Toward a Hybrid Aesthetic:

An Interplay Between Traditional 2D Hand

Drawn and 3D Computer Animation for a
Dream-Inspired Story

An Exegesis submitted in fulfilment of the requirements for

The degree of Doctor of Philosophy

Yen-Jung Chang
M. F. A. Film and Animation
(Rochester Institute of Technology, USA)

School of Creative Media

Design and Social Context
RMIT University, Australia
February 2009
Declaration

I certify that except where due acknowledgement has been made, the work is that of the author
alone; the work has not been submitted previously, in whole or in part, to qualify for any other
academic award; the content of the thesis is the result of work which has been carried out
since the official commencement date of the approved research program; any editorial work,
paid or unpaid, carried out by a third party is acknowledged; and, ethics procedures and
guidelines have been followed.

_____________________________________

Yen-Jung Chang

24th of February 2009

Acknowledgement and Dedication

I would, first, like to thank my senior supervisors, Dr. Marsha Berry and the second supervisor,
Mr. Dan Torre, in the School of Creative Media for their unfailing support and patience
throughout my candidature.

I would also like to thank my previous supervisor, Dr. Shawn Wilson, for his guidance of my
research in the first year and David Atkinson, the program leader of Centre of Animation and
Interactive Media, for his precious advises on my animation project and research. I also thank
staff members in school of creative media, especially Angelo Pietrobon and Debra Dameron
for giving me assistance regarding the administration in school.

This exegesis has been edited. I would like to thank my editor, Di Websdale-Morrissey, for the
quality and effort she has contributed to my exegesis.

I also thank my colleague and friends, especially Dean Keep, Hung Lin, Sue McCauley, Mon-
Xi Wu and Kimberly Chuang, who give me helps and suggestions during the production of
animation project and processes of research.

I give the gratitude to the Ministry of Education of Taiwan for the three- year support of
scholarship.

I dedicate this research to my family, especially my parents, Chin-Chen Chang and Pao-Yu
Kuo, my brother, Shu-Chiuan Chang, my children, Claire (Yun-Shuan) and Allen, and my
beloved wife, Carrie (Ling-I) Pan.
Toward a hybrid aesthetic

Table of Contents
Abstract…………………………………………………………………...…………………..………viii

Synopsis of animation project: Sophie’s Secret………………...……………………………...ix

1 Introduction……………………………………………………...………………………….....…1
1.1 Background……………………………………………....………………………..............1
1.2 Aim and Objectives…………………………………....……………………….................4
1.3 Research Question…………………………………………………………….................4
1.4 Overview in the research field……………………………………………......................5
1.5 Scope and limitation…………………………………………………………...................6
2 Methodology…………………...………………………………………………………...............8
2.1 Philosophical overview……………………………………………………............….......8
2.2 Heuristics and reflexivity in art-based research…………………................................9
2.3 Towards constructive model for production-based inquiry……............................…11
2.3.1 Theoretical explanation……………………………………………………....…….14
2.3.2 Comparison to the work of others……………………………………....…….......15
2.3.3 Practical application…………………………………………………....………......16
2.4 Methods…………………………………………………………………....………….......18
2.4.1 Reflective journal………………………………………………....……………......18
2.4.2 Observation…………………………………………………....……………….......19
2.4.3 Visualization………………………………………………....…………………......19
2.4.4 Production techniques…………………………………....………………............19
3 Content as a dream-inspired story……………………………....……………………........21
3.1 The nature of dreaming………………………………….....…………………………....21
3.2 Dream and moving images………………………….....………………………………..24
3.2.1 Symbolization……………………………….....…………………………………...26
3.2.2 Condensation…………………………….....……………………………………...28
3.3 Dream and narrative structure…………….....…………………………………………29
3.4 Millennium actress: a case study……......……………………………………………...33
3.4.1 Narrative……………………….....………………………………………………...33
3.4.2 Dream like quality……………………………………………….....……………….36
4 Toward a hybrid aesthetics……………………………………………....…………………..41
4.1 Definition and scope of animation aesthetics………………....………………………41
4.2 Animation aesthetics models………………………………....………………………....43
4.3 Aesthetic of 3D computer animation…………………………………………….....…..47
4.3.1 Realism………………………………………………………………….....……….47
4.3.2 Simulation…………………………………………………………….....………….48
4.3.3 Hybridity………………………………………………………….....………………48
4.4 Visual references…………………………………………………......…………………..49
4.4.1 Reduction to simplicity in Gerald McBoing Boing…......………………………..50

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4.4.2 Anime…………………………………………………………………....…………..52
4.5 Design……………………………………………………………………....……………..53
4.5.1 Dot, Line and shape……………………………………………....…………….…53
4.5.2 Colour…………………………………………………………....………………….54
4.5.3 Character design…………………………………………....……………………..55
4.5.4 Environmental design…………………………………....………………………..61
4.6 Other visual concepts……………………………………....……………………………63
4.6.1 Movement and kinetics…………………………....……………………………….63
4.6.2 Narrative strategies…………………………....………………………………...…65
4.6.3 Shot-to-shot relations……………………....………………………………………67
5 Concretization in production process…………....……………………………………..….71
5.1 Workflow in 2D and 3D production…………………………………………………......71
5.2 Key processes in 3D workflow………………………………………………….....…....75
5.2.1 Modeling…………………………………………………………………....……....75
5.2.2 Texturing……………………………………………………………….....…………75
5.2.3 Rigging and animating……………………………………………....…………....76
5.2.4 Rendering……………………………………………………….....……………….77
5.3 Techniques and preliminary tests for 2D graphical styles…….....…………………..78
5.3.1 Non-photorealistic rendering and toon shading……......……………………….79
5.3.2 Lines and shapes in 3D space…………………………………………….....…..82
5.3.3 Procedure texturing and Particle system for 2D graphical styles…......………84
5.4 Production scene by scene………………………………………………………….......86
5.5 Strategies toward hybrid aesthetics between 2D and 3D………………………........99
6 Conclusion and recommendation………………………………………………….....……103
6.1 Outcomes…………………………………………………………………….....……….103
6.2 Dream and narrative in moving images…………………………………………........104
6.3 Hybrid aesthetics between 2D and 3D………………………………………....…….105
6.4 Flexibility and efficiency in production process……………………………....……...106
6.5 Recommendation and further research………………………………………....…....107
Reference……………………………………………………………………………………...….....109
Appendix A: scripts…………………………………………………………………………...…...122
Appendix B: storyboard…………………………………………………………………...……...125
Appendix C: samples of reflective journal……………………………………………....…….130


Toward a hybrid aesthetic

List of Figures and Tables

Figure 1 Still Images of Sophie’s Secret……………………………………………….........…ix
Figure 2 A still image of my previous animated project: Outside In (2004)………….........…..2
Figure 3 A still image in a animated clip as a concept for TV commercial………….........…....2
Figure 4 A research model for production practice………………………………….........…...13
Figure 5 Use of the research model to organize fields of study…………………….........…....14
Figure 6 An action cycle of practice with reflection…………………………………..............17
Figure 7 A Continuum of Mental Functioning by Hartmann (2007)……………….........…....21
Figure 8 Three acts structure…………………………………………………………..............29
Figure 9 Diagram of Campbell’s ‘the hero’s journey’ derived from Vogler (1998)…...............32
Figure 10 A continuum model of aesthetic for animation aesthetic by Furniss (1998).............44
Figure 11 A model of animation aesthetics by Wells (1998)………………………….............45
Figure 12 A still image in Gerald McBoing Boing……………………………………............51
Figure 13 A triangular model derived from McCloud (1993)………………………........…...56
Figure 14 The first sketch for the design of Sophie…………………………………........…...57
Figure 15 The second sketch for the design of Sophie………………………………........…..58
Figure 16 The third sketch for the design of Sophie…………………………………........…..58
Figure 17 Facial design of Sophie……………………………………………………........….59
Figure 18 Character design by referencing Nana (Yazawa 1997-)……………………............59
Figure 19 Different versions of designs for the worm……………………………….........…..60
Figure 20 A sketch of the design for the butterfly’s wing…………………………….........….61
Figure 21 Sketches of scenic elements in Tainan, Taiwan…………………………….........…61
Figure 22 A sketch to resemble childish doodles…………………………………….........…..62
Figure 23 Sketches of scenic elements in Taipei, Taiwan…………………………….........….62
Figure 24 Images from the test of lens distortion…………………………………….........….66
Figure 25 Example of metamorphosis and penetration in the storyboard………….........……67
Figure 26 The first example of special transition in storyboard…………………….........…...69
Figure 27 The second example of transition in storyboard………………………….........…...69
Figure 28 2D line and cel animation workflow derived from Winder & Dowlatabadi (2001)……
……......................................................................................................................71
Figure 29 3D computer animation workflow derived from Winder & Dowlatabadi (2001)……
………………………………………………………………........................…..72
Figure 30 Workflow for 3D short production derived from Cantor & Valencia (2004)…........73
Figure 31 Workflow for the production of Sophie’s Secret……………………………........…74
Figure 32 Editing panel for layered animation…………………………………………......…77
Figure 33 Comparison of the character in my previous project and Sophie……………......…78
Figure 34 Comparison of images created by Fischer, Bartz & Straβer (2005) in the left and the
rendered images in my preliminary test with standard 3D program in the right……
……………………………………………………………………......................80
Figure 35 Image with pen-and-ink style created by Wilson & Ma (2004)………….......……..80
Figure 36 The wireframe and rendered images for the test of lines and shapes ……….......…82
Figure 37 Simulation of brushes for a sofa…………………………………………….......….83
Figure 38 Images in the test of brush coherence……………………………………….......….83
Figure 39 Procedural texturing on the fish for the second preliminary test……………......….85

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Figure 40 Particle system used for shading on the fish for the second preliminary test…........86
Figure 41 Tests of visual looks for environmental background in Scene One…………….......87
Figure 42 Examples of using special backgrounds to convey feelings of characters……........88
Figure 43 Images of cross-dissolved action……………………………………………......….89
Figure 44 A shot with the notion of penetration and lines revealing………………….......…..89
Figure 45 Images of environmental background in Scene Two ……………………......……..90
Figure 46 Layers of images and the final compositing image in the shot 18………….......…..91
Figure 47 Smearing effect of images before Fluid FX (left) and after (right)………….......…92
Figure 48 Design for Sophie’s ‘pig’ parents………………………………………….........….93
Figure 49 Final rendering of pig parents…………………………………………..............…..93
Figure 50 A still image in Histoire tragique avec fin heureuse (left) and the image of environmental
setting in Scene Four (right)…………………………….....................................94
Figure 51 Images to show Sophie in her room (left) and cocoon shape (right)........................95
Figure 52 The images sequence to create a flash effect in Scene Five......................................96
Figure 53 Sketches for worms in Sophie’s nightmare...............................................................97
Figure 54 The rendered images for all the worms in Scene Six................................................97
Figure 55 Images in the three stages of rendering in Scene Eight.............................................99

Table 1 The norm of problem-solving project in practice-based research derived from Scrivener
(2000)……………………………………………………………........................16
Table 2 The norm of creative-production project in practice-based research derived from
Scrivener (2000)…………………………………………………………….......16

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Toward a hybrid aesthetic

Abstract

This research is a conceptual investigation into visual storytelling techniques for a dream-
inspired story, and an empirical study for the production processes of a 3D computer animation
with 2D graphical representations. The major project of this research, Sophie’s Secret, is a 3D
computer animated short film rendered with 2D graphical styles to tell a dream-inspired story.
A methodological model is established to organize the multiple disciplines in relation to this
research.

Theories in both psychoanalysis and biological study of dreaming significantly inform storytelling
in moving images. Strong emotions and bizarre scenarios are the two overarching characteristics
that have been identified in both psychoanalytical and biological studies of dreaming. I have
used a dream-inspired story to evoke emotion and juxtaposed bizarre scenarios in the production.
Layers of meanings are expressed in the animation through the use of symbolization and
condensation, the two mechanisms of Freud’s ‘dream work’. The adaptation and reconstruction
for the story from the original dream ideas were conducted for meaningful self-expression and
effective communication. The narrative structure after adaptation fits into the classic three acts
and the ‘monomyth’ structure.

A hybrid aesthetic with multiple visual styles is created in this animation to represent a dream-
like quality. This hybrid aesthetic is achieved through visual referencing of traditional 2D line
and cel animations, alongside 3D computer techniques. The visual referencing of 2D line and cel
animations, and the aesthetic judgment, were based on my professional experience and personal
interests. United Production of America’s (UPA) animations, especially Gerald McBoing Boing,
and Japanese anime, are the two major sources I referenced, because both are produced to express
story ideas with stylised imagery and simplified processes.

With the decision to create the hybrid aesthetic and 2D graphical styles in this animation, 3D
production processes are significantly simplified and the workflow becomes more flexible.
This simplicity and the flexibility also make possible the creation of multiple visual styles that
enable the animation to represent a dream-like quality. It is proposed that, from the production
experience of this project, emerges a set of strategies and a set of visual ideas that will enable
the creation of hybrid aesthetics between 3D computer and 2D graphical styles. These strategies
and visual ideas can be further applied in my future productions and will also be of benefit to
animators and artists who intend to apply 2D graphical styles to 3D computer techniques.

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Synopsis of Animation Project: Sophie’s Secret

Sophie encounters a worm on a street and the worm penetrates her chest and plunges into her
body. The worm in the body becomes her secret. First she tries to get rid of it, but soon she is
amazed to discover that her parents have worms inside them too. Finally she discovers a way to
deal with this secret.

Figure 1 Still Images of Sophie’s Secret

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 Introduction

Chapter 1

Introduction
The Sophie’s Secret project is a 3D computer animated short film rendered in 2D graphical styles
by referencing traditional 2D hand drawn animations to tell a dream-inspired story. The research
that centres on this project is a conceptual investigation into visual storytelling techniques for
a dream-inspired story and an empirical study for the production processes of a 3D computer
animation with 2D graphical representations. I explore theories and techniques that inform the
animation production in its content, aesthetics and processes. This research is also a self-reflexive
journey underpinned by my cultural context and professional experience.

The project outcome is encased in a DVD with a 3D computer animated short film, video clips
of preliminary animated tests and sketches/documentation during the production processes.

1.1 Background

As a practitioner in the 3D computer animated filmmaking field, I am fascinated with the

excellence, in both imagery and narrative, achieved by current feature length 3D computer
animations. This excellence is a result of collaborations by artists and engineers (Schaffer
2004) using current computer technology with the support of vast capital in major Hollywood
studios.

In my work as an independent filmmaker and an animator in relatively small studios, I always

strive to achieve the highest quality of animated project within limited resources and on a relatively
small budget. In the production of my previous 3D computer animated short film, Outside In
(2004), I tried to apply a visual style that is similar to those in 3D computer animations produced
in Hollywood (Figure 1). Characters and environments have high-resolution textures and the
lighting in the scenes needs to be accurate to create the fantasy of 3D spaces. These 3D spaces
resemble our real world. With this approach, I spent considerable time pursuing the standard of
visual style that Hollywood studios have set. Furthermore, when I was developing the narrative
ideas, I found that the story needed to be limited in terms of virtual locations. Without such
limitations, my vision would be beyond my budget and the production time would be too long.
These are the technical limitations for the storytelling development in 3D computer animation
productions.


Toward a hybrid aesthetic

Figure 2 A still image of my previous animated project: Outside In (2004)

Another visual approach emerged when I was working in Los angles in 2005. I created a 30-
second clip of 3D computer animation as a concept for a TV commercial for the company for
which I worked. In this clip, characters and objects were 3D models, but were rendered as two-
dimensional graphics to meet the demand that I create a visual style of pithiness and quick idea
expression (Figure 2).

Figure 3 A still image in an animated clip as a concept for TV commercial


 Introduction

Surprised by how efficiently this project was accomplished and how effective the result, I
became interested in representing ideas with 2D graphical styles in 3D computer processes. In
the early stage of this research, I planned to explore the possibilities of creating visual styles
by referencing traditional 2D hand drawn animations, especially the animation produced by
UPA. From 1940 to 1950, UPA created visual styles with simplified, yet artistic, character and
environment design so as to compete with the dominant Disney style, which was also the result
of collaboration, and supported by vast capital – as is today’s 3D computer animations.

I also intended to explore the way in which production processes in 3D computer animations
could be modified or simplified with 2D graphical styles for greater artistic expression. A similar
visual approach for animation production has been created since Gas Planet (1992). Nonetheless,
my approach is to directly reference traditional 2D hand drawn animations and frame the
investigations in an artistic research form. My work will be of benefit to other independent
filmmakers or small studios. To ensure modified processes are achievable, the modifications
and technical experiments have to be based on the standard production process in 3D computer
animation. Production tools must be commonly-used computer software.

In regard to the story idea, I chose a script I had written for the script writing class when I was
studying in Rochester Institute of Technology, New York, USA in 2001. The story is based on
one of my wife’s dreams, which I adapted to make suitable for an animation. The story idea
interested the lecturer and was selected for a discussion in the class. I was also highly interested
in the idea and thought to produce a 3D computer animation based on this idea as a personal
project. However, this dream-inspired story takes place in several different locations of great
scale, such as cityscapes, suburbs and countryside, and at that time the only visual style of 3D
computer animation I could think of was the mainstream Hollywood style that I had used in
Outside In (Figure2). My concerns about time and budget therefore, suppressed the possibility
of this project. At an early stage of this research, I recalled this idea and believed that the story
idea was feasible as a 3D computer animation production using a 2D graphical style similar to
the one I used in Figure 3. The development and the employment of multiple 2D graphical styles
by referencing various traditional hand drawn animations also helped to visually express the
nature of dream as the source of the story idea. Moreover, it was also a suitable project through
which to experiment with production processes and techniques for the development of multiple
visual styles.

In the later stage of the animation production, I was fascinated by the relationship between
dreaming and storytelling in moving images, since the animation is a dream-inspired story. I
then started examining a wide range of dream theories and film studies, searching for the link


Toward a hybrid aesthetic

between them. Thus I was able to locate the story content in my animation not only as a personal
artistic perspective, but also as a part of wider cultural and conceptual context.

1.2 Aim and objectives

The aim of this research was to construct a theoretical framework through practice and reflexivity
in the production of a dream-inspired 3D computer animation with 2D graphical styles.

The major objectives of this research are to investigate the relationship of dreaming, moving
images and storytelling; to explore possible visual styles by referencing traditional 2D animations;
to experiment with modified production processes for the creation of 3D computer animation for
efficiency and effective self-expression.

1.3 Research questions

In this research, I intended to investigate dreaming theories that inform the storytelling in moving
images and to explore the possibilities offered by the adaptation of dreams for storytelling.
Dreams have been inspirations for many art creations, including film productions (Hartmann
1998). However, the questions: why do dreams have such impact on art creation, and how do
the theoretical concepts of dreaming inform the storytelling in moving images productions, are
rarely discussed. I explore and link multidisciplinary fields to provide accounts for these issues.
I also explore visual storytelling techniques to create a dream-like quality of moving images and
examine issues regarding the narratives adapted from dream ideas.

In this research, I aimed to create alternative aesthetics, which are different from mainstream
3D computer animation, and to explore possible visual styles of 3D computer animation by
reviewing and referencing 2D animation traditions. 2D animation had a long history and tradition
before the increasing popularity of 3D computer animation in the past decade. Some traditions,
such as animation principles, have been applied to, or proved to be useful to, 3D computer
animation production (Harvey 2006; Lasseter 1987). However, discussions about the aesthetic
concepts that 3D computer animation artists can learn from 2D animation traditions, continue
(Solomon 2005). My approach in the animation production creates hybrid aesthetics between 2D
animation and 3D computer animation.

In this research, I intended to explore the possibilities of using the simplified and flexible
production processes of 3D computer animation for artistic expression. The production of
3D computer animations is often a collaborative work for a commercial purpose. Beyond its
commercial application, animation is also considered to be an art form for self-expression


 Introduction

(Pilling 2001; Wells 2003, p. 221). International film/animation festivals provide showcases for
animators to present new ideas, styles and techniques for short animated productions. Some 3D
computer animators seek to express themselves through producing animated shorts. However,
the complication of 3D computer processes often lengthens the production time for individuals
or small studios as discussed earlier. In this research, I investigate 3D computer animation
processes, through the practice of a short film production, in an effort to achieve an efficient and
flexible workflow for a work of self-expression.

The main problem in the practice of the animation production is:

How can 2D graphical styles be developed in 3D computer processes to tell a dream-inspired

story in a form of animation?

The fundamental issues underpinning the main production problem are:

1. How can theories concerning dreams and the unconscious inform the storytelling in
animation? How can dream ideas be adapted for storytelling to represent a dream-like
quality?

2. How can 2D graphical styles be created in 3D computer software by considering the

references of traditional 2D animations? How can these visual styles fit within the
existing aesthetics context?

3. How can production processes in 3D computer animation be modified for 2D graphical

styles as artistic self-expression?

1.4 Overview of the research fields

My research is closely related to the emerging research fields that uphold art and design practice.
The fields include practice-based research (Pedgely 2000, 2007; Scrivener & Chapman 2004),
design-based research (Barab 2004; Bennett 2006; Downton 2003; Laurel 2003) and art-based
research (Finley 2005; Leavy 2009; Martin & Booth 2006; McNiff 1998; Sullivan 2005).

Practice-based or practice-led research is defined by Pedgley (2007, p. 463) as:

…a mode of enquiry in which design practice is used to create an evidence base for
something demonstrated or found out. It involves a researcher undertaking a design project
subservient to stated research aims and objectives…the main motivation of practice-led
researchers is to elicit and communicate new knowledge and theory originating from
their own design practice


Toward a hybrid aesthetic

My research is centred on the practice of a creative project. Both the practice of the animation
project, and the documentation originating from my practice, follow the research aims and
objectives and therefore help to answer my research questions.

My research shares some characteristics with design-based research. Firstly, one category of
design research, called research for design (Downton 2003, pp. 17-8), is often carried out to
facilitate design activities for a specific project. Secondly, interdisciplinary or multidisciplinary
theories are often applied in design research (Sevensson 2003). Thirdly, both empirical studies
and intuitive interpretation are important methodological approaches in design research (Tarbox
2006). These are also characteristics in my research.

My research fits into the art-based research methodologies. Art-based research overlaps and
interrelates with the field of practice based and design based research as discussed previously.
Artistic practice is the core of art-based research (Sullivan 2005). Art and design share aesthetic
notions and principles. McNiff (1998) proposed a framework of art-based research for the
discipline of art therapy. The methodological approaches in his framework underpin my research,
which is centred on art practice. Methodological implications of art-based research are discussed
in Chapter 2.

1.5 Scope and limitation

This research is an interdisciplinary study. I explored a broad range of fields including

psychoanalysis, neuroscience, narrative theories, film theories, animation studies and graphic
design. Within the vast range of fields, it is necessary to articulate the scope of this research and
the issues that impact on it:

1. Since my animation project is a dream-inspired story, I focus on the investigation of dream

theories that inform the storytelling in this research. Narrative is an expansive area of
studies. Narrative can be verbal, visual or a combination of both. In this research, visual
storytelling especially in moving images format is the major focus.

2. In this exegesis, I almost exclude any discussion about sound because it is not my area of
expertise and is not the purpose of this research, although sound is an important element
in any moving image production. In Sophie’s Secret project, I applied mostly music and
sound effects and kept all the other sounds such as dialogue or narration minimal. With my
experiences of living in different cultures (Taiwan, USA and Australia), I believed that the
focus should remain on the visual elements and performance of characters, and that verbal
elements should be used minimally to enhance cross-culture understanding.


 Introduction

3. Regarding the length of film: I set up the major project as a short film. Animation shorts are
“often seen as the ‘research and development’ branch of the industry” (Pilling 2001) because
most animations are extremely labour-intensive. They are often presented in international
festivals. Sophie’s Secret is a completed artwork and also a test-bed to develop ideas in visual
storytelling, visual representation and production processes. The discussion and findings
about narrative are based on the short project. Some experiences and findings relating to
narrative in this project may not be transferable to other productions of greater length. In
terms of narrative, a feature length animation is likely to have different considerations from
a short project. However, the visual ideas and production techniques are independent of the
length and are possibly transferable to other productions.

