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Archive for the 'Narrative strategies' Category

THE MAGNIFICENT AMBERSONS: A usable past

Hellzapopppin’ (1941).

DB here:

By now everybody is used to allusionism in our movies—moments that cite, more or less explicitly, other films. But we tend to forget that movies have been referencing other movies for a long while. One classic form is parody, as when Keaton’s The Three Ages (1923) makes fun of Intolerance (1916). Another example occurs in Me and My Gal (1932). Spencer Tracy tells Joan Bennett that he just saw a movie called “Strange Innertube,” and then Raoul Walsh gives us a comic version of the inner monologues used in Strange Interlude (1932).

Some allusions are in-jokes that sail by most viewers. Almost everybody notices when Walter Burns (Cary Grant) in His Girl Friday mentions that a character played by Ralph Bellamy looks like “that fella in the movies—you know, Ralph Bellamy.” Probably fewer people catch the later line, Walter’s threat to the authorities: “The last man who said that to me was Archie Leach just a week before he cut his throat.” Grant’s real name, of course, was Archibald Leach.

Week-End at the Waldorf (1945) is a sort of updating of Grand Hotel, so when one character remarks that a plot twist “is straight out of the picture Grand Hotel,” we probably catch the self-reference. But the other character piles on the allusions by replying: “That’s right. I’m the baron, you’re the ballerina, and we’re off to see the wizard.” Did people notice MGM congratulating itself twice? And you wonder how many viewers catch the spoiler in Hellzapoppin’ (1941), released only four months after Citizen Kane. Chic Johnson spots a Rosebud sled hanging outside an igloo and remarks, “I thought they burnt that.”

At the beginning of the 1940s, two novice directors seemed to be bringing fresh air to Hollywood cinema. Preston Sturges and Orson Welles were identified with innovative approaches to genre and storytelling. So we might expect them to inject something new into this practice of alluding to other movies. I think they did.

Consider a particular strategy that Sturges and Welles toyed with. Today, we enjoy it when a director treats characters in non-sequel films as sharing a fictional world. Tarantino imagines shifting his characters or brand names (e.g., Red Apple cigarettes) from movie to movie.

When I sell my movies, I retain the rights to characters so I can follow them. I can follow Pumpkin and Honey Bunny or anybody and it’s not Pulp Fiction II.

Jackie Brown (1997) features Michael Keaton as FBI agent Ray Nicolet, who also appears, played by Keaton, in Soderbergh’s Out of Sight (1998). The tactic fitted these directors’ adaptations of novels by Elmore Leonard, who tends to carry over characters from book to book.

It’s a bit surprising to see this impulse in Sturges and Welles too. The governor and the political boss in The Miracle of Morgan’s Creek (1944) are McGinty and the Boss in The Great McGinty (1940), and they’re played (uncredited) by the same actors. A newspaper glimpsed in The Magnificent Ambersons (1942) contains a column, “Stage Views,” by drama critic Jed Leland, a major character in Citizen Kane (1941).

Today fans are used to spotting things that most viewers might not get, but in the early 1940s, it was rarer. I’ve proposed earlier that sometimes Hollywood’s creative community is addressing not the broad audience but its own members, perhaps letting dedicated outsiders “overhear” the conversation. One example would be the nearly-hidden jokes that can be wedged into the background or on the edges of the action. In an entry about a year ago, I considered how sequences around the small-town movie theatre in The Miracle of Morgan’s Creek carry barely-noticeable jabs at current films, mostly those by Sturges’ home studio Paramount. And Luke Holmaas has pointed out to me that Hail the Conquering Hero contains a billboard advertising Morgan’s Creek—a sort of joking product-placement. Today, I want to suggest that Welles moved onto the same terrain but followed even more circuitous paths.

 

The past, not recaptured

Make pictures to make us forget, not remember.

Comment card from first preview of The Magnificent Ambersons, 1942.

The Magnificent Ambersons is, everybody knows, a film about the past. Its story action begins around 1885 and concludes just before World War I. Most of the plot concentrates on the decline of the Amberson family, due partly to financial mismanagement and the willful pride of Isabel Amberson’s son, George Minafer. Parallel to that decline is the development of the town into a city and the rise of the automobile company founded by Eugene Morgan, a failed suitor for Isabel’s hand. A major turning point comes when, after Wilbur Minafer’s death, Isabel is left a widow. She’d like to marry Eugene, but she declines because George is opposed. At the same time, George tries to win Eugene’s daughter Lucy. After the death of Isabel and her father Major Amberson, the family is destitute and George must find a way to support his aunt Fanny. Struck by a car, George is hospitalized, and only then does he reconcile with Eugene and Lucy.

After weak previews, the film was drastically recut, and some new scenes were shot. The original version has not yet been found, so we’re left with a ruined  masterpiece. Still, there’s enough there to let us appreciate Welles’s effort to make sense of a crucial period of American history. Old money was giving way to modern, technology-driven fortunes; Eugene’s auto company is the Dell Computers of its day. The film also evokes changes in urban life, with shifting property values and rising pollution shown as consequences of progress. It’s the most downbeat of the “nostalgia” cycle of the 1940s, which includes Strawberry Blonde (1941), Meet Me in St. Louis (1944), and Centennial Summer (1946).

Many other films have sought to present the past, recreating the settings and costumes and props of an era. But Ambersons is about pastness. It conveys a melancholy recognition that things are always changing, that we struggle to make sense of events only after it’s too late to affect them. It’s a film centered on missed opportunities and what might have been. Eugene might have married Isabel when they were young, but his drunken serenade turns her against him. If George weren’t such a prig, he might have reconciled himself to Isabel’s remarriage; only at the end, kneeling in prayer, does he seem to realize how his stubbornness cheated many people of happiness. The original ending would have shown Eugene visiting Fanny in a boarding house, with her long and unspoken love for him counterpointing his suggestion that he’s been true to Isabel.

Ambersons carries its sense of an unrecoverable past into the very texture of its telling. At first, the aura of things gone by is given by Welles’ voice-over narration. In affectionate comedy he introduces us to habits and routines of an era of streetcars and changing men’s fashions. After Eugene’s botched serenade, the townsfolk add their voices to the chorus with comments on the scandal. More backstory is given when George is shown growing from a spoiled boy to an arrogant young man. Our narrator recalls “the last of the great Amberson balls.” Eugene arrives, a widower, bringing his daughter Lucy, and George begins to court her that night.

Now the narrator’s past-tense explanation withdraws for some time. Instead, characters take up the burden of narrating the past. “Eighteen years have passed,” says Isabel’s brother Jack at the ball. “Or have they?” Before Eugene dances with Isabel, he remarks that the past is dead. Unfortunately, it won’t stay buried. The old romance between Isabel and Eugene will be rekindled, and bad business decisions and George’s spendthrift ways catch up with the family.

Welles’s plot construction relies on ellipsis. The scenes skip over major story events—Wilbur’s death, the decline of the family fortune, Gene’s second courtship of Isabel, and Isabel’s death. So much occurs offscreen that we are left to play catch-up. We must listen to characters report on what has just happened, or reflect on the more distant past. The film is built on recollection and reaction. We don’t see Fanny at Isabel’s deathbed; she simply flies out of the room to embrace her nephew: “She loved you, George.” We don’t see George and Isabel on their European trip; we learn of it from the doleful Uncle Jack, who thinks that Isabel is falling sick. This refracted narration allows Jack to voice his concern—he’s probably the one Amberson whose judgments we trust—and Gene to display helpless, rigid sorrow at the news.

One of Ambersons’ most famous scenes, the long take of George and Fanny in the kitchen, is characteristic. Under her questioning, he explains that Gene and Isabel were starting to reunite at his college graduation. A peppy nostalgia movie would have shown us that cheerful moment on the campus, but Welles channels the information through George’s insensitive report and Fanny’s uneasy questions—and the scene climaxes with her breaking down in tears. As ever, melancholy wins out. As a result of George’s telling, Fanny will plant the suspicion that gossip about Isabel has been destroying the family’s good name.

Similarly, another film’s finale would show the reconciliation of the young lovers, George and Lucy, in the hospital. Instead Welles’ original script presents that moment through Eugene’s somber report of it to Fanny in her boarding house. (In the version we have, we get the report in the hospital corridor.)

Sometimes, the gaps in time and action are abetted by the studio’s reediting. In the present version, we learn about Aunt Fanny’s failed investments later than  in the original version. But even then the information would have been presented after the fact. On the whole, the sense of the sadly unalterable past is built into Welles’ screenplay. As each scene unfolds, we get news about what has happened in the gap since the last scene, or what has happened years before. At the railroad station, Uncle Jack, about to depart, recalls a woman he left here long ago. “Don’t know where she lives now–or if she is living.” Here the pastness he evokes is familiar to us from earlier in the film: “She probably imagines I’m still dancing in the ballroom of the Amberson mansion.” At the limit, Major Amberson’s garbled fireside reverie takes us back to the origins of life: “The earth came out of the sun, and we came out of the earth . . . so–whatever we are must have been in the earth.” Now the past is primeval.

 

Retro as remembrance

Welles enhances the aura of pastness through specific film techniques. Critics have rightly been alert to creative choices that carry over from Citizen Kane: looming sets, drastic deep-focus cinematography, low angles, chiaroscuro, and long takes, often employing splendid camera movements. But the film displays some unique choices that are, historically, anachronistic.

The most noticeable old-time technique concludes the idyll in the snow. Jack, Fanny, Lucy, and George are riding in Eugene’s horseless carriage. This, one of the few scenes that doesn’t replay the past in its conversation, is given special treatment as a moment out of time. The iris out that concludes the scene is something of a visual equivalent to the old song the riders sing, “The Man Who Broke the Bank at Monte Carlo.”

Similar is the vignetting that softens the edges of the opening sequences, starting with the first shot showing the streetcar stopping for the lady of the house.

     

Welles’ visual techniques aren’t faithful to the period when the story action takes place. Assuming that the snow idyll occurs around 1904, the iris wouldn’t have appeared in films of that time. And the earlier period of the streetcar shot and changing men’s  fashions probably predates the invention of cinema. But by 1942, these techniques were associated with silent film generally and give a cinematic tinge of “oldness” to the action.

I say “by 1942” because recent years had made intellectuals especially conscious of film history. Several books, notably the 1938 translation of Maurice Bardèche and Robert Brasillach’s Histoire du cinéma (translated as The History of the Motion Picture) and Lewis Jacobs’ sweeping The Rise of the American Film (1939) had concentrated on the stylistic innovations of Porter, Griffith, and other pioneers. With some theatres reviving silent classics like Caligari and The Birth of a Nation, cinephiles in urban centers had some opportunities to see silent movies. Most notably, the Museum of Modern Art Film Library was founded in 1935 and under the curatorship of Iris Barry, began building a permanent archive and screening retrospectives.

MoMA also assembled many films into traveling 16mm programs that could be rented by schools, museums, libraries, and other institutions. Silent films also circulated in 8mm and 16mm prints from private companies like Kodascope and Castle Films. Throughout the late 1930s and 1940s, silent comedies were the most popular; Chaplin reissued The Gold Rush in a sound version in 1942. Welles’s interest in silent slapstick is shown in the recently discovered pastiche, Too Much Johnson (1938), which evidently owes a good deal to Entr’acte (1924), a MoMA-canonized classic.

Ambersons offers other, less obvious allusions to old cinema. One cluster of them comes during George and Lucy’s stroll along the sidewalk. George, somewhat petulantly, is insisting  that his trip abroad with his mother may last a long time. “It’s goodbye, Lucy.” Angling for a declaration of devotion from her, he gets brittle, agreeable indifference. When he has stalked off, we learn that she is actually quite shaken by the prospect of separation. Watching the dramatic interplay in this long traveling shot, we are probably not likely to pay attention to the posters the couple pass outside the Bijou theatre.

