nordic journal of english studies

Transcription

N O R D I C JOURNAL OF ENGLISH STUDIES
No 1 • 2005
Volume
4
Nordic Journal
of English Studies is published by the D e p a r t m e n t o f
Literature, Area Studies, a n d E u r o p e a n Languages, University o f O s l o
a n d is associated with the N o r d i c Association o f English Studies ( N A E S ) .
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a n d literature o f English-speaking countries.
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A n n a Fåhraeus, D e p a r t m e n t o f English, G ö t e b o r g University,
B o x 2 0 0 , S E - 4 0 5 3 0 , G ö t e b o r g , Sweden.
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Stig J o h a n s s o n (Oslo)
Peter Y o u n g (Agder College)
Merja Kytö (Uppsala)
Arne Zettersten ( C o p e n h a g e n )
Lise O p d a h l (Bergen)
Carita Paradis ( L u n d )
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ISSN 1502-7694
C o v e r design: A s k i m Grafix A S , Historical m a p by Luth & C o
Ælfric's Abjection o f the Virgin M a r y
MIRANDA
HODGSON
Æ l f r i c c o m p o s e d n o t o n e , b u t t w o , h o m i l i e s o n the o c c a s i o n o f the V i r g i n
T h e first, De sancta Maria, a p p e a r s in the s e c o n d series
Homilies ( G o d d e n 1 9 7 9 ) , while h e w r o t e his s e c o n d ,
Nativitas
sanctae Mariae virginis ( A s s m a n n 1 8 8 9 ) , ten years later, as a n a d d i t i o n to
t h e first series o f Catholic Homilies.
While one might reasonably expect a
h o m i l y for this feast d a y to i n c l u d e i n f o r m a t i o n o n the early life o f M a r y
as well as a d i s c u s s i o n o f t h e d a y ' s p r e s c r i b e d gospel text, in b o t h cases,
Ælfric's a p p r o a c h to M a r y ' s g i r l h o o d e x t e n d s b e y o n d even t h e m o s t
e x t r e m e c a u t i o n . H i s w r i t i n g s u g g e s t s an unwillingness to c o n s i d e r the
m u l t i f a c e t e d aspects o f her saintliness that e m e r g e f r o m this a p o c r y p h a l
s t o r y b e c a u s e o f c o n c e r n for the heretical i m p l i c a t i o n s that p r e s e n t i n g this
t y p e o f sanctity m i g h t c a u s e . T h e texts that h e writes to h o n o u r her
N a t i v i t y therefore h a v e o n l y the m o s t t e n u o u s c o n n e c t i o n to her g i r l h o o d .
H o w e v e r , instead o f s i m p l y p r e s e n t i n g the ideas with w h i c h h e is
c o m f o r t a b l e , h e interweaves rationalisations o f his c a u t i o u s a p p r o a c h i n t o
t h e actual texts themselves. F r o m t h e i n f o r m a t i o n that. Æ l f r i c p r o v i d e s in
his rationalisations, c o m b i n e d w i t h t h e m a n n e r in w h i c h h e m e d i a t e s
M a r y ' s y o u t h , w e c a n view his w r i t i n g choices as b e i n g p r o f o u n d l y
i n f l u e n c e d b y w h a t J u l i a K r i s t e v a t e r m s t h e abject.
Mary's Nativity.
o f Catholic
Kristeva describes a b j e c t i o n as a revolt against s o m e t h i n g t h a t is close
t o u s , b u t c a n n o t b e a s s i m i l a t e d into us, a n d causes w o r r y b e c a u s e o f the
s t r a n g e relational p o s i t i o n that it therefore o c c u p i e s with us ( 1 9 8 2 : 1).
T h e t h i n g that is a b j e c t e d is n o t a n o b j e c t , b u t rather a border.
However,
as K r i s t e v a says, " w e m a y call it a border; a b j e c t i o n is a b o v e all a m b i g u i t y .
B e c a u s e , while releasing a h o l d , it d o e s n o t radically c u t o f f t h e s u b j e c t
f r o m w h a t threatens i t " ( 1 9 8 2 : 9 ) .
T h e abject also a c c o m p a n i e s
all
religious traditions w h e r e it "persists as exclusion or t a b o o (dietary or
o t h e r ) in m o n o t h e i s t i c r e l i g i o n s " (Kristeva 1 9 8 2 :
17).
From a
more
strictly psychoanalytical p o i n t o f view, there are three m a i n categories o f
abjects: f o o d , w a s t e , a n d signs o f sexual difference ( G r o s z 1 9 9 0 : 8 9 ) . W i t h
e a c h o f these categories, there is a " n e e d to purify the a b j e c t , " (Kristeva
N O R D I C JOURNAL OF ENGLISH STUDIES. V O L . 4 N o .
l
1
Ælfric's Abjection o f the Virgin Mary
1 9 8 2 : 17) b u t w i t h the category o f sexual difference, this n e e d has rather
drastic c o n s e q u e n c e s .
N o t only is the archaic m o t h e r a n d her p o w e r s o f
g e n e r a t i o n feared (Kristeva 1 9 8 2 : 7 7 ) b u t t h e M o t h e r herself (as well as
d e a t h ) m u s t b e a b j e c t e d as a necessary stage in o r d e r for the s p e a k i n g
subject to enter into the S y m b o l i c order o f signification. W h e n d i s c u s s i n g
f o r m s o f d i s c o u r s e , w e can follow G r o s z in saying that " a b j e c t i o n is the
u n d e r s i d e o f the s y m b o l i c .
It is w h a t the s y m b o l i c m u s t reject, cover over
and contain" (1990: 89).
A s a specific o b j e c t o f abjection, the paradoxical subjectivity that is at
t h e heart o f t h e V i r g i n M a r y ' s sanctity causes m a j o r unrest.
A s a virgin
w h o , d e s p i t e her h u m a n i t y , is elevated ' a b o v e all other w o m e n ' b e c a u s e o f
her m i r a c u l o u s maternity, she is utterly u n i q u e , a n d it is precisely this
e x t r a o r d i n a r y status that m a k e s her an a p p r o p r i a t e o b j e c t o f v e n e r a t i o n for
ordinary w o m e n (and men).
T h e fact that she therefore participates in
b o t h the h u m a n a n d the divine (just as her S o n does) is, after all, o n e o f
t h e reasons w h y t h e faithful s o u g h t her intercession w i t h G o d .
even
contemplating
the
increased
'biographical'
Without
information
that
a p o c r y p h a l traditions afford her, her status s i m p l y as a w o m a n therefore
cannot
ultimately
be
assimilated
into
orthodox
Christian
c o n c e r n i n g h o w regular, non-saintly m e n a n d w o m e n
ideologies
o u g h t to b e . 1
A l t h o u g h these ideologies o b v i o u s l y d o n o t associate her with a n y o f the
antifeminist
qualities
that
the C h u r c h
Fathers
so
often
ascribed
to
1
The terms orthodox and apocryphal have evolved a great deal as applied to Christian
practice and belief. While orthodox has a more consistent meaning of being that which is in
accordance with an accepted or authoritatively established belief system, apocryphal first
referred to writings that did not belong to Jewish and early Christian canonical literature.
With regard to the Virgin Mary, we can thus define all extra-biblical details about her life as
apocryphal. However, as the legends about her began to spread and take root in various
literary traditions, they necessarily became an accepted part of the belief systems from which
these traditions emerged. In places where these legends encountered no resistance, we can
thus say that they gained an orthodoxy that they did not have initially. Details concerning
the Virgin Mary that were originally apocryphal, for example, the idea of her perpetual
virginity, can also be accepted by traditions that, in rejecting the veracity of the majority of
her extra-biblical narratives, belong to a more orthodox point of view. It is therefore
important to remember that these two terms do not necessarily have to be applied in a
mutually exclusive manner. For the sake of clarity, however, in this article, the term orthodox
refers to that which is accepted as the truth by the Church Fathers and later men of the
Church such as Bede, and the term apocryphal refers to that which causes great ideological
concern to these authorities. A narrative's biblical or extra-biblical origin is thus only one
aspect, and not the defining principle, of its designation as orthodox or apocryphal.
2
Miranda Hodgson
women,2
her
sex
nevertheless
prevents
them
from
representing
her
a c c o r d i n g to the s a m e p a r a m e t e r s as saintly m e n . S u c h a p o s i t i o n o f intracategorical l i m b o , for a historical w o m a n ,
m i n o r i t y o f extraordinary w o m e n ;
is n o t i n n a t e , even for
it is o n l y w i t h i n a narrative
a
that
presents itself as b i o g r a p h i c a l r e p o r t a g e that this t y p e o f w o m a n c a n exist.
M a r y , therefore, never crosses over into t h e realm o f
masculine
privilege, b u t rather o n l y exists as a n alien p r e s e n c e in close p r o x i m i t y to
it.
A t the s a m e t i m e , the o r t h o d o x tradition abjects, n o t rejects her,
b e c a u s e her p o s i t i o n , d i s t u r b i n g as it is, p r o v i d e s a necessary
b e t w e e n the f e m i n i n e a n d the m a s c u l i n e .
border
I n this w a y , s h e p r o t e c t s
m a s c u l i n e privilege f r o m the taint o f f e m i n i n e O t h e r n e s s , b u t the fact that
she ultimately e m b o d i e s neither o f these p o s i t i o n s m a k e s her a t r o u b l i n g
gatekeeper to say t h e least. F r o m this p o i n t o f view, a p o c r y p h a l traditions
a n d texts that describe M a r y b e y o n d the limits o f her biblical origins are,
in turn, potentially d i s r u p t i v e to the biblical W o r d as the definitive site o f
t h e m o n o l i t h i c , m a s c u l i n e universality.
T h u s , while Æ l f r i c is extremely
c o n c e r n e d w i t h e x c l u d i n g a p o c r y p h a l details o f the V i r g i n M a r y f r o m his
o w n 'proper' N a t i v i t y narratives, w e
find
that h e never excises their
p r e s e n c e f r o m his texts entirely.
It m u s t first b e stated that Æ l f r i c assigns M a r y a very h i g h p l a c e
i n d e e d w i t h i n the H e a v e n l y F a m i l y , as he praises her a n d her p o w e r s o f
intercession w i t h C h r i s t at every o p p o r t u n i t y , w h i c h w e see m o r e fully
d e m o n s t r a t e d in his s e c o n d N a t i v i t y h o m i l y .
h o m i l i e s , however, Ælfric
In b o t h o f his N a t i v i t y
explains that t h e m a i n
reason
behind
his
a v o i d a n c e o f a p o c r y p h a l materials o n the N a t i v i t y o f M a r y is his fear o f
error, or heresy.
In the first h o m i l y , he s i m p l y states his c o n c e r n a b o u t
s a y i n g t o o m u c h , " þ y læs ð e w e o n æ n i g u m g e d w y l d e b e f e a l l o n " (1. 6 ) (lest
w e fall into a n y error), while h e is m o r e explicit in t h e s e c o n d : " A c w e
nellað secgan b e þ æ r e gesetnysse / o f ð a m g e d w y l d e , þ e g e d w o l m e n s e t t o n
/ b e hyre a c e n n e d n y s s e . . . " (11. 5-7a) ( B u t w e d o n o t w i s h to recite the
narrative o f the heresy w h i c h heretics c o m p o s e d a b o u t
her b i r t h . . . ) .
Clearly, Ælfric e q u a t e s M a r y ' s p o s i t i o n as a t y p e o f frontier b e t w e e n t h e
f e m i n i n e a n d the m a s c u l i n e as a d a n g e r o u s p l a c e t h a t m u s t b e a v o i d e d .
N o t even c r o s s i n g over, b u t s i m p l y a p p r o a c h i n g , this frontier leads h i m to
an u n c o m f o r t a b l e p r o x i m i t y to the heretical errors that w o u l d surely result
For example, women were said to possess apparently inherendy lustful, deceitful,
envious, garrulous, and deficient natures.
2
3
Ælfric's Abjection of the Virgin Mary
i f aspects o f the feminine were a l l o w e d to m i n g l e with, a n d thereby infect,
t h e o s t e n s i b l e centrality o f the m a s c u l i n e .
In a d i s c u s s i o n o n heresy in the later m e d i e v a l p e r i o d , S w a n s o n notes
that, b e c a u s e W e s t e r n C h r i s t i a n i t y d e v e l o p e d a n d t r a n s f o r m e d
greatly
b e t w e e n 1 1 0 0 a n d 1 5 0 0 , "heresy was a l m o s t a necessary c o n c o m i t a n t "
( 1 9 9 4 : 2 8 0 ) . A l t h o u g h he d o e s n o t deal specifically with the A n g l o - S a x o n
p e r i o d , S w a n s o n also states that " g i v e n the f r a g m e n t a t i o n w i t h i n m e d i e v a l
Christianity,
and
the
tensions
and
weaknesses
of
its
doctrinal
and
ideological d e v e l o p m e n t , the frequent uncertainty a b o u t the b o u n d a r i e s
between the o r t h o d o x a n d the u n o r t h o d o x is u n s u r p r i s i n g " ( 1 9 9 4 : 2 8 2 ) .
G i v e n t h e fact that Ælfric was writing in the m i d s t o f the c h a n g e s b r o u g h t
a b o u t b y the B e n e d i c t i n e R e f o r m , a n d w a s also a p r o p o n e n t o f the R e f o r m
itself, his fear o f 'error' is n o t surprising. I n d e e d , it is particularly relevant
to his views o n the V i r g i n M a r y , as o n e o f his c h i e f reasons for w r i t i n g his
h o m i l i e s is to d i s s e m i n a t e w h a t he believes to b e p r o p e r C h r i s t i a n d o c t r i n e
to t h o s e w h o are less learned than himself. 3
H o w e v e r , as m u c h as it m i g h t seem reasonable for Ælfric's concerns
simply to b e a p r o d u c t o f his times, the circumstances that surround their
origins are m u c h m o r e complex.
O n the o n e h a n d , critics such as M i l t o n
G a t c h ( 1 9 7 7 : 1 0 2 - 3 ) , Stanley Greenfield a n d Daniel Calder ( 1 9 8 6 : 7 1 ) , a n d
M a l c o l m G o d d e n ( 1 9 7 8 : 102) describe Ælfric's w o r k as specifically reacting
to the unorthodoxies o f what they believe to be the earlier a n o n y m o u s O l d
English homilies that d o not share his concerns a b o u t Mary.
O n the other
h a n d , however, there are m a j o r discrepancies with such points o f view.
First,
C l a y t o n points o u t that it is not possible to date the a n o n y m o u s homilies to
the pre-Reform period ( 1 9 9 0 : 2 6 1 - 3 ) . Second, she points to source studies as
the key to deciphering the origins o f Ælfric's attitudes towards
Mary,
suggesting that "Ælfric's acceptance or rejection o f these texts seems... to have
been g u i d e d m o r e b y his knowledge or ignorance o f authorities which called a
text into question than b y individual discrimination" ( 1 9 9 0 : 2 6 2 ) .
O'Leary
offers a similar a r g u m e n t when she points o u t that Ælfric d i d not c o n d e m n all
apocryphal materials ( 1 9 9 9 : 15). O n the contrary, O ' L e a r y shows that Ælfric
was familiar with a n d occasionally used the apocryphal Aas of the Apostles as
sources in his writings ( 1 9 9 9 : 16).
S h e c o m m e n t s further that
"Ælfric
regarded apocryphal compositions a b o u t the closest followers o f J e s u s in a
positive light and, for the m o s t part, was b y no m e a n s reluctant to utilise
3
We can also describe heresy as an abject, as it is necessary in order to define orthodoxy,
but simultaneously repelled by orthodoxy as erroneous.
4
Miranda Hodgson
t h e m , " a n d that Ælfric's hesitations a b o u t M a r y " s h o u l d n o t b e taken as a
blanket-criticism o f apocryphal material" ( 1 9 9 9 :
18 a n d 19).
It seems,
therefore, that the rationale that informs Ælfric's creation o f M a r y in his
Nativity homilies originates f r o m previous authors' definitions o f what is
acceptable a n d unacceptable source material.
It is also interesting to n o t e that Ælfric's ideas a b o u t
acceptable
s o u r c e materials a n d p r o p e r C h r i s t i a n c o n d u c t were n o t , however, always
f o l l o w e d b y others, especially in the c o m p i l a t i o n o f collections o f his
works.
C o n t r a r y to his wishes, w e find t h e u n a u t h o r i s e d insertion o f
h o m i l i e s in m a n u s c r i p t s that c o n t a i n Ælfric's w o r k w h e r e h e r e c o m m e n d s
three 'silent d a y s ' o n M a u n d y T h u r s d a y , G o o d F r i d a y , a n d H o l y S u n d a y :
days
on
which
p r e a c h i n g (Hill
Bodley 340
Ælfric
1985:
maintained
118).
that
Church
custom
prevented
E v i d e n c e , for e x a m p l e , exists f r o m
that t h e c o m p i l e r
i g n o r e d Ælfric's
MS
desires a n d
included
a n o n y m o u s h o m i l i e s for the three silent d a y s (Hill 1 9 8 5 : 1 2 0 ) .
N o r was
this a n isolated incident, given t h e fact that
" a t the e n d o f t h e eleventh-
century, m a r g i n a l n o t e s m a d e in W o r c e s t e r registered v i g o r o u s protests
a g a i n s t Ælfric's First Series p r o n o u n c e m e n t that c h u r c h c u s t o m f o r b a d e
t h e p r e a c h i n g o f h o m i l i e s o n t h e three 'silent d a y s ' " ( I b i d ) .
I n light o f
C l a y t o n a n d H i l l ' s o b s e r v a t i o n s , w e can therefore s u g g e s t t h a t Ælfric's
a b j e c t i n g a p p r o a c h to t h e V i r g i n M a r y is m o s t likely m o r e d e m o n s t r a t i v e
o f his o w n idiosyncratic, i n d i v i d u a l style o f c o m p o s i t i o n a n d u s e o f s o u r c e
materials t h a n o f a n y c o m p o s i t i o n a l trends across O l d E n g l i s h h o m i l i e s as
a g e n r e d u r i n g the t i m e in w h i c h h e wrote.
Despite
his
fears,
however,
Ælfric
still
material c o n c e r n i n g M a r y into his h o m i l i e s .
incorporates
apocryphal
K e e p i n g in m i n d that the
B i b l e i n c l u d e s n o i n f o r m a t i o n whatsoever c o n c e r n i n g M a r y before the
A n n u n c i a t i o n , it is s u r p r i s i n g that Ælfric says as m u c h a b o u t her as he
d o e s in his first h o m i l y :
Hwæt wylle we secgan ymbe Marian gebyrtide. buton þæt
heo wæs gestryned þurh fæder. and ðurh moder, swa swa oðre
men. and wæs on ðam dæge acenned þe we cweðað Sexta Idus
Septembris; Hire fæder hatte Ioachim. and hire moder Anna,
eawfæsre men on ðære ealdan £fe.
(11. 1-5)
(What shall we say about Mary's birthday, except that she was
conceived by father and mother as other people, and was born on the
day we call the eighth of September. Her father was called Joachim
and her mother Anna, pious people according to the old law.)
5
I n telling us that M a r y was b o r n like other p e o p l e , Ælfric m a y b e refuting,
n o t o n l y the C h r i s t o l o g i c a l l y a p o c r y p h a l story o f her birth, w h e r e G o d
intervened with her a g i n g p a r e n t s to tell t h e m that A n n a w o u l d i n d e e d
b e c o m e p r e g n a n t , b u t also the extrapolations f r o m this story w h e r e s o m e
p e o p l e therefore c l a i m e d that A n n a (like M a r y ) w a s also s u b j e c t e d to a
m i r a c u l o u s l y virginal c o n c e p t i o n a n d birth. H o w e v e r , the fact that Ælfric
also r e c o u n t s the d a t e o f M a r y ' s birth, as well as her p a r e n t s ' n a m e s , a n d
t h e fact that they were p i o u s p e o p l e , suggests that h e h i m s e l f is using
h e t e r o d o x i n f o r m a t i o n in his a t t e m p t to s u p p l y the m i n i m a l a m o u n t o f
i n f o r m a t i o n for this feast day. T h a t he then q u i c k l y c o n c l u d e s this h o m i l y
rather abruptly, c l a i m i n g that h e does not even w a n t to risk a d i s c u s s i o n o f
t h e d a y ' s g o s p e l b e c a u s e it is t o o difficult to explain, d e m o n s t r a t e s the
great extent to w h i c h he can neither entirely include nor e x p u n g e M a r y
f r o m his narrative.
H e abjects M a r y ' s g i r l h o o d similarly in his s e c o n d
N a t i v i t y h o m i l y . A l t h o u g h h e includes the details o f M a r y ' s p a r e n t a g e , h e
also states that he d o e s n o t w a n t to relate the stories o f her birth or d e a t h ,
w h i c h " h a l g a n boceras f o r b u d o n to s e c g e n n e " (1. 9) (holy scholars f o r b a d e
[us] to relate). First s i m p l y d a n g e r o u s , a n d then explicitly f o r b i d d e n , this
a s p e c t o f M a r y is a p r o b l e m o f w h i c h he s e e m i n g l y c a n n o t rid himself.
D e s p i t e his difficulties with i n c o r p o r a t i n g a p o c r y p h a l material o n
M a r y w h i c h s h o u l d , logically, c o n t r i b u t e to a N a t i v i t y h o m i l y in her
h o n o u r , Æ l f r i c does n o t b a n i s h it entirely. I n fact, there is o n e a p o c r y p h a l
detail c o n c e r n i n g her that h e is h a p p y to use over a n d over: her s u p p o s e d
g i r l h o o d v o w o f virginity. 4
possibility o f e m p h a s i s i n g
Instead
of engaging,
therefore,
with
m u l t i p l e aspects o f her saintly y o u t h ,
a b j e c t i o n o f this leads h i m to use her virginity as an exegetical
the
his
tool.
Æ l f r i c ' s highly selective e m p l o y m e n t o f this particular a p o c r y p h a l detail in
his w o r k t h u s characterises her p a r a d o x i c a l subjectivity a c c o r d i n g to a
socio-sexual trait that the C h u r c h e x p e c t e d o f all u n m a r r i e d w o m e n , b e
they saints or l a y w o m e n . S u c h an e m p h a s i s o n a trait that she shares w i t h
m a n y o t h e r w o m e n , instead o f o n e that, however extraordinary it m a y b e ,
4
In maintaining that the Virgin Mary vowed to remain a virgin when she was still only a
girl, Ælfric expresses a view which, in light of the fact that it is extra-biblical, is technically
heterodox. Also, although the idea of Mary's continual virginity even after Christ's birth
was first developed by Church Fathers such as Ambrose, Jerome, and Augustine, it first
gained popular prominence in the thirteenth century, and was made official Church
dogma only in the twentieth century. In maintaining that Mary made a vow always to
remain a virgin, Ælfric was therefore clearly ahead of his time.
6
Miranda Hodgson
e m p h a s i s e s t h e speculative difference o f her y o u t h f r o m t h a t o f o t h e r
y o u n g w o m e n , p r o v i d e s h i m with the ideological safety that h e requires.
W e can see h o w Ælfric creates M a r y n o t as a n i n d i v i d u a l figure, b u t
as a static t o o l , in the s e c o n d section o f his s e c o n d N a t i v i t y h o m i l y , w h i c h
is entitled De sancta
virginitate. 5
A s an i n - d e p t h c o m p a r i s o n o f Ælfric's
text with A u g u s t i n e ' s s o u r c e text has already b e e n carried o u t ( C l a y t o n
1 9 8 6 ) , it c a n suffice to a d d here that Ælfric's creation o f M a r y in this
m a n n e r allows h i m to e x p o u n d greatly u p o n t h e t h e m e o f virginity as it
m e t a p h o r i c a l l y relates to C h r i s t i a n faith a n d the C h r i s t i a n C h u r c h . G i v e n
t h e fact t h a t s p e e c h is a factor o f great i m p o r t a n c e in creating female
sanctity in general, it is interesting to focus o n h o w the s p e e c h that Ælfric
ascribes t o her participates in his exegesis. U n s u r p r i s i n g l y , p e r h a p s , there
is o n l y o n e e x a m p l e . W h e n d i s c u s s i n g M a r y ' s surprise at the angel's
a n n o u n c e m e n t t h a t she will c o n c e i v e C h r i s t a n d her reply to t h e angel o f
" H u m æ g ðis g e w u r ð a n , þ o n n e ic weres n e b r u c e ? " (1. 1 9 5 ) ( H o w m a y this
b e , as I k n o w n o t m a n ? ) , Ælfric c o m m e n t s :
G o d mihte hi hatan,
to swilcere acennednysse,
hyre willa mærlicor,
hyre mægðhad behatan
ærðan þe heo wiste,
and wæs gode gehalgod
na swylce geneadod
eallum mædenum to bysne,
þæt hi for Cristes lufon
þæt heo heolde hyre mægþhad
ac wæs swa peah
þæt heo wolde hyre sylf
þam heofonlican gode,
hwæne heo acennan sceolde,
be hyre agenum cyre,
mid nanre hæse,
pe on mode geceosað,
on clænnysse þurhwunion.
(11. 198-206)
(God could have commanded her that she should preserve her
virginity for such a birth, but her desire, however, was more glorious,
in that she herself wished to vow her virginity to the heavenly God,
before she knew to whom she would have to give birth, and she was
consecrated to G o d by her own choice, not compelled thus by any
command, as an example to all virgins who choose in their minds
that they will persevere in purity for love of Chrisr.)
Here
we
can
see
how
Ælfric
uses
Mary's
biblically
sanctioned
A n n u n c i a t i o n s p e e c h for this exegesis o f a p o r t r a y e d g i r l h o o d d e c i s i o n
w h i c h is in itself a p o c r y p h a l .
I n this p a s s a g e h e p r e s u m e s to fashion b o t h
Ælfric's source for this is Augustine's own De sancta virginitate,
Migne 1844-80.
5
which can be found in
7
Ælfric's Abjecrion o f the Virgin Mary
her m i n d , as well as G o d ' s , as he speaks for b o t h o f t h e m , inserting his
o w n rationale in order to explain the c i r c u m s t a n c e s that s u r r o u n d her
s u p p o s e d v o w o f virginity. 6
T h i s type o f contextual, p o s i t i o n a l a b j e c t i o n
o f M a r y ' s N a t i v i t y therefore gives h i m total control to p o s i t i o n her ( a n d
G o d ! ) as he wishes.
It seems, therefore, that abjection is the only m e a n s b y which Ælfric
can a p p r o a c h the V i r g i n M a r y ' s girlhood, given his extremely conservative
views on the appropriateness o f presenting this aspect o f her to the public.
H o w e v e r , even this m a y b e granting her t o o significant a role in Ælfric's
process o f homiletic c o m p o s i t i o n .
It has already been stated that m u c h o f
w h a t Ælfric accepted or rejected was based o n the o p i n i o n s o f the C h u r c h
m e n with w h o s e works he was already familiar. H i s difficulties in m e d i a t i n g
M a r y ' s s a i n d y girlhood m a y therefore have m o r e to d o with a desire that he
h i m s e l f remain within the well-defined, fixed ideological circumstances that
t h e previous w o r k s create.
Ælfric's concern with d e v e l o p i n g too m a n y
different aspects o f M a r y ' s character can thus b e said to b e o n l y o f secondary
i m p o r t a n c e to h i m , as the p r i m a r y i m p o r t a n c e revolves a r o u n d staving off
the threat that such potentially unsettling differences p o s e to his o w n
positionality within the patristic e c o n o m y o f m e a n i n g .
Linacre
College, University of
Oxford
6
This passage is a direct translation from De sancta virginitate (Clayton 1986: 304). So
while the ideas expressed in it are not technically his own original work, the fact that he
recreates them through translation into Old English still grants him authorship of and
responsibility for them, especially as he is often quite free in his adaptation of Augustine's
source text.
8
Miranda Hodgson
References
Assmann, Bruno, ed. 1889. "Ælfric: Nativitas Sanctae Mariae Virginis."
Angelsächsische Homilien und Heiligleben. Bibliorhek der angelsächsischen
Prosa 3. Reprinted with a supplementary introduction by P.A.M. Clemoes.
Darmsradt: Wissenschaftliche Buchgesellschaft, 1964, 24-48.
Clayton, Mary. 1986. "Ælfric and the Nativity of the Blessed Virgin Mary."
Anglia 104: 2 8 6 - 3 1 5 .
_. 1990. The Cult of the Virgin Mary in Anglo-Saxon England. Cambridge
Studies in Anglo-Saxon England 2. Cambridge: Cambridge University
Press.
Grosz, Elizabeth. 1990. " T h e Body o f Signification," In Abjection, Melancholia,
and Love: The Work of Julia Kristeva, ed. J o h n Fletcher and Benjamin
Andrew, 80-103. Warwick Studies in Philosophy and Literature. London:
Routledge.
Kristeva, Julia. 1982. Powers of Horror: an Essay on Abjection. Trans. Leon S.
Roudiez. N e w York: Columbia University Press.
Gatch, Milton M . 1977. Preaching and Theology in Anglo-Saxon England: Ælfric
and Wulfitan. Toronto: University of Toronto Press.
Godden, Malcolm. 1978. "Ælfric and the Vernacular Prose Tradition." In The
Old English Homily and its Backgrounds, ed. Paul E. Szarmach, 99-117.
Albany: Srate University of N e w York Press.
.1979. Ælfric's Catholic Homilies: The Second Series: Text. Early English
Text Society s.s. 5. London: Oxford University Press, 2 7 1 .
Greenfield, S. B. and D . G. Calder. 1986. A New Critical History of Old English
Literature. N e w York and London: N e w York University Press.
Hill, Joyce. 1985. "Ælfric's 'Silent Days'," Leeds Studies in English 16: 118-31.
Migne, J . P. 1844-80. Patrologia Cursus Completus... Series Latina. 40: 395-428.
Paris.
O'Leary, Aideen. 1999. "An Orthodox Old English Homiliary? Ælfric's Views on
the Apocryphal Acts o f the Apostles." Neuphilologische Mitteilungen 100(1):
15-26.
Swanson, R. N . 1994. "Literary, Heresy, Hisrory and Orthodoxy: Perspectives
and Permutations for the Later Middle Ages." In Heresy and Literacy, 10001530, eds. Peter Biller and Anne Hudson, 279-93. Cambridge Series in
Medieval Literature 2 3 . Cambridge: Cambridge University Press.
9
10
Quite As a Degree Modifier o f Verbs
HANNELE DIEHL
1. Introduction
R e s e a r c h o n the interpretations o f quite (e.g. B o l i n g e r 1 9 7 2 ; P a r a d i s 1 9 9 7 ;
K l e i n 1 9 9 8 ) s h o w s that it is a c o n t e x t u a l l y flexible i t e m w h i c h selects for
gradability. T h i s p a p e r takes a closer l o o k at this i t e m in o r d e r to a c c o u n t
for its readings as a d e g r e e m o d i f i e r o f verbs 1 in written British E n g l i s h 2 .
The
theoretical
framework
linguistics ( L a n g a c k e r
o f t h e s t u d y is b r o a d l y w i t h i n
cognitive
1 9 8 7 ) , a n d as a starting p o i n t , P a r a d i s ' s
(1997,
2 0 0 1 ) m o d e l o f d e g r e e modifiers is used. S h e s h o w s that there m u s t b e a
relationship
of harmony
between
the b o u n d e d / u n b o u n d e d
mode
of
construal o f quite a n d the adjective it applies to. F o l l o w i n g P a r a d i s ( 1 9 9 7 ,
2 0 0 1 ) , I p r o p o s e that a similar relationship o f h a r m o n y exists b e t w e e n the
b o u n d e d / u n b o u n d e d m o d e o f construal o f quite a n d the verb it a p p l i e s to.
T o exemplify, i f the m o d e o f construal o f t h e c o l l o c a t i n g verb is clearly
b o u n d e d , then quite f u n c t i o n s as a b o u n d e d ' m a x i m i z e r ' in e x p r e s s i n g t h e
quite
understand,
b u t if the m o d e o f c o n s t r u a l o f the c o l l o c a t i n g v e r b is
u n b o u n d e d , then quite functions as a n u n b o u n d e d 'booster' , as in / quite
exact c o r r e s p o n d e n c e w i t h w h a t is expressed b y the verb, as in /
4
1
Here and throughout this paper, I use the term 'verb' to refer to the main verb in a verb
phrase that quite takes scope over as a degree modifier.
2
The data are based on a random sample of 500 occurrences of the degree modifiers
fairly, rather and quite in the written part of the British National Corpus (BNC). See
http://www.natcorp.ox.ac.uk/index.html [4 May 2005] for facts about this corpus. For the
time being I have only included written data but it is my intention to extend the study to
spoken data as well.
All examples are mine unless otherwise stated.
The term 'maximizer' is a notional term which can be encoded, for instance, by the
items completely and quite. A maximizer has the role of expressing a maximum degree, i.e.
reinforcing totality. By contrast, the notional term 'booster', which can be encoded, for
example, by the items very much and quite, has the role of expressing a relative, reinforcing
degree (cf. Table 1).
3
4
11
Quite As a Degree Modifier of Verbs
fancy this. T h e h y p o t h e s i s is that the configurational reading o f the verb
t h a t c o m b i n e s with quite o n a particular o c c u r r e n c e o f use selects a n d
c o n s t r a i n s the r e a d i n g o f quite. T h e hypothesis is tested against d a t a b a s e d
o n 3 1 r a n d o m occurrences o f quite as a modifier o f v e r b s in the written
p a r t o f the B N C (British N a t i o n a l C o r p u s ) . F r o m these, a n u m b e r o f
representative e x a m p l e s are chosen in order to illustrate the use o f quite as
a degree m o d i f i e r o f verbs. T h e c o r p u s d a t a are u s e d for illustrative
p u r p o s e s only.
5
2. Identifying and explaining the readings o/quite as a
degree modifier of verbs
T h e p u r p o s e o f this section is twofold: (i) to identify the interpretations o f
quite as a d e g r e e m o d i f i e r o f verbs, a n d (ii) to explain these in terms o f
their c o n c e p t u a l i z a t i o n , w h i c h reflects the p r e s e n c e or a b s e n c e o f
b o u n d a r i e s . H o w e v e r , before dealing with these t w o p u r p o s e s , I take a
b r i e f l o o k at the structure o f the present study.
2 . 1 P r e s e n t a t i o n o f the s t u d y
I will start b y g i v i n g the established readings o f quite
a c c o r d i n g to the
Cobuild ( 1 9 8 7 ) d i c t i o n a r y d e f i n i t i o n s . T h i s is d o n e in section 2 . 2 , w h i c h
will also s h e d light o n s o m e s e m a n t i c aspects o f quite. In section 2 . 3 I
p r e s e n t the c o n c e p t u a l basis o f the readings o f quite w i t h i n the f r a m e w o r k
o f c o g n i t i v e linguistics ( L a n g a c k e r 1 9 8 7 ) . F o r a m o d e l o f d e g r e e modifiers,
P a r a d i s ( 1 9 9 7 , 2 0 0 1 ) is used. S u b s e c t i o n 2 . 3 . 1 takes u p the general
theoretical b a c k g r o u n d o f the s t u d y , whereas s u b s e c t i o n s 2 . 3 . 2 a n d 2 . 3 . 3
g o into details a b o u t w h a t is required in terms o f c o n f i g u r a t i o n a l m e a n i n g
f r o m t h o s e adjectives a n d verbs w h i c h a c c e p t quite, s u b s e c t i o n 2 . 3 . 2 deals
w i t h the m o d e s o f construal o f degree modifiers a n d their adjectives,
whereas s u b s e c t i o n 2 . 3 . 3 discusses h o w b o u n d e d n e s s is c o n c e p t u a l i z e d in
t h o s e verbs that c o m b i n e with quite. T h e actual use o f quite as a d e g r e e
m o d i f i e r o f verbs in the B N C d a t a will b e e x a m i n e d in section 3, a n d
section 4 , finally, c o n c l u d e s the study.
5
All the occurrences of quite as a degree modifier of verbs in the data amount to 95 cases.
Of these, 31 cases occur in affirmative contexts and 64 in negative contexts. For reasons
stated in section 2.2, only affirmative contexts are included in the present study.
12
Hannele Diehl
2.2 Quite a n d m e a n i n g
A s a starting-point, I h a v e d r a w n the established r e a d i n g s o f quite
from
Cobuild ( 1 9 8 7 ) . T h e entries a n d illustrations are given b e l o w . I h a v e
i n d i c a t e d the s y n o n y m s o f quite b y m e a n s o f s q u a r e brackets in each entry.
a)
Quite [rather; relatively] m e a n s to a fairly great extent or to greater
extent t h a n average, e.g. H e w a s quite
quite
y o u n g . . . H e calls
o f t e n . . . I quite e n j o y l o o k i n g r o u n d the m u s e u m s .
b)
Quite
[—] is u s e d to e m p h a s i z e t h e c o m p l e t e degree or extent to
w h i c h s o m e t h i n g is true or is the case, e.g. I s t o o d quite
still...
Y o u ' r e quite r i g h t . . . I quite u n d e r s t a n d . . . O h I quite agree.
c)
Quite
[entirely] is u s e d w i t h a negative to say that s o m e t h i n g is
a l m o s t t h e case or is very close to the state or s i t u a t i o n stated; it is
also u s e d to r e d u c e the force o f the negative, for e x a m p l e for
reasons o f politeness or l a c k o f certainty, e.g. It d o e s n ' t l o o k quite
b i g e n o u g h . . . It s o m e h o w d i d n ' t quite fit t o g e t h e r . . . I ' m
not
quite sure.
d)
Quite
[exactly, just] is u s e d w i t h a negative to express d o u b t a n d
h e s i t a n c y a b o u t i n f o r m a t i o n , t h e nature o f s o m e t h i n g , or h o w to
act, e.g. I d o n ' t k n o w quite
h o w to deal w i t h that o n e . . .
Dr
B e n s o n w e n t o u t to C a n a d a , I d o n ' t k n o w quite w h e r e . . . N o o n e
k n e w quite w h e r e to start.
e)
Quite a or quite some [ p h e n o m e n a l ] is u s e d to say t h a t a t h i n g or
p e r s o n is o f a very u n u s u a l , exceptional, or exciting n a t u r e , e.g. It
w a s quite
a s i g h t . . . M y h e a v e n s , y o u h a v e quite a m e m o r y . I'd
forgotten t h a t s o n g .
f)
Y o u say quite or quite so [—] to express y o u r a g r e e m e n t w i t h w h a t
someone
has just
said,
e.g.
'It d o e s
a lot for
police-public
relations.' — 'Quite.'
A s m e n t i o n e d in Cobuild
( 1 9 8 7 ) , quite expresses two different degrees, i.e.
that o f a m o d e r a t e degree, s y n o n y m o u s w i t h rather (entry a) a n d that o f a
m a x i m u m d e g r e e (entries b a n d c ) . It is r e a s o n a b l e to a s s u m e that entries
(b) a n d (c) refer r o u g h l y to t h e s a m e m a x i m i z i n g d e g r e e , even t h o u g h a
s y n o n y m is m i s s i n g in entry ( b ) . O n e w a y to test this is to replace quite in
these entries w i t h o n e suitable m e m b e r o f its cognitive s y n o n y m s , e.g. t h e
13
m a x i m i z e r completely, as exemplified b y / stood completely
a n d I'm not completely sure (entry c).
The
above
binary
division
of
the
readings
of
still (entry b)
quite
roughly
c o r r e s p o n d s to the o n e given in Q u i r k et al. ( 1 9 8 5 : 5 8 9 - 5 9 9 ) .
They
i n c l u d e quite as a n intensified b o t h in the g r o u p o f 'amplifiers', i.e. they
scale u p w a r d s f r o m an a s s u m e d n o r m , a n d in the g r o u p o f ' d o w n t o n e r s ' ,
i.e. they scale d o w n w a r d s f r o m an a s s u m e d n o r m . W i t h i n the g r o u p o f
amplifiers, quite functions as a ' m a x i m i z e r ' d e n o t i n g the u p p e r e x t r e m e o f
t h e scale, as in / quite forgot
about
her birthday
( Q u i r k et al. 1 9 8 5 : 5 9 0 -
5 9 1 ) . W i t h i n the g r o u p o f d o w n t o n e r s , quite functions as a ' c o m p r o m i s e r '
a n d as a 'diminisher'. C o m p r o m i s e r s h a v e " o n l y a slight lowering effect"
and
they tend
" t o call in q u e s t i o n
the a p p r o p r i a t e n e s s o f the verb
enjoyed the party, but I've been to better ones.
D i m i n i s h e r s scale d o w n w a r d s a n d r o u g h l y m e a n " t o a small e x t e n t "
(Quirk etal. 1985: 597-598).
c o n c e r n e d " , as in / quite
A s is evident f r o m Cobuild
( 1 9 8 7 ) , entries (c) a n d (d) differ f r o m the
o t h e r entries in terms o f n e g a t i o n : in entries (c) a n d (d) quite is in the
s c o p e o f a negative element, w h i c h is n o t the case w i t h the other entries.
W h e n quite is p r e c e d e d b y s u c h an element, I interpret it as h a v i n g either
(i) an a p p r o x i m a t i n g role, or (ii) a m a x i m i z i n g role. T h e a p p r o x i m a t i n g
role o f quite is illustrated, for instance, b y the C o b u i l d - e x a m p l e It somehow
didn't quite fit together (entry c). H e r e quite a p p r o x i m a t e s a required limit
a n d indicates that s o m e t h i n g falls short o f that limit. T h e r e is, however, a
s u g g e s t i o n that t h e thing in q u e s t i o n is n o t far f r o m reaching the limit;
there is t h u s an i m p l i c a t i o n o f ' a l m o s t ' present, as Cobuild ( 1 9 8 7 ) notes.
Quite h e n c e softens the force o f the negative, as Cobuild ( 1 9 8 7 ) p o i n t s
o u t . W h e n quite has this a p p r o x i m a t i n g r e a d i n g , it is often p l a c e d
i m m e d i a t e l y after the n e g a t i n g particle not, as in It ...didn't
quite fit...
(entry c). B y contrast, in the m a x i m i z i n g r e a d i n g o f quite (entry d ) , there
s e e m s to b e n o s u c h t e n d e n c y as regards the p l a c e m e n t o f t h e n e g a t i n g
particle a n d quite. A s Cobuild ( 1 9 8 7 ) notes, quite is in these e x a m p l e s
Completely and quite in its maximizer reading represent a type and a degree of synonymy
that Cruse (1986: 265—291) terms as 'cognitive synonymy'. This means that they are not
completely interchangeable but they can express minor differences of meaning. These
differences, however, do not affect the truth value of the proposition (Paradis 1997: 66—
71).
7
An 'intensifying subjunct' is related to the semantic category of DEGREE and it
"indicates a point on an abstractly conceived intensity scale; and the point indicated may
be relatively low or relatively high." (Quirk et al. 1985: 589).
6
14
Hannele Diehl
s y n o n y m o u s w i t h exactly a n d just, a n d it thus has the role o f a focus i t e m
stressing precision.
Quite has s o m e o f t h e characteristics o f a f o c u s i n g i t e m also in entry
(e), where it s e e m s to reveal h o w the entity in q u e s t i o n h a s reached the
l i m i t o f 'qualification' in t e r m s o f w h a t is r e q u i r e d f r o m a p r o t o t y p i c a l
e x a m p l e o f s u c h a n entity. In the C o b u i l d - e x a m p l e My heavens, you
have
quite a memory. I'd forgotten that song (entry e ) , quite a p p e a r s t o e m p h a s i z e
t h e high degree o f centrality that can b e l i n k e d to the n o m i n a l memory in
this context. A t t h e s a m e t i m e it also s e e m s to e n h a n c e t h e positive
e v a l u a t i o n that is i m p l i e d . Quite c a n , however, also intensify e m o t i o n a l l y
s t r o n g n o m i n a l s t h a t are negatively l o a d e d , as in It was quite a shock.
Finally, entry (f) in Cobuild
( 1 9 8 7 ) exemplifies t h e role o f quite as a
r e s p o n s e i t e m w h i c h is u s e d in isolation w i t h o u t a h e a d a n d
which
expresses a g r e e m e n t with the p r e v i o u s speaker.
T h e a b o v e survey o f the established r e a d i n g s o f quite illustrates h o w
many
of
its
readings
are
linked
to
completeness
and
perfectivity.
D i a c h r o n i c a l l y , there h a s b e e n a relation b e t w e e n quite a n d c o m p l e t e n e s s ,
even t h o u g h there has also been a parallel w e a k e n i n g o f its g r a d i n g force,
w h i c h has resulted in the t w o present-day readings o f quite, i.e. t h e r e a d i n g
o f a m a x i m u m d e g r e e a n d the r e a d i n g o f a m o d e r a t e d e g r e e (OED
s.v.
quite). F r o m the list o f entries f r o m Cobuild w e c a n see that w h e n quite
c o m b i n e s with verbs (illustrations in entries a - d ) , the interpretations,
regardless o f the fact w h e t h e r t h e c o n t e x t is negative o r affirmative, result
in these r o u g h l y t w o different values o f degree. H o w e v e r , in o r d e r to
c a p t u r e t h e constraints t h a t g o v e r n the s e m a n t i c h a r m o n y b e t w e e n quite
a n d its verb, it is useful to focus o n affirmative contexts o n l y (cf. entries a—
b in Cobuild). T h e r e a s o n for this is that w h e n quite o c c u r s in the s c o p e o f
a n e g a t i v e e l e m e n t , it t e n d s to b e less selective in its c h o i c e o f verbs.
B o l i n g e r ( 1 9 7 2 : 2 2 7 ) d e m o n s t r a t e s this, for instance, w i t h t h e v e r b
swallow, t h e c o m p l e t i v e feature o f swallow c a n b e d e n i e d (i.e. / didn't quite
swallow it) b u t it c a n n o t b e intensified affirmatively (i.e. * / quite
swallowed
it). I f o u n d similar cases i n m y c o r p u s a n d they are illustrated b y e x a m p l e s
(1) a n d ( 2 ) :
(1)
It didn't quite work. B D F S M 1 5 1 8
(2)
It cannot quite manage.
B D H 8 R 3967
15
T h e e x a m p l e s (1) a n d (2) s h o w h o w it is acceptable to use quite w i t h the
verbs work a n d manage
in negative contexts b u t in the c o r r e s p o n d i n g
affirmative contexts, i.e. Ut quite worked a n d Ut quite manages,
this s e e m s
n o t to b e t h e case.
2 . 3 T h e c o n c e p t u a l basis o f the r e a d i n g s o f quite
T h e p u r p o s e o f this section is to o u d i n e t h e c o n c e p t u a l basis o f the
r e a d i n g s o f quite
within the cognitive linguistic f r a m e w o r k
(Langacker
1 9 8 7 ) . F o r the m o d e l o f degree modifiers, Paradis ( 1 9 9 7 , 2 0 0 1 ) is used. I
will
first
provide
the
general
theoretical
background
of
the
study
( s u b s e c t i o n 2 . 3 . 1 ) before g o i n g o n to identify w h a t is required in t e r m s o f
c o n f i g u r a t i o n a l m e a n i n g f r o m those adjectives a n d verbs that c o m b i n e
w i t h quite (subsections 2 . 3 . 2 a n d 2 . 3 . 3 , respectively).
2.3.1
Theoretical
background
C o g n i t i v e linguists consider l a n g u a g e to b e an essential p a r t o f h u m a n
c o g n i t i o n . F r o m this follows that there are clear c o r r e s p o n d e n c e s between
conceptual
structures
and
linguistic
structures,
and
that
linguistic
k n o w l e d g e is p r o c e s s e d like a n y other k n o w l e d g e b y m e a n s o f c o g n i t i v e
abilities. I a r g u e that linguistic items m a p o n t o c o n c e p t s in a c o g n i t i v e
n e t w o r k . T h i s n e t w o r k consists o f d o m a i n s , w h i c h r o u g h l y c o r r e s p o n d to
all k i n d s o f c o m p l e x cognitive structure that w e store in m e m o r y . T h e r e
are t w o types o f d o m a i n s , i.e. the c o n t e n t d o m a i n a n d the s c h e m a t i c
domain
proper
(Paradis
1997: 4 8 - 4 9 ) .
(i.e. linguistic m e a n i n g
Content
domains
and encyclopaedic
represent
meaning
meaning),
whereas
s c h e m a t i c d o m a i n s p r o v i d e the representations for various configurative
t e m p l a t e s . B o t h these d o m a i n s are c o n c e p t u a l in character a n d reflect the
w a y w e perceive the w o r l d . A p a r t f r o m the c o n c e p t u a l d o m a i n s , there is an
o p e r a t i n g s y s t e m w h i c h consists o f different types o f construals w h i c h are
i m p o s e d o n the d o m a i n s b y speakers a n d addressees in actual l a n g u a g e
use. C o n s t r u a l s represent ways o f s t r u c t u r i n g c o n c e p t u a l d o m a i n s in t e r m s
o f h i g h l i g h t i n g those c o n c e p t u a l areas that are relevant for t h e m e a n i n g
t h a t is i n t e n d e d in each particular context. T h e y reflect four
c o g n i t i v e processes, n a m e l y (i) the c h o i c e o f Gestalt,
a t t e n t i o n , salience,
general
(ii) the f o c u s i n g o f
(iii) the ability o f m a k i n g j u d g e m e n t s , comparisons,
(iv) the selection o f speaker perspective
and
( C r o f t & W o o d 2 0 0 0 : 55—56). It
s h o u l d b e n o t e d that the construals are k e p t apart o n l y b y definition; in
16
Hannele Diehl
actual
u s e they
contextual
a r e highly
interrelated
and dynamic,
thus
enabling
flexibility.
W h e n linguistic items activate c o n c e p t u a l patterns, they give rise t o
lexical m e a n i n g s . W h a t d o m a i n s are e v o k e d a n d w h i c h types o f construals
are i m p o s e d
on the domains,
determines
whether there is
semantic
c o n t r a s t o r n o t . O p e n w o r d class i t e m s f o r e g r o u n d c o n c e p t s f r o m t h e
c o n t e n t d o m a i n , whereas function w o r d items, like d e g r e e modifiers (e.g.
quite),
foreground concepts
b o u n d a r i e s a n d scales.
from
the
schematic
domain,
such
as
2.3.2 The modes of construal of degree modifiers and their adjectives
T h e present s e c t i o n deals with t h e c o n f i g u r a t i o n a l m e a n i n g o f degree
m o d i f i e r s a n d their adjectives, i.e. t h e m o d e s o f construal t h a t they m a p
o n t o . P r e v i o u s research o n degree m o d i f i e r s o f adjectives (Paradis 1 9 9 7 ,
2 0 0 1 ) h a s s h o w n t h a t it is p o s s i b l e t o p r e d i c t f r o m t h e m o d e s o f construal
o f the c o m b i n i n g items the h a r m o n y o f a match. If the degree modifier
a n d t h e g r a d a b l e adjective m a p o n t o t h e s a m e t y p e o f construal, t h e result
is a successful m a t c h , as in t h e c o m b i n a t i o n quite/very long, b u t if they
m a p o n t o different types o f construals, t h e result is d i s h a r m o n i o u s , as in
^completely long. L a n g a c k e r ( 1 9 8 8 : 1 0 2 ) calls this m e c h a n i s m 'valence': " a
valence relation b e t w e e n t w o p r e d i c a t i o n s is p o s s i b l e j u s t in case these
p r e d i c a t i o n s o v e r l a p , in the sense that s o m e s u b s t r u c t u r e w i t h i n o n e
c o r r e s p o n d s t o a s u b s t r u c t u r e w i t h i n t h e other a n d is c o n s t r u e d as
identical t o i t " . P a r a d i s ( 1 9 9 7 , 2 0 0 1 ) s h o w s that t h e relevant construal
o p e r a t i o n in t h e d e g r e e modifier-adjective c o m b i n a t i o n s is t h e a s s i g n m e n t
o f b o u n d a r i e s , i.e. t h e d i c h o t o m y o f b o u n d e d n e s s a n d u n b o u n d e d n e s s .
S h e divides d e g r e e m o d i f i e r s into t w o m a i n types schematically: t h o s e that
m a p o n t o t h e m o d e o f construal o f totality (i.e. non-scalarity) in t e r m s o f
g r a d i n g a n d t h o s e that m a p o n to t h e m o d e o f construal o f scalarity in
t e r m s o f g r a d i n g (Paradis 1 9 9 7 : 2 8 ; 6 4 - 6 6 ) . H e r classification is p r e s e n t e d
in T a b l e 1.
8
8
Her definition of a 'degree modifier' encompasses all forms and functions of degree
words that modify a head (Paradis 1997: 15).
17
Totality
modifiers
reinforcers
Maximizers
quite,
absolutely,
completely,
perfectly,
totally, entirely, utterly
attenuators
Approximato
almost
rs
Scalar
modifiers
reinforcers
Boosters
very, terribly, extremely,
jolly, highly,
attenuators
most,
awfully,
frightfully
Moderators
quite, rather, pretty,
Diminishers
a (little) bit, slightly, a little,
fairly
somewhat
T a b l e 1. D e g r e e modifiers d i v i d e d a c c o r d i n g to their d e g r e e force, i.e.
reinforcing or a t t e n u a t i n g , a n d a c c o r d i n g to their t y p e o f g r a d i n g , i.e.
totality or scalar (Paradis 1 9 9 7 : 2 8 ) .
T o t a l i t y modifiers, s u c h as the m a x i m i z e r s quite a n d completely,
relate to a
definite a n d precise p r o p e r t y o f the adjective: the m e a n i n g o f t h e adjective
either applies in a certain s i t u a t i o n or it does not. F o r i n s t a n c e , there is
usually n o a r g u i n g a b o u t w h a t quite/completely
identical
m e a n s . O n the
basis o f the 'either-or' c o n c e p t i o n , totality modifiers are c o n s i d e r e d to b e
bounded
o f gradability. B y contrast, scalar
very a n d the m o d e r a t o r quite, are
u n b o u n d e d as to their m o d e o f gradability, since they d o n o t indicate a
fixed value o f the adjective they a p p l y to b u t specify a r a n g e o n an o p e n e n d e d scale o f the quality involved. T h e y are thus a s s o c i a t e d w i t h the
'more-or-less' c o n c e p t i o n . B o t h a m o n g totality m o d i f i e r s a n d scalar
modifiers there are those that reinforce a n d t h o s e that a t t e n u a t e s o m e
value o f the c o l l o c a t i n g adjective. T h e g r o u p s o f totality m o d i f i e r s a n d
scalar modifiers c a n thus b e said to f o r m an i m a g i n a r y c o n t i n u u m ,
respectively, w h i c h extends f r o m the m i n i m u m degree force-item (e.g.
d i m i n i s h e r in the scalar m o d i f i e r g r o u p ) to the m a x i m u m d e g r e e forcei t e m (e.g. b o o s t e r in the scalar m o d i f i e r g r o u p ) . T h e m e m b e r s o f each o f
modifiers,
18
in terms
such
as
o f their m o d e
the
booster
Hannele Diehl
t h e s e p a r a d i g m s d e n o t e m o r e or less the s a m e d e g r e e 3 . A s T a b l e 1 s h o w s ,
quite
o c c u r s as a d e g r e e m o d i f i e r o f adjectives b o t h in the m a x i m i z e r
p a r a d i g m a n d in the m o d e r a t o r p a r a d i g m . W h e n w e d e t e r m i n e the correct
d e g r e e r e a d i n g o f quite, it is necessary to p a y a t t e n t i o n to contextual clues,
w h i c h will often, b u t not always, d i s a m b i g u a t e t h e two r e a d i n g s 1 0 .
L i k e d e g r e e m o d i f i e r s , g r a d a b l e adjectives c a n b e c o n c e p t u a l i z e d in
t e r m s o f their m o d e o f c o n f i g u r a t i o n . Paradis ( 1 9 9 7 : 6 3 ) divides t h e m i n t o
three g r o u p s , w h i c h are b a s e d o n t w o criteria o f gradability, i.e. (i) the t y p e
o f d e g r e e m o d i f i e r t h e adjective m a y c o m b i n e with, a n d (ii) the t y p e o f
o p p o s i t e n e s s involved in the c o n c e p t u a l i z a t i o n o f t h e adjective. B a s e d o n
t h e s e criteria, g r a d a b l e adjectives fall into three g r o u p s w h i c h are p r e s e n t e d
in T a b l e 2 .
L i m i t adjectives
Defining
Scalar
Extreme
features
adjectives
adjectives
Degree modifiers
scalar
totality
totality
Oppositeness
antonymy
antonymy
complementarity
T a b l e 2 . C r i t e r i a for the division o f adjectives into scalar
adjectives,
e x t r e m e adjectives a n d limit adjectives (Paradis 2 0 0 1 : 5 3 ) .
S c a l a r adjectives (e.g. good, long a n d interesting)
f o r m t h e m o s t typical
g r o u p o f g r a d a b l e adjectives since they fulfil all t h e criteria w h i c h are
t r a d i t i o n a l l y u s e d for g r a d a b i l i t y (Paradis 1 9 9 7 : 6 4 ) . F u r t h e r m o r e , t h e y
m a n i f e s t all the features t h a t C r u s e ( 1 9 8 6 : 2 0 4 ) defines as typical features
o f a n t o n y m s . A p a r t f r o m b e i n g fully g r a d a b l e , i.e. b e i n g able to o c c u r in
t h e c o m p a r a t i v e a n d the superlative, t h e m e m b e r s o f a n a n t o n y m i c pair
d e n o t e s o m e variable p r o p e r t y , s u c h as l e n g t h , s p e e d or merit.
When
intensified, the m e m b e r s o f a pair m o v e in o p p o s i t e d i r e c t i o n s a l o n g t h e
scale w h i c h represents degrees o f the relevant variable property. F o r this
r e a s o n , e x a m p l e s like very heavy a n d very light are m o r e w i d e l y s e p a r a t e d
o n t h e scale o f w e i g h t t h a n fairly
heavy a n d fairly
light. A n o t h e r feature o f
In this respect they are 'cognitive synonyms' (Cruse 1986: 265—291); see footnote 6.
Out of context it is impossible to say what quite means. Even with contextual clues it
may sometimes be difficult to interpret the correct reading of quite. In such cases the
international patterns of the speaker may be helpful.
9
10
19
a n t o n y m i c pairs is that the m e m b e r s o f a pair d o n o t strictly bisect a
d o m a i n b u t there is a region o n the scale relating to a range o f values o f
t h e variable p r o p e r t y w h i c h d o e s not a p p l y p r o p e r l y to either t e r m o f the
pair. A s t a t e m e n t like 'It is neither l o n g n o r s h o r t ' refers to s u c h a region
a n d is, therefore, n o t p a r a d o x i c a l . A n t o n y m s a n d scalar adjectives c a n thus
b e c o n c e p t u a l i z e d in t e r m s o f 'more-or-less', i.e. in t e r m s o f an u n b o u n d e d
r a n g e o n a scale. I n c o n s e q u e n c e , they c o m b i n e with scalar
m o d i f i e r s , as e x e m p l i f i e d b y quite/very/fairly
degree
long.
E x t r e m e adjectives (e.g. excellent, huge a n d brilliant)
are like scalar
adjectives in that they are a n t o n y m i c a n d c o n c e p t u a l i z e d in terms o f a
scale. O n this scale, however, they d o n o t d e n o t e a r a n g e like scalar
adjectives d o , b u t an u l t i m a t e p o i n t . In this respect, they can b e d e s c r i b e d
as implicit superlatives in that they express a superlative degree o f a
particular
feature.
On
t h e basis o f this characteristic, then,
extreme
adjectives are c o n s i d e r e d to b e g r a d a b l e b o u n d e d adjectives. T h e y thus
c o m b i n e with totality modifiers, as exemplified b y absolutely
totally
excellent
or
brilliant.
identical)
are o n l y
o f the criteria
traditionally u s e d for gradability, i.e. they a c c e p t d e g r e e modifiers (Paradis
1 9 9 7 : 6 4 ) . M o s t limit adjectives have w h a t W a r r e n ( 1 9 9 2 : 1 9 ) calls 'fixed
reference' l a n g u a g e users t e n d to agree b o t h o n the m e a n i n g o f the
adjective a n d o n its a p p l i c a t i o n . A dead body is usually a dead body for all
l a n g u a g e users. T h i s characteristic reflects the c o m p l e m e n t a r y n a t u r e o f
l i m i t adjectives: they are c o n c e p t u a l i z e d in terms o f 'either-or'. T h e y can
t h u s b e d e s c r i b e d as b e i n g associated with a definite b o u n d a r y a n d , in
c o n s e q u e n c e , they c o m b i n e with totality modifiers, as e x e m p l i f i e d b y
completely dead or almost identical.
Finally,
limit adjectives
(e.g. dead,
m a r g i n a l l y g r a d a b l e as they fulfil
true
and
o n l y o n e criterion
M o s t g r a d a b l e adjectives h a v e a b i a s e d r e a d i n g o f gradability.
For
i n s t a n c e , the b i a s e d r e a d i n g o f clear o u t o f c o n t e x t is as a l i m i t adjective,
since its m e a n i n g can b e p a r a p h r a s e d as ' n o t unclear'. It is the c o n t e n t
d o m a i n that governs the bias for, in this case, the b o u n d e d
construal.
'either-or'
S o m e t i m e s , however, the adjective clear c a n b e c o e r c e d into a n
u n b o u n d e d m o d e o f construal, as in By now I have a (fairly) clear idea
about the recipe Benjamin
used. In this e x a m p l e the m o d e r a t o r fairly
restricts the u n b o u n d e d interpretation o f t h e adjective clear. P a r a d i s
( 1 9 9 7 : 5 9 ) t e r m s s u c h a process 'contextual m o d u l a t i o n ' a n d p o i n t s o u t
that it takes p l a c e w i t h i n m o n o s e m y , i.e. it d o e s n o t usually alter the
established or b i a s e d m e a n i n g o f the adjective.
20
Hannele Diehl
T h e w a y t h e g r a d a b l e adjective is c o n c e p t u a l i z e d in t e r m s o f its m o d e
o f construal d e t e r m i n e s its c h o i c e o f a degree modifier: adjectives w i t h
u n b o u n d e d m o d e s o f construal (i.e. scalar adjectives) t e n d to select d e g r e e
m o d i f i e r s with u n b o u n d e d
whereas
adjectives
with
m o d e s o f construal
bounded
modes
of
(i.e. scalar
construal
modifiers);
(i.e.
extreme
adjectives w i t h a scalar c o n c e p t u a l i z a t i o n a n d limit adjectives w i t h a n o n scalar c o n c e p t u a l i z a t i o n ) usually c h o o s e d e g r e e m o d i f i e r s w i t h b o u n d e d
m o d e s o f construal
(i.e. totality m o d i f i e r s ) . O n c e a particular
degree
m o d i f i e r is c h o s e n , the actual use o f this d e g r e e m o d i f i e r restricts the
interpretation o f the adjective a n d thereby m a k e s t h e interpretation o f the
a d j e c t i v e u n a m b i g u o u s (Paradis 1 9 9 7 : 1 6 2 ) . F i g u r e 1, w h i c h is a d o p t e d
f r o m Paradis ( 2 0 0 1 : 5 4 ) , d e m o n s t r a t e s t h e p a t t e r n s t h a t d e g r e e m o d i f i e r s
a n d adjectives f o r m in t e r m s o f gradability, o p p o s i t e n e s s a n d b o u n d e d n e s s .
