Část 6. kapitoly nazvané „Character Structures, Empathy and
Interest“ z knihy Eda S. Tana EMOTION AND THE STRUCTURE
OF NARRATIVE FILM (Film as an Emotion Machine). Lawrence
Erlbaum Publishers: New Jersey 1996, s. 153-171.
Character Structures, Empathy, and Interest
INTRODUCTION OF TERMS
There are various contexts in which the viewer has the sensation of being "in the film," a
sensation characteristically experienced by the natural audience of the traditional feature
film. As a viewer I do not only entertain the illusion that I am present in the scene —the
diegetic effect—I may even feel that to a greater or lesser degree the adventures of the
protagonists are actually happening to me. This experience can take many different forms,
which makes it somewhat difficult to describe. In La Peau Douce (1964) we fill in Nicole's
thoughts after Lachenay has turned his back on her in the street in order to keep their love
secret. We have a different experience, when Reuven is struck full in the face by a baseball in
The Chosen (1981); we almost feel as if we ourselves are the victim. And watching King
Kong (1933), one sympathizes with both the girl and the huge gorilla as the animal
majestically undergoes his fate, amid a rain of bullets fired by stupid, insensitive human
beings. In describing such experiences, people often speak of identification or empathy.
Although based on the diegetic effect, these phenomena are clearly distinct from it. It is
quite conceivable, for example, that the illusion of being present in the fictional world is
absolute without the viewer experiencing any appreciable involvement with the events taking
place on the screen. The exact meaning of the terms identification and empathy differs
according to the context and the field of research; the result is an assortment of widely differing concepts commonly referred to by the same name. (For recent surveys
153
154
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undertaken from a broader perspective, see Schoenmakers, 1988; van Vliet, 1991; and
Zillmann, 1991b.)
We are fortunate in being able to examine the phenomena of identification and empathy
within quite a limited framework, focusing on viewer emotion and, more particularly,
interest. Before doing so, however, we must mention one special manner of participating in
a feature film. We all know that it is possible to feel drawn into or borne along by the
movement of the camera or the objects in the scene, or by the stream of images created by
montage and reinforced by the music; numerous lyrical passages in feature films could be
cited as examples. By analogy with the use of music and the visual arts in psychology, it is
possible to speak of empathy. Lipps (1906) referred to the total immersion ("projection") of
the self in an object as characteristic of total empathy. Michotte (1953/1991) used the term
"motor empathy" for the imitation of the rhythmic movements observed on the screen.
(For a general overview, see also Kreitler & Kreitler, 1972, pp. 264-281). Following on the
terms introduced in chapter 3, A—artefact—empathy may be seen as the opposite of F—
fiction—empathy. We will not be examining A empathy here, as this would involve a separate
study of not inconsiderable proportions. Moreover, according to our model, the processes
of F identification /empathy involved in the viewing of a traditional feature film in
themselves make up a large proportion of the determinants of interest.
As we know from the Principles laid down in chapter 4, interest is determined by the
dynamics of anticipations and outcomes, called up and reinforced by the fictional events.
Anticipations and resolution may be seen as a form of costs and benefits. In chapter 5 we
saw that one of the sources of expectations and anticipations consists in thematic
structures, and we examined their role in the cognitive processing of feature films. A second
source of investment and return, (i.e., another determinant of interest), is to be found in
the expectations and anticipations that are rooted in the viewer's own knowledge of, and
feelings toward, the characters of a film.
Our description of these determinants is based on two simple assumptions. First, we
assume that the watching of a feature film is accompanied by homogeneous experiences,
(i.e., that the experiences of various viewers are comparable), the reason being that the
effects intended by the maker are operative in all viewers. The sadness expressed by a
particular viewer when a sympathetic protagonist contracts a fatal disease is less relevant
for our purposes where that sadness is caused by the fact that a close relative has been
similarly struck down. While this fact is extremely important for the viewer in question and
for the manner in which he or she experiences the film, explanations based on life
experiences and personality factors can at most help to account for the preference that
certain natural viewers of the traditional feature film display for a particular genre. Thus
when we speak of identifica-
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
155
tion/empathy, we will be referring to processes that in principle operate in all viewers in
response to a certain film. As regards our second assumption, during the discussion of
interest in chapter 4 we emphasized the activity of the viewer and the fact that active
participation that respects the rules of the game is rewarded. This point of departure clashes
with certain views on identification that have attained some popularity within contemporary
film theory. I would like to begin with a few remarks on this subject.
IDENTIFICATION IN CONTEMPORARY FILM THEORY:
THE TRAGIC VIEWER
Under influence of the psychoanalytical orientation in French film studies, which has been
evident in the last two decades, identification has become a prominent subject of theorizing
(see also the discussion of the etat filmique in chap. 2). Metz (1975a) introduced a
distinction between primary and secondary identification: the former refers to the
identification of the viewer with him or herself, the latter to the identification with the film
character. Identification with oneself has to do with the fact that the viewer is forced to share
the perspective of events presented by the camera. You identify with a certain view, which
ultimately becomes your own. The basis of the expression "identifying with one's own view"
is not entirely clear. We assume that Metz is referring here to the cornerstone of the
diegetic effect, the illusion that the viewer is actually present in the fictional world as an
(invisible) spectator. A similar reading of Metz was put forward by Aumont, Bergala, Marie, and
Vernet (1983). According to these authors, primary identification is identification with the
camera. On logical grounds, I have chosen to distinguish the diegetic effect from
identification/empathy.
