Exploring the Model of Contemporary Chinese Ethnic Musical Instrument Improvement Mechanisms: Based on Grounded Theory

Abstract

Modern Chinese traditional instruments have also embarked on a path of learning from Western musicology. Most research on instrument improvement has focused solely on Western instruments and issues inherent to the instruments themselves. However, to explore further directions for the improvement of Chinese instruments and enhance the quality of instrument creation and performance, this paper employs grounded theory to construct a “Sound Performance—Subject Driving—Environmental Inducing” dynamic model (SSE) for the improvement of Chinese traditional instruments. This model analyzes the various factors and driving mechanisms influencing improvement. We found that sound optimization is the main force driving instrument improvement, exerting the greatest influence on the improvement process. In terms of external driving forces, professional knowledge and esthetic pursuit play a crucial role, forming a dynamic triangular relationship among instrument manufacturers, performers, and Chinese traditional music groups. The dynamic changes in instrument improvement, through this triangular interaction, are ultimately influenced by cultural recognition, social policy, and technological innovation.

Keywords

Chinese music instrument improvement ethnic instruments grounded theory driving mechanism

Introduction

The importance of musical instrument improvement in the development of instruments is undeniable. Victor, the first curator of the Royal Conservatory of Brussels, pointed out that instrument improvement is one of the two areas that have been overlooked in music research: organology and the history of instrument improvement. Many existing studies focus on issues such as instrument improvement and innovation (Annuar & Sabran, 2020). These instruments, constantly being improved and adjusted, have spurred new techniques, playing styles, and music genres to adapt to modern societal changes (Magnusson, 2021).

However, most of these studies are concentrated on Western instruments, with few touching on Chinese ethnic instruments (Annuar & Sabran, 2020). Ethnic instruments are the essence of Chinese music and an important part of its material culture (Jensen, 2002). These instruments include over 20 types, such as string, keyboard, wind, and percussion instruments (Xu, 2022). To maintain the vitality of Chinese music, these ethnic instruments also need innovation and development (Chow, 2019). Chinese music reformers regard Western instruments as scientific and progressive (Lee & Zhang, 2020). Therefore, in recent times, some Chinese ethnic instruments have been improved, such as the pipa and guzheng (Lee & Zhang, 2020). Specifically, improvements have been made in terms of pitch, range, and timbre of instruments, and performers and ensembles also refer to European playing methods (Xu, 2022), learning from the expressiveness and standardization advantages of Western orchestras (Liu et al., 2022; Magnusson, 2021), and are influenced by the broader environment, such as VR and Smart Musical Instruments (SMI) technology joining the ranks of improvements (Bijsterveld & Peters, 2010). However, overall, research on the improvement of traditional instruments in the Asian region is still scarce (Annuar & Sabran, 2020).

It is even more necessary for Chinese traditional instruments to explore the direction of traditional instrument improvement (Lee & Zhang, 2021). Existing improvement studies only focus on the content of the improvements themselves, but also need to include “beyond music” content (Bijsterveld & Schulp, 2004). In summary, the academic community’s research on the innovation of Chinese traditional instruments is quite fragmented, lacking a systematic framework to study the driving mechanisms of their improvement. This has been a long-standing problem for musicologists studying Chinese traditional music, and it is more related to the future development of Chinese instruments.

The Encyclopedia Britannica notes that Chinese music is one of the oldest and most developed music systems in the world (Jin, 2011), and the driving mechanisms for these instrument improvements are self-evident. It can also act as a catalyst, stimulating interest and even inspiring other countries to protect and develop their own musical culture. Chinese culture has already undergone a process of modernization and internationalization in contemporary times, interacting with other musical cultures in various ways, promoting internal diversity, and integrating global music culture (Bryan-Kinns & Zijin, 2020).

This article constructs a mechanism model for the improvement of modern Chinese ethnic musical instruments, adopting the grounded theory method (Corbin & Strauss, 2008). This theory is not only suitable as it has been widely applied in fields such as sociology, education, and psychology (Shah & Corley, 2006; Suddaby, 2006), but it has also gradually been used in musicology research, becoming one of the more scientific methods in qualitative research. It is used to explore the various influencing factors of improvement and their interrelationships. The study of these mechanisms for improving Chinese instruments provides the necessary material conditions for enhancing the quality of musical works and performance techniques (Seekhunlio, 2023), and offers potential directions for the future development of modern Chinese ethnic instruments (Lee & Zhang, 2020).

Literature Review

After careful review, we have found that research on the improvement of Chinese ethnic musical instruments mainly focuses on two perspectives: the viewpoint of musicology researchers (theoretical research) and that of reform practitioners (practical research).

Scholars in musicology primarily analyze aspects such as the principles, methods, objectives, and impacts of instrument improvement, emphasizing the theoretical foundations and guiding significance of instrument refinement. Practitioners, on the other hand, examine the improvement of instruments in practice, focusing on characters, groups, and specific case studies to underscore the practical effects of instrument refinement. Both theoretical and practical research complement each other, jointly propelling the development of improvements to Chinese ethnic musical instruments.

