagnose
embouchure formation issues.
It is interesting to note that the mean tone quality score at the conclusion o f Phase
1 was higher in Treatment Group B, the group that had the closed-embouchure approach
and did not have the breathing or buzzing exercises. This seems to support all o f the
method book authors who choose to focus the beginning of instruction on playing rather
than intensive breathing and buzzing. The closed embouchure may actually help the
youngest players to more easily make a note speak. This ease o f performance may make
the closed embouchure a useful tool in the first few weeks o f instruction.
During Phase 2 both groups received equal breathing and buzzing time. The only
difference was the embouchure formation instruction. It is interesting to note that for two
o f the teachers the open-embouchure group had higher tone quality than the closed group.
Perhaps the open-embouchure students were catching up with their fellow students in
tone quality. In raw tone quality score, however, the closed-embouchure group had
consistently higher means than the open-embouchure group. The students instructed to
use the closed embouchure were judged to have played with better tone quality (although
not significantly). The researcher did not tell the judges to favor a tone that sounded like
an open embouchure, instead telling them to listen for a clear and strong sound that was
not pinched or fuzzy. Perhaps the closed embouchure allows students at this young age to
play with more confidence and to sound more clear and strong.
101
Similar to results found in Sehmann (1990) there were no significant main effect
differences in vital capacity scores at the conclusion o f Phase 1. There may be several
explanations for this. The first being there is very little one can do to affect the inherent
vital capacity o f a human being, especially a child. There are several threats to validity
that may have had an overwhelmingly confounding effect on the measure o f vital
capacity. At the age o f these students, between eight and nine years old, their bodies are
growing rapidly in many cases. Physical maturity over the course o f the study may have
played a larger role in vital capacity than anything else. There were a few instances when
the researcher took the vital capacity measure on a day when many students complained
of having a cold. If a respiratory illness had been rampant in the class the vital capacity
scores could have been inaccurate. The last confounding threat was the general lack o f a
good way to measure vital capacity. Vital capacity is defined as a persons usable volume
o f air in a single breath. The problem becomes how to get a child to expel their maximum
amount o f air in a single breath, even when given three tries. Perhaps any measure of
vital capacity in fourth grade students is approximate at best.
The results o f the correlations at the conclusion o f each phase indicate that
duration and range are strongly correlated to tone quality in beginning brass players.
While the approach presented in the current study did not significantly affect tone quality
during the first year o f brass study, perhaps an approach that focuses more on range and
duration performance might. It is also worth noting that vital capacity had a significant
correlation with only duration. Clearly, the length o f time one can hold a pitch should be
positively correlated with how large their lungs are. The interesting point is that duration
102
and range seem to be predictive o f tone quality in beginning students while vital capacity
is not. This reinforces what Sehmann (1990) pointed out that it is not the amount o f air
(vital capacity) but the management o f air that improves performance (p. 72).
The benefit o f this study may rest in the knowledge that the beginning band
teacher can add an intensive battery o f breathing and buzzing exercises without adversely
effecting performance, and that doing so may improve range performance. Additionally,
a band teacher may ask students to play with an open embouchure as advocated by some
o f the most respected brass pedagogues through history and not have a significant
detrimental effect on tone quality or other performance measures.
Observations
While conducting this study the researcher made, on several occasions, many
interesting observations that should be included in this published study. These
observations will focus on the breathing and buzzing approach (Appendices 1, 2, & 3)
and the data collection techniques.
The teachers involved in the current study had varying backgrounds relating to
teaching brass. Two were trumpet players and one was a percussionist. O f the two
trumpet players, one was a classically-trained trumpeter with drum and bugle corps
experience. The other was a performing jazz trumpeter. The percussionist was only a
novice trumpet player. The drum and bugle corps training o f the first trumpet player may
have made that teacher more comfortable with the breathing techniques as they are
similar to many o f the same teaching methods found in modem drum and bugle corps. He
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may have also polluted the results if he was familiar with and had prior experience
teaching these more intensive breathing and buzzing techniques and thus had difficulty
removing them from his daily routine with Treatment Group B. The percussionist may
have been the best teacher for this study not having any pre-conceived notion about the
teaching of beginning brass. As a blank slate ready to accept any notion put before him,
he may have delivered the approach with the most faithfulness to the design. The jazz
trumpeter may have brought a sound concept with him o f a more closed tone quality
commonly found in jazz trumpet playing. He may have had a larger challenge focusing
on the open-embouchure sound. In general, the approach might be better delivered by a
low brass player more familiar with the concept o f an open-embouchure sound. Perhaps
more training in assessing open- and closed-embouchure sound could have improved the
effectiveness o f the treatment approaches.
The integration o f the breathing material (Pilafian & Sheridan, 2002) seemed to
be effective in training the students to use air more effectively. While the effectiveness of
this integration alone was not tested, the researcher observed each class actively
participating in the breathing exercises and genuinely enjoying themselves.
The collection o f data in this study was challenging. When recording students
playing instruments with the intent o f discerning tone quality, many factors may
unintentionally have had effects. The physical size and acoustical make-up o f the room
can have a great effect on the resulting tone. The researcher took great care to mitigate
those effects. The condition and make o f the instrument as well as the shape o f the
mouthpiece could have an effect on tone quality. The time o f day, the day o f the week,
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the temperature in the room, whether there is a cold going around the class all can
effect the measurement of tone quality on a brass instrument.
The breathing, buzzing, and embouchure approach utilized in this study could be
applied very effectively at the middle or high school level. The open-embouchure
formation instruction could be used as a refresher to reinforce good habits or to correct
bad ones. Breathing and buzzing is always valuable to a brass player. Older students
might be able to better comprehend and more effectively practice these techniques. This
study shows that open-embouchure formation instruction and intensive breathing and
buzzing exercises can be integrated into the beginning band class room and playing range
should improve. The study also shows that vital capacity has no correlation or predictive
significance on tone quality. Further, the study shows that for all students, duration and
range are significantly predictive o f tone quality.
Recommendations for Future Research

