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I.
One of the many unfortunate consequences of the High Art-Low Art divide is that
works of literature have long been considered capable of being philosophical, while (for
most of the 20th century) the cinema was seldom seen as aspiring to such lofty goals,
except for the art films directed by the likes of Ingmar Bergman or Jean-Luc Godard.
Philosophers first started writing about such films in the 1960s, no doubt because of the
intellectual respectability of their existential and/or political content. But, as Thomas
Wartenberg observed in a recent edition of Film and Philosophy, Not only has the art
film been eclipsed as an avant garde film practice, but contemporary philosophic work
on film has moved beyond it as well.1
Increasingly, philosophers are becoming more comfortable talking about popular
Hollywood films. For example, an intriguing notion of what makes a film worthy of
philosophical attention was proposed in the premiere edition of Film and Philosophy
(1994) by Stephen Mulhall, whose recent book on the Alien quadrilogy2 plays such a
central role in contemporary debates on the present subject. He offered a reading of
Blade Runner (Ridley Scott, 1982) that saw it as explicitly concerned with what it is to
be a human being, and as self-consciously philosophic.3 But the sub-genre of Science
Fiction that deals with robots and cyborgs characteristically raises such questions.
The typical philosophical article on film pairs some philosophers theory with one (or
more) of the authors favorite films, to demonstrate how the theory can enhance our
understanding and appreciation of them. Such pairings strike us as more or less
convincing, as the parallels drawn seem more or less natural (or strained). Often, a film
seems shoehorned into a model that doesnt really fit, especially when profound depth
readings are proposed for pieces of mass entertainment that cannot sustain them. Here,
the implicit assumption seems to be that, if a film can be shown to instantiate a
philosophical theory or principle, then the film can be considered philosophical.
At another level of sophistication, and less often, certain directors have made films
with a particular philosophy explicitly in mind, and philosophers of film evaluate whether
the film in question is an adequate or inadequate embodiment of that philosophy. Fyodor
Dostoevsky has long been praised for being a truly philosophical writer, e.g., in his
rhetorically brilliant portrayals of the catastrophic consequences of nihilism in The
we need to examine some further examples of how films have been said to be truly
philosophical.
II.
Various writers have remarked that this or that particular film asked genuinely
philosophical questions. Nol Carroll, in Interpreting the Moving Image, comes up with
a novel solution to the ambiguity about the essence of the human personality that emerges
from Citizen Kane (Orson Welles, 1941): according to Carroll, rather than urging a
particular theory, Welles intended to raise the question, not solve it, to problematize
personal identity rather than to define it.5 It is for this reason, Carrolls seems to suggest,
that Kane is one of the most profound movies ever to be made in Hollywood. In the
same vein, Jerold J. Abrams, in an article for Volume 7 of Film and Philosophy, contends
that Rear Window (Alfred Hitchcock, 1954) is a sublime film, in part because it calls
into question the relation between the spectator and the object.6
In Volume 8 of the same publication, Herbert Granger argues that Le Fou Follet
(Louis Malle, 1963) is truly philosophical because its main character is embroiled in a
genuine existential crisis that could go either way (despite the fact that Alain ends up
killing himself, it is clear that he could have done otherwise, had he concluded that his
life was worth living). Granger makes the following observation, which is reminiscent of
Mulhalls view: If a film is used to illustrate philosophical positions, or voice
philosophical arguments(like the recent, disastrous The Matrix Reloaded), it merely
serves to reflect the views of the director, and not those of his characters.7 Apparently,
for Granger, one of the best ways for a film to be philosophical is to have its characters
can be said to be doing philosophy in the sense he prefers, i.e., by actually making a
positive contribution to the philosophical dialogue on the issue. As Mulhall persuasively
argues in the response to his critics cited above, doing philosophy does not require films
to offer new reasons (in the sense of deductive arguments) for philosophical positions.