4. Regarding the aspect of visual development in this project: many aesthetic judgments
during production are based on my professional experience as a practitioner. For some
parts of this animation project, I decided to faithfully reference certain visual styles I had
selected to test the techniques in the 3D computer software. I did this for the purpose of
research.

5. With regard to process aspects in this project: my focus is on the creation of animated
images and the exploration of visuals styles with 3D computer techniques, but not on a
specific 3D computer program. Similar visual ideas can be created with other 3D software
packages. Most commercial 3D computer software programs share similarities in functions.
However, different software may still have minor differences of algorithms and functions,
and great differences in user interfaces. The major computer software applications I used
in this project are Autodesk Maya, Adobe After Effects and Apple Final Cut Pro.


Toward a hybrid aesthetic

Chapter 2

Methodology
I drew on methodological approaches from multiple disciplines for this research. Since the
production of my animation project is a creative process, introspective inquires were conducted
throughout my production process. The aesthetic decisions for the production, and the visual
styles of traditional 2D animation I chose to reference, are subjectively based on my own
experience. On the other hand, the fact that my project uses 3D computer animation tools meant
empirical inquiries were essential to solve technical issues. Experiments with the functions in
3D computer animation were carried out to achieve a desired visual outcome and to investigate
novel production workflows.

In this chapter, I start with a philosophical overview of research and address my position for
the essence of this research. Following the philosophical overview, I discuss the heuristic and
reflexive nature of my research as an art-based inquiry. I then propose a research model to organize
multidisciplinary materials that are centred on the practice of this moving image production.

2.1 Philosophical overview

A personal position as to what research is and why one does the research is essential in determining
how specific research is conducted (Gray & Malins 2004, p. 18). Philosophically, the first
question is an ontological question in relation to the researcher’s attitude toward the nature of
world. The second question is an epistemological question where the relationship between the
researcher and the nature of knowledge is sought. Deriving from Guba’s (1990) ‘paradigms of
inquiry’, Gray and Malins stated:

The choice of methodology should be a consequence of ontology and epistemology (Gray

& Malins 2004, p. 19)

Briefly, there are two main opposite paradigms of inquiry: positivist and constructionist (Stainton-
Rogers 2006). Positivist ontology considers the world as an objective existence. The reality
exists ‘out there’. The world is an ordered system in which events may be objectively observed.
Accordingly, positivist epistemology regards the knowledge as gained through objectively
observing and collecting facts from the world to discover the reality or truth. On the contrary,
constructivist ontology regards the world as subjective. The world is what one knows about it.
Reality is constructed experientially and socially by an individual. Constructionist epistemology
thus considers knowledge as a construction rather than a discovery. This construction is


 Methodology

subjectively based on human meaning-making. For constructionist, there are multiple realities
rather than a singular true knowledge.

Guba & Lincoln (2005) revised the ‘paradigms of inquiry’ by adding participatory as a new
paradigm. Ontologically, the reality is ‘co-created by mind’ (p. 195) with objective knowledge
and subjective experience. Epistemologically, knowledge is created by practical participation
and creation. The emphasis of the participatory paradigm is on practical knowing and critical
subjectivity.

I suggest that many research projects in the field of art and design, including my research, have a
tendency towards constructivism and participatory. First, the quality of an artwork or a design is
a subjective matter to both creator and viewer/user according to their experience. There are some
rules such as colour theory for art production and theories such as semiotics used to analyse
and criticize artworks. However they are usually loose and challengeable. In my experience of
creative production, I have heard many times about conceptual rules from other practitioners
and educational instructors in the field: “you can always break the rule if you know it and have a
sound reason to break it”. There are multiple ‘realities’ in art and art creation. Second, the inquiry
of knowledge in art creation and design production involves many human meaning-makings
and decision-makings. The knowledge gained from such inquiries is more a mental construction
and interpretation than a discovery of truth ‘out there’. My research made inquires through
the practice of creative production based on my professional experience. The knowledge base
derived from the experiments with visual styles is obviously constructed through participatory
practice.

2.2 Heuristics and reflexivity

As discussed in Chapter 1, this research is closely related to the field of practice-based research,
design research and art-based research.

Pedgely (2000, p. 113) discussed issues regarding practice-based Ph.D. programs in the field
of design. He addressed the importance of self-empirical inquiries, which are investigation
processes that faithfully reflect and record one’s own practice. These distinguish the research in
the fields of art and design from other types of research. Practice needs to be framed by theory
and by the work of other creative practices and practitioners. To form a contribution to a body of
knowledge, one must have a methodology for the recording of activities when one I engaged in
practice-based research, (Slager 2004).

In a broad view, my research is an art-based inquiry. It fits in with one of the traits of activist artists:


Toward a hybrid aesthetic

“use of mainstream media techniques (e.g., billboards, posters, subway and bus advertising,
newspaper inserts) to connect a wider audience and to subvert the usual uses of commercial
forms” (Finley 2005, p. 684). I use 3D computer animation as a form in mainstream production
media to represent a self-related narrative with an unconventional visual aesthetic.

McNiff (1998) proposed a framework of art-based research in the field of art therapy. Concepts
in his proposition are fruitful and underpinned the research in relation to creative activities.
Heuristics is essential to art-based research (Finley 2005; McNiff 1998). In regard to the definition
of heuristics, McNiff states:

The Greek word ‘heuriskein’ means to discover and find. Today heurism connotes a
method of learning through which knowledge is discovered through an inquiry based
upon the examination of personal experience (McNiff 1998, p. 53)

The heuristic research emphasizes direct and personal participation in the research process. This
research is a heuristic inquiry that concentrates on the examination of my experience on the
practice of the animation project. The inner-directed heuristic research helped to discover the
possible meanings underneath the self-expression narrative in my animation project, the reason
for selecting particular visual styles and how to solve the problem based on my experience.

Reflexivity is an essential characteristic in art-based research. Guba and Lincoln (2005) defined
reflexivity as :

The process of reflecting critically on the self as researcher…It is a conscious experiencing

of the self as both inquirer and respondent, as teacher and learner, as the one coming to
know the self within the processes of research itself. (p. 210)

A self-reflexive practice as a research activity in visual arts is “an inquiry process that is directed
by personal interest and creative insight, yet is informed by discipline knowledge and research
expertise” (Sullivan 2005, pp. 100-1). In this research, I consider my personal interest in the
creative production and use the knowledge and expertise in the animation discipline to achieve
the excellence of the project. I am also consciously aware of myself as both researcher and
respondent and as the one coming to developing artistic perspective within the processes of the
research.

Reflexivity is an overarching notion that can be applied to researchers who are also practitioners.
The activity of reflection-in-action in Schön’s (1983) proposition of reflective practitioner has
the characteristic of reflexivity. He considered that the knowledge of a practitioner is usually
intuitive and tacit. The skilful practice of professional practitioner is very similar to spontaneous
actions in our everyday life. Reflection-in-action is essential for reflective practitioners to

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 Methodology

obtain professional knowledge through their practices. Peter Jarvis (1999) further argued that
a reflective practitioner is actually a practitioner-researcher who conducts an individual and
subjective research on his/her own practice. In this project, I also considered myself to be a
practitioner-researcher consciously reflecting throughout the whole production practice.

McNiff (1998) also warned that the one-sided subjectivity is dangerous for art-based research
because of its limitation to personal experience. He stated:

The most difficult challenge for art-based research is the avoidance of the quagmires of
personal experience. Introspection must find ways to work collaboratively with empirical
data and make useful connections to things beyond itself. In my experience it has been the
objective presence of the art object and the physical process of art making, together with
an over-riding commitment to inquiries which are useful to others, which have helped to
check excessive self-immersion (McNiff 1998, p. 60)

The connection and collaboration of introspection with empirical data is the key to making this
research go beyond the artwork itself, and to avoid pitfalls of one-sided subjectivity. I use three
approaches to avoid the possible pitfalls. Firstly, I continued to record my technical processes and
results throughout the trial-and-error process of my art’s creation. Multiple versions of images
and preliminary tests were kept during my practice. Secondly, I reflected on key principles
derived from my practice and made connection to the usefulness, not only for my future practice,
but also for other artists or animators. Thirdly, I submitted my animation project to animation/
film festivals as an objective presence of the art object.

2.3 Toward a research model for production practice

Methodological models have been proposed to theorizing research in relation to the practice
of art and design. Models proposed for design projects (Noble & Bestley 2005, p. 47) usually
emphasize the solving of specific problems in a graphic design project. Gillian Rose (2007)
proposed a methodological approach for the interpretation of visual materials. The model
comprised of three parts of sites: production, image itself and audiencing. The ‘site of production’
consists of technological aspects. How art works are made is the major concern in this site. The
‘site of image itself’ includes a wide range of aspects from the content and meaning of images to
elements such as colour or light in the composition of images. The ‘site of audiencing’ includes
social, economic and political relations between images and audience. The boundary between
each site is not absolute. For example, psychoanalytical and semiological analysis are in both the
site of image itself and the site of audiencing. This model is useful for analysing and interpreting
visual materials in any form, from painting to moving images. However, Rose's model uses an
analytical approach to interpret and analyse existing art works within a broad range, including those

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Toward a hybrid aesthetic

works that are underpinned by social and political issues. I approach my research from an artist's or
practitioner's perspective, and explore how theoretical frameworks inform moving image productions.
The relationship between audiences and artworks in social and political contexts is beyond the
scope of this research.

Sullivan (2005) proposed a framework centred on art practice to theorize visual art research.
He claimed that “visual art can be seen to be a form of inquiry that is sound in theory, robust
in method, and capable of generating important creative and critical outcomes” (pp. 224-5).
A flexible model was built to theorize visual art research through practice and underpin the
argument that art practice is a form of research. A wide range is covered in this framework such
as methodological approach, criticism in cultural context and narrative discourse. I admire the
ambition of this attempt to establish a framework for the research in visual art within such a
broad scope, and agree that art practice can be seen as the centre of a research. Nevertheless,
within the scope of my research, my intention is to consider the theories regarding research
activities centred on the practice of moving image production.

In the discussion of methodological approaches in the framework of art-based research, McNiff

(1998) stated:

Theoretical explanation, practical application and comparisons to the work of others,

will emerge naturally from the experimental work in the studio (p. 147).

Theoretical explanation, practical application and comparison to the work of others are three
major activities in art-based research. As for a practitioner-researcher, research approaches are
similar to the research activities in art-based research. These approaches are highlighted and
described for reflective practitioner to engage in research (Jarvis 1999, p. 71). Repertoire-building
research accumulates and describes useful examples of reflection-in-action by primarily using
case studies. This research activity is basically the comparison of the work to the work of others.
Research on fundamental methods of inquiry and overarching theories is an activity in search of
theoretical explanation. Research on the process of reflection-in-action (in practices) describes
the activity of practical application.

Producing a film or animation as a main project of research has special concerns. Firstly, the
production time is usually longer, and the production process more complicated, than those in
fine arts such painting or ceramic. The production of animation is especially time-consuming. The
extreme example is The Passenger (2006), a single project of 3D computer animated short seven
minutes in length. It was produced by Chris Jones over a period as long as eight years (Jones
2006). I therefore suggest that to concentrate on one project of film/animation is reasonable for

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 Methodology

research based on moving image.

Secondly, research on moving images production usually involves multidisciplinary fields

including narrative concept, ways of representing ideas and production techniques. To organize
such a broad range of research topics, one needs a considered approach. I suggest that organization
can be based on the content of a film, aesthetics to represent the idea and technical issues. Through
the combination of methodological notions in art-based research and practitioner-researcher
discussed in previous section, I propose a methodological model to organize multidisciplinary
materials for a research that centres on a moving images production practice:

Figure 4 A research model for production practice

In this model, content, aesthetics and process are three essential elements for research upon
production practice. The three subsidiary research questions underpinning my major production
problem addressed in Chapter 1 are framed to make inquiries regarding the content, the aesthetics
and process aspects. The three aspects are overlapped and interrelated as the diagram indicates.
Furthermore, derived from the concept of art-based research (McNiff 1998), theoretical
explanation, practical application and comparison to the work of others, are three major activities
used to answer the questions framed in this model. The three activities are discussed later in this
section.

The content, aesthetics and process in the centre of this model can also be extended to organize the

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Toward a hybrid aesthetic

multidisciplinary fields for research that is centred on the practice of moving image production. I
organized the fields and topics for my research in the following diagram:

Figure 5 Use the research model to organize fields of study

The grey ovals extended from content, aesthetics and process are fields and special topics that
are discussed in this exegesis. This flexible model is derived from the notion of mind mapping
which visualizes conceptual ideas (Gray & Malins 2004, pp. 107-8). This also fits within the
constructionist paradigm in which the knowledge is constructed. The links between circles of
fields or specific notions indicate the interrelation of them.

This exegesis is thus structured as the content, aesthetics and process aspects of animation
production, with multiple extended areas as shown in Figure 5 through which the three research
activities will seek to answer the research questions.

2.3.1 Theoretical explanation

The theoretical explanation is used to explore the theories in relation to production practice and
to contextualise my animated artwork into existing aesthetic concepts. Reviewing the textual

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 Methodology

materials is a basic activity for most of the research. The term ‘literature review’ is defined as
“a systematic, explicit, and reproducible method for identifying, evaluating and synthesizing
the existing body of completed and recorded work produced by researchers, scholars and
practitioners” (Fink 2005, p. 3). Since my research is centred on the practice of a creative
production, the reviewing needs to include not only literature, but also other animated art works.
Interdisciplinary documentation and visual materials are reviewed in relation to the content,
aesthetical and technical aspects as demonstrated in the model proposed in previous section
(Figure 4). In the discussion of literature review in art-based research, McNiff (1998, p. 155)
suggested:

…locating a comprehensive literature review at the beginning of research project can

sometimes restrict the process of creative discovery. It is also possible that the academic
tone projected by a literature review may restrict a more creative use of language in an
art-based study.

I reviewed textual and visual materials in parallel with my practice during my animation project
and after the project was completed. The reviewing of visual materials of other animations often
inspires me with ideas for creative production. Textual reviewing helps critical thinking but
seldom inspires production. The connection of the reviewed texts and visual materials with my
practice was conducted after the project was completed.

2.3.2 Comparison to the work of others

To locate my own practice within a broader aesthetic context, and to support the theoretical
explanation, I used the research method of comparing my work to the work of others. I also
compared and referenced other artworks throughout the production phase for the creation of
unique visual styles. Visual referencing is further discussed in Chapter 4.

I use a case study in Chapter 3 for comparison to the work of others and to investigate the
issues regarding the dream-like quality in a specifically selected animation for comparison with
my work. The case study is one important methodological approach in social science research.
There is no definition of a case study that has gained universal agreement (Jarvis 1999, p. 76).
A case is “a single instance or example of something” (Gray & Malins 2004, p. 117). Blaikie
(2000, p. 215) quoted Goode and Hatt’s (1952) definition of case study as “a mode of organizing
data in terms of some chosen unit, such as the individual life history, the history of a group, or
some delimited social process”. Jarvis (1999, p. 77) defined case studies as ”both the process
of learning and research about the specific phenomenon or phenomena under investigation and
about the product of that learning and research”. The specific phenomenon refers to a specific

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Toward a hybrid aesthetic

case. He further claimed that, “case studies are conducted primarily by practitioner-researchers
in relation to their own practice”. The case study and comparisons to other artworks also helped
to locate my animation within a broader cultural and aesthetic context.

2.3.3 Practical application

Scrivener (2000) has identified two major types of practice-based doctoral research project. One
is called the problem-solving project and the other is the creative-production project. In problem-
solving project, researcher set ups a purpose or identifies a design problem to solve. The Artifact
is a demonstration of the solving of the problem, and the knowledge gained from the problem-
solving is transferable. In a creative-production project, the researcher produces an Artifact in
relation to a cultural issue or personal interest. The Artifact contributes to human experience
instead of the body of knowledge. The norms of problem-solving and creative-production are
listed below.
Table 1 The norm of problem-solving project in practice-based research derived from
Scrivener (2000)

Problem-solving project
Artifact is produced
Artifact is new or improved
Artifact is the solution to a known problem
Artifact demonstrates a solution of problem
The problem recognized as such by others
Artifact (solution) is useful
Knowledge reified in artifact can be described
This knowledge is widely applicable and widely transferable
Knowledge reified in the Artifact is more important than the Artifact

Table 2 The norm of creative-production project in practice-based research derived

from Scrivener (2000)

Creative-production project
Artifacts are produced
Artifacts are original in a cultural context
Artifacts are a response to issues, concerns and interests
Artifacts manifests these issues, concerns and interests
The issues concerns and interests reflect cultural preoccupations
Artifacts contribute to human experience
Artifacts are more important than any knowledge embodied in them

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 Methodology

My project has characteristics of both the creative-production and problem-solving types of

research project. In a broad view, my animation is a creative-production project. The story idea
originated from my personal interest and the 2D graphical styles that I chose for the animation also
emerged from my personal artistic instinct and professional experience. However, the production
of a 2D graphical style in 3D computer environment also presents a major technical problem
in both industry and academia (discussed in section 3.3.3). In the production of each section
of the story, I set up an initial goal of a specific visual look in order to develop specific visual
styles. I did this by referencing a pre-selected traditional 2D hand-drawn animation, or certain
visual styles such as watercolour painting. The way I overcame the technical issues fits into the
problem-solving norms described by Scrivener (2000). Strategies and ideas are generated from
the problem-solving processes through reflection and reflexivity. The strategies and ideas used to
achieve specific visual styles are transferable to my future practice and to other animators/artists
who intend to create similar visual styles. Thus my research contributes to human experience
as a creative-production project, and at the same time contributes to the body of knowledge by
providing strategies and ideas that may be used to solve design problems.

For the problem-solving aspect, I use an action cycle to achieve desirable images and to generate
knowledge in the animation production. Jarvis (1999) suggested that a reflective practitioner
conducts reflective planning, reflection-in-action and retrospective reflection upon practices
before, during and after actions of practice. I apply the following action cycle to reflect my
practice:

Figure 6 An action cycle of practice with reflection

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Toward a hybrid aesthetic

The cycle starts at the reflective planning stage with pre-selected visual references such as
specific 2D animation style. It is followed by the trail-and-error experiment and evaluation.
If the desirable result is not reached, the cycle continues. When the desired result is achieved,
retrospective reflection on the practice experience generates strategies for future application.
Recording reflection during practices of action cycles is essential to research. My reflective
journal was the major method I used to record my reflections, and is discussed in the next
section.

2.4 Methods

I use specific methods to record the reflections on my practice, to analyse works of others, to
present conceptual ideas and to produce my art works.

2.4.1 Reflective journal

The reflective journal is a major method used to record reflections and thought in this research.
The reflective journal is “a purposeful process and framework for helping to expose and
explore various models of practice, encourage interdisciplinarity and collaboration, extend
professionalism and have more effective conversations with ourselves” (Gray & Malins 2004,
p. 113). Scrivener (2000) suggested that the problem-solving project and creative-production
project can be recorded in different manners. A record of reflection for a problem-solving project
focuses on the reusable ‘know-how’ of the solution for the problem but not on the problem
solving process itself. The recording of reflection for creative-production project, on the other
hand, focuses on subjective issues and concerns of human experience. As discussed in previous
section, my project has both creative-production and problem-solving characteristics. I recorded
my personal concerns for the animation production and the technical solutions for each preset
visual goal.

The reflective journal functions in my research in the following ways:

1. Taking notes while reading related documents.

2. Recording thoughts while viewing visual materials.

3. Developing ideas and concepts for the narrative of animation project

4. Quick sketching ideas for visual elements such as characters or environments for the
animation project.

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 Methodology

5. Recording technical problems during production of the animation project and documenting
solutions of problems.

Examples of my reflective journal are presented in Appendix C.

2.4.2 Observation

I apply observation to achieve desirable visual results in the action cycle (Figure 6) and to analyse
other artworks in reviewing and the case study. Observation is “to watch something/someone/
an environment/situation closely and accurately record in some way the activities/situation in
order to capture data relevant to the research project issues” (Gray & Malins 2004, p. 106).
Observation, marked as ‘the good eye’ by Rose (2007), is essential in the analysis of any work of
art. This analysis includes the visual components of an artwork, the meanings expressed through
the artwork and the techniques used to make the art work.

2.4.3 Visualization

I use visualization as a method to present conceptual ideas with diagramatic forms such as the
model I proposed in section 2.3. Visualization is a method for “making visible ideas through a
range of techniques in order to explore research project issues and/or present research findings”
(Gray & Malins 2004, p. 107).

2.4.4 Production techniques

Production techniques were used to produce the animation project: Sophie’s Secret. A variety
of techniques and skills were used in the animation production. They range from hand drawn
sketching to the application of computer graphic programs. These production techniques can
also be seen as methods to generate data in this research. They are discussed in Chapter 4 and
Chapter 5.

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 Content

Chapter 3

Content as a dream-inspired story

In this chapter, I start with a review of theories including psychoanalytical and biological
studies on dreaming. I then discuss the relationship between dreams and moving images to seek
notions that will inform my production. Finally, I link the dreaming to narrative structures that
significantly influence the storytelling in my project and other animation productions.

3.1 The nature of dreaming

In general, dreaming is “the images and thoughts that are experienced during sleep” (Gregory
2004). From the current scientific point of view, the human mental status is described as a
continuum from focused waking thought to dreaming (Hartmann 2007) as shown in the following
diagram:

Looser
Focused Day-
Waking
Waking Dreaming
Thought, dreaming
Thought Reverie

Figure 7 A Continuum of Mental Functioning by Hartmann (2007)

Dreaming is the loosest mind status, represented at the far right of this continuum and inevitably
overlaps a part of the day-dreaming section. This is what I will refer to as ‘dreaming’ and ‘dream’
in the discussion.

Established by Sigmund Freud in early 20th century, psychoanalysis is probably the earliest
theory that utilized the analysis of dream content for the therapeutic purposes of exploring
and resolving unconscious conflicts (Coon 1998). In The Interpretation of Dreams (Freud
1976/1900), Freud refers to dreams as “the royal road to the unconscious”. One fundamental
assumption in psychoanalysis is that dreams reveal unconscious information, which is repressed
during our daily lives. Dreams can be interpreted to solve any inner conflicts that are buried
in our unconscious. The images of dreams, the ‘manifest content’, are transformations of the

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hidden wishes in our unconscious. Freud called this, ‘latent content’. He believed that the process
of dreaming, the ‘dream work’, is to disguise our hidden wishes in images we experience in
dreams. Our current dreams ‘hidden wishes’ can be traced all the way back to our childhood.
Following Freud’s theory, Jung (2002/1974) also considered that dreams are important messages
from the unconscious. Jung claimed that dreams are not simply the fulfilment of repressed
wishes, as was Freud’s view. Dreams also reflect the truth or reality of individuals and even
extend beyond individuals’ psyches to the world of the collective unconscious (Snowden 2006).
Collective unconscious is “…aspect of the unconscious shared by all…this was assumed by
Jung to be inherited and transpersonal and, in his conceptualization, to consist of the residue of
the evolution of our species” (Reber & Reber 2001). The notion of collective unconscious can
be further linked to myth, which is discussed in a later section.

Both Freud and Jung emphasized the importance of symbols for the analysis of dreams but
their approaches were different. Freud believed that symbols have global meanings and can be
interpreted individually to reveal the ‘latent content’ underneath the ‘manifest content’. Freud
believed that the understanding of ‘latent’ dream thought is the key to read the unconscious.
However, Jung stressed that the interpretation of symbols needs to be put in the context of the
individual’s life and the society within which he or she lives. He believed that there are multiple
meanings for a symbol (Snowden 2006). The notion regarding symbol and symbolization
significantly informs the storytelling in moving images as it does in my animation project.
Symbolization in moving images is discussed in the next section.