The following recommendations are made for future investigation:
1. Investigate the two embouchure-formation approaches, as well as breathing
and buzzing exercise with middle school and high school brass students.
2. Replicate the same study using instrument-type (high brass and low brass) as
an independent variable.
3. Investigate the effectiveness o f the breathing exercises on woodwind
performance measures.
105
4. Replicate this study with beginning students over a longer period o f time, such
as two years.
5. Replicate this study with older beginning students such as sixth grade.
6. Investigate the effectiveness o f the Pilafian and Sheridan Method (2002) on
all levels o f wind band performance.
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APPENDIX A
INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN EMBOUCHURE)
DURING PHASE 1
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Instruction Manual for Beginning Brass Players
Elementary level band teachers face the daunting task o f teaching young students
how to properly begin to play wind instruments. The teacher likely finds instructing the
beginning student to play an instrument that is not in the teachers primary instrument
family (i.e. brass, woodwinds, or percussion) even more challenging. For example, a
percussionist may find teaching woodwinds more challenging than a clarinetist would. In
this guide, the teacher will find a step by step process for teaching the first ten weeks o f
beginning brass class.
Much o f this approach is based on the work o f expert brass pedagogues such as
Philip Farkas, Arnold Jacobs, Sam Pilafian, and Pat Sheridan, and the work o f many
researchers, especially Dr. Karen Sehmann. This approach will focus on three
fundamentals o f brass playing: embouchure formation, breathing, and effective buzzing.
The goal o f the approach is to promote expanded range and duration, as well as improved
tone quality.
Many young brass players struggle with what can be characterized as a stuffy or
nasal tone. This is caused by too much tension or closure in the embouchure, oral
cavity, and throat. The student generally creates this tension to compensate for a lack of
air volume or velocity. When a brass player wants to increase the velocity o f the air he or
she can either increase the volume o f the air flow or constrict the passageway. Beginning
players tend to choose the latter. This constriction can happen in the throat, mouth, or at
the lips (aperture).
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Beginning band students rarely ever use enough air to support a good sound.
Many spend years developing good tone quality. Almost all band methods published
during the last 28 years have contributed to this problem. The typical first instruction in
embouchure formation is to form your lips as if saying the letter M. Then students are
instructed to blow through the lips to produce a buzz. The resulting tone is pinched,
stuffy, and nasal-sounding. This simple process has been the starting point for countless
young brass players; however, the following approach is an attempt to correct this
process and start a new generation o f brass players down the path to good tone quality.
The key to better tone quality is better air support, proper embouchure formation,
and good buzzing technique. This approach will focus on breathing exercises to teach
effective, expansive breathing and an open embouchure that promotes a more euphonious
tone quality. Breathing exercises are included in every lesson from day one. Buzzing
exercises are presented sequentially to allow for gradual development and continuous
assessment by the teacher.
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Outline o f Treatment Instruction
A. Lesson 1 - The Basics
1. Stretching - 1 , 2
2. Breathing - 1, 2, 3
3. Blowing
4. Blowing w/Mouthpiece
5. Buzzing w/Mouthpiece
B. Lesson 2 - Review adding one more step
1. Stretching - 1, 2, 3
3. Blowing
4. Blowing w/Mouthpiece
5. Buzzing
6. Buzzing - Sirens
C. Lesson 3 - Add the instrument
3. Blowing
4. Blowing w/mouthpiece
5. Buzzing
6. Find the pitch
7. Echoes
D. Lesson 4 - Add the fingers/slide
3. Buzzing - Sirens
4. Find the pitch
5. Echoes w/ fingers/slide
E. Lesson 5 - Review w/ CD
1. Stretching - 1, 2, 3, 4
3. Buzzing
4. Echoes w/CD
F. Lesson 6 - Review
1. Stretching - 1, 2, 3, 4
3. Buzzing
4. Echoes w/CD
G. Lesson 7 - More Efficiency
1. Stretching - 1, 2, 3, 4, 5
3. Buzzing from method book
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H. Lesson 8 - Duration and Range
1. Stretching - 1, 2, 3, 4, 5
2. Breathing - 1 , 7 , 12
4. Buzzing for duration
5. Buzzing for range
I. Lesson 9 - Putting it all Together
1. Stretching - 1, 2, 3, 4, 5
2. Breathing - 1, 12, 15
J. Lesson 10 - Last Chance
1. Stretching - 1, 2, 3, 4, 5
2. Breathing - 1, 12, 15, 16
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Lesson 1 - The Basics
Stretching Exercise 1 from The Breathing Gym (BG), p. 25 , DVD 2*
Trunk Twist
Spread your feet slightly so they are beneath your shoulders.

