Table of Contents
Introduction ��������������������������������������������������������������������������������������������������������������� 9
Part I Revolution and Evolution in Literature and Visual Arts
Krzysztof Kosecki
Cognitive Poetics: Revolution or Evolution in the Study of Literature? ������������ 21
Olha Bandrovska
A Synergetic Perspective in Literary Studies: Towards Literary
Anthropology ������������������������������������������������������������������������������������������������������������ 31
Paweł Kaptur
he King is Dead, Long Live he King–Transition and Continuity
in John Dryden’s hrenodia Augustalis ������������������������������������������������������������������ 41
Marek Błaszak
he Evolution of Sailor Hero in the 18th-Century British Novel:
A Study in Defoe and Smollett �������������������������������������������������������������������������������� 51
Katarzyna Strzyżowska
Grub Street Literary Activity in 18th-Century London�
A Flaw or an Asset of Augustan Literature? ���������������������������������������������������������� 61
Iryna Senchuk
he Evolution of W� B� Yeats’s Idea of a Drama:
from on Baile’s Strand to he Death of Cuchulain ������������������������������������������������ 71
Paulina Mirowska
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama�
Some Relections on Pinter’s Grim Political Sketches ������������������������������������������ 83
Monika Kozub
he Final Gasps of the Catholic Big House in Brian Friel’s Aristocrats ������������� 95
Anna Pietrzykowska-Motyka
Modern Appropriations of Shakespeare: Jane Smiley’s
A housand Acres (1991) ��������������������������������������������������������������������������������������� 105
6
Table of Contents
Sławomir Kuźnicki
Women, Men and the Hope of Pregnancy/Motherhood
in Margaret Atwood’s MaddAddam ��������������������������������������������������������������������� 119
Viktoriia Yaremchuk
he Evolution of the Hero in C� S� Lewis’s he Space Trilogy ���������������������������� 129
Oksana Weretiuk
Indian Endurance in Andrew Suknaski’s Poems and Allen Sapp’s Painting ���� 139
Mirosława Buchholtz
Wars and (R)Evolutions: he Long Happy Life of Hannah Höch
(1889–1978) ������������������������������������������������������������������������������������������������������������� 151
Agnieszka Kallaus
From a Sufering Victim to the ‘Final Girl’: Evolution of he Concept
of the Gaze in Slasher Films: Psycho and he Silence of the Lambs ������������������ 167
Part II Evolution, Revolution and Endurance in the
Socio-Political Context
Joanna Durczak
Protecting the Wilderness: How a Revolutionary Idea Evolved
and Devolved, while the Wild World was Let to Endure ��������������������������������� 181
Ian Upchurch
U-Turn if You Want to–on the Revolutionarily Evolutionary
Nature of Britain ������������������������������������������������������������������������������������������������������ 199
Donald Trinder
he British Guarantee to Poland of 1939 as a Revolution
in Anglo-Polish Relations �������������������������������������������������������������������������������������� 211
David Jervis
“Insider” Accounts of Guantanamo: the Good, the Bad, and the Absurd ������ 221
Péter Gaál-Szabó
Black Muslim Communication Strategy in the 1950s and 1960s
From a Co-Cultural Perspective ��������������������������������������������������������������������������� 231
Table of Contents
7
Małgorzata Martynuska
Transculturality Exempliied by the Evolution of Salsa Dance in the USA ���� 241
Damian Pyrkosz
Values in American Economy – he Changing Face of the Core �������������������� 253
List of Contributors ���������������������������������������������������������������������������������������������� 273
Introduction
he present volume titled Revolution, Evolution and Endurance in Anglophone
Literature and Culture is the outcome of both domestic and international academic cooperation of the Institute of English Studies at the University of Rzeszów,
Poland� he volume was planned to commemorate the 20th anniversary of the
Institute’s founding and the concepts of revolution, evolution and endurance were
selected for the collection of essays as the common theme, which opens a discussion about a variety of revolutionary/evolutionary aspects observable in the
theoretical approaches in literary studies, in individual literary works, in visual
arts and ilm, and in the ield of culture studies�
Élisée Reclus, a 19th-century French anarchist, in his 1891 work titled Evolution
and Revolution, while elaborating upon the two terms and the phenomena they
signify, provides the following deinitions of the two:
he word Evolution, synonymous with gradual and continuous development in morals
and ideas, is brought forward in certain circles as though it were the antithesis of that
fearful word, Revolution, which implies changes more or less sudden in their action, and
entailing some sort of catastrophe� And yet is it possible that a transformation can take
place in ideas without bringing about some abrupt displacements in the equilibrium of
life? Must not revolution necessarily follow evolution, as action follows the desire to act?
hey are fundamentally one and the same thing, difering only according to the time of
their appearance�
he articles included in this volume, written more than a century–so full of evolutions and revolutions–later, provide a wide range of interpretations of the consequences and the atermath of both slow and abrupt change, with endurance being
the third notion to be referred to�
he opening chapter of Part I, authored by Krzysztof Kosecki and titled “Cognitive Poetics: Revolution or Evolution in the Study of Literature?,” argues that
some tenets and techniques of analysis employed by Cognitive Poetics draw on
methodologies advanced by structuralists in the second half of the 20th century�
he author refers to Lakof and Turner’s (1989) analyses of metaphor-metonymy
interaction in literary works, suggesting that those can be regarded as an extension and a reinement of Jakobson’s (1956) concept of metaphor-metonymy continuum in conventional and artistic language, while Hogan’s (2003) cross-cultural
description of structures of stories, based on the concept of ‘frame’ (Fillmore
1985), resembles Propp’s (1968) account of the plots of Russian fables� he author
concludes that the overlapping of structuralist and cognitive poetic ideas relects
10
Introduction
homas Kuhn’s (1962, 168) view that each new paradigm in science must preserve
the bulk of ideas and problem-solving activity that its predecessor had created�
he metaphor-metonymy continuum, the structures of the narratives, and artistic novelty are the three points that hold both literary paradigms together, even
though each of them approaches these ideas in diferent ways�
Olha Bandrovska in “A Synergetic Perspective in Literary Studies: Towards
Literary Anthropology” refers to an explosion of interest in interdisciplinary approaches to literary studies observable in the last decades� In this context, the
synergetic approach she proposes is explained as a meta-methodology, because
its principles open the way to the study of diverse phenomena of art, culture
and civilization as complex systems, which are characterized by self-organization
processes and states of instability� Such phenomena include iction, with literary
modernism being a part of it� he cooperation between synergetics and literary
anthropology is regarded as an example of a productive interdisciplinary approach
in studying literary phenomena� Bandrovska argues that the synergetic analysis
makes it possible to interpret man, his biological and social nature and unique
personality by examining him in terms of dynamic integrity, self-organization,
self-identity, creativity, instability, openness and his relationship with the outside
world� In her opinion, in such a perspective British literary modernism vividly
illustrates a new systematic understanding of the human condition, thus airming
the anthropological turn in the humanities of the 20th century and artistic expressivity, which continues to be a source of research within present-day scholarship
and of new ideas in contemporary literature�
Paweł Kaptur’s “‘he King is Dead, Long Live the King’–Transition and Continuity in John Dryden’s hrenodia Augustalis” opens the group of chapters examining a selection of literary works� he author focuses on hrenodia Augustalis
which was Dryden’s personal farewell to King Charles II Stuart and a welcoming oratory to the late King’s brother James� he text serves not only to express
Dryden’s mourning ater the loss of his lord but it is also a chance for the poet to
underline the transition and continuity of hereditary monarchy� Kaptur discusses
those elements and passages of Dryden’s threnody in which the poet highlights
the transition between the two reigns and the continuity of such values as peace,
justice and order which James was supposed to guarantee and which Dryden advocated so zealously� In the author’s view hrenodia Augustalis was supposed to
convince the people that the smooth transition from Protestant, popular Charles
to his Catholic, unpopular brother, was the best solution to provide England with
powerful authority based on hereditary succession rather than an elective system,
which British people had not known before�
Introduction
11
he next chapter, authored by Marek Błaszak and titled “he Evolution of
Sailor Hero in the 18th-century British Novel: A Study in Defoe and Smollett,”
examines the way in which the two British novelists used their sailor characters
and attempts to determine their contribution to the creation and evolution of
the sailor hero in the 18th-century British novel� Błaszak argues that in the case
of the mercantile-minded Daniel Defoe the seafarer is typically a merchant and
entrepreneur bent on making a fat proit in the spirit of Whig liberalism, fulilling
expectations of contemporary middle-class readers, while Tobias Smollett, who
had served in the Royal Navy in the capacity of a surgeon’s assistant for about a
year and was a follower of the coarser variety of the picaresque novel typiied by
Le Sage, distorted a couple of his seafaring characters so that they appear to be
grotesque objects and caricatures rather than life-like sailors�
Katarzyna Strzyżowska in the chapter titled “Grub Street Literary Activity in
18th century London� A Flaw or an Asset of Augustan Literature?” focuses on Grub
Street literary productions which symbolically came to represent the growing opposition to polite and ordered literature of early 18th-century England� he author
ponders upon the signiicance of the Grub Street writing and tries to answer the
question of whether its literary activity was of no value, as many tended to claim,
or perhaps its proliic output, oten introducing innovative techniques, did not
degrade the Augustan literature, but rather contributed to it�
Iryna Senchuk’s “he Evolution of W� B� Yeats’s Idea of a Drama: From On
Baile’s Strand to he Death of Cuchulain” is the irst of the three chapters devoted to
the discussion of revolution/evolution in drama� Senchuk analyses three Cuchulain
plays, exploring the evolution of W� B� Yeats’s dramatic style from On Baile’s Strand
to he Death of Cuchulain, with At the Hawk’s Well as a middle point� he study
of these plays in chronological sequence shows Yeats searching for possible ways
to bring his audience into deeper awareness of the inner drama of a personality,
which is the focus of the author’s attention� Considering the changes in Yeats’s
dramatic technique, Senchuk’s study deals with Yeats’s idea of drama and aims at
asserting that Yeats developed drama theory and practice alike�
“Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama� Some Relections on Pinter’s Grim Political Sketches” by Paulina Mirowska addresses the
expression of Pinter’s political and language concerns embodied in his overtly
political work for the stage of the 1980s, and later, especially, in his provocative
dramatic sketches that combine, with success, the narrow scope of presentation
with the grim realities of worldwide political violence� he analysis includes Pinter’s
late dramatic sketches, he New World Order (1991), Party Time (1991) and the
more recent Press Conference (2002), in particular, which combine a narrow scope
12
Introduction
of presentation with the grim realities of worldwide political violence� he dramatic
pieces discussed are positioned in the context of Pinter’s social activism and his
writing of the 1980s and 1990s concerned with the suppression of dissent and the
moral bankruptcy of ruling elites� Mirowska addresses the playwright’s enduring
attempts at impressing upon his audiences, against all odds, the need for countering
the entrenched habit of moral apathy, examining critically the prevailing modes
of self-justiication and recognising individual responsibility for what is done in
our name�
Monika Kozub’s “he Final Gasps of the Catholic Big House in Brian Friel’s
Aristocrats” deals with the work of Brian Friel (1929-), who is regarded as the best
Irish playwright living today� Aristocrats (1979), the play analysed in the chapter,
is a revealing family drama which occurs at a diicult time in Ireland: the civil
rights upheavals of the mid-1970s� Kozub focuses on the way in which Aristocrats
depicts the gradual demise of the Catholic Big House in Ireland using the example
of the once-prosperous O’Donnell family, and argues that the play addresses the
issue of class more fully than any other of Friel’s works�
Anna Pietrzykowska-Motyka in “Modern Appropriations of Shakespeare:
Jane Smiley’s A housand Acres (1991)” discusses the modern appropriation of
William Shakespeare’s King Lear in Jane Smiley’s novel, A housand Acres (1991)�
One of the most recent of the critical responses to the novel shows Jane Smiley’s
reworking of King Lear as (re)constructing an ‘alternate history’: “one that privileges the private, the domestic, the feminocentric, over the public, the national,
the phallocentric” (Millard 2007, 67)� While fully conceding that to be true, the
author of the chapter strives to prove how the appropriation retains the grandeur
and magniicence of the original piece, but at the same time it also marginalizes,
sidelines, or downgrades the source text� She concludes that the readers of Smiley’s
novel can approach Shakespeare’s Lear story from a diferent angle: while bearing
in mind the grandeur of the original, they can see that the potential of the source
text lies not only in retaining its original power and size, but also in the way the
source text enters into a contemporary context by negotiating with diferent geographical space, time continuum, or more ordinary characters� In Smiley’s novel
Shakespeare’s original story becomes modiied in various dimensions, giving Lear’s
story a new lavour and colouring, a mock-heroic one included�
In “Women, Men and the Hope of Pregnancy/Motherhood in Margaret
Atwood’s MaddAddam” Sławomir Kuźnicki discusses the Canadian writer’s novel, which concludes her 21st-century speculative trilogy and expands the concept
of a peaceful existence of men and women, as well as “old” people and the perfect
human clones in the post-apocalyptic world� Focusing on Nina Auerbach’s idea
Introduction
13
of “women’s communities,” already signalled in the novel he Year of the Flood
(2010), the essay investigates how the society of female and male survivors is supplemented in MaddAddam with the elements of motherhood and parenthood� It
appears that having children is crucial to female solidarity in this novel� Furthermore, motherhood overcomes many an obstacle: from problematic relationships
with men, through unambiguous female bonds, to trans-generic issues which
allow for the coexistence of “old” human beings with the “new” clones� Consequently, in the post-apocalyptic reality, motherhood unites not only women with
men, but also the representatives of “old” humanity with the genetically designed
Crakers� As the author suggests, the trans-generic relations and their ofspring
give hope for the future� he potential present in both “old” and “new” human
beings allows for an almost utopian possibility of a society that is not driven by
sexual, generic and racial discrimination�
Viktoriia Yaremchuk’s “he Evolution of the Hero in C� S� Lewis he Space
Trilogy” focuses on C� S� Lewis’s mythopoeic worldview embodied, long before
he Chronicles of Narnia, in the creation of a speciic ictional fantasy world of
he Space Trilogy (1938–1945)� In these polygeneric novels Lewis drew heavily on
medieval texts of Christian literature and philosophy, criticized modern culture
for its neglect of traditional values, articulated religious interests and brought
forward an intellectually examined religious account of the world� he texts created throughout the period of World War II marked the evolution of the author’s
oeuvre which manifested itself in the shaping of the synthetic and complex structure of a mythopoeic world model with a special type of hero, transforming in the
course of the plot� For Lewis, the concept of evolution of the hero embraced every
aspect of existence, from metaphysical and psychological notions of “becoming”
to his role in social, cultural, cosmic and universal “change” and “transformation�”
his has predetermined the Trilogy’s structure and mythopoeic background� he
author discusses the way in which the protagonist of he Space Trilogy evolves and
concludes that the religious symbolism of the hero’s evolution is combined with
Celtic and Greek mythological sources in the creation of a speciically national
English quest hero, which can be viewed as typical and exemplary for further
generations of fantasy authors�
Oksana Weretiuk’s “Indian Endurance in Andrew Suknaski’s Poems and Allen
Sapp’s Painting” contains a comparative analysis of the artistic output of the two
Saskatchewan-born artists� Both were painters looking up to the primitive art,
but Suknaski was irst of all a poet� he essay focuses mainly on the way in which
Suknaski’s poetic vision of the First Nations correlates with that found in Sapp’s
paintings� Although the two men had probably never met, there are similarities in
14
Introduction
the way they relected upon Indian endurance in Western Canada, as the author of
the essay argues, although one tries to capture the spirit of West Canadian Indians
on canvas and the other on the page�
Mirosława Buchholtz in her chapter titled “Wars and (R)evolutions: the Long
Happy Life of Hannah Höch (1889–1978)” examines the visual narratives from
the long creative life of the relatively little-known German Dada artist Hannah Höch� he author begins her analysis with observations given by Hannah
Arendt (1906–1975) in her book On Revolution (1963) in which she compares
two outstanding examples of 18th-century conlict: the American Revolution and
the French Revolution� Buchholtz points out that from Arendt’s perspective, the
American Revolution seems to have been more of a success than the French
Revolution because it did not jeopardise political freedom by focusing on the
“social question” and the welfare of the people� Next, Buchholtz describes the
evolution of the Dada movement as a reaction to the horrors of the First World
War� Hannah Höch, known as “Dadasophin,” was the only woman among Berlin
Dadaists and she used the photomontage technique in art as a useful medium for
her political and social commentary� Her collages and photomontages evolved
in the direction of abstract art and Höch herself transformed from a visual artist
to become a poet, which, according to Buchholtz, may have been the price of
survival, especially in the Nazi times�
In the chapter closing Part I titled “From a Sufering Victim to the ‘Final Girl’:
Evolution of the Concept of the Gaze in Slasher Films: Psycho and he Silence of
the Lambs” Agnieszka Kallaus examines various modes of looking: voyeurism,
fetishism, masochism and narcissism and their efect on the spectator in Alfred
Hitchcock’s Psycho (1960) and Jonathan Demme’s he Silence of the Lambs (1991)�
Both ilms can be classiied as slashers, which Clover (1992, 21) deines as “the
immensely generative story of a psychokiller who slashes to death a string of
mostly female victims, one by one, until he is subdued or killed, usually by the
one girl who has survived�” However, while in classic horror cinema (Psycho), the
process of identiication with the female heroine ceases to exist when the woman
becomes the designated victim, in the modern horror ilm (he Silence of the
Lambs), the “Final Girl” becomes her own saviour, which turns her into a hero�
he purpose of discussion is to show the evolution of the concept of the gaze from
the male-oriented perspective in Psycho, which perceives the female as a sufering
victim of the male violence, to the feminist position, which shows the female as an
avenging heroine, who struggles against objectiication in he Silence of the Lambs�
he analysis demonstrates how the presentation of masculinity and femininity in
classic and modern slasher ilms afects the complexity of the spectator’s position,
which relects the transformation of sex and gender categories in modern culture�
Introduction
15
Part II opens with the chapter titled “Protecting the Wilderness: How a Revolutionary idea (d)evolved, While the Wild World was Let to Endure” by Joanna
Durczak, which discusses how the idea that the wilderness should be protected
evolved from sounding ridiculously extravagant in mid-19th century America,
and how the proposition gradually gained wider support� he author stresses
that much of that support came from the academic and the literary world, which
however, as it turned out, could be a mixed blessing� At the end of the twentieth
century, the idea of the wilderness vs� humanity came under much intellectual
scrutiny to be dissected, deconstructed and revised as well as made an object of
academic wars� he author indicates that both in academic discussion and in
environmental practice, the original biocentric emphasis of the irst advocates
of wilderness protection has been remarkably weakened as attention has been
redirected anthropocentically onto cities, environmental justice and the morality
of the biocentric perspective� While a few of the least pessimistic environmentalists may continue fantasizing about “rewilding” the cities, and environmental
technocrats bet on green technological revolution, the old-timers speak of a battle
lost and put their hope only in the depleted wild world’s evolutionary endurance�
In his essay titled “‘U-turn if you want to’–On the Revolutionarily Evolutionary
Nature of Britain,” Ian Upchurch examines the concepts of evolution and revolution as the two processes that have fought for dominance in British cultural and
political life� he author focuses on the interplay between evolution and revolution in British history and culture, with particular reference to: the Civil War and
the Glorious Revolution which followed, the scientiic revolution in Newton’s
time, scientiic revolutions in evolution theory, the recent history of devolution
in government and the Scottish independence movement, and inally attitudes
to EU membership� According to Upchurch all these diverse examples point to a
conclusion, which is that, in the British case, evolution plus time equals revolution.
