Archive for the 'Directors: Scorsese' Category
The Wolf of Wall Street.
At many points in The Wolf of Wall Street, we hear the voice of Jordan Belfort chronicling his exploits in building up a rapacious investment company. A few times he even addresses the camera.
What’s he doing? Well, he’s telling us a story, obviously. Stories are what many (not all) films present to us. But how, exactly, can we understand the storytelling process in film? What do the filmmakers do, and what do we do?
For my book Poetics of Cinema, I wrote a chapter called “Three Dimensions of Film Narrative.” This 2007 essay tries to come to grips with several questions. Some are pretty general. What makes a film a narrative? How does a narrative film shape our response? What roles do visual and auditory techniques play? What are the roles of emotional responses and broad cultural factors? How does characterization work in a movie?
Other questions are narrower. How revelatory is Hollywood’s three-act model of plot? How do we pick out a story’s protagonist? Do literary concepts like “narrator” and “implied author” apply to films?
Since the chapter is part of a larger book, some of these matters are dealt with at greater length in other chapters. Some are developed in other books, notably Narration in the Fiction Film, and elsewhere on this site. This essay was my attempt to boil down my thinking about filmic storytelling into one convenient, if sometimes sketchy, form.
Today I’m posting a corrected, slightly revised version of that chapter as a downloadable pdf file. Thanks to our web tsarina Meg Hamel, it has links as well. Students, teachers, researchers, and casual or ardent cinephiles: Make use of this as you like.
The essay is here.
This blog entry is a guide to the essay, or maybe just a trailer. As with a trailer, my use of The Wolf of Wall Street is illustrative; I’m not offering anything like a full analysis or even a review. And like most trailers, mine has spoilers.
The three dimensions I explore in the essay are narration, plot structure, and story world.
Dimension 1: Pushy narration
A film’s narration I take to be unfolding and organization of story information as the viewer encounters it, moment by moment. . (This is distinct from the term “voice-over narration,” like Jordan’s in The Wolf of Wall Street, though voice-over commentary is part of the overall narration.) Narration is designed to shape our itinerary through the film. It’s a complex array of cues that guide us in building up the story.
In The Wolf of Wall Street, the first dose of information we get is a TV commercial for the Stratton Oakmont investment company. We see busy, efficient brokers bent over their desks in a vast office as a lion paces the aisles. But then we get another view of the office, as partying staff prepare to launch a little man in a Velcro suit toward a target. The man is hurled, and one of the men who tosses him identifies himself as Jordan Belfort. We’re then launched into a sequence laying out Jordan’s lifestyle.
One thing this portion of the narration does is to peel back the staid, solid image of the brokering house and show the orgiastic self-indulgence behind it. What if Scorsese and his screenwriter Terrence Winter hadn’t included the commercial? Our sense of the contrast between public image and internal debauchery wouldn’t be so strong.
The quick scenes of Jordan’s lifestyle, driven by drugs, sex, and high living constitute a block of concentrated exposition. The narration could have introduced Jordan’s debauchery gradually through hints, but instead we’re told of it bluntly and swiftly. Jordan boasts that at age 26 he made nearly fifty million dollars a year. We’re coaxed to ask: How did he get so far?
This is, we might say, a curiosity question—a question about what in the past led up to the present. A film’s narration is often prodding us to ask just this question. A piece of narration may also provoke effects of surprise, as when the Velcro-target episode undercuts the corporate image. Surprise is central to narrative because knowledge is distributed unequally among characters and spectators; any character may have a secret.
There’s also suspense, which we can consider broadly as a sharpened anticipation of what might happen next. In The Wolf, I’d argue that there’s some suspense when Jordan, zonked on Quaaludes, must save Donnie from choking on a piece of ham. Curiosity, surprise, and suspense aren’t of course the only effects of storytelling, but they function as “master-effects,” in Meir Sternberg’s phrase. They are central to our comprehension of the story.
Style as narration
At the same time, narration is shaping our experience through film style. The staid tracking shot along the desks in the commercial, with the firm’s trademark lion prowling the aisles, clashes with the abrupt editing and freeze-frame that introduces Jordan. The actors’ performances, centrally the swaggering performance of DiCaprio, are part of narration as well. The soundtrack’s stylistic texture contributes a lot too, with Jordan’s voice-over and the music and effects creating a rousing, exhilarating effect. The narration’s use of film technique, I think, aims to summon up a shocked but fascinated and amused awareness of the decadent world that Jordan rules.
Throughout Wolf, Scorese’s stylistic choices serve narrational purposes. There are rapid montage sequences, commenting musical tunes, and dialogue hooks (“I won’t call him”/shot of Denham, called, approaching Jordan’s yacht). Scorsese’s fondness for rendering psychological states—here, druggy ones—is presented through classic “impressionist” techniques. As the film goes on, he starts to take us into characters’ minds through inner monologues and misperceptions (the smashed Ferarri). Stylistic patterning also contributes to the film’s tone of grotesque comedy, not just through the dialogue, delivery, and music but through editing. The potentially dramatic moment of Jordan rescuing Donnie with CPR is intercut with a Popeye cartoon: Jordan’s miraculous spinach is coke.
By shaping our knowledge, the narration also throttles the film’s emotional appeal up or down. For example, in one scene Jordan punches his second wife Naomi. Scorsese presents the action in a distant shot, in which a doorway allows us merely to glimpse the violence.
This choice lessens the impact of Jordan’s aggression. It gives us important information about the story action, but not nearly as forcefully as the tight close-ups of sexual and drug-fueled escapades in other scenes do. You could argue that closer and more visceral views (of the sort we get during Raging Bull’s domestic violence, as above) would make it harder to treat Jordan’s bad-boy high-jinks as entertaining.
A more detailed analysis would trace the overall development of the film’s narration. We’d consider, for instance, how it restricts our information at key points. Although the narration breaks with its attachment to Jordan to show Denham’s investigation, it doesn’t reveal Naomi’s scheme to divorce him. We learn of that only when he does. As we indicate in Film Art: An Introduction, “Who knows what when?” is a central question for understanding film narration.
Narration as inference-making
More generally, the essay develops in some detail a notion that’s central to understanding narration. I offer a mentalistic account of narrative understanding.
I think that a storytelling movie, through its narration, impels us to draw inferences. To follow a movie story is to turn the images and sounds into characters, actions, events, causes, and the like. This happens partly through fast, automatic inferences of the kind we make constantly in perceiving the world, and partly and more evidently through the inferences we make in building up that construct we call the movie’s story.
Everything I’ve been describing so far asks us to fill in, extrapolate, and draw conclusions at the level of comprehension. We take the Stratton Oakmont commercial as indicating trustworthiness. We’re encouraged to see the little-person-tossing scene as outrageous and boisterous but cruel, the amusement of people charged with a reckless energy. Jordan’s bragging montage sequence invites us see him as powerful, arrogant, and materialistic.
By saying that narration pushes us to make inferences I’m not suggesting that the inferences are models of deep thinking. They are, we say, commonsensical. In the multiplex, we’re not logicians. Understanding and responding to a story are processes based largely on folk psychology. In that respect, the chapter argues a point I’ve made elsewhere on the site.
Of course not all our inferences will be correct. It would be possible to knock down our first impressions of Jordan with information suggesting that beneath the sharkskin is a likable idealist. (That happens in Jerry Maguire.) Here, other sorts of moments steer our inferences astray. We’re led to think that Jordan drives his Lamborghini home safely, but that impression gets recalibrated the next morning. Earlier, when Denham visits Jordan on his yacht, the rather long, tense scene leads us to consider the possibility that the FBI agent is susceptible to bribery. His questions and facial expressions suggest that he’s weighing Jordan’s offer to help him with some investments. This interchange is conveyed in fairly tight shot/ reverse shots.
Only when Denham asks Jordan to repeat his offer does Scorsese cut to an angle showing that Denham’s colleague has, offscreen, quietly stepped close enough to bear witness to the bribe Jordan might offer.
Scorsese has choked off some information about the scene in order to yield a surprise, one that corrects the impression we were building up. One of cinema’s great pleasures is catching up with a narration that has been designed to lead us astray. Hitchcock fans, take note.
Dimension 2: Plot as pattern
You can also think about the narrative as having a more abstract, geometrical structure: that’s given to us as the plot. Narration creates on-line, moment-by-moment pickup; as viewers we go with the flow. The plot is more architectural, a sort of static anatomy of the film as a whole. We can think of it in a couple of ways.
As a map of a particular film, the plot consists of the overall arrangement of incidents. It lays out the story actions in time. It can proceed chronologically, as plots do most of the time, or it can rearrange incidents out of linear order. The Wolf of Wall Street follows the Stratton Oakmont commercial with the Velcro-target scene, and then presents Jordan at the height of his powers. But after the quick exposition of his lifestyle, the plot flashes back to his first day on Wall Street in 1987.
Now the film presents a mostly chronological layout. Jordan gets his broker’s license, loses his job, picks up a low-end one, and then rises to the spot running his company. This trajectory is sometimes interrupted by quick flashbacks filling in background on a character or a situation; we even get flashbacks within flashbacks. The overall time scheme is hazy, since we’re never shown exactly what point in time is “now.” There’s the suggestion that the initial flashback is rounded off when Jordan’s cohorts meet to plan the Velcro-tossing stunt, but that opening scene isn’t replayed, so we can’t be sure exactly when the opening flashback ends. The flashback must be finished at some indeterminate time late in the film, when Jordan’s fortunes decline and Naomi is alienated from him. But the narration whisks us along without establishing the firm framing devices of traditional flashback plotting.
From this perspective, every film establishes its own plot structure, based on the overall “geometry” of its scenes and sequences. There’d be a lot to say about this in The Wolf, such as the introduction of Denham (and the brief alternating scenes of his investigation) and the various lines of action that fill out the plot: Jordan’s addictions, his plan for an IPO, his two marriages, the SEC inquiry, his Swiss money-laundering schemes, and the like. The craft of screenwriting consists in large part of developing and braiding lines of action in this way. Several entries on this site, as well as many chapters of Narration in the Fiction Film and Poetics of Cinema, analyze how such plot patterns work in tandem with the narration’s unfolding.
Caught in the act(s)
Another way to think about plot structure is to consider how the particular film obeys broader principles of construction. Tragedy, comedy, melodrama, mystery stories, and other genres have distinct, widely-known conventions of plot geometry. There are as well traditions of plotting that cross genres.
In modern commercial cinema, the most famous structural convention is the three-act pattern. Kristin has proposed that Hollywood feature filmmaking is better thought of as adhering to a multiple-part principle based on characters’ goals. The film might have two, three, four, or more parts, depending on its running time and the ways it shows character goals created, reformulated, blocked, delayed, and fulfilled (or not). We’ve tested Kristin’s proposal in books (Storytelling in the New Hollywood, The Way Hollywood Tells it) and on this site (here and here and here and here).
The essay considers the matter more theoretically, but just to illustrate, I’ll hazard a layout of The Wolf of Wall Street’s plot structure. It’s nothing but spoilers, so I’ve flagged it all in olive green if you want to skip it.
Since Wolf runs about 173 minutes without credits, I think it can be usefully laid out in five large-scale parts. These are framed by a brief prologue (the commercial and the Velcro-target scene) and an epilogue summing up Jordan’s court sentence, his stay in a country-club prison, and his new career as “the World’s Greatest Sales Trainer.”
The Setup shifts from Jordan’s life at the pinnacle to his beginnings in the business and his rise as an entrepreneur. In the course of this portion he meets Donnie and the two assemble their team of eccentric, grotesque staff. After establishing Stratton Oakmont, Jordan demonstrates his sales technique and the script his salespeople will follow. This section consumes the first thirty-five minutes of the film.
What Kristin calls the Complicating Action, which resets the protagonist’s goals, centers on Jordan’s plan for an IPO and his affair with Naomi. Around the hour mark, Jordan is divorced and free to pursue the IPO, but now Denham of the FBI is following the company and the SEC is getting curious.
