Tel-Aviv University The Yolanda and David Katz Faculty of the Arts The Interdisciplinary Program in the Arts

(Graduate Program): Film & Television Track

Human History According To George Lucas

Models of Fascism in Star Wars Prequels

This thesis is submitted for an M.A. Degree

By Amir Bogen

The thesis was supervised by Dr Boaz Hagin

July 2011

2 An abstract: Human History According to Lucas

My objective in writing this thesis was to examine the socio-political and historical aspects of the work of George Lucas, which represents a stream of science fiction somewhat different from that of the past seventy years primarily as expressed in the cinema. The futuristic environment he created notwithstanding, Lucas endeavored to reexamine the past and to warn us of the likelihood that horrific historical events, such as the rise of fascism in 1930s Europe and the world war that followed, could be repeated in our present or future. It is precisely his and our awareness (opposed to ignorance) of the sociological, economical and political models formulated in an effort to analyze and understand the events that transpired, that lead to anxiety of their possible recurrence at another time and in another place. Lucas created a detailed, varied, rich and ingenious world in his films that became a popular storyline, usually described as an adventurous and mythological, rather than a critical text. Narrative elements overshadow the embedded social criticism even in the politically saturated prequels, but reading it only in this way can cause one to completely miss the real content, which is crammed with insights into history. Looking at Lucas through the Star Wars series, I believe that we see in the prequels a Lucas who acquired means and self-assurance as a movie maker, and veered off in a different direction in this later trilogy, incorporating large chunks of social criticism not only in the Star Wars diegesis that he created, but also through the ongoing and significant correspondence with the annals of humanity. By constantly referring to realistic history, Lucas develops a model for the rise of a dictator from the midst of a democratic society through the prequels. Notwithstanding the futuristic environment in which the films takes place, we see that the possibility of what happened in the past with its horrific historical situations like World War II could well recur in the present or in the future, based on the model that emerged within several seemingly liberal societies. I argue that Lucas, like many other creators of science fiction, took the

3 opportunity to reenact events or trends in the fantasy playground in order to disengage from the details, as seen in other films from various genres that deal with the rise of fascism, remaining faithful to the historical space-time and striving to validate the historical veracity of the story. They focused on the particular: the very facts, persons, leaders and symbols that really were which on the face of it seem less pertinent to the films of Lucas. In the course of developing this thesis, I wanted to explain how the initial development of historical situations in the fantasy space-time led to distancing from specific national links, thus distilling the debate of typical human behavioral models. In this way typical occurrences tending to recur throughout history and create dictatorships and democracies, wars, revolts, political subterfuges, and other major events were exposed. I illustrated this by spotlighting various aspects of Lucas cinematic work which took place in the futuristic universe that he himself created, aspects that relate concurrently to socio-political manifestations of human history. Even though the films deal with familiar historical situations, they intimate underlying abstract ideas along with the typicality of the events that motivated them, while films aiming at the same wellknown situation would focus on concrete aspects, images, arenas and familiar events. Sixteen years after completing his Star Wars trilogy, George Lucas returned to the complex perfect world that he created with the Phantom Menace the first film of the prequel trilogy. As such, the prequels constitute a reliable historical document within the Star Wars diegesis, accompanying, step by step, a socio-political dialogue that ultimately led to a dramatic upheaval of the ruling structure of the galaxy transmuting it from a stable liberal democracy into a harsh and cruel dictatorship, which we had accepted as a given in the original trilogy. Nonetheless, even though the Star Wars series as a whole is a science fiction fantasy presenting us with a complete yet unrealistic world created entirely by the fertile imagination of George Lucas the creator (along with the unusual creatures populating its planets and the heroes among them), they are heavy with strata critical of our own world. The link between the Star Wars series and this world is reinforced in the prequels that describe the political change taking place in the galaxy