Raise your open hands to shoulder level.
Gently twist back and forth.
Raise your hands above your head and repeat.
Stretching Exercise 2 from BG, p. 26, DVD 4

Flop Over
Bend over at your waist.

Breath deeply, and with each exhale let your head and arms drop
closer to the floor.
Upper body may rise slightly during inhalation.
Breathing Exercise 1 from BG, p. 7, DVD 1

Tension Release
Sigh a few times.

Take a good breath in and sigh loudly.

6-7-8-9-10
Breathe in for six counts and out for six counts. When inhaling raise arms
up and out at your sides until they reach directly over your head when full.
Bring your arms down and out at your sides until they are hanging at your
sides at the end o f the count. Repeat smoothly for seven counts. Increase
the count (Thus slowing the breathing) to 8, 9, and 10. Increase to greater
counts for added breathing virtuosity, (quarter note = 72)
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Flow Awareness Exercises

Exercise - Breathe in to comfortably full, then simulate different
dynamics with the following images:
Bow & Arrow - fortissimo air
Toss the Darts - mezzo forte air
Float Paper Airplanes - pianissimo air
Air as a Tool: Learning to Blow

1. Ask all of your brass students to stand (They should already be standing
from the previous exercises).
2. Make sure each student has a music stand for themselves. If this is not
possible they can share.
3. Place a single sheet o f 8.5 x 11 paper in the music stand.
4. Raise the music stand to face level.
5. Ask the students to blow the music off the stand.
6. Once they have done it ask them to move further away and do it again,
(note: it is not important how they use their air to accomplish this task.
Right now they are learning to use air as a tool for perhaps the first time. If
they need to blow from the side or up close that is fine, as long as they
accomplish the task.
Air as a Tool: Add the Mouthpiece
1. Now allow the students to blow through the mouthpiece to focus the air.
They may also notice that the mouthpiece allows them to aim better, (note:
We allow them to use their mouthpiece, we dont instruct or ask.)
2. Again, if they accomplish the task easily ask them to move further away
from the stand.
3. At this point they should not be buzzing. You should only hear a
whoosh o f air.
Buzzing the Airstream
1. Make sure they have all mastered blowing the music off the stand. This
task will be more difficult for the smaller bore mouthpieces, i.e. trumpet,
horn. However, all should be able to accomplish this.
2. The next step is the most critical in the entire method. Instruct the students
to blow air through the mouthpieces and while doing so, allow their lips to
121
get closer to each other without touching. If they are blowing enough air
their lips will start to buzz a loud, airy, open sound.
3. If you hear any students close their lips and buzz the old M way, have
them start again. This would sound like a nasal or pinched tone. The lips
start open and only get close enough to start vibrating.
4. Once they have established a good vibration ask them to return to blowing
the music off the stand; this time while they are buzzing. If they are
buzzing correctly they will be able to blow the music o f the stand. If they
are not buzzing with an open embouchure they will have no chance o f
blowing the music off the stand.
* Tracks are listed for reference to the BG DVD included with the BG book.
Lesson 2 -T aking One More Step
Repeat Lesson 1 adding two more exercises. One will be the additional stretch
and the buzzing sirens exercise.
Trunk Twist
Flop Over
Two Way Stretch
Reach for the sky with your hands above your head; reach as high
as you can.
At the same time push down into the floor with your heels.

Tension Release
6-7-8-9-10
122

Blow the music off the stand - see above for details
Use the mouthpiece to blow the music off the stand - see above
Buzz the music off the stand - see above
Buzzing Exercise - Sirens
After taking the students through the blowing to buzzing exercises with
the music stand, the siren is the next step.
Model buzzing a siren sound on the mouthpiece. Make sure you

model on all types o f brass mouthpieces.
Ask the students to imitate while you buzz with them.
Put your mouthpiece down and listen.
Ask the students to buzz as high as they can, modeling for them.
Ask the students to model as low as they can, modeling for them.
Make sure they understand the difference between high buzzing
and low buzzing.
Ask them to slowly buzz from high to low to high and repeat for
understanding and competency.
Lesson 3 - Add the Instrument

Repeat Lesson 2 without the sirens.
Trunk Twist
Flop Over
Two Way Stretch
123
Tension Release
6-7-8-9-10
Buzz the music off the stand - see above
Once they have completed buzzing the music off the stand, ask the students to
match an F by buzzing on their mouthpiece in the correct octave. Model the F
for them. Once they can match the F on the mouthpiece, ask them to pick up
their instrument and replace their mouthpiece on the instrument.
Monitor for good posture. Trumpets and trombones should be standing.

