~ Discovering Other Worlds A Reader Oriented Analysis of Imaginary Worlds in Fantasy Literature
Approaching the end of my four years course of Literary Studies, choosing an appropriate subject for my final paper proved no easy matter. Although the literary field offers a great number of interesting study subjects, it often seems that there is only little material which has not been studied before. Every researcher tries to contribute knowledge to the field, either by exploring new territories of research or by using new theories on existing material. It amounts to the same thing: if one wants to draw attention to one’s work, one must have something interesting and original to say. As such, while considering a broad range of interesting subjects, I deliberately set aside any areas of study which appeared to have already exhaustively been studied.
Another thing I needed to consider, was that I would prefer it if the subject I was to study would connect to my own personal interests. This way the act of doing research would be more satisfying, and I could conduct my research with greater enthusiasm. Because of these two considerations, I have decided to focus my research on the study of fantasy literature. As this type of literature has been rather neglected in Literary Studies (more will be said about that in the Introduction) it would possibly give me the opportunity to say something new and interesting. Also, I have always loved to read fantasy novels. Writing an essay about this genre of literature is certainly no unpleasant task for me.
This essay has been written in English, even though I am no native speaker. Still I have chosen for this language on grounds of academic convention, and because the fantasy community seems to have a preference for using this language. This is perhaps connected to the fact that many works of fantasy are written in English. Being no native speaker however, it is only my only hope that possible linguistic faults on my part will not discourage the interested reader. So far my motives for studying fantasy literature, or more precisely: the imaginary worlds of fantasy literature. The rest of this essay will focus upon the remarkable phenomenon of being drawn into a wholly imaginary world.
1. Introduction
It is unfortunate that scholars involved in Literary Studies have never really been interested in studying fantasy literature (with only few notable exceptions). One can identify three reasons for this: 1. Defining fantasy literature is a difficult process. Even today the discussion is ongoing about whether ‘fantasy’ is a characteristic that can be found in different types of literature, or a full-blown literary genre. And if it is a literary genre, how can it be defined? 2. Some scholars believe that studying fantasy literature produces no new results. This belief is based upon the great number of similarities that works of fantasy literature display among themselves. Because many works of fantasy literature adhere to a certain formula, some scholars believe that individual texts contain not enough innovative or original material worth studying. 3. Since the beginning of the nineteenth century, fantasy literature has become rather underrated. Literature itself was (and still is) having a hard time defending its merit to a society focused on progress, and fantasy literature even more so. It is a widespread opinion that fantasy literature is formulaic, frivolous and childish. Together these reasons have resulted in the neglect of fantasy literature within the field of Literary Studies. 1
In response to these arguments, it should be said that problematic definitions have never kept researchers from a topic before. Quite on the contrary, problematic definitions are often the source of interesting literary debates. Furthermore, there are as many elements of interest that can be studied in fantasy literature as in any other kind of literature. Even though fantasy literature consists of works which display great similarities, each individual text is different and can prove to be interesting study material. In response to the argument of fantasy literature being childish: yes, there is a relatively large amount of fantasy literature which is meant for children, but this is just one type of fantasy literature. There are also works of fantasy that contain elements of domination, eroticism, evil, suffering and war. These are hardly topics fit for children. Moreover, a great amount of fantasy literature is highly complex and experimental. These types of literature are highly unconventional and not formulaic at all. So after some consideration, it would be safe to state that literature scholars should not be reluctant to study fantasy literature.
What makes fantasy literature so interesting to study? The answer to that question is: by studying fantasy literature one can learn something about human nature. Fantasy (imagination) is partly what makes us all human. A person is able to understand the world by envisioning relations between different aspects of life and by attributing meaning to these. Through the use of imagination one can envision these relationships and meanings. Imagination helps us to change the world. For changing the world (for the better or worse) begins with imagining a different world. Fantasy literature presents us with many different worlds, some appearing to be like the real world, some completely different. By reading fantasy literature a person can enter these other worlds, take a look around, enjoy them, and maybe learn something that can be used for the better. Which leads to the question this essay will try to answer: how does fantasy literature involve the reader in an imaginary world?
This essay draws upon a carefully assembled corpus of primary and secondary texts. The theory in this essay is mainly derived from a branch of literary studies called narratology. Narrative Fiction by Schlomith Rimmon-Kenan’s is used as a key text for accessing this theory. This essay pays special attention to the immersion and interaction theories that are set forth in Mary-Laure Ryan’s Narrative as Virtual Reality. This essay also makes extensive use of the theory about the implied reader, which Wolfgang Iser put forth in his well-known work, The Act of Reading. The rest of the theoretical corpus used here, is made up from a variety of theoretical texts about fantasy literature in general. Of these texts, this essay derives most from Brian M. Stableford’s Historical Dictionary of Fantasy Literature.
The reader, who might be interested in reading this essay, may or may not have read a great number of works of fantasy literature. A reader who is inexperienced with reading fantasy literature might easily be overwhelmed by a great amount of references to various works of fantasy literature. Also, too many references to other texts might divert the attention from the main text. Therefore this essay limits itself to analysing and quoting works of only five fantasy writers. These writers (and their works that are discussed in this essay) are: Robert Jordan (The Eye of the World and Crossroads of Twilight), Ursula K. Le Guin (A Wizard of Earthsea), C. S. Lewis (The Lion, the Witch and the Wardrobe and The Last Battle), J. K. Rowling (Harry Potter and the Philosopher's Stone) and J. R. R. Tolkien (The Lord of the Rings: The Trilogy). The selected works all feature highly imaginary fantasy worlds and represent different subgenres of fantasy literature. The selected works are also quite renowned, so any reader might recognize them. This list is far from exhaustive, therefore this essay necessarily contains a few references to other works of (fantasy) literature. The more experienced reader of fantasy literature can compare his/her own knowledge about different works of fantasy literature with the various claims made in this essay.
Chapter 2 begins with defining fantasy literature and explains the various definitions and theories that will be used further on in this essay. Chapter 3 treats the effect of focalisation in the text upon the reader, in relation to the concepts of immersion and interaction. Chapter 4 studies different characteristics that explain why the reader might feel urged to continue reading without stop, and how this is connected with the feeling of ‘being drawn into a text.’ Chapter 5 examines how the text facilitates the transportation of the reader into the imaginary world through the use of familiarisation. Chapter 6 provides a closer look at the relation of the imaginary world to that of the real world, and the reasons why the reader might want to enter an imaginary world. Chapter 7, Conclusion, summarizes the results of all chapters and tries to answer the main question of this study. It also suggests some related areas which can be further studied.
2. Definitions and Theory
This chapter begins with defining fantasy and fantasy literature. After that it discusses the differences between various subgenres of fantasy literature. It also outlines the various theories and concepts that will be used in this essay.
2.1 Defining ‘Fantasy’
‘Fantasy’ is a faculty of the mind, also called ‘imagination.’ When one speaks about ‘fantasy literature,’ one speaks of a type of literature opposed to realism, a “literature of the impossible.”2 That type of literature contains beings, objects, events or worlds which cannot be real; which are impossible. The discussion about how that kind of literature must be defined is an ongoing process. Some scholars (have) suggest(ed) that it would be better to understand ‘fantasy’ as a characteristic instead of a separate literary genre. This characteristic is called ‘the fantastic’3 and has been studied in particular before the second half of the twentieth century. However, around 1940-1950, a different kind of literary work containing fantastic elements has emerged. This kind of literature, to which J. R. R. Tolkien’s The Lord of the Rings also belongs, has its story set in an imaginary world that is unlike the real (historic) world. The theory of the fantastic does not suffice for studying these literary works. The theory of the fantastic studies wondrous, unexplainable elements that occur in a literary version of the real world. But the fantastic elements in this new kind of literature can be explained through the imaginary world in which the story takes place.
Many scholars now support the suggestion that ‘fantasy literature’ is a distinctive literary genre. A literary work containing fantastic elements does not necessarily belong to fantasy literature; it can also belong to the genre of magic realism.4 A work containing fantastic elements only belongs to fantasy literature when the story takes place in a imaginary world. But scholars have not reached a consensus yet about the definition of ‘fantasy literature’ as a genre. This definition must be very precise and completely unambiguous in determining whether a literary work belongs to fantasy literature or not. For instance, a definition which says that fantasy literature contains “impossible elements” is too broad and subjective. What is considered impossible by some people, is believed to be the truth by others. This is especially the case with religious texts like the Koran or the Bible. Therefore a definition must very precise. A more developed notion of fantasy literature can be found in the essay “On the Nature of Fantasy” by C. N. Manlove:
[A fantasy is] A fiction evoking wonder and containing a substantial and irreducible element of supernatural or impossible worlds, beings or objects with which the mortal characters in the story or the readers become on at least partly familiar terms.”5
Many studies use Manlove’s definition of fantasy literature, yet other scholars offer their own definition. Brian Stableford also uses a version of Manlove’s definition in his “Introduction” to the Historical Dictionary of Fantasy Literature. But some concepts in Manlove’s definition seem rather vague, like ‘evoking wonder’ and ‘partly familiar terms.’ Moreover, this definition is still too broad, encompassing texts like Beowulf, the Bible, myths from ancient Greece, old Latin texts, medieval fables, etc... A good definition should clearly distinguish fantasy literature from other types of literature. This essay supplies its own definition of fantasy literature based upon the one by Manlove. Though it is not the definition of fantasy literature, it is somewhat more precise than the original definition by Manlove.
Fantasy literature is literature that:
1. contains magical, mythical or supernatural beings, elements, events or worlds that play a major and decisive part in the story;
2. contains beings, elements, events or worlds of which both the writer and reader were/are consciously aware of their imaginary existence;
3. refers to at least one secondary (imaginary) world besides the primary (real) world. A reference to the primary world is not required though.
This definition excludes religious and spiritual texts since the writer and the religious readers believe in the sincerity of the content of these texts. It also excludes a wide array of stories texts that contain inexplicable (supernatural or miraculous) events but which only takes place in the primary world, like ghost stories.
A further comment is necessary to clarify what is meant with “refers to at least one secondary (imaginary) world besides the primary (real) world.” ‘Primary’ and ‘secondary world’ are concepts derived from J. R. R. Tolkien’s essay “On Fairy-Stories.”6 Whereas the primary world is the real world, the secondary world is an imaginary world created by an author. Fantasy literature distinguishes itself from other types of literature because its story takes (either partly or mainly) place in a secondary, imaginary, world. An example of such a world is the land of Narnia, from C. S. Lewis’ The Lion, the Witch and the Wardrobe. The protagonists enter this land by stepping through a wardrobe in the primary world, namely England during WWII.
“This is the land of Narnia,” said the Faun, “where we are now; all that lies between the lamppost and the great castle of Cair Paravel on the eastern sea. And you – you have come from the Wild Woods of the West?”
”I – I got in through the wardrobe in the spare room,” said Lucy. 7
Fantasy literature can also refer to a world within the primary world. In Harry Potter and the Philosopher’s Stone J. K. Rowling created a ‘wizard world’ which is located within the primary world, yet is also hidden and to some extent isolated from it. But sometimes distinctive elements from the wizard world enter the primary world:
Mr Dursley sat frozen in his armchair. Shooting stars all over Britain. Owls flying by daylight? Mysterious people in cloaks all over the place? And a whisper, a whisper about the Potters ...8
The definition of fantasy literature used in this essay separates it from horror fiction and science fiction. Science fiction usually does not contain magical, mythical or supernatural elements. (However, the greatly advanced science in science fiction, and magic in fantasy literature, seems to fulfil similar functions.) But a literary work can belong to both fantasy literature and science fiction. For example, George Lucas’ famous Star Wars books and movies seem to belong to science fiction. But the Star Wars universe also contains the supernatural ‘Force,’ and because of this it also belongs to fantasy (literature). Horror fiction doesn’t belong to fantasy literature when its story only takes place in the primary world. But it is not impossible for a literary work to contain characteristics of both horror fiction and fantasy literature.
2.2 Fantasy Subgenres
One must not ignore the many differences which exist between different works belonging to fantasy literature. To deal with this diversity, there exist various subgenres within the greater genre of fantasy literature. A subgenre is not exclusive; a certain text can belong to more than one subgenre. This essay derives its definitions of the different subgenres from Brian Stableford’s Historical Dictionary of Fantasy Literature. It is possible that certain methods/structures that enable the reader to enter the imaginary world are characteristic for certain subgenres. Therefore this essay will pay particular attention to the subgenres.
One of the most well-read subgenres of fantasy is epic fantasy (also referred to as high fantasy). ‘Epic’ refers to the epic battle between good and evil which usually defines the story. Epic fantasy is often based on myths and legends. Works belonging to this subgenre are usually multivolume texts that contain much information about the imaginary world and its fictive history. The focus of these works lies more on the imaginary world than on any individual character. Robert Jordan’s Wheel of Time-series, beginning with The Eye of the World, is an example of this subgenre. Each individual work begins its story with a bird’s-eye view on the imaginary world:
Born below the ever cloud-capped peaks that gave the mountains their name, the wind blew east, out across the Sand Hills, once the shore of a great ocean, before the Breaking of the World. Down it flayed into the Two Rivers, into the tangled forest called the Westwood, and beat at two men walking with a cart and horse down the rock-strewn track called the Quarry Road.9
J. R. R. Tolkien’s The Lord of the Rings is another example of epic fantasy, though some might argue that it belongs to the subgenre heroic fantasy. Heroic fantasy has the same themes as epic fantasy, but pays less attention to the imaginary world. The focus in these works lies on the protagonists and their heroic deeds. An example is J. K. Rowling’s Harry Potter and the Philosopher’s Stone. The focus lies on the hero: Harry. This can be derived from the fact that every title in the Harry Potter-series starts with: “Harry Potter and [...]” The adventures of Harry are the focus of the story, not the wizard world in which these adventures take place.
Sword and sorcery (S & S) is a subgenre of the same type as epic and heroic fantasy. This subgenre is sometimes called low fantasy. While ‘high fantasy’ and ‘low fantasy’ can refer to the quantity of ‘fantasy elements’ in a literary work, they are often (wrongly) used for passing a value judgment. Works of S & S usually contain morally flawed protagonists who search for adventures and romances. The adventures tend to be related to the protagonist’s personal life. A work belonging to S & S is often part of a series of adventures. A famous example is Robert Howard’s Conan the Barbarian-series. No works of Sword & Sorcery will be used in this essay.
