Evgenia Lesnikova, 12th January 2022
Sound as a storytelling tool

based on examples animations of Yuri Norstein, Fyodor Khitruk, and Eduard Nazarov

Abstract

In examining sound as a storytelling tool in animation in this essay, it is not an intention to state that sound should be assigned a specific priority on which the course of events in animation depends or which is subject exclusively to other constituent parts of the composition. On the contrary, referring to the words of Yuri Norshtein (2012), the essay supports the idea that each animation can be presented as a unique system operating according to its own rules and exceptions. Although the structure of this system can be built according to the canonical scheme of the sound-visual movement of the frame (in the essay discusses the vertical montage structure of Eisenstein, 1940), the ways of using the components and their relationship, tonality will be determined by the specific idea of ​​an animated film. This diagram is considered in the essay as an auxiliary assistant that can help in building the relationship of sound with visual components. It also takes into account a more modern interpretation of the scheme with the main sound categories that are currently available to animators. The essay is accompanied by the research of particular methods of using sounds in animations by Yuri Norshtein, Fyodor Khitruk, which to this day have an impact on the development of Russian animation culture, gratitude to their involvement in the SHAR studio. The mentioned sound techniques demonstrate not so much the rules of application as the variability and multi-layered use of sounds, supporting the thesis about the uniqueness of each individual animation.
Introduction
Sound, as one of the components of animated films, plays an important role in creating the atmosphere of animation. The presence of sound as its absence can create a unique cartoon world on all layers of the viewer interaction with the frame: background content, atmosphere, character, creation of space and time in animation.
At different stages of the formation of Soviet and then Russian animation, directors had access to different sound techniques. Starting with silent animations, in which silence can be viewed as a characteristic of the sound or an integral part of the sound. Using classical music as the first available sounding technique. Finally, the variety of audio categories currently available to sound engineers.

If at first the limitations of sound means imposed on the directors the need to look for solutions to convey the meanings, the nature of the scene and characters, then with the expansion of the available sound categories, animators could choose those categories and types of sound that would help create the necessary plastic interaction between the sound and visual series.
It is significant to comprehend not only the categories and types of sound techniques available (these are discussed in Chapter 1) but also how sound relates to other components of animated film (composition plan, movement, scene tone, character aspects, etc.). Chapters 2-4 will discuss these relationships and sound planning tools in animation, as well as examples of using sound as a storytelling element.

chapter 1
Types and categories of sounds

There are several main types of sounds used in animation:

voice, music, noise effects.


Voices: monologues, dialogues of characters, author speech



The author voice is offscreen as a rule, and only a viewer hears it.

1. Episode with the author voice (Heron and Crane, 1974)

The character voice can be both intraframe and offscreen when the viewer realizes that this is one of the characters but does not see it.

2. Episode with an intraframe and offscreen character voice
(Once upon a time there was a dog, 1982)
According to Rusinova (2004), the voice of both the author and the characters is often prioritized and brought to the fore. Thus, the voice can be seen as dominant in the layered structure of the sound components of animation. It is primarily due to the need to hear speech distinctly. However, such a rule does not contradict the exception when muting the voice is applied as a special effect for the director idea. The voice helps to clarify the nuances of the character, to convey the exact meaning of the scene.
When the context should be obvious to the viewer without an element of mystery, words most accurately convey the thoughts and states of the character and the entire frame. Often, one word will carry more weight in the semantic interpretation of the scene than a combination of other types of sounds. The topic of working with the voice as a part of the character will be considered in Chapter 4.
Music
Well orchestrated and recorded music has minimal value if not integrated into the structure of the film. Precisely made — not just talented, but necessary — music gives the picture an unusually powerful impact on the viewer
— Rusinova, 2004

Music can be used as a background atmospheric filler, as a sound theme of the character, space when changing plans, for an emotional colouring of a scene or a specific state of the character.


In the animation Heron and Crane by Norstein (1974), four scenes of action can be distinguished (GZHA, 2005), each of which has its musical theme: heron, crane, field spaces and the imaginary world of the heron.