The advertisements announce movies that could have played the Bijou in 1912. The ones in the rear of the lobby are impossible to make out, and there’s one outside I can’t be sure of. (See the codicil.) Raking the frames on DVD and on a good 35mm print, I’ve been able to discern The Bugler of Battery B (1912), Her Husband’s Wife (aka, How She Became Her Husband’s Wife, 1912), Ten Days with a Fleet of U.S. Battleships (1912; in the foyer), and The Mis-Sent Letter (1912). There were several Jesse James films circulating in 1911-1912, but one two-reeler named for the bandit (at the bottom of the second frame here) seems a likely candidate.

    

These casual background details betray extraordinary fussiness on the part of Welles and his colleagues. Few viewers would pay attention to all the posters, and very few viewers would realize that they’re all from the same year. It’s one thing to include authentic automobiles from the era, as car fanciers would be sure to spot mistakes. But 1912 two-reelers? It’s hard to avoid the conclusion that the filmmakers put the posters in to satisfy themselves. (If you’re skeptical, I’d ask: If you’d thought of it, wouldn’t you do it?)

There’s more. The most prominent hoarding advertises a Western, The Ghost at Circle X Camp (1912), from Gaston Méliès. Surely the name also evokes Gaston’s brother Georges, by then an established pioneer of film history and a figure doubtless known to Welles. Is this a sideswiping tribute from one magician-cineaste to another?

There’s also a deliberate anachronism. Tim Holt, who plays George, was the son of action star Jack Holt. A lobby card over the box office announces “Jack Holt in Explosion.”

I can find no trace that such a film existed. Moreover, films of that era seldom identified the main actors in advertising, and in any case Holt was not a featured player in 1912. In order to create an in-joke/homage, Welles seems to have prepared a poster for a fictitious film—as Sturges did with Chaos over Taos and Maggie of the Marines in The Miracle of Morgan’s Creek.

Perhaps the most sneaky allusion comes at the very end. After the florid voice-over credits for technical contributions, Welles intones: “Here’s the cast.” Medium-shots of the actors dissolve into one another as the voice-over identifies them. The images recall photographic portraits from the nineteenth century. They also seem to be a variant of those 1930s opening credits that catch the players in shots extracted from the movie to come. Still, there’s something peculiar about these.

Some of the actors look straightforwardly out at us, as we’d expect.

     

But others turn their heads slightly or shift their gaze, toward or away from us.

     

     

Sometimes the shift is tiny, as with the Joseph Cotten cameo. But the tactic is made into a joke when Tim Holt, staying in character, snaps his glance furtively to the camera.

     

     

Why these fillips? Here’s my conjecture. Some 1910s films, from both America and Europe, introduced their casts with shots of the actors standing as if on a theatre stage. The actors then looked to left, then right, pretending to take in all sides of a live audience. Here’s an example from Reginald Barker’s The Wrath of the Gods (1914), featuring actor Thomas Kurihara.

     

None of the 1910s examples I know was framed as closely as Welles’s shots are. But I surmise that Welles offered a modernized variant of a minor silent-film convention. If this is right, it has to be an allusion more far-fetched than even the ones Sturges supplied.

 

Maybe I’ve gone too far. Once filmmakers start playing these games, overreach is a constant temptation. In any case, I think there’s enough evidence that Welles, like Sturges, was invoking early film history as a way of reinforcing the overall pastness-strategy of his film.

I’d go further and speculate that Welles’s obsessively pinpointed allusions may have stirred a competitive spirit in Sturges. Now we can see the Miracle of Morgan’s Creek tracking shot past the movie house posters as a variant, two years later, of the angle Welles chose for his long take.

And perhaps the audacious inclusion of footage from The Freshman (1925) at the start of The Sin of Harold Diddlebock (1947) was sparked by Welles’ virtuosically faked newsreel in Citizen Kane. As the two boy wonders from the East took advantage of the biggest train set a kid could play with, they may have egged each other on.


For more on the practice of allusionism and world-building see The Way Hollywood Tells It. Thanks to Ben Brewster for information on Jack Holt’s career. My quotation of the Ambersons preview card comes from Simon Callow’s Orson Welles vol. 2: Hello Americans (Viking, 2006), 87.

The Holt and Méliès posters are mentioned in the cutting continuity in Robert L. Carringer’s The Magnificent Ambersons: A Reconstruction (University of California Press, 1993), 214. Alas, the other posters aren’t specified.

The poster that I haven’t identified, and that drives me nuts, sits underneath The Bugler of Battery B. Here’s a blowup from 35mm.

The poster’s illustration, which we can glimpse more fully in a later phase of the shot, shows a man thrashing an American Indian while a woman stretches out her arms in the cabin in the background. At first I thought the first words are The Car, but I can find no film from the period that begins with that phrase. (It would fit more closely with Ambersons thematically than most of the other titles, but in fact “car” wasn’t then a common term for automobile.) Then I thought it was The Coin Box Girl, but again no such film seems to have existed, and that title is hardly in keeping with the illustration. Any ideas?

Yes, I know. Welles would have had a good big belly laugh at these efforts.

P.S. 10 June: I’ve been pursuing some readers’ leads about the still-mysterious poster. In the meantime, Joseph McBride has has corresponded with me with more ideas and information about Ambersons. Joe is the author of many books, including What Ever Happened to Orson Welles?: A Portrait of an Independent Career, Writing in Pictures: Screenwriting Made (Mostly) Painlessand Into the Nightmare: My Search for the Killers of President John F. Kennedy and Officer J. D. Tippit, a meticulous study of those two murders. He is one of the world’s top Welles scholars, so naturally I’m happy to pass along his thoughts.

AMBERSONS is my favorite film, as you probably know, even in its partly ruined state. I think all your analysis is acute, and I like your focus on the self-conscious awareness of pastness that Welles conveys and dissects in the film. The film is redolent of Welles’s youth and even more so of the period before he was born (the period for which I find most of us are most nostalgic). Nostalgia was considered a neurosis in the pre-modern era, a sign of inability to adjust to reality rather than the warm-and-fuzzy state it’s thought of being today. There’s a deep melancholy throughout the film, even if Welles, good magician that he is, distracts us with misdirection via comedy in the beginning while simultaneously laying the seeds of destruction and foreshadowing George’s “comeuppance,” etc.

Last month I was at the Welles conference in Woodstock, Illinois, which has preserved much of its nineteenth-century flavor, including the Opera House where Welles put on TRILBY (but most of the Todd School for Boys he attended is gone). That town and its main square, with bandstand and Civil War monument, seems very Ambersonian as well. I have always seen AMBERSONS as Welles’s most deeply personal film, and his claim that Eugene Morgan is partly based on his father (and that Booth Tarkington knew his father) is noteworthy, as is George Amberson Minafer’s evil-twin resemblance to the young George Orson Welles.

I would only add to your insights that there was much more about the loss of the Amberson fortune in the full version of the film (you allude to that a bit), even though, as you intriguingly note, Welles employs an elliptical style throughout. Welles’s use of ellipsis is Lubitschean (he considered Lubitsch a “giant”), although used for somewhat different reasons, Welles doing so mostly to condense the story in witty ways (and, as you observed to me, focus on characters’ emotional reactions to offscreen events, in the manner of Henry James) and Lubitsch to evade censorship while providing subtle rather than blunt treatments of sex. And some of Lubitsch’s German films, as you know, start with specially posed head shots of him and his main actors, somewhat similar to what Welles does at the end (though he teasingly keeps himself out of frame, partly to stress the voice aspect and also to keep the identification of himself with George stronger). Tim Holt gazing accusingly at us in the end credits is startling — maybe it’s not only to keep him in character but also to say, “I’m you.”

Welles is terrible (archy, corny, and putting on a phony kid voice) as George in the radio version, which, however, is much like the film in some ways. During the night devoted to radio in the 1978-79 “Working with Welles” seminar I co-hosted for the AFI at the DGA Theater, Welles’s longtime associate Richard Wilson and I ran the first ten minutes of the radio show as the soundtrack for the film imagery, and it worked amazingly well. Welles’s use of ellipsis in the film recalls his radio work, in which he and his writers would condense a large novel into one hour, etc. The vignettes at the opening of AMBERSONS are very much drawn from radio. He sold the project to RKO’s George Schaefer by playing the radio show, though the fact that Schaefer fell asleep before the end might have given them pause.

Welles said he included the “Jack Holt in EXPLOSION” gag did to please Jack when he visited the set. Jack was an action star for Capra before AMBERSONS and turns up in THEY WERE EXPENDABLE, in the scene in which John Ford pays homage to his high school teacher Lucien P. Libby by naming a boat after him. Another of those in-jokes that permeate even classic Hollywood, as you say. Mr. Libby influenced Ford’s portraits of Lincoln and other folksy politicians as humorous storytellers.

Welles’s early films show a keen awareness of film history and culture, more than he would let on later he knew at that young age. He described THE HEARTS OF AGE to me as a spoof of THE BLOOD OF A POET and LA CHIEN ANDALOU. TOO MUCH JOHNSON is full of film influences and allusions (I think I sent you my essay on the film from Bright Lights. And KANE has its share of in-jokes, such as Gregg Toland interviewing Kane on board a ship and Kane responding with his first words in the film after “Rosebud” — “Don’t believe everything you hear on the radio.”

Thanks to Joe for corresponding.

Never Give a Sucker an Even Break (1941).

Caught in the acts

Kiss Kiss Bang Bang (2005).

DB here:

If you’re interested in how films tell stories, I think that you’re interested in several dimensions of narrative. Those include the story world (characters, settings, action), narration (how story information is parceled out as the film unrolls), and plot structure (the arrangement of parts).

Plot structure matters because a movie’s parts, like parts of a song or a symphony, help shape our experience. Just as a “curtain line” makes us return after intermission, a cliff-hanging climax to a TV episode makes us tune in next week–or click to continue, if we’re binge-watching. Accordingly, storytellers reflect on how to chop up and lay out sections of their plots. Novelists fret over chapter divisions, TV writers massage their scripts to allow for commercial breaks, and playwrights map action into acts.

The idea of act-structure has passed into commercial screenwriting as well. Just when that happened is hard to say, but certainly by the 1980s scriptwriters consciously broke their screenplays into big chunks. That trend was largely the result of Syd Field’s 1979 book Screenplay: The Foundations of Screenwriting, although some of his points had been anticipated in Constance Nash and Virginia Oakley’s Screenwriter’s Handbook (1974). From these books came the idea that a feature film script had a three-act structure, measured by time segments (30 minutes/ 60 minutes/ 30 minutes). The prototype was a 120-minute film, with each script page running about one minute of screen time. Field fleshed the model out by noting that “plot points” at the ends of acts one and two turned the conflicts in a new direction. Although other writers argued for other templates, and Field’s model was refined (what’s the “inciting incident” in Act One?), versions of the three-act model still rule the international film industry.

Field presented his anatomy as an analysis of hit films like Chinatown and Close Encounters of the Third Kind. He suggested it as a template for a successful plot. As Field’s book gained prominence, his guidelines gave production companies an heuristic for triaging submissions. Now a story analyst could simply check pages 25-35 and 55-65 for turning points, and “incorrect” scripts could be discarded immediately. (But see P.S. below.) Through a feedback cycle, the Field model became a guide to both screenwriters and industry decision-makers. Inevitably, the whole thing got mocked. The day-by-day structure of Shane Black’s Kiss Kiss Bang Bang parodies Field’s scheme, and it closes with a self-conscious epilogue. “So,” says the narrator, “that’s pretty much that….”

To what extent, though, was the three-act structure employed in earlier eras? Field’s original edition drew its examples from current hits, but he implied that classics would display the same underlying architecture. Kristin, in Storytelling in the New Hollywood, claimed that four parts were more common than three, and she supported her analysis with examples from films from the silent era and the classic studio years.