Dostoevsky furthered our understanding of the meaning of the death of God and the
threat of nihilism in the late 19th century without offering many new arguments in rational
theology (Ivans Karamazovs compelling version of the problem of evil is perhaps the
only exception). Nietzsche is recognized as a profound philosopher (indeed as one of the
most influential philosophers in the last hundred years) despite the relative paucity of
traditional arguments in his work. What they both offered us were opposing gestalten,
i.e., ways of viewing the world, rather than deductively sound arguments that could
command universal assent.11
In order to clarify what I mean by a film doing philosophy, in the best sense of the
term, consider the following interpretation of Being John Malkovich, which explains why
I believe it is one of the most intriguingly philosophical films to have been made in recent
years.
III.
Being John Malkovich is unarguably one of the most inventive films of the last
decade, and as such it defies easy summary. Hence, I wont attempt to offer one here,
choosing instead to focus on several crucial philosophical concepts that the film
mobilizes. The viewer must first accept the fabulous premise that makes possible the
transformation to which title refers: a magical (and totally unexplained) portal exists that
allows one to be noted actor John Malkovich for a quarter of an hour (granting such
participants their own fifteen minutes of fame!). When one enters the portal, he or she
has temporary access to Johns sensory stream, seeing the world through what appears to
be a set of goggles. For that brief period of time, the lucky individual gets to experience
the world through Malkovichs senses, overhearing his utterances from within (so to
speak), enjoying his pleasures and undergoing his pains. Then the subjects are physically
ejected out into a ditch adjacent to the New Jersey turnpike. Can these individuals
accurately be described as having enjoyed being John Malkovich, and in what sense of
the term?
Two of the pivotal characters in the story, Dr. Lester (Orson Bean), who apparently
owns the portal, and Craig Schwartz (John Cusack), who mines it for his own personal
gain, can do much more. They can remain in the Malkovich vessel permanently, and
manipulate the poor mans body to do their wishes. Lester has used the portal before, to
somehow transfer his consciousness out of his previous bodies (as they wore out) into
more youthful vessels, hence achieving a kind of serial immortality. Malkovich is
destined (for whatever reason) to be his next incarnation. Such miraculous
transformations can only occur before midnight on the day when the vessel is ripe, the
44th birthday of its original inhabitant. If the appropriate moment is missed, individuals
seeking metamorphosis will end up in a larval vessel (a newborn infant), and lose
themselves therein. Submerged in such a vessel, the unlucky individual will be
assimilated, and, to all intents and purposes, cease to be.
Being John Malkovich has already attracted the attention of several philosophers.
Mary Litch, in her instructive undergraduate textbook Philosophy Through Film, uses it,
and Memento (Christopher Nolan, 2000), as illustrative of various theories of personal
After exiting Malkovich and giving him up to Dr. Lester and his geriatric crew, Craig
resolves to reenter the portal and wrest control of the Malkovich vessel. Doing so after
midnight, he instead enters into Emily (the newborn love child of his wife Lotte
[Cameron Diaz] and business partner Maxine [Catherine Keener], who is destined to
become Lesters next target. In the finale, as the seven-year-old is shown gazing
adoringly at her two mothers, we get a reverse shot from Craigs goggled perspective,
ineffectually whimpering his undying love for Maxine and wishing in vain that Emily
would turn her head away from her beloved parents. Having migrated into a larval
vessel, he is destined to be a powerless observer for the rest of his life.
When I first saw this film, I was convinced that Jonze, and writer Charlie Kaufman,
were thinking of personal identity as defined by the will as agent acting on the body as
instrument. The crucial point for me was when Craig took control, transforming himself
from just another passive observer of Malkovichs actions into the internal puppeteer that
pulled the strings. Then, when Dr. Lester takes over even more completely than Craig
ever could, I thought the answer to the puzzle was clear: the key to being John Malkovich
was to be the will behind the actions of the Malkovich vessel. It would actually be a kind
of existential theory of personal identity, we are what we do, and the real identity of
Malkovich is defined by what he does, and by the reasons and values that explain why he
chooses to do what he does.
