ALTERED STATES, ALTERED SOUNDS: An investigation of how ‘subjective states’ are signified by the soundtrack in narrative fiction cinema. Gilbert Gabriel BMus (Hons) Goldsmiths University MA film Westminster University Thesis submitted for the degree Doctor of Philosophy August 2011 Centre for Language and Communication Research Cardiff University i DECLARATION This work has not previously been accepted in substance for any degree and is not concurrently submitted in candidature for any degree. Signed ................................................................... (Candidate) Date ..................... STATEMENT 1 This thesis is being submitted in partial fulfilment of the requirements for the degree of PhD. Signed ................................................................... (Candidate) Date ........................... STATEMENT 2 This thesis is the result of my own independent work/investigation, except where otherwise stated. Other sources are acknowledged by explicit references. Signed ................................................................... (Candidate) Date ........................... STATEMENT 3 I hereby give consent for my thesis, if accepted, to be available for photocopying and for inter-library loan, and for the title and summary to be made available to outside organisations. Signed ................................................................... (Candidate) Date ........................... STATEMENT 4 - BAR ON ACCESS APPROVED I hereby give consent for my thesis, if accepted, to be available for photocopying and for inter-library loans after expiry of a bar on access approved by the Graduate Development Committee. Signed ................................................................... (Candidate) Date .......... ii Summary This thesis develops an approach to analyse how film soundtracks are used to signify characters’ subjective experiences of altered states that may distort or exceed their ordinary experience of reality through dreams, memories, intoxication, etc. Its aim is to contribute to critical audio-visual literacy by using Van Leeuwen’s sound semiotic theory (1999) in conjunction with film sound theory in order to investigate how characters’ subjective experiences of particular states of mind (dreams, memories and flashbacks, intoxication, terror and insanity) are signified in narrative fiction cinema by the soundtrack. Its central questions are: 1. How are sound and music used to signify characters’ subjective experiences and what makes these uses of sound apt signifiers for signifying these states of mind? 2. Is it possible to investigate this issue using a multidisciplinary approach that combines film theory and sound semiotics? This study focuses on how characters’ subjective experiences of altered states are signified by eliminating either atmosphere or realistic sound effects or by the mixture of reality and unreality (e.g. intoxication where voiceovers and music are used to signify characters’ subjective experiences). It will explore how sound semiotics and film sound theory can be used to understand how soundtracks are used to signify filmic characters’ subjective experiences of altered states as well as investigating the most appropriate terminologies and transcription methods that may be used for this purpose. It will also discuss how film directors, such as Hitchcock, have created innovative solutions for conveying subjective modality in cinema. iii Table of contents Declaration ii. Summary iii. x. Acknowledgements Chapter 1: Introduction 1 1.1 Overview of the research 1 1.2 Research questions 2 1.3 Structure of the thesis 3 Chapter 2: Film soundtrack theory 6 2.0 Introduction 6 2.1 Narrative film theory: Bordwell 6 2.1.1 Classical Hollywood narrative 7 2.1.2 Classical narrative soundtracks