In its more general sense, the secondary identification referred to by Metz is an
identification with characters. It is possible that what primary and secondary identification
have in common is the reflection of an imaginary, absent object, based on a lack of some
kind, a shortcoming that is at once compensated for and constantly recalled. Film technique
denies the existence of this lack, creating the illusion of presence; in this sense it is a
fetish, a surrogate, which is enjoyed not only by the cinephile, but also by the average
filmgoer. This tragic representation of affairs is most clearly defined in the formulation of
primary identification by Aumont, Bergala, Marie, and Vernet (1983). The viewer is prompted
by a desire the precise nature of which
. . . est certainement a chercher du cote d'un etat d'abandon, de solitude, de manque:
le speetateur de cinema est toujours plus ou moins un refugie pour qu'il s'agit de reparer
quelque perte irreparable, serait-ce au prix d'une regres-
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sion passagere, soeialement reglee, le temps d'une projection. (Aumont et al., 1983, p.
172)
. . . is assuredly to seek a state of abandon, solitude, want. The cinema spectator is
always something of a fugitive, whose concern is to redress some irreparable loss,
even at the cost of a passing regression, socially controlled, lasting only as long as a
projection, [author's translation].
For Metz, establishing a paradox between what viewers want and what they ultimately get
is the crux of the argument, which is in itself an amusing point. In the view of Aumont et al.,
this obscures the issue of the operations that constitute identification and the
circumstances under which they are carried out. Aumont et al. propose several such
operations that are quite useful, as we will see. First, there is the operation that consists in
following the narrative in search of the Restoration of Balance (chap. 3). In chapter 5 we
saw that something resembling empathy is involved in understanding the various events,
which are themselves governed by themes. This was abundantly clear from the analysis of
the process of understanding the film Punishment. Second, Aumont et al. mention
identification with the character through the operation of a type; third identification with a
character due to the structure of the situation; fourth identification at the level of the
surface structure of the film (the decoupage); and fifth identification with the narrative. It is
not entirely clear whether some of the factors are identical to or merely influenced by
identification. I hope that the following exposition will help to clarify this point. One
fundamental idea put forward by Aumont et al. is deserving of our attention, namely, the fact
that identification requires no in-depth psychological explanation, because, given the
diegetic effect, it flows directly from the viewer's attention to, and comprehension of, the
film. It may be added that the same goes for other affective attitudes toward film characters
as well. Let us begin with the viewer's comprehension of characters.
UNDERSTANDING CHARACTERS
Because viewers have the feeling that they are spectators in the fictional world, a world
that has at least some similarity with the real world, it is conceivable that many well-known
mechanisms of social cognition are applicable to their experience of characters in a film.
Thus we are justified in seeing the comprehension of characters as a guided impression
formation that extends to the entire film narrative. There is reason to believe that our
comprehension of fictional characters takes place in the same way as our comprehension
of people in the everyday world or in that of the psychological laboratory (Hoffner &
Cantor, 1991). We examine first a number of insights related to fictional characters, and
second, impression formation by actual individuals, in an attempt to establish possible
similarities.
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
157
Literary Theories on Characterization: Type
Versus Person
In narrative theory there have been a number of attempts to arrive at a system for
categorizing the characters that appear in traditional feature films. The proposed systems
are in line with recent social psychological views on impression formation. No doubt the
best known distinction that has been put forward in the field of literary analysis is that
between flat and round characters, as launched by E. M. Forster (1927). This distinction
also appears in drama theory, for example, in the contrast between one-dimensional and
multidimensional characters (Pfister, 1977). According to Forster flat characters or types
appear in strong plots, such as those employed by Dickens and Wells. The strength of the plot
precludes the possibility of the reader seeing through the shallowness of the
characterization. On the other hand, one will search in vain for types in a tragedy. Forster
contrasts the type with the round character, who carries within him or her the
unpredictability of life itself. Characters like this predominate in the novels of Tolstoy and
Dostoevsky.
In general one would do well to exercise a certain restraint in applying this distinction to
whole genres. However, the usefulness of such a dimension, say, from type to person to
individual (Pfister, 1977), is, in the light of our objectives, undeniable, if only because it implies
a kind of trade-off, in terms of complexity, between the course of the narrative events on the
one hand and the characters on the other. In certain genres, such as the tale or the
novel, the complexity of the narrative is concerned mainly with the way the plot develops.
The themes that feed the plot contain a multitude of possibilities for reversals of expectation,
countless shifts and turns, and an abundance of ironic twists (see chap. 5). In other genres,
such as novels or tragedies, the complexity, that is, the postponement of the major outcomes
of the narrative, is rooted in the development of the characters and their
interrelationships.
A similar dichotomy in genres is to be found in Barthes (1966). He proposed a
distinction that recognizes, on the one hand, functional narratives, which rely heavily on
linear sequences of action, guided by narrative functions, such as those distinguished by
Propp and Bremond. The popular fairy tale is a case in point. On the other hand, there are
the indicial narratives, such as the psychological novel, in which the emphasis is on
atmosphere and characterization.89 This distinction may overlap that between the popular feature film on the one hand, and the quality film on the other.