S C H E M A T Í C I T Y IN A D J E C T I V E S
Sradafeility
»»H-gradabtø
complementarity
(non-scalar)
Boimdedn«ss
bonneted
daisy
Degres modifiers
{none]
bounded
completely
antonymy
{scaiar}
unbounded
long
excellent
unbountisd
bounded
very
absolutely
F i g u r e 1. T h e n o n - g r a d a b l e a n d g r a d a b l e d i c h o t o m y a n d the three b a s i c
types o f b o u n d e d n e s s (Paradis 2 0 0 1 : 5 4 ) .
F i g u r e 1 suggests that the d e g r e e m o d i f i e r quite
can combine with any
t y p e o f g r a d a b l e adjectives. It co-occurs w i t h u n b o u n d e d adjectives w h e n
it is u s e d as a m o d e r a t o r (e.g. quite long), whereas it c o m b i n e s w i t h t w o
21
types o f b o u n d e d adjectives w h e n it is u s e d as a m a x i m i z e r : either with
e x t r e m e adjectives w i t h a scalar c o n c e p t u a l i z a t i o n , e.g. quite excellent, or
w i t h limit adjectives with a non-scalar c o n c e p t u a l i z a t i o n , e.g. quite
dead.
2.3.3 How is boundedness conceptualized in those verbs that combine with quite?
T h i s section focuses o n the relationship between quite a n d the verbs it
c o m b i n e s w i t h in t e r m s o f their c o n c e p t u a l i z a t i o n . A s the p r e c e d i n g survey
o f degree m o d i f i e r s o f adjectives b a s e d o n Paradis ( 1 9 9 7 , 2 0 0 1 ) s h o w s , the
relevant construal o p e r a t i o n in degree modifier-adjective c o m b i n a t i o n s is
t h e a s s i g n m e n t o f b o u n d a r i e s , i.e. the d i c h o t o m y o f b o u n d e d n e s s a n d
u n b o u n d e d n e s s , w h i c h in adjectives is linked to scalarity/non-scalarity a n d
g r a d a b i l i t y in general. G r a d a b i l i t y , however, is n o t o n l y a feature o f
adjectives b u t it can also b e f o u n d in n o u n s a n d verbs (see e.g. B o l i n g e r
1 9 7 2 ) . W h a t is s h a r e d b y all g r a d a b l e p h e n o m e n a is that they h a v e a
feature w h i c h varies in intensity a n d w h i c h c a n b e reinforced. T h e m o d e
o f gradability in n o u n s , i.e. the d i c h o t o m y o f u n b o u n d e d n e s s a n d
boundedness,
is traditionally associated with
countability
(mass
n o u n s / c o u n t a b l e n o u n s ) , whereas in verbs it is usually related to
a s p e c t u a l i t y " , e n c o m p a s s i n g the type o f s i t u a t i o n expressed b y the verb
(the aktionsari)
as state/activity verbs or events
(continuous/nonc o n t i n u o u s , or telic/ n o n - t e l i c ) . S t a t e a n d activity verbs t e n d to function
as u n b o u n d e d entities ( c o m p a r a b l e to m a s s n o u n s ) , whereas event verbs
usually function as b o u n d e d entities (and h e n c e like c o u n t n o u n s ) . As
B r i n t o n ( 1 9 9 8 : 3 7 ) exemplifies, event verbs typically give rise to c o u n t
n o u n s (e.g. arrive > {an, *much} arrival; perform > {one, *a great deal ofi
performance),
while state a n d activity verbs characteristically yield m a s s
n o u n s (e.g. live > {a quantity of *one} living, run > {much, a*} running). It
s h o u l d b e n o t e d a g a i n , however, that s u c h generalizations c a n b e
o v e r r i d d e n b y the w a y a particular situation is c o n c e p t u a l i z e d . F o r
e x a m p l e , s o m e state a n d activity verbs can give rise to b o t h c o u n t a n d
m a s s uses o f n o u n s , d e p e n d i n g o n h o w the s i t u a t i o n is c o n s t r u e d . T o
12
" I adopt Brinton's (1998: 38) definition of aspectuality which encompasses both aspect
and aktionsart.
By 'aspect' is meant "the view taken of a situation, either as a
whole/complete (perfective) or incomplete/ongoing (imperfective)". By ''aktionsart' is
meant "the inherent temporal nature of a situation, whether static or dynamic, punctual or
durative, and telic (having a necessary endpoint) or atelic".
The term 'situation' is used in this paper to refer to "a conceptual relationship which
involves a relation and participants and contains a temporal dimension" (Dirven & Radden
1999: 549).
12
22
Hannele Diehl
illustrate, the verb run c a n yield b o t h a m a s s n o u n , e.g. much running,
and
a c o u n t n o u n , e.g. a run, w i t h a clear difference in m e a n i n g : the m a s s
n o u n running
in, for e x a m p l e , Too much running
will do you no good, is
c o n c e p t u a l i z e d as a n u n b o u n d e d , internally h o m o g e n e o u s s i t u a t i o n ,
a
s e g m e n t o f w h i c h s e e m s to represent t h e w h o l e situation. B y c o n t r a s t , t h e
c o u n t n o u n a run, in, for instance, After a
exhausted,
five-mile run, Benjamin
was
is c o n c e p t u a l i z e d as b e i n g h e t e r o g e n e o u s a n d as h a v i n g well-
d e f i n e d b o u n d a r i e s , i.e. a b e g i n n i n g a n d a n e n d .
O n e traditional w a y o f d e a l i n g w i t h verbal a s p e c t is V e n d l e r ( 1 9 6 7 ) ,
w h i c h p r o p o s e s four s i t u a t i o n types. T h e y are s u m m a r i z e d in B r i n t o n
( 1 9 9 8 : 3 8 ) , o n w h i c h T a b l e 3 is b a s e d , with o n e o m i s s i o n .
Class
Aspectuality
Examples
1
states (static, durative, nontelic)
e.g. live, know, hate
2
activities
(dynamic,
durative, e.g. swim, play
nontelic)
3
a c c o m p l i s h m e n t s ( d y n a m i c , durative, e.g. grow up, run a race
telic)
4
achievements
(dynamic,
p u n c t u a l , e.g. arrive, die, win a race
telic)
T a b l e 3. T h e Vendler-classification o f s i t u a t i o n types
W h e n d e a l i n g w i t h these, o n e s h o u l d n o t e that the w h o l e v e r b p h r a s e
enters into the expression o f aktionsart.
F o r instance, the verb run in
Benjamin
ran is a n activity verb, whereas in Benjamin
ran home it is an
a c c o m p l i s h m e n t verb. I n c o n s e q u e n c e , m a n y verbs b e l o n g to m o r e t h a n
o n e class b y virtue o f h a v i n g several related uses. O n the basis o f
d y n a m i c i t y , o n e c a n d i s t i n g u i s h three classes: activities, a c c o m p l i s h m e n t s
a n d a c h i e v e m e n t s . W h e n d e f i n i n g these classes, I m a k e u s e o f The
Cambridge Dictionary of Philosophy ( h e n c e w o r t h CDP; s.v. action verb), i f
n o t s t a t e d otherwise.
A n activity verb (e.g. drive, laugh, or meditate)
describes s o m e t h i n g that
g o e s o n for a t i m e b u t has n o inherent e n d p o i n t . It is possible to s t o p d o i n g
s u c h a thing b u t it is n o t possible to c o m p l e t e it. It is, however, possible to
h a v e d o n e it as s o o n as o n e has b e g u n d o i n g it. A n accomplishment
verb (e.g.
23
paint a fence, solve a problem, or climb a mountain) describes s o m e t h i n g that
goes o n for a t i m e toward an inherent e n d p o i n t . S i n c e it takes a certain t i m e
to d o such a thing, o n e c a n n o t b e said to have d o n e it until it has been
c o m p l e t e d . A c c o m p l i s h m e n t s are thus b o u n d e d b y their inception a n d
c o m p l e t i o n p o i n t s (Croft 2 0 0 0 : 13). Frawley ( 1 9 9 2 : 1 8 3 - 1 8 4 ; 1 9 2 ) calls
a c c o m p l i s h m e n t s 'resultatives' a n d shows that they are a m b i g u o u s with
almost. F o r e x a m p l e , in Benjamin almost painted a fence the interpretation
d e p e n d s o n w h a t almost has in its s c o p e , i.e. either the inchoative process
itself — the event d i d not occur at all —, or the e n d - p o i n t — the event is
c l a i m e d to have occurred b u t was n o t quite c o m p l e t e d . A n achievement verb
(e.g. reach a goal, drop an egg, hear an explosion), in c o m p a r i s o n , describes (i)
the c u l m i n a t i o n o f an activity (e.g. finish a job), (ii) the effecting o f a c h a n g e
(e.g. fire an employee), or (iii) u n d e r g o i n g a c h a n g e (e.g. forget a name). S u c h
an activity d o e s n o t g o o n for a p e r i o d o f t i m e b u t it m a y b e the culmination
o f s o m e t h i n g that does. C r o f t ( 2 0 0 0 : 11) observes that in an achievement
o n l y the first p o i n t o f the result state is profiled, i.e. the p o i n t which
represents the transition from the rest state to the result state. T h e focus is
thus o n the fact that a b o u n d a r y has been passed; it is n o t o n the new state.
T h i s does not, however, b l o c k the s e m a n t i c interpretation o f the result state
having been reached.
D i r v e n & R a d d e n ( 1 9 9 9 ) survey situation types w i t h i n a cognitive
linguistic f r a m e w o r k a n d they e m p l o y the following three criteria w h e n
d i s t i n g u i s h i n g between t h e m : (i) the p r o p e r t y o f changeability,
as defined
in terms o f i n v o l v i n g a c h a n g e or n o t ; (ii) the p r o p e r t y o f duration,
as
defined in t e r m s o f the length o f t i m e w h i c h an event takes, a n d (iii) the
p r o p e r t y o f boundedness,
as defined in terms o f l i m i t a t i o n in t i m e b y
m e a n s o f a b e g i n n i n g a n d an e n d . D i r v e n & R a d d e n ( 1 9 9 9 : 5 5 0 ) a r g u e
t h a t c h a n g e a b i l i t y is the m o s t i m p o r t a n t p r o p e r t y o f situations b e c a u s e
" [ a ] c h a n g e in a situation attracts o u r a t t e n t i o n m o r e t h a n a n y t h i n g else".
T h e y classify events as c h a n g e a b l e situations a n d states as n o n - c h a n g e a b l e
situations. D i r v e n & R a d d e n ( 1 9 9 9 : 5 5 2 ) illustrate, a m o n g other things,
that t h e t w o m a i n situation types differ
in t e r m s o f their
temporal
structure: events allow o n e to a s k b y m e a n s o f a when-<\uesúon
for the
m o m e n t in t i m e at w h i c h s o m e t h i n g h a p p e n e d (e.g. When did she smash
the winning
ball?) whereas states d o n o t (e.g. *When does she love
tennis?).
Previous research (e.g. H a y , K e n n e d y & Levin 1 9 9 9 ; T s u j i m u r a 2 0 0 1 )
has s h o w n that the traditional ways o f dealing with verbal aspect (e.g.
V e n d l e r 1 9 6 7 ) d o not account for the behaviour o f various degree verbs.
F r o m the p o i n t o f view o f the present paper, w h a t s e e m s to b e p r o b l e m a t i c
24
Hannele Diehl
is the m i s m a t c h in terms o f conceptualization between quite a n d the degree
verb it c o m b i n e s with. T o illustrate, quite expresses a m a x i m u m degree, i.e.
is conceptualized as b o u n d e d , w h e n c o m b i n i n g with s o m e state verbs,
w h i c h are usually conceptualized as u n b o u n d e d , as they t e n d to
last
agree/understand,
i.e. 'I completely
see section 2 . 2 ) illustrate s u c h
p r o b l e m a t i c cases. In order to a p p r o a c h the p r o b l e m a n d to survey in
general h o w b o u n d e d n e s s is conceptualized in t h o s e verbs that c o m b i n e
with quite I h a v e u s e d K e n n e d y & M c N a l l y ( 1 9 9 9 ) as a starting-point,
w h i c h considers the relation between event structure a n d the scalar structure
o f gradable properties associated with the situation. K e n n e d y & M c N a l l y
( 1 9 9 9 : 1 7 4 ) d e m o n s t r a t e that deverbal adjectives with totally closed scales
c o r r e s p o n d to 'incremental t h e m e ' verbs. T h e y a r g u e that there is
indefinitely.
The
examples
/
quite
agree/understand' (cf. entry (b) in Cobuild;
13
a homomorphic relationship between the events they denote and
(some measurable property of) their incremental theme arguments
. . . [I]t is precisely this homomorphism that is responsible for the
scalar properties of the derived adjectives, because it provides a
template for building a closed scale, specifically a scale with a lower
endpoint that corresponds to the minimal (sub)event involving (a
minimal part of) the incremental theme or the relevant measurable
property, and an upper endpoint that corresponds to the maximal
event involving (all of) the incremental theme/property. (Kennedy
& McNally 1999: 174)
T o illustrate t h e close c o r r e s p o n d e n c e between deverbal adjectives w i t h
totally closed scales a n d i n c r e m e n t a l t h e m e verbs, K e n n e d y &
McNally
eaten meal a n d a fully
understood problem. In a partially eaten meal, t h e m e a l is the i n c r e m e n t a l
t h e m e in the s i t u a t i o n d e s c r i b e d . T h e r e is a m a p p i n g b e t w e e n t h e p r o g r e s s
o f the event o f e a t i n g a n d a p r o p e r t y o f the m e a l , i.e. t h e q u a n t i t y / v o l u m e
o f t h e f o o d t h a t it i n c l u d e s / h o l d s . I n c o n s e q u e n c e , the d e g r e e to w h i c h t h e
m e a l can b e s a i d to b e eaten c o r r e s p o n d s to the d e g r e e to w h i c h it has
p r o g r e s s e d t h r o u g h an event o f eating. S i n c e it is p o s s i b l e to define a
b e g i n n i n g p o i n t a n d a n e n d p o i n t for this event (i.e. w h e n t h e m e a l is
u n t o u c h e d a n d c o m p l e t e l y eaten, respectively), it is also p o s s i b l e to
( 1 9 9 9 : 1 7 5 ) p r o v i d e e x a m p l e s s u c h as a partially
13
Dowry (1991) describes the entity undergoing the incremental change the incremental
theme. For instance, in mow the lawn, the lawn is the incremental theme since it is possible
to determine the progress of the entire event by looking at the state of the lawn.
25
identify a lower b o u n d a n d an u p p e r b o u n d for the scale o f " e a t e n n e s s " o f
t h e m e a l . A totally closed scale is illustrated in F i g u r e 2 :
F i g u r e 2 . A totally closed scale, as illustrated, for instance, b y a
eaten meal a n d a fully/well
understood
problem
partially
(examples by Kennedy
&
M c N a l l y 1999: 175).
I n c o m p a r i s o n , t h e participle understood
(e.g. a fully
understood
problem)
d o e s not, at first sight, s e e m to c o r r e s p o n d to a prototypical incremental
t h e m e verb, as K e n n e d y & M c N a l l y ( 1 9 9 9 : 1 7 9 ) p o i n t o u t . H o w e v e r , if
we
consider
understanding
how
it
in
terms
is
possible
to
measure
o f the q u a n t i t y o f the
the
progress
facts/issues
in
our
that
we
u n d e r s t a n d , then the relation to an i n c r e m e n t a l t h e m e verb s e e m s p e r h a p s
to b e clearer. O t h e r e x a m p l e s o f totally closed scale-participles that I can
t h i n k o f are, for e x a m p l e , a fully known fact a n d fully agreed standards.
The
fact that these participial adjectives are c o m b i n e d w i t h a p r o p o r t i o n a l
m o d i f i e r like fully
c l o s e d scales.
indicates that t h e adjectives are associated w i t h totally
Such
adjectives
also t e n d
to a c c e p t
the modifier
well
(Kennedy & McNally 1999: 173).
A participial adjective like needed, b y contrast, d o e s n o t refer to a
totally c l o s e d scale since it d o e s n o t accept fully, as exemplified b y ?a fully
needed rest ( K e n n e d y & M c N a l l y 1 9 9 9 : 1 7 4 ) . It does, however, a c c e p t the
McNally
( 1 9 9 9 : 1 7 3 - 1 7 6 ) is l i n k e d to a scale that is o n l y partially closed, i.e. it is
c l o s e d o n l y o n the b o t t o m e n d . S u c h a scale is illustrated in F i g u r e 3:
m o d i f i e r much, as in a much needed rest, w h i c h in K e n n e d y &
>
F i g u r e 3. A partially closed scale, as exemplified b y a much
rest ( e x a m p l e s b y K e n n e d y & M c N a l l y 1 9 9 9 : 1 7 4 - 1 7 6 ) .
26
needed/wanted
Hannele Diehl
T h e lower e n d p o i n t c o r r e s p o n d s to a m i n i m a l (sub)event or state w h i c h
m u s t b e reached before the adjectival p r o p e r t y c a n b e a p p l i e d to its
argument (Kennedy &
McNally
1999:
1 7 6 ) . F o r e x a m p l e , an
entity
c a n n o t qualify as n e e d e d until it shows s o m e m i n i m a l n e e d relation to
s o m e o n e / s o m e t h i n g . A c c o r d i n g to K e n n e d y & M c N a l l y ( i b i d . ) , s u c h a
structure o n t h e adjectival scale m i r r o r s the origins o f participial adjectives
like needed/wanted:
they are often derived f r o m atelic verbs w h i c h describe
s i t u a t i o n s w h e r e there is n o m a x i m a l event or state. I n the s a m e way, there
is n o natural u p p e r e n d p o i n t o n the adjectival scale.
W h e n w e l o o k at t h e scale types, i.e. a totally closed scale a n d a
partially closed scale, a n d the degree force they s e e m to e v o k e 1 4 , w e c a n
discern two a n a l o g i e s : (i) a n a n a l o g y b e t w e e n a totally c l o s e d scale a n d a n
expression o f a m a x i m u m degree, w h i c h is reflected b y t h e c l o s e d u p p e r
b o u n d a r y o f t h e scale; a n d (ii) an a n a l o g y b e t w e e n a partially c l o s e d scale
a n d a n expression o f a relative reinforcing degree, w h i c h is reflected b y the
o p e n u p p e r b o u n d a r y o f t h e scale. W h e n w e a p p l y t h e analogies to t h e
t y p e o f g r a d i n g d e n o t e d b y degree modifiers o f verbs, w e c a n see t h a t the
c l o s e d u p p e r e n d p o i n t o f a totally closed scale c o r r e s p o n d s to t h e n o t i o n
o f a ' m a x i m i z e r ' w h i c h c a n b e e n c o d e d by, for instance, completely or quite,
as
in
'I
quite/completely
agree/understand'.
In
these
examples
the
m o m e n t a r y events o f agreeing a n d u n d e r s t a n d i n g can b e c o n c e p t u a l i z e d as
i n v o l v i n g a t r a n s i t i o n f r o m the states o f n o t a g r e e i n g / n o t u n d e r s t a n d i n g to
t h e states o f a g r e e i n g / u n d e r s t a n d i n g . T h e transition c a n b e c o n c e p t u a l i z e d
as a definite b o u n d a r y t h e p a s s i n g o f w h i c h is f o r e g r o u n d e d a n d o n w h i c h
quite!completely
f o c u s as m a x i m i z e r s . S i n c e there is an event, i.e. a
c h a n g e a b l e s i t u a t i o n , involved, it is p o s s i b l e to a s k for t h e m o m e n t in t i m e
at w h i c h s o m e t h i n g h a p p e n e d , e.g. At what point did he completely
understandi agree? (cf. D i r v e n & R a d d e n 1 9 9 9 ) . T h i s m o m e n t in t i m e c a n
b e c o n c e p t u a l i z e d as a definite p o i n t .
A s for t h e partially c l o s e d scale, it a p p e a r s to c o r r e s p o n d to the n o t i o n
o f a 'booster' w h i c h c a n b e e n c o d e d by, for instance, very much, a n d w h i c h
h a s t h e role o f e x p r e s s i n g a relative reinforcing degree. A s d i s c u s s e d earlier,
K e n n e d y & M c N a l l y ( 1 9 9 9 : 1 7 4 - 1 7 6 ) c o n n e c t t h e participial adjectives
needed/wanted
w i t h a partially closed scale b u t the c o r r e s p o n d i n g verbs
need a n d want d o n o t s e e m to h a r m o n i z e w i t h quite, as e x e m p l i f i e d b y
?Benjamin quite needs/wants to do this. H o w e v e r , quite d o e s s e e m to a c c e p t
14
Based only on the existence of an upper boundary or not. I have disregarded the lower
boundaries altogether as they lie outside of the focus of quite.
27
s o m e other verbs that express d e s i r e 1 5 the w a y need a n d want d o , i.e. the
verbs fancy, hope a n d wish (e.g. I quite fancy him; I quite hope that you
will
attend the meeting, I quite wish you would attend the meeting). L i k e need
a n d want, these verbs c a n be associated w i t h a partially closed scale (e.g. /
fancy him very much; I hope very much that you will attend the meeting, I
wish very much that you would attend the meeting). A p a r t f r o m classifying
fancy as a 'verb o f desire', Levin ( 1 9 9 3 : 1 9 1 ) also classifies it as a n ' a d m i r e ' v e r b , i n c l u d i n g in the s a m e category s u c h verbs as appreciate, envy, enjoy,
a n d like. All these verbs a c c e p t b o t h quite a n d very much, w h i c h illustrates
t h a t they h a r m o n i z e with the u n b o u n d e d m o d e s o f construal o f these
d e g r e e modifiers (cf. H completely like him etc.). W h a t s e e m s t o b e
f o r e g r o u n d e d in s u c h situations is the lack o f a c h a n g e w h i c h c a n b e
c o n c e p t u a l i z e d as the l a c k o f a definite b o u n d a r y o n a scale. S u c h
u n b o u n d e d n e s s is often associated w i t h relativity. O n e c a n ask, for
i n s t a n c e , 'How much d o y o u like h i m ? ' a n d get answers like 'I like h i m a
bit' or 'I like h i m very much', w h i c h specify a range, respectively, o n the
i m a g i n a r y scale o f ' l i k i n g ' . O n e c o u l d also b e given the answer 'I don't like
h i m , b u t I don't dislike h i m , either'. A n answer like this reveals t h a t there
s e e m s to b e a region o n t h e scale that lies between those c o v e r e d b y the
o p p o s i t e verbs like a n d dislike. In this respect, then, u n b o u n d e d verbs like
t h e ones a b o v e , s e e m to b e h a v e like u n b o u n d e d adjectives (see section
2.3.2).
T h e a b o v e survey s e e m s to s u g g e s t that b o u n d e d n e s s in t h o s e verbs
that c o m b i n e with quite can b e c o n c e p t u a l i z e d as the f o r e g r o u n d i n g o f the
p r o p e r t y o f changeability. I f the situation involves the f o r e g r o u n d i n g o f a
c h a n g e , i.e. the m o d e o f construal o f the verb is clearly b o u n d e d , then
quite functions as a b o u n d e d m a x i m i z e r , as in / quite agree/understand.
If
t h e r e is n o f o r e g r o u n d i n g o f a c h a n g e involved in the situation, i.e. the
m o d e o f construal o f the verb is u n b o u n d e d , then quite functions as an
u n b o u n d e d booster, as in I quite like/fancy this, i.e. 'I like/fancy this very
much'. S u c h observations allow m e to formulate the hypothesis that it is the
configurational reading o f the verb in terms o f b o u n d e d n e s s / u n b o u n d e d n e s s
o n a particular o c c u r r e n c e o f use that selects a n d constrains the r e a d i n g o f
quite. T h e actual use o f quite then c o n f i r m s t h e interpretation o f the verb
a n d thereby m a k e s the interpretation o f the verb u n a m b i g u o u s . T o
illustrate, in / quite like this, the verb like selects the use o f quite as a
15
Levin (1993: 194-195) classifies the verbs need, want, fancy,
other things, as 'verbs of desire'.
28
hope and wish, among
Hannele Diehl
quite
b o o s t e r o n the basis o f its o w n u n b o u n d e d c o n c e p t u a l i z a t i o n , a n d
t h e n c o n f i r m s this interpretation. B e c a u s e o f t h e c o n c e p t u a l i z a t i o n o f the
v e r b like, t h e use o f quite c a n n o t b e interpreted in a n y other way, i.e. ' * I
completely like h i m ' . T h e next section takes a l o o k at t h e actual u s e o f quite
as a d e g r e e m o d i f i e r o f verbs in written British E n g l i s h .
3. Quite as a degree modifier of verbs in the BNC
data
T h e p u r p o s e o f this section is to e x a m i n e the actual use o f quite as a degree
m o d i f i e r o f verbs in the B N C d a t a . A s n o t e d earlier, quite
is u s e d as a
m a x i m i z e r w h e n it takes s c o p e over a verb w h i c h m a p s o n t o a b o u n d e d
m o d e o f c o n s t r u a l , a n d it is u s e d as a b o o s t e r w h e n it takes s c o p e over a
v e r b w h i c h m a p s o n t o an u n b o u n d e d m o d e o f construal.
3.1 Maximizer
I will start b y p r e s e n t i n g cases w h e r e quite c o m b i n e s with v a r i o u s m e n t a l
verbs a n d in these gives rise to a m a x i m i z e r r e a d i n g , i.e. it c a n b e replaced
b y a s u i t a b l e m e m b e r o f the m a x i m i z e r p a r a d i g m (see T a b l e 1 ) . C o n s i d e r
examples (3)-(7):
(3)
I quite understand.
(4)
M r . W a l k e r : I c a n quite understand
BDJ40 0086
t h e H o n . G e n t l e m a n ' s neurosis.
B D G 3 H 0066
(5)
'I quite agree.' B D J X S 2 0 5 5
(6)
O n e quite sees that s h e c o u l d not. B D H 7 P 0 9 4 6
(7)
'I quite forgot t h a t y o u d o n ' t like it.' B D H G D 3 4 4 1
I h a v e interpreted e x a m p l e s (3)—(7) as cases o f m e n t a l verbs with an
achievement
sense
What
is
foregrounded
is t h e p a s s i n g f r o m o n e state t o a n o t h e r w h i c h c a n
which
all
involve
momentary
events.
be
c o n c e p t u a l i z e d as a b o u n d a r y . In e x a m p l e s (3) — (7) there is thus a v a l e n c e
relation b e t w e e n t h e b o u n d e d m o d e o f construal o f the v e r b a n d t h e
b o u n d e d m o d e o f construal o f quite. A p a r t f r o m c o m b i n i n g w i t h
quite,
the a b o v e verbs also a c c e p t a n o t h e r totality modifier, i.e. the a p p r o x i m a t o r
almost
(e.g.
/
almost
understand/agree/forgot)
from
the
paradigm
of
29
a t t e n u a t o r s (see T a b l e 1). T h i s s h o w s that b o u n d e d n e s s is f o r e g r o u n d e d in
e x a m p l e s (3) - ( 7 ) .
O t h e r cases o f quite
as a m a x i m i z e r o f verbs are illustrated
in
e x a m p l e s (8) - ( 1 1 ) . A g a i n it is possible t o replace quite with s o m e suitable
m e m b e r o f the m a x i m i z e r p a r a d i g m .
(8)
B u t curiously e n o u g h the regret she felt, n o t for a n y t h i n g she h a d
d o n e b u t for w h a t she h a d n ' t , quite put an end to t h e o l d w e a r i s o m e
illusion o f p r o s e c u t i o n a n d trial. B D H O R 2 6 2 3
(9)
However, she maintained
the m o r a l i m p e t u s o f her early years,
a l t h o u g h she h a d quite cast off its derivations a n d t u r n e d her b a c k
u p o n its fraudulent source; t h e n a r r o w fervours a n d d i s a p p r o v a l s were
there, b u t their objects h a d s u b t l y altered over the years. B D E F P 0 0 4
( 1 0 ) N o w that B e r n a r d left industrial action to others, the heart h a d quite
gone
out
o f the
staffs
work-to-rule
and
normal
relations
were
resumed. B D H G J 2 4 6 5
( 1 1 ) C a t h i e h a d recovered c o m p l e t e l y f r o m her n e a r - a b o r t i o n , a n d to
D o u g l a s s h e s e e m e d n o t o n l y to b e g l o w i n g with health, b u t with
s o m e t h i n g else as well, a k i n d o f r a d i a n c e that h a d quite
transformed
her. B D J O S 3 0 3 0
What
is c o m m o n
for
examples
(8) -
(11)
is the f o r e g r o u n d i n g
b o u n d e d n e s s w h i c h is achieved b y c o n s t r u i n g the situations as
of
non-
d u r a t i o n a l events w h i c h can b e c a p t u r e d b y a when-o^ssuon,
e.g. e x a m p l e
work-to-rule? When Bernard
had left industrial action to others. A s for e x a m p l e ( 9 ) , however, it is also
p o s s i b l e to c o n s t r u e it as a d u r a t i o n a l event, i.e. How long did it take for her
to cast off its derivations?, b u t in t h a t case the event w o u l d still b e c o n s t r u e d
with b o u n d a r i e s , i.e. as an event c o m p o s e d o f various b o u n d e d subevents
as the p e r s o n in q u e s t i o n deals w i t h each derivation at a t i m e .
( 1 0 ) : When had the heart gone out of the staffs
R e l a t i n g to the p r o p e r t y o f b o u n d e d n e s s , it was m e n t i o n e d in section
2 . 2 . that the use o f quite is often l i n k e d to perfectivity. T h i s is also t h e case
with the e x a m p l e s a b o v e in s o m e o f w h i c h a sense o f perfectivity is created
b y m e a n s o f a perfective particle, e.g. off in e x a m p l e (9) a n d out in e x a m p l e
( 1 0 ) . T h e s a m e effect can also b e achieved in a situation w h i c h involves a
non-human
being
as
it
often
implies
an
unintending
agent,
and
c o n s e q u e n t l y , less focus o n a d o i n g t h a n o n a result ( B o l i n g e r 1 9 7 2 : 2 2 6 ) .
30
Hannele Diehl
T h e n o m i n a l s regret in e x a m p l e ( 8 ) , heart in e x a m p l e ( 1 0 ) a n d radiance
in
e x a m p l e ( 1 1 ) illustrate s u c h cases.
T h e d a t a s h o w , t h e n , t h a t quite
is u s e d as a m a x i m i z e r w h e n it
c o m b i n e s w i t h a v e r b that m a p s o n t o a b o u n d e d m o d e o f construal. L e t us
n o w t u r n to cases w h e r e quite is u s e d as a booster.
3.2 Booster
E x a m p l e s ( 1 2 ) — ( 1 4 ) illustrate h o w the n o t i o n a l t e r m 'booster' is e n c o d e d
b y quite, w h i c h h a s the role o f expressing a relative reinforcing d e g r e e . It
c a n b e r e p l a c e d b y a suitable m e m b e r o f t h e b o o s t e r p a r a d i g m , e.g. very
much.
Consider:
( 1 2 ) R i c h a r d w a s a nice m a n , a n d ordinarily s h e w o u l d h a v e quite
forward
looked
to an e v e n i n g w i t h h i m . B D H A 7 2 5 1 7
( 1 3 ) L o u i s e isn't interested in m o n e y as s u c h , b u t she quite
likes t h i n g s .
BDGOY
( 1 4 ) I quite enjoy s h o p p i n g . B D E B R 0 9 4 2
T h e e x a m p l e s (12)—(14) are similar to e x a m p l e s (3)—(7) in t h a t t h e y all
c o n s i s t o f m e n t a l verbs. I n e x a m p l e s (12)—(14), however, there is n o
c h a n g e f o r e g r o u n d e d as the situations involve lasting states w h i c h c a n b e
c o n c e p t u a l i z e d as u n b o u n d e d . I n c o n s e q u e n c e , when-cpiesúons
do not
like things? ( e x a m p l e
1 3 ) . E x a m p l e s (12)—(14) s h o w , t h e n , h o w the u n b o u n d e d m o d e s o f
c o n s t r u a l o f quite a n d the verb it applies to h a r m o n i z e .
generally a p p l y to s u c h cases, e.g. *When does Louise
I n short, the B N C - d a t a s u g g e s t that quite
o c c u r s with verbs that m a p
construal.
There
are two
as a degree m o d i f i e r c o -
o n t o b o u n d e d or u n b o u n d e d
types
o f g r a d a b l e verbs:
modes
those which
a s s o c i a t e d w i t h a b o u n d a r y a n d those w h i c h are n o t . I f the m o d e
of
are
of
c o n s t r u a l o f t h e c o l l o c a t i n g verb is clearly b o u n d e d , then quite f u n c t i o n s as
a b o u n d e d m a x i m i z e r , as in / quite agree/understand,
b u t if t h e m o d e o f
c o n s t r u a l o f the c o l l o c a t i n g verb is u n b o u n d e d , t h e n quite f u n c t i o n s as a n
u n b o u n d e d booster, as in / quite like/fancy
this, i.e. 'I like/fancy this very
much\
F i n d i n g s in the d a t a s u p p o r t the hypothesis that
the
c o n f i g u r a t i o n a l r e a d i n g o f the verb that c o m b i n e s with quite o n a
particular o c c u r r e n c e o f use selects a n d constrains the r e a d i n g o f quite. It
31
s h o u l d b e n o t e d , however, that the findings are b a s e d o n p o s i t i v e evidence
o f w h i c h there is never e n o u g h .
4. Conclusion
T h e present s t u d y investigates quite
as a d e g r e e modifier o f verbs in
written British E n g l i s h o n the basis o f the B N C . It explores the constraints
t h a t govern the s e m a n t i c h a r m o n y b e t w e e n quite a n d the verbs it applies
t o . T h e s t u d y is c o n d u c t e d in the f r a m e w o r k o f cognitive
linguistics
( L a n g a c k e r 1 9 8 7 ) , a n d for a m o d e l o f degree m o d i f i e r s , Paradis ( 1 9 9 7 ,
2 0 0 1 ) is used. T h e d a t a are b a s e d o n 3 1 r a n d o m occurrences o f quite as a
d e g r e e modifier o f verbs in affirmative contexts. T h e h y p o t h e s i s is that the
quite o n a
particular o c c u r r e n c e o f use selects a n d constrains the r e a d i n g o f quite. I f
t h e m o d e o f construal o f the c o l l o c a t i n g verb is clearly b o u n d e d , then
quite functions as a b o u n d e d m a x i m i z e r , as in / quite understand, b u t if the
m o d e o f construal o f the collocating verb is u n b o u n d e d , then quite
functions as an u n b o u n d e d booster, as in / quite fancy this. T h e d a t a
s u p p o r t the h y p o t h e s i s in so far as they are b a s e d o n positive evidence.
configurational
reading
o f the verb
that c o m b i n e s
with
5. Acknowledgements
I w o u l d like to t h a n k C a r i t a Paradis, L e n a E k b e r g , S a t u M a n n i n e n a n d
F r e d r i k H e i n a t for v a l u a b l e c o m m e n t s .
Olofsson
Thanks
also to T h e
financial s u p p o r t .
Lund
32
Special t h a n k s to M a t s
for the d a t a , a n d to two reviewers for helpful
University
Bank
o f Sweden
Tercentenary
Eeg-
suggestions.
Foundation
for
Hannele Diehl
References
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34
A Model o f Idiomaticity 1
BEATRICE WARREN
1. Defining
As
an
idiomaticity
introduction,
I
will
offer
the
following
two
definitions
of
idiomaticity:
(i) nativelike selection o f expression (inspired b y P a w l e y a n d S y d e r ( 1 9 8 3 ) )
(ii) that w h i c h o n e has to k n o w over a n d a b o v e rules a n d w o r d s (inspired
b y F i l l m o r e et al ( 1 9 8 8 ) )
T h e latter definition breaks with the traditional view that k n o w i n g a
l a n g u a g e involves t w o types o f k n o w l e d g e : rules a n d lexical i t e m s - p e r i o d .
A l t h o u g h it is c o m m o n k n o w l e d g e that there is m o r e to k n o w l e d g e o f a
language
than
dictionary
items
and
syntax,
Fillmore's
suggestion
nevertheless represents a b r e a k t h r o u g h in linguistic theory. Surprisingly,
the fact is that it is o n l y in the last few d e c a d e s that w e h a v e w e seen this
insight e m p i r i c a l l y d e m o n s t r a t e d a n d theoretically a c c o u n t e d for.
In this c o n n e c t i o n it s h o u l d p e r h a p s b e p o i n t e d o u t that w e m u s t
d i s t i n g u i s h b e t w e e n the s t u d y o f i d i o m a t i c i t y a n d the s t u d y o f i d i o m s .
I d i o m s in t h e sense " o p a q u e invariant w o r d c o m b i n a t i o n s " h a v e b e e n
s t u d i e d b y theoretical linguists q u i t e extensively, b u t these b o n a
fide
i d i o m s d o n o t c o n t r i b u t e to t h e i d i o m a t i c i t y o f a text in a n y i m p o r t a n t
way. Presence o f s u c h i d i o m s in a text d o e s n o t necessarily m a k e it
i d i o m a t i c ; n o r d o e s their a b s e n c e m a k e it u n i d i o m a t i c .
Now,
nativelike
i f k n o w i n g d i c t i o n a r y i t e m s a n d syntax d o e s n o t
selection
of
expression
(i.e.
idiomaticity),
1
This paper was originally published in the Proceedings
Studies.
this
of the Ninth Conference
ensure
raises
for
the
English
35
A Model of Idiomaticity
q u e s t i o n : w h y not? T h e answer that a n u m b e r o f linguists h a v e given is:
h u m a n m e m o r y capacity. B o l i n g e r ( 1 9 7 6 : 2 ) was p r o b a b l y o n e o f the first
t o p o i n t o u t the influence o f m e m o r y in s h a p i n g natural l a n g u a g e s , w h i c h
was
something
he
considered
the
then
dominant
transformational-
generative theory h a d o v e r l o o k e d . S i n c e then a n u m b e r o f linguists have
m a d e similar c l a i m s , p r o b a b l y i n d e p e n d e n t o f each other. Pawley a n d
S y d e r ( 1 9 8 3 ) p o i n t o u t that certain situations a n d p h e n o m e n a
recur
w i t h i n a c o m m u n i t y . It is natural that s t a n d a r d ways o f d e s c r i b i n g s u c h
recurrent " p i e c e s o f reality" d e v e l o p . A native speaker o f a l a n g u a g e will—as
a m a t t e r o f course—have learnt these s t a n d a r d w a y s o f expression w h i c h
c a n consist o f m o r e t h a n o n e w o r d or certain clausal c o n s t r u c t i o n s . S i n c l a i r
( 1 9 9 1 ) contrasts the o p e n c h o i c e principle with the i d i o m principle. T h e
o p e n c h o i c e principle says that syntax is there to specify the slots into
w h i c h m e m o r i s e d i t e m s — n o r m a l l y single w o r d s — c a n b e inserted. T h e
i d i o m p r i n c i p l e says that a l a n g u a g e user has available to h i m a large
n u m b e r o f m e m o r i s e d s e m i - p r e c o n s t r u c t e d phrases that c o n s t i t u t e single
choices, even t h o u g h they m i g h t a p p e a r to b e analysable into s e g m e n t s .
M e l ' c u k ( 1 9 9 6 ) suggests that the m e m o r i s e d expressions o u t n u m b e r single
w o r d s . J a c k e n d o f f ( 1 9 9 7 : 1 5 6 ) likewise p o i n t s o u t that there are a vast
number
of
memorised
expressions.
Thus,
e x p r e s s i o n s can hardly b e a m a r g i n a l
he
concludes,
memorised
part o f o u r l a n g u a g e .
Hopper
( 1 9 9 8 : 1 6 6 ) , like Bolinger, o b j e c t s to the generative a p p r o a c h that stresses
t h e u n i q u e n e s s o f each utterance treating it as if it w e r e c o m p l e t e l y novel,
a n d s u g g e s t s that everyday l a n g u a g e to a very c o n s i d e r a b l e extent is built
u p o f c o m b i n a t i o n s o f prefabricated parts. L a n g a c k e r ( 1 9 9 8 : 2 5 ) m a k e s a
d i s t i n c t i o n between stored low-level patterns, m a n y o f w h i c h i n c o r p o r a t e
particular lexical items, a n d high-level s c h e m a s , w h i c h are general a n d
p r o d u c t i v e patterns, b u t suggests that the low-level structures " d o m u c h , if
n o t m o s t o f the w o r k in s p e a k i n g a n d u n d e r s t a n d i n g " .
S o , s u m m i n g up: the answer to the question: " W h y s h o u l d w e n e e d to
k n o w m o r e than w o r d s a n d rules o f h o w to c o m b i n e t h e m ? " is: " B e c a u s e w e
naturally m e m o r i s e w h a t is repeated." M o r e o v e r , it is often p o i n t e d o u t that
it is also a q u e s t i o n o f e c o n o m y o f effort. Retrieving m o r e or less r e a d y m a d e
c o m b i n a t i o n s o f w o r d s requires less mental effort
utterance w o r d
for w o r d
than c o m p o s i n g
(see, e.g., W r a y 2 0 0 2 : 9 2 ) . A s will
an
become
apparent, I d o n o t think that frequency a n d e c o n o m y is the w h o l e truth.
In c o n c l u d i n g this i n t r o d u c t i o n , let us return to the characterisation
o f i d i o m a t i c i t y inspired b y Pawley a n d Syder. T h a t is, i d i o m a t i c i t y consists
in k n o w i n g w h a t situations a n d p h e n o m e n a require s t a n d a r d expressions—
36
Beatrice Warren
a l t h o u g h alternatives are n o r m a l l y conceivable—and in k n o w i n g w h a t these
would
be. T h i s
is a general
characterisation
o f idiomaticity.
In
the
following a m o r e precise characterisation will b e a t t e m p t e d in w h i c h the
p o i n t o f d e p a r t u r e is the n o n - n a t i v e learner's difficulties
in
acquiring
idiomatic language.
2. The model
A m o r e precise characterisation o f i d i o m a t i c i t y c o u l d b e t h e following.
I d i o m a t i c i t y involves:
(i)
preferences for d i s c o u r s e structure
T h e very m a n n e r in w h i c h i n f o r m a t i o n is p r e s e n t e d in a text m a y b e
l a n g u a g e specific. I s u p p o r t this c l a i m in particular o n the results o f the
following
three
studies:
Mauranen
(1996),
Strömqvist
(2003)
and
W i k t o r s s o n ( 2 0 0 3 ) , b u t n o d o u b t there are others I c o u l d a d d u c e .
M a u r a n e n c o m p a r e d F i n n i s h a n d A n g l o - A m e r i c a n writers' d i s c o u r s e
patterns
in
academic
writing
and
found—as
had
been
previously
e s t a b l i s h e d - that: " F i n n i s h writers t e n d to use less m e t a d i s c o u r s e t h a n
Anglo-American
writers,
and
to
employ
final-focus,
or
inductive,
a r g u m e n t a t i v e strategies as o p p o s e d to initial-focus, or d e d u c t i v e strategies,
w h i c h are preferred b y A n g l o - A m e r i c a n s " ( 1 9 9 6 : l 4 3 ) . S t r ö m q v i s t w i t h c o workers
investigated h o w
motion
events w e r e d e s c r i b e d
in
narrative
discourse. T h e s t u d y i n v o l v e d 1 7 different l a n g u a g e s . It w a s f o u n d that
"speakers
of
Romance
and
Semitic
languages
detail
relatively
little
i n f o r m a t i o n a b o u t d i r e c t i o n w h e n they relate t h e m o t i o n event, whereas
speakers o f G e r m a n i c l a n g u a g e s detail relatively m u c h i n f o r m a t i o n . A n d
speakers
of
Romance
and
Semitic
show
a
preference
for
detailing
i n f o r m a t i o n a b o u t t h e S o u r c e , speakers o f G e r m a n i c a b o u t t h e P a t h , a n d
speakers o f S l a v o n i c a b o u t G o a l " . W i k t o r s s o n f o u n d that essays written b y
Swedish
university
students
of English
w e r e characterised
by
writer
visibility to a greater extent t h a n c o m p a r a t i v e essays written b y native
speakers o f E n g l i s h .
P r o b a b l y b e c a u s e o f its elusive character, the i m p o r t a n c e o f this
aspect o f i d i o m a t i c i t y is e m p h a s i s e d c o m p a r a t i v e l y rarely in
teaching
s t u d e n t s to write a foreign l a n g u a g e . F e a t u r e s o f this k i n d are after all
37
t e n d e n c i e s w h i c h w e are d e p e n d e n t o n expert d i s c o u r s e analysts to b e
c o n f i d e n t that they actually exist.
I d i o m a t i c i t y further involves:
(ii)
k n o w l e d g e o f language-specific p r o p o s t i o n a l expressions i n c l u d i n g socalled formal i d i o m s a n d lexicalised sentence s t e m s
I i n c l u d e in this category proverbs, allusions a n d cliches etc., w h i c h are
often i n c l u d e d in studies o f i d i o m s (see, e.g., A l e x a n d e r ( 1 9 7 8 ) , M a k k a i
( 1 9 7 2 : 1 2 8 - 1 2 9 ) , b u t also lexicalised sentence s t e m s a n d f o r m a l i d i o m s .
Lexicalised s e n t e n c e s t e m s are d e f i n e d b y Pawley a n d S y d e r ( 1 9 8 3 : 1 9 2 193)
as units
o f clause length w h i c h
are m o r e
or less
constrained
syntactically a n d lexically a n d w h i c h are " n o t true i d i o m s b u t
rather
regular f o r m - m e a n i n g p a i r i n g s " . F o r m a l i d i o m s were first d e s c r i b e d b y
F i l l m o r e et al ( 1 9 8 8 ) . T h e y are c o n s t r u c t i o n s with idiosyncratic m e a n i n g s
that d o not derive f r o m lexical items b u t w h i c h are i n h e r e n t in the
syntactic f r a m e o f the i d i o m . A n often q u o t e d e x a m p l e is Him
be a doctor,
t h e f r a m e o f w h i c h is n o n - n o m i n a t i v e N P + non-finite V P + c o m p l e m e n t
a n d w h i c h expresses incredulity. T h i s particular c o n s t r u c t i o n d o e s n o t
specify a n y particular lexical item. M o s t o f the formal i d i o m s , however, are
at
least partially lexically specific
as d e m o n s t r a t e d
by
the
following
e x a m p l e s d i s c u s s e d in the literature:
v e r b one's way P P : John joked his way into the meeting ( G o l d b e r g 1 9 9 5 )
v e r b [ T i m e - N P ] away: John drank the afternoon
What
is X doing
Y: What
is this scratch
away ( J a c k e n d o f f 1 9 9 7 )
doing
on the table?
(Kay and
Fillmore 1999)
do a [proper - N P ] : you could do an Arnold
Schwarzenegger,
just
break
the
lock! (Pentillä ( m s ) )
it+be
high time c o m p l e m e n t . : it is high time she did something
about
it
(Lavelle a n d M i n u g h 1 9 9 8 )
T h e feature that these e x a m p l e s have in c o m m o n is that the m e a n i n g s they
express are at least partially inherent in the c o n s t r u c t i o n . N o t e also that
these m e a n i n g s t e n d to b e evaluative in character, expressing in particular
r e p r o b a t i o n (it is high time that...; what is X doing Y ) . T h e y h a v e attracted
38
Beatrice Warren
linguists' interest n o t o n l y b e c a u s e o f their c o n s t r u c t i o n a l m e a n i n g s b u t
also b e c a u s e they often m a n i f e s t n o t o n l y syntactic a n d s e m a n t i c b u t also
p h o n o l o g i c a l a n d p r a g m a t i c constraints.
F r o m t h e n o n - n a t i v e learner's p o i n t o f view, i d i o m a t i c expressions in
this c a t e g o r y are p o s s i b l y c o m p a r a t i v e l y u n p r o b l e m a t i c . S i n c e they are s o
idiosyncratic, they are either learned o r refrained f r o m . T h e real s t u m b l i n g
b l o c k s for t h e n o n - n a t i v e speaker are expressions w h i c h are c o n d o n e d b y
t h e g r a m m a r a n d s t a n d a r d m e a n i n g s o f w o r d s b u t w h i c h nevertheless are
n o t u s e d b y native speakers. I f there is a p r o b l e m w i t h expressions o f this
k i n d , p r e d i c t a b l y it will occur w h e n
a learner a t t e m p t s
to
translate
v e r b a t i m a f o r m a l i d i o m into t h e target l a n g u a g e . A S w e d i s h
learner
m i g h t , for i n s t a n c e , render Vad var det nu du hette? w i t h What was it now
that you were called? i n s t e a d o f What's your name
again?.
F o r m a l i d i o m s t e n d t o b e clausal c o n s t r u c t i o n s . T h i s is true also o f
t h e f o l l o w i n g g r o u p o f i d i o m a t i c expressions I h a v e s i n g l e d o u t as f o r m i n g
a particular g r o u p :
(iii)
e x p r e s s i o n s in social interaction.
E x a m p l e s i n c l u d e excuse me, can I help you, many happy returns of the day,
(I am) sorry, (I beg your) pardon
a n d m a n y m o r e . T h e s e are phrases that are
p e r f o r m a t i v e in t h a t they are n o t u s e d about
particular situations b u t in
particular situations. T h e y differ f r o m t h e expressions in g r o u p (ii) n o t
o n l y functionally, b u t also in that as a rule they are lexically specified (i.e.
t h e y are less s c h e m a t i c ) .
A t least t h e m o s t frequent o n e s are listable a n d p r o b a b l y explicitly
t a u g h t a n d therefore c o m p a r a t i v e l y well k n o w n to t h e foreign learner.
Note
that
some
o f these are o n e - i t e m
phrases
p r o b a b l y clausal): cheers (when t o a s t i n g ) , speaking
(although
originally
(telephonese). I m a k e
this p o i n t b e c a u s e it is s o m e t i m e s c l a i m e d that i d i o m s are necessarily
c o m b i n a t i o n s o f w o r d s . S u c h a view—although n o t strictly correct f r o m a
synchronic
point
o f view—is u n d e r s t a n d a b l e
since knowledge
o f the
c o m b i n a t o r y p o t e n t i a l s o f w o r d s to f o r m p h r a s e s represents a n essential
feature o f i d i o m a t i c i t y . H e n c e t h e fourth feature is:
39
A Model o f Idiomaticity
(iv) c o m b i n a t o r y potentials o f w o r d s
It is well k n o w n that k n o w i n g a w o r d involves k n o w i n g w h a t other w o r d s
it can c o m b i n e with to f o r m syntactic units. V e r b s , for instance, seek
a b o v e all n o u n s as partners, as d o adjectives, whereas n o u n s , apart f r o m
verbs
and
adjectives,
often
c o m b i n e with
other
nouns.
I will
here
c o n c e n t r a t e o n v e r b - n o u n c o m b i n a t i o n s , w i t h particular focus o n verbo b j e c t n o u n c o m b i n a t i o n s for reasons that will eventually b e c o m e evident.
A s is also well k n o w n , the early transformational-generative linguists
fully realised that n o t a n y lexical i t e m can fit in the slots that syntax m a k e s
available. V e r b s h a d to b e s u p p l i e d with n o t o n l y subcategorizing
features
restrictions. Selectional restrictions specify that the
o b j e c t n o u n in the case o f read, for instance, w o u l d have to b e a piece o f
writing. N o w a d a y s there is also general a g r e e m e n t that verbs have
argument structures. A verb s u c h as run w o u l d have an A g e n t as a s u b j e c t
a r g u m e n t , a verb s u c h as sink w o u l d have a T h e m e as a subject, etc.
b u t also with selectional
Specifying t h e m a t i c roles a n d selectional restrictions o f verbs involves
specifying w h a t I refer to as generalised
meanings,
a n o t i o n w h i c h will b e
d e v e l o p e d presently. It is n o t p o s s i b l e to k n o w the m e a n i n g of, say, drink
w i t h o u t k n o w i n g that there has to b e s o m e a g e n t p e r f o r m i n g t h e action o f
d r i n k i n g a n d there has to b e s o m e t h i n g that is d r u n k a n d that has t o b e
l i q u i d . S o s u p p l y i n g w o r d s w i t h features like this prevents c o m b i n a t i o n s
s u c h as colourless
green
ideas sleep furiously, a n d serves to p r e d i c t w h a t
at least in the best case. B u t it d o e s n o t a c c o u n t
for features o f idiomaticity, w h i c h involves k n o w i n g w h i c h particular
c o m b i n a t i o n s are conventional
in a l a n g u a g e c o m m u n i t y a l t h o u g h other
c o m b i n a t i o n s are conceivable. A s has already been p o i n t e d out, failing to
realise that a c c o u n t i n g for w h a t is possible is n o t " t h e w h o l e s t o r y " has
b e e n a sin o f o m i s s i o n a m o n g theoretical linguists, w h i c h o n l y n o w is
b e g i n n i n g to b e rectified.
c o m b i n a t i o n s are possible,
The
models
notion
o f generalised
of language
meanings
acquisition,
in
is inspired
particular
by
usage-based
Tomasello's
(see,
e.g.,
T o m a s e l l o , ( 2 0 0 0 ) ) . T o m a s e l l o m a i n t a i n s that in their early l a n g u a g e
d e v e l o p m e n t children r e p r o d u c e n o t a d u l t w o r d s b u t a d u l t utterances.
T h e y begin b y repeating specific c o m b i n a t i o n s o f l a n g u a g e . It is o n l y
w h e n they h a v e h e a r d the s a m e w o r d in different contexts t h a t they are
able
to
construct
some
general
meaning
by
abstracting
semantic
c o m m o n a l i t i e s o f these different uses. It is n o w that they can b e g i n to
40
Beatrice Warren
p r o d u c e c o m b i n a t i o n s they h a v e never h e a r d before. In other w o r d s , the
first step is r e p e a t i n g c o m b i n a t i o n s . P r o d u c i n g u n h e a r d c o m b i n a t i o n s is a
later d e v e l o p m e n t a n d is e v i d e n c e that the child h a s b e e n able to analyse
u t t e r a n c e s into s e m a n t i c units a n d a b s t r a c t s e m a n t i c c o m m o n a l i t i e s . T h i s
a b s t r a c t e d , i.e. d e c o n t e x t u a l i s e d a n d general m e a n i n g , is w h a t I refer to as
generalised meaning.
T h e c o n s t r u c t i o n o f generalised m e a n i n g s c a n b e illustrated as in
F i g u r e 1. T h e a r r o w s in this figure are i n t e n d e d to s y m b o l i s e t h e b o t t o m u p k i n d o f a p p r o a c h i n v o l v e d in c o n s t r u c t i n g a generalised m e a n i n g in t h e
c a s e o f native learners.
generalised m e a n i n g
context 2
context 1
context 3
context 4
F i g u r e 1. T h e native learner's c o n s t r u c t i o n o f generalised m e a n i n g s
A g e n e r a l i s e d m e a n i n g o f a verb will a l l o w a n y k i n d o f w o r d c o m b i n a t i o n
as l o n g as the selectional restrictions a n d t h e m a t i c roles specified b y this
m e a n i n g are m e t . In the case o f transitive drop, for instance, this w o u l d
c o n d o n e drop a pen,
a glass, a key or a piece
of amber,
i.e. s o m e n o v e l
c o m b i n a t i o n w h i c h o n e nevertheless will r e c o g n i s e as correct, b u t it w o u l d
not
condone,
say,
*drop
love
or
*drop
sunshine.
However,
having
c o n s t r u c t e d a generalised m e a n i n g d o e s n o t m e a n t h a t the l a n g u a g e user
erases f r o m m e m o r y all uses w h i c h g a v e rise to this m e a n i n g . S o m e uses
f o r m c o m b i n a t i o n s w h i c h will b e m e m o r i s e d n o t o n l y b e c a u s e they are
f r e q u e n t but—I suggest—because they are a s s o c i a t e d with a certain salient
type o f situation
or p h e n o m e n o n ,
i.e. they are often
form-meaning
p a i r i n g s a n d s h o u l d in m y view h a v e the status o f lexical items. A t a n y
rate, t h e y are generally r e c o g n i s e d as m o r e or less fixed phrases w h i c h
represent language-specific uses. In the case o f transitive drop t h e y w o u l d
41
i n c l u d e c o m b i n a t i o n s such as drop
bombs, drop someone/something
at a
place, drop one's voice, drop charges, name drop a n d drop a hint, etc.
H o w e v e r , whereas the native learner will c o n s t r u c t s o m e generalised
m e a n i n g o f a w o r d b y m e a n s o f abstracting s e m a n t i c c o m m o n a l i t i e s o f
different uses o f this w o r d (type frequencies), the n o n - n a t i v e learner is
likely
to
construct
a
generalised
meaning
by
equating
it with
the
generalised m e a n i n g o f a first l a n g u a g e w o r d , i.e. b y transfer. T h a t is, the
n o n - n a t i v e learner's strategy naturally tends to b e a t o p - d o w n a p p r o a c h .
P r o v i d e d that t h e generalised m e a n i n g s o f first a n d target l a n g u a g e w o r d
are i n d e e d equivalent, this will enable the n o n - n a t i v e learner to f o r m all
the
combinations
that
the
generalised
meaning
condones,
but
the
language-specific uses m a y b e m o r e p r o b l e m a t i c . ( T h i s is illustrated in
F i g u r e 2.) F o r i n s t a n c e , a S w e d i s h learner o f transitive drop will h a v e to
learn, apart f r o m its generalised m e a n i n g , also E n g l i s h specialised uses
s u c h as t h e phrases exemplified a b o v e {drop a bomb, drop a charge, drop a
hint, etc.) a n d also the m a n n e r in w h i c h Swedish
r e n d e r e d in E n g l i s h (see T a b l e 1).
specialised uses are
"gen. meaning of 1st lg"
"gen. meaning"
T
"gen. meaningof target lg"
context 1
context 2
/
context 3
context 1
Native learner
Figure
2.
between
Schematic
native
and
\
context 2
context 3
Non-native learner
and
simplified
non-native
representation
learners'
o f the
acquisition
of
difference
generalised
meanings.
T h e p o i n t I wish to d e m o n s t r a t e is that learning the v o c a b u l a r y o f a
foreign l a n g u a g e involves c o n s i d e r a b l y m o r e than generalised m e a n i n g s o f
single w o r d s . Yet generalised m e a n i n g s are w h a t w e teach t h e learner o f a
foreign l a n g u a g e a n d are w h a t w e test in v o c a b u l a r y tests. A n d generalised
m e a n i n g s are w h a t lexicologists focus o n , a l t h o u g h they h a v e b e e n aware
that d e s c r i b i n g t h e c o m b i n a t o r y p o t e n t i a l s of, for instance, verbs in terms
o f t h e m a t i c roles a n d selectional restrictions underrepresents t h e native
speaker's collocational k n o w l e d g e .
42
I
Beatrice Warren
Generalised
meaning
of
English
drop 2
Generalised meaning o f Swedish
tappa
drop a pen, a glass, a key etc.
tappa
en penna,
ett glas,
en nyckel
etc.
Language specific uses o f drop
Swedish
equivalents
(verbatim
translations in parentheses)
drop a bomb
drop
falla
charges
en bomb (fella
bomb)
lägga ner åtal (put down
charges)
drop a hint
ge en vink (give a hint)
drop one's voice
sänka rösten (sink one's voice)
English equivalents
Language specific uses o f tappa
lose one's
tappa tålamodet
patience
be in a bad mood
tappa
humöret
(drop one's
(drop
patience)
one's
good
mood)
lose one's grip/lose
control
tappa greppet (drop one's grip)
not feel like doing
something
tappa lusten (drop one's
T a b l e 1. S o m e e x a m p l e s o f drop/tappa+object
inclination)
combinations
T h e descriptions t h a t lexicologists h a v e offered h a v e traditionally involved
a threefold d i v i s i o n , i.e. o p e n c o m b i n a t i o n s , i d i o m s a n d collocations as
demonstrated in Figure 3.
2
Arguably transitive drop has two generalised meanings: (i) "accidenrally let something
fall" and (ii) "cause something to fall". The generalised meaning of tappa corresponds only
to sense (i).
combinations of words
restritcted combinations
open combs idioms
drink ->liquid pull
strings
retid-> writing
Äei-->visible
phenomenon, etc
make a
spill
beans
collocations
mistake
commit a crime
sweep the floor
F i g u r e 3. T r a d i t i o n a l classification o f w o r d c o m b i n a t i o n s
O p e n c o m b i n a t i o n s are c o n s i d e r e d p r o d u c t i v e a n d c o m p o s i t i o n a l a n d to
f o r m t h e n o r m . I d i o m s c o n s t i t u t e o b v i o u s exceptions since they are
neither p r o d u c t i v e nor c o m p o s i t i o n a l . C o l l o c a t i o n s are often
described
s i m p l y as h a b i t u a l c o m b i n a t i o n s o f w o r d s a n d t e n d to receive
attention3.
My
version
of
the
native
speaker's
knowledge
of
little
the
c o m b i n a t o r y potential o f w o r d s is different. A s is illustrated in F i g u r e 4, I
suggest the following classification o f restrictions: o n the o n e h a n d , there
are w o r d s t h a t require a certain s e m a n t i c profile o f their collocate (i.e.
g r a m m a t i c a l o b j e c t s in the case o f verb-object c o m b i n a t i o n s ) a n d o n the
other h a n d , w o r d s that require a certain lexical i t e m as their collocate. T h e
first k i n d o f restriction can b e exemplified by look forward
to+ positive
s i t u a t i o n or commzt+immoral
act. T h e s e restrictions represent tendencies,
i.e. they m a y b e waived. T h e latter k i n d o f restriction represent fixed
phrases w h i c h are s t o r e d a n d w h i c h are n o r m a l l y f o r m - m e a n i n g pairs. T h e
3
This is not to deny that there have been attempts to raise the linguistic status of
collocations. To my knowledge the first to do so was Lyons, who points out that "it must
be remembered that many such phrases (i.e. high frequency phrases, my addition) are
synchronicalfy speaking, no longer to be considered as units of collocations at all, but as
simple grammatical units." (1966:296-297).
Cruse defines collocations as "sequences of lexical items which habitually co-occur" in
199 l(p 40). In 2000 (pp 296-297) he does acknowledge that there are arbitrarily restricted
collocations which merit inclusion in the dictionary, but leaves it at that.
Allerton (1989: 36), realizing that there are syntactically and lexically unmotivated
"locutional co-occurrence restrictions", which a language-user needs to master, suggests
that these justify the introduction of "idiomatics" as a special branch of lexicology.