Many so-called ‘revolutions’ only appear as such due to our perspective looking
back into the distant past� When investigated up close, these ‘revolutions’ look
much more like ‘evolutions’ with a series of faltering steps towards a inal ‘goal’,
which is only seen as the product of a revolution thanks to our desire to believe
in some order and structure in history and to construct our creation myth�
Donald Trinder’s chapter “he British Guarantee to Poland of 1939 as a Revolution in Anglo-Polish Relations” is devoted to the examination of Anglo-Polish
relations preceding the outbreak of World War Two� Trinder presents an overview
of events triggered on March 30th, 1939 when the British Government extended a
unilateral and unsolicited guarantee of independence to the Polish Ambassador
in London� he author indicates that when the ofer was accepted by the Polish
Foreign Minister, Józef Beck, a chain of events was set in motion culminating in
16
Introduction
the outbreak of World War Two� Traditionally, this event has been portrayed as a
knee-jerk reaction by the Government of British Prime Minister Neville Chamberlain as his policy of Appeasement of Nazi Germany lay in ruins following the
Prague Coup� According to Trinder it is true that there had been no previous plans
of the British to enter into any form of alliance with Poland; however, this attempt
to form a united front runs completely contrary to the history of Anglo-Polish
relations� he author concludes that entering into agreement was the only viable
policy for both the British and the Polish governments�
In his essay “‘Insider’ Accounts of Guantanamo: the Good, the Bad, and the Absurd,” Dave Jervis focuses on the themes of revolution, evolution and endurance by
referring to the war against so-called terrorism and the American prison at Guantanamo Bay, Cuba� he author indicates that the very nature of prisons means
that outsiders have little information about life inside; however, the American
prison at Guantanamo Bay is not only geographically isolated, but it is a place
under the control of the American military where communication to and from
detainees is censored, and the authorities make eforts to restrict the number and
length of visits with the detainees� Jervis examines the perspectives and actions
of a number of persons involved in the prison’s activities, including prisoners
(Mohamedou Ould Slahi, Guantanamo Diary and Moazzam Begg, Enemy Combatant and perhaps others), a guard (Hickman, Murder at Camp Delta), and an
Afghan-American lawyer who has represented some of the detainees (Khan, My
Guantanamo Diary)� he author concludes that there are many good, bad, and
absurd realities at Guantanamo; however, people will learn the truth only when
there are no more insiders and those who have been imprisoned or worked there
can freely tell their stories�
he text titled “African American Speeches and Sermons in the 1950s and 60s
from a Co-Cultural Perspective” by Péter Gaál-Szabó focuses on speeches and sermons delivered by major African American religious leaders in the 1950s and 1960s
which both channelled and mirrored the evolution of a renewed African American
(religio-)cultural identity� Gaál-Szabó suggests that much of the communication
strategy employed blends into African American communication patterns, which
proves to be entangled in an intercultural discourse, in which ingroup and outgroup
members are equally addressed� he speeches and sermons ultimately relect upon
the co-cultural embeddedness of the speaker, while the heterogeneity of the African
American community further complicates a coherent view of communication strategies� One way to map them is ofered by Mark P� Orbe’s co-cultural theory, in which
the diferent communication orientations, approaches, and practices enhance the
preferred outcome; i�e�, assimilation, accommodation, and separation� It is the latter one that the author analyses in the sermons and speeches of Black Christian
Introduction
17
(Martin Luther King, Jr� and Vernon Johns) and Black Muslim (Elijah Muhammad
and Malcolm X) leaders� he author concludes that separation as a communication
strategy can bear importance for all the speakers as it does not necessarily highlight
ideological alignment as oten presumed, but the practices associated with it may
easily be employed to reach accommodationist goals�
In her chapter “Transculturality Exempliied by the Evolution of Salsa Dance
in the USA,” Małgorzata Martynuska elaborates on the rapid increase in the
number of Hispanics in the USA which leads to the Latinization of many areas
of American social life� he author examines the development of salsa dance
in the USA as a transcultural movement in which people who migrated from
the Caribbean islands to the American mainland express their hybrid identities
through the dance� Salsa has origins in Afro-Spanish musical traditions of Cuba
but it is the Puerto-Ricans of New York who popularized the style� Martynuska
describes how in the process of transculturation salsa dance retains its Latin traditions and undergoes constant changes while incorporating new trends from
American multi-ethnic culture� Moreover, the author focuses on the signiicance
of US dancing studios and Latin artists that have promoted and popularized salsa
music and dance to a broader ethnic audience than just the Latin community
in the USA� Martynuska concludes that salsa has become a unique part of the
American Latinidad that entered diferent spheres of American social life and
still continues to transform�
he text closing the volume, “Values and Relationships in American Economy –
he Changing Face of the Core” by Damian Pyrkosz, discusses the relation
between economic progress and American values� For most of the 20th century,
and nearly the whole irst decade of the 21st, the USA was the example to follow
with regards to economic progress� At the same time, the Americans have always
been proud to follow a set of certain core values, among which are equality, liberty, individualism, competition, independence etc� Pyrkosz suggests that those
values have afected the quality of human relationships that earned America the
nickname of the land of opportunity� Yet in the wake of the economic straits beginning in 2008 voices of concern were raised which questioned the legitimacy
of the core values� With reference to various surveys conducted by American and
international institutions, the author aims to provide an answer to the question of
whether the Americans’ perception of the core values constituting their society,
and hence the economic system, has changed or not, which could shed some light
on the causes of the inancial crises beyond the economic sphere and embedded
in culture�
Editors
18
Introduction
References
Clover, Carol J� 1992� Men, Women and Chain Saws: Gender in the Modern Horror
Film� Princeton, NJ: Princeton University Press�
Millard, Kenneth� 2007� “Silence, Secrecy and Sexuality: ‘Alternate Histories’ in
Jane Smiley’s A housand Acres, Carol Shields’ he Stone Diaries, and Jefrey
Eugenides’ Middlesex.” In Coming of Age in Contemporary American Fiction by
Kenneth Millard� Chapter 2� 61–81� Edinburgh: Edinburgh University Press�
Reclus, Elisée� 1891� Evolution and Revolution, London: W� Reeves, Seventh Edition�
Accessed August 20, 2016� http://dwardmac�pitzer�edu/Anarchist_Archives/
coldothepresses/evandrev�html�
Part I
Revolution and Evolution
in Literature and Visual Arts
Krzysztof Kosecki
Cognitive Poetics: Revolution or Evolution
in the Study of Literature?
Abstract: he article examines some of the tenets and techniques of analysis employed
by cognitive poetics which draw on methodologies advanced by structuralists in the second half of the 20th century� he author focuses on such aspects of a literary work as: the
metaphor-metonymy continuum, the narrative structures and artistic novelty�
Introduction
Apart from structuralism, cognitive linguistics of the second generation is another paradigm that has made an important contribution to the study of literature
(Jameson 1972; Scholes 1976; Hawkes 1977; Lakof and Turner 1989; Stockwell
2002; Gavins and Steen 2003)� Most structuralist ideas in literary studies look
back to Ferdinand de Saussure’s seminal book Course in General Linguistics (1915)
and the relational structures in language that it has described� Most cognitive
poetic ideas derive from George Lakof and Mark Johnson’s equally inluential
book Metaphors We Live By (1980) and the theory of conceptual metaphor that
it formulates� Lakof ’s (1987) exposition of the concepts of cognitive models,
prototype-based categories, and the igure-ground distinction in language also
provided some key ideas that found its way into the analyses of literature�1
Some elements of Cognitive Poetics draw on, extend, and re-interpret ideas
advanced by structuralist poetics in the second half of the 20th century, for example
the continuous relation between metaphor and metonymy, the “grammar” of the
narrative structures of texts, as well as the principles of artistic novelty� As the
new paradigm builds on many previously developed ideas, it should be viewed
as a stage in the evolution of literary studies�
1. Structuralist poetics: major tenets
he fundamental assumption of structuralism is that the arrangement of whatever
entities must involve wholeness regulated by intrinsic laws (Hawkes 1977, 15–16)�
he idea of a structured system is most evident in de Saussure’s (1915) linguistics,
1
See Stockwell (2003) and Gavins and Steen (2003) for the discussion of the application
of these ideas in the analysis of literary texts�
22
Krzysztof Kosecki
which sees language as a social fact–la langue–based on relational units, and each
of its individual instantiations as la parole� hey always make use of only a part of
the system, but each use is fully rule-governed�
Structuralist poetics regards literary language as a form of verbal activity that
should be studied following the principles of linguistics� Roman Jakobson, the
key representative of the movement, writes:
I have been asked for summary remarks about poetics in its relation to linguistics� Poetics
deals primarily with the question, “What makes a verbal message a work of art?” Because
the main subject of poetics is the diferentia speciica of verbal art in relation to other arts
and in relation to other kinds of verbal behavior, poetics is entitled to the leading place
in literary studies� Poetics deals with problems of verbal structure, just as the analysis
of painting is concerned with pictorial structure� Since linguistics is the global science
of verbal structure, poetics may be regarded as an integral part of linguistics� (Jakobson
1960, 350)
Similar ideas were voiced by the linguist Jan Mukařovský (1932), who claimed
that the poetic function of language “foregrounds” the form of utterance thanks
to manipulation of various linguistic elements (Hawkes 1977, 75)�
In his analyses of literary texts, Jakobson draws heavily on de Saussure’s (1915)
indings concerning the relational structure of language, especially its paradigmatic and syntagmatic axes� he two axes also govern the selection and combination of language units in literary texts: “he poetic function projects the principle
of equivalence from the axis of selection into the axis of combination” (Jakobson
1960, 358)� he process can be illustrated with the following example:
When I say “My car beetles along,” I select “beetles” from a “storehouse” of possibilities
which includes, say, “goes,” “hurries,” “scurries” etc�, and combine it with “car” on the
principle that this will make the car’s movement and the insect’s movement equivalent.