Together with epic fantasy and heroic fantasy, Sword & Sorcery completes the triangle that makes up the subgenre of commodified fantasy. Works belonging to commodified fantasy adhere, to a lesser or greater extent, to a formula. An example of such a formula is the use of established fantasy races like Elves, Dwarves and Orcs. Ursula Le Guin used the term ‘commodified fantasy’ to criticise these literary works:
Commodified fantasy takes no risks: it invents nothing, but imitates and trivialises. It proceeds by depriving the old stories of their intellectual and ethical complexity, turning their action to violence, their actors to dolls, and their truth-telling to sentimental platitude. Heroes brandish their swords, lasers, wands, as mechanically as combine harvesters, reaping profits. Profoundly disturbing moral choices are sanitized, made cute, made safe. The passionately conceived ideas of the great story-tellers are copied, stereotyped, reduced to toys, molded in bright-colored plastic, advertised, sold, broken, junked, replaceable, interchangeable.10
In this essay, commodified fantasy only refers to works that adhere to a formula. It is not used to demote some works of fantasy literature. Speculative fantasy is the counterpart of commodified fantasy. Works belonging to speculative fantasy experiment with new plot devices, concepts, characters, meanings or structures. An example is Ursula Le Guin’s A Wizard of Earthsea. The story of the protagonist Ged who confronts his own shadow is usually regarded as an allegory for embracing one’s dark side. Le Guin uses this story to experiment with the different layers of meaning within a literary work.
Works can also belong to a certain subgenre based upon the position of the secondary world(s) in the relation to the primary world. One of these subgenres is called portal fantasy. Works belonging to portal fantasy are characterised by a transition made by the protagonist(s) from the primary to the secondary world(s). An example of this subgenre is The Lion, the Witch and the Wardrobe by C. S. Lewis. The children, who are the protagonists, enter the land of Narnia through a wardrobe:
She [Lucy] immediately stepped into the wardrobe and got in among the coats and rubbed her face against them, leaving the door open, of course, because she knew that it is very foolish to shut oneself into any wardrobe. Soon she went further in and found that there was a second row of coats hanging up behind the first one. It was almost quite dark in there and she kept her arms stretched out in front of her so as no to bump her face into the back of the wardrobe. She took a step further in – then two or three steps – always expecting to feel woodwork against the tips of her fingers. But she could not feel it.11
Another subgenre based upon the position of the secondary world(s) is immersive fantasy. The story of a work belonging to this subgenre takes place in the secondary world(s) only. No part of the story takes place in the primary world. Ursula Le Guin’s Wizard of Earthsea and J. R. R. Tolkien’s The Lord of the Rings are two examples of this subgenre. Le Guin’s story takes place in Earthsea from the beginning to the end, and Tolkien’s story is set exclusively in the imaginary world of Middle-earth. These worlds are completely independent from the primary world. Immersive fantasy makes no reference in the story to the existence of the primary world.
The last subgenre to be discussed is intrusive fantasy. In this subgenre, the story takes place in the primary world where elements or events from the secondary world(s) ‘intrude.’ This essay doesn’t draw upon any works of intrusive fantasy, but some well-known examples are the TV-series Buffy the Vampire Slayer12 and Charmed.13 The Artemis Fowl-books by Eoin Colfer, which are quite popular with younger readers at the moment, also belong to intrusive fantasy. All fantasy literature belongs either to portal, immersive or intrusive fantasy. (See also paragraph 6.3.)
There are also subgenres that describe the theme of a literary work. Some examples of this are: animal fantasy, Arthurian fantasy, comic fantasy, erotic fantasy, dark fantasy, fairytale fantasy and historical fantasy. These will not be further discussed in this essay. These, and more, are extensively covered in Brian Stableford’s Historical Dictionary of Fantasy Literature. This essay doesn’t treat children’s fantasy as a separate subgenre. Typical for fantasy literature meant for young readers, is that children usually are the protagonists. But there seem to be no other characteristics that distinguish children’s fantasy from other subgenres. Nor does it seem, that every work of fantasy literature which features children as the protagonists, is meant solely for a young public. Because characteristics of children’s fantasy also appear in other subgenres, it is not regarded as a separate subgenre here.
2.3 The Implied Reader
Reader response theory (or reader response criticism) studies literature from the perspective of the reader. In the early years of Literary Studies, around 1920, it was standard to study a text for its authorial intent. Up till around 1940-1950 this was the most common approach to a literary work. Around that time however, something that is now called ‘New Criticism’ started to replace this theoretical stance. New Criticism is a way of studying literature that regards the text as autonomous and independent from the authorial intention. New Criticism studies the meaning of texts by using methods like close reading and comparing between different texts. Most students of literature still study texts in the tradition of the New Criticism.14
The first theorists who developed reader response criticism, began to do so around 1960-1970. Among them were some who have had great influence on the development of reader response theory, such as Norman Holland, Stanley Fish, Wolfgang Iser and Hans-Robert Jauss. In contrast to New Criticism, which views the text as a static structure, reader response theory sees literature as a performative art. The same way a song must be sung to be completed, literature only exists when it’s being read. The meaning of a text is therefore not situated within the text itself but in the interpretation of the reader. Consequently texts have no ‘fixed meaning.’ The text merely offers a framework which the reader uses to construct the meaning of the text.
One of the most prominent scholars of reader response theory is Wolfgang Iser. He belongs to the uniformist branch of reader response theory. Uniformists presume that the text guides the reader into certain responses, and that all readers have similar responses to the same text. Iser presupposes that a literary work consists of the sum of effects on the reader. The implied reader is used to explain these effects. The implied reader is a hypothetical reader. The implied reader can also be to study textual structures that invite a response from the reader. This essay uses the concept of the implied reader to study how the reader becomes involved in the imaginary world of fantasy literature. With “the reader” is meant the implied reader and not an actual reader. The implied reader is not a perfect reader, and the effects on an actual reader are not exactly the same as on the implied reader. But it is possible, through the use of the implied reader, to gain some understanding of the workings of a text.
2.4 Narratology
This essay makes extensive use of Schlomith Rimmon-Kenan’s Narrative Fiction. Her study is a useful guide to different approaches within narratology. Narratology is the study of narrative structures. According to Rimmon-Kenan, a narrative fiction is: “[…] the narration of a succession of fictional events.”9 Some narratological concepts will be used in this essay, for example that of focalisation.
The events of the story are presented through some sort of ‘perspective’ or ‘angle of vision.’ Rimmon-Kenan calls this focalisation. Focalisation answers the question of “Who sees?” while narration concerns itself with the question “Who speaks?” The means through which the reader sees the events of the story, is called the focalizer. When the focalisation and narration (“Who speaks?”) are combined, the subject through which the story is told/seen is called a focalizer-narrator. But often the narrator and the focalizer are not the same. Focalisation can be either internal or external to the story. The focalisation is external when there is a focalizer-narrator. While a narrator usually remains the same during the whole of the story, it is not unusual for the focalisation to shift between different focalizers.
There are different types of narrator and different levels of narration.15 There is always a narrator in narrative fiction, even though his/her presence is sometimes difficult to detect. The narrator is always outside or ‘above’ the story. This level is called the extradiegetic level (the originally Greek word “diegesis” is roughly analogous to “story”). The level of the story itself is called the diegetic level. A story-inside-a-story is on a hypodiegetic level, meaning roughly ‘below the level of the story’. The level below that is called the hypo-hypodiegetic level, and so on. Rimmon-Kenan further explains that:
A narrator who is, as it were, ‘above’ or superior to the story he narrates is ‘extradiegetic’, like the level of which he is part […]. On the other hand, if the narrator is also a diegetic character in the first narrative told by the extradiegetic narrator, then he is a second-degree, or intradiegetic narrator. There can also be narrators of a third degree (i.e. hypodiegetic), fourth degree (hypo-hypodiegetic), etc.16
A narrator which tells a story in which he/she takes part is called a homodiegetic narrator. A heterodiegetic narrator on the other hand does not take any part in the story he/she narrates. A character which tells a story is called a character-narrator.
The concepts of focalisation and narration are very important in the upcoming chapter, namely chapter 3, “Positions and Perspectives.” Rimmon-Kenan also offers further information on gaps, characterisation and speech representation. These will briefly be discussed further on in this essay.
2.5 Immersion and Interaction
Immersion and interaction are two related concepts, but they are very different as regards to content. Immersion is the feeling of being in an imaginary world. Interaction is a term that is often used in connection to games, to describe the freedom of the gamer to make choices that influence the game/story. But a text can offer the reader interaction as well, by providing different meanings for the reader to interpret.
The involvement of the reader in the imaginary world entails both immersion and interaction. Ryan uses both terms in relation to virtual reality:
It is because they can act upon the virtual world, and because this world reacts to their input [= interactivity] that users acquire a sense of its presence. [...] But we could not feel immersed in a world without a sense of the presence of the objects that furnish it, and objects could not be present to us if they weren’t part of the same space as our bodies. This approach means that the factors that determine a system’s degree of interactivity, also contribute to its performance as immersive system.18
As Ryan points out, immersion and interaction are interdependent. What Ryan says about virtual reality is also valid in relation to imaginary story worlds. In a textual context, immersion and interaction are effects of the text on the reader. (This essay uses Wolfgang Iser’s theory about the implied reader to study these effects.) The story world is substantial because the reader can interact with it. The reader can only immerse in a world that is substantial, but he/she can only interact with a story world if he/she is already immersed in that world. ‘Substantial’ means that while reading, the story world exists in its own right, even though that world is not ‘real.’
This essay studies how the text involves the reader in its imaginary world. But what is meant with involvement? Involvement is a personal experience, yet one which every reader can attain. It is the feeling of being ‘present’ in the story world. To use Ryan’s terminology: the reader projects a virtual self into the world of the text. Because involvement is a personal experience, different readers can attain different levels and kinds of involvement. While one reader literally forgets the real world around him/her, another remains consciously aware of the fictive quality of the elements in the imaginary world. Involvement consists both of immersion and interaction, but is can also be seen as a higher level of immersion.
Immersion is connected to visualisation. Visualisation is the activity of forming mental images, based upon written description for example. These mental images come without effort when the reader is immersed. Immersion is also a personal experience, which means different readers can attain different levels of immersion. The difference between immersion and involvement is similar to the distinction Tolkien makes between the ‘willing suspension of disbelief’19 and ‘Secondary Belief:’
He [the story-maker] makes a Secondary World which your mind can enter. Inside it, what he relates is “true”: it accords with the laws of that world. You therefore believe it, while you are, as it were, inside. The moment disbelief arises, the spell is broken; the magic, or rather art, has failed. […] If you are obliged […] to stay, then disbelief must be suspended (or stifled), otherwise listening and looking would become intolerable. But this suspension of disbelief is a substitute for the genuine thing, […] the enchanted state: Secondary Belief.20
Immersion results when the reader ‘plays along’ and pretends to believe that magical, mythical or supernatural beings, elements, events and worlds exist. Immersion is produced by a conscious (though not necessarily great) effort on the part of the reader. But when the reader is involved in the imaginary world of the story, he/she doesn’t have to remind himself/herself to keep up the pretence. Even though the reader is still aware that he/she is reading a book, another part of the reader’s mind has entered the story world. The main difference between immersion and involvement however is this: When the reader is involved in the text, he/she is also engaged with its interpretation and relating the story (world) to himself/herself. When the reader is immersed in the text however, he/she lets himself/herself be lead around by the text. With immersion the text guides the reader, while with involvement the reader is in dialogue with the text.
Involvement also results from interaction. The term ‘inter-action’ suggests that not only the reader, but also the text itself is ‘active.’ Though text itself is a static, fixed medium, this changes when text is being read. Reading is a personal experience, even though the text guides the reader into an array of limited responses. No two readers have exactly the same reading experience. The reason for this is that the reader is offered the freedom to interpret the text in his /her own way. When referring to the ‘activity’ of text, the kind of activity that is meant here, is the text ‘yielding’ its meaning to the reader’s interpretation.
Gaps are one example of how a text forces the reader to puzzle or guess (see paragraph 4.1). Puzzling and guessing are two forms of interpretation. Suspense in a story makes the reader anxious to anticipate what is going to happen next in the story. This anticipation is a prediction, based upon interpreting past events and different characteristics of the story. The reader can ‘see’ the imaginary world of a text through immersion, but through interactivity he/she can relate to it, because this world is constructed through the reader’s interpretation. Because immersion and interactivity form different ways in which the reader is connected to the imaginary world of a text, they are both required for causing involvement. The next chapters discuss the means by which the text creates immersion and interactivity.
3. Positions and Perspectives
The view which a text offers the reader, either internal or external to the story, might to have an effect on the immersion and the interaction of the reader with the text. Therefore this chapter looks at different kinds of focalisation.
3.1 The Character-Focalizer
Fantasy literature is known for making use of archetypical21 and clichéd characters. Examples of this are ‘the wise old man’ and ‘the wise mother.’ It is not unusual for the wise old man in fantasy literature to be a wizard, take for example the characters of Dumbledore,22 Gandalf23 and Merlin. These wise ones often fulfil the function of ‘guide’ or ‘teacher’. Frequently they possess the necessary knowledge to complete the hero’s mission. Other characters can be teachers (and taught) as well, even when they also fulfil other functions in the story. When a teacher provides another character with information, the reader finds that his/her position has shifted to converge with the position of that character (usually the protagonist). This character becomes the focalizer through which the reader ‘sees’ the story. And when the text provides information to this character, the reader is being ‘taught’ as well.
‘Teaching the hero’ is a strategy for imparting information to the reader about the story and the imaginary world, by means of imparting information to the protagonist and the reader at the same time. At the same time it provides the reader with an internal perspective to the story, through its focalisation. Below is an example taken from Robert Jordan’s The Eye of the World. Rand, the hero to be, has always lived in a small village and doesn’t know much about the rest of the world. Thom, who is a gleeman (bard), explains an important prophecy to him (and the reader):
He [Thom] glanced at Moraine up ahead with Lan, saw she could not overhear, and went on. “Tear is the greatest port on the Sea of Storms, and the Stone of Tear is the fortress that guards it. The Stone is said to be the first fortress built after the Breaking of the World, and in all this time it has never fallen, though more than one army has tried. One of the Prophecies of the Dragon says that the Stone of Tear will never fall until the People of the Dragon come to the Stone. Another says the Stone will never fall till the Sword That Cannot Be Touched is wielded by the Dragon’s hand.” 24
The protagonist is usually the character-focalizer, but another character can be the focalizer as well. The reader not only ‘sees’ what the character-focalizer sees, but has access to the focalizer’s feelings and thoughts as well. In works belonging to Sword & Sorcery or heroic fantasy, like J. K. Rowling’s Harry Potter and the Philosopher’s Stone, one character remains the focalizer during the most of the story. In epic fantasy however, such as J. R. R. Tolkien’s The Lord of the Rings, the position of the character-focalizer alternates between different characters.. Different positions alternate with each other to provide the reader with a great amount of information about the imaginary world and the story. Another example is The Eye of the World, which belongs to Robert Jordan’s Wheel of Time-series. The focalizing alternates because is there are at least four protagonists (namely Rand, Matt, Perrin and Egwene) which are often not present at the same place. The focalization usually shifts between different chapters.