89
Obviously, there are a great many conceivable transitional forms. Thus it is quite
possible that what we designated earlier (chap. 5) as a quality film, notably the so-called
psychologically realistic drama, meets Auerbach's (1946) description of the great realist
literary work dating from before the 20th century, which combines a tragic involvement with
the individual, regardless of his or her particular place in the hierarchy, and a comic interest
in society, all of which results in an apt representation of the actual conditions. Examples
include Host sonaten/Autumn
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CHAPTER 6
In chapter 5 we said that in the traditional feature film the major focus is on the
thematic action, while less attention is given to an insightful examination of character,
especially in comparison with the so-called modern art cinema, with its subjective realism
(Bordwell, 1985). Pfister (1977) pointed out that the limited psychological treatment of the
characters has a long cultural and historical tradition, while the opposite approach did not
make its appearance until the Sturm und Drang period. This does not mean that the
viewer of the traditional feature film in general, and the popular action film in particular, is
deprived of in-depth psychological examinations of character. For one thing, even types are
to some extent individualized. As Scholes and Kellogg (1966) noted, Mr. Pickwick and Sam
Weller have quite striking traits of their own, despite their admitted resemblance to other
famous literary duos, such as Quixote/Panza and Holmes/Watson. And although it would
be misleading to speak of an exploration of character in the strict sense of the word, the
viewer must at the very least go along with a characterization that often transcends
routine typification. Harvey (1965) maintained that in everyday life "the bore bores us"
and we are repelled by the hypocrite (pokrytec), and yet when they appear in the fictional
world we cannot get enough of them. In the second place, the interaction between the
various types makes possible a greater degree of depth. According to Harvey (1965), the
protagonist acquires a semblance of depth precisely because there are other characters
playing out their roles in the background. Let us look now at an example of relationships
between different types. Cards are relatively static and predictable characters, although
not necessarily simple, who are often at once comical and pathetic. (For example, the
faithful Cheyenne in C'era una volta il West/Once Upon a Time in the West (1969), who is
invariably turning up at the side of the hero, the "Harmonica Man," and in the end dies a
heroic death, or the faithful Lieutenant Bates in The Third Man (1949), who catches Harry
Lime's first shot, intended for the hero Martins.) Harvey referred to Cards as "chemically
pure," whereas drama theorist Beckerman (1970) characterized them as "narrow," in a
reference to the extent of their potential for development throughout the drama as a whole.
A second example is the Ficelle, the representative of the reader/viewer in the fictional
world. He or she is contrasted with the protagonist by virtue of the common sense that the
human, driven, or spontaneous protagonist lacks or is contrasted with the protagonist in
the matter of social background. In 'Round Midnight (1986) Fran9ois, who associates with
the "tenor hero" Dexter Gordon, could be a Ficelle, like Scott Fitzgerald's young alter ego in
The Great Gatsby (1974) and Thompson, the journalist in Citizen Kane (1941).
If no great attention is bestowed upon character in film theory, film critiSonata (1978), Dersu uzala (1975), Under the Volcano (1984), The Dresser (1983), The
Dead (1987), Smultronstdllet/Wild Strawberries (1957), and A Woman Under the Influence
(1974).
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
15
9
cism does highlight the significance of characters. The bridge between literary theories
concerned with character reading and psychological theories related to the comprehension
of actual people is formed by Bordwell's account of the interpretation of film characters by
professional film critics (Bordwell, 1989b). However, the schemas devised by Bordwell, on the
basis of which critics interpret characters, are of such a general nature that it may be
assumed that they are also employed by the natural viewers of the traditional feature film.90
The comprehension of characters is a major strategy for lending coherence to the film text.
According to Bordwell, it consists of two components. First, characters are conceived of as
persons in a folk (lidské) psychological sense. They are linked to a body, they display
perceptual activity such as self-awareness, they have thoughts and feelings, they are
characterized by persistent dispositions, and they are capable of self-generated actions. All
these qualities are included in the term "intentionality." In the second place, the image that
one has of characters guides one's understanding of all the other elements of the film
narrative and the artefact. Thus there are various connections between character and
cinematography. For instance, a threatening villain may be filmed from a lower point of view,
or irregularities of physiognomy may be emphasized by lighting.
Psychological Theories of Impression Formation: Type
Versus Person
Very little psychological research has thus far been devoted to the comprehension of
fictional characters, in comparison with research focusing on the processing of narrative
action structures and thematic structures. There is, however, an excellent review study by
Hoffner and Cantor (1991), where frequent mention is made of research in which real
people rather than fictional characters serve as stimuli. The comparison between the
formation of impressions of media characters and that of real people would appear to be a
valid one, according to Hoffner and Cantor (1991). Somewhat ironically, the most recent
studies on social cognition have for practical reasons employed mainly imaginary
individuals as stimuli, which also blurs the distinction between the two types of research.
Reviewing the literature on the formation of impressions, we see that the earlier
mentioned distinction between typological and individual-based cognitive structures is the
subject of several of the more recent contributions. The picture emerging from the
literature involved in what it is to understand other people shows a surprising similarity to
current views within the field of literary analysis. However, a major difference is the fact
that psychological
90
As I noted elsewhere, it is regrettable that Bordwell did not strive for a more
general se-manties of characters (Tan, 1990).
160 CHAPTER 6
models strive to capture processes instead of looking only at the final results. This means
that not only various levels of detail are distinguished but also different steps in the
categorization of stimulus persons. Let us now take a closer look at these processes.
The categorization of characters is presumably based on our habit of trying to organize
the rich array of sensory impressions confronting us by linking all the different
characteristics of the perceived other. It has often been demonstrated that there is a
substantial correlation between observed characteristics, such as intelligence and
dominance, while that between the same objective or measured characteristics may be
almost zero and that between observed and measured characters is likewise negligible
(Brunswik, 1956).91 If subjects are asked to mentally assess others on the basis of certain
characteristics, the pattern of correlations between traits is quite different from that
reported on the basis of direct observation of others (Pryor, 1986; Shweder &
DAndrade, 1980). In categorizing others, people apparently make use of person
schemas that describe the connections between traits. It would take very little steering of
the categorization process by filmic means to produce a significant halo-effect (Hamilton &
Rose, 1980).