(Hawkes 1977, 79)
he projection thus makes it possible to see the car’s movement in terms of animal-related metaphor� Because each sign has two layers–signiiant and signiié–
“poetic texts require the reader to linger on the signiiant for a longer time than do
non-poetic texts, before moving on to the signiié”; in other words, the automatic
transition from one layer to another is delayed (Tsur 1992, 5)�
he quality of the word becomes the central issue, and it is evaluated with
respect to such parameters as meter, rhythm, rhyme, as well as the patterns as
repetition, alliteration, assonance, and consonance� he analysis of the artistic
quality of Edgar Allan Poe’s poem “he Raven” (1845) well illustrates the point:
And the Raven, never litting, still is sitting, still is sitting
On the pallid bust of Pallas just above my chamber door;
Cognitive Poetics: Revolution or Evolution in the Study of Literature?
23
And his eyes have all the seeming of a demon’s that is dreaming,
And the lamp-light o’er him streaming throws his shadow on the
loor:
And my soul from out that shadow that lies loating on the loor
Shall be lited–nevermore!
(Galloway 1977, 80)
he inal stanza of the poem takes its efect, among many other elements, from
repetitive alliteration, the “sonorous” paronomasia of the fragment “pallid bust
of Pallas”, as well as the word raven being a linguistic image of never in terms of
the allocation of consonants in an inversive paronomasia: r→v→n vs� n→v→r
(Jakobson 1960, 371–72)�
he poetic idea thus cannot be separated from the structure of the text in which
it is expressed� In the process of semantization, the semantic-syntactic elements
of an artistic text are inseparable because they create a given image of reality by
means of multiple interrelations between them (Lotman 1977)�
2. Cognitive poetics: major tenets
Cognitive linguistics of the second generation emphasizes the role of conceptual
metaphor and metonymy in conventional communication (Lakof and Johnson 1980, 1999; Langacker 1993), the interaction between the two processes in
the form of metaphtonymy (Goossens 1990), metonymic motivation for metaphors (Radden 2000), and the role of prototype-based categories in the linguistic
worldview based on various cognitive models of the world (Lakof 1987, 68–90)�
Cognitive poetic analyses of literary texts focus, among other elements, on the
metaphor- and metonymy-based conceptual complexities of poetry and prose,
the narrative structures of literary works and their relation to conceptual categories, as well as on the role of novelty in artistic texts (Lakof and Turner 1989;
Stockwell 2002)�
One of the fundamental assumptions of Cognitive Poetics is that conventional
language and literature employ the same conceptual processes, categories, and
tools� It is, however, in literary texts, that these mechanisms are used in novel
and special ways:
It is commonly thought that poetic language is beyond ordinary language–that it is something essentially diferent, special, higher, with extraordinary tools and techniques like
metaphor and metonymy, instruments beyond the reach of someone who just talks� But
great poets, as master cratsmen, use basically the same tools we use; what makes them
diferent is their talent for using these tools, and their skill in using them, which they
acquire from sustained attention, study, and practice� Metaphor is a tool so ordinary that
we use it unconsciously and automatically, with so little efort that we hardly notice it …
24
Krzysztof Kosecki
Great poets can speak to us because they use the modes of thought we all possess … �
To understand the nature and value of poetic creativity requires us to understand the
ordinary ways we think� (Lakof and Turner 1989, xi–xii)
Tsur, whose psychology-oriented cognitive poetic analyses focus on the relation
between literary structures and their artistic efect, takes a similar perspective:
“poetry exploits, for aesthetic purposes, cognitive (including linguistic) processes
that were initially evolved for non-aesthetic purposes”, which in extreme cases
“may become ‘organized violence against cognitive processes’, to paraphrase the
famous slogan of Russian Formalism” (1992, 4)�
Both these statements mirror Jakobson’s (1960) view that poetics is a special
branch of linguistics� he shit of attention from formal to conceptual properties of
literary language, especially evident in the linguistics-oriented analyses of literary
texts (Lakof and Turner 1989; Stockwell 2002), is the efect of the emphasis on the
need to study the structure of human conceptual system, which inds its relection
in language (Lakof and Johnson 1980, 3)�
3. Structuralist poetics vs. Cognitive Poetics
Out of four major points of contact between the two approaches to the study
of literature, similar ideas appear in the analysis of the status of metaphor and
metonymy in artistic texts, the categories of narrative structures, and the role of
novelty in literary language� Cognitive Poetics departs from the structuralist views
of the status of literary text, but the break is not revolutionary�
3.1. he metaphor-metonymy bi-polarity and continuum
Jakobson (1956, 58–82) extended the metaphor-metonymy bi-polarity, regarded as one of the fundamental principles of language, from linguistic analyses
of aphasia to other sign systems, such as literature, painting, and social rituals�
Certain literary movements and genres, for example the poetry of romanticism
and symbolism, were metaphor-based; in contrast, realistic prose relied primary
on metonymy for literary efect (Jakobson 1956, 77–78)� In neither of the sign
systems, however, did the two processes–based, respectively, on similarity and
contiguity–represent an absolute dichotomy�
Cognitive linguistics sees metaphor and metonymy as fundamental structuring
principles of human conceptual system and stresses the complementary presence of
the two mechanisms in language and other sign systems, such as ilm, architecture,
politics, and social institutions (Kövecses 2002, 57–66; Lakof 1996)� Cognitive
Poetics, in turn, has recognized the equally fundamental role of metaphor and
Cognitive Poetics: Revolution or Evolution in the Study of Literature?
25
metonymy in literary texts (Lakof and Turner 1989, 57–106; Stockwell 2003,
105–20)� he interaction of the two mechanisms very oten contributes to the
overall artistic efect of a literary text, which is evident in the following stanza from
Blake’s poem Milton (ca� 1804–10):
And did the Countenance Divine
Shine forth upon our clouded hills?
And was Jerusalem built here,
Among these dark Satanic Mills?
