Prose

STEFANIE LETHBRIDGE AND JARMILA MILDORF:
Basics of English Studies:

An introductory course for students of
literary studies in English.
Developed at the English departments of the
Universities of Tübingen, Stuttgart and Freiburg
2. Prose
Table of Contents:
2.1. Story and Discourse ............................................................................ 42

2.1.1. Story ...................................................................................................... 42
2.1.2. Discourse .............................................................................................. 43
2.2. Story and Plot ....................................................................................... 43
SO WHAT? ........................................................................................................ 46
2.3. Space ....................................................................................................... 47
2.3.1. Space in Discourse and Story ............................................................ 47
2.3.2. Fictional Space and Real Space .......................................................... 47
2.3.3. Space and Meaning .............................................................................. 47
2.4. Character ............................................................................................... 49
2.4.1. Techniques of Characterisation ......................................................... 49
2.4.1.1. Explicit and Implicit Characterisation ........................................... 49
2.4.1.2. Characterisation by Narrator or Character .................................... 49
2.4.1.3. Block Characterisation ..................................................................... 50
2.4.1.4. Reliability ............................................................................................ 51
2.4.1.5. Inner Life of Characters ................................................................... 51
2.4.1.6. Contrasts and Correspondences ..................................................... 52
2.4.1.7. Summary: Characterisation Techniques (Table) ........................... 52
2.4.2. Character Functions ............................................................................. 52
2.4.3. Character Complexity and Development ......................................... 53
SO WHAT? ........................................................................................................ 54
2.5. Narrators and Narrative Situation .................................................. 55
2.5.1. Narrative Voices ................................................................................... 55
2.5.2. Focalisation ........................................................................................... 58
2.5.3. Unreliable Narrators ............................................................................ 61
SO WHAT? ........................................................................................................ 61
Basics of English Studies, Version 03/04, Prose 40

2.6. Narrative Modes .................................................................................. 63
2.6.1. Speech .................................................................................................... 63
2.6.2. Report .................................................................................................... 65
2.6.3. Description ............................................................................................ 65
2.6.4. Comment ............................................................................................... 65
2.6.5. Mixed Narrative Modes ...................................................................... 66
2.6.6. Historical Change in Narrative Modes .............................................. 67
SO WHAT? ........................................................................................................ 67
2.7. Representation of Consciousness ................................................... 68
2.7.1. Interior Monologue ............................................................................. 69
2.7.2. Psychonarration .................................................................................... 70
2.7.3. Narrated Monologue ........................................................................... 71
2.7.4. Summary Representation of Consciousness (Table) ...................... 73
SO WHAT? ........................................................................................................ 73
2.8. Time ......................................................................................................... 75
2.8.1. Tense in Narrative ................................................................................ 76
SO WHAT? ........................................................................................................ 76
2.8.2. Time Analysis ....................................................................................... 77
2.8.2.1. Duration ............................................................................................. 77
2.8.2.2. Order ................................................................................................... 78
2.8.2.3. Beginnings and Endings .................................................................. 79
SO WHAT? ........................................................................................................ 81
2.8.2.4. Frequency ........................................................................................... 81
SO WHAT? ........................................................................................................ 81
2.9. Types of Prose Fiction ....................................................................... 82
Bibliography: Prose ..................................................................................... 85

2. Prose
Probably most literature that is read today is written in prose, that is in non-
metrical, ‘ordinary’ language. This has not always been the case. It is only with
the growing popularity of the novel and a corresponding expansion of the
market for literature throughout the eighteenth and nineteenth centuries that
prose gained this prominent position as a suitable language for literature. In
this section the focus will be on narrative prose, that is, prose literature which
tells a story.
2.1. Story and Discourse

Theorists of narrative have long been in agreement that there are at least two Key terms:
levels in a narrative text: Something happens and this something is related in a • story
certain way. There is, in other words, a WHAT (What is told?) to be • discourse
• events
considered and a HOW (How is it told?). These two levels have been given
• existents
different names by different critics (for an overview of various terminologies
see Korte 1985). The distinction made by a theory of criticism called
structuralism (see ch. 1.4.3.) has proved one of the most influential ones in
recent years. In structuralist terminology the WHAT of the narrative is called
story, the HOW is called discourse (see Chatman 1978: 19, who follows
structuralists like Roland Barthes, Gérard Genette and Tzvetan Todorov).
story (What is told?)

narrative
discourse (How is it told?)
For analysis, these two levels need to be further subdivided.
2.1.1. Story
The story consists of events (things that happen) and so-called existents, the
characters that make things happen or have things happen to them and the
setting, meaning the place where things happen. Events can be either brought
about actively, in which case they are called actions (one character kills another
one) or they just happen (someone dies of a heart-attack).
actions
events
happenings
story
characters
existents
space/setting
narrative
discourse

Each of these elements can be approached with different tools of analysis.
2.1.2. Discourse
Discourse is the category that comprises various elements of transmission.

Strictly speaking, it is only discourse that is directly accessible to us, since we
only learn about the story via discourse. Elements of discourse thus determine
our perception of the story (what ‘actually’ happened). In the analysis of
discourse one tries to determine how certain effects are achieved.
The focus of analysis are questions such as: What is the narrative
situation? Whose point of view is presented? Which narrative modes are
employed? How are the thoughts of characters transmitted? How is the
chronology of events dealt with? How is style used? These elements are always
used to certain effects. For instance, how it is that the reader tends to identify
with one character and not with another? The analysis of elements of discourse
reveals how the reader is ‘manipulated’ into forming certain views about the
story.
story
narrative
plot
narrative voices (who speaks?)
focalisation (who sees?)
narrative modes
discourse
representation of consciousness
time
language in literature
Each of these elements will be explained in detail under their respective

headings.
2.2. Story and Plot Key terms:

• story
• plot
• mythos
Apart from the distinction between the two levels story and discourse, which • plot-line
is part of structuralist terminology, there is an older tradition which • single plot
differentiates between story and plot. These two terms overlap only partly • multiple plot
with the terms story and discourse. Since the terms story and plot are still used • tight plot
frequently in English Studies, one needs to be aware of their meaning. The • closed structure
• poetic justice
basic difference between story and plot was pointed out by Aristotle, who • loose/epicsodic plot
distinguishes between actions in the real world and units that are selected from • open-ended plot
these and arranged in what he calls mythos (Aristotle 1953: 6.1450a). The

terms story and plot as used in English Studies were introduced and defined by
the novelist and critic E.M. Forster in his Aspects of the Novel (1927).
Forster defines story as the chronological sequence of events and plot
as the causal and logical structure which connects events (see Forster 1927:
93f). These definitions need some further clarification: A story is only a story if
at least one event takes place, that is something changes from state A to state
B. Consider the following minimal stories:
The crocodile eats breakfast.

Fred jumped out of bed.
The king died.
Compare to this:
The house has blue shutters.
This last example is a description (see ch. 2.6.3.) rather than a story precisely
because no event takes place.
Notice also that events in a story involve an animate creature of some
sort, i.e. characters (the crocodile, Fred, the king). Most stories involve a
sequence of events rather than just one event. Manfred Jahn thus gives the
following definition of story:
A sequence of events and actions involving characters. ‘Events’

generally include natural and nonnatural happenings like floods or car
accidents; ‘action’ more specifically refers to wilful acts by characters
(Jahn 2002: N1, for further references see Pfister 1988).
Forster’s examples to illustrate the difference between story and plot are:
The king died and then the queen died (story).

The king died and then the queen died of grief (plot).
Plot can be considered as part of discourse, since it is part of HOW the story is
presented Consider the following basic sequence of events (i.e. the story):
girl marries young – husband treats her badly – husband dies –

girl marries man who has loved her for a long time
There are no doubt countless novels, plays and romances which develop this
basic story. Just two examples would be George Eliot’s Middlemarch and Anne
Brontë’s The Tenant of Wildfell Hall. Despite the similarities of the basic story,
the causal and logical connections between events, i.e. the plots of those two
novels, are quite different. In Middlemarch Dorothea Brooke marries the ugly,
elderly and dry scholar Casaubon because she hopes to share in his intellectual
pursuits. Dorothea is unhappy because Casaubon neither shares his scholarly
interests with her nor does he treat her with any affection. Casaubon dies of a
weak heart and out of a sense of intellectual failure. Dorothea, despite protests
from her friends, marries the pennyless Will Ladislaw because he responds to
her emotional and intellectual needs. In contrast, Helen in The Tenant of Wildfell
Hall, marries Arthur Huntingdon because she is attracted by his charm and
good looks. Helen is unhappy because her husband turns out to be a vulgar

drunkard who ill-treats her. She leaves him in order to protect their son from
his influence and only returns to him in his final illness. Huntingdon dies of his
excesses. Helen marries the farmer Markham with the approval of her friends
because she feels she can rely on his virtue and good sense.
Forster’s terms have often been criticised. It has been argued that in a
story like ‘the king died and then the queen died’ we automatically assume that
the two events are connected simply because they are told one after the other
(see Chatman 1978: 45f). Some critics even claim that the distinction between
plot and story is artificial and of no practical use in the analysis of literature
(Wenzel 1998: 175). There is no question that the distinction is artificial. In
fact, the story itself, the mere sequence of events, is an abstract entity, a
construct that exists only in our heads after we have read the narrative as
presented in the text (Rimmon-Kenan 1983: 6).
Nonetheless, the distinction between story and plot is still widely
(though not always consistently) used to differentiate degrees of connectivity
between events in a narrative. And indeed, the story ‘the king died and then the
queen died’ allows for a number of plots apart from ‘the king died and then the
queen died of grief’. It could also be: ‘The king died and then the queen died
because she ate of the same poisoned cake’ or ‘the king died and then the
queen died of sheer irritation because he hadn’t left her any money in his will’.
A narrative can have one or more plot-lines (see also space and
meaning ch. 2.3.3.), that is, events can centre around one or more groups of
characters. In Dickens’ Bleak House for instance, there is the plot-line which
centers around Lady Dedlock and the discovery of her guilty past and there is
the plot-line which centres around Esther Summerson and her growth to
maturity. At certain points these two plot lines merge, as it is discovered that
Esther is Lady Dedlock’s illegitimate daughter (see also plot-lines in drama ch.
3.3.1.). Single plot novels are comparatively rare, most novels develop
multiple plots. These multiple plot lines are not necessarily all of the same
importance, there can be a main plot-line and one or more subplot-lines.
Such sub-plots can serve as a contrast to the main plot when, for instance,
there is the same constellation of events in a higher and a lower social sphere
(see also contrasts and correspondences in characterisation chs. 2.4.1.6. and
3.6.4.; for a detailed discussion of single and multiple plot-lines see Nischik
1981).
Some narratives are very tightly plotted, everything happens for a
reason or a purpose and one event is the consequence of another. Quest-
stories or fairy tales are usually tightly plotted (see the example in Jahn 2002:
D7.2). When each plot-line is brought to a satisfactory ending one also talks of
a closed structure (for example the death or marriage of the protagonist or
the final defeat of an evil force). This is often the case in Victorian novels
where there is frequently an entire chapter at the end, tying up all the loose
ends of the plot and giving a short glimpse of the characters’ future (see for
example George Eliot, Middlemarch or Charles Dickens, Hard Times). In a closed
plot structure earthly rewards and punishments are often distributed in
proportion to the virtue or vice of the various characters at the end. This is
called poetic justice.
A tight plot generally contributes to an increase in suspense.
Conversely, lack of suspense or tension in a narrative can in part be explained
by the absence of a tight plot. There is very little tension, for instance, in
Virginia Woolf’s short story Kew Gardens, mostly because practically nothing
happens: A person sits down on a park bench, watches people go by, gets up

again. There is a similar lack of events in Samuel Beckett’s Waiting for Godot (see
the discussion in Drama 3.3.4.). Many modern and postmodern writers
deliberately try to eschew event-dominated stories and tight plots because they
feel it is not an accurate rendering of reality and they claim to be more
interested in character than in plot. Plot and character depend on each other of
course. No plot or story can develop without characters and characters are
frequently, though not always, developed through plots. As the novelist Henry
James remarked in a much quoted phrase: “What is character but the
determination of incident? What is incident but the illustration of character?”
(James 1948: 13).
Some narratives place less emphasis on the causal connection between
events, though there are still plenty of events and action. Instead, episodes
might be linked by a common character, such as Moll Flanders in Daniel
Defoe’s novel Moll Flanders or Sam Pickwick in Charles Dickens’ Pickwick
Papers, or a common theme. Such narratives are described as loosely plotted
or episodic. Plots that are not brought to a final or preliminary conclusion are
called open-ended plots or just open plots (see also plot in drama ch.3.3.1.
and Beginnings and Endings ch. 2.8.2.3.). J.K. Rowling’s Harry Potter and the
Goblet of Fire for instance is much more open-ended than the previous Harry
Potter volumes. While volumes one to three end with a fairly definite
preliminary defeat of the evil force, in The Goblet of Fire Voldemort has clearly
returned to power and a massive attack on the good powers is imminent at the
end of the volume.
SO WHAT?
The concept of plot is particularly useful to distinguish between tightly and

loosely plotted narratives. In many cases a carefully constructed plot is more
satisfying or more convincing than a plot that has to rely on coincidences, i.e.
where things do not happen for a reason but by entirely fantastic accidents.
Romance plots, for example, often rely heavily on coincidence: the hero, who
has just escaped a band of soldiers, happens to meet, as he is walking along a
lonely highland path in the middle of the night whistling a cheerful tune, both
his long-lost lady-love and, a little later, the hunted highland-outlaw who, also
just escaped from the soldiers, is going home for his supper on the same lonely
highland path. (This happens in Walter Scott’s Rob Roy). It is, however,
important to note that certain types of plots are characteristic for certain genres
(see Poetics and Genre ch. 1.4.2.). Romances, such as Scott’s Rob Roy, are not
normally interested in realistic plotting. Instead they focus on fantastic events
and their effects on various characters. To criticise such plots as unrealistic is
to misunderstand the genre conventions; it is rather like criticising tomato
sauce for not being cheese sauce.
But compare the loose plotting of Rob Roy for example to J.K.
Rowling’s Harry Potter and the Chamber of Secrets. Though basically the Harry
Potter narratives are rather more fantastic than Scott’s romance of the noble
highlander, in Rowling things usually happen for a perfectly plausible reason:
Ron’s wand backfires at the crucial moment and causes Gilderoy Lockhart to
lose his memory because it has been faulty ever since Ron broke it in the car
crash and he had to fix it with spellotape because he cannot afford a new
wand. Paradoxically, it is thus easier to find Rowling’s plot convincing than
Scott’s even though magic wands and wizard children are outside most

people’s everyday experience. But once we have accepted the basic system of
the magic world, events in Rowling’s plot are convincingly motivated.
2.3. Space
Key terms:
• space
2.3.1. Space in Discourse and Story • setting
• atmosphere
• space and character
On the level of discourse the category of space comprises the spatial • milieu
dimensions of the medium: the length of the book, the size of the pages, • space and plot
amount of empty space on a page and so on. These aspects are very rarely • symbolic space
considered in traditional literary analysis though recent criticism has argued
that the spatial and material conditions of a text influences the way this text is
read (see for example McGann 1991).
On the level of story the category of space or setting forms an
important component in the creation and communication of meaning.
2.3.2. Fictional Space and Real Space
In narrative, unlike in drama, film or picture stories, space has to be presented

verbally. It thus exists, ultimately, only in the reader’s imagination. On the
other hand, the description of space in narrative tends to be more detailed than
it is possible in a drama’s primary text. Readers create their notions of fictional
space from their own experience in the real world (see Fielitz 2001: 115). That
is to say, a person’s ideas of how houses, gardens, parks, streets, etc. look, is
dependent on that person’s actual experience of houses, gardens, parks and
streets. In turn, convincing descriptions of spatial dimensions in a narrative
serve to increase the narrative’s authenticity, it provides a link to the reader’s
reality. Readers tend to imagine the characters moving through ‘real’ space, as
they do themselves.
2.3.3. Space and Meaning
Space and setting in narrative is not merely a space for characters to move in –
since they have to be somewhere –, it usually contributes additional meaning to
a narrative by providing either correspondences or contrasts to the plot or the
characters. Three aspects in particular should be noted:
• atmosphere
• space and character
• space and plot
• symbolic space
Setting can provide a certain atmosphere. Darkness and narrow spaces, for
instance, are commonly associated with threatening or restrictive atmospheres.
Wide open or sunlit spaces create an atmosphere of freedom. Such
atmospheres can then be used to provide a characteristic background for a
character.