From the perspective of musicology scholars, the theoretical study of instrument refinement covers principles, methods, objectives, and impacts of the process. Figures like Zheng Jianwen (Meng, 2022), Liu Tianhua (Yao, 2019), Li Yuanqing (Gao, 2020), and Yang Yinliu (Qi, 2021) initiated discussions on how to conduct ethnic instrument reform and the necessity of such reform. In 1954, entities like the Ethnic Music Research Committee of the China Musicians Association and the Ethnic Music Research Institute Reform Group of the Central Conservatory of Music spearheaded several meetings about ethnic instrument refinement in Beijing and Shanghai. Speeches from these meetings were included in compilations such as the “Instrument Refinement Reference Data Series” and the “Ethnic Instrument Refinement Collection” by the Central Conservatory of Music. Zheng Jinwen, the founder of the Great Unity Music Association, commended these efforts, stating that not only has the work been unprecedented in preserving and discovering traditional instrument varieties, but also in the breadth of refinement research (Ling, 1982). Li Yuanqing later outlined directions for instrument refinement, suggesting that the drawbacks of Chinese instruments and pathways for their improvement can be analyzed from four aspects: musical scale, range, volume, and standardization of instrument specifications.

From the perspective of reform practitioners, the study zeroes in on practical cases of instrument improvement, such as the guzheng, yangqin, pipa, and suona. Some scholars have examined the past century of guzheng improvement, categorizing improvements into two types: “reformed” and “revolutionary” guzhengs, and reflecting on the success and failures of the instrument’s refinement (L. L. Li, 2014; L. S. Li, 2014). Others have analyzed the key aspects of yangqin reform, such as instrument structure, note arrangement, tonality, striking tools, sound-producing devices, pitch stability, and esthetics, offering their own views (L. L. Li, 2014; L. S. Li, 2014). There are also scholars who argue that the key to instrument improvement lies in the lack of innovative composition, emphasizing that instrument refinement is a systematic process. They assert that focus must be given to all elements of hardware improvement and software development in order for the art of musical instruments to progress (Chen, 2007). From the viewpoint of the development of modern Chinese orchestras, some researchers delve into the issues of reform and combination of traditional Chinese instruments in orchestras, as well as how these have promoted the modernization and internationalization of Chinese music culture over recent decades (Chan & Lau, 2020). Lastly, experts in physics and acoustics have indirectly participated in instrument refinement by studying the acoustic properties of wood (Holz, 1996; Pfriem, 2015) and the aerodynamic characteristics of instruments (Fabre et al., 2012).

In summary, existing research, exploring from both theoretical and practical perspectives, has resulted in a wealth of findings about the history, status quo, and challenges of Chinese ethnic instrument refinement. However, the academic world still lacks a systematic theoretical framework for understanding the mechanisms of ethnic instrument improvement, which leaves the influencing factors and driving mechanisms behind such activities obscured. Moreover, the interrelationships among the involved entities in the improvement activities and the external environment’s constraints and promotions on ethnic instrument refinement have not been fully considered. Hence, using grounded theory, this study investigates the subject of ethnic instrument refinement from the perspective of influencing factors. We explore the driving mechanism of ethnic instrument refinement and construct a model of instrument improvement dynamics. This is aimed at advancing the theoretical development and improvement direction of Chinese ethnic instrument research.

Research Design

Research Methodology

This study employs the grounded theory research method, a process oriented toward social phenomena, with a continual emphasis on theoretical sampling and constant comparison by the researcher during the data collection and comparative analysis phase. This refines core concepts that reflect the nature of social phenomena, and based on these core concepts, a related social theory is developed, taking into account the categories and interrelationships among them (Corbin & Strauss, 2008). Numerous scholars have asserted that grounded theory is well-suited for theoretical construction, and it is extensively applied in sociology, education, and psychology. It has become one of the more scientific methodologies in qualitative research (Shah & Corley, 2006; Suddaby, 2006). With the increasing academic influence of grounded theory, it is gradually being used in musicology research as well (Liu et al., 2022).

This paper expands the scope of grounded theory by focusing on the driving mechanisms of Chinese instrument improvement. Through open coding, axial coding, and selective coding of 156 related literature sources, the study distilled three major categories: timbre optimization factors, subject driving factors, and environmental inducing factors. Based on these, an instrument improvement model was constructed, analyzing its influencing factors and driving mechanisms.

As shown in Figure 1, in the open coding phase, all selected texts are coded word by word, sentence by sentence, and event by event to identify themes and categorize them. During the axial coding phase, the previous phase’s codes are categorized, and primary categories are identified, which are then organically linked.

Figure 1.

Research flow chart (Corbin & Strauss, 2008).

Grounded theory was chosen for this study due to three primary reasons. First, there is a lack of systematic theoretical discussion on the driving mechanism of the improvement of Chinese ethnic musical instruments, necessitating induction of experiential generalizations and universal theories through actual observation and data analysis. Second, grounded theory allows effective utilization of existing literature and cases as data sources, thus avoiding the time and cost constraints associated with more diverse data collection methods such as interviewing instrument users and consumers. Third, grounded theory ensures the rigor and scientific integrity of the research, as it employs continual comparison, coding, and verification to construct a theoretical model, thereby eliminating subjective conjecture and preconceived hypotheses.

Data Collection and Processing

In exploratory research, Langley et al. (2007) suggests using publications as an information source. Therefore, this study employs a method that involves analyzing literature, including conference papers and research articles from the Web of Science and the CNKI (China National Knowledge Infrastructure) databases, along with relevant case studies of instrument modifications. The data sources consist of scholarly papers, conference proceedings, presentations, and actual cases of instrument improvements. The study utilizes grounded theory to encode the relevant information on the mechanisms of modern Chinese ethnic instrument modifications, extracting a theoretical model that encompasses the motivating factors and evolution of Chinese ethnic instrument modifications. Through a comprehensive analysis, the evolutionary mechanism of instrument improvements is examined.