(Abrams et al� 1975, 1342)
In the irst line, “the Countenance Divine” refers to Jesus Christ by means of the
common metonymy the face for the person� he verb “shine forth” at the beginning of the next line represents spiritual illumination that Christ was expected
to bring–it is the source domain of the metaphor knowing is seeing� he combined efect is of Christ being the agent and image of a new moral order alluded
to by the name of “Jerusalem”, which is the vehicle of the metonymy the place
for the idea�
3.2. Narrative structures and prototypes
he cognitive linguistic concept of frame or idealized cognitive model (ICM) imposes certain structural invariants that can be utilized to various extent in various
linguistic constructions—they thus serve as an event-sequence potential (Evans
and Green 2006, 222–27)� For example, Lakof ’s (1987, 83) analysis of various
kinds of mother involves the frame of a female who “gave birth to the child, supplied her half of the child’s genes, nurtured the child, is married to the father, is
one generation older than the child’s legal guardian”� Any deviations, for example
genetic, biological, or foster mothers, are always deined with respect to a frame
that serves as a prototype or the best example of a category (Rosch and Mervis
1975)� Because each sub-category utilizes only a part of the idealized model, it is
based on the metonymy the part for the whole (Lakof 1987, 83–84)� Similar
principles hold for linguistic expressions overtly related to actions: for example,
the statement “I hopped on the bus” highlights only a part of the script of getting
somewhere, but it evokes the whole of it in the minds of language users (78–79)�
Vladimir Propp’s (1928) description of the plots of Russian fables emphasizes
the common elements in the narratives of the respective texts, thus aiming at
creating a “grammar” of their plots�2 In more than a hundred Russian folktales,
2
Tzvetan Todorov’s (1969) description of the structures of stories making up Boccaccio’s
he Decameron (1350–53) follows similar principles�
26
Krzysztof Kosecki
he discovered an underlying pattern of thirty-one functions or acts of various
characters� he functions were divided into six groups: preparation, complication,
transference, struggle, return, and recognition� Finally, there were seven character
roles of the villain, the donor (provider), the helper, the princess (the sought-for
person and her father), the dispatcher, the hero (seeker or victim), and the false
hero� No tale had all thirty one functions in its structure, but those that it had
always followed the same sequence� Also, more than one character could play each
of the roles or a single character could play more than one role� his morphology
or “grammar” of the Russian folktale thus serves as a system–the Saussurean la
langue; each of its individual uses is la parole (Scholes 1974, 63–65)�
he idealised narrative structure of the Russian folk tales can, however, also be
regarded as a prototype that serves to deine all exceptions that function as subcategories related to it� Patrick Colm Hogan’s (2003) cross-cultural description of
narratives related to emotion scenarios, for example a romantic union between the
participants (Kövecses 2006, 88–91), follows a similar pattern because it aims to
formulate idealised structures that to various extent are used in individual cases�
If various tales use the prototypical narrative to various extent, then these instantiations form—like Lakof ’s (1987) mother—a radial category with a prototype in
the centre� he category is based on the part-whole relation�
Cognitive poetic analyses of narratives are thus not far removed from their
structuralist counterparts� he reinement lies mainly in applying the concept
of frame, which relects metonymy-based categorisations related to a prototype�
3.3. Defamiliarization and novelty
he Russian Formalist Victor Shklovsky (1917) advanced the idea of defamiliarization (Rus� ostranenie; Eng� lit� making strange) as the key function of art:
As perception becomes habitual, it becomes automatic� We see the object as though it
were enveloped in a sack� We know what it is by its coniguration, but we see only its
silhouette … � Habitualization devours objects, clothes, furniture, one’s wife, and the fear
of war� “If all the complex lives of many people go on unconsciously, then such lives are
as if they had never been�” Art exists to help us recover the sensation of life; it exists to
make us feel things, to make the stone stony� he end of art is to give a sensation of the
object as seen, not as recognized� he technique of art is to make things “unfamiliar,” to
make forms obscure, so as to increase the diiculty and the duration of perception� he
act of perception is an end in itself and must be prolonged� In art, it is our experience of
the process of construction that counts, not the inished product. (Scholes 1976, 83–84)
In prose, defamiliarization can be achieved by shits in the point of view and the
plot of the story, as well as by changing its style (Scholes 1976, 84)� In poetry, images, rhyme, rhythm, and metre not only express senses but are meaningful on
Cognitive Poetics: Revolution or Evolution in the Study of Literature?
27
their own—they serve “to defamiliarize that with which we are overly familiar,
to ‘creatively deform’ the usual, the normal, and so to inculcate a new, childlike,
non-jaded vision in us” (Hawkes 1977, 62)� Taking a psychological perspective of
this concept, Tsur (1992, 4) says that “systematic disturbance of the categorization
process makes low-categorized information, as well as rich pre-categorial sensory
information, available to consciousness”�
Cognitive Poetics ascribes similar functions to metaphor: “poetic thought uses
the mechanisms of everyday thought, but extends them, elaborates them, and
combines them in ways that go beyond the ordinary” (Lakof and Turner 1989, 67)�
Extension means introducing new elements to the source domains of conventional
metaphors; elaboration involves using the existing elements of metaphors in novel
ways (Lakof and Turner 1989, 67–69; Kövecses 2002, 47–48)� Both can be illustrated by homas Ernest Hulme’s short imagist poem “Autumn” (1909):
A touch of cold in the autumn night–
I walked abroad,
And saw the ruddy moon lean over a hedge
Like a red-faced farmer�
I did not stop to speak, but nodded,
And round about were the wistful stars
With white faces like town children�
(Leeson 1980, 450)
he personiication metaphor a celestial body is a person, present in such
conventional expressions as “he moon rises” or “he moon walks over the evening
sky,” is extended by attributing to the moon the properties of hair colour and the
ability to speak� he movement of the moon, in turn, is elaborated into a more speciic form of “leaning over a hedge�” he process of combining or composing metaphors can be illustrated by the following stanza from Samuel Taylor Coleridge’s
poem “he Rime of the Ancient Mariner” (1798):
‘And now the Storm-blast came, and he
Was tyrannous and strong:
He struck with his o’ertaking wings,
And chased us south along�’
(Leeson 1980, 302)
he quatrain combines two metaphors of the storm-blast: natural phenomenon
is a person highlights the agent-related properties of action and power, evident
in the elements of “coming” and being “tyrannous” and “strong”; natural phenomenon is an animal underscores the power of the storm by means of the
element of “o’ertaking wings�” he novelty of the passage consists in the fact that
28
Krzysztof Kosecki
personiication and animalization metaphors seldom overlap so closely in conceptualizing a single entity�
An entirely novel metaphor can be illustrated by the following stanza of Emily
Dickinson’s poem “My Life has stood–a Loaded Gun–” (1863):
My Life has stood–a Loaded Gun–
In Corners–till a Day
he Owner passed–identiied–
And carried Me away–
(Baym et al� 1986, 1071)
he metaphor of a loaded gun reiies the concept of life� Being less conventional
than, for example, a reiication of life as a building (Kövecses 2002, 109), it has
more potential to show the unpredictable and violent events in life�
3.4. he status of the text
Focusing on the linguistic quality of the literary language, structuralism sees each
text as a closed whole� It thus gives prominence to the position of the author and
his skills in use of various literary devices� Cognitive Poetics also emphasizes
the role of linguistic mechanisms used by the author, such as metaphor and metonymy, and various sound patterns (Tsur 1992, 111–206)� However, claiming that
“all reading is reading in” (Lakof and Turner 1989, 106–10; Turner 1991, 13), it
also exposes the role of the reader-efected construal of the text as a part of any
experience of reading� It thus focuses not only on “the poetic language and form”,
but also on and the way they “are constrained and shaped by human information
processing” (Tsur 1992, 1)�
Conclusions
Both structuralism and Cognitive Poetics assume that linguistics is the key to
understanding verbal art� Jakobson (1960, 356–63) places the artistic/poetic function on a par with the remaining functions of language� He goes on to explain that
“the supremacy of poetic function over referential function does not obliterate
the reference but makes it ambiguous” (Jakobson 1960, 371)�
he overlapping of structuralist and cognitive poetic ideas relects homas
Kuhn’s (1962, 168) view that each new paradigm in science must preserve the
bulk of ideas and problem-solving activity that its predecessor had created� he
metaphor-metonymy continuum, the structures of the narratives, and artistic novelty are the three points that hold both literary paradigms together, even though
each of them approaches these ideas in diferent ways�
Cognitive Poetics: Revolution or Evolution in the Study of Literature?
29
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Colm Hogan, Patrick� 2003� he Mind and Its Stories: Narrative Universals and
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Olha Bandrovska
A Synergetic Perspective in Literary Studies:
Towards Literary Anthropology
Abstract: he article suggests the synergetic approach as a meta-methodology, determining
its principles for the study of diverse phenomena, including art and culture, and viewing
its potential in literary studies, namely, in combination with literary anthropology� he
author discusses the way in which selected anthropological categories are reconceptualised
in the British modernist novel�
1. Synergetic Project in Literary Studies
One of the most important features of science and the humanities in the second
half of the 20th–the beginning of the 21st century is formulating complex, interdisciplinary problems in various areas� he dichotomy between the humanities and
science has lately been questioned which logically leads to a search for invariant
features that would remain constant for diferent branches of knowledge� Resolving this issue makes theoretical thinking necessary to combine ideas belonging