Armed with my new explanatory hypothesis (which I still believe has substantial
philosophic and textual merit), I looked up interviews with Kaufman to confirm my
theory. Heres what he had to say:
Well, you are inside someone elses skin, but Craig doesnt have the experience of being
Malkovich, he has the experience of using Malkovich. He uses him to be with Maxine,
and then he uses Malkovichs notoriety to get his own career going. So its Using John
Malkovich. Yeah, Id say its Using John Malkovich. [laughs] 14
He made this point after having already observed that the only time anyone ever gets a glimpse of
the real Malkovich is when (hilariously) Lotte chases Maxine with a gun through his unconscious
mind. Kaufmans remarks tend to support the psychological continuity theory: what makes John
Malkovich who he is are his memories, thoughts, desires, etc., to which he alone has access.
But the implications of that theory seem to be clear. As Mary Litch saw, Craig continues to
exist, even after he enters the passageway. The original Malkovich ceases to exist (or, at a
minimum, is suppressed), once Craig gets control over the body. Hence, no one had truly
succeeded in being John Malkovich, since no one (save for the brief exception noted above) had
gained access to his thoughts and/or memories. Pace Thomas Nagle (in his acclaimed article
What is it Like to Be a Bat?), what it is like to be John Malkovich would have to include
accessing his consciousness.15 But once others show themselves capable of taking over
Malkovichs body, our concerns shift from what it is like to be John Malkovich to who this
strangely amalgamated creature truly is in the end.
Notice how the criteria for who John Malkovich is in the latter sections of the film seems to
turn on whose will commands the body over which the protagonists are wrestling. Yet the
psychological continuity theory cannot account for who takes control of that body at various
points in the film. How does Craig succeed in reducing Malkovich to the status of a marionette,
when all the other subjects could only stay for fifteen minutes, and only watch and listen?
Craigs history as a puppeteer is alluded to as the basis for his skill, but why would this be
relevant? For that matter, how does Dr. Lester manage to take over each successive vessel,
insuring his immortality? What is clear, it seems to me, is that, after seven years of passively
observing someone elses life, both Craig Schwartz and the original John Malkovich have, to all
intents and purposes (an apt phrase), ceased to exist.
The choice of John Malkovich was not an accidental one on the part of the writer and director.
Malkovich is an enigmatic chameleon, both in his professional and in his personal life. As
Kaufman described the eponymous actor in the above-referenced interview theres something
odd and completely unknowable about him. You never really know whats going on behind his
eyes, so it becomes fascinating, and I think that works for this story. Malkovich seldom
portrays strong-willed characters, except when playing the occasional villain (e.g., his pitiless
depiction of the scheming Gilbert Osmond in Jane Campions Portrait of a Lady). In the present
film, he doesnt put up much of a fight before he is overwhelmed by his occupiers. After seven
years of being submerged under Dr. Lester and his cronies, one has to wonder if his psyche even
continues to exist. What about Lesters previous incarnation? We never see or hear another
consciousness peer out from behind Lesters countenance.
Yes, seven years after merging with Emily, Craig still exists. He still has longing thoughts
about Maxine, but he can have no further effects on either Emilys body or on the external world.
One doubts that Emily herself is even aware of this other consciousness submerged within her.
If the personal identity of an individual is defined as the will that governs the actions of a
particular body, Craig has disappeared, never to be seen again. Similarly, Malkovich ceases to
exist when Lester takes permanent control. Despite a continued friendship with Charlie Sheen,
Malkovichs personality seems totally lost to Lesters, to the point of his having adopted the
latters speech patterns and romantic tastes. It makes no sense to talk about the original
Malkovichs psychological dispositions, since he has no way to operationalize them. We are
never given any further access to his thoughts.
All of this reminded me of the theory of the individual as comprised of a hierarchy of
dominant and submissive drives, which was proposed by Friedrich Nietzsche in Beyond Good
and Evil. There, Nietzsche describes the individual as a bundle of power drives, all vying for
dominance. The one that wins is the one that leads to action. We are our actions, and the ability
to become who we are turns on our strength of will, especially in facing the crucial challenge of
upholding a particular hierarchy of such drives over time: The Essential thing in heaven and
upon earth seemsto be a protracted obedience in one direction: from out of that therehas
always emerged something for the sake of which it is worthwhile to live on earth. 16 Becoming
who we are hence requires resolute service to a self-made set of priorities, a daunting prospect
when we realize that there are no grounds for our choices other than the strength of our individual
wills.