The function of the teacher is to provide information to a character and the reader at the same time. This also provides the reader with an internal perspective on the story, because the story is then being focalized through the character that is being taught. Another way in which the reader can acquire information about the imaginary world is through the thoughts and memories of the character-focalizer. When the reader has access to the internal life of a character, the reader can more easily put himself/herself in that character’s position (identification). The protagonist is often the focalizer, which facilitates identification. However, it is sometimes necessary to keep certain thoughts and actions of the protagonist hidden from the reader to create effects like suspense, mystery or unexpected story twists.
By largely maintaining the same character-focalizer throughout the story, the reader can more easily identify with this character. Identification arises when the reader recognizes something of himself/herself in the character. The text can stimulate identification by presenting the protagonists as normal, likable, good people. An internal perspective through a character-focalizer facilitates immersion, especially when the reader identifies with this character. When there is only one character-focalizer, the reader has to puzzle pieces of information about the imaginary world together from the limited information which the character possesses. And when there are multiple character-focalizers, the reader has to puzzle how these different perspectives and different pieces of information connect with each other. This puzzling is a way in which the reader interacts with the text.
3.2 The Narrator
Narrators provide the reader with an external perspective to the story. This is the case when: 1. the narrator of a story is also the focalizer; 2. the narrator addresses his/her narratee. The narratee can be the reader, but also a fictive character. When the narrator addresses the audience, the reader shifts his/her position to that of the narratee. Below is an example taken from J. R. R. Tolkien’s The Lord of the Rings; The Fellowship of the Ring in which the narrator who addresses the reader:
That very month was September, and as fine as you could ask. A day or two later the rumour (probably started by the knowledgeable Sam) was spread about that there were going to be fireworks – fireworks, what is more such as had not been seen in the Shire for nigh on a century, not indeed since the Old Took died. Days passed and The Day drew nearer.25
Though it is not clear here who the narrator is, it is clear that this text is being narrated. The commentary on the story, namely the sentence “probably started by the knowledgeable Sam,” is very characteristic for narration. The “you” in the text is directed to the reader himself/herself.
At the end of the last book of The Lord of the Rings, The Return of the King, it becomes clear that Frodo is the narrator, for Frodo writes al his adventures down in a book called “The Lord of the Rings.” But ‘Frodo the narrator’ is not the focalizer of the story, ‘Frodo the character’ is. Below is an example which might clarify this:
Frodo looked back for a moment over his shoulder. He could no longer see his friends. The Riders behind were falling back: even their great steeds were no match for the white elf-horse of Glorfindel. He looked forward again, and hope faded. There seemed no chance of reaching the Ford before he was cut off by the others that had lain in ambush. He could see them clearly now: they appeared to have cast aside their hoods and black cloaks, and they were robed in white and grey. Swords were naked in their pale hands; helms were on their heads. Their cold eyes glittered, and they called to him with fell voices.26
The focalizer in this example is Frodo the character. This is the Frodo who is fleeing for the Riders, not the Frodo who has written the adventure down. The narrator tells the story in a transparent way, by means of ‘showing.’27 The reader can shift his/her position to the character-focalizer ‘inside’ the story. But when a narrator is obviously present, the reader shifts his/her position to the narratee, ‘outside’ of the story.
There are different types of narrator and different levels of narration. In the example of Tolkien’s The Lord of the Rings, Frodo is a character and the narrator, which makes him a homodiegetic narrator. A heterodiegetic narrator on the other hand, narrates a story in which he/she has taken no part. Frodo the narrator is an older version of the Frodo who is having the adventures. Frodo is an extradiegetic narrator, because he writes these adventures down after they happened; he no longer takes any part in them. He is on a level ‘above’ the story, namely the extradiegetic level. When the reader shifts his/her position to that of the narratee, he/she also is on the extradiegetic level. The narratee is always on the same level as the narrator. A narrator gives the reader an external perspective to the story he/she tells, as opposed to the internal perspective given by a character-focalizer.
A story-inside-a-story is on a hypodiegetic level in relation to the main story, namely ‘below’ the level of the main story. The narrator of such a story is an intradiegetic narrator, because he/she is also a character ‘inside’ the main story. The narratee is therefore on an intradiegetic level as well. And because the reader shifts his/her position to that of the narratee, the reader acquires two perspectives: one external perspective on the story the character-narrator narrates, and one internal perspective on the main story in which the narrator is a character. Below is an example, again taken from J. R. R. Tolkien’s The Lord of the Rings;
‘I will tell you the tale of Tinúviel,’ said Strider, ‘in brief—for it is a long tale of which the end is not known; and there are none now, except Elrond, that remember it aright as it was told of old. It is a fair tale, though it is sad, as are all the tales of Middle-earth, and yet it may lift up your hearts.’28
Strider continues by narrating the story and the reader ‘listens’ to it together with the Hobbits. The reader receives an internal perspective. Character-narrators are closely related to the teachers of paragraph 3.1. Teachers often impart information to the character the form of a narration. One last note on the subject of narration in Tolkien’s The Lord of the Rings: the narrator is obviously ‘visible’ in many parts, but the narration is transparent in many other places. Thus the reader is often offered an internal perspective through the character-focalizer of Frodo.
It is easier for the reader to become immersed in a story when he/she is given an internal perspective than when given an external perspective. The reader is offered an external focalisation when a story is obviously being narrated. When the identity of the narrator is concealed, or other gaps arise because of the limited knowledge of the narrator, this brings about interaction on the part of the reader. The reader has to guess, puzzle and interpret the story to fill these gaps.
3.3 A Position of Omniscience
The third position into which the text might guide the reader, is that of omniscience. Essentially, the reader is positioned ‘outside’ and ‘above’ the fantasy world. Fantasy literature which guides the reader into a position of omniscience, often begins with presenting a map to the reader of the imaginary world. The reader is also in a position to watch, at the same time, different events in the story that simultaneously take place in the imaginary world. The reader views the characters of the story and their adventures in somewhat similar way to how the sun looks down on Earth. But the reader in an omniscient position also has access to the inner thoughts and emotions of different characters; the text provides the reader with more information than any individual character possesses.
The reader himself/herself is not omniscient. Nor is the reader free in deciding what he/she wants to see and when he/she wants to see it. The reader is guided into this omniscient position by an anonymous, omniscient narrator. The narrator narrates his/her story transparently, so the story doesn’t appear to have a narrator at all. The narrator can be the focalizer of the story, but not necessarily so. All books belonging to Robert Jordan’s Wheel of Time-series have an anonymous, omniscient narrator. The following text is taken from the first book of the series, The Eye of the World. The focalizer in this part of the text is the protagonist Rand:
What Rand saw adjusted itself in his mind again. It was as Perrin said. Under almost every low place in the wall was a brush-covered hill; rubble from the collapsed wall above. No two of the guard towers were the same height. “I wonder what city it was,” Egwene mused. “I wonder what happened to it. I don’t remember anything from papa’s map.”29
Though Rand is the focalizer, ‘someone’ is telling the reader what Rand sees and thinks. In The Eye of the World, the reader is offered a position of omniscience in a way which is very characteristic for epic fantasy: by providing the story with multiple character-focalizers. In some places of the text though, for example in the Prologue of The Eye of the World, the narrator is the focalizer:
Behind him [Lews] the air rippled, shimmered, solidified into a man who looked around, his mouth twisting briefly with distaste. Not so tall as Lews Therin, he was clothed all in black, save for the snow-white lace at his throat and the silverwork on the turned down tops of his thigh-high boots. He stepped carefully, handling his cloak fastidiously to avoid brushing the dead.30
In this position, the reader receives great quantities of information about the imaginary world and the story. Epic fantasy consists of great amounts of information concerning the imaginary world and its history, which is why this position is often found in this subgenre. This position is also quite common in works which have multiple story lines (which is also often the case with epic fantasy). The position of omniscience has its limits however. But if the reader would already know everything about the story, then there would not be a story to tell.
Characteristic of a position of omniscience is, that the unidentified narrator makes use of showing instead of telling. Telling summarises action, while showing uses details to bring the action ‘alive.’ Showing makes it easier for the reader to produce mental images based upon the text. An example of telling, based upon Jordan’s The Eye of the World, is: “A Trolloc attacks Rand. They fall to the floor together. The Trolloc is killed when Rand’s sword goes through it.” An example of the same action, but then ‘shown’ by the narrator is:
The wolf-smile became a snarl, and the Trolloc lunged for him. Rand had not thought anything that big could move so fast. Desperately he brought his sword up. The monstrous body crashed into him, slamming him against the wall. Breath left his lungs in one gasp. He fought for air as they fell to the floor together, the Trolloc on top. Frantically he struggled beneath the crushing weight, trying to avoid thick hands groping for him, and snapping jaws. Abruptly the Trolloc spasmed and was still.31
Both the position of audience and the position of omniscience are extradiegetic, or in other words, external to the story. The position of omniscience can be combined with different internal focalizers, which provide the reader with internal perspectives. The reader then alternates between extradiegetic and intradiegetic positions. But even an extradiegetic position can facilitate immersion. An external position can provide the reader with great amounts of information. This knowledge about the imaginary world familiarises the reader with this world, which makes it easier for immersion to occur. But before that happens, the reader first has to put this knowledge to use, to imagine what the imaginary world looks like. But with an internal perspective, the character-focalizer guides the reader in seeing and imagining the imaginary world. In contrast to immersion, interaction is affected in a negative way by a position of omniscience and showing. It is true that more information and details help the reader to form mental images. But here is little room for interpretation when the reader is given too much information.
4. Adventure and Mystery
Many literary devices which create adventure and mystery in a story, also affect the involvement of the reader in the imaginary world. This chapter studies gaps, suspense, and finally descriptions and dialogues for their positive or negative effect on the occurrence of immersion and interaction.
4.1 Using Gaps
It does not matter from what position the reader observes the events of the story: he/she never has complete access to all the information about the story and the imaginary world. Every story contains gaps, also called ‘blanks’ or ‘places of indeterminacy.’32 A gap is essentially a missing piece of information about the story that can result in unanswered questions on the part of the reader. There are temporary gaps that are filled in later on in the story, and permanent gaps that stay undetermined. Some gaps might accidental, but most gaps have a function. Suspense for example (see paragraph 4.2), is also generated by gaps. Gaps are a vital part of any story, because every story contains elements which the reader must not be able to foresee beforehand.
The primary function of temporary gaps is to create suspense. Permanent gaps can also create suspense, but when these gaps are not filled, the suspense remains unresolved. Most readers feel dissatisfied when important or big gaps remain open at the end of the story. Permanent gaps have other functions as well, for instance the creation of ‘mystery.’ A mystery is a frequent returning element in fantasy literature. An example of a mystery, is the identity of Gandalf in J. R. R. Tolkien’s The Lord of the Rings. Though it is said at the beginning of The Fellowship of the Ring that Gandalf is a wizard, much about Gandalf remains unknown. As the story progresses through the three books, and the reader becomes aware of these gaps (especially when Gandalf returns as Gandalf the White) the reader begins to wonder: Where did Gandalf come from? What happened when he fell down? Characters can help the reader notice these gaps, by asking questions themselves:
“’Yes, together we will follow you,’ said Legolas. ‘But first, it would ease my heart, Gandalf, to hear what befell you in Moria. Will you not tell us? Can you not stay even to tell your friends how you were delivered?’‘I have stayed already too long,’ answered Gandalf. ‘Time is short. But if there were a year to spend, I would not tell you all.’ [..] Then darkness took me, and I strayed out of thought and time, and I wandered far on roads that I will not tell.’”33
A common type of permanent gap is the open ending. Within a series of books, it is not unusual for the individual books to have open endings or cliff-hangers. Open endings are not characteristic for fantasy literature on the whole, but they tend to appear in experimental fantasy. While C. S. Lewis final book about Narnia, The Last Battle, doesn’t really have an open ending, some important questions about the story remain unanswered. The most important one perhaps, is what happens with the character Susan, who was a central character in the first two books about Narnia. At the end of The Last Battle, she doesn’t enter the real Narnia with the rest of the characters because of two reasons. The first reason is that Susan no longer believes in Narnia. As her brother Peter says:
“My sister Susan,” answered Peter shortly and gravely, “is no longer a friend of Narnia.” “Yes,” said Eustace, “and whenever you've tried to get her to come and talk about Narnia or do anything about Narnia, she says, ‘What wonderful memories you have! Fancy you still thinking about all those funny games we used to play when we were children.’” 34
Because Susan is no longer a friend of Narnia, she can’t reach Narnia. The second reason is that Susan’s siblings and parents enter the real Narnia because they died in a train crash in the primary world. Since Susan wasn’t there with them, and didn’t die, she can’t enter the real Narnia (yet). But the question whether she will enter the real Narnia once, remains unanswered.
Open endings stimulate the reader’s imagination. This ‘appeal’ to the reader’s imagination causes interaction. The reader, when he/she becomes aware of the gap, tries to fill it with information from the story and his/her own speculation. Often this ‘puzzling’ is exactly what the text aims at. Detective stories for example, anticipate the speculation of the reader by feeding him /her small bits of (sometimes false) information, to let the reader fill the gaps. Some of these stories specialise in filling the gap at the end of the story in a way the reader didn’t foresee.35 Texts often guide the reader by pointing out certain gaps, as is the case with the example about Gandalf from Tolkien’s The Lord of the Rings. Gaps give the reader a certain amount of freedom of interpretation. This questioning, puzzling and speculation forms the interaction of the reader with the text.
Some gaps in fantasy literature can only be filled with information about the imaginary world of the story. For example, when in Robert Jordan’s Wheel of Time-series the characters discover some bloodless bodies, only knowledge of the imaginary world can tell the reader that these murders were committed by an evil creature called a ‘gholam.’36 Because the characters are often familiar with their own world and the possible imaginary creatures and elements that can be found in this world, they do not always provide the reader with an obvious explanation.
Gaps can create immersion and identification. When there are gaps in the protagonist’s personality, the reader himself/herself has to fill these in. It is natural for any reader to project something of his/her own personality or preferences in these missing parts, thus facilitating the identification. Gaps that can only be filled with knowledge of the imaginary world oblige the reader to situate himself/herself in the imaginary world. Identification and these kinds of gaps help to create immersion. Gaps are also the greatest asset to the producing of interaction. When the text leaves parts of the imaginary world undefined, the reader can fill in these parts according to his/her own interpretation. And this again helps to create immersion, for it is probably easier for a reader to become immersed in a world that was created with his/her own imagination.