The Development section, which typically expands and delays the fulfillment of the goals set earlier, shows Jordan marrying Naomi, the firm’s frenzied launch of the IPO, and Jordan’s botched effort to bribe Denham. By about 96 minutes into the film, the two antagonists, Jordan and Denham, have faced off in a preliminary conflict. What remains is to see how Jordan will evade capture.
I’m inclined to see the fourth part as a second Complicating Action, because Jordan recalibrates his goal. Stratton Oakmont is making so much money he needs to find an offshore place for it. He decides on Switzerland, and the bulk of this section of Wolf focuses on whether he’ll be successful. But the SEC is breathing down his neck, and he momentarily considers quitting his firm. During a pep talk to his staff, his resolve weakens (he’s sold by his own rhetoric), and he decides to fight the regulatory battle. This is a turning point: now both the SEC and the FBI are on his tail with renewed vigor.
This section, a bit longer than the others, runs about forty minutes. I attribute that mostly to a wedged-in scene that’s almost pure delay: Jordan’s and Donnie’s wild night on Quaaludes, which ends with Jordan crawling toward his car, smashing it up, and saving Donnie from choking. Nearly all of this has no effect on the plot’s forward movement; Donnie survives and Jordan isn’t charged for the road mishaps. The only plot causality here is the fact that a wacked-out Donnie makes an incriminating call on Jordan’s home phone, which is tapped. This bit of action could have been handled much more briefly, but the Quaalude gluttony is so inherently funny, and forms such a plausible topper to the ‘lude motif throughout the film, that it’s expanded to a remarkable twelve minutes. This sort of delay is usually seen in Development sections, but because Jordan resets his goals in this section I’m considering it a Complicating Action.
The Climax (25 minutes) arrives when Jordan, hiding in Italy with Donnie and their wives, learns that Aunt Emma, his front for the Swiss money-laundering, has died. He must race back to Zurich to shift the money to a new account, and in the process the yacht is wrecked in a storm. He’s arrested and agrees to rat on his friends. Naomi divorces him. He tries to protect Donnie but fails and is sent to jail. In the epilogue he’s shown bouncing back, playing to an audience of suckers who share his dream of getting very rich.
Winter’s screenplay, with its parallelled and intertwined lines of goal-driven action and its reiteration of one large-scale component, a second Complicating Action, shows how the classical pattern can be expanded to fill out a longer-than-average running time.
Dimension 3: The story and its world
There’s a tendency to think of the story action as existing virtually before it becomes a plot and is presented through narration. It’s as if the story was already there, waiting to be turned into a film. To some extent, this can happen with documentary narratives and adaptations of novels, plays, and comic books. Nonetheless, as viewers we access a movie’s world only through narration and plot structures. In fact, “access” isn’t quite right. As I’ve indicated, I think that we construct the story inferentially, on the basis of the cues given by those other dimensions.
If every viewer has to build up the story herself, shouldn’t we have widely different senses of what happens? To some extent we do. People might fill in certain gaps differently, or draw divergent conclusions about what made something happen. Certain films, not typically Hollywood ones, do encourage more open explorations of the story situations. Here plot construction and narration may follow other conventions, such as those I’ve tried to chart in Narration in the Fiction Film and elsewhere.
Mostly, though, even in “independent films,” there’s a great deal of convergence among viewers’ inference-making. Sooner or later, we arrive at a common understanding of most of what happened and why. As we leave the shared realms of perception and comprehension, of course, viewers’ construals can diverge a lot. Once we get to abstract interpretations—such as whether The Wolf of Wall Street celebrates or condemns the anything-for-a-buck culture—we should expect a lot of variations. (I try to explain why this happens elsewhere in the book, in the essay “Poetics of Cinema.”)
“Three Dimensions of Film Narrative” considers the story and its world broadly, in terms of cues for causation and characterization. It focuses particularly on characters and how we understand them. Again I argue for an inferential model. This means that, as in real life, we’re practicing “mind-reading”—trying to figure out characters’ traits and temperaments on the basis of their behavior, trying to grasp their motives and goals. We build them up as persons on the basis of cues, and we ascribe to them many of the qualities we expect persons in the real world to exhibit. Again, folk psychology provides the ground: the film is likely to streamline and simplify the complexities of real-world personhood.
As viewers we don’t understand a character in isolation. Characters interact, and the narration and plot structure prompt us to compare them, rank them, sort them in different ways. In The Wolf, Jordan is handsome, brazen, and suave; Donnie, a classic weak friend, is awkward and homely, but he has a primal energy that matches Jordan’s slick élan.
Jordan’s father and most of his elders are more prudent and cautious than his crew, who are uninhibited. The guys are a bevy of misfits, distinguished from one another by looks and one or two tricks of demeanor.
Jordan’s first wife is a brunette hair stylist who voices doubts about his schemes; his second wife is a gorgeous blonde party girl who happily plunges into his lifestyle. In each case, the narration and the plot structure give us the necessary cues, usually redundantly. Jordan’s voice-over commentary reinforces the character information we get from the actors’ appearance and performance.
The essay also considers how films present character change. Sometimes characters come to learn more; they may not vary their distinguishing traits but they realize they have made a mistake. More deeply, characters may decide to get in touch with a suppressed side of themselves. That’s what happens, I think, in Jerry Maguire; he becomes the man his wife thinks he could be.
But very often characters don’t change. Jordan, in The Wolf of Wall Street, has an opportunity to confess, return the money he fleeced from his clients, and take his punishment. Instead, he insists that everything he’s done has been for his friends—the staff of the firm—and they deserve to succeed as he has. (Even though he is deceiving them too; he buys shares in his own IPO and orders the salespeople to push that stock.) What shocks many viewers about the film, I suspect, is that Jordan doesn’t become a better person in the course of his adventures. His punishment is light, he learns nothing, and by the end of the film he’s as amoral as he was when he started the company. (“Sell me this pen.”) As sometimes happens, the interest of the plot comes from watching a gifted, resourceful scoundrel adapt his techniques to changing situations.
But wait, there’s more
Okay, you may be asking impatiently. But why? Why offer these categories, carve things up, make supersubtle distinctions, concoct new terminology? Why not just do film criticism?
Well, partly because I want to articulate more than my response to a particular movie. I want to understand the more general ways in which films work and work upon us. I think we can usefully look for explanations of movies’ functions and effects, and these are things that ordinary film criticism doesn’t typically offer. For example, noticing how a film’s elements function with respect to narration, plot, style, and story world can do more than sensitize us to this or that movie. This sort of analysis can make us aware of broad norms of moviemaking and how particular films relate to those norms, currently and historically.
At the same time, the line of thinking I’m proposing casts light on the skills we deploy, mostly unawares, in experiencing films. No matter how simple-minded the movie, I think that we do things in following it; we exercise our narrative competence. On the other side, sorting things out this way can explain the range of choice and control open to the filmmaker. I think that the poetics of cinema I propose can help filmmakers become aware of the tools they are using–and perhaps encourage them to try other ones. My categories are derived from filmmaking craft, and perhaps they can in turn illuminate the practical tasks facing filmmakers.
A couple of final points. In the chapter I draw examples from a variety of films, many American (Cellular, Boyz N the Hood, You’ve Got Mail, etc.). Despite my consideration of Ashes of Time, Claire Dolan, Memento, and other films, some readers will ask why I don’t consider more non-Hollywood examples. The choice was strategic: Hollywood films throw the areas I’m charting into sharp relief. They provide clear-cut (not necessarily simple) examples of my points. And historically, the dominance of Hollywood film in the world’s theatrical market have given them a lot of influence. Much of what we think of as non-Hollywood is based on attempts to revise or reject those norms.
At the same time, I’m counting on readers cutting me some slack because I’ve written a lot about alternatives to Hollywood. My books on Eisenstein, Ozu, Dreyer, and Hong Kong cinema try to analyze diverse storytelling options. Elsewhere in Poetics of Cinema I discuss various narrative traditions, including varieties of network narratives and forking-path plots. Narration in the Fiction Film explores still other storytelling modes. And on this site I’ve had a lot to say about non-Hollywood constructive principles (for example, here and here).
The last section of the essay considers what is probably inside-baseball for many readers. Yet the underlying question is important. How adequately can film narrative can be understood on a model of literary narrative? Some theorists think that the basic principles of narrative are to be found in verbal storytelling, and narratives in other media must find equivalents for them. My own view is that narrative as a phenomenon gets mapped onto different media in varying ways. There may not be a single model that will be valid for plays, novels, dance, comic strips, radio drama, film, digital fiction, and so on.
For example, if Jordan Belfort were a character in a novel, certain weird things wouldn’t be happening onscreen. A first-person narrator in the novel can tell us only things that she or he knows about. But “inside” Jordan’s tale we get all kinds of scenes that he didn’t witness. True, he knew that FBI agent Denham was on his trail, but he couldn’t know the color of Denham’s office, or what Denham said to his colleagues. Nor could Jordan know exactly how the quarrel between his partner Donnie Azoff and his ally Brad Bodnik went down, even though we see the entire scene embedded in “his” telling.
Of course we can say that these scenes are just movie conventions. We accept that in film, first-person voice-over often includes scenes that the speaker didn’t witness, or maybe didn’t even know about. But that convention points to the limits of importing models of storytelling from literature to the study of cinema. A novel can’t wedge those things in without raising the question of how the narrator knows this. We just don’t ask such a question about Jordan.
By a path too winding to summarize here, these and other observations lead me to a counterintuitive conclusion: Narrative, at least in film, isn’t best understood as an act of communication from an author-like entity to a reader-like one. Why do I say that? How can film not be communication? Answer, too brief: What most people call communication I call converging inferences.
And to end my trailer, I suggest that we think of narrative in all media, most especially film, as inherently promiscuous. It will pull in anything that gets the immediate job done. That includes grabbing one element of ordinary conversation–a guy telling a story–without keeping the other bits of the communicative chain, such as feedback from a listener. Jordan is talking to us, but he doesn’t know we’re here, and we can’t interrupt him.
One more time: You can get the essay here. Thanks for reading!
In a way this post is a sequel to the previous entry; background on Meir Sternberg’s account of curiosity, suspense, and surprise can be found there. For more on the subject, see our category “Narrative strategies” and the essay “Common Sense + Film Theory = Common-Sense Film Theory?”
Many of the everyday terms we apply to stories are ambiguous or vague, so sometimes we need to define our terms or invent new ones. Take “narration.” In ordinary talk, can mean “voice-over commentary,” such as Jordan Belfort’s in The Wolf of Wall Street. But if we restrict our usage to just this form of sound, we don’t have a good term for the general flow of narrative presentation in the film, let alone films that don’t have voice-overs. So it’s useful to reserve “narration” for that general process and use “voice-over” in some form to describe the soundtrack’s role in that.
The same problem comes up with the term “point of view,” which has many different meanings. It might refer to first-person reportage, or what a character thinks and feels, or what she believes. (Obama is a good president from her point of view.) If we want to be precise in talking about these qualities of storytelling, we need to explain the terms we’re using.
And sometimes it’s just easier to introduce new terms. In the essay, I’ll sometimes call the plot the syuzhet and the story the fabula. Why the fancy terminology? Won’t “plot” and “story” do? Well, yes, up to a point. In this entry I did use those terms, and our textbook Film Art: An Introduction has done that ever since its first edition of 1979. Still, when we’re working within a research community, it helps to have terms, even unusual ones, which say exactly what we mean. The original readership for the “Three Dimensions” chapter knows that “plot” and “story” have different meanings in our culture, and so I tried to use terms that were less ambiguous. Not incidentally, I wanted as well to signal my debt to the Russian Formalist literary critics, perhaps our first modern narratologists.
Other chapters of Poetics of Cinema are posted online here.
P.S. 14 January 2014: Thanks to Steve Hilby for correcting me: I originally mis-identified Jordan’s car as a Ferrari.