3. Heron space (Heron and Crane, 1974)

4. Crane space (Heron and Crane, 1974)

5. Field space (Heron and Crane, 1974)

6. The imaginary world of the heron (Heron and Crane, 1974)

With the help of music, the nature of the space is conveyed and it is easier to understand the change in plan. For instance, when moving from the real to the imaginary world of the heron.


In the cartoon Boniface's Vacation (Khitruk, 1965), a lot of music is used. It also replaces those sounds that could be conveyed using abstract or realistic sound effects.

The scene of the director's walk and Boniface can illustrate the point.

7. Walk with the Director (Boniface's Vacation, 1965)
When the characters walk, they are accompanied by a musical theme of the walk. It reflects the nature of the movement of the characters in tempo and rhythm. If this piece of music is replaced with abstract or realistic sounds of footsteps, it can achieve a different tone of the scene.
For instance, dynamic hurried stomping clarifies the less smooth characteristics of moving. The fact is not that applying one type of sound would be more successful in a given scene than another. Prioritizing music or abstract sounds rather submits to the overall integrity and poetic mood of the animation.
Sound Effects
Sound effects include natural sounds, noise effects, and abstract sounds. Natural sounds (for illustration, children laughter or crying, insect sounds) are recorded from nature or reproduced on purpose. Noise effects, as a rule, reproduce the sound of an object, phenomenon, character, through auxiliary objects (for example, falling rice as an imitation of rain).
Natural sounds (to a greater extent), as well as noise effects (to a lesser extent), can be recognizable even in the absence of specific visual confirmation in front of the viewer. On the contrary, abstract sounds are not associated with a specific object.
Noise and sound effects are usually used in animation more expressively (compared to shooting on location) to accentuate action or movement
— GYUN GZHA, 2005, p.29

8. Sound Effects (Once upon a time there was a dog, 1982)

GWON GYUN GZHA (2005) also notes that using music or sound effects instead of words helps to avoid language barriers. There are two significant points to this thought.

First, the absence of a language barrier makes animation available to a wider audience. Even though it is possible to add subtitles with correct translation, the likelihood of losing subtle language nuances exists.
Secondly, in the absence of words, the task of the director and sound engineer is complicated by the fact that the structure of the music must correspond specifically to the nature of the scenes and characters, expressing the essential atmosphere and state.

Rusinova (2004) says that the film does not always require a rich soundtrack. It is much more important how in the animation the sound space is coordinated and developed in time as a whole.
‘In animation, the concept of time is mainly expressed by the transition from one space to another’ (GZHA, 2005, p.78). The consideration of the division of space using sound is also substantial from the point of view of understanding the sound categories. ‘The representative level of a feature film can be viewed as several interacting spaces: space of screen action (diegesis), space of the narrator-author external to it (non-diegesis or extradiegesis), partially transformed, ‘improved’ screen space (semidiegesis), ‘internal space’ character (metadiesis)’ (Denikin, 2013). Consider these categories from the point of view of sound in animation.
Diegetic sounds
Diegetic sounds are those internal sounds that are realistic for the created animation world. They can belong to the space of the frame or off-screen activity provided that the characters can hear these sounds and react to them.
As Denikin (2013) wrote, diegetic sounds meet and coordinate the activity of the frame. Such sounds include the voices of characters, sounds of nature, actions, objects in the frame, music from objects that are visible on the screen (for instance, radio music), and others (see Video 8 above as an example).
Non-diegetic sounds
Non-diegetic sounds are not available to the character. They can only be heard by the viewer. Such sounds include the author speech, sounds and music of not on-screen events, phenomena. 
Denikin defines these sounds as ‘decoratio’ and ‘emotional landscape’ (2013). They do not directly characterize the imaginary world of animation but create an additional emotional atmosphere for the viewer (see Video 1 above as an example).
Semi-diegetic sounds
Semi-diegetic sounds can be considered as a subspecies of diegetic sounds since they are part of the on-screen world of animation and can be perceived by characters. However, its nature is exaggerated, underestimated or otherwise modified the sound that the character can perceive in animation reality (Denikin, 2013). This deviation is created to achieve the desired frame effect and is more focused on the viewer than on the character (for instance, the exaggerated loudness of blows in a fight, an artificially altered sound character of some objects). 
Due to this effect, semi-diegetic sounds can also partly be attributed to non-diegetic sounds. For illustration, replacement of the usual (realistic) whistle of a steam locomotive with abstract sound is used which is hardly expected for both the character and the viewer. Such substitutions and effects are appropriate and interesting because they work against expectations and tend to surprise or attract the viewer attention.
8. Sound Effects (Once upon a time there was a dog, 1982)
Metadiegetic sounds
Metadiegetic sounds are used to convey the inner state of a character. Such sounds are responsible for the subjectification of the protagonist attitude to what is happening directly to it or in the scene. For example, sounds that reflect the disturbed consciousness of a character after an injury, event, or under the influence of internal processes. Denikin (2013) also cites the character flashback scenes, sleep, shock as examples.