The tubas, baritones and horns should sit. Those sitting should have feet
flat on the floor, sitting on the edge o f their seat where possible. They
should be standing from the waist up.
Play a concert F for them. This could be on any instrument. Choose the
most common instrument in the room but be prepared to play the note on
the other instruments for modeling purposes.
Ask them to match the F on their instruments remembering how we
have been buzzing. Horns should play concert C (their second-line G).
Monitor quickly for stuffy or nasal sounds. If any student displays a lack
o f air support, quickly have them remove the mouthpiece and blow a piece
o f paper off the stand.
Once you have established a good sounding F move on to echoes (see
below).
Echoes
This exercise can be done with or without a background CD. However, the
students will enjoy playing along with the CD better than without. The exercise is
simple. It is a four beat call and response.
124
Establish a tempo.
Make sure your students have internalized the tempo by floor tapping,
clapping, nodding, etc.
Say play what I play.
Play three F quarter notes with a quarter rest and indicate that the
students are to play it back. Horns should play concert C (their secondline G).
Do it again. Repeat as necessary for comprehension.
While staying on F, play a variety o f simple beat patterns. Remember,
since you are not relying on notation you can expect the students to play
much more complex rhythms than you will find in their method book.
When the students are comfortable with the format, ask individual
students to lead. Go from chair to chair and have each student play a call,
and have the room respond.
Do not leave the Concert F.
Monitor for good tone and support.
Lesson 4 - Add the Fingers/Slide
Repeat Lesson 3 except leave out the music stand/blowing exercises, unless you
feel they are still necessary.
Trunk Twist
Flop Over
Two Way Stretch
Tension Release
6-7-8-9-10
125
Buzzing Sirens
Find the Pitch - concert F (C for horns).
This time while echoing add some different pitches. Remember, it is easier for a
beginner to descend by step in pitch with fingers than to ascend by leap.
Echoes w/ fingers/slide.
Write the fingerings/slide position on the board for concert F, E, Eb, and
D.
Establish a tempo.
Make sure your students have internalized the tempo by floor tapping,
clapping, nodding, etc.
Say Play what I play.
Start with simple rhythms on F (C for horns).
Gradually add one note at a time diatonically. Since you are adding
complexity with fingers/slides simplify the rhythms to just three quarter
notes with a quarter rest.
Play something like F-F-Eb. F-Eb-Eb. F-Eb-F. Eb-F-Eb
Then add D in the same manner. Try going back and adding E natural
changing the tonality from Bb to F. Do not go further than D at first.
The idea is to stretch the tonal vocabulary always maintaining F as the
home pitch.
Try teaching one o f the method book melodies using this technique o f call
and response.
Monitor for good tone and support.
Lesson 5 - Review w/ CD
Trunk Twist
Flop Over
126
Two Way Stretch
Wrist Grab
Put your arms behind your back, and grab your right wrist with your left
hand.
Gently pull your right wrist to the left.
At the same time lean your head to the left.
Take four deep breaths, and move your wrist and head farther left each
time.
Take four more deep breaths, and lean your upper body farther left each
time.
Sigh loudly when exhaling. Each exhale makes the stretch deeper.
Stand straight, grab your left wrist with your right hand, and repeat the
exercise leaning to the right.

Tension Release
6-7-8-9-10
Exhale Therapy
Breathe in smoothly for 4 counts. Then suspend the air for 4 counts. Then
blow out half o f your capacity forcefully. Stop for one count. Then blow
out the remaining air and squeeze the abdomen tight. Perform this exercise
three times consecutively with an attempt to breathe deeply (first time),
deeper (second time), and deepest (third time), (see BG p. 11 for more
detail.)
Buzzing - Classroom Application
127
With your students standing play some o f your current melodies from your
method book on the piano. One measure at a time, ask the students to buzz
them back to you. Remind them to buzz with an open embouchure. This
will resemble the call and response from Echoes. However, the goal is
buzzing the melodies. Once they have been through the melody a measure
at a time start putting two measures together, then four, and then the entire
passage.
Echoes w/ CD
Repeat the Echoes exercise from before on the instruments. This is a call
and response, four beats at a time. However, this time put on a CD o f a
blues rhythm track such as Jamey Aebersold. Make sure the track is in
either Bb or F and keep the echo patterns in that key.
Lesson 6 - Review

Trunk Twist
Flop Over
Two Way Stretch
Wrist Grab
Tension Release
128
Exhale Therapy
Shorten the Inhalation
Breathe in for 4 counts and out for 4 counts. Repeat once. Then
breathe in for three counts and out for 4 counts. Repeat once. Then
breathe in for 2 counts and out for 4 counts. Repeat once. Then
breath in for 1 count and out for four counts. Repeat this pattern for
20 seconds. Increase the 1&4 pattern as comfort allows. (See BG
p. 13 for more details.)
method book on the piano. One measure at a time, ask the students buzz
them back to you. Remind them to buzz with an open embouchure. This
will resemble the call and response from Echoes. However, the goal is
buzzing the melodies. Once they have been through the melody a measure
at a time start putting two measures together, then four, and then the entire
passage.
Echoes w/ CD
Repeat the Echoes exercise from before on the instruments. This is a call
and response, four beats at a time. However, this time put on a CD o f a
blues rhythm track such as Jamey Aebersold. Make sure the track is in
either Bb or F and keep the echo patterns in that key.
Lesson 7 - More Efficiency
Trunk Twist
Flop Over
129
Two Way Stretch
Wrist Grab
Elbow Grab
Put your left elbow behind your head, and grab it with your right
hand.
Gently pull your elbow to the right.
Take four deep breaths and move your elbow farther to the right
each time.
Take four more deep breaths, and lean your upper body farther
right each time.
Repeat the exercise with your right elbow, moving to the left.