Literature was retrieved using “instrument reform,”“instrument improvement,” and “instrument modification” as keywords, and the retrieved literature was sequentially screened based on title, abstract, and full text. A total of 695 results were obtained. After eliminating duplicate and weakly related thematic literature, 156 pieces of literature were finally selected for categorization, summarization, and coding. The coding adheres to the principle of theoretical saturation, that is, when new concepts cannot be induced from the text data, theoretical saturation is considered to have been reached (Saunders et al., 2017).

Model Construction Based on Grounded Theory

With the accelerated development of Chinese musical instruments, which encompasses an increasingly broad range and a rapidly growing pace, the improvement of these instruments should be built on a healthy and sustainable foundation. However, the academic community currently lacks a mature theoretical framework for this issue. Therefore, it is necessary to systematically explore the driving mechanism of instrument improvement. This study collects the factors influencing the improvement of musical instruments and applies grounded theory to carry out exploratory research on the driving mechanism of improvement for Chinese ethnic musical instruments, laying the groundwork for the structural study of their improvement mechanism.

Open Coding

Open coding involves the process of decomposing raw data, comparing, refining, and discovering conceptual categories and categorization (Corbin & Strauss, 2008). Using the grounded theory’s standard coding process (including text material, labeling, conceptualization and categorization), we analyzed the content of 156 texts. This analysis yielded 256 original statements, 72 corresponding initial concepts, and 25 categories (see Table 1).

Table 1.

Example of Open Coding (Partial).

Initial scope	Concept	Examples of original information
F1 tonal improvement	Thick tone	The top plate of the lute is made of a single plate, which significantly improves the acoustic quality of the lute, making it more reasonable in structure, more harmonious in tone vibration, and thicker in tone.
	Good sound	Gourd silk popular reason is the sound can attract people, popularization and promotion, or need to sound good
	Reduce noise	Cut off the upper part of the stopper so that the mouthpieces are close to each other and the inner flute has a slightly higher blowhole than the outer flute, which makes it easier to play and avoids “back wind” and noise.
F2 volume amplification	Bright pronunciation	The pipa’s cover hand was made of cow horn, mahogany, and bamboo, and they decided to use bamboo as the cover hand.
	Tone brightening	The successful reformation of the steel strings has resulted in a brighter tone, a stable pitch that is less likely to run out of strings, and a pure tone in the upper register.
	Not enough volume	As the guqin player was playing the instrument in the middle of an elegant gathering, the stage volume was obviously insufficient.
F16 range expansion	Use of the twelve averages	Expanding the lute from one and a half octaves to three octaves and arranging it using twelve mean meters allows the player to easily transpose
F16 range expansion	Bridging the range difference	The eight-hole flute compensates for the difference in meter by creating variations in pitch through accents, fingering, and changes in angle.
F18 sound control	Stable pitch	The new yangqin adopts symmetrical hanging strings, which stabilizes the structure and intonation of the instrument and greatly improves the sound quality.
F18 sound control	Control of the residual sound	The residual sound of the yangqin is long, and the invention of the sound maker can control the residual sound.
F19 production standard	Uniformity of form	Local artists will make musical instruments according to their own habits, and the craft is not passed on, so it is difficult to form a completely uniform specification and shape under modern industrial production standards.
F19 production standard	Industrialization	At this stage, the musical instruments we have reformed are not scientific, refined, and stable enough in terms of materials, processing, and production techniques, and there are still many tendencies of manualization.
F23 material improvement	Improved body material	The Hong Kong Chinese Orchestra’s newly developed plate and membrane resonant Gehu is perfect, and the reform is very successful, its four strings vibrate very evenly
F23 material improvement	Improved string material	The outer layer of the steel strings of the guqin is wrapped with nylon wire, which is a “steel rope,” that is, a very thin steel wire dumpling (twisted) into a steel rope, so as to reduce the amplitude of string vibration, reduce the volume, the tone is also softer.
F25 process handling	Drying processing	The Qiang flute is treated with oil dipping and drying processes, which also reduce the impact of climate and temperature changes and oral temperature changes on the intonation of the bamboo material during the performance.
F25 process handling	Carved Lacquer craft	The carved lacquer lute uses the carved lacquer process instead of mahogany and rosewood as the backboard of the lute. The carved lacquer lute is less expensive than the mahogany lute and simplifies the production process.
F12 increased durability	Add copper sheet	Change the evaluation made of sorghum rod to bamboo, and add copper pieces to the bamboo products to increase durability and tone
	Strings use emerging materials	It is made of polymer material. It has changed the shortcomings of the early bone and steel products, which are easily dented and worn out, and not only improves the wear resistance but also avoids the loss of strings.
	Alloy base	Use alloy micro-adjustment holders. In addition to improving the fine-tuning effect, it also increases its service life. Easy to replace in case of micro-adjustment failure
F11 convenient to carry	Size reduction	In order to make the volume of the pith smaller with a reasonable layout, they used the method of folding the pith seedlings for development
F11 convenient to carry	Crossing customs on the side	Most huqin-type musical instruments are covered with python skin, which will not pass customs smoothly because of animal protection and other reasons. The man-made eco-friendly leather used in the series of eco-friendly huqin solves this problem.
F9 convenient to play	Solving the transfer problem	Multi-hole recorders, including keyed recorders, make it easier to solve transpositions and to play changing scales quickly
	Favorable control	Adopted the design of Ruan Ham, head of Tang Dynasty. Generally, the Ruyi head and mechanical fine-tuning square system at the top of the Chinese Ruan are heavy, making the instrument top-heavy and bottom-light, which is not conducive to holding and playing.
	Easy to start	The lute is inserted with a flexible chromatic grade that can be removed as needed, making it easy for lute players to transition
	Non-running, easy to change strings	The gum of the guqin has a downward sloping tail with a screwed shaft embedded in it. This allows each string to be replaced individually and is not easily slipped.
F10 performing posture	Standing performance	Standing performance on the yangqin is not only more flexible, but also helps to enhance stage presence and offers the possibility of innovative musical performances.
F10 performing posture	Sitting performance	The instrument “Genka” is a floor-mounted instrument with a stand and base to facilitate stage performance.