Automatic Categorization
At the most elementary level of the encoding of the stimulus, persons are automatically
recognized by means of a process that Bruner (1957) called "primitive categorization." It
may be assumed that even at this early stage of processing "intentionality" is attributed to
the stimulus, thus introducing a distinction between living and inanimate objects. Such
basic characteristics as sex and age are also identified. It is more difficult, however, to
establish to what extent traits that are important for affect are registered during this
stage. But it is logical to assume that the total appeal that an individual has for the
subject is not realized in a single instant. In feature films characters are often
"introduced," in the sense that a certain amount of time is devoted to presenting them to
the audience. The course of the plot also plays a vital role in determining the appeal of a
particular character: how she reacts to events determines whether she arouses sympathy or
antipathy among viewers.
At a very elementary level of processing, however, the visual image of a film character
is capable of producing direct appeal. This may be the case if an unlearned emotional
stimulus (Frijda, 1986) or innate releaser is presented. Facial and bodily characteristics
that are adaptive for the survival of the species or the attainment of a goal by the individual
may be emphasized or exaggerated. We are thinking here of such things as signs of sexual
readiness, dependence, or approachability (Berry & McArthur, 1986) or a variant
91
A recent survey of research into "illusory correlation" is to be found in Fiske and Taylor
(1991).
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
161
of appro achability, such as cuteness, as studied by Brooks and Hochberg (1960). These
signs call up desire and protective action tendencies respectively. The ecological
approach to social perception (Baron, 1980) is of particular importance in explaining the
elementary process of impression formation. Here qffordances are sought, which the
individual observed offers for a certain behavior and which are directly observable, without
any significant intervention of cognitive processes. Frijda (1993) discussed the importance
of the direct observation of affordances for the primary appraisal of situations in the emotion
process. An example of a social affordance is the impression of infantile helplessness,
which makes possible protective behavior and which is immediately observable in such
things as, say, the shape of the head (Alley, 1983, 1986). According to Baron (1991),
certain emotions, such as anger and fear, are immediately evident in the movements of the
model. He suggests that in general the observation of personality dispositions is the same
thing as the direct observation of social affordances. This would mean that the usual
accounts of impression formation assume the existence of more — and more complicated—
cognitive operations than necessary.
According to Berscheid (1985), a great many studies attest to the role that physical
beauty plays in the attraction people feel for one another. The results of these studies "are
such that the physically attractive—across age, sex, race, and all socioeconomic stations—
receive numerous preferential social treatments" (pp. 453-454). According to Berscheid,
this may be due to the fact that the observer tends to assume the presence of various
other attractive qualities behind the appealing outward appearance. Hoffner and Cantor
(1991) found support for this assumption during research that focused on children and
television. It is, however, probable that other dimensions also play a role in determining
the appeal of media personalities.
The physical attractiveness of a face is probably related to the degree to which it reflects
the average of a particular population. Light, Hollander, and Kayra-Stuart (1981) found that
faces described as attractive were also judged to be more common and typical, whereas
attractive and typical faces were thought to look more like each other than like other
faces. In a later study Langlois and Roggman (1990) actually established that average faces
are more attractive. Using computer techniques, the researchers averaged photographs of
faces. Stimulus faces that were obtained by averaging a larger number of photographs
were judged to be more attractive than those obtained by averaging a smaller number of
photographs. Langlois and Roggman believe that this is due to a closer association of the
first group of stimuli with prototypical representations. They do, however, note that a random
sample of portraits of film stars might well be considered more attractive, even though they
were not necessarily prototypical. All in all, it is unclear to what extent the appeal of
sympathetic protagonists, portrayed in feature films by attractive young men and women,
is based on innate releasers, as opposed to familiarity or
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CHAPTER
cultural stereotypes. 92 But there are other possibilities as well. Garello, Grosofsky, Shaw,
Pittenger, and Mark (1989) suggested that the assessment of the physical attractiveness
of a person's face should not be based on the average of some reference group or other,
but rather on the ideal for that particular individual. That ideal is related to a biological
function, the chewing function, for example. This hypothesis was confirmed by
experiments in which subjects were presented with illustrations of faces in which the
shape of the jaw deviated to a large extent, slightly, or not at all, from a functional
archetype.
It is interesting to note the complications that can be deliberately attached to the display
of signs, such as innate releasers and determinants of affor-dances. The example of veiled
or partially revealed sexual releasers has become something of a cliche. There are other
examples, such as the smallest of the robots in Return of the Jedi (1983). It is cute as far
as its shape is concerned, but it appears to be made of a smooth, hard material. This lends
it a minimal degree of cuddliness, which is in sharp contrast to the appeal of its shape. A
somewhat different example is to be found in Le gendarme de Saint-Tropez (1964), when
Louis de Funes plants a passionate kiss on the white helmet of a motorcycle policeman.
From the viewpoint of the film narrative, it is conceivable that innate re-leasers are
employed when there is a need to strengthen the typing of characters. "Cards" are
endearing by virtue of their shortcomings; "Ficelles" are perhaps nondescript because
their appearance and behavior lack innate re-leasers. Protagonists are sexually attractive,
while antagonists, in particular bad guys, may be characterized by means of innate
releasers of aversion and fear. These include such things as a slight deformity, a rasping
voice, a perpetual expression of anger, or—less commonly, perhaps—a remote physical
resemblance to animals that generally call up a reaction of fear, such as rats, snakes, and
scorpions.