Tension Release
Exhale Therapy
Buzzing Exercise - Classroom Application
Have your students buzz through some o f the melodies you are currently
working on in full band. Monitor for good tone and air support. Remind
them to buzz with an open embouchure. Review blowing the music off the
stand as necessary.
Lesson 8 - Duration and Range
130
Trunk Twist
Flop Over
Two way stretch
Wrist Grab
Elbow Grab
Tension Release
5 in, 15 hold, 5 out
Breathe in for 5 counts. Suspend the breathing for 15 counts, but
sip air every few seconds to top off your capacity. Then, breathe
out completely over 5 counts, (quarter note = 60 - 88) Do 3
repetitions o f this exercise working to be fuller and emptier each
time.
Buzz some method book melodies. Remind them to buzz with an open
embouchure.
Buzzing Exercise - Buzzing for Range
131
Without discussing relative pitch or notation have all students buzz a
concert F. (C for horns.) Using the piano as a reference, move up a
chromatic scale by half steps expanding the range upward. At a point
before the students reach their maximum range, switch to a descending
chromatic from the middle F. This time descend downward by half-step
until students reach their lowest pitch. Continuously encourage air support
during buzzing. Repeat the ascending scale and the descending scale each
time starting on concert F.
Buzzing Exercise - Buzzing for Duration
This time pick a low Bb to buzz to. The exercise is to buzz the note as
long as possible. First pick some short time intervals such as 2 seconds, 4
seconds, etc. The turn it into a game to see who can buzz it the longest.
Volume counts. You must be able to hear them.
Try it again on the upper Bb.
Lesson 9 - Putting It All Together
Trunk Twist
Flop Over
Two way stretch
Wrist Grab
Stretching Exercise 5 from 2?G, p. 28, DVD 10
Elbow Grab
Tension Release
132
Throw the Ball
Breathe in to full capacity in one count and then top off your
capacity with two sips.
Breathe out in one motion to completely empty and a tight
abdominal squeeze. The imaginary guideline is winding up to
throw a ball, and the throwing it.
Move your arm as though you were throwing an overhand pitch,
and keep your hand extended as you squeeze empty, stretching out
as far as you can.

Buzz some method book melodies. Remind them to buzz with an open
embouchure.
Buzzing Exercise - Buzzing for Range
Repeat exercise in lesson 8, except turn the range exercise into a game.
See who can buzz higher or lower. Ask students to challenge each other.
Repeat exercise in lesson 8, except turn the duration exercise into a game.
See who can buzz longer or louder. Ask students to challenge each other.
Lesson 10 - Last Chance
Trunk Twist
Flop Over
133
Two way stretch
Wrist Grab
Elbow Grab
Tension Release
Breathing Exercise 12 from RG , p. 18, DVD 15
Throw the Ball
Power Bow and Arrow
Breathe in to your fullest capacity in one count (stretching) and

breathe out in one motion to completely empty (compression).
The imaginary guideline is shooting a bow and arrow.
Both the stretch and the compression should be smooth and
deliberate.
Extend your bow arm forward when you shoot the arrow and
keep pushing it forward as you squeeze out the air.
Finish with a hiss to completely empty.
Buzzing exercise - Classroom Application

Buzz some method book melodies.
Buzzing exercise - Buzzing for Range
Repeat exercise in Lesson 8, except turn the range exercise into a game.
See who can buzz higher or lower. Ask students to challenge each other.
134

Repeat exercise in Lesson 8, except turn the duration exercise into a game.
See who can buzz longer or louder. Ask students to challenge each other.
APPENDIX B
INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN EMBOUCHURE)
DURING PHASE 2
136
Lesson 1
Trunk Twist


Tension Release
Sigh a few times.

Air as a Tool: Learning to Blow

1. Ask all of your brass students to stand (They should already be standing
from the previous exercises).
2. Make sure each student has a music stand for themselves. If this is not
possible they can share.
3. Place a single sheet o f 8.5 x 11 paper in the music stand.
4. Raise the music stand to face level.
5. Ask the students to blow the music off the stand.
6. Once they have done it ask them to move further away and do it again.
(Note: it is not important how they use their air to accomplish this task.
Right now they are learning to use air as a tool for perhaps the first time. If
they need to blow from the side or up close that is fine, as long as they
accomplish the task.
Air as a Tool: Add the Mouthpiece
1. Now allow the students to blow through the mouthpiece to focus the air.
They may also notice that the mouthpiece allows them to aim better.
(Note: We allow them to use their mouthpiece, we dont instruct or ask.)
2. Again, if they accomplish the task easily, ask them to move further away
from the stand.
3. At this point they should not be buzzing. You should only hear a
whoosh of air.
137
Buzzing the Air stream
1. Make sure they have all mastered blowing the music off the stand. This
task will be more difficult for the smaller bore mouthpieces, i.e. trumpet,
horn. However, all should be able to accomplish this.
2. The next step is the most critical in the entire method. Instruct the students
to blow air through the mouthpieces and while doing so, allow their lips to
get closer to each other without touching. If they are blowing enough air
their lips will start to buzz a loud, airy, open sound.
3. If you hear any students close their lips and buzz with the M
embouchure, have them start again. This would sound like a closed or
pinched tone. The lips start open and only get close enough to start
vibrating.
4. Once they have established a good vibration ask them to return to blowing
the music off the stand; this time while they are buzzing. If they are
buzzing correctly they will be able to blow the music off the stand. If they
are not buzzing with an open embouchure they will have no chance of
blowing the music off the stand.
Lesson 2
Repeat Lesson 1 adding a stretch, a breathing exercise, and Sirens.
Trunk Twist
Flop Over