The biological study of dreaming reveals measurable facts about dreaming in relation to
activities in our brains. Such study began in 1953 when scholars discovered the cycles of human
sleep (Winson 1990). In brief, we go through four to five cycles of sleep at night, these cycles
consisting of two basic types of sleep (Gregory 2004). One is called rapid eye movement (REM)
sleep and the other is non-rapid eye movement (NREM) sleep. More dreams were reported
in REM period and the contents in this period of dreams are more dramatic or bizarre. Fewer
dreams, with simpler content, were reported in NREM periods of sleep.

Although psychoanalysis and scientific based research about dreaming have formed very different
grounds for explanation of the nature of dreams, I intend to identify characteristics about dreams
and dreaming in both fields. Biological studies have formed more testable accounts regarding
what dreaming is, and have pushed the psychoanalytical explanation to a metaphysical level. On
the other hand, scientific studies seldom provide answers for the ‘why’ questions in the way that
psychoanalytical studies do. I have identified, within both psychoanalytic and scientific studies,
two overarching characteristics within the state of dreaming: emotions and bizarreness. These

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 Content

two characteristics can also be found in films and animations that present a dream-like quality,
as I will discuss later in this chapter.

Emotion has been broadly considered as a basic driving force for dream content in both
psychoanalysis and scientific research. Over several decades, Hobson and his dream studies team
collected dream reports from various resources, including sleep laboratories, and established an
hypothesis called activation-synthesis theory (Hobson & McCarley 1977). They concentrated on
brain activations and chemical environment during sleep in relation to dream content. Hobson
claimed that dreams are random signals produced by brain activities during sleep, that they are
possibly meaningless and that psychoanalytical interpretations are not supported by scientific
evidence (2005). However, the importance of emotion in dreaming is the only point on which
he agreed with Freud:

…we see that Freud was correct in his basic assumption that dreams are (in part) driven
by instinctive force (emotions) and that these emotions are loosely connected to mental
content (p.132).

Emotion being a driving force of the dream content is also significant in Hartmann’s Contemporary
theory of dreaming (1998). The basic idea in the theory is that in dreaming, the neural system
in our brain makes connections more broadly and more loosely than in waking. This process,
which he referred as hyperconnective process, is not random but is guided by emotions. The
major function of dreaming is the contextualization of emotions. In dreaming, our brains seek
to connect experiences in our memories with similar emotions we encounter in our daily lives.
Although we do not experience strong emotion in every dream, the dreams that impress us most
are often those in which we experience strong emotions.

Bizarreness is another characteristic in dream content. Although a statistical report indicates

that such bizarreness in dreams does not happen as often as we believe (Barrett & McNamara
2007), the scenarios of strange dreams have the greatest impact on most people, and are often
the most memorable. Psychoanalytical explanations about bizarreness usually contend that
the ‘dream work’ disguises our hidden wishes through mechanisms such as symbolization and
condensation. These mechanisms are discussed in the next section and are linked to art creation.
In Hartmann’s theory based on scientific discovery, the hyperconnective process in dreaming
explains the bizarreness of dream content. That is, it is not specifically the content, but rather
how such content elements are connected, that creates bizarre scenarios. The loose mind status
with broad connective activities in our brains creates the bizarre scenarios we seldom conceive
of in our waking lives. The loose conscious state in dreaming also possibly contributes to the
feeling of unfamiliarity and bizarreness. Hobson (2005) identified five cognitive features in

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dreaming, especially in the period of REM sleep as described before:

1. Loss of awareness of self

2. Loss of orientational stability

3. Loss of directed thought

4. Reduction in logical reasoning

5. Poor memory both within and after the dream

In the case study of a feature length animation, Millennium Actress (2001), in section 3.4, I
used these cognitive features to examine the protagonist character’s state of mind because some
scenarios in this animation are similar to our sense of dreaming.

The strong emotional impact and bizarreness in some dreams are most likely the reasons that
they inspire me, and many other artists, in our art creation. For example, David Lynch’s dream-
inspired animated short, Alphabet (1968), presents a bizarre scenario where the images of
abstract, symbolic figures giving birth to alphabet and live woman are mixed with sound effects
of baby’s crying and the woman’s singing to express a mood of fearsomeness (Lynch 1997). In
the next section, I will explore the relationship between dream and art creation, especially in
moving images.

3.2 Dream and moving images

Dream has inspired many artists in their creation of artworks including painting, sculpture,
architecture, music and filmmaking (Hartmann 1998). It is the area of filmmaking that I have
concentrated on, exploring the relationship between the act of dreaming and animated moving
images.

For Curry (1974), dreams and film have been connected in a philosophical point of view:

In general our dreams simply seem more cinematic than our days…Dreams are
characterized by spatial-temporal discontinuities that are very like cuts in a film (p. 83).

He related the dream and cinema for the discontinuity of time and space. Dream has also been
related to some film directors for their imagery and storytelling (Pagel, Kwiatkowski & Broyles
1999). For example, Ingmar Bergman credited dreams as parts of the subject in film production,
and Bergman, Fellini and Kurosawa produced films that are described as ‘dreamlike’. The main
theme in Fellini's 8 1/2 (1963) is about a director's retreat into his dreams to find inspirations for

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 Content

his film productions. The scenes in this film present a bizarreness and discontinuity which are
very similar to our experience in dreams. Kurusawa's Dreams (1990) includes stories base upon
the director's actual dreams.

The notion of dream interpretation in psychoanalysis has profoundly influenced the field of
film studies. The film industry has been analogised as a ‘dream factory’ (Powdermaker 1950)
and films were analogised as dreams that were waiting to be interpreted (Metz 1982, p. 14).
From 1960s to 1980s, not only Freudian psychoanalysis, but also theories developed by Jacques
Lacan, a French psychoanalyst, were widely applied to film studies (McGowan & Kunkle 2004).
These studies form a branch known as psychoanalytic film theory. Scholars in this branch such
as Metz (1982) and Mulvey (1975) intended to establish a theory to explain how moving images
influence spectators’ minds with notions informed by psychoanalysis. For example, spectators’
identification with characters in films is the major part of the process when they watch and
engage with movies (Andrew 1984). This process is an invocation of the infantile ‘mirror stage’,
which is a mental developmental stage at which an infant identifies his/her image in the mirror.

A number of scholars have studied film from the point of view of cognition and rejected the
psychoanalytical approaches. Prominent cognitivists such as Bordwell (1996) and Carroll
(1996) intended to reconstruct film studies in a more empirical, subject-oriented manner instead
of establishing a theory to explain all aspects of film viewing through psychoanalytic film theory
(Currie 2004). One basic assumption in cognitive theory is that we respond to cinema in the
same that we respond to reality, so there is no need to be concerned about deep unconscious mind
states such as the ‘mirror stage’, which are so important in psychoanalytic theory. In cognitive
film theory, the feeling of empathy was positioned as central to the experience of film, not the
notion of identification in the psychoanalytic paradigm.

Cognitive film theory seems to make more sense as an explanation of film viewing. However,
in the context of filmmaking, Freudian psychoanalysis, especially the ‘dream work’ mechanism,
informs film production significantly. Gabbard (2001, pp. 5-12) outlined methodologies that
have employed psychoanalysis in film studies. Some methodologies are for the purpose of
exploring the underlying cultural phenomena, while others are for the analysis of spectatorship
as in psychoanalytic film theory. These methodologies fall outside the scope of this research.
However, I focus on Gabbard’s first methodology, which is the application of Freud’s ‘dream
work’ to convey meanings in moving images. Condensation and symbolization are the two major
mechanisms of ‘dream work’. They are significant concepts applied in many film productions
including my project.

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Toward a hybrid aesthetic

Since the story of my animation is adapted from a dream, I focus on the interpretation of
symbolic meanings underneath the original dream and modified story ideas. I draw on concepts
in psychoanalysis developed by both Freud and Jung. I used Freud’s notion of ‘dream work’ such
as symbolization and condensation to interpret the content of the dream. In some aspects, I am
in favour of Jung’s point of view. Firstly, the interpretation needs to be placed in the social and
cultural context of the individual’s life experience. Secondly, a single symbol can be interpreted
in different ways beyond the Freudian interpretation, which is mostly related to sexuality. The
purpose of interpretation is to discover the message from unconscious in the individual’s current
life for the purpose of therapy. In the animation, I expressed my ideas through symbols, and at
the same time used symbols to open the narrative to other interpretations that viewers may have,
based on their life experiences.

3.2.1 Symbolization

Symbolization defined as a psychological term is “an unconscious idea (is) expressed in the
form of a different idea, object, image or concept” (Colman 2006, p. 744). Freudian symbolism
relates mostly to sexuality. For example, elongated objects such as sticks are symbols of male
organ and hollow objects such as vessels are symbols of female sexuality (Robbins 2005).
Sexual symbols are very often seen in paintings and sculptures (Adams 1993). However,
Robbins (2005) suggests that symbols in dreams may have meaning beyond that of the sexual.
Individual cultural experience also needs to be considered for interpretation. Thus, symbols in
an artwork can convey multiple meanings according to both the artist’s and the viewer’s cultural
experiences. Symbols are also often seen in films (Giannetti 2002) and animation (Wells 1998)
to convey meanings in narrative. Halpern (2003) reviews examples in which popular symbols
were applied in dream themes in cinema. For example, “mirrors reflect a repressed self-image”
and “apples reveal innocence corrupted” (Halpern 2003).

In my animation project, I used symbols to convey meanings. The worm is possibly the most
significant symbol in this animation. If Freudian psychoanalysis is applied, the worm could
be interpreted as a phallic symbol because of its shape. In my wife’s original dream, it was
a bug similar to a cockroach that penetrated her body. I changed it into a worm to make it
visually stronger in the script. The process of penetration is likely viewed as a symbol of sexual
behaviour. The feeling about the secret of the worm inside is possibly the anxiety or the confusion
about sexual development, or the search of identity that can be dated back to life experiences
in adolescence. The adolescence is a “culturally defined period during which we move from
childhood to acceptance as an adult” (Coon 1998, p. 138). Moving from role confusion to role
identity is an important achievement in adolescence (Sdorow 1998, pp. 132-3). Children’s values

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mostly reflect their parents’, but adolescents’ values are influenced by both their parents and
peers. The conflict between new developing values and old values tends to make adolescence an
unstable period. Sexual development is also an important phase in adolescence, while adolescents
frequently keep secrets from their parents (Frijns et al. 2005). Sexual behaviour and confusion
in sexual development are likely to be issues that adolescents keep secret from their parents.
The emotional issues related to identity development, and the sexual development of teenagers,
are especially common adolescent problems in the relatively conservative eastern society where
my wife and I grew up in 1980s. Communications are often compressed between adolescent
and parents during the period of middle school and high school, due to the highly competitive
pressure of education. Girls are also under pressure to succeed and to win. This provided the
reason for my choice of a teenage girl to portray the protagonist in the animation.

However, according to Jungian interpretation, a symbol can be interpreted in different ways

by placing it into the context of an individual’s life. The dream occurred in the third month
after my wife and I moved to USA in November 2001. It can also be interpreted as an anxiety
stemming from the change to a new environment, or even her new identity being developed in
the new world. From this viewpoint, the worm is a symbol for the changes in life. Moreover,
according to the Contemporary Theory of Dreaming proposed by Hartmann (1998), dreaming is
a broad connection-making (hyperconnective) process guided by emotion in our neural system.
The function of the process of making-connections is to contextualize the new emotion into our
memory by integrating new experience into existing knowledge. From this point of view, the
anxiety about the changes of life in USA or new identity was possibly connected to the similar
anxiety in the experience of adolescence. At the end of the story, the worm changes into a
butterfly. The metamorphosis is a metaphor of the changes during the adolescence period. Other
symbolic meanings conveyed by visual elements and transition are discussed in Chapter 4 and 5,
along with the aesthetic development and production processes for this animation project.

In the later phase of the story, Sophie realizes that everyone, including her parents – and even the
dog – has worms inside them. Other than being regarded as a sexual symbol, the worm can also
be a symbol of the true inner nature of individuals since everyone has a worm inside. The true
inner nature can be vicious, as in the form of worm, or good, as in the form of butterfly. In the
end of the story, combining all the symbolic meanings discussed above, Sophie overcomes her
anxiety regrading her sexual development, establishes her role identity, accepts her true nature
and starts her relationship with a boy.

Sophie’s parents are portrayed as pigs to symbolize parental neglect. They are not necessarily
bad parents, but reflect stereotypical parents, especially in Eastern society. They care more about

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academic performance than emotional issues. The pig figure also implies the communication
problem between the teenage girl and her parents. I also use pig figures of parents as homage
to one of my most respected animation directors, Miyazaki. In his work Spirited Away (2004),
Chihiro, the protagonist girl, saw her parents transform into pigs after they ignored Chihiro’s
warning and ate foods in the spirit world. The overt reason of parents’ turning into pigs is their
punishment for eating the forbidden foods, which are set out for spiritual beings (Drazen 2003a,
p. 278). The relationship of Chihiro and her parents also reflects and implies the problem in the
contemporary Japanese society (Napier 2005, pp. 181-3), in which the relationship between
parents and children is often psychologically remote with their only connection being materiality.
From the beginning of the film to their transformation into pigs, the parents show their neglect.
They are uncaring of Chihiro’s nervousness about the new house and the strange environment
and arrogantly believe that money can solve any problem, from the arrangements of moving
to new house, to eating foods in the spirit world without asking in advance. In Eastern culture,
the pig is often a symbol of laziness, dullness and obsession with materiality. In this film, the
pig may symbolize the unloving, unsupportive and materialistic types of parents. I used the pig
parents in my animation as symbols of mental remoteness between Sophie and her parents to
reflect the typical relationship between parents and adolescent children in Eastern society.

3.2.2 Condensation

Condensation, as a ‘dream work’ mechanism in psychoanalysis, is defined as “combining several

people, objects, or events into a single dream image” (Coon 1998, p. G4). Condensation and
displacement has been applied to traditional painting long before the history of psychoanalysis.
The application in Christian art centuries ago was often a juxtaposition of visual elements from
various times and spaces (Adams 1993, p. 122). Halpern (2003) discusses a wide range of
aspects in regard to dream and film. She points out that in dream themes of movies, bodies and
faces from different characters were often condensed together to form special meanings to the
dreaming characters in movies. Wells (1998) has established a framework of animation theory
in which many aspects such as narrative and aesthetics are discussed for animation as an art
form. Condensation is one of the narrative strategies for storytelling in animation. It works in
two different ways. One is to condense the time and space between shots and scenes as in other
moving image formats. The other is to express a comic effect through the construction of visual
and/or verbal elements. This is unique to the form of animation. I suggest that utilization of
condensation in moving images can be framed on two levels. One is the imagery level, where
visual elements such as face and body can be condensed together, which is similar to the example
in painting. The other is the narrative level, where events happening in different times and spaces
can be condensed together for story telling purposes. Some animations such as Tale of Tales

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(1979) and Even in Dreams (2007) present a discontinuous, dream-like quality through the use
of condensation.

In my animation project, condensation works on both the imagery level and the narrative level.
On the imagery level, condensation is applied to combine visual elements. For example, pig
and parents were condensed to convey a symbolic meaning as discussed earlier. In the scene
of Sophie’s nightmare, her head is condensed to a worm to display the horrific images in her
dream after she saw the worm piercing from her parents. On the narrative level, condensation
is applied, for the purpose of the story, so as to connect events happening in different times and
spaces.

3.3 Dream and narrative structure

Whether dreams have a narrative structure or not has been an extensive topic of research. Jung
(2002/1974, pp. 82-3) claimed that many dreams have a dramatic structure with four phases.
The first phase is the exposition, which consists of a spatial and temporal setting, the characters
involved and the initial situation of the dreamer. The second phase is the development, in which
the situation becomes complicated and tension is growing. The third phase of the dream brings
culmination, where things change completely or a new situation emerges. The final phase is
solution or result, the final situation or solution sought by the dreamer. This structure is similar
to the classical three acts structure consisting of beginning, middle and end.

The three acts structure consisting of setup, confrontation and resolution is shown as the following
figure:

25% 50% 25%

Midpoint

ACT 1 ACT 2 ACT 2

Setup Confrontation Resolusion

Figure 8 Three acts structure

The story structure in my animation fits in well with the three acts structure although I did not
consciously plan this when I developed the story. In Sophie’s Secret, the setup stage can be
seen to start with the girl walking on the street and her encounter with the worm. This stage
ends with the worm penetrating the girl’s body. She walks away because of the dog’s bark. The

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length of this part is about one minute and thirteen seconds, roughly 24% of the total length.
The confrontation stage starts as she walking in the city with other people. She is struggling,
fearful of other people’s gaze. She also goes through her parents’ neglect and discovers that her
parents have worms inside them as well. This stage ends with her waking from the nightmare in
which she transforms into a worm. The length of this part is about two minutes and twenty-seven
seconds. It is roughly 48% of the total length of the animation. The last stage, resolution, starts
with the girl being inspired by the worm in the apple. She realizes that everyone has a worm
inside them. The length of this part till the end of the story is roughly one minute and twenty five
seconds. It is about 28% of the total length. The length of each stage also basically matches the
three stage structure as shown in Figure 8.

I further examined the relationship between dreams and narrative using recent research literature
where the investigative approach was scientifically based. Kilroe (2000) explored the relationship
of dream and textual narrative through the investigation of text dream reports. She drew on
definitions of narrative from narratologists such as Toolan (1988) and Todorov (1969) to examine
the proposition that dreams are narrative. The findings indicate that some dreams “conform to
the general characterization of narrative as ‘the representation of ... events and situations in
a time sequence’ (Prince 1982)”. They also fit in with Jung’s four phases with the beginning,
middle and the end. On the other hand, other dream reports “seem to resemble snapshots more
than stories”. She concludes that “dream texts will vary in their degree of narrativity, ranging
from fragmentary snapshot to epic tale”. This conclusion implies that, although dream content
is possibly a good resource for storytelling, elements derived from dreams need to be refined or
sometimes reconstructed in order to tell a compelling story that will engage audiences.

In the animation project, I adapted and modified the story from the original dream to form a
clear storyline. As explained in Chapter 1, my wife’s dream inspired me to write the script for
a scriptwriting class in 2002. The original script is close to the dream described by my wife. I
considered that the story in the original script would be confusing because the gaps in the story
between each scene are considerable. I modified the original script into several versions and
finally came up with a narrative that satisfied me. The original script and the final version of
modified script are attached in Appendix A. The major modification is the ending of the story
and an addition of a scene to show the protagonist dining with two pigs. The pig figure was used
to express the symbolic layers of meaning that are discussed earlier in this chapter. The main
challenge in the early stage of concept development was the determination of the ending. The
original story is a horror tragedy, in which the girl ends up transforming into a worm. Since the
idea of transforming and metamorphosis of main characters was used as an ending in my previous
production, Outside In (2004), I wanted to have a more meaningful ending in Sophie’s Secret

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project, rather than produce a standard horror tragedy with simple metamorphosis. Moreover,
I also wanted to devise a more optimistic ending, because this is a story of a girl’s growth and
improvement. An alternative ending is that the protagonist girl walks alongside a boy. The final
shot reveals that both of them have worms inside their body. In March, 2007 I came up with
an idea for the ending, in which the worm grows a pair of wings to become a butterfly and
carries the girl away in the air. I was satisfied with this ending since it combined the original
idea of metamorphosis and the alternative ending, in which the girl changes and grows from the
situation of having a worm inside her. The change and growth is expressed through the symbol
of metamorphosis. With this modification, I had moved the ending away from a horror tragedy.

I made some minor modifications in storyboarding stage for storytelling purpose. A dog was
added in the first scene. It barks at the girl after the worm penetrates into her body. The dog’s
bark works as a narrative device. It connects and transits the girl’s emotion from the shock of the
worm’s penetration, to the embarrassment of her weird situation. It is an alert for the girl to cover
the hole in her chest because other people may also have seen the penetration and the hole. On
a symbolic level, it also draws attention to the girl’s growing self-consciousness in adolescence
development.

Another modification is in the scene where the girl talks with the worm in her own room.
According to the original dream, the setting is that the girl talks with the worm joyfully.
However, in my animation, the attitude of the girl toward the worm is confused and repugnant
at this stage. I changed the scene into her struggling to pull the worm out to show her inner
conflict and ambivalence regarding her changed state of being. This added dramatic tension to
my animation.

Dream can also be linked to the mythic story structure. Jung proposed that the collective
unconscious revealed in dreams was represented as a form of myth by primitives across cultures.
Clift and Clift (1989) suggested that dreams can be further understood through the ‘monomyth’
structure proposed by Campbell (1968). Influenced by Jung’s theory, Campbell analysed myths
around the world and found a universal pattern that he called ‘monomyth’, and referred to as ‘the
hero’s journey’. Although the existence of a universal pattern in myths can be seen as culturally
specific, the ‘monomyth’ structure has had a great influence on screen writing for films (Vogler
1998) and storytelling in film productions such as Star Wars (Campbell, Cousineau & Brown
1990, pp. 180-1). The hero/heroine ‘stars’ in movies are usually the main attraction of audience.
Characters are often central to stories in animations. The storyline in my animation project also
partly fits into this structure. The basic diagram of ‘the hero’s journey’ derived from Vogler
(1998) is shown in the following Figure 9:

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Basically, the hero’s journey starts with separation, in which the hero leaves the world with
which is familiar and moves to a mysterious realm. The hero then goes through the phases of
descent and initiation, where the hero battles and suffers difficulties. The last phase is when the
hero returns with rewards from the completion of the quest.

The storyline of my animation can be regarded as Sophie’s journey to greater awareness. The
obstacle of her journey is her inner conflict rather than external difficulties. The event that triggers
this journey is the penetration of her body by the worm. Considering the pattern of the hero’s
journey displayed on Figure 9, Sophie shows her confusion when she first sights the worm. She
expresses her curiosity and interest by bending her body down. This sequence is similar to the

Figure 9 Diagram of Campbell’s ‘the hero’s journey’ derived from Vogler (1998)

process from the refusal to acceptance in the first phase of the hero’s journey model. Mentors are
not obviously seen in my animation. The worm seems to be the ordeal for Sophie but it turns out
to be a helper at the end of the story. The tests and difficulties are mostly from her inner conflicts
and imaginings so the return phase is also not obvious. The elixir is the beautiful butterfly that is
transformed from the worm after she resolves her inner conflicts.

Although the same ‘monomyth’ pattern applies, the different gender of the hero/heroine results

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in a significantly different transformation. Donaldson (1987) uses two contemporary textual

examples of heroines to show how Campbell’s ‘monomyth’ structure differs in the personal
transformation between the genders. Clifts (1989) describes this difference based on Donaldson’s
proposition:

It probably is also true that there is a generalized pattern, which might appropriately
be called a “masculine” journey, which moves from hubris to humility, and that there is
another generalized pattern, which might appropriately be called a “feminine” journey,
which moves from humility to self-affirmation (p.34).

Since the protagonist in my story is a girl, the story in my animation seems well fitted to the
‘feminine’ journey in which the heroine moves from humility or even the feeling of humiliation
to self-affirmation. Sophie moves from the feeling of embarrassment about the secret worm
inside her, to self-affirmation, by realizing that everyone could have a worm inside. There are
two other animated short projects with dream-related content I have found also feature female
protagonists. The dreamer in David Lynch’s Alphabet (1968) is a female. It is a horror tragedy
that the protagonist girl is severely tortured by her nightmare about alphabet. It does not fit to the
‘monomyth’ structure nor ‘feminie’ journey. On the other hand, the light-hearted animation short
Even in Dreams (2007) presents an anxiety of extramarital relations (or the desire of it) from a
feminine point of view. More or less it fits to the ‘feminine’ journey where the female protagonist
moves from solicitude to confirmation of her mind.

3.4 Millennium actress: a case study

Millennium Actress (2001) is a feature length Japanese animation directed by Satoshi Kon. The
major intention in this case study is to show how the dream-related theories discussed in this
chapter can be used to explain the dreamlike quality presented in this animation. I also intend
to examine whether the notion of the ‘feminine journey’ can be applied in this animation as a
comparison to my animation since the protagonists are female in both.