But film analysis depends on your perspective. In any movie you can find patterns different from the ones I find, and each of us can make persuasive cases. It would be valuable to know whether American screenwriters in the studio system consciously worked with an act-based model. If they did, what assumptions did they make about the length and organization of each act?

 

Some poor sucker of a screenwriter

Steven Price’s new book, A History of the Screenplay, surveys the practices of screenplay composition in America and Europe. It traces the early years of outlines and scenarios through the continuity script of the silent years, the sound screenplay, and postwar European models, up to the New Hollywood and contemporary standards. It’s a fascinating study and sure to set a benchmark in our understanding of the conventions of screenwriting. For the 1930s and 1940s in America, Steven shows that filmmakers used two formats, either the “master-scene” one or a format involving more explicit instructions about camerawork, lighting, and other aspects. But he finds little direct evidence that screenwriters of the studio era consciously applied a three-act structure.

For some time, I’ve held the same view. I couldn’t find any script draft broken into acts. Some veteran screenwriters admitted using a three-act model in plotting, but their testimony came long after the era. So, for instance, Philip Dunne refers to three-act organization in his 1940s screenplays, but he makes the claim in an interview published in 1986. Billy Wilder says he “wrote [Charles Boyer] out of the third act” of Hold Back the Dawn (1941), but the remark comes in an interview given decades later. There’s always the possibility that older writers, newly aware of the Fieldian template, were projecting it backward onto their work—assuring us that they conform to contemporary standards, or even asserting precedence.

Similarly, we can’t rely too much on secondary sources. True, screenplay manuals, from at least 1913 onward, have recommended a three-part structure, purportedy corresponding to Aristotle’s idea that a plot must have a beginning, a middle, and an end. But this rests on a misunderstanding. As I’ve mentioned before, Aristotle isn’t talking of acts; ancient Greek plays didn’t have act divisions. And almost none of the manuals use the term “acts” to describe the parts.

Richard Brooks’ novel The Producer (1951), about a weak-willed executive trying to do the right thing, offers some hints along similar lines. He mentions that a screenplay should run to 120 pages, confirming the canonical length that Field proposes. Likewise, Brooks obliquely appeals to Aristotle.

Some poor sucker of a screenwriter has to create a beginning, a middle and an end, and all the dialogue.

Perhaps there’s an intentional irony in the fact that Brooks’ Hollywood exposé is itself broken into three parts, labeled “The Beginning,” “The Middle,” and “The End.”

Unlike many authors of manuals, Brooks was an established screenwriter, and we might expect his novel to refer to acts. It doesn’t. But Lewis Herman, a minor scribe with three screen credits (including Anthony Mann’s Strange Impersonation), does. His 1952 manual declares that a feature-length film is built upon “a three-act theme outline.” The context suggests that the Hollywood studios demand this as a step toward developing a full screenplay. Herman usefully illustrates the outline with a hypothetical example.

Still, manuals or novels aren’t ironclad sources for studio practice. Better would be contemporaneous evidence from memos, story conferences, and similar unpublished documents. Claus Tieber has done extensive research into such sources and has found no discussions of three-act structure. I’ve found a few, but they’re fairly sketchy.

Overseeing Casablanca, Hal Wallis told Michael Curtiz, “The Epsteins have agreed to deliver the film’s ‘second act’ the following day.” Darryl F. Zanuck mentioned the “last act” in correspondence about Viva Zapata! and On the Waterfront. Supposedly John F. Seitz asked Preston Sturges about the flashback structure of The Great Moment: “Why did you end the picture on the second act?” As I noted in an earlier entry, David Selznick’s papers record a story conference on Portrait of Jennie in which Jed Harris remarks: “The second act–he must get the picture back because that’s all he’ll ever have of her.” He adds that at this point the film “is about 1/3 gone.” This suggests that some practitioners thought of the parts as roughly equal in length. (Kristin’s model proposes that this was the case.)

It may be, of course, that three-act structure of some sort was so ingrained in studio writers’ habits that they didn’t have to discuss it explicitly.  Field was addressing aspiring screenwriters who wanted inside knowledge, but as intuitive craft workers, the old contract writers wouldn’t be likely to spell out rigid rules about length and dramatic patterning.

Since corresponding with Steven for his book, I’ve found that one screenwriter explicitly invoked three-act structure in his working notes. And I’m embarrassed not to have noticed it earlier.

 

Coupling, recoupling, and Joe Breen

F. Scott Fitzgerald and Sheilah Graham.

NICOLAS: Marriage has its phases–its acts–like anything else. This is another act, that’s all.

F. Scott Fitzgerald, screenplay for Infidelity.

F. Scott Fitzgerald’s Hollywood career was mostly a fiasco. Thanks to temperament, a mentally disturbed wife, bouts of breakdown and alcoholism, and an implacable industry, he worked his way down the hierarchy to unemployment. From July 1937 to his death in 1940, he earned screen credit for just one film, Three Comrades (1938). He also started, but didn’t finish, the best Hollywood novel I know, The Love of the Last Tycoon (aka The Last Tycoon)I think it spells out some features of the Hollywood aesthetic with special vividness.

In early 1938 Fitzgerald began a screenplay for MGM producer Hunt Stromberg (right). Given a title, Infidelity, Fitzgerald came up with a script centered on a dead marriage. What has turned happy young lovers into a polite, numb couple? An extended flashback shows that two years earlier the husband Nicolas re-met his former secretary while his wife Althea was abroad taking care of her sick mother. The secretary, Iris, spent one night at Nicolas’ luxurious home, and it’s implied that they had sex. At breakfast, Althea returned home unexpectedly and found Iris at breakfast. After this, Althea remained married to Nicolas, but simply lived with him in detached ennui.

Back in the present, to ramp up his mood, Nicolas decides to hold a party in the country estate he had more or less abandoned. At the same time, Althea rekindles her friendship with a former suitor, Alex. She can’t arouse herself to passion, though, and Alex leaves her. As she drives more or less hysterically to the estate where the party is in full swing, Nicolas is wandering through his mansion among the shrouded furniture.

At this point, because of objections from the Production Code office, Stromberg halted Fitzgerald’s work on the screenplay. Aaron Latham’s biography tells us that Fitzgerald had planned to present a reconciliation, in which a photographic trick presents Althea seeing herself as Iris and thus forgives Nicolas. But this ending would suggest that the husband’s sin went unpunished. Fitzgerald suggested an alternative, but this too was rejected by Joseph Breen. He tried to redraft the script later in 1938, but the project dissolved.

Fitzgerald had systematically studied Hollywood releases, even filing plot synopses on index cards. Accordingly, the Infidelity screenplay we have shows an awareness of 1930s storytelling conventions: montage sequences, wordless scenes, and revealing visual detail. We learn that Nicolas’ ardor is cooling when we notice that he has stopped opening Althea’s letters. Fitzgerald’s acquaintance with current trends led him to a thumbnail characterization of Althea’s friend Alex:

He is the type played by Ralph Bellamy in The Awful Truth–handsome, attractive, worthy, thoroughly admirable, but somehow too heavy in manner to grip the sympathy of an audience if playing opposite a man of charm.

Occasionally, voice-over dialogue in the present is matched with images in the past, in the manner of Sturges’ “narratage” in The Power and the Glory. (See our entry here.) And the large-scale flashback structure, leaving a key action in the present suspended for nearly an hour, anticipates a mode of construction that would be common in the 1940s.

Despite its up-to-date air, the plot of Infidelity creaks a bit. It relies on a great many coincidences and introduces rather late a major menace, a sinister surgeon who seems slated to play the disruptive role of George Wilson in Gatsby. But what’s of special interest to us is a schedule of work that Fitzgerald sent to Stromberg during the planning stages.

Fitzgerald groups his scenes into clusters, and alongside each one he notes a date on which he expects to complete it. Since each scene usually runs only a couple of pages, the groupings present a feasible day-by-day timetable. These clusters of scenes are gathered into eight “sequences,” labeled with Roman numerals. In the 1930s, a “sequence” meant, according to screenwriter Frances Marion, “a series of scenes in which the action is continuous without any break in time.” Each of Infidelity‘s sequences presents a unified phase of the action and is more or less continuous in time, although there are some ellipses as well.

Here’s the news: Fitzgerald’s timetable assembles the sequences into acts. Sequences I through IV are labeled “FIRST ACT 45 pages.” Sequences V through VIII are labeled “SECOND ACT 50 pages.” Sequence VIII is continued to form “THIRD ACT 25 pages.”

The first act  establishes the loveless marriage and launches the flashback. While Althea is away, Nicolas re-encounters Iris. Meanwhile, as Althea and her mother are on their way home, they conveniently run into her old beau Alex. Their departure for the United States ends this setup. In the screenplay Fitzgerald has typed: “The First Act may be said to end here.”

The second act develops the conflict to a point of crisis. Althea returns a week early to find Iris at breakfast with Nicolas. She resigns herself to a loveless union. Back in the present, he plans the party and at the instigation of Althea’s mother Alex starts to woo her. But he abandons Althea, and by chance she’s found by Dr. Borden, whom she starts kissing. In the notes for Sequence VIII, Fitzgerald cryptically ends the act on an alternation between the couples:

CUT TO husband and back to old beau [Alex]

[Alethea] with beau [Alex]

Crisis with beau and switch [to the surgeon, Dr. Borden?]

CUT TO husband

After presenting this alternation in scenes, the manuscript concludes:

Full shot of a bedroom, large and luxurious like everything else in this house. Soft lighting, everything covered with cloth or canvas.

Nicolas Gilbert is standing in the middle of the floor.

Close shot of Nicolas.

This is presumably the end of the passage labeled “CUT TO husband.” In the Stromberg schedule, this last portion marks the end of Act Two. Act Three isn’t in the canonical version of the screenplay.

A couple of final points about the structure. Although the screenplay is estimated at 120 pages, its proportions don’t conform to the Field paradigm. At 25 pages or minutes, the third act is short. This is a characteristic of both modern and older Hollywood climax sections. But Act One was projected to be very long at 45 pages, and Act Two approximates it at 50. Fitzgerald’s layout is perhaps more characteristic of a stage play, which can afford a longish exposition and equivalent second act. In the script version we have, both acts run equivalent page lengths.

Fitzgerald may have expected some trimming and compression at later stages. In The Producer, Brooks’ protagonist notes that a 120-page script would usually be cut down to 90 minutes because exhibitors wanted films at about that length. It’s true that few films of the studio era run to two hours.

Set aside brute measurements. What, in Infidelity, makes an act a coherent unit? Not a specific span of time. Act One breaks off partway through the flashback, and Act Two ends before the evening party does. The first act ends when we know a crisis is coming: Althea is returning home early and hasn’t told Nicolas, whom we’ve seen flirting with Iris. Act Two ends at another high point. Nicolas confronts the emptiness of his life without his wife, and nearby Althea is heedlessly making love to a stranger with dubious designs. We could easily imagine the script as a stage play, with a curtain ringing down on each of these teasing situations.

 

In sum, we have  one clear-cut case of a studio screenwriter laying out his plot in three acts. We can’t generalize from a single instance, of course, and we would need many more pieces of evidence to consider this a widespread writing strategy. Perhaps Fitzgerald isn’t typical. Did his relative inexperience as a screenwriter make him rely on a theatrical template that others could do without? Did he employ it more as a rhetorical device to convince Stromberg that the plot was firmly constructed? Still, taken with the reminiscences of Dunne, Wilder, et al. and the sketchy mentions we have in production records, the Infidelity project suggests that some conception(s) of  three-act structure were operative in the studio period.

Needless to say, we’ll need even more evidence before we can begin to consider whether the filmmakers’ craft practice matches the structural patterns that today’s analysts disclose in the films. The search continues!