In Friedrich Nietzsche and the Politics of Transformation, Tracy Strong comes up with as
clear a characterization of what Nietzsche means by Will as any in the secondary literature:
Nietzsche is saying that if one looks at people, in fact at organisms and matter in general, their
most basic characteristic is the attempt to incorporate into themselves and define all that they
meet.17 In the struggle for domination, Craig temporarily triumphs, but Dr. Lester is the ultimate
victor. It is his will that governs the Malkovich vessel in the long run. And, in Nietzsches
words, Unfree will is a mythology: in real life it is only a question of strong and weak wills.18
Malkovich himself was weak willed in the extreme, having trouble deciding about bath towels
and allowing himself to be manipulated by Maxine into having dinner with a total stranger. If
nobody succeeded in truly being John Malkovich, it might also be said that, by the end of the
film, John Malkovich has effectively (in the literal sense of the term) ceased to be. Just as poor
Schwartzie is assimilated by Emily, so, too, Malkovichs consciousness has been rendered
impotent and epiphenomenal.
Nietzsches theory of the Will to Power, then, best answers the pivotal question of who John
Malkovich is at the end of the film, seven years after Lester has moved in. Though he contains
numerous other consciousnesses (all of Lesters friends, and his own original one, all presumably
with goggled views of the proceedings), the Malkovich vessel is now firmly controlled by Lester
(who was, in turn, the first reincarnation of the Captain who built the office building and the
quirky 7 th floor that houses the portal). Lesters will commands the body like the pilot of a
ship, and John Malkovich ends up being more like Lester than anyone else.
Admittedly, neither Nietzsche, nor the makers of Being John Malkovich, offer us much help in
accounting for which drive or which personality becomes dominant in the struggle to act. Yet
both the philosopher and the filmmakers lead us along some novel paths in thinking about the
enigma of personal identity. Their work serves to complicate traditional dualistic conceptions of
body and spirit, challenging our simpler and more comforting notions of who and what we are, as
well as undermining accepted philosophical definitions of personal identity. The film begs to be
read in light of an existentialist theory of personal identity of Friedrich Nietzsche., which sees the
self as defined by its actions, and the projects and values to which we dedicate ourselves.
Jonze and Kaufman were indeed doing philosophy, in the sense that Mulhall privileged
exclusively and that I have argued is the paradigm of film at its most philosophical. By that I
mean that, after several viewings of Being John Malkovich, my understanding of the problem of
personal identity was deepened and enhanced, because the filmmakers mapped out existentialist
pathways of thought that seem to be fascinating Hollywood more and more recently.19
Kaufmans screenplay suggests an interesting bridge between body and consciousness in its
treatment of the relationship between Maxine and Lotte. Maxine pursues Malkovich, and finds
that she is most excited by having sex with his body when it is occupied by Lottes
consciousness. Before she switches her allegiance to Craig (when he proves himself capable of
manipulating Malkovichs body), she gets pregnant from a 4 AM liaison with Malkovich/Lotte.
In declaring her love, Maxine passionately suggests that the baby she carries is Lottes, and thats
why she decided to keep it! Indeed, the daughter who results from their amalgamated union
looks rather like a cross between the two women, without a trace of Malkovichs oddly distinctive
features, lending some credence to Maxines rather implausible notion (given its implication that
a transformation had occured at the level of DNA).
What I have been arguing, then, is that Spike Jonze and Charlie Kaufman were (among other
things) doing philosophy in Being John Malkovich. By that I mean that they were raising new
questions about and exploring various theories of personal identity. Having no preconceived
notion of representing some one theory or other as the answer which their work was intended to
illustrate, they opened the way to intriguing new possibilities. As Kaufman described his creative
process in the interview cited above:
If I put disparate things together, then I have to figure out what to do with them, so it puts
me in a position of challenging myself and having to surprise myself. Id like to clarify
something. Ive discussed my writing process before as working without a map, and
people seem to misunderstand what I meant. I do explore without a plan, but that isnt
what ends up on the screen, although its completely a result of that process.