The environment in which a character moves can function as a means
of characterisation as it does in the following example:
Like as he is to look at, so is his apartment in the dusk of the present

afternoon. Rusty, out of date, withdrawing from attention, able to
afford it. Heavy broad-backed old-fashioned mahogany and horsehair
chairs, not easily lifted, obsolete tables with spindle-legs and dusty baize
covers, presentation prints of the holders of great titles in the last
generation, or the last but one, environ him. A thick and dingy Turkey-
carpet muffles the floor where he sits, attended by two candles in old-
fashioned silver candlesticks, that give a very insufficient light to his
large room. The titles on the backs of his books have retired into the
binding; everything that can have a lock has got one; no key is visible.
(Dickens, Bleak House, ch. 10).
This excerpt describes Mr Tulkinghorn’s room. Like his room (the narrator
points this out), Mr Tulkinghorn is extremely secretive (dark, muffled, retired,
locked), nobody knows how much he knows, he is closely associated with
members of the nobility (“holders of great titles”) and he knows their secrets
past and present. Tulkinghorn does not arouse much sympathy in the reader
mainly because he is not accessible to any emotional appeal. His room also
expresses this immovability: It is out-of date, “rusty” and “dusty”, “not easily
lifted”, all epithets which suggest that there has not been any movement for
some time.
Theories of sociology in the last 150 or so years have suggested that
character is determined by social background, by milieu. Novel writers since
the later nineteenth century have taken up this concept and have presented
characters whose personality is completely formed by their milieu.
Apart from character, setting can also help to define plot-lines.
Especially in narratives with several subplots, a characteristic setting for each
subplot can serve as a means of orientation for the reader. In Bleak House, the
Dedlock-plot develops at the country house Chesney Wold and in the
Dedlock’s town house in London, the plot of the street-sweep Joe is set mainly
in the poorer streets of London. These two plot-lines merge when Lady
Dedlock asks Joe to show her the grave of her former lover. It is the first
indication the reader gets that Lady Dedlock will eventually lose her status (she
literally loses her ‘place’); she dies, having fled from her town house, at Joe’s
crossing where her lover is buried.
In this sense space can also serve as a symbol. In our example the poor
streets of London are a symbolic space indicating a lower social status. The
symbolic quality of space is to a large extent culturally determined. In our
culture, for instance, a stereotypical association with cities is fashion, a fast and
exciting life, but also depravity. In contrast, we often associate country spaces
with backwardness, calm life but also with innocence (for a more detailed
exploration and list of symbolic spaces see Lotman 1972: 313).

2.4. Character
Key terms:
The people in a narrative are called characters rather than persons to • character
emphasise the fact that they are only representations of people, constructed by • explicit
characterisation
an author to fulfil a certain function in a certain context. We form a mental • implicit
construct of characters from the information we are given but also add some characterisation
ideas from our own experience and imagination (for a discussion of these • telling names
processes of mental construction see Schneider 2001). Thus, even though we • characterisation by the
narrator / authorial
judge characters in literature according to our experience of ‘real’ people, characterisation
unlike ‘real’ people they do not exist independently of their narrative context • characterisation by
and little or no benefit is to be gained from speculating on the psychological another character /
figural characterisation
make-up of a character for which we are not given any indication in the text
• self-characterisation
(see Pfister 1988: 221). • block characterisation
The main questions for an analysis of character are 1) Techniques of • mind style
characterisation: HOW does the text inform us about characters and 2) • unreliable narration
Character functions: WHAT FUNCTION do characters have in the narrative. • penetration of inner
life
• contrasts and corre-
spondences
2.4.1. Techniques of Characterisation • major character
• minor character
• protagonist
Techniques of characterisation are used in texts to enable readers to form a
• antagonist
mental construct of a character. There are six main aspects to be considered • witness
(see Jahn 2002: N7 and further references there): How is the character • foil
described, by whom is the character described, how is the characterisation • confidant
distributed throughout the text, how reliable is the source of information, what • mono-dimensional
character
do we learn about a character’s inner life and in which arrangements of
• static character
contrasts and correspondences is the character depicted. (Most of the • type
following is based on Pfister 1988). • flat character
• multi-dimensional
character
• dynamic character
2.4.1.1. Explicit and Implicit Characterisation
• round character
The most obvious technique of characterisation is when someone (in the

following excerpt: the narrator) tells us explicitly what a character is like:
Emma Woodhouse, handsome, clever, rich, with a comfortable home

and happy disposition, seemed to unite some of the best blessings of
existence; and had lived nearly twenty-one years in the world with very
little to distress or vex her. (Austen, Emma, ch.1)
A character is sometimes also characterised explicitly through a telling name,

as for instance Squire Allworthy, who is a worthy gentleman in all respects, in
Fielding’s Tom Jones. But we also deduce character-traits that are given
implicitly through the character’s actions, other characters’ attitudes to him or
her, etc.
2.4.1.2. Characterisation by Narrator or Character
Characters can be described, implicitly as well as explicitly, either by the

narrator (sometimes, somewhat misleadingly, called authorial characterisation)

or by another character in the narrative (also called figural characterisation)
or even by the characters themselves (self-characterisation).
The following gives an example for a characterisation by narrator
combined with the narrator’s representation of other characters’ views (see also
section 2.6.4. on narrator comment for evaluative language). Explicitly, Mr
Snagsby is characterised as a shy, retiring man. It is also implied that his wife is
neither shy nor retiring and that he is rather tyrannised by Mrs Snagsby:
Mr and Mrs Snagsby are not only one bone and one flesh but, to the
neighbours’ thinking, one voice too. That voice, appearing to proceed
from Mrs Snagsby alone, is heard in Cook’s Court very often. Mr
Snagsby, otherwise than as he finds expression through these dulcet
tones, is rarely heard. He is a mild, bald, timid man, with a shining
head, and a scrubby clump of black hair sticking out at the back. He
tends to meekness and obesity. [...] He is emphatically a retiring and
unassuming man. (Dickens, Bleak House, ch. 10).
A further example: Miss Clack, the poor, religious cousin in The Moonstone
introduces herself (self-characterisation) to the reader in the following terms:
I am indebted to my dear parents (both now in heaven) for having had

habits of order and regularity instilled into me at a very early age. In
that happy bygone time, I was taught to keep my hair tidy at all hours
of the day and night, and to fold up every article of my clothing
carefully, in the same order, on the same chair, in the same place at the
foot of the bed, before retiring to rest. An entry of the day’s events in
my little diary invariably preceeded the folding up. The ‘Evening
Hymn’ (repeated in bed) invariably followed the folding up. And the
sweet sleep of childhood invariably followed the ‘Evening Hymn’.
(Collins, Moonstone, Second Period, First narrative, ch. 1)
A little further, Miss Clack characterises herself as:
[...] one long accustomed to arouse, convince, prepare, enlighten, and

fortify others [...]. (ibid., ch. 8)
With these self-descriptions Miss Clack characterises herself explicitly as a

dutiful, orderly and religious person. Implicitly, she is depicted as rather
obnoxious, one who always knows how other people should reform their lives
and who is willing to say so. It is thus not surprising when Mr Ablewhite calls
Miss Clack “this impudent fanatic” (ibid.).
2.4.1.3. Block Characterisation
We can be given crucial information all at once about a character in a block

characterisation:
Thomas Gradgrind, sir. A man of realities. A man of fact and

calculations. A man who proceeds upon the principle that two and two
are four, and nothing over, and who is not to be talked into allowing
for anything over. Thomas Gradgrind, sir – peremptorily Thomas –

Thomas Gradgrind. With a rule and a pair of scales, and the
multiplication table always in his pocket, sir, ready to weigh and
measure any parcel of human nature, and tell you exactly what it comes
to. It is a mere question of figures, a case of simple arithmetic.
(Dickens, Hard Times, ch. 2)
Again, this characterisation, provided by the narrator, imparts information

about Thomas Gradgrind both in explicit description and implicitly,
reproducing Thomas Gradgrind’s mind style, the way he thinks about the
world in his own mind (for the term mind style see for example Nischik 1991).
Block characterisations are usually given when a character is first introduced.
Alternatively, the reader receives information piecemeal throughout the
narrative. This is usually the case for complex and dynamic characters.
2.4.1.4. Reliability
One needs to take the reliability of the source of the characterisation into
consideration when assessing the information one receives about a character. A
characterisation given by a character whose reliability the reader has cause to
question, will not be accepted at face value, it becomes an unreliable
narration. When for instance the fanatically religious and officious Miss Clack
(see her self-characterisation above) characterises Rachel, the lively and
beautiful heroine of The Moonstone as “insignificant-looking” and with “an
absence of all lady-like restraint in her language and manner” (Collins,
Moonstone, Second period, first narrative, ch.1), one is inclined to interpret this
in Rachel’s favour rather than to her disadvantage. As in this case, a character’s
explicit characterisation of other characters functions as implicit self-
characterisation, since it expresses a character’s attitudes and often reveals a
character’s weaknesses. In this case, Miss Clack’s harsh judgment of Rachel
and her conduct is no doubt influenced by the difference in looks and social
standing between her and Rachel. To make matters worse, Rachel has attracted
the amorous attentions of Godfrey Ablewhite, for whom Miss Clack herself
harbours an unlimited adoration.
Generally, a reader will treat self-characterisation with care, since a
character’s self-proclaimed opinion of him- or herself can be distorted or given
for purposes other than honest self-characterisation. When Uriah Heep in
Dickens’ David Copperfield assures everyone repeatedly that he is so very
“humble”, the reader’s distrust is awakened even before Uriah is disclosed as a
hypocritical villain.
In contrast to self-characterisations and characterisation by other
characters, those character descriptions given by the narrator, unless there are
indications to the contrary, are usually assumed to be reliable and the reader
tends to believe the narrator’s characterisations more readily than others.
2.4.1.5. Inner Life of Character
Depending on what sort of information is given about a character, readers will

fell to a larger or smaller degree acquainted with a character. To a large extent
this depends on the penetration of inner life (Rimmon-Kenan 1983: 42). The
more one knows about a character’s thoughts and emotional responses (see

also Representation of Consciousness ch. 2.7), the more complex the character
will appear and the more ready the reader is to empathise with the character.
2.4.1.6. Contrasts and Correspondences
Characters are also defined in comparison to other characters. It might be, for
instance, that two characters are confronted with the same difficulty and react
differently. Such contrasts and correspondences give the reader additional
information about the character. In Tolkien’s Lord of the Rings for instance, a
number of characters can be assessed according to their reaction to the
influence of the ring: While some characters succumb immediately to the ring’s
evil power (like Gollum), others imagine they can use the ring’s power to good
purpose (like Boromir), yet others are hardly affected by the pressure the ring
exerts (like Sam or Bilbo Baggins). Through contrasts and correspondences
characters act as foil (see character functions ch. 2.4.2.) to each other.
2.4.1.7. Summary: Characterisation Techniques
explicit: character
description or
by the narrator comment
implicit: report of
character’s actions
and/or thought,
description of outward
appearance and
circumstances,
contrasts and
correspondences
explicit: description or comment;
simultaneously implicit self-
by another character characterisation
by a character implicit: as implied by choice of
expression and description of
appearance and circumstances
explicit: description or comment
self-characterisation
implicit: use of language or
gesture, expression, attitudes
unconsciously expressed,
characteristic props
2.4.2. Character Functions
For the purposes of analysis it is essential not simply to describe a character

but above all to look at a character’s function in the narrative and that usually
means considering a character in relation to other characters.