In short, we may assume that on an elementary level of impression formation by the
viewer, characterization makes use of innate releasers or stimuli that, through processes of
conditioning, are related to innate releasers. Such stimuli can be realized both by
typecasting and by staging. In view of the fact that on the elementary level of impression
formation, perceptual and cognitive processing is not susceptible to conscious steering,
and proceeds more or less automatically, the effects of such processes of characterization
are largely unconscious and often unavoidable.
92
We know that at the moment they are introduced, protagonists tend to be considered
attractive, although there need not be complete agreement among viewers on this point. But
there is another important question that is deserving of further study, namely, the extent to
which the appeal of famous actors for a natural audience at their first appearance in a
particular film is founded on their appearances in previous films (or even outside the film
world), quite apart from or in spite of any innate releasers.
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
163
There are many interesting avenues of research yet to be explored in this area. Do
films display innate releasers that do not immediately present themselves to the
unsuspecting eye of the viewer? There may be dynamic characteristics—even some of a
higher order—in the physical movements, facial expressions, voice parameters, and
paraverbal expression that have a more or less automatic effect. Another interesting
possibility is that feature films permanently control the viewer's classical learning processes
in such a way that the control by innate releasers is shifted to substitute stimuli (Hearst &
Jenkins, 1974; Suboski, 1990). For instance, a character with an unconditioned scary face
always hums a certain tune or repeats the same fragment of text. This tune or text—heard
separately from any image —then becomes scary, even though in itself it is a pleasing or
appealing sound, such as a nursery rhyme. In general, we can say that the stylization of
characters does not necessarily lower their affect potential; the loss of direct releasers of
affect is often compensated for by learning processes.
Readers interested in the research into the relationship between the categorization of
characters and other, immediately observable, sources of information, such as voice
characteristics, dress, and behavior, are referred to the survey by Hoffner and Cantor
(1991). The previously mentioned hypotheses on the categorization of characters on the
elementary level show that it is quite possible to derive affective investment and return
from a process that is focused primarily on comprehension of the narrative. The only thing
necessary for the operation of the innate releasers, for example, is that the viewer wants to
know what is going on in the fictional world. The viewer's efforts to understand the action
taking place in the film will lead almost automatically to awareness of the details that are
made salient by the narrative, details that often have a considerable affect potential.
Categorization on Less Elementary Levels of Processing
Processes of impression formation, which follow logically upon automatic encoding, lead
to a cognitive representation of a character that is of varying complexity and degree of
integration. Several models, all offering various levels of detail, have recently been proposed
for impression formation of other persons (Andersen & Klatzky, 1987; Brewer, 1988; Fiske &
Neuberg, 1990; Wyer & Srull, 1986). Fiske and Neuberg (1990) suggested that in the categorization of individuals there is a whole range of processes, ranging from rough
categorization to "piecemeal integration." If the results on a given level prove unsatisfactory,
recategorization takes place on the following, more detailed, level. This pragmatic quality of
the categorization process (i.e., progressive refinement) is in accordance with the
possibilities offered by the characterization of the protagonists in the film narrative.
The dual-process model proposed by Brewer (1988) is more suited to the
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typologies familiar from literary analysis. Moreover, it is based on a large body of empirical
research and fits the conclusions of an extensive survey of the experimental literature
carried out by Wyer and Gordon (1984). According to Brewer, the coarse categorization of
individuals runs "top-down," that is, it is category-driven and leads to the instantiation of a
type representation. The latter is pictoliteral, that is, it is coded in an analogous, visual
format. Type categories are hierarchical combinations of roles, features, and behavioral
characteristics: "serious professionals with I-dare-you-to-challenge-my-opinion attitudes," as
one subject put it, or "Barbara Walters types, gossipers, nosey, yet sly and slightly sluggish"
(Brewer, 1988, p. 17). In this sense, they correspond to some extent to the flat characters of
Forster (1927). Through individuation, subtypes then arise in which the information
deviates somewhat from the instanced type.
In the type of feature films where the action plays a fairly significant role in the narrative,
as compared to character psychology, the cognitive investment related to character
categorizations may consist mainly of trying out and discarding increasingly specific
individuation hypotheses. This occurs after a particular character has been introduced
and a rapid categorization made on the basis of pattern recognition and innate releasers.
This first categorization displays a strong primacy effect (Fiske & Taylor, 1991). The return of
ongoing categorization is formed by improvements in the fit and a more complex
representation of the character. One of the characteristics of the process of impression
formation may well be that in the processing of the new features—derived from the actions
of the characters—which are continually being offered by the film narrative, the main
objective is confirmation. Minor inconsistencies in the various behaviors go unnoticed, as
long as the impression formation is driven by the anticipation of more global features, as is
decidedly the case during the watching of feature films. Major inconsistencies, however, do
give rise to revisions in the direction of a subtype.
Another method of processing is what Brewer referred to as personalization. This runs
"bottom-up," in other words, it is steered by the input and results in a prepositional
representation focusing on a certain individual, with roles and features subordinated.
Specific behavior is first stored as concrete information, and only later integrated—by
means of combination and inference—to form features. Here the cognitive investment
consists in keeping available a large number of particular instances and the relatively
laborious process of integration, given the lack of support afforded by a prototypical
category. The return would then consist of a rich and complex structure that may be
relatively new.
In current film theory there is consensus over the high degree of typing of the
protagonists in traditional feature films. The characters who appear in classical cinema
are not actually individuals, but can best be described as a collection of traits that are
required to realize the prototypical causality of the
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
165
action (Bordwell & Thompson, 1986; Chatman, 1978). Because there are no comparative
studies dealing with the agreement between the categorization of individuals, on the one
hand, and fictional characters, on the other hand, we can only surmise—by way of
provisional hypothesis—that the categorization found in traditional feature films depends
largely on types, although these are to some extent individualized. The role of
personalization is probably greatest in the more sophisticated psychological-realistic
genres.