4.2 Suspense
Suspense keeps the reader hooked on the story. Temporary gaps can create suspense (see paragraph 4.1). Especially the cliff-hanger is notorious for leaving the reader in suspense, though not always to the reader’s appreciation. Cliff-hangers are temporary gaps that are resolved in the next part of a story. Characteristic of these gaps is that they almost always leave the protagonists on the brink of a dangerous situation, seemingly without hope of escape. Cliff-hangers often occur at the end of individual books within a series. They often appear in epic fantasy. The existence of cliff-hangers has a commercial background. When the reader wants to fill the gap created by the cliff-hanger, he/she has to buy the next part of the story. An example of a cliff-hanger is when Egwene, one of the protagonists from Robert Jordan’s Wheel of Time-series, gets captured near the end of the tenth book in the series, Crossroads of Twilight:
Egwene tried to push the cup away, tried to embrace saidair, but she could feel herself sliding back into darkness. They had been waiting for her. She had been betrayed. But by whom?37
Gaps create suspense by feeding the reader’s curiosity. Mysteries are also produced through gaps. The text creates questions which the reader feels driven to get the answers to. How strongly driven the reader feels, depends on whether the answers are essential for understanding the story. When a reader can’t understand why or how certain events in the story happened, he/she feels strongly motivated to keep on reading with the intention of filling this gap. The suspense is resolved when the reader’s curiosity is satisfied.
Not only gaps feed the reader’s curiosity. Fantasy literature, as well as travel literature and science fiction, enables the reader to explore other worlds. For example, many works of (epic) fantasy begin with providing the reader a map of the imaginary world. Exploring this world not only responds to the need of the reader to understand the story and its setting, it also appeals to the reader’s fundamental urge to explore. It appears that many humans have an inherent curiosity towards other places. Trough this ‘drive to explore,’ the reader wants to continue reading and discover the imaginary world of the text. This exploring is also a form of interaction, because the reader is comparing the setting of the imaginary to places he/she is familiar with, and is making assumptions and predictions about the undiscovered parts of the imaginary world.
The text can also create suspense by making the passing of time a crucial part of the story. When the protagonist needs to fulfil certain actions within a time limit, the story events acquire a sense of urgency, especially when the story keeps track of the passing of time (a ticking clock). This creates a high level of excitement which is difficult to maintain for long. Working with a time frame is not unusual for fantasy literature. Often, the protagonists must find a way to overcome some evil plan before it can be carried out. An example of a time frame can be found in J. K. Rowling’s Harry Potter and the Philosopher’s Stone. Harry and his friends believe professor Snape tries to steal the philosopher’s stone, and the must stop him before he does.
Neville stared at their guilty faces. ‘You’re going out again,’ he said.
‘No, no, no,’ said Hermione. ‘No, we’re not. Why don’t you go to bed, Neville?’
Harry looked at the grandfather clock by the door. They couldn’t afford to waste any more time, Snape might even now be playing Fluffy to sleep.38
When the time limit approaches, the suspense amplifies. However, it is tiring for the reader to constantly maintain a high level of excitement. Sometimes a ‘race against the clock’ is only a temporary story arc and doesn’t entail the whole story.
Closely connected to the use of a time limit, is the pace of the story. The ‘pace’ designates the speed with which story events take place. A pace within a text is regulated by alternating events with descriptions and dialogues. A high pace means that multiple events take place in a small time frame. This time frame is measured in reading time, not in story time.39 When story events rapidly follow up on each other (high pace), the reader is given little time to mentally process these story events. When the story events are related, the reader usually reads on fast to find out what this line of events will eventually lead to: creating suspense. No text can maintain a high pace for long without tiring the reader (because the reader is given little time to process the story events), therefore it is necessary to alternate the pace. A low pace is created through descriptions and dialogues (See paragraph 4.3). A high pace usually makes the reader read on, as he/she wants to what happens next.
Conflicts within the story are another source for suspense. These can either be internal conflicts (a character a struggling with his/her faults) or external conflicts (a battle or competition). Internal conflicts present the reader with a deeper understanding of a character, making an emotional connection and identification easier. In external conflicts, the reader chooses a side, depending on which side the reader identifies with most. Most conflicts in fantasy literature are battles between good (light) and evil (dark). This is also the case in most fantasy games. Games, however, offer the gamer a certain freedom in choosing good or evil. In the game Fable, for example, the gamer has to make choices which determine whether the game character becomes good or evil. Fantasy literature doesn’t offer these choices to the reader. The text often guides the reader to pick a certain side, by focalizing the story through a character who (believes he/she) is on the good side. When a story is focalized through multiple characters on both sides, it is still usually the ‘good’ that wins in the end. The reader is motivated to keep on reading to find out which victories and losses his/her side will have. Eventually the conflict ends up in a final confrontation (the climax) after which the suspense is resolved.
The last strategy the text has at its disposal to create suspense, is through creating an atmosphere of fear and danger. An example can be found in Robert Jordan’s Eye of the World, where the protagonist Rand is searching for his father.
As he [Rand] crept through the woods, though, moon shadows shifted, and it began to seem as if the darkness of the forest changed and moved, too. Trees loomed malevolently; branches writhed towards him. But were they just trees and branches? He could almost hear the growling chuckles stifled in their throats while they waited for him.40
The reader senses this atmosphere of danger and reads on while waiting for something to happen. In fantasy literature, this atmosphere of danger is sometimes created by a (seemingly) all-powerful Evil. The reader is drawn in until the atmosphere becomes too oppressing (‘too scary’). Then the reader (temporarily) stops reading and reminds himself/herself that there is nothing to fear.
Since shock is connected to suspense and fear, it should be discussed here. In contrast to its lesser brother, surprise, shock does not involve the reader in the imaginary world.41 Surprise however can create interaction, because the reader then examines the text anew to find out how it could have surprised him/her. Shock , just like when the story becomes ‘too scary,’ compels the reader (temporarily) to stop reading. When he/she is shocked, the reader has to take a hold on himself/herself. Because the reader has (momentarily) stopped reading, he/she has distanced himself/herself of the story. Below is an example of surprise, taken from J. K. Rowling’s Harry Potter and the Philosopher’s Stone. It describes the moment where Harry steps into the room where the Stone is hidden, but sees someone he (and the reader also) didn’t expect:
[...] for a moment he could see nothing but dark fire – then he was on the other side, in the last chamber. There was already someone there – but it wasn’t Snape. It wasn’t even Voldemort. [Chapter 16 ends here, chapter 17 begins:]
It was Quirell.42
When the reader is indeed surprised, he/she asks himself/herself the question: “How could it possible be Quirell, and not Snape? The reader then goes on to interpret past events in light of this new information. Shock has a different effect though. Shock is a personal experience, so not all readers feel shocked by the same thing. Below is an example where shock might occur. It is again a passage of Harry Potter and the Philosopher’s Stone, which follows a few pages after the last example:
Then he [Quirell] turned slowly on the spot. Harry would have screamed, but he couldn’t make a sound. Where there should have been a back to Quirell’s head, there was a face, the most terrible face Harry had ever seen. It was chalk white with glaring red eyes and slits for nostrils, like a snake. ‘Harry Potter ...’ it whispered. 43
When the reader reads this passage and is shocked, he/she is unable to think for a moment, except maybe the proverbial: “What the H...” Some readers might really feel a bit frightened, and while they continue reading, they do this a bit more carefully, planning on not being shocked by the text again.
To conclude this paragraph: the text has multiple means at its disposal to create suspense. When suspense is created, the reader feels urged to continue reading. The reader also tries to anticipate what is going to happen next, which can produce interaction. When certain characters are the focus through which the suspense is created, the reader positions himself/herself in the story near those characters. This internal position causes immersion. Interaction also occurs when the reader the text surprises the reader. The reader then looks back upon on the story and tries to find out how the text could have surprised him/her.
4.3 Description and Dialogue
As has been said in paragraph 4.2, the pace within a text is regulated by alternating story events with descriptions and dialogues. A high pace means that multiple events take place in a small time frame, thus causing suspense. A text with low pacing contains many descriptions and dialogues and few events. Descriptions and dialogues don’t occupy much story time, as opposed to some story events like a battle or a journey. Texts with a low pace can still cover a great deal of story time by simply passing over days, weeks or years in the story. Descriptions and dialogues have many functions, but the most important function is to portray the surroundings and atmosphere within the story: they are the building blocks of every imaginary world and the main source of information about the story. Below is an example of a description from J. R. R. Tolkien’s The Lord of the Rings; The Two Towers:
They [the fellowship] passed through the ruined tunnel and stood upon a heap of stones, gazing at the dark rock of Orthanc, and its many windows, a menace still in the desolation that lay all about it. The waters had now nearly all subsided. Here and there gloomy pools remained, covered with scum and wreckage; but most of the wide circle was bare again, a wilderness of slime and tumbled rock, pitted with blackened holes, and dotted with posts and pillars leaning drunkenly this way and that. At the rim of the shattered bowl there lay vast mounds and slopes, like the shingles cast up by a great storm; and beyond them the green and tangled valley ran up into the long ravine between the dark arms of the mountains.44
A portrait of the setting enables the reader to visualise the surroundings of the story. They are also essential for the understanding of the story. The results and implications of any event in the story can only be understood by knowing the world in which these events take place. When the setting of the story isn’t described, it is natural for the reader to assume that the story takes place in the real world, although maybe not in the reader’s native country or at present day. With fantasy literature however, the story often takes place in another, secondary world. Descriptions are then of the utmost importance for understanding the story.
However accurate a description may be, it can never describe something completely. Because descriptions can’t cover every detail, gaps arise which the reader must fill in. (See paragraph 4.1.) This is why, when a movie is made from a book, readers are often heard to exclaim: “It’s all very different from what I had imagined!” The imaginary world of fantasy literature is differently imagined by every reader.45 Descriptions provide the reader with a basis from which he/she can visualise the images of the imaginary world. This can cause immersion. Sometimes the text contains a map to support the descriptions of the story. The description of the personality traits of a certain character furthers the reader’s understanding of that character. In some cases identification by the reader might occur. The better the reader feels to understand the imaginary world, the easier immersion takes place.
Descriptions can take place in dialogue, for example when a character teaches something to the protagonist (paragraph 2.1). But there are other ways in which dialogues contribute to the imaginary world, for example by portraying characters:
A character’s speech, whether in conversation or as a silent activity of the mind, can be indicative of a trait or traits both through its content and through its form. [...] The form or style of speech is a common means of characterisation in texts where the character’s language is individuated and distinguished from that of the narrator. Style may be indicative of origin, dwelling place, social class or profession.46
Accents and dialects are obvious tools for characterisation. Internal dialogues are extremely suitable for providing a deeper understanding of a character, shedding light on the character’s perspectives, opinions and nature. Inner dialogues can provide the reader with an internal perspective on the imaginary world. They can create also a certain atmosphere in the story, by showing the emotions of the characters, for instance fear or love. Dialogues also produce a sense of realism for the reader. The reader feels he is watching something happening at that very moment. Dialogues themselves can be (important) story events. The following example is taken from of Tolkien’s The Lord of the Rings; The Two Towers:
‘Ach! Sss-no!’ he [Gollum] cried. ‘No! Silly hobbits, foolish, yes foolish! They mustn’t do it!’
‘Mustn’t do what? asked Sam in surprise.
‘Not make the nasty red tongues,’ hissed Gollum. ‘Fire, fire! It’s dangerous, yes it is. It burns, it kills. And it will bring enemies, yes it will.’
‘I don’t think so,’ said Sam. ‘Don’t see why it should, if you don’t put wet stuff on it and make a smother. But if it does, it does. I’m going to risk it, anyhow. I’m going to stew these coneys.’47
Gollum’s way of speaking is very characteristic and characterizing. The ‘cries’ and ‘hisses’ also indicate that he isn’t a pleasant person. The way Sam speaks indicates that he has a down-to-earth personality. By characterizing and portraying the setting, descriptions and dialogues provide the reader with information and internal perspectives. These can cause identification and immersion. However, it does little to contribute to interaction.
5. The Familiar Feeling
This chapter examines the difficult task which fantasy literature is presented with: to make the reader wilfully suspend his/her disbelief. Coherence within the text and familiarizing the reader with the imaginary world have very likely an effect on the immersion and interaction by the reader.
5.1 Coherence
Coherence is the first principle for making the reader ‘believe’ the story. ‘Believing’ doesn’t mean that when someone for example has read C. S. Lewis’ The Lion, the Witch and the Wardrobe, he/she dives into every wardrobe in the house hoping to find the land of Narnia. Nor will the reader write an angry letter to the CS Lewis Association of Ireland48 and call Lewis a liar because the book pretends that Narnia really exists. ‘Believing’ means that the reader accepts that the story contains elements that do not really exist, but agrees to go along with it, temporarily ‘believing’ the story for the purpose of enjoyment. This is the willing suspension of disbelief.
The importance of coherence does not only apply to fantasy literature. It is a narrative principle that the story should never contradict itself by displaying inconsistencies. However Postmodernism,49 which challenges existing conventions of literature, has brought forth works which explicitly experiment with (in)coherency in their stories. Disregarding Postmodernism for the moment, coherency was already a literary rule in the time of Aristotle. We can derive this from a passage in his Poetics:
In this way, seeing everything with the utmost vividness, as if he [the writer] were a spectator of the action, he will discover what is in keeping with it, and be most unlikely to overlook inconsistencies. The need of such a rule is shown by the fault found in Carcinus. Amphiaraus was on his way from the temple. This fact escaped the observation of one who did not see the situation. On the stage, however, the piece failed, the audience being offended at the oversight. 50
The reaction of the audience shows that inconsistencies are a grave fault in any literary work. When a story contradicts itself, the reader feels that the trust he/she has given, has been betrayed. The reader is confronted with the fact that what he/she is reading, is only a (fictive) text. The ‘belief’ that came with playing along with the text, is gone.
In science, dominant theories are based on the premise of falsification:51 this means that a theory is correct, until it is proven to be false. Coherence works in a similar way: the story is coherent (and thereby believable) until something arises that doesn’t fit. To quote Peter Dickinson: “The crucial thing about any act of imagination is its self-coherence, the way in which each part of it fits with all the other parts and by doing so authenticates them.”52 With “authentication,” Dickinson means that the story seems true, because all the parts fit together perfectly: every fitting part is one more argument for the truth of the story. Parts that do not follow the logic of the imaginary world, simply do not fit in. For instance, it wouldn’t fit in J. R. R. Tolkien’s The Lord of the Rings if Frodo would kill the Dark Lord Sauron with a rifle, not in the first place because there are no rifles in Middle-earth. But also because it doesn’t link up with what has been said near the beginning of the quest:
Sauron was diminished, but not destroyed. His Ring was lost but not unmade. The Dark Tower was broken, but its foundations were not removed; for they were made with the power of the Ring, and while it remains they will endure.53
The ‘guideline’ which is being put down in the example above, is that Sauron can only be destroyed for good, if his Ring is also destroyed. If the protagonists would be able to kill Sauron in any other way, it would break the coherency of the story.