P.S.S. 14 January 2014: My old friend Brian Rose signals his Academy interview with the filmmakers, in which Scorsese and Schoonmaker declare a lack of interest in “plot.” Pfui, says I.
This is the 150th anniversary of the birth of Georges Méliès (1861-1938). I doubt that the release of Hugo was timed to coincide with the occasion. If it were, no doubt the press kits issued by Paramount would have stressed the fact. Still, it’s a happy coincidence.
Hugo is receiving a lot of press attention, not surprisingly. If you’ve read more than one or two of the reviews and articles about Martin Scorsese and his film, you already know the two main hooks that journalists have hung them on. (Whether these originate from the pressbook or are just so darned obvious that everyone can figure them out, I don’t know.)
One, Scorsese is passionate about film history and preservation, so Brian Selznick’s best-seller quasi-graphic novel for children, The Invention of Hugo Cabret, based on the old age of early director George Méliès, would be a natural source for him to adapt. Especially so, since Selznick designed the illustration-heavy book to imitate a film, with series of drawings suggesting camera movements.
Two, the subject of Méliès’ pioneering special effects in the service of fantasy would be the perfect vehicle for Scorsese’s first venture into 3D.
True, no doubt, both of those points, and necessary to ease viewers with no knowledge of film history into this fairly sophisticated film. Not that the critics provide much help with the film’s many allusions to Parisian culture of the first decades of the twentieth century. There are real popular songs and posters for many silent films. I didn’t see any reviews pointing out that James Joyce and Salvador Dalí can be glimpsed fleetingly in Madame Emile’s café. (I spotted Joyce but not Dalí, only learning of the latter’s presence from the credits.)
Apart from signalling such references, however, there is a great deal more that one can say about the film. Some aspects of it are obvious, as befits a movie made in part for children. Others are more subtle, as befits a movie made in part for adults. I’ll offer a few observations here.
By the way, reviewers have made much of the idea that Hugo is not really for children, who would be bored and perhaps frightened by it. I suspect that children under about the age of 10 would be, but older children and teenagers, especially those who read books, should be intrigued by and enjoy it. Like Pixar films or The Simpsons, it’s the sort of thing that can be enjoyed by adults as well as children.
Movies within movies
Hugo is centered around Méliès’ work and tries to recreate something of the magic of the making and viewing of these films. Yet beyond this, it is steeped in the forms and subjects of pre-World War I cinema in general, to the point where the plotlines of Hugo subtly imitate early films.
A turning point in Hugo‘s story comes when Hugo and Isabelle invite fictitious film historian René Tabard (whose name is borrowed from the
popular, Chaplin-impersonating teacher young student in Zero for Conduct who starts the revolt) to screen A Trip to the Moon in Méliès’ apartment. At first the director happily describes his film career, but when he reveals its unhappy decline, he concludes despairingly, “Happy endings only happen in the movies.” Scorsese proves and yet contradicts this claim by providing happy endings in the subplots of the film. These subplots are presented as if they were short, early films, but divided up and played out as running vignettes that add up to simple stories.
In the book, the station’s Inspector, played by Sacha Baron Cohen, is a minor figure, glimpsed once from a distance by Hugo and finally coming to threaten him with arrest on page 412. His war wound and early life as an orphan are not part of his character. The Inspector is abetted by the café owner Madame Emile and the newsstand proprietor Monsieur Frick, sinister figures who appear only in this single late scene. They exist primarily to reveal the news of the discovery of the corpse of Hugo’s drunken uncle and to bear witness to Hugo’s thefts of croissants and milk from the café. The flower-shop girl, Lisette, whom the Inspector clumsily courts in the film, is not in the book at all.
What Scorsese very cleverly does is to expand these characters and have them play out what are in effect two brief narratives that could easily be imagined as early silent shorts. Madame Emile (Frances de la Tour) and Monsieur Frick (Richard Griffiths) are transformed from nasty busybodies into a charmingly comic elderly couple whose tentative flirtation is thwarted by Emile’s aggressive dachshund. In two scenes, the dog bites Frick, once on the finger and once on the ankle. In the third scene, Frick solves the problem by providing a lady dachshund to divert the pesky pooch’s attention. One could easily imagine this as a short film from around 1906, making these two the leads and concentrating on their courtship. The dog could thwart the news-vendor’s approaches a few times before the happy ending is achieved with the introduction of the second dog.
The overbearing Inspector’s romance with Lisette is developed at greater length, and one could imagine it as a one- or even a two-reeler of the early 1910s. The Inspector’s attempts to court the young lady could be contrasted with his chivvying of the pathetic young orphan, actions that make her reject his advances. At the end, she might witness him relenting and treating the boy kindly, as indeed happens in Hugo, leading to another happy romantic conclusion.
In general, the situations and characters that we encounter in Hugo are common in early cinema. How many films, especially French ones, involve gendarmerie with their round, flat-topped caps, chasing mischievous little boys? How many melodramas revolve around poor children made homeless by their parents’ or guardians’ drunkenness? How many gags involve men stepping on musical instruments and smashing them? While the most explicit cinematic reference is to the Harold Lloyd feature Safety Last, the world which Hugo and Isabelle and Papa Georges inhabit is like an early program of silent shorts, but one in which the actions blend in counterpoint.
In a sense there are little topical and instructional films as well, with the reference to the dramatic historic accident at the Gare du Montparnasse on October 22, 1895, when a train crashed through its buffers and out the front wall of the station. (In reality, one death occurred: the wife of a news vendor who was minding the shop for her husband. Perhaps the Emile-Frick romance creates a happy ending of the cinematic variety to make up for that tragedy.) We also have the lesson in cinema history provided by Tabard. At one point in the flashback narrated by Méliès, apparent newsreel footage of World War I troops, touched up with hand-coloring, appears.
The film-like subplots all end happily, yet they are represented as being reality within Hugo. Perhaps for that reason, none of these brief narratives is the sort that Méliès would have used in his own films. They’re more like the non-fantastical comedies and chases made by Louis Feuillade and other directors.
The happy ending for Méliès occurs in Scorsese’s film, and yet it also happened in reality, if not quite the way it is shown here.
Cruelty, kindness, and the shape of the story
The structure of the narrative reflects the simplicity of each short film. It conforms well to the four-part narrative structure that I have claimed to be conventional practice in classical storytelling. Yet it also breaks neatly into two halves, the first about cruelty and the second about the sort of kindness that makes possible the happy endings. One can picture it as a V shape, with Hugo descending into greater loneliness and danger up to the mid-point and then climbing back toward happiness with the help of others.
Early on, both fate and other people are cruel. A museum fire has killed Hugo’s father, and his mother had earlier died of unspecified causes. Hugo’s drunken uncle wrests him from his home and school to live a fugitive life in the station. “Papa Georges,” whose full identity we do not learn until well into the film, seems unnecessarily harsh with the young Hugo. The Inspector obsessively hunts down stray children to send off to the orphanage. The bookseller Labisse, though generous in loaning books to Hugo’s friend Isabelle, looks upon Hugo with disdain. Even the two dogs, Madame Emile’s comic dachshund and the Inspector’s doberman are growling, threatening beasts.
The automaton, of course, is the key to all. Once it provides the necessary clue by drawing the famous image of the rocket stuck in the Man in the Moon’s eye, Hugo and Isabelle go to the Méliès apartment and discover the box full of the master’s designs. This incident forms the central turning point, coming almost exactly midway through the film (61 minutes into a film that runs roughly two hours, not counting its credits).
Ordinarily at this point in a Hollywood film, there would come a section where the protagonist struggles against obstacles to achieve his goal. In Hugo, however, the crisis at the center leads immediately to a series of kind actions. Upon returning to the station after the drawings discovery, Hugo runs into M. Labisse, who unexpectedly gives him a book that the boy and his father had read together. Then Madame Emile urges the Inspector to speak to Lisette, whom he has admired from afar, and coaches him in how to smile pleasantly. His smile, plus his halting success in his first conversation with Lisette, motivate his eventual ability to take pity on Hugo.
This scene leads directly to the scene at the “Film Academy Library” (a giant fictitious room full, apparently, of books on cinema) where the film historian and Méliès fan, René Tabard, appears. He will provide the screening of A Trip to the Moon which finally draws Méliès out of his depression to some degree. Yet the filmmaker still despairs as he thinks of the disappearance of his studio, the rest of his prints, and his beloved automaton. Hugo rushes off to fetch the latter, and after an extended chase sequence returns it to Méliès with the help of the Inspector, who saves the machine and the boy from an oncoming train. Recognizing something of his own youth in the distraught boy, the Inspector turns him over to Méliès for the happy ending.
The exception to the cruelty/kindess division of the film is Isabelle. In the original book she is not such a pleasant character, often arguing with Hugo. She does not have the joyous desire for adventure that the Isabelle of the film displays. The change is an improvement. In part this is because Hugo is such a very grim and forlorn character through much of the book. Portraying him that way in the visual medium of film might make his plight too pathetic to be entertaining. Isabelle’s early sympathy for him and fascination with the mystery of the automaton carries a strong thread of hope across both halves of the narrative.
In the lengthy epilogue there is a gala screening of some recovered Méliès prints, and a party is held. All the significant characters are present, with their satisfactory futures assured. Hugo will seemingly become a magician (as he does in the book). Isabelle has apparently found her hoped-for purpose in life, for she starts writing down the story that we have just witnessed. (In the novel, Hugo himself writes The Invention of Hugo Cabret, though he attributes it to the automaton.)
A machine-made ending
The film ends with a tracking shot, independent of the characters’ points-of-view, into a nearby room where the automaton sits, still and alone. As we approach its enigmatic face, the image fades out. The moment ends the imagery that has continued through the film, of humans as machines and machines as humans. Hugo’s one hope as an orphan is to fix the automaton, his only link with his dead father. The moment that it is fixed leads to the drawings and Méliès’ breakdown, the first clues as to why he is so embittered. Hugo and Isabelle discuss how machines have purposes, and therefore people do, too. Papa Georges has lost his purpose and hence needs fixing. Once that is accomplished, with the help of the automaton, Hugo finds a new father figure and his happy ending.
The machine imagery goes further. The opening of the film dissolves from a set of moving clock gears to merge them graphically into a high view of the boulevards of Paris, which momentarily appears as a giant glowing, whirling machine with the Eifel Tower, symbol of the modern machine aesthetic, at its center. The repair of a wind-up mouse becomes the first small point of emotional contact between Méliès and Hugo. The Cinématographe camera/projector that fascinates Méliès even more than the moving images on the screen becomes the central machine, one which produces what one normally thinks of as the most private and mental of events, dreams.
All this machine imagery is fairly obvious, but it seems completely appropriate if we remember that this is, after all, a film partly for children. What I’ve been describing are things that a smart child could grasp, but the imagery and story aren’t done in anything like a condescending way.
The automaton, by the way, really did the drawing in the film itself, without CGI or other sorts of animation being used. For a three-minute film that ends with a fast-motion demonstration of its drawing capabilities, see here. For a demonstration of the restored Maillardet automaton in the Franklin Institute in Philadelphia, which Selznick used as his inspiration, see here, where it creates a drawing as complex as the one in the film. This automaton also revealed its origins when, after being restored, it signed its maker’s name.
[Dec 9: My claim that the automaton did the drawing without special effects was based on some statements by the company that made it (or more specifically, 15 versions of it). A recent article here interviews the film's visual-effects supervisor Rob Legato reveals that the drawing scene was accomplished using magnets below the table: "The robot or automaton was not CG, although there were some CG doubles for some complex shots such as the train line fall. Prop builder Dick George constructed 15 automaton versions and some that actually could draw on paper. The VFX and special effects team solved the complex task by using magnets. Below the paper was a motion controlled magnetic system that traced the hand encoded drawing. The arm then moved to match the magnets and draw the famous picture. In a couple of shots if you could pause and really study the frame you might see that the pen nib, at those points, 'is a ball point and not an ink well pen,' comments Legato." So the automaton did do the drawings, but not based on its complex system of gears and other clockwork visible inside it.]