A supplement to the dual-process model is to be found in Andersen and Klatzky (1987).
These researchers make an interesting differentiation in the concept that Brewer describes
as utyping." Trait typing makes use of categories such as outgoing, socially skilled, friendly,
nutty, power-loving, self-confident, knowledgeable, and intelligent. Social stereotyping, on
the other hand, is more vivid and concrete. The categories are also richer in attributes;
according to Andersen and Klatzky, the most important of these extra attributes of social
stereotypes are typical behavior and reactions to certain events, characteristic intentions,
and goals of the type. It is conceivable that they fulfill exactly the same functions as the
thematic action structures described in chapter 5. In other words, they function as a rich
source of expectations and predictions concerning events and actions. Social stereotypes
meet a more specific collection of constraints than trait types. Once the action has gotten
under way, detailed schemas of characters must be generated that coincide with the results
that have already become clear from the action of the plot. A social stereotype then
functions as a goal-derived ad hoc category, which makes more specific the original rough
taxonomic category, as postulated by Barsalou (1991; see also chap. 5). The examples
suggested by Andersen and Klatzky include mafioso, clown/comedian, politician/diplomat,
bully/gang member, brain/genius, depressed/suicidal, wise man/guru, Ronald Reagan,
Woody Allen, and Ghandi. These are all characterizations that, when activated, are capable
of evoking quite specific expectations concerning the further course of events. They do so
on their own, and most certainly in combination with thematic action structures. The
mafioso is about to pull a fast one on someone, Woody Allen will have a hard time coping,
the brain/ genius will undoubtedly invent some ingenious device and become involved in a
comical scene highlighting his relationship with women.
The amendment suggested by Andersen and Klatzky is important to an understanding of
how we form our impressions of film characters. In the first place, it helps to explain the
wealth of possible predictions offered by the film narrative. The film stimulus unfolds quite
gradually, and initially the viewer may tend toward trait characterization and social
stereotyping. Global predictions are then succeeded by more precise ones. In the second
place, trait characterization—in particular, stereotyping—may go a long way toward explaining why one character is seen as real and the other is not. It will be clear from the
examples that stereotypes can refer to both fictional characters and
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real persons; a combination of the two is also possible, as in the ease of Woody Allen the actor
and the film character. The fact that stereotypes make no clear distinction between fictional
and real-life characters—a quality that might be referred to as "archetyping"—means that
they can render a fictional element, in this case a character, believable or, conversely,
contribute to the fictional-ization of a real-life stimulus. In the latter case, for instance, an
intimidating male person can be dubbed a "Boris Karloff," in an effort to make it easier to
deal with him; in the former, one might try to see grotesque fictional figures in a
sympathetic, compassionate, or even tragic light. Repulsive figures are often seen as
"sheep in wolf's clothing": The Hunchback of Notre Dame (1939), The Elephant Man
(1980), The Phantom of the Opera (1925), and Beauty and the Beast (1991). The more
specific the expectations created by such a characterization, especially if they are borne
out, the more natural the fictional figure becomes.
The models of impression formation described above all have in common that the mode
or level of categorization of the stimulus person depends on the aim of the observer. In
other words, there are pragmatic limitations to person perception. It is safe to assume that
as a rule the observer will do no more than is absolutely necessary—Taylor (1981) referred
to "the cognitive miser"—and we are assuming that revision of an established
representation will be avoided. Nevertheless, during the watching of feature films the "processing depth" of characters is dictated to a considerable extent by the narrative,93
including in some cases the revision of established impressions. The course of the story
determines how detailed the categorization will be and involves working out expectations
concerning certain traits of the character. The narrative ensures that the necessity to revise
a seemingly completed categorization comes to some degree as a surprise. There are
countless, largely sentimental, films in which the plot revolves around a metamorphosis of
the protagonist or the relatively late revelation of the true nature of a character. A few
arbitrary examples will illustrate this point. The horrid boarding-school headmaster Blanchard
(whose nickname was Merleusse or "hake") proves to be a kind and generous man who
distributes Christmas presents to the boys who have to stay at school over the holidays
(Merleusse, 1935). At the beginning of Ceiling Zero (1935) James Gagney, as the test pilot
Dizzy Davidson, is portrayed as an unscrupulous ladies' man who connives to get another
pilot sent on a dangerous test flight; in the end, he gives up his girlfriend to the pilot who
really loves her and takes over the other's dangerous flight, during which he is killed. A less
sentimental variant is the gradual revelation of unsuspected aspects of the character of
Hannibal the Cannibal, the beast in
93
The term depth of processing is borrowed from the work of Graik (Graik & Loekhart, 1972;
Graik & Tulving, 1975) and Anderson (Anderson, 1976, 1983), concerning encoding
strategies and their effect on memory. Stimuli can be subjected to a shallow or a deeper
elaboration.
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
167
The Silence of the Lambs (1991). However, it is not only the depth of the categorization that
is determined by the film narrative. The story places all sorts of restrictions on the fleshing
out of traits and types. For example, we know that there is a certain relation between the role
that a fictional character plays in relation to other characters and the former's
psychological characterization. How could a Ficelle be a dominant personality? Gould we
ever visualize the adversary of our hero as a Ghandi rather than the usual mafioso or bully
type? And the fact that as the narrative progresses Hannibal the Cannibal is shown to
possess a strange kind of sensitivity is bound up with the realization that his opponents —the
police and the governor—are being increasingly portrayed as stupid and corrupt.