Satoshi Kon has been renowned for unique storytelling in animation since his debut feature
length animated film, Perfect Blue (1997), was screened. The stories in his animations are “very
different from most of conventional anime in which the narrative often fall into the science
fiction, fantasy, or comic romance genres” (Napier 2006, p. 24). In Kon’s animations, the
boundary between reality and characters’ fantasies is usually blurred and interwoven with the
progress of the story. In his animations, scenes often jump in a dream-like way with changes in
the characters’ states of mind, consciousness or memories. This is similar to the approach that
I applied in my animated project. I considered Millennium Actress (2001) as a climax of this

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style of storytelling among his works to date. In Millennium Actress, the story unfolded through
the juxtaposition of characters’ consciousness and memory. Japanese history was ingeniously
applied as backdrops for the story fragments where the protagonist actress plays roles in the
historical scenes of these stories. The interrelations between the protagonist’s real life and the
roles she plays in the historical scenes create an ambiguity between fantasy and the real in a
coherent story with a visually dazzling style. The history in these story fragments played by the
protagonist, spans roughly a thousand years, as the title implies.

3.4.1 Narrative

The story begins with the view of a planet and space station. A female astronaut, whom the
viewer realizes later, is Chiyoko Fujiwara, is the protagonist actress. She is determined to step
into a rocket and says that she has promised to go to find ‘him’, in spite of the pleas of a male
astronaut that she stays. With the murmur of a male voice, the viewer realizes that images are in
a TV screen watched by Genya Tachibana, a documentary filmmaker, who has an appointment
to interview Fujiwara later. Although that seems to be merely a play in video, Fujiwara’s
determination to find ‘him’ is the main theme in this story. Tachibana’s murmurs along with the
male astronaut in the video, ‘I have a feeling with you’ we understand his adoration of Fujiwara
and his willingness to help her in any circumstance.

Tachibana and his cameraman have come to interview Fujiwara, who used to be a prime star in
the history of Ginei Studio. The story unfolds within the form of the interview. Before it starts,
Tachibana hands a key to Fujiwara who says ‘it can open the most important thing’. The key
operates as an important object to progress the story. The key is also a significant symbol, which
is discussed later in this section.

Seven of Fujiwara’s flashbacks in the interview tell her story from the time she was born through
her decision to pursue ‘him’ (a painter and a left-wing protester), to her endless journey of
pursuit. The flashbacks usually start with a new period in her life and ends up with an important
turning point cut back to the interview with the contemporary appearance of Fujiwara, Tachibana
and the cameraman. For example, the second flashback starts with how she was discovered by
a director of Ginei Studio. However, her conservative mother opposed the idea of her daughter
becoming an actress. Surprisingly, Tachibana and his cameraman with contemporary costumes
were included in historical scenes shooting their footage and this reminds the viewer that they
are an audience looking into Fujiwara’s memory. Occasionally on the street, she encounters
‘him’, the protester, who is chased by a group of police led by a man with scar in his face. She
lets him hide in the storage house of her family’s premises and develops a friendship with him.

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He flees from the storage house the next day to avoid discovery by the police. He left a key,
which he claimed to be able to open the most important thing, at the storage room. To return
the key to ‘him’ is possibly considered as the major quest of Fujiwara within the ‘monomyth’
structure proposed by Joseph Campbell (1968). The ‘monomyth’ structure and the hero/heroine’s
journey are discussed later in this section. In the last few shots of this flashback, she runs to the
train station where the owner of the key is allegedly heading. However, she collapses after she
is unable to catch the train. In the last shot of this flashback, Tachibana appears in the scene with
the cameraman and comments that the chase and subsequent collapse of Fujiwara in the train
station is a scene from her first movie. At this point, Fujiwara’s real life, her roles and Tachibana’s
interview have started to blend together and give this anime a dream-like quality.

The subsequent flashback of Fujiwara shows her agreeing to play a role for Ginei Studio
because the film would be shot in Manchuria, where she believes ‘him’ to be. She meets two
other important characters: Junichi Ootaki, the director, and Eiko Shimao, an elder actress. The
director, the elder actress and the scarfaced policeman are three major characters who obstruct
her from her pursuit. The scenes in her flashbacks cut back and forth from her real life to the
roles that she acts in films. With the progress of story, more time settings and spaces in different
period of Japanese history blend with her real life. Whatever she is: a warrior, geisha or student
in the historical settings; the uppermost desire in her mind is to find ‘him’. ‘He’ can be her
husband lord in the Warring States period of 15th to 16th century Japan, or a samurai in prison
set against the backdrop of Japan’s Meiji Period at the turn of 20th century ('Millennium actress:
production notes'). Basically, the time periods appear chronologically from ancient to modern
and finally towards futuristic. The same character shows up over and over with different roles in
different historical periods. Tachibana always plays roles such as samurai or carter to help her.
Eiko Shimao, the elder actress, and the scarfaced police always try to stop her from getting close
to ‘him’ in roles such as a madam of geishas and a government officer.

In the first historical scene, a mysterious old lady rolling a traditional textile wheel tricks her
into drinking a bowl of tea that makes her suffer the torture of love forever. She speaks to
Fujiwara, ‘I hate you and love you very much’. According to Satoshi Kon ('Director Satoshi Kon
Interview'), the lady rolling the wheel is a symbol of time. This old lady appears several times
as an illusion and always makes Fujiwara panic. The various historical settings with the same
characters connotes the notion of incarnation. Incarnation is a popular concept applied in anime
(Drazen 2003b). In one scene Tachibana claims that this is a legend of Fujiwara in a love story
that spans seven lives. The source is possibly a Chinese folktale in which a couple of celestials
are banished to earth as human beings by the Lord of paradise. They spend seven lives before
finally getting together and restoring their status as celestials back in paradise. This story is well

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known by audiences in China and Japan.

Fujiwara married Junichi Ootaki, the director in Ginei Studio after the first time she lost the key
in the studio. The story reaches its climax when a man with a scar in the real world happens to
arrive with a letter from the protester. The letter indicates that he might still be in his native land,
Hokkaido. A long montage sequence shows her journey to Hokkaido to find ‘him’. It shows her
in many different time segments and spaces from all the previous flashbacks. The last few shots
of this montage shows that the one she pursues has disappeared in the snow field of a painting
with a futuristic setting – the one in which Fujiwara, as an astronaut, walked on a planet. She
eventually fails to find the one she pursues. The futuristic setting is actually a scene in the last
film she acted for Ginei Studio. Tachibana was one of the crew in the studio. He picked up the
key that Fujiwara lost in the studio when an earthquake interrupted the filming of the last film.
Another earthquake ends this interview. Fujiwara faints and is sent to hospital. On the way
home after this interview, Tachibana says that he happened to be in the same location when the
old policeman with a scar on his face came to Fujiwara with a letter. The policeman confesses
to Tachibana that he killed ‘him’ after she ran away. So what Fujiwara has pursued is merely a
shadow.

Tachibana and his cameraman come to visit Fujiwara in hospital. He sadly realizes that she will
not be cured but she is comforted with the idea that she can keep pursue ‘him’ again. She then
utters that it might not be important that she meet ‘him’, and rests in peace. The last scene shows
the young Fujiwara on the launching rocket. She speaks to herself ‘Maybe what I actually like is
myself in the state of the endless pursuit for him’.

Although the story does not progress linearly but appears in different fragments in her life with
the blending of illusions and real events, the whole story of Millennium Actress (2001) is possibly
considered as Fujiwara’s journey of her whole life. In comparing her story to the ‘monomyth’
structure proposed by Campbell (1968), we find that her journey consists of the first two phases
in the structure: separation and initiation. The third phase, return of hero, is absent in Fujiwara’s
journey. In the first phase, separation or departure, she has a quest, which is to return the key to
the one she loves. The opportunity offered by the director of Ginei Studio might be considered to
be her call to adventure. For the second phase, initiation, she crosses the threshold by accepting to
play a role in Ginei Studio. She goes through tests, and encounters allies and enemies during her
career in the studio. She meets the mentor, who is Tachibana. The major obstacles for her quest
are from the director, the elder actress and the scar-faced policeman. The greatest ordeal that she
confronts is possibly her travel to Hokkaido for the last hope that was brought from the scar-face
policeman. From another point of view, her greatest ordeal might be her obsession with pursuing

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‘him’. However she has never been rewarded, nor did she return with an elixir. Moreover, she
has never conquered or defeated any enemies or her obsession. Rather, she accepts the obsession
of her endless pursuit and love as she states at the end of the story. Based on the ‘monomyth’
structure, Donaldson (1987) demonstrated that in a ‘feminine journey’, the heroine moves from
humility, or even self-denial to self-affirmation. In Fujiwara’s journey, she also moves from her
obsession to acceptance and self-affirmation at the end of story.

3.4.2 Dream-like quality

Although the story of Millennium Actress (2001) is not based on any dream, Kon experimented
with the ‘formula’ of dream in the production of this animation ('Director Satoshi Kon Interview').
For example, in one scene Fujiwara argues with her mother about her unwillingness to accept
any candidate for marriage. After several shots that cut back and forth between Fujiwara and her
mother, Eiko Shimao, the elder actress is substituted for her mother in the same scene. The next
few shots reveal that they are filming in studio. The displacement of people in a similar scenario
is something that we often experience in dreaming. Displacement is one mechanism of ‘dream
work’ in Freud’s theory.

Another of Freud’s mechanisms of ‘dream work’, symbolization, is applied in Millennium Actress

to express specific meanings. According to Satoshi Kon himself, the mysterious old lady appearing
in the first historical scene is a symbol of time ('Director Satoshi Kon Interview'). Running is
another significant symbolic expression of Fujiwara’s endless pursuit in this animation. Running
sequences within various historical settings are usually used as transitions between two different
historical scenes or end with her falling. This seems to imply that her pursuit is predestined to
be unsuccessful. The key to be returned to ‘him’ is an ‘open-ended symbol’ (Napier 2006, p.
37), which is essential to the story. Literally, it is an object that Fujiwara wants to return to the
man she loves. It also gives her the courage and motivation for her endless pursuit. She lost the
key twice in her life. She married the director after the first time and she resigned and lived in
obscurity after the second time. For Tachibana, the key provides him an excuse to get access to
Fujiwara. It can also be seen as an object to open the memory of Fujiwara. However, according
to Kon himself, ‘there is no one and only explanation. I would rather want my audience to enjoy
their own interpretation’ ('Director Satoshi Kon Interview'). This is very similar to my attitude
for my own animation project. The symbols I chose are deliberately open to interpretation.

Condensation is a mechanism of Freud’s ‘dream work’ as well as a significant narrative device

in animation as discussed earlier in this chapter. The condensation is applied in this animation
as a narrative device. According to Satoshi Kon ('Director Satoshi Kon Interview'), time is the

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main theme in this animation. The condensation of time operates in two levels. On one level,
Fujiwara’s life is condensed as one axis of the main plot of story. The past time in her life
coexists in the present time of interview. On the other level, roughly a thousand years in Japanese
history is condensed as a backdrop for the story. The status of protagonist as an actress within a
background of film production legitimates the simultaneous existence of two timelines.

Repetition is another significant characteristic in this animation. Through the device of embedded
narratives in the form of film roles, the same characters appear over and over again. Fujiwara is
always the female protagonist who is in search of ‘him’. Tachibana always supports and helps
her in what she intends to do. The scarfaced policeman always blocks her pursuit of ‘him’ no
matter what era and what role she plays in the operas. This repetition in the setting of character
reduces the narrative complexity of the shift from different periods of history with different
visual elements. Her strong will to find and get together with ‘him’ is central to the plots of all
the historical, modern and futuristic scenes of the operas in which she acts. The simplicity and
repetition in all these segments accumulate and strengthen the mood in this animation just like
different movements in a symphony (Young [羊廷牧] 2007).

Moreover, the repetition is also presented within the structure of story. The story progresses
with cutting back and forth between the interview room and Fujiwara’s flashbacks with various
temporal settings. Sections that cut back to the interview room between Fujiwara’s flashbacks
pull the viewer back to the reality of her life. These sections operate as a break from visual
fantasies and also move the story forward. In these sections Fujiwara, with her contemporary
appearance, often starts by speaking about events that are turning points in her life such as her
decision to take a role in Ginei Studio, or the marriage in her present real life - these are critical
events in the narrative.

With regard to the biological study of dreaming discussed in section 3.1, some cognitive features
of dreaming in the period of REM sleep are identified by Hobson (2005). I intend to examine if
these features can also be identified in this animation. The first feature is the loss of awareness of
self. In the scene after Fujiwara claims that she lost her key somewhere in the studio, all the crew
are helping to look for it. One crewmember asks with curiosity ‘why is the key so important?’
Many other crewmembers want to know as well. One of them says, ‘Sensei, I want to know’.
‘Sensei’ is a title used to address someone who is respected in his or her profession. The title
is also used to address a teacher or doctor (Poitras 1999, p. 114). In the next scene, Fujiwara
transforms into a teacher of secondary school and answers the question by addressing that the
key belongs to a person who is important to her. This transformation is very similar to what often
happens in dreams. Fujiwara is unaware that she has transformed into a teacher through the hint

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 Content

of the word ‘sensei’.

The second feature is the loss of orientational stability. Many transitions between scenes in the
animation show this feature. For example, Fujiwara opens a door and the scene outside the door
is another location. The third and fourth features are loss of directed thought, reduction in logical
reasoning. They are associated to the first two features. She lost the directed thought and logical
reasoning about herself and her location. The last feature, poor memory both within and after
the dream, is not obviously presented in the animation since there is no actual dreaming in the
animation. Thus no poor memory is presented within dream and after dream.

As discussed in section 3.1, one major concept in Hartmann’s (1998) theory is that dreaming is
a broad connection-making (hyperconnective) process in the neural system of our brains. This
process is not random but is guided by emotions. If we consider that all Fujiwara’s flashbacks are
scenarios in a dream with the broad connection-making process, these segments are all centred
on her strongest emotion, which is the desire to get together with ‘him’.

Bizarreness is another characteristic of dreaming content. The ways that images were created
to represent the story probably contributes to the bizarreness of the dream-like quality in this
animation. As the director Kon indicated, Millennium Actress was produced with the concept of
trompe l’oeil. Trompe l’oeil is French term defined as ‘trick the eye’ in the art field (Delahunt
1996). It is usually used to describe the style of realistic paintings that create three-dimensional
illusions as if they were in real world. In this animation, trompe l’oeil refers to the seamless
juxtaposition of characters’ real life and their illusions. The animation is also described as a style
of kaleidoscope (Young [羊廷牧] 2007) for the dazzling of various visual settings. The changing
illusions and real events are unified in a story by the repetition of character settings as discussed
earlier. All these visual elements create the bizarreness, which contributes to a dream-like quality
in this anime.

Some unique transitions between scenes rely on the editing technique such as match on actions.
The match on action is “a continuity cut that splices two different views of the same action
together at the same moment in the movement, making it seem continue uninterrupted” (Bordwell
& Thompson 2004, p. 503). In some scene transitions, the actions of characters seem continuous,
even while the scenes change. For example, in a scene where Tachibana drags a rickshaw to carry
Fujiwara, who is in geisha costume, he suddenly falls down and the rickshaw runs by itself. The
next shot shows that Fujiwara, now in a more recent costume, is riding a bike down the hill. The
strong actions of both the rickshaw and the bike connect two shots smoothly. Fujiwara’s running
in a shot is often a preliminary notice of transitions of scenes. Running as a strong action is a

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good occasion for match of action transition. For example, in a scene where Fujiwara is running
with a ninja costume, she trips over an enemy ninja’s trap and is falling down. In the next shot
she is down on the floor, wearing geisha clothing in another historical period. Another unique
transition technique is that using a door to bridge two scenes with different historical settings.
For example, Fujiwara on a costume of Meiji period opens and runs through a long tunnel. The
next shot shows that she walks out from the tunnel with different costume from the world war
period.

To summarize, the bizarreness, and the strong emotional impact in dreams, are the two
characteristics that are most likely to inspire many art creations including the narrative in my
animation. Freud’s ‘dream work’ mechanisms, such as condensation provide an explanation of
the bizarreness. These mechanisms, especially symbolization, help to uncover the underneath
meanings of moving images within cultural and social contexts. My animation expresses layers
of meanings, and at the same time is open to other interpretations. Special cognitive features
identified by biological studies of dreaming also contribute to the explanation of the bizarreness
of dream-like quality. It is necessary to adapt and reconstruct the fragments of bizarre scenarios
derived in dreams to form a story for effective communication. The story structure in my
animation after the adaptation from the dream fits in classic structures such as the three acts
structure and the ‘monomyth’ structure. Both the ‘dream work’ mechanisms and cognitive
features are able to be identified in Millennium Actress, which I consider as an animation that
well represents a dream-like quality. The rich visual settings and the simple narrative structure in
Millennium Actress construct an animated story that is as bizarre as a dream, yet retains narrative
consistency. In my production, I aim to tell a story with a simple structure and multiple visual
styles to achieve a similar dream-like quality.

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 Aesthetics

Chapter 4

Toward a hybrid aesthetic

In this chapter, I explore animation aesthetics in relation to the 2D graphical styles I use in
my project, and discuss the development of the multiple visual styles to create a dream-like
quality in my animation. I start with a review of the definitions and the scope of animation
aesthetics, discuss the conceptual models of animation aesthetics and seek a location for the
visual styles I create in my project. I then discuss significant aesthetic notions emerging in digital
age and how they inform my production as a 3D computer animation. Finally, I discuss the
development of the designs for characters and environments by referencing traditional 2D hand
drawn animations and look into concepts ranging from film art to graphic design for the creation
of hybrid aesthetics and dream-like quality in my animation production.

4.1 Definition and scope of animation aesthetics

“The word ‘aesthetics’ (from the Greek aisthanesthai, to perceive; aisthētica, things perceptible)
was introduced into philosophical terminology about the middle of the eighteenth century…”
(Saw & Osborne 1968, p. 15). The term ‘aesthetics’ is often interchangeable with ‘the philosophy
of art’ (Iseminger 2004). It is an attempt to answer questions such as “what makes something
‘art’, and why should we value it?” (Graham 1997, p. 1). Aesthetics also refers to theories about
the fundamental nature and value of art (Anderson 1998). The discussion of aesthetics is an
enormous subject and there may be no single answer for what art is and what the value of art
is. Animation is usually considered to be a media with a close relationship to cinema, or as
part of cinema. In the discussion of general concept of art, animation aesthetics are often either
discussed as a part of film art (Gaut 2004) or overlooked (Graham 1997).

The field of animation studies is a relatively new area, and has been emerging only over the past
two decades. Furniss (1998) pointed that for a long time animation had not been considered
as a ‘real’ art form. Animation was regarded as a highly commercial media that was oriented
to attract young audiences and was not seriously considered as a research subject by scholars.
Studies on animation aesthetics emerged in the late 1980s because of the rise of Media Studies
as a discipline in its own right under the influence of post-modernism. The once neglected and
marginalized media of entertainment started gaining the attention of academia. Some studies on
animation focus on the history of animation in various countries (Bendazzi 1994; Maltin 1987),
some focus on aesthetic development in a historical context (Klein 1993) and some concentrate
on social and cultural issues in related to animation (Pilling 1997). In this research, I concentrate

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Toward a hybrid aesthetic

on the aesthetics of animation and seek to place the visual styles I created in the animation
project into the existing theoretical context.

Animation has been defined in different ways. The broadest definition of animation is the one
by ASIFA (Association International du Film d'Animation): ‘not live-action’ (Denslow 1997).
However, this definition is too vague and not workable. A more practical definition proposed
by Charles Solomom (Furniss 1998, p. 5) is: “animation is produced by creating the illusion of
movement frame by frame”. This definition stresses the essential characteristics in animation,
which are the creation of the illusion of movement and the frame-by-frame process. The frame-
by-frame process used to be the major characteristic to differentiate animation from live-action
film. Nonetheless, the boundary became blurred after computer technology was brought into
film production (Manovich 2001). Digital images created frame-by-frame in computers are
now widely combined with live-action footage – these we usually call special effects. Special
effects are beyond the scope of this research. However, in this digital age, the emerging aesthetic
notions significantly inform my creation in the 3D computer animation project. These notions
are discussed later in this chapter.

The illusion of movement is probably the most important aspect of animation aesthetics.
Norman McLaren, a prominent animator in the National Film Board of Canada, emphasized the
importance of movement in his famous elucidation of animation (Furniss 1998, p. 5):

Animation is not the art of drawings that move but the art of movements that are drawn;
what happens between each frame is much more important than what exists on each
frame…

Disney Studio has established animation principles to train animators (Thomas, Johnston &
Thomas 1995). Many text books provide techniques for animators to create motions of characters,
objects and effects (Whitaker & Halas 1981; Williams 2001). These principles and techniques
guide me to create movements in my animation project. The movement and animation principles
are further discussed later in this chapter.

On a philosophical level, animation can be defined as giving life to once ‘inanimate’ objects.
Animators in Zagreb Studio, former Yugoslavia defined animation to foreground its intrinsic
nature (Holloway 1972, p. 9):

To animate is “to give life and soul to a design, not through the copying but through the
transformation of reality”.

Indeed, when we view animations, even though we know the imagery is not ‘reality’, we are

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 Aesthetics

often entertained and touched by the humanity presented by characters to whom given ‘life’ and
‘soul’ have been. Moreover, in this definition, the ‘life’ and ‘soul’ is given to a design, which is
the imagery transformed from reality through artists’ or animators’ aesthetic perspectives. That
is, the transformation can be varied with artists’ aesthetic choices and ways of representation to
create visual styles. In this animation, I concentrate on in this animation project is the creation
of the ‘design’, or visual styles. In the next section, I explore the categories of animation and the
theoretical spectrum of animation aesthetics.

4.2 Animation aesthetics models

In this section, I intend to explore the existing models of animation aesthetics and place the
visual approach in my animated work into this context.

Visual styles of animations are highly associated with the techniques applied in the productions.
Methods of productions need to be considered when we discuss visual styles in animations
(Wells 2002, p. 15). For example, stop-motion animation such as Wallace & Gromit in the Curse
of the Were-Rabbit (2005) has intrinsic differences of visual appearance from 2D hand drawn
animation such as The Lion King (1994). The dimensionality in the images of stop-motion
animation is very easily differentiated from the graphical flatness of hand drawn animation on
first viewing.

Animations can be categorized by the techniques used of productions. The following categorization
includes the most common and popular types of animations (Laybourne 1998):

1. Cut-out animation; for example: Tale of Tales (1979)

2. Time lapse and pixilation; for example: Neighbors (1952)

3. Kinestasis and collage; for example: Cosmic Zoom (1968)

4. Sand and paint-on-glass animation; for example Street (1976)

5. Stop-motion animation; for example; Wallace and Gromit in the Curse of the Were-Rabbit
(2005)

6. Line and cel animation; for example: The Lion King (1994)

7. 3D (computer) animation; for example: Finding Nemo (2003).

The technical categories of animation are likely to be oversimplified and cannot include all
animation types. Firstly, independent animators keep experimenting with new techniques to
create new visual styles. For example, the tedious ‘pinscreen’ technique was used to produce

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Mindscape (1976) in the National Film Board of Canada. Secondly, animators and animation
companies sometimes combine two or more techniques in their productions. For example, some
animations produced in Japan such as Spirited Away (2004) used hand drawn characters and
backgrounds created by 3D computer software. Moreover, the emerging computer tools and new
broadcasting platforms such as the Internet also encourage new types of animation. For example,
animations produced with the computer program Adobe Flash, are widely distributed on the
Internet, and Flash has been used to create animation for television, such as Foster’s Home for
Imaginary Friends (2004).