How accurate is it?
Naturally the events of history are messier than the neat scenario of a mainstream film could encapsulate. Still, given the constraints involved, Hugo‘s modifications of the facts seem quite reasonable, and on the whole the general public will exit the theatre with a decent impression of Méliès’ career.
In fact he was married twice. Jehanne d’Alcy had been Méliès’ mistress well before they married in late 1925. They had both worked at the Théâtre Robert-Houdin before the cinema was invented, and d’Alcy appeared in many of Méliès’ films. (His first wife, Eugénie, died in 1913.) D’Alcy brought with her the ownership of a little candy-and-toy shop outside the Gare Montparnasse, which the couple transferred inside the station and ran together (see bottom). World War I did not cause the demise of Star Films. Méliès had made his last films in 1912, and in 1913, owing money to Pathé Frères, he nearly had to give up his Montreuil studio to the larger company. Ironically, the war led to a freeze on such payments, and Méliès was able to hold onto the property until 1923.
As biographer Paul Hammond describes his decline, “Georges Méliès had become an anachronism, an artist left behind by economic and aesthetic developments.” In looking at Méliès’ late films, we might keep in mind that 1912 was the year of Albert Capellani’s remarkable serial adaptation of Les misérables. Max Linder was at the height of his popularity, and D. W. Griffith was making some of his finest one-reelers. The three great Swedish silent-era directors, Mauritz Stiller, Viktor Sjöström, and Georg af Klercker, all made their first films in 1912. The year 1913 would see a burst of cinematic inventiveness around the world, and Méliès would have seemed all the more old-fashioned by comparison had he continued to make movies. Nevertheless, he remains perhaps the only one of the very earliest generation of filmmakers whose work we return to not simply out of historical interest but for the fun and wonder of the films.
The rediscovery of Méliès began earlier than it does in Hugo, and it was more gradual. The mid-1920s were the nadir of his career. He and d’Alcy were living in a tiny flat in impoverished circumstances. In 1926, Méliès was notified that he had been made the first honorary member of the Chambre Syndicale Française de la Cinématographie–a trade organization, not an academic one like the fictitious “Film Academy” in Hugo. In 1929, J.-P. Mauclaire, director of the early art cinema Studio 28, found a batch of twelve tinted copies of Méliès films. New prints of the most damaged ones were made, and a screening of eight of them was held in a “Gala Méliès” that also included a revival of Cecil B. De Mille’s The Cheat:
In 1930 another program of Méliès films was shown, and in 1931 he received the Cross of the Legion of Honor. A benefactor provided Méliès and his wife with a larger apartment, and in 1934 he was made the honorary president of the Chambre Syndicale de la Prestidigitation. Ill health prevented him from pursuing some tentative filmmaking projects originated by admirers within the film industry, and he died of cancer in 1938. His granddaughter Madeleine ultimately became a champion in the revival of his memory. (For more on Méliès’ later life, see Paul Hammond’s Marvellous Méliès, pp. 80-85.)
Given all this, I think Scorsese and scriptwriter John Logan have done a reasonable job of condensing and tweaking the facts of Méliès’ story. The filmmakers also deserve considerable credit for showing the filmmaker cutting and splicing a strip of film involving a stop-motion effect. Méliès was long dismissed as not being much of an editor, having supposedly just stopped his camera and started it again to allow for the substitution of different items of mise-en-scene. We now know, however, that his amazingly well-matched transformations depended on eliminating just the right number of frames to create the magical illusion. He was a skillful editor indeed, and the filmmakers display that fact.
3D and Autochrome
Commentators naturally have stressed the fact that Scorsese has made his first 3D film. Up to now major filmmakers have embraced the technology, but most, like James Cameron, have worked in action genres. Could one of the “movie brat” generation redeem what has come to be seen as a technology that is rapidly losing its novelty value and perhaps its economic viability? The BBC even ran a story bluntly entitled “Can Martin Scorsese’s Hugo save 3D?” It and Steven Spielberg’s first 3D film, The Adventures of Tintin, have widely been seen as the crucial test of whether the use of 3D will continue to expand.
No doubt Hugo represents the best that can be done with current 3D technology. For once, every shot was filmed in 3D. Most 3D films, even Avatar, have at least a few images done with post-production conversion. (See the December, 2011 American Cinematographer article on Hugo, p. 56.) The filmmaking team went to extraordinary lengths to shoot as they wished to. They settled on using Arri’s new digital camera, the Alexa. The production required four cameras at a point when Arri was just beginning production, but the company managed to provide all four.
Cinematographer Robert Richardson has remarked on the idea of avoiding conversion: “If, as a film team, you’re not all working to best enhance in-camera the three dimensions then I would ask why have you committed to constructing a labour of love that someone else will eventually deliver to you via post conversion and say, ‘Here is your film.’ That might work for some projects and directors … but for me that choice felt insanely wrong. Commitment is required.”
Editor Thelma Schoonmaker has said of the 3D style “It’s not so much about stuff in your face—though there are a few wonderful shots like that. But more it’s about pulling the characters forward and feeling you’re in the room with them.” (Both quotations from Screen International [25 November 2011], p. 19.)
David and I went to see Hugo in 3D last week. Recently I have only seen a few 3D films: Herzog’s Cave of Forgotten Dreams, Wenders’ Pina, and Miike Takeshi’s Harakiri. Art-house films all, and apart from the Herzog film, where 3D serves educational rather than aesthetic functions, I didn’t think the 3D added much. James Cameron has said that Hugo is the best use of 3D he’s seen, and he should know.
I’ll admit that there are some terrific effects. The decision to have the Inspector’s doberman’s pointed muzzle coming out at us as it chases Hugo is clever and funny. But there’s still the blur and juddering of objects in the foreground, something that isn’t helped by the breakneck pace at which Scorsese “tracks the camera” through huge spaces or long tunnels. (Most of these shots involved as many special effects as actual camera movements.) I frequently wished in the course of the screening that I was seeing the film in 2D.
Apart from everything else, 3D pretty much necessitated that David and I move out of our habitual and preferred “front zone” of the theatre. Not only do 3D effects not work as well if you’re up close, but the edges of the screen are outside the frames of the glasses’ lenses. Turning your head when you’re sitting close and watching a 2D film is one thing; it’s quite another with those glasses on. So we sat further back. We also raised and lowered our glasses at intervals, checking out the amount of light being filtered out by those RealD glasses. It was quite a lot.
A few days later I went to see Hugo again, this time in 2D. The movie looked beautiful, with brighter images and more vivid colors. There was less blur in the fast camera movements. The depth cues in the images were strong enough to make such shots as the high-angle views down the vast clock tower impressive. And I was able to sit closer.
The brighter colors were important, since the filmmakers made an attempt to imitate a photographic color system of the early-cinema era. Specifically, Scorsese and Richardson aimed for the look of the Lumière brothers’ Autochrome system; this was the principal color system used in still photography until the 1930s. The digital grading used for Hugo played a big role in the attempt to achieve this look of early color. The American Cinematographer article mentioned above contains three sets of images demonstrating the stages of achieving the final look of Autochrome. A scan of one such set of images is available online. Just how authentic-looking the results are, I can’t say. (At right, a 1909 photo of an air show in the Grand Palais, Paris, by Léon Gimpel; for an extensive set of Autochrome photographs, see here.) Still, it’s a more interesting technique to those of us who aren’t fond of 3D, and I found that it gave the movie a color scheme that’s much more interesting than the standard look of films these days.
[Dec 9: A new interview with Robert Richardson by Bill Desowitz has just been posted here. It deals with 3D and Autochrome.]
Scorsese, journalists, and the legacy of Méliès
The reviews and coverage of Hugo in the trade and popular press have rightly emphasized Scorsese’s love of cinema history and his devotion to film preservation. He has collected high-quality 35mm prints of classic films, many of which are on deposit at the George Eastman House archive. Scorsese also helped found the Film Foundation in 1990 and the World Cinema Foundation in 2007. The latter organization has provided preservation work for films made in countries where either there is no national archive or where the archive lacks the funds and facilities for major restoration/preservation projects. Having first seen the Egyptian film The Night of Counting the Years (Al-mummia, 1969) in a battered 16mm copy, I was delighted to watch a beautifully restored 35mm widescreen copy at the Il Cinema Ritrovato festival in 2009. There is no doubt that Scorsese’s contribution to the film-restoration effort has been immense.
That said, I think some of the press coverage of Hugo has pushed Scorsese’s interest in preservation a bit too far in the case of Méliès, giving the impression that somehow the director has led a rediscovery of the early film pioneer as thorough as the one accomplished by Hugo and his friends in the fictional account. In The Hollywood Reporter’s story, “The Dreams of Martin Scorsese,” Jay A. Fernandez writes, “Over the years, Méliès has become a mystery himself, and even film buffs often don’t have a grasp of just how profound his contributions to cinema were, despite their efforts to piece together the scraps of his legacy. In this, he could not have better cultural archaeologists than Selznick and Scorsese.”
One might overlook a journalist (albeit one who specializes in entertainment news) believing that Méliès really was virtually forgotten among all but a few film historians before Hugo came along. But he goes on to quote Selznick, whose words might carry more weight, as saying of Scorsese, “Of course, Scorsese has been responsible for restoring the lost legacies of groundbreaking filmmakers. He is in the position of pointing the way for the public, showing us who has been forgotten and overlooked.”
That’s going a bit far. Admirable and important though Scorsese’s preservation efforts have been, and valuable as his video histories of topics like Italian cinema have been in bringing film history to a broader public, he cannot be said to have been responsible for rediscovering major filmmakers who have been forgotten. I doubt he would claim to have done so.
The work of Méliès has been covered in the basic histories of world cinema for at least the past fifty or sixty years. Indeed, the rediscovery of Méliès that began in the 1920s has continued ever since. Unfortunately, most of the coverage of Hugo passes over the diligent and successful work of archivists who have been the mainstay of that rediscovery.
The friends of Méliès
Méliès played a small but important role in my own early discovery of cinema history. During the spring of 1970, I was taking my first film course, a one-semester survey history, at the University of Iowa. As I recall, it was during that time that a representative of the Library of Congress came to campus and gave a talk on film preservation. He showed two hand-painted shorts, one of which was Méliès ’ Le Raid Paris-Monte Carlo en deux heures. The color was crude, to say the least. In 1905, without the benefit of a stencil, someone had daubed a dot of red paint onto the race-car in each frame, leaving the rest of the image in black and white. The result looked like a flickering, burning car was driving through magical landscapes. I found it quite fascinating, and that, along with Das Cabinet des Dr. Caligari, were the films that really lured me into film studies and a career. I regret that the prints of Le Raid used for the DVD releases of Méliès ’ work have not included this clumsy but charming hand-coloring.
During my years in graduate school, the general claim was that something like a hundred of Méliès ’ output of around 500 shorts survived. By now, the number is more like slightly over two hundred. Occasional discoveries continue to be made.
In 2008, when Flicker Alley put out its monumental five-disc set, “Georges Méliès : First Wizard of Cinema (1896-1913),” it contained 173 films—not quite all of those that were known at the time to survive. In 2010, the same company released “Georges Méliès : Encore” appeared, a single disc with 26 newly discovered prints. (I note that both are temporarily out of stock at Amazon, suggesting that Hugo has generated new interest in Méliès.) For our comments on the “Encore” disc, see here.
This flow of rediscoveries has been due to archivists like Paolo Cherchi Usai at Eastman House and Serge Bromberg at Lobster Films (two of the many archives contributing to the set released by Flicker Alley in the U.S.). David and I played a modest role in one such discovery. We spotted an ad in a film-collectors’ publication, offering for sale a nitrate original of a hand-colored Méliès film. We alerted our friend Paolo, who obtained the film; it turned out to be a lost Méliès title from 1899, in excellent condition.