to diferent ields of research into a complex whole� he eforts of contemporary
scholars working in this direction are aimed at building special structural models
that would consider the multi-disciplinary knowledge in a joint theoretical key�
As the Russian specialist in epistemology Vyacheslav Stepin (2005) states,
…severe demarcation between knowledge of sciences of nature and that of spirit was
reasonable for the 19th century but in many aspects is not valid for the science of the last
third of the 20th century� …in modern science the role of complicated developing systems
is constantly increasing� Such systems have ‘synergetical characteristics’ and include people
and their activity� Methodology of research of such objects draws sciences and humanitarian knowledge close, erasing strict boundaries between them� (46)
hus, the great prospects are opened up for synergetics�
he term synergetics was introduced by Hermann Haken, a German researcher
and a professor in theoretical physics about forty years ago� Today it is widely
used� A more traditional term for this ield of scientiic research is theory of selforganization� Over the last two decades, the terms studies in complexity and theory
of chaos have been widely circulated� All these terms imply phenomena that inherently intersect and interact, and sometimes are used as identical�
he key notions in synergetics are complexity, order and disorder, dynamics,
nonlinearity, instability, openness� he collective behaviour of elements in the
32
Olha Bandrovska
system—namely, the process of evolution, self-organization, dynamic chaos, in
other words, qualitative transformation of systems—serves as the subject of synergetics, such general factors as multilevelness, autocreativity, relative limits of
forecasting taken into consideration� hus, the basic questions in synergetics deal
with issues about the creative role of chaos in the process of origin and evolution
of complex structures, and about general principles of self-organization regardless
of the nature of the individual parts of a system�
Within transdisciplinary framework of synergenics there does not exist (and,
obviously, cannot in principle be) a common scientiic language, because it brings
together experts from diferent ields: physicists, chemists, mathematicians, biologists, sociologists, literary critics� Its vocabulary comes from terminology used
in diferent ields of knowledge� herefore, each speciic version of synergetics
implements its own concepts�
he greatest success in developing synergetic model of knowledge was achieved
by the Belgian school of Ilya Prigogine, a famous physical chemist and Nobel
Laureate noted for his work on dissipative structures and complex systems� In his
works (irst of all, co-authored with Isabelle Stengers Order out of Chaos: Man’s
New Dialogue with Nature, 1984, and co-authored with Gregory Nicolis Exploring
complexity: An Introduction, 1989) he studied the phenomenon of complexity and
the principles of self-organization process in various ields of knowledge–from
natural sciences to the humanities and art� According to Prigogine, instability and
self-organization processes in a new scientiic picture of the world suggests the
conclusion that the future is essentially unpredictable� hus, inability to build a
dynamics of the universe leads to a new relationship to the world, and results in
convergence of the scientist and artist’s activities:
his world is unstable [complex]–this is not a capitulation but on the contrary an encouragement to combine new experimental and theoretical research which takes account of this
unstable character� …We need to be aware that our knowledge is still a limited window on
the universe; because of instability we must abandon the dream of total knowledge of the
universe� …here is a close analogy with a work of literature: in its irst chapter a novel
begins with a description of the situation in a inite number of words, but it is still open to
numerous possible developments and this is ultimately the pleasure of reading: discovering
which one of the possible developments will be used� (Prigogine 2009, 235–36)
he new approach refuses all universalist claims as illusions inherent in classical
science� Its central idea is the diversity of the world, evolutionary processes and
instability phenomena� Such openness makes it possible to transfer knowledge
from one area to another�
he same way of thinking is common in the humanities, especially, in philosophical knowledge� If to trace the formation of postmodern philosophy in the
A Synergetic Perspective in Literary Studies
33
20th century, one may state that from the beginning it had been developing the
synergetic program�
Friedrich Nietzsche, the most responsible thinker for transitioning philosophy
into postmodernism, conceptualized the ideas of becoming and creativity, chaos as
a creative basis in all processes in the world� “…one must still have chaos in one, to
give birth to a dancing star”—this is his synergetic formula in hus Spoke Zarathustra (Nietzsche 1999, 6)� A Nietzschean project of human being is designated as an
open metaanthropological programme in which the concept of man subordinates
all philosophical issues� Moreover, the features of Nietzschean narrative also deined through the notions of “openness” and “incompleteness” prepare modernists
and postmodernists’ linguistic and artistic experiments of the 20th century�
A synergetic vision of a human being is also inherent in the philosophy of
Max Scheler whose ideas of human incompleteness and openness to the world,
intersubjectivity, a dialogue with the Other are convergent with modernist’s innovations of representing human beings, and their consciousness�
According to Jean-Paul Sartre, the being of a person is never completed� In
his lecture “Existentialism is a Humanism” (1946) he said: “…man is free, man is
freedom…Man is the future of man…man, without any support or help whatever,
is condemned at every instant to invent man”�
As it is known, essential properties of man–spirit, becoming of personality, its
freedom to choose the project itself–are explored by philosophical anthropology�
Elaborated within it, the pluralist and open model of human being corresponds
with synergetic approach� he combined methodology of anthropology and
synergetics makes it possible to interpret man, his biological and social nature,
and unique personality by examining him in terms of dynamic integrity, selforganization, self-identity, creativity, instability, openness as his relationship with
the outside world�
On the whole, problematisation of human existence limits, including physical and spiritual practices, social and cultural life, determines and justiies the
concept of anthropological turn, which is a sign of modern scientiic thought
and literature�
he philosophical inquiry of a human being correlates to literary anthropology�
he representatives of the latter believe iction to carry proto-knowledge about a
man (P� de Man) and to be a total fact of culture (M� Mauss)�
Wolfgang Iser, a German literary scholar, considered literature as the oldest
means of communication that emphasizes anthropological character of each epoch�
He investigated how literature depragmatises conventions and holds them up for
inspection� In his opinion, the literary text ofers an anthropological view that is
unavailable to other types of discourse:
34
Olha Bandrovska
…what literature does is to stage a whole array of conventions more or less simultaneously
in a text� Obviously if one wants to ind an anthropological implication in this particular
exposition, one might say that human beings have an urge to look at their regulatory
principles� Why is there such an urge? We appear to want to be with ourselves and
simultaneously outside ourselves� If that seems to be a basic human situation–a way of
extending ourselves–then this question of assembling an array of conventions horizontally in the literary text might be a way of looking at the regulatory functions according
to which human beings conduct their lives� (qtd� in Oort 1997)
hus, the type of ictionality which we encounter in literature is also a way of
extending ourselves�
Moses Kagan, a Russian specialist in cultural studies and aesthetics drew an
analogy between the processes of artistic creativity and personality development,
emphasizing the uniqueness of each individual and each artistic image� he following classes of systems are presented in complexity theory: simple (inorganic),
complex (biological), and super-complex, which is anthropic-socio-cultural
system (human society and culture)� Kagan proposed to allocate the fourth
system rank, which he called ultra-complex system, that is—a person as an
individual, and artistic images that relect the dynamic nature of the individual�
He explained selecting this class by “the unique content of each individual and
each artistic image”� Diiculty level and type of the complexity of these systems
increased by several orders suggest the possibility of ininite variety of speciic
conigurations (Синергетическая парадигма 2003, 219)� Methodologically,
the idea about similarity between artistic creation and formation of personality,
which are always marked by elements of nonlinearity and self-organization, is
promising�
In this anthropo-synergetic perspective, literature ceases to be only “iction
writing” and becomes a herald of knowledge, ideas, projects of its time, turning
them into literary artefacts� It is regarded as an anthropological knowledge�
he combination of methodological potential of synergetics and literary anthropology can extend analytics of human being in literature, and, above all,
explain how the understanding of man makes the structure of the plot, character,
narrative strategies, a symbolic plan, that is the aesthetic whole of the artwork�
2. Anthropo-synergetic parameters of the Modern
British Novel
he key issue of synergetic anthropological approach is to explain how iction
relects the structure of the individual (e�g�, dynamically or statically, linearly
or nonlinearly), what type of human consciousness—mythological, religious,
A Synergetic Perspective in Literary Studies
35
personalist—is relevant to the cultural epoch, and what are speciic modiications of a corresponding artistic image�
Taking into account a long history of personality studies (Plato, Aristotle, Galen)
the modern sense of individual personality is a result of the cultural shits originating in the Renaissance, Reformation, and a republic form of government� hus,
“personality” attributive properties of which are freedom and spiritual self-airmation is a new European concept� In the second half of the 17th century René Descartes gave the individual’s consciousness supreme importance, John Locke deined
personal identity through duration in time and then David Hume continued to
elaborate science of man which he considered the only solid foundation for other
sciences� As it is stated in Ian Watt’s he Rise of the Novel, in the 18th century “both