Fantasy literature often contains worlds with elements that (according to our laws of physics) can not exist. Therefore the reader needs an explanation why these elements do exist in the imaginary world of the text. For the reader to understand the consistency of an imaginary world, he/she needs certain ‘guidelines’, ‘rules.’ This rules answer some basic questions about the imaginary world, for example: How does magic work? What is the basis of its society? What is known of its history? How advanced is the technology of this world? Etc… When a story has established a certain rule and then goes on to break or alter it, the reader ends his/her suspension of disbelief. (Also, introducing exceptions to the rules in the middle or near the end of the story is also considered ‘not done.’) A coherent imaginary world, no matter how far removed from the primary world, can be understood if it follows certain ‘rules.’ The reader needs to knows what these ‘rules’ are, to become immersed in the imaginary world. Coherence has little effect on interaction, but incoherency on the other hand can create interaction. The reader then has to interpret the story in a way to make sense out of it.
5.2 Myths and Legends
As has already been said in the Introduction, critics of fantasy literature often point out that all fantasy literature seems alike. For instance, there must be hundreds of books of fantasy literature that have to do with the myth of King Arthur. The amount of works of fantasy literature that contain dragons is countless, as is the number of stories about magical weapons. Even plot structures often follow the same formula. Contemporary fantasy often has plot structures that are similar to the structure of ancient myths and folktales. Joseph Campbell is an American mythologist who is known for his comparative research. In The Hero with a Thousand Faces he describes the basic structure of myths, which he calls monomyth:
The first step, the separation or departure “consists in a radical transfer of emphasis from the external to the internal world.” The hero must retreat from the world to the realm of the unconscious. It is here that he will find the resolution of his conflicts and fears. […] The second part of the hero’s path is called the trials and victories of initiation. Here the hero proves his merit, is tempted by evil, and learns the secrets of the gods. […] The third part of the hero’s journey is the return and reintegration with society. After his trials, the hero returns, “transfigured [to] teach the lesson he has learned of life renewed” to make a difference in the everyday world. 54
The structure of the monomyth can also be found in contemporary fantasy literature.
Campbell presumes that all myths have a universal structure, and that every myth is actually about human life. Campbell also supports Carl Jung’s archetypes theory. Archetypes are symbolic figures that arise from the collective unconscious and stay the same throughout history. Campbell studied archetypes in different types of literature, among which Arthurian literature.55 Campbell believes the monomyth is a version of the struggle of every human being to find his/her place in society. The monomyth like the archetypes is a spontaneous production of the human psyche.
Not all researchers of fantasy literature agree with Campbell and Jung, but their theories are often referred to. The explanation for the clichéd characters in fantasy literature is repeatedly sought in Jung’s archetypes theory. Some scholars, like Eva Thury, are of an opinion that contemporary fantasy literature has taken over the place and function of myth.56 However, in the past, myths were used for answering the human need for understanding and significance. It is not clear however whether people once really believed in their myths, or whether they suspended their disbelief, just like a reader of fantasy literature. Fantasy literature doesn’t seem to fulfil that role, because it doesn’t occupy the same monopolised position in society as myth probably used to. Fantasy literature is one of many means of entertainment, while myths probably were deeply ingrained in the culture of the society in which they originated. But whatever the exact nature of their relation; fantasy literature always makes use of myth, legend or folklore in some way.
Even though there are many myths and legends, cultural products usually draw only on a small, certain number of them. For example, more references to the Greek myth about the Minotaur57 can be found, than references to Norse myth of Fenris the wolf.58 This has also to do with the major influence of Ancient Greece on the history of the society of Western-Europe. Certain Greek mythical stock figures like forest and water nymphs, centaurs, Cerberus, sirens, griffins and Pegasus are found in fantasy literature in imaginary worlds that for the most have little to do with the culture of (Ancient) Greece. But fantasy literature uses stock figures from other sources as well. Elves and dwarves for example are based on North-European folk tales.59 Also, works of fantasy literature ‘exchange’ elements among themselves; for example, Tolkien’s ‘Hobbits’ and ‘Orcs’ can nowadays be found in numerous works.
Authors of fantasy literature do not take their material from legends and myth, because they can’t come up with some themselves. Authors use existing material for other reasons:
1. They want to be part of or react to the existing tradition of fantasy literature.
2. Introducing too many new concepts and elements makes the story complex and difficult to follow.
3. Familiar concepts and elements do not have to be entirely explained, so the focus lies with the story itself.
4. By using elements from myths or legends, the story itself appears mythical or legendary.
These reasons are not without a commercial aspect, for by using elements that readers can recognize and connect to successful fantasy literature, a work of fantasy might have better sales. Works belonging to the subgenre of commodified fantasy adhere to a formula which is created through the traditions of fantasy literature. Most authors of fantasy literature use well-known concepts and elements in new, innovative ways. Experienced readers usually find pleasure in discovering how a work of fantasy relates to myths, legends and other works of fantasy.
Even readers with little experience can recognize certain elements and concepts that derive from myth and legend. For example, when a dragon appears in the story, every reader has certain associations connected to dragons. The same goes for clichéd characters like the old wizard and the evil witch. Familiarities make immersion easier. When the reader feels familiar with elements of the story, he/she can easier relate to them. Using well-known elements also supports interaction, for the reader mentally compares the concepts and elements found in the work to his/her knowledge of the myths, legends and fantasy literature. According to the theory by Jung, the use of archetype-based-characters makes immersion possible for any reader. This is so, because if archetypes are derived from the collective human unconscious, a character based on archetypes has qualities that are inherent to human nature. It is very probable that works from all literary genres contain characters based on archetypes.
5.3 Light versus Darkness
One of the characteristics of fantasy literature, especially of epic fantasy, is the battle between Good (the Light) and Evil (or the Dark). During the course of human history ‘good’ and ‘evil’ have become very charged terms. Too many people have tragically suffered during wars in which both sides saw the other as evil. To evade such associations, fantasy literature often uses the terms ‘Light’ and ‘Darkness’ to distinguish good from evil (for example the Light side and the Dark side of the Force in Star Wars). Especially epic fantasy and heroic fantasy focus on the battle between good and evil. However, Evil (or sometime Chaos)60 is rarely absent from any work of fantasy literature, no matter to which subgenre it belongs.
Some people say that fantasy literature depicts good and evil in an idealistic way, namely as absolute, clearly identifiable and unchanging entities/persons, with the Good always winning in the end. This is part of the formula to which many works belonging to commodified fantasy adheres. However, fantasy works usually incorporate good and evil in much more complex ways. Even in J. R. R. Tolkien’s The Lord of the Rings, which at first glance seems to be an example of the idealistic kind, has a complex mixture of good and evil, for example in the character of Gollum. Though Gollum appears evil, there is more to it, as Gandalf knew:
‘You have not seen him,’ Gandalf broke in.
‘No, and I don’t want to,’ said Frodo. ‘I can’t understand you. Do you mean to say that you, and the Elves, have let him live on after those horrible deeds? Now at any rate he is as bad as an Orc, and just an enemy. He deserves death.’
‘Deserves it! I daresay he does. [...] I have not much hope that Gollum can be cured before he dies, but there is a chance of it. And he is bound up with the fate of the Ring. My heart tells me that he has some part to play yet, for good or ill before the end;61
Gollum has done some terrible deeds, but he will do some good before the end. Even in epic and heroic fantasy, evil and good are not fixed entities. It is not quite uncommon for the hero of a story to once have been part of the evil side, and to be looking for redemption.62 Also, works belonging to Sword and Sorcery usually contain flawed heroes who do not always do the right thing.
Now that it is clear that the treatment of good and evil in fantasy literature isn’t as simple as one might think, how is evil given shape in fantasy literature? The oldest form of evil in stories, are monsters. Humbaba63 of the Epic of Gilgamesh is the first monster to be found in writing. Monsters can be sentient, but sometimes they are bestially. A monster is a creature whose ugly/unnatural appearance reflects its inherent evilness. A closely related type of evil is the demon. The oldest text in which they can be found is the Bible. Demons appear in different forms, including that of a human, but they are actually malevolent spirits. Because demons can also take an ugly form, they sometimes appear as monsters. The third form of evil is a force or entity. When evil is treated as a force, it is usually is balanced by the force of good. Though a force is not corporal, it can influence the real world. An obvious example is the Dark side of the Force in George Lucas’ Star Wars-saga. Evil humans are a more concrete form of evil. The final possibility is that an image of evil is used as a metaphor. Such an image of evil is ‘the shadow,’ which can be a metaphor for the evil present in every human. The best example of this metaphor is Ursula Le Guin’s A Wizard of Earthsea, where the protagonist Ged confronts his own shadow:
Aloud and clearly, breaking that old silence, Ged spoke the shadow’s name, and in the same moment the shadow spoke without lips or tongue, saying the same word: ‘Ged.’ And the two voices were one voice. Ged reached out his hands, dropping his staff, and took hold of his shadow, of the black self that reached out to him. Light and darkness met, and joined, and were one.64
Every story uses protagonists and antagonists. By making the antagonists evil, the story ensures the following:
1. The protagonists become (more) likable, because they are posed against a hostile evil.
2. The protagonists turn into heroes. The greatness of this heroism depends on how many (and which) people are saved and how difficult/strong the obstacles/antagonists are.
3. The work is endowed with moral significance. This is especially true for fantasy works that are allegorical like Lewis’ Chronicles of Narnia-series.65
4. The story becomes recognizable, maybe even successful, because it is based upon a traditional, proven formula.
5. By bringing the antagonist to justice, reading the story becomes a reassuring and comforting experience (see also paragraph 6.2).
The protagonist of a work of fantasy literature isn’t always a hero; he or she isn’t even always on the ‘good side.’ The reader however usually finds protagonists that follow contemporary ethics (the present notion of which actions are good and which are evil) more sympathetic, because the reader usually shares these morals. But fantasy literature also tries to make itself believable, and an imperfect protagonist is more realistic than a perfect hero. The reader can identify more with a character that is good (not evil), but not perfect. Identification can create immersion. Also, by using contemporary morality, the reader feels more familiar with the imaginary world, no matter how strange that world might be. Using good and evil in fantasy literature can cause interaction; when it is not exactly clear of certain characters or their actions whether they are ‘good’ or ‘evil’, the reader might try to figure this out.
5.4 The Real World as a Blueprint
There are many imaginary worlds in many works of fantasy literature. Though they are all unique in their own way, every one is connected to the real world. For example, most Arthurian stories are based upon the (late) Western Middle Ages, while most stories with children as the protagonists take place in a ‘unspoiled’ world, for example a version of Great-Britain’s countryside.66 Most epic fantasy literature seems to be based upon the Middle Ages, but sometimes the reader makes this connection unjustified. When the protagonists of a story fight with swords and ride horses, and there is no (modern) technology, many readers tend to place the story in a world similar to the Western Middle Ages. However, there have been societies all over the world and not only during the Middle Ages that have these characteristics as well. There are other elements though that might point to a relationship with an imaginary world and an existing place within (the history of) the real world.
The imaginary world can be based upon the primary world. The relationship with the primary world can be found in a number of elements: names, geography, culture (architecture, art), technology, religion, society (hierarchy, etiquette), and character features (personality, appearance). It is quite impossible to create a secondary world which has nothing in common with the primary world. Many stories are based upon multiple (historic) places in the primary world. J. R. R. Tolkien’s The Lord of the Rings for example is influenced by the Western Middle Ages, with regard to warfare technology for example, but it also contains elements from rural England in the nineteenth century. This can be seen in the description of the Shire:
The Shire was divided into four quarters, the Farthings already referred to, North, South, East and West; and these again each into a number of folklands, which still bore the names of some of the old leading families […]. Growing food and eating it occupied most of their [Hobbits] time. In other matters they were, as a rule, generous and not greedy, but contended and moderate, so that estates, farms, workshops, and small trades tended to remain unchanged for generations.67
The example above could be a description of England before the industrialisation. But there is no religion in Middle-earth, no place for Christianity which characterised the Western Middle Ages. Furthermore, Tolkien himself said that he thought of the people of Gondor as resembling ancient Egyptians, regarding their reverence for tombs and ancestry.68
But some elements in Tolkien’s work can’t easily be traced back to a society of the primary world, like the architecture of the Elves or the mines of the Dwarves. Yet the roots of these made-up societies can be found in myths and legends, so even with these invented elements there remain some connections with the real world. Using the real world as a blueprint has several functions.
1. The author doesn’t need to make it all up himself/herself. Though an author should always try to be original, it is nearly impossible to always come up with something completely new.
2. The reader feels familiar with this new imaginary world, because he/she recognizes certain things from the real world.
3. The imaginary world seems more believable. When encountering something new, a strange, (imaginary) world for example, the reader compares it to his/her own experiences: the real world. The more similarities, the more realistic this strange world seems.
4. The author doesn’t need to spell his/her imaginary world out to the detail. When the reader recognizes certain elements, he/she can supply the rest. The rest of the text can then focus on the story.
5. The connections can have an aesthetic, political or humorous value. (See also paragraph 6.2.)
Using the real world as a blueprint furthers immersion, because the reader feels familiar with the imaginary world, since he/she recognizes certain elements. It also can further immersion because the imaginary world can seem more realistic. Interaction however follows as well, as the reader actively connects this imaginary world to his/her knowledge of the real world.
6. Leaving the Real World
Readers of fantasy literature are familiar with the experience of being transported to the imaginary world within the work they’re reading. This chapter looks at why readers desire this experience, how such an experience can be useful or meaningful, and how this ‘transportation’ takes place.
6.1 A Matter of Escape
There are different motivations for the reader to read a work of fantasy literature. One could for example read a work for its aesthetic value, or for the philosophical message it contains. Yet these aspects can be found in other genres of literature as well. Fantasy literature offers something unique to the reader: the possibility to enter an imaginary world with elements that could not exist in reality. All types of literature can draw readers into the book, making them forget their surroundings and making them feel part of the story. Fantasy literature can involve readers in wondrous worlds, yet also make them forget these worlds could not possible be real. The reader then (at least temporarily) reader willingly suspends his/her disbelief:
But why would anyone to play along with believing in a non-existing world? This is something J. R. r. Tolkien wondered about in his essay “On Fairy Stories:”
First of all: if written with art, the primary value of fairy-stories will simply be that value which, as literature, they share with other literary forms. But fairy stories offer also, in a peculiar degree or mode, these things: Fantasy, Recovery, Escape, Consolation, all things of which children have, as a rule, less need than older people. 48
Fantasy literature can offer the reader fantasy, recovery, escape and consolation. Other literary genres don’t offer the same combination of these elements. Imagination (fantasy) is the most prominent characteristic of fantasy literature. Literature has always had a special connection with fantasy. Words can stimulate the reader’s imagination. The reader is given the possibility to visualise that what is being described in the text. Visual arts however, like painting or theatre, have a visual representation played out before one’s eye, thus depriving the viewer of the possibility to imagine these images. When one imagines something supernatural or magical, this often seems more real than any physical reproduction. It simply is not always possible to represent something wondrous in a realistic manner. Especially magic, the most wondrous of fantasy elements, simply seems most impressive in the reader’s imagination. To be creative and to feel surprised by the wonders of their imagination is what readers of fantasy desire.