Plot- or character-oriented narratives usually have one or more major
(also main) characters and any number of minor characters. The main
character, especially when there is only one, is also called protagonist. The
term protagonist has the advantage that it implies no value-judgement and can
include heroes or heroines (i.e. positive main characters) as well as anti-heroes
and anti-heroines (i.e. negative main characters).
The protagonist is the character who dominates the narrative. Moll
Flanders is the protagonist of Defoe’s Moll Flanders, Stephen Daedalus is the
protagonist in Joyce’s The Portrait of the Artist as a Young Man. In some narratives
the protagonist has an influential opponent, the antagonist, such as
Voldemort in the Harry Potter novels, Sauron in The Lord of the Rings or Moriarty
in Sherlock Holmes.
Minor characters can serve as witnesses, i.e. someone reporting on the
events though not directly involved thus achieving something of an objective
report. This would be the case for Nick in F. Scott Fitzgerald’s The Great
Gatsby, where the protagonists are Gatsby and Daisy, but Nick observes the
developments and acts as I-as-witness narrator.
An important function of minor characters is to serve as foil-
characters. A foil is a piece of shiny metal put under gemstones to increase
their brightness. A foil-character thus provides a contrast to highlight the
features of the main character. Maybe the most famous example of a foil
character is Watson in the Sherlock Holmes stories, whose ordinary
perceptiveness serves to highlight Holmes’ genius. Another example would be
the sensible and restrained Elinor and her emotional sister Marianne in Jane
Austen’s Sense and Sensibility. The sisters serve as a foils for each other.
Another function of a minor character can be that of confidant, i.e. a
close friend of the protagonist to whom he or she can confide in and thus
disclose his or her innermost thoughts. The housekeeper in Henry James’ The
Turn of the Screw for instance functions as confidant for the governess. This way
the reader is always confronted with the contrast between the governess’
perceptions and visions and the housekeeper’s slightly helpless and
unimaginative common sense.
2.4.3. Character Complexity and Development
Minor characters, not surprisingly, often remain mono-dimensional and/or

static. This means that the narrative text presents only few or even just one
characteristic of such characters (mono-dimensional) and that there is little or
no development throughout the narrative (static). Such mono-dimensional
characters can often be reduced to types, representatives of a single and
stereotyped character category: the wicked step-mother, faithful servant,
miserly old man, profligate youth, etc. Allegorical characters might be classed
in this category as well (i.e. Hopeful in Bunyan’s Pilgrim’s Progress or Despair in
Spenser’s The Faerie Queene) since the function of such characters is precisely to
represent this one characteristic. E.M. Forster’s term flat comprises both the
aspect of mono-dimensional and static. In consequence the term has been
criticised as too reductive (Rimmon-Kenan 1983: 40f) since it is quite possible
for a character to be multi-dimensional yet entirely static, as for example
Heathcliff in Emily Brontë’s Wuthering Heights, who remains obsessed by his
love for Cathy and his hatred for everyone else from early childhood to his
death.

Major characters are more frequently multi-dimensional and
dynamic, though not as a rule. One might argue, for instance, that Oliver in
Oliver Twist is decidedly mono-dimensional (i.e. ‘good’) as well as static. A
multi-dimensional (or round, as Forster calls it) character, as the word
suggests, has a number of defining characteristics, sometimes conflicting ones
and such characters often undergo a development throughout the narrative
(dynamic). Louisa Gradgrind in Dickens’ Hard Times, for example, is both
multi-dimensional and dynamic. The cold, ungraceful daughter of the fact-
loving Thomas Gradgrind arouses the reader’s compassion despite these
unattractive features because she evidently struggles to suppress her more
affectionate and imaginative qualities. Luckily for her, her struggles prove
unsuccessful and the reader witnesses her breakdown under the fact-system
and her eventual breakthrough to a more balanced emotional life. The
development of characters is particularly pronounced in the bildungsroman
tradition (see ch. 2.9.). Classic examples are Charlotte Brontë’s Jane Eyre or
Dickens’ David Copperfield.
SO WHAT?
Take, for example, the character James Steerforth in Charles Dickens’ novel
David Copperfield. The name Steerforth is not quite a telling name but it suggests
a positive, forthright leader figure, someone who likes to ‘steer’. David
Copperfield is told by a homodiegetic-autodiegetic narrator and largely internal
focaliser (see ch. 2.5.), David Copperfield himself, as he experiences events at
the time of their taking place. We thus hear about Steerforth from the point of
view of the schoolboy and young adult Copperfield (experiencing I) who
idolises and adores the older, richer and more experienced friend. The older
Copperfield who narrates the story (narrating I) praises Steerforth eloquently in
a number of block characterisations, as for instance the following:
There was an ease in his manner – a gay and light manner it was, but
not swaggering – which I still believe to have been borne a kind of
enchantment with it. I still believe him, in virtue of his carriage, his
animal spirits, his delightful voice, his handsome face and figure, and,
for aught I know, of some inborn power of attraction besides […] to
have carried a spell with him […].(Dickens, David Copperfield, ch. 7)
It seems at first as if Steerforth deserved this praise. Steerforth takes the little
Copperfield under his wing and helps him especially in the first, very difficult
weeks at Salem House, he makes sure Copperfield gets a nicer room in the
hotel, he makes friends with the fishermen and boatpeople at Yarmouth
without regarding the difference in social status between them and himself, he
is a dutiful son whose mother dotes on him and he takes care of Copperfield
when he gets roaring drunk at his first bachelor’s revel. The narrator’s explicit
characterisation of Steerforth is enthusiastically positive and he contrives to put
almost every one of Steerforth’s actions in the rosiest light.
Despite all this, the reader is led very early to question the reliability of
the youthful Copperfield’s perceptions and to entertain some doubts about the
purity of Steerforth’s intentions and character. A definite tension exists
between the explicit narrator-characterisation on the one hand and figural
characterisation, implicit characterisation, even self-characterisation and

occasional prolepses of the narrator. The reader is thus less surprised than
Copperfield himself, when Steerforth destroys the happiness of the Peggotty
family and his own because he seduces little Emily.
Let us consider each aspect of characterisation in turn. Steerforth’s
actions characterise him implicitly and, despite Copperfield’s positive
assessment of them, often reveal a proud, selfish and, though charming when
he feels so inclined, cruel character. He disfigures his play-mate Rosa in a fit of
temper. He causes Mr Mell to be dismissed from his teaching post. He
introduces Copperfield to heavy drinking. When the boy Traddles is beaten
because Steerforth laughs in church, Steerforth does not step forward to help
him. Traddles is, in fact, far less taken in by Steerforth’s charms than
Copperfield is. He recognises and condemns Steerforth’s haughty pride in his
behaviour to Mr Mell and accordingly, Steerforth hardly acknowledges him as a
former school fellow. Agnes, also, is not deceived by Steerforth’s glamour and
warns Copperfield of his influence. Both implicit characterisation and explicit
characterisation through other characters encourage the reader to form an
opinion of Steerforth which is different from that of the narrator’s explicit
praise. This is supported by occasional prolepses, when the narrator uses his
knowledge of later events to indicate that what the young Copperfield (as
experiencing I) takes as genuine virtue is in fact only a passing entertainment
for Steerforth, a game to test the powers of his charm and to see innocence
gaining experience. Steerforth himself recognises the flaws in his character
when he momentarily laments the lack of a strong father’s guidance in a very
brief and almost accidental self-characterisation.
To a large extent, Copperfield’s view of Steerforth thus serves less to
characterise Steerforth but to implicitly characterise Copperfield himself in his
youthful misapprehensions. But it would be a mistake to reduce Steerforth to
this function. His is the story of superior talent and resources which are not
utilized to any beneficial purpose and which are eventually turned to ill usage.
Though the seduction of Emily is condemned by everyone, even Copperfield,
his character remains ambivalent; the tension that was created by the different
modes of characterisation does not simply dissolve when Copperfield
recognises the base aspects of Steerforth’s nature. The contradictory responses
his character inspires are epitomised in Rosa Dartle’s passionate love-hate of
him and his mother. And eventually his almost heroic death in the storm, he is
waving his cap to the helpless onlookers before the ship goes down, and the
boylike posture of his drowned body, “lying with his head upon his arm, as I
had often seen him lie at school” (ch. 55), recall Steerforth’s charms: fearless,
dare-devil, trusting in the benevolence of others. He elicits grand responses in
others, nowhere more so than when Ham, Emily’s wronged fiancé, risks his
life in the desperate attempt to save Steerforth from the foundering boat and
goes to death with him.

2.5. Narrators and Narrative Situation
Key terms:
While other categories of analysis, such as characterisation, plot or space are • homodiegetic narrator
useful both for the analysis of narrative and drama, the category of narrator is • heterodiegetic narrator
• autodiegetic narrator
unique to the more diegetic genres (narrative prose and narrative poetry).
• I-as-witness
Two aspects are considered: narrative voice (who speaks?) and • first person narrative
focalisation (who sees?). These two aspects together are also called narrative situation
situation. Some critics also talk about narrative perspective or point of view in • authorial narrative
situation
this context, though these terms do not always distinguish clearly between
• narratee
narrative voice and focalisation. • communication
situation in prose
narrative
• overt narrator
2.5.1. Narrative Voices • covert narrator
Narrative situation is an aspect of discourse, which means that it is part of the

analysis that examines HOW a narrative is told. It is characteristic of narrative
prose (and narrative poetry) that it is always told by someone, i.e. it is always
mediated in some way through a ‘voice’. This is not the case in drama or film,
where the characters generally speak directly.
When one examines narrative voice, one basically wants to know who
speaks, or more precisely, who tells the story. The question ‘who speaks’ is
asked of the narrative as a whole. This narrator can, of course, report on other
characters’ conversation. This does not change the narrative situation; it is still
the narrator who speaks.
The first distinction that is made, following Genette (1980), is between
a narrator who is also a character in the story – a homodiegetic narrator, and
a narrator who is NOT a character in the story but in a way hovers above it
and knows everything about it – a heterodiegetic narrator. If the
homodiegetic narrator is also the protagonist of the narrative, it is an
autodiegetic narrator. Franz Stanzel’s distinction between first-person
narrative situation and authorial narrative situation roughly corresponds
with Genette’s terms homodiegetic/heterodiegetic (see Stanzel 1984; Stanzel
introduces a third type of narrative situation about which see below: figural
narrative situation).
Note by the way that the narrator is NOT the same as the author.
Narrators can have opinions that are not the author’s. This is especially
obvious in the case of homodiegetic narrators; a male author can create a
female narrator without necessarily putting his own gender up for question and
one author can create different narrators in different books without having to
be suspected of a split personality. The necessary separation between author
and narrator also holds for heterodiegetic narrators, of course. Even in
autobiographical texts the distinction between author and narrator is useful,
since the narrating I is always partly a construction and thus not identical with
the author.
The communication situation in prose texts thus comprises three
levels: A character addresses another character in the narrative; this is narrated
by a narrator who sometimes addresses and imaginary or actual “dear reader”
or listener in the narrative, the narratee; the text has been composed by a real
author and is read by an actual reader. Authors and readers are frequently
embedded in different historical and cultural contexts.

NARRATIVE TEXT
STORY-WORLD
narrator character character narratee actual

author who speaks who listens reader
Code/Message
Compare the types of narrators in the following two examples:
[…] my Mother was convicted of Felony […] and being found quick
with Child, she was respited for about seven Months, in which time
having brought me into the World, […] she […] obtain’d the Favour of
being Transported to the Plantations, and left me about Half a Year
old; and in bad Hands you may be sure. This is too near the first Hours
of my Life for me to relate any thing of myself, but by hear say; ‘tis
enough to mention, that as I was born in such an unhappy Place
[Newgate prison], I had no Parish to have Recourse to for my
Nourishment in my Infancy, nor can I give the least Account how I
was kept alive, other, than that as I have been told, some Relation of
my Mothers took me away for a while as a Nurse, but at whose
Expence or by whose Direction I know nothing at all of it. (Defoe,
Moll Flanders)
In the Second Year of his Retirement, the Marchioness brought him a

Daughter, and died in Three Days after her Delivery. The Marquis […]
was extremely afflicted at her Death; but Time having produced its
usual Effects, his great fondness for the little Arabella intirely
engrossed his Attention and made up all the Happiness of his Life. […]
Nature had indeed given her a most charming Face, a Shape easy and
delicate, a sweet and insinuating Voice, and an Air so full of Dignity
and Grace, as drew the Admiration of all that saw her. […] From her
earliest Youth she had discovered a Fondness for Reading, which
extremely delighted the Marquis; he permitted her therefore the Use of
his Library, in which, unfortunately for her, were great Stores of
Romances; […]. (Lennox, Female Quixote, Bk. I, ch. 1)

In both cases we are told about the birth and childhood of a little girl and in
both cases indications are given that there are certain defects in the girl’s
upbringing. Nonetheless, the scope of the information we receive is quite
different. Moll Flanders is a homodiegetic-autodiegetic narrator. She is herself
the main character in the story she tells and there is a lot she does not know
about herself as a very small child or can only relate from hearsay. In contrast,
a well-informed heterodiegetic narrator is able to give us information of
considerable detail about Arabella. On the other hand, we gain a personal
impression of Moll’s character because we hear her own voice. In comparison,
the report about Arabella is much more distanced.
One makes a further distinction between an overt and a covert
narrator. In an overt narrator seems to have a distinct personality, someone
who makes his or her opinions known, who makes explicit judgments or
implicit evaluations for instance when the narrator comment is ironic. In the
quotation from The Female Quixote we notice for example that the narrator does
not approve of romances as reading material (“unfortunately for her”, for
evaluative use of language see narrative modes: narrator comment). A covert
narrator, on the other hand, is hardly noticeable. Compare the following
extract from Ernest Hemingway, The Snows of Kilimanjaro
‘The marvellous thing is that it’s painless,’ he said. ‘That’s how you
know when it starts.’
‘Is it really?’
‘Absolutely. I’m awfully sorry about the odour though. That must
bother you.’
‘Don’t! Please don’t.’
Look at them,’ he said. ‘Now is it sight or is it scent that brings them
like that?’
There is quite obviously a (heterodiegetic) narrator here, someone who tells us

who is speaking (“he said”). But we learn nothing about the narrator’s own
position, we do not get an impression of him as a person: It is a covert narrator
who concentrates on showing rather than telling.
2.5.2. Focalisation
Key terms:
The narrator is the agency that transmits the events and existents of the • focalisation
narrative verbally. The narrator can recount events from a position outside the • external focaliser
• narrator focaliser
story, adopting the omniscient point of view of someone who, for some
• internal focaliser
reason, knows everything about the story. However, it is also possible for the • character-focaliser
narrator to adopt the limited point of view of one character in the story and in • figural narrative
consequence to remain ignorant of what happens outside this character’s range situation
of perception. This choice of perspective is independent of the question • narrating I
• experiencing I
whether or not the narrator is a character in the story (as will become clear • unreliable narrator
below). To express the distinction between narrative voice (who speaks?) and
perspective (who sees or perceives?), Genette has introduced the term
focalisation (Genette 1980: 189-194) in order to avoid confusion with earlier
usages of the terms ‘point of view’ or ‘perspective’ which is often used to
denote narrative voice as well. Genette’s terms have been modified by
Shlomith Rimmon-Kenan whose definitions are presented here.