4 through correspondence with human history and events of the past that recur over the years events that can produce a tyrant from a democratic system who turned it into a dictatorship. We may then view the Star World series and particularly the prequels, not only as an historical survey relevant to the imaginary universe of Lucas, but also as relevant to the socio-political history of mankind. But may we view the Star Wars series as a text containing valuable content for the study of history? This surprising query emerges from the discussion on the importance of cinema as a historiophoty tool. Hayden White out-and-out rejects the argument that traditional historiography is more reliable and more faithful to the truth than historiophoty, although both deal with narrative processing of past events. What White believes is that while historiographers lean toward concretization, cinema leans toward typicality, and thus factual details are less important to cinema makers, who are able to describe events of the past from an inclusive and abstract angle. Thus it is also in the Star Wars series, which relates to the historical process not for the purpose of revealing particular details, but rather for the purpose of describing their function through an abstract model. David Davies and Darko Suvin proposed that science fiction is a store of abstract models removed from their familiar historical context. Davies believed that thought experiments in films particularly of the science fiction genre facilitated various scenarios in science fiction which enabled evaluation of their implications. Suvin presented cognitive estrangement as an essential process through which it is possible to disconnect the idea from its concrete links, and use it to create an abstract model that can be incorporated and expanded, as well as to reflect reality, thereby presenting it in a different, novel and critical light. Cognitive estrangement is also a process that concurrently disconnects and reconnects the particular and the abstract. To reinforce that link, I thoroughly reviewed the narrative elements contained in the prequels which anchor the films to their historical context and suggest how they relate to the rise of the Third Reich in Germany of the 1930s. Adopting the esthetics of Leni Riefenstahl as a dominant stylistic element reinforces the link between Star Wars films and Nazi Germany, both

5 before and after Hitlers rise to power. While historical implications may be looked upon as a pastiche, an inane nostalgic motif as the thinkers Frederic Jameson and Dan Rubey argued in their response to the first film of the Star Wars series: Star Wars: New Hope, the following two films and in particular the prequels, nonetheless load the entire saga with meta-historical, even critical context, striving to testify to socio-political manifestations as expressed in human history over the years. Lucas was accused of being a reactionary pining for America of the 1950s in his film American Graffiti, but in the prequels he takes advantage of the opportunity presented by the genre to follow the saga of the Galactic Empire from an all inclusive and critical point of view. He carries out an historical inquiry into the past of the world that he created, not for the sake of nostalgia and not out of his reactionary tendencies (if he indeed had such), but rather in order to focus on the socio-political events that brought about the fall of the Republic and the establishment of a totalitarian Empire in its stead. The critical acts in the prequels, endowed with a sort of historical documentation aura, are a departure from the mythological pathway of the first trilogy according to Anne Lancashire and to the director himself. Using this vehicle, he enumerates the ills of the Galactic Republic and its conduct as a seemingly harmonious democratic system. The Republic, presented in the first trilogy as a utopia, is revealed in the prequels as a system burdened with failures and faults, and not the object of the nostalgic longing of the rebels of the first trilogy, nor the object of Lucas apparently nostalgic yearning. As historical films, prequels have to be classified within historical research as part of the generic fascism school, since they do not seek out factual or other particulars regarding leaders, places and dates, but rather attempt to formulate a typical model which can be implemented within the fantasy of Star Wars. The Galactic Empire parallels models formulated by researchers of generic fascism with its collection of characteristics, both on ideological and practical levels as identified in fascist regimes of the first half of the 20th century. All this with the aim of identifying the common elements of all fascist regimes: those of the past and those yet to come. Such elements are applicable in the

6 socio-political world of Star Wars according to the models formulated by Stanley Payne and Michael Mann. Payne, Mann, Roger Griffin and other members of the generic fascism school focus their research on the regimes of Hitler, Mussolini, Franco, Salazar, and others whom they identified as fascists during that period. They were also bound by reasonable scientific practices to do so by virtue of being researchers. Such commitment, however, was not required of Lucas in creating the prequels. Without dating and a clear location, A long time ago, in a galaxy far away, is not a scientifically accepted factual detail. They describe a phenomenon that could be ascribed to those dark European regimes of the 20th century, but also to the democratic regimes of our time, including the seemingly liberal United States. In this manner, the prequels present to us this phenomenon as timeless. Lucas proposes in his films the possibility that, similar to what occurred in the past, American democracy could also implode, transforming itself into fascism not through a military coup or enemy attack, but rather as a result of an internal sociopolitical process embedded in the foundation of the democratic regime, as expounded by politico-legal philosophers such as Niccolo Machiavelli, Carl Schmitt and Giorgio Agamben. This process has long been voiced in liberal-democratic-parliamentarian regimes, bursting with a proclamation of a state of emergency which provides certain leaders with the opportunity of taking advantage of the legal vacuum and to assuming excessive powers. In other words, Fascist leaders arose as totalitarian rulers by virtue of a state of emergency they themselves proclaimed, and not only the state of emergency but also their rule were extended over and over again, radically overturning the balance between the organs of government while expanding their own authority, and trampling civil rights through the police and the army. So was the case with Hitler and with Mussolini, as well as with Emperor Palpatine of the Galactic Empire. The prequels hint that this has also happened at times in the United States (Richard Nixon and George W. Bush being the examples of improper exercise of authority by U.S. presidents in emergencies, on which Lucas declaratively offers his views).