Recovery is the second term Tolkien names as motivation for reading fantasy. Tolkien meant with ‘recovery’ the regaining of a clear view, learning to see things again with fresh eyes. Another word for this is ‘de-automatisation.’ Tolkien was of an opinion that during life one’s perceptions are adapted to those one’s surroundings, to the view of the rest of the world. Ultimately, one doesn’t feel surprised by anything any more. Fantasy literature renews the reader’s view by drawing him/her into an imaginary, amazing world, after which the real world will seem strange. It is as if the reader sees the real world in awe for the first time.
Escape is one of the most debated terms with regard to fantasy literature. It is often considered a negative route. Though one can understand that people in miserable situations might want to escape the real world, it is not deemed healthy to do so. After all, one should solve one’s problems, not hide from them in an imaginary world. Tolkien responded to this: “Why should a man be scorned if, finding himself in prison, he tries to get out and go home?” ‘Escape’ should not be understood as ‘flight.’ Escape is shifting one’s attention from the unimportant material world to the more fundamental values of life, which can also be found in fantasy literature. There the reader doesn’t have to worry about life’s trifles and banalities since the world is purely imaginary. Thus the reader can focus on what is really important in life. Moreover, to escape from daily life is inherent to the human nature, through daydreaming, by escaping in history or the future (science), in one’s hobbies or garden, etc… Moreover, all humans feel some sort of hope and longing for something better. Through fantasy literature one can imagine better worlds and maybe better lives. But let’s not forget the warning Dumbledore gave Harry in J. K. Rowling’s The Philosopher’s Stone: “It does not do to dwell on dreams and forget to live, remember that.”70 Escape must not pass into losing touch with the real world.
The last thing according to Tolkien that fantasy literature can offer is consolation. As just said, all humans feel some sort of hope and longing for something better. The world can be a hard place sometimes. Consolation though, is not characteristic for all fantasy literature. Let us not forget that Tolkien was talking about fairytales, which characteristically have a consoling happy ending. Fantasy literature on the other hand can end very tragically, with the death of the protagonist for example. Fantasy literature offers us imaginary world which aren’t always better worlds, but almost always, some parts of it are. And one can imagine being there, being happy there. It is impossible to really reach these worlds, yet one feels comforted as long as one can suspend one’s disbelief.
6.2 Real Matters in an Imaginary world
Once again, it is a mistaken, yet (unfortunately) widespread opinion that fantasy literature is unimportant, childish and serves no real purpose. Because the story within fantasy literature often takes place in an imaginary world which has little resemblance to the real world, people sometimes assume that fantasy works have nothing to say about the real world. Yet, the fact that people have taken moral lessons from fables and parables for over centuries, proves that this is not true at all. Though events in fantasy literature don’t always take place in the primary world, as in the case of other genres of literature, they still can have bearing on present (problematic) situations. But even disregarding the message, the experience of reading fantasy literature has its own functions.
Every work of fantasy, no matter how new and original, is in some way connected to the real world. In some cases, a writer uses an imaginary world like a mirror to criticise a contemporary situation. In the The Last Battle for example, one of Lewis’ works about Narnia, the figure of the ape Shift is used among other things to criticise false belief and Christian priests who abuse their authority:
“Well then, that’s settled,” said the Ape. “You will pretend to be Aslan, and I’ll tell you what to say.”
“No, no, no,” said Puzzle. “Don’t say such dreadful things. It would be wrong, Shift. I may not be very clever but I know that much. What would become of us if the real Aslan turned up?”
“I expect he’d be very pleased,” said Shift. “Probably he sent us the lion-skin on purpose, so that we could set things to right. Anyway, he never does turn up, you know. Not nowadays.”71
Shift is going to pretend to speak for Aslan, and abusing this power to help himself. The reader can draw a parallel here between Shift and false priests.
Sometimes fantasy writers use imaginary worlds to deal with taboos about which one can not write openly in other genres of literature. Angela Carter is another author who uses fantasy to talk about difficult subjects, in her case feminism. The Bloody Chamber for example is a retelling of some familiar fairytales which deals with subjects like the female identity, corrupted marriages, and sexuality. By using fantasy literature to treat such subjects the reader doesn’t (need to) feel threatened by these taboos, because fantasy is ‘not real.’ This way there can be talked about, which is the first step of overcoming taboos.
In the same way fantasy literature can be a means of discussing taboos, it can also be a used for conveying philosophical or political messages. Some people say that literature can show the wrongs of human society even better than (scientific) essays and articles. Especially fantasy literature has its use for conveying political messages, as these might escape censorship while they are hidden in a work of fantasy, seemingly referring to an unreal situation. The work can focus the reader’s attention on aspects of the real world, because the reader automatically compares the imaginary world with the real world and his/her own present situation. Utopian literature72 does the same: though it describes a different world, utopian literature is actually saying something about present conditions. Literature can change the world, by changing the way people think.
Every work of literature is a moral laboratory88 which can help the reader reassess his/her ethics. In most fantasy works, no matter what imaginary world, universal values stay the same. Ethics are seldom challenged in fantasy literature. Ethics are the rules that govern social human order. Especially the subgenre of commodified fantasy often strengthens the position of ethics. A characteristic of epic and heroic fantasy is that they often contain a battle between good and evil (see also paragraph 6.2). When the reader sympathizes with the protagonists, he/she becomes sympathetic to their ethics. As these protagonists often fight against evil, fantasy literature can contain great moral value. Also, authors often ‘slip in’ words of wisdom through the figures of wise (wo)men (sometimes witches or wizards) ostensibly meant for the protagonists, but also meant for the reader.
Fantasy literature has also an aesthetic value. The author of a work of fantasy can freely use his/her imagination in designing an imaginary world; he/she can choose elements from different (historical) cultures and combine them in all new ways and even include non-existent, imaginary elements. Designing an imaginary world, either in games or in literature, is like painting a work of art: choosing colours (elements) and making a design in which each colour has its place. Fantasy literature can be enjoyed and admired as much as painting. Thus there are many ways in which fantasy literature can connect to the reader and the real world.
6.3 Means of Transportation
Chapters 3 to 5 have discussed the means by which fantasy literature involves the reader. This involvement results from interaction and immersion; immersion is the process which makes the reader ‘see’ the imaginary world, while interaction concerns the interpretation by the reader. When the reader is involved in an imaginary world, he/she feels like he/she is present there. The reader has projected a ‘virtual self’ into the imaginary world of the text. Mediators are elements that facilitate the transportation of the reader to the world of the text. These mediators do not ‘force’ the reader into the imaginary world but make a conscious transgression of (a projection of) the reader possible. They mediate between the imaginary world of a work of fantasy and the reader. This paragraph discusses those mediators, explaining how these transportations take place.
When someone studies imaginary worlds in fantasy literature throughout history, something about the imagined location of these fantasy worlds might come to his/her notice. In the oldest works of fantasy, at the time when the only way to go somewhere was either afoot or by horse, imaginary worlds were imaginary ‘lands.’ Since no one knew what lay beyond the horizon, why not lands full of miracles and wonders? But when travel was made easier by technical progress, there soon was no terra incognito to place imaginary worlds. (However, the mythical world of Atlantis perseveres up to this day in being placed deep under the Atlantic ocean, as does Shangri-La in the Himalayas.)74 Then there came imaginary worlds in dreams or visions. Not all literature in which the protagonist dreams about magical or mythical elements is a work of fantasy. This is only so when the dreams contains a whole secondary world; a world beyond the dream. The dream itself functions as a portal.
Fantasy literature that makes use of portals is sometimes called portal fantasy (see paragraph 2.2). Portal fantasy can also include stories in which the protagonists dream their adventures. In such a story, the portal is formed by the dream. Other examples of portals are tunnels or mirrors. A famous portal is the wardrobe in C. S. Lewis’ first book about Narnia: The Lion, the Witch and the Wardrobe. Doors and gateways are typical portals as well. Portal fantasy characteristically contains the primary world and one or more secondary worlds, with protagonists who transgress from the primary world into the secondary world. The reader simply follows the characters with his imagination. A special kind of portal is the time-machine. Objects or (magical) devices can be portals too, like talismans, amulets or magic keys.
Farah Mendlesohn was the first to define portal fantasy as a distinct subgenre, dividing fantasy literature in four of these categories: portal fantasy, intrusive fantasy, liminal fantasy and immersive fantasy.75 This essay draws upon Brian Stableford’s Historical Dictionary of Fantasy Literature to offer the descriptions of the subgenres of portal, intrusive and immersive fantasy. Stableford himself draws upon Mendlesohn’s descriptions. This essay doesn’t acknowledge ‘liminal fantasy’ as a distinct subgenre. In liminal fantasy (according to Mendlesohn), the story takes place in the primary world, but there are magical or wondrous elements which the characters consider to be normal. Works belonging to liminal fantasy can also be seen as belonging to intrusive fantasy instead. The subgenres of portal, intrusive and immersive fantasy encompass all fantasy literature. The story of intrusive fantasy takes place in the primary world, in which magical/fantastical elements or creatures intrude. Portal fantasy is literature in which the protagonist(s) make(s) a transgression from the primary to the secondary world. The story of immersive fantasy takes place only on (a) secondary world(s).
In portal fantasy, the portals are the mediators between the reader and the imaginary world. The strength of the portal as mediator however depends on the type of portal and the location of the imaginary world in relation to the primary world. The more familiar and ‘normal’ a portal seems, the better it mediates. For example: dreams are stronger mediators than ships that sail to distant lands, ships however are stronger mediators than magical doors (or magical ships), but magical doors are stronger mediators than a mysterious magical vortex of energy…
The place of the imaginary world also influences the strength of the portal as mediator. To say it the easy way: the mediation is stronger, when the secondary world is closer to home. This would make secondary worlds that are placed within the primary world the most strongly mediated. An example is Rowling’s Harry Potter and the Philosopher's Stone. Within the primary world, there exists a secondary world of witches and wizards. It is a portal fantasy, in which many portals that connect the primary and the secondary world.
Hagrid led them through the bar and out into a small, walled courtyard, where there was nothing but a dustbin and a few weeds.... He tapped the wall three times with the point of his umbrella. The brick he had touched quivered - it wriggled - in the middle, a small hole appeared - it grew wider and wider - a second later they were facing an archway large enough even for Hagrid, an archway onto a cobbled street that twisted and turned out of sight. 'Welcome,' said Hagrid, 'to Diagon Alley. They stepped through the archway. Harry looked quickly over his shoulder and saw the archway shrink instantly back into solid wall.76
An archway is a relative strong mediator, stronger than some of the other elements that figure as portal in the Harry Potter-series, like Floo powder, the Knight Bus, portkeys, or the magical spell Apparition.77 Because an archway is a strong mediator, it is used in the first Harry Potter book, in order for the reader to get used to this new imaginary world. The same goes for the red Hogwarts Express train. Other imaginary worlds that create mediation are (from strong to weak): distant lands, other planets, dream worlds, the past, the future, parallel dimensions and independent worlds.
Until now only mediators in portal fantasy have been studied. Yet in immersive fantasy there are also mediators. These mediators are formed by the characters. A character can function as a mediator when he/she (closely) resembles the reader and, just like the reader, has no or little knowledge about the imaginary world the. Character-mediators can be found in portal fantasy as well. To continue with the same example from before, Harry Potter himself functions as a character-mediator. He lived with muggles (non-magical people) all his life, unaware of the world of witches and wizards until he is brought to that world. The reader learns about the imaginary world at the same rate as he does. (See also paragraph 3.1) Examples of character-mediators in immersive fantasy are Tolkien’s Hobbits in The Lord of the Rings-series. Though they are the protagonists of the story, at heart they are a simple, non-adventurous folk. But as the Elven Lord Elrond the Elf said:
This is the hour of Shire-folk, when they arise from their quiet fields to shake the towers and counsels of the Great. Who of all the Wise could have foreseen it? Or, if they are wise, why should they expect to know it, until the hour has struck?78
The character-mediator mediates between that world and the reader. Different elements of the imaginary world are explained through the character-mediator, for example through “teaching the hero” (see paragraph 3.1). The character-mediator is then the on who receives information from other characters, and through him/her the reader receives this information as well.
Only mediation within intrusive fantasy is left to discuss. Though the (most) events take place no the primary world, even in intrusive fantasy reference to a secondary world is made, usually the origin of the magical, mythical or wondrous elements that intrude upon the primary world. There are no portals through which the characters travel, but there can be character-mediators. A character-mediator in intrusive fantasy can explain and comment on the intruding elements as well as the secondary world, even though he/she doesn’t go there. A mediator is located between the imaginary world and the world of the reader, not belonging to either. It focuses the reader’s attention and connects the reader to the imaginary world. All the reader then has to do is ‘take a step.’
6.4 Layers of Meaning
In every work of fantasy literature, the imaginary world functions as a setting, the background on which the story takes place. But the imaginary world often does more than simply function as scenery. The surroundings can have a secondary layer of meaning. It can be used in a figurative way, as metaphor or symbol. What is not meant here, is figurative language which describes the scenery. An example of this is the use of simile and hyperbole in Jordan’s The Eye of the World, when the night sky is being described as: “The near black seemed to reach to forever, and myriad stars gleamed like points of light scattered through crystal.”79 This chapter is not about the application of figurative language as a literary aspect, but it is about how the imaginary world can have multiple levels of meaning.
Not only the setting, but characters and events can have a second layer of meaning as well. This way ‘little girl’ can for example signify ‘innocence’ on a connotative level.80 When an element signifies something besides its ‘normal definition’ (its denotation), it can be a metaphor or symbol (used in the broadest sense of the word). A metaphor is an element which on its connotative level signifies something related to its denotation. For example, ‘bear’ can refer to a ‘strong man’, on account of strength. A symbol usually has multiple connotative levels, and the relations between connotations and denotation are not always plain. For example, a lily is a symbol of purity, but is also symbolic for the figure of the Virgin Mary. Even when an element is not a metaphor or symbol, it still can have connotative meanings in the form of associations. If so, an elements isn’t depicted ‘in stead of the image of something else’ (like the lily can be represent the Virgin Mary, in stead of an image of the Virgin), but the element still refers to something besides its denotation.
An example of a symbol used within a work of fantasy, is ‘the white tree’ of the city Minas Tirith in The Lord of the Rings by J. R. R. Tolkien. The passage below is taken from The Two Towers, when the symbol is first seen:
And Minas Ithil they built, Tower of the Rising Moon, eastward upon a shoulder of the Mountains of Shadow; and westward at the feet of the White Mountains Minas Anor they made, Tower of the Setting Sun. There in the courts of the King grew a white tree, from the seed of that tree which Isildur brought over the deep waters, and the seed of that tree before came from Eressëa, and before that out of the Uttermost West in the Day before days when the world was young.81
The Tree of Gondor, of Minas Tirith, has become a symbol for the King of Gondor. The tree has been handed down since generations, dating back to the beginning of the world. It is a symbol here for the ancient lineage of the Kings.