An external focaliser is a focaliser who is external to the story
(Rimmon-Kennan 1983: 74) and who is thus often called narrator-focaliser
because the focus of perception seems to be that of the narrator. An internal
focaliser is a, usually limited, focus of perception of a character in the story,
and thus also called character-focaliser. The distinction is best illustrated by
comparing it to the change in camera perspective in the following pictures
from the BBC film version of Oliver Twist (1982).
At first the camera presents an overall perspective, a point of view that hovers
above the scene and the audience is able to see the entire scene all at once.
Then the perspective changes and the camera reproduces Oliver’s perceptions,
the quick passing of surroundings as he is running, even the loss of
consciousness when he is knocked out and the screen momentarily goes black.
As the camera changes perspective the audience adopts Oliver’s point of view
and sees and experiences events as he sees and experiences them; Oliver
becomes the focaliser. The camera leaves Oliver’s point of view (and adopts
the point of view of one of the by-standers) in the last picture.
A similar effect can be achieved in a verbal narrative. Consider this
extract:
[…] what a variety of smells interwoven in subtlest combination

thrilled his nostrils; strong smells of earth, sweet smells of flowers;
nameless smells of leaf and bramble; sour smells as they crossed the
road; pungent smells as they entered bean-fields. But suddenly down
the wind came tearing a smell sharper, stronger, more lacerating than
any – a smell that ripped across his brain stirring a thousand instincts,
releasing a million memories – the smell of hare, the smell of fox. Off
he flashed like a fish drawn in a rush through water further and further.
[…] And once at least the call was even more imperious; the hunting
horn roused deeper instincts, summoned wilder and stronger emotions
that transcended memory and obliterated grass, trees, hare, rabbit, fox
in one wild shout of ecstasy. Love blazed her torch in his eyes; he heard
the hunting horn of Venus. Before he was well out of his puppyhood,
Flush was a father.
This excerpt is from Virginia Woolf’s novel Flush (ch. 1). The paragraph begins
with someone smelling different smells and it seems these smells are perceived
of as attractive. In the last sentence it becomes clear that this someone is in
fact a young dog; he is the focus of perception, the focaliser. We hear about
the smells, the attractions of fox and hare, the flash of passion from the dog’s
point of view, as one might imagine a dog to experience these things.
Obviously, it is not the dog who speaks here. It is a heterodiegetic narrator
who tries to reproduce the dog’s impressions in an internal focalisation. In the
terminology introduced by Stanzel, this combination is called figural narrative

situation. Careful: It is not possible to have a ‘figural narrator’ because in this
narrative situation a narrator who is not the character continues to speak!
Focalisation does not have to stay the same throughout a narrative. A
change in focaliser often introduces another point of view and thus variety into
a narrative. Woolf’s narrative of Flush’s first amorous adventure for instance
continues thus:
Such conduct in a man even, in the year 1842, would have called for
some excuse from a biographer; in a woman no excuse could have
availed; […] But the moral code of dogs, whether better or worse, is
certainly different from ours, and there was nothing in Flush’s conduct
in this respect that requires a veil now, or unfitted him for the society
of the purest and the chastest in the land then.
This is a narrator comment (see ch. 2.6.4.) and the narrator is obviously not a
dog but a human being (“the moral code of dogs […] is […] different from
ours”). This represents a combination of heterodiegetic narrator and external
focalisation.
Internal focalisation can be more obvious still when the language
abilities and mind style of the focaliser are realistically reproduced. This is a
little difficult in the case of a dog but it becomes quite possible for instance in
the case of children as focalisers. A famous example is the beginning of James
Joyce’s Portrait of the Artist as a Young Man:
Once upon a time and a very good time it was there was a moocow
coming down along the road and this moocow that was coming down
along the road met a nicens little boy named baby tuckoo. . . .
His father told him that story: his father looked at him through a glass;
he had a hairy face. […]
When you wet the bed, first it is warm then it gets cold. His mother put
on the oilsheet. That had the queer smell.
His mother had a nicer smell than his father. (ch. 1.)
It is quite possible to imagine that this is the perception of a little boy as he

might express it to himself: The syntax is very simple, he does not seem to
know the word ‘glasses’ so the expression “through a glass” is used. It is
certainly from the little boy’s point of view that we hear about the various
smells, the story, the bed-wetting. Notice however, that even though the
language of a child is here reproduced, the little boy himself is not the narrator
(‘who speaks?’). It is again a heterodiegetic narrator and an internal focaliser.
The difference to an external focaliser becomes very clear when one
compares Anthony Burgess’s rewriting of the passage at the beginning of
Joyce’s Portrait as a piece with a homodiegetic narrator and external focaliser;
the older protagonist looks back as narrating I, the consciousness and
knowledge of the first person speaker at the time of narration. The narrating I
in this case has achieved a noticeable distance to the immature consciousness
of the experiencing I, the baby:
My earliest recollections are of my father and my mother bending over

my cot and of the difference in personal odour that subsisted between
my two parents. My father, certainly, did not have so pleasant an odour
as my mother. I remember I would be told infantile stories, altogether

appropriate to my infantile station. One of them, I seem to recall, was
concerned with a cow coming down the lane – which lane was never
specified – and meeting a child who was called (I am embarrassed,
inevitably, to recollect this in maturity) some such name as Baby
Tuckoo. I myself, apparently, was to be thought of as Baby Tuckoo. Or
was it Cuckoo? It is, of course, so long ago [...] (Burgess 1973: 15)
Even though there is now a homodiegetic narrator, as a result of the external

focalisation Burgess’s version is noticeably removed from the child’s
perceptions at the time, and so of course is his linguistic ability.
2.5.3. Unreliable Narrators
Not all narrators are equally reliable, that is to say the reader is sometimes led
to distrust what a narrator says (see Nünning 1998, also Reliability in
Characterisation). There are various reasons for such distrust. Some narrators
tell deliberate lies or omit crucial information. In Agatha Christie’s The Murder
of Roger Ackroyd for instance, the homodiegetic narrator simply omits to
mention how he himself commits the murder until the end of the book. Of
course in this case, the reader does not realise that this narrator is unreliable
until the very end. In other cases the narrator simply does not know enough to
give an accurate account of what actually happened. A classic example is Ford
Madox Ford’s The Good Soldier which is full of uncertainties and contradictions,
simply because the narrator never fully understands what is happening. He tries
to piece together various bits of information he receives and indulges in a
number of speculations, but he is never quite certain. This makes the
information the reader receives (seem) unreliable.
SO WHAT?
There is no limited set of functions that can be assigned to each Type of

narrator or focaliser, but an examination of narrative voice and focalisation
helps to explain how a certain atmosphere is created and how reader sympathy
is directed, since the information given by the narrator is the reader’s (only)
access to the fictional world that is presented. Especially internal focalisation
helps the readers to empathise with the character-focaliser.
Consider the following example: Saki’s short story Sredni Vashtar is told
with Conradin, a ten-year-old boy with a rampant imagination, as focaliser.
Conradin lives with an older relative whom he hates. In a tool-shed in the
garden Conradin secretly keeps a large polecat-ferret. Over time he elevates
this polecat into a god, Sredni Vashtar, who has to be served with complicated
rites involving flowers, berries and stolen nutmeg powder. Conradin’s constant
prayer is ‘Do one thing for me, Sredni Vashtar’, though the reader is never
explicitly told what that is. One day his relative decides to investigate the
garden shed because she suspects Conradin of keeping illegal pleasures in
there. Conradin watches her from the dining-room window:
Conradin fervently breathed his prayer for the last time. But he knew as
he prayed that he did not believe. He knew that the Woman would
come out presently with that pursed smile he loathed so well on her

face, and that in an hour or two the gardener would carry away his
wonderful god, a god no longer, […]. He watched the starlings running
and flying in little parties across the lawn; he counted them over and
over again, with one eye always on the swinging door. […] And
presently his eyes were rewarded: out through that doorway came a
long, low, yellow-brown beast, with eyes a-blink at the waning daylight,
and dark wet stains around the fur of jaws and throat. […] And while
the maid went to summon her mistress to tea, Conradin fished a
toasting-fork out of the sideboard drawer and proceeded to toast
himself a piece of bread. And during the toasting of it and the buttering
of it with much butter and the slow enjoyment of eating it, Conradin
listened to the noises and silences which fell in quick spasms beyond
the dining-room door. The loud foolish screaming of the maid, the
answering chorus of wondering ejaculations from the kitchen region,
the scuttering footsteps and hurried embassies for outside help, and
then, after a lull, the scared sobbings and the shuffling tread of who
those bore a heavy burden into the house.
The reader never leaves Conradin’s viewpoint. We are not told what actually
happens in the garden-shed. With Conradin, we draw certain conclusions and
we share first Conradin’s despair and later his satisfaction at an event that
causes shock and grief to other members of the household. This is achieved
because Conradin remains the focaliser throughout; the focalisation aligns
reader sympathy with Conradin. If the story had been told with the relative as
focaliser, it would have been the story of a woman who tends a sick, difficult
child and who meets a tragic end being attacked by a vicious pole-cat. The
story, as focalised by her, would have to end, of course, with the moment of
her death. Our emotional response to the story would almost certainly have
been different than it is when we empathise with Conradin.
An entirely different effect is achieved in William Thackeray’s Vanity
Fair when Amelia’s farewell from her friends at school is described:
For three days […] little Laura Martin, the orphan, followed her about,
like a little dog. She had to make and receive at least fourteen presents
– to make fourteen solemn promises of writing every week: […] Laura
Martin […] took her friend’s hand and said, looking up in her face
wistfully, ”Amelia, when I write to you I shall call you Mamma.” All
which details, I have no doubt, Jones, who reads this book at his Club,
will pronounce to be excessively foolish, trivial, twaddling, and ultra-
sentimental. (Thackeray, Vanity Fair, ch. 1)
The sentimental potential of this scene of tearful leave-taking is deliberately

floated by the narrator’s comments. The narrator interrupts the scene itself and
remarks on the possible criticism it might incur from one type of reader. With
this he forces the (actual) reader to consider the leave-taking scene from a
distance, what is more, from the distance of slightly ironic criticism. Thus any
empathy with Amelia is undermined through the heterodiegetic narrator and
an external focalisation.

2.6. Narrative Modes Key terms:
• narrative modes
• mimesis
Closely related to questions of narrative voice and focalisation is the issue of • diegesis
narrative modes. Narrative modes are the kinds of utterance through which a • showing
narrative is conveyed (see Bonheim 1982). Clearly, these are questions relating • telling
to aspects of discourse. • direct speech
The distinction between narrative modes is as old as literary theory • indirect (reported)
speech
itself; Plato distinguishes between two main types: mimesis (the direct • report
presentation of speech and action) and diegesis (the verbal representation of • description of place
events). The distinction was taken up by Aristotle and can – much later – still • description of time
be found in Henry James’ distinction between showing and telling. • description of
character
• comment
mimesis showing direct
presentation
diegesis telling mediated
presentation
The most mimetic literary genre is drama (and film), which consists mainly of
direct presentation of speech and action, i.e. the audience actually watches
people speak and act. In narrative prose (and poetry) one is necessarily limited
to verbal representation. Nonetheless, even in narrative prose and poetry
degrees of mimesis and diegesis can be differentiated into four main narrative
modes (following Bonheim 1982):
speech mimetic
report (of action)
description
comment diegetic
Apart from these four narrative modes, there are possibly non-narrative
elements in any given narrative which are not strictly speaking part of the
narrative itself: such as for instance an interpolated song, poem (for instance in
J.R.R. Tolkien’s The Lord of the Rings or in A.S. Byatt’s Possession), essay
(discussions of the techniques of writing a novel for instance in Henry
Fielding’s Tom Jones), or chapter mottoes (as in George Eliot’s Middlemarch).
Sometimes these elements give a clue to the narrative’s meaning, but
sometimes they are simply decorations or digressions and not an integral part
of the story itself.
2.6.1. Speech
Direct speech is the most mimetic narrative mode, since it gives an almost
complete illusion of direct, i.e. unmediated, representation.
‘Have the police done anything Godfrey?’

‘Nothing whatever.’
‘It is certain, I suppose, that the three men who laid the trap for you
were the same three men who afterwards laid the trap for Mr. Luker?’
‘Humanly speaking, my dear Rachel, there can be no doubt of it.’
‘And not a trace of them has been discovered?

‘Not a trace.’
(Collins, Moonstone, Second Period, First Narrative, ch. 2)
In this excerpt only the quotation marks and the fact that the speakers address
each other by name indicate that different people are speaking. Sometimes
direct speech is introduced by a reporting phrase, so-called inquit formulas
(‘She said’, ‘The hoarse voice answered’, etc.). Direct speech itself is nowadays
usually indicated by quotation marks or other forms of punctuation
(sometimes by a dash, sometimes merely by the beginning of a new paragraph).
Direct speech tends to use present tense as its main tense and uses the first
person when the speaker refers to him- or herself, the second person when
other participants of the conversation are addressed. The use of sociolect or
dialect also serves to indicate spoken language (see also Representation of
Consciousness: thought as silent speech, ch. 2.7.).
The element of mediation is more noticeable when speech or thought
is rendered indirectly in indirect (or reported) speech.
Original utterance: She said: “I am tired, I am going to bed.”