7 These all-inclusive models were included in the prequels, and in this they differ from other science fiction films that sought to describe the fascist threat to the United States within the accepted historical narrative. Films such as the Manchurian Candidate, The Boys from Brazil and Spy Smasher described the threat to American democracy in the real world, stressing the historical contexts of familiar events familiar from the past (World War II, Korean War and even the Iraq War). The familiar and realistic arena and the story unfolding within it tends to be conspiratorial, telling the tale of a fantasy stratagem which seemingly threatens to strike at the American nation. In these films, the conspirators were foreigners who wanted to harm the United States and were in possession of an advanced technology that facilitated their aims (The Boys from Brazil and Spy Smasher), or interested parties that sought to utilize advanced technological means in their possession to seize political power (The Manchurian Candidate). As opposed to these films, the prequels seek to stress realistic socio-political stratagem in a fantasy world so that it could reappear and be applied in any world or regime, even in our own reality. The prequels construct flexible models of fascism which can be superimposed in todays United States as well, so that through cognitive estrangement, they reject the clear signs of the Third Reich and other totalitarian regimes, to which they relate. This is in direct contrast with other historical films of different genres, including: Mephisto, Cabaret, Inglorious Bastards, The Wave and its German remake TheWave (Die Welle), Spy Smasher and X-Men: First Class which sought to describe the same processes while remaining true to the time and space in which they took place, and presenting familiar leaders from the past and the symbols identified with them. In this sense, these films are truer to the historiographic tradition than that practiced by investigators of generic fascism. They seek historical truth, and reconstruction of the past is a substantial part of that truth. In this they meet up with the expectations held by Marcia Landy and Pierre Sorlin regarding historical films, yet restrict themselves from the standpoint of their abstraction and ability to conduct effective thought experiments. They present the standpoint of the individual regarding the political situation, and integrate their internal

8 world with the external, yet generally do not observe the process on a large scale as an ideological and practical model (as investigators of generic fascism attempted to do). Their all-encompassing interpretation, if there be such, stems from the psychology of the individual operating in such an environment. The Wave is exceptional from this standpoint, succeeding in demonstrating to some extent the manifestation of fascism on a large scale, since from the outset it describes a case that was removed from the playing field and the space it sought to recreate (the image of Hitler appears at the end of the film, in order to resolve the conflict in the plot). The imaginary arena of the prequels, cut off from any familiar space-time of human annals, is what enables them to demonstrate the generic models of fascism disconnected from their particular nationalistic and historical, at times traumatic, contexts. These contexts may constrain their internalization as a natural human manifestation without relating them to specific events. A fantasy arena may neutralize preliminary positions and data bases of the viewers, thus facilitating internalization of the models and sensitivity to such socio-political processes, possibly even out of self-criticism. This is a significant development in the prequels, arising as the experience of cognitive estrangement, inviting the viewers into the political event without identifying it unequivocally as an expression of fascist regimes. In order to anchor the fantasy films in the history of humanity, intertextual quotations from period films (Casablanca, Ben Hur, Metropolis, Napoleonic films, serials film of the 1930s and others) were introduced into the prequels, thus hinting at specific historical contexts without directly pointing them out. In the prequel world, so distant from ours, there is no need to confirm the realistic and factual reality of the arena, for time and space are not anchored in the accepted history. These hints are cognitive anchors, helping to distinguish between the abstract models and our world, while creating a multi-periodic effect. The prequels offer us another possibility of decoding models such as generic fascism in respect to reality, such as is mirrored in the fantasy universe. Decoding this universe as a reflection of human history over different periods shows that it is not all that different from our world.