44
Beatrice Warren
fixed phrases are in turn d i v i d e d into t r a n s p a r e n t c o m b i n a t i o n s , w h i c h in
t r a d i t i o n a l t e r m i n o l o g y w o u l d b e referred to as c o l l o c a t i o n s , a n d o p a q u e
c o m b i n a t i o n s , i.e. in traditional t e r m i n o l o g y i d i o m s .
L e t us first c o n s i d e r the first type o f restriction. T h e s e types
c o n s t r a i n t s h a v e b e e n revealed b y studies o f c o n c o r d a n c e s f r o m
of
large
c o r p o r a a n d are s o m e t i m e s referred to as s e m a n t i c p r o s o d i e s . ( T h e y have
b e e n d e s c r i b e d by, a b o v e all, S t u b b s ( 1 9 9 5 ) ) . C o n s i d e r as an e x a m p l e Peter
is looking forward to the meeting. T h e n o u n meeting is evaluatively neutral,
b u t as a c o m p l e m e n t o f look forward to a positive feature is coerced. A s j u s t
p o i n t e d o u t , these
combinations
restricted
open
drink->\iqaiå
read-> writing
5 ee->visible
phenomenon
,
certain meanings
commit->immoral act
certain items are required
ytfce->negative
situation
transparent
brush
sweep
polish
opaque
teeth
floor
shoes
pull somebody's
spill beans
pull
strings
leg
F i g u r e 4. Alternative classification o f w o r d c o m b i n a t i o n s
constraints c a n b e cancelled. It is, for instance, p o s s i b l e to m o d i f y look
forward
to with the adverbial with mixed feelings
forward
to the meeting with mixed feelings,
y i e l d i n g Peter is
looking
which brings about a change o f
the interpretation o f meeting. S o m e verbs s e e m to r e q u i r e a m o r e specific
s e m a n t i c character o f their o b j e c t s . Commit
in the sense o f ' d o ' , ' p e r f o r m '
requires that the act carried o u t is i m m o r a l : commit a sin, a crime,
adultery,
etc. T h e p r e p o s i t i o n a l verb deal with in the sense 'be a b o u t ' requires that
the s u b j e c t represents a ' c o m m u n i c a t i v e p r o d u c t ' ( b o o k , article, talk) a n d
45
that the o b j e c t s h o u l d b e a t h e m e b u t n o t j u s t a n y t h e m e . The letter
dealt
with his arrival w o u l d not b e n o r m a l unless the arrival in q u e s t i o n
involved s o m e c o m p l i c a t i o n s . W e expect the t h e m e w h i c h is the o b j e c t o f
deal with to b e s o m e t h i n g the relating o f w h i c h is n o t quite
straightforward.
T h e s e required m e a n i n g s are types o f selectional restrictions
but
differ f r o m w h a t is n o r m a l l y u n d e r s t o o d b y this t e r m in that they are n o t
mandatory
and
m o r e specific.
It
is p o s s i b l e — a t
least for
a
foreign
l e a r n e r — t o feel satisfied that (s)he k n o w s w h a t , say, commit a n d deal
with
m e a n w i t h o u t fully g r a s p i n g these k i n d s o f c o m b i n a t o r y constraints. A
S w e d i s h learner o f E n g l i s h , for instance, m a y very well e q u a t e the m e a n i n g
o f commit
w i t h begå. T h e two w o r d s are g o o d translation equivalents. In
parallel w i t h commit, begå c o m b i n e s naturally with the S w e d i s h w o r d s for
c r i m e , adultery, m u r d e r , sin etc. Yet there a p p e a r to b e differences in their
c o m b i n a t o r y potentials: In S w e d i s h misstag
Let
me
o b j e c t o f begå,
("mistake",) is a
common
commit
mistakes s e e m s less natural. Possibly the difference b e t w e e n commit a n d
begå is that commit requires a certain m e a n i n g ( " i m m o r a l a c t " ) o f its
o b j e c t , whereas begå is less restrictive requiring s i m p l y a negative feature o f
m e a n i n g o f the object. T o d e v e l o p sensitivity to tendencies o f this k i n d
requires a great deal o f e x p o s u r e to a l a n g u a g e .
grammatical
finally
point
b u t in E n g l i s h the c o m b i n a t i o n
out
that
the
existence
of
these
lexical
i t e m + c e r t a i n m e a n i n g c o m b i n a t i o n s m a y b e a reflection o f the patterncreating m e n t a l activities w h i c h a t t e m p t to abstract c o m m o n a l i t i e s a m o n g
s t o r e d expressions a n d w h i c h in the e n d m a y affect generalised m e a n i n g s .
A s is illustrated in F i g u r e 4, fixed phrases are d i v i d e d into t r a n s p a r e n t
(traditionally t e r m e d collocations) a n d o p a q u e c o m b i n a t i o n s (traditionally
b o n a fide i d i o m s ) , b u t I w o u l d like to e m p h a s i s e the similarities o f these
t w o types o f c o m b i n a t i o n s rather t h a n their differences. In m y view w h a t
c o l l o c a t i o n s a n d i d i o m s have in c o m m o n is m o r e i m p o r t a n t t h a n their
differences. J u s t as pull
strings
is a f o r m - m e a n i n g pair r e p r e s e n t i n g
a
*move
strings or *pull threads w o u l d n o t w o r k , s o is brush teeth. It represents a
particular t y p e o f action involving a certain t y p e o f brush o n w h i c h t o o t h
p a s t e is s p r e a d a n d w h i c h is a p p l i e d to all the teeth in s o m e b o d y ' s m o u t h .
S o , in spite o f the fact that b o t h brush a n d teeth can b e said to h a v e their
c o n v e n t i o n a l m e a n i n g s , the m e a n i n g o f the c o m b i n a t i o n is n o t
c o m p o s i t i o n a l (cf. Fillmore's f r a m e s e m a n t i c s ( 1 9 8 5 ) ) . T h e f o r m - m e a n i n g
status o f the p h r a s e is further m a d e evident in that polish teeth or brush
particular t y p e o f a c t i o n , w h i c h is m a d e evident b y the fact that
46
Beatrice Warren
dentals w o u l d either n o t m e a n the s a m e or b e u n i d i o m a t i c . I f w e can agree
t h a t i d i o m a t i c i t y represents "nativelike choices o f e x p r e s s i o n " , then get up
in the morning,
brush teeth, polish shoes, clear the table, dial a number,
the wrong number,
get
etc., etc. are as i d i o m a t i c as the generally r e c o g n i s e d
i d i o m s 4 . F r o m a c o m m u n i c a t i v e p o i n t o f view, they are likely to b e m o r e
i m p o r t a n t to m a s t e r t h a n t h e bona fide i d i o m s since they m o s t p r o b a b l y
o u t n u m b e r these b o t h as to their total n u m b e r a n d i n d i v i d u a l frequencies.
T h e a p p r o a c h f o r m i n g the basis o f the d i v i s i o n d i s p l a y e d in F i g u r e 4
departs
from
collocations
the traditional a c c o u n t
are c o n c e r n e d .
As
m a i n l y as far as t h e status
already p o i n t e d
out,
collocations
of
are
traditionally characterised as c o m b i n a t i o n s o f w o r d s that a p p e a r t o g e t h e r
w i t h greater t h a n r a n d o m probability. I repeat that frequently they are
m o r e t h a n that. T h e y often serve to p i c k o u t salient types o f situations a n d
p h e n o m e n a . T h i s in t u r n a m o u n t s to the c l a i m that there are c o n s i d e r a b l y
m o r e lexical units in a l a n g u a g e t h a n lexicologists a n d
lexicographers
a c c o u n t for. O n e i m p o r t a n t reason for t h e u n d e t e c t e d lexical status o f
m a n y c o l l o c a t i o n s is p r o b a b l y their t r a n s p a r e n c y a n d the fact that they
tend
to
be
collocations.
syntactically
Transparency
compositionality.
necessarily
True,
transparent,
unconstrained,
is
often
if s o m e
but
it
in
combination
does
not
particular
mistakenly
verb-object
equated
is c o m p o s i t i o n a l ,
follow
that
a
with
it
is
transparent
c o m b i n a t i o n is necessarily c o m p o s i t i o n a l .
4
This approach to idiomaticity departs from the common view rhat the more inflexible
and the more opaque a phrase is, the more idiomatic it is. Cowie (1984:x-xiii) and
Howarth (1996: 1-47), for instance, suggest a fourfold classification of phrases ranging
from least to most idiomatic exemplified in Howarth (p33) by the following combinations:
free collocation
restricted collocation
figurative idiom
pure idiom
blow a
trumpet
blow a fuse
blow your own
trumpet
blow the gaff
This type of classification is based on the (in my view) mistaken desire "to eliminate from
the description (of phrases, my addition) those combinations whose occurrence can be
accounted for by normal grammatical and syntactic processes" (quoted from Howarth,
p47). Syntactic regularity and literal uses of words do not ensure non-idiomaticity.
According to the definition of idiomaticity adopted here, the examples above are all
idiomatic, also blow a trumpet, which implies "play the trumpet" (cf. blow into a trumpet).
47
In view o f t h e m u l t i t u d e o f c o n v e n t i o n a l i s e d phrases a learner o f a
foreign l a n g u a g e has to acquire, it is n o t surprising that nativelike m a s t e r y
is difficult to attain. Yet, there are learners w h o c o m e pretty close to such
mastery. In W i k t o r s s o n ' s s t u d y ( 2 0 0 3 ) in w h i c h the frequencies o f prefabs
(i.e. c o n v e n t i o n a l i s e d
multiword
combinations)
in essays b y
Swedish
university s t u d e n t s o f E n g l i s h a n d b y native speakers were c o m p a r e d , it
w a s f o u n d that there w e r e n o differences as to q u a n t i t y . H o w e v e r ,
a
c o m p a r i s o n between essays b y less a d v a n c e d S w e d i s h learners o f E n g l i s h
(i.e. u p p e r s e c o n d a r y s t u d e n t s ) a n d university students s h o w e d that the
m o r e a d v a n c e d s t u d e n t s were, the m o r e prefabs their essays c o n t a i n e d .
T h i s suggests, as expected, that the better s t u d e n t s are at E n g l i s h , the m o r e
prefabs they will k n o w . W h a t m a y at first b l u s h a p p e a r s u r p r i s i n g is the
fact that u p p e r s e c o n d a r y as well as university s t u d e n t s k n o w so m a n y
fixed p h a s e s in spite o f the fact that they receive little explicit instruction
c o n c e r n i n g c o n v e n t i o n a l i s e d c o m b i n a t i o n s o f the type brush teeth, clear the
table, sun rises. T h e s e s e e m to b e p i c k e d u p s u b c o n s c i o u s l y a n d fairly
effortlessly, p r o b a b l y b e c a u s e the m e a n i n g s are n o r m a l l y there already a n d
t h e f o r m s are transparent, w h i c h m e a n s that there are n o n e w m e a n i n g s
a n d n o n e w w o r d s to learn. W h a t is n e w are m n e m o n i c a l l y m o t i v a t e d
c o m b i n a t i o n s o f w o r d s . It s e e m s then that explicit instructions are n o t
necessary for the acquisition o f t r a n s p a r e n t m u l t i w o r d units. E x p o s u r e to
t h e target l a n g u a g e , however, is a sine qua non.
5
I hasten to a d d , however, that n o t all c o n v e n t i o n a l i s e d phrases are
equally easily learned. It can b e h y p o t h e s i s e d that phrases c o n t a i n i n g n o n salient
and
apparently
unmotivated
items
such
as p r e p o s i t i o n s
and
particles require s o m e effort to b e m e m o r i s e d correctly. T h e s a m e k i n d o f
difficulty applies to the delexical verb (do, get, give, have, make, put
and
take) in delexical v e r b + n o u n c o n s t r u c t i o n s , as p o i n t e d o u t b y A l l e r t o n
(1984:33)
and Altenberg and Granger
(2001). Also
stylistically
s o p h i s t i c a t e d phrases representing abstract events s u c h as lay down rules,
exert pressure, assume importance can b e a s s u m e d to b e less easily learned.
T h i s then c o n c l u d e s m y classification o f i d i o m a t i c i t y features. T h e
reader will h a r d l y h a v e failed to n o t i c e a hierarchical o r g a n i s a t i o n g o i n g
f r o m d i s c o u r s e to p h r a s e level:
That learners are aware at some level of the need to find the correct combinations of
words for a particular meaning is supported by the fact that users of the
English-Danish
Cobuild dictionary report that they use this dictionary not only for English into Danish
translations but for finding the right English collocation (see Zettersten 2002).
5
48
Beatrice Warren
d i s c o u r s e level (i.e. o r g a n i s a t i o n o f c o n t e n t s )
clause level: (i.e. (i) p r e p o s i t i o n a l (ii) performative)
p h r a s e level (i.e. w o r d c o m b i n a t i o n s )
H o w e v e r , it s h o u l d b e a d m i t t e d that the m o d e l leaks. F o r instance, s o m e
o f t h e f o r m a l i d i o m s are a r g u a b l y p h r a s e level c o n s t r u c t i o n s , i.e. t h o s e in
w h i c h the s u b j e c t is n o t specified a n d , conversely, intransitive v e r b + s u b j e c t
c o m b i n a t i o n s are a r g u a b l y clause-level c o n s t r u c t i o n s . A l s o , there is n o
h a r d a n d fast d i v i s i o n between lexical i t e m + c e r t a i n m e a n i n g c o m b i n a t i o n s
a n d lexical i t e m + lexical item(s) c o m b i n a t i o n s ( see a g a i n F i g u r e 4 ) as
b y t h e expressions referred to as prefabs
with restrictedvariability d i s c u s s e d b y E r m a n a n d W a r r e n ( 2 0 0 0 : 4 1 ) e x e m p l i f i e d here b y
tappa/förlora/*bli
av med tålamodet a n d to a greatllargel*big
extent. T h e
reason b e h i n d the hierarchical o r g a n i z a t i o n o f t h e m o d e l is a m a t t e r o f
p r e s e n t a t i o n a l clarity rather t h a n a c l a i m as to h o w the l a n g u a g e user
m e n t a l l y o r g a n i s e s features o f i d i o m a t i c i t y .
demonstrated
3. Some theoretical repercussions
It s h o u l d c o m e as n o surprise to the reader that an i m p o r t a n t s o u r c e o f
inspiration
for
the
account
of idiomaticity
in
this
study
has
been
C o n s t r u c t i o n G r a m m a r . F o r instance, i d i o m a t i c expressions o n p h r a s e a n d
c l a u s e level fit G o l d b e r g ' s definition o f c o n s t r u c t i o n s , w h i c h is:
C is a construction iff d e f C is a form-meaning pair < F i ; S > such that
some aspect o f F : or some aspecr of S ; is not strictly predictable
from C's component parts or from previously established
constructions. (Goldberg 1995:4)
G i v e n that the k i n d o f phrasal m u l t i w o r d c o m b i n a t i o n s e x e m p l i f i e d a b o v e
are i n d e e d f o r m - m e a n i n g pairs, this will h a v e c o n s i d e r a b l e c o n s e q u e n c e s
for l e x i c o l o g y a n d lexicography. L e x i c o g r a p h e r s w o u l d h a v e t o i n c l u d e
m a n y m o r e i t e m s in d i c t i o n a r i e s 6 . L e x i c o l o g i s t s c a n n o longer b e satisfied
with
sense
relations
such
as
synonymy,
antonymy,
hyponymy
and
m e r o n y m y . A realistic a c c o u n t o f associative links b e t w e e n w o r d s in the
6
To a certain extent, this requirement is in practice already met in dictionaries based on
large corpora concordances. Again, seee Zettersten (2002).
49
m e n t a l lexicon w o u l d have to i n c l u d e associations o f the k i n d tooth: tooth
brush, tooth paste a n d brush teeth; bed: go to bed, be in bed, be ill in bed,
bedtime, go to bed with someone. A b o v e all, they w o u l d h a v e to a c c o u n t for
m u l t i w o r d lexical items, w h i c h is n o t the s a m e as a c c o u n t i n g for single
w o r d s , since there are i m p o r t a n t differences b e t w e e n these two types o f
lexical items. O n e o b v i o u s difference is that single w o r d s h a v e n o syntactic
structure in c o n t r a s t to m u l t i w o r d c o m b i n a t i o n s w h i c h can n o r m a l l y b e
m a n i p u l a t e d ( a l t h o u g h n o t always in a u n i f o r m m a n n e r , w h i c h is a further
c o m p l i c a t i o n ) . A n o t h e r difference is that single w o r d s are often
u n m o t i v a t e d , whereas m u l t i w o r d c o m b i n a t i o n s , e x c e p t i n g b o n a fide
i d i o m s , are m o t i v a t e d . C o n n e c t e d to this is a third difference: whereas it is
s o m e t i m e s p o s s i b l e to replace a s t a n d a r d expression with a n alternative
descriptive expression, single w o r d s are not replaceable in this m a n n e r .
S u c h n o n - s t a n d a r d alternatives a p p e a r to be possible to a greater extent in
t h e case o f verbal t h a n in n o m i n a l m u l t i w o r d expressions. In fact, o n e
reason for the focus o n verbal m u l t i w o r d c o m b i n a t i o n s in this survey is
t h a t their lexical status is less clearcut than the lexical status o f n o m i n a l
m u l t i w o r d c o m b i n a t i o n s . Tooth paste a n d shoe polish, for instance, are
n o r m a l l y a c c e p t e d as lexical units w i t h o u t q u e s t i o n , whereas the lexical
status o f brush teeth a n d polish shoes w o u l d p r o b a b l y n o t b e as readily
recognised. W e m a y tentatively c o n n e c t this with the fact that n o m i n a l
m u l t i w o r d expressions t e n d to d e n o t e entities w h i c h m o r e clearly
represent units t h a n verbal m u l t i w o r d expressions w h i c h typically d e n o t e
transient events e x t e n d e d in t i m e in s u c h a w a y that it is n o t p o s s i b l e to
perceive b e g i n n i n g s a n d e n d s s i m u l t a n e o u s l y .
S u c h n o n - s t a n d a r d alternatives m a y b e m o r e or less a c c e p t a b l e to the
native ear. C o n s i d e r , for instance:
(1) Please, remove the dirty dishes from the table.
for: please, clear the table
(2) I will adhere to my promise.
for: I will keep my promise
(3) We related the truth.
for: we told the truth.
50
Beatrice Warren
(4) He covered his body with a shirt and a pair of trousers.
for: he put on a shirt and a pair of trousers.
T h e fact that the descriptive n a t u r e o f m u l t i w o r d lexical units d o e s n o t
p r e c l u d e alternative a d h o c descriptive expressions justifies the view that
m u l t i w o r d lexical units is a m a t t e r o f i d i o m a t i c i t y as well as v o c a b u l a r y .
(Cf. A l l e r t o n ' s s u g g e s t i o n that " i d i o m a t i c s " s h o u l d b e i n t r o d u c e d as a
special b r a n c h o f lexicology.)
4. Summing up
It h a s b e e n s u g g e s t e d a b o v e that i d i o m a t i c i t y s h o u l d b e characterised as
nativelike selection o f expressions. T h i s in turn i m p l i e s that a c c o u n t i n g for
"all a n d o n l y t h e p o s s i b l e structures in a l a n g u a g e " is n o t an a d e q u a t e a i m
in l i n g u i s t i c theory. B e i n g o v e r p r o d u c t i v e , it m i s s e s the target.
It has also been s u g g e s t e d that features o f i d i o m a t i c i t y can b e f o u n d
o n different levels, r a n g i n g f r o m d i s c o u r s e to p h r a s e levels. D i s c o u r s a l
i d i o m a t i c features are t h o u g h t to b e the m o s t elusive. B e l o w this level,
features o f i d i o m a t i c i t y are d i v i d e d i n t o clausal a n d phrasal c o n s t r u c t i o n s .
C l a u s a l structures, in turn, are s u b c a t e g o r i s e d i n t o t w o functional classes:
p r o p o s i t i o n a l a n d performative. A p a r t f r o m b e i n g functionally
different,
there are s o m e linguistic differences between these. Peformatives t e n d to
b e less s c h e m a t i c , a l t h o u g h s o m e t i m e s they are abbreviated o b s c u r i n g their
clausal o r i g i n . T h e native as well as the n o n - n a t i v e learner are
often
explicitly t a u g h t performatives since it is i m p o r t a n t to k n o w w h a t to s a y in
common
interactive
situations
such
as
leave-taking
and
greeting,
a p o l o g i s i n g , t h a n k i n g or c o n g r a t u l a t i n g s o m e o n e .
O f particular i m p o r t a n c e are the c o m b i n a t o r y constraints o f single
w o r d s . T h e r e are different types o f s u c h constraints. T h e r e are t h o s e
i n v o l v e d in f o r m i n g d e c o n t e x t u a l i s e d a n d general m e a n i n g s , i.e. so-called
selectional
restrictions
and
and—in
the case o f verbs—thematic
roles.
A c c o r d i n g to u s a g e - b a s e d m o d e l s o f l a n g u a g e a c q u i s i t i o n , s u c h g e n e r a l i s e d
meanings
are
formed
by
abstracting
semantic
commonalities
from
different uses. A generalised m e a n i n g will e n a b l e the l a n g u a g e - u s e r to use
t h e w o r d creatively (=in u n h e a r d contexts) a n d yet b e c o n f i d e n t that it is
u s e d correctly.
It
was,
however,
posited
that
some
combinations
will
resist
decontextualisation a n d b e stored verbatim f o r m i n g m o r e or less stricdy
51
f o r m - m e a n i n g pairs. T h e s e will normally b e language-specific expressions
which the non-native learner will have to learn in a d d i t i o n to generalised
m e a n i n g s . It was tentatively suggested that, since these phrases are normally
m n e m o n i c a l l y m o t i v a t e d c o m b i n a t i o n s o f w o r d s representing
meanings
occurring also in first language, explicit instructions m a y not b e necessary
for their acquisition provided there is exposure to the target language.
T h e lexical status o f s u c h m u l t i w o r d c o m b i n a t i o n s
recognised.
However,
many
linguists
have
in
the
last
is often
few
not
decades
r e c o g n i s e d the large q u a n t i t y o f s u c h expressions a n d c o n c o r d a n c e s
of
large c o r p o r a c o n f i r m their n u m e r o u s n e s s .
Apart
from
selectional
restrictions
of
the
traditional
kind
and
t h e m a t i c roles, c o m b i n a t o r y restrictions o f w o r d s can also b e in terms o f
so-called s e m a n t i c p r o s o d i e s . T h a t is to say, a particular w o r d typically
c o m b i n e s with w o r d s o f a particular type o f - n o r m a l l y e v a l u a t i v e - m e a n i n g
w h i c h is n o t w a r r a n t e d b y generalised m e a n i n g s . It is p o s i t e d that for s u c h
constraints to b e a c q u i r e d e x p o s u r e to the target l a n g u a g e is particularly
important.
Lund
52
University
Beatrice Warren
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54
Interpersonal Complications and Intertextual Relations:
A Thousand Acres and King Lear
ANNA LINDHÉ
T h e last d e c a d e s o f the 2 0 * century s a w p l e n t y o f p o s t m o d e r n
reflective rewritings o f c a n o n i c a l w o r k s . W r i t e r s
have always
self-
derived
inspiration f r o m p r e v i o u s narratives; b u t in his s t u d y
Rewriting:
Postmodern Narrative
and Cultural Critique in the Age of Cloning ( 2 0 0 1 ) ,
C h r i s t i a n M o r a r u argues that c o n t e m p o r a r y rewritings express a m o r e
p o t e n t n e e d to revise, u n d e r m i n e , a n d radically criticize t h e representation
o f f o u n d a t i o n a l stories o f western culture. M o r a r u d i s t i n g u i s h e s b e t w e e n
t w o rewriting practices: rewriting as s u p p o r t , i.e. ' u n d e r w r i t i n g ' a n d
rewriting as d i s r u p t i o n , i.e. ' c o u n t e r w r i t i n g ' :
According
to
[the neoclassical
philosophy]
rewriting
is
underwriting, support and reduplication of the already-written. [By
contrasr, the postmodern rewriting practices] set up a
counterwriting distance, a "rupture" between themselves and what
they redo - the literary past - as well as between themselves and
various hegemonic forces active at the moment and in the milieu of
"redoing". (Motaru 2 0 0 1 : 9)
Women
writers'
'counterwriting'
of
Shakespeare
has
increased
c o n s i d e r a b l y in recent years. A l l o w i n g s c o p e for investigations i n t o race
a n d ethnicity, The Tempest h a s b e e n a particular target for p o s t - c o l o n i a l
rewritings, whereas King
Lear
h a s c o m e in for a g o o d deal o f a t t e n t i o n
f r o m feminist writers.
J a n e S m i l e y ' s Pulitzer Prize-winning novel, A Thousand
Acres ( 1 9 9 1 ) ,
is a n o p e n r e s p o n s e to King Lear. A c c o r d i n g to t h e writer herself, ' [ t ] h e
o b v i o u s internal s y s t e m o f A Thousand
Acres is King Lear
(Smiley 2 0 0 1 :
1 6 0 ) . In D a v i d C o w a r t ' s t e r m i n o l o g y , King Lear figures as a 'host-text' for
A Thousand Acres, p r o v i d i n g the 'guest-text' w i t h plot, characters, a n d
f o r m ( C o w a r t 1 9 9 3 : 4 ) . C o w a r t describes s u c h an intertextual relation as
s y m b i o t i c . B y a t t a c h i n g itself to King Lear, A Thousand Acres c o n t r i b u t e s
55
Interpersonal Complications and Intertextual Relations
to t h e survival o f King Lear. King Lear, o n its part, figures as 'host' for A
Thousand
Acres, p r o v i d i n g t h e 'guest' w i t h plot, characters, a n d structure.
T h e King Lear-plot
is, however, transposed to the A m e r i c a n M i d w e s t
in the late 1 9 7 0 s , a n d t h e narrative 'perspective' is c h a n g e d to a w o m a n ' s .
T h e a p p r o p r i a t i o n a n d re-positioning o f plot, characters, a n d themes into a
2 0 ' h century setting incorporates a (counterwriting) distance between past
a n d present which invites a critique o f both. S m i l e y thus engages in what
C o w a r t calls a n epistemic d i a l o g u e with the past', o n e which 'forces readers
into a recognition o f the historical or diachronic difference between the
voice o f o n e literary age a n d that o f another' ( C o w a r t 1 9 9 3 : 1).
Importantly,
S m i l e y ' s critique is a i m e d a g a i n s t t h e c o n v e n t i o n a l
r e a d i n g o f King Lear: 'I h a d an intention in A Thousand
Acres that grew
o u t o f s o m e t h i n g less rational, a r e s p o n s e t o t h e play. I w a n t e d t o
c o m m u n i c a t e t h e ways in w h i c h I f o u n d t h e c o n v e n t i o n a l reading o f King
Lear frustrating a n d w r o n g ' ( S m i l e y 1 9 9 9 : 1 6 0 ) . U p until recently, t h e
p r e d o m i n a n t critical r e a d i n g o f G o n e r i l a n d R e g a n c o u l d b e s u m m a r i z e d
in H a r o l d B l o o m ' s a c c e p t a n c e o f t h e t w o as ' u n n a t u r a l h a g s ' a n d
' m o n s t e r s o f t h e d e e p ' ( B l o o m 1 9 9 4 : 6 4 ) . It is true that previous critical
a t t e m p t s have been m a d e t o challenge these i m a g e s , n o t a b l y b y S t e p h e n
R e i d in 1 9 7 0 , b u t it is o n l y in recent years that a c h a n g e s e e m s to have
o c c u r r e d , p o s s i b l y in t h e w a k e o f A Thousand Acres. 2
1
Jane
Smiley
approaches
King
Lear
from
a feminist
perspective
creating a s p a c e f r o m w h i c h G i n n y / G o n e r i l s p e a k s , c o u n t e r a c t i n g t h e
patriarchal i m a g e s o f S h a k e s p e a r e ' s w o m e n a n d g r a n t i n g silenced f e m a l e
character a voice. I n contexts c o n c e r n i n g o p p o s i t i o n or resistance t o m a l e
normativity, voice has c o m e to denote 'power o f expression'
(Gilligan
1
See Srephen Reid. 'In Defence of Goneril and Regan'. The American Imago 27, no. 3
(1970): 226-244.
2
See, for example, Cristina León Alfar. 'King Lear's "Immoral" Daughters and the
Politics of Kingship'. Exemplaria 8, no. 2 (1996): 375-400. In this article she rejects the
notion of Goneril and Regan as innately evil arguing that their actions are 'symptomatic of
the patrilineal structure of power relations in which they live and to which they must
accommodate themselves', 375. See also Cristina León Alfar. 'Looking for Goneril and
Regan' in Privacy, Domesticity, and Women in Early Modern England ed. Corinne S. Abate.
Aldershot: Ashgate, 2003, and Cristina León Alfar. Fantasies of Female Evil The Dynamics
of Gender and Power in Shakespearean
Tragedy. Newark and London: University of
Delaware Press, 2003. In Making Trifles of Terrors: Redistributing
Complicities
in
Shakespeare. Stanford: Sranford University Press, 1997, Harry Berger Jr. suggests that Lear
might be seen as provoking Goneril's behaviour.
56
Anna Lindhé
1993:
xvi).
For
Nancy
A.
Walker,
A
Thousand
Acres
counts
' d i s o b e d i e n t ' narrative in that it 'expose[s] a n d q u e s t i o n [ s ]
as
a
patriarchal
p a t t e r n s that S h a k e s p e a r e a n d his c o n t e m p o r a r i e s t o o k for g r a n t e d ' b y
g i v i n g 'narrative a u t h o r i t y to the female characters' ( W a l k e r 1 9 9 5 : 7 - 8 ) .
B u t , as I will try to illustrate b e l o w , female v o i c e or 'narrative authority'
c a n n o t a l o n e effect c h a n g e s to n a r r o w i m a g e s o f G o n e r i l a n d R e g a n .
T h i s essay a t t e m p t s to s h o w h o w these i m a g e s c a n b e altered b y the
p o s i t i o n i n g o f G i n n y a n d R o s e in a c o m p l i c a t e d p a t t e r n o f interpersonal
relations, o n e w h i c h is d i s t u r b e d b y the d i s r u p t i o n s that c o m e with t h e
transfer o f p o w e r a n d p r o p e r t y f r o m o n e g e n e r a t i o n to another. I n t r i g u e d
b y this p a t t e r n in King
Lear, A Thousand
Acres t h u s e x a m i n e s h o w this
d i s t u r b a n c e affects social a n d interpersonal relationships.
T h e i n t e r a c t i o n b e t w e e n t h e two texts renders p o s s i b l e an oscillation
b e t w e e n different w o r l d s , between p a s t a n d present, b e t w e e n
c o n d i t i o n s o f a n d p o s s i b l e m e a n s o f existence, w h i c h h a s
different
important
c o n s e q u e n c e s for t h e reader's u n d e r s t a n d i n g o f b o t h texts. I m p o r t a n d y ,
t h e m e e t i n g o f a n d t h e oscillation b e t w e e n t h e two texts rule o u t a n y
s i m p l e 'takeover' o n the p a r t o f the c o n t e m p o r a r y novel. F o r a different
Thousand Acres w o u l d require the
Lear a n d is therefore n o t an a t t e m p t to
preferential truth. O n e text is n o t relinquished at t h e e x p e n s e o f the other,
q u i t e the reverse; t h e reader is a b l e to c o n t a i n t w o texts w i t h i n his/her
v i s i o n or m e n t a l picture.
picture o f Goneril
to e m e r g e , A
c o n t i n u o u s p r e s e n c e o f King
King
Lear
is
a
play
that
deals
with
patriarchal
rule
and
the
relationship b e t w e e n father a n d d a u g h t e r s , a n d these factors are often
c o n s i d e r e d to b e t h e m a i n reasons w h y this p l a y h o l d s special fascination
for w o m e n
authors
( S a n d e r s 2 0 0 1 : 5 ) . E v e n s o , King
Lear
harbours
s o m e t h i n g that attracts a n d intrigues m a n y f e m a l e writers a p a r t f r o m t h e
father-daughter relation. M o r e t h a n a n y other S h a k e s p e a r e play, it offers a
b r o a d r a n g e o f interpersonal relationships between p a r e n t a n d child b u t
also between k i n g a n d subject, between h u s b a n d a n d wife, a n d b e t w e e n
siblings o f b o t h sexes. T h e d i s t r i b u t i o n a n d w i e l d i n g o f p o w e r generates
tragic c o n s e q u e n c e s for t h e family; it leads to clashes b e t w e e n g e n e r a t i o n s ,
discord
between
fathers
a n d daughters
a n d fathers
a n d sons,
rivalry
b e t w e e n siblings friction between h u s b a n d a n d wife, a n d e n m i t y b e t w e e n
k i n g a n d subject. P r e s u m e d values o f loyalty, o b e d i e n c e , a n d d u t y are
u p s e t , q u e s t i o n e d , a n d b r o u g h t u n d e r careful scrutiny, n o t o n l y in the
k i n g d o m b u t in t h e family as well. King
Lear
is a p l a y a b o u t ' p o w e r ,
p r o p e r t y a n d inheritance', as J o n a t h a n D o l l i m o r e p o i n t s o u t ( D o l l i m o r e
57
2 0 0 4 : 1 9 7 ) — or, p e r h a p s even m o r e , a p l a y a b o u t the dislocation
o f power,
p r o p e r t y , a n d inheritance, a n d the e n s u i n g effects a n d disturbances.
Set in I o w a in the M i d w e s t in the late 1 9 7 0 s , A Thousand
Acres tells
t h e story o f a father, Larry (Lear), a n d the effects o f his s h a r i n g his farm
w i t h his three d a u g h t e r s , G i n n y ( G o n e r i l ) , R o s e ( R e g a n ) , a n d C a r o l i n e
( C o r d e l i a ) , a n d their respective h u s b a n d s , T y ( A l b a n y ) , Pete ( C o r n w a l l ) ,
a n d F r a n k ( F r a n c e ) , as seen t h r o u g h t h e eyes o f G i n n y ( G o n e r i l ) . T h e
y o u n g e s t d a u g h t e r , C a r o l i n e , hesitates as to the a d v a n t a g e s o f transferring
t h e f a r m , w h i c h results in her father's e x c l u d i n g her f r o m the p r o j e c t . T h e
transfer o f p r o p e r t y a n d C a r o l i n e ' s reluctance to accept Larry's decision
trigger a n d fuel e n m i t y between d a u g h t e r s a n d fathers, between s p o u s e s , as
well as between siblings; b u t they also h a v e an effect o n the G l o u c e s t e r s u b p l o t that finds its w a y into A Thousand
Acres t h r o u g h H a r o l d C l a r k
a n d his two sons, J e s s ( E d m u n d ) a n d L o r e n ( E d g a r ) , w h o live o n a
n e i g h b o u r i n g farm. T h e d i s p u t e over the C o o k farm a w a k e n s repressed
m e m o r i e s , a n d the u n r e m i t t i n g p h r a s e 'there's m o r e to that t h a n m e e t s the
eye' acquires p o i g n a n c y as w e find o u t that G i n n y a n d R o s e
were
i n c e s t u o u s l y assaulted b y their father ( S m i l e y 1 9 9 1 : 1 3 4 ) .
A Thousand Acres alerts the reader to h o w the transfer o f p r o p e r t y a n d
p o w e r penetrates a n d encroaches u p o n the firmest family relationships a n d
t h e m o s t solid loyalties. T h e transfer o f p r o p e r t y upsets m a r r i a g e s , as well
as e x p o s i n g the tacit a n d already existing rivalry between siblings. T h e
g r o w t h o f sibling rivalry a n d the c o m p l e x relation between s p o u s e s in A
Thousand
Acres heighten the reader's awareness o f G o n e r i l ' s p o s i t i o n in a
c o m p l i c a t e d structure o f relations, o n e in w h i c h she is n o t o n l y a d a u g h t e r ,
b u t also a sister, a n d a wife. A c c o r d i n g l y , this essay will b e g i n b y t a k i n g a
closer l o o k at the reader's role as a significant factor in t h e d y n a m i c s
b e t w e e n the texts.
W h e n J a m e s S c h i f f p o i n t s o u t that G o n e r i l ' s a n d R e g a n ' s voices are
heard
and
that
the
rewriting
provides
'a
motivation
for
and
an
u n d e r s t a n d i n g o f the two older d a u g h t e r s ' (Schiff: 1 9 9 8 : 3 7 0 ) , he fails,
like s o m a n y other critics apart n o t a b l y f r o m M a r i n a Leslie 3 , to raise
q u e s t i o n s a b o u t t h e reader's p a r t in the u n d e r s t a n d i n g o f the two elder
d a u g h t e r s . Peter C o n r a d p o i n t s o u t that J a n e S m i l e y takes G o n e r i l ' s a n d
R e g a n ' s 'side' b y m a k i n g G i n n y 'her narrator' ( C o n r a d 1 9 9 5 : 1 3 3 ) . M o r e
3
See Marina Leslie. 'Incest, Incorporation and King Lear in Jane Smiley's A
Acres'. College English 60, no. 1 (1998): 31-50.
58
Thousand
Anna Lindhé
i m p o r t a n d y , d o e s S m i l e y ' s p o s i t i o n also result in the reader's s y m p a t h e t i c
r e s p o n s e to G o n e r i l ?
S y m p a t h y for G o n e r i l ( a n d R e g a n ) is difficult to establish w i t h o u t
p r e s u m i n g t h a t t h e reader o f A Thousand
Acres revisits King Lear in s o m e
w a y , however brief, after finishing S m i l e y ' s novel. A s l o n g as the h e / s h e
stays within t h e fictional w o r l d o f A Thousand
Acres, the reader, as J a m e s
A . S c h i f f p o i n t s o u t , ' u n d e r s t a n d ^ ] w h y G i n n y / G o n e r i l has j u s t c a u s e for
s p e a k i n g o f her father in s u c h a m a n n e r , a n d w e are likely to cheer her o n '
( S c h i f f 1 9 9 8 : 3 7 5 ) . It is the m o v e m e n t f r o m A Thousand
Lear
Acres to
King
that is i n s t r u m e n t a l in t h e p r o d u c t i o n o f s y m p a t h y for G o n e r i l .
R e f o r m u l a t i n g King
Lear,
s o as to give w h a t W a l k e r t e r m s
a u t h o r i t y ' to the female characters, calls for s o m e further
'narrative
clarification
(Walker 1995: 7).
T h e change from a traditionally masculine perspective to a feminine o n e
in A Thousand Acres m a k e s it possible for w o m e n to acquire m o r e p r o m i n e n t
positions. T h e reader receives Goneril's version; her inner life a n d feelings are
p u t on display as Smiley provides her with a voice a n d a history. T h i s
alteration c a n n o t suddenly m a k e Goneril ' m o r e sinned against than sinning'
or Lear a 'monster o f the deep'. G r a n t i n g narrative authority to the female
characters does n o t m e a n that w e suddenly just side with Goneril a n d R e g a n ,
or that Goneril b e c o m e s the e p i t o m e o f goodness. Smiley m a k e s it quite
difficult for the reader to identify G i n n y as the counterpart to Goneril as they
are very different characters: o n e is the daughter o f a king, married to a d u k e ,
a b o u t to inherit a third o f the k i n g d o m , a n d as such in a very powerful
position; the other is a farmer's daughter.
S m i l e y also renders it difficult for t h e reader to s y m p a t h i z e w i t h
G i n n y for several reasons. A Thousand
Acres is written f r o m a first-person
m o r e s u b j e c t to
c r i t i q u e a n d s u s p i c i o n t h a n a third-person m o d e o f n a r r a t i o n w o u l d be. It
is true that as a first-person narrator, G i n n y i n h a b i t s a very powerful
p o s i t i o n ; t h e story a n d the other characters are filtered t h r o u g h her
perspective. A t the s a m e t i m e , however, the first-person v o i c e o n l y c l a i m s
' t h e validity o f o n e p e r s o n ' s right to interpret her experiences', as S u s a n
S n i a d e r L a n s e r p o i n t s o u t (Lanser 1 9 9 2 : 1 9 ) . A first-person narrator runs a
greater risk o f b e i n g q u e s t i o n e d a b o u t his/her intentions. I t m i g h t b e
difficult to establish authority, as the novel actually a v o i d s t h e m a s c u l i n e
p o s i t i o n o f a u t h o r i t y w h i c h is, as L a n s e r p o i n t s o u t , traditionally
a s s o c i a t e d w i t h a n o m n i s c i e n t narrator ( L a n s e r 1 9 9 2 : 1 9 ) .
perspective, w h i c h
makes
the s p e a k i n g v o i c e m u c h
59
In addition, in contrast to M a r i n a Leslie's o p i n i o n , w e d o n o t receive a
very 'likeable' or agreeable picture o f G i n n y t h r o u g h o u t (Leslie 1 9 9 8 : 3 5 ) .
H e r adulterous affair with J e s s a n d the meticulous preparations to p o i s o n
R o s e c o m e across as rather disturbing. N e i t h e r o f these two events h a p p e n s
in the s p u r o f the m o m e n t : 'I believed that I was g o i n g t o sleep with Jess
C l a r k with as full a certainty' (Smiley 1 9 9 1 : 1 5 5 ) . M o r e o v e r ,
without
considerations for her sisters' children — they w o u l d n o t only b e fatherless
b u t also motherless — a n d with particular crude exactitude, G i n n y executes
her plan: ' T h e perfection o f m y p l a n was the w a y Rose's o w n appetite w o u l d
select her death' (Smiley 1 9 9 1 : 3 3 9 ) . T h e s e are factors that p r o b a b l y m a k e it
harder for the reader to develop a benevolent attitude to her. F u r t h e r m o r e ,
her self-contempt - reminiscent o f Goneril's w o r d s a b o u t her 'hateful life' a n d her general c o n t e m p t for her present life contribute to m a k i n g the
picture o f G i n n y at least in part unfavourable.
I w o u l d s u b m i t that if t h e reader develops a m o r e b e n i g n a t t i t u d e to
G o n e r i l after r e a d i n g A Thousand
Acres, this is b e c a u s e w e witness G i n n y
in d y n a m i c interaction with other characters. W e are a l l o w e d t o see G i n n y
in contexts involving other characters, perceive her in different situations,
a n d envisage her in a variety o f roles - n o t only as a d a u g h t e r , b u t also as a
sister, a n d a wife. W e witness w h a t o c c u r s w h e n different roles c o n v e r g e
a n d clash, as h a p p e n s , for instance to C o r d e l i a in King Lear, in act o n e
scene o n e in w h i c h her role as a d a u g h t e r is set o f f against her n e w role as a
future wife. S h a k e s p e a r e creates s y m p a t h y for L e a r b y p l a c i n g h i m in a
c o n t e x t m a d e u p o f other characters in order for us t o f o r m
another
perspective o f h i m , u n t a i n t e d b y his t r e a t m e n t o f C o r d e l i a a n d K e n t ,
within t h e f r a m e w o r k o f t h e play. A s returning readers o f King Lear, w e
import
our heightened
awareness
o f interpersonal
relationships
into
S h a k e s p e a r e ' s context.
R e t u r n i n g t o King
Lear,
t h e n , is n o t so m u c h a m a t t e r o f t a k i n g
G o n e r i l ' s side; rather, it is a m a t t e r o f u n d e r s t a n d i n g h o w t h e relocation o f
p o w e r in the f o r m o f a p r o p e r t y transfer disturbs relations b e t w e e n p e o p l e ,
creates s u s p i c i o n between siblings a n d m i s u n d e r s t a n d i n g s in m a r r i a g e s ,
a n d uncovers t h e flaws within families. O n returning to King
Lear, t h e
reader will t h u s locate G o n e r i l in a larger structure o f interpersonal a n d
social relations, h a v i n g been invited t o u n d e r s t a n d h o w characters m i g h t
behave
when
disappointed,
they
are
unloved
misunderstood,
and
and
let
unseen
down
by
by
their
their
fathers,
siblings
or
and
h u s b a n d s . M a n y critics, feminists i n c l u d e d , h a v e p o s t u l a t e d that G o n e r i l
a n d R e g a n are u n c o m p l i c a t e d w i t h n o d e p t h to their character;
60
but
Anna Lindhé
relations b e t w e e n p e o p l e are nearly always c o m p l e x in S h a k e s p e a r e . V . G .
K i e r n a n h a s rightly p o i n t e d o u t that: '[Shakespeare] w a s c o n c e r n e d w i t h
men
in
combination,
interacting,
b e c o m i n g part o f one another'
entering
(Kiernan
into
1964:
one
another's
48). T o
lives,
understand
G o n e r i l a n d to s y m p a t h i z e w i t h her, w e h a v e to place her in a f r a m e w o r k
o f interpersonal a n d social relations, a n d a p r e v i o u s r e a d i n g o f A
Thousand
Acres helps us d o that. R e t u r n i n g to King Lear, d o e s n o t m e a n t h a t w e
perceive L e a r as evil a n d G o n e r i l as g o o d . It is precisely t h e m o v e m e n t
b e t w e e n the texts that reduces the reader's n e e d or desire to perceive acts
a n d b e h a v i o u r as m o r a l l y reprehensible.
T h e transfer o f p o w e r a n d p r o p e r t y is central in b o t h King Lear a n d A
Thousand Acres. A s a n y reader o f King Lear k n o w s , the d i v i s i o n o f the
k i n g d o m will c o m e to d o m i n a t e t h e original p u r p o s e o f t h e c e r e m o n y : to
select a future h u s b a n d for C o r d e l i a . I n A Thousand Acres, t h e transfer o f
t h e farm c o m e s to o v e r s h a d o w the w e l c o m e - h o m e party for H a r o l d
C l a r k ' s s o n J e s s . W i t h o u t p r e v i o u s n o t i c e a n d w i t h o u t a n y i n t e n t i o n , it
s e e m s , o f d i m i n i s h i n g his p o w e r , L a r r y a n n o u n c e s his p l a n to f o r m a
c o r p o r a t i o n between his three d a u g h t e r s a n d their respective h u s b a n d s .
B o t h t a k e n b y surprise, G i n n y a n d R o s e express their a d m i s s i o n . G i n n y
t h i n k s '[i]t's a g o o d idea', whereas R o s e thinks 'It's a great idea' ( S m i l e y
1 9 9 1 : 1 9 ) . S i m i l a r l y to C o r d e l i a , C a r o l i n e refuses to p l a y t h e role o f t h e
c o m p l y i n g d a u g h t e r . In full career as a lawyer, Larry's y o u n g e s t d a u g h t e r
has established a life for herself a n d her fiance o u t s i d e the p e r i m e t e r s o f the
f a r m . H e r answer 'I d o n ' t k n o w ' w h e n c o n f r o n t e d w i t h Larry's p l a n d o e s
n o t h a v e t h e s a m e t u r b u l e n t effect o n L a r r y as t h e equally e n i g m a t i c
' N o t h i n g ' h a s o n Lear, however. Larry's r e s p o n s e is terser b u t n o n e t h e less
powerful. W i t h t h e assertion, ' y o u d o n ' t w a n t it m y girl, y o u ' r e o u t ' , L a r r y
leaves t h e p a r t y ( S m i l e y 1 9 9 1 : 2 1 ) . T h e transfer o f t h e k i n g d o m / f a r m in
King Lear a n d A Thousand
Acres triggers a struggle between the
g e n e r a t i o n s a n d stages the inherent differences between t h e m .
A Thousand Acres' reiteration o f the division o f the k i n g d o m focuses o n
the tension between p e o p l e a n d o n h o w the characters react to the transfer.
It turns the reader's attention to w h a t h a p p e n s in-between the silences, inbetween characters. In King Lear it is very o b v i o u s w h i c h o f his d a u g h t e r s
Lear prefers. C o r d e l i a is her father's j o y a n d the o n e w h o will b e g r a n t e d 'a
third m o r e o p u l e n t t h a n [her] sisters' if she speaks her love for her father
( 1 . 1 . 8 6 ) . In A Thousand Acres, o n l y Larry's gaze indicates w h o m h e favours:
' H e g l a n c e d at m e , then at C a r o l i n e , a n d l o o k i n g at her all the while, he
said: " W e ' r e g o i n g to f o r m this c o r p o r a t i o n ' " ( S m i l e y 1 9 9 1 : 1 8 - 1 9 ) .
61
The
transfer-scene
demonstrates
the
different
loyalties
of
the
characters a n d their reactions to the transfer via the w a y they gaze at o n e
another. C a r o l i n e , for e x a m p l e , 'swept the d a r k e n i n g h o r i z o n with her
gaze' ( S m i l e y 1 9 9 1 : 2 1 ) . N o t o n l y does she n o t a p p r o v e o f the transfer;
b e i n g a w a y f r o m the farm for a l o n g p e r i o d o f t i m e has led to a different
c o n c e p t i o n o f family loyalty. S h e d o e s n o t h a r b o u r a d i v i d e d d u t y between
herself a n d her father. T h e r e is thus n o d y n a m i c t e n s i o n between her a n d
the other characters. G i n n y desperately tries to m a k e c o n t a c t with her b y
fixing her eyes at C a r o l i n e : 'In the s u d d e n light o f the p o r c h , there was n o
w a y to signal her to s h u t u p , j u s t s h u t u p ' ( S m i l e y 1 9 9 1 : 2 1 ) .
W h e n Larry a n n o u n c e s his decision to transfer his f a r m , H a r o l d is
s p o t t e d b y G i n n y at a distance s t a n d i n g in the ' d a r k d o o r w a y , g r i n n i n g '
( S m i l e y 1 9 9 1 : 1 9 ) . H a r o l d s e e m s to t h i n k that the transfer o f Larry's
p r o p e r t y is a b a d i d e a for Larry, b u t a g o o d idea for himself. H a r o l d a n d
L a r r y are o l d rivals for l a n d a n d p r o p e r t y to increase their wealth a n d
p o w e r : ' H a r o l d C l a r k a n d m y father used to a r g u e at o u r kitchen table
a b o u t w h o s h o u l d g e t the E r i c s o n l a n d w h e n they finally lost
their
m o r t g a g e ' ( S m i l e y 1 9 9 1 : 4 ) . T h e transfer-scene thus also d e m o n s t r a t e s
h o w the tension between the small w o r l d a n d the large w o r l d is generated.
L a r r y asserts that the reason for the transfer is a g e a n d a wish to prevent
h i g h inheritance taxes: 'if I d i e d t o m o r r o w , y o u ' d h a v e t o p a y
[...]
inheritance taxes' ( S m i l e y 1 9 9 1 : 1 9 ) .
Larry's real reason, however, seems to be his desire to t o p H a r o l d
Clark. T h e c o m p e t i t i v e configurations o f the outside world are seen to enter
the private sphere o f the family as H a r o l d a n d Larry vie for the s a m e space.
T h e c o m p e t i t i o n between the two thus reaches its p e a k at the party w h e n
H a r o l d d e m o n s t r a t e s his 'twin exhibits' (Smiley 1 9 9 1 : 18), as G i n n y calls
them, n a m e l y his s o n Jess a n d the new tractor: D a d d y said, " H e l l , I ' m too
o l d for this. Y o u w o u l d n ' t catch m e b u y i n g a new tractor at m y age.
[—]
P e o p l e always act like they're g o i n g to live forever w h e n the price o f land is
u p " - here h e threw a glance at H a r o l d ' (Smiley 1 9 9 1 : 19). Larry's gaze or
'glance', this t i m e at H a r o l d , reveals his concerns. A q u i c k l o o k at H a r o l d
indicates that the ball is n o w in H a r o l d ' s court, just as his m o m e n t a r y l o o k
at C a r o l i n e suggests that he needs her approval o f the transfer. M o t i v e s are
never u n a m b i g u o u s in either A Thousand Acres or King Lear. Nevertheless,
H a r o l d ' s investment encroaches u p o n Larry's m i n d a n d c o m p e l s h i m to
m a k e the rash decision to surpass H a r o l d b y transferring his property to his
three daughters, leading to tragic consequences for his family, as his conflict
62
Anna Lindhé
w i t h H a r o l d is m a d e to i m p i n g e o n the d o m e s t i c sphere, leading to marital
breaches a n d sibling rivalry.
In A Thousand
Acres, L a r r y C o o k , the ' k i n g ' o f his ' u n m o r t g a g e d '
t h o u s a n d acres o f well-cultivated l a n d , is the e p i t o m e o f p o w e r in the
f a r m i n g c o m m u n i t y . Larry is n o t j u s t a n y farmer; h e is also a p u b l i c figure.
A s o n e o f the m o s t p r o s p e r o u s farmers, h e is o n e o f the m o s t revered m e n
i n t h e c o m m u n i t y . After all, he is, as G i n n y remarks, ' o n e o f the b i g g e s t
l a n d o w n e r s ' in Z e b u l o n C o u n t y ( S m i l e y 1 9 9 1 : 1 4 1 ) .
A s k i n g , L e a r is also a p u b l i c figure. In a d d i t i o n , as k i n g , h e is also the
b i g g e s t l a n d o w n e r in t h e country. I n J a c o b e a n E n g l a n d , t h e political
t h e o r y o f k i n g s h i p w a s d e f i n e d 'as the p o s s e s s i o n o f t h e k i n g d o m a n d o f
t h e subjects w h o i n h a b i t it' ( B r a y t o n 2 0 0 3 : 4 0 2 ) . Lear's status as k i n g is
c o n t i n g e n t o n the l a n d , 'the c h a m p a i g n s riched' a n d the 'wide-skirted
m e a d s ' as his property, as well as o n the o b e d i e n c e o f t h o s e w h o i n h a b i t
this l a n d , i n c l u d i n g his family ( 1 . 1 . 6 4 - 6 5 ) . D e s p i t e his d e s p e r a t e a t t e m p t s
to retain 'the n a m e ' a n d 'all t h ' a d d i t i o n to a k i n g ' ; l o s i n g p o s s e s s i o n o f the
k i n g d o m m e a n s l o s i n g his identity as k i n g ( 1 . 1 . 1 3 7 ) . T h e experience o f
p o w e r l e s s n e s s - the loss o f c o n t r o l over his subjects a n d his d a u g h t e r s - that
c o m e s w i t h the loss o f p r o p e r t y is thus destructive to the f a m i l y as well.
L e a r ' s role as a father is affected a n d directed b y his k i n g s h i p a n d the
anxieties that c o m e w i t h this p u b l i c role, or, p e r h a p s even m o r e , the
anxieties that d e v e l o p f r o m t h e l a c k o f this role. It is L e a r ' s political
d e c i s i o n to d i v i d e the k i n g d o m that i m p i n g e s u p o n t h e d o m e s t i c s p h e r e
a n d leads to marital breaches between G o n e r i l a n d A l b a n y a n d t h e d e a d l y
a n t a g o n i s m b e t w e e n G o n e r i l a n d R e g a n . It is in s u c h a c o n t e x t
that
G o n e r i l h a s to b e regarded.
In
King
Lear,
Goneril's
mellifluous
speech
guides
the
r e a d e r ' s / a u d i e n c e ' s r e s p o n s e to her, as well as Lear's. T h e r e is n o d o u b t
t h a t she e m b r a c e s Lear's d e c i s i o n . C r i t i c s o f King Lear often perceive her
a t t i t u d e to the division a n d her flattering s p e e c h as signs o f her h u n g e r for
p o w e r . In contrast, the reader o f A Thousand
Acres realizes that G i n n y ' s
a t t i t u d e to t h e transfer is an a m b i v a l e n t o n e : 'In spite o f that inner clang, I
t r i e d to s o u n d agreeable' ( S m i l e y 1 9 9 1 : 1 9 ) . D e s p i t e the inner c a u t i o n ,
G i n n y s e e m s to s u p p o r t her father's p r o p o s a l u n c o n d i t i o n a l l y . C o g n i z a n t
o f her inner t h o u g h t s , however, the reader u n d e r s t a n d s that o t h e r factors
are b e h i n d G i n n y ' s affirmative reply to Larry's d e c i s i o n .
L a r r y has b e e n a s s i g n e d a n a l m o s t G o d - l i k e p r e s e n c e . I n G i n n y ' s
c h i l d h o o d , her father is the p r o v i d e r o f a centre, the p r o t e c t o r a g a i n s t all
63
evil o u t s i d e . Reflections o f his G o d - l i k e status in G i n n y ' s eyes p e r m e a t e
her m e m o r i e s o f Larry:
When I wenr to first grade and the other children said that their
fathets were farmers, I simply didn'r believe rhem. I agreed in order
to be polite, but in my heart I knew that those men were
imposters, as farmers and as fathers, too. In my youthful
estimation, Laurence C o o k defined both categories. T o really
believe that others even existed in either category was to break the
First Commandment. (Smiley 1 9 9 1 : 19)
T h e allusion to the First C o m m a n d m e n t indicates Larry's standing, in the
eyes o f G i n n y , as a divine authority. T h i s i m a g e o f the father keeps the
daughters s u b d u e d , which in its turn invests h i m with additional privilege in
t h e c o m m u n i t y . A w e o f h i m is instilled in the daughters b y his preservation
as
mysterious,
transcendence.
omniscient,
and
majestic
almost
Larry is used to b e i n g c o n f i r m e d
point
of
a n d revered b y
to
the
his
daughters as well as b y the other farmers, even b y the minister in the
C h u r c h : 'our minister, gave his yearly s e r m o n a b o u t all worldly riches
having their source in the tilling o f the soil, which was guaranteed to appeal
b o t h to farmers' self-regard a n d to their sense o f injury at the h a n d s o f the
rest o f society' ( S m i l e y 1 9 9 1 : 3 5 ) . T h r o u g h G i n n y ' s descriptions, the reader
is m a d e to u n d e r s t a n d that Larry's status in the c o m m u n i t y a n d in the
family has always been m a r k e d by authority a n d power. W i t h o u t influence
a n d p o w e r over other people's m i n d s a n d behaviour, Larry loses control.
D u r i n g the transfer-scene, it b e c o m e s clear that G i n n y does n o t act
o u t o f selfish reasons b u t o u t o f d r e a d for her father, a sense o f d a u g h t e r l y
d u t y , as well as a c c o r d i n g to different d e m a n d s o f loyalty. G i n n y s u p p o r t s
Larry's d e c i s i o n n o t o n l y b e c a u s e she feels c o m p e l l e d to b a c k u p her
father, b u t also b e c a u s e T y , her h u s b a n d , w a n t s her to. S h e thinks T y
deserves to 'realize s o m e o f his wishes' ( S m i l e y 1 9 9 1 : 2 5 ) . I n d e e d , with
h i m g a z i n g at her, G i n n y realizes w h a t s h e has to d o : ' T y was l o o k i n g at
m e , a n d I c o u l d see in his gaze a veiled tightly c o n t a i n e d delight - h e h a d
b e e n w a n t i n g to increase the h o g o p e r a t i o n for years' ( S m i l e y 1 9 9 1 : 19).
T h e g a z e , a s s o c i a t e d with power, runs t h r o u g h A
Thousand
Acres.
The
reader is thus invited t o a t t e n d to the w a y p e o p l e l o o k at each other a n d
u n d e r s t a n d a n d read the silences, for e x a m p l e A l b a n y ' s in King Lear,
and
as r e t u r n i n g readers o f King Lear w e h a v e b e c o m e alerted to the fact that
there c o u l d b e m o r e than o n e reason for G o n e r i l ' s willingness to take over
a third o f the k i n g d o m . A Thousand
64
Acres helps us realize that G o n e r i l is
Anna Lindhé
a c t i n g in relation to other p e o p l e besides her father; she is n o t o n l y a
d a u g h t e r b u t also a wife.
T h e w a y s in w h i c h m o n e y , the transfer o f p r o p e r t y , a n d t h e u n e v e n
d i s t r i b u t i o n o f p o w e r c a n affect interpersonal relationships is illustrated
symbolically
in A
Thousand
Acres
the m o n o p o l y - g a m e
that
G i n n y , T y , R o s e , Pete, a n d J e s s gather a r o u n d in the evenings.
through
The
m o n o p o l y g a m e — emblematic o f capitalism and greed — foments not only
rivalry between siblings a n d between s p o u s e s , b u t also between
Pete
( C o r n w a l l ) a n d J e s s ( E d m u n d ) . P e t e a n d J e s s are a b s o l u t e o p p o n e n t s in
t h e g a m e , a n d t h e a t m o s p h e r e it creates presses in u p o n their private
relationship, p r o m p t i n g a n d s t i m u l a t i n g rivalry between t h e t w o . T r y i n g
to surpass each o t h e r in t h e c o m p a n y o f the others, they relate their
respective a d v e n t u r o u s experiences, o n e tale w o r s e t h a n t h e other. T h i s is
t h u s illustrative o f the t e n s i o n b e t w e e n t h e large w o r l d a n d the small o n e
w h e n power, p r o p e r t y , a n d inheritance enter the d o m e s t i c w o r l d . P l a y i n g
m o n o p o l y , they all c o m p e t e for the s a m e thing: m o r e p r o p e r t y ,
more
money, a n d more power.
The
between
game
also
married
demonstrates
couples
when
symbolically
money
and
what
property
could
eat
happen
into
their
relationship. W h e n R o s e w a n t s G i n n y to sell p r o p e r t y to her, her h u s b a n d
P e t e exclaims: ' D o n ' t sell t h e m to her' with 'the e d g e in his v o i c e ' , as
G i n n y notices, ' n o t q u i t e playful' ( S m i l e y 1 9 9 1 : 8 8 ) . Still, R o s e a n d P e t e
are m o r e s u p p o r t i v e o f each other t h a n G i n n y a n d T y . Pete's a n d R o s e ' s
feelings a b o u t the f a r m a n d their a t t i t u d e t o w a r d s Larry's q u i r k s are m u c h
t h e s a m e . In r e s p o n s e to Larry's spendthrift w a y s a n d irrational b e h a v i o u r ,
J e s s backs u p his wife: 'Pete w a s a n g r y t o o , a n d h e e n c o u r a g e d [Rose] to
dwell o n it [...] R o s e said, " A T h o u s a n d dollars! R i g h t o u t the w i n d o w ' "
(Smiley 1 9 9 1 : 87).
G i n n y ' s a n d T y ' s differing reactions to the transfer a n d
towards
Larry's increasing m a d n e s s separate t h e m f r o m each other a n d alienate
t h e m . T h e property-transfer enters i n t o the m o s t steadfast r e l a t i o n s h i p s
a n d the strongest loyalties, the loyalties t h a t s h o u l d exist between h u s b a n d
a n d wife. After t h e transfer, the relationship between G i n n y a n d T y enters
a n e w p h a s e , as their m a r r i a g e has been t r a n s f o r m e d to i n c o r p o r a t e a n e w
sense o f p a r t n e r s h i p . T h r o u g h their share o f the f a r m - w h i c h m e a n s a
s h a r i n g o f wealth a n d l a n d - b o t h o f t h e m a c q u i r e m o r e p o w e r , a n d t h e y
h a v e different w a y s o f u s i n g that p o w e r . T y ' s interest is o n l y in fulfilling
his d r e a m s a b o u t the farm: to increase the h o g - o p e r a t i o n . A s d a u g h t e r s ,
however, G i n n y a n d R o s e h a v e never b e e n i n c l u d e d in the ' g r a n d history'
65
o f the farm ( S m i l e y 1 9 9 1 : 3 7 1 ) T h e transfer thus entails a c h a n g e o f
p o s i t i o n a n d perspective f r o m o u t s i d e r to insider, f r o m b e i n g an observer
o f history ( m e n ' s history) to b e i n g p a r t o f that history (however critically).