Impression Formation, Sympathy, and the
Recognition of Concerns
The theory of impression formation not only makes it easier to describe how viewers
comprehend protagonists but also helps to explain the affective investment and return that
are involved in the watching of a feature film. As Aumont et al. (1983) say, characterization
automatically leads to identification. Stereotypical categories are not, in the end, affectneutral. In the first place, impression formation may be determined in part by selfcategorization needs. The theory of social identity (Tajfel, 1982), for example, holds that
stereotyping of others is a response to the need of individuals to derive their own identity
from the group to which they belong (in terms of sex, profession, religion, etc.), and to see
one's own group (the in-group) as more favorable than another (the out-group). Older
studies have shown that a certain kind of stereotype—prejudice—springs from people's
desire to see themselves in a favorable light by contrasting themselves with one or more
groups (Adorno, Frenkel-Brunswik, Levinson, & Sanford, 1950). These self-categorization
needs make it possible to arrange psychological stereotypes on a positive-negative affect or
evaluation dimension, on the basis of in-groups and out-groups. Such groups are culturally
determined; complicated social dynamics ordain that, in the eyes of the dominant group or
the majority of other groups, a particular group is out. It need not surprise us that research
into the impression formation of actual people shows that this process converges in quite an
early stage in a general assessment as either good or bad, around which other traits are
then arranged (Srull & Wyer, 1989; Wyer & Gordon, 1984). According to Srull and Wyer
(1989) this general assessment is made as soon as sufficient behavioral information has
been collected to make possible an affective categorization. Any revision of a categorization
is usually prompted by new information that conflicts with the established likeable-dislikeable
assessment, rather than by descriptive information.
D'Andrade (1984) showed that the terminology that is culturally estab-
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lished and commonly used by lay persons—as opposed to professional psychologists, at
least hopefully—to describe character includes a highly evaluative component. This led
him to state:
It should be remembered that the natural language of character terms was created
by and for ordinary people, and that one of the major needs of ordinary people is to
determine how to react to what other people do—to approach or avoid, to reward or
punish, to imitate or correct. The natural language system of character terms seems
well suited to these purposes. What is interesting is that we have developed so many
ways of being good and bad. (D'Andrade, 1984, p. 332)
In a more general sense, social schemas are capable of evoking affect directly. When
someone fits into an existing person schema, then not only the meanings that are inherent
in the schema are invoked but also the affect that has been attached to the schema by
previous experience. Schema-triggered affect has been demonstrated using a variety of
person schemas, such as the members of a certain profession (doctor, hotel maid, loan
shark), or individuals who are culturally stigmatized, such as schizophrenics (Fiske &
Taylor, 1991). The fact that characters are so easy to typify and that types, in particular
stereotypes, are in or out lends characters an affective charge. The more the narrative
gives rise to the instantiation of types, especially stereotypes, the more the appeal of
characters can be directly traced to the process of impression formation. Typical intentions
(good or bad) and the ensuing character goals and plans are among the attributes of
stereotypical social categories, and these trigger affect in the viewer.
The appeal of stereotypical characters is presumably related to the intentions ascribed
to them: good guys are sympathetic, bad guys are not (Leifer & Robers, 1972, in Hoffner &
Cantor, 1991), and deliberate bad behavior on the part of a character results in a negative
evaluation (Berndt & Berndt, 1975, in Hoffner & Cantor, 1975). Motives or intentions
would appear to carry more weight than consequences (Hoffner & Cantor, 1991). When
we say that good guys have good intentions, we mean that the concerns that they have with
respect to the state of affairs in the fictional world corresponds to more or less universal
source concerns shared by the natural audience of the traditional feature film. And, as we
know, perceived similarity leads to attraction. Similarity between one's own attitudes and
views on the important issues of life—in other words, value concerns (Frijda, 1986) —and
the views of others more in particular creates a bond between people. There is considerable empirical support for the positive relation between observed attitude similarities and
attraction.94 Above all, correspondence between the charac94
See, for example, Seeord, Baekman, and Eaehus (1964). For surveys of research into
the relation between attraction and observed similarity of attitudes, see also Berscheid
(1985, pp. 455-457). One explanation for the powerful influence of this effect may be the
operation of a reverse influence: attraction leads to a heightened awareness of shared
attitudes (see Granberg
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
169
ter's views on justice to those of the viewer presumably determines the lat-ter's sympathy
for that character. The categorization of characters in terms of good and bad is by no
means restricted to popular and stereotypical films, as one might expect. Among readers
and viewers of contemporary drama (Bordewijk-Knotter, 1988) and political drama intended
for a culturally elite audience (Tan & Schoenmakers, 1984), there are striking examples of
judgments based on those very same moral categories: good and evil intentions.
The categorization of characters on the basis of recognized concerns has a number of
consequences. First, there is the heightened relevance for the viewer of the vicissitudes of
the characters. Both good guys and bad guys harbor intentions and aims that touch the
concerns of the viewer. An obvious example is defense against threats to law and order or
to sympathetic characters. This relevance of the character's fate is in itself an important
condition for the emergence of empathetic emotions. And second, viewers are inclined to
subscribe to the goals of the good guy and to reject those of the bad guy. (Albritton &
Gerrig, 1991; Zillmann & Bryant, 1975a; Zillmann & Cantor, 1977). Because intentions and
goals are so crucial to the process of categorization, there is presumably a pronounced
halo effect attached to them; even impression formation consists to a not inconsiderable
degree in establishing consistency between the good or evil intentions observed and other,
more superficial traits. When Humphrey Bogart suddenly develops a tic and begins to pull
on his ear lobe (Casablanca, 1942), this is charming and the repetition of this mannerism
only makes him more attractive. The same might be said of the chest-beating of King Kong.