Tension Release
138
6-7-8-9-10
the count (Thus slowing the breathing) to 8, 9, and 10. Increase to greater
Buzz the music off the stand - see above. Remind them to buzz with an open
embouchure. Monitor for mastery.

model on all types o f brass mouthpieces with a completely open
embouchure. Show them the difference between an open and
closed sound.
and low buzzing.
Remind them to buzz with an open embouchure. Monitor
for mastery. They should be using lots o f air.
Lesson 3
Trunk Twist
139
Two Way Stretch
Reach for the sky with your hands above your head; reach as high
as you can.

Tension Release
Flow awareness Exercises
Exercise - Breathe in to comfortably full, then simulate different
Blow the music off the stand - see above for details.
Use the mouthpiece to blow the music off the stand - see above.
Buzz the music off the stand - see above.
Buzzing Exercise - Sirens - see above.
Remind them to buzz with an open embouchure. Monitor for mastery.
Lesson 4
Trunk Twist
Tension Release
140
Ask the students to match an F by buzzing on their mouthpiece in the correct
register. Model the F for them. Once they can match the F on the mouthpiece,
ask them to pick up their instrument and replace their mouthpiece.

should be stand from the waist up.
Remind them to buzz and play with an open embouchure. Monitor
for mastery. Demonstrate both open and closed for them. This is
crucial.
have been buzzing. Homs should play concert C (their second-line G).
Monitor quickly for stuffy or nasal sounds. If any student displays a lack
o f air support, quickly have them remove the mouthpiece and blow a piece
o f paper off the stand.
Once you have established a good sounding F have the students play the
note on their instruments.
Lesson 5
Trunk Twist
Wrist Grab
hand.
141
time.
time.

Tension Release
Exhale Therapy
Breathe in smoothly for four counts. Then suspend the air for four counts.
Then blow out half o f your capacity forcefully. Stop for one count. Then
blow out the remaining air and squeeze the abdomen tight. Perform this
exercise three times consecutively with an attempt to breathe deeply (first
time), deeper (second time), and deepest (third time). (See BG p. 11 for
more detail.)
With your students standing, play some o f your current melodies from
your method book on the piano. One measure at a time, ask the students to
buzz them back to you. Remind them to buzz with an open
embouchure. Monitor for mastery. This will resemble the call and
response from Echoes. However, the goal is buzzing the melodies. Once
they have been through the melody a measure at a time start putting two
measures together, then four, and then the entire passage.
Lesson 6
Trunk Twist
W rist Grab
142
Tension Release
Breathe in for four counts and out for four counts. Repeat once.
Then breathe in for three counts and out for four counts. Repeat
once. Then breathe in for two counts and out for four counts.
Repeat once. Then breath in for one count and out for four counts.
Repeat this pattern for 20 seconds. Increase the 1&4 pattern as
comfort allows. (See BG p. 13 for more details.)
them back to you. Remind them to buzz with an open embouchure.
Monitor for mastery. This will resemble the call and response from
Echoes. However, the goal is buzzing the melodies. Once they have been
through the melody a measure at a time start putting two measures
together, then four, and then the entire passage.
Lesson 7
Trunk Twist
Elbow Grab
hand.
each time.
right each time.
143

Tension Release
working on in full band. Monitor for good tone and air support. Remind
them to buzz and play with an open embouchure. Monitor for
mastery. Review blowing the music off the stand as necessary.
Lesson 8
Trunk Twist
Two way stretch
Tension Release
time.
144
Buzz some method book melodies. Remind them to buzz and play with
an open embouchure. Monitor for mastery.
Lesson 9
Trunk Twist
Tension Release
an open embouchure. Monitor for mastery.
Lesson 10
Trunk Twist
Tension Release
Buzz and play some method book melodies. Remind them to buzz and
play with an open embouchure. Monitor for mastery.
APPENDIX C
INSTRUCTION MANUAL FOR TREATMENT GROUP B (CLOSED
EMBOUCHURE) DURING PHASE 2
146
Lesson 1
Trunk Twist


Tension Release
Sigh a few times.

Following the instructions in the front o f the student book, instruct the students how to
form the M embouchure. Check each student individually for the proper embouchure
and sound.
Lesson 2
Repeat Lesson 1 adding a stretch, a breathing exercise, and Sirens.
Trunk Twist
Flop Over

147
Tension Release
6-7-8-9-10
the count (thus slowing the breathing) to 8, 9, and 10. Increase to greater
Repeat the instruction on how to form the M embouchure. Remind them to
buzz with the M embouchure. Monitor for mastery.

model on all types o f brass mouthpieces with a closed
embouchure. Show them the difference between an open and
closed sound.
and low buzzing.
Remind them to buzz with the M embouchure. Monitor for
mastery.
Lesson 3
Trunk Twist
Two Way Stretch
Reach for the sky with your hands above your head; reach as
as you can.