Indirect speech: She said she was tired and was going to bed.
Indirect speech also uses inquit formulas but no quotation marks. The tense of
the original utterance is changed from present into past, from past into past
perfect and references to the first person are rendered in the third person. All
this can be looked up in any ordinary grammar book.
The effect of indirect speech can easily be perceived as somewhat
monotonous and certainly it creates a distance between the utterance and the
reader’s perception of it; it is less immediate than direct speech. In the
following example we focus less on the young son’s speech than on Moll’s, i.e.
the homodiegetic narrator’s, rendering of it.
After some time, the young Gentleman took an Opportunity to tell me

that the Kindness he had for me, had got vent in the Family; he did not
Charge me with it, he said, for he knew well enough which way it came
out; he told me his plain way of Talking had been the Occasion of it,
for that he did not make his respect for me so much a Secret as he
might have done, and the Reason was that he was at a Point; that if I
would consent to have him, he would tell them all openly that he lov’d
me, and that he intended to Marry me. (Defoe, Moll Flanders)
But indirect speech does not inevitably create monotony. In the following
excerpt Charles Dickens uses indirect speech to vary and enliven the narrator’s
(heterodiegetic) report when he reproduces Jo the streetsweeps’s
(ungrammatical) way of speaking when Jo is asked to give evidence at an
inquest:
Name, Jo. Nothing else that he knows on. Don’t know that everybody
has two names. Never heerd of sich a think. Don’t know that Jo is
short for a longer name. Thinks it long enough for him. He don’t find
fault with it. Spell it? No. He can’t spell it. No father, no mother, no
friends. Never been to school. What’s home? Knows a broom’s a
broom, and knows it’s wicked to tell a lie. Don’t recollect who told him
about the broom, or about the lie, but knows both. Can’t exactly say

what’ll be done to him arter he’s dead if he tells a lie to the gentlemen
here, but believes it’ll be something wery bad to punish him, and serve
him right – and so he’ll tell the truth. (Dickens, Bleak House, ch. 9)
This passage displays many of the characteristics of direct speech, except the
use of the first person pronoun. Thus it technically remains the narrator’s voice
who speaks about Jo even though he adopts Jo’s syntax, vocabulary and
pronunciation.
2.6.2. Report
Report is the mode that informs the reader about events and actions in the
story.
Dick Boulton came from the Indian camp to cut up logs for Nick’s
father. He brought his son Eddy and another Indian named Billy
Tabeshaw with him. They came in through the back gate out of the
woods, Eddy carrying the long cross-cut saw. (Hemingway, The Doctor
and the Doctor’s Wife)
Report can be identified mainly through its use of action verbs (come, bring,
carry in the example above). In practice it is often difficult to clearly separate
between report and description. Also, it is very rare that a narrative presents an
absolutely neutral report. Reports are frequently mingled with narrator
comment.
2.6.3. Description
Description is a narrative mode that represents objects in space, that is to say

existents of the story, things that can be seen, heard or felt in some way.
Traditional rhetoric distinguishes between
1. the description of place,

2. the description of time,
3. the description of character.
Examples:
Description of place:
On one side of this broad curve in the straight seaboard of the
Republic of Costaguana, the last spur of the coast range forms an
insignificant cape whose name is Punta Mala. From the middle of the
gulf the point of the land itself is not visible at all; but the shoulder of a
steep hill at the back can be made out faintly like a shadow on the sky.
(Conrad, Nostromo, ch. 1),
Description of time:
Five o’clock had hardly struck on the morning of the nineteenth of
January [...]. (Brontë, Jane Eyre, ch. 5)

Description of character:
One of these boxes was occupied [...] by a stern-eyed man of about
five-and-forty, who had a bald and glossy forehead, with a good deal of
black hair at the sides and back of his head, and large black whiskers.
He was buttoned up to the chin in a brown coat; and had a large seal-
skin travelling cap, and a great-coat and cloak lying on the seat beside
him. (Dickens, Pickwick Papers, ch. 35)
Obviously, these elements are normally combined:
I have read of men who, when forced by their calling to live for long
periods in utter solitude [...] have made it a rule to dress regularly for
dinner in order to maintain their self-respect and prevent a relapse into
barbarism. It was in some such spirit, with an added touch of self-
consciousness, that, at seven o’clock in the evening of 23rd September
in a recent year [description of time], I was making my evening toilet in
my chambers in Pall Mall [description of place]. I thought the date and
the place justified the parallel, [...] I – well, a young man of condition
and fashion, who knows the right people, belongs to the right clubs,
has a safe, possibly brilliant future in the Foreign Office – may be
excused for a sense of complacent martyrdom, when, with his keen
appreciation of the social calendar, he is doomed to the outer solitude
of London in September [description of person]. (Childers, The Riddle in
the Sands, ch. 1)
2.6.4. Comment
In the narrative mode of comment one notices the mediator (i.e. the narrator)
most. In this mode we find evaluations of the story’s events and characters,
general observations or judgements. Such evaluations can be quite explicit:
In the absence of any precise idea as to what railways were, public

opinion in Frick was against them; for the human mind in that grassy
corner had not the proverbial tendency to admire the unknown,
holding rather that it was likely to be against the poor man, and that
suspicion was the only wise attitude with regard to it. (Eliot,
Middlemarch, ch. 56)
But evaluations can also be made less explicitly. The choice of pejorative
diction, a hint of irony or the use of modifiers (such as ‘unfortunately’) also
work as comment. In the following example the narrator of a Dickens novel
manages to present Sir Leicester Dedlock as a rather ridiculous man, mainly
through irony when describing Sir Leicester’s estimate of his own value, which
is completely out of proportion, and the mixture of negative and positive
characteristics which the narrator gives without any attempt at reconciliation:
Sir Leicester Dedlock is only a baronet, but there is no mightier baronet

than he. His family is as old as the hills, and infinitely more respectable.
He has a general opinion that the world might get on without hills, but
would be done up without Dedlocks. [...] He is a gentleman of strict
conscience, disdainful of all littleness and meanness, and ready, on the

shortest notice, to die any death you may please to mention rather than
give occasion for the least impeachment of his integrity. He is an
honourable, obstinate, truthful, high-spirited, intensely prejudiced,
perfectly unreasonable man. (Dickens, Bleak House, ch. 2)
2.6.5. Mixed Narrative Modes
In practice, narrative modes are mixed:
Cedric crossed the threshold into the room [report of action]. It was a
very large and splendid room, with massive carven furniture in it, and
shelves upon shelves of books [description]; [...] On the floor, by the
armchair, lay a dog, a huge tawny mastiff with body and limbs almost
as big as a lion’s [description]; and this great creature rose majestically
and slowly, and marched towards the little fellow, with a heavy step
[report with comment, ‘majestically’, ‘little fellow’].
Then the person in the chair spoke [report and inquit formula].
‘Dougal,’ he called, ‘come back, sir.’ [direct speech and inquit formula].
But there was no more fear in little Lord Fauntleroy’s heart than there
was unkindness – he had been a brave little fellow all his life [report
with comment]. (Burnett, Little Lord Fauntleroy, ch. 5)
2.6.6. Historical Change in Narrative Modes
Preferences for certain narrative modes change over time. Twentieth-century

narratives for instance tend to use less comment, especially moral judgements
that claim general validity of the kind so frequently found in earlier narratives.
Modern narratives also favour the use of direct speech or direct representation
of consciousness . Generally, the tendency since the late nineteenth century,
especially since Henry James’ emphatic advocacy of the ‘showing’ mode, has
been towards those modes that create the illusion of mimesis and disguise the
voice of the narrator.
This does not mean that one type of mode is better and that another is
worse. It does indicate that readers have, at different times, different tastes and
possibly different expectations and reading habits. A comparison of narrative
modes can thus be fruitful when comparing narratives which were written at
different times. It is also advisable to bear in mind the changing preferences for
different modes when examining narratives from times other than our own.
SO WHAT?
Another use of narrative modes (and consequently one possibly profitable

aspect for analysis) is the different effect which the employment of various
modes can have on the reader. By way of example consider the following
excerpts from The Moonstone. In different modes and from changing
perspectives the reader is both told and shown something about the characters:
I am not superstitious; I have read a heap of books in my time; I am a

scholar in my own way. Though turned seventy, I possess an active

memory, and legs to correspond. You are not to take it, if you please,
as the saying of an ignorant man, when I express my opinion that such
a book as Robinson Crusoe never was written, and never will be written
again. I have tried that book for years – generally in combination with a
pipe of tobacco – and I have found it my friend in need in all the
necessities of this mortal life. When my spirits are bad – Robinson Crusoe.
When I want advice – Robinson Crusoe. In past times when my wife
plagued me; in present times when I have had a drop too much –
Robinson Crusoe. (Collins, The Moonstone, First Period, ch. 1)
In this excerpt Gabriel Betteredge, as homodiegetic narrator, gives a

description of his relation to the book Robinson Crusoe and he reports his past
and present habit of turning to that book for comfort and advice in times of
trouble. While he comments explicitly on the excellence of the novel, the
reader is shown a character who may be described as slightly simple in his
unlimited trust in Robinson Crusoe – not generally recognised as source of advice
and consolation in all kinds of difficulties – but also as rather charming in his
eccentricity. The narrator’s direct address to the reader (”You are not to take it
[…]”) establishes a sort of confidential intimacy between the reader and
Betteredge which is flattering. Readers of course feel themselves slightly
superior because they have a wider scope of advice books, but Betteredge’s
confidences make him appear rather endearing.
Later in the story Betteredge recommends the powers of Robinson
Crusoe to the doctor’s assistant, Ezra Jennings. Jennings reports the occasion
and his own reactions:
To my great surprise Betteredge laid his hand confidentially on my arm,

and put this extraordinary question to me:
‘Mr. Jennings, do you happen to be acquainted with Robinson Crusoe?’
I answered that I had read Robinson Crusoe when I was a child.
‘Not since then?’ inquired Betteredge.
‘Not since then.’
He fell back a few steps, and looked at me with an expression of
compassionate curiosity, tempered by superstitious awe. [...]
‘Sir,’ he said gravely, ‘there are great allowances to be made for a man
who has not read Robinson Crusoe since he was a child. I wish you good
morning.’ (Collins, The Moonstone, Second Period, Fourth Narrative)
In this excerpt we see a demonstration of Betteredge’s reliance on Robinson

Crusoe, this time given in mostly direct speech intermingled with some reported
speech and narrator comment (the homodiegetic narrator is now Ezra
Jennings). The narrator comment clearly directs the reader to consider
Betteredge’s reliance on Robinson Crusoe not as an endearing eccentricity but as
very peculiar indeed and not in line with a sensible approach to life
(”extraordinary question”, ”superstitious awe”). Depending on how thoroughly
readers empathised with Betteredge in the first section of the book, they will
resent Jennings’ arrogance and despise him as an unimaginative fellow or they
will agree with Jennings’ assessment and distance themselves from Betteredge.

2.7. Representation of Consciousness Key terms:
• interior monologue
• stream of
Rather more intricate than representations of speech in direct or indirect mode consciousness
are representations of thought, which can be conceptualised as a kind of silent • psychonarration
speech or inner speech (see Bonheim 1982: 53). Obviously, it is possible • narrated monologue /
simply to represent thought, just like speech, using direct or indirect discourse: free indirect discourse
“What horrible weather they have here,” he thought. (direct discourse)

He thought that the weather in these parts was really horrible. (indirect
discourse)
But there are other ways of representing thought or consciousness. The

advantage that narrative prose has over drama, for instance, is that it can tell
the reader about a character’s mental processes and emotions without having
that character burst into speech (as in a soliloquy in drama for instance). The
reader is allowed to look into a character’s head, though of course in the
narrative the character continues to act like most people do and keeps his
thoughts to himself. It is worth noting that with the representation of a
character’s consciousness in narrative prose a realistic effect is achieved – the
reader feels he receives firsthand and inside knowledge of the character –
through really rather unrealistic means which has nonetheless become a
convention. In reality, of course, we cannot look into other people’s heads; the
only thought processes we will ever get to know intimately are our own (Käte
Hamburger, 1973, points this out, see also Cohn 1978: 7f).
Three major methods of thought representation have been identified,
depending on the level of noticeable narrator interference (taking up Cohn’s
distinctions):
• interior monologue
• psychonarration
• narrated monologue or free indirect discourse
2.7.1. Interior Monologue
Interior monologue is the direct presentation of thought as in direct speech.

One does not speak of a monologue unless the utterance has a certain length.
Interior monologue is thus a longish passage of uninterrupted thought.
Consider an excerpt from Douglas Adams, The Hitch Hiker’s Guide to the
Galaxy. The situation is as follows: The spaceship is being attacked by two
missiles. Only at the last moment does Arthur turn on the Improbability Drive
and the two missiles are turned into a sperm whale and a bowl of petunias. The
passage describes the thoughts of the sperm whale who has suddenly come
into existence in free space and is trying to come to terms with his identity:
Er, excuse me, who am I?

Hello?
Why am I here? What’s my purpose in life?
What do I mean by who am I?
Calm down, get a grip now ... oh! this is an interesting sensation, what
is it? It’s a sort of ... yawning, tingling sensation in my ... my ... well I

suppose I’d better start finding names for things if I want to make any
headway [...] so let’s call it my stomach.
And hey, what about this whistling roaring sound going past what I’m
suddenly going to call my head? Perhaps I can call that ... wind! Is that
a good name? It’ll do [...] Now – have I built up any coherent picture of
things yet?
No.
Never mind, hey, this is really exciting, so much to find out about, so
much to look forward to, [...] Hey! What’s this thing suddenly coming
towards me very fast? Very very fast. So big and flat and round, it
needs a big wide sounding name like ... ow ... ound ... round ... ground!
That’s it! That’s a good name – ground!
I wonder if it will be friends with me?
And the rest, after a sudden wet thud, was silence. (ch. 18)
Apart from the last sentence, which is clearly a remark by a heterodiegetic

narrator, this passage attempts to recreate what passes through the whale’s
consciousness apparently without any interference from an agency that tries to
put it into well-turned English. The thoughts are presented in the first person,
several thoughts run into each other as perceptions of different things crowd
into the whale’s consciousness, syntax and punctuation are not those of
conventional written language, but try to imitate spoken (or thought) language.
This technique of presentation is now most commonly called interior
monologue and it is intended to present a character’s thoughts directly,
imitating as much as possible the way this character might ‘actually’ have
thought his thoughts.
One of the most famous examples for interior monologue, cited again
and again, is James Joyce’s last chapter in Ulysses (1922). Page after page this
section presents Molly Bloom’s consciousness to the reader entirely in interior
monologue:
[...] if his nose bleeds youd thing it was O tragic and that dyinglooking
one off the south circular when he sprained his foot at the choir party
at the sugarloaf Mountain the day I wore that dress Miss Stack bringing
him flowers the worst old ones she could find at the bottom of the
basket anything at all to get into a mans bedroom with her old maids
voice trying to imagine he was dying on account of her to never see thy
face again though he looked more like a man with his beard a bit grown
in the bed father was the same besides I hate bandaging and dosing
when he cut his toe with the razor paring his corns afraid hed get blood
poisoning [...]. (Joyce, Ulysses, ‘Penelope’)
Here, in contrast to the sperm whale’s last thoughts, there is no punctuation

and the current of thought is depicted as associative rather than strictly logical
and coherent. The notion that one’s thoughts are not in fact orderly and well-
formulated but more of a jumbled-up sequence of associations gained currency
with a concept developed in psychology, called stream of consciousness.
This term was coined by William James, the brother of the novelist Henry
James (see James 1892). It is important to note, however, that for William
James the stream of consciousness was not necessarily verbal but also included
other sensual perceptions, especially visual representations. Interior monologue
is one narrative technique – necessarily limited to verbal representation – that