My animation project is a 3D (computer) animation with 2D graphical styles, in which I

experimented with visual styles by referencing traditional animations. Most of the animations
I chose to reference in this project are in the group of line and cel animation, although some
are in the sand and paint-on-glass animation category. 2D line and cel animation used to be a
dominant format for feature length animation before the popularity of 3D computer animation.
It is still the most popular format in TV animation production. In the traditional production of
2D animation, animators drew lines and shapes on transparent sheets of celluloid to create the
illusion of movement. Sand and paint-on-glass animations are mostly developed by independent
filmmakers such as Caroline Leaf (Laybourne 1998, p. 142). Animators place sand or paint on a
piece of glass and manipulate them to create a special artistic look with a great fluidity.

If the production techniques are disregarded, animations can be placed in a continuum with
live-action film according to their aesthetic tendencies. A continuum model proposed by Furniss
(1998) is displayed in the following figure:

Mimesis Abstraction

Sleep Jurassic Park The Three Caballeros Hen Hop Circle

Snow White

Figure 10 A continuum model of aesthetic for animation aesthetic by Furniss (1998)

This model has two tendencies of aesthetics. ‘Mimesis’ suggests the intention to reproduce
the reality while ‘abstraction’ indicates the use of pure geometric forms. Live-action films are
located on the side of mimesis since they are recorded from real world. Animations are placed on
the side of abstraction because they are fictional images created by artists. Films that combined
animation and live-action footage such as The Three Caballeros (1944) are placed in the middle

44
 Aesthetics

of the continuum.

This model provides general aesthetic tendencies for traditional animations, but has limitations if
we consider the recent development of 3D computer animation and special effects. As discussed
earlier, the boundary between live-action film and animation is blurred because of the integration
of computer-generated images into live-action film in recent years. The middle area in this model
seems to be considerably expanded. For example, in Sin City (2005), live actors were filmed
and placed in an entirely computer generated background. A different approach was employed
in a French film Immortel ad Vitam (2004), in which backgrounds were recorded and some
computer-generated characters performed with live actors. Moreover, the application of motion
capture in 3D computer animations such as Final Fantasy: the Spirit With In (2001), and Polar
Express (2004), make it even more difficult to locate these animations in the continuum.

I seek to locate my animation into this continuum. If the blurred area in the middle of this spectrum
is excluded, most of the current feature-length 3D computer animations such as Finding Nemo
(2003) are possibly positioned around the Snow White section of the continuum. My animation
project, Sophie’s Secret tends toward the more abstract and is approximately at a position close
to Hen Hop (1942), between Snow White and the level of extreme abstraction. In Hen Hop,
images are graphically simplified with lines and colour, which is similar to my approach in the
animation project. This is the zone on the continuum where the hybrid aesthetics in my project
are located.

Another model of animation aesthetics is proposed by Wells (1998), in which characteristics

regarding story, sound and visual styles are all considered to categorize animations:

Orthodox animation Experimental animation

Developmental animation

Configuration Abstraction
Unity of style Multiple styles
Narrative form Interpretive form
Evolution of content Evolution of materiality
Specific continuity Specific non-continuity
Dynamics of dialogue Dynamics of musicality
Absent of artist Presence of artist

Figure 11 A model of animation aesthetics by Wells (1998)

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Toward a hybrid aesthetic

According to Wells, there are basically three types of animation: orthodox, experimental and
developmental animations. He asserted that all animation aesthetics need to be compared to the
style established by Disney Studio, because this style has been the most widely distributed and
accepted style in a long history, all over the world. The Disney style is described as ‘orthodox
animation’. The other extreme type in this model is called ‘experimental animation’, which
is similar to the tendency of abstraction in Furniss’ model. Animations that fall between the
two poles are called ‘developmental animation’. In this model, characteristics are described
to identify orthodox and experimental animations. Orthodox animation features ‘figures’ of
human or animal characters in a consistent visual style. In contrast, experimental animation uses
abstract shapes with multiple styles. In the aspect of the narrative, orthodox animation prioritises
its content in a narrative form with a ‘specific continuity’. That is, orthodox animation tells
stories with characters in a logical continuity. Also, the story in orthodox animation is mostly
driven by character dialogue or other sounds that become the narrative clues. On the contrary,
experimental animation prefers expression through ‘materiality’, or its pure form, in an illogical,
non-linear fashion. Experimental animation rejects traditional story telling and concentrates
on abstract visual elements without imperative functions or meaning. Visual elements such
as colour and shape in experimental animation usually move with music. From the aspect of
production process, orthodox animation is usually a collaborative work and shows the style of
studio, while experimental animation is usually individual work and presents an artist’s version.
In between these two contrasting types of animations, developmental animation is based on
orthodox traditions but also seeks to reform these traditions through either form or content. Many
developmental animations have some characteristics that are closer to orthodox principles, while
others are more fitted to experimental principles. In many experimental animations and music
videos, multiple visual styles with a ‘non-seamless’ aesthetic are often used to abstractly express
special mood. However, using multiple visual styles to tell a narrative as in my project is not
as often seen in animations produced in traditional techniques. One example is A Little Routine
(1994), which was made in 2D hand drawn technique. In this animation, multiples visual styles
were used to present the imaginative thoughts of a child in a conflict between him and his father
before the bedtime. Another hand-drawn animation, The Man with the Beautiful Eyes (1999),
also present a ‘non-seamless’ hybrid aesthetic to tell a story from a child’s point of view. In my
project, I used multiple styles and a ‘non-seamless’ aesthetic to present a dream state.

Wells’ model was proposed before digital productions became widespread, so the new genre of
digitally produced animations needs to be considered specifically. Wells, himself, contends that
3D computer animations, especially those produced by Pixar Studio, have possibly grown to be
the new orthodox animation (Wells 2003). Beginning with Toy Story (1995), the full length 3D
computer animations have gained increasing popularity over traditional line and cel animation.

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 Aesthetics

Although it is not certain whether it is the new visual look, or the stories, that attract audiences
from traditional cel and line animations, all characteristics of orthodox animation seem to well
describe the current feature length 3D computer animations.

Characteristics of experimental animation and developmental animation are also seen in 3D

computer animations. Independent artists such as Jim Ellis and Eric J. Heller coded computer
algorithms to create non-figurative 3D shapes that move with music in their animations
(Weishar 2004). Those animations can be categorized as experimental animation because their
characteristics fit into the category. Some 3D computer animated shorts screened in film and
animation festivals such as In the Rough (2004) and Birthday Boy (2004) follow the orthodox
aesthetics. Others exhibit characteristics from both orthodox and experimental types and can be
described as developmental. For example, Ryan (2004) is an animated documentary based on
interviews with Ryan Larkin, who used to be a talented animator working in the National Film
Board of Canada during late 1960s and early 1970s, but who lost his creativity through alcohol
and drug addiction. In this animation, a narrative form evolves with content and dialogue but
multiple visual styles are applied to characters in somewhat abstract ways.

My project can be seen as a developmental animation because some characteristics fit into the
orthodox category, while others are closer to the experimental animations. Characters in my
animation have solid figures and the story is based on a narrative structure with logical continuity.
These are characteristics of orthodox animation. On the other hand, multiple visual styles are
used to represent the discontinuous nature of dream, and the music is used to convey moods in
the animation. These characteristics are located in experimental principles.

4.3 Aesthetics of 3D computer animation

Aesthetics of 3D computer animation is one of the central discussions in the emerging field of
New Media (Burnett 2004; Darley 2000; Hiltzik 2004; Lister 2003; Manovich 2001; Sarafian
2003). Three overarching notions in New Media significantly inform my project as a 3D computer
animation: realism, simulation and hybridity.

4.3.1 Realism

The creation of photo-realistic images by computer has been a long term goal of film industry
and computer graphic research (Sarafian 2003), and the goal has nearly been achieved except
for the realistic human face. The creations of realistic organic skin shading and fur, in the past,
has greatly challenged the film industry (Crawford 2003; Schaffer 2004). However, the images
in recent films with special effects such as The Lords of the Rings Trilogy (2001-2003) and King

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Toward a hybrid aesthetic

Kong (2005) show that many of these problems have been solved. The progress of the calculation
ability in computer hardware and advanced algorithms developed by computer scientists are the
major factors that have overcome these challenges. The realistic human face is likely to remain a
challenge to the achievement of photorealism. The creation of a realistic human face is possible
only if we derive texture and geometry data directly from a real actor and digitally reconstruct
them in the computer (Borshukov & Lewis 2005). In some 3D computer animations such as
Final Fantasy: the Spirit with In (2001) and Beowulf (2007), digital artists in their production
companies attempted to create human characters that were as realistic as possible. However,
even unsophisticated audiences can tell that the characters are not real humans.

Realistic human characters could fall in the ‘uncanny valley’ and be disliked by audiences. The
‘uncanny valley’ concept was originally proposed by Masahiro Mori (1970) to explain why we
feel uncomfortable about robots that look very similar to human beings, and it can be applied to
human characters in 3D computer animations (McClean 2006; Weschler 2002). The discussion
of ‘uncanny valley’ of pseudo-realistic human characters is beyond the scope of this research
because my visual approach is removed from realism.

Story is still the central attraction for the audiences in 3D computer animation, rather than
realistic appearance. In his discussion of Pixar’ digital aesthetics, Sarafian (2003) stated: “These
films (Pixar’s animations) told stories; computer animation was the medium that expressed the
message”. Realistic environments are built into these animations, but characters are stylised.
Darley (1997) describes this visual style as a ‘second-order realism’, in which characters and
objects appear to have volume in three dimensional spaces, yet they are not copies from real
world. In my animation project, I created characters and environments away from realism by
using 2D graphical styles. My intention was to create visual styles that are different from the
mainstream. The production time and process were also reduced and simplified with 2D graphical
styles, so I was able to focus on the story and character performance.

4.3.2 Simulation

Simulation of natural phenomena and the physical properties of materials is a special power
of computer technology. Images of natural phenomena such as rain, fire and ocean can be
easily created and simulated by 3D computer software. The power of simulation is not only
used to create realistic images, but can also be applied to create visual styles that resemble
certain traditional animation appearances. For example, the TV production South Park (1997-)
is produced by 3D computer software with a visual style resembling cut-out animation. Solomon
Grundy (2006) is a 3D computer short film, in which paper pop-up and puppet animation styles

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 Aesthetics

are simulated. In my animation project, I intended to create images in 3D computer software to

simulate selected 2D hand drawn styles. Simulation and visual referencing are further discussed in
the next section and in Chapter 5.

4.3.3 Hybridity

The images created by 3D computer animation to simulate the traditional forms are actually
hybrid styles. If we carefully inspect 3D computer animations that simulate other animation
forms, we can still spot some subtle elements that are different from the forms they simulate. For
example, in some scenes of South Park when characters move toward or away from cameras,
the increasing and the decreasing of the characters size show a subtle dimensionality of the 3D
spaces. The slight differences create a hybrid style between cut-out animation and 3D computer
animation.

Hybridisation is a significant characteristic of images in the digital era (Crawford 2003) and it
also significantly informs the creation of visual styles in my project. With the power of computer
technology, digital filmmakers are able to produce moving images with the mixture of live-action
footage, hand-drawn animated frames, digital still images and any other available source that
can be converted to digital format (Lister 2003, p. 13). There are two levels of hybridisation. One
occurs when traditional forms such as photography and cinema are transformed to new digital
formats by the aid of computer technology (Darley 2000). The new digital formats allow more
freedom of manipulation and further Hybridisation. The other occurs when previously separated
media are merged to form ambiguous digital formats. Jirka (2004) suggests that the aesthetics
in current mainstream 3D computer animations are hybridisations of Disney’s styles, live-action
and 3D puppet animation. In some animations such as Ghost in Shell 2: Innocence (2004) and
The Prince of Egypt (1998), hand-drawn characters were combined with computer-generated
3D backgrounds and special effects. In my project, I developed multiple visual styles with a
hybridity of 2D hand drawn and 3D computer animation to represent the dream-like quality.

4.4 Visual references

In this animation project, I use line and cel animations as visual references to create hybrid visual
styles between 2D and 3D. Visual referencing is often a preliminary procedure in the development
of the visual concept for animation projects. Animations produced by UPA, and Japanese anime,
were two major visual references for me in the early stage of visual development. This choice
was possibly influenced by my experiences and cultural background. I grew up in Taiwan, which

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is a land of mixed cultural influences. Chinese heritage is well preserved in Taiwan, since most of
inhabitants came from China in various eras of the history. Japanese culture is also a significant
influence because Taiwan used to be a colony of Japan from 1895 to 1945 (Davison 2008).
Furthermore, the protection from USA after 1949, and the democracy experience in Taiwan,
encouraged citizens to openly embrace western pop culture, especially that of the USA. Due to
these cultural influences, I had abundant freedom to select and watch cartoons imported from
both Japan and USA in my childhood, and I have appreciated both aesthetics since that time.

The approach I used to create visual styles by referencing the styles that had been established
previously, is similar to the notion of ‘appropriation’, which is an approach of the fine art
creation in 1980s’ postmodernism movement (Arnason & Kalb 2003). Appropriation is “an
act of borrowing directly from the work of others” (p. 712). Artists with this approach often
borrow images from different sources of media and mix them for new artistic creations. With
appropriation, “by putting borrowed images into a new context-that is, by ‘recontextualising’
them – it also endows those images with a new and often unsettling impact that encourages
viewers to see the original sources in a new light” (p.712). In this project, I referenced several
sources of traditional animation, created images from 3D computer techniques and constructed
them together for the storytelling. A new and unsettling hybrid aesthetic was thus created by the
referencing and appropriation.

4.4.1 Reduction to simplicity in Gerald McBoing Boing

From late 1940s, UPA initiated a new aesthetic direction that was different from the dominant
Disney style in animation production. Influenced by the early 20th century modern designs
in illustrations and architectures, UPA’s artists developed visual styles by integrating the
characteristics of abstraction and simplicity in modern design into their productions of animated
shorts, to compete with Disney’s animations (Klein 1993; Moritz 1998). Different from Disney’s
detailed and realistic-oriented approach, images in UPA’s animation are usually simplified and
graphically stylised. The use of stylised visual elements in UPA was not only for artistic purposes,
but also to save costs. With their relatively small budget, cost savings were imperative if they
were to compete with other animation studios (Ford 1980). The concern to pursue artistry and
efficiency at the same time significantly informs my animation production.

UPA’s aesthetic concept and production methods had a great influence on subsequent
animation productions. The influence was in two different directions. On the one hand, their
artistic innovation encouraged further diversification of visual styles in animation productions
(Stephenson 1967), and this impacted not only on animation studios in USA but also on those

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in Europe such as Zagreb School in Yugoslavia (Holloway 1972). On the other hand, their
efficient production methods were applied and modified by other animation studios to produce
so-called ‘limited animations’ with low budgets to accommodate the increasing demand for TV
animations from mid-1960s (Furniss 1998). The limited animations were considered to be low-
budget, poor quality and aimed only at children. This production method also influenced the
early development of Japanese TV animation companies such as Mushi Production founded by
Osamu Tezuka for cost-saving (Beck, Katzenberg & Plympton 2004, p. 238). It was not until
late 1980s that TV animations such as The Simpsons (1989-) regained a wide popularity for both
adults and children for their revolutionary content and visual styles.

The visual styles in UPA’s animations, especially Gerald McBoing Boing (1950), had a significant
influence on my creation in this project. In Gerald McBoing Boing, visual elements are reduced
to the minimal. Bill Hurtz, the animation’s designer, recalled the experience of working with the
director, Robert (Bobe) Cannon. He says:

We had a concept that the style really came out of the story, or out of the material. In
GERALD MACBOING BOING, we were trying for absolute simplicity – how few lines
could be in this picture? How elemental could it get? (Maltin 1987, p. 331)

The design of the characters and background is the contribution of reduction and simplicity
in Gerald McBoing Boing. A screen shot of Gerald McBoing Boing is shown in the following
figure:

Figure 12 A still image in Gerald McBoing Boing

Characters are portrayed with flat shapes and outlines without shading to create the illusion of
volume. Environmental backgrounds are extremely simplified by removing lines that display
perspective such as horizon or skyline. Spaces are suggested by objects such as a lamp, a sofa

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or a door within the frame of background. As Hurtz described, “There are no lines defining the
difference between the ceiling and a wall. A picture is on a space, and then there’s a rug. So
‘rug’ means there’s a floor and ‘picture’ means there’s a wall” (Maltin 1987, p. 331). I used 3D
computer tools to create a test animation clip, in which spaces are simplified like those in Gerald
McBoing Boing. The environmental setting was thus used in Scene Three of my animation. The
production process and techniques to create the scene are discussed in Chapter 5.

A special transition referred as ‘carry over dissolve’ (Frierson 2002) is employed between scenes
to connect them smoothly. For example, in one scene, Gerald stands on a stool in the kitchen
with his mother. All images fade out except for Gerald and the stool. The stool transforms into a
scooter with Gerald on it while the background of playground and other children fade in. Similar
dissolves between scenes are also applied in other UPA’s animations such as Rooty Toot Toot
(1951). I also experimented with special transitions between scenes, which I discuss later in this
chapter.

Reducing to visual simplicity as presented in Gerald McBoning Boing is considered to be a

significant notion that 3D computer artists can learn from 2D animations (Solomon 2005):

2D teaches reduction, and that’s what animation is really about, while 3D tends to be
more additive. It’s very easy to suggest tons of details. But for me, the fun is reducing
something down to its essentials: what makes a three-year-old girl cute, what makes a
monster scary (p. 14).

The notions of simplicity and reduction significantly influenced my creation in this animation
project.

4.4.2 Anime

Anime, or Japanese animation, is “one of the most explosive forms of visual culture to emerge
at the crossroads of trans-national cultural production in the last twenty-five years” (Brown
2006, p. 114). The popularity of anime is increasing in Western society for its distinctive aspects
ranging from narrative to visual styles (Napier 2005, p. 10). Anime has likely had a long lasting
influence on my creative vision since I had been watching Japanese animation on TV thirty years
ago when I was six.

Visual styles and conventions in anime significantly influence the design of characters and visual
experiments in my animation. Visual conventions are “not just limited to obvious cultural details
but are unique stylistic ways of communicating and expressing feelings and ideas” (Poitras 2001,
p. 59). Many conventions originally developed by artists for manga (Japanese comic book) were

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applied to anime (Alzubaidy 2008). The reason is probably that many anime shows are adapted
from popular manga. The most obvious anime convention regarding character design is the large
eyes. I applied this convention on the character design, which is discussed in 4.4.3.

Another anime convention that influenced my production is the use of special objects such as
flowers and sparkles to replace the characters’ backgrounds. This is done to express the characters’
emotions, especially the awakening of a love interest (Poitras 2001, pp. 62-3). These alternative
backgrounds that consist of special objects, can also change drastically to demonstrate the sudden
emotional change of a character for storytelling purposes. It is especially convenient in 2D cel
and line animation among other traditional animated forms, because foreground characters and
the background are usually drawn in different layers. These alternative backgrounds can be used
with different characters when they have the same emotions.

Another visual convention in anime is using streaks in the same direction as the background to
show the speed of a character. Streaks can also be drawn on the opposite side of the character’s
moving direction to show the speed. In live-action footage, motion blur is a phenomenon where
images of objects appear blurred when they are moving fast during the recording by a camera
(Kerlow 2003, p. 257). Blur effects for fast-moving objects are added as a touch to enhance the
realism in many 3D computer animations. In 2D cel and line animation, images are recorded
statically frame-by-frame under the camera so blur effects of fast-moving objects do not appear.
However, the speed is expressed though the lines on the opposite direction of the fast-moving
object. This technique is called ‘dry brushes’ (Herbert 2004; Whitaker & Halas 1981, pp. 110-1).
I applied 3D computer techniques to create these ‘dry brushes’ effects in the first two scenes of
my animation.

The other visual conventions of anime, and where I experimented with 3D computer techniques
to create these visual conventions, are discussed in section 5.3.

4.5 Design

In this section, I first discuss the basic visual elements in 2D graphical design since the 2D
graphical appearance is the method I used to present the story in my animation. Following
that, I discuss the design of characters and environments with the influence of visual references
discussed in last section and other resources.

Design and art direction are essential in the pre-production phase to determine visual styles for
animations in Hollywood studios and individual productions, including mine. Sketching is the
major method I used to design characters and environments in this animation project. Other

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than sketching, I used 3D computer programs to experiment with, and design, the visual styles
of environments for the scenes, because the visual results can be seen directly. The scene-based
design process has enhanced flexibility, which is discussed in the next chapter.

4.5.1 Dot, line and shape

Dots, lines and shapes are three fundamental elements used to define objects in two dimensional
images such as paintings (Lester 2003, p. 35). These three elements are interrelated. For example,
dots can be aligned in directions to form lines and can be arrayed to form shapes of patterns
(Pipes 2003, pp. 2-23).

Lines are especially essential in line and cel animation since they define characters and objects.
Lines can be drawn in various qualities such as delicate and subtle, or bold and crude (Pipes
2003, p. 30) to express different feeling for viewers. In traditional line and cel animation, moving
hold is a technique used to re-draw frames of a character when he/she is held in a pose, to keep
the character from appearing completely static. This technique is usually applied to characters
to show their ‘aliveness’ but is not used on the backgrounds. For example, in Les Tragedies
Minuscule (1999), a French animation TV series, lines and shapes of characters keep shifting
while backgrounds remain static. The strong movement of lines can also be used to accentuate
the feeling of a character. For example, in The Big Snit (1985), the woman bursts out crying after
her husband mocks her for her strange behaviour. Before she cries, the outlines of the woman
shake violently to show her strong anger and sadness.

Shapes are essential to represent volumes of characters or objects. Lines can be cross-hatched
to form the shapes or shades of objects. Shapes also have different qualities such as flat, shaded
or textured.

In my animation project, I simulated hand-drawn lines and shapes in the 3D computer program.
I experimented with the creation of lines and shapes with different qualities according to the
mood in the scenes.

4.5.2 Colour

Colour theory is applied in the fields of art and design from fine art to architecture and interior
design (Clifton-Mogg & Williams 2001; Pipes 2003; Rompilla 2005). Although people’s
feelings toward colours are sometimes subjective and are dependent on their social and cultural
background, there are principles that are universal and objective in the colour theory. Basically,
colour has three characteristics: chroma, value and brightness (Lester 2003, p. 33). Chroma,

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or hue, is the name of the colour. Value, or saturation, refers to the concentration of the colour.
Brightness, or luminance, indicates the relative lightness or darkness of the colour. Warm colours
such as red or yellow appear to come forward in an image whereas cool colours appear to recede.
Different colour schemes convey different moods (Pipes 2003). For example, a monochromatic
colour scheme consists of one hue with various values and brightness levels, and this produces
an elegant and soothing effect.

Colour design is equally important in animation production (Halas & Manvell 1976, pp. 84-
6). Jules Engel, a colour designer in Disney Studio and UPA, suggested that colour has three
functions in animation (Furniss 1998, p. 73). The first is to create space and depth. The second is
to create visual effects for dramatic purpose. The third is to emit the feeling or mood of the story.
Since the images in my animation are intentionally set up to be flat, the creation space and depth
is not the major concern. The functions of colour in my animation project are to create effects
and evocate moods in the story.

There are several colour schemes used in this animation for different visual style settings. A
monochromatic black-and-white colour scheme was used in scenes after the penetration of the
worm to convey the feeling of anxiety and shock. The same black-and-white colour scheme
was used in the scene where Sophie is struggling to pull the worm out in her room to show
her nervousness and panic. A triadic colour scheme that consists of “three colours spaced
equidistantly around the colour wheel” (Fraser & Banks 2004, pp. 42-3) was used for the first
scene to convey Sophie’s joyfulness, almost childishness before she encounters the worm. I
set up the colours with similar high brightness and low value (saturation) to have them work
harmoniously. This principle was applied in all the scenes with colours except for the scene of
Sophie’s nightmare. A simpler colour scheme, consisting of only two complementary colours,
was used in the scene of lounge room in Sophie’s home with her parents to show the seemly safe
environment. A similar complementary colour scheme with lower value (saturation) was applied
to the last scene to convey a soothing and relaxed feeling after Sophie solves her inner conflict
about the secret. The scene of Sophie’s nightmare has black-and-white background and worms
with various high brightness and high value colours to convey the feeling of weirdness.