B y G i n n y ' s e n t r a n c e into this previously closed s p a c e — a space formerly
c o n t r o l l e d b y L a r r y - p o w e r relations inevitably c h a n g e . B e i n g b r o u g h t u p
in a s y s t e m that c o n n e c t s material wealth w i t h p o w e r a n d
authority,
G i n n y uses her n e w p o s i t i o n to challenge T y b u t also to q u e s t i o n Larry's
increasing u n p r e d i c t a b l e behaviour. After a car a c c i d e n t , w h e n Larry is the
m o s t a s h a m e d o f himself, she avails herself o f the o p p o r t u n i t y to a s s u m e a
position o f power:
It was exhilarating, talking to my farher as if he were my child,
more than exhilarating to see him as my child. This laying down
the law was a marvellous way of ralking. It created a whole orderly
future within me, a vita of manageable days clicking past, myself in
the foreground, large and purposeful. (Smiley 1991: 159)
S c h i f f p o i n t s o u t that this scene ' m a r k s a b r e a k t h r o u g h ' for G i n n y a n d
t h a t s h e c o m e s to resemble G o n e r i l at this stage (Schiff 1 9 9 8 : 3 7 5 ) . M o r e
i m p o r t a n t l y , w e are m a d e to u n d e r s t a n d the m e c h a n i s m b e h i n d , a n d the
a l l u r e m e n t of, p o w e r . G i n n y is a w o m a n w h o s e p o w e r over her life a n d
even over her o w n b o d y is severely i m p a i r e d , b y her father's sexual a b u s e ,
b y T y ' s reluctance to let her b e c o m e p r e g n a n t , a n d b y the
farmers'
p o i s o n i n g o f the well-water, which o b s t r u c t s her r e p r o d u c t i v e capacities. It
is
the
sudden
change
from
a position
o f powerlessness
to
one
of
c o m p a r a t i v e p o w e r , a n d the effects this has o n a p e r s o n , that are i m p o r t a n t
t o b r i n g to o u r r e a d i n g o f G o n e r i l . A Thousand
Acres does n o t a s k w h e t h e r
certain actions or b e h a v i o u r are m o r a l l y reprehensible or not. T h e novel
offers a c o n t e x t for u n d e r s t a n d i n g w h y a n d h o w a person can b e c o m e
blinded by power.
T h e b e d a n d b e d - c h a m b e r represent c o n j u g a l duties a n d loyalties, b u t
it is precisely here that the 'small' battle between G i n n y a n d T y is played
o u t . T h e h o m e or the b e d - r o o m is n o longer a retreat f r o m the o u t e r
w o r l d or f r o m external a n d p u b l i c conflicts. A s larger q u e s t i o n s - a b o u t
f a r m m a n a g e m e n t , b u t also a b o u t h o w to h a n d l e Larry's peculiarities a n d
g r o w i n g m a d n e s s — invade the d o m e s t i c sphere, the t e n s i o n
between
G i n n y a n d T y is seen to g r o w . T h e d i s a g r e e m e n t over h o w to h a n d l e
L a r r y is significant: 'At b e d t i m e , T y said, " Y o u w o m e n d o n ' t u n d e r s t a n d
y o u r father at all" [—] I said, " T h e n w e have s o m e t h i n g in c o m m o n with
h i m , b e c a u s e he clearly d o e s n ' t u n d e r s t a n d h i m s e l f . " H e
understands
h i m s e l f fine. H e ' s j u s t secretive, is all" " A n d w h a t are his secrets?'" ( S m i l e y
66
Anna Lindhé
1 9 9 1 : 1 1 0 , 1 1 1 ) . G i n n y h a s never o p e n l y d i s a g r e e d w i t h T y before, b u t
t h e c h a n g e d s i t u a t i o n creates n e w o p p o r t u n i t i e s , a n d it b e c o m e s clear that
t h e transfer o f t h e f a r m p u t s loyalties a n d duties b e t w e e n h u s b a n d a n d
w i f e to t h e test.
T h e different
g o a l s a n d experiences o f G i n n y a n d T y , a n d t h e
misunderstandings
b e t w e e n t h e m , is s o m e t h i n g t h a t t h e reader o f A
Thousand
Acres
b r i n g s t o t h e m a r r i a g e relation b e t w e e n G o n e r i l a n d
A l b a n y in King Lear. H a v i n g b e e n alerted t o t h e w a y s in w h i c h breaches in
a m a r i t a l relation m a y arise, s u c h a reader senses h o w fragile t w o s p o u s e s '
relationship is w h e n e x p o s e d t o external influence a n d conflicts. I n King
Lear, Lear's love test b e c o m e s a test o f loyalty a n d d u t y n o t o n l y between
father a n d d a u g h t e r s , b u t also, in extension, b e t w e e n h u s b a n d a n d wife.
T h e t e n s i o n b e t w e e n G o n e r i l a n d A l b a n y is seen to b e set in m o t i o n w h e n
G o n e r i l h a s h a d e n o u g h o f Lear's disorderly k n i g h t s . W h e n politics enter
t h e d o m e s t i c s p h e r e , a rift o p e n s between h u s b a n d a n d wife. Private issues
e n t e r i n g t h e p u b l i c s p h e r e c a u s e a b r e a k d o w n o f t h e k i n g d o m , as w e see in
a c t o n e scene o n e ; p u b l i c issues i n v a d i n g t h e d o m e s t i c sphere s e e m t o e n d
in marital fissures. G o n e r i l ' s reaction to Lear's r o w d y e n t o u r a g e is n o t
s u p p o r t e d b y A l b a n y , w h o a d v o c a t e s p a t i e n c e . W h e n L e a r curses G o n e r i l
as his d a u g h t e r , s h e b e g s A l b a n y n o t t o :
afflict yourself ro know more of it,
But let his disposition have that scope
As dotage gives it. (1.4.283-285)"
W h e n G o n e r i l asks A l b a n y for s u p p o r t o n a political level b y t u r n i n g to
his a u t h o r i t y in c o n n e c t i o n with Lear's threat t o ' r e s u m e t h e s h a p e ' as
k i n g , A l b a n y reveals his a m b i v a l e n c e t o G o n e r i l before s h e actually acts
a g a i n s t Lear. It is clear that G o n e r i l d o e s n o t h a v e her h u s b a n d ' s s u p p o r t :
I cannot be so partial, Goneril,
T o the great love I bear you. (1.4.304-305)
D o e s A l b a n y let G o n e r i l d o w n b y n o t p r o v i n g his loyalty t o her? A s her
h u s b a n d , h e owes her certain duties. G o n e r i l ' s '[a] fool u s u r p s m y b e d '
4
The edition used is The Arden Shakespeare,
Nelson and Sons Ltd, 1997.
edited by R.A. Foakes. Surrey: Thomas
67
( 4 . 2 . 2 8 ) takes o n m o r e t h a n sexual c o n n o t a t i o n s , r e m i n d i n g us o f other
c o n j u g a l duties - b u t A l b a n y refuses to c h o o s e between L e a r a n d G o n e r i l .
A l b a n y ' s loyalties are not, p a c e P a u l W . K h a n , ' d i v i d e d between d a u g h t e r
a n d father' ( K h a n 2 0 0 0 : 4 2 ) , b u t between wife a n d king.
T y proves his disloyalty to his wife o n several o c c a s i o n s . D u r i n g the
s t o r m - s c e n e in w h i c h Larry rages a n d curses G i n n y , T y stands literally
' b e h i n d [Larry]' ' u n m o v i n g , h a n d s in p o c k e t s ' ( S m i l e y 1 9 9 1 : 1 9 4 , 1 9 5 ) .
T y ' s solidarity with Larry prevents h i m f r o m c o m i n g to G i n n y ' s a i d at the
h e i g h t o f the family crisis. T y takes G i n n y ' s n e w a n d m o r e challenging
a p p r o a c h to L a r r y as a n a t t a c k o n himself, as it also u n d e r m i n e s his o w n
s t a t u s a n d p o w e r : ' G i n n y , y o u a n d R o s e are g o i n g a b o u t this all w r o n g '
( S m i l e y 1 9 9 1 : 1 5 3 ) . It is in T y ' s interest to l o o k u p to a n d retain the
reverence for authorities like Larry, to preserve status
quo in o r d e r to
preserve his o w n status a n d p o w e r in the eyes o f t h e c o m m u n i t y .
A r e A l b a n y ' s m o t i v e s for s u p p o r t i n g Lear a n d b e i n g disloyal to his
wife solely e m o t i o n a l or are they p e r h a p s political? It s e e m s c o n t r a d i c t o r y
t o a r g u e for the former since s u c h b o n d s d o n o t s e e m to exist between the
t w o in King
Lear. Is it p o s s i b l e for A l b a n y to s t a n d o u t s i d e the social
Acres hints at the i m p o s s i b i l i t y o f n o t
b e i n g i m p l i c a t e d in society's c o m p e t i t i v e c o n f i g u r a t i o n s , a n d p o i n t s to
w h a t h a p p e n s w h e n the family is c o m p e l l e d to o p e r a t e in a n e w c o n t e x t
a n d a c c o r d i n g to different n o t i o n s o f loyalty.
processes o f society? A Thousand
T h e relationship between G o n e r i l a n d R e g a n is another d i m e n s i o n in
the Shakespearean play that acquires fresh p o i g n a n c y w h e n the reader
returns to King Lear after reading A Thousand Acres. In A Thousand Acres, it
is n o t only G i n n y ' s role as a wife that is f o r e g r o u n d e d b u t perhaps even
m o r e her role as a sister. Psychoanalysts view sibling rivalry as b e g i n n i n g in
infancy a n d b e c o m i n g a n integral part o f siblings' interrelations as they g r o w
u p . S m i l e y alerts the reader to h o w sibling rivalry between the daughters is
created f r o m a very early age, h o w it is nourished a n d fuelled, a n d preserved
t h r o u g h an inherent system o f favouritism. T h e father in A Thousand
Acres
creates a n d then consolidates the differences between the daughters already
in their c h i l d h o o d . T h e y o u n g e s t daughter, C a r o l i n e , is singled o u t as
Larry's favourite a n d this is a sore subject for G i n n y . H e r answer to J e s s '
q u e s t i o n as to w h o is Larry's favourite child is revealing: '"It's always been
C a r o l i n e , I ' m sure'". T h e penetrating question causes G i n n y to wince a n d
s h y away from the subject: 'I smiled the way y o u d o w h e n y o u w a n t
s o m e o n e to stop p r o b i n g a subject, b u t y o u d o n ' t w a n t h i m to k n o w that. I
spoke
68
idly:
"Who's
Harold's
favourite?'"
(Smiley
1991:
134).
Early
Anna Lindhé
experiences o f favouritism help establishing C a r o l i n e as different
from
G i n n y a n d R o s e . T h e father's favouring o f t h e y o u n g e s t d a u g h t e r has given
rise to (seemingly) relendess solidarity a n d loyalty between G i n n y a n d R o s e .
R o s e has been a n integral part o f G i n n y ' s life for as l o n g as she can
r e m e m b e r : ' n o d a y o f m y r e m e m b e r e d life w a s w i t h o u t R o s e ' (Smiley 1 9 9 1 :
5 ) . G i n n y thus establishes herself a n d R o s e in an e c o n o m y o f sameness a n d
C a r o l i n e as different f r o m t h e m . S m i l e y lets the reader notice R o s e ' s a n d
G i n n y ' s special relationship quite early, as o n e w h i c h is in m a r k e d contrast
to all other relations: ' C o m p a r e d t o o u r sisterhood, every other relationship
w a s m a r k e d b y s o m e sort o f absence — before C a r o l i n e , after o u r mother,
before o u r h u s b a n d s , pregnancies, her children, before a n d after a n d apart
f r o m friends a n d n e i g h b o u r s ' (Smiley 1 9 9 1 : 8 ) .
In A Thousand
Acres, C a r o l i n e h a s h a d m o r e f r e e d o m t h a n G i n n y a n d
R o s e ever h a d . A s s u b s t i t u t e m o t h e r s for C a r o l i n e , R o s e a n d G i n n y
s u p p o r t C a r o l i n e in her every e n d e a v o u r a n d g u a r a n t e e that s h e receives a
g o o d e d u c a t i o n . T h e y p a v e t h e w a y for her successful a n d i n d e p e n d e n t
life. R o s e p o i n t s o u t that C a r o l i n e ' d o e s n ' t h a v e to b e careful. S h e ' s g o t a n
i n c o m e . B e i n g his d a u g h t e r is all pretty abstract for her, a n d I ' m sure s h e
w a n t s t o k e e p it that way. [—] S h e always d o e s w h a t s h e h a s t o d o '
( S m i l e y 1 9 9 1 : 6 3 ) . A c c o r d i n g to M a r i n a Leslie, t h e incest is 'offering a
c o n t e x t for [Larry's] very different t r e a t m e n t o f t h e elder d a u g h t e r s a n d
t h e favourite y o u n g e s t child' (Leslie 1 9 9 8 : 3 6 ) . C a r o l i n e ,
presumably
s a v e d f r o m Larry's sexual a b u s e t h a n k s t o G i n n y ' s a n d R o s e ' s p r o t e c t i o n ,
d o e s n o t r e m i n d L a r r y o f his crimes. F a v o u r i t i s m , o n a m i c r o c o s m i c level,
d e v e l o p s b e t w e e n t h e siblings; as a result, G i n n y a n d R o s e h a v e t o vie for
a t t e n t i o n a n d love in a w a y C a r o l i n e never h a d t o d o , a n d this forces t h e
t w o elder sisters into a s y s t e m o f c o m p e t i t i o n .
T h e incest finds n o literal c o r r e s p o n d e n c e in King Lear. 5 A
Thousand
Acres, however, a d d s d i m e n s i o n s t o t h e destructive c o n s e q u e n c e s o f
favouritism for t h e family in King Lear. F a v o u r i t i s m is seen to b e the very
f o u n d a t i o n for m a n y familial relationships in A Thousand Acres. Larry has
always preferred T y to Pete w h o is 'never o n the right side o f D a d d y '
( S m i l e y 1 9 9 1 : 3 2 ) . I n King Lear, A l b a n y has always been ' m o r e affected'
t h a n t h e d u k e o f C o r n w a l l ( 1 . 1 . 1 ) . M o r e o v e r , L o r e n , w h o s t a n d s o u t as a
'nice g u y ' , m e e t s t h e news o f his brother J e s s ' h o m e - c o m i n g with a t o u c h o f
bitterness, e v o k i n g biblical resonances: 'I notice h e waited till w e b u s t e d o u r
b u t t s finishing u p p l a n t i n g before staging his resurrection' ( S m i l e y 1 9 9 1 : 6 ) .
5
Critics have, however, exposed Lear's figurative incestuous desire for Cordelia.
69
I n the Gloucester s u b p l o t in King Lear favouritism, b o t h o n a socio-political
(legitimacy) a n d o n a personal level, sets the tragedy in m o t i o n . Gloucester
favours E d g a r , or at least the systems o f p r i m o g e n i t u r e a n d legitimacy favour
E d g a r . E d m u n d thus regards his brother E d g a r as a rival for p o w e r a n d
property: 'Legitimate E d g a r , I m u s t have your land' ( 1 . 2 . 1 6 ) .
A s m a n y critics are well aware a n d A Thousand
Acres r e m i n d s the
reader, the rivalry between the sisters in S h a k e s p e a r e ' s play is noticeable
already f r o m act o n e scene o n e . L e a r sets the e x a m p l e for h o w inheritance
is to be allocated b y d i s r e g a r d i n g t h e rights o f p r i m o g e n i t u r e . G o n e r i l is
t h e eldest o f the sisters, a n d a c c o r d i n g to the rights o f p r i m o g e n i t u r e she
s h o u l d b e t h e o n e to inherit the k i n g d o m . 6 I n d e e d , K e n t a n d G l o u c e s t e r
are b o t h puzzled b y the fact that c o n t r o l o f the k i n g d o m is not p u t in the
h a n d s o f the D u k e o f A l b a n y , the eldest d a u g h t e r ' s h u s b a n d . D e m a n d i n g
that
his
three
daughters
measure
their
love
for
him
and
inviting
c o m p a r i s o n between their protestations, Lear u n d e r s c o r e s rivalry between
t h e sisters a n d fosters j e a l o u s y between t h e m . T h e love-test i m p a i r s the
loyalty between G o n e r i l a n d R e g a n , as is evident in R e g a n ' s e n d e a v o u r to
t o p her sister's speech a n d declaration o f love. R e g a n first states that she is
m a d e o f that s a m e 'mettle' as her sister, b u t then g o e s o n to say that
G o n e r i l c o m e s ' t o o short' in her expression o f love for Lear. W h e r e a s
G o n e r i l stays within a p a r a d i g m characterized b y ' d u e ' d i s t a n c e between
father
and
important
daughter,
Regan
ramifications
disrupts
this
convention,
o n the relationship
between
and
that
the two
has
sisters.
R e g a n ' s p r o t e s t a t i o n o f a d e e p e r a n d m o r e t h o r o u g h love t h a n G o n e r i l ' s
c o m e s across as an a t t e m p t to u n d e r m i n e G o n e r i l ' s privileges as the firstb o r n . R e g a n has h e n c e o v e r s t e p p e d her 'rights' b o t h o n a political a n d o n
a personal level. R e g a n ' s speech m a k e s it m o r e difficult for G o n e r i l to
assert her authority as the elder sibling. T h i s upsets the established p o w e r
balance
between
the two
sisters.
Hence,
an
already existent
schism
materializes between G o n e r i l a n d R e g a n d u r i n g their speeches o f love at
t h e b e g i n n i n g o f act o n e scene o n e , w h i c h w e are m a d e aware o f t h r o u g h
S m i l e y ' s w a y o f establishing vital differences
b e t w e e n t h e sisters
and
e x p l a i n i n g h o w a n d w h y rivalry emerges.
6
In Shakespeare's Festive Tragedy: The Ritual Foundation
of Genre. London and New
York: Routledge, 1995, Naomi Conn Liebler writes that 'Lear violates his royal obligation
to protect the realm, and also the custom of primogeniture in promising the "third more
opulent" portion of the land to his youngest, not his eldest, daughter' (199).
70
Anna Lindhé
M u t u a l trust is already s u b v e r t e d as a result o f L e a r ' s favouritism, a n d
m u t u a l d i s t r u s t will b e reinforced b y L e a r ' s efforts t o trigger a d i v i s i o n
b e t w e e n t h e t w o sisters. Lear's threat t o leave G o n e r i l ' s a b o d e to g o t o live
w i t h R e g a n further u n d e r m i n e s the loyalty between t h e sisters. T a k i n g u p
t h e a b o d e w i t h R e g a n w o u l d b e a threat t o G o n e r i l , n o t o n l y political:
Lear. Degenerate bastard, I'll not trouble thee:
Yet have I left a daughter.
Goneril: You strike my people, and your disordered rabble
Make servants o f their betters. (1.4. 2 4 5 - 4 8 )
7
It is p e r h a p s w o r t h m e n t i o n i n g that critics h a v e a r g u e d that after t h e
b a n i s h m e n t o f C o r d e l i a a n d K e n t , t h e sisters are seen t o p l o t t o g e t h e r
a g a i n s t their father. 8 T h i s is, however, G o n e r i l ' s w a y o f asserting her
a u t h o r i t y over R e g a n . G o n e r i l is trying to recover her p o w e r over her sister
a n d find o u t w h e r e R e g a n really stands. D i s c u s s i n g this s c e n e in relation t o
s i b l i n g rivalry c o u l d also explain w h y the sisters never actually i m p l e m e n t
their p l a n 'i'the heat'. C r i t i c s h a v e f o u n d it p u z z l i n g that n o t h i n g c o m e s o f
their m e e t i n g . Clearly, t h e n , t h e relationship b e t w e e n G o n e r i l a n d R e g a n
is o n e o f t h e aspects o f S h a k e s p e a r e ' s t r a g e d y that take o n n e w m e a n i n g
w h e n t h e reader returns to King Lear after a r e a d i n g oiA
Thousand
Acres.
T h e c o m p e t i t i v e c o n f i g u r a t i o n s o f t h e o u t s i d e w o r l d w e r e seen t o
m o t i v a t e Larry's d e c i s i o n to h a n d over his f a r m t o his d a u g h t e r s , a n d this
m a k e - u p o f s o c i e t y influences t h e relationship b e t w e e n G i n n y a n d R o s e .
T h e c o m p e t i t i o n b e t w e e n farmers a n d t h e r e p e a t e d c o m p a r i s o n s b e t w e e n
Larry's f a r m a n d other a d j a c e n t f a r m s create a s y s t e m o f rivalry o n a larger
scale w i t h selfishness, g r e e d , rights o f p o s s e s s i o n , a n d desire t o o w n as t h e
7
In 'The Image of the Family in King Lear. In On King Lear, edited by Lawrence
Danson. Princeton: Princeton University Press, 1981, Thomas McFarland has pointed out
that in this scene Lear 'manipula[tes][...] the dynamics of family favoritism' (97).
8
In James A. SchifPs 'Contemporary Retellings: A Thousand Acres as the Latest Lear'.
Critique: Studies in Contemporary Fiction 39, no. 4 (1998): 367-81, we read the following:
'[Goneril] responds to her father's gift of land not with delight or gratitude, but with
malice and paranoia, remarking to Regan that they must conspire together to "do
something" to Lear so as to disempower him in his increasing madness' (7). But Goneril
and Regan are not trying to conspire. They are anxious about their father's banishment of
Kent and Cordelia, understandably enough, and Goneril wants to find out which side
Regan is on as well as assert her power.
71
Interpersonal Complications and Interrextual Relations
o u t c o m e . A s a child, G i n n y w a s ' i n d o c t r i n a t e d ' w i t h s u c h a c o n c e p t i o n o f
t h e w o r l d as the 'right o r d e r o f things':
I recognized the justice o f Harold Clark's opinion that the Ericson
land was on his side of the road, but even so, I thought it should be
us. For one thing, Dinah Ericson's bedroom had a window seat in
the closet that I coveted. For anorher, I thought it appropriate and
desirable that the great circle of the flar earrh spreading out from
the T intersecrion of County Road 686 and Cabot Street Road be
ours. (Smiley 1991:4)
T h i s system o f rivalry is h e n c e established in t h e m i n d s o f G i n n y a n d R o s e
very early o n , a n d it is s t i m u l a t e d t h r o u g h o u t their a d u l t life. F r o m early
childhood,
they h a v e been
u s e d to c o m p e t i n g
for t h e s a m e
object,
influenced b y t h e c o m p e t i t i v e c o n s t i t u t i o n o f society.
A n y external e l e m e n t that c o m e s into G i n n y ' s a n d R o s e ' s w o r l d
h e n c e feeds the fire a n d sustains t h e rivalry. G i n n y sees R o s e as a rival for
R o s e ' s o w n children. O w i n g to nitrates (used b y t h e farmer t o fertilize the
l a n d ) , that p o i s o n e d t h e well-water, G i n n y c a n n o t b e c o m e p r e g n a n t , a n d
t h e sight o f R o s e a n d her t w o d a u g h t e r s affects her 'like p o i s o n ' . A g a i n ,
rivalry is p r o m p t e d a n d G i n n y ' s desire to o w n t h e children takes over:
'they were nearly m y o w n d a u g h t e r s ' ( S m i l e y 1 9 9 1 : 8 ) . G i n n y tries to
c o n v i n c e t h e reader that t h e j e a l o u s y s h e o n c e felt t o w a r d s R o s e is set
a s i d e : 'the sight o f t h o s e t w o b a b i e s , w h o m I h a d loved a n d cared for with
real interest a n d satisfaction, affected m e like p o i s o n [...] I w a s s o j e a l o u s ,
a n d s o freshly j e a l o u s every t i m e I saw t h e m , that I c o u l d h a r d l y s p e a k '
( S m i l e y 1 9 9 1 : 8 ) . A rhetoric o f rivalry p e r m e a t e s G i n n y ' s w a y o f s p e a k i n g
in her efforts to c o n v i n c e herself that she h a s g o t over her jealousy.
T h e rivalry over J e s s s h o u l d thus b e discussed with reference t o
c o m p e t i t i o n in t h e larger world. E v e n if J e s s triggers
the 'outbreak o f
rivalry' between G i n n y a n d R o s e ; 9 it is t h e transfer o f p r o p e r t y
exposes
( a n d activates) t h e tacit a n d already existing rivalry
that
between
siblings in b o t h A
Thousand Acres a n d King Lear. W h e n J e s s in A
Thousand Acres c o m e s into t h e p i c t u r e there is thus m o r e at stake t h a n
merely sexual jealousy. T h e y are u n c o n s c i o u s l y c o m p e t i n g for t h e s a m e
object. H a n d s o m e , charismatic, a n d attractive, G i n n y a n d R o s e n o t i c e J e s s
at t h e s a m e t i m e , b u t i m p o r t a n t l y , G i n n y also notices that R o s e h a s
5
In 'Goneril's Version: A Thousand Acres and King Lear'. South Dakota Review 33, no. 2
(1995): 105-15, Tim Keppel suggests that 'Jess is the catalyst for Ginny's awakening, both
physical and psychological' (113).
72
Anna Lindhé
detected him.
Ginny
imitates R o s e ' s
desire in a typically
Girardian
fashion: ' R o s e n o t i c e d h i m [Jess], t o o , right w h e n I d i d ' ( S m i l e y 1 9 9 1 :
1 0 ) . R e n e G i r a r d h a s p r e s e n t e d a m o d e l b a s e d o n triangular desire that is
interesting in this context. H e suggests that w e b a s e o u r desire o n a n o t h e r
p e r s o n ' s desire, a p e r s o n w h o m w e a d m i r e . G i n n y d o e s n o t c h o o s e the
o b j e c t o f her desire herself; it is a 'third p e r s o n ' , i.e. R o s e , that 'indicates to
t h e narrator t h e o b j e c t [she] will b e g i n d e s i r i n g passionately' ( G i r a r d 1 9 6 5 :
3 0 ) . H o w e v e r , J e s s d o e s a w a k e n G i n n y to sexual awareness, a n d her
s u b s e q u e n t k n o w l e d g e that R o s e has a n affair w i t h h i m s e e m s n o t s o m u c h
t o l e a d to sexual j e a l o u s y as foster an awareness o n G i n n y ' s p a r t t h a t s h e is
in fact a different p e r s o n f r o m R o s e :
M y deepesr-held habit was assuming that differences between Rose
and me were just on the surface [...] that somehow we were each
other's real selves [...] But after all, she wasn't me: Her body wasn't
mine. (Smiley 1 9 9 1 : 332)
W h e n J e s s s w a p s G i n n y for R o s e , G i n n y ' s sole p u r p o s e in life will f r o m
t h e n o n w a r d s b e t o r e m o v e R o s e b y whatever m e a n s . U l t i m a t e l y
it
b e c o m e s an e n d in itself, q u i t e apart f r o m a n y c o n s i d e r a t i o n s a b o u t Jess.
G i n n y c a n n o t c o n t r o l t h e story a n y m o r e ; t h e desire to p o i s o n R o s e takes
over. B e i n g b r o u g h t u p in a s y s t e m t h a t feeds a n d sustains c o m p e t i t i o n
b e t w e e n p e o p l e , they are forced into rivalry over s o m e t h i n g they t h i n k
rightfully b e l o n g s to b o t h o f t h e m , n a m e l y J e s s (as p r o p e r t y ) . T h e y o n l y
r e c o g n i z e the justice o f their o w n n e e d s a n d their o w n rights. T h e d e a d l y
a n t a g o n i s m b e t w e e n t h e t w o sisters actually m a k e s G i n n y ' s
attempted
p o i s o n i n g o f R o s e , to w h i c h s o m e critics h a v e o b j e c t e d , s e e m believable.
T h u s S m i l e y rewrites a n d e m p h a s i z e s the d i s t i n c t i o n between G i n n y
a n d R o s e , w h i c h also has a b e a r i n g o n o u r r e a d i n g o f King Lear.
Many
critics explain the rivalry b e t w e e n G o n e r i l a n d R e g a n w i t h reference to
sexual j e a l o u s y over E d m u n d , a l t h o u g h feminists have p r e s e n t e d a m o r e
n u a n c e d p i c t u r e o f the t w o sisters. 1 0 G o n e r i l ' s a n d R e g a n ' s 'lust'
for
E d m u n d is n o t exclusively sexual; it is also b a s e d o n a s y s t e m o f rivalry
m a d e p a l p a b l e t h r o u g h L e a r ' s love-test. It m i g h t b e E d m u n d t h a t triggers
10
In 'Horns of Dilemma: Jealousy, Gender, and Spectatorship in English Renaissance
Drama', Katharine Eisaman Maus points out that '[e]ven Goneril and Regan, whose
competition over a man reaches a murderous pitch, seem driven more by sibling rivalry,
noticeable even in the first scene, as they strive to outdo one another in praise of their
father - man by specifically sexual jealousy as the heroes experience it' (Maus 1987:564).
Goneril, however, does not try to outdo Regan.
73
t h e rivalry b e t w e e n G o n e r i l a n d R e g a n , b u t rivalry has certainly been
lurking b e n e a t h the surface all a l o n g . T h e t w o sisters h a v e to c o m p e t e for
love, a t t e n t i o n , l a n d , a n d power, b e i n g forced to vie for the s a m e space,
politically as well as personally - s o m e t h i n g C o r d e l i a never h a d to d o o n
t h e p e r s o n a l level, a n d a r g u a b l y refuses to d o o n a political level w h e n she
says ' n o t h i n g ' .
W h e r e a s G i n n y d o e s not s u c c e e d in p o i s o n i n g her sister a n d actually
survives herself, G o n e r i l succeeds in e x t e r m i n a t i n g b o t h herself a n d her
sister. W h a t was o n c e s o i m p o r t a n t to G o n e r i l in King
Lear, the battle
between the k i n g d o m s o f E n g l a n d a n d F r a n c e , yields to her desire to avoid
experiencing, at a n y cost, her sister's alliance - sexual as well as political with E d m u n d :
I had rather lose the battle than that sister
Should loosen him and me. (5.1.18-19)
T h e deadly rivalry between G o n e r i l a n d R e g a n is n o longer over E d m u n d .
T h e c o m p e t i t i v e configurations o f the political w o r l d h a v e so
deeply
infringed o n the relation between the siblings that n o t h i n g stands in their
w a y w h e n they w i s h to destroy each other. T o w a r d s t h e e n d o f King
Lear,
E d m u n d h i m s e l f is n o longer i m p o r t a n t to G o n e r i l ; it is m o r e i m p o r t a n t
t o her that R e g a n d o e s n o t get h i m — j u s t as p o s s e s s i n g J e s s h a d c e a s e d to
m a t t e r t o G i n n y in A Thousand Acres o n c e she d e c i d e d to try to kill R o s e .
W h e n w e r e a d King Lear a g a i n s t A Thousand
Acres, t h e play's as well
as the novel's d e e p l y p r o b l e m a t i c a l p r e o c c u p a t i o n w i t h relations between
women,
particularly
the
dynamics
between
Goneril/Ginny
and
R e g a n / R o s e , is f o r e g r o u n d e d . S o is the c o m p l e x i t y o f m a r r i a g e seen in the
relationships b e t w e e n G o n e r i l / G i n n y a n d A l b a n y / T y . A Thousand
Acres
alerts the reader to other characters' influence o n G o n e r i l ' s , b u t also
R e g a n ' s , b e h a v i o u r a n d actions, h e l p i n g us see h o w that influence affects
t h e relationship between the sisters. T h e reader c o m e s to realize that
Goneril
and
Regan
are p a r t o f a larger n e t w o r k o f interpersonal
Thousand Acres thus s h o w s the reader h o w w o m e n ' s
p o s i t i o n in patriarchy is i n f o r m e d b y constraints r o o t e d in their roles as
m o t h e r s , d a u g h t e r s , siblings, a n d wives. W h e n w e return to King Lear, it is
w i t h a s h a r p e n e d awareness o f the c o m p l e x i t y o f family relationships.
relationships. A
T h e p i c t u r e o f the family as a site o f d y n a m i c interaction in King
Lear
is c o n s e q u e n d y intensified a n d b r o u g h t to the fore t h r o u g h the interaction
74
Anna Lindhé
b e t w e e n the t w o texts. T h e novel also draws a t t e n t i o n to the t e n s i o n
between the d o m e s t i c a n d the p u b l i c . T h e stress o n family relationships
a n d the ways in w h i c h t h o s e relationships are seen to b e i n f o r m e d b y the
c o m p e t i t i v e c o n f i g u r a t i o n s o f the o u t s i d e w o r l d e m p h a s i z e the t e n s i o n
b e t w e e n the m i c r o c o s m i c a n d the m a c r o c o s m i c in King
Lund
Lear.
University
75
References
Bloom, Harold. 1994. The Western Canon: The Books and Schools of the Ages. New
York: Harcourt Brace.
Brauner, David. 2 0 0 1 . "'Speak Again": T h e Politics o f Rewriting in A Thousand
Acres'. Modern Language Review 96,3: 654-66.
Brayton, Dan. 2 0 0 3 . 'Angling in the Lake of Darkness: Possession, Dispossession,
and the Politics of Discovery in King Lear'. ELH. 7 0 , 2 : 3 9 9 - 4 2 6 .
Conrad, Peter. 1995. To be Continued: Four Stories and Their Survival. Oxford:
Clarendon Press.
Cowart, David. 1993. Literary Symbiosis: The Reconfigured Text in the TwentiethCentury Writing. Athens and London: T h e University of Georgia Press.
Dollimore, Jonathan. 2004. Radical Tragedy: Religion, Ideology and Power in the
Drama of Shakespeare and His Contemporaries (1984). 3rd edition.
Houndmills, Basingstoke, Hampshire, and N e w York: Palgrave Macmillan.
Gilligan, Carol. 1993. In a Different Voice: Psychological Theory and Women's
Development (1982). 2° edition. Cambridge, Massachusetts, and London:
Harvard University Press.
Keppel, T i m . 1995. 'Goneril's Version: A Thousand Acres and King Lear. 'South
Dakota Review 33,2: 105-15.
Khan, Paul W. 2 0 0 0 . Law &Love: The Trials of King Lear. New Haven and
London: Yale University Press.
Kiernan, V . G . 1964. 'Human Relationships in Shakespeare'. In Shakespeare in a
Changing World, edited by Arnold Kettle. London: Lawrence & Wishart.
Lanser, Susan Sniader. 1992. Fictions of Authority: Women Writers and
Voice. Ithaca: Cornell University Press.
Narrative
Leslie, Marina. 1998. 'Incest, Incorporation and King Leaf in Jane Smiley'svl
Thousand Acres. College English 6 0 , 1 : 31-50.
Liebler, N a o m i Conn. 1995. Shakespeare's Festive Tragedy: The Ritual
of Genre. London and New York: Routledge.
Foundation
Maus, Katharine Eisaman. 1987. 'Horns o f Dilemma: Jealousy, Gender, and
Spectatorship in English Renaissance Drama.' ELH 54,3: 561-83.
McFarland, Thomas. 1981. 'The Image of the Family in King Lear.' In O n King
Lear, edited by Lawtence Danson. Princeton: Princeton University Press.
Moraru, Christian. 2 0 0 1 . Rewriting: Postmodern Narrative and Cultural Critique
in the Age of Cloning. Albany: State University of N e w York Press.
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Sanders, Julie. 2 0 0 1 . Novel Shakespeares: Twentieth-Century Women Novelists and
Appropriation. Manchester and New York: Manchester University Press.
Schiff, James A. 1998. 'Contemporary Retellings: A Thousand Acres as the Latest
Lear.' Critique: Studies in Contemporary Fiction 39,4: 3 6 7 - 8 1 .
Smiley, Jane. 1 9 9 1 . ./4 Thousand Acres. New York: Ballantine Books.
— . 1999. 'Shakespeare in Iceland.' In Transforming Shakespeare: Contemporary
Women s Revisions in Literature and Performance, edited by Marianne Novy.
Basingstoke: Macmillan.
— . 2 0 0 1 . 'Not a Pretty Picture'. In Novel History: Historians and Novelists
Confront Americas Past (and Each Other), edited by Mark C Carnes. N e w
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Walker, Nancy A. 1995. The Disobedient Writer: Women and Narrative
Austin: University of Texas Press.
Tradition.
77
Reading Wordsworth after M c G a n n :
M o m e n t s o f Negativity in "Tintern Abbey"
and the Immortality O d e
PETER SIMONSEN
Is it not possible, under certain conditions and at certain times, for
very important things to betray themselves in very slight
indications? ... So let us not under-value small signs: perhaps from
them it may be possible to come upon the tracks of greater things.
(Freud: 31)
S i n c e the m i d 1 9 8 0 s , J e r o m e J . M c G a n n has been t h e " m o s t influential
critic o f R o m a n t i c i s m " ( C r o n i n : 5 ) . M c G a n n ' s interventions in this field
h a v e been decisive in o p e n i n g a n d revising the R o m a n t i c c a n o n as well as
in altering o u r a p p r o a c h to R o m a n t i c texts. D u e in large p a r t to M c G a n n
m a n y m o r e very different p o e t s f r o m t h e p e r i o d are t o d a y b e i n g r e a d in
t h e historical, c o n t e x t u a l m a n n e r h e has theorised a n d a d v o c a t e d . A s s u c h
his w o r k has b e e n a n d is a salutary s o u r c e o f i n s p i r a t i o n
for
most
c o n t e m p o r a r y R o m a n t i c i s t s . Yet o n e serious p r o b l e m r e m a i n s : in b o o k
after b o o k , essay after essay, M c G a n n features W i l l i a m W o r d s w o r t h in the
role o f t h e partly c u n n i n g
reactionary,
partly d e l u d e d
idealist,
who
w r o n g l y s u p p r e s s e s particular socio-historical or p s y c h i c actualities f r o m
t h e surface o f his poetry. In his m a j o r w o r k in R o m a n t i c criticism, The
Romantic Ideology, w h i c h p r o v i d e d the script a n d set t h e s t a g e for A n g l o A m e r i c a n R o m a n t i c criticism well i n t o the 1 9 9 0 s , o n e o f M c G a n n ' s
central p r e m i s e s is t h a t W o r d s w o r t h ' s p o e t r y enacts " a strategy o f
d i s p l a c e m e n t " w h e r e b y " T h e p o e m annihilates its history, b i o g r a p h i c a l
a n d socio-historical alike, a n d replaces these particulars w i t h a record o f
p u r e c o n s c i o u s n e s s " ( 9 0 ) . H e r e it o n l y r e m a i n s for M c G a n n to a d d " t h a t
W o r d s w o r t h ' s . . . is a false c o n s c i o u s n e s s n e e d s scarcely to b e s a i d " ( i b i d . ) .
It is n o t M c G a n n ' s a s s u m p t i o n o f a historically elevated p o s i t i o n f r o m
w h i c h to p r o n o u n c e a devastating critique o f the escapist t e n d e n c y in
Wordsworthian
Romanticism's
imaginative
project
that
seems
to
be
79
Reading Wordsworth after M c G a n n
problematic. Surely R o m a n t i c poetry o f the W o r d s w o r t h i a n k i n d at first
sight often appears to wish to be able to transcend rather than articulate its
particular material enabling conditions, whether these are upsetting sociohistorical events exterior to the p o e t , or psychic events interior to the poet.
T h e p r o b l e m is M c G a n n ' s belief that W o r d s w o r t h m a n a g e s successfully to
displace a n d even 'annihilate' whatever causes his anxieties a n d crises. F o r
M c G a n n W o r d s w o r t h remains in a state o f naive assurance that there is
indeed full c o m p e n s a t i o n in the imaginative idealities projected in the poetic
works. H o w e v e r , neither W o r d s w o r t h nor his p o e m s were ever as convinced
that they h a d sufficiently stable g r o u n d s for asserting s u c h assurance as they
are m a d e o u t to b e in the criticism o f M c G a n n . 1 T o substantiate this claim
the following attends to ' m o m e n t s o f negativity' in W o r d s w o r t h ' s poetry;
m o m e n t s in which it anticipates an u n d e l u d e d a n d sceptical critique o f its
o w n transcendent a s s u m p t i o n s a n d affirmative visions. 2
T h e e x p l o r a t i o n o f these m o m e n t s o f negativity in W o r d s w o r t h has
been
a
persistent
concern
of
much
twentieth
century
Wordsworth
criticism f r o m A . C . B r a d l e y t h r o u g h Geoffrey H a r t m a n a n d P a u l d e M a n
to F r a n c e s F e r g u s o n , D a v i d S i m p s o n a n d m a n y others. T h e s e critics have
in various ways d e v e l o p e d insights p r o v i d e d b y B r a d l e y w h o in
t u r n e d against the V i c t o r i a n
Wordsworth
was
not
the
reception
nostalgic,
of Wordsworth.
necessarily
For
solacing
1900
Bradley,
and
over-
e m o t i o n a l lover o f nature readers s u c h as J o h n S t u a r t M i l l a n d M a t t h e w
A r n o l d h a d f o u n d h i m to be. W o r d s w o r t h was a p r o t o - m o d e r n p o e t w h o
c o n f r o n t e d "poverty, c r i m e , insanity, ruined i n n o c e n c e , t o r t u r i n g h o p e s
d o o m e d to extinction, solitary a n g u i s h , even d e s p a i r " , a n d w h o " d i d n o t
avert his eyes f r o m it" (Bradley: 1 2 4 ) . T h i s u n d e r s t a n d i n g o f W o r d s w o r t h
s t a n d s in d a n g e r o f b e i n g c u r b e d b y M c G a n n ' s powerful influence insofar
1
For other critiques of the understanding of Romanticism professed by McGann and
orher new historicists and cultural materialists, see M. H. Abrams, "On Political Readings
of the Lyrical Ballads', in his How to Do Things with Texts: Essays in Criticism and Critical
Theory (New York: Norton, 1989), pp. 364-391, Peter Manning, "Placing Poor Susan:
Wordsworth and the New Historicism", in his Reading Romantics: Texts and Contexts (New
York and Oxford: Oxford University Press, 1990), pp. 300-320, and Susan Wolfson,
"Questioning 'The Romantic Ideology': Wordsworth", Revue Internationale
de
Philosophic
44:3 (1990), pp. 429-447. In granting Wordsworth some of the insights the new
historicists typically refuse him the essays by Manning and Wolfson have been most useful.
For a consideration of the role and articulation of negativity in literature, see the essays
in Sanford Budick and Wolfgang Iser (eds.), Languages of The Unsayable: The Play of
Negativity in Literature and Literary Theory (Stanford: Stanford University Press, 1996).
2
80
Peter Simonsen
as its p r o b a b l e c o n s e q u e n c e is a less t h a n desirable return o f W o r d s w o r t h
s t u d i e s to V i c t o r i a n c o n d i t i o n s .
W o r d s w o r t h often functions as the n o r m a g a i n s t w h i c h m o s t other
poets
of
the
Romantic
period
appear
interesting
and
appealing
M c G a n n . In a n essay o n versions o f elegy in R o m a n t i c poetry,
to
"The
Failures o f R o m a n t i c i s m " , M c G a n n discusses w h a t h e calls 'a p o e t r y o f
failure' as a special " m o d e o f p o e t r y " : " P o e t r y as the expression a n d even
t h e e m b o d i m e n t o f loss a n d failure" ( 2 7 1 ) . 3 T h i s is a radically d a r k poetry,
which
McGann
Byronic
sorrow
typically
champions,
[which]
signifies
a
and
loss
it exhibits
from
which
an
"Indurated
there
is
no
r e d e m p t i o n " ( 2 7 3 ) . A c c o r d i n g to M c G a n n , this d a r k m o d e o f poetry,
w h i c h is p r a c t i c e d b y B y r o n , K e a t s a n d Shelley, derives f r o m s u c h late
e i g h t e e n t h c e n t u r y elegiac w o m e n p o e t s as C h a r l o t t e S m i t h a n d
Mary
R o b i n s o n , a n d gets rearticulated b y s u c h later p o e t s as Felicia H e m a n s a n d
Letitia E l i z a b e t h L a n d o n . T h e s e p o e t s M c G a n n n a m e s s e n t i m e n t a l a n d
d i s t i n g u i s h e s f r o m their R o m a n t i c c o n t e m p o r a r i e s . S e n t i m e n t a l " p o e t i c a l
theory a n d practice [is] firmly l o c a t e d in history", writes M c G a n n ,
. . . indeed, its theory and practice make historicality, with all its
nontranscendental features, a defining quality of the poetical.
Romanticism feeds upon this theory, but only to raise up cries of
resistance, or to build temples in excremental places. Sentimental
poetry, by contrast, brings all o f its illusions, including its lost
illusions, down to eatth. (285)
In o r d e r to focus a n d f r a m e his r e a d i n g o f the s e n t i m e n t a l tradition, w h i c h
e m p h a s i s e s loss, the b o d y , disillusion, d e a t h , materiality, the real, M c G a n n
c o n s t r u c t s a R o m a n t i c tradition that e m p h a s i s e s the exact o p p o s i t e s o f
c o m p e n s a t i o n , the m i n d , illusion, life, spirituality, the ideal. P r e s e n t i n g
t h e n o r m a t i v e R o m a n t i c tradition against w h i c h he p r o m o t e s t h e m o r e
h o n e s t (we m a y a s s u m e ) m a n n e r o f c o n f r o n t i n g loss a n d failure in the
s e n t i m e n t a l t r a d i t i o n , M c G a n n writes,
The
usual
undertaking
of
these
matters
follows
a
Wordsworthian/Coleridgean line: 'For such loss ... abundant
recompence'. According to this view, there is—there must be—a
faith that looks through dearh. T h e philosophic mind of
3
See also McGann's chapter, "The Loss of Sentimental Poetry" in The Poetics
Sensibility: A Revolution in Literary Style (Oxford: Clarendon Press, 1996), pp. 150-173.
of
81
romanticism works to redeem the harrowing logic of ultimate loss:
perhaps even, as in certain Christian and Marxian schemas, to
transform it into splendor. But a serious problem lurks beneath
these elegant compensatory formulas. W e know this from
Wordsworth's own poerry, whose best moments regularly betray
rheir conscious commitments. (271; McGann's ellipsis)
W o r d s w o r t h is here m a d e to subscribe to an i d e a o f a closed psychic
e c o n o m y in w h i c h it is p o s s i b l e to believe in full c o m p e n s a t i o n for loss.
H e thus c o m e s to represent an a l m o s t unbelievably naive p o s i t i o n a g a i n s t
w h i c h M c G a n n can present his c o u n t e r - t r a d i t i o n o f sentimentalist p o e t s ,
w h o c o n s c i o u s l y recognise a n d face the " p r o b l e m " o f " u l t i m a t e l o s s " that
M c G a n n claims W o r d s w o r t h o n l y articulates b y a c c i d e n t w h e n his p o e m s
" b e t r a y their c o n s c i o u s c o m m i t m e n t s " .
M c G a n n is clearly b e i n g hyperbolical in his construal o f W o r d s w o r t h
as the n o r m transgressed b y the therefore
newly interesting s e n t i m e n t a l
poets. Yet this is exactly the p r o b l e m . O n e o f the easiest w a y s to legitimate
t h e retrieval o f a n y o f t h e n u m e r o u s neglected R o m a n t i c p o e t s is to c l a i m
that this or that p o e t or g r o u p o f p o e t s departs f r o m a n d transgresses 'the
n o r m ' . A s always in s u c h u n d e r t a k i n g s w h a t is p o s i t e d as the n o r m has to
b e a unified a n d self-identical entity, w h i c h at m o s t c a n c o n t r a d i c t itself
w h e n it betrays its " c o n s c i o u s c o m m i t m e n t s " in u n i n t e n d e d slips a n d
lapses. H o w e v e r , the unnecessarily h i g h price for this salutary recuperation
o f a c o u n t e r - t r a d i t i o n at w o r k in the R o m a n t i c p e r i o d is a m i s r e a d i n g a n d
re-mystification o f W o r d s w o r t h w h i c h threatens to b e c o m e the n o r m a t i v e
u n d e r s t a n d i n g o f W o r d s w o r t h insofar as M c G a n n ' s influence has c o m e to
a s s u m e h e g e m o n i c status in current R o m a n t i c criticism
W h e n h e presents W o r d s w o r t h ' s allegedly closed e c o n o m y o f loss
a n d full c o m p e n s a t i o n in " T h e Failures o f R o m a n t i c i s m " , M c G a n n refers
to two f a m o u s p o e m s a n d passages b y W o r d s w o r t h . H e q u o t e s a line f r o m
" T i n t e r n A b b e y " ( 1 7 9 8 ) a n d he alludes to stanza ten o f the I m m o r t a l i t y
O d e ( 1 8 0 4 / 0 5 ) a n d presents this as evidence that there is, as there m u s t
be, a b u n d a n t r e c o m p e n s e in the face o f loss in n o r m a t i v e W o r d s w o r t h i a n
R o m a n t i c i s m . T h i s essay is essentially a testing o f M c G a n n ' s evidence.
T h e use o f " T i n t e r n A b b e y " will b e reconsidered first in o r d e r to b e g i n to
s u g g e s t that o n a s e c o n d look, W o r d s w o r t h is n o t saying exactly w h a t
M c G a n n takes h i m to b e saying. N e x t , a historical frame is p r o v i d e d to
situate the d i s c u s s i o n o f the value o f poetry a n d the i m a g i n a t i o n in the
R o m a n t i c p e r i o d itself, w h i c h finally leads to a r e a d i n g o f a p a s s a g e in the
Immortality
82
Ode
which,
like
the
passage
from
"Tintern
Abbey",
Peter Simonsen
p r o f o u n d l y p r o b l e m a t i s e s a n d c o m p l i c a t e s w h a t M c G a n n leaves as an
unproblematised
given:
that
Wordsworth's
poetic
language
aims
to
c o n v i n c e us in the affirmative that it p r o v i d e s full c o m p e n s a t i o n for the
losses it registers.
/
" T i n t e r n A b b e y " is a b o u t w h a t it m e a n s to b e in t i m e : a revisit to a
f o r m e r l y visited s p o t in n a t u r e c o m p e l s t h e s p e a k e r to m e a s u r e w h a t is lost
a g a i n s t w h a t is g a i n e d as t i m e passes. T h e p o e m m a k e s u s e o f o n e o f
W o r d s w o r t h ' s m o s t characteristic artistic t e c h n i q u e s , w h a t C a r l o s B a k e r
terms
"the
double-exposure
technique"
(106).
As
Baker
explains,
W o r d s w o r t h u s e d the t e c h n i q u e to explore his m a j o r t h e m e o f p e r s o n a l
g r o w t h b y j u x t a p o s i n g " t w o w i d e l y s e p a r a t e d p e r i o d s o f t i m e in s u c h a w a y
t h a t w e are m a d e d r a m a t i c a l l y c o n s c i o u s o f the d e g r e e o f g r o w t h that has
t a k e n p l a c e between S t a g e O n e a n d S t a g e T w o "
(ibid.). T h e
poem
s u g g e s t s t h a t the speaker has lost a n i m m e d i a t e , direct, s e n s u o u s relation
to n a t u r e s u c h as that e x p e r i e n c e d in early y o u t h . Y e t W o r d s w o r t h will n o t
l a m e n t this loss, b e c a u s e s o m e t h i n g is g a i n e d f r o m it. W h a t is g a i n e d is t h e
e x p e r i e n c e as such, the m e m o r y o f it, w h i c h o n t h e o n e h a n d can serve as a
s u b s t i t u t e for n a t u r e w h e n t h e speaker is a w a y f r o m nature, a n d o n the
o t h e r h a n d m a k e s e v i d e n t the p o w e r o f c o n s c i o u s n e s s to function in the
i m m e d i a t e a b s e n c e o f the w o r l d . I n " T i n t e r n A b b e y " , a c c o r d i n g to B a k e r ,
"As
[Wordsworth]
overlooks
the scene o n c e m o r e , with t h e
mental
l a n d s c a p e o f the p a s t still in his purview, he is m a d e d o u b l y a w a r e o f a
s e n s e o f loss (the p a s t will n o t return) a n d a s e n s e o f c o m p e n s a t i o n greater
t h a n the loss (the n e w m a t u r i t y a n d insight w h i c h t h e a d v a n c i n g years
have brought)" (107). Although
they disagree in their e v a l u a t i o n
of
W o r d s w o r t h ' s p o e m , B a k e r ' s r e a d i n g is c o n s o n a n t w i t h M c G a n n ' s . T h e y
are
both
confident
that
Wordsworth
in
"Tintern
Abbey"
receives
" a b u n d a n t " c o m p e n s a t i o n for the losses registered in t h e p o e m .
Yet M c G a n n
qualifies
represses the u n d e r c u r r e n t
Wordsworth's
affirmations
and
o f sceptical
manifests
itself
doubt
in
that
certain
m o m e n t s o f negativity in the p o e m . M c G a n n cites a crucial p h r a s e f r o m
the
poem
to
illustrate
his
idea
that
in
Wordsworth
there
is
full
c o m p e n s a t i o n , b u t h e leaves s o m e t h i n g o u t o f t h e q u o t a t i o n , w h i c h c a n b e
seen
to
qualify
and
negativize
t h e affirmation
that
encapsulates
it.
W o r d s w o r t h registers the loss o f his earlier self a n d the i m m e d i a t e relation
to n a t u r e h e experienced o n his first visit to T i n t e r n A b b e y :
83
That time is past,
And all its aching joys are now no more,
And all its dizzy raptures. N o t for this
Faint I, nor mourn nor murmur: othei gifts
Have followed, for such loss, / would believe,
Abundant recompence. For I have learned
T o look on nature, not as in the hour
O f thoughtless youth, but hearing oftentimes
T h e still, sad music of humanity,
N o r harsh nor grating, though of ample power
T o chasten and subdue. (Gill: 134,11. 84-94; emphasis added)
I n " T h e Failures o f R o m a n t i c i s m " , M c G a n n deliberately erases the crucial
italicised p h r a s e that W o r d s w o r t h deploys to destabilise the naive n o t i o n
o f full c o m p e n s a t i o n in the closed e c o n o m y o f loss a n d gain i m p l i e d in the
p a s s a g e . C o m m e n t i n g o n this a n d other m o m e n t s o f negativity in the
poem, Susan Wolfson
economy
...
astutely p o i n t s o u t that " t o p h r a s e a spiritual
with a tentative auxiliary . . .
is to d e p l e t e the store o f
r e c o m p e n s e . W o r d s w o r t h ' s rhetoric o f affirmation
in ' T i n t e r n
Abbey'
i n d u l g e s a f o r m o f negative assertion" ( 4 3 9 ) . T o s u g g e s t that w e are merely
dealing
instance
with
minor
when
and
relatively
Wordsworth
insignificant
inadvertently
details—or
betrays
with
an
his
"conscious
c o m m i t m e n t s " — w o u l d b e to p r o f o u n d l y m i s r e a d h i m . A s
Christopher
R i c k s p o i n t s o u t a n d a m p l y d e m o n s t r a t e s in his a t t e n t i o n to m i n u t e ,
particular details in W o r d s w o r t h , " S o s i m p l y l u c i d is W o r d s w o r t h ' s speech
t h a t it c a n c o n s t i t u t e a t e m p t a t i o n : w e m a y n o t p a y sufficient a t t e n t i o n to
t h e very w o r d s , since w e are so confident o f w h a t they are s a y i n g " ( 1 2 7 ) .
I n a certain sceptical readerly m o o d , the " I w o u l d believe" a d m i t s the
illusory or at least t e n u o u s g r o u n d o n w h i c h W o r d s w o r t h b u i l d s his h o p e s
for full c o m p e n s a t i o n . I f w e recover M c G a n n ' s repressed p a s s a g e a n d
b r i n g t h e p r o p e r w e i g h t to bear o n the tentative m o d a l auxiliary ' w o u l d ' in
" I would believe", t h e n w e u n d e r s t a n d W o r d s w o r t h to b e s a y i n g that in
fact he d o e s n o t believe that he has h a d or ever will receive " a b u n d a n t
r e c o m p e n c e " in the face o f loss, absence, d e a t h .
Wordsworth
a l m o s t , b u t n o t exactly, says the o p p o s i t e o f w h a t
M c G a n n w a n t s h i m to b e saying. M c G a n n w a n t s W o r d s w o r t h to b e
w r i t i n g in the indicative a n d to b e stating a h e l d fact, whereas
all
W o r d s w o r t h c a n d o is to write in the o p t a t i v e thus expressing a w i s h ,
w h i c h m a y or m a y n o t b e fulfilled. " I w o u l d believe" c o m e s close to
84
Peter Simonsen
i m p l y i n g , 'I w o u l d i f I c o u l d ' , or 'I w o u l d b u t I d o n ' t ' . F o l l o w i n g this line
o f t h o u g h t w e b e g i n to sense t h e o x y m o r o n i c n a t u r e o f the sheer idea o f
"abundant
recompence"
and
to
raise
the
question
of
whether
a
r e p r e s e n t a t i o n — b e it in the f o r m o f m e n t a l i m a g e r y h e l d in m e m o r y or
verbal
poetry—under
any
circumstance
can
be
said
to
substitute
a d e q u a t e l y for w h a t it represents, a n d h o t rather function as a r e m i n d e r o f
l o s s , a c o m p l e x sign o f a b s e n c e as m u c h as presence. M c G a n n ' s construal
of
a
binary
opposition
between
a
Wordsworthian,
optimistic
c o m p e n s a t o r y vision a n d its dark, s e n t i m e n t a l , B y r o n i c
and
counter-vision
b e g i n s to dissolve as w e recognize that W o r d s w o r t h e n c o m p a s s e s
w h a t M c G a n n calls the s e n t i m e n t a l a n d w h a t h e calls the
both
Romantic
elegiac current. I f W o r d s w o r t h ' s n e g a t i o n s are never a b s o l u t e n o r , b y the
s a m e t o k e n , are his affirmations.
To
understand
more
fully
where
McGann's
understanding
of
W o r d s w o r t h ' s p o e t r y derives f r o m , a n d to see m o r e clearly w h a t is at s t a k e
in r e c u p e r a t i n g certain m o m e n t s o f negativity in this poetry, it is necessary
t o recapitulate the w a y in w h i c h p o e t r y w a s a g g r a n d i s e d a n d e v a l u a t e d as a
k i n d o f s u b s t i t u t e religion in the R o m a n t i c p e r i o d a n d after. N o r m a t i v e l y
Romanticism
has b e e n
said t o
centre o n
the i d e a that
imaginative
literature can s o m e h o w correct the w r o n g s o f the w o r l d ; t h a t t h e failures
o f the real c a n b e a m e n d e d at the ideal level o f h u m a n
consciousness
t h r o u g h the r e d e m p t i v e intervention o f t h e i m a g i n a t i o n . I m a g i n a t i o n is
t h e m e n t a l , q u a s i - d i v i n e faculty that is m o b i l i z e d in R o m a n t i c aesthetics in
o r d e r to c o m p e n s a t e in ideality for the s h o r t - c o m i n g s o f reality.
In a letter f r o m 1 8 0 7 W o r d s w o r t h says that his v o c a t i o n is to create
poetry, w h i c h at s o m e future d a t e will " c o n s o l e the afflicted,
...
add
s u n s h i n e to d a y l i g h t b y m a k i n g the h a p p y happier, . . . [and] teach t h e
y o u n g a n d t h e g r a c i o u s o f every age, to see, to t h i n k a n d feel,
and
therefore to b e c o m e m o r e actively a n d securely v i r t u o u s " ( D e S e l i n c o u r t
1 9 6 9 : 1 4 6 ; 1 5 0 ) . T h i s captures w h a t M c G a n n takes W o r d s w o r t h ' s p o e t r y
t o exemplify a n d articulates s o m e o f o u r culture's m o s t d e e p l y e n t r e n c h e d
ideas a b o u t w h a t i m a g i n a t i v e literature is a n d is s u p p o s e d to d o : c o n s o l e in
t i m e s o f distress, a d d s u n s h i n e o n a rainy day, a n d p r o v i d e a m e a n s t o
cultivate the faculties o f seeing, t h i n k i n g , a n d feeling to realise o u r full
human
potential.
In t h e Preface to the Lyrical
Ballads,
Wordsworth
similarly writes:
85
Poetry is rhe breath and finer spirit o f all knowledge
[The poet]
is the rock of defence of human nature; an upholder and preserver,
carrying everywhere with him relationship and love. In spite of
difference o f soil and climate, of language and manners, of laws
and customs, the poet binds together by passion and knowledge
the vasr empire of human society, as it is spread over the whole
earth, and over all time. (Gill: 606)
As
Raymond
Williams
points
out,
for
Wordsworth
poetry
ideally
e m b o d i e s a n d transmits to the reader "certain h u m a n values, capacities,
energies,
which
the
development
of
society
towards
an
industrial
civilisation w a s felt to b e threatening or even d e s t r o y i n g " ( 3 6 ) . I n d e e d ,
especially
in
Wordsworth's
the
nineteenth
but
also
in
the
twentieth
century,
p o e t r y was often v a l u e d for its t h e r a p e u t i c effects,
its
c a p a c i t y to function as a refuge, a n t i d o t e a n d s o u r c e o f h u m a n e value in
an
increasingly
urbanised,
industrialised,
capitalised,
and
ultimately
g o d l e s s m o d e r n w o r l d o f science a n d c o l d calculation.
A few lines f r o m K e a t s can b e taken to s u m u p the R o m a n t i c idea o f
poetry's h u m a n i s i n g agency. In o n e o f his last p o e m s , t h e
unfinished
m e d i t a t i o n o n the sources o f artistic inspiration a n d creation as well as the
role o f the p o e t in the m o d e r n w o r l d , t h e The Fall of Hyperion
fragment
c o m p o s e d in t h e s u m m e r o f 1 8 1 9 , K e a t s asks:
' . . . sure not all
Those melodies sung into the world's ear
Are useless: sure a poet is a sage,
A humanist, physician to all men [?]' (Barnard: 440,11. 187-90)
O n e o f the contexts necessary for u n d e r s t a n d i n g Keats's desire to k n o w
whether poetry is "useless" is the philosophical m o v e m e n t o f utilitarianism,
w h i c h h a d its origins in late seventeenth century Britain a n d received its
classical f o r m u l a t i o n s in the w o r k o f J e r e m y B e n t h a m . As M . H . A b r a m s
p o i n t s o u t , the utilitarian thinkers " a t t a c k e d poetry for b e i n g an o u t m o d e d
luxury trade, or a functionless vestige o f a primitive mentality" ( 3 2 6 ) . In the
face o f a m a t e r i a l - m i n d e d public that e s p o u s e d such ideas a b o u t poetry, the
R o m a n t i c s invested their poetry with absolute value b y p r o m o t i n g it as the
h u m a n e a g e n t for secular r e d e m p t i o n , s o m e t h i n g all h u m a n s need for their
e m o t i o n a l a n d mental well-being. T h u s Shelley claimed, in response to
T h o m a s L o v e Peacock's utilitarian theory o f poetry in " T h e F o u r A g e s o f
86
Peter Simonsen
Poetry", that " P o e t r y is . . .
s o m e t h i n g divine"
a n d that p o e t s are the
" u n a c k n o w l e d g e d legislators o f the w o r l d " .