tries to reproduce non-orderly and associative patterns of thought. It is also
possible to reproduce the stream of consciousness in narrated monologue (see
further down). The term stream of consciousness thus refers to the way
cognitive processes take place, it is not itself a narrative technique.
Unfortunately, many critics use the term to denote a narrative technique, which
confuses the issue.
2.7.2. Psychonarration
Obviously, interior monologue is a technique that puts a certain amount of

strain on the reader. Thus, it is more common (outside avant-garde fiction) to
learn about a character’s consciousness from the narrator, who takes it upon
him- or herself to report the character’s thoughts to the reader. In the
following passage our previous example of the whale has been rewritten as
psychonarration:
The little sperm whale, suddenly finding himself in existence and in a

place that did not seem entirely congenial to his faculties, was trying
very hard to determine his place in life and in the universe, as others
under more favourable circumstances had done before him. With
increasing urgency he faced questions of his own identity and his
relation to his surroundings. Despite his mounting confusion he also
felt a growing excitement welling up inside him and irrepressible joy
when he thought about the things to come. All this was cut tragically
short when he hit the ground with a wet thud and ceased to think or
feel at all.
In psychonarration the heterodiegetic narrator remains in the foreground

throughout, even adds some general observations not originating in the
character (“as others [...] had done before him”). While we certainly learn about
the whale’s thoughts and feelings, we hear it entirely in the narrator’s voice,
syntax and vocabulary. We do not hear the voice of the whale as in the
rendering above in interior monologue (Compare the previous quotation). The
difference in effect is quite marked, the reader remains much more distant
from the character’s consciousness and the level of mediation continues to be
noticeable in the foreground.
2.7.3. Narrated Monologue
A third technique for the representation of consciousness is called narrated

monologue or free indirect discourse. This represents, in a way, a mixture
between psychonarration and interior monologue. In a narrated monologue the
narrator often sets the scene but the character’s thoughts are reproduced
‘directly’ and in a way that one would imagine the character to think, though
the narrator continues to talk of the character in the third person. The syntax
becomes less formal (incomplete sentences, exclamations etc.) and the
character’s mind style is reproduced more closely. We hear a ‘dual voice’ (see
Pascal 1977), the voices of the narrator and the characters are momentarily
merged. This can create an impression of immediacy but it can also be used to
introduce an element of irony, when the reader realises that a character is

misguided without actually being told so by the narrator (see the examples in
SO WHAT).
For our example this technique might look something like this (only
the first two sentences and the last sentence are direct quotations from
Douglas Adams, the rest has been rewritten as narrated monologue):
Against all probability a sperm whale had suddenly been called into
existence several miles above the surface of an alien planet. And since
this is not a naturally tenable position for a whale, this poor innocent
creature had very little time to come to terms with its identity as a
whale before it then had to come to terms with not being a whale
anymore. Why was he here? What was his purpose in life? The
important thing now was to calm down ... oh! that was an
interesting sensation, what was it? It was a sort of ... yawning,
tingling sensation in his ... his ... well he supposed he’d better
start finding names for things if he wanted to make any headway.
Hey! What was that thing suddenly coming towards him so very
very fast? Would it be friends with him? And the rest, after a sudden
wet thud, was silence.
While the narrator resurfaces at the beginning and the end of this version, the
voice of the whale becomes more dominant in the middle section which is
given in narrated monologue (the relevant section is marked bold), though the
narrator is still apparent in the use of the third person and past tense.
A classic example for the frequent use of narrated monologue or free
indirect discourse is Virginia Woolf’s Mrs Dalloway. The following passage
reproduces Clarissa Dalloway’s thoughts and perceptions, reproducing the
associative connections of her stream of consciousness, as she is choosing
flowers for her party:
And as she began to go with Miss Pym from jar to jar, choosing,
nonsense, nonsense, she said to herself, more and more gently, as if
this beauty, this scent, this colour, and Miss Pym liking her, trusting
her, were a wave which she let flow over her and surmount that hatred,
that monster, surmount it all; and it lifted her up and up when – oh! A
pistol shot in the street outside! (Woolf, Mrs Dalloway)

2.7.4. Summary: Representation of Consciousness
This table summarises various possibilities for the representation of thought or

consciousness (adapted from Nünning 1996: 223)
Term German Term Formal Criteria Effect

direct discourse / direkte quotation marks, mimetic reproduction
direct thought Gedankenwiedergabe inquit formulas of actual thought
(analog zu direkter (optional, dominating event
Rede) tense is present tense
interior innerer Monolog refers to the character high degree of
monologue, in first person, uses immediacy, can
(direct thought in narrative present, reproduce character’s
longer passages) syntactical stream of
conventions and consciousness
punctuation partly or
completely dispensed
with
indirect discourse indirekte grammatical structures can create a feeling of
Gedankenwiedergabe of reported speech distance, but need not,
(analog zu indirekter consciousness of
Rede) character who gives
the report interposed
narrated erlebte Rede, freie narrator refers to the narrator reports
monologue / free indirekte character in third character’s thoughts
indirect discourse Gedankenwiedergabe person and narrative but using the
past, syntax less character’s mind style:
formal: uses ‘dual voice’, can create
exclamations, ellipses, immediacy but can
etc. also be used to create
ironic distance, can
reproduce character’s
stream of
consciousness
psychonarration, Bewußtseinsbericht, narrator reports and usually summarises
narrative report of Gedankenbericht refers to the character thought processes
thought in third person, usually using the narrator’s
uses narrative past, and not the character’s
syntax mostly syntax and diction; can
complete and ordered, create distance.
one hears the
narrator’s voice
SO WHAT?
In fact, it seems to make a fairly marked difference to our perception of a

character whether we are told about their thought in psychonarration or, say, in
narrated monologue. Consider an example from a nineteenth-century novel,
George Eliot’s Middlemarch: One of Dorothea’s pet schemes is planning
cottages for the improvement of the living conditions of the poor. To her great

disappointment, Mr Casaubon, the man she will marry, is not particularly
interested in cottages.
On one – only one – of her favourite themes she was disappointed. Mr

Casaubon apparently did not care about building cottages, and diverted
the talk to the extremely narrow accommodation which was to be had
in the dwellings of the ancient Egyptians, as if to check a too high
standard. After he was gone, Dorothea dwelt with some agitation on
this indifference of his; and her mind was much exercised with
arguments drawn from the varying conditions of climate which modify
human needs, and from the admitted wickedness of pagan despots.
Should she not urge these arguments on Mr Casaubon when he came
again? But further reflection told her that she was presumptuous in
demanding his attention to such a subject; […]. (Eliot, Middlemarch, ch.
3)
We receive information about Dorothea’s mental agitation both in

psychonarration and in narrated monologue. The effect of the different
techniques is noteworthy. The reaction to Mr Casaubon is given entirely in the
narrator’s voice and even though Dorothea is agitated, little attempt is made to
transfer this agitation to the reader who, more than likely, is a little puzzled
trying to reconstruct the somewhat complicated argument relating to climate
and pagan despots. This distance between Dorothea’s feelings and the reader’s
is decreased as the passage switches to narrated monologue. While the
psychonarration summarises Dorothea’s agitation, the reader is now given an
idea of Dorothea’s thoughts as they may have occurred in her mind (“Should
she not urge these arguments on Mr Casaubon when he came again?”). But
this glimpse of her thoughts is only momentary; the narrator returns to
summary (“But further reflection ...”). With this change of technique the
passage presents to the reader a movement which results in a little climax when
Dorothea’s agitation is most immediately communicated in her excited
question. But then, and parallel to Dorothea’s withdrawal into herself as she
shrinks from an open discussion with Mr Casaubon, the narrator’s voice is
dominant again and withdraws the reader from the closer intimacy with
Dorothea’s consciousness. In this way, the reader is put through an emotional
experience that in fact mirrors Dorothea’s relation to Mr Casaubon: a slight
distance, at first encumbered by academic complications and the feeling that
one does not quite understand what these arguments about climate and
despots might be, then a brief moment of closeness as Dorothea’s excitement
is communicated in the dual voice of character/narrator, which is immediately
followed by renewed distance. Dorothea herself is drawn towards Mr
Casaubon by an awe for his scholarly interests though she finds it slightly
difficult to follow them. She goes through a brief period of fervent hope that
she might share Casaubon’s scholarly elevation, only to find those hopes
shattered immediately after her marriage when it becomes clear to her that she
will be unable to traverse the emotional distance between herself and her
husband.
A rather different effect is achieved when the reader is given
Dorothea’s reaction to Sir James, who is very much interested in cottages and
also in marrying Dorothea, though she despises him a little and thinks of him
only as a suitable husband for her sister.

[Sir James] came much oftener than Mr Casaubon and Dorothea
ceased to find him disagreeable […] Certainly these men who had so
few spontaneous ideas might be very useful members of society under
good feminine direction, if they were fortunate in choosing their
sisters-in-law! It is difficult to say whether there was or was not a little
wilfulness in her continuing blind to the possibility that another sort of
choice was in question in relation to her. (ibid.)
Again there is a switch of technique, this time from narrated monologue

(“Certainly these men who had so few spontaneous ideas [...]”) to
psychonarration (“It is difficult to say […]”), giving a more immediate idea of
Dorothea’s actual thoughts. The excerpt concludes with a return to pure
narrator comment (not psychonarration).
The brief passage written as narrated monologue provides the reader
with an insight into Dorothea’s character, her impulsive and sometimes rather
obstinate disposition. From the reader’s point of view Dorothea imputes
clearly too much influence to a sister-in-law and besides, sisters-in law are not
normally chosen, they come as part of the package when the wife is chosen.
Dorothea’s obstinate determination to see in Sir James’ attention none but
those of a future brother puts an ironic distance between her and the reader,
who knows that she is wrong and even obstinate before the narrator comment
drives this point home.
2.8. Time
There are two aspects of time that deserve particular attention in the analysis
of narrative prose: the use of tense and the arrangement and presentation of
time sequences in a narrative.
2.8.1. Tense in Narrative

Key terms:
To start with tense: Probably most narratives are told in the past tense, the so- • narrative past
called narrative past as in this example: • narrative present
• tense switch
• gnomic present
Sir Walter Elliot [...] was a man who, for his own amusement, never
took up any book but the Baronetage; there he found occupation for
an idle hour, and consolation in a distressed one [...]. (Austen,
Persuasion, ch. 1)
The tense of a narrative is determined by the tense of the full verbs (in this
example: took, found). Some narratives are written in the narrative present:
The magazine is open on Barbara’s knee, but she does not look at it.
She sits with her mouth open, her fur coat kept on, her face staring
through the window. The train slides slowly down the platform at
Watermouth. When it stops, she picks up her luggage and gets out.
(Bradbury, History Man, ch. 12)
The verbs that determine narrative tense here are: look, sit, slide, stop, pick up,
get out. Very often, the use of the narrative present gives the reader an

impression of immediacy, whereas the use of the narrative past has a more
distancing effect. This becomes especially noticeable when there is a tense
switch from narrative past to narrative present or back. (See the example
under SO WHAT?). A tense switch can indicate a change in perspective or time
level, as in the following example:
She came out of the arbour almost as if to throw herself in my arms. I

hasten to add that I escaped this ordeal and that she didn’t even shake
hands with me. (James, Aspern Papers, ch. 5).
Here the narrative of events in the narrative past is interrupted by a remark

made by the narrator at the time of narration in the narrative present: (“I
hasten to add […]”).
Even though most narratives are told in the narrative past, they can
also be interspersed by statements of general application in the present tense.
This use of the present tense is called gnomic present. This gnomic present is
grammatically speaking no different from the narrative present, but it does not
represent a tense switch in the same sense. In narrative present the action of
the narrative is given. By contrast, in gnomic present, generic statements are
made that claim general validity (Chatman 1978: 82; Stanzel 1984: 108). In both
cases it is the narrator who speaks.
When any two young people take it into their heads to marry, they are
pretty sure by perseverance to carry their point, be they ever so poor,
or ever so imprudent, or ever so little likely to be necessary to each
other’s ultimate comfort. This may be bad morality to conclude with,
but I believe it to be truth; and if such parties succeed, how should a
Captain Wentworth and an Anne Elliot, with the advantage of maturity
of mind, consciousness of right and one independent fortune between
them, fail of bearing down every opposition? [...] Sir Walter made no
objection, and Elizabeth did nothing worse than look cold and
unconcerned. (Austen, Persuasion, ch. 24)
Notice the change of tense from the general observation (“When any two
young people take it into their heads [...]”) to narrative past in the specific case
of the story (“Sir Walter made no objection [...]”).
SO WHAT?
Of the various possibilities for the use of tense, the effects of tense switch are
maybe the most interesting. Consider the following excerpt from Peter
Ackroyd, First Light.
“Where’s Jude?” he asked, putting down New Archaeology with a sigh.

Jude was the name of their small wirehaired terrier.
“He’s asleep in your study. But what do you think?” Kathleen took the
article from him, and eagerly looked at it. “What do you think of the
theory?” She seemed to lose herself in these vistas of the remote past,
as if somehow they could mitigate the life through which she moved
every day. [...]

Another Time. In another time. She is a child, a crippled child. She is
standing on the shore near Lyme, looking out to sea. Her parents are
sitting in a beach-hut behind her, eating their sandwiches, and she turns
around to make sure that they are still there. That they have not
abandoned her. And then she looks back out to sea, the light from the
waves playing upon her face. It is impossible to know what she is
thinking. In fact she is thinking of nothing. Kathleen has merged with
the sea. (end of ch. 7 and beginning of ch. 8)
Here we are confronted first with a section of narrative action told in the
narrative past, giving a glimpse of Kathleen and her husband Mark starting a
discussion on an archaeological theory. Kathleen, so the narrator tells us, has a
tendency to lose herself in the past. A little further on we come upon
Kathleen’s memory of her own past, now told in free indirect discourse and in
the narrative present. This tense switch gives the reader a perfect
demonstration of Kathleen’s inclination to feel the past as more real than the
present. Memories of things gone are more immediate, more present to
Kathleen – and by means of the tense switch also to the reader – than her
present life with her husband, which is told in the narrative past.
2.8.2. Time Analysis Key terms:

• story-time
The analysis of the use of time in a narrative centres around three aspects: • discourse-time
order, duration and frequency (Genette 1980: chs 1-3, good summary in Jahn
2002: N5.2). One analyses the relation of story-time to discourse-time from
these three angles. To recall, a narrative can be divided into elements of story,
relating to questions of WHAT happens, and elements of discourse, relating to
questions of HOW it is told (see ch. 2.1.).
Story-time is the sequence of events and the length of time that passes
in the story. Discourse-time, on the other hand, covers the length of time that
is taken up by the telling (or reading) of the story and the sequence of events as
they are presented in discourse.
2.8.2.1. Duration Key terms:

• duration
No narrative retells absolutely everything that presumably ‘happened’ in a • scene
• summary / speed-up
story; those events that are considered most important will normally be told in
• stretch
some detail, others will be left out or summarised. This discrepancy between • ellipsis
the events of the (assumed) story and the events as rendered by the narrative’s • pause
discourse is the focus of attention when one considers the aspect of duration.
In the case of a story about a man and his life which lasts 80 years, the
duration of story-time would be 80 years. Story-time could also be just one
hour, if the story happens to be about a woman who is waiting for a train for
an hour and who makes an important discovery in this hour which changes her
life.
The duration of discourse-time in the case of the man’s 80 years of life
is likely (or so one hopes) to be shorter than the 80 years of story-time. In the
case of the woman waiting for a train it might easily be longer than one hour, if
say, the woman remembers a lot about her past life which takes longer than an
hour to narrate.