Tension Release
Flow awareness Exercises
Exercise - Breathe in until comfortably full, then simulate different
Form the M embouchure one more time.
Buzzing Exercise - Sirens - see above.
Remind them to buzz with the M embouchure. Monitor for mastery.
Lesson 4
Trunk Twist
Tension Release
149
Ask the students to match an F by buzzing on their mouthpiece in the correct
register. Model the F for them. Once they can match the F on the mouthpiece,
ask them to pick up their instrument and replace their mouthpiece.

should be standing from the waist up.
Remind them to buzz and play with the M embouchure. Monitor
for mastery. Demonstrate both the M and the open embouchure for
them. This is crucial.
have been buzzing. Floms should play concert C (their second-line G).
If any student displays a lack o f air support, quickly have them remove the
mouthpiece and blow a piece o f paper off the stand.
Once you have established a good sounding F have the students play the
note on their instruments.
Lesson 5
Trunk Twist
Wrist Grab
hand.
time.
time.
150

Tension Release
Exhale Therapy
Breathe in smoothly for four counts. Then suspend the air for four counts.
Then blow out half o f your capacity forcefully. Stop for one count. Then
blow out the remaining air and squeeze the abdomen tight. Perform this
exercise three times consecutively with an attempt to breathe deeply (first
time), deeper (second time), and deepest (third time). (See BG p. 11 for
more detail.)
them back to you. Remind them to buzz with the M embouchure.
Lesson 6
Trunk Twist
Wrist Grab
Tension Release
151
Breathe in for four counts and out for four counts. Repeat once. Then
breathe in for three counts and out for four counts. Repeat once. Then
breathe in for two counts and out for four counts. Repeat once. Then
breath in for one count and out for four counts. Repeat this pattern for 20
seconds. Increase the 1&4 pattern as comfort allows. (See BG p. 13 for
more details.)
them back to you. Remind them to buzz with the M embouchure.
Lesson 7
Trunk Twist
Elbow Grab
hand.
each time.
right each time.

Tension Release
152
working on in full band. Monitor for tone and air support. Remind them
to buzz and play with the M embouchure. Monitor for mastery.
Review blowing the M embouchure as necessary.
Lesson 8
Trunk Twist
Two Way Stretch
Tension Release
time.
the M embouchure. Monitor for mastery.
Lesson 9
Trunk Twist
Tension Release
Breathing Exercise 12 from 5(7, p. 18, DVD 15
the M embouchure. Monitor for mastery.
Lesson 10
Trunk Twist
Tension Release
Breathing Exercise 12 from 5G , p. 18, DVD 15
Buzz and play some method book melodies. Remind them to buzz and
play with the M embouchure. Monitor for mastery.
APPENDIX D
SUMMARY TABLE OF TREATMENT GROUPS AND PHASES
155
Table 19
Summary Table o f Treatment Groups and Phases
Treatment
Group A
Treatment
Group B
Phase 1
Open embouchure
Researcher designed
approach with breathing
and buzzing exercises
Closed embouchure
Breathing and buzzing
from teacher edition o f
method book
Phase 2
Open embouchure
Researcher designed
Closed embouchure
Researcher designed
APPENDIX E
SUMMARY TABLE OF TEACHERS AND TREATMENT GROUPS
157
Table 20
Summary Table o f Teachers and Treatment Groups
Teacher 1
Teacher 2
Teacher 3
Treatment
Group A
School 1
School 3
School 5
Treatment
Group B
School 2
School 4
School 6
APPENDIX F
INFORMED CONSENT DOCUMENT
159
August 14, 2004
Dear Parent:
Your child was selected as a brass player in the 4th grade band class a t __________
Elementary School. Your child has also been selected to participate in a research
study. The purpose o f this study is to investigate the effectiveness o f a beginning band
teaching technique. This approach is specifically for students who play brass instruments.
The study will last for ten weeks during the first semester o f the 2004-05 school year,
from 8/16 to 11/12.
Participants (the students) in this study will be asked to blow into a device that
will measure their lung capacity. Students will also be recorded playing their instrument.
These recordings will be audio only and will happen at the end o f the study in November.
A t the beginning o f the study each student will be assigned a number. During the data
collection the students will be identified by number only. Information gathered for each
student will include gender, instrument, lung capacity, and the audio taped performance.
No other personal data will be collected. All data will remain confidential and
anonymous.
Your student is in no way obligated to participate in this study. If you have any
questions, you are invited to call the numbers listed below. Once the study begins you
may withdraw them at any time for any reason. Your permission to participate will have
no bearing on the grade your student receives in this or any other class. There will be no
compensation for participation in this study.
By signing below you are giving permission for your student to participate in the
study. You are also indicating that you have the appropriate authority to do so. Your
childs signature indicates his or her willingness to participate as well.
Thank You,
Christopher M. Hulett, principal researcher

(480) XXX-XXXX office
(480) XXX-XXXX home
(email address)
Parents Signature
Printed Name
Students Signature
Printed Name
APPENDIX G
VITAL CAPACITY RECORD
161
Vital Capacity Record
School - date
DATA ID#_________ Measure #1_________ Measure #2_________ Measure #3
Circle largest capacity score.
APPENDIX H
RANGE RECORD
163
Range Record
School - date
DATA ID#_________ Lowest Note________ Highest Note________Interval (steps)
APPENDIX I
DURATION RECORD
165
Duration Record
School - date
DATA ID#_________ Measure #1_________ Measure #2_________ Measure #3
Circle longest duration score.
A P P E N D IX J
T O N E Q U A L I T Y R E C O R D IN G S H E E T
167
Tone Quality Recording Sheet
Data ID # ___________
Judge # (circle one)
Tone Quality Score