‘An active off-screen environment poses questions to viewers, increasing their attention to what is happening behind the scenes. Passive - creates atmosphere and fills the offscreen space’ (Rusinova, 2004). 
The activity and passivity of the sound space can be realized using all of the above sound categories and types. It is rather inappropriate to talk about restrictions. In this case, categories and types act as tools for the implementation of the director idea. However, it is important to understand at what point in time and in which frame a particular sound effect can be useful in the applied aspect.

To create an animation it is applicable to use some graphical tools for sound-visual planning that will be discussed in the next chapter.

chapter 2
Sound space in animation structure
‘What is the main thing in the film, I still do not understand. For me, the main thing in the film is the addition of all its elements into a single whole. Then something happens inside this that we can call the universe of this particular film’ (Norshtein, 2012).
The space of a single film can exist without dialogue, sounds and even music, but this does not mean that sound does not have a key or at least some significant value for building a plot as a whole. The space and picture of another film can be planned according to pre-written music, dialogues (for example, music videos), but this also will not be evidence that only sound dominates visual images.
Key animation comparison to the universe assumes the existence of layering and complex interconnections among the cartoon components. Even for one storytelling tool - sound - many use cases can be compiled: subordination, addition, anticipation, disclosure, etc.

So that work with complex systems does not turn into chaos, one should understand the basic rules and options for its construction. Norshtein (2012) analyzes the scheme of the work of the director Eisenstein. The scheme is based on the storyboarding method familiar to animators. However, it is noteworthy that in addition to the visual layer, the scheme contains a layer of sound and a structure of movements in the frame.

10. Scheme of sound-visual movement in an episode of the film Alexander Nevsky, part 1, Vertical montage (Eisenstein, 1940).

The first part of the diagram (1-8) from the scene before the battle in the film Alexander Nevsky (1938)

The idea of ​​Eisenstein's theory is to vertically correlate the visual and auditory storyboards of animation, taking into account the layering of sound categories (Eisenstein, 1940). Each vertical position defines a specific moment (frame) in a film or animation. The frame gives a certain visual character to the scene (for example, a rural empty field or the scene of the beginning of a battle). Changing the hierarchy of sound categories in each specific vertical position allows to supplement or redefine the key effect of the frame. For example, by bringing to the fore the specific sounds of swords, it can achieve the effect of a battle that the frame requires but using the sobbing voices of women instead of the sounds of swords, can be given the battle scene a different undertone. 
This theory makes it possible to make a general sound structure of the film, with which it is possible to select the variability, intonation, and context of the sound of the frame.

During the period of Eisenstein's work, music in the classical sense was the main available sound accompaniment, and additional sound possibilities were just emerging. So, in the Eisenstein diagram above, musical notes are used to represent the space of sound.
The musical score is decomposed into two parts: a solo group with a treble clef and a bass part .


11. The musical score on the scheme of sound-visual movement

in the episode of the film Alexander Nevsky (Eisenstein, 1940)

If it graphically draws the movement of notes, as in the figure below, then the parallel with the movement pattern in the frame (movement of actors, characters, camera) shown graphically in the diagram becomes obvious.

13.Scheme of the movement of notes as an addition to the musical score)


14. Diagram of movements in the frame (Eisenstein, 1940)

Noteworthy, that it is the bass part that is synchronized with the movements in the film. Since the diagram contains scenes before the start of the battle (Alexander Nevsky, 1938), the choice of the soundtrack was dictated, most likely, by the desire to create a general background of dramatic tension. The bass lines in this case fill the space.