The Fitzgerald outline is reproduced on pp. 161-162 of Aaron Latham, Crazy Sundays: F. Scott Fitzgerald in Hollywood (Viking, 1971). This book is not only a stimulating account of the novelist’s Hollywood years but also a helpful view of the movie colony’s culture. My discussion relies upon the version of Infidelity published in Esquire 80, 6 (December 1973), 193-200, 290-304. It is available in a digitized version here. The original manuscripts are in the University of South Carolina library.

Philip Dunne’s remarks about three-act structure are in Pat McGilligan, Backstory (University of California Press, 1988), 158. Billy Wilder’s remarks come in George Stevens, ed., Conversations with the Great Moviemakers of Hollywood’s Golden Age (Knopf, 2006), 316. (In the same interview Wilder claims that Some Like It Hot has four acts.) Richard Brooks’ The Producer (Simon & Schuster, 1951) is worth reading for its almost documentary survey of the process of production at the period. Lewis Herman’s Practical Manual of Screen Playwriting for Theater and Television Films (World, 1952) is an unusually detailed guidebook.

On Wallis’ memo about Casablanca‘s second act, see Marshall Deutelbaum, “The Visual Design Program of Casablanca,” Post Script 9, 3 (Summer 1980), 38. For Zanuck’s comments see Memo from Darryl F. Zanuck: The Golden Years at Twentieth Century-Fox, ed. Rudy Behlmer (Grove, 1993), 173, 226. Seitz’s remark to Sturges about The Great Moment is quoted in James Curtis, Between Flops: A Biography of Preston Sturges (Harcourt, Brace, 1982), 172. There’s more discussion in our blog entry on The Great Moment.

I take Frances Marion’s definition of “sequence” as a bundle of scenes from her How to Write and Sell Film Stories (Covici-Friede, 1937), 373. Tamar Lane offers a comparable definition in his New Technique of Screen Writing (McGraw-Hill, 1936), 123. Interestingly, Lane adds that some scenarists think of each sequence as moving toward a high point, like an act in a play; but this seems only a rough analogy, and the comparison entails that a script would have several more “acts” than three. Steven Price suggests that the “sequence” as an extended script segment emerged in the silent period and hung on in some sound screenplays; see A History of the Screenplay, especially 63, 115-116, and 153-157. At the same time, “sequence” could refer to a single brief segment, as in “action sequence” or “montage sequence.”

Thanks to Steven Price and Claus Tieber for correspondence about act structure. Claus has a relevant case study of Grand Hotel, “‘A Story Is Not a Story But a Conference’: Story Conferences and the Classical Studio System,” in Journal of Screenwriting vol. 5, no. 2 (2014): 225-237. More generally, I’m grateful to researchers at the Screenwriting Research Network for what I’ve learned from their conferences in Brussels in 2011 and in Madison in 2013.

Other entries on this site have considered act structure. Kristin explains her model, based on goal formulation and injections of new information. She expands on this as it affects character subjectivity and point of view.  I illustrate her model with reference to what is supposedly the most wayward and narratively fragmented modern genre, the action picture. I offer some general reflections on how the four-part structure informs not only current films but best-selling novels. For a more general discussion of the dimensions of film narrative, you can download this chapter from my Poetics of Cinema. Also, too: there’s the precept that form follows format. Finally, I consider modern trends in screenplay construction, including act structure, in The Way Hollywood Tells It.

After a while you see the triplicate scheme everywhere. In Case History of a Movie (1950), p. 30, Dore Schary says that Charles Schnee turned in the script of The Next Voice You Hear in thirds. Acts? I’ll have to get back to you.

P.S. 19 May 2014: In reply to this post, Greg Beal comments that my discussion of rejecting screenplays based on Field’s plot points is inaccurate.

Having employed hundreds of readers over the past 25 years, many of whom also read for various production companies and agencies, I have never witnessed nor heard of a single person doing what you describe.  In fact, readers/story analysts, typically the initial gatekeepers at agencies, production companies and studios, can’t actually discard scripts at any point as they are required to write coverage, which usually includes a multi-page synopsis of the submission.
 
Most likely, if the above did occur, it might have been among newly minted execs, who might have known little more about scripts than what they read in Field’s Screenplay. Of course, most execs would have simply read the coverage and not even bothered to pick up the script, let alone turn to pages 25-35 or 55-65.

My claim was, I now think, an overstatement. I should not have suggested that the absence of canonical plot points would be sufficient to doom a screenplay. Naturally, I realize that the analyst would still be obliged to write fuller coverage. I meant simply that the Field template could set up expectations that the script wasn’t written to standard. Other factors would surely be taken into account in a final decision. The larger point, that three-act structure along Field’s lines shapes analysts’ judgment, remains to be determined.

My most concrete evidence for the saliency of the three-act, plot-point model in this production context comes from two manuals by story analysts. T. L. Katahin’s Reading for a Living: How to Be a Professional Story Analyst for Film and Television (Blue Arrow, 1990) recommends that analysts look for three acts, including a ten-page initial setup followed by a development and two further acts that forward the protagonist’s goals. But Katahin doesn’t propose exact page counts for further twists.

More specific is Jennifer Lerch’s 500 Ways to Beat the Hollywood Script Reader: Writing the Screenplay the Reader Will Recommend (Simon and Schuster, 1999). In following the three-act layout, she suggests that Act One, the setup, be consummated between pages 20 and 30 (ideally consisting of two scenes 10-15 pages each). Act 2, as per Field, is said to run long, up to pages 80-90, and typically consists of four to eight sequences (each 10-15 pages or so). This act is said to lead to a point of no return, the pivot-point for Act 3.

Lerch, who was a professional story analyst for the William Morris Agency for eight years, claims, “Your script’s setup can literally make or break your project in the Hollywood Reader’s eyes, particularly at some companies that instruct readers to stop at page thirty of a script if it looks substandard. You may have a great second act and climactic sequence, but Hollywood will never see it unless you give it a savvy setup” (91). Passages like this one led me to think that the Field template weighs quite strongly in analysts’ judgment. But I’ve never supervised story analysts, so I welcome Greg’s expert comment on the matter.

P.P.S. 20 May 2014: More information on Fitzgerald’s Infidelity screenplay and its act breaks. In a letter to Hunt Stromberg dated 22 February 1938, Fitzgerald wrote:

The first problem was whether, with a story which is over half told before we get up to the point at which we began, we had a solid dramatic form–in other words whether it would divide naturally into three increasingly interesting “acts” etc. The answer is yes. . . .

This point, the decision to sail, also marks the end of the “first act.” The “second act” will take us through the seduction, the discovery, the two year time lapse, and the return of the old sweetheart–will take us, in fact, up to the moment when Joan [later, Althea] having weathered all this, is unpredictably jolted off her balance by a stranger. This is our high point–when matters seem utterly insoluble.

Our third act is Joan’s recoil from a situation that is menacing, both materially and morally, and her reaction toward reconciliation with her husband.

Evidently the timetable reprinted in Crazy Sundays was prepared after this letter was sent. This letter is printed in F. Scott Fitzgerald: A Life in Letters, ed. Matthew J. Bruccoli (Scribners, 1994), 348-349.

P.P.P.S. 30 May 2014: I always enjoy getting correspondence from readers, and I must catch up by noting some other responses I’ve received. David Cairns, whose wonderful blog Shadowplay is always worth checking on (his latest post is on Hannibal, the TV show), writes with this comment:

I can’t find it at present, but Billy Wilder’s dictum “If there’s a problem in the third act, the solution’s in the first act,” appears, I am sure, in Maurice Zolotow’s biography of the great man. Published a couple of years before Syd Field. 
In Preston Sturges by Preston Sturges, PS discusses his troubles with the script of Remember the Night, and how he solved the second act. 
Of course, Sturges was a Broadway playwright and it would be natural to him to break a story into acts (though not necessarily three). But so were many others — I would question whether the influx of playwrights with the coming of sound perhaps changed the structural approach of Hollywood screenplays? 
I couldn’t find the Zolotow Wilder biography either, but when I do I will check. The only point I’d make in advance is that it would be better to have Wilder’s testimony at the time, rather than in the 1970s. But David’s memory of Preston Sturges by Preston Sturges has not played him false. One of the funniest passages in the book involves Remember the Night:
When I had him [the DA played by Fred MacMurray] take her up [to the mountains] moved by charitable impulse and the Yuletide spirit, it expired from galloping eunuchery. So I thought of a novelty. The district attorney takes her up to the mountains for the purpose of violating the Mann Act. This has always been a good second act. It is an act enjoyed by all, one that we rarely tire of, and one not above the heads of the audience. In Rain, for instance, the preacher started to reform her and ended up laying her like a carpet. (p. 288)
As David indicates, the reference to the second act is clearly meant to apply to theatre practice, but it would be natural for Sturges, stumped for a middle stretch for his plot, to make the analogy. Sturges also niftily puns on “act,” implying not only a dramatic segment but coitus (“it is an act enjoyed by all”) and even a law enacted. For readers too young to know what the Mann Act is, check here.
Like David and probably other readers, I’ve wondered whether the idea of a screenplay’s acts stems from the playwrights who came to Hollywood in the 1930s. Again, if that’s the case, it’s strange that we find so little evidence of it.
Another correspondent, Soren Schoff, writes to point out that Victor Freeburg’s The Art of Photoplay Making (1918) makes occasional reference to three-part dramatic construction. In this, Freeburg is in accord with those writers I mention who map this scheme onto Aristotle’s precept about beginnings, middles, and ends. Freeberg does mention that in a stage play the “beginning,” or “premise,” often coincides with the first act (p. 247). But he doesn’t follow through with this and equate the middle with the second act, and so on. In fact, I think, he can’t do so because many of the plays he takes as models, such as Shakespeare’s, have more than three acts. Freeburg finds the three basic parts–what he calls premise, complication, and solution–to be an undergirding structure, not a format that coincides with act breaks in plays (or presumably screenplays).
In addition, it’s worth remembering that Freeburg’s book isn’t a manual of practice but rather an analytical treatise articulating an aesthetic of the cinema. His prescriptive remarks are by way of sketching preferred ways of achieving artistic effects like unity. In this respect his book is in the tradition of Aristotle’s Poetics, as the title’s phrase “Photoplay Making” impliesFor more practical advice on “the practical side of plot building” (n.p.), Freeburg recommends Epes Winthrop Sargent’s Technique of the Photoplay. As an early academic effort to study film, The Art of Photoplay Making is still very much worth reading. It’s available, as Soren points out, online.
Thanks to David and Soren for writing.

Hold Back the Dawn (1941).

Pulverizing plots: Into the woods with Sondheim, Shklovsky, and David O. Russell

American Hustle (2013).

The different writers, who live in different times, come across the same pattern, the same chain of circumstances, which reveal themselves in different ways in each time.

This is how plot travels through time.

Viktor Shkovsky, 1981

 DB here:

Besides writing some fine tunes and cunning rhymes, Stephen Sondheim has been an audacious experimenter with storytelling on stage. Do you know Into the Woods? It’s a bittersweet mashup of fairytales. Instead of presenting each one separately, like the vignettes of Japanese history in Pacific Overtures, here Sondheim’s collaborator James Lapine has woven them into one elaborate super-story. Rapunzel turns out to be the sister of the baker who sells bread to Red Riding Hood to take to Grandma. The princes pursuing Cinderella and Rapunzel are brothers who eventually turn their affections to Snow White and Sleeping Beauty. And so on. It’s an ingenious contraption, and I look forward to the film version to be released this year.

Even before that, we can learn something useful from what Sondheim has done. In effect, he has offered us a nifty audiovisual aid for understanding some ideas about storytelling advanced by the Russian Viktor Shklovsky. Shklovsky is surely the most eccentric literary critic of the twentieth century. He is also one of the greatest.