Axial Coding

Axial coding is the stage of analyzing and comparing the categories identified in open coding, thereby extracting the main categories. During the open coding phase, we decomposed the original text into codes of different types and levels, and refined the initial categories. In the axial coding phase, we further refined the 25 categories derived from open coding, inducing seven main categories. The main categories and their corresponding initial categories are shown in Table 2.

Table 2.

Example of Axial Coding.

Main Category	Corresponding categories	Scope Content
Sound optimization	F1 sound improvement	Sound improvement means that the instrument has a harmonious vocalization, a dynamic tone, and is free of noise.
	F2 volume increase	Volume increase means that the instrument is vocalized loudly to meet the volume limit of the stage audience.
	F16 enriching the sound	Enrichment of the tonal rhythm including the overall vocal rhythm of the instrument and the orchestra, and the integrity of the tonal range
	F18 sound control	Sound control includes the control of the pitch of the instrument and the control of the aftertone
Musical Instrument Production	F19 production standards	Production standards refer to the standardization and industrialization of the manufacturer’s production of musical instruments.
	F23 material improvement	Material improvement refers to the improvement of the instrument in two aspects: body material and string material.
	F31 Process Handling	Process treatment refers to one of the manufacturing techniques used by instrument manufacturers for the manufacture of musical instruments, including drying and carving lacquer.
	F12 various specifications	Increased durability means that the service life of the instrument is Variety of specifications refers to the diversification of musical instrument shape, size and feel to meet more market demand.
Instrumental performance	F11 convenient to carry	Portability refers to the ease of carrying the instrument in the player’s daily life.
	F9 convenient to play	Convenience refers to the ease of use of the instrument during performance, including holding, transposing, and changing strings.
	F10 change of playing posture	Changing to a standing or sitting posture according to the needs of the orchestra and players
Orchestra requirements	F8 sound effects	The orchestra needs to balance the needs of each voice part, and create a series of Sheng, series of Ruan, etc.
Orchestra requirements	F7 large scale	The orchestra pursues a large scale of instruments, forming a series of string instruments, plucked music, wind instruments, etc.
Cultural identification	F13 esthetically pleasing	Esthetic appearance refers to the decoration of the body of the instrument, usually embellished on the neck, fingerboard, headstock, back of the resonance box, etc.
	F14 national elements	Ethnicity elements are reflected in the details of the instruments, reflecting the symbols of national culture.
	F34 reverence for ancient music	A series of imitations of ancient musical instruments as a result of the cultural pursuit of revering ancient music
Social policy	F4 project support	National level support for musical instrument improvement, including social science funds, science and technology innovation projects, etc.
Social policy	F6 environmental policy	Involvement in the improvement and manufacture of musical instruments using environmentally friendly materials
Technology innovation	F22 electronic instruments	Combining electronic acoustic principles in modern science and technology with traditional folk instruments
Technology innovation	F27 patented technology	The use of patented technology is incorporated in the improvement of musical instruments.

Selective Coding and Model Building

Selective coding aims to further systematically understand the relationships between the categories, making their inherent logic and relationships more concrete. At this stage, the core categories are excavated from the main categories, and various related variables are induced into a theoretical framework (Pandit, 1996). Through the axial analysis of the seven main categories, in combination with the comparative analysis of the original data and personal thought, the core category was determined as “factors and driving mechanism influencing instrument improvement.” Based on this, the emerging categories and concepts in the research were analyzed and summarized, and a model of factors and driving mechanism influencing instrument improvement was established around this core category (see Figure 2).

Figure 2.

Evolutionary mechanism of Chinese ethnic musical instrument improvement (SSE).

Theoretical Saturation Check

We randomly selected two samples from each category of literature mentioned in Table 2 and performed open coding, axial coding, and selective coding again in the order previously described. Upon analysis, no new concepts and categories were found, nor were any new relationships discovered.

Model Interpretation and Discussion

On the basis of the aforementioned coding and analysis, we discovered and constructed a model of the evolution of motivation for the improvement of traditional Chinese musical instruments, which we call the Sound Representation-Subjective Facilitation-Environmental Traction (SSE) model. This model not only explains and presents the motivations for improving traditional Chinese musical instruments throughout the ages. It is also a model that can be used as a reference for the future path of musical instrument improvement. We will elaborate and discuss this model with specific best practice cases to clarify the logical relationship between sound performance, environmental traction and subject facilitation.

The central category “Sound Optimization” is a crucial influence and motivational factor in the improvement of traditional musical instruments. It encompasses efforts made by developers to enhance the sound performance of these instruments, thus enriching their expressiveness and creativity to meet the demands of evolving traditional music. Sound optimization is not only the objective and outcome of these improvements but also their driving force and motivation.

Subject promotion, environmental traction, and technical support are the most significant internal and external factors in these improvement activities. “Subject promotion” pertains to the key participants in these activities, including instrument manufacturers and performers. “Environmental traction” refers to the external conditions in which these activities take place, including technological innovation, social policy, cultural recognition, and more. Further elaboration on each dimension of the model is provided below.