There are five possible relations between story-time and discourse-time:
scene, summary, stretch, ellipsis and pause. All these influence the reader’s
perception of the speed of a narrative. Notably, many stretches and pauses
slow things down considerably, scene and ellipsis give the impression of things
happening quickly.
Term Definition Example

scene/real-time story time and -When did you last see her?
discourse time are -On the bridge.
equal (this is usually -Alone?
the case in dialogue) -No, with a man.
summary/speed-up story-time is longer So they lived contentedly the next 20 years.

than discourse time
stretch/slow-down discourse time exceeds She suddenly realised how very much alone
story time she was with her favourable opinion of the
young visitor and how much opposition she
would have to content with later from her
querulous aunt. All this took no more than a
split second and there was no hesitation in her
movement as she came forward to welcome
him.
ellipsis discourse-time skips Ten years later we meet the little girl again,
to a later part in story now grown into a handsome woman.
time
pause story-time comes to a This usually involves a description or narrator

standstill while comment: Cecilia entered the library with a
discourse time heavy heart. But before we follow her and
continues enter upon the events which were to follow, let
us consider her position in life. Cecilia had
grown up an orphan under the care of a
retiring uncle very much preoccupied with his
studies. As soon as she was able to deal with
them, the cares of the household had fallen to
her and had curtailed the freedoms of her
childhood. This information imparted to the
interested reader, let us return to Cecilia on the
threshold of the library.
2.8.2.2. Order
Key terms:
Events in an assumed story take place in a certain order, for instance a child is • order
born, grows up, marries, leads a contented life, dies. This order of events might • chronological
• anachronological
be abbreviated as ABCDE.
• flashforward /
A narrative can tell about these events chronologically in the order in prolepsis
which they occurred: ABCDE. But it could just as well start with the • flashback / analepsis
character’s death, then recall the birth, childhood, marriage, married life. The
order of discourse would then look like this: EABCD. Discourse could deviate

from chronology more radically and present events in orders such as CABED
or ACDEB and so on. In such cases events are not told in chronological
order, they are anachronological.
When the chronological order of events is changed in discourse, certain
techniques are employed to reveal the whole story nonetheless. The most
common of these techniques are flashforward (prolepsis) and flashback
(analepsis). In a discourse order of BCDAE the section ‘A’ (the birth in our
example) would represent a flashback; in the order AEBCD, the section ‘E’
(death in our example) would represent a flashforward. A prolepsis is often
merely a short remark as in this example:
Ada called to me to let her in; but I said, ‘Not now, my dearest. Go
away. There’s nothing the matter; I will come to you presently.’ Ah! It
was a long, long time, before my darling girl and I were companions
again. (Dickens, Bleak House, ch. 31)
2.8.2.3. Beginnings and Endings Key terms:

• point of attack
In the category of order one also considers the question of the beginning and • ab ovo
• in medias res
ending of discourse. Strictly speaking, these categories go beyond the concept
• in ultimas res
of order, since they also deal with the information flow in a narrative (see the • suspense
section on information flow in drama ch. 3.1.1). • open ending
The place in the story at which a narrative’s discourse begins is the • closed ending
point of attack. A narrative that has its point of attack at the beginning of the
story is said to begin ab ovo. In such cases the narrative usually starts by giving
all the necessary background information about character, place and the very
first beginning of those events which are later to develop into the plot of the
narrative. This preliminary information is usually given by a narrator before any
action has properly started; it functions as an exposition. Charles Dickens, for
example, often uses ab ovo beginnings:
My father’s family name being Pirrip, and my Christian name Philip,

my infant tongue could make of both names nothing longer or more
explicit than Pip. So, I called myself Pip, and came to be called Pip.
I gave Pirrip as my father’s family name, on the authority of his
tombstone and my sister – Mrs Joe Gargery, who married the
blacksmith. [...] Ours was the marsh country, down by the river, within,
as the river wound, twenty miles of the sea. My first most vivid and
broad impression of the identity of things, seems to me to have been
gained on a memorable raw afternoon towards evening. (Dickens, Great
Expectations, ch. 1)
Note that an ab ovo beginning does not necessarily imply a beginning with the
birth of the protagonist. It always depends on what the story is about. Say, a
story is about the protagonist’s difficult married life, then the ab ovo beginning
would very likely be the wedding, or maybe the moment he fell in love with his
future wife. A story about a strange meeting in the forest would have its
beginning as the protagonist sets out for the forest and so on. The ab ovo
beginning of John Buchan’s story about the successful restoration of the
monarchy in Evallonia lies in McCunn’s rheumatism, contracted when he slips
into the river while fishing:

Great events, says the philosophic historian, spring only from great
causes, though the immediate occasion may be small; but I think his
law must have exceptions. Of the not inconsiderable events which I am
about to chronicle, the occasion was trivial, and I find it hard to detect
the majestic agency behind them. What world force, for example,
ordained that Mr. Dickson McCunn should slip into the Tod’s hole in
his little salmon river on a bleak night in April; and, without changing
his clothes, should thereafter make a tour of inspection of his young
lambs? His action was the proximate cause of this tale, but I can see no
profounder explanation of it than the inherent perversity of man.
(Buchan, The House of the Four Winds, ch. 1)
It is often considered a more interesting beginning to start in medias res, that

is to say, have the point of attack when developments are already well under
way, plunge the reader right into the middle of things, and give necessary
information about earlier developments in various flashbacks or as part of the
events in the story as in the following example:
“I wonder when in the world you’re going to do anything, Rudolf?”

said my brother’s wife.
“My dear Rose,” I answered, laying down my egg-spoon, “why in the
world should I do anything? My position is a comfortable one. I have
an income nearly sufficient for my wants (no one’s income is ever quite
sufficient, you know), I enjoy an enviable social position: I am brother
to Lord Burlesdon, and brother-in-law to that charming lady, his
countess. Behold, it is enough!”
“You are nine-and twenty,” she observed, ”and you’ve done nothing
but – ” (Hope, Prisoner of Zenda, ch.1)
Other narratives take their point of attack right to the end of the story, they
start in ultimas res and then most of the story is gradually revealed in a series
of flashbacks, explaining how things had come about.
Such different techniques in the arrangement of order on the discourse
level obviously produce different types of suspense, one type of suspense
created by an interest in how things happened, another type created by an
interest in what will happen next (the distinction is discussed usefully in Pfister
1988: ch. 3.7.4.).
Endings fall into two major categories: open and closed. In closed endings all
plot difficulties are resolved into some (preliminary) order: death, marriage, or
simply restored peace after disagreements as in the following example:
Ever since that day there has been the old friendly sociability in
Cranford society; which I am thankful for, because my dear Miss
Matty’s love of peace and kindliness. We all love Miss Matty, and I
somehow think we are all of us better when she is near us. (Gaskell,
Cranford, end of ch. 16)
In open endings no definite resolutions are offered. It even happens, as in John

Fowles’ novel The French Lieutenant’s Woman and other postmodern fiction, that
several different endings are offered for the reader to choose. Though each

one of these may be a closed ending, the effect is that of an open ending,
because there does not seem to be one definite conclusion to the events of the
story.
SO WHAT?
Detective stories present an interesting combination of beginnings; at the same
time ab ovo and in ultimas res, depending on which story one regards as the
central one. The story of the crime begins in ultimas res, with the discovery of
the crime, for instance the body of the victim, and is gradually revealed; the
story of the detective and his unravelling of the crime on the other hand begins
ab ovo and takes its course of investigation until the details of the crime and
the criminal have been discovered. While the story of the detective is usually
told chronologically, the story of the crime is pieced together gradually, and its
chronology is only revealed gradually, in fact, the discovery of the criminal very
often hinges on the unravelling of the correct chronology of the crime-story,
especially in cases of faked alibis.
2.8.2.4. Frequency Key terms:

• frequency
The third element of time analysis relates to the frequency of references which • singulative telling
• repetitive telling
are made at discourse level to any given event on the story level. There are
• iterative telling
three possibilities:
singulative an event takes place once and is referred to once (‘They

married in June 1865 on a beautiful sunny day’).
repetitive an event takes place once but is referred to repeatedly

(This is the case for instance when a character is obsessed by an event
and keeps coming back to it or when the same event is told from
different narrator perspectives, as for instance in Faulkner’s The Sound
and the Fury. An extreme example is the movie Groundhog Day where the
protagonist has to relive the same day over and over again).
iterative an event takes place several times but is referred to only

once (‘Every day when Frida sat down to her sewing, she asked herself
what she had done to deserve this’.)
SO WHAT?
An inventive use of time in a narrative can create startling effects. Let us

consider by way of example the novel by Muriel Spark, The Prime of Miss Jean
Brodie. This novel tells the story of an unconventional teacher, Miss Brodie,
who, with the help of a group of particularly devoted pupils, defies the efforts
of the school to get rid of her. Eventually, however, Miss Brodie is betrayed by
one of her own girls and loses her post.
The point of attack is when Miss Brodie’s devoted pupils, are in their
last year at school. In a series of flashbacks the reader learns, more or less
chronologically, about Miss Brodie and her pupils from the girls’ first year at
school through to Miss Brodie’s loss of her post and her death.

It is not the frequent flashbacks that are unusual in this narrative but
the constant and iterative flashforwards referring the reader again and again to
what would happen later, undermining conventional expectations about
suspense. There is, for instance, Mary MacGregor, who is the most stupid
member of the Brodie set and who is always blamed for anything that goes
wrong. Very early on (in chapter two) the reader is told how Mary will die in a
hotel fire at the age of 22. Later references to Mary and her life during her
school days are frequently coupled with references to Mary’s death in the fire
(iterative telling) and thus put Mary’s misery as the stupid member of the
Brodie set in constant relation to her early and horrible death as well as the
other girls’ guilt after her death for not having been nicer to her. The reader is
thus constantly forced to judge each event in relation to future developments.
This is unusual in the sense that it is not a perspective that is available to us in
reality – we do not know the future. On the other hand, a constant reminder
that judgments and behaviour will look different with hindsight is a kind of
moral narrator comment, created entirely through the use of discourse time,
which might suggest to readers a different view on their own reality.
2.9. Types of Prose Fiction

Key terms:
The following definitions are based on Barnet/Berman/Burto 1964, Cuddon • novel
1998, Hawthorn 1986, Fowler 1987. • epistolary novel
• picaresque novel
• historical novel
The novel can be defined as an extended work of prose fiction. It derives from • gothic novel
the Italian novella (“little new thing”), which was a short piece of prose. The • social novel
novel has become an increasingly popular form of fiction since the early • bildungsroman
eighteenth century, though prose narratives were written long before then. The • metafiction
term denotes a prose narrative about characters and their actions in what is • romance
• short story
recognisably everyday life. This differentiates it from its immediate • science fiction
predecessor, the romance, which describes unrealistic adventures of
supernatural heroes. The novel has developed various sub-genres:
In the epistolary novel the narrative is conveyed entirely by an exchange of

letters. (e.g. Samuel Richardson, Pamela.)
A picaresque novel is an early form of the novel, some call it a precursor of

the novel. It presents the adventures of a lighthearted rascal (pícaro=rogue). It
is usually episodic in structure, the episodes often arranged as a journey. The
narrative focuses on one character who has to deal with tyrannical masters and
unlucky fates but who usually manages to escape these miserable situations by
using her/his wit. The form of the picaresque narrative emerged in sixteenth-
century Spain. Examples are: Cervantes, Don Quixote; and in the English
tradition: Thomas Nash, The Unfortunate Traveler; Mark Twain, The Adventures of
Hucklebery Finn, Daniel Defoe, Moll Flanders.
The historical novel takes its setting and some of the (chief) characters and
events from history. It develops these elements with attention to the known
facts and makes the historical events and issues important to the central
narrative. (e.g. Walter Scott, Ivanhoe; Charles Dickens, A Tale of Two Cities)

The bildungsroman (novel of education) is a type of novel originating in
Germany which presents the development of a character mostly from
childhood to maturity. This process typically contains conflicts and struggles,
which are ideally overcome in the end so that the protagonist can become a
valid and valuable member of society. Examples are J.W. Goethe, Wilhelm
Meister; Henry Fielding, Tom Jones; Charles Dickens, David Copperfield; James
Joyce, A Portrait of the Artist as a Young Man.
The gothic novel became very popular from the second half of the eighteenth
century onwards. With the aim to evoke chilling terror by exploiting mystery
and a variety of horrors, the gothic novel is usually set in desolate landscapes,
ruined abbeys, or medieval castles with dungeons, winding staircases and
sliding panels. Heroes and heroines find themselves in gloomy atmospheres
where they are confronted with supernatural forces, demonic powers and
wicked tyrants. Examples are Horace Walpole, The Castle of Otranto; Ann
Radcliffe, Mysteries of Udolpho; William Faulkner, Absalom! Absalom!
The social novel, also called industrial novel or Condition of England

novel, became particularly popular between 1830 and 1850 and is associated
with the development of nineteenth-century realism. As its name indicates, the
social novel gives a portrait of society, especially of lower parts of society,
dealing with and criticising the living conditions created by industrial
development or by a particular legal situation (the poor laws for instance).
Well-known examples are: Elizabeth Gaskell, Mary Barton; Charles Dickens,
Oliver Twist; Benjamin Disraeli, Sybil and Charles Kingsley, Alton Locke.
Science fiction is a type of prose narrative of varying length, from short-story

to novel. Its topics include quests for other worlds, the influence of alien
beings on Earth or alternate realities; they can be utopian, dystopian or set in
the past. Common to all types of science fiction is the interest in scientific
change and development and concern for social, climatic, geological or
ecological change (e.g. Mary Shelley, Frankenstein; H.G. Wells, The Time Machine;
Aldous Huxley, Brave New World; George Orwell, 1984; Anthony Burgess, A
Clockwork Orange).
Metafiction is a term given to fictional writing which self-consciously and

systematically draws attention to its status as an artefact in order to pose
questions about the relationship between fiction and reality. It concentrates on
the phenomenological characteristics of fiction, and investigates into the
quintessential nature of literary art by reflecting the process of narrating. (e.g.
Laurence Sterne, The Life and Opinons of Tristram Shandy, Gentleman; John Fowles,
The French Lieutenant’s Woman; Doris Lessing, The Golden Notebook)
A romance is a fictional narrative in prose or verse that represents a chivalric

theme or relates improbable adventures of idealised characters in some remote
or enchanted setting. It typically deploys monodimensional or static characters
who are sharply discriminated as heroes or villains, masters or victims. The
protagonist is often solitary and isolated from a social context, the plot
emphasises adventure, and is often cast in the form of a quest for an ideal or
the pursuit of an enemy. Examples: Anonymous, Sir Gawain and the Green
Knight; Sir Philip Sidney, Arcadia; Percy B. Shelley, Queen Mab; Nathaniel
Hawthorn, The House of the Seven Gables.