A f a m o u s i n c i d e n t f r o m t h e p e r i o d relates h o w J o h n S t u a r t M i l l was
s a v e d f r o m a state o f d e p r e s s i o n a n d m e n t a l b r e a k d o w n
Wordsworth's
poetry
in
1828.
Mill
famously
describes
by
reading
this
in his
Autobiography
( 1 8 7 3 ) in t e r m s o f a quasi-religious c o n v e r s i o n experience.
M i l l h a d b e e n e n g a g e d in t h e utilitarian p r o j e c t o f r e f o r m i n g a n d
i m p r o v i n g society a n d its institutions in order to increase the material
well-being a n d therefore the h a p p i n e s s o f the largest p o s s i b l e n u m b e r o f
h u m a n s . " B u t t h e t i m e c a m e w h e n I [awoke] f r o m this as f r o m a d r e a m " ,
M i l l recognises, a n d c o n t i n u e s :
It was in the autumn of 1826. I was in a dull state o f nerves ...
unsusceptible to enjoyment or pleasurable excitement... In this
frame of mind it occurred to me to put the question ditectly to
myself: 'Suppose that all your objects in life were realised; that all
the changes in institutions and opinions which you are looking
forward to could be completely effected at this very insrant: would
this be a great joy and happiness to you?' A n d an irrepressible selfconsciousness disrinctly answered 'No!' At this my heart sank
within me: the whole foundation upon which my life was
constructed fell down. All my happiness was to have been found in
the continual pursuit of this end. T h e end had ceased to charm,
and how could there ever again be any interest in the means? I
seemed to have nothing left to live for. (Srillinger: 80-81)
Yet, h a v i n g reached this l o w p o i n t , M i l l discovers W o r d s w o r t h ' s poetry:
This [depressed] state of my thoughts and feelings made the fact of
my reading Wordsworth for the firsr time (in the autumn of 1828),
an imporrant event in my life
What made Wordsworth's poems
a medicine for my state of mind, was that they expressed, nor mere
outward beauty, but states o f feeling, and of thought coloured by
feeling, under the excitement o f beauty. They seemed to be the
very culture of the feelings, which I was in quest of. In them I
seemed to draw from a source o f inward joy, o f sympathetic and
imaginative pleasure.... I needed to be made to feel that there was
real, permanent happiness in tranquil contemplation. Wordsworth
taught me this. (88)
M i l l ' s u n d e r s t a n d i n g o f W o r d s w o r t h ' s p o w e r to give m e n t a l relief w a s
p r e f i g u r e d b y W o r d s w o r t h h i m s e l f in the m o v e m e n t s o f his m a j o r p o e m s .
A s M i l l p u t s it with reference to the I m m o r t a l i t y O d e , " I f o u n d
that
87
[ W o r d s w o r t h ] h i m s e l f h a d h a d similar experience to m i n e ; that h e also
h a d felt t h a t the first freshness o f youthful e n j o y m e n t o f life w a s n o t
lasting; b u t that h e h a d s o u g h t for c o m p e n s a t i o n , a n d h a d f o u n d i t " ( 8 9 ) .
Mill
found
relief
from
his
depression
through
reading
the
I m m o r t a l i t y O d e a n d f r o m r e c o g n i s i n g that W o r d s w o r t h h a d experienced
a similar crisis, b u t h a d f o u n d relief f r o m it a n d r e g a i n e d his strength. T h e
k i n d o f h o p e invested b y W o r d s w o r t h in the c o n s o l a t o r y a n d h u m a n i s i n g
p o w e r o f his poetry w o u l d s e e m to have been realised b y M i l l w h e n h e
r e a d W o r d s w o r t h in 1 8 2 8 at a t i m e w h e n R o m a n t i c ideas a b o u t p o e t r y
a n d the a g g r a n d i s e m e n t o f art as r e d e m p t i v e were b e i n g d i s s e m i n a t e d in
a n d a d o p t e d b y the culture at large t h r o u g h s u c h r e a d i n g experiences as
M i l l ' s or that othet V i c t o r i a n sage, M a t t h e w A r n o l d , w h o in " E l e g i a c
Verses"
( 1 8 5 0 ) asked, " w h e r e will E u r o p e ' s latter h o u r / A g a i n
find
W o r d s w o r t h ' s healing p o w e r ? " ( B r y s o n : 1 8 8 ) .
Ill
It
should
now
be possible
to
see
more
clearly
the origins
of
the
u n d e r s t a n d i n g o f W o r d s w o r t h t h a t M c G a n n presents in " T h e Failures o f
R o m a n t i c i s m " a n d elsewhere: S t u a r t M i l l ' s is a m a j o r nineteenth-century
celebration o f w h a t M c G a n n calls R o m a n t i c i s m ' s " e l e g a n t c o m p e n s a t o r y
f o r m u l a s " . M o r e recently, H e l e n V e n d l e r , M i c h a e l O ' N e i l l a n d D u n c a n
W u h a v e reasserted the t r a n s c e n d e n t 'healing p o w e r ' o f W o r d s w o r t h ' s
I m m o r t a l i t y O d e . A c c o r d i n g to V e n d l e r , " A r n o l d was u n c a n n i l y a c c u r a t e
in s p e a k i n g o f W o r d s w o r t h ' s 'healing power': t h e O d e is self-therapeutic"
(78-9),
and
for
O'Neill,
the p o e m
is c o n c e r n e d
with the
"curative
properties o f e x p r e s s i o n " ( 4 8 ) . Likewise, in his investigation o f the extent
t o w h i c h " t h e force that exerted m o s t influence o n [ W o r d s w o r t h ' s ] p o e t i c
life w a s g r i e f ( 3 0 9 ) , D u n c a n W u m a i n t a i n s that W o r d s w o r t h in the O d e
h e l d that " g r i e f c o u l d b e t r a n s c e n d e d " a n d that this p o s i t i o n was in n e e d
o f " n o j u s t i f i c a t i o n " ( 2 0 2 ) , even as W u a d m i t s " a perceptible t e n d e n c y in
his p o e t r y t o w a r d s s c e p t i c i s m " ( 3 0 9 ) .
Yet, this u n d e r s t a n d i n g o f the I m m o r t a l i t y O d e is p r e m i s e d o n a
b l i n d n e s s vis-ä-vis
certain m o m e n t s o f negativity that pull in t h e other
d i r e c t i o n . A n u m b e r o f critics h a v e p o i n t e d to the w a y s in w h i c h the O d e
u n d e r m i n e s its o w n affirmations. In o n e o f the fullest e x a m i n a t i o n s o f the
O d e , Jeffrey C . R o b i n s o n describes a ' c l a s s r o o m e x p e r i m e n t ' o f s p e n d i n g
a n entire semester reading the w o r k . T h r o u g h close textual analysis that
emphasised
88
the p o e m ' s
' q u e s t i o n i n g s ' a n d b y m e a n s o f a variety
of
Peter Simonsen
c o n t e x t u a l p l a c e m e n t s as well as attention to the stages o f c o m p o s i t i o n a n d
revision, R o b i n s o n ' s s t u d e n t s were led to revise their initial sense
of
"Wordsworth's
in
generally c o n s o l i n g i n t e n t i o n "
to b e c o m e
"tangled
W o r d s w o r t h ' s o w n c o n f u s i o n s o f loss a n d g a i n " ( 6 3 ) . A l s o r e s p o n d i n g to
t h e c o m p l e x i t i e s o f t h e p o e m ' s ' q u e s t i o n i n g s ' o f its o w n certainties, Peter
M a n n i n g has s h o w n h o w it " e x p l o i t s t h e r e s o n a n c e o f C h r i s t i a n
faith
w i t h o u t c o m m i t t i n g itself to belief, to t h e c o n v i c t i o n that w o u l d lessen its
h u m a n u n c e r t a i n t y " ( 8 0 ) , a n d , m o r e recently, F r e d H o e r n e r has a r g u e d
t h a t in the O d e the " l o s s that breaks the heart rekindles a dialectic o f
j o i n i n g a n d q u e s t i o n i n g , p r e s e n c e a n d a b s e n c e " rather t h a n a "retreat a w a y
f r o m suffering a n d into c o n s o l a t i o n " ( 6 5 6 ) . It is with reference to these
a n d other m o r e full explications o f t h e negative thrusts in O d e that I focus
in the f o l l o w i n g o n o n e u n s e t t l i n g m o m e n t o f negativity in t h e p o e m .
T h e first three stanzas o f the p o e m t h a t c u r e d M i l l ' s
depression
c a p t u r e the total m o v e m e n t o f the p o e m , a full r e a d i n g o f w h i c h can o n l y
b e s k e t c h e d here:
There was a time when meadow, grove, and stream,
T h e earth, and every c o m m o n sight,
T o me did seem
Apparelled in celestial light,
T h e glory and the freshness of a dream.
It is not now as it hath been of yore;—T u r n wheresoe'er I may,
By night or day,
T h e things which I have seen I now can see no more.
T h e Rainbow comes and goes,
And lovely is the Rose,
T h e M o o n doth with delight
L o o k round her when the heavens are bare;
Waters on a starry night
Are beautiful and fair;
T h e sunshine is a glorious birth;
But yet I know, where'er I go,
That there hath past away a glory from the earth.
N o w , while the Birds thus sing a joyous song,
And while the young Lambs bound
As to the tabor's sound,
T o me alone there came a thought of grief:
89
A timely utterance gave that thought relief,
And I again am strong.
T h e Cataracts blow their trumpets from the steep,
N o more shall grief o f mine rhe season wrong;
I hear the Echoes through the mountains throng,
T h e Winds come to me from rhe fields of sleep,
And all the earth is gay,
Land and sea
Give themselves up to jollity,
And with the heart of M a y
Doth every Beast keep holiday,
T h o u Child of Joy
Shout round me, let me hear thy shouts, thou happy Shepherdboy!
A
three-step dialectic o f r e m e m b e r e d joy, its loss, a n d its
subsequent
retrieval is b e i n g articulated. T h e m o v e m e n t begins b y recalling a state o f
plenitude a n d j o y experienced in c h i l d h o o d ( " T h e glory a n d the freshness o f
a d r e a m " ) . B u t this plenitude is registered as past a n d lost ("there h a t h past
a w a y a glory from the earth"). T h i s loss leads t o , yet is n o t presented as the
direct cause of, the speaker's t h o u g h t o f " g r i e f , which m a r k s the climax o f
the speaker's crisis ( " T o m e alone there c a m e a t h o u g h t o f g r i e f ) . In the
final m o v e m e n t strength is regained despite irretrievable loss, grief
finds
relief, a n d the crisis is o v e r c o m e . T h e poet, as Mill p u t s it, has " s o u g h t for
c o m p e n s a t i o n , a n d [has] f o u n d it". T h e m e a n s to o v e r c o m e the crisis, m o s t
readers recognise, is poetic utterance ("timely utterance"). T h i s utterance
yields " E c h o e s " that signal a re-established positive correspondence between
the subject a n d the object which counters the negative state o f b e i n g isolated
in thought; " N o m o r e shall grief o f m i n e the season w r o n g ; / I hear the
E c h o e s t h r o u g h the m o u n t a i n s t h r o n g " .
Poetic utterance is w h a t finally allows the speaker to feel a n d sense
t h a t "all the earth is g a y " a n d to participate, a l t h o u g h vicariously, in this
rejuvenated life. T h i s m o v e m e n t captures t h e larger a n d h i g h l y c o m p l e x
m o v e m e n t o f the p o e m f r o m loss t o w a r d the possibility o f c o m p e n s a t i o n .
T o w a r d s the e n d o f the p o e m , in lines a l l u d e d to b y M c G a n n in " T h e
Failures
of
Romanticism",
Wordsworth
acknowledges
his
loss,
but
presents the t h o u g h t s o f suffering, w h i c h are e v o k e d b y loss, as a d e q u a t e
r e c o m p e n s e for w h a t is lost:
Though norhing can bring back the hour
O f splendour in the grass, o f glory in the flower;
90
Peter Simonsen
W e will grieve not, rather find
Strength in what remains behind;
In the primal sympathy
Which having been must ever be,
In the soothing thoughts that spring
O u t of human suffering;
In rhe faith that looks through death,
In years that bring the philosophic mind. (Gill: 302,11. 180-189)
T h i s affirmative s t a t e m e n t that c o m p e n s a t o r y " s t r e n g t h " c a n " s p r i n g " o u t
o f " s o o t h i n g t h o u g h t s " o f " s u f f e r i n g " (the formal r h y m e spring/suffering
w h i c h is u n d e r s c o r e d b y e n j a m b m e n t a l m o s t enacts t h e s e m a n t i c m e s s a g e
to s u g g e s t b o t h the sense o f 'to o r i g i n a t e o u t ' o f a n d 'to escape f r o m '
suffering) m a y b e r e a d in the light o f w h a t w a s said earlier in stanza three,
in particular in these lines:
T o me alone rhere came a thought of grief:
A timely utterance gave that thought relief,
And I again am strong.
In t h e s a m e m o m e n t that the t h o u g h t o f g r i e f is n o t e d , W o r d s w o r t h g o e s
o n t o state that h e h a s f o u n d relief a n d r e g a i n e d his strength t h r o u g h w h a t
h e calls " t i m e l y u t t e r a n c e " .
" I a g a i n a m s t r o n g " s e e m s an u n n a t u r a l w o r d o r d e r c o m p a r e d t o the
m o r e straightforward
'I a m s t r o n g a g a i n ' . T h e inversion o f the
more
s t r a i g h t f o r w a r d w o r d o r d e r m a y b e e x p l a i n e d b y the n e e d to find a r h y m e w o r d t o c h i m e w i t h the stanza's first r h y m e - w o r d , ' s o n g ' . T h e fact that
' s o n g ' a n d ' s t r o n g ' r h y m e indicates that uttering this r h y m e d s o n g is w h a t
makes Wordsworth
strong. I n
The
Verbal
Icon,
W i l l i a m K.
Wimsatt
p o i n t s o u t t h a t r h y m e s " i m p o s e u p o n the logical p a t t e r n o f expressed
a r g u m e n t a k i n d o f fixative c o u n t e r p a t t e r n o f alogical i m p l i c a t i o n " ( 1 5 3 ) .
And
as
Roman
Jakobson
explains,
"Rhyme
necessarily
involves
the
s e m a n t i c relationship between r h y m i n g u n i t s . . . . W h a t e v e r t h e relation
b e t w e e n s o u n d a n d m e a n i n g in different r h y m e t e c h n i q u e s , b o t h spheres
are necessarily i n v o l v e d " ( 4 5 - 6 ) . T h u s , M i c h a e l O ' N e i l l c o n c l u d e s a b o u t
these textual m o v e m e n t s in W o r d s w o r t h ' s p o e m , " T h e r h y m e
kept
apart for five lines, s u g g e s t s that strength lies in s o n g , a n d W o r d s w o r t h ' s
' t i m e l y u t t e r a n c e ' s u g g e s t s the curative properties o f e x p r e s s i o n " ( 4 8 ) . T h e
r h y m e s o n grief/relief a n d spring/suffering a c c o m p l i s h the s a m e thing:
91
g i v i n g r h y t h m i c utterance to s o m e t h i n g painful is a w a y towards relieving
t h e m i n d a n d o v e r c o m i n g crisis. T h e s o n g m a k e s the speaker strong, gives
relief f r o m grief. T h e m a k i n g or uttering o f the p o e m c o m p e n s a t e s for the
losses it is a b o u t . In essence, this is w h a t the p o e m is a b o u t for J o h n S t u a r t
M i l l , H e l e n V e n d l e r , J e r o m e M c G a n n a n d M i c h a e l O ' N e i l l , d e s p i t e their
significant
should
ideological
not
take
understanding
of
and
leave
it
as
methodological
of
the
poem
simultaneously
differences.
carrying
only
asserting
However,
an
and
we
affirmative
affirming
a
" t h e r a p e u t i c s u c c e s s " (Vendler: 7 9 ) t h r o u g h " t h e curative properties o f
e x p r e s s i o n " exemplified a n d i n s t a n c e d b y the m a g i c o f r h y m e .
I f w h a t has been said c o n c e r n i n g the i m p o r t a n c e o f the r h y m e o f
'strong' a n d ' s o n g ' a n d 'grief a n d 'relief is g r a n t e d , w h a t are w e to m a k e
o f the fact, w h i c h O ' N e i l l a n d all other readers o f the O d e neglect to
m e n t i o n , that ' s o n g ' a n d 'strong' also r h y m e with 'wrong'? Is this the
p o e m ' s s u b t l y 'alogical' ( W i m s a t t ) w a y o f i m p l y i n g t h a t its overt assertions
o f " t h e curative properties o f e x p r e s s i o n " m a y b e 'wrong'? T h a t it is
s o m e h o w ' w r o n g ' to search for c o n s o l a t i o n , relief, a n d strength in p o e t i c
utterance? Is the s o n g in other w o r d s saying that it is w r o n g to seek
c o m p e n s a t i o n in " t h o u g h t s that s p r i n g / O u t o f h u m a n suffering"? O n a
straightforward r e a d i n g the line " N o m o r e shall g r i e f o f m i n e the s e a s o n
w r o n g " c o u l d n o t be clearer in its rejection o f despair. Yet the r h y m e
nonetheless i m p a r t s e n o u g h o f a q u e s t i o n i n g n o t e o f s c e p t i c i s m i n t o this
resolute affirmation to s u g g e s t that even as the p o e m is s a y i n g o n e t h i n g in
a n affirmative m o d e it is d o i n g a n o t h e r thing in a negative m o d e .
D e s p i t e t h e fact that it relates to the F r e n c h context, w h i c h was never
exactly parallel to the E n g l i s h w h e n it c o m e s to the force o f N e o c l a s s i c a l
doctrines o f d e c o r u m a n d p o s i t i o n s o n r h y m e (because the E n g l i s h h a d to
take account
of a
native b l a n k verse tradition
much
stronger
than
anywhere o n the c o n t i n e n t ) , the following m a y b e read as an a c c o u n t o f
the a p p a r e n t l y irrational a n d inexplicable use o f r h y m e in the O d e :
In upholding the essentially Cattesian view that Truth expressed
irself as clear and distinct ideas, neoclassical French theorists o f
poetic language, of whom Boileau is rhe best known,
recommended the suppression or, at least, the strict control o f
language's more irrational potentialities. O n e of the chief problems
here was deciding on the function and status of rhyme. Rhyme was
a necessary feature of regular French verse: it provided essential
phonetic reinforcemenr to the verse line and guaranteed formal
unity. But at the same time rhyme was, from a semantic point of
92
Peter Simonsen
view, potentially a subversive agent. If not strictly disciplined, it
could neglect its duty as an element in a logically structured
discourse and assert itself as a feature in its own right, establishing
through phonetic similarity with other words (rhyme or otherwise),
an oblique or irrational connection which might run counter to the
proposition of which it was, in theory, part.... With the
Romantics, words were permitted to regain some of their opacify
which had been refined out o f them by the demands of rational
discourse in the seventeenth and eighteenth centuries. (Scott: 15)
T o t r a n s p o s e these insights to the E n g l i s h c o n t e x t , reference m i g h t b e
m a d e to J o h n D r y d e n ' s Essay on Dramatic
Poesy ( 1 6 6 8 ) . B e f o r e t h e essay's
truly significant d i s c u s s i o n o f t h e use a n d relative merits o f r h y m e a n d
b l a n k verse in d r a m a , D r y d e n s u m s u p received w i s d o m c o n c e r n i n g " t h e
sweetness o f E n g l i s h v e r s e " . T h i s , h e says,
is improved by the happiness o f some writers yet living; who first
taught us to mould our thoughts into easy and significant words,—
and to retrench superfluities o f expression,—and to make our rime
so properly a part of the verse, rhat it should never mislead rhe
sense, but itself be led and governed by it. (Arnold: 16)
D r y d e n here recognises, even as he resists, the potential o f r h y m e to
m i s l e a d the sense, to u n d e r m i n e the logic o f sense m a k i n g . C o n s i d e r i n g
t h e influence o f the Essay o n s u b s e q u e n t E n g l i s h literature a n d taste, this
s t a t e m e n t n o t o n l y reflects received w i s d o m c o n c e r n i n g the relation o f
r h y m e to sense, it certainly generates t h e idea t h a t t h e t w o are, as P o p e was
later to p u t it, to e c h o o n e a n o t h e r with sense or 'reason' b e i n g the s o u r c e ,
and
rhyme
or
'language'
being
the
faithful,
mimetic
echo.
This
c o r r e s p o n d s to t h e N e o c l a s s i c a l i d e a that l a n g u a g e is a dress for t h o u g h t ,
s o m e t h i n g w h i c h fits m o r e or less a d e q u a t e l y , b u t w h i c h is u l t i m a t e l y a
m e r e o r n a m e n t to the sense a n d n o t , as the R o m a n t i c s will c o m e to
believe, s o m e t h i n g that e m b o d i e s t h o u g h t , a n d crucially, s o m e t h i n g w h i c h
n e e d n o t always m a k e sense in the s a m e w a y P o p e desires. A s P o p e writes
t o i n t r o d u c e d Essay on Criticism
(1711),
'Tis hard to say, if greater Want of Skill
Appear in Writing or in Judging ill;
Bur, o f the two, less dang'rous is th' Offence,
T o tire our Patience, than mis-lead our Sense. (Audra and Williams:
239,11. 1-4)
93
O n e w a y o f k e e p i n g " W r i t i n g " f r o m " m i s - l e a d [ i n g ] o u r S e n s e " , a n d thus
o f c o n t r o l l i n g the a u t o n o m o u s force o f l a n g u a g e while still retaining
r h y m e , is to p r o m o t e a n d use closed couplets. In c o u p l e t s the distance
between r h y m e - w o r d s a n d thus l a n g u a g e ' s potential to p r o d u c e aberrant
m e a n i n g s is k e p t to a n a b s o l u t e m i n i m u m to m e e t the P o p e a n
" T h e Sound
dictum:
m u s t s e e m an Eccho to the Sense" ( A u d r a a n d W i l l i a m s : 2 8 1 ,
1. 3 6 5 ) .
R o m a n t i c i s m ' s resistance to a n d d e p a r t u r e f r o m the closed c o u p l e t
m a y b e a d e p a r t u r e f r o m the desire to control t h e potential o f r h y m e to
p r o d u c e ' u n i n t e n d e d ' m e a n i n g s a n d a m o v e to liberate w h a t D a v i d S c o t t
calls " l a n g u a g e ' s m o r e irrational potentialities". I n other w o r d s , it m a y b e
said that there is a p a r a d o x i c a l intent to p r o d u c e u n i n t e n d e d m e a n i n g s to
b e located in certain R o m a n t i c p o e m s s u c h as t h e O d e rather than w h a t
McGann
postulates
when
he
accounts
for
Wordsworth's
few
"best
m o m e n t s " w h e n the p o e t r y betrays its " c o n s c i o u s c o m m i t m e n t s "
and
a p p a r e n t l y says m o r e t h a n it m e a n s .
If
only
we
knew
what
Wordsworth's
thoughts,
intentions,
c o m m i t m e n t s were w h e n h e a l l o w e d his l a n g u a g e to i n d u l g e in s u c h
a p p a r e n t l y c o n t r a d i c t o r y a n d mind-bafflingly irrational rhymes! T h e n w e
m i g h t h a v e said with M c G a n n that the r h y m e o f s o n g a n d w r o n g is a n
u n i n t e n t i o n a l accident o f l a n g u a g e a n d n o t s o m e t h i n g w e s h o u l d take as
essentially W o r d s w o r t h i a n . B u t w e d o n o t k n o w w h y h e m a d e that fatal
r h y m e . I n d e e d , the o d d s are that these r h y m e s are far f r o m accidental. In
his diary, T h o m a s M o o r e p a r a p h r a s e s W o r d s w o r t h ' s c o n v e r s a t i o n o n the
relative merits
o f English
s t r u g g l i n g with w o r d s o n e
and
Italian with
regard
to
rhyming:
[is] led to give birth to a n d dwell
"In
upon
t h o u g h t s , while, o n the contrary, an easy a n d mellifluous l a n g u a g e [like
Italian is] a p t to t e m p t , b y its facility, into negligence, a n d to lead the p o e t
to s u b s t i t u t e m u s i c for t h o u g h t " ( O ' D o n n e l l : 4 1 - 2 ) . In t h e s a m e place,
M o o r e reports W o r d s w o r t h s p e a k i n g o f " t h e i m m e n s e t i m e it t o o k h i m to
write even the shortest c o p y o f v e r s e s , — s o m e t i m e s w h o l e weeks e m p l o y e d
in s h a p i n g two or three lines, before he can satisfy h i m s e l f w i t h their
s t r u c t u r e " ( O ' D o n n e l l : 2 5 6 n 3 5 ) . Surely W o r d s w o r t h was c o n s c i o u s a n d
c o m m i t t e d w h e n he utilised the irrational p o w e r s o f l a n g u a g e in r h y m i n g
s o n g , strong, a n d w r o n g in the O d e . Yet whether or n o t the r h y m e is
finally seen as a n accident, it is there o n the o p e n p a g e , a n d
thus
s u s c e p t i b l e to b e i n g interpreted as a n u n t i m e l y sign o f the p o e m ' s o w n
subversion
o f the
naively affirmative
m e d i c i n e for a d e p r e s s e d state o f m i n d .
94
understanding
o f it as
merely
Peter Simonsen
T h e d o u b l e pull o f the l a n g u a g e o f the O d e c a n b e u n d e r s t o o d in
t e r m s o f a distinction b e t w e e n R o m a n t i c ' i d e o l o g y ' a n d R o m a n t i c 'work',
w h i c h M c G a n n i n t r o d u c e s in Romantic
Ideology. " T h e g r a n d illusion o f
R o m a n t i c ideology is that o n e m a y e s c a p e . . . a w o r l d [in w h i c h , as Shelley
writes in t h e Defence,
' m a n , h a v i n g enslaved t h e e l e m e n t s , r e m a i n s h i m s e l f
a slave'] t h r o u g h i m a g i n a t i o n a n d poetry. T h e great t r u t h o f R o m a n t i c
work is that there is n o e s c a p e , t h a t there is o n l y revelation (in a w h o l l y
secular s e n s e ) " ( 1 3 1 ) . T h e p r e s e n c e o f a certain negativity at t h e c o r e o f
t h e l a n g u a g e o f w h a t h a s b e e n read as o n e o f the m o s t affirmative p o e m s
by Wordsworth
suggests
that w e s h o u l d
not
uncritically repeat
the
t h e r a p e u t i c r e a d i n g o f W o r d s w o r t h . T h i s m o m e n t o f negativity in t h e
Ode
resonates
Romantic
with
poetry's
McGann's
"greatest
Ideology
of
o f artistic s u c c e s s " , w h i c h ,
he
description
moments
in
Romantic
c o n t i n u e s , "are a l m o s t always associated w i t h loss, failure, a n d d e f e a t — i n
particular
the losses w h i c h
strike m o s t
closely to t h o s e Ideals
(and
I d e o l o g i e s ) cherished b y the p o e t s in their w o r k s " ( 1 3 2 ) . Y e t M c G a n n
insists o n p r o b l e m a t i s i n g t h e idea that t h e greatness o f R o m a n t i c p o e t r y is
c o n n e c t e d w i t h its c a p a c i t y to lead to an a u t h e n t i c critique o f its o w n
d o m i n a n t ideology. H e writes that R o m a n t i c poetry's "greatest m o m e n t s
usually o c c u r w h e n it p u r s u e s its last a n d final illusion: that it c a n e x p o s e
or even that it has u n c o v e r e d its illusions a n d false c o n s c i o u s n e s s , that it
h a s finally arrived at t h e T r u t h " . T h i s is essentially w h a t the O d e has b e e n
t a k e n to achieve in t h e k e y - r h y m e dwelled u p o n a b o v e . Yet,
McGann
c o n t i n u e s as h e turns the tables u p o n s u c h a n a r g u m e n t : " T h e n e e d to
believe in s u c h a n a c h i e v e m e n t , either i m m e d i a t e or eventual, is d e e p l y
R o m a n t i c ( a n d therefore illusive) b e c a u s e it locates the g o a l o f h u m a n
p u r s u i t s , n e e d s , a n d desires in Ideal s p a c e " ( 1 3 4 ) . H o w e v e r , n o t h i n g s e e m s
further r e m o v e d f r o m the truth t h a n this c o n f u s i o n
o f real,
material
textual space, the s p a c e o f the p o e t i c work, w i t h an Ideal s p a c e , the s p a c e
of
Romantic
Ideology.
Wordsworth's
implied
critique
of
the
c o m p e n s a t o r y potential o f p o e t i c l a n g u a g e m a y n o t qualify as t h e T r u t h ,
b u t it is certainly n o t a critique that h a p p e n s in a n Ideal a n d therefore
illusory s p a c e , it h a p p e n s right before o u r eyes.
W o r d s w o r t h is n o t s i m p l y the affirmative p o e t M c G a n n t u r n s h i m
i n t o , n o r is h e the o p p o s i t e . H e is b o t h a n d in a sense neither. T h i s d u a l i t y
is reflected in W o r d s w o r t h ' s f u n d a m e n t a l a m b i v a l e n c e r e g a r d i n g t h e force
o f p o e t i c l a n g u a g e . In o n e o f the Essays
upon Epitaphs
f r o m 1 8 1 0 , for
i n s t a n c e , W o r d s w o r t h f a m o u s l y presents w o r d s as in p o s s e s s i o n o f a p o w e r
to give or to take a w a y life:
95
If words be nor . . . an incarnation of the thought but only a
clothing for it, then surely will rhey prove an ill gift [which has] the
power to consume and to alienate [the reader] from his right mind.
Language, if it do[es] not uphold, and feed, and leave in quiet, like
the power o f gravitation or the air we breathe, is a counter-spirit,
unremittingly and noiselessly at work to derange, to subvert, to lay
waste, to vitiate, and to dissolve. (Owen and Smyser: III, 84-5)
L i k e w i s e , in a letter f r o m 1 8 2 9 he writes, " w o r d s are n o t a m e r e vehicle,
b u t they are powers
either to kill or to a n i m a t e " ( D e S e l i n c o u r t
1 8 5 ) . A s he p u t s it in B o o k F i v e o f The Prelude
1979:
(1805),
.... Visionary power
Attends upon the motions o f the winds
Embodied in the mystery of words;
There darkness makes abode, and all the host
O f shadowy things do work their changes there,
As in a mansion like rheir proper home;
Even forms and substances ate circumfused
By that transparent veil with light divine;
And through the turnings intricate of Verse,
Present themselves as objects recognised,
In flashes, and wirh a glory scarce their own. (Gill: 450,11. 619629)
W o r d s are a m y s t e r y partly b e c a u s e they are at o n c e the loci o f d a r k n e s s
a n d s h a d o w s a n d the m e d i a o f divine e n l i g h t e n m e n t a n d
momentary
insights. W o r d s w o r t h c o n t a i n s a n d e n c o m p a s s e s , in a radically u n s t a b l e
c o n j u n c t i o n , b o t h w h a t M c G a n n identifies as the sentimental-materialist
strain in R o m a n t i c p e r i o d writing, a n d the o p p o s i t e ,
more
transcendentalist
understood
strain
o f what
is m o r e
traditionally
idealistas
R o m a n t i c i s m . T h e interplay a n d tension between these surely n e e d s to b e
c o n s i d e r e d i f w e are to a c c o u n t for the full force o f his w o r k .
From
the F r e u d i a n
perspective
of my
epigraph
we know
m i s t a k e s , slips a n d errors are never j u s t that. T h e y are
that
tremendously
i m p o r t a n t details that o p e n a l m o s t limitless possibilities for interpretation.
A s F r e u d w a r n s , "let us n o t under-value small signs: p e r h a p s f r o m t h e m it
m a y b e p o s s i b l e to c o m e u p o n the tracks o f greater t h i n g s " . W o r d s w o r t h ' s
r h y m e s are s u c h " s m a l l s i g n s " that m a y l e a d to "greater t h i n g s " s u c h as the
n a t u r e a n d v a l u e o f R o m a n t i c poetry, a n d to the c l a i m that in o r d e r to
r e a d the O d e in the right m a n n e r — a n d n o t o n l y this p o e m , b u t a n y
96
Peter Simonsen
Romantic poem—a
c o n s t a n t awareness o f the d u p l i c i t y o f l a n g u a g e ,
l a n g u a g e as b o t h , at o n c e , a n i m a t i n g a n d killing, m e d i c i n e a n d p o i s o n ,
m u s t b e p r e s e n t in the m i n d o f the reader. In W o r d s w o r t h
R o m a n t i c poetry, every affirmation
of "abundant recompence"
and
in
carries
w i t h i n itself the seeds o f its o w n u n d o i n g in the s h a p e o f a sceptical a n d
hesitant "I w o u l d believe".
University
of Southern
Denmark
97
References:
Abrams, M . H . 1953. The Mirror and the Lamp. New York: Oxford University
Press.
Arnold, T h o m a s (ed.), William T . Arnold (rev. ed.). 1 9 0 1 . An Essay of Dramatic
Poesy. Oxford: At the Clarendon Press.
Audra, E. and Aubrey Williams (eds.). 1961. The Poems of Alexander Pope.
Volume I. Pastoral Poetry and An Essay on Criticism. London: Methuen &
Co.
Baker, Carlos. 1960. "Sensation and Vision in Wordsworth" in M . H. Abrams
(ed.), English Romantic Poets: Modern Essays in Criticism. N e w York: Oxford
University Press.
Barnard, J o h n (ed.). 1988. John Keats: Complete Poems. London: Penguin Books.
Bradley, A. C . 1909 (org. 1900). "Wordsworth" in Oxford Lectures on Poetry.
London: Macmillan.
Bryson, J o h n (ed.). 1967. Matthew Arnold. Poetry and Prose. London: Ruperr
Hart-Davis.
Cronin, Richard. 2 0 0 0 . The Politics of Romantic Poetry: In Search of the Pure
Commonwealth. London: MacMillan.
D e Selincourt, Ernesr (ed.) and Mary Moorman (rev.). 1969. The Letters of
William and Dorothy Wordsworth, The Middle Years, Part I, 1806-1811.
Oxford: Clarendon Press.
- , (ed.), Alan G. Hill (rev. ed.). 1979. The Letters of William and Dorothy
Wordsworth, Second Edition, Later Years, Part 2, 1829-1834. Oxford:
Clarendon Press.
Freud, Sigmund. 1953 (org. 1920). " T h e Psychology of Errors" mA General
Introduction to Psycho-Analysis. Translated by Joan Riviere. N e w York:
Perma Books.
Gill, Stephen (ed.). 1984. William Wordsworth: The Oxford Authors. Oxford:
Oxford University Ptess.
Hoerner, Fred. 1995. "Nostalgia's Freight in Wordsworth's Intimations O d e " ,
ELH 62:3: 6 3 1 - 6 6 1 .
Jakobson, Roman. 2000. "Linguistics and Poetics" in David Lodge and Nigel
W o o d (eds.), Modern Criticism and Theory: A Reader. London: Longman.
M c G a n n , Jerome J. 1983. The Romantic Ideology: A Critical
Chicago: Chicago University Press.
98
Investigation.
Peter Simonsen
—. 1998. " T h e Failures of Romanticism" in Tilottama Rajan and Julia M . Wright
(eds.), Romanticism, History, and the Possibilities of Genre, Re-forming
literature 1789-1837- Cambridge: Cambridge University Press.
O'Donnell, Brennan. 1995. The Passion of Meter: A Study of Wordsworth's
Metrical Art. Kent: T h e Kent State University Press.
O'Neill, Michael. 1997. Romanticism and the Self Conscious Poem. Oxford:
Clarendon Press.
Owen, W. J. B. and Jane Worthington Smyser (eds.). 1974. Prose Works of
William Wordsworth. 3 Vols. Oxford: Clarendon Press.
Ricks, Christopher. 1984. The Force of Poetry. Oxford: Clarendon Press.
Robinson, Jeffrey C . 1987. Radical Literary Education: A Classroom Experiment
with Wordsworth's 'Ode'. Madison: T h e University of Wisconsin Press.
Scott, David. 1988. Pictorialist Poetics: Poetry and the Visual Arts in NineteenthCentury France. Cambridge: Cambridge University Press.
Stillinger, Jack (ed.). 1969. John Stuart Mill: Autobiography and Other Writings.
Boston: Houghron Mifflin Company.
Vendler, Helen. 1978. "Lionel Trilling and rhe Immortality O d e " ,
Salmagundi
(Spring 1978): 66-86.
Williams, Raymond. 1958. Culture and Society: Coleridge to Orwell. London: T h e
Hogarth Press.
Wimsatt, W. K. 1954. " O n e Relation of Rhyme to Reason" in The Verbal Icon:
Studies in the Meaning of Poetry. Lexington: T h e University Press o f
Kentucky.
Wolfson, Susan. 1990. "Questioning 'The Romantic Ideology': Wordsworth",
Revue Internationale de Philosophic 44:3: 429-447'.
W u , Duncan. 2 0 0 2 . Wordsworth: An Inner Life. Oxford: Blackwell.
99
Reading Wordsworth aftet M c G a n n
T h e Narrated Self and Characterization:
Paul Auster s Literary Personae
A N N E M A R I T K. B E R G E
Introduction
P a u l A u s t e r ' s The New York Trilogy, p u b l i s h e d in the p e r i o d 1 9 8 5 - 1 9 8 7 ,
has
been
read
as a typical
example
of postmodern
literature.
One
i m p o r t a n t feature is the t h e m e o f c o m p l e x identity, a n d t h e novels c a n b e
r e a d as a n e x p l o r a t i o n o f identity p r o b l e m s in the p o s t m o d e r n a g e , where
t h e idea o f the a u t o n o m o u s subject has given w a y to a n u n d e r s t a n d i n g o f
s u b j e c t a n d identity characterized b y instability a n d c o m p l e x i t y .
The
trilogy's s h o r t novels all d e p i c t characters that in different w a y s a n d o n
varying levels struggle t o find m e a n i n g in w h a t they d o , a n d w h o are
f o r c e d t o e x p l o r e their identities d u r i n g their q u e s t s , in c o n f r o n t a t i o n with
t h e a n t a g o n i s t s o f t h e stories. D a n i e l Q u i n n , w h o h a s lost his family, tries
t o return t o life t h r o u g h a h u n t for a m y s t e r i o u s linguist. B l u e e n c o u n t e r s
his o w n self w h e n s h a d o w i n g the secretive B l a c k . T h e n a m e l e s s narrator o f
t h e last novel finds h i m s e l f e n t r a p p e d in the life o f his c h i l d h o o d friend
The Book of
Illusions f r o m 2 0 0 2 , A u s t e r returns to this t h e m e . T h e m a i n character here
finds h i m s e l f i n a state o f half-life m u c h like D a n i e l Q u i n n , b u t h e is able
to find n e w m e a n i n g t o his life a n d s o l u t i o n s t o his p r o b l e m s in his
e n c o u n t e r w i t h the story o f a n o t h e r m a n ' s crisis.
a n d d o p p e l g a n g e r F a n s h a w e . I n his m o r e recent novel,
A n interesting a s p e c t in the s t u d y o f characters in A u s t e r ' s w o r k s is
t h e i m p o r t a n c e o f n a r r a t i o n for creating identity as well as for d e p i c t i o n o f
literary character. I n studies o f the m o d e r n self, t h e n a r r a t e d self has
b e c o m e a central theory. I will s u g g e s t that t h e characters' self-perception
relies o n their c o n c e p t o f their narratives. C h a r a c t e r s in a literary text exist
t h r o u g h n a r r a t i o n , b u t in p o s t m o d e r n literature, m i m e s i s is t o n e d d o w n ,
a n d their narratives a r e often f r a g m e n t e d , c o n t r a d i c t o r y a n d c h a l l e n g e the
readers' ability t o perceive the characters as p e r s o n a e . I will try t o p o i n t at
101
T h e Narrated Self and Characterization
t h e i m p o r t a n c e o f narratives for the characterization
in these
novels,
a p p l y i n g narrative theory t o analyze t h e function o f narration.
Identity and narration
Alasdair M a c l n t y r e introduces a theory o f the narrated self in his w o r k o f
m o r a l p h i l o s o p h y , After
Virtue
f r o m 1 9 8 1 . In his d i s c u s s i o n o f m o r a l
p h i l o s o p h y ' s s t a n d i n g today, h e explains the " c o n c e p t o f selfhood,
a
c o n c e p t o f a self w h o s e u n i t y resides in the u n i t y o f a narrative w h i c h links
birth t o life to d e a t h as a narrative b e g i n n i n g to m i d d l e to e n d " ( 2 0 5 ) . H e
tries to " s h o w h o w natural it is t o t h i n k o f the self in a narrative m o d e "
( 2 0 6 ) . F u r t h e r m o r e , M a c l n t y r e links the effect o f t h e failure o f these
narratives to m e a n i n g l e s s n e s s a n d the obliteration o f self: " W h e n s o m e o n e
c o m p l a i n s [...] that his or her life is m e a n i n g l e s s , h e or she is often a n d
characteristically c o m p l a i n i n g that the narrative o f their life has b e c o m e
unintelligible t o t h e m , that it lacks a n y p o i n t , a n y m o v e m e n t towards a
c l i m a x o r a telos" ( 2 1 7 ) . T h e necessity o f others t o correct a n d a d j u s t the
narrative o f o n e ' s o w n life is also e m p h a s i z e d :
The other aspect of narrative selfhood is correlative: I am not only
accountable, I am one who can always ask others for an account, who
can put others to the question. I am part of their story, as they are part
of mine. T h e narrative of any one life is part of an interlocking set of
narratives. Moreover this asking for and giving of accounts itself plays
an important part in constituting narratives. (218)
S o c i o l o g i s t A n t h o n y G i d d e n s claims that a p e r s o n ' s identity c a n b e f o u n d
" i n the c a p a c i t y to keep a particular
narrative
going" ( 1 9 9 1 , 5 4 ) . B u t these
narratives are b y n o m e a n s u n a m b i g u o u s ; the potential facts t o select f r o m
for s u c h a story are exceedingly n u m e r o u s , leaving the q u e s t i o n o f identity
rather a m b i g u o u s ( 5 5 ) . T h i s m u l t i p l i c i t y o f p o s s i b l e stories s u g g e s t s the
difficulty e n c o u n t e r e d w h e n w r i t i n g a b i o g r a p h y , or a n a u t o b i o g r a p h y .
G i d d e n s also states, " t h e b i o g r a p h y the individual reflexively h o l d s in
m i n d is o n l y o n e 'story' a m o n g m a n y other potential stories that c o u l d b e
t o l d a b o u t her d e v e l o p m e n t as a self' ( 5 5 ) . A b i o g r a p h y c h a n g e s a c c o r d i n g
t o the choices o f t h e p e r s o n w h o writes it.
A narrated structure is often perceived as m o r e real t h a n f r a g m e n t s ,
s i n c e it conveys c o n n e c t i o n s that create m e a n i n g . D o n a l d E . P o l k i n g h o r n e
bases s o m e o f his theories o n M a c l n t y r e ' s a r g u m e n t , a n d sees narrative as
102
Anne Marit K. Berge
essential t o t h e experience o f b e i n g h u m a n , a r g u i n g in his w o r k o n
p s y c h o l o g y a n d "narrative k n o w i n g " that
[H]uman beings exist in three realms — the material realm, the
organic realm, and the realm of meaning. T h e realm of meaning is
structured according to linguistic forms, and one o f the most
important forms for creating meaning in human existence is the
narrative. T h e narrative attends to the temporal dimension of
human existence and configures events into a unity. T h e events
become meaningful in relarion to the theme or point of the
narrative. Narratives organize events into wholes that have
beginnings, middles and ends. (Polkinghorne 1988, 183)
I f o n e applies this t o the narrated self, it is possible to suggest that the selfidentities that are b a s e d o n a strong narrative m u s t b e seen as m o r e real than
t h o s e with less d e v e l o p e d biographies, a n d s u c h a conflict plays a m a j o r role
for t h e progression o f the characters o f Auster's novels in their struggle with
conflicting identities. T h i s is particularly a p p a r e n t in t h e trilogy.
T h e s t r u c t u r e d , logical, c o h e r e n t story n e e d e d for t h e narratives o f
identity, c a n b e v i e w e d in light o f literary theory. T h e plots o f stories are
t h e basis o f t h e history o f p o e t i c s f r o m Aristotle o n w a r d s . A n e l e m e n t o f
p l o t is always r e q u i r e d t o structure a story: b e g i n n i n g , s e q u e n c e a n d e n d , a
s e n s e o f t i m e a n d causality. Peter B r o o k s states t h a t for a n y t h i n g t o b e
narratable, it m u s t " i n s o m e s e n s e b e p l o t t e d , d i s p l a y a design a n d l o g i c "
( 1 9 8 4 , 5 ) . " P l o t is [...] a c o n s t a n t o f all written a n d oral narrative
[...]
P l o t is t h e p r i n c i p l e o f i n t e r c o n n e c t e d n e s s a n d i n t e n t i o n " ( 5 ) . T h e fact
t h a t w e structure o u r c o n c e p t i o n s o f identity a n d p e r s o n a l i t y in t h e f o r m
o f a n a r r a t e d story m a k e s t h e relation between n a r r a t i o n a n d fiction m o r e
a m b i g u o u s . T h e p e r c e p t i o n o f a character b a s e d o n its narration in a text
m i g h t t h u s b e closer to h o w w e perceive ourselves a n d o t h e r real p e o p l e
t h a n w h a t is c o m m o n l y a s s u m e d in narratology.
A c c o r d i n g t o theories o f p s y c h o l o g y a n d s o c i o l o g y , a feeling
of
m e a n i n g c a n b e s t r e n g t h e n e d t h r o u g h h a v i n g a secure identity, a s e n s e o f
basic trust, a c h i e v e d especially t h r o u g h m e a n i n g f u l relations with others,
a n d b y s u s t a i n i n g a c o h e r e n t b i o g r a p h i c a l narrative. O n e c a n say t h a t in
o r d e r t o b u i l d a n identity, o n e needs t o b e able t o tell o n e ' s story. T h i s
requires ability t o see c o n n e c t i o n s , relations b e t w e e n different e l e m e n t s , t o
s t r u c t u r e details a n d u n d e r s t a n d causality. S u c h a n ability o r t e n d e n c y is
closely related t o o u r general n e e d to d r a w c o n c l u s i o n s , even if b a s e d o n
i n a d e q u a t e i n f o r m a t i o n , to s m o o t h o u t inconsistencies a n d to m a k e all
details create a rational w h o l e . T h i s p r o c e s s is closely related t o storytelling
103
a n d reading, w h i c h are activities where these skills a p p l y to a very high
degree. B r o o k s explains h o w w e perceive p l o t as a m i n i m u m o f causality
and
temporality.
Only
suggested
connections
will
still
function
c o n n e c t i o n s for the readers, since readers ordinarily fill in the
as
bone
structure o f i n f o r m a t i o n p r o v i d e d ( 1 9 8 4 , 1 1 3 , 1 7 7 , 3 1 5 ) .
T h r o u g h o u t The New
York Trilogy, p l a y with identities is a central
aspect in order to u n d e r s t a n d the q u e s t for m e a n i n g , w h i c h is usually seen
as the m o s t i m p o r t a n t t h e m e in the novels. E a c h m a i n character tries to
re-define himself, related to the encounters with others w h o challenge t h e
character's previous view o f himself. T h e p a l i m p s e s t identity a n d
the
a s s u m e d roles a n d m a s k s that replace a u t o n o m o u s
the
identity, a n d
i m p o r t a n c e o f narration for a c o n c e p t o f self, are here e x p l o r e d t h r o u g h
literary texts. T h e i n c o m p l e t e narratives o f t h e p r o t a g o n i s t s are l i n k e d to
other, parallel identities, in s u c h a w a y that t h e structures o f these fill in
t h e m i s s i n g parts in t h o s e o f the m a i n characters. T h e three novels are
literally p a c k e d with cross-references to parallel identities, w i t h i n each
novel as well as b e t w e e n the w o r k s (see S p r i n g e r 2 0 0 1 a ) .
The
confusion
of
identity
experienced
by
Daniel
Quinn,
the
p r o t a g o n i s t o f City of Glass, is c a u s e d b y his g r i e f after l o s i n g his wife a n d
s o n . T r a n s i t i o n a l m o m e n t s like a p e r s o n a l crisis can often lead to a c h a n g e
in o n e ' s p e r c e p t i o n o f self-identity ( G i d d e n s 1 9 9 1 , 1 4 3 ) . C r i s e s as an
important
factor
in A u s t e r ' s w o r k s have been
S p r i n g e r ( 2 0 0 1 b ) . In The Book of Illusions,
treated extensively
by
Z i m m e r notes a q u o t e f r o m
C h a t e a u b r i a n d ' s b o o k that H e c t o r M a n n has u n d e r l i n e d , w h i c h s e e m s to
p o i n t directly at the key to u n d e r s t a n d i n g b o t h characters in t e r m s o f
crises: " T h e b o o k fell o p e n s o m e w h e r e in the m i d d l e , a n d I s a w that o n e
o f the sentences h a d been u n d e r l i n e d faintly in pencil. Les moments de crise
produisent
un redoublement
de vie chez les hommes. M o m e n t s o f crisis
p r o d u c e a r e d o u b l e d vitality in m e n " ( 2 3 8 ) . T r a n s i t i o n a l m o m e n t s a c q u i r e
t h e f o r m o f peripeteia, climax, e n d , a n d s u b s e q u e n t l y possibility o f n e w
b e g i n n i n g in the b i o g r a p h i c a l narratives o f the characters, t h u s a t t a i n i n g a
narratological function b e y o n d psychological effect.
As M a c l n t y r e has explained, the u n i t y o f self is d e t e r m i n e d b y the
u n i t y o f its narrative, a n d for Q u i n n , the fragments o f his characters'
stories take this p l a c e , since they are the o n l y f o r m o f narrative he is
e x p o s e d to in his isolation. T h i s leads to a c o m p l e x i t y o f characterization
in
the novel.
Since
storytelling
is s u c h
a powerful
element
in
the
s u s t e n a n c e o f identity, Q u i n n is d r a w n to his fictional characters rather
t h a n to e x p e r i e n c i n g his real self. H e fluctuates b e t w e e n three separate
104
Anne Marit K. Berge
identities as the story b e g i n s , the m o r e fictitious o f t h e m e x p e r i e n c e d as
t h e m o r e real to h i m , a n d as the p l o t b e g i n s to d e v e l o p , h e involves
h i m s e l f in even m o r e c o m p l i c a t e d role p l a y a n d m a s q u e r a d e in o r d e r to
solve the m y s t e r y o f his " c a s e " . Q u i n n
writes his n o t very a m b i t i o u s
detective novels u n d e r the n a m e W i l l i a m W i l s o n , a p s e u d o n y m n a m e d
after the narrator o f an E d g a r Allan P o e short story a b o u t d o p p e l g a n g e r s .
W i l s o n is also the n a m e o f a centre-field player o n t h e M e t s baseball t e a m .
H e h a s n o life story, for Q u i n n
never i n v e n t e d o n e for h i m .
Quinn's
detective narrator, " p r i v a t e e y e " M a x W o r k , is o n the other h a n d
a
character h e strongly identifies with. H e is his " p r i v a t e I " as well as t h e
m a i n literary character o f his w o r k s . W o r k w a s the o n e " w h o
gave
p u r p o s e " ( 6 ) . " I f h e lived n o w in the w o r l d at all, it w a s o n l y t h r o u g h
[...]
M a x W o r k " ( 9 ) . H e is an identity b o r n f r o m t h e telling o f stories. N o b o d y
is there to tell or listen to Q u i n n ' s story a n y m o r e , while W o r k ' s s t o r y h a s
an a u d i e n c e , s h o w n in t h e scene w i t h t h e r e a d i n g girl o n the b e n c h . T h u s
t h e W o r k identity feels stronger a n d m o r e real to Q u i n n t h a n his o w n self,
" i t reassured h i m to p r e t e n d to b e W o r k as h e was w r i t i n g his b o o k s , to
k n o w that h e h a d it in h i m to b e W o r k if he ever c h o s e to b e , even if o n l y
in his m i n d " (9). It is t h r o u g h this identification that Q u i n n is a b l e to
react to the m y s t e r i o u s
t e l e p h o n e r e q u e s t for
"Paul Auster,"
private
detective. H e starts to p u r s u e the S t i l l m a n case a n d initiates a c h a n g e in
his life. L o s i n g his o w n identity is t h e u l t i m a t e c o n s e q u e n c e o f this roleplay, however, as h e loses m o r e a n d m o r e o f Q u i n n while he b e c o m e s t h e
detective, a n d also since h e gets lost c o n c e r n i n g t h e case. P o s i n g as " P a u l
A u s t e r " h e has n o k n o w l e d g e o f a n y story, " m e m o r i e s or fears, [...] d r e a m s
or j o y s " ( 6 1 ) , a n d feeling secure in this identity is difficult, b e c a u s e there is
n o m e a n i n g b e n e a t h it, n o b i o g r a p h i c a l narrative to reflect. W h e n
he
discovers that A u s t e r is an a u t h o r like himself, the picture is t o r n , a n d
Quinn
m o v e s a n o t h e r step t o w a r d s selflessness. T h e last o f
Quinn's
m u l t i p l e roles, the b u m he is t r a n s f o r m e d i n t o t h r o u g h his ascetic p r o j e c t ,
h a s a s t r o n g r e s e m b l a n c e to o l d S t i l l m a n o n his strolls a r o u n d t h e N e w
Y o r k streets collecting j u n k . H e a d o p t s S t i l l m a n ' s b i o g r a p h i c a l story, a n d
replaces it for his o w n self, w h e n the i n n e r identification as the g o o d
detective falls apart. W h e n the S t i l l m a n case that h a d b e e n his m o t i v a t i o n
a n d g o a l for s o l o n g has lost all its i m p o r t a n c e , Q u i n n is d e p i c t e d as a
totally d i s s o l v e d self, o n l y living to express w o r d s , c o n t i n u i n g S t i l l m a n ' s
p r o j e c t o f recreating l a n g u a g e ; his self is c o m p l e t e l y engulfed at this p o i n t .
C h a r a c t e r i z a t i o n in this novel c o u l d b e d e s c r i b e d in J a m e s P h e l a n ' s
t e r m s o f foregrounding
the synthetic. A c c o r d i n g to P h e l a n , the three b a s i c
105
T h e Narrated Self and Characrerization
c o n s t i t u e n t s o f m i m e t i c , synthetic a n d t h e m a t i c d i m e n s i o n s (qualities o f a
character seen in isolation f r o m the w o r k ) create a literary character. T h e
synthetic is w h a t he calls the "artificial" c o m p o n e n t , w h a t m a k e s the
reader aware o f the linguistic construct ( 1 9 8 9 , 2 - 3 ) . T h e d e p i c t i o n
of
Q u i n n starts o u t as m i m e s i s ; he is d e s c r i b e d as a realistic p e r s o n with
certain characteristics or qualities. Phelan explains the mimetic
dimension
as the " r e a l i s m " o f a character, "this p e r s o n , " the e l e m e n t s that m a k e the
readers believe in the characters as p e o p l e . T h e m i m e t i c d i m e n s i o n is n o t
always
developed,
especially
in
D i m e n s i o n s can b e c o m e junctions
modern
and
postmodern
literature.
i f they are significant for the text's p l o t
or p r o g r e s s i o n ( 9 ) . Q u i n n ' s attributes o f interpretative skills, loneliness
a n d seclusion are part o f w h a t m a k e s readers c o n s i d e r h i m a p o s s i b l e a n d
realistic p e r s o n , a n d in the c o u r s e o f the novel's p r o g r e s s i o n , the reader
believes in his downfall b e c a u s e it is highly related to his qualities a n d
situation. T h e progression
o f the novel
becomes possible because
of
Q u i n n ' s character attributes o f insecure identity; they b e c o m e m i m e t i c
f u n c t i o n as well. T h i s m i m e t i c function is necessary to m a k e the reader
believe the b e g i n n i n g o f the plot.
Moreover,
of
thematic
functions (the significance o f a character as a representative entity o f
t h e m e s in a text) o f the character Q u i n n . T h e y are necessary for the
novel's p r o g r e s s i o n ; Q u i n n ' s decision to follow S t i l l m a n is d e p e n d e n t o n
his h a v i n g s u c h qualities. T h e a b s u r d i t y o f the " P a u l A u s t e r " identity,
w h i c h is s o similar to the real a u t h o r ' s biographical facts, is another
e x a m p l e o f f o r e g r o u n d i n g the synthetic d i m e n s i o n o f the characters. T h e
f u n c t i o n s o f a character relate to the p r o g r e s s i o n , w h i c h in t u r n consists o f
narration: causality a n d temporality. W h e n these e l e m e n t s are scarce, as
w h e n the synthetic function is p r o n o u n c e d , it p o i n t s directly at t h e
identity crises o f the characters, t h r o u g h the b r e a k d o w n o f their narrated
selves. L i t e r a t u r e a p p l y i n g s u c h devices e m p h a s i z e s the reader's awareness
o f the novel b e i n g a construct, a n d the characterization's objective to
e x p l o r e a t h e m e rather t h a n describe a realistic p e r s o n . It is interesting,
however, to see that it is this f o r e g r o u n d i n g o f the synthetic d i m e n s i o n o f
t h e literary characters that m a k e s it p o s s i b l e to describe the c o m p l e x i t y o f
identity related to p o s t m o d e r n ideas, very different f r o m
more
c o n v e n t i o n a l literature a p p l y i n g m i m e s i s as the m a i n device o f
characterization.
postmodern
106
these
identity
attributes
also
lead
conflicts,
and
accordingly
to
the
novel's
turn
themes
into
Anne Marit K. Berge
T h e very i d e a o f narration i m p l i e s a narrator to tell t h e stories;
a c c o r d i n g l y the c h o i c e o f narrative t e c h n i q u e is i m p o r t a n t for t h e reader's
p e r c e p t i o n o f the different characters, as "characters are c o n s t r u c t e d b y the
r e a d e r " ( R i m m o n - K e n a n 1 9 8 3 , 1 1 9 ) . A t t h e b e g i n n i n g o f City of Glass,
o n e can identify a n extra-heterodiegetic
narrator ( G e n e t t e 1 9 7 2 , 2 4 8 ) w h o
d o e s n o t p a r t i c i p a t e in t h e actual story, b u t uses external focalization
or
perspective to relate t h e events f r o m w i t h i n , h a v i n g access to the m a i n
character's m i n d , as well as all other necessary i n f o r m a t i o n available. In
t h e use o f we in t h e s e c o n d p a r a g r a p h , " W e k n o w , for e x a m p l e , that h e
w a s thirty-five years o l d " ( 3 ) , the narrator s e e m s to i n c l u d e the narratee in
his a c c o u n t o f t h e situation. In the c o u r s e o f the first p a g e s , t h e narrator
p a s s e s m a n y j u d g m e n t s o n Q u i n n ' s character, e x p l a i n i n g to t h e reader
a b o u t his past, his current activities a n d preferences. T h e narrator has
access to a n y characters' t h o u g h t s f r o m w i t h i n , w h i c h is a p p a r e n t in three
identical p a s s a g e s referring to Q u i n n ' s d r e a m s : " I n his d r e a m , w h i c h he
later forgot, h e f o u n d h i m s e l f [ . . . ] " ( 9 , 7 2 , 1 0 6 ) . I n spite o f these traces o f
external focalization, however, m o s t o f the novel is n a r r a t e d t h r o u g h an
internal focalizer, f r o m w i t h i n Q u i n n . A p a r t f r o m t h e use o f the third
p e r s o n p r o n o u n s , this c o m e s very close to a first p e r s o n n a r r a t i o n , a n d
l i m i t s the access o f i n f o r m a t i o n to t h e focalizing character's p e r c e p t i o n s ,
t h o u g h t s a n d feelings. T h i s is h o w Q u i n n ' s narrative is p r e s e n t e d to t h e
reader; every other character is perceived t h r o u g h h i m , a n d t h e reader m a y
o n l y find o u t facts that are also k n o w n b y Q u i n n . O n l y in t h e very last
p a g e s o f the novel d o w e realize t h a t the u s e o f this narrative t e c h n i q u e has
been a g a m e . T h e " I " o f a narrator a p p e a r s , revealing his detective-like
w o r k o f trying to reconstruct Q u i n n ' s life a n d the S t i l l m a n case. In this
s e n s e , the n a r r a t i n g " I " is also a detective, a p p e a r i n g to use Q u i n n ' s n o t e s
a n d the talks w i t h A u s t e r to retrace Q u i n n ' s story.
The
narrative
technique
is
important
to
achieve
the
reader's
p e r c e p t i o n o f Q u i n n ' s d i s a p p e a r a n c e . T h e visual a n d t e m p o r a l perspective
is m o v e d a w a y f r o m Q u i n n as the focalizer c h a n g e s to external a g a i n .
W h e n the n a r r a t i n g " I " a p p e a r s , the use o f " w e " is s u d d e n l y t u r n e d to
m e a n h i m a n d A u s t e r , his friend, a n d the narrator is a homodiegetic
one, a
character in the story. H o w e v e r , f r o m a t h e m a t i c perspective, this is an
i m p r a c t i c a l c o n s t r u c t . T h e story o f Q u i n n is the m o s t i m p o r t a n t , it is his
m i n d w e as readers are trying to p e n e t r a t e in o r d e r to u n d e r s t a n d his
narrative, a n d t h e m o s t i m p o r t a n t a s p e c t o f the " I " is h o w its use creates
a n a d d i t i o n a l effect o f d i s t a n c e to Q u i n n a n d accentuates his narrative
f a d i n g o u t o f the actual story.
107
Similarly to City of Glass, the narrator o f Ghosts is seemingly extraheterodiegetic, outside the story. T h e focalization is internal, inside the
events, f r o m within B l u e t h r o u g h m o s t o f the novel, a n d s o m e t i m e s the
narrator follows his perspective very closely, c o i n c i d i n g direcdy with Blue's
thoughts. H o w e v e r , in certain passages, particularly in the b e g i n n i n g a n d at
the end, there is an ironic distance to the m a i n character, a n d everything is
seen t h r o u g h an external focalizer, having access to k n o w l e d g e b e y o n d the
characters' thoughts. T h i s focalizer is placed close to the narrating situation,
here f r o m an u n k n o w n future, l o o k i n g m o r e than thirty years backwards in
time. T h e narrator places the b e g i n n i n g o f the plot very accurately in 1 9 4 7 ,
a n d here the distance in t i m e is clear: "Little does B l u e k n o w , o f course, that
the case will g o o n for years" ( 1 3 6 ) . T h e reader is also p o s i t i o n e d as distant
f r o m the events t h r o u g h the addressing o f a narrate, " w h o are w e to b l a m e
h i m " ( 1 5 7 ) . T h e narrator never uses the focalization o f other characters.