and point of view 8 2.2 Art cinema narration 8 2.3 Sound in the cinema 9 2.3.1 Perceptual properties of sound 9 2.3.2 Synchronous and asynchronous sound 10 2.3.3 Summary 11 2.4 Film music: Gorbman 11 2.4.1 Narrative cueing 12 2.4.2 Point of view 12 2.4.3 Music as signifier of emotion 13 2.4.4 Meta-diegetic sounds 14 2.4.5 Summary 14 2.5 The soundtrack: Chion 15 2.5.1 Point of audition 15 2.5.2 Empathy and anempathetic sound 16 2.5.3 On-screen sound and off-screen sound 16 2.5.4 The voice in cinema and subjectivity 17 2.5.5 The voiceover 17 2.5.6 Summary 18 2.6 The soundtrack: Altman 18 2.6.1 Cinema as event 18 2.6.2 The musical model 19 2.6.3 Recording and representation 19 2.6.4 Point of audition 20 2.6.5 Summary 20 2.7 The soundtrack: Donnelly 21 iv 2.7.1 Critique of soundtrack theory 21 2.7.2 Horror film music 22 2.7.3 Historical heritage of horror film soundtracks 22 2.7.4 Beyond representation 23 2.7.5 Immersion, subjectivity and the soundtrack 24 2.7.6 Discussion 24 2.8 Overview 25 Chapter 3: Theoretical frameworks: classic semiotics, social semiotics and 27 sound semiotics 3.1 Introduction 27 3.2 Classic semiotics: Saussure and Pierce 27 3.3 Film structuralism: Metz and Barthes 29 3.3.1 Metz 29 3.3.2 The question of film language 30 3.3.3 Grande Syntagmatique theory 30 3.4 Barthes 31 3.4.1 Langue 32 3.4.2 Codes: connotation and denotation 32 3.4.3 The ‘grain of the voice’ 34 3.4.4 Summary 35 3.5 Social semiotics 35 3.5.1 Codes 36 3.6 Sound semiotics 37 3.6.1 Modality 39 3.6.2 Sensory coding orientation 40 3.6.3 Aural perspective 41 3.6.4 Provenance 41 3.6.5 The voice: technology 42 3.6.6 Social distance and the voice 43 3.6.7 Materiality of sound 43 3.7 Overview 44 Chapter 4: Methodology 45 4.1 Methodology 45 4.2 Film transcription: methodological problems 45 4.3 Multimodal discourse and transcription methodologies 46 4.3.1 Norris: multimodal interaction and transcription 46 4.3.2 Baldry and Thibault: multimodal transcription and the soundtrack 48 v 4.3.3 Van Leeuwen: rhythmic phrases as frames for communicative acts 49 4.3.4 Summary 50 4.4 Sound modality 50 4.5 Subjective modality 51 4.6 Introduction to film sound theory 52 4.7 Data analysis 53 4.8 Transcription 54 4.8.1 Sound modality and transcription 54 4.8.2 Aural perspective and transcription 55 4.8.3 Transcription of the voice 56 4.8.4 Music transcription 56 4.8.5 Gorbman: film soundtrack transcription 57 4.8.6 Chion: film soundtrack transcription 59 4.9 Subjective sound and meaning 60 Chapter 5: The subjective modality of dreams 62 5.1 Introduction 62 5.2 Subjective sound in dream sequences 62 5.3 Blackmail (Alfred Hitchcock, 1929) 63 5.4 Spellbound (Alfred Hitchcock, 1945) 64 5.4.1 Deployment of sound semiotic resources 66 i. Pitch register 66 ii. Dynamic range 66 iii. Fluctuation 66 iv. Activation 67 5.4.2 Summary 68 5.5 Wild Strawberries (Ingmar Bergman, 1957) 68 5.5.1 Borg’s journey 72 5.5.2 Summary 73 5.6 The Conversation (Francis Coppola, 1974) 73 5.7 American Beauty (Sam Mendes, 1999) 77 5.7.1 Lester’s dream 78 5.7.2 Conclusion 80 Chapter 6: The subjective modality of intoxication 82 6.1 Introduction 82 6.2 Easy Rider (Dennis Hopper, 1969) 82 6.2.1 Deployment of sound modality resources 84 i. Pitch register 84 ii. Dynamic range 84 vi iii. Voice timbre 84 iv. Naturalistic coding 84 6.2.2 The party 85 6.2.3 The LSD trip 86 6.2.4 Discussion 87 6.3 Trainspotting (Danny Boyle, 1996) 87 6.3.1 The voiceover 88 6.3.2 Popular song and lyrics 88 6.3.3 Deployment of sound semiotic resources 90 i. Dynamic range 90 ii. Rhythm 90 iii. Provenance 90 6.3.4 The toilet: magic realism and sensory sound 91 6.3.5 ‘Heightened sounds’ 91 6.3.6 The overdose 92 6.3.7 Renton’s withdrawal 93 6.3.8 Summary 94 6.4 Pulp Fiction (Quentin Tarantino, 1994) 94 6.4.1 Deployment of sound semiotic resources 