In addition, what in his theory Eisenstein speaks of a new for his time and relevant to this day need to find the key to combine a ‘piece of music’ and a ‘piece of image’, as well as the selection of the tonal relationship between visual and sound (Eisenstein, 1940).
‘Just as the tones of the music should match the author speeches in the melodrama, so the colours should also match the words’ (Eisenstein, 1940).
One example of tonal relationship: ‘Words: Homeless orphan. Tones: Flute tones, mournful. Colours: Olive mixed with pink and white’ (Eisenstein, 1940).

Nowadays, the space for sound used in animations has expanded significantly. The sound has been stratified into different sound categories (Chapter 1).
Norstein (2012) also gives his explanation of Eisenstein's scheme and theory of vertical mounting (1940), but in relation to the modern variability of sound.
Instead of musical notes, Norstein provides a layered structure of sound categories that can be used in a particular cartoon.

15. ​​Vertical sound editing scheme as interpreted by Norshtein

Sound categories are connected vertically to each other at one point (frame) of the animation.
The vertical arrangement of the layers gives a visual representation of the dominance of a particular category of sound in the frame. For example, in frame A (blue bar in the picture above), there is a direct hierarchy from natural to abstract sound. Further, the hierarchy shifts in frame B and abstract sound comes to the fore.
The combination of such knowledge as the composition of a specific frame, the tonality of the frame atmosphere, understanding which sound category can set the required tone, the mood of the frame, the character, etc. helps to navigate which sound category to display "up" at a particular moment.
If it develops Norshtein's interpretation, then the sound sublayers of the general space, background, characters, objects of the frame and variability within specific categories of sound can also be added to the scheme (for illustration, notes-explanations of which category the sound belongs to diegetic, non-diegetic, semi-diegetic, metadiegetic). Ultimately, a very detailed structure of the sound space of the animation can be obtained, as instructions for editing and creating sound.
However, as Norstein says, ‘If the moment of breaking the rules does not come, then you are not in the creative state that animates you. Only this fire of this state suddenly dictates unexpected decisions’ (2012).
Nevertheless, the above structure can provide a deep understanding of how to build a custom library of sound ratios. First of all, such a system provides support and a basis for the formation of the skeleton of the future animation.
chapter 3
Tempo rhythm and pauses
‘The musical sound should correspond to the general plasticity of the film’ (Norshtein, 2012). As a rule, the visual image of familiar objects refers to associative memory. The viewer is likely to expect certain sounds from familiar objects that are associated with past experiences of interacting or observing the object. ‘Sound can represent the space of film narration, completing the image in the mind of the viewer, and the image provokes human memory to recall sounds’ (Rusinova, 2004).
Consider an excerpt from the animation Boniface's Vacation (Khitruk, 1965) and listen to it first without sound. For the analysis, an animation was chosen, with which there was no previous acquaintance from beginning to end. Thus, the first view from a silent viewing will be more objective rather than memory-based.
16. Episode from Boniface's Vacation, no sound (1965)
In the first part of the excerpt, the viewer sees a sequence of musical instruments. The instruments themselves are familiar and their sound is predictable. The sound seems to be completed by itself in the imagination. For example, the booming sounds of trumpets, the sharp and ringing sounds of a musical cymbal are reproduced. The movement of the instruments in the frame can also give the expected idea of ​​the rhythm and tempo of the sound. For instance, the rhythm of the trumpets makes it clear that the sound is continuous, at one constant tempo, with some accents. 
It can also be assumed that the up and down motion of the instruments corresponds to higher and lower notes or louder and quieter sounds. The movement of the frame, where there are no musical instruments (for illustration, where horses are galloping with artists), synchronously with the jumping movement of musical instruments. The general tempo of the fragment obeys one move, which suggests the idea of ​​a single sounding of the entire fragment. To what extend in reality the sound in the head will correspond to both the expectations of the viewer and the plasticity of the excerpt from the cartoon. What will change with the addition of sound?
17. Episode from Boniface's Vacation, with sound (1965)
Most likely, the viewer general sound expectations coincided with what he would hear in the same fragment with sound. However, listening to a fragment with sound supplements the picture with not only semantic details but also polyphonic ones. The space of perception of the viewer and what is happening in the frame expands. Timbre, pitch, the polyphony of different instruments create volume and a sense of presence. The visuals are pretty minimalistic in detail. The viewer does not see the scene, the place of action, however, by the recognizable character of the melody, it can understand that the action takes place in a circus. In this case, the associative link between music and a certain place is also triggered as a reference to the cultural aspect of the recognition of circus melodies.
Norstein in an interview (2017) said ‘Well, I'm not even talking about tempo rhythm. This immediately became the discovery of Khitruk. No one before him had built the composition of the movement, the composition of the action so precisely in tempo. He is in this - I can say - a genius. He understood the tempo, as, probably, only Chaplin understood it in the cinema’. Regard the tempo of the given excerpt of Khitruk's animation through the vertical mounting scheme (Figure 10), but taking into account the decomposition of the sound components into layers, as Norshtein interpreted it (Figure 15).