9 Yet, if the reality described in the prequels is a reflection of that present in the human experience throughout history, what is the added value of their fantasy in films striving toward realistic space-time? Indeed, according to Suvin, it is the distancing that facilitates deeper examination and analysis of the manifestation being dealt with disconnected from its specific daily contexts, a striving that historians Griffin and Payne as well as Lucas and other creators of science fiction seem to be able to identify with to some degree. Realistic films dealing with fascism generally look toward factual veracity and tend to observe congruence between space, time, plot and various elements of style and narrative within the accepted factual historical narrative. Films such as Mephisto, Cabaret and others sought to recreate historical conditions as they really were. While successful recreation reinforces their veracity, it also restricts their relevance to other arenas, periods and societies. These films generally rely on the viewers prior knowledge of the overall environment of the plot, whereas the prequels illustrate political changes as a whole, creating an external reality in the Lucas universe unimpeded by historical facts, weaving its generic characteristics into a tight, yet complete multi-period narrative, traversing time, places and nations.

10

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Filmography
1. Austerlitz. Abel Gance. France/Italy/Yugoslavia/Lichtenstein: CIPRA, Lyre Films, Galatea Film, Michael Arthur Films and Dubrava Film, 1960 2. Battle of Britain. Guy Hamilton. UK: Spitfire Productions, 1969 3. The Battle of Britain: Why We Fight. Frank Capra. USA: Warner Bros, 1943 4. Ben Hur. William Wyler. USA: Warner Bros, 1959 5. Blade Runner. Ridley Scott. USA: Warner Bros, 1982 6. Boys from Brazil. Franklin Schaffner. USA: ITC entertainment, 1978. 7. Cabaret. Bob Fosse. USA: ABC, 1972. 8. Flash Gordon. Frederick Stephani and Ray Taylor. USA: King Features Productions and Universal Pictures, 1936 9. Gladiator. Ridley Scott. USA: DreamWorks, 2000 10. Inglorious Bastards. Quentin Tarantino. USA: Weinstein Co. and Universal Pictures, 2009. 11. The Manchurian Candidate. John Frankenheimer. USA: United Artists, 1962. 12. The Manchurian Candidate. Jonathan Demme. USA: Paramount Pictures, 2004 13. Mephisto. Istvan Szabo. Hungary: Mafilm, 1981. 14. Metropolis. Fritz Lang. Germany: UFA, 1927 15. Napleon. Abel Gance. France: Films Abel Gance and Socit gnrale des films, 1927 16. The Sound of Music. Robert Wise. USA: Robert Wise Productions, 1965 17. Spartacus. Stanly Kubrick. USA. Bryna Productions, 1959 18. Spy Smasher. William Witney. USA: Republic Pictures, 1942

16 19. Star Wars: Episode IV - A New Hope. George Lucas. USA: LucasFilm and 20th Century Fox, 1977. 20. Star Wars: Episode V The Empire Strikes Back. Irvin Kershner. USA: LucasFilm and 20th Century Fox, 1980. 21. Star Wars: Episode VI Return of the Jedi. Richard Maquand. USA: LucasFilm and 20th Century Fox, 1983. 22. Star Wars: Episode I The Phantom Menace. George Lucas. USA: LucasFilm and 20th Century Fox, 1999. 23. Star Wars: Episode II Attack of the Clones. George Lucas. USA: LucasFilm and 20th Century Fox, 2002. 24. Star Wars: Episode III Revenge of the Sith. George Lucas. USA, LucasFilm and 20th Century Fox, 2005. 25. Triumph of the Will (Triumph des Willens). Leni Riefenstahl. Germany: Leni Riefenstahl-Produktion and Reichspropagandaleitung der NSDAP, 1935 26. Tora! Tora! Tora!. Richard Fleisher, Kinji Fukasaku and Toshio Masuda. USA/Japan: 20th Century Fox and Toei company 27. Waterloo. Sergei Bondarchuk. Italy/Soviet Union: Dino de Laurentiis Cinematografica and Mosfilm, 1970 28. The Wave. Alexander Geasshoff. USA: TAT Communications Company, Tandem Productions, 1981 29. The Wave (Die Welle). Dennis Gansel. Germany: Rat Pack Filmproduktion GmbH, Constantin Film Produktion, B.A. Produktion and Medienfonds GFP, 2008 28. X-Men: First Class. Matthew Vaughn. USA: 20th Century Fox, 2011