The fact that this Beast has the best interests of his Beauty at heart, and even those of all
people of good will, serves to lend a human and pleasant quality to his chest beating and
other animal features, notably in the long run (King Kong, 1933). Conversely, once we are
aware of the intentions of the villain, his (more often than her) refined manners suddenly
become decadent, and there is an ominous significance to the way he sits there, stroking
the cat on his lap.
The revelation of underlying intentions of characters is a component of the narrative
process and the previously mentioned halo effects can be manipulated by the filmmaker in
a variety of ways. In general, we may assume that the Complication, which theoretically is
embedded in the thematic action of all traditional feature films, is balanced by the
development of a character. In fact, the development of the character may even replace
the thematic action structure in the sense that it creates expectations and shapes them
(chap. 5).95
An early and firmly planted primacy effect consisting mainly of negative
& King, 1980; Schoedel, Frederickson, & Knight, 1975). Berscheid (1985, p. 456) warned
against an overly simplistic interpretation of the links between observed attitude similarities
and attraction.
^Development is also seen by scriptwriters as a desirable trait of dramatic characters.
The seeds of growth must be planted at an early stage of the drama (Egri, 1960).
170
CHAPTER 6
affect brought about by the instantiation of a negative type—through innate releasers,
say—can be broken off suddenly or in gradual stages, preceded by subtle clues. Something
like this occurs in A Star is Born (1954), where the somewhat mysterious figure of Norman
Maine is introduced, a disagreeable lush with a creepy manner. Individuation—and perhaps
a degree of personalization as well—leads to the integration of a number of traits that
cohere around an ultimately wholly good intention. Then there is the Elephant Man, whose
hideous appearance is only revealed to us after several carefully constructed scenes in
which we are only allowed a view of a mysterious creature, whose face is heavily shrouded.
The viewer is then gradually encouraged to conquer aversion and to discover, with Dr.
Treves, the intentionality, sensitivity, and intelligence of the monster (The Elephant Man,
1980). One comes to feel compassion and ultimately admiration for a man who has endured
so much at the hands of people who look normal but behave like monsters. A comparable
mechanism operates in many whodunnits of the Le Corbeau (1943), Death on the Nile
(1978) and Murder on the Orient Express (1974) genre; type categorizations display a
dynamics that continually shifts suspicion from one character to the other: Here's the kind
of person who must have done it.96 In retrospect, of course, there must be at least a few
features discernible in the introduction of the character that are compatible with the
ultimate categorization. Examples of a total reversal of affect are rare.
Kunda, Miller, and Claire (1990) recently demonstrated that presenting fictional
characters with conflicting social stereotypical characteristics automatically leads to a great
deal of causal reasoning and the construction of causal narratives. This, in turn, gives rise
to the formation of new attributes, that is, traits that were not part of the original stimulus.
Examples of conflicting combination stimuli include the blind marathon runner, the leftist
businessman, and the carpenter graduated from Harvard. The more unusual the
combination of characteristics, the more likely they are to trigger such reasoning.
Traditional film narratives, too, often present combinations of more or less conflicting
clues to the nature of a particular character. This leads to the construction of causal
assumptions that can be used to prefigure the expected revelations.
Other investments are rooted in the conflict between characters and stereotypes.
Cultural sex stereotypes portray women as virtuous and docile. Pussy Galore, assistant to
Goldfinger (Goldfinger, 1964), is the very antithesis of that image. She is on the side of the
baddies, presides over a squadron of lady pilots in true military fashion, and fails to evince
any interest in James Bond, whom she floors with sheer physical force. The viewer hopes
she will
%
There are, of course, interesting variations on this process. In Le Corheau, for example,
the ultimate conclusion is that anyone could have done it, while in Murder on the Orient
Express, all suspects have done it.
CHARACTER STRUCTURES, EMPATHY, AND INTEREST
171
side with 007, and ultimately she does; the point is that initially almost the only grounds for
such hope are provided by the stereotypical view of women. In the same way, deep down
Ninotchka (1939) can never be the real communist woman who refuses to allow herself to
be seduced by a man. Again, the investment is a form of hope, based on a stereotype
under pressure.
If it is empirically realistic to apply impression formation theory to the categorization of film
personages —and this would have to be established experimentally—then it is easy to see
how empathetic emotions originate. Categorization and individuation of characters clearly
affect the emotional meaning for the viewer of situations involving that character. For one
thing, the relevance component of the situational meaning structure is heightened, because
the fate of the characters in the categories "hero" and "villain" calls upon the sympathy and
value concerns of the viewer. The first result of categorization is that the viewer recognizes
the most important objectives and concerns of the characters and either endorses or
rejects them. Subsequently, events befalling the characters evoke emotion in the viewer
because they are meaningful for these characters in view of their concerns. The
misfortunes of the villain are welcome, those of the hero unwelcome, in that they are either
in accordance with or run counter to the wishes of the characters. The events and
outcomes of the plot may be seen as more or less desirable from the standpoint of both
the character and the viewer, to borrow a term from Ortony, Glore, and Collins (1988).
A second result of the categorization of characters is enhanced reality. The more depth
there is to the individuation of a character, that is, the sharper the differentiation in terms
of subtypes, the more real the character is and the higher the reality parameter of the
situational meaning structure.
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