Thanks to Maria Belodubrovskaya and web tsarina Meg Hamel, we’ve just posted the first English translation of a rare Shklovsky essay elsewhere on this site. Today I want to consider a couple of Shklovsky’s many provocative ideas.

 

All the reverses

Shklovsky wasn’t an ivory-tower aesthete. He fought in World War I, joined the 1917 February Revolution that overthrew the Tsar, and continued an army career. As a Social Revolutionary, he initially opposed the Bolsheviks and spent several years in hiding and in exile in Germany. In 1923 he returned to the USSR and settled in to work as a professional writer.

Abandoning university life (he never took his exams), he wrote countless journalistic essays and several film scripts for Soviet classics: By the Law (1926), Bed and Sofa (1927), The House on Trubnaya Square (1928), and the documentary Turksib (1929). His novels were experimental efforts, mixing memoirs with speculations on literature. Zoo, or Letters Not About Love (1923) subverts the form of the epistolary novel by including letters that are not to be read. (A red X crosses them out.)

He became known for a porous, cryptic approach to writing. He can be repetitious, puzzling, tedious, and maddening; outlining one of his essays is a wrestling match. His jittery style mobilizes brief paragraphs, some consisting of a single short sentence, much as Eisenstein and other directors used short film shots: as a percussive device to assail the reader.

A quick phrase can swing into a digression, a tactic Shklovsky relied on even more as he advanced into his eighties. The man who thought Tristram Shandy was “the most typical novel in literature” had a soft spot for delay and detour. Some variations:

To take a break, I am inserting here a page from one of my old manuscripts.

After such an opening, one can digress in any direction.

Being the theorist of “baring the device,” Shklovsky naturally accentuates the artifice of his technique. “It’s not easy to enact a change of theme,” he says, doing it while talking about it. Later we get a hint of the arbitrariness of organization. “I’ll repeat–continuity can be started from any place.”

Shklovsky’s most enduring fame came through his association with what has become known as Russian Formalism. While studying at St. Petersburg, Shklovsky and some friends formed OPOYAZ, the “Society for the Study of Poetic Language.” They were convinced that the literary history they were being taught failed to get at the essence of “literariness”—the specific quality that made literature a distinct domain. Historians could compile names and dates, speculate on biographical influences and social pressures, but this still wouldn’t distinguish literary forms from non-literary ones. What makes a poem different from a grocery list, a courtroom drama different from a trial transcript?

In the late teens and early twenties, Shklovsky and his colleagues set forth a new approach to literature. That approach was called, by its enemies, “Formalism,” and the name has stuck.

In English, of course, the word has so many meanings that it should probably be retired. Sometimes it means studying “form” and neglecting “content”; that was part of what the Stalinist hacks meant when they insisted that Shklovsky & Co. weren’t advancing the class struggle by emphasizing ideology. Today, to use “formalism” as a slam is often to suggest something similar—that a formalist ignores “content” like race, class, gender, and nation. But the Formalists didn’t neglect content. What others considered content they treated as material that is shaped by the literary work.

Following up Formalist theory fully would take me far afield. Instead, I want to turn to Shklovsky for some thoughts on plot structure that are fairly different from those I floated here a little while ago.

 

Once upon a time

The Formalists were among the founders of “narratology,” the systematic study of storytelling. They gave us the foundational distinction between story and plot, or fabula and syuzhet. The fabula consists of the events in the story world as they’re arranged according to time, space, and causality. The syuzhet consists of the story events as we encounter them in the finished narrative. Flashbacks furnish the most obvious example of how plot structure rearranges story order. Sondheim’s Merrily We Roll Along is more unusual: its plot presents its story episodes in reverse order, so that the last thing we see is the earliest fabula event.

My essay, “Three Dimensions of Film Narrative,” and the accompanying blog post on The Wolf of Wall Street, reflected my basic take on narrative analysis, which is holistic. I try to get a sense of the overall architecture, and see how particular elements slot into that. For instance, by suggesting that The Wolf has a five-part act structure, I traced a development from part to part as Jordan sets up his trading firm, conducts an affair that destroys his marriage, launches an IPO and attracts the attention of the Feds, expands his scheme to offshore money laundering, and eventually comes to ruin….and resurrection. My analysis traced action patterns that unfold like musical melodies through the movie.

Most people would defend a holistic approach in another way. The Wolf of Wall Street  runs 173 minutes without credits. Its admirers argue that it needs to be so long because it has to accommodate all the plots and counterplots. True, maybe some scenes are a bit stretched (notably Jordan’s and Donnie’s hilarious Quaalude orgy), but on the whole Scorsese and his screenwriter Terence Winter could say that telling Jordan’s story adequately demanded a long running time.

Shklovsky asks us to think of storytelling less holistically, or at least to think of a different sort of whole. He takes us through the looking glass.

*Instead of treating a narrative as a linear chain of events—say, the adventures of an egoist like Jordan—let’s think of it as a point of intersection of various materials. Not a linear flow, but a collage of items brought in, trimmed, or discarded as needed.

*And instead of taking a narrative as determining the time it takes to unfold, let’s think of the time as determining the narrative. Think of the narrative as built to scale, with a predetermined size into which material has to be fitted.

 

Every knot was once straight rope

The Decameron (1971).

Shklovsky thinks that a narrative is like a collage because historically, short narratives aren’t cut-down long ones. Instead, long texts have been woven out of short ones. He and his colleagues were much influenced by studies in folklore, which showed that folktales were often built out of familiar pieces, or motifs. A motif might be a character, such as a jealous stepmother; an object, such as a magical ring; or an action, such as a test or competition. Storytellers could combine these motifs to create their plots. This is, on a big and self-conscious scale, what Sondheim has done in Into the Woods.

Shklovsky extends the idea of motif-assembly to the novel, which he claims grew out of collections of shorter stories. One example is The Golden Ass, an ancient Latin novel of the first or second century AD. In this tale a traveler undergoes some adventures but he also encounters characters who tell him their own stories. (Some of those may be based on folktales.) Similarly, the fourteenth-century Decameron of Boccacio consists of tales exchanged among ten characters sequestered to escape a plague in their city.

We have such story-collections in cinema, though they’re not common. Most obviously, Pasolini’s “Trilogy of Life” (The Decameron, The Canterbury Tales, The Arabian Nights) drew upon the tradition that Shklovsky is charting. A Hollywood example would be O. Henry’s Full House (1952).

Finding a pretext for assembling stories exemplifies what OPOYAZ called motivation. Motivation, as I’ve discussed here before, involves creating a justification for a formal choice. Motivation isn’t just for actors who figure out why a character behaves a certain way. It’s for every artist, as when a cinematographer tells of needing to “motivate” a pattern of light by providing a lamp or window.

More broadly, motivation gives the audience a reason to accept a formal option. One of my favorite examples comes in Citizen Kane. Having decided to tell Kane’s story in flashbacks more or less chronologically, Herman Mankiewicz and Orson Welles confronted a problem in their frame story. After Kane’s death a reporter would naturally turn to his surviving second wife before contacting friends or associates. But if Susan recounted her memories of Kane before the other witnesses did, her episodes would come from late in his life and throw off the chronology. Therefore the script makes Susan too drunk and angry to talk to the reporter Thompson when he calls. He must proceed to the Thatcher library, where he’ll learn about Kane’s earliest years. Later, when Susan is more sober, she recounts her flashback in its proper, chronological place.

Motivation is everywhere in cinema, and it assumes different guises. Sometimes filmmakers motivate their choices by realism. Susan, being an alcoholic, might well angrily refuse to talk to the reporter. Filmmakers also appeal to genre-driven factors, as when people sing and dance in a musical; presumably this will be the rationale for the musical numbers in the movie of Into the Woods, as they are in the play. Very often the motivation springs from what the plot demands. In a mystery, to keep viewers in the dark, you can attach the action to an investigator who gradually discovers what’s really going on.

Sometimes style needs motivation. In the recent vogue for first-person films like End of Watch, Chronicle, and the Paranormal Activity series, the makers find excuses for the characters to use their video cameras to record what’s happening.

Foreshadowing is a sort of motivation too. In The Wolf of Wall Street, Naomi’s aunt Emma comes to the couple’s wedding. In realistic terms, inviting a relative to the ceremony is plausible, but it’s there for structural reasons. The plot needs to introduce a character living overseas whom Jordan can later use to hold his smuggled money. This might seem a cold-hearted way to view a character, but the plot treats her just as heartlessly, killing her off at just the moment that precipitates a climax.

In sum, Shklovsky’s engineering approach prods us to ask why something is in this tale—not according to character psychology or thematic statement, but as part of a system of materials and their motivations. Perhaps Shklovsky thought he could motivate his late-period digressions by the reader’s knowledge of his age: the Grandpa Simpson alibi.

 

I’m in the wrong story

Wine of Youth (1924) publicity still.

How to motivate the sort of story-collections we started with? Minimally, you can create a framing situation in which one or more persons share a tale with an audience; that’s the Decameron solution. You can go further by making the tales seem to belong together. Perhaps they parallel one another, either explicitly or implicitly. One might prove that crime doesn’t pay, while another disproves it. Shklovsky calls this “a debate of stories.” In the 1924 film Wine of Youth, a young woman hears from her mother and grandmother about their courtships. The similarities and differences across the generations create comic parallels to the young woman’s own romance.

You could also motivate the connection between the frame story and the embedded ones. Shklovsky mentions that the very act of telling can slow down the action in the frame story, as when Scheherazade keeps narrating every night to postpone her death. Or perhaps a discovered manuscript (the embedded story) will have an impact on the people finding it. You might try to somehow blend the told story with the act of storytelling. In the British film Dead of Night (1945) the separate stories all involve fantastic events, and the people telling the tales stand outside them. But the film’s climax seems to turn the frame story itself into such a fantasy, creating a sort of Mobius strip that twists the film back to its beginning.

I think, though, the greatest power of Shklovsky’s idea comes with the notion that any big narrative is really composed of smaller ones. He goes beyond episodic assemblies like The Decameron and Dead of Night to suggest that even the most “organic” or tightly-designed plots can be considered well-disguised story collections. In other words, my holistic assumption is countered by one that treats a well-shaped whole as a heavily motivated collage of different stories. From Shklovsky’s perspective every narrative of any complexity is like Into the Woods.

We can imagine a continuum of the ways in which fairly distinct story lines are woven into one big one. You might bring the characters together in a single space, such as an inn. Cervantes used this tactic in Don Quixote, and the great Chinese filmmaker King Hu revived it in several of his films. Grand Hotel, Hotel Berlin, The VIPs, Nashville, and many other ensemble films gather different story lines within a single space and let them intertwine. Sondheim and Lapine brought their fairy-tale plots together in the same locale, the primeval woods. Often the linkage is one of time as well, with the action compressed into a few hours or days.

Given a unity of time and locale, we expect that the story lines will affect one another, which indeed happens in the films I’ve mentioned. This puts us in the land of what I’ve called “network narratives” and what Peter Parshall studies in his book Altman and After.

Apart from spatial connections and concentrated time connections, you can hook up your source-stories more tightly. Most complex narratives assign the characters roles in different story lines. For instance, Into the Woods ties its fairy-tale figures together by friendship, acquaintance, love, and kinship. Characters create goals that involve other characters. Rapunzel’s mother the witch demands ingredients for a potion, and these bring in Red Riding Hood, Jack and the Beanstalk, and Cinderella.

The implication is that every plot of any complexity, no matter how smoothly all its parts seem to fit together, is a paste-up, a virtual recombination of simpler action lines sewn together by motivations. A romantic comedy with a main couple and a secondary one? It’s essentially two separate plots joined by the simple strategy of making the couples friends with each other. The detective story in which various characters tell us their alibis? Separate plots hooked up by the need to involve them in the murder investigation. The heist movie that follows all the characters partnering in a single robbery? It compiles plots about different thieves and welds them together by a shared knockover.