E v e n if the narrator does not see Black's perspective, w e get evidence that h e
has k n o w l e d g e o f the truth a b o u t h i m a n d W h i t e ( 1 6 3 ) , as w h e n he
m e n t i o n s that reading slowly w o u l d give B l u e the full understanding o f the
case. T h e s e passages with external focalization give the impression that the
narrator w a n t s to tell this story to underline a p o i n t , a n d that o b t a i n i n g the
realism o f a detective novel is not the p u r p o s e . T h e narrator gives a s t r o n g
sense o f structuring, interpretation a n d control in relating the facts in the
beginning, for instance when he states h o w it all begins with W h i t e walking
in t h r o u g h the door. T h e narrator gives his view o n w h a t is i m p o r t a n t , a n d
the selection o f facts is apparently very deliberate, keeping m o s t o f it to a
m i n i m u m . T h e narrator's position is still n o t neutral; he evaluates Blue's
actions a n d t h o u g h t s from the outside, in a w a y that only a narrator f r o m a
distance in t i m e a n d place can d o : " T o b e fair to B l u e " ( 1 3 5 ) , h e says a b o u t
Blue's lack o f critical questions in the beginning. S o m e t i m e s he passes
j u d g i n g c o m m e n t s as if he were a typical " o m n i s c i e n t " , all-knowing narrator
f r o m the early 1 8 , h century novels: " F o r B l u e is a solid character o n the
w h o l e [...] T h i s is perhaps his greatest talent" ( 1 5 7 ) .
T h e narrative " I " c o m e s in at the very e n d o f Ghosts, just like in the
first novel, underlining that the uncertainties o f facts are strong, since this
h a p p e n e d such a l o n g t i m e ago. B u t here the narrator seems to give u p
control o f his
fictionalized
character; since the story is over, " [ a ] n y t h i n g is
possible [...] I m y s e l f prefer to think that he w e n t far away, b o a r d i n g a train
that m o r n i n g a n d g o i n g o u t west to start a new life. [...]
In m y secret
d r e a m s I like to think o f B l u e b o o k i n g passage o n s o m e ship a n d sailing to
C h i n a " ( 1 9 5 - 1 9 6 ) . T h e narrator chooses to let g o o f B l u e , a character he
108
Anne Marit K. Berge
h a s created, a n d the creative p o w e r a n d control that the a u t h o r normally
h a s , pretending to k n o w as little as the reader: " F r o m this m o m e n t o n , w e
k n o w n o t h i n g " ( 1 9 6 ) . B l a c k / W h i t e writes Blue's story, a n d thus his life
b e c o m e s the narrative o f the isolated m a n d o i n g n o t h i n g b u t w a t c h i n g in
t h e w i n d o w . T h e external focalizer o f these two novels functions as an
illustration a n d thematization o f the difficulty o f penetrating t h e m i n d o f
others as well as a m e a n s o f structuring the f r a g m e n t e d parts o f the
characters' lives as coherent narratives, p o i n t i n g at causality a n d temporality.
The
narrative
technique
stresses
the
foregrounded
synthetic
d i m e n s i o n o f the characters in Ghosts, m a y b e even m o r e s o t h a n in the
o t h e r two novels. T h e focalization is external a n d the narrator overt to a
stronger degree t h a n in t h e others, a n d the i n t r o d u c t i o n o f t h e setting
w o r k s as an invitation to r e a d t h e story as a h y p o t h e t i c a l s i t u a t i o n . T h e use
of
present
tense
in
the
main
narrative
also
points
to
depicting
a
hypothetical s i t u a t i o n m o r e t h a n t h e relating o f a story, a n d this applies to
t h e w h o l e text except f r o m the retrospective parts, w h e n B l u e thinks a b o u t
t h e stories o f others o r his o w n p a s t o u t s i d e t h e s c o p e o f the narrated t i m e .
T h e pretence o f u n c e r t a i n t y is also s h o w n at the novel's closure: " L e t it b e
C h i n a , t h e n " ( 1 9 6 ) , a n d in the a b o v e m e n t i o n e d q u o t e : " I m y s e l f prefer to
t h i n k that h e w e n t far a w a y " ( 1 9 5 ) . U n l i k e t h e narrator o f City of Glass
w h o expresses helplessness in f i n d i n g o u t Q u i n n ' s fate, the narrator here
deliberately
shows
his
control,
through
ironically
displaying
i g n o r a n c e . T h e d i s t a n c e creates a certain o p a c i t y o f B l u e ' s
alleged
narrative,
b l u r r i n g his identity.
The
minor
characters
of
Ghosts
also
have
a
mainly
synthetic
d i m e n s i o n , b u t even if they p l a y very small parts, t h e t h e m a t i c d i m e n s i o n
is still i m p o r t a n t , as they a d d to the issue o f f r a g m e n t e d identity. All
n a m e s in this story are colors — it is n o t p s y c h o l o g y t h a t is i m p o r t a n t , b u t
t h e m a t i c c o n s e q u e n c e s , a n d t h e m o r e h y p o t h e t i c a l a s p e c t o f the w h o l e
story: n o t to focus o n realistic p l o t a n d characters, b u t o n the s k e t c h i n g
o u t o f a s i t u a t i o n to d e m o n s t r a t e an idea. T h e characters are n o t p r o v i d e d
with m u c h o f a b i o g r a p h y ; their stories are o n l y h i n t e d at. A v o i d i n g
conventional
aspects
realism
o f the
novel.
foregrounds
The
the p h i l o s o p h i c a l
u s e o f narration
as
and
metaphysical
identity c r e a t i o n
in
characterization is here s t r i p p e d d o w n to a m i n i m u m o f fact.
T h e narrative t e c h n i q u e o f The Locked Room is different f r o m the other
two. E v e n if there is a narrator-protagonist relating his o w n story, h e is
p l a c e d in an extradiegetic writing situation, a b o v e the actual diegetic or story
level, seven years after the events o f the m a i n plot start: " S e v e n years a g o this
109
N o v e m b e r , I received a letter f r o m a w o m a n n a m e d S o p h i e F a n s h a w e "
( 1 9 9 ) . S i n c e the narrator is h o m o d i e g e t i c , telling his story in the
first
p e r s o n , focalization a n d voice is m a i n l y his. " [ M ] y struggle to r e m e m b e r
things as they really were, I see n o w " ( 2 0 9 ) shows h o w there is a m a r k e d
difference in t i m e a n d experience between the narrator's writing situation
w h e n all is over, a n d when the story starts seven years earlier, a l t h o u g h he is
never quite clear as to what insight he has achieved. T h e
narrator's
extradiegetic level is concerned with the narration itself outside the actual
events depicted, creating a distance in t i m e , a n d this is s h o w n t h r o u g h
various c o m m e n t s o n his part a b o u t his failing j u d g m e n t s at the actual
events: " I u n d e r s t a n d n o w h o w badly I was deceiving m y s e l f ( 2 4 2 ) . T h e
retrospect o f the narrator's story creates s o m e distance to the material;
however, s o m e o f the events, especially the final scene, are told w i t h o u t signs
o f this hindsight, as if n o t h i n g h a d h a p p e n e d afterwards. T h e effect o n the
novel is that the reader perceives this as an end, a n d links the tearing o f the
n o t e b o o k scene to the closure o f the narration as a w h o l e as well as the
'answer' to thematic questions raised. T h e characterization thus a p p r o a c h e s
closure, a n d achieves completeness o f structure. U n l i k e the other two stories
o f the trilogy, where the narrative technique creates a distance to the
narrated events as if stepping back, however o b s c u r e d or o p a q u e the view
b e c o m e s , this closure is different since it shows the character's reaction a t the
t i m e , a n d as s u c h it b e c o m e s crucial to o u r perception o f Fanshawe's
obliteration, a n d the narrator's return to a new life.
The
internal
focalizer,
which
would
ordinarily
be
the
same
t h r o u g h o u t a text written in the first p e r s o n , is also s o m e w h a t a m b i g u o u s .
A u s t e r observes in an interview that "certain sections o f it are actually
written in the third p e r s o n " ( 1 9 9 7 , 3 1 7 ) , w h e r e the narrator describes the
events as f r o m a n external focalizer seeing F a n s h a w e f r o m the o u t s i d e . T h e
m a i n parts o f the d i s c o u r s e circle a r o u n d F a n s h a w e ' s narrative, trying to
p e n e t r a t e his secret inner self, while the narrator reveals that his o w n self
also b e c o m e s o p a q u e for h i m . In this way, F a n s h a w e is as present in the
text as the narrator is. H i s invisibility at the e n d , b e h i n d the d o o r , a g a i n
a d d s to the i d e a that he o n l y exists as an idea in the narrator's m i n d . All
t h e three novels s h o w various degrees o f b l u r r i n g the characterization for
t h e reader, t h r o u g h the c h o i c e o f narrative t e c h n i q u e s that create d i s t a n c e .
110
Anne Marit K. Berge
Reflexive Identity
T h e actual narrative s i t u a t i o n is c o n n e c t e d to the reflexivity o f the self:
A u s t e r p o i n t s to t h e fact that "[a] story [...] p o s i t s the existence o f o t h e r s "
( 1 9 8 2 , 1 5 2 ) . In his novels, there is always a p l a y b e t w e e n reader a n d
writer, b o t h w i t h i n t h e novels a n d as overt c o m m e n t s to the reader o n the
actual
reading
situation.
Auster
claims
in
an
interview
with
Finn
S k å r d e r u d t h a t " a b o o k d o e s n o t exist unless it is read. It is always a
relationship. W r i t i n g is a n act o f l o v e " ( 2 0 0 2 , 7 9 , m y t r a n s l a t i o n ) . B u t as
an o p p o s i t i o n or c o n t r a d i c t i o n to this, there is the fact that w r i t i n g is d o n e
in solitude, w h i c h is necessary to create art, b u t p r o b l e m a t i c for selfidentity. T h i s conflict between the creation o f art a n d the n e e d
for
c o m m u n i c a t i v e c o n t e x t is especially s h o w n in Ghosts, w h e r e B l a c k hires
B l u e to e n s u r e his o w n existence.
T h e r e are m a n y references to the silent, solitary artist in A u s t e r ' s
works,
and
also
the disappearing
artist
can
b e said
to b e a
motif
e x e m p l i f i e d in Q u i n n , H e c t o r M a n n a n d F a n s h a w e . S o l i t u d e is necessary
a n d liberating, b u t i f u s e d destructively, it m i g h t a p p r o a c h s o l i p s i s m a n d
involve t h e n e g a t i o n o f self-reflexivity. A narrated S e l f n e e d s the a u d i e n c e
o f a n O t h e r . T h e typical p o s t m o d e r n identity conflicts o f m e a n i n g l e s s n e s s
a n d existential d o u b t arise f r o m the difficult b a l a n c i n g act o f k e e p i n g o n e ' s
self-image intact i n a c o n t e x t o f n u m e r o u s choices. T h i s c a n b e seen in
relation to t h e w r i t i n g s o f J a c q u e s L a c a n , w h o is also m e n t i o n e d b y A u s t e r
in interviews as h a v i n g influenced the w r i t i n g o f The Invention
of
Solitude.
A u s t e r observes t h a t " L a c a n calls it the 'mirror-stage,' [...] w e can o n l y see
ourselves b e c a u s e s o m e o n e else has seen us first. In other w o r d s , w e learn
our solitude from others"
(Auster
1 9 9 7 , 3 1 4 - 3 1 5 ) . L a c a n states
that
f o r m a t i o n o f t h e self o n l y h a p p e n s t h r o u g h a n a c k n o w l e d g e m e n t o f the
O t h e r : " I a m led, therefore, to regard the function o f t h e m i r r o r - s t a g e as a
particular case o f t h e function o f the imago, w h i c h is to establish a relation
between t h e o r g a n i s m a n d its reality — or, as they say, b e t w e e n the
Innenwelt a n d t h e Umwelf
( 1 9 6 6 , 4 ) . L a c a n speaks a b o u t this t h e o r y in
t e r m s o f infants a n d a n i m a l s , b u t there are also general a p p l i c a t i o n s for
this effect. M i r r o r i m a g e s can b e seen as a w a y to define o n e ' s self as
d i v i d e d f r o m t h e s u r r o u n d i n g s , as roles in society, to realize w h o o n e is
t h r o u g h seeing o n e s e l f in the reflection o f others.
In Ghosts, the m a i n character's w o r l d has s o far c o n s i s t e d o f s i m p l e ,
c o n c r e t e t h i n g s , while n o w he begins to speculate,
to see truths as they are
c o n v e y e d in a m i r r o r , that is, reflecting b a c k o n himself. B l u e
only
111
b e c o m e s aware o f the m e a n i n g l e s s n e s s o f his existence t h r o u g h realizing
t h a t he is the mirror i m a g e o f B l a c k . T h e A l g o n q u i n bar scene where
B l a c k tells B l u e h e is a private detective w a t c h i n g s o m e o n e , d e s c r i b i n g
B l u e ' s situation to the last detail, is an a b s u r d e p i s o d e , b u t it is also a clue
to the roles they p l a y in each other's lives. " M y j o b is to w a t c h s o m e o n e , "
B l a c k tells B l u e , a n d the irony here is that B l u e needs B l a c k to act o u t the
p a r t o f watcher in o r d e r to see t h e s i t u a t i o n , as i f h e were really w a t c h i n g
h i m s e l f t h r o u g h t h e mirror. B l a c k tries to enlighten B l u e further: " I t h i n k
h e ' s writing a b o u t himself. T h e story o f his life. T h a t ' s the o n l y possible
a n s w e r [...] h e needs [...] m y eye l o o k i n g at h i m [...] to p r o v e he's alive"
( 1 8 1 ) . B l a c k uses B l u e ' s reports as a reference f r o m the o u t s i d e a n d can
therefore see h i m s e l f in the "reflection," while B l u e at this p o i n t loses
h i m s e l f in his solitary o b s e r v a t i o n s that h e c a n n o t m a k e a n y sense of.
T h e m i d d l e story c o u l d b e read as a n exploration o f the f o r m i n g o f a
reflexive self, w h e r e t h e p l o t functions
o n a m e t a p h o r i c a l level as a
d e s c r i p t i o n o f f o r m a t i o n o f self a n d the mirror stage that o c c u r s in all
infants' lives their first 6 - 1 8 m o n t h s . Ghosts is set at the actual birth d a t e o f
P a u l Auster; W h i t e c o m e s to B l u e ' s office o n 3 F e b
1947, and
the
d e v e l o p i n g identity-plot is necessary for B l u e to discover t h e O t h e r to
f o r m a self. T h e separation o f the self f r o m the other is illustrated b y
B l u e ' s killing Black. A t the e n d o f the short novel, the narrator c o m m e n t s
o n his o w n p l a c e m e n t in t i m e : " F o r w e m u s t r e m e m b e r that all this t o o k
place more than
thirty years a g o , b a c k
in the d a y s o f o u r
earliest
c h i l d h o o d " ( 1 9 5 ) , i m p l y i n g that t h e w r i t i n g situation takes p l a c e m u c h
later. T h e successful narration o f self is d e p e n d e n t o n t h e O t h e r in the
function
of
audience.
Black
needs
Blue
to
write
his
continuous
b i o g r a p h i c a l narrative, literally s p e a k i n g , since he is s e q u e s t e r e d f r o m all
o t h e r c o n t a c t w i t h real life, to keep his last link with life as h e writes his
b o o k . T h e s o l i t u d e o f the writer treated b y A u s t e r in " T h e B o o k
M e m o r y " ( 1 9 8 2 ) is thereby e x e m p l i f i e d a n d p r o b l e m a t i z e d in
of
Black's
project. B l a c k needs the solitude to b e a b l e to write, b u t that also m e a n s
t h a t he has n o life apart f r o m his writing. W h e n he talks to B l u e d i s g u i s e d
as the b u m J i m m y R o s e , he tells B l u e that " [ w ] r i t i n g is a solitary business.
It takes over y o u r life" ( 1 7 5 ) . A t t h e final c o n f r o n t a t i o n , B l a c k explains:
. . . I've needed you from the beginning. If it hadn't been for you, I
couldn't have done it.
Needed me for whar?
112
Anne Marit K. Berge
T o remind me of what I was supposed to be doing. Every time I
looked up, you were there, watching me, following me, always in
sight, boring into me with your eyes. You were the whole world to
me, Blue, and I turned you into my death. You're the one thing
that doesn't change, the one thing that turns everything inside out.
(194)
It is q u i t e a p p a r e n t h o w this illustrates the role o f the O t h e r as a m i r r o r
reflection o f oneself. B l u e loses the feeling o f c o n t r o l o f his w o r l d w h e n he
realizes that h e has b e e n lured into a s h a m , a n d that his f u n c t i o n was to b e
B l a c k ' s reflection in the mirror, or rather t h r o u g h the w i n d o w . H e h a s n o
c h o i c e b u t to try to kill h i m to b e released f r o m his e n t r a p m e n t .
R e l a t i o n s w i t h others are central n o t o n l y to the f o r m a t i o n o f identity
t h r o u g h the m i r r o r stage, b u t also to s u s t a i n i n g it in a secure way. G i d d e n s
discusses the pure
relationship,
w h i c h is d e f i n e d as " r e a s o n a b l y d u r a b l e
sexual ties, m a r r i a g e , a n d f r i e n d s h i p " ( 1 9 9 1 , 8 7 ) , s o u g h t o n l y for w h a t t h e
r e l a t i o n s h i p itself can bring, a n d characterized b y its c o n t i n u o u s , reflexive
n a t u r e . It is " a k e y e n v i r o n m e n t for b u i l d i n g t h e reflexive p r o j e c t o f the
self, since it b o t h allows for a n d d e m a n d s o r g a n i z e d a n d c o n t i n u o u s selfu n d e r s t a n d i n g " ( 1 8 6 ) . H o p e a n d trust are g e n e r a t e d ( 1 8 6 ) , especially via
t h e creation o f " s h a r e d stories" ( 9 7 ) . I n A u s t e r ' s novels, the characters' l a c k
or loss o f these relationship ties are at t h e heart o f their crises, a n d for the
t w o characters w h o are able to return to a life, the n e w relationships are
i m p o r t a n t a n c h o r s in their n e w life situations. The New York Trilogy a n d
The Book of Illusions can b o t h b e seen t o e x p l o r e h o w the interplay w i t h
o t h e r h u m a n b e i n g s influences the w a y a p e r s o n defines w h o h e is.
T h e third novel o f the trilogy also deals with identity linked to others,
illustrated by the doppelganger motif. T h e nameless narrator experiences
identity confusion
related to the disappearance o f his c h i l d h o o d
friend
F a n s h a w e , in m a n y ways his double; through this encounter, the narrator
experiences a n existential crisis, resulting in the novel's quest for the truth
a b o u t Fanshawe. In contrast to City of Glass
where the h u n t leads to
disappearance, the m a i n character o f this story has to confront a n d assimilate
his d o u b l e , as hinted at in the intermediate Ghosts, where B l u e attempts at
confrontation to solve the mystery. In the course o f The Locked Room,
the
narrator-protagonist gradually takes over the life o f his c h i l d h o o d friend, b u t
the identity p r o b l e m s this causes are difficult to handle. F a n s h a w e has been
the narrator's friend since their earliest childhood, from before language,
c o n s e q u e n d y before consciousness o f a n y other life. A s a child the narrator is
strongly influenced b y Fanshawe, copying his interests a n d ways, b u t the fact
113
that "I d o n ' t think I was ever entirely comfortable in his presence" (209)
shows the ambivalence o f his admiration. T h e narrator's feeling inferior to his
friend is a character attribute that becomes a very important thematic function
o f his character. T h e m a i n character's story is like a pale version o f Fanshawe's
story, a n d this is what makes his identity confusion possible.
The
power
o f the narration
strengthens
identity,
b u t here
also
i n t r o d u c e s identity p r o b l e m s , o f n o t b e i n g able t o d i s t i n g u i s h w h o is w h o .
T h e q u e s t i o n is whether these d o p p e l g a n g e r s are s u p p o s e d to b e read as
o n e or t w o characters, since they s e e m to b e m i r r o r reflections o f each
o t h e r ( S p r i n g e r 2 0 0 1 b , 1 2 7 ) , while at the s a m e t i m e they are d e s c r i b e d as
characters
with
stronger
mimetic
dimensions
than
the
other
main
characters in the trilogy, t h a t is, they s e e m to b e a little m o r e realistic than
Q u i n n or B l u e . T h i s is c a u s e d b y the use o f internal focalization t h r o u g h
t h e h o m o d i e g e t i c narrator, w h i c h leads to m o r e " r e a l i s m " o f p s y c h o l o g y ,
as w e s u p p o s e d l y read the t h o u g h t s o f a p e r s o n seen f r o m within his o w n
m i n d , instead o f focalized t h r o u g h a n external narrator as in the other two
novels.
In this novel,
the f o r e g r o u n d i n g
o f the characters'
synthetic
d i m e n s i o n s is s h o w n t h r o u g h the a m b i g u i t y o f the t w o characters, a n d is
n o t as p r o n o u n c e d as in the other two novels o f t h e trilogy. T h e issue o f
character m e r g e r is never clear, b u t it p o i n t s to the p r o b l e m s o f O t h e r a n d
Self, in the f o r m o f c o n f u s i n g t h e mirror i m a g e w i t h s o m e b o d y else.
M a c l n t y r e ' s ideas o f a narrative to express identity b e c o m e central in
order
to
understand
the
narrator's
motives.
The
plan
of
writing
F a n s h a w e ' s b i o g r a p h y a p p e a l s to h i m as a w a y to gain c o n t r o l
over
F a n s h a w e . H o w e v e r , the struggles o f w r i t i n g l e a d his t h o u g h t s to the
problem
o f describing a person
through
his b i o g r a p h i c a l
facts.
The
narration o f o n e ' s identity is essential here: a p e r s o n will listen to the story
a b o u t a n o t h e r p e r s o n , a n d use the o u t w a r d facts to create a " r e a l " story
a b o u t the p e r s o n , g i v i n g the false i m p r e s s i o n that h e k n o w s w h o
the
p e r s o n is. A u s t e r has in an interview said that it is very p r o b l e m a t i c t o
relate to t h e lives o f others since w e d o n o t k n o w e n o u g h , n o t even a b o u t
ourselves, to write a reliable b i o g r a p h y ( S k å r d e r u d 2 0 0 2 , 6 4 ) . N a r r a t i v e s o f
o t h e r s e c o n d a r y or m i n o r characters are in general i m p o r t a n t in this novel
also, as mise en abyme ( R i m m o n - K e n a n 1 9 8 3 , 9 3 ) . O n e o f these is f o u n d
in F a n s h a w e ' s n o t e b o o k : " F a n s h a w e s h o w s a particular f o n d n e s s for stories
o f this k i n d . Especially in his n o t e b o o k s , there is a c o n s t a n t retelling o f
l i t d e a n e c d o t e s , a n d b e c a u s e they are so frequent — a n d m o r e s o t o w a r d
t h e e n d — o n e begins to s u s p e c t that F a n s h a w e felt they c o u l d s o m e h o w
help
114
him
to
understand
himself
(254). This
sounds
like a
direct
Anne Marit K. Berge
r e p h r a s i n g o f the theory that narration o f i n c i d e n t s in o t h e r p e o p l e ' s lives
gives perspective to o n e ' s o w n life, as related b y M a c l n t y r e .
I n spite o f t h e allusion to Q u i n n ' s d i s a p p e a r a n c e ( 2 0 2 ) , The Locked
Room d o e s n o t treat t h e f r a g m e n t e d identity to s u c h an extent as the other
t w o novels o f the trilogy. H o w e v e r , it is a c o n t i n u a t i o n o f the d o u b l e i d e n t i t y p r o b l e m s k e t c h e d o u t in Ghosts, in a story t h a t s e e m s to b e m o r e
realistic, b u t e n d s u p b e i n g j u s t as c o n f u s i n g as the other t w o . S o p h i e
F a n s h a w e is a secure p o i n t in the narrator's c h a o t i c h u n t for truth a n d
himself. H i s o b s e s s i o n that m a k e s h i m forget his c o m m i t m e n t to her is
w h a t leads h i m into t r o u b l e , in a m o r e c o m p l e x w a y t h a n in t h e t w o
p r e v i o u s novels. W h e n t h e narrator d e c i d e s to h i d e facts f r o m her, s u c h as
F a n s h a w e ' s letter, the i n t i m a c y a n d c o m m i t m e n t o f t h e relationship also
fall a p a r t a n d he loses t h e s u p p o r t h e c o u l d h a v e received t h r o u g h the
c r e a t i o n o f s h a r e d stories. A clue to u n d e r s t a n d i n g t h e three novels is t h e
role o f the w o m e n , w h o represent the reality the lost detectives reject. I n
Ghosts w o m e n are barely m e n t i o n e d , a n d it is o b v i o u s that B l u e d o e s n o t
g i v e " t h e future M r s B l u e " m u c h t h o u g h t . T h e m e n reject the crying,
e m o t i o n a l w o m e n , b u t thereby also the i n t i m a c y o f t h e p u r e relationship.
Fifteen years after finishing the trilogy, A u s t e r returned to t h e s a m e
s t a r t i n g p o i n t , a n d w r o t e a story related to City of Glass. T h e rebirth after
crisis o f the m a i n character in The Book of Illusions
is influenced b y his
e n c o u n t e r w i t h a m a n s u p p o s e d to h a v e d i e d m a n y d e c a d e s earlier. It is
t h e retracing o f t h e d i s a p p e a r e d
filmmaker's
e s c a p e f r o m his i d e n t i t y that
l e a d s Z i m m e r b a c k to life. T h e parallels o f different identities are also
p r e s e n t in this novel, b u t the i m p o r t a n c e o f relating to others is e x p l o r e d
m o r e extensively. T h e m a i n character o f The Book
of Illusions,
David
Z i m m e r , suffers a serious p e r s o n a l loss a n d is bereft o f his family, parallel
t o w h a t h a p p e n s to Q u i n n , b u t the story in this novel takes a different
t u r n . W h a t helps Z i m m e r o u t o f his grief is d i s c o v e r i n g the narrative o f a
m a n w h o h a s suffered a n d e x p e r i e n c e d similar losses, in a d d i t i o n
to
c r e a t i n g a m y s t e r i o u s i m a g e o f himself, that takes q u i t e a bit o f detective
w o r k to explore. I n s t e a d o f falling to pieces like Q u i n n , h e has m o r e
s u c c e s s in p u z z l i n g M a n n ' s m y s t e r y together. H e c t o r M a n n turns o u t to
b e a m o r e constructive a n d h u m a n e character t h a n S t i l l m a n w a s , w i t h
m o r e a p p a r e n t m i m e t i c d i m e n s i o n s t h a n the characters in t h e trilogy.
M a n n is recreated t h r o u g h his narrative in t h e b o o k Z i m m e r writes, b u t
o n l y after e v e r y b o d y involved, w h o c o u l d verify the story o f his life, is
d e a d . A c c o r d i n g l y , t h e b o o k is t u r n e d into a " B o o k o f t h e D e a d " , or rather
115
a C h a t e a u b r i a n d - l i k e Mémoires
d'outre-tomhe;
it is the b o o k that brings
M a n n to life.
The New
York
Trilogy's
extensive use o f mirrored
identities
and
characters is repeated in this novel, b u t in a different way. It is m o r e a
question o f situations than w h o l e characters that are reflected, as the
e x a m p l e o f parallels between M a n n a n d C h a t e a u b r i a n d . W e find the s a m e
relationship between Z i m m e r a n d M a n n , where incidents o f crises a n d loss
are mirrored. F o r Z i m m e r , the similarities between M a n n a n d h i m s e l f serve
as signs o f a link between t h e m . H i s identification with H e c t o r
Mann
increases as h e learns his story, a n d b o t h A l m a a n d H e c t o r have e n o r m o u s
influence o n h i m . H e a r i n g a b o u t the death o f H e c t o r a n d Frieda's s o n T a d ,
h e realizes that they have experienced a similar crisis, a n d since this is the
secret clue to w h y M a n n starts m a k i n g films again, Z i m m e r ' s interest in the
films grows. Z i m m e r ' s s e c o n d loss, that o f A l m a , is experienced as different,
because he is able to see h o w short their relationship was, plus c o n t i n u e his
w o r k ( 3 1 4 ) a n d focus o n their c o m m o n goal; to tell M a n n ' s story helps h i m
reconnect to his o w n . T h e nature o f M a n n ' s b i o g r a p h y is a mystery that
requires investigation a n d interpretation: Z i m m e r is able to retrace s o m e o f
H e c t o r ' s past life t h r o u g h the willfully o b s c u r e d facts o f the c a m o u f l a g e d
interviews, c h o o s i n g between the m a n y versions o f the M a n n story. " P u t
these contradictions together, a n d y o u w i n d u p with nothing, the portrait o f
a m a n with so m a n y personalities a n d family histories that he is r e d u c e d to a
pile o f fragments, a j i g s a w puzzle w h o s e pieces n o longer c o n n e c t " ( 8 3 ) . T h e
f r a g m e n t e d identity is in this novel not represented b y Z i m m e r himself, b u t
b y M a n n , w h o is described as having a palimpsest o f identities.
M a n n ' s n e w c h a n c e with Frieda is a n e w transitional m o m e n t for
M a n n ; at the verge o f death h e regains identity, b u t in a n e w f o r m w h i c h
enables h i m to start a n e w life. After his s e c o n d crisis, the d e a t h o f his s o n ,
h e is lured b a c k t o life a s e c o n d t i m e t h r o u g h a renewed film project, a n d
this can h a p p e n b e c a u s e F r i e d a is there to influence h i m , h e is n o t isolated
like the first t i m e . F o r Z i m m e r , t h e k n o w l e d g e o f M a n n ' s t r a n s f o r m a t i o n s
after d e v a s t a t i n g experiences helps h i m see possibilities for himself; the
stories o f M a n n create the mirror effect. Z i m m e r ' s role in H e c t o r ' s life
b e c o m e s a "witness o f the w i t n e s s " ( 2 8 0 ) . A l m a needs Z i m m e r as a witness
to v o u c h for the truth o f her w o r k , the b i o g r a p h y o f H e c t o r M a n n , since
after his d e a t h a n d the destruction o f his w o r k s , the o n l y verifiable facts
a b o u t the film m a k e r will b e those already k n o w n , the o n e s Z i m m e r has
u s e d in his b o o k . A l m a says " m y s t a t e m e n t s w o n ' t b e credible unless I
h a v e a n o t h e r p e r s o n to b a c k m e u p " ( 1 0 5 ) . W h e n every piece o f e v i d e n c e
116
Anne Marit K. Berge
is
obliterated
and
burnt
by
Frieda,
Zimmer
is left
alone
with
his
i n f o r m a t i o n , a n d gives it all u p as n o o n e w o u l d believe w h a t h e says.
O n l y as a " B o o k o f the D e a d " c a n h e tell the story, w h i c h then c o u l d
a p p e a r as fiction — a n illusion — j u s t as well as a b i o g r a p h y . P l a y i n g w i t h
t h e s e n o t i o n s a n d h o w the reader will interpret the story are p a r t o f the
r e a d i n g experience.
T h e narration o f The Book of Illusions
consists o f m u l t i p l e levels. T h e
u s e o f Z i m m e r as h o m o d i e g e t i c narrator is in itself quite s i m p l e , b u t it is his
relation o f other stories t h r o u g h a C h i n e s e b o x principle, u s i n g different
diegetic levels a n d a c o m p l e x i t y o f story a n d discourse t i m e s p a n that a d d s to
t h e plot. T h e extradiegetic level is D a v i d Z i m m e r ' s writing situation: he is
n o t yet forty at the p o i n t o f the accident in J u n e 1 9 8 5 w h i c h is the start o f
t h e diegetic level, while the extradiegetic Z i m m e r in his mid-fifties l o o k i n g
b a c k a n d describing the events m u s t b e set a r o u n d M a r c h 1 9 9 9 . T h e fact
that he at the e n d says h e will b e "following C h a t e a u b r i a n d ' s m o d e l " ( 3 1 8 ) ,
implies that h e is d e a d at the p o i n t o f publication. T h e r e are several
hypodiegetic stories, told b y Z i m m e r (all the film synopses), A l m a (relating
M a n n ' s story o n the plane), or H e c t o r M a n n (diary extract). T h u s , A l m a
also functions as narrator, as she tells the story o f H e c t o r M a n n ' s life after
his disappearance in 1 9 2 9 . Quite like the t e c h n i q u e a p p l i e d in The
Locked
Room, characters h a v e developed m i m e t i c d i m e n s i o n s ; the synthetic is n o t as
f o r e g r o u n d e d as in the sketched o u t situation described in Ghosts, giving
The Book of Illusions a m o r e traditional form. Z i m m e r is a n extrah o m o d i e g e t i c narrator, b u t is still able to keep m o r e o f a distance to the
events t h a n the narrator o f The Locked Room, p r o b a b l y because h e has h a d
the o p p o r t u n i t y to c h a n g e a n d develop an u n d e r s t a n d i n g that this narrator
lacks. As its E g y p t i a n a n d T i b e t a n m o d e l s suggest, Z i m m e r ' s " B o o k o f the
D e a d " has p r o v i d e d h i m with n o t o n l y a prescription for dealing w i t h d e a t h
a n d after-life, b u t also for h o w to live his life. Z i m m e r as narrator has,
t h r o u g h his extradiegetic position, achieved a n u n d e r s t a n d i n g o f his o w n
narrative that the characters in the trilogy never develop; accordingly his
identity-narrative is restored.
Conclusion: Stories of the Self
I n this article, I h a v e tried to s h o w that the struggles with
identity
f o r m a t i o n the characters g o t h r o u g h in the four novels, h a v e different
o u t c o m e s d e p e n d i n g o n h o w well t h e p r o t a g o n i s t s are a b l e to create a n d
s u s t a i n the narratives o f their o w n selves, as well as learn f r o m t h e stories
117
T h e Narrated Self and Characterizarion
o f others. T h e r e is a p r o g r e s s i o n in the w a y these four characters relate to
their troubles. Q u i n n is the e x t r e m e version. H e identifies t o o m u c h with
S t i l l m a n a n d his stories, a n d gets lost in his o b s e s s i o n ; his d i s a p p e a r a n c e
s e e m s u n a v o i d a b l e . W h e n h e tries to p u t the fragments o f his m u l t i p l e
identities together, h e e n d s u p b e i n g n o b o d y , like S t i l l m a n ' s s o n , a n d all
t h e d a n g e r s o f deprivation o f h u m a n c o n t a c t are exemplified in the turn o f
this story.
B l u e has little u n d e r s t a n d i n g o f w h o h e is, as well as l i m i t e d insight
into the m y s t e r y o f his case, b u t h e b e c o m e s aware o f h i m s e l f for t h e first
t i m e t h r o u g h the mirror reflection o f a narrative identical to his o w n
w h i c h leads to a process o f self-reflection. T h r o u g h c o n f r o n t a t i o n with his
problematic
antagonist, s o m e s e l f - u n d e r s t a n d i n g
s t a g n a t i o n a n d d i s s o l u t i o n as for Q u i n n .
is achieved, a n d
T h e s i t u a t i o n is
not
somewhat
similar for the n a m e l e s s narrator o f the third novel, w h o finds that the
narrative o f his c h i l d h o o d friend is so intertwined with his o w n that his
sense o f self is threatened. F a n s h a w e ' s stories tell the narrator n o t h i n g , a n d
n e e d t o b e d e s t r o y e d to free h i m ; the retracing o f his friend's story is
e n d e d b y his tearing o f the n o t e b o o k , w h i c h the narrator substitutes for
F a n s h a w e himself. F a n s h a w e exists t h r o u g h his texts, a n d d e s t r o y i n g the
n o t e b o o k enables t h e narrator to let g o o f his obsession a n d t h u s return to
t h e w o r l d o f o t h e r p e o p l e , represented b y his family. B o t h the narrator
a n d B l u e b e g i n to m o v e a w a y f r o m their isolation, a n d relate to other
p e o p l e a n d to the o u t s i d e w o r l d again.
F o r Z i m m e r , M a n n ' s stories, b o t h his b i o g r a p h y a n d his films, help
him
to return
to s o m e t h i n g .
Zimmer's
role as a reader o f
Mann's
b i o g r a p h i c a l narrative changes his view o f himself, b e c a u s e h e can identify
w i t h M a n n ' s crisis, a n d Z i m m e r is a b l e to b r e a k t h r o u g h his isolation. T h e
narrative o f a n o t h e r m a n b e c o m e s a mirror o f his o w n p r o b l e m s . T h e
i m p o r t a n c e o f relationships is s h o w n t h r o u g h Z i m m e r , w h o s e c o n t a c t
w i t h A l m a b e c o m e s an i m p o r t a n t factor in his d e v e l o p m e n t , unlike the
m a i n characters in the trilogy's first two novels, w h o fail at relationships,
a n d the narrator o f the third, w h o o n l y returns to his wife after the crisis is
over.
The
narrative
technique
playing
with
the
narrator-narratee
relationships reflects the reader's p e r c e p t i o n o f the characters as p e r s o n a e .
T h e r e s e e m s to b e a turn here in A u s t e r ' s
method,
parallel to
the
characters' d e v e l o p m e n t ; the narratives that are expressed as m o r e coherent
for the reader also a p p r o a c h solutions to these characters' identity crises.
T h e literary p l a y A u s t e r e m p l o y s in characterization, p r o v i d e s an arena in
w h i c h it is p o s s i b l e to deal with t h e c o m p l e x i t y o f narration as a m e a n s o f
118
Anne Marit K. Berge
f o r m i n g identities, while the p o s t m o d e r n t e c h n i q u e s o f narrative selfreflexivity create a p o s s i b l e literary f o r m for these ideas.
University
of Oslo
119
References
Auster, Paul.
[1982] 1992. The Invention of Solitude. London: Faber.
[1987] 1999. The New York Trilogy. London: Faber.
1997. The Art of Hunger: Essays, Prefaces, Interviews and "The
Red Notebook". Expanded edition. Harmondsworth: Penguin.
2 0 0 2 . The Book of Illusions. London: Faber.
Brooks, Peter. [1984] 1992. Reading for the Plot: Design and Intention in
Narrative. Harvard University Press.
Genette, Gerard. [1972] 1983. Narrative Discourse: An Essay in Method. Irhaca:
Cornell University Press. Transl. Jane E. Lewin.
Giddens, Anthony. 1991. Modernity and Self-Identity: Self and Society in the Late
Modern Age. Cambridge: Polity Press.
Lacan, Jacques. [1966] 1989. Écrits: A Selection. London: Routledge. Transl. Alan
Sheridan.
Maclntyre, Alasdair. [1981] 1982. After Virtue. 2 n d ed. Notre Dame, Indiana:
Notre D a m e University press.
Phelan, James. 1989. Reading People, Reading Plots: Character, Progression, and the
Interpretation of Narrative. University of Chicago Press.
Polkinghorne, Donald E. 1988. Narrative Knowing and the Human Sciences. State
University of New York Press.
Rimmon-Kenan, Shlomith. [1983] 1999. Narrative Fiction: Contemporary Poetics.
London: Routledge.
Skårderud, Finn. 2 0 0 2 . "Å skrive er en kjærlighetshandling. Paul Ausrer i samrale
med Finn Skårderud". In Samtiden: Tidsskrift for politikk, litteratur og
samfunnsspørsmål. 2-2002. Oslo: Aschehoug.
Springer, Carsten. 2001a. A Paul Auster Sourcebook. Frankfurt: Peter Lang.
. 2001b. Crises: The Works of Paul Auster. Frankfurr: Peter Lang.
C o p p o l a s Exhausted Eschatology:
Apocalypse Now Reconsidered
ASBJØRN
1
GRØNSTAD
In the fall o f 1 9 9 4 , as an u n d e r g r a d u a t e s t u d e n t at the University o f
California,
Santa
Barbara,
I wrote a t e r m p a p e r for A n n a
Brusutti's
" I n t r o d u c t i o n to C i n e m a " class. T h e p a p e r w a s called " E d i t i n g , mise-enscene, a n d c i n e m a t o g r a p h y in a selected s e q u e n c e f r o m Apocalypse
Now"
A l t h o u g h the reader's general c o m m e n t s were quite s y m p a t h e t i c to m y
rather
flagrandy
formalist analysis o f the " S u z i e Q" s e g m e n t , he d i d p o i n t
o u t that I h a d , to q u o t e a r e m a r k scribbled in the m a r g i n o n t h e last p a g e ,
" g l o s s e d over... s o m e o f the historical imagery." Little d i d I k n o w then that
the question o f history in relation to Apocalypse Now w o u l d resurface a l m o s t
a d e c a d e later in a s l i g h d y m o r e ceremonial context. G i v e n the chance, a m I
g o i n g to skirt the issue o n c e again? C a n w e felicitously talk a b o u t a f o r m o f
historical i m a g e r y that has n o t been s u b l a t e d b y w h a t T h o m a s Elsaesser in
his b o o k o n W e i m a r c i n e m a calls the historical imaginary?
E m b e d d e d in t h e c u r r e n t topic, q u i t e intriguingly, is a peculiar t y p e
o f p a r a d o x . O n t h e o n e h a n d , I a m specifically asked to present my
analysis o f F r a n c i s C o p p o l a ' s excessive a n d p e r h a p s o v e r - d i s c u s s e d film
Apocalypse Now ( 1 9 7 9 ) , o n the other h a n d this analysis is o n e that s h o u l d
b e carried o u t w i t h special reference to the i n t e r p r e t i v e — o r p e r h a p s
m e t h o d o l o g i c a l — c a t e g o r i e s o f film genre, historical c o n t e x t , a n d literary
pretext. W e are clearly in t h e r e a l m o f prefixed textualities here. H o w e v e r ,
I a m n o t at all s u r e that an analysis o f Apocalypse Now that is authentically
m y o w n w o u l d in fact b e c o m p a t i b l e w i t h t h e c o n c e r n s i n d i c a t e d in the
lecture t o p i c . T h a t is, h a d it o c c u r r e d to m e to d o scholarly w o r k o n this
' This essay is a revised version of a lecture offered as a "trial lecture" for the degree of Dr.
Art. at the University of Bergen, December 11, 2003. The topic for the lecture was "Your
analysis of Francis Coppola's Apocalypse Now (1979) with special reference to the film's
genre, historical context, and literary pretext." The occasion usefully presented me with an
opportunity to reassess the nature and substance of Coppola's vision in terms of what may
be seen as an anti-generic yet re-historicized sensibility.
121
C o p p o l a ' s Exhausted Eschatology: Apocalypse Now Reconsidered
particular film, m y critical e m p h a s i s w o u l d in all likelihood b e different.
C a n I, therefore, legitimately discuss C o p p o l a ' s film with regard to genre,
c o n t e x t , a n d pretext a n d still call the analysis mine? T h e struggle to
reconcile these conflicting perspectives will in diverse ways i n f o r m the
present a r g u m e n t , i n d i s p u t a b l y p r o v i d i n g m u c h horror a l o n g the way.
Reflecting u p o n Apocalypse
Now for the first t i m e in years, I realize
t h a t it is very difficult, p e r h a p s even i m p o s s i b l e , to conceive o f t h e film's
narrative as a p h e n o m e n o l o g i c a l entity entirely d i v o r c e d f r o m n o t i o n s o f
sheer size, s c o p e , scale, or m a g n i t u d e . A 1 6 - m o n t h s h o o t i n g s c h e d u l e , 2 0 0
h o u r s w o r t h o f footage, an e d i t i n g p r o c e s s that t o o k three years
to
c o m p l e t e , three different e n d i n g s , a n d a sense o f a general t u r m o i l o n the
set ( s u b s t a n c e a b u s e , a heart attack, threats o f suicide) that w o u l d p r o b a b l y
i m p r e s s even S a m P e c k i n p a h — t h e significance o f these facts is n o t merely
a n e c d o t a l . T h e c o n f o u n d i n g e n o r m i t y o f t h e film is an inextricable p a r t o f
Coppola's
text a n d as s u c h
it militates
against a n y predilection
for
Now is s i m p l y
t o o m o n u m e n t a l l y u n w i e l d y to b e relegated t o the formal stringencies o f
g e n r e . M o r e o v e r , an essential q u e s t i o n that n e e d s to b e a d d r e s s e d is h o w
o u r a p p r e c i a t i o n a n d u n d e r s t a n d i n g o f C o p p o l a ' s film is e n r i c h e d b y
d e f i n i n g it as a V i e t n a m film, a war film, or even as a genre film to b e g i n
w i t h . If, for instance, Apocalypse Now is a V i e t n a m film, is it a V i e t n a m
film in the s a m e w a y that, say, Casualties of War (Brian D e P a l m a 1 9 8 9 ) is
o n e ? D o e s the former s u g g e s t a generic i n t e n t i o n , or intentionality, in the
s a m e w a y that for e x a m p l e Chicago ( R o b M a r s h a l l 2 0 0 2 ) i n t e n d s to b e (in
t h e sense o f w a n t i n g to b e or a s p i r i n g to be) a musical, or Far
From
Heaven ( T o d d H a y n e s 2 0 0 2 ) a m e l o d r a m a ? F u r t h e r m o r e , w h y is it that
t h e p r o b l e m o f genre m a y b e b r o u g h t u p with respect to Apocalypse
Now
b u t h a r d l y in relation to the literary text f r o m w h i c h it putatively d r a w s its
p r i n c i p a l inspiration? (Heart of Darkness
is n o t a d v e n t u r e , n o t travel
literature, b u t a novel or novella, p e r i o d ) .
structuralist ramification; as a c i n e m a t i c project, Apocalypse
T h e idea o f genre usually implies a n inherited array o f formal or
t h e m a t i c c o n v e n t i o n s or attributes, w h i c h in turn c o m p r i s e s a tradition.
Meticulously
to
pinpoint
the textual
features
that c o n f o r m
to
pre-
e s t a b l i s h e d generic t a x o n o m i e s is o n t h e w h o l e an u n w e l c o m e enterprise,
a n analytical process that s o o n w o u l d have to c o n f r o n t w h a t A n d r e w
Tudor
o n c e referred to as the ' " e m p i r i c i s t d i l e m m a ' "
(1986:
5):
to
d e t e r m i n e w h e t h e r a given film is a W e s t e r n requires a set o f e m p i r i c a l l y
verifiable criteria, b u t in order to k n o w w h a t these criteria are o n e w o u l d
first n e e d an a priori c o n c e p t i o n o f w h a t constitutes a W e s t e r n .
122
Such
Asbjørn Grønstad
t a u t o l o g i c a l g y m n a s t i c s rarely represents a n y t h i n g m o r e t h a n " a crudely
useful w a y o f d e l i n e a t i n g the A m e r i c a n c i n e m a " ( 1 9 8 6 : 3 ) . A c c o r d i n g to
T h o m a s S o b c h a c k , the g e n r e film is a structure that e m b o d i e s the i d e a o f
f o r m a n d t h e strict a d h e r e n c e
to form that is opposed to experimentation, novelty, or tampering
with the given order o f things. T h e genre film, like all classical art,
is basically conservative, both aesthetically and politically. T o
embody a radical tenor or romantic temper in a classical form is to
violate that form at its heart. (1986: 112)
Splendidly
experimental,
Coppola's
sensibility
seems
by
and
large
antithetical to this d o g m a t i c " a d h e r e n c e to f o r m " w h i c h typifies t h e g e n r e
film.
K u r t z a n d K i l g o r e , for e x a m p l e , are a far cry f r o m the k i n d o f s t o c k
characters t h a t p o p u l a t e g e n e r i c
fiction.
In t h e case o f Apocalypse
Now, the all t o o p r o b a b l e dysfunctionality o f
w h i c h T u d o r h i n t s at is certainly n o t
d i m i n i s h e d b y t a k i n g into a c c o u n t the u n a m b i g u o u s a u t e u r status
c o n f e r r e d u p o n C o p p o l a at the t i m e . A u t e u r i s m , a c o n c e p t w h i c h s e e m s to
g r o w increasingly recalcitrant the m o r e i n d i g n a n t l y it is d e c l a r e d to b e
defunct, has always h a d a t r o u b l e d relationship w i t h t h e n o t i o n o f g e n r e .
T h u s , Barry
Lyndon
is a S t a n l e y K u b r i c k film first, a c o s t u m e
d r a m a / h i s t o r i c a l e p i c o n l y s e c o n d ; Reservoir Dogs is a T a r a n t i n o film first,
a g a n g s t e r m o v i e s e c o n d . T h i s particular a m b i v a l e n c e w h i c h characterizes
t h e relation b e t w e e n g e n r e a n d a u t e u r i s m is crystallized b y t h e case o f J o h n
F o r d ; his films are n o t merely W e s t e r n s , b u t , m u c h m o r e revealingly, J o h n
F o r d W e s t e r n s , w h i c h is s o m e t h i n g altogether different. Finally, a genre's
visual a n d narrative c o d e s , or " i c o n o g r a p h i e s , " w h i c h S o b c h a c k calls t h e m
( 1 9 8 6 : 1 0 6 ) , m a y occasionally b e deceptive. J a n e C a m p i o n ' s recent In the
Cut ( 2 0 0 3 ) , for e x a m p l e , is g y n o c e n t r i c yet p o s t - f e m i n i s t art c i n e m a in t h e
g u i s e o f a c o n v e n t i o n a l thriller. T h e p o i n t is n o t h o w e v e r that a n y generic
r e a d i n g o f t h e film is invalid b u t rather that a c o m p r e h e n s i o n o f a film like
In the Cut in terms o f g e n r e unnecessarily constrains the
film's
h e r m e n e u t i c a l c o m p a s s . U n d e r t a k e n slavishly, g e n r e criticism b e c o m e s a
g u a r a n t o r for t h e reaffirmation o f the o b v i o u s . In short, t h e t h e m a t i c stylistic strictures o f g e n r e m a y at t i m e s p r o m o t e a particular k i n d o f
m y o p i a ; g e n e r i c c o n v e n t i o n s b e c o m e a n o b f u s c a t o r y screen w h i c h thwarts
rigorous
generic
formations
2
2
See Tom Ryall's article "Genre and Hollywood" for a more thorough discussion of the
relationship between auteurism and genre.
123
Coppola's Exhausted Eschatology: Apocalypse Now Reconsidered
a n y a t t e m p t to m o v e b e y o n d a surface reading o f a text. A s t h e late
R a y m o n d D u r g n a t a r g u e d , " I n s o f a r as n o two m o v i e s p o s e q u i t e the s a m e
p r o b l e m in q u i t e t h e s a m e terms, n o two movies can h a v e q u i t e the s a m e
theme" (1977: 8).
A n d y e t — w i t h regard to Apocalypse
Now—we
c a n n o t really d i s p e n s e
whole-heartedly with the n o t i o n o f genre. T h a t w o u l d b e t o o
facile.
P e r h a p s C o p p o l a ' s m o v i e is akin to that other leviathan o f A m e r i c a n
c i n e m a , Citizen
Kane,
in that, a l t h o u g h it displays s o m e elements that
c o u l d b e d e s c r i b e d as generic, it is n o t in a n y f u n d a m e n t a l w a y a genre
film.
Adventure,
Vietnam
film,
action
movie,
Now c o n t a i n s figural shards o f all
these genres, a n d thus the film m a y best b e characterized as transgeneric.
J u s t as the inter-relations between different genres are essentially " m o b i l e , "
w h i c h N i c k B r o w n e p o i n t s o u t in his preface to the 1 9 9 8 a n t h o l o g y
Refiguring
American
Film Genres ( 1 9 9 8 : xiv), s o are the intrafilmic
relations between different generic constellations volatile a n d fluid. T h e
p e r f o r m a n c e o f s u c h hybridity in Apocalypse
Now m a k e s the film
generically i m p u r e . C o - e x i s t i n g o n the s a m e narrative canvas are features
associated with the V i e t n a m film (the diegetic c h r o n o t o p e , the setting, is
V i e t n a m a n d C a m b o d i a d u r i n g the war); the action film ( C o p p o l a resorts
to spectacle in the scene where K i l g o r e ' s T e u t o n i c a r m y a t t a c k the village);
t h e h a r d b o i l e d genre ( M i c h a e l H e r r ' s voiceover n a r r a t i o n , as J o h n
H e l l m a n n has r e m a r k e d , s e e m s to e m u l a t e the style o f R a y m o n d C h a n d l e r
( 1 9 8 6 : 1 9 1 ) ) ; the travel/adventure film (the e x p e d i t i o n u p the r i v e r ) — i n
this context p e r h a p s a k i n d o f p r i m o r d i a l inversion o f the r o a d m o v i e ; a n d ,
finally,
the psychological d r a m a (the speculative e x p l o r a t i o n o f the
fractured psyches o f b o t h W i l l a r d a n d K u r t z ) . In a d d i t i o n , C o p p o l a also
alludes to the W e s t e r n ; the c i r c u m s t a n c e s in w h i c h W i l l a r d is a s s i g n e d his
m i s s i o n are r e m i n i s c e n t o f t h o s e seen in countless W e s t e r n s in w h i c h an
p s y c h o d r a m a , travel
war
film,3
noir,
film—Apocalypse
4
3
Gilbert Adair, interestingly, has called attention to the fact Apocalypse Now "bears little
resemblance... [to] the traditional war movie" (1981: 148).
4
Hellmann partly builds on Veronica Geng's observation in the New Yorker that
"Willard talks in the easy ironies, the sin-city similes, the weary, laconic, why-am-I-evenbothering-to-tell-you language of the pulp private eye" (1979: 70). This interpretation is
supported by Storaro's camera's itemization in the film's opening scene of objects often
associated with the hardboiled genre, like the bottle of liquor, the revolver, the cigarette
dangling Humphrey Bogart-style from Willard's lips. Then there is the fact that the name
of Chandler's most famous protagonist is almost identical to that of Conrad's narrator in
Heart of Darkness.
124
Asbjørn Grønstad
a p p r e h e n s i v e c o m m u n i t y talks the d r u n k e n a n d d i s i l l u s i o n e d g u n f l g h t e r
i n t o t a k i n g o n o n e last j o b in o r d e r to save the t o w n s h i p f r o m the t h u g s
w h o c o n t r o l it. Apocalypse
Now
also a b o u n d s w i t h i c o n o g r a p h i c debris
from the Western, an obvious example o f which would be the cowboysa n d - I n d i a n s regalia in the " S u z i e Q" s e q u e n c e .
L a s t b u t n o t least, the film m a y also b e a p p r o a c h e d as a m o d e r n - d a y
r e w o r k i n g o f o n e o f the oldest o f A m e r i c a n textual genres, t h e late 1 7 *
c e n t u r y captivity narrative. T h i s is a structural affinity that, as far as I a m
a w a r e , h a s n o t been explicitly i n v o k e d a n y w h e r e in t h e extensive s e c o n d a r y
literature o n the film. L i k e the 1 7 * c e n t u r y f r o n t i e r s m a n , b o t h K u r t z a n d
W i l l a r d leave their families ( a n d "civilization") b e h i n d to v e n t u r e i n t o the
wilderness,
which
according
to
Puritan
philosophy
was
seen
m a t e r i a l i z a t i o n o f the t o p o g r a p h y o f m e t a p h y s i c a l hell ( S l o t k i n
as
a
1973:
1 0 9 ) . K u r t z ' s d e s c e n t into m a d n e s s evidently entails a t r a n s f o r m a t i o n o f
self that recalls facets o f the c o n v e r s i o n narratives: t h e s u s p e n s i o n o f all
principles related to C h r i s t i a n m o r a l i t y , the a d o p t i o n o f the i n h u m a n laws
o f the wilderness, the c o m p l e t e a b a n d o n m e n t o f civilization, a n d
the
horrifying reinvention o f o n e s e l f as " a beast, a wilderness t h i n g , " to cite
Richard
Slotkin's
Indianization
characterization
(1973:
of Mary
Rowlandson's
1 1 0 ) . A l t h o u g h in Apocalypse
Now
process
of
K u r t z is the
c a p t o r rather t h a n the captive, h e still s e e m s to b e enslaved b y the a n a r c h i c
forces o f the savage wilderness. After all, the film o p e n s with an o m i n o u s
i m a g e t h a t literalizes that "wilderness o f p a i n " w h i c h J i m M o r r i s o n s i n g s
a b o u t o n the accompanying
s o u n d t r a c k . T h i s is a n i m a g e to
which
c o m p l e x relationships a c c r u e as w e c o m e to learn that these visions m a y b e
t h e p r o j e c t i o n s o f W i l l a r d ' s m i n d s c r e e n , to use B r u c e K a w i n ' s t e r m ( 2 0 0 0 :
7 9 ) . A t a n y rate, the s u b t e x t o f the captivity narrative in Apocalypse
a s u b j e c t w h i c h deserves to b e e x a m i n e d m o r e extensively
Now is
elsewhere.
Particularly exciting in that respect is the i n t i m a t i o n o f a c o n n e c t i o n
b e t w e e n P u r i t a n m y t h o g r a p h y a n d its e m p h a s i s o n regeneration o n the
o n e h a n d w i t h Apocalypse
Now's
inscription o f the l e g e n d o f the Fisher
K i n g on the other.6
Although he does not use the term, John Hellmann seems to allude to the genre of the
captivity tales when he interprets Kurtz's deflection as an escape from the decadence of
American society comparable to the "mythic journey by which the Western hero
continually regenerated the American identity" (1986: 196).
6
A critic like Karl French, for example, sees the Fisher King narrative as "the defining
myth" of the film (1998: 78).
5
125
C o p p o l a ' s Exhausted Eschatology: Apocalypse Now Reconsideted
T h i s expressionistic internalization o f the horrors o f war with which
Apocalypse Now begins situates the narrative o n t h e t h r e s h o l d o f history
a n d allegory. T h e self-consciously surreal scene b y the D u L o n g bridge, for
e x a m p l e , a p p e a r s to allegorize the a b s e n c e o f military leadership in
V i e t n a m ( T o m a s u l o 1 9 9 0 : 1 5 1 ) . O c c u p y i n g an i n d e t e r m i n a t e , liminal
textual s p a c e w h i c h at o n c e flows a w a y f r o m a n d b a c k into history, the
film creates an oscillatory historical c o n t e x t that is c o n t i n u o u s l y
s u p e r s e d e d b y intertextuality, m y t h , a n d the w o r k o f semiosis. D e s p i t e its
occasional i m m e r s i o n in pyrotechnics, Apocalypse Now is a strangely
introspective m o v i e , o n e that s e e m s m o r e c o n t e n t with e x p l o r i n g the
n a t u r e o f the u n h i n g e d m i n d — a l o n g with the s e d i m e n t a t i o n o f cultural
m e m o r y in the f o r m o f q u o t a t i o n — t h a n in elaborating o n the m a n y
references to the V i e t n a m war w h i c h overlay the narrative. T h r o u g h o u t
t h e film o n e gets a sense that the V i e t n a m setting merely provides a
g e o g r a p h i c a l a n d c o n c e p t u a l b a c k d r o p for an e x a m i n a t i o n o f other issues.
I n this sense Apocalypse Now is n o m o r e a b o u t V i e t n a m t h a n T e r e n c e
M a l i c k ' s The Thin Red Line ( 1 9 9 8 ) is a b o u t the s e c o n d w o r l d war.
C o p p o l a ' s failure p r o p e r l y to address the war experience is a c c o r d i n g to
A l b e r t A u s t e r a n d L e o n a r d Quart d u e to the fact that the film
"universalizes a n d abstracts the war b y m a k i n g its terror p a r t o f the h u m a n
c o n d i t i o n rather t h a n a result o f specific social a n d political forces" ( 1 9 8 8 :
7 0 ) . W h i l e it is evident that s e q u e n c e s s u c h as the o n e in w h i c h W i l l a r d
m u r d e r s t h e V i e t n a m e s e w o m a n o n the b o a t resonate w i t h historical
a s s o c i a t i o n (in this case to the M y Lai m a s s a c r e ) , (See Jeffrey C h o w n
1 9 8 8 : 1 3 8 ) , they nevertheless seem parenthetical, narratively s p e a k i n g ,
w i t h i n t h e c o n t e x t o f the allegorical f r a m e w o r k o f the film as a w h o l e . In
a n y event, whatever historical saliency these references p o s s e s s is easily
dwarfed by the m o r e resolutely surreal a n d m e t a p h y s i c a l final p a r t a n d b y
t h e s h a d o w y a p p e a r a n c e o f the figure o f K u r t z in particular. T h o u g h I
c a n n o t e n d o r s e F r a n k P. T o m a s u l o ' s definition o f the film as "ahistorical,"
his c l a i m t h a t Apocalypse Now " e l i d e d the specificity o f its historical
m o m e n t " b y " s e e k i n g timeless a n d universal T r u t h s a b o u t t h e H u m a n
C o n d i t i o n " is b y far a m o r e c o n v i n c i n g r e a d i n g o f the film t h a n t h o s e
w h i c h f o r e g r o u n d its historical e m b e d d e d n e s s ( 1 9 9 0 : 1 5 4 ) . T h e a p p a r e n t
7
7
At stake in those readings which do in fact assume that Apocalypse Now is "about"
Vietnam is, quite evidendy, the question of the film's position vis-å-vis the conflict. While
critics like Jakob Lothe consider the film to be both a critique of American warfare in
Vietnam and "a fictional statement on... the human psyche" (2000: 178), Tomasulo
(despite elsewhere labeling the movie "ahistorical") proffers a more critical reading that
126
Asbjørn Grønstad
e a s e with w h i c h t h e
filmmaker
has t r a n s p o s e d J o s e p h C o n r a d ' s
Congo
i n t o A m e r i c a ' s V i e t n a m / C a m b o d i a a d d s credibility to this assertion.
T h a t C o p p o l a ' s V i e t n a m represents a setting m o r e s y m b o l i c than real
w a s a d i m e n s i o n critics also s o o n p i c k e d u p o n . R e v i e w i n g the film for the
Atlantic in D e c e m b e r 1 9 7 9 , W a r d J u s t p a n n e d it for its failure t o reflect or
p o r t r a y the war in realistic t e r m s : " I a m p u z z l e d a n d a p p a l l e d , " he writes,
" a t the n e e d for i n v e n t i n g a m e t a p h o r for t h e V i e t n a m w a r " ( 1 9 7 9 : 6 3 ) .
