On a more fundamental level, the magical paradigm of fairy tale finds echoes in the magic of the film experience even without special effects, in film’s ability to create the apparent three-dimensionality of the real on a flat, unmoving screen, through the trickery of light and image. Film powerfully realizes the transcendence over reality with which magical narrative is intrinsically concerned. This is, of course, another aspect of the debate André Bazin has called “the quarrel over realism in art” that arises from ongoing technical refinement; he suggests that the eye of the camera has the power to satisfy “our obsession with realism” and “our appetite for illusion.”3 Photography and film are particularly suited to the depiction of the fantastic because they are able to produce “a hallucination that is also a fact”;4 to blur, in fact, the boundaries between fiction and mimesis, although in a way which seldom denies its own illusion to produce the frame break which would signal metafictional play.
In addition to this, the absorbing effect of the film experience—the immersion of the viewer in a constructed reality—parallels the more traditional folk storytelling experience. Jack Zipes formulates a general theory of fairy-tale film, commenting on the importance of the storyteller’s ability to create a new, removed, and absorbing reality for his or her audience. He suggests, “A magic folk tale concerned not only the miraculous turn of events in the story, but also the magical play of words by the teller as performer.… Telling a magic folk tale was and is not unlike performing a magic trick, and depending on the art of the storyteller, listeners are placed under a spell. They are … transcending reality for a brief moment, to be transported to extraordinary realms of experience.”5 In this characterization, cinema, like fairy tale, is a form of illusion, its viewers willingly suspending disbelief in order to surpass reality and experience the magical. Zipes notes the association between early filmmakers and stage magic—“magic lantern shows, magician’s tricks, shadow theatres, animation devices …”6 The filmmaker becomes the magician, the showman with the power of technological marvels, exerting the same spell as the storyteller, but with new, spectacular special effects.
The interaction of film and fairy tale does not, however, constitute an unproblematical romance. While the magic of film may parallel some aspects of fairy tale, at the same time a visual medium can be crippling to the kind of imaginative exercise usually required of the reader by almost any magical narrative. Tolkien goes as far as to deny the validity even of illustrated literary fairy tale: “The radical distinction between all art (including drama) that offers a visible presentation and true literature is that it imposes one visible form. Literature works from mind to mind and is thus more progenitive.”7 In this context, film’s presentation of realism is a problem as well as a strength. The recording eye of the camera intrinsically designates its objects as real, and the effect of watching a film is that of immersion in a highly detailed reality. In contrast, most forms of fantasy, fairy tale included, work on evocation, rather than being explicit; the process of imaginative interaction with the fantasy requires a tailoring of the fantasy world to the psychological reality of the individual. Film, in its extreme visuality, operates directly against this; a fairy-tale medium, in its metafictional awareness of craftedness, is specifically not realistic, and it may be jarring to have realistic representation on screen. Donald P. Haase’s discussion of Neil Jordan’s The Company of Wolves raises the same point: “The one-dimensionality, the depthlessness, and the abstract style … of the fairy tale do not require the auditor or reader to envision a specific reality, and thereby they encourage imaginative belief in an unreal world. In the fairy tale, then, not seeing is believing.”8 Yet film paradoxically offers the potential for sending strong signals through visual details of setting and costume—the presence of self-conscious medievalism in a fairy-tale film, together with details of fairy-tale landscapes (forests, mountains, castles) may effectively signal the unreality of long ago and far away. Thus fairy-tale films such as The Company of Wolves and The Grimm Brothers’ Snow White feature particularly vast and Gothic stretches of forest, while Ever After makes effective use of medieval castles, sweeping landscapes, and beautiful costumes. Cocteau’s unexplained surrealist images in the Beast’s castle, and Jordan’s dense use of apparently disconnected symbol (animals, roses, etc.) fulfill the same function. In this deliberate symbolic texturing, once again, fairy-tale film has the potential to realize visually the metafictional strategy at the heart of its structures, despite its illusory offering of realism.
Film and the Folk Voice
A real fairy tale, a tale in its true function, is a tale within a circle of listeners.
—KAREL CAPEK9
There are various thematic matches between film and fairy-tale narrative, but cinematic versions of fairy tale can be seen to offer their own pitfalls and drawbacks. While the power of the film medium in modern society has provided a fertile new ground for fairy-tale cultural and ideological production, the medium of film offers problems as well as possibilities for fairy tale. One of the most insidious tendencies has been that of the powerful new visual medium, rooted firmly in modern technological popular culture, to supplant all other versions, and in so doing, to deliberately claim the folk voice originally excluded by the adaptation of fairy tale into a literary form. While parallel in many ways to the process by which oral folktale became written fairy tale, the adaptation from written fairy tale into fairy-tale film is more problematical precisely because of the power of the film medium, and the striking fit between some narrative aspects of fairy tale and the narrative function of film. To unwrap the dangers of this process will require examination of the uneasy, contested spaces of folk culture, popular culture, and mass culture.