4.5.3 Character Design

McCloud (1993) proposed a triangular model (Figure 13) of visual styles for comic book
characters, which is also fruitful for the discussion of character design in animations. Visual
styles of comic books have significantly influenced the visual styles of traditional 2D hand drawn
animations. Some American animations are adaptations of comic strips, especially superhero

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series such as superman or spider-man (Beck, Katzenberg & Plympton 2004, p. 207). In Japan,
the transfer of popular comic books into 2D animations as TV series has a long-term tradition,
and is still the major business model in Japanese animation market (Poitras 2001).

Figure 13 Triangular model derived from McCloud (1993)

Compared with Furniss’ and Wells’ model in 4.2, the ‘reality’ in McCloud’s is similar to the
‘mimesis’ in Furniss’ model. The ‘picture plane’ is similar to ‘abstraction’ in Furniss’ model and
‘experimental’ in Wells’ model. In addition to ‘reality’ and ‘picture plane’, he added ‘iconic’
or marked as ‘meaning’ as a third pole to form a triangle plane. The ‘iconic’ characters were
represented through simplifying features of humans or animals. Iconic character designs and
realistic backgrounds appear in many Disney’s line and cel animations and Japanese anime.
Similar aesthetic approaches are also applied in many feature length 3D computer animations
such as Incredibles (2004). The design of characters including the protagonist, Bob Parr, is
stylised and exaggerated, while backgrounds remain realistic.

The character design in my animation fits in with the ‘iconic’ area in McCloud’s triangular
plane. All the characters and animals were designed with simplified figures. They are neither

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realistically rendered nor abstractly represented.

For the design of the protagonist girl, Sophie, a series of sketches was created until I satisfied
with the final design. The first sketch of Sophie was created on November 2006 as displayed in
the Figure 14.

Figure 14 The first sketch for the design of Sophie

I set up that the girl has a sensitive and nervous personality since she holds a secret in a major
part of the story and she is anxious about it. I considered the design of the girl with a skinny
figure, which is likely influenced by Sheldon’s (1970) theory. He proposed a theory that the
human physique is related to the temperament. He categorized human figures into three basic
body types. Each type has its correspondent trend of temperament. An endomorphy type, a round

shape of body, corresponds to an easy and relaxed personality. A mesomorphy type, a muscled
figure, corresponds to an active and energetic personality. An ectomorphy type, a thin and
fragile figure corresponds to a personality of ‘introvert’ (Sheldon 1970, p. 228). An introvert
personality is used to describe a person who is sensitive and fragile. This theory was criticized
and questioned by other scholars (Sutherland 1951) for human personalities are too complicated
and are influenced by many factors such as heredity and environment. Thus this categorization
can be seen as a reference, but not an absolute rule. However, many animations use this theory

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of body types as a reference for their character designs. For example, in The Nightmare Before
Christmas (1993), Jack Skellington, the protagonist, is a sensitive thinker with a extreme skinny
figure. On contrary, Santa Claus is designed as a warm and easy person with a round shape.
In my animation, the skinny shape implies the girl’s sensitive personality, while her parents’
indifference is represented by their chunky bodies.

Figure 15 The second sketch for the design of Sophie

Figure 16 The third sketch for the design of Sophie

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Some different designs for Sophie were created before the storyboarding (Figure 15 and Figure
16). I applied the design of Sophie in Figure 16 when I drew the storyboard in April, 2007. I felt
that Sophie is a teenage girl so her dress should look younger in terms of fashion. The design in
Figure 15 shows more a mature ‘dressed up’ look.

I changed the design of her facial features by referencing the facial features of characters in anime.
It is a visual convention in anime that characters have large eyes (Brophy 1994; Poitras 2001, pp.
59-60). Several versions of facial features, especially eyes, were developed as following per the
following sketches. The triangular face is also a significant feature contributing to the cuteness
of girl characters in anime. I applied these features in the design of Sophie’s face.

Figure 17 Facial design of Sophie

Continuing with the idea of skinny body figure as discussed earlier, I came up with the final
design of the girl with very slim proportions by referencing characters in a Japanese comic book,
Nana (Yazawa 1997-). My rough sketch of Sophie and one character from the comic book are
compared as following:

Figure 18 Character design by referencing Nana (Yazawa 1997-)

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I then moved to the 3D computer program to design the details such as the hairstyle, and to
experiment with visual elements such as colours and textures.

The design of the worm also progressed through different versions until it reached the final
version:

Figure 19 Different versions of designs for the worm

The first rough sketch in the left of Figure 19 was drawn on February 2007. It is a worm has many
tentacles on its head but is without a face. While developing the storyboard, I added facial features
for the worm as shown in the middle of Figure 19, because there are interactions between the
girl and the worm in the animation. This also fits in with the long tradition of anthropomorphosis
of animals in animation. An animal character with facial expression and human-like behaviour
is easier for audiences to relate to. On the other hand, the gag and exaggeration in animation is
able to be developed, since viewers are aware that they are animals and not humans. I created the
latest version of the sketch for the worm as shown in the right of Figure 19 in July 2007 before
the modelling in 3D software started. The worm in this version has big eyes and a small mouth,
which fits in with the visual conventions in anime as used in the design of Sophie’s face. It also
works for storytelling purposes because it explains why Sophie is willing to approach the worm.
I also developed the facial expressions in the same sketch, in which the normal facial expression
looks friendly and cute, and another facial expression shows the naughty or wicked smile.

For the design of the butterfly in the end of my animation, I intended to create a graceful and
organic pattern for the wings. The major inspiration for the pattern came from the design in Art
Nouveau, which is “the name given to a style in the visual arts that was a powerful presence in
Europe and North America from the early 1890s until the First World War…It existed in all genres,
but the decorative arts were centrally responsible for its invention and its fullest expression”
(Greenhalgh 2000, p. 18). The Art Nouveau style has been used to design jewellery and furniture
(Fahr-Becker 1997; Greenhalgh 2000; Sembach 1991). The prominent characteristic in this style

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is its flowing curvilinear forms that are inspired by the biological form. I created the curvilinear
pattern for the wing of the butterfly as shown in the following figure:

Figure 20 A sketch of the design for the butterfly’s wing

4.5.4 Environmental design

For the environmental design, I used an iconic approach to represent the environment of my
homeland, Taiwan. Since the creation of the story is inspired by my wife’s dream, I set up the
location of the story in Taiwan where she grew up and where her parents still live. I used the
sketches I drew for suburban environments and the city in Taiwan as my major reference for
the outdoor scenes in this animation. In these sketches, I applied an iconic approach to simplify
the elements in the environments, in the same way that I approached the character designs – to
create the flatness of 2D graphical appearance. The commonly seen objects such as entangled
electricity cables and disordered neon signboards are illustrated in the sketches.

Figure 21 Sketches of scenic elements in Tainan, Taiwan

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I drew the above sketches (Figure 21) of scenic elements in suburban area in Tainan, a county
in southern Taiwan. Electricity towers, antennas on roofs and electricity poles are significant
visual elements I observed and houses are mostly under five levels. These sketches were used as
references for the creation of the 3D environment for the first scene.

Figure 22 A sketch to resemble childish doodles

I drew another sketch (Figure 22) in July 2007 before I created models for the environment of the
first scene. I attempted to create a visual style resembling arbitrary, childish doodles to represent
Sophie’s innocence and joyfulness before she acquired the secret. Combining the sketches in
Figure 21 and Figure 22, I created 3D models for the environmental in the first scenes with flat
buildings.

Figure 23 Sketches of scenic elements in Taipei, Taiwan

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I drew some other sketches (Figure 23) for the objects I observed in Taipei city, the biggest
city in Taiwan. Signboards, streetlamps, traffic signs and lights, electricity poles and exhausting
vents and pipes are significant elements in the environment. Buildings are usually higher than
ten levels. These elements are applied in the design for the second scene in the project.

4.6 Other visual concepts

There are other visual concepts that significantly inform my creation of 2D graphical styles in
the animation. They are animation principles, narrative strategies and the editing related to shot-
to-shot relations.

4.6.1 Movement and kinetics

As discussed earlier in this chapter, the illusion of movement is probably the most important
aspect of animation aesthetics. In 1930s, Disney Studio established twelve principles for the
guidance in the production of traditional line and cel animation (Thomas & Johnston 1981).
They are:

1. Squash and stretch: shape distortion of an object in action to define the rigidity and mass of
it

2. Anticipation: the preparatory action before the next action

3. Staging: presenting action through composition so that it is unmistakably clear

4. Straight ahead action and pose-to-pose action: the two fundamental approaches to create
movement

5. Follow through and overlapping action: the termination of an action and establishment of its
relationship to the next action

6. Slow In and slow out: smoothing start and stop of an action through the spacing of the in-
between frames

7. Arcs: the visual path of action to form natural movement of an organic figure

8. Secondary Action: the action of an object resulting from the action of another object it
attached on

9. Timing: spacing actions to define the weight and size of objects and the personality of
characters

10. Exaggeration: accentuating the essence of an idea through the caricature of actions

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11. Solid drawing: good drawing skill

12. Appeal: creating a design of character that the audience enjoys watching

These principles had been widely applied in productions throughout the history of animation.
Some additional principles were proposed by Kerlow (2003) for the production of 3D computer
animation. John Lasseter (1987), the director of Toy Story (1995), discussed the application of
these principles in the production of his 3D computer animated shorts including Luxo Jr. (1986).
Traditional principles have also been further tested by using standard 3D computer software
(Elstob 2003; Harvey 2006).

In my animation, these animation principles were subtly applied. I intended to create natural
movements for characters because the story is not comic-oriented. Animation principles such as
squash and stretch and exaggeration are only subtly applied. I also used computer tools to simulate
the movements of objects such as hair and clothes. The realistic movement of hair and clothes is
a visual convention in anime as discussed earlier. The contrast between realistic movements and
2D graphical flatness contribute to the unique, hybrid aesthetic in my animation.

Body motion and facial expression are important in the way I tell the story in Sophie’s Secret.
I relied on visual storytelling rather than dialogue, which is similar to the form of vaudeville in
animation. Use of the vaudeville form in animations has a long tradition beginning in the early 20th
century (Klein 1993). The gag (storyline) in vaudeville is advanced more often through actions
and music than dialogue. In the same way, animation gags are expressed and advanced mostly
through action and music. Many contemporary animated shots still apply actions and music
to tell stories for the maximum comprehension and appreciation across cultures. For example,
the Oscar-wining short animation, Father and Daughter (2000), used actions of characters in
silhouette and music/sound effects to tell a touching story.

The camera movement is also crucial for the creation of visual styles between 2D and 3D. In
traditional line and cel animation, camera is mostly stationary and only allowed to move closer
or away from the plane in which the drawings are placed. Hence, the camera movement such as
panning and tilting is actually an illusion through the movement of the plane of drawing. On the
contrary, in 3D computer animation, animators have an even greater freedom to move camera
than cinematographers have in operating real cameras for live-action film, although the design
of virtual cameras in 3D software aims to resemble real cameras. The camera can be placed in
any location and moved in any speed, direction and angle, without any mechanical limits in 3D
virtual spaces. However, the freedom of camera movement does not necessary yield attractive
effects for storytelling purposes. In my animation project, I kept the camera movement subtle in

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most of the shots so as not to break the illusion of 2D graphical flatness. However in some shots
when the camera moves significantly, especially pushing forward or pulling backward, the 2D
graphical images and the changing of 3D perspective create a hybrid visual appearance between
2D and 3D, for example, in the shot where Sophie runs toward her home, and in the last shot
where she was carried to the sky by the butterfly.

4.6.2 Narrative strategies in animation

Wells’ (1998) identified ten narrative strategies, which are special visual approaches to facilitate
storytelling in animation. Condensation and symbolization have already been discussed in Chapter
3 as two strategies that inform my animation production. Metamorphosis and penetration are two
other narrative strategies identified by Wells (1998) that were applied in my production.

Metamorphosis is an intrinsic characteristic in animations produced by techniques such as 2D

line and cel animation and clay stop motion animation. It is defined as “the ability for an image
to literally change into another completely different image…through the evolution of line, the
shift in formations of clay, or the manipulation of objects or environment” (Wells 1998, p. 69).
In line and cel animation, lines and shapes are re-drawn frame by frame with human hands,
so slight shifting of lines and shapes is almost unavoidable. In the making of clay stop motion
animation, clay was added, subtracted or reformed for the next frame of photograph in stop
motion animation. Sometimes it is an issue to keep the consistency of characters or objects in
these types of animations because of the nature of shape-changing. However, many animators
take advantage of this to create unique metamorphosis for storytelling. For example, the Betty
Boop animation produced by Max Fleischer in 1930s applied many swift metamorphoses to
characters and objects to convey comic effects (Klein 1993). Metamorphosis is used as a primary
tool to express ideas in some animations such as Your Face (1987), a line and cel animation,
and The Great Cognito (1982), a clay stop-motion animation. In these animations, the shapes of
characters keep changing in an imaginative and unexpected way to create comic effects.

Metamorphosis between images can also be created digitally with computer technology. ‘Morph’
is a term to describe the seamless transition from one image to another through the use of
computer algorithm (Furniss 1998, p. 78). ‘Morph’ can be created in two dimensional or three
dimensional ways (Neuberger 2002; Zwar 2002). No matter whether 2D or 3D processes of
‘morph’ are used, points of an image or a 3D geometry need to be specified for the changing
from one image or original object into the other image or geometry. The processes are tedious
but not as straightforward as in 2D line and cel animation and clay stop-motion animation. It is
this limitation that constrains the application of metamorphosis in computer animations.

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Before the animation production, I attempted to test the subtle distortion for characters to
resemble the natural shifting between frames in 2D cel and line animation. I conceived an idea
to distort the 3D models without the need to modify the points as discussed earlier. I created a
transparent block object and attached it in front of the virtual camera as a lens to distort characters
and objects. I increased the Refractive Index attribute of the transparent object and changed the
shape of it to create the distorted effects. The result is displayed in Figure 24.

Figure 24 Images from the test of lens distortion

In Figure 24, the original character without the distortion is shown in the left and distorted
characters in the middle and right. The proportions of the characters’ upper bodies change
without the need to modify the models. The proportions can change with time if the shape of
the lens or the Refractive Index is keyed. However, this effect was not applied in my animation
project because it conflicted with other effects, especially the creation of lines resembling hand-
painted lines. However, this effect can be further applied in other projects to create unique visual
styles.

Penetration is another narrative strategy I applied in the animation. It is “essentially a revelatory

tool, used to reveal conditions or principles which are hidden or beyond the comprehension of the
viewer…It becomes the very method which defines or illustrates particular kinds of experience
which do not find adequate expression in other forms” (Wells 1998, p. 122).

I planned to apply the metamorphosis and the penetration in the storyboard, which is shown in
the following figures:

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(a)

(b) (c)

Figure 25 Example of metamorphosis and penetration in the storyboard

I applied metamorphosis and penetration in the shot of Figure 25 (a). A red dot pulses with the
sound of heartbeat and then transforms into the shape of a heart. The consequent appearance of
lines and shapes of colours blocks the image of heart and shows Sophie’s body. The metamorphosis
from the dot to the heart and the penetration to reveal the view of the heart are applied together
in the shot.

A more complex use of metamorphosis is devised in the shot of figure 25 (b) and (c). Sophie
walks among passersby in figure 25 (b). In figure 25 (c), all the eyes belonging to passersby
transform into strange shapes while their bodies disappear. The final images and technical issues
are discussed in the next chapter.

4.6.3 Shot-to-shot relations

I used the storyboard as a plan to compose visual elements in shots and to consider shot-to-shot
relations. “Storyboard is the bridge between a written script and the visual world of cinema”

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(Cantor & Valencia 2004). I drew the storyboard based on the final version of script I wrote
(Appendix A). I modified several shots according to feedback from others. The final version of
storyboard is attached in the Appendix B.

Montage and special transitions between shots are the two major considerations in the
storyboarding in my project. They are usually processed in the editing stage of live-action
filmmaking. Editing is essential to live-action filmmaking to conduct “the task of selecting and
jointing camera takes…the set of techniques that governs the relations among shots” (Bordwell
& Thompson 2004, p. 52). Unlike live-action filmmaking, in animation production the shot-to-
shot relations are often set up in storyboarding stage to avoid the waste of finished animation
sequences. Animating is often very time-consuming so to discard any of the finished animation
shots would be a waste of money.

Montage is a significant concept of cinema developed by Soviet filmmakers. In this project

I especially draw on Eisenstein’s (1949) notion about montage in filmmaking to create a
disconnected, dream-like effect. Ideologically, he believed that through dialectic conflict and
collision of opposing components, new meanings emerge. Practically, “it emphasizes dynamic,
often discontinuous, relationships between shots and juxtaposition of images to create ideas not
present in either shot by itself“ (Bordwell & Thompson 2004, p. 504). Bordwell contends that
the montage forces viewer to interpret the implicit meaning of the discontinuous juxtaposition.
The concept of montage is often adopted by film production in Hollywood to express an altered
state of mind such as flashback, illusion, and dream sequences through rapid cutting with
discontinuous segments (Halpern 2003).

In the storyboarding stage, I planned to apply the concept of montage in the scene where Sophie
sees a worm emerging from an apple. The consequent shots are juxtaposed by numbers of
apples, her parents, the dog and the moon in different locations. They all have worms inside. This
montage sequence represents Sophie’s imagination, through which she realizes that everyone
has a worm inside and thus resolves her inner conflict of the secret.

In the production stage, I added a montage dream sequence for Sophie to make it visually
stronger than the plan in storyboard. The montage sequence is a rapid cutting of short-length
shots to juxtapose images of dancing worms in her nightmare and other images of events that
terrify her, such as the worm’s penetration.

I planned two special transitions between scenes in the storyboarding stage to take advantage of
using 2D graphical styles. The first is to transit between Scene Two and Scene Three to connect
two very different visual styles:

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(a) (b)
Figure 26 The first example of special transition in storyboard
In the Figure 26 (a), Sophie runs though passersby on a street. All the background and passersby
gradually smear and disappear to dark. She keeps running until a door emerges in front of her.
She opens the door and then light emits from the room behind the door. The whole scene fades
into white and transits to next scene. The images before the transition are dark, black-and-white
and messy to imply Sophie’s anxiety, while the images after this transition are clean and tidy,
with a white background to show a seemly safe environment.

The other special transition I planned in storyboard was between Scene Five and Scene Six to
create a visual impact through a rapid zooming (Figure 27).

(a) (b)
Figure 27 The second example of transition in storyboard

The image in Figure 27 (a) is the last shot in Scene Five. The extreme close-up of Sophie’s eye
shows her shock after she discovers that worms extrude out of her parents. The camera zooms
in swiftly into Sophie’s eye and reveals the group of worms that are dancing on a roof in Figure

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27 (b). However in production stage, I changed it into a fade in and fade out transition because
I considered the transition would be too confusing to the audience. The two shots should not be
connected so closely that they might mislead the audience into thinking that Sophie sees dancing
worms. The worms are actually in Sophie’s nightmare.

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Chapter 5

Concretization in Production processes

In this chapter, I discuss the issues regarding the production processes in the creation of multiple
visual styles to facilitate a dream-like quality in my animation. I first compare the standard
production pipelines of 2D cel and line animation and 3D computer animation, and discuss what
is unique in my production workflow in my 3D computer animated short film. I then discuss the
key processes in 3D computer production and specific techniques that inform the creation of 2D
graphical styles. Finally, I describe the techniques used in my animation production scene-by-
scene.

5.1 Workflows in animation production

The workflows of 2D cel and line production and 3D computer production have some similarities
and intrinsic differences.

The standard workflows of 2D line and cel animation and 3D computer animation productions
are displayed in Figure 28 and Figure 29 (Winder & Dowlatabadi 2001, p. 242).

Figure 28 2D line & cel animation workflow derived from Winder & Dowlatabadi (2001)

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Figure 29 3D computer animation workflow derived from Winder & Dowlatabadi (2001)

Basically, processes of pre-production and post-production are similar in both 2D and 3D

workflows (Milic & McConville 2006, p. 116 & 40). The pre-production involves script,
character and location designs, and storyboard. The post-production includes the composition of
all visual elements together with audio elements.

There are two essential differences between 2D line and cel animation and 3D computer
animation workflows. Firstly, the processes in 2D workflow proceed one after another whereas
some processes in 3D computer progress in parallel. This is because the digital processes in 3D
computer animation help to automatically generate images, and digital data is easier to transfer
and replace. In 3D computer production, after a storyboard and designs of characters/locations
are finished, the processes including modelling, texturing and animating all proceed digitally.
Textures on objects can be replaced and lighting can be adjusted after animating is finished. On
the contrary, in 2D line and cel animation, although images are also digitised in the computer for
final output, the frame-by-frame hand drawing is still the major process used to create the illusion
of actions. The inking and painting process that gives colours and texture on the characters can
only be commenced after the sequences of frames with characters’ actions has been tested and
finished, which is usually called ‘pencil test’ (Beckerman 2003, pp. 203-5).

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The second, between the two is that in 3D computer workflow, more processes are needed before
the animating process is commenced but the animating and images output process are likely to
be less laborious than those in 2D processes. In 2D workflow, animating process can be started
right after character and environmental design and rough layout are finished, but in 3D workflow,
many processes such as modelling, texturing and rigging are required before animators can start
animating. These processes are usually time consuming and laborious. However, after those
processes are finished, computer programs help to speed up the animating and the output of
images. Animators set up key poses and the computer calculates the in-between frames, which
need to be drawn by hand in 2D processes. Character and environment models can also be
reused for animating all the scenes in an animation. After all the visual settings and animating
are finished, the rendering process automatically generates images in the computer. In 2D
workflow, the detailing of images such as the linking process is more a frame-by-frame process
that is labour intensive. The preparatory processes before animating in 3D computer animation
are comparable to processes used in stop-motion animation. The making of characters and the
building of environmental sets are necessary before animating in stop-motion animation (Shaw
2003). The animating process can also advance quickly by moving characters and pushing the
button to capture the frames with cameras.

Short animations are usually produced by one person or a small group of people. A workflow for
short 3D computer production is shown in the following figure (Cantor & Valencia 2004):

Figure 30 Workflow for 3D short production derived from Cantor & Valencia (2004)

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The workflow of 3D short production is similar to that of studio production shown in Figure
29. Key processes including modelling, texturing, rigging and animating remain the same. The
major difference is likely to be the number of characters and scale of environmental settings. In
a small production, with a relatively small personnel, the number of characters and the scale of
environments need to be limited. Animators need to work on several different processes or on
all the processes.

In my animation production, workflow is simplified and is more flexible in a scene by scene basis
with the advantage of using 2D graphical styles. The workflow is displayed in the following
figure:

Script

Character design/
Environmental design Storyboard

Modeling/
Rigging (if applicable)

Scene by Scene
Sound

Texturing
Animating

Rendering

Compositing/
Story reel
Editing

Output

Figure 31 Workflow for the production of Sophie’s Secret

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All key processes including modelling, texturing, rigging and animating are in the workflow but
many of them are also simplified. These key processes are discussed in the next section.

A significant difference in this workflow is the scene-by-scene base, which is different from the
workflow shown in Figure 29 and Figure 30 where animating process starts after all the models
are finished, rigged and textured. First, I built models of main characters, Sophie and the worm,
which were used in most of the scenes in animation. Then I started modelling the environmental
settings and considered the visual appearance for the first scene. After the animation in the first
scene had been finished, I built extra models needed for the second scene and experimented with
the visual style in this scene. Some character/environment designs are also integrated into this
workflow. For example, I designed the pig parents and the various dancing worms just before
the production of the scenes where they are included. This flexible process allows me to develop
different visual styles as artistic expression. The flexibility of production processes benefit from
the choice to represent the story in 2D graphical styles. In the next section I discuss the reduction
of complexity in key processes in my production.

5.2 Key processes in 3D workflow

In this section I discuss key processes in 3D production workflow and how the complexity of
these processes including modelling, texturing and rendering are reduced due to the demands of
creating images in 2D graphical styles.