 

Any path . . . so many worth exploring

For Shklovsky, even a novel’s protagonist can serve as a motivating device for connecting the various stories he or she encounters. “Gil Blas is not a human being at all. He is a thread, a tedious thread, by means of which all the episodes of the novel are woven together.” Likewise, in The Wolf of Wall Street, Jordan is not given a lot of depth. Some viewers have criticized this tactic, since he doesn’t change his attitude or ethical outlook, and seems to learn nothing from his rise and fall. Shklovsky could suggest that he’s chiefly a device for hooking together a string of episodes about the giddy high life of stock trading. Showing a weasel behaving like a weasel for three hours—some viewers have found him indeed “a tedious thread”—isn’t especially edifying in itself, but the film’s fascination comes chiefly from the escalation of excess we’re invited to witness.

From this angle, The Wolf of Wall Street somewhat resembles another current release, The Great Beauty. This film is more explicit in using the protagonist to combine plots that represent a cross-section of a society. We’ve had other films that use one character to survey, fresco-fashion, different milieus. Mizoguchi’s Life of Oharu is one such plot, and La Dolce Vita, to which The Great Beauty has often been compared, is another. Usually, though, the protagonist responds to what she or he encounters and changes as a result; in The Great Beauty Jep’s wanderings create a sort of ephiphany. Perhaps the novelty of the plot of The Wolf of Wall Street is that after being introduced to high-flying hedonism Jordan rushes in and never looks back.

Of course we could imagine other versions of The Wolf—an apprentice plot showing us Jordan learning the ropes at length from Mark Hanna, or a multiple-protagonist plot in which Donnie, Teresa, Naomi, and other characters get much more attention. Shklovsky reminds us of what screenwriters know instinctively: plot unity is often a matter of ruthlessly chopping out all those intriguing alternatives. Every complex tale is yanked and snipped out of a vast network of potential plots.

Consider American Hustle, much more of an ensemble piece than The Wolf. (Spoilers ahead.) I see it as a romantic comedy with a crime ingredient. Three principal love triangles are interlocked (Irving-Sydney-Rosalyn, Irving-Sidney-Richie, Irving-Rosalyn-Pete). These are pushed forward thanks to the doubled plotline characteristic of classical Hollywood cinema: work and love so intertwine so that the sting operation develops along with the romantic complications. David O. Russell and co-screenwriter Eric Warren Singer use many well-practiced comic conventions, including overheard conversations that precipitate crises. (As usual, no coincidence, no story.) In its unfolding American Hustle fits Kristin’s four-part-plus-epilogue model tidily.

In contrast to my perspective, Shklovsky invites us to consider how several conventional plots are squeezed into Russell’s film. Here are some.

*A husband has an affair with another woman, and his wife learns of it.

*A woman is a man’s mistress but another man is attracted to her. She leads both of them on.

*A con artist fleeces gullible people with the aid of a confederate.

*A dutiful father tries to protect his son from the mother, who’s a little crazy.

*A man betrays his friend and feels the need to confess it, even though it will ruin their friendship.

*A cop tries to bring down big-time crooks, against the wishes of his supervisor.

*A cop has captured a crook and wants to use that crook to get to higher-ups.

*A wife, feeling ignored by her husband, seeks the attention of other men.

*A man has a fiancée approved by his mother, but he’s attracted to a more glamorous woman.

*A small-time crook tries to scam the Mafia, and the gangsters learn of it.

*A father warns his sons against fishing on thin ice.

These plots are blended by having a few characters play multiple roles in them. Even in this profusion, by rewriting the film we could go further—say, expanding the conflict between the cop Richie and his mother, or going back further into Sydney’s past. As with The Wolf, by developing the sub-stories, we could multiply story threads forever.

Narrative can flourish like kudzu. What curtails things? Among other things, the second factor I mentioned at the outset: format.

 

Slotted spoons don’t hold much soup

Shklovsky suggests that very often a story is created (or re-created) in order to be of a certain size. Instead of the old saw “form follows function,” Shkovsky suggests another: form follows format. The length of the narrative is dictated in large part by the sort of thing it’s going to be. A pop song isn’t an operetta, a short story isn’t a novel, a miniature isn’t a mural.

At first glance this notion seems too stringent. Surely a poem or play can be any length we want. There are gigantic symphonies and sprawling picture scrolls. Whitman seems to have had no problem adding more and more poetry to editions of Leaves of Grass. But these instances might be exceptional.

There will always be outliers, especially among the avant-garde, but most storytellers work in media that set limits and favor certain lengths. At the moment, three hours is sort of a maximum for an Broadway musical play like Wicked, The Book of Mormon, or Spider-Man: Turn Off the Dark. It makes sense that, given high ticket prices, audiences want a reasonably extended experience. They get one in Into the Woods: it standardly runs about three hours, including intermission.

Even a big name like Sondheim works within time constraints. When he and James Lepine were contemplating redoing a fairy tale, they made a discovery.

Fairy tales, by nature, are short; the plots turn on a dime, there are few characters and even fewer complications. This problem is best demonstrated by every fairy-tale movie and TV show since Snow White and the Seven Dwarfs, all of which pad the lean stories with songs and side-kicks and subplots, some of which are more involving than the interrupted story itself. And those are all less than two hours long.

They needed to expand their material to Broadway length, and they did it by recalling an idea they’d concocted long before—a TV show that brought together characters from other TV shows.

Shklovsky’s suggestion is particularly attractive to those of us who study media because most artworks in commercial formats fit basic dictates of size. . US network TV episodes run 22 minutes or 45 minutes. Novels have roomier boundaries, but editors still have their preferences. According to a publisher’s marketer, in 2010 the ideal novel ran between 80,000 and 110,000 words. The doorstops bestowed on us by Rowling, Martin, and Stephen King are the market-tested, lucrative exceptions.

As for films, we still have pretty strong constraints outside avant-garde and festival pieces like Sátántangó (seven hours). A-level feature films in the 1940s typically ran between 80 and 120 minutes; B-films were typically 60 to 80 minutes. The longest running times were reserved for roadshow specials like Gone with the Wind and Duel in the Sun. I don’t know of a systematic study of changes in running times, but today there’s still apparently a two-tiered system. Program pictures (horror, action, raunchy comedy) with unknowns or minor stars (e.g., Jason Statham) can run around 85-100 minutes, with credits. The big releases can run two hours or more, but seldom more than three. When asked why originally The Grandmaster was 130 minutes, Wong Kar-wai is said to have replied, “All movies are 130 minutes now.”

Granted, directors’ cuts and alternative editions offer some flexibility. An initial four-hour cut of The Wolf of Wall Street had to be chopped down to a little less than three, but the long version may show up on disc or VOD. For all I know, it could become a mini-series. But even then its installments will be constrained by the running times of that format. And my other main example today, American Hustle, fits Wong’s point: Without credits, it runs 130:30.

 

Only three more tries

Lion King 1 1/2 (2004).

How is the format’s scale connected to Shklovsky’s idea about building your narrative out of pieces? This way: You find or create the pieces that will fill out the narrative to a conventional size. The format helps you decide how much to add or take away from the ongoing collage you’re creating of characters, actions, and story lines. Again it’s a matter of motivation, finding ways of justifying what you want to keep in or leave out.

Within the overall size of the piece, there are smaller chunks that need to be filled. A recent example is Anchorman 2.5, in which new gags replace old ones but still must be squeezed into the original scenes. Today’s screenwriting manuals, with their insistence on something big happening on certain pages, also indicate how storytellers are encouraged to invent material to be squeezed into a fixed frame. Some people hate the idea of a “formulaic” screenplay, but Shklovsky the pragmatist would, I think, compare it to verse forms like the sonnet and the haiku, which dictate quite specific slots to be filled. In this respect, Kristin’s multi-part model of mainstream feature films is compatible with Shklovsky’s idea: She has made the format’s customary subdivisions explicit.

Very often, you may need to stretch out a story situation to fit the time allotted. To some extent, folding several mini-plots into your big plot gives you the chance to extend the whole thing. In particular, often the plots don’t blend but actually block one another. In American Hustle, Rosalyn’s jealous-wife storyline serves to prolong the action around Irving and Richie’s scam, especially when she starts flirting with the casino magnates at the big dinner. Similarly, Richie’s escalating schemes to go after bigger crooks keeps thwarting Irving’s plan to mount simple scams that will let him and Sydney skate.

What to do when you lack material? We have some historical examples. In cinema, Griffith found several ways to fill out the one- and two-reel formats. Instead of simply showing characters coming into a scene, he filmed simple, mostly undramatic “goings and comings” that followed characters leaving one spot, traveling, and arriving at another spot. He also discovered that he could stretch out a situation by crosscutting two simultaneous actions.

An Aristotelian could say that Griffith discovered that crosscutting could generate suspense in rescue situations, but Shklovsky starts from sheer delay as an engineering principle. Why do the villains in such situations take such an ungodly time to accomplish their villainy? In 1923, Shklovsky recognized the emerging conventions of action cinema, still going strong today.

Attempted rape in a modern film is almost canonized. The victim is struggling, her friends are far away, the villain is pursuing the woman, “meanwhile,” etc. In my opinion, the choice of the crime in this instance is explained not so much by the desire to play on the spectator’s interest in eroticism as by the actual nature of the crime, which requires for its completion a certain amount of time. Instead of rape, take murder by pistol shot. Such an act is too indivisible. That is why cinematic villainy is usually perpetrated by a method that requires a large amount of time—drowning, for example, with the victim suspended upside down in a cellar and water pouring in. Sometimes the victim is bound hand and foot, then tossed on the railroad tracks, or else immured. Also effective is abduction in all its varieties. Only minor characters, not involved in the plot, are killed off immediately.

He might have added that the hero may be given a weak friend, whose death can be a little more protracted (and motivate the hero’s quest for revenge).

We tend to think of delay as padding, but actually narratives need it. Delay can be unmotivated, as digressions are. More often it’s motivated. In folk tales, why does the hero have two brothers? So that they can try and fail at the task that he will accomplish. (Hollywood’s rule of three may have its roots in folklore.) Stretching out the intervals between major plot points allows other things to be inserted—gags, character exposition, musical numbers, witty dialogue. Tarantino is very accomplished at dialogue-driven retardation. Call it the Royale-with-Cheese tactic.

It sounds strange to think of a novel’s descriptions of what characters eat and wear and drive as filler material. Ditto weather reports and portraits of neighborhoods. But Shklovsky suggests that in most cases that’s what these portions are, more or less motivated bits that flesh out the plot and connect the bits that the story-maker has brought on for this occasion. They can be further elaborated to create motifs and bind the work more firmly.

It seems even stranger that the same purposes of filling out the format and delaying the main events should be fulfilled by character traits. We tend to think of characters as modeled on living people—simpler, but with recognizable traits, habits, temperaments, and the like. For Shklovsky, a character can be minimal or maximal, depending on how much time or pages you have to fill. If your plot material is thin, you can thicken it by expanding your character, and at some point you have a psychological novel.

In some cases, by searching for material to expand the tale, the artist discovers new depths in his characters, as Shklovsky thinks Cervantes did with Don Quixote. The Don, initially a compilation of clichés drawn from chivalric romances, becomes richer as the first book proceeds. By the second book there’s a new self-consciousness about Quixote and Sancho, who are now famous to the other characters as heroes of the first book. You might think of The Godfather Part II or the sequels to Back to the Future when Shklovsky notes that the sequels to novels often change their structure radically, taking the original as a pretext for other explorations. The ill-remembered Book of Shadows: Blair Witch 2 (2000) and the more ingratiating Lion King 1 ½ (2004) use the Quixote device of building a sequel around characters who know the first installment.