Lobster Films appears in Hugo’s credits as the supplier of many of its clips from Méliès films. I wish more journalists would have made mention of Lobster. So far the only reference I have found is in Susan King’s story for the Los Angeles Times, “‛Hugo’ revives interest in Georges Méliès.” She includes a brief overview of Lobster, as well as a list of Serge’s suggestions of six Méliès films “that are must-sees.” (For our coverage of an encounter with Serge in Paris last year, including a 3D projection of part of a Méliès film, see here.) This article also contains the happy news that next year will see the release of a DVD containing the recently restored hand-colored version of A Trip to the Moon (bits of which are glimpsed in Hugo) and a documentary concerning the restoration, The Extraordinary Voyage.
Méliès has also been known to the public, at least in France and the U.S., though some lavish exhibitions and publications. Fortunately many of his designs and drawings have survived. Copies of them are tucked away in the armoire in Hugo. There are also numerous photographs and objects from the era. A 1991 exhibition at George Eastman House, “A Trip to the Movies: Georges Méliès Filmmaker and Magician (1861-1938),” was accompanied by an anthology of essays of the same name. In 2002, the Parisian show “Méliès, magie et cinema” resulted in a coffee-table book of the same title. In 2003, the Cinémathèque français held another exhibition, “Georges Méliès, magicien du cinéma”; it occasioned the publication of a large volume, L’oeuvre de Georges Méliès, which catalogued the archive’s holdings in gorgeous reproductions.
Historical reference books have not been lacking. In 1975, Paul Hammond published his Marvellous Méliès, a thorough and still useful book. It was followed by John Frazer’s excellent Artifically Arranged Scenes: The Films of George Méliès. There are other books on Méliès, too numerous to list in full here.
Since 1961, “Les amis de Georges Méliès,” a group founded by the filmmakers’ descendents (who are acknowledged in Hugo’s credits), have fostered the rediscovery and preservation of his legacy.
Now, go and watch Le Déshabillage impossible (1900, disc 1 of the Flicker Alley set), a two-minute film that remains as astonishing as it is hilarious. If you’re not a friend of Méliès now, you will be after seeing it.
[Dec 7: Thanks to Mark McElhatten for pointing out the mistake concerning the character Tabard in Zero for Conduct, a mistake which has apparently appeared in some reviews of Hugo.]
[Dec 8: Thanks to Paolo Polesello for reminding me that the rediscovery of Méliès included Georges Franju's short film, Le Grand Méliès, 1952; it's included in the five-disc Flicker Alley set.]
[Dec. 12: Today Variety posted a story about modern designers and special-effects experts who have been inspired by Méliès, in particular those who have eschewed CGI and opted for prosthetics, animatronics, and miniatures.]
I’ve been thinking about coincidences lately. Watching Hong Kong movies can do that to you.
Hong Kong vs. Hollywood?
Initial D; I Corrupt All Cops.
In Initial D (2005, Andrew Lau Wai-keung and Alan Mak Siu-fai, script by Felix Chong Man-keung), the protagonist Takumi is dazedly in love with the seductive schoolgirl Natsuki. Takumi’s pal Itsuki is out with another girl when he spots Natsuki riding out of a “love hotel” with an older man. Itsuki tells his pal. This leads to a major crisis, in which Takumi’s faith in Natsuki is shaken.
Then there’s I Corrupt All Cops (2009) from the indefatigable writer-director-producer-actor Wong Jing. (Many wish he were far more fatigable.) Unicorn, a corrupt, brutal police officer, has just been savagely beaten by gamblers who once were his allies. He staggers to a street stall and nearly collapses, spitting blood into his congee. Then he glimpses his girlfriend getting out of a rich man’s car. In the next scene, when he visits her apartment, he finds his boss, the even more corrupt cop Lak, in her bed. His realization that he can trust no one pushes him to join the police anti-corruption unit.
True, the coincidences play different roles in the two movies. In Initial D, there might be an innocent explanation for Natsuki’s visit to the hotel. Perhaps Takumi’s friend even mistook another girl for her. So we may be inclined to suspend our judgment and wait for more information about whether she’s actually being unfaithful. In I Corrupt All Cops, Unicorn’s suspicions about his girlfriend’s disloyalty are immediately confirmed; instead of suspense, we get surprise, in the form of the revelation of who her lover is.
But in each case, a major plot movement is triggered by sheer accident. Itsuki wasn’t spying on Natsugi’s assignation; he was trying to talk his date into the love hotel. Unicorn wasn’t suspicious of his girlfriend, he just happened to be across the street when she came home. Each coincidence is also a matter of timing: Had either man come a few minutes later to the location, he wouldn’t have learned the big secret. In retrospect, we are likely to think that the screenplays of Inital D and I Corrupt All Cops are using chance rather than causality to move their action forward.
Granted, Hong Kong films are generally weak in plot construction. Even the lauded films of Wong Kar-wai are built out of casual encounters and unpredictable turns of events. The old Chinese maxim “No coincidence, no story” might seem to give accidental revelations a high place in this cinema. But Hong Kong films aren’t outstanding offenders. When you start to look, you find that films in different traditions are no less committed to coincidence. After all, Rick in Casablanca notices the vast implausibility of what’s just happened: “Of all the gin joints in all the towns in all the world, she walks into mine.”
One precept of Hollywood screenwriting has been that coincidences are permissible when you’re setting up the narrative. Indeed, they’re often necessary: Circumstances have to come together in some way to launch an extended action. A sudden rainstom brings boy and girl together under the same awning, creating the cute meet, and things can build from there.
But, the Hollywood wisdom goes, don’t use a coincidence to develop or resolve the plot. Consider another Hong Kong film, Infernal Affairs (2006, directed by Lau and Mak, with script by Chong). Chan the undercover cop has come in from the cold. While officer Lau is out of his office, Chan is poking idly around Lau’s desk. There he finds the envelope on which Chan himself once scribbled a correction.
That envelope was in the hands of the gang that Chan joined. If Lau has that envelope, he must be the triad mole in the police force. This recognition triggers the film’s climax: Chan flees police headquarters and sets out to unmask Lau’s treachery.
You would think that if Hollywood filmmakers were anxious to avoid such a timely accident, the Infernal Affairs remake known as The Departed (directed by Martin Scorsese, script by William Monahan) would find another way for Billy Costigan to discover that Colin Sullivan is the mole. But no. Billy notices the telltale envelope sticking out from a pile of papers on Sullivan’s desk.
The different ways the two films drive the discovery home to the audience merit a closer look than I can spare here. My point is that the handy coincidence of the police mole leaving this damning clue for his adversary to find is used without apology in the Hollywood movie. And like its counterpart, the scene sets off the movie’s climax. You could even argue that Infernal Affairs supports its revelation a little better. Billy accidentally glimpses the crucial envelope, but Chan is actively browsing Lau’s desk, perhaps because after years spent among triads he doesn’t trust anyone .
So you have to wonder. Maybe filmmakers in many traditions have accepted the Chinese maxim. Moreover, contrivance of this sort doesn’t seem to damage a film’s reputation. (Many critics considered The Departed one of the very best US films of 2006.) More generally, we seldom feel such coincidences to be arbitrary or forced. Maybe screenwriters and directors have found ways to mask the coincidental tenor of such scenes.
The roots of coincidence
Most story actions result from characters’ choices, purposes, reactions, plans, and the like. These factors create patterns of cause and effect. Chan/Billy didn’t just mosey into Lau/ Colin’s office: He came in because he thought it was safe to break his cover. We accordingly worry for him because we know, as he doesn’t, that he’s far from safe.
Everyone seems agreed that a plot can’t replace all causal connections with a string of coincidences. If everything happens by convenient accident, then we can’t form any expectations about what will happen next. And without expectations, our cognitive and emotional engagement with the story is likely to be slight. Moreover, designing a story packed with coincidences isn’t that hard. Children do it all the time. But most artistic traditions thrive on their constraints. If anything at all can happen to advance or conclude your plot, you’re playing tennis without a net. The interesting challenge for a storyteller in traditional forms is to create a pattern of incidents that arouses our curiosity, builds up suspense, and presents surprises that turn out to be, in retrospect, cunningly prepared for—all the while playing on our emotions.
Yet, and again: No coincidence, no story. Sometimes, the plot’s forward momentum needs encounters and discoveries not planned by the characters. So how can these convenient accidents be made to serve narrative craft?
Well, what is a coincidence anyway? At the least, it’s a matter of converging incidents, as the name implies; but surely it involves more.
I wake up one morning and ask, “I wonder what my sisters are up to? I haven’t heard from them in a while.” Nothing important is happening in the family, no health crises or upcoming reunions. I just wonder how the girls are. So I reach for the phone, but before I can dial I get a call from Diane (the Texas sister). I say, “What a coincidence! I was just going to call you.”
This sort of thing happens. But not all the time. Not even most of the time. The thousands of things that flit through our day almost never match up so nicely. And we don’t notice it when they don’t match up, because we don’t expect them to. The non-coincidences of everyday life go unregistered because they’re so pervasive.
On those rare occasions when things do sync up, we notice. In The Evolution of God, Robert Wright puts it well:
It makes sense that human brains would naturally seize on strange, surprising things, since the predictable things have already been absorbed into the expectations that guide them through the world; news of the strange and surprising may signal that some amendment of our expectations is warranted.
We usually attribute such coincidences to chance. But humans aren’t very good at thinking about chance. If the coincidence seems meaningful, as many do, we’re always tempted to consider it the result of some secret force. Did I send out invisible thought-waves that Diane somehow picked up? Did fate, or God, make her call me? In general, when we notice patterns, we look for causes. The phone-call convergence is a pretty minimal pattern, but even there we might be tempted to find a cause.
I hang up on Diane and the phone rings immediately. It’s Darlene (the peripatetic sister). “I was just trying to call you, David, but the line was busy.” This is getting weird. The pattern heightens and may prompt a stronger impulse to search for causes. Do we three siblings mind-meld in some mysterious fashion? (If so, though, why do we need phones?) It’s just a coincidence, highly improbable but, out of all the times we three think about one another and make phone calls, not impossible.
I believe that narrative artists in all media are practical psychologists. They trigger and exploit and heighten our ordinary ways of making sense of the world. Philosophers and statisticians have sophisticated ways of thinking about chance, but they needed special training to get beyond our folk psychology. Artists take us as we are.
Stories can use coincidences because we accept them. They are the sorts of things that sometimes happen, and so, as Aristotle argued, they are fit subjects for plot-making.
The poet’s task is to speak not of events which have occurred, but of the kind of events which could occur, and are possible by the standards of probability or necessity (Poetics, Chapter 9).
Here Aristotle points to two sorts of possible events. There are events that we expect to happen as a necessary result of earlier events; this corresponds to some notion of causality. Then there are events that are merely probable—things that are likely to happen.
But how likely is my call from Diane and the followup from Darlene? Aren’t these examples of what Aristotle dismisses as “the arbitrary and fortuitous”? Not necessarily, because for Aristotle too the storyteller is a practical psychologist. Things that seem unlikely, he says, can be motivated by reference to people’s beliefs or to the fact that improbable things are likely to happen occasionally.
Irrationalities should be referred to “what people say,” or shown not to be irrational (since it is likely that some things should occur contrary to likelihood) (Poetics, Chapter 25).
In sum, how do you motivate a coincidence? Aristotle recommends two tactics, which I could use if I were writing a story featuring the felicitous phone calls. People say that members of a family have a special affinity that can cross time and space. And anyhow, stranger things have happened.
Aristotle suggests a third motivational tactic as well. He says that unlikely things may be resolved “by reference to the requirements of poetry.” Poetry here refers to any verbal artform, just as poet refers to the maker of literary works in general. So what are the “requirements” of storytelling?
Most minimally, a plot needs an inciting incident. If I were a fictional character, my lucky phone calls might kick off a plot in which my sisters and I, feeling a new and mysterious bond, set out on road trips to meet somewhere. The telephone contrivance would correspond to the Hollywood dictum that coincidences are permissible at the outset of the plot.