5.2.1 Modelling

Modelling “is the process of building the objects that are going to be placed in front of a (virtual)
camera. Whether the item is a character, prop, or an environment” (Winder & Dowlatabadi 2001,
p. 248). The modelling process in my project is based on the method used in the 3D computer
animation industry. I first created hand-drawn designs for characters and environments. 3D
models are built and modified based on these hand-drawn designs.

The modelling process was simplified in this project because the building of topographical details
was not necessary for 2D graphical appearances. The complexity of building anatomy details for
characters (such as bumps or concaves) was reduced because flat colours would be filled into the
shapes in the final images. Instead of considering the three dimensional geometries, I focused
on the appealing silhouettes and the outlines of character models, since they define the shapes
of characters.

5.2.2 Texturing

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In 3D computer animation, texturing is a process used to define how surfaces of 3D objects

look (Laybourne 1998, pp. 237-8). As discussed in section 4.3.1, the film industry has pursued
the creation of realistic images with 3D computer technology. Texturing and lighting are key
processes used to create convincing, realistic images in three-dimensional spaces. The method
uses maps such as colour maps and bump maps to wrap on objects for the presentation of surface
properties. Physical properties such as reflection and opaqueness also need to be considered in
order to create a realistic look.

In my project, concerns regarding physical accuracy and surface properties were not necessary.
Instead, I used the quality of lines and shapes to define the characters and spaces. The creation of
lines and shapes with 3D computer techniques is discussed in the section 5.3.

5.2.3 Rigging and Animating

Rigging is a process of “creating a character’s internal skeleton and any necessary movement
controllers and special functions” (Cantor & Valencia 2004, p. 286) to a model so that body parts
are connected and can be manipulated by an animator. These skeletons work in a similar way to
armatures, which are built up in stop-motion characters to enable them to be manipulated. The
rigging and animating process in my project are based on standard processes of 3D production.

The way I animated the characters in this project is based on the pose-to-pose method. As
discussed in section 4.5.1, pose-to-pose and straight-ahead are the two basic approaches used
to animate characters in traditional cel and line animation (Laybourne 1998; Whitaker & Halas
1981). In pose-to-pose animation, key poses are created first and then in-between frames are
drawn to connect the key poses. In straight-ahead animation, animators draw frames of actions
in the same sequence as they are shown to create the illusion of movement. In general, straight-
ahead method creates flowing, spontaneous actions, while the pose-to-pose method has more
structured action and better control of the overall composition. Pose-to-pose is a popular way to
animate in 3D computer animation (Lango 2001). The setting of key frames for the computer
to calculate the in-between frames underlies the 3D computer animating process. For a 3D
computer character, there are usually many parts of the body such as hands and legs that can be
set individually as key frames. Although the straight-ahead approach can also be applied in 3D
computer animation by setting the key frames individually and spontaneously for each part of
the body, the management and manipulation of all the keys set in this way takes much effort. In
the process of the animating, I started to set key frames for all parts of the body to create poses
and then shifted keys for some parts of the body to break the stiffness. By doing this, I kept the
animating process organized and had the control of the overall composition.

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Layering of action is also an advantage in the animating process of 3D computer production.

Two or more actions can be blended together to form a desired action. Each action can be
manipulated and shifted in terms of timing. I used this technique in animating some characters
in my animation. The Figure 32 shows an example.

I completed a walking cycle for Sophie and stored it as a basic action. The action of walking
is shown at the top layer of figure 32. I added more actions such as the turning of her head
afterwards, and stored them in another layer. In this way, I obtained more flexibility in the
animating process.

Figure 32 Editing panel for layered animation

5.2.4 Rendering

Rendering is a “process through which the computer takes all of the data that define a 3D
scene, including models, textures, lights, and camera, and creates a 2D image of that scene”
(Laybourne 1998, p. 241). Rendering is possibly comparable to the painting and inking process
in 2D animation workflow, because both of them are processes used to detail images for final
appearance. Both of them are also time-consuming processes, although rendering process is
less labour-intensive than the inking and painting process. For realistic oriented 3D computer
animations, images of a scene may require hours or days to be fully rendered.

In my animation, the rendering time is significantly reduced for its 2D graphical styles. The
Figure 33 is a comparison of two characters in different styles.

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Figure 33 Comparison of the character in my previous project and Sophie

The character on the left is the one that I created for my previous short film with a realistic-
oriented appearance. The girl character on the right is Sophie in this animation. Using the same
resolution of 768 by 576 pixels rendered in the same computer, the render time for the man is
17 seconds and the render time for Sophie is only 3 seconds. For the PAL system I used for this
project, the frame rate is 25 frames per second. In a five-minute short animation, there are:

5 × 60 × 25 = 7500 frames

Fourteen seconds is the difference of the rendering time between the two characters for a frame.
For a single layer of character, the accumulated rendering time difference is over a hundred
thousand seconds, which is about 30 hours. Moreover, a production with a realistic style usually
needs multiple layers for foreground and background images. Multiple passes such as colour
pass and specular pass are often rendered separately for a layer in order to gain more control
over the final images. The accumulation of the time difference between the two styles for a five
minutes short film can be more than ten times the 30 hours. Significant rendering time is reduced
when a graphical style is applied.

5.3 Techniques and preliminary test for 2D graphical styles

In this section I discuss techniques to create 2D graphical styles with 3D computer technology. I
also discuss my preliminary testing of methods I used to achieve these styles before the animation
production.

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5.3.1 Non-Photorealistic Rendering and toon shading

Non-photorealistic rendering (NPR) is “the family of techniques that can be used to produce
scenes that do not exactly resemble the real world” (Burgess, Wyvill & King 2005). This
definition outlines a wide range of techniques developed in the field of NPR. “NPR generally
tries to mimic images made by hand…” (Strothotte, Schlechtweg & NetLibrary Inc. 2002, p. 13).
Usually, the purpose of NPR is to resemble a picture created by artists. There are basically two
categories of non-photorealistic computer techniques. One is the application of algorithms to
modify photographs acquired from the real world to resemble paint-like or drawing-like images,
according to the designer’s intention. For example, an algorithm is used to manipulate photographs
into an appearance of an oil painting (Hertzmann 2002). The other includes techniques used to
output images from a virtual 3D environment with painterly or illustrative appearance (Lu et al.
2003; Savchenko, Unno & Kojekine 2002). There are a variety of techniques that can be used
to simulate pictures created by artists. For example, techniques are used to simulate pen-and-ink
illustrations (Wilson & Ma 2004) or various type of paintings (Chi & Lee 2006). The techniques
used in my project fit into the second category, since most of images are rendered and outputted
from 3D computer programs.

Toon shading, or cartoon shader, is a technique defined as “mimicking the look of hand-drawn
cartoons, these shaders create a black outline around the perimeter of your (3D) model, and
simultaneously limit the number of colours on the interior surface to a very few” (O'Rourke
2002, p. 260). Both NPR and toon shading are techniques to digitally simulate 2D artistic works.
Non-photorealistic rendering usually refers to techniques encompassing algorithms developed
by researchers in the computer science field. Toon shading is either a function embedded in
standard computer animation programs such as 3ds Max (Bonney & Anzovin 2005, pp. 842-
8) or algorithmic scripts and plug-ins developed by individuals or in-house programmers of
production houses, such as Disney Studio (Teece 2003). Toon shading scripts and plug-ins
developed by individuals are often available online for free while those developed by in-house
programmers are protected by production houses. All toon shading scripts and plug-ins are
designed for use under the structure of standard commercial programs. Some effects developed in
non-photorealistic rendering can be created comparably in standard 3D computer programs. For
example, the comparison of brush strokes simulated by an algorithmic particle system (Fischer,
Bartz & Straβer 2005), and an image rendered from the particle system in my preliminary test
from the commercial 3D program, Maya, is shown in following figure:

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Figure 34 Comparison of images created by Fischer, Bartz & Straβer (2005) in the left
and the rendered images in my preliminary test with standard 3D program in the right

Other effects created by non-photorealistic rendering are not easy to achieve by standard 3D
program with scripts and plug-ins. For example, Wilson & Ma (2004) developed a process to
create images from 3D models in combination with 2D and 3D processes. One image rendered
from their system is shown as following:

Figure 35 Image with pen-and-ink style created by Wilson & Ma (2004)

The natural pen-and-ink appearance is not easy to achieve with commercial 3D programs. To
develop algorithms of non-photorealistic rendering is beyond my ability and the scope of this
research. The techniques that I applied in this project are basically functions provided by standard
3D computer programs, or scripts and plug-ins that are available online.

Independent animated filmmakers and some production houses have applied NPR and toon

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shading techniques to create 2D graphical styles. There were some attempts to produce full-
length 3D computer animations with 2D graphical styles. Walking Life (2001) and Scanner
Darkly (2006) were filmed in live-action and then computer algorithms were applied to modify
live action footages into painterly appearance in the post-production process. Renaissance
(2006), a 3D computer science fiction film, applied motion capture to virtual characters. The
film was rendered in a high contrast back-and-white style, which was influenced by the original
comic book (Zahed 2006).

There are more 2D graphical approaches in short 3D computer animations, and these are usually
screened in film and animation festivals. Some of them are produced by small studios to showcase
their work; others are created by university students to present their capability in aesthetics and
skills. For example, L’Enfant de la Haute Mer (2001) and Le Processus (2001) are two animated
short films that were created by students in SUPINFUCOM, a school in Valenciennes, France.
They were selected to be screened in the animation theatre of SIGGRAPH, an annual conference
of computer graphics, in 2001. Images in L’Enfant de la Haute Mer (2001) were rendered with
3D computer techniques to simulate the appearance of water colour painting (Cantor & Valencia
2004, p. 116). In Le Processus (2001), black-and-white stripy textures are applied on characters
and objects to present a woodcut-like visual style.

In addition to animation shorts, some TV commercials, music videos and game trailers
experimented with visual styles by creatively using 3D computer techniques. PSYOP, a New
York base studio, has produced TV spots and music videos that are acclaimed for their concepts
and aesthetics. PSYOP was founded in 2000 and grew to a medium-sized studio with a team
of 32 people in 2005 (Romanello 2005). In some of their works, visual styles are created in
combination of graphical design and 3D computer technology. Todd Muller, one director in
PSYOP, described the concept in the production of a music video for Sheryl Crow, a pop
singer, saying: “we wanted to give it a two-dimensional quality, but still have a lot of three-
dimensional dynamics. There was a lot of interplay between 2D and 3D” (Romanello 2005, p.
32). The interplay of 2D and 3D is also a major purpose of exploration in my animation project.
Monster Farm 5 Circus Caravan (2006) is a game trailer that was selected in the electronic
theatre collection of SIGGRAPH in 2006. Similar to the approaches in PSYOP’s TV spots, 3D
computer techniques were used to render out 2D graphical images. They both took advantage of
the 2D graphical styles to play visual tricks. For example, the object in the foreground blocks a
character while the camera is moving and the character appears from a different angle or poses
in a different location after the blocking object moves away. I experimented with similar visual
trick in the first few shots of the animation.

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5.3.2 Lines and shapes in a 3D space

In this preliminary test, I used toon shading techniques to simulate hand drawn lines and shapes
in a 3D space. I referenced the visual style of Gerald McBoing Boing discussed in section 4.4.1
to create this space with minimal visual elements. The 3D wireframes and the rendered images
are displayed in the following figure. The result of this test was further applied into my animation
production.

(a) Geometries are rendered in 3D wireframes (b) Geometries are rendered with Toon Shading

Figure 36 The wireframe and rendered images for the test

Lines and shapes were basic visual elements under experiment in this test. Several different
qualities of outlines are rendered to define the objects in this space. Plain colours were used on
the 3D objects to create a flat visual appearance. Many objects are set in white colour to blend
into the plain white background. With this approach, visual elements are reduced and outlines
are punctuated.

Experiment with the qualities of lines was the particular focus of this test. A function in 3D
computer program called Paint Effects was used to simulate hand painted brushes. For the
simulation of hand painted brushes, the Disney Studio has developed a system called Sable for its
animated projects (Teece 2003). A set of hand-painted brushes are used as a library and mapped
on NURBS curves that are attached on 3D geometry. They have integrated this system into
their production pipeline with other commercial 3D computer programs and in-house computer
renderer for the animation project, Lorenzo (2004). While Disney’s Sable system used scanned
hand painted brushes as a library, Paint Effects procedurally created brushes in 3D programs
for application. These brushes can be manipulated or further animated to simulate the brush
variation between frames in an animation.

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In some 2D line and cel animations, lines and inking shapes of objects are intentionally offset
to create stylised appearance. To emulate this effect, I created two 3D models for a sofa in this
test. One is for the display of outlines and the other is for inking shape. The 3D geometries and
rendered images of the sofa are shown in the following figure:

(a) 3D wire frame of (b) Outlines (c) A shape with single (d) Final rendering of
the geometry colour line and shapes

Figure 37 Brush simulation for a sofa

The coherence of the brushes on an animated character was also experimented with in this test.
I created a 3D model of little girl character and then rigged and animated the character for the
test. I applied different brushes for the outlines of this character. The lines with great width and
low opacity for the crease of the model create a random, flashy effect around the girl’s skirt and
face as displayed in the following figure:

Figure 38 Images in the test of brush coherence

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Camera movement was also applied in this test to examine the perception of space in a 3D virtual
environment. Some objects, such as the sofa in virtual space, are rotating while the camera is
moving. Since there are no clues for three-dimensional perspective, the rotation of these objects
is not easily sensed. This will give the animator freedom to obtain a desired angle by slightly
adjusting the position of objects while the camera is moving.

Randomness and imperfection is a significant principle for the creation of images from 3D
computer programs and it is equally important for the simulation of lines and shapes. Perfect
geometry with glossy surface of materials proved to be unattractive in the early production of
3D computer animation (McLaughlin 1986, pp. 35-48). One possible reason is that the eyes of
human beings are used to the real world, and materials and objects in the real world are never
perfect. For realistic oriented computer generated imagery, dents and dirt are added to textures
to break the perfection of computer generated material. Slight distortion of human or animal
figures makes them more believable. The randomness and imperfection are also visual hallmarks
of many traditional 2D line and cel animations because human drawings and touchings are
never perfect. Some independent animated filmmakers such as Phil Mulloy and Don Hertzfeldt
even accentuate the effect of imperfection to create their unique visual styles. The simulation
of the human touches of lines and shapes by breaking the perfection of images generated by
computer is also likely to be the way to make the images attractive. The early attempt to create
2D graphical images of 3D computer animations such as Gas Planet (1992) applied steaks on
objects in scenes. The streaks in this animation are moving with time to simulate the random
human drawings. In my preliminary test and other projects in this research, randomness and
imperfection are the guiding principles for the experiments using 3D computer techniques to
create 2D graphical styles.

5.3.3 Procedure texturing and particle system for 2D graphical styles

In the second preliminary test, I used texturing techniques and particle simulation to experiment
with the visual styles of shapes created from 3D computer software. I set up a black-and-white
colour scheme for this test to create a simple and high contrast appearance. The results of this
test were applied in my animation production.

In this test, I created a model of fish with very simple geometry, animated it to swim through the
path of a close curve and made this animation a loop.

I first experimented with procedure textures for the creation of the shape of this fish. A procedure
creation of texture “relies on mathematical functions or computer programs to create images that
are usually abstract” (Kerlow 2003, p. 253). Procedural textures are images created by algorithms in

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3D computer software without any involvement of photographs and hand paintings. The patterns
of procedure textures are often pseudo-random or rhythmic so they are now only subordinately
used for realistically oriented 3D computer animations. However, the abstract, pseudo-random
and rhythmic characteristics of procedure textures can be useful to create 2D graphical styles.
Moreover, the procedure used to experiment with visual styles created by procedure textures is
flexible and efficient, because the attributes of these textures can be modified in the same 3D
computer software. I experimented with many different types of procedure textures and kept
successful results. These results were further applied in the animation production. One of the
satisfactory results is shown in the following figures. The visual style resembles the appearance
of artwork created by the wood-cut technique.

Figure 39 Procedural texturing on the fish for the second preliminary test

I applied the particle system to experiment with visual styles on the same fish model in this test.
The particle system is 3D computer technique that is often applied to create motion for natural
phenomenon such as snowing and flowing of liquid (Kerlow 2003, pp. 350-1). Particles do not
have specific shapes or volume in 3D computer program, but they can be used to control or interact
with 3D objects. The behaviour of particles is calculated by computer algorithms according to
physical laws, and the result is used to create motions such as collision or turbulence.

In this test, dynamic, watercolour-like styles were created with the application of particle system.
A simple black-and-white procedure texture is mapped on the fish model as the previous test.
I then set up particles to be emitted from the surface of the 3D model. I experimented with
attributes such as shapes and size for the particles. The particle colour is set to base on the colour
of the surfaces that emits them. I also modified the size, transparency and the lifespan for the
particle system to achieve desirable appearances. The following figures show the result of some
desirable results of the experiment.

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Figure 40 Particle system used for shading on the fish for the second preliminary test

5.4 Production scene by scene

In this section, I present reflection and discussion regarding the production processes and
technical issues scene by scene. This animation was produced in a scene-by-scene base with
different visual styles, so the technical problems and decision-makings I encountered in one
scene may not apply to another scene.

Scene One

As discussed in section 4.4.4, for the design of the background in this scene I combined the
visual elements in my sketches for suburban in Taiwan and the doodle-like images. For the
buildings in this scene, I randomised the shapes of 3D objects to break the crisp lines generated
from 3D computer software. A colour scheme with similar value (saturation) and brightness was
used to convey a joyful and harmonious atmosphere before Sophie encounters the worm. For
the sky background, I experimented with black-and-white streak textures to contrast with the
colourful doodle-like buildings and to imply the consequent weird situation for Sophie. Figure
41 shows images for the experiment of the appearance of the sky:

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Figure 41 Tests of visual looks for environmental background in scene one

For some buildings in the Figure 41, I used texture patterns that projected to camera to
create a graphical appearance. The red curve pattern and the black circle pattern on the
houses are the procedure patterns projected to camera. These patterns remain in the same
position in the frame with the same shape of circle and curve no matter how the camera
moves. These visual elements help to break the perspective view in virtual 3D spaces.

I experimented with some 3D techniques to create the visual conventions in anime that are
discussed in section 4.4.2. The first uses special background to convey the moods of the characters
as shown in the following figures.

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Figure 42 Examples of using special backgrounds to convey feelings of characters

In the left image, the sun with radiation in the background presents the attractiveness of the
worm with a cute face. In the right image, which is the next shot, the flowers in the background
behind Sophie, show her feelings of affinity to the worm. The background is changes with the
mood of the shot. Before the worm jumps and penetrates into Sophie’s chest, the background
of sun changes into black-and-white irregular concentric circles at the same time as the facial
expression of the worm becomes mischievous.

Realistic movement of hair and clothes is also a visual convention of anime I applied in this
animation. I used dynamic simulation in 3D computer software to create these realistic movements.
Dynamic simulation involves “animation techniques [that] generate realistic motion of objects
by simulating their physical properties and the natural laws of physical motion” (Kerlow 2003,
p. 341). The contrast between the realistic movements and 2D graphical texture creates a unique
visual look.

Another visual convention of anime I applied in my animation is the cross-dissolve of action.

Instead of using a continuous action, several still images are cross-dissolved to show the progress
of this action. In anime, this technique is not only applied to save the number of drawings but
also emphasize the uniqueness of the moment. I applied this cross-dissolve action when the
worm penetrates into Sophie’s body. During these cross-dissolved images, the images of the shot
transit from colour to black-and-white to indicate the change of mood in the story. The following
figure shows two images of this cross-dissolve action:

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Figure 43 Images of cross-dissolved action

I used 3D computer software to create lines on the worm in the opposite movement direction
to present its speed. This is a simulation of ‘dry brushes’ techniques in traditional 2D cel and
line animation as discussed in section 4.4.2. The same technique was used to create lines in the
background to emphasize this action.

The notion of penetration, one of the narrative strategies of animation discussed in the section
4.5.2, was applied in this scene to reveal Sophie’s heart (Figure 44).

Figure 44 A shot with the notion of penetration and lines revealing

The gradual appearance of lines defining Sophie’s body at the end of the same shot reminds the
audience that this is an animation created by an artist. The presence of artist is one characteristic
of experimental animation discussed in section 4.2. The inspiration to create this sequence was
from the beginning of Gerald McBoing Boing where Gerald and his parents appear with the
revealing of strokes.

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Scene Two

I used the sketches in Figure 23 as references to create the urban environment in Scene Two.
Different from the colourful flat planes in the Scene One, the buildings I set up in this scene have
three-dimensional volume, and are with a black-and-white colour scheme to convey a heavy and
oppressive atmosphere.

Some techniques used in the Scene One were repeated in this scene. The camera projection is
applied on the signboards of the buildings. Dynamic simulation is applied for the movement of
flags on the street and the steams discharging from the exhaust on top of a building. Speed lines
or dry brushes are applied for the cars running on the street. The geometries of buildings in this
scene were also randomised to break the perfection of 3D computer generated images.

Figure 45 Images of environmental background in Scene Two

One challenge in this animation project was the sequence in which the bodies of passersby’
disappear, and their eyes metamorphose while Sophie is walking among them (as planned in
storyboard in Figure 25). In order to create this effect in this shot, I rendered six separated image
layers including Sophie, buildings in the background, two layers of passersby and two layers of
their eyes. The six layers and final image are shown in Figure 46. The eyes are actually planes
that are attached to the 3D models of passersby so they can be rendered in the separated layer
without influence on the shapes. The opacity of these layers thus can be manipulated to create the
effect where buildings and passersby’s bodies disappear, while their eyes transform into weird
shapes.

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Figure 46 Layers of images and the final compositing image in the shot 18

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The silk-like strings that grow from their eyes are created by the tool Paint Effects in the 3D
computer software. Paint Effects is often applied to create plants in 3D environments. Attributes
in Paint Effects can be adjusted to simulate the growth and natural movement of these plants. I
manipulated these attributes to create these fast growing, silk-like objects.

Another challenge in this scene is to create a special transition where all images smear out when
Sophie is running toward her home as planned in storyboard (Figure 26). I used a tool called
Fluid Effects in the 3D computer software to simulate the effect of smearing.

Figure 47 Smearing effect of images before Fluid FX (left) and after (right)

Fluid Effects is often applied to create objects such as water and clouds. I rendered some images
of passersby and background in this shot and imported them as initial states on the 2D fluid
container. I rendered the fluid simulation to create sequences where these images are washed out.
I placed these sequences with the original images and modified the opacity of these images to
create the smearing effect. The image in the left is the original image and the image in the right
is that to which fluid simulation has been applied.

Scene Three

I used the environmental models created in the first preliminary test (discussed in section 5.2.2)
for this scene to create the lounge room and the kitchen of Sophie’s home. Inspired by the design
of minimum and suggestive space in Gerald McBoing Boing, I created a very tidy space that
seems to be safe for Sophie.

Sophie’s parents were portrayed as pigs to convey symbolic meanings as discussed in Chapter 3.
The clothes that they wear represent the gender stereotype where the male is in the formal suit
with necktie and the female is in an apron, working in the kitchen. I created the sketch for the

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pig parents in October 2007 before 3D modelling:

Figure 48 Design for Sophie’s ‘pig’ parents

The behaviour of Sophie’s parents also ironically reflects stereotypes of gender roles in families.
In Gerald McBoing Boing, the father is reading a newspaper and the mother is sewing on a
rocking chair. In my animation, the father is watching TV in the lounge and the mother is washing
dishes in the kitchen.

I changed the design of the pig parents to a more human-like figure after all the animation had
been completed, because some viewers expressed confusion as to the identity of the characters
when I tested the animation on them. The final rendered images of pig parents are shown as the
following figures:

Figure 49 Final rendering of pig parents

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Toward a hybrid aesthetic

Compared with the original design in Figure 48, the shapes of pigs’ head were modified with
more humanlike features such hair. I kept the pig-like snouts as a compromise between the
articulation of story and the symbolic meaning of the parents as pigs.