While this eloquently captures the ideal of artistic creation championed by Robin George
Collingwood20, it also characterizes an inquiring philosophical attitude. Perhaps a theory of
personal identity based on a more adequate account of the nature of the human will can yet be
formulated, offering the genuine physio-psychology that Nietzsche called for, but only gestured
at, in Beyond Good and Evil.
Daniel Shaw
Lock Haven University of Pennsylvania
Rm. 412 Raub Hall
Lock Haven PA 17745
Internet: dshaw@lhup.edu, website www.lhup.edu/dshaw
1
Thomas Warterberg, Looking Backward: Philosophy and Film Reconsidered in Film and Philosophy Volume 8, 2004, p.
140.
2 Stephen Mulhall, On Film (New York and London: Routledge, 2002), see especially its Introduction
3 Stephen Mulhall, Picturing the Human (Body and Soul): A Reading of Blade Runner in Film and Philosophy, Volume 1,
1994, p. 87
4 Ibid, pp. 40-51
5 Nol Carroll, Interpreting the Moving Image (Cambridge: Cambridge Univ. Press, 1998), pp. 153-165
6 Jerold J. Abrams, Cinema and the Aesthetics of the Dynamical Sublime in Film and Philosophy, Volume 7, 2003, p. 70.
7 Herbert Granger, Cinematic Philosophy in Le Feu Follet: The Search for the Meaningful Life, in Film and Philosophy,
Volume 8, 2004, pp. 75-76.
8 And unlike Nausea, where Sartre often seems to be exploring new philosophical avenues, which were
only to be mapped out explicitly in subsequent theoretical treatises such as Being and Nothingness.
9
In that regard, Crimes and Misdemeanors (Woody Allen, 1989) goes beyond its source in Dostoevsky,
and is hence more philosophic than Husbands and Wives. Raskolnikov could not avoid being
paralyzed with guilt. Judah in Crimes seems capable of going on with his life without confessing
his crime to the powers that be. Dostoevsky intended Crime and Punishment as a tale of spiritual
redemption; Allens intentions are less clear, and more intriguing.
10
Stephen Mulhall, Ways of Thinking: A Response to Andersen and Baggini reprinted in Film and
Philosophy, Special Interest Edition on Science Fiction and Philosophy, Vol. 9, 2005, pp. 24-29.
11
Mulhall invokes both Martin Heidegger and Stanley Cavell in order to clarify the sense in which he
thinks films can philosophize, by (paraphrasing Heidegger) opening new paths for thought and (quoting
Cavell) suggesting directions to answers Ibid, p. 28, the latter characterization excerpted from
Cavells essay The Thought of Movies in Themes Out of School (San Francisco: North Point Press,
1984), p. 9.
12 Mary Litch, Philosophy Through Film (New York and London: Routledge, 2004), pp. 67-86.
13 Gilbert Ryle, The Concept of Mind (Chicago: Univ. of Chicago Press, 1949, reprinted 1984), pp. 11-24.
14 Interview for the Being Charlie Kaufman web site, originally posted in 2000, accessed 8/4/2004
www.beingcharliekaufman.com/index.htm?movies/malkovich.htm&2
15 Thomas Nagle What is it Like to Be a Bat? in Philosophical Review LXXXIV, 4 (October, 1974),
pp. 435-450.
16 Friedrich Nietzsche, Beyond Good and Evil, trans. By R.J. Hollingdale (London: Penguin Books, 1973
section 188.
17 Tracy Strong, Friedrich Nietzsche and the Politics of Transformation (Berkeley: Univ. of Calif. Press,
1975), p. 234.
18
Op. Cit., Beyond Good and Evil, section 21.
19
See, e.g., I Huckabees (David O. Russell, 2004), Closer (Mike Nichols, 2004) and Eternal Sunshine of
the Spotless Mind (Michel Gondry, 2004), for which Kaufman was recently honored with the Academy
Award for Best Original Screenplay.
20
R.G. Collingwood, The Principles of Art (Oxford: Oxford University Press, 1958), pp. 111-119.