Sound Performance

Sound performance, also referred to as the performance of the instrument, includes four aspects: tonal improvement, volume amplification, range expansion, and sound control. These aspects encompass the complete content of traditional instrument performance. Miu Tianrui and Li Yuanqing posit that the success of instrument improvement primarily depends on four influencing factors: range, tuning, beauty of sound, and expressiveness (Hu, 2012). The main pathways for instrument reform emerge from music, range, volume, and standardization (Y. Q. Li, 1954). These have been limiting issues for Chinese traditional instruments in the past (Chan & Lau, 2020).

Among these, tonal improvement is central to enhancing sound performance and is a long-term objective of instrument reform. Many factors influence sound quality and timbre, including the structure of the instrument, the quality of its strings, manufacturing techniques, and striking tools, among others. For example, the use of multi-spliced soundboards in the pipa results in more harmonious sound vibration and significantly improves the instrument’s acoustic quality. The liuqin, a high-pitched, four-stringed instrument, achieves bright and beautiful tones with an enlarged resonance box. The yangqin, a Chinese hammered dulcimer, has steel strings in the mid and high-tone areas and copper strings in the low-tone area, thus maintaining a deep, mellow sound in the lower range while enhancing the piercing quality of high tones.

The basic improvement of traditional instruments has involved increasing their volume (Lee & Zhang, 2021), allowing a balance between tones that are too resonant or too weak. For example, in the case of the Tibetan root card instrument, reformers have made multiple attempts over several years to increase its volume while maintaining its original sound characteristics.

Expansion in the range of sound has also been achieved. In the process of reforming traditional Chinese instruments, many renowned or fixed-pitch instruments, such as the pipa, ruan, yangqin, and others, have been modified to conform to equal temperament (Chow, 2019). After reform, these instruments began to adopt the 12-tone equal temperament scale, expanded their range, and added semitones to facilitate modulation. For instance, the erhu added four semitone keys after being modified, allowing it to play all semitones in the 12-tone equal temperament. The dizi added eight finger holes and a tuning hole, expanding its range to two and a half octaves.

Sound control encompasses controlling pitch and controlling the sustain. Due to factors such as manufacturing techniques and materials, traditional Chinese instruments had unstable or inaccurate pitch, affecting their coordination with other instruments or voices. After reform, these instruments adopted more scientific and precise measurement and adjustment methods, ensuring or improving their pitch accuracy and stability. For example, the guzheng uses standardized strings and bridges and employs electronic tuners for tuning after its modification.

Furthermore, the modern music landscape continually introduces high-difficulty and innovative techniques. The arbitrary sustain and diffusion of instrument sounds can impact artistic expression. For instance, to effectively control the sustain and improve the muddy sound of the modern yangqin, researchers began exploring and practicing with a sustain-controlling device on the yangqin in the 1960s. This device, controlled by keys or pedals, manages the pressure applied to the strings, thus achieving control over the sustain.

Subject Driven

The improvement of musical instruments needs to be integrated with the research of instrument manufacturing and artistic practice (Hu, 2012). This drives the three main subjects of improvement: manufacturers, performers, and music groups. In the reform of musical instruments, manufacturers, composers, and performers work together in a “trinity” (Ling, 1987). For manufacturers, standardization and diverse specifications are sought for instruments, and materials and manufacturing techniques are improved. For performers, the improvements of musical instruments need to be convenient to play and carry. For music groups, the overall sound effect and the large-scale series of musical instruments are sought.

Furthermore, for manufacturers, performers, and music groups, professional competence is the key factor influencing the outcome of instrument improvement (Wu, 2014). The professional competence of manufacturers determines their technical capability and innovative level in instrument improvement. For example, they can develop lighter, more durable materials and construction designs with superior tonal advantages to improve the performance of the instruments. Manufacturers can also adjust the details of instruments to better suit the needs of performers based on their feedback.

The personnel involved in the improvement of musical instruments in China are often former performers. They are very familiar with the instruments they are improving and have a clear understanding of their performance strengths and weaknesses. The reformers need to have common knowledge in multiple disciplines such as music, art, literature, and science, and have the ability to inherit, reference, and apply traditional and modern technical skills flexibly. Therefore, their participation and cooperation in the improvement process are crucial. Thus, the professional competence of manufacturers, performers, and music groups is a key factor affecting the outcome of instrument improvement. Their professional knowledge and experience can directly affect the quality and innovation degree of instrument improvement. Therefore, the cooperation and interaction between manufacturers, performers, and music groups are crucial in the process of instrument improvement to achieve better results.

Instrument Manufacturers

Instrument manufacturers are the primary producers and suppliers of improved instruments. They need to continuously research and innovate to meet market demand and competition. Instrument manufacturers need to consider the performance, function, esthetics, cost, and sustainability of instruments to improve their quality and sales.

First, manufacturers need to strive for standardization in instrument production. The current stage of improved instruments in China or the instruments we produce lack scientific nature in materials, processing, manufacturing techniques, overall sophistication, stability, and have a strong tendency toward handcraftedness. These factors hinder the use of the results of instrument improvement, making it difficult to achieve completely unified specifications and shapes under modern industrial production standards. This is also not conducive to the establishment of standardized orchestras. Fortunately, some instrument manufacturers have improved their processing equipment, and some companies are now using CNC equipment, such as the processing of semi-finished products of Yangqin, Pipa, and Erhu.

Second, the specifications need to be diversified. Instrument production needs to make different instruments based on the same specification standard according to different playing styles and hand feel requirements of performers. Take the Pipa as an example. If the positions of the hand cover are different, some are suitable for beginners, and some are suitable for professional performers. Among professional performers, Pipas with different acoustic characteristics and hand feels are named different models to meet the needs of different performers.