Scene Four

In this scene, Sophie struggles to pull out the worm from her chest, I intended to create images
with dark colour to convey her depressed feeling. The visual style in Histoire tragique avec fin
heureuse (2006) was the major inspiration for the creation of the environment in this scene.
Histoire tragique avec fin heureuse is a 2D animation produced with the support of the National
Film Board of Canada. The unique black-and-white, woodcut-like style inspired me to create the
visual look of this room to express Sophie’s panic and anxiety as she struggles to pull the worm
out. A still image in Histoire tragique avec fin heureuse is compared to the final test image for
this scene in the following figure.

Figure 50 A still image in Histoire tragique avec fin heureuse (left) and the image of
environmental setting in Scene Four (right)
I applied the result of the second preliminary test (discussed in section 5.2.3) to create this
black-and-white, woodcut-like style for the expression of the horror mood and Sophie’s terror
and emotion.

In this scene, I used objects with textures to achieve the dramatic light and shadow since the
lighting function in 3D computer program was not able to create the desired stylised effect. I
first created a light in this scene to cast most of the shadows in this scene. I then created a plane
object with streak texture on its edge to create the bright area on the wall. I used another plane
object to present the shadow of the bed because the place and direction of shadow cast on the
wall is not visually desirable.

In the last shot of this scene, I created a special transition to reveal that Sophie is in a cocoon

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shape as a symbolic demonstration of metamorphosis. This metamorphosis represents Sophie’s

changing as an adolescence girl and links to the story in the final scene where the worm becomes
a butterfly.

To create the transition in this shot, a layer with Sophie in her room and a layer with Sophie in
the cocoon shape were rendered separately. The transition was created in post-production by
gradually reducing the opacity of the first layer to zero. The layers of images are displayed in the
following figures:

Figure 51 Images to show Sophie in her room (left) and cocoon shape (right)

The similar technique for the creation of the lighting area on the wall in Figure 50 is used
to create the cocoon-like shape in the right image. In the right image of Figure 51, the white
outlines shake violently in the animation to represent her terrified and chaotic mental state.

Scene Five

I experimented with the sequence of frames rendered from 3D computer software by reversing
and inserting frames in this scene to create special effects. The idea was inspired by Quay
Brothers’ stop motion animation work: The Phantom Museum (2003). Close to the ending of
this animation, the sequence of frames was manipulated to create a jerky and weird motion. I
intended to create the similar motion for the worms when they pierce outwards from the parents’
chests. Besides the motion, I added the flickering effect in the last few shots in this scene to
intensify Sophie’s shocked reaction when she discovers that the worms are coming out from her
parents. Plain back images and plain white images are created and inserted to replace images in
original sequence of rendered images. I rendered out this sequence with different versions. All

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white image insertion and all black image insertion are rendered. I decided to interlace black
images and white images for insertion to obtain a desirable effect. The following figure shows
four frames in a shot with image insertion.

Figure 52 The images sequence to create a flash effect in Scene Five

In the shot where the worms come out of the pig parents’ bodies, I experimented with the insertion
and reversion of existing images. I completed the animation with worms coming out first and
rendered out the sequence of images. Within this existing sequence of frames, I duplicated a part
of frames and renamed the frame number in reverse. In the original sequence, I renamed the
frame number to leave a space for the inverted sequence images to be inserted. I repeated this
process several times to create the weird movements of the worms.

Scene six

For the scene of Sophie’s nightmare in the animation, I designed the worms that dance on the
roof with various shapes, colours and texture patterns on them to create a strong visual impact.
The major inspiration was the designs in The Art of Monster, Inc. (Doctor & Lasseter 2001).
The book includes various hand drawn designs of the monsters during the visual development
stage for the movie, Monster Inc. (2001). Those designs of monsters represent the strangeness
of monsters through the use of imaginative shapes and colours, but at the same time remain
accessible for audiences for their iconic figures. This is the style I intended to create for the
worms. I created twenty different worms and ten of them were used as references to create the
models of worms in this scene. They are displayed in the following figures:

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 Process

Figure 53 Sketches for worms in Sophie’s nightmare

Figure 54 The rendered images for all the worms in Scene Six

The notion of montage was applied in this scene to create the chaos and sense of discontinuity
in Sophie’s nightmare. In this montage sequence, two shots that have happened before the

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nightmare were juxtaposed with the dancing worm sequences with rapid cut to create this effect.
One is that of the worm penetrating Sophie’s body, and the other is that Sophie walking among
deformed the eyes of passersby.

Scene Seven

In the beginning of this scene, the visual style remains the same as in scene four because Sophie
is in the same room as she was when she woke up from the nightmare.

In the following image sequence, I applied a very different visual style to represent Sophie’s
imagination. The images of apples, pig parents and dog in this sequence are created in a very
iconic and cartoony way to show the optimistic inspiration she experienced by seeing the worm’s
emergence from an apple. The movements in these shots are exaggerated to create comic effects.
In the last shot of this scene, Sophie transits from black-and-white to her natural colour to imply
her realization of the nature of the worm and her emotional change.

Scene Eight

In this scene, I planned to apply a soft, watercolor-like visual style for environmental setting,
since the atmosphere in this scene is soothing and relaxed. I used the models of buildings in
scene two as a base for the creation of environment in this scene. Instead of using black-and-
white textures in Scene Two, I applied colours with similar value for these buildings. I used two
procedures to achieve the soft and flowing effect in the final animation. The image in Figure 55
(a) is the rendered image from 3D computer program with toon shading technique. I then applied
watercolor filter in Photoshop to modify the image as shown in Figure 55 (b). The functions
of ‘record actions’ and ‘batch’ in Photoshop were used to modify each frame for the animated
sequences. These images were brought back into the 3D computer program and applied the Fluid
Effects, as used in scene two, to further modify images as shown in Figure 55 (c) for the final
appearance.

I also experimented with the frame rate to slow down the last shot and reach stillness to create
a sooth and peaceful mood in the end of the animation. I separated images in this shot into four
groups and set up to reduce the frame rate from the regular 25 frames per second to 4 frame per
second. I used digital editing software to blend these four groups of images together.

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(a) (b)

(c)
Figure 55 Images in the three stages of rendering in Scene Eight

5.5 Strategies toward hybrid aesthetics between 2D and 3D

I have created multiple visual styles by referencing traditional 2D animations with 3D computer
tools in this animation project. A unique, hybrid aesthetic is created through the interplay of 2D
and 3D. Here are eight strategies I have formulated from the experience of creating the hybrid
aesthetics between 2D and 3D in my animation:

1. As with traditional 2D animation, reduction is a significant concept that can be applied

to 3D computer production to avoid unnecessary details in a graphical representation.
Background setting can be reduced to its minimal. Animators can concentrate on the
performance of characters and overall aesthetic composition.

2. Randomness is the principle that can be applied to eliminate the perfect, geometrical
appearance of computer graphics. Randomness and imperfection are also principles for
realistic-oriented 3D computer graphics that may be applied to simulate the dirty, messy

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real world. For a graphical representation, the principles are applied to simulate hand-
drawn strokes and paintings.

3. Quality of lines and shapes are of major import in attempting to create 2D graphical
appearances in 3D computer processes. This is very different from the concern of lighting
and other physical rules used in conventional 3D computer animation to create a realistic
appearance.

4. The use of 3D computer production with 2D graphical styles enhances and creates new
possibilities of visual effects in relation to the transition between spaces, since images
are not bound by realism. Thus, visual tricks such as the view of penetration in scene one
(Figure 44) and smearing effect (Figure 47), become possible.

5. The dramatic change of a scene’s visual style, for example lines/shape/colour quality
altering, has minor influence on the consistency of 3D computer characters, as the 3D
models remain structurally constant. Therefore, visual styles can be explored and modified
in some or all parts of the story, without the need to consider consistency issues. These
described modifications are merely superficial.

6. Objects do not necessarily have to be three-dimensional in construction if they are

graphically rendered. This advantage enables some visual effects or tricks. For example,
eyes do not necessarily have to be constructed as spheres within the model of head. They
can be two 2D planes that are attached on the surface of the head model. They can be
removed or resized while the body is unchanged.

7. Dynamic simulations for the movement of hair and clothes for characters that are graphically
rendered create a contrast of realism and graphical quality to achieve a visual hybridity.

8. Producing 3D computer animations with visual references to animations that are produced
in other media, creates images with hybrid aesthetics. 3D computer programs are able
to simulate the visual styles of other animation forms. However, the intrinsic differences
between 3D computer techniques and traditional techniques can create hybrid visual
styles that are in between 3D computer animation and the animation form it simulates. For
example, the visual style in South Park (1997-) and my animation.

Here are the seven specific visual ideas that are induced from the practice of my own project and
studies of the works of others to create 2D graphical styles with 3D computer techniques:

1. Texture images can be projected to 3D virtual camera for some 3D objects to break the

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dimensionality of 3D spaces. For example, the flatness of buildings in Figure 41.

2. A slight distortion of 3D characters’ images with the progress of time can be applied to
break the perfection of 3D computer-generated images. For example, the slightly distorted
character in Figure 24.

3. The simulation of the ‘dry brush’ with 3D computer techniques can be applied to express
the speed of objects or characters with 2D graphical styles as shown in Figure 43.

4. Manipulation of frames after the rendering process can be used to create special visual
effects. For example, the insertion of frames with plain black or plain white to create the
flickering effect as shown in Figure 52, and the changing of frame rate as shown in Figure
55.

5. Derived from anime traditions, using special backgrounds for characters is a storytelling
device to express special moods of story or the emotions of characters as shown in Figure
42.

6. Manipulation of the quality of characters’ outlines can express the characters’ emotion. For
example, shaky outlines can be applied to show the fear of the character as shown in Figure
51.

7. Fluid simulation in 3D computer software can be used to create watercolour-like effect or

smearing effect as shown in Figure 47 and Figure 55.

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Chapter 6

Conclusion and Recommendations

In the journey of this research, I have accomplished a 3D computer animated short film with
multiple visual styles for a dream-inspired story. Through the reflexivity and reflection on my
practice, and the investigation into contextual literature and visual materials, I have established
a framework in both the conceptual and practical aspects of research, which is centred on an
animation production.

Research questions have been answered through the practice of animation project, review of
contextual literatures and visual materials, case studies and reflection and reflexivity of the
practice in my project.

In this chapter I present the outcome of this research, key findings reached through the practice
of my animation project and the investigation central on this project, and recommendations
for further application and research. There are two aspects of the findings in this research.
One derives from personal aesthetic judgment and critical reflection through interdisciplinary
investigation on dream and narrative. This aspect may contribute to human experience but may
not be easy to transfer to other productions. The other is derived from the ideas and practical
techniques used to create visual styles that may be further developed in my future practice, or
may become inspirations for other commercial works.

6.1 Outcomes

The outcome of this research is an animated short film and exegetical documentation. The
animation, Sophie’s Secret, has been internationally accepted and exhibited. By the end of 2008,
Sophie’s Secret has been scheduled in eight international film/animation festivals in USA, Japan,
Brazil and Australia. They are:

Artsfest Film Festival, 23rd – 26th May, 2008, Harrisburg, PA, USA

Long Island Film Expo, 8th – 17th July, 2008, Bellmore, NY, USA

Hiroshima Animation Festival, Educational Film Market, 7th -11th August, 2008, Hiroshima,
Japan

Hermosa Shorts Film Festival, 8th – 10th August, 2008, Hermosa beach, CA, USA

Melbourne Underground Film Festival, 9th – 19th October, 2008, Melbourne, Australia

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GiRL FeST, Hawaii, 7th – 15th November, 2008, Hawaii, USA

MergingArts Short Short Story Film Festival, 6th December, 2008, New Hampshire and VT,
USA

MUMIA- MOSTRA UDIGRUDI MUNDIAL DE ANIMAÇÃO, 2008, Brazil

A methodological model (Figure 4), derived from paradigms of constructivism and participation
has been established to construct the research. In this model, content, aesthetics and processes
are the three essential aspects used to frame this research, which is centred on the practice of
animation production. Based on these three essential aspects, I explore related theories, locate
my animation in relation to other animations as cultural artifact and apply notions gained from
research activities into art practice. The multidisciplinary fields in relation to this research are
organized from the methodological model as displayed in Figure 5. Heuristics and reflexivity
are the characteristics in this practice-based research to successfully contribute to the body of
knowledge and human experience. Keys findings are displayed in the following sections.

6.2 Dream and narrative in moving images

Dreams have inspired many art creations including filmmaking. Strong emotions and bizarre
scenarios are the two overarching characteristics that have been identified in both psychoanalytic
and biological studies of dreaming. In my project, I used a dream for inspiration and sought to
evoke strong emotions and bizarre juxtapositions.

Theories in both psychoanalytic and biological studies of dreaming significantly inform

storytelling in moving images. Symbolization and condensation, two mechanisms of Freud’s
‘dream work’, are applied in my animation project. Symbolization is especially important for
the expression of meanings in the story of my animation. I expressed layers of meanings through
symbols that are used in the animation and left these symbols open for other interpretations.
Condensation was applied in my animation on an imagery level, to combine visual elements
together and thereby express special mood and narrative levels for the ellipsis of time and space.
Animation is an appropriate medium with which to express concepts and narratives that have
deep psychological significance because it is not bound by the constraints of realism, instead
offering plenty of room to use symbols and metaphors.

I adapted and reconstructed the story from the original dream ideas for the purpose of meaningful
self-expression and effective communication. Dreams are excellent resources for interesting
storytelling ideas in animation, yet adaptation and reconstruction for these disconnected ideas
and scenario fragments is often necessary for audience to access. The narrative structure after

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reconstruction in my animation project fits in classic three acts structure and the ‘monomyth’
structure proposed by Campbell (1968). The story in my animation also fits into the ‘feminine’
journey, in which the heroine moves from humility, or even the feeling of humiliation, to self-
affirmation. In my animation project, I used multiple visual styles as narrative devices to convey
moods and symbolic meanings and to represent a dream-like quality. The simple narrative
structure is advantageous when trying to integrate multiple visual styles and bizarre scenarios
derived from dreams to form a meaningful story.

Millennium Actress (2001), a feature length Japanese animation, was used as a case study for its
dream-like quality. Notions in both psychoanalytic and biological theories of dreaming provide
accounts to study the dream-like quality in this animation. I used multiple visual styles with
hybrid aesthetics between 2D hand drawn and 3D computer animation to achieve a similar
dream-like quality in my animation.

6.3 hybrid aesthetics between 2D and 3D

A hybrid aesthetic is achieved in my animation through the visual referencing of traditional

2D line and cel animations and the production using 3D computer techniques. With this hybrid
aesthetic, multiple visual styles were developed in 3D computer process to represent a dream-
like quality in my project.

The visual styles in my animation can be placed in the continuum model of animation aesthetic
proposed by Furniss (1998) at the location between mimesis and abstraction. The visual appearance
of my animation does not resemble the real world but transforms the real world objects into iconic
visual elements. These iconic visual elements represent human and animal characters but are not
just abstract geometrical shapes and colours moving with music. In another aesthetic model
proposed by Wells (1998), my animation can be seen as a developmental animation because it
presents multiple visual styles in a narrative content. In regard to the emerging aesthetics of 3D
computer, the three notions of animation, realism, simulation and hybridity inform the creation
of my animation project.

The visual referencing of 2D line and cel animations and the aesthetic judgment were based on
my professional experience and personal interests. UPA’s animations especially Gerald McBoing
Boing and Japanese anime are the two major sources I referenced, because both of them are
produced to express story ideas with stylised imagery and somewhat simplified processes. Other
than these two major sources, I am also inspired by other traditional animations such as works of
National Film board of Canada and Quay brothers’ animations. I also compared my work to 3D

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computer animations with 2D graphical styles such as student works in SUPINFUCOM or TV

commercials produced by PSYOP.

The character and environmental designs follow the stylised and iconic principles in the
animations I referenced. The character design in this animation is significantly influenced by
anime. The design of environmental backgrounds is the iconic transformation of images in my
home country. Lines, shapes and colour are the major concerns in the design and production
processes, because the animation is rendered in 2D graphical images.

Concepts in animation studies and film production were also considered when I developed the visual
elements for storytelling in the storyboarding stage. Disney’s animation principles and narrative
strategies significantly influenced my creation of visual ideas and character performances. The
notions in regard to shot-to-shot and scene-to-scene relations in film production such as montage
are applied in my project to create visual impact and to tell a story.

6.4 Flexibility and efficiency in production process

With the decision to create the hybrid aesthetic and 2D graphical styles in this animation, 3D
production processes are significantly simplified and the workflow becomes more flexible. The
simplicity and flexibility also make possible the creation of multiple visual styles that allow the
animation to demonstrate a dream-like quality.

3D computer processes are significantly simplified with the 2D graphical representation in this
animation. Lighting is totally removed from the production pipeline. Texturing is simplified
by omitting the concerns of the complex properties of surfaces needed to simulate the physical
accuracy. The concern of the texturing is moved to the colour, lines, shapes of objects, and the
overall composition of frames. Modelling is also simplified by omitting detailed topology of
characters. Rendering time is also considerably reduced with the graphical styles. Rigging and
animating processes are not different from the two processes in conventional 3D pipeline.

Two significant advantages in production with 3D computer techniques over 2D hand-drawn are
the reusability of 3D models and the freedom of camera movement. I took these two advantages
and applied them in my production. Models of characters were reused in different scenes while
colours and textures on characters were modified according to the specific mood of the scene.
The movement of camera is only subtly used in this project to focus on the composition of two-
dimensional graphical styles.

A more flexible production of 3D computer animation was managed through the use of 2D

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 Conclusion

graphical representation in this project. The flexible production flow I used is shown in Figure
31. The flexibility is achieved by the efficiency in modelling, texturing and rendering, as well as
the flexible animating process. This project is produced in a scene-by-scene base with multiple
experimental visual styles in different scenes. This is different from the conventional pipeline in
3D computer animation workflow. The flexibility is significant to the notion of self-expression
in 3D computer animation projects, because it allows greater exploration to be conducted during
the whole production process.

A set of strategies and a set of visual ideas to create hybrid aesthetics between 3D computer and
2D graphics is proposed in the last section of Chapter 5. These strategies and visual ideas can
be further applied in my future productions and also be of benefit to animators and artists who
intend to create 2D graphical styles with 3D computer techniques.

6.5 Recommendation and further research

The implication for further inquiries and practices based on this project can proceed in three
directions. Firstly, studies on mind processes beyond dreaming can be further investigated to see
if these theories inform storytelling for animation production. For example, further exploration
can be made regarding the question of how scientific theories of perception and cognition might
inform storytelling and artistic perception in animation. Also, animation as a special media
can be produced to represent other special states of mind such as memory or altered states of
consciousness.

Secondly, more possibilities of hybrid aesthetics can be explored, based on this research.
The Realistically rendered 3D images can also be considered for use in combination with 2D
graphical images for the expression of specific ideas and to achieve a further hybridity. For
example, characters with realistic appearance can be placed in 2D graphical environments to
show that they are in imaginary worlds. The hybridity of realistic and graphical images can be
further explored through proper story ideas as future projects.

Thirdly, cooperation with experts in computer science or information technology will promote
on the development of techniques and production processes. The creation of effects and specific
visual appearance is sometimes limited by the functions of 3D computer software. Cooperation
with experts in other areas helps to expand the expression of ideas and creation of visual styles.

To summarize this research journey, I have established a conceptual and practical framework
through the practice of Sophie’s Secret project. The research model established in this project
can be applied to other practice-based researches that are centred on the production of a moving

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image project. The self-reflection and reflexivity of art creation in this research contributes to
human experiences. The strategies used to create hybrid aesthetics between 2D and 3D, and
specific visual ideas developed in this project can be further explored and applied by me in my
future projects, or by individuals and small production studios interested in creating 2D graphical
styles with 3D computer processes. The efficient, flexible production processes explored in this
research benefits computer graphic artists who intend to express their concept and narrative
ideas in the form of 3D computer animation.

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 Reference

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 Appendix

Appendix A: scripts
Original Script Written in 2002
Scriptwriting for Animation
Yen-Jung Chang
2/6/2002
A dream
Action Sound

A girl with long hair and glasses walks on Wind sound, Footsteps sound
a road of countryside alone.
She meets a worm that comes from the Intensive music
opposite direction. The worm jumps up Sound of worm penetrating, loud girl’s
and penetrates into the girl’s body. scream,

The girl is walking in a crowd of city Same Intensive music-low, noise of

quickly. people, traffic
She looks nervous. She turns her head and Sound effect of turning head
eyes continuously looking at other people Intensive music stops
with scared eyes and keeps walking.

In a dim room the girl talks with two Soft music, low talking sound, chuckle
worms on a bed joyfully. Loud sound of knocking door
Someone knocks the door. Sound of worm penetrating, thud
The two worms soon jump and penetrate
into her body. The girl lies down on the
bed and pretends that she is sleeping. Soft music stops

The girl peeps from a crack between a door Sound of talking

and its frame into a room.
In the room a man and a woman are talking
with worms. Loud noise, joyful songs are sung in
unison
Thousands of worms gather on a roof of
a house. They sing a song together with All sounds fades down
excitement.
The scene zooms in and stops with a close-
up of a worm. The worm is with long hair
and glasses.

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Final script for Sophie’s Secret

Scene 1
1. A girl with school uniform walks on a road of suburb alone.
2. She meets a worm that comes from the opposite direction.
3. The girl bends down and looks at the worm.
4. A red dot shows up, pulse with heart beat sound, and then transform into a shape of
heart
5. The worm shows a happy expression
6. The worm jumps up and penetrates into the girl’s body.
7. The girl stands straight panting with a hole on her chest.
8. The girl looks around nervously, swiftly pulls her coat to cover the hole and walks
away. Fade out.

Scene 2
9. The girl walks while the scene of countryside fades and the scene of city shows up.
She walks quickly a crowd of people with one of her hands holding on her coat
10. She turns her head and eyes continuously looking at other people with a nervous
expression.
11. All the street and the other people’s figures disappear but only eyes float on the air
and keep looking at her. Eyes become larger and transform in strange shapes
12. Close-up of the girl’s terrified expression.
13. The girl runs away with panic and bumps with a person; the street returns to a
normal look, and then smears into blurriness while the camera follows the girl
14. The girl takes a deep breath in front of a door, and then open it

Scene 3
15. In a dining room, the girl eats dinner with two pigs, Pigs talks loudly while the girl
eats quietly.
16. The girl finishes her meal and walks away

Scene 4
17. In a room with weak light the girl talks with a worm on a bed joyfully.
18. Someone knocks the door.
19. The worm soon jumps and penetrates into her body.
20. The girl lies down on the bed and pretends that she is sleeping. Door is opened and
then closed

Scene 5
21. The girl peeps from a seam of a door into a room.
22. In the room, two pigs look at each other. Two worms stretched out from their
bodies tangled together.

124
 Appendix

23. A close-up shows the girl’s expression. The whole image whirls and fades.

Scene 6
24. Many worms with different colors gather on a roof of a house. They sing a song
together and dance excitedly.
25. The camera zooms in and stops with a close-up of a worm. The worm is with the
girl’s uniform.
26. The girl wakes up with a terrified expression.
27. The girl looks up to the window.
28. Moon is shining and stars twinkling
29. A close-up shows the girl’s smiling.

Scene 7
30. Camera pulls back. The background of room fades out and a scene on top of a
building shows up. The girl is sitting on the roof.
31. She put her hand into the hole of her body and takes out the worm.
32. Close up of the worm. A pair of wings unfolds from the sides of the worm and
starts flapping
33. The worm flies up with the girl grasping on its tail.

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Appendix B: storyboard

126
Appendix

127
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128
Appendix

129
Toward a hybrid aesthetic

130
 Appendix

Appendix C: samples of reflective journal

131
Toward a hybrid aesthetic

132
Appendix

133
Toward a hybrid aesthetic

134
Appendix

135
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136
Appendix

137
Toward a hybrid aesthetic

138