18. Scheme of sound-visual movement in an episode of the cartoon Boniface's Vacation (1965)

The scheme of the visual sound movement of the excerpt (the main theme, the first raw in the figure above) is monotonous, consistent and is set by the main sound theme of the brass band. The nature of the movement is rhythmic and jumping, within a range of approximately the same height. However, on lines A and B, accents are added in the form of the sounds of a musical cymbal (vault X in Figure 18) and a drum (vault Y in Figure 18). Accents appear suddenly and come to the fore in sound, muffling the main theme. Thus, the sounds of the cymbal and drum become dominant on the vertical lines A and B. 
The echo of accent sounds remains for a while and fades, returning the dominant position to the trumpet orchestra. Before the moment the accent sounds appear in the fragment under consideration, there is a certain graphical pause (orange segments on lines A and B in the figure above). The frame has already changed because we no longer see pipes, but a character with a cymbal or a drum. However, the sound of new instruments does not come immediately. There remains a certain moment in time when the preliminary motion occurs (wave of the hands and the drumstick). This pause creates a sense of anticipation of future sound.
Sound pauses can be embodied as the absence of sound (silence), which is also one of the tools for narration and creating an image of a particular scene.
Controlling pauses, including sound ones, is also a distinctive feature of Khitruk's works. ‘The famous sense of Khitruk’s pause’ (Norshtein, 2017).
Consider another excerpt from the animation Boniface's Vacation (Khitruk, 1965).
19. Sound breaks, arena episode (Boniface's Vacation, 1965)
When Boniface appears in the circus arena surrounded by bars (Video 19), he growls, and the crowd groans in dismay. When the grate is closed behind the trainer, there is a sound pause, the crowd freezes and does not make a sound. In this case, the pause reflects the general state of fading and tension in the auditorium. The sound anticipating the pause (ringing, heavy grille shutter) intensifies the anxiety. In the scene of Boniface's conversation with the director (Video 7), several sound layers are used: the author's voice, musical themes (as a walk, a children theme), natural sounds (street noise, children screams).
 All of them create a certain context for the perception of space. However, when all background sounds die down and sound pauses occur, it manifests the character itself. Rather, pauses even clarify its state, internal conflict, emphasizes the importance of the moment for the character. It is interesting to note that a pause in sound is also accompanied by a pause in the movement of the frame. The characters freeze. This also shows the correspondence of the sound to the dynamics and tempo of the animation.
chapter 4
Sound and character
If the general sound structure of the frame was considered above, then it is also worth paying attention to one of the main components as the disclosure of the character from the point of view of the sound. Sound is as important for the formation of character as its visual representation. The selection of a character voice, sound effects, or musical accompaniment (the character musical theme)
can transform and add nuances to the image and create that recognizable character that the viewer will empathize with. Often, it is gratitude to the voice and lines that the character becomes recognizable even outside the context of the animation. For illustration, the voice of Winnie the Pooh (Khitruk, 1969) became canonical, especially his songs.
20. The Voice of Winnie the Pooh (Winnie the Pooh, 1969)
Remarkably, oftentimes the voice acting of cartoon characters requires more work of the actor on the voice, as well as the transformation of the voice to match the image and nature of the character.
GWON GYUN GZHA (2005) discusses the impact of character sequence and footage creation. If the voice acting is carried out after creating the animation of the scene, more effort is required from the actor to get into the facial expressions, the intonation of the character, in addition to getting used to the role and embodying the intended character through the voice. In the opposite situation, when the recording of replicas precedes the creation of scenes the plus is that it is easier to correlate the movement of the lips and facial muscles by the ready-made voice. 
Also, the voice of the actor itself can become a search for new intonations in the visual representation of the character. For instance, this happened with the image of Winnie the Pooh (Khitruk, 1969). The character was voiced by Yevgeny Leonov. Here is what Khitruk writes about working with an actor (1983) ‘Somehow immediately and accurately grasped the character of the protagonist. So he stood in front of the microphone, froze for a moment, took some pose, his gaze became thoughtful and we felt the state that we had been looking for so long, this is exactly what our character should be. Leonov managed to immediately and accurately find the image of this eccentric dreamer’.
Actors voices are often mechanically transformed when recording sound. This technique allows twisting the voice of the actor to the desired sound of the character. For example, one way is to speed up the recorded voice. Сompare two voices:
21. The voice of Winnie the Pooh and the voice of Leonov (Winnie the Pooh, 1969)
This technique helps to achieve a more childish character, especially when there is a task to bring the character closer to the child target audience.