1
poor
3
average
5
excellent
Please circle one number on a scale o f 1 to 5 relative to an average 4th grade brass
students tone quality. A score o f 1 would represent the poorest tone quality. Whereas a
score o f 5 would represent the finest tone quality possible for a 4th grade beginning brass
student.
Scoring Rubric:
1 - This score represents a tone quality that is so poor as to render the music
unrecognizable. There should be a lack o f air support and/or embouchure control which
makes individual pitches indistinguishable.
2 - This score represents a below average tone quality. Pitches should be recognizable
with serious tone quality issues. Tone is likely very pinched or fuzzy with some air
support problems.
3 - This score represents the average tone quality o f a 4th grade beginning brass student.
The tone will be somewhat fuzzy or pinched but playing is confident and pitches speak
easily.
4 - This score represents the above average tone quality of a 4th grade brass student. Tone
should be clearer and stronger than average. Some minor deficiencies keep this student
from scoring even higher.
5 - This score represents the finest tone quality one could expect from a 4th grade brass
student. Tone is clear and strong. There is no evidence o f a pinched or fuzzy tone.

The Effects of Embouchure and Breathing Instruction On Beginning Brass Students' Performance

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The Effects of Embouchure and Breathing Instruction On Beginning Brass Students' Performance

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THE EFFECTS OF EMBOUCHURE AND BREATHING INSTRUCTION ON

BEGINNING BRASS STUDENTS PERFORMANCE

A Dissertation Presented in Partial Fulfillment

ARIZONA STATE UNIVERSITY

UMI Number: 3210154

ProQuest Information and Learning Company

THE EFFECTS OF EMBOUCHURE AND BREATHING INSTRUCTION ON

has been approved

Dean, Division o f Graduate Studies

For Kristen, William, and Bryce

REVIEW OF RELATED LITERATURE............................................................13

SUMMARY, CONCLUSIONS, DISCUSSION, OBSERVATIONS, AND

REFEREN CES.......................................................................................................................... 106

INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN

INSTRUCTION MANUAL FOR TREATMENT GROUP A (OPEN

INSTRUCTION MANUAL FOR TREATMENT GROUP B (CLOSED

SUMMARY TABLE OF TEACHERS AND TREATMENT GROUPS........154

SUMMARY TABLE OF TREATMENT GROUPS AND PH A SE S............. 156

INFORMED CONSENT DOCUMENT.............................................................. 158

VITAL CAPACITY R EC O R D ............................................................................ 160

RANGE RECORD.................................................................................................. 164

TONE QUALITY RECORDING SH E E T .......................................................... 166

Interjudge Reliability for Tone Quality Rating........................................................... 77

Mean Range Interval by Teacher and Treatment Group in Half-Steps in Phase

Mean Duration by Teacher and Treatment Group in Seconds in Phase 1 ...............79

Mean Vital Capacity by Teacher and Treatment Group in Milliliters in Phase

Post-Hoc Comparison o f Vital Capacity Interaction during Phase 1 Using Tukey

Correlation o f Vital Capacity, Duration, Range, and Tone Quality Scores at

10. Phase 1 Regression Model Sum m ary.......................................................................... 86

Brass Research Studies

Need for the Study

Purpose o f the Study

Statement o f the Problem

Scope and Limitations

Beginning Instrumental Method Books

Whitener (1990) wrote in his book A Complete Guide to Brass: Instruments

Brass Research Studies

Beginning Instrumental Research

Summary o f Literature Review

Duration o f the Study

Internal and External Validity

Phase 1 Descriptive Statistics

* p < .0125 adjusted by the Bonferroni adjustment technique (.05 divided by 4)

Phase 1 Correlation and Regression Analysis

Note. Dependant Variable: Tone Quality

Research Question 4. At the conclusion o f Phase 1, which o f the following variables,

Phase 2 Descriptive Statistics

Phase 2 Univariate Analysis o f Variance

Note. Dependant Variable: Tone Quality

Research Question 8. At the conclusion o f Phase 2, which o f the following variables:

Recommendations for Future Research

Colwell, R. J. & Goolsby, T. (1992). Teaching o f instrumental music (2nd Ed.).

O Donnell, J. F. (1987). Beginning brass instruction: Teaching strategies fo r selected

Sehmann, K. H. (1990). The effects o f breath management instruction on the

Spread your feet slightly so they are beneath your shoulders.

Stretching Exercise 2 from BG, p. 26, DVD 4

Bend over at your waist.

Breathing Exercise 1 from BG, p. 7, DVD 1

Sigh a few times.

Breathing Exercise 2 from BG, p. 8, DVD 3

Breathing Exercise 3 from BG, p. 9, DVD 5

Flow Awareness Exercises

Air as a Tool: Learning to Blow

DATA ID#_____ Measure #1_ Measure #2_____ Measure #3

DATA ID#_ Lowest Note Highest NoteInterval (steps)

DATA ID#_____ Measure #1_ Measure #2_____ Measure #3