A short-story is a piece of prose fiction marked by relative shortness and
density, organised into a plot and with some kind of dénouement at the end.
The plot may be comic, tragic, romantic, or satiric. It may be written in the
mode of fantasy, realism or naturalism.

Bibliography: Prose
Primary Sources:
Ackroyd, Peter. 1993 [1989]. First Light. Harmondsworth: Penguin.

Adams, Douglas. 1979. The Hitch Hiker’s Guide to the Galaxy. London: Pan
Books.
Austen, Jane. 1994 [1811]. Sense and Sensibility. Harmondsworth: Penguin.
Austen, Jane. 1994 [1813]. Pride and Prejudice. Harmondworth: Penguin.
Bradbury, Malcolm. 1989 [1975]. The History Man: A Classic Satire of University
Life. London: Arena.
Brontë, Anne. 1993 [1848]. The Tenant of Wildfell Hall. Ed. Herbert
Rosengarten. Oxford, New York: OUP.
Brontë, Charlotte. 1966 [1847]. Jane Eyre. Ed. Q.D. Leavis. Harmondsworth:
Penguin.
Buchan, John. 1937 [1935] The House of the Four Winds. London: Thomas
Nelson.
Bunyan, John. 1998 [1678]. Pilgrim’s Progress. London: Penguin.
Burnett, Frances Hodgson. Little Lord Fauntleroy. 1993 [1886]. Oxford: Oxford
University Press.
Childers, Erskine. 1995 [1903]. The Riddle of the Sands: A Record of Secret Service.
Harmondsworth: Penguin.
Christie, Agatha. 1993 [1926]. The Murder of Roger Ackroyd. London:
HarperCollins.
Collins, William Wilkie. 1982 [1868]. The Moonstone. Oxford: Oxford University
Press.
Conrad, Joseph. 1973 [1902]. Heart of Darkness. Ed. Paul O’Prey.
Conrad, Joseph. 1984 [1904]. Nostromo: A Tale of the Seaboard. Oxford: Oxford
University Press.
Defoe, Daniel. 1989 [1722]. Moll Flanders. Harmondsworth: Penguin.
Dickens, Charles. 1981 [1848]. Dombey and Son. Harmondsworth: Penguin.
Dickens, Charles. 1986 [1859]. A Tale of Two Cities. Harmondsworth: Penguin.
Dickens, Charles. 1993 [1837]. Pickwick Papers. Ware: Wordsworth.
Dickens, Charles. Bleak House. 1994 [1852-3]. Harmondsworth: Penguin.
Dickens, Charles. David Copperfield. 1985 [1849-50]. Ed. Trevor Blount.
Dickens, Charles. 1969 [1854]. Hard Times: For these Times. Harmondsworth:
Penguin.
Eliot, George. Middlemarch. 1990 [1872]. Ed. David Carroll. Oxford: Oxford
University Press.
Faulkner, William. 1985 [1929]. The Sound and the Fury. Harmondsworth:
Penguin.
Fielding, Henry. 1985 [1749]. Tom Jones. London: Penguin.
Ford, Ford Maddox. 1946 [1915]. The Good Soldier: A Tale of Passion.
Forster, E.M. A Room with a View. 1990 [1908]. Ed. Oliver Strallybras.
Gaskell, Elizabeth. 1994 [1853]. Cranford. Harmondsworth: Penguin.
Hardy, Thomas. Jude the Obscure. 1985 [1896]. Harmondsworth: Penguin.
Hemingway, Ernest. “The Doctor and the Doctor’s Wife.” In: The Snows of
Kilimanjaro and Other Stories. 1977. London: TriadGrafton. 43-47.

Hemingway, Ernest. “The Snows of Kilimanjaro.” In: The Snows of Kilimanjaro
and Other Stories. 1977. London: TriadGrafton. 7-30.
Hope, Anthony. 1994. [1894]. The Prisoner of Zenda. Harmondsworth: Penguin.
James, Henry. 1993 [1898]. The Turn of the Screw and The Aspern Papers. Ware:
Wordsworth.
Joyce, James. 2000 [1922]. Ulysses. Harmondsworth: Penguin.
Joyce, James. A Portrait of the Artist as a Young Man. 1988 [1916]. London:
Paladin.
Lennox, Charlotte. 1989 [1752]. The Female Quixote. Oxford, New York: OUP.
Munro, Hector Hugh. “Sredni Vashtar.” In: The Complete Stories of Saki. 1993.
Hertfordshire: Wordsworth. 99-102.
Orwell, George. Animal Farm. 1989 [1945]. Harmondsworth: Penguin.
75
Rowling, J.K. 2000. Harry Potter and the Goblet of Fire. London: Bloomsbury.
Rowling, J.K. 1998. Harry Potter and the Chamber of Secrets. London: Bloomsbury.
Scott, Walter. 1995 [1817]. Rob Roy.London: Penguin.
Spark, Muriel. 1961. The Prime of Miss Jean Brodie. London: Macmillan.
Sterne, Laurence. 1992 [1759-67]. The Life and Opinions of Tristam Shandy,
Gentleman. Ed. Ian Campbell Ross. Oxford: Oxford University Press.
Swift, Jonathan. 1941. Gulliver’s Travels, The Tale of a Tub, Battle of the Book.
Oxford: Oxford University Press.
Thackeray, William. 1992 [1848]. Vanity Fair. Hertfordshire: Wordsworth.
Tolkien, J.R.R. 1991 [1954]. The Lord of the Rings.London: HarperCollins
Wilde, Oscar. 1986 [1891]. The Picture of Dorian Gray. Harmondsworth: Penguin.
Woolf, Virginia. 1992 [1925]. Mrs Dalloway. Ed. Claire Tomalin. Oxford: OUP.
Woolf, Virginia. 1983 [1933]. Flush: A Biography. London: Hogarth.
Secondary sources:
Aristotle. 1953. Poetics; Longinus On the Sublime; Demetrius On Style. Trans. W.

Hamilton Fyfe. London: Heinemann.
Barnet, Sylvan, Morton Berman and William Burto. 1964. A Dictionary of
Literary Terms. London: Constable.
Bonheim, Helmut. 1982. The Narrative Modes: Techniques of the Short-Story.
Cambridge: Brewer.
Bonheim, Helmut. 1990. Literary Systematics. Cambridge: Brewer. 1990.
Brooks, Cleanth and Robert Penn Warren. 1943. Understanding Fiction. New
York: Appleton-Century-Crofts.
Burgess, Anthony. 1973. Joysprick: An Introduction to the Language of James Joyce.
London: Deutsch.
Chatman, Seymour. 1978. Story and Discourse: Narrative Structure in Fiction and
Film. Ithaca : Cornell University Press.
Cohn, Dorrit. 1978. Transparent Minds: Narrative Modes for Presenting Consciousness
in Fiction. Princeton: Princeton University Press.
Cuddon, J. A. 1998. A Dictionary of Literary Terms and Literary Theory. ed. Oxford:
Blackwell.
Fabian, Bernhard, (ed.). 1998. Ein anglistischer Grundkurs: Einführung in die
Literaturwissenschaft Berlin: Erich Schmidt.
Fielitz, Sonja. 2001. Roman: Text & Kontext. Berlin: Cornelsen.
Forster, E.M. 1927. Aspects of the Novel. London: Edward Arnold.
Fowler, Roger, ed. 1987. A Dictionary of Modern Critical Terms: Revised and
Enlarged Editon. 2nd rev. ed. London: Routledge.
Fricke, Harald and Rüdiger Zymner. 1996. Einübung in die Literaturwissenschaft.
Paderborn: Schöningh.
Genette, Gérard. 1980. Narrative Discourse. Trans. Jane E. Lewin. Oxford:
Blackwell.
Hamburger, Käte. 1973. The Logic of Literature. Trans. Marilynn J. Rose.
Bloomington: Indiana University Press.
Hawthorn, Jeremy. 1986. Studying the Novel: An Introduction. Rep. London:
Edward Arnold.
Jahn, Manfred. 2002. Poems, Plays, and Prose: A Guide to the Theory of Literary
Genres. http://www.uni-koeln.de/~ame02/ppp.htm
James, Henry. 1948. The Art of Fiction and Other Essays. New York: Oxford
University Press.
James, William. 1892. Psychology. London: Macmillan.
Korte, Barbara. 1985.“Tiefen- und Oberflächenstrukturen in der Narrativik.”
Literatur in Wissenschaft und Unterricht 18 (1985): 331-352.
Lotman, Jurij M. 1972. Die Struktur literarischer Texte. München: Fink.
McGann, Jerome.1991. The Textual Condition. Princeton: University Press.
Nischik, Reingard M. 1981. Einsträngigkeit und Mehrsträngigkeit der
Handlungsführung in literarischen Texten: Dargestellt insbesondere an englischen,
amerikanischen und kanadischen Romanen des 20. Jahrhunderts. Tübingen:
Narr.
Nischik, Reingard M. 1991. Mentalstilistik: Ein Beitrag zur Stiltheorie und
Narrativik: Dargestellt am Erzählwerk Margret Atwoods. Tübingen: Narr.
Nünning, Ansgar, et al. (eds). Unreliable Narration: Studien zur Theorie und Praxis
unglaubwürdigen Erzählens in der englischsprachigen Erzählliteratur. Trier:
WVT.
Pascal, Roy. 1977. The Dual Voice: Free Indirect Speech and its Functioning in the
Nineteenth-century European Novel. Manchester: MUP.
Pfister, Manfred. 1988. Das Drama: Theorie und Analyse. München: Fink.
Rimmon-Kenan, Shlomith. 1983. Narrative Fiction: Contemporary Poetics. London:
Routledge.
Schneider, Ralf. 2000. Grundriß zur kognitiven Theorie der Figurenrezeption am
Beispiel des viktorianischen Romans. Tübingen: Stauffenburg.
Stanzel, Franz K. 1984. A Theory of Narrative. Trans. Charlotte Goedsche.
Cambridge: Cambridge University Press.
Wenzel, Peter. 1998. “Der Text und seine Analyse.” In Fabian (ed.). Ein
anglistischer Grundkurs. 149-203.

Prose

Uploaded by

Copyright:

Available Formats

Prose

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Prose

Uploaded by

Copyright:

Available Formats

STEFANIE LETHBRIDGE AND JARMILA MILDORF:

Basics of English Studies:

2.1. Story and Discourse ............................................................................ 42

Basics of English Studies, Version 03/04, Prose 40

Bibliography: Prose ..................................................................................... 85

Basics of English Studies, Version 03/04, Prose 41

2.1. Story and Discourse

story (What is told?)

discourse (How is it told?)

For analysis, these two levels need to be further subdivided.

Basics of English Studies, Version 03/04, Prose 42

Discourse is the category that comprises various elements of transmission.

narrative voices (who speaks?)

focalisation (who sees?)

Each of these elements will be explained in detail under their respective

2.2. Story and Plot Key terms:

Basics of English Studies, Version 03/04, Prose 43

The crocodile eats breakfast.

The house has blue shutters.

A sequence of events and actions involving characters. ‘Events’

The king died and then the queen died (story).

girl marries young – husband treats her badly – husband dies –

Basics of English Studies, Version 03/04, Prose 44

Basics of English Studies, Version 03/04, Prose 45

The concept of plot is particularly useful to distinguish between tightly and

Basics of English Studies, Version 03/04, Prose 46

2.3.2. Fictional Space and Real Space

In narrative, unlike in drama, film or picture stories, space has to be presented

2.3.3. Space and Meaning

Basics of English Studies, Version 03/04, Prose 47

Like as he is to look at, so is his apartment in the dusk of the present

Basics of English Studies, Version 03/04, Prose 48

The most obvious technique of characterisation is when someone (in the

Emma Woodhouse, handsome, clever, rich, with a comfortable home

A character is sometimes also characterised explicitly through a telling name,

2.4.1.2. Characterisation by Narrator or Character

Characters can be described, implicitly as well as explicitly, either by the

Basics of English Studies, Version 03/04, Prose 49

I am indebted to my dear parents (both now in heaven) for having had

A little further, Miss Clack characterises herself as:

[...] one long accustomed to arouse, convince, prepare, enlighten, and

With these self-descriptions Miss Clack characterises herself explicitly as a

2.4.1.3. Block Characterisation

We can be given crucial information all at once about a character in a block

Thomas Gradgrind, sir. A man of realities. A man of fact and

Basics of English Studies, Version 03/04, Prose 50

Again, this characterisation, provided by the narrator, imparts information

2.4.1.5. Inner Life of Character

Depending on what sort of information is given about a character, readers will

Basics of English Studies, Version 03/04, Prose 51

2.4.1.6. Contrasts and Correspondences

2.4.1.7. Summary: Characterisation Techniques

2.4.2. Character Functions

For the purposes of analysis it is essential not simply to describe a character

Basics of English Studies, Version 03/04, Prose 52

2.4.3. Character Complexity and Development

Minor characters, not surprisingly, often remain mono-dimensional and/or

Basics of English Studies, Version 03/04, Prose 53

Basics of English Studies, Version 03/04, Prose 54