Similarly, characterization serves to freshen up the familiar plot ingredients in American Hustle. Irving isn’t a slick con artist but rather a passable klutz who needs the social grace injected by Sydney. Richie isn’t your usual cop on a mission but a working-class guy burning with ambition, and this leads him to expand the scam to a level he can’t handle. Rosalyn is the slightly batty wife who’s expert in passive-aggressive combat. I suspect that what a lot of audiences enjoy about the film is the way several conventional characters are given vigorous detailing by the writing and the performances.

 

Happy ever after

The act of combining and fitting stories to a format demands that the storyteller find an ending. Shklovsky doesn’t have a lot of respect for endings. Given that making and motivating a plot are fairly arbitrary, the wrapup is likely to seem even more so. Shklovsky says that Thackeray wished he could order his servants to compose the endings of his novels.

Part of the problem is that while beginnings and middles bristle with surprises, resolutions are fairly routine. There’s the tragic ending, in which the hero dies. Another option is the ABA pattern, or “Here we go again.” In The Wolf of Wall Street, Jordan starts over, selling not stocks but the very idea of selling. Something similar seems to happen at the close of Into the Woods. The main action springs from people yearning for more than they have, given in the opening number, “I Wish.” After all the mishaps and deaths, the characters seem to settle for what happiness they have. Hence the bustling closing number, “Into the woods…and happy ever after.” But just as that song resolves and closure seems complete, Cinderella pipes up with “I wish….” Here we go again.

Then there is what Shklovsky calls the “incomplete” ending, the sort of open structure that doesn’t fully tell us how things work out. Chekhov and Maupassant are Shklovsky’s examples. In such instances, he points out, our cue for conclusion is often a description of the setting or the weather. In a way, these inconclusive endings acknowledge a fact of art: all endings are equally conventional, pieces of high artifice. None captures real life, which is absolutely endless in a way a text can’t be. Individuals die, but human life continues, and fate is essentially indefinite.

Shklovsky realizes, however, that readers favor the happy ending. Lovers are united, usually by marriage, or the adventurer returns safely from peril (the end of Jaws). American Hustle, being at bottom a romantic comedy, concludes with the main couple back together and successful in their art business. There’s also the formation of a secondary couple, Rosalyn and the mobster Pete. The pay-to-play mayor, who wants genuinely to help his city, gets mildly punished, while the real loser is the cop Richie. He becomes the expelled lover in the Ralph Bellamy tradition.

I think that Shklovsky would enjoy the film’s self-consciousness about its neat wrapup. American Hustle parodies the model of the incomplete ending. We never learn the outcome, or the point, of  Stoddard’s childhood memory of ice-fishing. And the film’s final line, heard in Irving’s voice-over, ties his forged-painting scam to the overall dynamics of the plot: “The art of survival is a story that never ends.”

 

By tracing the activity of linking materials and filling the format, Shklovsky isn’t, I think, trying to describe every storyteller’s creative process. Many writers simply pour the stuff out. What I think he’s proposing are the principles behind the process. A practiced writer does all this intuitively. I once asked Elmore Leonard if he planned the very long dialogue scene that runs for several chapters in Get Shorty. He said, “It just came out that way.” But I notice that without that long section, the book would be severely out of balance—and too short. It’s a virtuoso cadenza, at once pure retardation and a package of motifs that point both forward and backward in the plot.

We’re now quite at home with films that intertwine storylines, restart storylines (Groundhog Day, The Butterfly Effect, Source Code), present branching and forking-path storylines (Run Lola Run, The Girl Who Leaped through Time), or simply set barely connected stories side by side (Chungking Express, Flirt, Nine Lives). So we should be ready to see more traditional plots as heavily camouflaged attempts at combining smaller stories. We should likewise be ready to see how stronger or lesser motivation governs all the options. Source Code relies on a science-fiction premise and a thriller deadline, while Groundhog Day motivates its replays and variations by setting its action on the one day that posits that the future will turn out either this way or that way.

For my part, I confess myself both an Aristotelian and a Shklovskian. I think that we ought to look for a plot’s structural unity at many levels. I think as well that those levels may incorporate the most wayward materials. The pieces are pulled into place and held there, sometimes precariously, by the scale of the format, their local purposes, and the motivational pressure of other components. Vincent’s Royale-with-cheese exposition does hook up with the Big Cahuna burger we encounter later.

And both approaches provide useful critical tools. Seeing Jordan as a pretext for a dissection of his Wall Street world opens up certain aspects of the film that might not be apparent if we kept expecting him to follow a learning curve. By seeing how American Hustle braids together many standard plot patterns, we can explain how the film can juggle its situations with such speed and how we can look forward to seeing certain patterns fulfilled (or not). Studying narrative from either a holistic or a “montage” perspective can only enhance our appreciation of all the different kinds of stories we encounter.


To save you scrolling back up, here is another link to Shklovsky’s “Monument to a Scientific Error,” posted in the Essays section of this site.

This entry’s primary accounts of Shklovsky’s thinking on narrative are drawn from his essays “The Structure of Fiction” of 1925 and “The Making of Don Quixote” of 1921. Both are included in his landmark book Theory of Prose, originally published in 1925 and available in translation from the ever-vigilant Dalkey Archive. Shklovsky talks about the distinction between form and material in the early chapters of the 1923 book Literature and Cinematography, trans. Irene Masinovsky (Champaign: Dalkey Archive, 2008); my quotation about villainy is drawn from p. 60. Other references are from the 1981 Energy of Delusion: A Book on Plot, trans. Shushan Avagyan (Champaign: Dalkey Archive, 2007).

French Structuralism borrowed considerably from the OPOYAZ school. Roland Barthes launched his own version of Shklovsky’s retardation thesis in both his “Structural Analysis of Narratives” essay (the distinction between kernel actions and satellites) and his S/Z (the distinction between the proairetic code and the semic code). For his part, Shklovsky was skeptical about Structuralism, not least because of its vocabulary. “People today get carried away with terminology; there are so many terms that it’s impossible to learn them all, even if you’re a young person on vacation” (Energy of Delusion, 177).

My quotation from Sondheim about the construction of Into the Woods comes from Look, I Made a Hat: Collected Lyrics (1981-2011) with Attendant Comments, Amplifications, Dogmas, Harangues, Digressions, Anecdotes and Miscellany (Knopf, 2011), p. 57.

For more on how the split-roads motif of folklore persists in modern storytelling, see this earlier entry. I consider how embedded stories and framing situations can tax our memories in this entry. The multiple-drafts plot of Source Code is considered here, while various motivations for first-person video style are explored in these pieces on Cloverfield and the Paranormal Activity cycle.

Into the Woods cast, San Mateo High School production of May 2006.

The book stops here: Theory, practice, and in between

Tinpis Run (Pengau Nengo, 1991). 

DB here:

Apart from things I’m reading for research (academic monographs, 1940s Hollywood novels, star bios and autobios), the film books I like best are blends. They bring together information, ideas, and opinion. I learn some facts about films and their contexts. I encounter some concepts that illuminate those facts. And I get introduced to some arguments about the best way to understand the information and ideas. In my ideal world, the blend winds up answering some questions—maybe questions I’ve thought about, maybe ones that never occurred to me.

I especially like books that have one foot, or toe, in filmmaking practice. The poetics of cinema I try to practice is, from one angle, an effort to grasp the principles underlying filmmakers’ creative choices. Sometimes those choices are announced by the filmmakers; sometimes we have to reconstruct them on the basis of the films and other data. So for me a drastic split between theory and practice isn’t very informative.

These pronunciamientos are but prelude some comments on books that push several of my buttons. Maybe they’ll do the same for you.

 

Philosophy goes to the multiplex

Stagecoach (1939); True Grit (1969).

What book brings together Cézanne and Tony Soprano, Gregory Peck and Simone de Beauvoir, Plato and South Park, The Twilight Zone and Wittgenstein?

Okay, I know the answer: Practically every book by a littérateur convinced that Great Big Theory gives you a way of talking authoritatively about anything, especially pop culture. So I rephrase my question: What book brings together these and many more items with care, rigor, and infectious amusement?

That narrows the field quite a bit. A strong candidate is a book that has chapters like “What Mr. Creosote Knows about Laughter,” “Andy Kaufman and the Philosophy of Interpretation,” and “The Fear of Fear Itself: The Philosophy of Halloween”— not the movie but the holiday itself.

The short answer to my question: Noël Carroll’s new collection of essays, Minerva’s Night Out: Philosophy, Pop Culture, and Moving Pictures.

Noël Carroll isn’t merely the most important philosopher ever to write about popular culture. He has been for decades a major force in film theory and criticism, as well as a philosopher making contributions to moral and legal theory, historiography, and a welter of other areas. His fertile mind and prodigious typing skills have combined to produce over fifteen books and a list of articles running to triple digits.

It’s not just quantity, of course. For those of us in media studies, Carroll has been the most well-informed and adroit analyst of trends in film theory. His Philosophical Problems of Classical Film Theory (1988), Mystifying Movies: Fads and Fallacies in Contemporary Film Theory (1988), and Post-Theory: Reconstructing Film Studies (1996, coedited with me) have proven enduring contributions to the debates about the best ways to understand the nature and functions of cinema. He is, as you can tell, a controversialist. Like all good philosophers, he’s devoted his life to getting the ideas right. Over the same period, Carroll has proven himself a wide-ranging practical critic, discussing classic silent films (especially comedy), modern avant-garde work, and Hollywood movies from the 1930s to the most recent releases. This isn’t to slight his important work as a dance and television critic as well.

This focus on film theory stems from the fact that Noël’s first Ph.D. degree was in film studies. But soon afterward he went on to get a second Ph.D. in the philosophy of art. His cinema research was always philosophically informed, but once he became a card-carrying philosopher, he commuted between two academic areas. He helped found the broader movement called Philosophy of Film, and he continues to write on a lot of different topics. His Humour: A Very Short Introduction is due out in a couple of weeks.

Minerva’s Night Out scans the range of his interests—not only all types of media (which he genuinely enjoys) but a variety of the philosophical puzzles they pose. These he tackles with verve, patient but not plodding analysis, and a range of references that make you wonder if this guy has seen and read pretty much everything.

Here’s the sort of thing that Noël thinks about. We all know that to enjoy a movie fully we often have to appreciate the way in which a star’s performance builds on previous roles. But there’s a problem. The fictional world of a film makes only certain types of knowledge relevant to our experience. At the center of this knowledge is what Carroll calls the “realistic heuristic,” the premise that all other things being equal, the things happening in the fiction are assumed to operate under the laws of our everyday world. Sherlock Holmes (whether incarnated by Basil Rathbone or Benedict Cumberbatch) is presumed to have lungs like the rest of us, unless we’re told otherwise. Likewise, it is true in the fiction that a room’s walls are solid, while they might in reality be fake. If I see the walls as painted sets or green-screen mattes, then I’m not responding to them as part of the story world.

The same attitude shapes our sense of the unfolding plot. Armed with the realistic heuristic, we have to assume that characters’ destinies are open, that many things can happen to them (as with us). But the principles by which a movie fiction is constructed—say, boy gets girl—aren’t part of our realistic heuristic. “What we believe is probable of a movie qua movie is radically different from what we believe to be probable in a movie conceived as a credible fictional world.” Movie lore tells us that boy will get girl, but to grasp and respond to the story emotionally, we have to feel in doubt. (Perhaps this is what people mean when they say that a mistake in the movie, or a distraction in the auditorium, takes them “out of the movie.” We’ve left the fiction.)

Similarly, movie lore connects the Ringo Kid of Stagecoach to Rooster Cogburn of True Grit (the original) because John Wayne portrays both. Yet the characters live in different, sealed-off story worlds. Ringo and Rooster have no knowledge of each other. Barring transmigration of souls, how can their connection be part of our experience of either movie as a consistent fiction?