Many commentators on Aristotle take his mention of poetic “requirements” to involve more specific conventions, especially those of different genres. We’ve long known that certain kinds of art works permit things that would be forbidden in other kinds. A children’s movie is unlikely to show chainsaw dismemberings, unless Eli Roth has been given a producing deal at Pixar. This idea of genre fitness or decorum has implications for coincidences too.
Clearly, coincidences flourish in comedy. The innocent young man trapped in a lady’s boudoir will have to hide under the bed because her husband bursts in at an awkward moment. In the long chase sequence through old Hong Kong in Project A (1983), Jackie Chan keeps bumping into his superior officer. Sometimes Jackie is set back by the encounter, but once the officer inadvertently rescues him. David Lodge writes: “Audiences of comedy will accept an improbable coincidence for the sake of the fun it generates.” His novel Small World culminates in a pile-up of coincidences in which an airline check-in clerk happens to give the heroine a copy of The Faerie Queene at the precise moment she needs to check a literary reference.
This is all highly implausible, but it seemed to me that by this stage of the novel it was almost a case of the more coincidences the merrier, provided they did not defy common sense, and the idea of someone wanting information about a classic Renaissance poem getting it from an airline Information desk was so piquant that the audience would be ready to suspend their disbelief.
Melodrama is another genre that relies on coincidences, particularly those that bring bad luck. (Think of Rock Hudson’s cliff-edge fall in All that Heaven Allows.) Likewise, I think that the revelations of the incriminating envelopes in Infernal Affairs and The Departed are partly motivated by genre conventions. In undercover tales, the detectives have to be alert for any physical items that might betray them or offer clues. So the envelopes are something that the hypersensitive narc could plausibly fasten onto. (Why the envelopes are left lying around in the first place is another part of the story, which I’ll come to.) Similarly, Initial D is partly a teenage romance, and we know that such films require an obstacle to happiness; that’s what Itsuki’s accidental discovery provides.
There’s another “requirement” of poetic art that can motivate coincidence, and it cuts across different genres. In Wilson Yip Wai-sun’s SPL (2005), a brutal martial-arts fight in a nightclub ends with the gangland chief Wong Po hurling Inspector Ma through a window far above the street.
Down below in a waiting car are Wong Po’s wife and baby son, the only things in life he loves.
Care to have a guess where Ma lands?
This is a coincidence motivated by poetic justice: The brutal Wong Po has inadvertently killed his wife and child. Serves him right!
As we might expect, Aristotle anticipated poetic justice too. He remarked that there was a special sense of fitness when the statue of a murdered man toppled over on his killer.
Three dimensions of narrative
In an essay in Poetics of Cinema I argued that we can think of any narrative as having three dimensions: the story world, the macrostructure of the plot, and the narration–the flow of information as it’s presented, moment by moment, in the film. Each of these dimensions can motivate coincidence, and each answers to what Aristotle calls “requirements” specific to narrative art.
Say you want two characters to meet without making a rendezvous. One way is to establish that each has a routine. Jack stops for coffee at Starbuck’s every morning on the way to work; so does Jill. Sooner or later, it’s plausible that they will run into each other. The appeal to routine is probably behind the unlucky coincidence in I Corrupt All Cops. After being beaten, Unicorn staggers to the food stall across from his girlfriend’s apartment house–evidently on his way to call on her.
Another sort of story-world motivation involves characterization. In Initial D, it’s not implausible that the randy Itsuki would be hanging around outside a love hotel. Given his personality, he’s more likely to see Takumi there than other, more upright characters would be. In Infernal Affairs, Lau is a cautious mole, but he has no reason to hide the telltale dossier because he thinks it would be meaningless to anyone else. (Lau can’t know that Chan is the one who scribbled the corrected spelling on the envelope.) Lau’s studied nonchalance lets him stack papers on his desk without concern that this one is particularly revelatory.
Coincidence can also be motivated by the overall plot structure. If you start your film by alternating scenes showing two characters living their lives separately, you make it easier for your audience to accept what might otherwise seem a chance meeting between them later. After all, if they aren’t going to have some interaction, why are they both in this story? Sleepless in Seattle provides a clear-cut instance, although here the conventions of the romantic comedy genre also insist that the couple will get together. (Vera Chytilová’s Something Different of 1963 shrewdly defeats the expectation aroused by this sort of alternating construction.)
Likewise, a flashback structure can motivate coincidences. If we’ve seen the outcome of an action, even implausible events leading up to it can seem more natural. At the start of The Big Clock (1945) we see a hunted man hiding in a vast clock mechanism that surmounts a skyscraper.
In a long flashback, we see what led up to Stroud’s plight. Fired from his magazine job, he meets up with a blonde woman who takes him bar-hopping. They wind up in her apartment, but she hurries him out just as his boss Janoth comes in. Stroud watches Janoth go into the woman’s apartment.
The encounter isn’t wholly accidental. We know, as Stroud does not, that the woman is Janoth’s mistress, and she knows Janoth is coming to visit her. Nonetheless, what happens next leads to Stroud’s being fingered for murder. Stroud has pretty bad luck, but the opening frame story of his flight retroactively motivates his presence at the crime scene; we wouldn’t have the clock scene unless it proceeded, as Aristotle might say, by necessity from something pretty serious. The order of presentation coaxes us to accept whatever led up to the opening situation.
The story world and the plot macrostructure can do only so much. Sometimes coincidences need more fine-grained motivation. Here’s where narration, the patterned flow of information, comes in. If a cowardly cowboy is just about to leave the saloon when the bullying gunfighter enters, it can seem less stage-managed if we show, beforehand, the gunfighter riding into town with his minions. It doesn’t make the encounter more plausible in the story world, but it prepares us to find it more plausible: the two paths seem to converge. Here crosscutting accomplishes on the small scale what alternating scenes can do for macrostructure.
An even simpler tactic is to have someone announce that what’s happening is extremely unlikely. Lodge points out the audacity of Henry James in The Ambassadors when he presents a major moment through a character who reflects, “It was too prodigious, a chance in a million. . . ” This is the equivalent of Rick’s comment about Ilsa dropping into his gin joint. A frank admission of a coincidence can pull you through.
It was meant to be
Many of these motivating factors can work together with a more sweeping one. Recall that we’re sometimes tempted to consider everyday coincidence the result, or sign, of forces larger than we can comprehend–God, karma, fate, the Sibling Affinity Frequency. A narrative can motivate its coincidences by suggesting that they are working out an elusive but powerful pattern. Somehow, coincidence is just the hand of destiny. The French film known in English as Happenstance (2000) provides an example, but so does Serendipity (2001).
Jonathan and Sara meet cute in Manhattan, but mishaps separate them. They never learn each other’s identity. Years later, Sara is in San Francisco living with a musician, while Jonathan is about to get married. Vaguely dissatisfied and fretful, Sara returns to Manhattan to find Jonathan. Meanwhile, just before his marriage, he sets out to find her. Each one thinks that recapturing the love that flared up in one magical night would be worth one last effort.
How do they find one another? Clues, plus coincidences. Jonathan starts to track Sara through a sales receipt for gloves she bought when they first bumped into each other. Sara returns to the Waldorf and visits “their” café in hope of finding some connection to Jonathan. But a lot of luck is involved too. Jonathan confirms Sara’s location thanks to her inscription in a used copy of Love in the Time of Cholera–a copy that his fiancée gives him, no less. By chance she bought Sara’s copy. Correspondingly, Sara finds the $5 bill Jonathan signed years before in her friend’s purse. Her friend got it as change at the café. The characters take purposive action, but they achieve their goals through coincidences.
These coincidences are simply outrageous. How can we motivate them? At the beginning of their magical night Sara announces that she believes that happy accidents are in fact controlled by fate. If she and Jonathan are meant to be together, things will arrange themselves the right way. She tells him this as they have coffee in her favorite café, Serendipity.
So Sara mounts some tests of their cosmic compatibility. She insists they leave the café separately: if they’re destined to remeet they will. Jonathan leaves his scarf behind, and she finds it, so they’re back together. She writes her contact information on a scrap of paper, but it blows away. “Fate’s telling us to back off,” Sara warns. Jonathan writes his phone number on the fiver, but she then pays for something with it, saying that if it returns to her, she’ll call him. In exchange, she’ll write her information in the Márquez novel and give it to a used bookshop; if he finds it, he can call her. Finally, at the Waldorf Astoria, each one is to get in a separate elevator car, pick a floor, and see if they’re in synch. It’s this test that leads him, through problems of timing, to lose her.
What motivates the cascade of coincidences, then, is the film’s starkly announced theme. In love, favorable coincidence is just serendipity; the film puts its operating procedure in Sarah’s mouth. To make your coincidences seem plausible, then, make your movie explicitly about how coincidences can be read as destiny.
But the theme doesn’t work on its own. Several of our other principles of motivation help out. For one thing we have Aristotle’s notion of common opinion: “What people say” about true love is that a couple is somehow meant for each other. In addition, of course, this is a romantic comedy, a kind of film that depends on separating and uniting lovers. We’d be very surprised, not to say disappointed, if these two didn’t wind up together. Genre helps motivate the way coincidences help out the couple.
Perhaps most interestingly, the “requirements of art” in Hollywood dramaturgy include a symmetrical play with motifs and character traits. Each lover is given a token—$5 bill, Márquez novel—and certain locales gain significance through repetition (Bloomingdale’s, the Waldorf, Serendipity, the skating rink). At the start of the film, Sara is the romantic, while Jonathan is more pragmatic. After a few years as a psychotherapist, however, she no longer trusts in fate. But by searching for her, Jonathan becomes a passionate believer in signs, reading everything around him as a possible trace of her presence. His pursuit of a love that defies likelihood moves his friend, the journalist Dean, to write a hypothetical obituary:
Even in certain defeat the courageous Trager secretly clung to the belief that life is not merely a series of meaningless accidents or coincidences. Uh-uh. But rather it’s a tapestry of events that culminate in an exquisite, sublime plan.
That plan is worked out through a traditional plot symmetry. Sara had found Jonathan’s scarf in the café at the start. At the climax, he discovers her jacket on a bench overlooking the ice rink where they shared their first date. (She had gone back there in a nostalgic mood earlier in the day.) Now, coming back for her jacket, she reunites with Jonathan. Hollywood’s use of tokens and props to develop the drama fits nicely with the theme of fate’s good offices. You could say that the vicissitudes of destiny are recruited to motivate some principles of classical plot construction.
You may dislike all the films I’m mentioning (Serendipity?! That’s a movie for wimps!). But my purpose here isn’t evaluative. I want to explore some principles that are used to make stories hang together, more or less. The same principles are present in what we sometimes call art films, from Bicycle Thieves to The Headless Woman. Coincidences abound in these movies, often motivated as the randomness of life, or n-degrees-of-separation, or mysterious larger forces that create correspondences (Paris nous appartient, the Three Colors trilogy of Kieslowski). Appeal to realism, to folk psychology, to genre, to thematic significance, and to formal unity can be found in virtually all narrative cinema. Here as elsewhere, I’m just trying to make such principles explicit and study how they work.
In thinking about those principles, I’m struck by one more way in which narratives need coincidences. What makes a story intriguing, or even worth paying attention to?
Here’s a story. I got up this morning, had breakfast with Kristin, went to school to take some frame enlargements from Hong Kong films, and dropped off the slides at a lab before coming home. Technically, it’s a story, but you yawned halfway through. To be engaging, stories need a remarkable situation or twist—a lover betrayed, a man pursued for a crime he didn’t commit, a cop discovering that his savior is his worst enemy, people who meet and fall in love and then lose one another.
We need, in short, something out of the ordinary. Coincidences, popping out from the bland backdrop of everyday life, can provide an uncommon event. At the start of a plot, they launch the action. At intervals, and with the proper motivation, they can be invoked if they liven things up. The effect may go back to the strangeness that Robert Wright suggests that we’re always on the lookout for.