There are arguments against making the setting of the story significant. The most important argument is that it undermines the realism of the story. Being ‘true to life’ does not entail the artificial structuring of the setting to apply connotative levels. However, authors of fantasy literature seem to have more freedom in shaping the setting than other authors, as representations of the real world are much more restrained than those of imaginary worlds. Because of the freedom in constructing an imaginary world, it is relatively easy to construct connotative levels. This is one of the interesting characteristics of fantasy literature. But this ‘bending’ of the setting to produce connotations always affects its realism.
Another argument is that it is not in the best interest of aesthetics to make the setting subordinate to meaning. This is an ‘l’art pour l’art’82 argument for the autonomy of art. Applied to fantasy literature it involves the existence of an imaginary world for its own sake, for its own beauty and value and not for its contribution to the meaning of the work. One could argue that one of the functions of art is to provide meaning. Making the setting meaningful contributes to the overall value of the story. The setting then is not a static picture but interacts with the story.
The surroundings can reflect the progress of the story or the mood or nature of the characters. For example, when a character is sad, and he/she is walking in the rain, then the surroundings reflect his mood. Or when a character is empty-headed and almost everything in his/her house is white, then the house reflects the character’s nature. In literature, the home of a character can say a great deal about the character’s personality. An example s the home of the beavers in C. S. Lewis’ The Lion, the witch and the Wardrobe:
And where the water had been trickling over and spurting through the dam there was now a glittering wall of icicles, as if the side of the dam had been covered all over with flowers and wreaths and festoons of the purest sugar. And out in the middle, and partly on top of the dam was a funny little house shaped rather like an enormous beehive, and from a hole in the roof smoke was going up, so that when you saw it (especially if you were hungry) you at once thought of cooking and became hungrier than you were before.83
The people (or in this case beavers) who live in such a place as described in the example, are most likely very friendly and caring by nature.
When a protagonist meets a character, it is often the case that the setting of that meeting already signifies something about that new character or his/her relation with the protagonist. Based upon the setting and atmosphere, the reader can sometimes predict how a character will respond in certain situations.
The example of Mordor in Tolkien’s The Lord of the Rings-series is an example of a setting with connotative meanings. Mordor is a dark, dangerous and dying country. This representation signifies the hardest part of the journey/quest which the protagonists (Frodo and Sam) are undertaking. It signifies evil, in particular the evilness of Sauron. It also adds to the character of Sauron, since he seems more evil for residing in such an awful place. Mordor is the home of the murderous Orcs. Even the landscape is dangerous and poisonous. It is also said that Mordor is symbolic for the desolation of war, as the war for Middle-earth originates in Mordor. Others say Mordor represent industrialism, with its steel bridges, smoking chimneys and metal forts which the rest of Middle-earth doesn’t have. Many morel levels of connotation can be found, depending on the reader.
Only when the reader perceives the connotation, does its significance become part of the meaning of the text. This action of ‘completing the text’ connects the reader to the text. Through connotations the reader has a personal reading experience in which he/she makes connections within and outside the story. This is a form of involvement without immersion having taken place.
7. Conclusion
This essay began with emphasising the importance and value of fantasy literature. One of the most interesting characteristics of fantasy literature is that it enables the reader to enter imaginary worlds with his/her minds. Fantasy literature is one of the few genres of literature in which these imaginary worlds can be almost completely different from the real world. This essay has focussed upon the workings of this interesting process. The question: “How does fantasy literature involve the reader in an imaginary world?” runs like a red thread through the various chapters in this essay. Each chapter has focussed upon different elements of fantasy literature with the use of the theories of the implied reader, immersion and interaction and strategies from narratology. Chapters 3 to 5 have discussed the means by which a text belonging to fantasy literature involves the reader. To reach involvement, which is a higher state of ‘immersion’, both interaction and immersion are required. Immersion can take place when the reader can imagines himself/herself being in the imaginary world. Interaction can take place when the reader is offered freedom of interpretation. When immersion and interaction take place, the reader can ‘step inside’ the imaginary world of the text. Chapter 6 has discussed the use of mediators and the motivations which the reader might have for involving himself/herself in an imaginary world.
While looking at the position of the reader in relation to the story, three positions have been outlined. The first is ‘behind the protagonist,’ which can be reached through ‘teaching the protagonist’ and identification. This position gives the reader an internal perspective to the story which makes it easy for immersion to take place. The limited knowledge of the protagonist also obliges the reader to puzzle with the information and with the gaps in the protagonist’s knowledge. The second position of the reader is that of ‘audience.’ When a story is visibly narrated, the reader takes the position of audience, whether or not the reader is addressed by the narrator. The audience is on the same level as the narrator, which is outside the story that is being narrated. When there is an intradiegetic narrator, the reader positions himself on the hypodiegetic level, which is inside the story. This provides the reader with an internal perspective which facilitates immersion. The third position of the reader is that of omniscience. This position is also on the extradiegtic level. The reader is ‘suspended’ above the imaginary world and provided with an external perspective. The reader in this position receives more information about the story world and becomes more easily familiar with the imaginary world. This familiarity can also facilitate immersion, but in a less strong way than when the reader is offered an internal perspective.
Chapter 4 has dealt with characteristics of the text that function as stimuli for the reader to continue reading without stop, thus prolonging the involvement of the reader in the story and the imaginary world. Gaps are one of the most important elements in fantasy literature, as they provide the reader with opportunities to use his/her own imagination. Gaps can create puzzles and mysteries (interaction) and enable identification (immersion). They also help to create suspense, which keeps the reader hooked on the story. Suspense causes immersion, it ‘draws the reader in.’ It also causes interaction when the reader is given occasion to anticipate what is going to happen next in the story. Surprise causes interaction as well, shock however only distances the reader from the story. A high pace generates suspense but a low pace consists of descriptions and dialogues. These supply the reader with information, in particular by portraying the imaginary world. These can produce mental images by the reader, after which it is possible for identification and immersion to occur. Also by creating these mental images, the reader interacts with the text.
More ways to make the reader feel familiar with the imaginary world have been discussed in chapter 5. For the reader to be able to immerse himself/herself into the imaginary world, the reader must first willingly suspend his/her disbelief. The most important principle required for this suspension is coherence. The text has to lay down certain rules that define the fantasy world which the reader can hold on to. Another way to cause this suspension, which at the same time lets the reader feel familiar with the story (world), is by way of using myths, legends and traditions of fantasy literature which the reader can recognize. This causes immersion, but also interaction, for the reader mentally compares the concepts and elements found in the text to his/her knowledge of the myth, legend or tradition they seem to belong to. Also, following the theory by Jung, archetype based characters can be recognised by any reader, which enables immersion.
The battle between Good and Evil is characteristic of fantasy literature. Any reader familiar with fantasy literature can recognize this formula. By putting the protagonists in contrast with evil antagonists, the reader more readily identifies with the protagonists. The protagonists don’t have to be real heroes, but they have to display some of the same morals the reader possesses. Identification and immersion follow more easily when the protagonists are not perfect, since this would b more realistic. By infusing the work with contemporary morals and ethics, the reader can feel familiar with the imaginary world. Besides immersion, the use of good and evil in a work of fantasy can also cause interaction. This occurs when the reader has to figure out whether certain characters and actions are ‘good’ or ‘evil.’ To make sure the reader feel familiar with the imaginary world, the author can also incorporate elements of the real world into the imaginary world. The reader can then suspense his/her disbelief with less effort, as elements of the real world can make the imaginary world seem more realistic. Not only does immersion ensue, but interaction follows as well. This takes place when the reader mentally compares the elements he/she recognizes from the real world in their new context with their original source.
Chapter 6 has examined why the reader wants to enter the imaginary world and how this ‘entering’ is mediated. In fantasy literature, topics can be discussed which other genres of literature cannot always touch upon, either because of taboos or (government) censorship. Fantasy literature also presents the possibility to speculate about better worlds. It also offers the reader fantasy, recovery, escape and consolation. A work of fantasy can also confront the reader with his/her ethics.
A mediator is located between the imaginary world and the world of the reader. It connects the reader to the imaginary world. There are portals and character-mediators. The more realistic and recognisable the mediator is for the reader, the stronger it can mediate. The text can contain several layers of meaning. When reading the text, the reader completes its meaning. This meaning is different for every reader, because no two readers make out the same connotative meanings.
When responding to the question “How does fantasy literature involve the reader in an imaginary world?” the briefly worded answer is: by using different strategies and literary elements fantasy literature makes it possible for the reader to connect to the imaginary world through immersion and to engage the reader in the imaginary world through interaction. A wide range of these strategies and elements have been treated in this essay, yet further research can contribute to this overview. It would be interesting to see whether certain subgenres of fantasy literature use specific strategies and elements. Or in what way involvement occurs in other literary genres. Another interesting topic for further research would be to investigate how involvement contributes to the final meaning of the text as completed by the reader. And a final recommendation for further study is to interview a variety of fantasy readers about their reading experiences in connection to the imaginary worlds.
Fortunately, fantasy literature is increasingly considered to be a serious literary genre. The existing tradition of studying fantasy began with studying fantastic elements in different texts. At present day however most studies of fantasy literature are basically interpretations of stand alone texts. Effects on the reader are almost exclusively studied in children’s fantasy, not in fantasy literature meant for adults. Hopefully this essay has contributed to this developing area. After all, with regard to other types of literature, fantasy literature has an exceptional effect on the reader.
Notes
1. Introduction
1. There have been some science fiction journals and associations which have been studying fantasy literature. Extrapolation for example was one of the first of these journals (founded in 1959). The Science Fiction Research Association (founded in 1970) is the most renowned body for promoting science fiction and fantasy research next to the Mythopoetic Society (founded in 1967) and many national organisations.
2.1 Defining ‘Fantasy’
2. From Wolfe, Gary K. “The Encounter with Fantasy.” In: Schlobin, Roger. The Aesthetics of Fantasy Literature and Art. p. 1-15. Wolfe himself quotes these words from Irwin, W. R. (1976) The Game of the Impossible: A Rhetoric of Fantasy. The complete quotation is: “The literature of the impossible [...] take[s] as their point of departure the deliberate violation of norms and facts we regard as essential to our conventional conception of ‘reality,’ in order to create an imaginary counter-structure or counter-norm.”
3. See Sandner, David. Fantastic Literature: A Critical Reader. p. 5.
4. Magic realism is a genre in which magical or inexplicable elements or events scenarios appear in an otherwise realistic setting. It has been widely used in relation to literature, art, and film. See also: Abrams, M.H. A Glossary of Literary Terms. p. 195.
5. Manlove, C. N. “On the Nature of Fantasy.” In: Schlobin, Roger. The Aesthetics of Fantasy Literature and Art. p. 16-35.
6. Tolkien, J. R. R. “On Fairy-Stories.” In: Tolkien, J.R.R. The Tolkien Reader.
7. Lewis, C. S. The Lion, the Witch and the Wardrobe. p. 18.
8. Rowling, J. K. (2000) Harry Potter and the Philosopher's Stone. p. 13.
2.2 Fantasy Genres
9. Jordan, Robert. The Wheel of Time; The Eye of the World. p. 1.
10. ‘Commodified fantasy’ is a term brought up by Ursula K. Le Guin in the foreword of Tales of Earthsea, which itself is a work of fantasy literature. She uses it to describe a group of non-inventive, stereotypical fantasy works, devoid of intellectual and moral complexity. Or in other words: fantasy literature made according to a ‘formula.’ Opposed to this fantasy genre is the subgenre of speculative fantasy.
11. Lewis, C. S. The Lion, the Witch and the Wardrobe. p. 13-14.
12. Buffy the Vampire Slayeris a TV-series that aired between 1997 and 2003 and written by Joss Whedon. The series is about a young woman with supernatural powers who has to battle demons and monsters, which frequent the town to which she recently moved, namely Sunny Ville.
13. Charmed is an American television series that originally aired from 1998 until 2006. The series is about three sisters (though one of them dies and is replaced by a unknown fourth sister) who are witches and battle the forces of evil. The are the ‘charmed ones,’ and have special powers when the three of them are together.
2.3 Reader Response Theory
14. See for further information about New Criticism: Matterson, Stephen. “New Criticism.” In: Waugh, Patricia (Ed.) Literary theory and criticism: an Oxford guide. p. 166-176.
2.4 Narratology
15. Rimmon-Kenan, Schlomith. Narrative Fiction: Contemporary Poetics. p. 2-3.
16. The theory about different levels of narration was first developed by Gérard Genette in his work: works Figures I-III (1967-1970) which were edited and translated in English in: Narrative Discourse: An Essay in Method (1980). Rimmon-Kenan further develops Genette’s theory, see Rimmon-Kenan, Schlomith. Narrative Fiction: Contemporary Poetics.
17. Rimmon-Kenan, Schlomith. Narrative Fiction: Contemporary Poetics. p. 95.
2.5 Immersion and Interaction
18. Ryan, Mary-Laure. Narrative as Virtual Reality: Immersion and Interactivity in Literature and Electronic Media. p. 67-68.
19. The concept of ‘willing suspense of disbelief’ was developed by Coleridge in his Biographia Literaria (1817). Though the reader remains consciously aware of the fictive quality of the text, he/she temporarily sets his/her disbelief aside for the enjoyment of the reading. The exact quotation is: “[...] my endeavours should be directed to persons and characters supernatural, or at least romantic – yet so as to transfer, from our inward nature, a human interest and a semblance of truth sufficient to procure for these shadows of imagination that willing suspense of disbelief for the moment which constitutes poetic faith.” Sandner, David. (2004) Fantastic Literature: A Critical Reader. p. 39-40.
20. Tolkien, J. R. R. “On Fairy Stories.” In: The Tolkien Reader. p. 60-61.
3.1 Becoming the Hero
21. The Swiss psychoanalyst and psychiatrist Carl Jung believed that several typical figures arise from the human unconscious, which are called archetypes. All humans through history share the same archetypes, though these may appear in different personifications in myths and dreams. Since archetypes are typical of all human beings and endure in every phase of human culture, the help us understand the human nature. Thury, Eva M. & Margaret K. Devinney. Introduction to Mythology; Contemporary Approaches to Classical and World Myths. p. 487-488.
22. Dumbledore is the wise, grey-haired headmaster of Hogwarts School of Magic, in J. K. Rowling’s Harry Potter-series. The reader first meets him in Harry Potter and the Philosopher’s Stone, where he functions as a all-knowing guide to Harry, even though he doesn’t share all his knowledge.
23. Gandalf the Grey, who later becomes Gandalf the White, is a somewhat mysterious but likable character in J.R.R. Tolkien’s books about Middle-earth. To the reader it becomes clear that Gandalf has a habit of guiding others, including Frodo and Sam, to a certain course of action, without them being aware of this.