Carroll comes up with an ingenious explanation. Movies summon up star personas in the manner of allusions. Just as our experience is enhanced when we see a movie refer to another movie—Carroll’s example is a citation of Rocky in In Her Shoes—so do our mind and emotions respond to the presence of the star, as either a continuing allusion throughout the film or a one-off one, as with a cameo or walk-on. As he often does, Noël points out that practicing filmmakers use the concepts he elucidates. “Allusive casting” became part of the 1970s trend of paying homage to old Hollywood, but even in the studio era it wasn’t unknown. Carroll points to The Bigamist (above left), in which somebody says another character looks like Edmund Gwenn. Of course said character is played by Edmund Gwenn.

I’ve shrunk down Carroll’s line of reasoning to give you the flavor of the way he thinks. His piecemeal approach to theory focuses not on loosely named topics but specific questions. For example:

What if anything justifies us talking about popular culture as all one thing?

How do fiction films engage us in the emotional lives of their characters? Hint: It’s not through identification.

What makes us laugh at Mr. Creosote, rather than be horrified or disgusted by his vomit-laced gluttony?

How does a tale of dread, such as Poe’s “The Black Cat,” differ from a horror story?

Why should we care about Tony Soprano, who barehanded commits “crimes of which I don’t even know the names”?

Are the feelings awakened by art akin to friendship?

What role do moral emotions, such as the sense of community, play in our response to characters?

As for the jokes, they’re not of the esoteric academic type but rather straight-out funny. Just one essay, on the vague/implausible (you pick) notion that modernity (traffic, window displays, lotsa flashing lights) changed the very faculty of human perception:

The human eye rarely fixates; saccadic eye movement is the norm. We did not suddenly become attention-switching flâneurs in the late nineteenth century; we have been natural-born flâneurs since way back when.

No amount ot cultural conditioning will succeed in making normal viewers worldwide literally see human faces as cross-sections of centipedes.

I’m sure he’d give any indie filmmaker the rights to make Natural Born Flâneurs.

 

Viewers and their habits

     

Natsukawa Shizue in Town of Hope (Ai no machi, 1928).

Carroll tries to figure out certain logical conditions on spectators’ experience in general. That’s one province of film theory. But he’s also sensitive to the constraints on those conditions, the ways that historical and institutional circumstances can shape how viewers watch movies. (That’s part of the star-as-allusion argument.) Other researchers, historians by trade but sensitive to theoretical implications, have tried reconstructing the activities of theatres, trade personnel, and audiences in particular times and places.

A good cross-section of approaches has just appeared from Karina Aveyard and Albert Moran. Their anthology Watching Films: New Perspectives on Movie-Going, Exhibition and Reception contains 22 chapters of empirical research spread across the Europe, New Zealand, Australia, and the U.S. The researchers take us to particular cities and towns (Antwerp, Nottingham, and the Scottish Highlands) and to various points in history, from the 1920s to the present, passing en route the arrival of TV and the effects of the VHS revolution. There are also considerations of early reception theorists like Barbara Deming, along with studies of fan activities in Italy and elsewhere. Altogether, you couldn’t ask for a more enticing sampler of contemporary strategies for studying how audiences interact with cinema. Multiplicity long preceded the multiplex.

A similar approach, but focused with razor acuity on a single country and period, is Hideaki Fujiki’s Making Personas: Transnational Film Stardom in Modern Japan. This book is an expedition into a nearly sunken continent, Japanese film of the silent era. Frustratingly few films have been preserved from those years, but paper documents abound. Fujiki has made intense use of them to answer the question: What were the cultural causes and results of the early star system in Japan?

The answers are rich and detailed. The very first stars weren’t on the screen at all; they were the benshi who narrated the silent program. Hideaki goes on to trace the career of the paradigmatic male star, Onoe Matsunosuke, and to show how his main traits (virtuosity and stature as “great man”) were reinforced by a troupe-based business model. Later chapters focus more on female stars, with emphasis on the influence of American actresses like Clara Bow. The flapper figure shaped not only Japanese female performers but women in real life.

Fujiki traces in some detail how the “modern girl” or moga floating through Ginza owed a good deal to Hollywood movies. He makes good use of what films survive from this period, particularly The Cuckoo (Hototogisu, 1922) and Town of Love (Ai no machi, 1928). In-depth analysis of the star image Natsukawa Shizue, above, allows him to discuss fan culture and movies’ role  in accelerating trends in fashion and advertising. In all, Making Personas is a fascinating consideration of stardom as both an industrial and social construction in one of the world’s most important national traditions.

 

Education and environment

     

Institutions of another sort feature in two impressive books from the prolific Mette Hjort. She has had the very good idea of assembling documentation about how film schools work. How do different schools, academies, and more informal agencies understand the craft of filmmaking? What ethical values and social commitments are brought to the classroom and enacted in the production process? What are the histories of film schools around the world?

The answers come in two packed anthologies, The Education of the Filmmaker in Africa, The Middle East, and the Americas, and The Education of the Filmmaker in Europe, Australia, and Asia. From these we learn of the creative practices put into action by institutions in Nigeria, Palestine, Denmark, the West Indies, China, Hong Kong, Vietnam, Sweden, Germany, Australia, Japan, and many other localities. We get a real sense of intercultural communication and its breakdowns. Rod Stoneman points out that Tinpis Run, Papua New Guinea’s first indigenous feature, demanded postproduction discussions when outsider viewers couldn’t distinguish the villages presented in the story.

Things happen in these places that would astonish students at UCLA and NYU. Hamid Naficy tells of taking his Qatar students to Tanzania, where they worked on research projects only after spending the morning doing clerical and custodial work in schools and hospitals. We learn of children’s filmmaking initiatives in Mexico City, programs for at-risk youths in Brazil’s City of God favela, and students making photo and sound montages in Calcutta. One purpose of Mette’s collections is to remind us that film training goes far beyond getting your MFA and a showreel on a maxed-out credit card.

Hjort’s initiative, while already stimulating, ought to be continued and enriched. People are starting to understand the importance of film festivals within film culture—as distribution mechanisms, publicity arms, and in a roundabout way feedback systems shaping production. (One essay, by Marijke de Valck, points out the move by festivals toward film training.) More generally, we need to understand film education at all levels as shaping film production and film audiences.

Hjort’s introduction emphasizes that institutional politics are always related to larger political and cultural concerns. Social implications of filmmaking are brought to the fore in another emerging area of research. As each day seems to signal a new ecological disaster, it’s timely that a critical school has emerged to track how films and TV represent our relation to nature and technology. Among the scholars working prolifically in this area are Robin L. Murray and Joseph K. Heumann.

Their first book, Ecology and Popular Film: Cinema on the Edge argues that apart from films like An Inconvenient Truth, which wear their green politics on their sleeve, there’s a much bigger and broader tradition of films about humans and the environment, ranging from fictional films with explicit messages, like Happy Feet (2006), to films with unintentional ones, like The Fast and the Furious (2001).

As “second-wave” practitioners of eco-criticism, Murray and Heumann aren’t much concerned with cheerleading or finding villains. They want to explore how media representations of the environment have responded to various cultural pressures. Their two most recent books are good examples. That’s All Folks? (2009), building on their analysis of Lumber Jerks in their first book, concentrates on American animated features. They perform careful symptomatic readings while also providing industrial context, such as the tactics by which Lucas and Spielberg adapted to the growing dinosaur craze of the 1990s.

In Gunfight at the Eco-Corral (2012), Murray and Heumann tackle the Westerm on similar grounds, ranging from Shane and Sea of Grass to There Will Be Blood and Rango. Reading these chapters I was reminded how often the genre’s plots hinge on disputes over natural resources. Water, minerals, timber, grazing land, and what the authors call “transcontinental technologies” like the telegraph and the railroad are at the heart of classic Westerns, and the genre’s formulaic conflicts often have strong ecological resonance. This is the sort of criticism that refreshes your vision of movies you think know very well.

Their next book, Film and Everyday Eco-disasters is due out in June.

 

Things stick together

     

Lone Survivor (2013).

Finally, two more books merging theory and practice—but from opposite ends of the spectrum. One question that intrigues me involves coherence and cohesion in film. Roughly speaking, coherence involves the way the whole movie hangs together. If it’s a narrative film, how do the scenes or sequences fit into the larger plot? If it’s not narrative, what other principles organize the whole shebang? Cohesion involves how adjacent parts fit together—shot against shot, sequence to sequence. Both these concepts have practical implications, since every filmmaker confronts concrete choices about them in scripting, shooting, and editing.

Michael Wiese has contributed enormously to our understanding of filmmaking practice by publishing a series of books on cinema craft. The most recent one I know is by Jeffrey Michael Bays and it bears directly on cohesion. It’s called Between the Scenes: What Every Film Director, Writer, and Editor Should Know about Scene Transitions. Bays himself has written and directed films, written radio dramas (a great place to study transitions), and published books on filmmaking.

Between the Scenes is an entertaining and damn near exhaustive account of the ways that images and sounds can tie one scene to another. Bays considers aspects of space, like location or objects or actors; time; and visual graphics. The book also shows how sounds can bind scenes or emphasize sharp contrasts. In the example from Lone Survivor above, a soft whir of helicopter blades is heard over the first shot and grows louder when we move from the map to the landing area.

In a web essay called “The Hook” I explored some aspects of this process, but Bays goes into much more detail with many recent examples. He also raises ideas I never considered. For example, if we think of narratives as people traveling from one place to another (and most narratives are that, at least), then every filmmaker faces a choice: Show the journey or don’t show it. And if you show it, what parts and why and what does it tell us about the character? The larger point is: “Make sure you know where every character goes between every scene.” Thinking about this suggests ways to enrich your presentation, and it allows the characters—if only in your imagination—to inhabit a more fleshed-out world. Ideas like this can provoke everyone, filmmakers and film scholars alike.

Small-scale links between parts are considered more theoretically in Chiao-I Tseng’s Cohesion in Film: Tracking Film Elements. Trained in functionalist linguistics, Tseng brought her expertise to bear on film analysis. The results show a remarkable kinship between devices in language and certain cinematic transitions. Such linguistic functions as saliency (what stands out) and presumption (what can be taken for granted) are found in audiovisual texts too. For example, a shot taken over one character’s should tends to lessen that character’s saliency and make another character, the one we see more clearly, more prominent.

This example is simple, but once Chiao-I gets going, she’s able to show how nearly every cut or camera movement can be seen as activating a unique tissue of cohesion devices. The words in a paragraph not only refer to ideas or things; they also link to other words in the paragraph and in the larger discourse. Similarly, in film, different aspects of the images and sounds stand out and adhere to one another instant by instant. Tseng’s analyses of passages in Memento, The Birds, The Third Man, and other films are accompanied by equally close studies of television commercials and educational documentaries. At the end, analysis is supplanted by synthesis, as she shows how the configurations she has pulled apart coalesce into levels that highlight characters and actions. It’s a fresh way to think about how we understand films within genres and stylistic traditions.

In effect, she’s showing the fine-grained patterns that emerge from the choices every filmmaker faces. It would be fascinating to sit in on a dialogue between Bays and Tseng, for they belong to the same community, or so I think anyhow. We’re all trying to understand aspects of cinema, and by focusing on certain phenomena rather closely, we have a good chance to understand them better.

 

So to the filmmaker who’s skeptical of theory, I say: We can’t think clearly without concepts, or talk clearly without terms. We need to develop rigorous ideas and arguments (i.e., theory) to understand film as best we can. But to the would-be theorist I say: Keep fastened on the look and feel of the films, and test your ideas and arguments not only against them, but against what you can find out about the craft of cinema, in all its historical implications.


I was pleasantly surprised, after I’d decided to talk about these books, to find work by Kristin and myself cited in some of them. Remaining coldly objective, however, I didn’t let these mentions diminish my praise.

Rango (Gore Verbinski, 2011).

David Bordwell
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