Granted, the effect of motivation is to make coincidences seem less strange than they might otherwise seem. Most of these factors work to give the coincidences a sort of causal boost. Itsuki sees Natsuki because he’s at the love hotel, Chan/ Billy notices the envelope because he’s an alert cop, Jonathan and Sara get together again because they follow up clues and try really hard and anyhow an unseen hand (causally) shapes their fate, and so on. The coincidences are often covered by a causal alibi. That suggests that what’s most coincidental in these situations is timing.
Most movie coincidences run on tight schedules. A few moments later, Itsuki wouldn’t have seen Natsuki leave the love hotel; Unicorn wouldn’t have caught his wife with his boss; Chan/ Billy wouldn’t have found the telltale envelope; and so on. As the film unrolls, we want our extraordinary events tied to close shaves, barely missed messages, and revelations taking place under a ticking clock.
Every moment in filmic storytelling seems to bristle with possibilities of convergence and revelation. The sort of actions that make stories interesting are even more gripping if they take place under time pressure. Very often, if a key event had happened slightly earlier or later, there would have been no coincidence. And movies, unrolling at a pace to which we all submit, are well-suited to arouse our interest with turns of events that might, just barely, have been very different. Perhaps we accept the power of good or bad timing because, to recall Aristotle, “people often think” things like this: If I had missed that train, I would never have met my soul mate. . . .
Clearly, though, timing is a tale for another occasion.
My thanks to Ben Brewster for discussing these ideas with me and reminding me of the Chinese adage. That precept is briefly discussed in Kam-ming Wong, “‘No Coincidence, No Story’: The Esthetics of Serendipity in Chinese Fiction,” International Readings in Theory, History and Philosophy of Culture (St. Petersburg, Russia: EIDOS, 2003), Vol.16, 180-97.
My references to the Poetics come from Stephen Halliwell’s edition, The Poetics of Aristotle: Translation and Commentary (Chapel Hill: University of North Carolina Press, 1987), pp. 40, 42, and 63. My extracts from David Lodge’s The Art of Fiction (New York: Viking, 1993) are from his section on coincidence, pp. 149-153.
Hilary P. Dannenberg’s book, Coincidence and Counterfactuality: Plotting Time and Space in Narrative Fiction (Lincoln: University of Nebraska Press, 2008) includes many intriguing ideas about coincidence. Her focus is the “coincidence plot” in which people realize they’re related to one another. Some of her arguments are presented in more compact form in her article, “A Poetics of Coincidence in Narrative Fiction,” Poetics Today 25: 3 (Fall 2004), pp. 399-436.
P.S. 31 September: In a study of The Pledge, film scholar Gary Bettinson has a valuable discussion of how coincidence can be motivated to resolve a plot. It’s available here.
We usually respond to films spontaneously, but afterward we can think about our responses and figure out why we reacted as we did. When we’re fooled by a mystery, for instance, we can re-watch the film and trace exactly how we were misled. Now that Shutter Island is out on DVD, fans will be dissecting its visual gimmicks. Even when a film isn’t a mystery, a lot of critical analysis involves what we might call a rational reconstruction of how the whole shebang works. Novice screenwriters crack open a movie like The Apartment or The Godfather to peer into the fine mesh of plot construction, to tease out all the setups and plants and twists that seem inevitable only after the fact.
This is film research, we might say, at the personal level. Not in the sense of your or my unique identity, but rather at the scale we see the world. We don’t see atoms or gravity. We evolved to sense and think about middle-sized social and physical phenomena, like places and objects and, especially, other humans. We’re aware of the world because we sense ourselves as individual agents, guided by intentions and desires and beliefs. We’re used to talking about films at this level. When we track action and character, note surroundings and time passing, or ask about the purposes of a plot device or theme, we are working at the level of personhood.
But life assigns us to other levels too. There is the subpersonal level. All kinds of things are happening to you now that you can’t be aware of. You can’t watch the cells in your retina detect this sentence, or the neurons in your brain firing to make sense of it, or the flow of signals to your hand urging the mouse to scroll onward. A huge amount of our mental activity takes place behind the scenes that flit through our consciousness. We can’t pay attention to the man behind the curtain—partly because there is nobody there.
There’s also the suprapersonal level, the level of collective behavior patterns. Now we’re talking about people as parts of large-scale forces, like groups and cultures and societies. Historians have traditionally worked at this level. For example, some researchers have traced how film audiences, en masse, have responded to movies.
More strikingly, many scientists now study “self-organization”—the emergence of patterns of order that don’t seem to be willed or intended by individuals or groups. We find impressive instances in nature: fish swim and birds flock in intricate patterns that no one fish or bird could imagine or dictate. Such self-organization is even more striking in human activities like traffic flow or online networks. Is there a sort of “physics of society”? No doubt people have intentions and quirks, but often we can bracket those out and see shapes in the data that no one could have designed. The classic instance is a power law. A remarkable example is Vilfredo Pareto’s discovery that income distribution in any society tends to settle out as 20 percent of the people controlling 80 percent of the wealth. Mark Buchanan sums up the suprapersonal viewpoint this way: “Think patterns, not people.”
We know we can study films at the personal level. How can we study films subpersonally and suprapersonally too?
Reverse-engineering a movie
My answer comes after four days earlier this month at the annual convention of the Society for Cognitive Studies of the Moving Image. We met in Roanoke, Virigina, in a massive nineteenth-century hotel made over into a convention center. You know the place has things under control when every PowerPoint presentation works flawlessly.
What ideas unite the film scholars, psychologists, and philosophers who gathered here? Roughly, the members explore moving-image media through empirical methods. Empirical inquiry can include classic scientific method (hypothesis/ experiment) or methods of aesthetic, historical or quantitative analysis. Typically the goal is not interpretation of a particular film or TV show or videogame but rather understanding of some general aspects of these media. Not explication, we might say, but rather explanation. Further, most members of the Society are interested in ways that film can be illuminated by areas of modern psychological research, such as neuroscience, cognitive science, and evolutionary psychology.
Some of our philosophers would say that they pursue conceptual analysis rather than empirical inquiry. Still, they join our meetings because the sorts of concepts they want to analyze are the ones that the film folk and the psychologists deploy—concepts like artistic intention or the nature of genre. Many of our liveliest sessions have come from disputes between Filmies, Psychos, and Philosophes.
Previews, but not followups. The big problem covering these events is that they’re so busy I have no time to blog during them, and by the time they’re over I’m usually en route to Il Cinema Ritrovato in Bologna. So I tended to make those entries introductions to the cognitive perspective, rather than surveys of who said what. This year, because our gathering was earlier than usual, I’m trying to sum up the event reasonably soon after it ended. We had simultaneous sessions, sometimes three at once, so I attended fewer than half of the talks. I’ll try to mention presentations that seem relevant, even if I didn’t hear them. Similarly, I heard some presentations (e.g., Lisa Broad on possible worlds) that were stimulating but don’t quite fit into my thesis here.
There were plenty of talks that developed arguments at the level I called personal. That is, they analyzed how films were designed to achieve certain effects. This calls for “reverse engineering”: starting from plausible viewer responses and then looking for creative choices made by the filmmakers that seemed to fulfill particular functions.
Take as an example Carl Plantinga’s paper on how we strike up moral attitudes toward characters. He was interested in how we achieve what Murray Smith calls “allegiance”—a “pro-attitude” toward certain characters. Is it just a matter of wishing good things for them, or admiring their positive traits? Is it a matter of sympathy for their situation?
Carl argued that all these factors play a role, but they aren’t enough to assure our siding with a character. He argues that allegiance also involves moral judgments, or rather moral intuitions. Films exploit two facts about these moral intuitions: they must be summoned up quickly, without much thought, and they are often driven by emotion rather than ideas.
Oddly enough, our moral intuitions are not necessarily driven by moral standards! Carl drew on Anthony Appiah’s analysis of moral judgments as influenced by how a situation is framed, ordered, and primed—basic cognitive cues that influence responses. For example, Legends of the Fall sets up two brothers, one conventionally moral and the other not. Yet it’s the wild, violent Tristan who earns our sympathies, because he displays vitality, youth, beauty, sensitivity, and closeness to nature. The upshot is that we rationalize a moral judgment on non-moral grounds. Carl got several questions about his conception of morality and the possibility that our moral intuitions are tied to things we value, like beauty.
Malcolm Turvey offered a paper on gags in Jacques Tati. Pointing to prior work on how Tati’s gags are integrated into a shot’s composition (scattered so that we may miss them) and linked to one another (through overlap, Kristin has suggested), Malcolm went on to argue that the gags themselves don’t obey the conventions of classic comedy. They exhibit strategies of misinterpretation, blockage, ellipsis, fragmentation, and concealment that are highly original and unusually challenging. Malcolm is working on a book on “ludic modernism,” and he sees Tati as fitting into this tradition.
Malcolm’s precise and persuasive account was framed by a strong attack on the tendency of cognitive film theory to concentrate on ordinary, even undistinguished films and ignore problematic and avant-garde instances. He pointed to passages in Stephen Pinker’s writings that mock experimental art, and he urged cognitive film researchers to “call Pinker out” for his borderline Philistinism. He remarked that psychological researchers could learn as much from Tati’s work as from ordinary films…and maybe discover new things.
A similar sort of rational reconstruction at the level of personal response was found in many other papers I heard. Jason Gendler dissected the misleading narration in The Blue Gardenia. Rory Kelly wondered why viewers tend to forget the water-utility plotline at the start of Chinatown. James Fiumara considered why modern startle effects are comparatively rare in classic horror films. Torben Grodal isolated a group of “disgust-driven phobic films” (Taxi Driver, Blade Runner, Se7en) that sink so deeply into disgust that melancholy drives out empathy. Lennard Hojberg studied circular camera movements that express the dizziness of love as based on embodied vision.
Some researchers used quantitative procedures to capture a film’s regularities. Monika Suckfuell (right) exposed some very complex patterns in a short film, Father and Daughter. These create a distinct emotional tone through what she calls “distance editing.” The patterns are combinations of thematic units like problem-solving or humor, and the recurring combinations arouse both comprehension and pleasure. In another quantitative study, Tseng Chiaoi and John Bateman sought to tie concrete uses of filmic elements with more abstract aspects of meaning. (Chiaoi and John had done a presentation on film-based discourse semantics at last year’s event.) Concentrating on characters’ action patterns, Chiaoi used computer software to trace their structures in television commercials and the war genre.
Squeezing the stimulus
Bopping after a session: Tseng Chiaoi and Paul Taberham.
The talks I’ve mentioned, along with several others, analyze processes that we can access by re-viewing films, studying their form and materials, and examining the genres and stylistic traditions to which they belong. But other talks concentrated on the subpersonal areas, the parts of our responses that we can’t access so easily.
For instance, how do we mentally stitch together various shots to create a unified space for a scene’s action? Film scholar Todd Berliner and psychologist Dale Cohen presented an account of how we achieve an illusion of spatial continuity. Initially the brain grasps shots as if they were pieces of space selected by the viewer, and then it builds up a model of the whole space—say a porch in front of a house’s front door. When a character moves his arm a certain way toward an offscreen area, our model of porches and doors makes it most probable that he is pressing the doorbell.
In such ways we run “beyond the information given.” Filmmakers count on our doing that, so they give us feedback (say, the sound of a doorbell, or a shot of a door opening) that confirms our model of the space. Most mainstream films build in such redundancy. But the unity of these spaces is undermined by some contemporary exhibition technology. Todd and Dale suggested that the mental models we build of space exclude the movie theatre, so that surround sound and 3D become problematic.
They also got several good questions. How concretely specified are these model spaces? How do they develop in the course of a scene? Might our perception of continuity come down to a lack of perception of discontinuity—that is, maybe we operate on very simple default assumptions and don’t build up many models of the space.
Todd and Dale’s presentation was in the Helmholtz tradition; they even invoked “unconscious inference” as part of the story. Another tradition, represented by SCSMI founders Joseph and Barbara Anderson, invokes James J. Gibson’s ecological approach to perception, which argues that such modeling and inference-making isn’t really happening. Things are much more direct: Perception is data-driven, and needs top-down correction only in rare cases (like nighttime or fog).