Third, the improvement of instrument materials. Material improvement is closely related to technical production conditions. Since the 20th century, the use of emerging materials has also become the main content of instrument improvement work. However, the adoption of new materials must be related to the timbre and physical characteristics of the original instrument. Specifically, it includes the improvement of the instrument body, strings, and tools. For example, the three instrument improvement conferences in Beijing from 1954 to 1961 mentioned the improvement of the “Pipa Yijia,” and different metal materials (such as copper, silver) and natural materials (such as cow bone, buffalo horn, etc.) were used for experiments.

Finally, the processing of instrument manufacturing techniques. For example, in the improvement work of the Qiang flute planned by the Sichuan Provincial Art Research Institute in China in 2013, the researchers used oil immersion and drying processes to shorten the bamboo drying process to about 3 months. At the same time, the impact of climate and temperature changes and changes in oral temperature during performance on the pitch accuracy of bamboo was reduced, and the stability of Qiang flute performance was enhanced. If you want to accelerate the promotion and use of the results of instrument reform, there is no doubt that instrument manufacturers with production capabilities should increase their investment in scientific research to promote the progress of instrument reform.

Performers

Performers are the main users and consumers of improved instruments. They need to meet the daily use and performance needs of performers. Performers play an important role and have significant influence in instrument improvement. They can not only propose their needs and suggestions on instrument performance, function, esthetics (Cope & Smith, 1997), etc. but also need to meet daily use and actual performance needs.

The daily use of the instrument should be more controllable, providing convenience for people’s playing and learning, which will undoubtedly accelerate the popularization of folk music. It is harder for beginners to start with ethnic instruments than Western music. Lowering the threshold and difficulty of entry is also one of the needs of performers for instrument improvement. At the same time, the instrument is more convenient for daily use, such as assembly, repair, and maintenance.

In actual performances, the physical burden brought by the performance should also be reduced to facilitate the display of various high-difficulty techniques. For example, when playing the old-style three-string, the performer needs to press the drum with the right hand while holding the rod with the left hand to stabilize the instrument body. Not only does the left hand exert effort in changing the grip, but long-time holding also causes a significant physical burden for the performer. Therefore, some three-string improvements have designed a stand, shortened the rod, and reduced the weight of the instrument head to reduce the physical burden of the performers and improve the freedom and technicality of the performance (Shi, 2013). Performers care about the tone, range, volume, stability, durability, and other factors of the instrument to ensure their expressiveness and effect (Cope & Smith, 1997). In addition, performers maintain good communication and cooperation with instrument manufacturers and orchestras to put forward performance needs and suggestions and accept their services and support.

Orchestra Requirements

Orchestras are the primary organizers and promoters of musical instrument improvements, establishing their own style and character through the coordination and integration of diverse instruments. Factors such as instrument harmony, adaptability, and popularity must be considered to safeguard their reputation and profit (Trehub et al., 2015). Orchestras also need to maintain effective communication and collaboration with instrument manufacturers and performers to access their resources, assistance, and to obtain their feedback and evaluation.

The reform of instruments used in Chinese traditional orchestras forms a crucial part. Starting from the principles of orchestral acoustics and composition, the issues needing to be addressed for each instrument reform are studied to enhance the orchestral performance ability. The 20th-century Chinese instrument reform practice, influenced by the modern Western civilization system, aimed at adapting Chinese traditional instruments in terms of range, tone, temperament, and performance characteristics to meet the construction requirements of national orchestras (Le, 2020). This has allowed existing traditional instruments to expand their range, augment their resonance, beautify their tone, diversify their categories, standardize their temperament, and promote orchestral balance, harmony, and fullness in volume.

Considering the practical situation of the four major traditional Chinese orchestras (Central National Orchestra, China Broadcasting National Orchestra, Shanghai National Orchestra, Avant-garde Red Star National Orchestra), systematic adjustments have been made to improve musical contrast and coordination, balance in volume, and connection of high, middle, and low instrumental parts, and the characteristics and role of each group within the whole orchestra.

Moreover, Chinese traditional orchestras have achieved the reform from fragmentation and small-scale to series and large-scale (Feng, 2012). Past Chinese traditional instrument performances often embodied single instrument performances or combinations of a few different ones, creating various stylistic performances. To meet the needs of chamber music, parts of the reformed national orchestras have been serialized, such as the string instrument series (gaohu, erhu, zhonghu, dahu), the Ruan series in the plucked music department (xiaoruan, zhongruan, daruan), the Sheng series in the wind music department (high-tone button sheng, mid-tone sheng, sub-mid-tone sheng) and the Suona series, reflecting larger scale and three-dimensionality of the orchestra.

Environmental Traction

The reform of traditional instruments is influenced by the overall environment. It’s a complex process, influenced by multiple factors. These primarily include technological innovation, social policy, and cultural identification that interact to shape the direction and results of traditional instrument reform.

Technological Innovation

Technology plays a significant role in traditional instrument reform. As technology advances, instrument manufacturers can use advanced techniques and processes to improve instrument tone, volume, and response speed. For instance, the development of audio technology offers manufacturers the opportunity to improve tone and sound effects, while the application of digital audio processing technology allows performers to achieve a wider range of musical expression.

3D printing technology serves as a novel material for instrument manufacture, injecting new technology and sources, providing preconditions for upgrading instrument manufacturing technology. At the 2014 China (Shanghai) International Musical Instrument Exhibition, flutes, panpipes, whistles, and MIDI controllers were printed using 3D printing technology. These “printed” instruments and controllers all had functional performance capabilities. The 2019 PLAM Beijing International Musical Instrument Exhibition’s “International Innovation Musical Instrument and Music Technology Development Forum” showcased a 3D-printed East zither and an improved erhu. The “Wenqin” exhibited at the 10th National Musical Instrument Symposium in 2021 used 3D printing technology, which not only enhanced the quality of the instrument but also reduced costs.