philosophers and novelists paid greater attention to the particular individual than
had been common before” (Watt 2000, 18)� Accordingly, the development of the
novel as a leading literary genre coincides in time with philosophical actualization
of the concept of “personality”�
By itself, genre of the novel is a very interesting and appropriate object for
synergetic analysis� As Mikhail Bakhtin wrote in “he Epic and the Novel”, “the
novel is the sole genre that continues to develop, that is as yet uncompleted”
(Bakhtin 1992, 3), or “in the process of becoming the dominant genre, the novel
sparks the renovation of all other genres; it infects them with its spirit of process
and inconclusiveness” (7)�
It could be argued that the type of worldview and the plot, the mode of creating
characters, and introducing biographical time in the English novel of the 18–19th
centuries point the linear becoming of personality�
he typical life story in the classic novels (Richardson, Fielding, Smollett, Dickens, hackeray and others) is based on physical maturation, the gradual assimilation of moral principles ofered by the older generation, and certain vital steps to
perform the “social” destiny: birth, childhood, education, marriage, implementation of life principles, and death� In this unidirectional progression, taking into
account all novel complications, the present is clearly caused by the past and, at
the same time, determines the future�
he principle of linearity in the understanding of human life, embodied by
most British novelists of the 18th–19th centuries, is combined with modern understanding of the relationship between man and the world� Man is represented
as the subject of cognition whose cognitive mind subordinates all other properties of consciousness, as in rationalism; nature becomes the object of cognition,
improvement and conquest, as in Daniel Defoe’s Robinson Crusoe�
Modernists made a transition to a new artistic level of complexity in analysis
of human being, its individuality and personality� he relationship of man and
36
Olha Bandrovska
the world was revaluated in the parameters of multiplicity, variability, instability
and uncertainty� he writers focused on absolute integrity and uniqueness of the
individual personality, its original self through which all human qualities, including socially meaningful ones, are refracted�
For instance, Virginia Woolf ’s novels exemplify a new artistic modelling of human being� According to the novelist, man has an ininite ield of consciousness
that goes beyond the three-dimensional space, linear time and causality� “Nothing
exists outside us except a state of mind”, speculates Peter Walsh, a character of the
novel Mrs. Dalloway (Woolf 1996, 55–56)� As it is known, Woolf ’s conception of
consciousness is grounded on William James’s description of consciousness as a
‘river’ or a ‘stream’ that constantly is bombarded by external sensations, and on
Henri Bergson’s conception of internal time which he deines as durée� Stratiied
and mingled streams of consciousness and feelings, thoughts and emotions of the
characters deprive her plots of linearity� Woolf sought for such narrative strategies
that would allow rendering the mental event volumetrically� Her aim was “to go
beyond the formal railway line of a sentence”�
In Mrs. Dalloway not only streams of consciousness but, according to Paul
Ricoeur, experiences and destinies of the characters intersect and create “a sort of
underground network”, “a complex and unstable relationship”� In her diary Woolf
wrote that she tried “to dig out beautiful caves behind the characters … � he idea
is that the caves shall connect and each comes to daylight at the present moment”
(Woolf 1980, 263)� As Ricoeur explains, “he two fates of Septimus and Clarissa
essentially communicate through the closeness of the subterranean ‘caves’ visited
by the narrator� On the surface, they are brought together through the character
of Dr� Bradshaw, who belongs to two subplots” (Ricoeur 2010, 186)� In our view,
the kinship between the destinies of Septimus and Clarissa at the depth of stream
of consciousness represents Woolf ’s conception of identity, namely the concept
of the Other as a constituent part of the human “self ”�
For Woolf, another focus that moulds majority of her characters is the processual nature of self and identity� In the irst lines of Mrs. Dalloway “adult” Clarissa
is presented, when she is going to buy lowers for her party� However, in the following lines the author provides broader dimension: the image of ity-two-year
old heroine is doubled by “young” Clarissa from a distant past� Within this duality
of “older” and “younger” Clarissa the writer constructs her manifold identities as
a girlfriend, a wife, a mother, a lady, her isolation and fear of death�
On the whole, luid, shiting identity, rhizomatic network of consciousness
and, consequently, rhizomatic multiple narratives are Woolf ’s contribution to the
20th century anthropological knowledge�
A Synergetic Perspective in Literary Studies
37
Aldous Huxley, another British modernist writer, examines human ability to
remain a whole, in other words, the limits of inner integrity� In his novel Point
Counter Point the artist created a multi-dimensional synergetic model of man:
A man’s a creature on a tight-rope, walking delicately, with mind and consciousness and
spirit at one end of his balancing pole and body and instinct and all unconscious and
earthly and mysterious on the other� Balanced� Which is damnably diicult� And the
only absolute he can ever really know is the absolute of perfect balance� he absoluteness
of perfect relativity� Which is paradox and nonsense intellectually� (Huxley 1994, 403)
In Huxley’s view, the integrity of a person is relative, not static; it is always an inevitable search for balance� At the highest level of generalization he conceptualizes
a philosophical problem of impossibility to reduce man to preassigned schemes�
As the author of intellectual novels, the writer explores a vastly deep nature
of intellect, thereby expanding the analytics of individual personality� It is important that he treats intellect as being in progress, as an advantage of becoming
over being� he novelist distinguishes between intellect and reason in the style
of synergetic concepts� his distinction is deined by Canadian philosopher Jean
Bédard: “…he fact that what is impossible for the reason, that is the coordination
of contradictions, is a need for intellect� he fact that what is impossible for the
reason, that is the advantage of becoming on being, is also a need for intellect … �
he reason can achieve only possible, but there is something in the human soul,
capable of impossible” (Bédard 2001, 291)�
Accentuation on intellect as cognition of dualities–inite and ininite, unchanging and changing, discontinuous and continuous, and consciousness in parameters of processuality and nonlinearity get modernist artists closer to synergetic
conception of by-unity “man–the world”� According to Bergson, we can understand the outside world by exploring our inner world� Physics also postulates the
anthropic principle in the study of the universe, as Hawking and Hertog state,
“anthropic reasoning aims to explain certain features of our universe from our
existence in it” (Hawking and Hertog 2006)� he principle of inseparability of
man and the world means nesting the subject (man) and the object (the natural
world) in one another� his is one of the key diferences that sever modernist
understanding of human being from classical interpretation with its emphasis
on human capacity to subdue and alter the natural world�
Ontogenesis of personality in the modernist novel is essentially nonlinear; it
embodies essential dimensions of human experience (natural/accidental), as well
as a wide variety of social and cultural spheres: a person can become anyone, her/
his destiny is not calculated in advance, depending on the random circumstances
that occur in life�
38
Olha Bandrovska
To sum up, synergetics as a new methodological strategy and a kind of scientiic worldview is well-suited to the analysis of literature� Working from the
understanding of synergetics as an interdisciplinary research program, it may
be stated that anthropological method in literary criticism is close to synergetic
thinking� heir common theoretical background provides a means of interpreting
man, his biological and social nature and his personality by means of synergetic
analysis, i�e� by examining him in terms of dynamic integrity, self-organization,
self-identity, creativity, and instability� From the viewpoint of systems theory,
literary images relect the multilayered structure of unique individual personality�
hey correspond to the proposed synergetic model of man in the level of complexity� Generally, the modernist problematisation of the concepts such as “man” or
“personality”, and a new understanding of beauty as harmony that is being born
and constantly transformed amid chaos and order paved the way for the aesthetic
pluralism of contemporary literature�
References
Bakhtin, Michail� 1992� he Dialogic Imagination: Four Essays� Austin; London:
University of Texas Press�
Bédard, Jean� 2001� L’Incertitude D’Eckhart à Prigogine� In L’Homme Devant
L’Incertain� Paris: Odile Jacob�
Hawking, Stephen, and homas Hertog� 2006� Populating the Landscape: A Top
Down Approach� Accessed February, 11, 2016, http://arxiv�org/pdf/hepth/0602091v2�pdf�
Huxley, Aldous� Point Counter Point� (Flamingo, 1994)� Accessed February, 11,
2016, http://www�ebook3000�com/Aldous-Huxley-_-Point-Counter-Point-novel--English-_23627�html�
Kagan, М. С. 2003� “Формирование личности как синергетический
процесс”� In Синергетическая парадигма. Человек и общество в условиях
нестабильности, 212–227. Москва: Прогресс-Традиция�
Oort, Richard van� he Use of Fiction in Literary and Generative Anthropology:
An Interview with Wolfgang Iser. (Anthropoetics III, no� 2 (Fall 1997/Winter
1998))� Accessed February, 11, 2016, http://www�anthropoetics�ucla�edu/
ap0302/Iser_int�htm�
Nietzsche, Friedrich� 1999� hus Spoke Zarathustra� Translated by homas Common� Mineola, New York: Dover Publications�
Prigogine, Ilya� 2009� “Complexity heory�” In Systems thinkers, edited by
M� Ramage, K� Shipp, 229–237� London: Springer�
A Synergetic Perspective in Literary Studies
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Ricoeur, Paul� 2010� Time and Narrative� Vol� 2� Transl� by K� Mclaughlin and
D� Pellauer� Chicago: University of Chicago Press�
Sartre, Jean-Paul� 1946� “Existentialism Is a Humanism”� In Existentialism from
Dostoyevsky to Sartre, edited by Walter Kaufman� Meridian Publishing Company, 1989� Accessed February, 11, 2016, https://www�marxists�org/reference/
archive/sartre/works/exist/sartre�htm�
Stepin, Vyacheslav S� 2005� heoretical Knowledge. Synthese Library, Volume 326�
Dordrecht: Springer�
Watt, Ian� 2000� he Rise of the Novel: Studies in Defoe, Richardson and Fielding.