However, voice is not the only acceptable way to express the character. In animation, the word is not physically tied to the character, it is not physically necessary for him. The word is the same instrument as colour, light, dynamics (GZHA, 2005). 
Therefore it can be replaced by other sound types, like music, sound effects. For example, in the scene of the dialogue between Boniface and the girl (Boniface's Vacation, 1965), the viewer does not hear the words.

Character dialogue is a musical dialogue based on the tempo and rhythm of the music, which is consistent with the gestures of the characters. There is a scene where they talk by knocking on the battery In the cartoon The Story of a Crime (Khitruk, 1962).

22. Character Sounds (The story of one crime, 1962)
The battery design is the same. However, the character of the sound of the knock is different for the Guy (harder and stronger) and the Girl (weaker and softer). Taking into account such, on the one hand, insignificant details in the sound image of the character allow to create the depth of the image, persuasiveness.
The use of knocking on the battery, in particular, also reflects cultural and everyday moments familiar to the Soviet and Russian audiences. Threatening a neighbour with a knock on the battery is one of the ways of communication in real life for our country's neighbours. Therefore, observation, including, will help to collect sound moments that can enrich the character.
In the animation Heron and the Crane (Norshtein, 1974), the change in the character experiences are highlighted by musical themes. The viewer can read the emotional context without the characters lines (Videos 3-6 ).
An interesting moment, how non-voice sound relates to characters in one shot, is noted by Rusinova (2004). The author says that if there is one specific character in the frame or the frame is built in such a way that all attention is paid to one character, then the sound is associated and perceived through this character. As it were, the direct belonging of the sound environment to the character is established. However, if the frame is built according to the principle of a distant shot and with a large number of characters, then the sound space is distributed among all the characters (general sound). 
On the one hand, this can be regarded as a controlled technique, when the director applies the effect of the general or individual belonging of the sound in the frame. On the other hand, when a task arises to highlight a specific character in a multi-figure composition of a frame, additional stylistic techniques and sound planning may be required. For illustration, in the cartoon The Journey of the Ant (Nazarov, 1983), the action takes place in the microcosm of insects. A large number of characters are often present in the frame, each with its activity. Through interaction with them, the main character Ant is revealed. Therefore, remote and shared plans are important for creating the world and space of this animation.
23. Episode of The Journey of the Ant (1983)
Norstein (2012) describes the work on the character Ant as follows: ‘It was necessary to find a Character of such simplicity in the general plan so that the whole image was built with sound’. Indeed, in a situation where the visual plasticity of a character is limited by its shape and size, sound can play a key role in shaping the interaction of the character with the environment, just like the disclosure of the character.
Conclusion
The sound plastic of animation is not so much subjugated or manages the character of the story, but rather is one of the flexible storytelling tools for creating a certain world of animation and the embodiment of the director's intention. Different sound categories and types can be mixed, combined, complementary or mutually exclusive. It is not the richness of the sound space itself that is important, but the interaction with other animation components to create a coherent narrative and single whole plastic and poetic nature of the animation.
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