Furthermore, the technological upgrade in the instrument industry is also reflected in the renovation of digital (electronic) instruments. The principles of electronic acoustics in modern science and technology are combined with traditional instruments to improve the sound effects, enhance expressiveness and artistic appeal. The 21st-century Chinese traditional instruments began to attempt electronic guzheng, electronic pipa, etc. For instance, the electronic pipa and electric pipa are two instruments that possess rich expressiveness and were jointly developed by Deng Wei, a pipa performer from the Oriental Song and Dance Ensemble, and Tian Shuangkun, a stringed instrument maker from the Beijing National Musical Instruments Factory. These instruments share a similar appearance to the traditional pipa, with the difference being the installation of electrical components on the frame panel of the instrument’s body. The sound production principle involves the placement of a pickup near the bundled strings, which converts the vibration of the strings into electrical signals through electromagnetic induction. Finally, the sound is amplified through the effects of an amplifier and speaker (Lee & Zhang, 2021). The EH-10 electronic erhu developed by Roland founder Ikutaro Kakehashi is a representative work of digitized traditional instrument modification. These electronic instruments meet the requirements of modern music technology creation without changing the original characteristics of the instrument and ensure accurate tuning and convenient transposition.

Social Policy

Social policy plays a vital role in instrument improvement as it reflects national and societal support and recognition for traditional instruments. Instrument reform should be conducted under the government’s unified plan (Hu, 2010), with participation from governmental departments, universities, orchestras, and businesses. This creates a platform and mechanism for improving Chinese traditional instruments. This also gains publicity and financial support from governments and enterprises, and gradually supports the improvement of ethnic minority instruments through project initiation, such as the Ministry of Finance supported the Ministry of Culture’s Science and Technology Innovation Project, the National Social Science Fund Art Project (database construction), the National Culture and Technology Improvement Plan, and projects developed in cooperation with renowned foreign electronic music companies. In response to the development changes and demands of traditional instruments, the establishment of reasonable standards, norms, evaluations, and other systems are needed to promote innovation and inheritance of traditional instruments.

For example, the three Beijing Instrument Reform Meetings held in 1954, 1959, and 1961 provided unified planning and guidance for traditional instruments, setting a series of reform principles and targets that promoted the scientific, modern, and large-scale development of traditional instruments. In the “National Medium and Long-term Education Reform and Development Plan (2010-2020)” released in 2012, China explicitly proposed strengthening national music education and cultivating national music talents as important tasks, providing policy support for the promotion and popularization of traditional instruments in the educational field.

Environmental Policies

In contemporary society, environmental protection and sustainable development have become some of the significant global issues. Within this context, environmental policies have had a positive influence on the improvements in traditional musical instruments. Firstly, these policies necessitate a reduction in the consumption of natural resources and negative environmental impacts. Traditional materials and techniques used in the production of musical instruments can potentially damage the environment. Consequently, environmental policies encourage manufacturers to adopt more eco-friendly materials and manufacturing processes to alleviate pressures on resources such as forests, water, and land, and to minimize environmental pollution. In response to this, in 2019, the National Musical Instrument Standards Committee established standards for energy conservation and the use of new materials, constructing a green and energy-efficient standard system, in alignment with the “Energy Saving, Environmental Protection” and “New Materials” requirements outlined in “Made in China 2025.” Major domestic musical instrument industries have responded to these national policies by pursuing environmental certifications for their products (Zhao, 2021).

New materials such as nanomaterials, carbon fiber composites, polyester fibers (PET), and artificial biomimetic skins have been introduced into the industry, showing significant progress after repeated testing. For instance, an “Eco-friendly Huqin Series,” developed by Ruan Shichun of the Hong Kong Chinese Orchestra, replaced python skin, traditionally used in Huqin-type instruments, with artificial skin, complying with China’s current environmental protection requirements. By advocating the use of eco-friendly materials and techniques, reducing the use of harmful substances, and practicing circular economy and sustainable use, environmental policies urge instrument manufacturers to consider the importance of environmental protection when improving instruments. This influence facilitates a more eco-friendly and sustainable direction in the improvement of traditional musical instruments.

Cultural Identification

Aspects such as musical styles and esthetics can influence an instrument’s expressiveness, adaptability, popularity, and even the motivation and goals for its improvement (Bazan, 2005). Cultural identification encompasses esthetic appeal, ethnic elements, and the reproduction of ancient music. It reflects the cultural connotations and values of traditional musical instruments. In the improvement of instruments, cultural identification plays a crucial role and carries significant influence. It provides a basis and reference in terms of history, tradition, and style for the traditional instruments and also bestows them with characteristic spiritual value.

The design of an instrument’s exterior is not only a form of artistic expression but also a crucial symbol of cultural identification. By refining the instruments’ appearances, such as intricate carvings, unique decorations, and various detailed designs, the esthetic value of the instruments can be enhanced and their appeal can be better aligned with contemporary esthetic trends. In instrument innovation, it is important to maintain the essence of ethnic elements and align with the esthetic preferences of the culture (Lee & Zhang, 2021).

Replicating ancient music is a trend in the improvement of traditional instruments. Ancient Chinese instruments, with their long history and unique musical tradition, are a testament to the inheritance and innovation of musical instruments. For example, Mr. Zheng Ruzhong from the Dunhuang Art Research Institute has replicated ancient music by examining and sketching the depiction of musical instruments in numerous murals in the Mogao Caves, creating 54 reproductions. For the improvement of traditional instruments, blindly pursuing Western orchestral esthetic standards is discouraged while retaining national characteristics as much as possible.