As one of the more powerful and pervasive forms of popular culture in the twentieth and twenty-first century, film offers an interesting context for the folk voice of fairy tale. Although the folktale has been replaced gradually with the literary fairy tale in the last few centuries, film versions of fairy tale tend to flirt superficially and self-consciously with the folk voice. As the most prevalent cinematic experience in Western culture, Hollywood film caters to a popular market, offering both entertainment and the opportunity to participate in a popular awareness of actors and film which centers on the Hollywood star system. Although a form of mass culture in its reliance on the budgets of wealthy studios, and the resulting need to commodify film in order to fill cinema seats, film functions in modern Western culture as a group and social activity whose audience participates in an essentially nonliterary popular culture. Walter Ong argues for a modern notion of “secondary orality,” a development through literacy into a kind of postliteracy under technology; he points out that “the drive towards group sense and towards participatory activities, towards ‘happenings,’ which mysteriously emerges out of modern electronic technological cultures is strikingly similar to certain drives in preliterate cultures.”10 The cinema experience offers far more of group participation than reading a written text. This inheres not only in the simultaneous experience of the film text, with shared reactions such as laughter, but also in the social activity around a common interest in film genres or specific stars, meeting to view a film, the discussion which often takes place either before or afterward over drinks or a meal. The experience of a home viewing of the video or DVD version of a film is an even more pronounced version of this communality. This is in many ways a superficial restoration of the communal folk experience of storytelling, in some senses reversing the historical translation of the oral folk voice into a written form experienced only by the individual, and reinstating it as shared cultural artifact. It also underlines the restitution offered the form after its appropriation by written narrative, and thus a social elite; Zipes comments that popular fairy-tale film “actually returns the fairy tale to the majority of people.”11
However, while a film is certainly more communal than a single individual reading a book, it is not a true folk culture. The group
may share the experience, but it is not produced from within the group, nor does the production come from a source which has the same status—here defined economically—as group members. Likewise, interaction with the film narrative cannot equal the folk experience since film is a one-way process. The film modifies the experience of the viewer, but the film is not a genuine oral voice and cannot in its turn be modified in response to the audience, other than on the macrolevel represented by the research done by a studio’s marketing arm before the next film is made. Walter Benjamin suggests, in fact, that the reproduction of mass images ultimately denies the authenticity of the artistic object, its ability to transfer value, and that film “is inconceivable without its destructive, cathartic effect, that is, the liquidation of the traditional value of the cultural heritage”; the denial of tradition in this formulation speaks directly to the divide between folk and mass culture. Film may imitate folk culture, but if it functions as a true form of modern folk culture, it is within a somewhat radically restructured notion of “folk,” and, indeed, of “culture.”
In keeping with film’s apparently transparent offer of itself as a substitute oral and folk tradition, many fairy-tale films rely heavily on an explicit evocation of the folk voice in order to frame and contextualize their narratives. In apparently receiving the story from the physical presence or voice of an onscreen narrator, the viewer is able to participate in the removal of the tale from literary capture, placing him or herself in the position of audience to an oral storyteller. The self-conscious recognition of viewer as “listener” taps into a notion of orality which is both artificial and idealized. The purpose here is only partially to participate in the metafictional play of crafted tale and its self-conscious pleasures; it is also to access the notions of communality and trust which inhere in modern notions of orality. Thus many Disney films begin with a voice-over giving the initial scenario of the tale in traditional fairy-tale form: “Once upon a time.” This is usually accompanied by static images that characterize tale as artifact—Sleeping Beauty’s medieval stills, Beauty and the Beast’s stained-glass windows, the Grecian vases of Hercules. At the same time, many of Disney’s films characteristically hedge their bets: the voice-over may well be associated with stills that strongly associate the tale with the written tradition, in the form of a beautifully calligraphed and illuminated book whose pages are turned as the voice-over progresses (Sleeping Beauty, Snow White). As well as invoking the nostalgic memory of the parent-to-child oral voice and the familiar form of the literary fairy tale, this also claims the historical status of literature—generally, in its association with literacy and education, higher than that of the oral tale—for the film. The use of this motif in Dreamworks’ Shrek was notable for its acute and cynical insight into the actual status of the original tale as written narrative—Shrek’s voice reads out the dragon-slaying fairy tale, after which the camera pulls back to reveal that the book is being used as toilet paper. This nods ironically to the fact that film versions of fairy tale have all but replaced the written, but the film’s ideological project affirms the status of the film version in its suggestion that they should replace the written, which entrenches the outdated and reactionary social assumptions the film sets out to upset.