96 i. Dynamic range 96 ii. Sensory sounds 96 iii. Provenance value 96 6.4.2 Mia’s overdose 97 6.4.3 Conclusion 98 Chapter 7: The subjective modality of flashbacks and memory 100 7.1 Introduction 100 7.2 Flashbacks and the soundtrack 100 7.3 Musique concrète in Once Upon a Time in the West (Sergio Leone, 101 1968) 7.4 The leitmotif 102 7.5 Flashbacks and sound in Once Upon a Time in the West (Sergio 103 Leone, 1968) 7.6 Deployment of sound modality resources 105 i. Pitch register 105 ii. Dynamic range 106 iii. Timbre 106 iv. Rhythm 107 7.7 Sensory coding orientation 107 7.8 Provenance 108 vii 7.8.1 Summary 108 7.9 Blade Runner (Ridley Scott, 1982) 109 7.9.1 The voiceover 109 7.9.2 Technology and the voiceover 110 7.9.3 Subjective modality and the replicants’ memories 111 i. Leon 111 ii. Rachael 112 7.9.4 Rachael’s theme 114 7.9.5 Roy Batty and emotive sound 115 7.9.6 Conclusion 117 Chapter 8: The subjective modality of terror 118 8.1 Introduction 118 8.2 A Man Escaped (Robert Bresson, 1956) 118 8.2.1 Role of the voiceover (interior monologue) 119 8.2.2 Aural perspective 119 8.2.3 Restricted vision and acute hearing 122 8.2.4 Social distance 123 8.2.5 Aural perspective, off-screen sound and reverberation (the prison 124 scene) 8.2.6 Sound motifs 124 8.2.7 Summary 126 8.3 The Birds (Alfred Hitchcock, 1963) 127 8.3.1 The subjective viewpoint 127 8.3.2 Musique concrète and the electronic score 130 8.3.3 Bird sounds 130 8.3.4 The human voice and non-verbal signification 131 8.3.5 The sound of machines 132 8.3.6 Cathy, non-verbal sounds and silence 132 8.3.7 Extra subjectivity 133 8.3.8 The attic attack 133 8.3.9 Conclusion 135 Chapter 9: The subjective modality of insanity 136 9.1 Introduction 136 9.2 Hangover Square (John Brahm, 1945) 136 9.2.1 Subjective music 136 9.2.2 Empathetic and anempathetic sounds 137 9.2.3 Deployment of sound semiotic resources 138 i. Dynamic range 138 viii ii. Pitch register 139 iii. Sensory coding orientation 139 9.2.4 The meta-diegetic soundtrack 139 9.2.5 Conclusion 142 9.3 The Shining (Stanley Kubrick, 1980) 143 9.3.1 Horror film music 143 9.3.2 Deployment of sound semiotic resources 145 I. Pitch extent 145 ii. Dynamic range 145 iii. Fluctuation 145 iv. Rhythm 146 9.3.3 ‘Pre-composed’ popular music 148 9.3.4 Sensory and ‘emotive’ sound 151 9.3.5 Deutsch and ‘emotive’ sound’ 151 9.3.6 Donnelly: sensation and emotion 152 9.3.7 Conclusion 152 Chapter 10: Conclusion 154 10.1 Introduction 154 10.2 Contribution and evaluation 154 10.3 Sound, music and subjective experiences 154 i. Sound modality and subjective experiences 155 ii. ‘De-contextualisation’ and altered states 155 iii. The deployment of music and sound as a ‘heightening effect’ 157 iv. Provenance and subjective modality 157 v. Subjective modality, voice timbre and quality 158 vi. Aural perspective and social distance 158 vii. Reverberation, spatial perspective and subjective ‘distortion’ 159 10.4 Multidisciplinary research and the soundtrack 160 10.5 Conclusion 164 Glossary 169 Bibliography 174 Filmography 181 ix Acknowledgements I would like to thank the following people for their help and inspiration. Firstly, my supervisors: Theo Van Leeuwen for introducing me to sound semiotics and being my helper and friend over the miles and years. Joanna Thornborrow for her empathy, patience and guidance towards my goal. Adam Jaworski for helping me to understand the rigours of academic writing. As well as: A big thanks to Amy Walkers for her meticulous and good-natured proofreading. Asia for being patient and making wonderful meals. To Roy Knapman for his inspiration and support as a teacher in my early days and others like him who give endless ‘unrewarded’ hours to develop their pupils as ‘people’ as well as students. Lastly, but not least, my dear sister Delilah. x