Conclusions and Recommendations

Conclusions

Based on grounded theory, this paper constructs the SSE model through the study of academic and conference papers. We found that the improvement of Chinese traditional musical instruments is a dynamic process influenced by various internal and external factors. Among them, acoustical performance is the main internal factor influencing instrument improvement. Enhancing timbre, increasing volume, expanding range, and controlling pitch accuracy are the main components of timbre performance, driving the continual practice of instrument improvement. The external driving forces of instrument improvement include primary driving forces and environmental traction. Instrument manufacturers, performers, and orchestras are the three main entities directly promoting instrument improvement. For manufacturers, instrument improvement includes the standardization and diversification of instrument specifications, as well as improvements in materials and craftsmanship. For performers, improvements should facilitate playing and portability. Orchestras, on the other hand, seek overall sound effects, preferring larger instrument series. Additionally, professional capability is a common requirement for all major institutions, with each institution’s level of expertise being a key factor influencing its improvement decisions. The environmental traction of instrument improvement includes technological innovation, social policy, and cultural identity. Technological innovation remains the main productive force for instrument improvement; the emergence of electronic instruments and the invention of patented technologies have reduced production costs and diversified the presentation of instruments. Social policies provide important guidance and protection for the environment of instrument improvement, reflecting the state and societal support for traditional instruments through project support and environmental policies. Cultural identity, including esthetic tastes, ethnic elements, and the reproduction of ancient music, all subtly influence instrument improvement. In summary, the continuous improvement of traditional instruments begins with internal driving forces of acoustical performance and extends to external driving forces of primary drivers and environmental traction. These internal and external drivers are not unidirectional but interact in a dynamic process of constant adjustment.

Previous studies often focused on the innovation and improvement of Western instruments, neglecting regions like Asia (China) where instrument improvement received less attention. Chinese musicologists also believe that Chinese traditional instruments not only need further exploration of the direction of traditional instrument improvement but also need to explore “beyond music” content.

Therefore, targeting this less-attended “instrument improvement” group, we constructed a driving mechanism model (SSE) for the improvement of Chinese traditional instruments, revealing the various factors and inherent connections of Chinese instrument improvement. This elucidates the value and behavior of Chinese instrument improvement. It broadens the scope of attention from the perspective of grounded theory, contributing not only to the practical aspects of Chinese instruments but also providing insights for other countries to improve traditional instruments. It attempts to provide inspiration for the protection and diversity of global musical culture.

Practice Implication

The mechanism of instrument improvement is particularly important for the study of instrument development and is an essential cornerstone for sustained and healthy progression. This study initiates discussion from academic research and practical cases of musical instruments, using grounded theory to examine the core elements of the impetus for the improvement of Chinese traditional instruments. It further clarifies the internal and external dynamics within the improvement process and their functioning mechanisms. Based on these results, we propose the following suggestions.

Promotion of Music Education and Popularization. Music education and its popularization are critical pathways to cultivate and broaden the user and appreciator base of ethnic instruments. It is also an important means of enhancing the social influence and cultural value of these instruments. Ethnic instruments are garnering more attention and recognition at various levels, such as in primary and secondary schools, higher education institutions, and social groups. To meet the needs of music education and popularization, ethnic instruments need to facilitate their application and promotion in teaching, performance, and appreciation. For instance, at the primary and secondary school level, some ethnic instruments need to be simplified or standardized to reduce learning and usage difficulty and costs, thereby increasing their affinity and appeal. At the higher education level, some ethnic instruments need to be improved to raise their performance level and effect in professional teaching and performances, expanding their expressiveness in various musical forms and styles. Within social groups, some ethnic instruments need integration or creation to satisfy different group’s music requirements and esthetic tastes, enhancing their communication and integration in multicultural contexts.

Support from Music Technology and Industry. Music technology and the industry provide vital conditions and forces to ensure and promote the improvement of ethnic instruments. It is also a crucial pathway to enhance the technical level and market competitiveness of these instruments. To adapt to the support of music technology and the industry, ethnic instruments need to utilize advanced technological means and industry resources to improve their quality and efficiency in manufacturing, performance, recording, and broadcasting. For example, in manufacturing, modern materials, tools, and equipment need to be employed to improve the structure, materials, and craftsmanship of ethnic instruments, enhancing their stability, reliability, and durability. In performance, modern electronics, digital technologies, and networking need to be used to expand the range, timbre, and techniques of ethnic instruments, increasing their flexibility, diversity, and innovativeness. In broadcasting, modern media, platforms, and channels need to be used to broaden the information channels of Chinese ethnic instruments.

Limitation and Future Research

Although this study utilized a large number of literature sources and placed emphasis on the authenticity of the information during selection, a limitation of this research lies in the relatively single data source. The study did not consider the needs and feedback of instrument users and consumers, nor did it touch upon the specific processes and outcomes of ethnic instrument improvement activities. Future research could explore this further through more diverse data collection methods such as interviews and questionnaires, to gather the needs and feedback of instrument users and consumers.

Footnotes

Acknowledgements

The authors would like to express their sincere gratitude to the reviewers and editor for their valuable suggestions.

Declaration of Conflicting Interests

The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

Funding

The author(s) received no financial support for the research, authorship, and/or publication of this article.

ORCID iD

Yidi Ma

Data Availability Statement

The data that support the findings of this study are available from the corresponding author, upon reasonable request.

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