It is important to note, however, that invocation of the oral and literary are not sustained through most fairy-tale films, which quickly give way to the immersing experience of the moving image. The result is effectively to overwrite the literary and the oral with the cinematic. Jack Zipes picks up on this erasure in readings of fairy-tale film which generally rely on the characterization of modern fairy tale within a somewhat totalitarian sense of the culture industry. He argues that film has “silenced the personal and communal voice of the oral magic tales and obfuscated the personal voice of literary fairy-tale narratives”; it focuses on image rather than text, distances its audience, and transforms traditional tales into standardized units of mass production.12 In this characterization, rather as the upper classes appropriated folk narrative in the seventeenth and eighteenth centuries, the folk voice in the twentieth and twenty-first centuries is colonized by a ruling monolith, although one that is commercial rather than aristocratic. Such a colonization entails, in Baudrillard’s terms, an actual re-creation of a spurious notion of orality; simultaneously, its commercial aspect redefines the awareness of artifact central to metafictional storytelling as, effectively, awareness of product. Zipes’s characterization of fairy tale as “secular instructive narratives” offering “strategies of intervention within the civilising process”13 becomes more sinister when, rather than reflecting the mores and beliefs of the folk culture, fairy tales are used to reflect the conservative and market-driven ideologies of large companies marketing consumer culture. Such characterizations of mass cultural productions sound a note of alarm in their sense of a production elite which seeks to duplicate and usurp the popular or folk voice. Zipes’s argument implies that any claim of nostalgic orality or literariness in fairy-tale film is entirely spurious; logically, the elements of self-conscious play that I suggest are present become in his terms a cynical appropriation of fairy tale’s metafictional project by what are effectively market forces. He is, of course, engaging in cultural criticism firmly in the mode of the Frankfurt School, and more specifically Adorno and Horkheimer, who suggest that modern consumer culture is a process of the deliberate discouragement of imaginative or intellectual response to the cultural products of the mass market. Instead, the receiver of such artifacts is lulled, via strategies such as nostalgia, familiarity, and superficial novelty, into the passive acceptance of a standardized cultural product. This logically suggests that the essentially reciprocal functioning of a folk culture is completely erased, as is its ability to mirror in any immediate or vital sense the day-to-day experiences and desires of its listeners. Adorno and Horkheimer stress the absolute lack of true participation by the public in mass cultural production:
The attitude of the public, which ostensibly and actually favours the system of the culture industry, is a part of the system and not an excuse for it. If one branch of art follows the same formula as one with a very different medium and content … if a movement from a Beethoven symphony is crudely “adapted” for a film sound-track in the same way that a Tolstoy novel is garbled in a film script; then the claim that this is done to satisfy the spontaneous wishes of the public is no more than hot air. We are closer to the facts if we explain these phenomena as inherent in the technical and personnel apparatus which, down to its last cog, itself forms part of the economic mechanism of selection.… In our age the objective social tendency is incarnate in the hidden subjective purposes of company directors.14
By this definition, mass culture and folk culture are mutually exclusive; there can be no true “objective social tendency,” in Adorno and Horkheimer’s words, because original and spontaneous cultural impulses are modified by the purposes of mass-cultural monoliths. There can therefore be no folk voice in mass culture. This means that the pretensions to the folk voice in many fairy-tale films are, as suggested above, “hot air”—their purpose is solely to conceal their commercial manipulations.
This is perhaps too sweeping a judgment, and more recent perceptions of popular culture as a site of struggle suggest that Adorno and Horkheimer represent only one end of the popular theory spectrum. Noël Carroll offers an opposing voice which explicitly denies the truth of such claims; he maintains that numerous examples of popular art demonstrate clearly the lack of “necessary connection between accessibility and a passive audience response,” and that indeed, “in some cases, the very success of the mass artwork presupposes active spectatorship.”15 This line of thought is certainly appropriate to the sf/fantasy ghetto, in which the highly specific readership may well require active participation in the text—or, indeed, to written narratives generally, as Carroll demonstrates;16 nonetheless, it is also true, to a greater or lesser extent, of film. The self-conscious narrative play found in texts su
ch as Disney fairy tales or Dreamworks’ Shrek may empower a mass-market text, but it is equally able to give the artistic and intellectual pleasure of active reading to the viewer, and indeed would not be successful without such narrative pleasures. Theories of a mass-cultural monolith also deny the possibilities offered by the art-house end of the film spectrum, in which films are generally made on a far lower budget, and may be more able to balance their artistic requirements against the need to recoup their costs. A good example of film’s potential for self-conscious use of fairy tale is Jordan’s The Company of Wolves, in which frame narratives and tale-within-tale represent a sustained effort to reproduce the folk voice, and thus allow ongoing metafictional awareness. This is strengthened by the film’s attention to the character of the oral storytellers (unlike Disney’s disembodied voices), and their association of that oral voice with the readily identifiable grandmother archetype.
The Classic Fairy Tales (Second Edition) (Norton Critical Editions) Page 72