D o e s T o m a s u l o ' s a r g u m e n t t h a t the director " t u r n e d t h e real-life
specificity o f U . S. i m p e r i a l i s m into a n abstract a n d p h i l o s o p h i c a l
c i n e m a t i c m e d i t a t i o n o n g o o d a n d evil" then c o n s t i t u t e a feasible
a s s e s s m e n t o f the film ( 1 9 9 0 : 1 4 7 ) ? I w o u l d s u b m i t that his thesis b o t h
o v e r e m p h a s i z e s t h e m e t a p h y s i c a l aspect a n d u n d u l y d o w n p l a y s the film's
historical i m p o r t . T h e crucial q u e s t i o n , as I see it, is n o t whether
Apocalypse Now e n g a g e s w i t h history b u t rather h o w it d o e s it. It s e e m s
i n d i s p u t a b l e , however, that C o p p o l a has failed to m a k e a m o v i e that in
a n y m e a n i n g f u l w a y can b e said to b e a reflection o f h i s t o r y in t h e m i m e t i c
sense. Yet this is a film w h i c h is h i g h l y c o g n i z a n t o f historical issues, a n d
specifically o f history as a textual process. S o m e scenes in Apocalypse
Now
in fact c o m e across as a critique o f the p o p u l a r m e d i a ' s a p p r o p r i a t i o n o f
historical imagery. T h e " S u z i e Q" m o m e n t , for i n s t a n c e , collates a r a n g e
o f fragments o f d i s p a r a t e cultural p h e n o m e n a into o n e c o m m a n d i n g
t r o p e : the western-style outfits w h i c h t h e p l a y m a t e s w e a r s u g g e s t b o t h the
history o f frontier atrocity a n d i m p e r i a l i s m a n d H o l l y w o o d ' s rather l o o s e
r e c o n s t r u c t i o n o f that history; this s u g g e s t i o n in turn establishes a
rhetorical a n a l o g y between the I n d i a n g e n o c i d e a n d V i e t n a m (a
c o m p a r i s o n a c c e n t u a t e d b y cut-aways to the V i e t n a m e s e t h r o n g s e p a r a t e d
f r o m the soldiers b y a fence, a spatial relationship w h i c h further c o n n o t e s
8
suggests that Apocalypse Now is "filled with double binds and mixed messages in its attempt
to have it both ways" (1990: 153). According to Tomasulo, it is this moral vacillation
which renders the film apolitical. "It is tantamount to ethical 'fence-sitting'," he maintains,
"to suggest that the political and combat realities of an illegal and imperialist war can be
incorporated into a vague philosophical unity of opposites" (1990: 154). More a prowar
than an antiwar narrative, Tomasulo asserts that Coppola "might be saying that had
Americans made war with the passion of Colonel Kilgore, the cool of Captain Willard, and
the brutal honesty of Colonel Kurtz, the United States would have won" (1990: 149).
8
The tone of Just's criticism was to some extent symptomatic of the critical reception of
the film; the reviewers attacked the film for its costly production, for its autobiographical
dimension, and for being politically conservative (Lewis 1995: 170). In
Overexposure,
David Thomsen alleged that the film was "as conservative as Birth of a Nation" (1981:
312).
127
A m e r i c a n reservation p o l i c y ) ; the s e q u e n c e features several reaction shots
w h i c h p r e s e n t the soldiers' e u p h o r i c r e s p o n s e to a diversion w h i c h brings
t o g e t h e r the twin legacies o f m i s o g y n y a n d racialism; a n d , finally, the
showbiz
factor
that
permeates
the
entire
sequence
testifies
to
the
significance o f history as spectacle in the A m e r i c a n c o n s c i o u s n e s s . T h e
p e r f o r m a n c e o f ersatz history in the " S u z i e Q"
s e g m e n t thus b e c o m e s a
truly c i n e m a t i c rethinking o f the p a s t as it i m p i n g e s u p o n the present.
I h a v e c h o s e n to delineate the logistics o f this scene in such detail
b e c a u s e it pertinently illustrates the i m p o r t a n c e o f t h e l o o k as far as the
relationship
between
filmicity
and
historiography
is c o n c e r n e d .
The
n u m e r o u s reaction shots o f the c r o w d c h e e r i n g a n d l o o k i n g offer a visual
s h o r t h a n d for t h e w a y in w h i c h the spectator's gaze b o t h inscribes a n d is
inscribed b y the c o n t i n g e n c i e s o f textualized history. A n y d i s c u s s i o n o f a
film's
historical c o n t e x t s h o u l d at the very least be aware o f the instability
o f the process o f l o o k i n g a n d o f the i m p o s s i b i l i t y o f an ahistorical gaze.
H e n c e , it is n o t necessarily the film that s h o u l d b e the p r i m a r y o b j e c t o f
historicization b u t rather the l o o k itself, sited as it m a y be in the exigencies
o f the historical m o m e n t .
T h e p r o b l e m o f sight as it encroaches u p o n the h e r m e n e u t i c a l task
b r i n g s m e to that profusely d e b a t e d issue o f the relation between C o n r a d ' s
novella a n d C o p p o l a ' s film. H o w the film b o t h differs f r o m a n d is similar
t o the novella has b e e n painstakingly m a p p e d o u t elsewhere, a n d I will n o t
p r e t e n d to b e interested in rehashing t h e m i n u t i a e o f this w o r k here. W h a t
c o n c e r n s m e m o r e is the c o n c e p t u a l link between the t w o texts. A l t h o u g h
I
do
not
believe
that
an
analysis
o f Apocalypse
Now
requires
an
( u n h y p h e n a t e d ) pretext, literary or otherwise, there c a n b e n o d o u b t that
t h e eccentricity o f the c o n n e c t i o n between C o n r a d a n d C o p p o l a p r o v o k e s
a
peculiar
fascination.
Jean-Pierre C o u r s o d o n
o n c e characterized
c i n e m a o f A r t h u r P e n n as " c o n s c i o u s n e s s s t r u g g l i n g to e m e r g e
the
from
d a r k n e s s " ( 1 9 8 3 : 2 6 4 ) . It is t e m p t i n g — a n d a g a i n w e are o p e r a t i n g o n a
purely
conceptual
elucidation
level—to
read
Apocalypse
Now
as
a
cinematic
o f the d a r k n e s s o f its literary s o u r c e . C o n r a d , w h o
first
Magazine
in
1 8 9 9 , after all referred to C o n g o as " t h e t h r e s h o l d o f t h e invisible" ( 1 9 6 9 :
5 9 3 ) . In a n article o n H e r b e r t L a n g ' s C o n g o p h o t o g r a p h s , m o r e o v e r ,
N i c h o l a s M i r z o e f f writes that t h e e n c o u n t e r w i t h the heart o f d a r k n e s s w a s
" a visual p r o b l e m f r o m the o u t s e t " ( 1 9 9 8 : 1 7 2 ) . V i s i o n , o f c o u r s e , often
functions as a m e t a p h o r for p e r c e p t i o n o n an intellectual level, insight in
short (consider for instance the e t y m o l o g y o f t h e t e r m " t h e o r y " ) , a n d it is
p u b l i s h e d t h e story in the appositely entitled Blackwood's
128
Asbjørn Grønstad
t h e i m p l i c a t i o n s o f this m e t a p h o r for o u r r e a d i n g o f C o p p o l a ' s text a n d its
relation to its p r e c u r s o r text t h a t m i g h t b e further delved i n t o .
The
significance o f the act o f l o o k i n g s e e m s to b e overtly t h e m a t i z e d near the
e n d of Apocalypse
Now, m o r e specifically in t h e s c e n e w h e r e W i l l a r d ' s crew
is a p p r o a c h i n g K u r t z ' s m i a s m i c village t h r o u g h an i m p e n e t r a b l e fog. " D o
y o u see a n y t h i n g , C h e f ? , " C h i e f s h o u t s shortly b e f o r e he is killed b y a
spear. W h e n W i l l a r d is finally i n t r o d u c e d to K u r t z , the colonel's face is
e n g u l f e d in s h a d o w s . T h e m a n s e e m s to b e g r a d u a l l y e m e r g i n g
from
d a r k n e s s , j u s t as C o p p o l a is g r a d u a l l y r e c u p e r a t i n g C o n r a d ' s vision. T h i s
repossessive m e t h o d represents p e r h a p s a n act o f w h a t V i t t o r i o S t o r a r e —
C o p p o l a ' s c i n e m a t o g r a p h e r f a m o u s for his c o l l a b o r a t i o n with B e r n a r d o
B e r t o l u c c i a n d C a r l o s S a u r a — c a l l s writing
with light (which is also the
more
u r g e n t o b j e c t o f r e c u p e r a t i o n for C o p p o l a ' s film m a y be O r s o n Welles's
a b o r t e d p r o j e c t Heart of Darkness f r o m 1 9 4 0 . Apocalypse Now s e e m s to b e
h a u n t e d b y the film that w a s never m a d e a n d b y t h e c o n c e i v a b l e
p e r m u t a t i o n in Welles's m i n d o f t h e figures o f C i t i z e n K a n e a n d C i t i z e n
K u r t z . (See also Elsaesser a n d W e d e l 1 9 9 7 : 1 5 1 ) .
title o f his recent b o o k o n c i n e m a t o g r a p h y ) . H o w e v e r , a n even
9
T h e r e is litde justification for considering Apocalypse
Now to b e an
of Darkness as the
basis for the film occurs in its n o m i n a t i o n for B e s t Screenplay b a s e d o n
material f r o m another m e d i u m at the A c a d e m y A w a r d s (French 1 9 9 8 : 4 ) .
H o w d o w e explain this act o f omission? W h y has C o p p o l a suppressed this
literary pre-text? T h r o u g h o u t c i n e m a history there h a v e been q u i t e a few
instances in which a literary source has in fact been a c k n o w l e d g e d even
w h e n the film exhibits n o tangible traces o f its alleged precursor. A case in
p o i n t w o u l d b e C a r l T h e o d o r Dreyer's Leaves From Satan's Book ( 1 9 1 9 ) ,
which has litde to d o with M a r i e Corelli's Sorrows Of Satan. A c c o r d i n g to
M i k h a i l I a m p o l s k i , this k i n d o f m i s q u o t i n g transpires w h e n a text willfully
represses its source: "Intertextuality... works n o t o n l y to establish precursors
b u t also to d e n y t h e m " ( 1 9 9 8 : 7 9 ) . I a m p o l s k i ' s Bloomian-inflected theory is
particularly a p p r o p r i a t e for a reading o f Apocalypse Now in that the
a d a p t a t i o n . In fact, the o n l y official recognition o f Heart
Welles first adapted Conrad's story as a radio production for his Mercury Company.
When he later came to Hollywood, Welles intended to make a movie in which he both
directed and played the roles of Marlow and Kurtz. Unfortunately, due to financial
difficulties, Welles ultimately had to abandon the project (French 1998: 99). For further
insights into Welles's radio version of Heart of Darkness, see Robert Spadoni, "The Seeing
Ear: The Presence of Radio in Orson Welles's Heart of Darkness," Conrad on Film, Ed.
Gene M. Moore, Cambridge: Cambridge UP, 1997, 78-92.
9
129
mechanism
of
textual
repression
and
replacement
finds
a
diegetic
counterpart in the relationship between Willard a n d Kurtz. Significantly,
the text represses even this " d e g r a d a t i o n o f the father" m o t i f (Elsaesser a n d
W e d e l 1 9 9 7 : 1 5 7 ) , for instance in that the part o f the film's signature s o n g
in which J i m M o r r i s o n gives full vent to his O e d i p a l ravings is o m i t t e d .
T h e reason for C o p p o l a ' s repression o f C o n r a d ' s novella, I w o u l d
s u r m i s e , m i g h t b e c o m e clear if w e bear in m i n d that Apocalypse
Now
selfm y t h o l o g i z a t i o n . A s Karl F r e n c h p o i n t s o u t , this was a film that was
" d e s i g n e d as a m o d e r n m y t h " a n d " g r a n t e d near-mythical status even in its
m a k i n g , l o n g before a n y o n e h a d seen it" ( 1 9 9 8 : 9 6 ) . T h e film's selfreflexive, m e t a c i n e m a t i c quality is also m a d e manifest b y C o p p o l a ' s c a m e o
w h e r e h e tells W i l l a r d " D o n ' t l o o k at the c a m e r a . J u s t g o b y as if y o u ' r e
fighting,"
a rhetorical m a n e u v e r later referenced b y S t a n l e y K u b r i c k in his
c o n s i d e r a b l y m o r e a u d a c i o u s l y anti-war film Full Metal Jacket ( 1 9 8 7 ) . A s a
m a t t e r o f fact, the p r o d u c t i o n history o f Apocalypse Now c o m p e t e s with
t h e film's story itself w h e n it c o m e s to m a d n e s s a n d excess, a n d the
finished
m o v i e is less a reflection o f historical events t h a n o f the
a s p i r a t i o n s a n d c o n d i t i o n s o f its o w n m a k i n g . "I t h o u g h t I w a s m a k i n g a
w a r f i l m , " the director told C h a r l e s M i c h e n e r in an interview in
Newsweek, " a n d it d e v e l o p e d that the film was m a k i n g m e " ( 1 9 7 9 : 1 0 1 ) .
F r a u g h t with a h u b r i s a n d a singularity o f vision n o a d a p t a t i o n can
s u s t a i n , the film has to s u p p r e s s its s o u r c e material s o as n o t to a p p e a r
derivative. H o w e v e r , as far as intertextuality is c o n c e r n e d , C o n r a d ' s text is
j u s t the tip o f the iceberg.
stands
as
perhaps
cinema's
most
unashamedly
obvious
act
of
10
A g a i n w a t c h i n g the o p e n i n g s e q u e n c e o f Apocalypse
Now, listening to
J i m M o r r i s o n i n t o n e the w o r d s " T h i s is the e n d , " I c a n n o t help b u t b e
r e m i n d e d o f another illustrious e n d , that o f J e a n - L u c G o d a r d a n n o u n c i n g
t h e " e n d o f c i n e m a " in Weekend ( 1 9 6 7 ) .
A n d it then o c c u r s to m e that
this c a t a c l y s m i c preface to C o p p o l a ' s film m a y b e t h o u g h t o f as a narrative
e n a c t m e n t o f G o d a r d ' s p r o c l a m a t i o n . A m o v i e that f r o m its i n c e p t i o n was
i n t e n d e d as c i n e m a ' s m o s t extravagant s t a t e m e n t , Apocalypse
Now sets o u t
t o t r a n s c e n d c i n e m a t i c history b y obliterating its influences. T h e series o f
10
One may note that for Auster and Quart, it is this interference of the filmmaker's
"personal quest" that "clouds the connection between Apocalypse Now and the Vietnam
experience" that the film purportedly aimed to depict (1988: 70).
" As Lothe has pointed out, the scene which inaugurates the narrative of Apocalypse
invokes both a "prologue and [an] epilogue at the same time" (2002: 50).
130
Now
Asbjørn Grønstad
superimpositions
with
which
the
narrative s t a r t s — t h e
jungle
ablaze,
W i l l a r d ' s face, the r o t a t i n g f a n — g e s t u r e s t o w a r d t h e film's p a l i m p s e s t i c
aesthetic. Apocalypse
Now
is o f c o u r s e n o t h i n g if n o t a d e n s e l y t h o u g h
elusively allusive film, a n d apart f r o m t h e m o r e p a l p a b l e references to
C o n r a d , E l i o t , Frazer, W e s t o n , a n d the B o o k o f R e v e l a t i o n , there is a
m u n i f i c e n t spillover o f evocative a n d h a u n t i n g traces f r o m other texts. I
p r o p o s e the t e r m liquidfigurality
for this spillover function.
E d u c a t e d at H o f s t r a U n i v e r s i t y a n d U C L A , C o p p o l a b e l o n g e d to the
first g e n e r a t i o n o f f i l m m a k e r s that were movie-literate in a m o r e a c a d e m i c
sense, a c i r c u m s t a n c e w h i c h to s o m e extent a c c o u n t s for his " p e n c h a n t for
a l l u s i o n i s m " ( T o m a s u l o 1 9 9 0 : 1 5 6 ) . 1 2 T h a t t h e director m u s t h a v e been
s o m e w h a t conflicted in his a p p r o a c h to his o w n w o r k m a y b e e v i d e n c e d in
t w o largely c o n t r a d i c t o r y s t a t e m e n t s that h e m a d e a r o u n d t h e t i m e o f the
film's
release.
At
the
Cannes
press
conference,
he
declared
rather
p r e t e n t i o u s l y that " M y film is n o t a m o v i e . M y film is n o t a b o u t V i e t n a m .
It is V i e t n a m "
(French
1 9 9 8 : 2 4 , e m p h a s i s in original). B u t in an
Stone t h e s a m e year, he t o l d reporter G r e i l M a r c u s
that "style was g o i n g to b e t h e w h o l e m o v i e " ( 1 9 7 9 : 5 5 ) . T h e r e s e e m s to
b e a n i n h e r e n t a n t a g o n i s m here between t w o different c o n c e p t i o n s o f the
film, o n e w h i c h stresses its "hyper-reality," the o t h e r e m p h a s i z i n g its
aestheticism. It is the latter that ultimately prevails.
interview w i t h Rolling
Some
critics
have
argued
that
Apocalypse
Now
epitomizes
" H o l l y w o o d ' s a t t e m p t to recover its p o s i t i o n as a p r e e m i n e n t m y t h m a k e r
in A m e r i c a n c u l t u r e " (Auster a n d Q u a r t 1 9 8 8 : 7 1 ) . A s I h a v e i n d i c a t e d
elsewhere, m a k i n g sense o f individual films b y a p p l y i n g
mythological
registers m a y b e a rather h a z a r d o u s a n d even m e t h o d o l o g i c a l l y u n s o u n d
a p p r o a c h w h i c h t e n d s to c o u r t an i r k s o m e d i s r e g a r d for textual specificity
a n d for t h e material s e n s u o u s n e s s o f t h e filmic i m a g e . B e c a u s e it is
helplessly
postmodernist
first, Apocalypse
Now
cannot
be
but
post-
m y t h o l o g i c a l also. P e r h a p s there is a n irrepressible t e n s i o n here, b e t w e e n
o n t h e o n e h a n d t h e film's a m b i t i o n actually to b e , o x y m o r o n i c a l l y , a
p o s t m o d e r n m y t h (hence its repression o f m a n y o f its s o u r c e s ) , a n d o n t h e
o t h e r its often inadvertent yet e n d e m i c a l l u s i o n i s m (or w h a t I h a v e j u s t
referred to as l i q u i d figurality). Apocalypse Now signals n o t o n l y t h e d e m i s e
of
a
coherent
mythology,
but,
more
importantly,
the
end
of
the
t e m p o r a l i t y o f texts, to m o d i f y slightly the title o f F r e d r i c J a m e s o n ' s recent
12
In Tomasulo's view, it is precisely this inclination toward citation which is seen as
responsible to the "depoliticization" of the Vietnam conflict in the movie (1990: 156).
131
article in Critical
Inquiry.
B y synthesizing canonical a n d c o n t e m p o r a r y
texts, b y t u r n i n g textual c h r o n o l o g y i n t o discursive spatiality, the film
reconfigures c i n e m a ' s relations with genre, history, a n d its literary origins.
T h e overall effect m i g h t b e s o m e t h i n g a n a l o g o u s to w h a t J a m e s o n refers to
as " t h e r e d u c t i o n to the p r e s e n t " ( 2 0 0 3 : 7 1 7 ) .
Quite
evidendy,
then,
Apocalypse
Now
is
a
semiotically
o v e r d e t e r m i n e d film, w i t h all the possible repercussions this m a y have for
t h e m o d e s o f spectatorship. In their analysis o f the s o n i c textures
of
C o p p o l a ' s m o v i e , T h o m a s Elsaesser a n d M i c h a e l W e d e l call a t t e n t i o n to a
similar issue in the following passage:
Through the jungle of discourses that constitute its textual form,
from the biographical to the technological, from the aesthetic
to the political, its textual density seems if anything to have become
more 'substantial' as time goes by, without thereby becoming
either more realistic or more fantastic, but demanding a different
'ontology of the filmic image,' which is to say, a different spectator
(1997: 172)
T h i s is a spectator w h o in her r e a d i n g will h a v e to a c c o m m o d a t e the
prerequisites o f a l i q u i d figurality, w h o will have to be as aware o f the
film's references to m o v i e history as o f those to G r e e k m y t h o l o g y .
It
certainly is significant that W i l l a r d ' s P B R is n a m e d Erebus, after the G r e e k
son
of Chaos
and
brother o f N i g h t , a n d that he is m e n t i o n e d in
Caesar, a n d in turn that this play is a k e y s o u r c e for
E l i o t ' s p o e m " T h e H o l l o w M e n , " parts o f which are indistinctly recited b y
B r a n d o ' s K u r t z at the e n d o f the film. E r e b u s is o f c o u r s e also m e n t i o n e d
in Virgil's The Aeneid, w h i c h C o p p o l a ' s original scriptwriter J o h n M i l i u s
h a s cited as his m a i n inspiration for the story. B u t , it is equally significant
t h a t the idea o f u s i n g R i c h a r d W a g n e r ' s " T h e R i d e o f t h e V a l k y r i e s " is
lifted f r o m D . W . Griffith's Birth of a Nation ( 1 9 1 5 ) , that t h e s e q u e n c e in
w h i c h K u r t z is killed a n d the water buffalo sacrificed b o r r o w s n o t o n l y
f r o m C o p p o l a ' s o w n The Godfather ( 1 9 7 2 ) b u t , m o r e p r o m i n e n t l y , f r o m
Sergei Eisenstein's Strike ( 1 9 2 5 ; a n d see C h o w n 1 9 8 8 : 1 4 5 ) , a n d that the
p h o t o g r a p h o f K u r t z that W i l l a r d keeps l o o k i n g at o n the b o a t is actually
t h e W e l d o n P e n d e r t o n character played b y B r a n d o in J o h n H u s t o n ' s
Reflections in a Golden Eye ( 1 9 6 7 ) .
S h a k e s p e a r e ' s Julius
132
Asbjørn Grønstad
A s a filmic art object, Apocalypse
Now is a s u p r e m e instance o f w h a t
a text that u p o n further scrutiny
discloses "diverse discursive layers" ( 1 9 9 2 : 1 0 , e m p h a s i s o n original). T h e s e
layers, or w h a t I w o u l d call a textual spillover, are also operative o n the level
o f characterization, s u p e r i m p o s e d as they are o n the character o f Willard,
t u r n i n g h i m into C o p p o l a ' s o w n " h o l l o w m a n . " A c c o r d i n g to M i l i u s ,
W i l l a r d is A d a m , Faust, D a n t e , Aeneas, H u c k l e b e r r y F i n n , J e s u s , the
A n c i e n t M a r i n e r , A h a b , O d y s s e u s , a n d O e d i p u s ( T h o m p s o n 1 9 7 6 : 15).
A n d the list c o u l d g o on. I f it h a d n o t been for the "with-special-referencet o " clause o f this assigned topic, I w o u l d have gravitated m o r e t o w a r d the
specifically A m e r i c a n intertextual figurations in Apocalypse Now, figurations
that I w o u l d claim are j u s t a s — i f n o t m o r e — s a l i e n t for a c o n t e m p o r a r y
reading o f the film. A n entire p a p e r c o u l d have been written o n M a r t i n
S h e e n ' s inexpressive p e r f o r m a n c e o f the J a m e s D e a n p e r s o n a from Rebel
Without a Cause ( N i c h o l a s R a y 1 9 5 5 ) . Badlands, T e r e n c e M a l i c k ' s austere
1 9 7 3 d r a m a t i z a t i o n o f the Starkweather killings, seems to be another
t e m p l a t e for Sheen's Willard. Likewise, articles c o u l d b e written o n the
californification o f the V i e t n a m war in Apocalypse Now (the references to
s u r f culture, drug-taking, the rock m u s i c o f b a n d s like the B e a c h B o y s , T h e
D o o r s , C h a r l e s M a n s o n , R a y m o n d C h a n d l e r , D i s n e y l a n d , a n d so o n ) , as
well as o n the Wizard-ofOz-like
trajectory o f the film's narrative. (See
F r e n c h 1 9 9 8 : 2 3 9 ) . M o r e o v e r , I s u p p o s e I a m n o t the only o n e w h o notices
that the t r a n s f o r m e d W i l l a r d w h o monolithically emerges after having killed
K u r t z bears a faint yet disturbing narrative r e s e m b l a n c e to K u b r i c k ' s Star
C h i l d at the e n d o f 2 0 0 1 ™ A n d c o u l d it not b e a r g u e d that " t h e horror! the
horror!" that Eliot at o n e p o i n t considered as an e p i g r a p h for The Waste
Land seems s o m e h o w obliquely evocative o f that unbearable whiteness o f
Melville's whale? Perhaps.
R i c k A l t m a n terms a "scarredpalimpsest"
13
University
of Bergen
13
There is already some precedence for considering Sheen's stylized acting in the film as a
derivation from Dean's Jim Stark in Ray's movie. See Hellmann (1986: 191) and French
(1998: 109).
14
More explicitly, Apocalypse Now also alludes to a host of other films, notable among
which is David Lean's Bridge on the River Kwai and Lawrence of Arabia (1957, 1962), Dr.
Strangelove, another Kubrick film (1964), Deliverance
(John Boorman 1972), Aguirre: The
Wrath of God (Werner Herzog 1973), and Nashville (Robert Altman 1975).
133
References
Adair, Gilbert. 1981. Hollywood's Vietnam: From T h e Green Berets to Apocalypse
N o w . N e w York: Proteus.
Altman, Rick. 1992. "General Introduction: Cinema as Event." Sound Theory
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Film Genres. Ed. Nick
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Chown, Jeffrey. 1988. Hollywood Auteur: Francis Coppola. New York: Praeger.
Conrad, Joseph. 1969. Heart of Darkness. In The Portable Conrad. Ed. Morron
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McGraw-Hill.
de Lauretis, Teresa. "Imaging." Orr and Taxidou 103-118.
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Historical
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70.
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Columbia U P .
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Asbjørn Grønstad
Iamposki, Mikhail. 1998. The Memory ofTiresias:
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Oxford:
. 2 0 0 2 . " T h e Problem of Narrative Beginnings: Joseph Conrad's Heart of
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Marcus, Greil. 1979. "Journey U p the River: An Interview with Francis
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Tomasulo, Frank P. 1990. " T h e Politics of Ambivalence: Apocalypse Now as
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136
Churchill: T h e Continuing Story
JØRGEN SEVALDSEN
T h e iconic p o s i t i o n o f W i n s t o n Churchill, the great statesman a n d orator
( 1 8 7 4 - 1 9 6 5 ) , was c o n f i r m e d in a very p u b l i c a n d spectacular fashion w h e n
in 2 0 0 2 a p o p u l a r B B C poll m a d e h i m a clear winner o f t h e title o f the
Greatest Briton ever. W i t h 2 8 . 1 % o f the final vote, he beat n o t o n l y his
nearest rival, the V i c t o r i a n engineer I s a m b a r d B r u n e i ( 2 4 . 6 % ) , b u t also
celebrities better k n o w n o u t s i d e Britain s u c h as S h a k e s p e a r e ( 6 . 8 % )
or
A d m i r a l N e l s o n ( 3 % ) . T h i s essay will l o o k at other manifestations o f the
c o n t i n u e d c o n t e m p o r a r y interest in C h u r c h i l l a n d discuss w h y it is that his
career, views a n d personality are still felt to b e o f c o n t e m p o r a r y relevance.
T h e literature o n C h u r c h i l l is o v e r w h e l m i n g a n d n e w b i o g r a p h i e s
a n d m o n o g r a p h s o n aspects o f his life are c o m i n g o u t every m o n t h . A visit
to s o m e o f t h e m o s t i m p o r t a n t C h u r c h i l l w e b sites will c o n f i r m that t h e
C h u r c h i l l i n d u s t r y is alive a n d well.
T h e r e are o b v i o u s reasons for this. C h u r c h i l l ' s political career c o v e r e d
m o s t o f the 2 0 * century, h e h e l d i m p o r t a n t ministerial p o s t s in m a n y
g o v e r n m e n t s , i n c l u d i n g the p o s i t i o n as p r i m e minister 1 9 4 0 - 4 5 a n d 1 9 5 1 5 5 , a n d he w a s , o f c o u r s e , a key player in British politics in t h e early
p h a s e s o f the S e c o n d W o r l d W a r w h e n the fate o f B r i t a i n a n d t h e future
o f the democracies o f Western E u r o p e was being decided. As an individual
h e w a s colourful
a n d u n p r e d i c t a b l e , a n d there are s o m a n y
military
a d v e n t u r e s a n d political a n d p e r s o n a l u p s a n d d o w n s in his life that it
w o u l d s e e m i m p o s s i b l e to write a dull b i o g r a p h y o f h i m . A t t h e s a m e t i m e
h e was a master o f w o r d s , b o t h written a n d s p o k e n , a n d his t o w e r i n g
political prestige after W o r l d W a r II c o m b i n e d w i t h his ability to c o i n
p h r a s e s that w e r e b o r n as a p h o r i s m s h a s m a d e h i m o n e o f t h e m o s t q u o t e d
p o l i t i c i a n s o f all t i m e s . 'As C h u r c h i l l said' is a s e n t e n c e y o u c o n s t a n t l y run
i n t o w h e n speakers or writers try to b o r r o w his wit or to capitalize o n his
political prestige. A superficial i n d i c a t i o n o f t h e f r e q u e n c y w i t h w h i c h
C h u r c h i l l is q u o t e d in t h e E n g l i s h - s p e a k i n g w o r l d c o m p a r e d w i t h o t h e r
f a m o u s or i n f a m o u s figures m a y b e h a d via the internet search m a c h i n e
' G o o g l e ' . A search ( A u g u s t 2 0 0 4 ) o n t h e w o r d c o m b i n a t i o n " A s C h u r c h i l l
137
s a i d " g a v e 1 , 8 3 0 hits. I f y o u s u b s t i t u t e ' S h a k e s p e a r e ' for ' C h u r c h i l l ' , the
B a r d a d m i t t e d l y s c o r e d 3 , 0 5 0 hits, a n d ' L i n c o l n ' beats the British lion
n a r r o w l y w i t h 1 , 9 4 0 m e n t i o n s . O t h e r c o m p a r a b l e figures, however, trail
far b e h i n d h i m : N a p o l e o n ( 7 4 6 ) , Stalin ( 5 7 8 ) , H i t l e r ( 4 5 1 ) , R o o s e v e l t
(305),
Margaret Thatcher
(150), Lloyd George
(31)
a n d Attlee
(4).
S o m e t i m e s y o u even see a p h o r i s m s a t t r i b u t e d to C h u r c h i l l w h i c h were in
fact uttered b y others. H e has, in other w o r d s , b e c o m e a p o p u l a r s o u r c e o f
political w i s d o m a n d o n e t h a t m a n y will a u t o m a t i c a l l y turn to for verbal
s u p p o r t o f their case.
L e t m e j u s t give o n e e x a m p l e o f the c o n t e m p o r a r y u s e o f Churchill's
authority. T h e — p e r h a p s unlikely — a d m i r e r is the A m e r i c a n linguist a n d
radical political activist N o a m C h o m s k y , w h o twice refers to C h u r c h i l l in
a preface t o a b o o k o n the erosion o f civil rights in the U S A after the
events o f S e p t e m b e r
11 2 0 0 1 . In his first p a s s a g e , he uses h i m as an
e x a m p l e o f imperialistic W e s t e r n attitudes t o w a r d s third w o r l d countries:
. . . T h e resort to violence to intimidare — "terrorism," in the
technical sense o f U S official documents — has long been a
standard tool of domination . . . T h e c o m m a n d i n g officer
responsible for rhe Amrirsar massacre in India [1919] defended
his acrions on rhe grounds rhar ... "it was no longer a question o f
merely dispersing the crowd, but one of producing a sufficient
moral effect, from a military point of view, not only on those
who were present but more specially throughout the Punjab."
Churchill's impassioned advocacy o f 'using poisoned gas against
uncivilised tribes' [in Iraq] shorrly after was based on similar
reasoning.
[Churchill
dismissed]
wirh
contempt
the
'squeamishness' o f those who worried about popular reacrion to
what was then regarded as rhe most criminal weapon o f war...
I n the s e c o n d , h e q u o t e s h i m a p p r o v i n g l y for his s t a u n c h defence o f the
principles o f t h e rule o f law, even in t i m e s o f crisis:
...In this connection, it might also be wise to recall some words of
Churchill's : "The power of the executive to cast a man into prison
without formulating any charge known to the law, and particularly
to deny him rhe judgmenr of his peers, is in the highest degree
odious, and the foundation of all totalitarian governmenr whether
Nazi or Communist." Churchill's warning against such abuse of
executive power for alleged intelligence and preventive purposes was
in 1943, when Britain was facing threats that were not exactly trivial.
138
Jørgen Sevaldsen
I n other w o r d s , w i t h i n t h e s p a c e o f a few pages, C h u r c h i l l is called o n to
e x e m p l i f y b o t h the w o r s t in W e s t e r n a r r o g a n c e a n d t h e best in e n l i g h t e n e d
t h o u g h t o n civil rights ( C h o m s k y 2 0 0 3 : ix a n d xii).
B e f o r e e x p a n d i n g o n t h e c o n t e m p o r a r y political u s e o f C h u r c h i l l ' s
r e p u t a t i o n , I w o u l d , however, like t o return very briefly to t h e present
a c a d e m i c interest in t h e great s t a t e s m a n .
1. Churchill and the historians
T h e m a i n s t r e a m a c c o u n t s o f C h u r c h i l l t e n d to present h i m as the ' M a n o f
D e s t i n y ' . A m a n 'larger t h a n life', w i t h a difficult early life, b u t w i t h a
s t r o n g belief in h i m s e l f a n d in his m i s s i o n to achieve great things for the
n a t i o n that h e loved. F o r a l o n g p e r i o d o f his life, his political career saw
g r e a t t r i u m p h s , b u t also m e t with s e t b a c k s w h i c h w o u l d h a v e c r u s h e d
o r d i n a r y m o r t a l s . H e never d e s p a i r e d , however, a n d t o o k it u p o n h i m s e l f
to w a r n t h e British a g a i n s t t h e evil n a t u r e o f N a z i s m a n d a g a i n s t G e r m a n
a g g r e s s i o n in the 1 9 3 0 s , even if his w a r n i n g s were largely i g n o r e d till
shortly before the o u t b r e a k o f war in 1 9 3 9 . Finally, h e m e t his historical
m o m e n t as P r i m e M i n i s t e r , w h e n his defiance o f H i t l e r in the crucial years
o f 1 9 4 0 - 4 1 t u r n e d h i m into w h a t w e c a n n o w r e c o g n i z e as a s a v i o u r o f
W e s t e r n civilisation.
The
basis
of
this
narrative
was
provided
by Churchill's own
Life ( 1 9 3 0 ) , a n d the extensive
v o l u m e s o n W o r l d W a r I (The World Crisis 1 9 2 3 - 3 1 ) a n d W o r l d W a r II
(The Second WorldWar,
1 9 4 8 - 5 4 ) . O f t e n q u o t e d in this c o n t e x t is his
r e m a r k that h e w a s s u r e history w o u l d b e k i n d to h i m , b e c a u s e he
i n t e n d e d to write it himself! H i s family, t o o , t o o k p a r t in this w o r k . H i s
s o n , R a n d o l p h , w r o t e the first v o l u m e s o f t h e official b i o g r a p h y , his
d a u g h t e r M a r y S o a m e s has written a b o u t the family, in particular a b o u t
her m o t h e r , C l e m e n t i n e C h u r c h i l l ; a n d other relatives h a v e m a d e their
c o n t r i b u t i o n s to t h e c a n o n . T h e basic story w a s r e p e a t e d in t h e official
e i g h t - v o l u m e b i o g r a p h y , largely written b y the historian M a r t i n G i l b e r t ,
w h o also e d i t e d t h e m a s s i v e c o m p a n i o n v o l u m e s o f d o c u m e n t s for the
b i o g r a p h y . It is n o t that G i l b e r t s u p p r e s s e s facts or d o c u m e n t s that m i g h t
p u t C h u r c h i l l in an u n f a v o u r a b l e light; b u t his b a s i c a p p r o a c h is o n e o f
reverence, a n d y o u m i g h t say that in situations w h e r e a p o s i t i v e or a
negative interpretation o f C h u r c h i l l ' s a i m s a n d m o t i v e s m i g h t b e
c o n s t r u c t e d , G i l b e r t rarely c h o o s e s t h e negative o n e . All later o n e - v o l u m e
b i o g r a p h i e s h a v e relied o n t h e narratives a n d d o c u m e n t s left b y the
a u t o b i o g r a p h i c a l b o o k s , s u c h as My Early
139
C h u r c h i l l family a n d b y G i l b e r t ' s g i g a n t i c e n d e a v o u r s , a n d m o s t o f t h e m
see C h u r c h i l l ' s life t h r o u g h the p r i s m p r o v i d e d b y t h e m .
U n t i l recently, alternative a n d critical voices w e r e m o s t l y
heard
either f r o m h i s t o r i a n s o n t h e left, w h e r e there is a t r a d i t i o n o f s e e i n g
C h u r c h i l l as a n a n t i - l a b o u r , u p p e r - c l a s s a l c o h o l i c , a racist a n d a triggerh a p p y m i l i t a r i s t ; a n d f r o m p r o f e s s i o n a l soldiers a n d m i l i t a r y h i s t o r i a n s ,
w h o h a v e o c c a s i o n a l l y a c c u s e d h i m o f b e i n g an a m a t e u r m e d d l i n g in
affairs w h i c h s h o u l d h a v e b e e n left to t h e true p r o f e s s i o n a l s
(Ponting
1 9 9 4 ; B a r n e t t 1 9 9 1 ) . D u r i n g the 1 9 9 0 s , h o w e v e r , a n e w critical t r e n d
e m e r g e d , this t i m e f r o m h i s t o r i a n s a n d p o l i t i c i a n s f r o m the ' n a t i o n a l
right' — p e o p l e w h o w e r e b o t h hostile to E u r o p e a n i n t e g r a t i o n
and
B r i t a i n ' s p a r t i c i p a t i o n in t h e E U , a n d sceptical o f B r i t a i n ' s p e r c e i v e d
s u b s e r v i e n c e to t h e U S A . T h e y a c c u s e d C h u r c h i l l o f b e i n g a r o m a n t i c
whose
determination
to
fight
Hitler
and
whose
deference
for
the
A m e r i c a n s h a s t e n e d B r i t a i n ' s d e c l i n e unnecessarily. T h e m a i n p r o p o n e n t
o f this view, the h i s t o r i a n J o h n C h a r m l e y , p o i n t e d o u t t h a t C h u r c h i l l
h a d t w o m a j o r a m b i t i o n s in his political life: to fight b o l s h e v i s m a n d to
p r e s e r v e t h e B r i t i s h E m p i r e . B u t see w h a t h a p p e n e d ? After W o r l d W a r
I I , t h e S o v i e t s d o m i n a t e d E a s t e r n E u r o p e , a n d the B r i t i s h E m p i r e b r o k e
u p . T h e U S b e c a m e the d o m i n a n t western s u p e r p o w e r , a n d B r i t a i n a
client o f t h e A m e r i c a n s . All this, they say, m i g h t h a v e b e e n a v o i d e d if
C h u r c h i l l h a d b e e n o p e n to t h e c o n c l u s i o n o f a s e p a r a t e p e a c e w i t h
G e r m a n y in 1 9 4 0 . T h a t m i g h t h a v e g i v e n t h e B r i t i s h E m p i r e a n e w lease
o f life a n d p e r h a p s l i m i t e d t h e d a m a g e inflicted b y S t a l i n o n E u r o p e a n d
the world (Charmley 1993: 6 4 9 ; 1 9 9 5 : 4 6 ) .
F e w h i s t o r i a n s are n o w ( 2 0 0 5 ) r u n n i n g w i t h this p a r t i c u l a r ball.
N e v e r t h e l e s s , the furore created b y C h a r m l e y ' s r e v i s i o n i s m w a s n o d o u b t
o n e o f the factors t h a t c r e a t e d s p a c e for n e w b i o g r a p h i e s a n d
new
i n t e r p r e t a t i o n s o f C h u r c h i l l ' s life a n d l e g a c y in the early 2 0 0 0 s .
The
m o s t successful recent b i o g r a p h i e s s u c h as t h o s e b y G e o f f r e y B e s t a n d
R o y J e n k i n s are a d a m a n t that C h u r c h i l l deserves t h e e p i t h e t 'great', a n d
B e s t in p a r t i c u l a r insists that C h a r m l e y ' s b e l i e f in a c o n t i n u e d life o f
B r i t a i n as a n i m p e r i a l w o r l d p o w e r f o l l o w i n g a B r i t i s h - G e r m a n p e a c e in
1 9 4 0 is a n u n r e a l i s t i c d r e a m . H i t l e r w o u l d never h a v e k e p t his w o r d or
l i m i t e d his a m b i t i o n s , a n d in the e n d B r i t a i n is in a better p o s i t i o n n o w
as a n A m e r i c a n client w i t h its self-respect i n t a c t t h a n it w o u l d h a v e b e e n
as a G e r m a n vassal.
So
most
recognizable
140
o f the new b o o k s
mould
and
are
about
content
Churchill
with
are still w i t h i n
rehearsing
a
well-known
Jørgen Sevaldsen
controversies o n for e x a m p l e the responsibility for the G a l l i p o l i c a m p a i g n ,
w h i c h e n d e d C h u r c h i l l ' s career as First L o r d o f t h e A d m i r a l t y in 1 9 1 5 , or
t h e controversies b e t w e e n C h u r c h i l l , R o o s e v e l t a n d Stalin d u r i n g W o r l d
W a r II o n allied strategy t o w a r d s the Axis p o w e r s . A n u m b e r o f recent
c o n t r i b u t i o n s h a v e , however, tried to e x p l o r e C h u r c h i l l ' s legacy f r o m fresh
angles. D a v i d Stafford's
Churchill
&
Secret
Service
(1997)
illuminates
C h u r c h i l l ' s d e a l i n g s w i t h a n d u s e o f t h e intelligence services o n the basis o f
recently freed d o c u m e n t s , a n d r e m i n d s us that if material likely to e x p a n d
o u r k n o w l e d g e o n C h u r c h i l l ' s career in i m p o r t a n t w a y s is ever likely to
t u r n u p , it will p r o b a b l y c o m e f r o m hitherto c l o s e d intelligence files. J o h n
R a m s d e n ' s p a t h - b r e a k i n g Man
of the Century.
Winston
Churchill
(2002)
explores C h u r c h i l l ' s legacy a n d the ways in w h i c h h e has been celebrated or t h e o p p o s i t e — in various parts o f t h e w o r l d , i n c l u d i n g S c a n d i n a v i a .
D a v i d R e y n o l d s ' Churchill
fighting and Writing the Second World War
( 2 0 0 4 ) is a detailed e x a m i n a t i o n o f h o w C h u r c h i l l c o m p i l e d his The
Second World War ( 1 9 4 8 - 1 9 5 3 ) a n d c o m p a r e s C h u r c h i l l ' s version o f
events a n d t h e v e r s i o n that e m e r g e s f r o m a s t u d y o f t h e c o n t e m p o r a r y war
records. T h e o u t c o m e d o e s n o t seriously c h a n g e o u r p i c t u r e o f C h u r c h i l l ' s
role in the war, b u t the b o o k p r o v i d e s a fascinating insight into
C h u r c h i l l ' s w o r k i n g m e t h o d s as a writer. It m a k e s it clear h o w m u c h he
relied o n t h e drafts o f his professional research assistants, a n d gives
e x a m p l e s o f t h e m e s that were u n d e r p l a y e d in t h e m e m o i r s in o r d e r t o p u t
C h u r c h i l l h i m s e l f in the best p o s s i b l e light or that w e r e politically
i n c o n v e n i e n t to dwell o n in the light o f the international s i t u a t i o n o f the
1 9 5 0 s . A g a i n , it is n o t u n k n o w n for a u t h o r s o f a u t o b i o g r a p h i e s to h a v e
selective m e m o r i e s , a n d R e y n o l d s ' strength is t h e m e t h o d i c a l a n d
exhaustive t r e a t m e n t o f the t o p i c rather t h a n c o n c l u s i o n s that require
radical revisions o f the history o f W o r l d W a r II. In general, R e y n o l d s '
a t t i t u d e to his s u b j e c t is d i s p a s s i o n a t e . H i s research d o e s n o t , for e x a m p l e ,
leave h i m as a g r e a t a d m i r e r o f C h u r c h i l l ' s skills as a military strategist: as a
f o r m e r solider, h e h a d 'real . . . experience o f war', b u t ' h e d i d n o t
c o m m a n d a n y f o r m a t i o n larger t h a n a b a t t a l i o n , h e h a d never a t t e n d e d
S t a f f C o l l e g e a n d learned to p l a n o p e r a t i o n s , a n d h a d n o interest in
logistics — that essential science o f s u p p l y . In other w o r d s C h u r c h i l l k n e w
battle b u t d i d n o t really u n d e r s t a n d m o d e r n war — large-scale, resourceintensive o p e r a t i o n s i n v o l v i n g the m o b i l i z i n g a n d d e p l o y m e n t o f c o m p l e x
f o r m a t i o n s a n d different a r m s . ' ( R e y n o l d s 2 0 0 4 : 2 4 4 ) .
141
2. Churchill and Scandinavia:
Nobel Prize in 1953.
From Norway 1940 to the
A p a r t f r o m the unsuccessful Allied a t t e m p t to force the Straits o f the
Dardanelles
in
1 9 1 5 , which
resulted in C h u r c h i l l ' s
resignation
as
a
minister, the N o r w a y c a m p a i g n in 1 9 4 0 has to b e rated as t h e m o s t
spectacular military failure overseen b y C h u r c h i l l in his c a p a c i t y as First
L o r d o f the A d m i r a l t y . T h i s was a p o s t that h e held in the first m o n t h s o f
W o r l d W a r I as well as o f W o r l d W a r II. O n b o t h o c c a s i o n s the British
a n d the G e r m a n s a n d their respective allies d e v o t e d a great deal
diplomatic
and
economic
attention
to
the
peripheral
areas
of
of
the
C o n t i n e n t : T o the B a l k a n s a n d to S c a n d i n a v i a . T h e a i m s o f the w a r r i n g
p o w e r s were to try to p e r s u a d e the small neutral p o w e r s in these regions to
j o i n t h e m as allies or at least to prevent t h e m f r o m j o i n i n g the e n e m y
coalitions, a n d at the s a m e t i m e to secure c o n t i n u e d access to i m p o r t a n t
r a w material s u c h as, in the S e c o n d W o r l d W a r , R u m a n i a n
oil a n d
S w e d i s h iron ore. In b o t h 1 9 1 4 - 1 5 a n d 1 9 3 9 - 4 0 C h u r c h i l l ' s m i n d was
t h u s frequently o c c u p i e d b y s c h e m e s that m i g h t b r i n g British naval p o w e r
to bear o n G e r m a n y b y actions t h r o u g h the D a n i s h Straits directed against
G e r m a n y ' s B a l t i c coast. In 1 9 1 5 the p l a n s were p o s t p o n e d in favour o f the
D a r d a n e l l e s s c h e m e a n d a b a n d o n e d after the failure to force t h e T u r k i s h
Straits; in private, however, C h u r c h i l l c o n t i n u e d to wrestle with the idea
o f b r e a k i n g the d e a d l o c k o n the W e s t e r n F r o n t t h r o u g h d a r i n g a c t i o n s in
t h e Baltic. W h e n in S e p t e m b e r 1 9 3 9 h e j o i n e d the G o v e r n m e n t a n d was
p u t in charge o f the R o y a l N a v y , he r e t u r n e d to the plans for naval a c t i o n s
in the Baltic a n d also w o r k e d o n a n u m b e r o f s c h e m e s d e s i g n e d to s t o p the
t r a n s p o r t a t i o n o f iron ore f r o m N a r v i k to G e r m a n y a n d even o c c u p y the
m i n e s in K i r u n a in N o r t h e r n S w e d e n to c o n t r o l their o u t p u t o f o r e .
T h e r e is n o s p a c e here to retell in detail the c o m p l i c a t e d story o f the
Allied a n d
German
plans a n d
ambitions
in S c a n d i n a v i a
during
the
' P h o n e y W a r ' b e t w e e n the G e r m a n attacks o n P o l a n d in S e p t e m b e r 1 9 3 9
a n d o n D e n m a r k a n d N o r w a y o n 9 April 1 9 4 0 . Allied p l a n s to start
o p e r a t i o n s in the N o r t h o f N o r w a y a n d S w e d e n to s u p p o r t t h e F i n n s in
their W i n t e r W a r against the R u s s i a n s a n d o c c u p y the m i n e s o f K i r u n a o n
t h e w a y never materialised, as the g o v e r n m e n t s o f neutral N o r w a y a n d
S w e d e n refused to c o o p e r a t e . It is clear, however, f r o m recent literature o n
C h u r c h i l l a n d the events o f 1 9 3 9 - 4 0 that his a d v o c a c y o f a c t i o n s a g a i n s t
t h e N o r w e g i a n c o a s t w a s n o t o n l y m o t i v a t e d b y a wish to s t o p the iron ore
t r a d e , b u t also b y a h o p e that H i t l e r w o u l d retaliate s o that the B r i t i s h a n d
142
Jørgen Sevaldsen
F r e n c h m i g h t o p e n a front a g a i n s t G e r m a n y in an area w h e r e the British
n a v y c o u l d a c t f r o m a p o s i t i o n o f s u p p o s e d l y s u p e r i o r strength. W h e r e
N e v i l l e C h a m b e r l a i n a n d his foreign secretary, L o r d Halifax, h e s i t a t e d to
e m b a r k o n o p e r a t i o n s in breach o f international law a n d carrying a risk o f
B r i t i s h t r o o p s b e i n g resisted b y N o r w e g i a n a n d S w e d i s h soldiers, the e n d
justified t h e m e a n s to C h u r c h i l l . A c c o r d i n g to the m o s t recent historian o f
British policies d u r i n g the p h o n e y war, he 'cared n o t a fig for N o r w e g i a n
or S w e d i s h resistance, a n d positively w e l c o m e d a n aggressive
German
reaction' (Smart 2 0 0 3 : 139).
T h e u p s h o t o f the deliberations in L o n d o n a n d Paris w a s the British
o p e r a t i o n l a u n c h e d o n 8 April to m i n e the a p p r o a c h e s to N a r v i k w i t h i n
N o r w e g i a n territorial waters. A t that t i m e , G e r m a n ships w e r e o n their
w a y to t h e N o r t h A t l a n t i c , a n d t u r n e d the tables o n the allies w i t h their
i n v a s i o n o f D e n m a r k a n d N o r w a y o n 9 April. A l t h o u g h C h u r c h i l l w a s at
first
hopeful
that the British n a v y w o u l d n o w b e free to e n g a g e the
G e r m a n s a n d strike a decisive b l o w against H i t l e r ' s m a r i t i m e
power,
events s o o n t u r n e d into a disaster for the allies w h o w e r e u n a b l e to prevent
the G e r m a n s from occupying Norway.
O n the G e r m a n side, the navy h a d l o n g a d v o c a t e d o c c u p a t i o n o f the
N o r w e g i a n s e a b o a r d in case o f a war with Britain. P l a n n i n g for s u c h a
c o n t i n g e n c y h a d b e g u n in O c t o b e r 1 9 3 9 . D u r i n g the early m o n t h s o f 1 9 4 0 ,
as the Allied interest in s o m e form o f intervention in S c a n d i n a v i a b e c a m e
p u b l i c k n o w l e d g e , H i d e r ' s interest in the project grew. T h e G e r m a n s were
p l a n n i n g their b i g assault o n their Western n e i g h b o u r s , a n d H i d e r d e c i d e d
that he h a d better protect his N o r t h e r n flank against British operations
before he t u r n e d o n the French. H e n c e the directive for the o c c u p a t i o n o f
D e n m a r k a n d N o r w a y o n 1 M a r c h , a n d the final order o f 2 April to
p r o c e e d w i t h o p e r a t i o n 'Weseriibung' d u r i n g the early h o u r s o f 9 April.
In retrospect, it is n o t difficult to find a n e x p l a n a t i o n for the success
o f t h e G e r m a n o p e r a t i o n s . W h e r e a s t h e British, a n d n o t least C h u r c h i l l ,
w e r e q u i t e o p e n a b o u t their interest in the S w e d i s h iron o r e traffic a n d in
t h e w a y in w h i c h the S c a n d i n a v i a n s a d m i n i s t e r e d their neutrality, t h e
G e r m a n military plans w e r e laid in total secrecy. W h e n G e r m a n naval
m o v e m e n t s w e r e d e t e c t e d o n 8 April, British intelligence m i s i n t e r p r e t e d
the directions
and
purposes
o f the G e r m a n
operations
s o that
the
G e r m a n s m a n a g e d to p u t their e x p e d i t i o n a r y forces a s h o r e before the
British d i s c o v e r e d the true p r o p o r t i o n s o f t h e G e r m a n attack. Finally,
C h u r c h i l l a n d others h a d n o t foreseen t h e extent a n d significance o f t h e
143
Churchill: T h e Continuing StoryG e r m a n air superiority d u r i n g the o p e r a t i o n s a n d the ability o f the
G e r m a n s to l a n d t r o o p s in N o r w a y f r o m the air.
In Britain, the s e t b a c k in N o r w a y w a s also a b l o w to C h u r c h i l l ' s
prestige, b u t not, as it t u r n e d o u t , to the extent that it p r e v e n t e d h i m f r o m
b e c o m i n g P r i m e M i n i s t e r . O n M a y 10 C h a m b e r l a i n h a d to s t a n d d o w n
after the N o r w a y d e b a t e s in t h e H o u s e o f C o m m o n s a n d the G e r m a n
a t t a c k o n F r a n c e , a n d C h u r c h i l l was t h e only politician w i t h stature a n d
self-confidence e n o u g h to take o n the d a u n t i n g task o f war leader in
Britain.
In
Norway
and
Denmark,
the
experience
of
the
German
o c c u p a t i o n , the p o s i t i o n o f C h u r c h i l l as the central figure in the
fight
a g a i n s t H i t l e r in the crucial years o f 1 9 4 0 - 4 1 , a n d the role o f Britain as the
liberator
o f the t w o
countries
from
German
rule e n s u r e d
that
the
r e p u t a t i o n o f C h u r c h i l l w a s t r a n s f o r m e d . W h e r e before April 1 9 4 0 h e h a d
b e e n r e g a r d e d b y m a n y as a slightly eccentric political maverick, his war
leadership g a v e h i m an iconic p o s i t i o n in the t w o countries. H e m a d e
t r i u m p h a l visits to N o r w a y in 1 9 4 8 a n d D e n m a r k in 1 9 5 0 , a n d statues o f
h i m were p u t in p l a c e in C o p e n h a g e n in 1 9 5 5 a n d in O s l o in 1 9 7 6 . B y
g i v i n g C h u r c h i l l the N o b e l
Prize for literature in
1 9 5 3 , the
Swedes
p r o v i d e d h i m with an o p p o r t u n i t y to visit their country. H e was, however,
u n a b l e to take it. A t that p o i n t , h e was in his s e c o n d p e r i o d as P r i m e
Minister
(1951-55),
and
had
arranged
a summit
meeting with
his
A m e r i c a n a n d F r e n c h colleagues in B e r m u d a at the t i m e o f t h e c e r e m o n y
in S t o c k h o l m in D e c e m b e r 1 9 5 3 . S o his wife, C l e m e n t i n e C h u r c h i l l , w e n t
to receive it o n his b e h a l f a n d c o n t r i b u t e d to m a k i n g it an
occasion
m a r k e d b y w a r m a p p r e c i a t i o n o n all sides.
Nevertheless, S w e d e n was hardly a m o n g Churchill's favourite countries
mainly, o f course, because h e resented Swedish neutrality policies d u r i n g
W o r l d W a r II. D u r i n g his visit to C o p e n h a g e n in O c t o b e r 1 9 5 0 , a year
after D e n m a r k a n d N o r w a y h a d j o i n e d the Atlantic Pact, he discussed
Scandinavia's
p o s i t i o n vis-ä-vis Soviet R u s s i a with
Hans
Hedtoft,
the
D a n i s h P r i m e Minister. H e d t o f t was a Social D e m o c r a t with very positive
attitudes towards N o r d i c co-operation w h o regretted the failure to establish
a N o r d i c defensive p a c t prior to the N o r w e g i a n a n d D a n i s h decision to j o i n
N A T O . W h e n he assured C h u r c h i l l that the S w e d e s were brave e n o u g h a n d
would
fight
Russians,
as well as the N o r w e g i a n s a n d D a n e s if attacked b y the
Churchill
replied
that
Swedish
policy was
'governed
by
a
professional neutrality' a n d that S w e d e n 'did n o t have the right sense o f
solidarity, a l t h o u g h that m i g h t c o m e ' (Sevaldsen 2 0 0 4 : 3 5 9 ) . T h i s difference
144
Jørgen Sevaldsen
between the positions o f D e n m a r k , N o r w a y a n d S w e d e n in Churchill's
universe is s u m m e d u p thus b y the historian J o h n R a m s d e n :
... T h e Swedes were simply not part of the club o f nations that had
accepted Churchill's moral lead in the Second World War, an
exclusion that was marked in 1965 by the British Government's
decision to award two places fot official mourners to each country
that had been a British wartime ally, but only one to countries that
had then been hostile — or neutral. T h e Danes and Norwegians
were rhus each given two seats in St Paul's Cathedral for
Churchill's funeral, the Swedes only one. This was noted and
somewhat resented in Stockholm, as American diplomats reported
back to Washington, for, as some Swedes carefully poinred out,
neither Denmark nor Norway had actually chosen to join the allied
side in the war, rhey had merely found themselves there when
Germany invaded them (Ramsden 2 0 0 2 : 296).
It m u s t b e said, however, that Churchill d i d n o t in general concern h i m s e l f
m u c h w i t h the p r o b l e m s o f smaller states. T h e w o r l d with w h i c h h e was
familiar w a s a world o f empires a n d great powers with global spheres o f
influence. S m a l l states were impractical a n d often in the way, a n d Churchill
at times suggested that they s h o u l d b a n d together in regional federations.
N o r was h e willing to subscribe to their right to remain neutral in all
c i r c u m s t a n c e s o f war. In a situation where Britain was fighting for her
existence against an aggressive C o n t i n e n t a l power, she m u s t reserve the right
to herself to carry o u t operations that technically violated the rights o f small
countries for the sake o f the greater g o o d . Churchill was steeped in British
history a n d c o u l d find examples in the past to justify a r o b u s t British
attitude towards m i n o r powers. A passage in his p o p u l a r b o o k , A History
of
the English-Speaking
Peoples ( 1 9 5 6 - 5 8 ) , o n the British action against
D e n m a r k in 1 8 0 7 m a y serve as an illustration. Churchill is writing a b o u t
the N a p o l e o n i c W a r s a n d is discussing the situation after the signing o f the
F r a n c o - R u s s i a n alliance at T i l s i t in J u l y 1 8 0 7 . N a p o l e o n n o w d o m i n a t e d
the C o n t i n e n t a n d Britain h a d to rely o n her naval superiority a n d ability to
enforce her b l o c k a d e o f C o n t i n e n t a l trade:
. . . Grave and threatening news was conveyed to London from the
raft where the two Emperors had met upon the River Niemen. An
English secret agent reported that an arrangement had been
reached whereby Napoleon was ro seize the Danish Fleet and gain
control o f the entrance to the Baltic. This was to be a preliminary
to a joint invasion o f England with the help o f the Russians. T h e
145
Cabiner acted with praiseworthy decision. Admiral Gambier was
immediately ordered to enter the Baltic with twenty ships o f the
line and procure, by force if necessary, the surrender of the Danish
Fleet. After a heavy action in the harbour of Copenhagen the
Danes yielded to this humiliation. This act o f aggression against a
neuttal state aroused a storm against the Government in Whig
political and literary circles. But events vindicated the promptitude
and excused the violence o f their action. T w o days after the British
Fleet left home waters Napoleon had informed the Danish
Minister in Paris that if England were to refuse Russian mediation
in the Great War Denmark would be forced ro choose sides. H a d
the British Governmenr not acted with speed the French would
have been in possession of the Danish Navy within a few weeks.
(Churchill 1957: 253).
C h u r c h i l l a n d his research assistants are n o t the only writers w h o m i x u p
N e l s o n ' s naval battle at C o p e n h a g e n
Gambier's
action
in
1807
which
in 1 8 0 1 with W e l l i n g t o n ' s
secured
British
aims
and
through
a
b o m b a r d m e n t o f the city a n d its civilian p o p u l a t i o n . Nevertheless, the
a r g u m e n t is clear e n o u g h , a n d the reader is n o d o u b t invited to see the
parallels with b o t h C h u r c h i l l ' s plans for a c t i o n s against N o r w a y a n d the
Baltic in 1 9 3 9 - 4 0 a n d t h e R o y a l N a v y ' s s i n k i n g o f a section o f the F r e n c h
n a v y o f f O r a n in J u l y 1 9 4 0 to prevent the F r e n c h ships f r o m falling in t h e
h a n d s o f the G e r m a n s .
3. Contemporary uses of Churchill
T h e steady interest in Churchill which has been apparent since his death in
1 9 6 5 t o o k a d r a m a t i c u p t u r n after the attack o n the W o r l d T r a d e C e n t e r in
2 0 0 1 a n d the A n g l o - A m e r i c a n decision to invade Iraq in M a r c h 2 0 0 3 .
The
tragedy
in N e w
Y o r k on
11 S e p t e m b e r
2001
immediately
c o n j u r e d u p i m a g e s o f Churchill. T h e visits b y R u d o l p h G i u l i a n i , the
M a y o r o f N e w York, a n d b y President B u s h to the ruins e v o k e d m e m o r i e s
o f Churchill's w a l k a b o u t s in the blitzed parts o f L o n d o n in 1 9 4 0 , a n d the
rhetoric o f G i u l i a n i a n d B u s h was equally reminiscent o f
Churchill's
defiance o f foreign tyrants. S u c h references c o n t i n u e d in the period leading
u p to the decision to attack Iraq in 2 0 0 3 . T h e British war leader's n a m e was
frequendy invoked to justify preventive action against the threat p o s e d b y
S a d d a m H u s s e i n ' s regime. T w o t h e m e s in particular were presented:
146
Jørgen Sevaldsen
Firstly, C h u r c h i l l ' s w i s d o m in realising that a p p e a s e m e n t d o e s n o t
w o r k against u n s c r u p u l o u s dictators. O p p o n e n t s o f a r m e d intervention
a g a i n s t S a d d a m H u s s e i n were c o m p a r e d with the followers o f N e v i l l e
Chamberlain a n d accused o f m a k i n g the s a m e kind o f misjudgement o f
their o p p o n e n t ' s intentions that t h e appeasers m a d e in the 1 9 3 0 s .