Other perceptual researchers try for a more parsimonious research strategy: How much information about the visual world can we squeeze out of the stimulus? This question was raised by Jordan DeLong, who has been exploring how we can identify emotional arousal through very “low-level” information. Using a corpus of 150 films (more on this later), he looked at shot lengths, the distribution of shot-lengths across a film, and a purely physical measure of visual activity (essentially the change from frame to frame) to see if they correlate with genres we associate with high levels of arousal, like action and adventure films. Jordan’s study is preliminary, but there is the possibility that certain purely physical features are reliable indices to levels of arousal—even if people don’t notice those features and are much more fastened on characters and their actions.
The current projects of Tim Smith’s research team exemplify the parsimonious strategy. Tim is a long-time participant in SCSMI, and his talks show how a research program can expand and enrich itself.
We know people look at certain areas of a shot. We also know that our attention is directed, driven by features of the stimulus. What features? We filmies would pick out shot composition, color, movement, lighting, shot scale, etc. We can access those middle-level variables through expert introspection and analysis. But can those features be further decomposed?
Tim thinks so. We can consider any of these technical qualities as made up of luminance, color channels, and other low-level physical aspects of vision. Through signal-detection methods, Tim seeks to pinpoint what the crucial variables are. The results of his work are soon to be published, and I don’t want to give the game away. I’ll just say that he has shown through eye-tracking that certain low-level features are more important than others in engaging viewers’ attention.
One implication of Tim’s findings is that what I’ve called “intensified continuity” seems to have an optimal grip on spectators. This technique, he remarked, “almost paralyzes the eyes,” yielding “an illusion of active vision with passive eyes.” More generally, his work seems to back up James Cutting’s remark that “There is no such thing as voluntary attention sustained for more than a few seconds at a time.” Most of our attention is at the mercy of the outside world, which means that filmmakers need to engage us at every moment—either with narrative, or with something else we’ll find arresting.
Dan Levin, Pia Tikka; in the background William Brown, Carl Plantinga, and Dirk Eitzen.
Dan Levin gave the keynote address at SCSMI two years ago, and he showed how we vastly overrate our ability to spot outrageous changes in the world or on the movie screen. (He’ll have a field day with the tricks in Shutter Island, such as the one surmounting this blog.) This time around Dan talked about Theory of Mind in the movies, the ways that films exploit our (species-specific?) inclination to attribute beliefs, desires, and goals to the creatures we see in the world, and in films. His paper scanned mandatory, bottom-up cues, middle-level activity (the sort of organization of visual space Todd and Dale discussed), and then “controlled cognition,” such as our narrative expectations. So for Dan it’s not all in the stimulus. Once we’ve picked out certain aspects of it, our Theory of Mind system locks on them.
What aspects? Chiefly, signals of intention and marked eye direction. When we think we’re watching an intentional agent, like a movie character, we tend to see the agent’s eye direction as giving us a clue to his or her aims. Using films he has made, Dan tests people for how eyeline-matched cuts are read, and he varies the cues to see how people construe them differently.
Interestingly, when he showed the same shots in a different order, about two-thirds of the subjects didn’t notice that the order was different. That is, whether the object of the glance or the person glancing came first, gaze deflection remained the primary cue to understanding the situation. This suggests to me that storytelling cinema doesn’t absolutely need the classic pattern of person looking/ person looked at/ person looking, but the extra shot makes sure we all understand (redundancy again).
A similar sort of top-down/ bottom-up theory was proposed by Dan Barratt, who gave it a more computational spin. Like Tim, he works on eye movements; like Todd and Dale he’s interested in how we construct space; like Dan, he seeks out intentional factors. It’s not all in the stimulus, but we won’t know how much until we keep squeezing.
Ripples in the flow of films
The Society broke new ground in what I called the “suprapersonal” realm, that of large-scale patterns of activity that aren’t explicitly coordinated by individuals or groups. Several researchers are probing this in relation to films. Films are, in effect, deposits of human behavior; they are artifacts resulting from choice. What if we find patterns of choice that we can’t plausibly trace to coordinated decision-making?
Chris Atherton raised the issue by considering how to study style statistically. Citing Barry Salt as a pioneer in the area, he focused on the work of the Cinemetrics group and offered suggestions on how to better collect data and track patterns at various levels of generality. More sharply, he posed the question of function. How can you measure that? One implication was that in a big body of films we can disclose order that can’t wholly be explained as the sum of individual choices. Those choices matter, but so do forces we have yet to determine, including historical processes. Chris’s reflections chimed nicely with those of our keynote speaker.
James E. Cutting is a distinguished perceptual psychologist at Cornell. He’s written a fine book on motion perception and has done a quantitative historical study of the creation of the canon of French Impressionist painting. He’s a former dancer and a sensitive appreciator of art and music (and film). He’s the ideal person to analyze ticklish aesthetic issues.
You may have run across him recently because his research on Hollywood films was picked up and trumpeted in the press. “Solved: The Mathematics of the Hollywood Blockbuster,” read one headline. Needless to say, James was doing something more subtle. You can read summaries here and here.
In his lively address, “Attention, Intensity, and the Evolution of Hollywood Film,” James explained two of his areas of interest: the ebb and flow of change across a film, and how that change is tied to human pickup. James studies these topics with a big database: 150 movies from 1935 to 2005. He emphasizes widely seen films belonging to five genres and chosen from the highest-rated titles on IMDB. But there’s a micro- side too. He and his research team went through every film frame by frame coding each one along many dimensions.
Naturally, he takes on the vexed issue of Average Shot Length. You can read the ongoing discussions of this concept on Yuri Tsivian’s Cinemetrics site. What interests James is less ASL in itself than the ways in which comparable patterns of shot lengths cluster in certain parts of the film. A film’s ASL may be 8 seconds, but in some passages several shots might have similar lengths, say 12 seconds each. Moreover, those patterns may “ripple through the film,” recurring at certain intervals and different scales (shot clusters, scenes, or other chunks).
Not every film shows such patterns; film noirs seem random in their patterns of shot lengths. But many movies, especially those of the last fifty years do display these patterns—typically clusters of short shots for physical action, clusters of longer ones for conversations. This clustering tendency is on the increase, even outside the action genre.
The finding leads James to ask about the pacing of visual change, which raises the prospect of the sort of tension/ release dynamics we find in music. The patterns he finds don’t look arbitrary because they match the so-called 1/f or pink-noise pattern. This pattern has been detected in the natural world, in heartbeats, and in brain activity. It’s also been discovered in reaction times to tasks. In effect, the 1/f pattern captures not continual attentiveness but rather an alternation of intense concentration, moments of slower pickup, and moments of sheer mind-wandering. A nontechnical explanation of the 1/f pattern is here; a technical one is here.
As for intensity, James is seeking to measure visual activity in the shots. How much change, in effect, can there be from frame to frame? This can be captured by correlating each frame with its mates. James and his team find that from 1930 to 1950, there’s been a steady increase of frame-to-frame visual activity across all genres. The images became busier, with more movement. Today, he suggests, Hollywood is exploring ways to raise the frame-to-frame visual activity—not only through lots of movement of characters (the action film comes to mind) but also through “queasicam” handheld movements.
In combination with decreasing ASLs, Hollywood seems to be asking: How briefly can I show you this and still get the point across? So far, James suggests, films like Mission: Impossible III and The Bourne Ultimatum seem to be the busiest at the visual level. But animated films score about the same.
James has a caveat: The size of the screen matters. Even a big home-theatre screen doesn’t duplicate the breadth of a theatre screen, which activates not only our central vision but our peripheral vision too. That’s why bumpy shots that you can tolerate on a computer monitor may make you queasy at the multiplex. Interestingly, the Bourne films and Cloverfield, James suggests, were more popular on IMDB after the DVD versions came out. Perhaps people were better able to assimilate them on a smaller display.
At one level, James is interested in the subpersonal factors. He grants that you don’t notice cuts but can attend to them if you shift your focus from the story. But the widespread patterns he discloses aren’t easy to ascribe to deliberate planning. Nobody but an avant-gardist would decide to have shots of similar lengths at points 14 minutes or 25 minutes apart throughout the film. But James finds such correlations at levels beyond chance.
I can’t pretend to understand everything mathematical in James’ argument, but I think that his discoveries open up a new way to think about pacing in film. My first impulse is to think about historical causes, as Chris suggests: filmmakers learning from each other, converging on optimum choices. But I also like to entertain the possibility that this optimum carries a resonance even beyond the flux of history. Perhaps like fish and fowl, filmmakers are obeying and viewers are fulfilling, completely unawares, deep rhythms built into nature and numbers.
A tangled databank
Traditional humanists would decry a lot of what goes on at SCSMI meetings. The appeal to general explanations, the recourse to biology and evolution, the use of quantitative and experimental methods would all smack of “scientism.” But more and more, humanists are starting to turn away from the endless reinterpretation of canonical or non-canonical artworks. Many are also quietly defecting from the Big Theory that dominated the 80s and 90s. In film publishing, I’m told, editors have come to an informal moratorium on books on Deleuze. Possibly more people write them than read them.
Committed to a theory of permanent revolution in Theory, humanists are seeking new pastures. Some have discovered neuroscience, others evolutionary psychology. Franco Moretti has launched quantitative studies of the literary marketplace. For many converts, the reconciliation with science is just a bandwagon to hop onto, and they will jump off when a newer one trundles past. But other scholars have been committed from early on. The prospect of “consilience,” the compatibility between the sciences and the arts, is something the literary Darwinists like Brian Boyd, Jonathan Gottschall, Joseph Carroll, and like-minded souls were defending long before it became fashionable.
Film theory, as Joe Anderson is fond of pointing out, has a long and intense fascination with experimental psychology. Hugo Münsterberg, Rudolf Arnheim, and Sergei Eisenstein saw no conflict in studying film art with tools and findings derived from the sciences. That interest was lost in the 1960s, for a variety of reasons. But some of us have persisted. An explicitly “cognitive” perspective has been developing in film studies for the last twenty-five years, and SCSMI has nurtured this tradition since 1997. Our commitment is deep. We’re making headway. We’re not going to go away.
There is grandeur in this view of life, and cinema.
Our Society owes a great debt to Stephen Prince of the Virginia Tech School of Performing Arts and Cinema, who hosted this year’s convention. He also gave a splendid paper on the research traditions behind precinematic optical toys, as a way of thinking about modern CGI.
I found these books on suprapersonal patterns helpful: Mark Buchanan, The Social Atom: Why the Rich Get Richer, Cheats Get Caught and Your Neighbor Usually Looks Like You (London: Cyan, 2007); Steven Strogatz, Synch: The Emerging Science of Spontaneous Order (New York: Theia, 2003); Philip Ball, Critical Mass: How One Thing Leads to Another (New York: Farrar Straus Giroux, 2004).
Todd Berliner and Dale Cohen’s paper, “The Illusion of Continuity: Active Perception and the Classical Editing System,” is scheduled for publication in the Journal of Film and Video in 2011. Tim Smith’s paper is in press at Cognitive Computation as P. J. Mital, T. J. Smith, R. Hill, and J. M. Henderson, “Clustering of gaze during dynamic scene viewing is predicted by motion.” You can check Tim’s DIEM project for video demonstrations, and his blog, Continuity Boy.
The original article by James Cutting, Jordan DeLong, and Christine Nothelfer, “Attention and the Evolution of Hollywood Film,” appeared in the March issue of Psychological Science. Access is through subscription.
As for Shutter Island, thanks to Justin Daering for pointing out the double sleight-of-hand. More thoughts on the film and Scorsese’s expressionist/ impressionist tendencies are in our backfile.
1999 Conference of the Center [later Society] for Cognitive Studies of the Moving Image; Valby, Denmark. Photo by Johannes Riis.