24. Jordan, Robert. The Eye of the World. p. 189.
3.2 The Narrator
25. Tolkien, J. R. R. The Lord of the Rings: The Fellowship of the Ring. p. 32.
26. Tolkien, J. R. R. The Lord of the Rings: The Fellowship of the Ring. p. 226.
27. ‘Showing’ and ‘telling’ are two ways in which an author can communicate the events of the story to the reader. Telling includes a discernable narrator. With showing, events appear to unfold themselves before the reader’s eyes. Most writers value ‘showing’ above telling, as it makes it easier for the reader to immersive himself/herself in the story. This admonition was first underlined by Henry James, who reminded himself to “Dramatise, dramatise!” Waugh, Patricia (Ed.) Literary theory and criticism: an Oxford guide. p. 145.
28. Tolkien, J. R. R. The Lord of the Rings: The Fellowship of the Ring. p. 203.
3.3 A Position of Omniscience
29. Jordan, Robert. The Wheel of Time 1: The Eye of the World. p. 274.
30. Jordan, Robert. The Wheel of Time 1: The Eye of the World. p. x.
31. Jordan, Robert. The Wheel of Time 1: The Eye of the World. p. 76.
4.1 Using Gaps
32. See: Iser, Wolfgang. The Act of Reading: A Theory of Aesthetic Response. p. 165-170.
33. Tolkien, J.R.R. The Lord of the Ring; The Two Towers. p. 105-106.
34. Lewis, C. S. The Last Battle. p. 169.
35. Whodunits are a variety of detective stories that specialise in making the murder a puzzle, which the reader has to solve before the end of the book offers the solution. As this ‘puzzling’ is a skill perfected by experienced readers, it is often necessary to bring in ‘false clues,’ to set the reader off on the wrong foot. Usually the reader is barred from the final clue, so while the reader can puzzle and suspect during the whole text, the mystery or murder is never solved until the end.
36. In Robert Jordan’s Wheel of Time-series, a series of unexplained, peculiar murders takes place in the city of Ebou Dar. Only when the protagonist Matt has a face to face confrontation with the creature, does he know the murders have been committed by a gholam, an ancient, sentient weapon made during the War of the Power. Only Matt has this knowledge, since he remembers pieces of his past lives. The gholam feeds on the blood of his victims, thus explaining the bodies found in the city before, as those didn’t have any blood. When the reader has learned about gholams, he/she can connect this to the bloodless bodies that are found.
4.2 Suspense
37. Jordan, Robert. Crossroads of Twilight. p. 795.
38. Rowling, J. K. Harry Potter and the Philosopher’s Stone. p. 293.
39. “A high pace means that multiple events take place in a small time frame. This time frame is reading time, not story time.” Reading time is the amount of time that is spend reading. Since different readers read texts in different speeds, reading time is usually measured by the number of words or pages of a text. Story time is time passing within the story. For example, when the story starts with the protagonist being 10 years old, and ends with the protagonist being 50, the story time covers 40 years. When events follow upon each other, with little story time in between, this is called ‘high pacing.’ Or ‘a high pace.’ Gérard Genette developed next to the concept of story time, the concept of ‘narrative time’. This is the time spend by the narrator to tell his/her story. Waugh, Patricia (Ed.) (2006) Literary theory and criticism: an Oxford guide. p. 275-276.
40. Jordan, Robert. The Eye of the World. p. 71.
41. The aesthetic experience of danger and shock (astonishment) were developed by Edmond Burke’s (1757) Philosophical Enquiry into the Origin of our Ideas of the Sublime and Beautiful. In it, he says among other things: “The passion caused by the great and sublime in nature is astonishment, and astonishment is that state of the soul in which all its motions are suspended, with some degree of horror. The mind is entirely filled with its object and it cannot entertain any other, nor reason on that object which fills it.”
42. Rowling, J. K. Harry Potter and the Philosopher’s Stone. p. 309-310.
43. Rowling, J. K. Harry Potter and the Philosopher’s Stone. p. 315.
4.3 Description and Dialogue
44. Tolkien, J. R. R. The Lord of the Ring; The Two Tower. p. 181.
45. This is an example of how the text is completed by the reader. Every reader interprets the text in a unique way. Iser, Wolfgang. The Act of Reading: A Theory of Aesthetic Response. p. 107.
46. Rimmon-Kenan, Schlomith. Narrative Fiction. p. 64-65.
47. Tolkien, J. R. R. The Lord of the Ring; The Two Towers. p. 262.
5.1 Coherence
48. (Taken from the website) “The CS Lewis Association of Ireland, was recently formed to commemorate and promote the life, values and works of CS Lewis, with particular emphasis on his connections with his native Belfast and Ireland.”
< http://dundela.down.anglican.org/cslewis/index.html>
49. For more information about Postmodernism, see: Waugh, Patricia Literary theory and criticism: an Oxford guide. p. 79-80.
50. The fault of the play-writer is interpreted by different translators as following: Amphiaraus is seen leaving the temple; however, he never was shown entering it. Unfortunately, there remains no surviving text of the play Aristotle refers to. Part XVII, 1455a. Aristotle Poetics S. H. Butcher (Tr.).
51. Falsification or falsifiability is a concept developed by Karl Popper. He enunciated his theory in “Science as Falsification.” (1963) There he states that a statement is only scientific if, when wrong, it can be proven to be wrong. The statement: ‘God exists’ would be unscientific, since this can’t be falsified. However, the statement: ‘only white swans exists’ can be falsified, thus is scientific. This is opposed to verification, where only theory that can be proved, are called scientific.
52. Dickinson, Peter. “Fantasy: The Need for Realism.” p. 41.
53. Tolkien, J. R. R. The Lord of the Rings; The Fellowship of the Ring. 9. 257.
5.2 Myths and Legends
54. Whomsley, Dave. “The Hero with a Thousand Faces: The book by Joseph Campbell, discussed by Dave Whomsley.” In: Introduction to Mythology; Contemporary Approaches to Classical and World Myths. p. 137.
55. See also, Zimmer, Heinrich Robert. The King and the Corpse. Joseph Campbell (Ed.) This work contains essays which connect the theory of Jung to Arthurian literature.
56. Thury, Eva M. & Margaret K. Devinney. “What is Myth?” In: Introduction to Mythology; Contemporary Approaches to Classical and World Myths.
57. The Minotaur was a son of the wife of King Minos of Crete, Pasiphaë and a real bull. The god Poseidon had made her fall in love with the bull as a punishment for Minos, because Minos had kept the bull for himself when he should have sacrificed it to Poseidon. According to Greek mythology, the Minotaur has the body of a man, but the head and tail of a bull.
58. The Fenris Wolf is a creature of the Scandinavian mythology and a child of the god Loki and the giant Angrboda. It is a huge wolf (usual height 15 feet) with human-like intelligence, vast strength and the capacity to change shape and size.
59. “Elf: A term that entered English from Saxon and Nordic sources, in which it signified a kind of dwarf. It then merged with Celtic notions of mischievous ‘little people,’ such as brownies and leprechauns. In Anglo-Norman writings, Saxons/Celtic elves were further merged with French images of fées (fairies).” Stableford, Brian M. Historical Dictionary of Fantasy Literature. p. 127.
Dwarves are also based on Nordic mythology, the same as Elves, but continued their existence in Germanic mythology, eventually crossing the ocean to England. In Nordic and Germanic myths, there is no mention of Dwarves being short, a characteristic they acquired after their merging in England with the ‘little people.’
5.3 Light versus Darkness
60. In Roger Zelazny Chronicles of Amber-series, there exists a precious balance between Amber (the good side) and Chaos (the evil side), with agents of both sides trying to overcome the balance. However, as the story progresses, it becomes clear that the balance must be kept, and that without Chaos, Amber cannot exist.
61. Tolkien, J. R. R. The Lord of the Rings; The Fellowship of the Ring. p. 69.
62. Examples of heroes searching for redemption, are R. A. Salvatore’s dark elf Drizzt Do'Urden in his Forgotten Realms-novels, starting with The Crystal Shard, and the vampire Spike in the television series Buffy the Vampire Slayer.
63. Humbaba, or Huwawa was a terrible giant and assigned by the god Enlil to be the guardian of the Cedar Forest, where the gods lived. The Epic of Gilgamesh (tablet II) states that: “Humbaba's roar is a flood, his mouth is death and his breath is fire! He can hear a hundred leagues away any (rustling?) in his forest!” Thury, Eva M. & Margaret K. Devinney. (2005) Introduction to Mythology; Contemporary Approaches to Classical and World Myths. 158.
64. The protagonist, Ged, accidentally summons the shadow while attempting to summon a deceased spirit. It then escapes and hunts Ged. To be able to defeat the shadow, Ged has to know the shadow’s true name. However, at the final confrontation with the shadow, Ged realises he already knows the shadows name: it’s ‘Ged,’ the same as his. As Le Guin explained herself in essay “The Child and the Shadow” (1975), the shadow is a metaphor for the evil present in every human, based upon the Jungian archetype of the shadow. Le Guin, Ursula K. The Wizard of Earthsea. p. 164.
65. Lewis’ Chronicles of Narnia-series contain many allegorical elements. Lewis himself was a Christian convert and the works about Narnia contain many Christian parallels. For example, the story of The Lion the Witch and the Wardrobe is an allegory of Christ's crucifixion. The lion Aslan sacrifices himself for Edmund, in the same way that Christ sacrificed Himself for the sinners of the world. And after Aslan is dead, the women (Susan and Lucy) tend his body and are the first to see him resurrected, just like the hree Marys tended the body of Christ and who were the first to found out about His resurrection. Lewis himself however, has always maintained that the stories were never meant to be allegorical. Lewis, C. S. The Chronicles of Narnia; The Lion, the Witch and the Wardrobe.
5.4 The Real World as a Blueprint
66. “Most stories with children as the protagonists take place in a ‘unspoiled’ world, for example a version of Great-Britain’s country side.” Examples of these unspoiled worlds (or lands) are: the Shire (J. R. R. Tolkien’s The Hobbit), Neverland (J. M. Barrie’s Peter Pan), Narnia (C. S. Lewis’ The Chronicles of Narnia), Oz (L. Frank Baum’s The Wonderful Wizard of Oz), Prydain (Lloyd Alexander’s Chronicles of Prydain) and Fantastica (Michael Ende’s The Neverending Story). Characteristic of these worlds is that they exist mostly out of nature, that the cities are very beautiful and that the protagonists feel at home, even if they’re came from the primary world.
67. Tolkien, J. R. R. The Lord of the Rings; The Fellowship of the Ring. p. 18.
68. Tolkien makes in his letters a few references to Egypt as a model for Gondor. In Letter 211 to Rhona Beare, Tolkien wrote: “The Númenóreans of Gondor were proud, peculiar, and archaic, and I think are best pictured in (say) Egyptian terms. In many ways they resembled 'Egyptians' – the love of, and power to construct, the gigantic and massive. And in their great interest in ancestry and in tombs. […] I think the crown of Gondor (the S. Kingdom) was very tall, like that of Egypt, but with wings attached, not set straight back but at an angle.”
6.1 Real Topics in an Imaginary world
69. Tolkien, J. R. R. “On Fairy Stories.” In: The Tolkien Reader. p. 67.
70. Rowling, J. K. Harry Potter and the Philosopher’s Stone. p. 231.
6.2 A Matter of Escape
71. Lewis, C. S. The Last Battle. p. 16.
72. Utopian literature features imaginary worlds the same as fantasy literature does, however these do not contain magical, mythical or supernatural beings or elements. Named after Sir Thomas More’s Utopia, utopias are worlds, countries or communities where life is ideal and all moral people are happy. Crossley, Robert. “Pure and Applied Fantasy; or from Faerie to Utopia.” In: Schlobin, Roger. The Aesthetics of fantasy literature and art.
73. Every literary work is a moral laboratory which the reader can experiment with ethics in a fictive situation. The reader then reassesses his/her moral values. This is the statement offered by Jèmeljan Hakemulder, in his dissertation: The Moral Laboratory; Experiments examining the effects of reading literature on social perception and moral self-concept.
6.3 Means of Transportation
74. Shangri-la is a mythical country described in James Hilton’s (1933) Lost Horizon. It is a harmonious valley, enclosed by mountains. A land of happiness, isolated from the world. It is based on the mythical land of Shambala, of which reference can be found in various ancient Buddhist texts.
The myth of Atlantis starts with Plato mentioning this mysterious island in his Dialogues. According to Plato, Atlantis sank into the ocean after it tried to invade Athens. From the seventeenth century onwards, Atlantis appeared in many works of literature as an inhabited city under water.
75. See for more information Mendlesohn, Farah. (2008) Rhetorics of fantasy. Middletown (Connecticut): Wesleyan University Press.
76. Rowling, J.K. Harry Potter and the Philosopher's Stone. p.55
77. In Rowling’s Harry Potter-series there are a variety of magical ways to travel between the normal world and the wizard world. In the first book, the reader encounters the archway to Diagon Alley, which is created by tapping a wizard’s wand on the wall. Next there is the Red Hogwarts Express train, which leaves from King’s Cross Station, platform 9¾. The platform is accessible by walking through (what looks like) a solid brick wall. In the second book, The Chamber of Secrets, the reader meets Floo Powder, a powder necessary to use a fireplace that is connected to the Floo Network. With it, one can travel from one fireplace to another. In the third book, The Prisoner of Azkaban, the Knight Bus appears. It appears when a stranded wizard or witch raises his/her wand arm. In the fourth book, The Goblet of Fire, portkeys are seen for the first time. With the spell ‘Portus,’ a witch or wizard can make any object a portkey. A portkey can transport anyone touching the object on a preset time to a preset destination. And finally, the workings of apparition spell are already seen in the first book. However, the spell itself is only explained in the sixth book, The Half-Blood Prince.
78. Tolkien, J. R. R. The Lord of the Rings: The Fellowship of the Ring. p. 285.
6.4 Layers of Meaning
79. Jordan, Robert. (1990) The Wheel of Time; The Eye of the World. p. 146.
80. Semiotics study sign processes. The founder of modern semiotics, Ferdinand de Saussure, proposed that a sign has a form, a ‘signifier,’ and a meaning, the ‘signified.’ Denotation is the first level of what is signified, namely the literal or surface meaning. A sign can have more levels of meaning, these meanings are called connotations. The word ‘sheep’ for example means ‘a gullible person’ on a connotative level. There is no limit to how many connotative levels a sign might have. Barthes, Roland. A Barthes Reader.
81. Tolkien, J. R. R. The Lord of the Rings; The Fellowship of the Ring. p. 257.
82. ‘L’art pour l’art’ or ‘art for art’s sake’ is an early 19th century approach to art that values its inherent aesthetic value. Art with a capital A, is devoid from any didactic or moral function, but is simply to be enjoyed. Waugh, Patricia (Ed.) Literary theory and criticism: an Oxford guide. p. 26-27.
83. Lewis, C. S. The Lion, the Witch and the Wardrobe. p. 79.
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