S e c o n d l y , t h a t w e s h o u l d learn f r o m C h u r c h i l l ' s c o u r a g e in s t a n d i n g
u p for views that w e r e u n p o p u l a r d u r i n g the years before the war a n d in
t a k i n g the difficult d e c i s i o n to fight o n a g a i n s t H i t l e r in 1 9 4 0 in spite o f
s c e p t i c i s m a m o n g his colleagues. President B u s h a n d especially P r i m e
M i n i s t e r Blair k n e w that m a n y o f their voters w e r e u n c o m f o r t a b l e w i t h
their policies o n Iraq, a n d C h u r c h i l l p r o v i d e d a t e m p t i n g m o d e l o f a
politician w h o d a r e d lead f r o m the front. A s B u s h expressed it in F e b r u a r y
2 0 0 4 : 'In his d e t e r m i n a t i o n to d o the right t h i n g , a n d n o t the easy t h i n g , I
see the spirit o f C h u r c h i l l in P r i m e M i n i s t e r T o n y Blair.' O n t h e s a m e
o c c a s i o n , B u s h declared h i m s e l f 'a great a d m i r e r o f Sir W i n s t o n C h u r c h i l l ,
a d m i r e r o f his career, a d m i r e r o f his strength, a d m i r e r o f his character — s o
m u c h so that I keep a s t e r n - l o o k i n g b u s t o f Sir W i n s t o n in t h e O v a l
O f f i c e . H e w a t c h e s m y every m o v e . ' ( B u s h 2 0 0 4 ) . T o n y Blair o n his p a r t
styled his speeches in a m a n n e r that often recalled f a m o u s p h r a s e s f r o m
C h u r c h i l l ' s w a r t i m e speeches: ' W e the British are a p e o p l e that s t a n d b y
o u r friends in t i m e s o f need, trial a n d tragedy...' ( 1 4 S e p t e m b e r 2 0 0 1 ) ;
' P e o p l e s h o u l d have c o n f i d e n c e . T h i s is a battle with o n l y o n e o u t c o m e :
o u r victory, n o t theirs' ( 3 0 M a r c h 2 0 0 3 ) ; ' O n its o u t c o m e h a n g s m o r e
t h a n the fate o f the Iraqi p e o p l e ' (The Observer, 11 A p r i l 2 0 0 4 ) .
T h e a p p e a l to C h u r c h i l l w a s not, as D a n i s h n e w s p a p e r readers will
k n o w , c o n f i n e d to the countries o f the ' A n g l o s p h e r e ' . In D e n m a r k , t o o ,
p o l i t i c i a n s a n d c o m m e n t a t o r s s u p p o r t i n g the D a n i s h p a r t i c i p a t i o n i n the
military action a g a i n s t Iraq frequently r e m i n d e d their critics o f C h u r c h i l l ' s
u n c o m p r o m i s i n g s t a n d against tyrants a n d o f the d e b t o f g r a t i t u d e that
D a n e s o w e h i m a n d the British p e o p l e ( S e v a l d s e n 2 0 0 4 : 3 9 2 ) .
I n the context o f P r e s i d e n t B u s h a n d P r i m e M i n i s t e r Blair, h o w e v e r ,
t h e close relationship b e t w e e n t h e m d u r i n g the I r a q crisis w a s in itself seen
as a v i n d i c a t i o n o f the 'special r e l a t i o n s h i p ' between B r i t a i n a n d t h e U S A ,
a n d thus o f a n ideal that C h u r c h i l l h i m s e l f h a d cultivated m o r e t h a n a n y
o t h e r British s t a t e s m a n in the 2 0 * century. B o r n o f an A m e r i c a n m o t h e r ,
h e s a w the relationship as b a s e d n o t j u s t o n a c o m m u n i t y o f interests, b u t
o n a shared history a n d c o m m o n d e m o c r a t i c a n d c o n s t i t u t i o n a l ideals.
T h i s is w h a t he e l a b o r a t e d over four v o l u m e s in A History
Speaking
of the EnglishPeoples ( 1 9 5 6 - 1 9 5 8 ) , a n d w h i c h h e translated into a special d u t y
147
Churchill: T h e Continuing Srory
o f t h e two l e a d i n g E n g l i s h - s p e a k i n g countries to secure a n d u p h o l d an
orderly a n d d e m o c r a t i c world. T h u s , in his f a m o u s 'iron curtain' speech in
F u l t o n , M i s s o u r i , in 1 9 4 6 o n t h e threat f r o m S o v i e t totalitarianism, h e
d w e l l e d o n t h e p o s i t i o n o f the U S A as t h e c h a m p i o n , with Britain, o f
h u m a n rights, f r e e d o m a n d the rule o f law. ' H e r e are the title d e e d s o f
f r e e d o m w h i c h s h o u l d lie in every c o t t a g e h o m e . H e r e is the m e s s a g e o f
the British a n d A m e r i c a n p e o p l e s to m a n k i n d . L e t us p r e a c h w h a t w e
practise — let us practise w h a t w e preach.' ( C a n n a d i n e 1 9 9 0 : 3 0 0 ) . In the
c o n t e x t o f an e m e r g i n g C o l d W a r , he stressed the special role o f the U S A
a n d Britain, w i t h i n the n e w o r g a n i s a t i o n o f the U N , to e n s u r e o r d e r a n d
stability in the w o r l d . C h u r c h i l l tried as l o n g as p o s s i b l e to insist o n an
e q u a l status between the U S a n d B r i t a i n a n d its C o m m o n w e a l t h in this
task, even t h o u g h h e recognized that the N o r t h A m e r i c a n cousins w e r e the
s u p e r p o w e r o f the future. N o w a d a y s , t h e idea o f the U S as the heir to
Britain's world
role has been
taken
up
b y historians
s u c h as
Niall
F e r g u s o n , w h o f a m o u s l y called t h e U S A 'an e m p i r e in denial' ( F e r g u s o n
2004a).
The
argument
of Ferguson
a n d other A n g l o - A m e r i c a n
neo-
imperialists is that the w o r l d needs a b e n e v o l e n t s u p e r p o w e r to e n s u r e
o r d e r a n d stability. Britain fulfilled this role in the 1 9 t h century t h r o u g h its
E m p i r e , w h i c h w a s , b y a n d large, a g o o d , progressive a n d stabilizing thing.
W h a t is n e e d e d n o w , in this view, is that the U S A takes it u p o n itself to
p l a y this role in full r e c o g n i t i o n o f w h a t it is d o i n g .
A n d w h a t , then, s h o u l d Britain's role b e in a w o r l d d o m i n a t e d b y the
USA?
H e r e , t o o , C h u r c h i l l ' s legacy plays a n interesting p a r t in
the
d i s c u s s i o n s . T h e fact that his a n d Britain's finest h o u r in 1 9 4 0 was a case
o f ' s t a n d i n g a l o n e ' against d a r k forces e m a n a t i n g f r o m the C o n t i n e n t is
seen b y m a n y as h a v i n g h a d a lasting effect o n British p e r c e p t i o n s o f
E u r o p e . It is true that in the late 1 9 4 0 s C h u r c h i l l a c q u i r e d a r e p u t a t i o n as
o n e o f the fathers o f a u n i t e d E u r o p e t h r o u g h his s p o n s o r s h i p o f the
C o u n c i l o f E u r o p e in 1 9 4 9 , b u t it q u i c k l y b e c a m e clear that h e was
against British p a r t i c i p a t i o n in a n y f o r m o f s u p r a - n a t i o n a l E u r o p e a n cooperation. A
U n i t e d E u r o p e for h i m was a n i n s t r u m e n t o f F r e n c h -
G e r m a n reconciliation, n o t a c o n s t r u c t i o n that s h o u l d lure Britain away
f r o m her imperial or A t l a n t i c destinies. S o h e d i d n o t use his a u t h o r i t y to
p r e p a r e the British for a life as o n e a m o n g m a n y E u r o p e a n players. T h e
p r o - E u r o p e a n conservative historian J o h n R a m s d e n c o m m e n t s o n
the
'extremely h i g h regard with w h i c h b o t h C h u r c h i l l a n d Britain itself were
h e l d across E u r o p e after 1 9 4 5 ' a n d deplores 'the recklessness w i t h w h i c h
s u c h a n a t i o n a l asset was w a s t e d b y British G o v e r n m e n t s over the next two
148
Jørgen Sevaldsen
d e c a d e s . W h a t e v e r role B r i t a i n m i g h t have s o u g h t to p l a y after
C h u r c h i l l h a d e n s u r e d t h a t t h e ball was at o u r feet, t h o u g h
1945,
somehow
neither he n o r his successors were ever able to run w i t h it. T h i s w a s a
failure o f foreign p o l i c y that c o u l d well c o m e to w e i g h heavily in the
historical scales o f j u d g e m e n t . ' ( R a m s d e n 2 0 0 2 : 3 2 1 ) .
O n the other h a n d , it has been easy a n d o b v i o u s to u s e C h u r c h i l l ' s
a u t h o r i t y in s u p p o r t o f m a i n t a i n i n g
close links w i t h the U S A .
The
C h u r c h i l l - R o o s e v e l t relationship h a s been c o m p a r e d with t h e T h a t c h e r R e a g a n p a r t n e r s h i p a n d w i t h Blair's relations w i t h b o t h C l i n t o n a n d B u s h .
A s m e n t i o n e d before, Blair's policy o f sticking to the p a r t n e r s h i p w i t h
B u s h partly o u t o f basic s y m p a t h y for the A m e r i c a n view o f t h e w o r l d a n d
partly b e c a u s e o f an a m b i t i o n to m a x i m i z e British influence o n A m e r i c a n
decisions is easy to present as o n e m o d e l l e d o n t h e e x a m p l e o f W i n s t o n
C h u r c h i l l . T h e r e h a s been an o n g o i n g d i s c u s s i o n a b o u t t h e validity o f
s u c h a parallel between the experts. T h u s in J u l y 2 0 0 4 , J o n M e a c h a m , the
author
of
Franklin
and
Winston
(2003),
warned
against
historical
c o m p a r i s o n s o f this k i n d a n d a g a i n s t seeing t o o m a n y likenesses b e t w e e n
G e o r g e W . B u s h a n d T o n y Blair o n o n e s i d e a n d C h u r c h i l l a n d F r a n k l i n
D . R o o s e v e l t o n t h e o t h e r : ' B u s h eschews c o m p l e x i t y ; F D R a n d C h u r c h i l l
e m b r a c e d it. B u s h prefers t o d e c i d e , n o t g o i n t o details or revisit issues;
F D R a n d C h u r c h i l l w e r e c o n s t a n t l y e x a m i n i n g their o w n a s s u m p t i o n s a n d
i m m e r s i n g themselves in p o s t w a r p l a n n i n g . B u s h is largely i n c u r i o u s a b o u t
t h e w o r l d ; F D R a n d C h u r c h i l l w a n t e d to k n o w everything.'
(Meacham
2 0 0 4 ) . I n contrast, M a r t i n G i l b e r t r e m i n d e d us in D e c e m b e r 2 0 0 4 t h a t in
their t i m e , C h u r c h i l l a n d R o o s e v e l t w e r e the target o f m u c h criticism, t o o ,
a n d a r g u e s that i f a d e m o c r a t i c Iraq a n d a n Israeli-Palestinian a g r e e m e n t
e m e r g e at the e n d o f the difficult w a r in Iraq, B u s h a n d Blair ' m a y well,
with the p a s s a g e o f t i m e a n d t h e o p e n i n g o f the archives, j o i n t h e r a n k s o f
R o o s e v e l t a n d C h u r c h i l l . ' H e also s a w the intervention in I r a q in t h e
c o n t e x t o f A n g l o - A m e r i c a n i d e a l i s m as expressed in t h e A t l a n t i c C h a r t e r :
' C h u r c h i l l a n d R o o s e v e l t w o r k e d together to s h a p e t h e p o s t w a r w o r l d .
T h e A t l a n t i c C h a r t e r , w h i c h they b o t h s i g n e d in A u g u s t 1 9 4 1 , set o u t the
p a r a m e t e r s o f self-government, free elections a n d d e m o c r a c y for all t h o s e
n a t i o n s t h a t h a d b e e n s u b j e c t e d to N a z i tyranny. In Iraq, B u s h a n d Blair
h a v e a d h e r e d to the A t l a n t i c C h a r t e r c o n c e p t . H u s s e i n w a s o v e r t h r o w n in
o r d e r that a d e m o c r a t i c Iraqi leader c o u l d b e p u t in his p l a c e , a n d b o t h
leaders are persevering in this task.' ( G i l b e r t 2 0 0 4 ) .
T h e r e are, o f c o u r s e , other r o a d s for B r i t a i n t h a n the A t l a n t i c or the
E u r o p e a n ones. T h e historian T i m o t h y G a r t o n A s h has recently tried s o
149
s u m m a r i s e the various o p t i o n s d i s c u s s e d in Britain as the following four
strategies:
I.
R e g a i n i n d e p e n d e n c e . T h i s is a narrative that 'draws o n an i m m e n s e l y
powerful self-image: that o f Britain fighting heroically o n , led b y
W i n s t o n C h u r c h i l l , after F r a n c e h a d fallen to Hitler's armies in the
s u m m e r o f 1 9 4 0 ' , a n d w h i c h concentrates o n p u l l i n g o u t o f E u r o p e .
II.
C h o o s e A m e r i c a . T h e voices r e c o m m e n d i n g this say that Britain m u s t
c h o o s e b e t w e e n the U S a n d E u r o p e , a n d that she s h o u l d c h o o s e the
U S a n d j o i n the N o r t h A t l a n t i c F r e e T r a d e Area.
III.
Choose Europe.
Only
through
pooling
its sovereignty with
the
partners in the E U , say t h e p r o p o n e n t s o f this o p t i o n , c a n B r i t a i n free
herself f r o m her servitude to the U S a n d regain her natural p l a c e as a
l e a d i n g force in E u r o p e . Britain needs to realise that culturally a n d in
t e r m s o f social values, s h e is a E u r o p e a n country.
IV.
T r y to m a k e the best o f Britain's i n t i m a t e relations with b o t h A m e r i c a
a n d E u r o p e . T h i s is, in fact, w h a t the Blair g o v e r n m e n t tries t o d o ,
a n d w h i c h m o s t British p e o p l e w o u l d n o d o u b t o p t for, whereas the
m e d i a t e n d to b e m o r e p o l a r i s e d b e t w e e n ' E u r o s c e p t i c s ' , ' E u r o p h i l e s '
a n d 'Atlanticists'.
In this s c h e m e o f things, W i n s t o n C h u r c h i l l , in A s h ' s view, is 'the p r i m e
w i t n e s s , role m o d e l a n d a d o p t e d p a t r o n saint' o f the first t w o o p t i o n s (Ash
2 0 0 4 : 3 0 ) . O p t i o n s w h i c h are still alive in the British d e b a t e , w h e r e
participants
are
still
trying
to
capitalise
on
Churchill's
immense
reputation.
4. Historical role model?
F o r historians, this l e a n i n g o n a historical a u t h o r i t y like C h u r c h i l l in
c o n t e m p o r a r y political controversies raises the o l d a n d familiar q u e s t i o n o f
l e a r n i n g lessons f r o m history. In the case o f C h u r c h i l l : A r e there sufficient
similarities between the situations in the 1 9 3 0 s a n d t h e present d a y for a
c o m p a r i s o n b e t w e e n C h u r c h i l l ' s s t a n d a g a i n s t H i t l e r a n d Blair's against
S a d d a m H u s s e i n to b e m e a n i n g f u l ?
I n the late 1 9 3 0 s , Churchill certainly was m o r e alert to dangers c o m i n g
from
150
H i d e r ' s G e r m a n y than m a n y o f his c o n t e m p o r a r i e s were. A s to the
Jørgen Sevaldsen
q u e s t i o n o f h o w to contain Hitler's a m b i t i o n s , Churchill's m a i n advice was
(1) T o b u i l d alliances against h i m in E u r o p e while strengthening the L e a g u e
o f N a t i o n s , a n d (2) T o build u p Britain's defences s o that the c o u n t r y c o u l d
negotiate f r o m a p o s i t i o n o f strength. H e never p r o p o s e d a preventive war
o n G e r m a n y to force the country to d i s a r m or to rid it o f the N a z i regime.
D u r i n g the crisis in 1 9 3 6 caused b y G e r m a n y ' s remilitarisation o f the
R h i n e l a n d , h e d i d n o t o p p o s e the official
policy o f trying to find
a
negotiated settlement o f the crisis. In 1 9 3 9 , the final decision o f Neville
C h a m b e r l a i n ' s g o v e r n m e n t to g o to war with G e r m a n y w a s taken as a
r e s p o n s e to a direct G e r m a n attack o n P o l a n d .
In o t h e r w o r d s , it s e e m s difficult to c o m p a r e t h e situation in the
1 9 3 0 s w i t h the 2 0 0 3 scenario o f a perceived threat f r o m a m i n o r p o w e r
ruled
by
a
vicious
dictator
possibly
possessing
weapons
of
mass
d e s t r u c t i o n . I f y o u w a n t to find historical situations in w h i c h C h u r c h i l l
a d v o c a t e d intervention for preventive or h u m a n i t a r i a n reasons y o u w o u l d
h a v e to l o o k at o t h e r e p i s o d e s in his l o n g career. T h u s , his a d v o c a c y o f
allied intervention a g a i n s t the Bolsheviks in R u s s i a in 1 9 2 0 m a y b e said to
h a v e s p r u n g f r o m a sort o f liberal i n t e r v e n t i o n i s m . In that s i t u a t i o n ,
however, as in the c a s e o f his intervention in the G r e e k civil w a r in 1 9 4 4 45
o n the s i d e o f t h e a n t i - c o m m u n i s t s ,
there a l r e a d y w e r e
internal
conflicts t a k i n g p l a c e in w h i c h C h u r c h i l l c h o s e to s u p p o r t o n e o f the
parties. H e also cheered, as P r i m e M i n i s t e r , t h e A m e r i c a n - l e d o p e r a t i o n s
a g a i n s t the I r a n i a n politician M o h a m m a d M o s s a d e g h in 1 9 5 2 - 5 3 w h i c h
l e d to M o s s a d e g h ' s fall. C h u r c h i l l h a d resigned as P r i m e M i n i s t e r w h e n
t h e British, F r e n c h a n d Israelis i n v a d e d E g y p t in 1 9 5 6 in r e s p o n s e to
P r e s i d e n t N a s s e r ' s n a t i o n a l i s a t i o n o f the S u e z C a n a l . H e a p p e a r s n o t to
h a v e h a d q u a l m s a b o u t the intervention in itself, b u t reservations a b o u t
t h e w i s d o m o f g o i n g in w i t h o u t a s s u r a n c e o f A m e r i c a n s u p p o r t . In a n y
case, the military interventions against local autocrats in Iran in 1 9 5 3 a n d
in E g y p t in 1 9 5 6 t o o k p l a c e to protect British e c o n o m i c a n d strategic
interests; they were n o t d e f e n d e d as actions to rid the w o r l d o f d a n g e r s to
t h e p e a c e or to liberate the I r a n i a n or E g y p t i a n p e o p l e s f r o m o p p r e s s i o n . I f
C h u r c h i l l h a d b e e n alive in 2 0 0 3 a n d in a p o s i t i o n to confer w i t h T o n y
Blair o n the m e r i t s o f intervention in Iraq, m y g u e s s w o u l d b e that he
w o u l d h a v e b e e n attracted b y the idea o f a j o i n t A n g l o - A m e r i c a n a c t i o n to
p u n i s h a local tyrant, b u t also d o u b t f u l a b o u t w h e t h e r k e y British interests
w e r e at stake, or w h e t h e r the liberation o f the Iraqi p e o p l e f r o m a d e s p o t i c
ruler w a s a s t r o n g e n o u g h a r g u m e n t to w a r r a n t military a c t i o n .
151
In fact, C h u r c h i l l d i d n o t always act in heroic a n d u n c o m p r o m i s i n g
m o d e s . H i s policies c o u l d b e very p r a g m a t i c . A s P r i m e M i n i s t e r 1 9 5 1 - 5 5
h e was very m u c h aware that the W e s t was c o n f r o n t i n g a c o u n t r y that h a d
nuclear b o m b s , a n d w a s m o r e careful to a v o i d p r o v o k i n g the Soviets than
w a s his U S partners. L i k e t h e m , he sincerely w a n t e d the d e m i s e o f the
S o v i e t U n i o n . H e was certain that the c o m m u n i s t regimes w o u l d fall, b u t
t h o u g h t that the b r e a k d o w n o f the Soviet b l o c w o u l d b e a result o f a l o n g
process o f attrition a n d o f the effects o f increasing cultural a n d e c o n o m i c
p r e s s u r e f r o m the W e s t . Y o u m i g h t say that here was a n o t h e r issue o n
w h i c h history was to p r o v e h i m right.
S o the conviction that Churchill w o u l d b e a certain s u p p o r t e r o f the
C o a l i t i o n attack o n Iraq, h a d he been with us today, seems difficult to
sustain if y o u l o o k at the specifics o f each o f the historical situations that
m i g h t b e c o m p a r e d . It m a y also b e that the fans o f Churchill c h o o s e to
appeal to h i m m o r e generally as a politician with a heroic a n d activist
a p p r o a c h to the c o n d u c t o f foreign policy. B y the e n d o f 2 0 0 4 , however, the
increasingly messy a n d un-heroic circumstances o f the intervention in Iraq
lessened the inclination o f A n g l o - A m e r i c a n leaders to d r a w in C h u r c h i l l in
the debate. W h o k n o w s , perhaps the C h u r c h i l l that will be q u o t e d over the
next few years will not b e the o p p o n e n t o f a p p e a s e m e n t in the 1 9 3 0 s , b u t
the minister w h o in 1 9 2 0 - 2 1 fought relentlessly against I R A terrorists in
Ireland, b u t in the e n d decided that e n o u g h was e n o u g h a n d that a
settlement c o u l d o n l y b e reached t h r o u g h negotiations with the terrorists?
A s the q u o t e f r o m N o a m C h o m s k y referred to at the b e g i n n i n g o f this essay
illustrated, Churchill's speeches a n d policies s p a n so m a n y positions that his
authority can be called u p o n to s u p p o r t a w i d e range o f views.
T h e r e are, finally, a n u m b e r o f other reasons w h y C h u r c h i l l will n o
d o u b t c o n t i n u e to b e q u o t e d a n d u s e d as an authority. T h e y h a v e to d o
w i t h aspects o f his personality w h i c h m a r k h i m o u t as a m o d e r n o r even
p o s t - m o d e r n politician:
Firstly, his ability to set the scene a n d create reality t h r o u g h rhetoric,
especially in 1 9 4 0 . All spin d o c t o r s m u s t a d m i r e his ability d u r i n g the
p e r i o d after the fall o f F r a n c e to p e r s u a d e the British p o p u l a t i o n that their
c o u n t r y was in a p o s i t i o n to w i n a war w i t h the axis p o w e r s , w h e n all
rational analysis p o i n t e d in the o p p o s i t e direction. T h i s has always been
r e c o g n i s e d as a superior feat o f political p e r s u a s i o n , w h i c h w a s even m o r e
r e m a r k a b l e as he w a s , o f c o u r s e , his o w n spin d o c t o r .
S e c o n d l y , his very m o d e r n w a y o f ' b r a n d i n g ' h i m s e l f as a politician.
T h e r e were certainly other leaders w i t h s t r o n g p u b l i c profiles d u r i n g the
152
Jørgen Sevaldsen
1 9 3 0 s , b u t a m o n g d e m o c r a t i c politicians h e was r e m a r k a b l e in his early
ability to b r a n d h i m s e l f t h r o u g h the w e i r d variety o f hats h e used, his
cigar, b o w tie, a n d the V - s i g n that he cultivated d u r i n g W o r l d W a r II. H e
w a s extremely careful a b o u t this a n d very c o n s c i o u s o f cultivating a n d
m a i n t a i n i n g his p u b l i c i m a g e .
T h i r d l y , his leadership style. Certainly, his reputation a m o n g
his
c o n t e m p o r a r i e s a n d his staff o n this score is m i x e d . H e was k n o w n as a
p e r s o n w h o d r o v e his secretaries to despair b y d e m a n d i n g their services at
i m p r o b a b l e hours, as an addict o f one-way c o m m u n i c a t i o n a n d therefore a
hopeless chairperson o f meetings. Nevertheless, other aspects o f his style o f
leadership are attracting interest at business schools a n d other centres o f
m a n a g e m e n t studies: H i s ability to inspire his staff t h r o u g h his energy a n d
ceaseless interest in even m i n u t e details, w h i c h m a d e h i m an 'inspirational'
a n d ' h a n d s - o n ' leader; his curiosity, which m a d e h i m w a n t to see for h i m s e l f
w h a t w e n t o n in the offices, ships, airfields, m u n i t i o n factories or whatever
other establishments that were part o f his ministerial responsibilities. Experts
h a v e declared h i m a p r i m e e x a m p l e o f the ' M B W A ' style o f leadership:
M a n a g e m e n t B y W a l k i n g A b o u t (Roberts 2 0 0 3 : 1 0 1 ) .
T h e s e ' m o d e r n ' features are to b e f o u n d , it s h o u l d b e r e m e m b e r e d , in a
person w h o w a s b o r n into the u p p e r echelons o f the British aristocracy. T h i s
is o n e o f the m a n y a p p a r e n t contradictions w h i c h m a k e h i m s o fascinating:
at the s a m e t i m e progressive a n d aristocratic, social reformer a n d antisocialist, cautious p r a g m a t i c a n d heroic firebrand, realistic p o w e r politician
a n d r o m a n t i c nationalist, prophetic seer a n d detail-obsessed administrator.
Y o u s h o u l d , in m y view, always b e sceptical o f a n y b o d y c l a i m i n g authority
for c o n t e m p o r a r y courses o f action from the great statesman, b u t it will
always b e fascinating a n d often inspiring to see h o w h e c o p e d with the
challenges that he a n d his c o u n t r y m e t with in his lifetime.
University
of
Copenhagen
153
References
Ash, Timothy Garton. 2 0 0 4 . Free World. Why a crisis of the West reveals the
opportunity of our time. London: Allen Lane.
Best, Geoffrey. 2 0 0 1 . Churchill. A Study in Greatness. London: Hambledon &
London.
Barnett, Corelli. 1991. Engage the Enemy More Closely. The Royal Navy in the
Second World War. London: Norron.
Bush, George W. 2004. Speech at the opening of an exhibition on Winston
Churchill at the Library o f Congress in Washington. February 4, 2004.
www.whitehouse.gov/news/releases/2004/02/print/20040204-4.html
Cannadine, David, ed. 1990. The Speeches of Winston Churchill. Penguin, 1990.
Chaimley, John. 1993. Churchill. The End of Glory. London: Sceptre.
Charmley, John. 1995. Churchill's Great Alliance. London: Sceptre.
Chomsky, N o a m . 2003. Foreword to Phyllis Bennis, Before & After. US Foreign
Policy and the War on Terrorism. N e w York Arris Books.
Churchill, Winston S.. 1957. A History of the English-Speaking Peoples, volume
III, T h e Age of Revolution. London: Cassell.
Cooper, John, ed.. 2 0 0 2 . Great Britons. The Great Debate. London: National
Portrait Gallery.
Ferguson, Niall. 2004a. Empire. How Britain Made the Modern World. London:
Penguin.
Ferguson, Niall. 2004b. Colossus: the Rise and Fall of the American Empire. Allan
Lane.
Gilbert, Martin. 2000. Churchill. A Life. London: Pimlico.
Gilbert, Martin. 2004. 'A Matter of History', in Newsweek, December 2 0 0 4 :
Issues 2005:Leadership
(www.msnbc.msn.com/id/6728160/site/ newsweek/ print/1 /displaymode/10
98/)
Jenkins, Roy. 2 0 0 1 . Churchill. London: Macmillan.
Meacham, Jon. 2 0 0 4 . 'D-Day's Real Lessons', Newsweek, May 31 2 0 0 4 .
(www.msnbc.msn.com/id/5040844/prinr/1 /displaymode/1098/)
Ponting, Clive. 1994. Churchill. London: Sinclair-Stevenson.
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Jørgen Sevaldsen
Ramsden, John. 2 0 0 2 . Man of the Century. Winston Churchill and his Legend since
1945. London: Harper/Collins.
Reynolds, David. 2004. Churchill Fighting and Writing the Second World War.
London: Allen Lane.
Roberts, Andrew. 2 0 0 3 . Hitler & Churchill. Secrets of Leadership. London:
Weidenfeld & Nicolson.
Sevaldsen, Jørgen. 2 0 0 2 . 'Unødvendige og forgæves ofre? Storbritanniens
deltagelse i Første og Anden Verdenskrig', in C . Due-Nielsen, ed., Historie
og historiografi. Festskrift til Inga Floto. København, Den Danske Historiske
Forening, 254-275.
Sevaldsen, Jørgen. 2 0 0 4 . Churchill—statsmand
og myte. København: Aschehoug.
Smart, Nick. 2 0 0 3 . British Strategy and Politics during the Phony War. London:
Praeger.
Wrigley, Chris. 2 0 0 2 . Winston Churchill. A Biographical
ABC-Clio.
Companion. London:
Websites:
Churchill Centre, Washington D . C . : www.winstonchurchill.org
Churchill Archives Centre, Cambridge, U K : www.chu.cam.ac.uk/archives/
Note:
T h i s article is an e x p a n d e d a n d u p d a t e d version o f a p a p e r given at the
N i n t h N o r d i c C o n f e r e n c e for E n g l i s h S t u d i e s , o r g a n i s e d b y the N o r d i c
A s s o c i a t i o n for E n g l i s h S t u d i e s a n d the D e p a r t m e n t o f E n g l i s h , U n i v e r s i t y
of Aarhus, 2 7 - 29 M a y 2004.
155
Churchill: T h e Conrinuing Story
Johansson, Stig, and Anne-Line Graedler.
Rocka, hipt og snacksy. Om engelsk i norsk språk og samfunn.
Kristiansand: Høyskoleforlaget, 2 0 0 2
GUNNEL MELCHERS
A review o f this e n g a g i n g a n d informative b o o k is l o n g o v e r d u e a n d was, in
fact, originally m e a n t to b e included in the recent special issue o f
NJES
( V b l . 3 : 2 , 2 0 0 4 ) , d e v o t e d to the influence o f English o n the languages in the
N o r d i c countries. T h e o b v i o u s advantage, however, o f waiting to p r o d u c e
this review is that it s h o u l d benefit f r o m last year's NJES
t h e m a t i c issue,
w h i c h p r o v i d e d a great deal o f interesting c o m p a r a t i v e material a n d a variety
o f perspectives o n the topic. J o h a n s s o n & Graedler's pioneering work, in
fact, includes aspects o f virtually all the issues represented in the
NJES
v o l u m e , published two years later a n d dealing with a larger area c o m p r i s i n g
several different polities a n d speech c o m m u n i t i e s . T h u s b o t h publications
discuss types o f b o r r o w i n g , the effect o f E n g l i s h o n L I w o r d f o r m a t i o n a n d
sentence structure, c h a n g i n g practices in n a m i n g , sociolinguistic differences,
d o m a i n loss, a n d attitudes to the i m p a c t o f E n g l i s h .
J o h a n s s o n 1 9 9 5 , an article w h i c h c a n b e v i e w e d as a p r e l i m i n a r y or
forerunner to the b o o k u n d e r review, is i n t r o d u c e d as follows:
T h e influence of the English language and of Anglo-American
culture has been strongly felt in Scandinavia in this century. Yet it
is a topic which - until recently - has not been given much
attention in linguistic research, alrhough it has been frequently
commented on in articles and letters to the editor in the press.
Oohansson 1 9 9 5 : 2 6 9 )
I n d e e d , w i t h the e x c e p t i o n o f s o m e a m b i t i o u s , d a t a - b a s e d d e s c r i p t i o n s o f
l o a n w o r d s , s u c h as S t e n e 1 9 4 5 ( o n N o r w e g i a n ) , S ø r e n s e n 1 9 7 3 ( D a n i s h ) ,
S e l t é n 1 9 9 3 ( S w e d i s h ) , a c o r p u s - b a s e d s t u d y o f E n g l i s h as u s e d in the
S w e d i s h press ( C h r y s t a l
1988)
a n d a large-scale i n f o r m a n t
study
on
a t t i t u d e s a n d u s a g e ( L j u n g 1 9 8 5 , 1 9 8 8 ) , the t o p i c d o e s n o t s e e m to h a v e
c a u g h t t h e a t t e n t i o n o f m a n y linguists b a s e d in the N o r d i c c o u n t r i e s . Yet
t h e first years in the n e w m i l l e n n i u m h a v e seen an u p s u r g e in research.
157
Rocka, hipt og snacksy
S p e c u l a t i n g o n reasons for this c h a n g e o f affairs, o n e m i g h t suggest the
increased awareness o f l a n g u a g e c o n t a c t as an i m p o r t a n t factor in c h a n g e
a n d variation, the g r o w i n g interest in ' W o r l d E n g l i s h e s ' , the
rapidly
increasing availability o f written as well as s p o k e n l a n g u a g e c o r p o r a , the
interest in y o u t h culture, a n d the fear o f d o m a i n loss a n d e n d a n g e r m e n t .
A s last year's NJES
t h e m a t i c issue also clearly d e m o n s t r a t e s , in its
very existence as well as its c o n t e n t s , i m p o r t a n t steps have been taken in
the N o r d i c countries towards j o i n t efforts in the field, linguistically as well
as politically. T h e m o s t i m p o r t a n t linguistic m a n i f e s t a t i o n o f s u c h coo p e r a t i o n s o far is p r o b a b l y the large-scale p r o j e c t Modern
Loanwords
in
the Nordic Countries, p r e s e n t e d in A n n e - L i n e G r a e d l e r ' s c o n t r i b u t i o n to
t h e j o u r n a l . T h e a i m s o f the p r o j e c t are n o t o n l y to p r o d u c e a detailed
c o m p a r a t i v e survey o f the t r e a t m e n t o f m o d e r n l o a n w o r d s in the
l a n g u a g e s in the N o r d i c countries b u t also to s t u d y 'the linguistic c l i m a t e ' ,
i.e. attitudes, a n d to p r o v i d e a b a c k g r o u n d for d i s c u s s i o n a n d decisionm a k i n g o n t h e part o f l a n g u a g e councils. T h e useful list o f references
c o n c l u d i n g the presentation clearly reflects the w e i g h t a n d wealth o f
e m p i r i c a l research carried o u t d u r i n g the last d e c a d e . In N o r w a y , the m o s t
substantial c o n t r i b u t i o n n o d o u b t derives f r o m the w o r k d o n e a n d
i n s p i r e d b y t h e writers o f the v o l u m e u n d e r review.
A s seen f r o m its title, J o h a n s s o n & Graedler's m o n u m e n t a l m o n o g r a p h
is written in N o r w e g i a n , which is understandable, a l t h o u g h its contents
s h o u l d b e o f interest to a n y o n e c o n c e r n e d with the globalisation o f English.
Its target readership is not explicitly specified, b u t seems to be a fairly
general N o r w e g i a n audience. T h e presentation is a d m i r a b l y straightforward
a n d free o f linguistic j a r g o n . In part, it is definitely o f a didactic character
a n d the b o o k will indeed m a k e an excellent textbook. E a c h chapter is
c o n c l u d e d b y a list o f suggestions for further reading a n d the b o o k is
a c c o m p a n i e d b y a website providing tasks relating to topics discussed.
T h e b u l k o f the b o o k ' s ten chapters a n d 3 1 8 p a g e s deals with lexical
b o r r o w i n g s : their history, users, d o m a i n s , integration, etc. In view o f this,
the
book's
all-embracing
subtitle
would
appear
to
be
somewhat
m i s l e a d i n g ; yet the first two chapters a n d t h e c o n c l u d i n g o n e a d d r e s s other
levels o f l a n g u a g e as well. Clearly, it c o u l d be a r g u e d a n d is also well
d o c u m e n t e d that the i m p a c t o f a d o n o r l a n g u a g e tends to b e s t r o n g e s t a n d
m o s t easily perceived with regard to the lexicon.
T h e i n t r o d u c t o r y chapter, Engelsk
- bro eller barriere?
('English -
b r i d g e o r barrier?') i m m e d i a t e l y whets the reader's a p p e t i t e b y q u o t i n g a
158
Gunnel Melchers
p r e d i c t i o n v o i c e d in 1 9 6 0 b y a N o r w e g i a n p u b l i s h e r to the effect that
E n g l i s h w o u l d be the d o m i n a n t l a n g u a g e in N o r w a y before the n e w
m i l l e n n i u m . A s w e all k n o w , this has n o t h a p p e n e d , in spite o f an everincreasing 'pressure' f r o m E n g l i s h , the character a n d extent o f w h i c h the
authors
illustrate
by
some
striking
examples
found
in
newspapers
a p p e a r i n g o n a r a n d o m l y selected d a y in the year 2 0 0 0 . Still, the a u t h o r s '
general i m p r e s s i o n after this search w a s that - w i t h the e x c e p t i o n
of
a d v e r t i s e m e n t s - there were relatively few E n g l i s h w o r d s a n d expressions in
most
o f the articles, w h i c h
corresponds
with
t h e overall
results
of
C h r y s t a l ' s large-scale 1 9 8 8 s t u d y o f S w e d i s h n e w s p a p e r s .
A particularly interesting section in t h e c h a p t e r discusses its m a i n
t h e m e , as s u g g e s t e d in the title. A l t h o u g h the m a s t e r y o f E n g l i s h is
o b v i o u s l y a ' b r i d g e ' in that it enriches o u r existence b y t h e possibility to
c o m m u n i c a t e w i t h p e o p l e a n d to g a i n access to cultures all over the w o r l d ,
its global s p r e a d a n d especially its i m p a c t o n the m o t h e r t o n g u e can also
h a v e an e x c l u d i n g effect.
T h e y o u n g e s t a n d o l d e s t a g e g r o u p s in
a
p o p u l a t i o n , for e x a m p l e , often have n o k n o w l e d g e o f E n g l i s h , a n d a
sizeable n u m b e r o f s c h o o l learners never a c q u i r e the skills r e q u i r e d to
benefit f r o m or even u n d e r s t a n d all the i n f o r m a t i o n s u p p l i e d i n E n g l i s h
only. B y m e a n s o f i l l u m i n a t i n g e x a m p l e s , taken f r o m v a r i o u s genres, the
a u t h o r s d e m o n s t r a t e the p r o b l e m s o f this i n f o r m a t i o n g a p , w h i c h has
largely b e e n n e g l e c t e d b u t is clearly o f vital i m p o r t a n c e a n d s h o u l d b e
s u b j e c t e d to s o c i o l i n g u i s t i c research. In N o r w a y as well as t h e
other
N o r d i c c o u n t r i e s there is, u n f o r t u n a t e l y a n d m i s t a k e n l y , s o m e t h i n g o f a
m y t h c l a i m i n g that w e are all virtually bilingual.
T h i s rich a n d s t i m u l a t i n g chapter, w h i c h encapsulates a great deal o f
t h e a u t h o r s ' m e s s a g e , c o n t i n u e s b y clarifying that anglonorsk,
i.e. ' E n g l i s h
as u s e d in N o r w e g i a n ' d o e s n o t necessarily bear c o m p l e t e r e s e m b l a n c e to
t h e l a n g u a g e as u s e d in a n E n g l i s h - s p e a k i n g country. F o r o n e t h i n g , w o r d s
m a y b e inflected a c c o r d i n g to the g r a m m a r o f the receiving l a n g u a g e , b u t
they m a y also h a v e a c q u i r e d a n e w m e a n i n g . T h e three w o r d s that m a k e
u p the m a i n title o f the b o o k are u s e d to illustrate this p h e n o m e n o n , b u t c u r i o u s l y - their exact significance a n d use is n o t d e s c r i b e d . T h e social
a s p e c t o f the use o f E n g l i s h is further h i g h l i g h t e d b y a plea for l a n g u a g e
awareness a n d c o n s i d e r a t i o n o f a u d i e n c e in w r i t i n g a n d s p e a k i n g . I t is
argued
that
many
English
borrowings
could
easily
be
replaced
by
N o r w e g i a n w o r d s . T h i s , a g a i n , is an interesting t o p i c , h i g h l i g h t e d b y the
l a n g u a g e c o u n c i l s in t h e N o r d i c countries, a m o n g w h i c h the N o r w e g i a n
c o u n c i l n o d o u b t is the m o s t m i l i t a n t (cf. w w w . s p r a k r a d . n o ) .
I n the
159
opinion
o f t h e present
reviewer,
the advice given
tends
to b e
too
categorical, s i n c e the b o r r o w i n g s often s t a n d for a special a s p e c t or m a y
express a particular involvement. R e p l a c e m e n t can also b e p r o b l e m a t i c for
f o r m a l reasons: e-post instead o f e-mail as e x e m p l i f i e d b y the a u t h o r s is n o t
e q u i v a l e n t / s y n o n y m o u s in that it c a n n o t b e u s e d as a c o u n t a b l e .
T h e c h a p t e r further c o n t a i n s a brief section exemplifying E n g l i s h based changes
in N o r w e g i a n
sentence structure. T h e s e
often
subtle,
u n o b t r u s i v e c h a n g e s are plentiful in the S c a n d i n a v i a n l a n g u a g e s b u t are
still w a i t i n g to b e researched at length. A s recently s h o w n by
Ljung
( 2 0 0 4 ) , the existence o f large text c o r p o r a m a k e s syntactic studies in this
field feasible a n d worthwhile. Finally, the crucial p r o b l e m o f d o m a i n loss
is briefly t o u c h e d u p o n a n d an a c c o u n t is given o f the a i m s a n d d a t a
collection o f t h e project o n w h i c h the present v o l u m e is based.
C h a p t e r 2 p r o v i d e s a succinct, b u t in p a r t unnecessarily detailed,
overview o f t h e history o f the E n g l i s h l a n g u a g e , i n c l u d i n g its global
s p r e a d . W h e r e a s it is not q u i t e clear w h y d e s c r i p t i o n s o f varieties s u c h as
p i d g i n s a n d Creoles s h o u l d b e i n c l u d e d in this w o r k unless it is s h o w n that
a learner l a n g u a g e m a y display certain p i d g i n - l i k e features, other t o p i c s are
well placed, e.g. K a c h r u ' s m o d e l o f W o r l d E n g l i s h e s . A d m i t t e d l y , in part
t h e p r e s e n t a t i o n does link u p well with certain r e c o m m e n d a t i o n s for t h e
t e a c h i n g o f E n g l i s h in N o r w e g i a n schools given in C h a p t e r 10.
B e g i n n i n g w i t h the next chapter, the focus is o n b o r r o w i n g s , or
rather ' l o a n w o r d s ' , w h i c h is t h e t e r m u s e d b y the a u t h o r s t h r o u g h o u t the
p r e s e n t a t i o n . T h i s chapter, a g a i n , is largely a lesson in the history o f the
E n g l i s h l a n g u a g e , describing the c o m p l i c a t e d s h a p i n g o f its v o c a b u l a r y
t h r o u g h l a n g u a g e contact. A l t h o u g h the presentation is very readable as
s u c h , it c o u l d b e q u e s t i o n e d whether it really deserves its place in this
v o l u m e . T h e chapter also includes a historical a c c o u n t o f l o a n w o r d s in
N o r w e g i a n , w h i c h is definitely m o r e justified a n d includes
important
i n f o r m a t i o n o n early b o r r o w i n g f r o m E n g l i s h . It also reviews s o m e early
s t u d i e s o n E n g l i s h l o a n w o r d s in N o r w a y , n o t a b l y S t e n e 1 9 4 5 , w h o f o u n d
t h a t the n u m b e r o f E n g l i s h l o a n w o r d s in d a t a f r o m the 1 9 3 0 s h a r d l y
e x c e e d e d l o a n w o r d s from s o m e other languages. T h e detailed a c c o u n t of
H a u g e n ' s w o r k o n the N o r w e g i a n l a n g u a g e in A m e r i c a deserves its p l a c e
here, since interesting similarities as well as differences are to b e f o u n d in
t h e character a n d use o f the E n g l i s h b o r r o w i n g s as c o m p a r e d to the
s i t u a t i o n in N o r w a y today.
A c o m p a r i s o n o f these two rather different
scenarios w o u l d constitute a w o r t h w h i l e p r o j e c t in its o w n right.
160
Gunnel Melchers
The
following
chapter, Hvem
bruker
lånord
og hvorfor?
( ' W h o uses
l o a n w o r d s a n d w h y ? ' ) , c a n b e characterised as h i g h l y i n f o r m a t i v e as well as
innovative. I n s o m e 5 0 p a g e s the a u t h o r s s u c c e e d in p r o d u c i n g subtle
d e s c r i p t i o n s o f t h e particular settings a n d attitudes d e t e r m i n i n g t h e s c o p e
a n d character o f t h e b o r r o w i n g s as well as detailed d a t a - b a s e d e x a m p l e s
a n d figures. T h e c h a p t e r o p e n s with an interesting d i s c u s s i o n o f p r o b l e m s
in d e t e r m i n i n g w h a t to i n c l u d e in the c a t e g o r y ' l o a n w o r d ' ; h e n c e it is
difficult to establish j u s t h o w m a n y l o a n w o r d s there are at a given t i m e .
S h o u l d , for e x a m p l e , a w o r d that has b e e n totally integrated, s u c h as jobbe
('work'), b e i n c l u d e d ? Incidentally, an i n f o r m a n t s t u d y as to w h a t is
c o n s i d e r e d a l o a n w o r d or n o t , s h o u l d b e interesting. In a c o u r s e o n
l a n g u a g e c h a n g e at S t o c k h o l m U n i v e r s i t y a 2 0 - y e a r - o l d s t u d e n t recently
gave
the w o r d
container
as
an
example
of a
completely
integrated
l o a n w o r d , c l a i m i n g that 'it h a d been a r o u n d for s o l o n g ' . A s for myself,
a b o u t 5 0 years her senior, I view the s a m e w o r d as a very recent a d d i t i o n
to the S w e d i s h l a n g u a g e a n d clearly m a r k e d as a b o r r o w i n g .
T h e c h a p t e r a b o u n d s w i t h interesting ideas a n d d i s c u s s i o n s . A m o n g
other things, t h e a u t h o r s a s k themselves w h y there s e e m s t o b e a general
i m p r e s s i o n that E n g l i s h l o a n w o r d s are extremely frequent in
running
texts, s u c h as n e w s p a p e r articles, w h e n this is n o t really t h e case. I n the
interesting section called Synlighet
('Visibility') it is p u t f o r w a r d that n o t
o n l y d o t h e E n g l i s h w o r d s m o s t l y represent ' c o n t e n t - b e a r i n g ' n o u n s , b u t
they are also h i g h l i g h t e d t h r o u g h d e v i a n t spelling c o n v e n t i o n s a n d - i f
s p o k e n - p r o n u n c i a t i o n s . In a d d i t i o n , they often o c c u r in
prominent
p o s i t i o n s , s u c h as headlines, a n d are often n e w a n d topical (reality
TV, web
design), s o m e t i m e s even ' l o a d e d ' . A s is well k n o w n , the f r e q u e n c y o f
E n g l i s h l o a n w o r d s is very d e p e n d e n t o n text t y p e , s u b c u l t u r e a n d d o m a i n .
T h e f o l l o w i n g settings are presented: p o p u l a r m u s i c (where N o r w e g i a n is
seriously e n d a n g e r e d ) , fashion, s p o r t ( c o n c l u d e d b y a n interesting a c c o u n t
o f a n u m b e r o f sports-related b o r r o w i n g s w h i c h have a c q u i r e d m o r e
generalised m e a n i n g s ) , film a n d T V ( i n c l u d i n g an interesting s t u d y o f the
increasing u s e o f all-English titles, s o m e o f w h i c h h a v e even b e e n c h a n g e d
in N o r w a y , e.g. Miss Congeniality, called Miss Undercover in N o r w a y ; in
S w e d e n , b y c o n t r a s t , its title is Miss Secret Agenrf), advertising (where a
great deal o f p u n n i n g p r e s u p p o s i n g a k n o w l e d g e o f N o r w e g i a n is f o u n d ) ,
e c o n o m i c s , n a m e s o f v a r i o u s k i n d s (cf. P a h t a & T a a v i t s a i n e n 2 0 0 4
s t u d y i n g F i n n i s h t e l e p h o n e directories), the c o m p u t e r w o r l d , a n d s p o k e n
l a n g u a g e (still very m u c h u n d e r - r e s e a r c h e d ) . A n i n f o r m a n t s t u d y as to the
a c c e p t a b i l i t y o f E n g l i s h l o a n w o r d s in N o r w a y s h o w e d clear differences
161
w i t h regard to region (lower acceptability in the N o r t h ) , o c c u p a t i o n (low
acceptability o n the part o f teacher trainees as c o m p a r e d to a g r o u p d o i n g
their military service) a n d g e n d e r ( s o m e w h a t lower acceptability a m o n g
w o m e n ) . T h e chapter is c o n c l u d e d b y s p e c u l a t i o n s o n s o m e u n d e r l y i n g
reasons
for
preferring
English
words,
such
as expressing
modernity,
s e e k i n g a t t e n t i o n , p u n n i n g , expressing e m o t i o n , i n v o l v e m e n t a n d identity.
C h a p t e r s 5 to 8 carefully a c c o u n t for the t r e a t m e n t o f the l o a n w o r d s :
their
integration
psychological
and
viewed
from
different
lexical), their varying
perspectives
(formal,
pronunciation
and
social,
spelling,
i n c l u d i n g t h e role o f the N o r w e g i a n l a n g u a g e council in this respect), their
m o r p h o l o g i c a l integration ( i n c l u d i n g an interesting s t u d y o f g r a m m a t i c a l
gender
assignment
to E n g l i s h
loanwords),
semantic change, and
the
c a t e g o r y labelled 'indirect' loans, especially ' s u b s t i t u t i o n ' l o a n s , w h e r e b y a
w o r d already existing in the receiving l a n g u a g e e x t e n d s its m e a n i n g d u e to
influence f r o m the d o n o r l a n g u a g e . T h e l a s t - m e n t i o n e d t o p i c is richly
illustrated b y results f r o m a p i o n e e r i n g study.
C h a p t e r 9, w h i c h is d e v o t e d to c o d e - s w i t c h i n g , is m o r e general a n d
impressionistic. T h e a u t h o r s d e p l o r e t h e fact that very little w o r k has been
d o n e o n s p o k e n l a n g u a g e ; in fact, S h a r p 2 0 0 1 seems to b e the o n l y largescale s t u d y in the N o r d i c countries s o far.
T h e title o f the final chapter is Engelsk eller ikke engelsk - is that the
question? ('English or n o E n g l i s h - . . . ' ) . T h i s w o r d i n g , w h i c h d o e s n o t
l e n d itself t o a c o m p l e t e l y a d e q u a t e translation into E n g l i s h , is m e a n t as a
r e s p o n s e to a D a n i s h p u b l i c a t i o n with a s i m i l a r - s o u n d i n g title b u t e n d i n g
in a s t a t e m e n t , viz. that is the question. G r a e d l e r & J o h a n s s o n w i s h to
e m p h a s i s e that b o t h l a n g u a g e s are n e e d e d ; t h e q u e s t i o n is rather w h e n to
u s e o n e a n d w h e n the other. In c o n s i d e r i n g w h a t m i g h t c o n s t i t u t e the
greatest threat to the N o r w e g i a n l a n g u a g e the a u t h o r s briefly a d v o c a t e
s o m e restriction in the u s e o f E n g l i s h l o a n w o r d s , e.g. in t a l k i n g or w r i t i n g
to/for an a u d i e n c e to w h o m l a n g u a g e m i g h t b e a barrier. Q u i t e rightly,
h o w e v e r , t h e b u l k o f the d i s c u s s i o n o f e n d a n g e r m e n t has to d o with
d o m a i n loss. T h i s is, incidentally, also the m a i n c o n c e r n o f t h e l a n g u a g e
c o u n c i l in S w e d e n , w h i c h is referred to in t h e c h a p t e r
(cf.
www.spraknamnden.se/SSN/handl.htm).
F u r t h e r m o r e , the a u t h o r s
r e c o m m e n d c h a n g e s in the teaching o f the m o t h e r t o n g u e as well as
E n g l i s h with a view to raising l a n g u a g e awareness, e.g. b y c o n s i d e r i n g
varieties o f E n g l i s h other t h a n s t a n d a r d varieties f o u n d in Britain o r the
U . S . T h e interesting a n d i m p o r t a n t t o p i c ' E n g l i s h as a l i n g u a franca' is
briefly d i s c u s s e d t o w a r d s the e n d o f the chapter.
162
Gunnel Melchers
In all, this is a solid as well as s t i m u l a t i n g b o o k to s i m p l y e n j o y
r e a d i n g a n d to k e e p for c o n t i n u o u s reference. I c a n n o t c l a i m to have d o n e
j u s t i c e to its richness b u t I h o p e at least to h a v e d e m o n s t r a t e d o n e o f its
m a n y merits, viz. the wealth o f i n f o r m a t i o n a n d ideas that s u g g e s t a n d
inspire further
research. T h i s ,
if a n y t h i n g ,
is t h e h a l l m a r k o f
good
e d u c a t i o n a l a n d scholarly writing.
Stockholm
University
Department
of English
163
References
Chrystal, Judith-Ann. 1988. Engelskan i svensk dagspress. Skrifter urgivna av
Svenska språknämnden 74. Göteborg: Esselte Studium.
Johansson, Stig. 1995- "Rocka, Hipt, and Snacksy: Some Aspects of English
Influence on Presenr-Day Norwegian." In Melchers, G. and B. Warren
(eds.), Studies in Anglistics. Stockholm Studies in English L X X X V , 269-287.
Ljung, Magnus. 1985- Lam anka - ett måste? En undersökning av engelskan i
svenskan, dess mottagande och spridning. EIS Report N o . 8. Stockholm:
Stockholms universiret.
Ljung, Magnus. 1988. Skinheads, hackers &Lima
svenska. Stockholm: Trevi.
ankor. Engelskan i 80-talets
Ljung, Magnus. 2 0 0 4 . "Is 'den försre att gå' den förste som gick?" NJES, Vol. 3,
N o . 2 , 101-114.
Nordic Journal of English Studies (NJES), Vol. 3, N o . 2 . 2004. Special issue: "The
Nordic influence of English on the languages in the Nordic countries."
Karin Aijmer and Gunnel Melchers (eds.).
Pahta, Päivi and Irma Taavitsainen. 2004. "Creating images through English on
Yellow Pages: Mulrilingual practices in advertising in the Helsinki region."
NJES, Vol. 3, N o . 2 , 167-185.
Seltén, Bo. 1993. Ny svengelsk ordbok. Lund: Studentlitteratur.
Sharp, Harrier. 2 0 0 1 . English in Spoken Swedish: A Corpus Study of Two Discourse
Domains. Stockholm Studies in English 95. Stockholm: Almqvist & Wiksell
International.
Stene, Aasta. 1945. English Loan-words in Modern Norwegian: A Study of
Linguistic Borrowing in the Process. London & Oslo: Oxford University
Press, Johan Grundt T a n u m Forlag.
Sørensen, Knud. 1973. Engelske lån i dansk. Dansk Sprognævns skrifter 8.
København: Gyldendals Boghandel Nordisk Forlag.
164
Contributors
A N N E M A R I T K. B E R G E is a research fellow at t h e D e p a r t m e n t for
Literature, Area Studies a n d European Languages, University o f Oslo. S h e
is currently w o r k i n g o n her P h D in A m e r i c a n literature. H e r p r o j e c t is
entitled
"Meaning
and
Narrative
Method:
A
Reading
of
American
P o s t m o d e r n S h o r t F i c t i o n , " a n d applies theories o f narrativity d e v e l o p e d
f r o m p s y c h o l o g y , s o c i o l o g y a n d p h i l o s o p h y as well as narratology, to the
s t u d y o f h o w narrative structure is h a n d l e d in stories b y J o h n
Barth,
D o n a l d Barthelme, and Robert Coover.
H A N N E L E D I E H L is a d o c t o r a l s t u d e n t in E n g l i s h linguistics at the
C e n t r e for L a n g u a g e s a n d L i t e r a t u r e at L u n d University, S w e d e n . S h e is
interested
in lexical s e m a n t i c s
both
from
a synchronic
and
from
a
rather,
pretty, fairly: the development
of the paradigm
of present-day
English
moderators.
T h e a i m is to explain h o w the g r a d i n g function o f t h e
m o d e r a t o r s is i n v o k e d historically. R e a d m o r e a b o u t her thesis at
http://www.englund.lu.se/research/postgraduates/diehl.phtml.
d i a c h r o n i c perspective. T h e w o r k i n g title o f her thesis is Quite,
A S B J Ø R N G R Ø N S T A D is a p o s t d o c t o r a l fellow at the D e p a r t m e n t o f
E n g l i s h , U n i v e r s i t y o f B e r g e n . H e d e f e n d e d his dissertation o n v i o l e n c e in
American
articles o n
cinema
film
in
2003.
Previous
theory a n d A m e r i c a n
publications
and
include
European
numerous
cinema.
H e is
Images: Contemporary
Art
Cinema
and the Limits of Transgression,
a n d is c o - e d i t o r w i t h L e n e
J o h a n n e s s e n o f To Become the Self One Is: A Critical Companion
to Drude
Krog Jansons
A S a l o o n k e e p e r ' s D a u g h t e r ( f o r t h c o m i n g in 2 0 0 5 ) .
G r ø n s t a d ' s m o s t recent p u b l i c a t i o n is e n t i d e d " W o n d e r s o f the Invisible
W o r l d : T h e H a n d s o m e F a m i l y a n d t h e T o p o g r a p h i c a l U n c a n n y " (in
Chapter and Verse, S p r i n g 2 0 0 5 ) .
presently at w o r k o n the m o n o g r a p h Illicit
M I R A N D A H O D G S O N is a d o c t o r a l s t u d e n t a n d t u t o r in O l d E n g l i s h ,
M i d d l e E n g l i s h , a n d W o m e n ' s W r i t i n g at the U n i v e r s i t y o f O x f o r d .
She
r e c e n d y s u b m i t t e d her D . P h i l thesis, Constructions
of Female Sanctity in
Anglo-Saxon
and Old Norse Religious Prose, to t h e E n g l i s h F a c u l t y there.
165
Contributors
I n 2 0 0 3 - 2 0 0 4 , s h e was a guest researcher at the C e n t r e for V i k i n g a n d
Medieval Studies, University o f Oslo.
S h e has p r e v i o u s l y p u b l i s h e d w o r k
in M e d i e v a l F e m i n i s t F o r u m , a n d her current research interests i n c l u d e
masculinities
in
Old
Norse
literature, g e n d e r e d
readings
of
Ælfric's
C a t h o l i c H o m i l i e s , a n d M a r i a n piety in medieval S c a n d i n a v i a .
ANNA
LINDHÉ
is a
PhD
student
in
English
literature
at
Lund
University. H e r thesis t o p i c is a p p r o p r i a t i o n s o f S h a k e s p e a r e ' s King Lear in
late 2 0 * century w o m e n ' s fiction, chiefly in J a n e S m i l e y ' s A
Thousand
Acres, A n n e T y l e r ' s Ladder of Years, a n d M a r g a r e t A t w o o d ' s Cat's Eye.
Areas o f interests i n c l u d e c o n t e m p o r a r y A m e r i c a n w o m e n ' s literature,
reader-response theories, g e n d e r studies, a n d f e m i n i s m .
GUNNEL
MELCHERS
is Professor
E m e r i t a at the D e p a r t m e n t
of
E n g l i s h , S t o c k h o l m University. H e r m a i n field o f research is dialectology
and
sociolinguistics,
with
particular
reference
S h e t l a n d Isles. S h e is c o - a u t h o r o f World Englishes
to
Yorkshire
and
the
(Hodder Arnold, 2003)
a n d o n e o f the c o n t r i b u t o r s to M o u t o n ' s recent Handbook
of Varieties of
English. In 2 0 0 4 she co-edited NJES
2:3, a special issue d e v o t e d to the
influence o f E n g l i s h o n the languages in the N o r d i c countries.
J Ø R G E N S E V A L D S E N is a S e n i o r Lecturer in British history a n d social
studies in the D e p a r t m e n t o f E n g l i s h at the U n i v e r s i t y o f C o p e n h a g e n . H e
h a s written t e x t b o o k s on c o n t e m p o r a r y Britain, edited Britain
and
Denmark. Political, Economic and Cultural Relations in the 19th and 20th
Centuries ( 2 0 0 3 ) a n d p u b l i s h e d a D a n i s h b i o g r a p h y o f W i n s t o n C h u r c h i l l ,
Churchill. Statsmand og Myte in 2 0 0 4 .
P E T E R S I M O N S E N is a C a r l s b e r g Research F e l l o w at the U n i v e r s i t y o f
Southern
Denmark.
Copenhagen
in 2 0 0 3 .
He
He
received
his
PhD
at
the
is the a u t h o r o f essays o n
University
of
Wordsworth's
frontispiece portraits, p r o b l e m s o f literary historical p e r i o d i s a t i o n ,
the
aesthetics o f t y p o g r a p h y , ekphrasis in Felicia H e m a n s a n d L e i g h H u n t ,
a n d a f o r t h c o m i n g m o n o g r a p h o n W o r d s w o r t h ' s later career. H i s current
research focuses o n E n g l i s h p o e t r y f r o m 1 8 2 4 to 1 8 4 2 .
166
Contributors
B E A T R I C E W A R R E N is Professor o f E n g l i s h at L u n d University. H e r
research interests i n c l u d e different types o f m o d i f i e r - h e a d
constructions
Patterns of
Noun-Noun
Compounds
a n d Classifying Adjectives, b o t h o f w h i c h w e r e p u b l i s h e d in
G o t h e n b u r g S t u d i e s o f E n g l i s h (nos. 4 1 a n d 5 7 ) . H e r interest in lexical
c h a n g e is d o c u m e n t e d in her t h i r d b o o k Sense Developments, A l m q v i s t 8c
W i k s e l l International. C u r r e n t l y s h e is researching i d i o m a t i c i t y a n d
m e t o n y m y , t o p i c s o n w h i c h s h e h a s p u b l i s h e d a n u m b e r o f articles.
w h i c h is reflected in two o f her books', i.e. Semantic
167
Contents
I
II
35
55
79
Miranda Hodgson
Hannele Diehl
Beatrice Warren
Anna Lindhé
Interpersonal Complications and Intertextual Relations:
A Thousand Acres and King Lear
Peter Simonsen
Reading Wordsworth after McGann: Moments of Negativity in
"Tintern Abbey" and the Immortality Ode
101 Anne Marit K. Berge
The Narrated Self and Characterization:
Paul Auster's Literary Personae
121 Asbjørn Grønstad
137 Jørgen Sevaldsen
Churchill: The Continuing Story
157 Gunnel Melchers
Johansson, Stig, and Anne-Line Graedler.
Rocka, hipt og snacksy. Om engelsk i norsk språk og samfunn
165 Contributors to vol. 4, no. 1
: unipubforlag

nordic journal of english studies

Transcription

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