1957� London: Pimlico�
Woolf, Virginia� 1996� Mrs. Dalloway. London: Penguin Popular Classics�
Woolf, Virginia� 1980� he Diary of Virginia Woolf, Vol� 2: 1920–1924� New York:
Harcourt Brace�
Paweł Kaptur
he King is Dead, Long Live he King–
Transition and Continuity in John Dryden’s
hrenodia Augustalis
Abstract: he article aims at analysing those elements and passages of Dryden’s hrenodia
Augustalis, in which the poet highlights the transition between the reigns of King Charles II
and King James II, and focuses on the continuity of such values as peace, justice and order
which James II was supposed to guarantee and which Dryden advocated zealously�
Introduction
hrenodia Augustalis was Dryden’s personal farewell to King Charles II Stuart
and a welcoming oratory to the late King’s brother James� he poem is deeply
set in a political context of the turbulent period in the history of England which
was strongly preoccupied with the issue of succession� Ater Charles’s death, his
throne was to be taken over by a Catholic successor which evoked nationwide
dissatisfaction in a Protestant country� Many expected the new reign to be blatantly diferent, not to say worse, than the previous one which was represented
by a merciful, tolerant, fun-loving and a slightly passive king� James II had not
enjoyed much popularity even before he sat on the throne of England, hence
John Dryden, being a staunch supporter of the Stuarts dynasty and a dedicated
proponent of strong, hereditary monarchy, resolved to defend James II in verse�
herefore, hrenodia Augustalis, one of Dryden’s least known poems, serves not
only to express the author’s mourning ater his lord’s death but it is also a chance
for the poet to underline the transition and continuity of hereditary monarchy,
something that Dryden had always promoted� he poem may be also seen as the
author’s attempt at preparing the public opinion to accept the new king regardless of his religious ailiations and lack of popularity� he present article aims at
analysing those elements and passages of Dryden’s hrenodia Augustalis, in which
the poet highlights the transition between the two reigns and the continuity of
such values as peace, justice and order which James was supposed to guarantee
and which Dryden advocated so zealously�
42
Paweł Kaptur
1. Setting the scene
It was the time when the political arena in England was preoccupied with the issue
of succession as there was no legal heir to his throne� Charles had a few sons but
did not have a legal heir except his Catholic brother James, whom he did not want
to reject� he English politicians were divided into two contrary groups: Tories
and Whigs� he Tories, who considered themselves as successors of the Cavaliers,
aimed at preventing Parliament from imposing its will in the matters of succession
and royalty and they protected the rights of James� he Whigs (or Whiggamores)
were led by a group of Protestant aristocrats� hey wanted to secure the high
position of Parliament and, most importantly, exclude the igure of James from
succession� he Whigs had their own candidate to the throne of England–James
Crots alias James Scott (1649–1685), the First Duke of Monmouth� He was the
oldest of the living sons of Charles II� he major obstacle concerned the infamous
fact that James Scott was King Charles’s illegitimate son� he divisions among the
politicians concerning the two candidates to the English throne led to violent and
devious attempts at eliminating the monarch or undermining his credibility and,
in this way, gaining power for Monmouth� In the context of Charles’s problems
with succession which caused violent reactions and divisions among the politicians
and noblemen, the igure of Anthony Ashley Cooper, the First Earl of Shatesbury
appears to have most importance� It is said that his actions against the monarchy
and his attempts to make Charles’s illegitimate son Duke of Monmouth an heir
to the throne, made Shatesbury the King’s greatest enemy and inally led to the
Rye House Plot�
In 1677–78, ater attempting to force the dissolution of Parliament, Shatesbury
was imprisoned� When he was released from prison he supported the Exclusion Bill–three bills that were introduced to exclude James, Duke of York, from
succession� he irst bill (1679) was read but Parliament was dissolved ater the
second reading, and the second bill (1680) was rejected by the Lords� he third
one was introduced in the Oxford Parliament, which was dissolved by the King�
To secure Exclusion, Shatesbury, supported by the Whigs, organized demonstrations and campaigns in three general elections� he Party failed and became
divided over who should take James’s place—Monmouth or James’s Protestant
daughter—Mary� Shatesbury’s failure was mainly due to the fact that the King
had a total control over Parliament: “Charles could, and did, use his power to
summon and dissolve Parliament to his own advantage; he had a solid majority
in the House of Lords that would vote down the Exclusion Bill time ater time”
(Morgan 2001, 383)�
he King is Dead, Long Live he King
43
In 1678, Shatesbury “employed Titus Oates and his Popish Plot to whip up
anti-Catholic feeling against the Government and…to exclude James…from succession…” (Hill 1988, 298)� Oates was a fanatic Puritan who pretended that he
had converted to Catholicism and entered the Jesuit seminars in Vallodolid and
St� Omer� On his return to England he submitted a sworn document proving that
the English Catholics were planning to assassinate Charles II, kill Protestants, and
place the Roman Catholic James on the throne� he government and the council believed in Oates’s “fusillade of fantastic accusations” and, as a result, some
Catholics were arrested and sued (Fraser 2002, 463)� A few were executed, being
in fact innocent� In 1683 a treacherous plot called Rye House was conceived� he
plan was to assassinate Charles II and his brother James, duke of York, as they
travelled from Newmarket races to London past Rye House in Hertfordshire� he
plot was betrayed to the government and two prominent leaders of the plot were
arrested and executed� hey were Algernon Sidney—a republican politician who
fought for Parliament in the Civil War and was elected to the Long Parliament in
1646, and Lord William Russell—a member of the Opposition, the opponent of
pro-Catholic inluences at Court�
In spite of numerous attempts to eliminate James from succession, Shatesbury
“failed to carry Exclusion through the Lords [as] men were unwilling to push the
issue to the risk of civil war” (Hill 1988, 298)� In 1681 Shatesbury’s agitation was
gradually weakening and the King was able to take advantage of the situation
and send Cooper to the Tower accusing him of high treason� he case against
him was inally dismissed as “London jury refused to ind a true bill against him”
(298)� In 1682 ater unsuccessfully trying to organize a revolt against the monarch
Shatesbury was forced to escape to Holland, where he died the following year�
Despite numerous attempts to prevent the succession of a Catholic King, the
Duke of York became King James II of England and James VII of Scotland on the
day of Charles’s death–6 February 1685�
2. he King is dead, long live the king
hrenodia Augustalis was Dryden’s farewell to the King whom the poet had so
faithfully served for twenty ive years� Even though the threnody was his personal
address to the dead monarch, the poet also made use of the occasion to welcome
the new King on the throne� hus, the poem looks like an expression of Dryden’s
hopes that the new monarch will continue the policy of mercy and respect for
the nation� he poet also hopes that the reign of James II will inally put an end
to the period of political chaos and social partition caused by the Monmouth Rebellion, the Exclusion Crisis and the controversies that developed around James’s
44
Paweł Kaptur
succession� James Winn underlines that the words “Servant to his late Majesty,
and to the present king” included in the title page of hrenodia Agustalis clearly
indicate that Dryden emphasizes the issue of continuity between the two reigns
(Winn 1987, 406)�
his wish for royal continuity is best seen in those passages in the poem when
Dryden uses mythological imagery comparing the dead King to Atlas and providing James with the attributes of Hercules:
As if great Atlas from his Height
Shou’d sink beneath his heavenly Weight,
And, with a mighty Flaw, the laming Wall
(As once it shall)
Shou’d gape immense, and rushing down,
O’erwhelm this neather Ball;
So swit and so surprising was our fear;
Our Atlas fell indeed; But Hercules was near� (29–35)
Dryden suggests that the people of England should not fear losing their monarch
as James “was near” to take over the power� Making use of such a metaphor,
the poet seems to forget that a number of protestant Englishmen did not accept the succession of the Catholic King, and wished him quick dethronement�
Nevertheless, Dryden decides to persuade the people, as he did in Absalom and
Achitophel, that the succession of James is the best solution to bring peace and
stability� Knowing that the King’s Catholic ailiation is not, in the people’s eyes,
the monarch’s asset, Dryden stresses the monarch’s doubtless virtues–his vigour
and military skills:
So James the drowsy Genius wakes
Of Britain long entranc’d in Charms’
Restif and slumbring on its Arms:
’Tis rows’d, & with a new strung Nerve the Spear already shakes�
No neighing of the Warriour Steeds,
No Drum, or louder Trumpet, needs
T’ inspire the Coward, warm the Cold,
His Voice, his sole Appearance makes ’em bold� (470–77)
Here, James is pictured as a warrior whose strength and courage will inspire the
people to ight� he poet also uses the imagery borrowed from the unperformed
scene from King Arthur where James’s enthronement is supposed to melt the frozen
kingdom of England� It reminds us of Dryden’s Restoration poems when Charles’s
return was expected to dry the “slippery ground” that Cromwell’s Revolution had
let behind� However, a critic notices that the overlapping of images applied to both
monarchs shows some of the poet’s political perplexity: “he double emphasis
he King is Dead, Long Live he King
45
on Charles and James, who were actually too diferent to accommodate the same
metaphors, frequently forces Dryden into such conlation of images … � hrenodia
Augustalis mourns for Charles, praises James, and betrays some of Dryden’s own
confusions at this time” (Winn 1987, 408)�
It is indeed diicult for Dryden to maintain a consistent tone of his statement
in hrenodia Augustalis. Never before had he written a panegyric addressed to two
monarchs at once� On the one hand he had to underline Charles’s mercifulness
and ability to keep peace, on the other, he stresses James’s military skills� However,
there is some consistency in the poet’s intention to refer to the two monarchs�
Gaul and Batavia dread th’ impending blow;
Too well the Vigour of that Arm they know;
hey lick the dust, and Crouch beneath their fatal Foe�
Long may be they fear this awful Prince,
And not Provoke his lingering Sword;
Peace is their only sure Defence,
heir best Security his World� (478–84)
Winn notices that in Astrea Redux Dryden hoped that the Lyon will “assail his
Foes” and in hrenodia Augustalis the poet realizes that the metaphor “Lyon”
is much more appropriate for James expressing the hope that “the well-known
‘Vigour’ of James’s military ‘Arm’ will make France and Holland afraid to ‘Provoke
his lingering Sword’ and thus insure continued peace” (409)� In this sense, the
juxtaposition of Charles’s peaceful nature and James’s military vigour resorts to
the same wish: that peace will be achieved and maintained in the kingdom� hat
proves that no matter which monarch the poet praised, it was always his intention
to promote order and political stability�
If one remembers that at the end of Absalom and Achitophel Dryden advised
Charles not to employ excessive mercy and exaggerated forgetfulness, it appears
obvious that the poet now expects James to be less lenient in making political or
military decisions�
So much thy Foes thy manly Mind mistook,
Who judg’d it by the Mildness of thy look:
Like a well-temper’d Sword, it bent at will;
But kept the Native toughness of the Steel� (323–26)
Even though Dryden does not deny the dead King’s “toughness of the Steel,” he
reminds us of Charles’s “well-temper’d Sword” that “bent at will�” James, on the
other hand, is a monarch compared to an “impenetrable Shield�” Such a juxtaposition of divergent images rests upon the poet’s hope in the new era of tough
policies employed to maintain a long-lasting peace�
46
Paweł Kaptur
3. Instructing the monarch, convincing the people
Apart from transferring his hopes and belief in the power of authority from
Charles to James, Dryden uses hrenodia Augustalis to instruct the new King�
he instructive character of the poem is suggested at the beginning where the
author calls James “pious” three times� Garrison claims that the poet calls James
“Pious Duke” and the “Pious Brother” “because the piety of the new King must be
demonstrated before he inherits the royal power” (Garrison 1975, 180)� Dryden
realizes that piety is James’s most important trait, and when it is combined with
irm power it makes a perfect king�
he deathbed scene is another sign of the poet’s educational purpose in writing
the threnody where he stresses the signiicance of royal succession and inheritance:
He took and prest that ever loyal hand,
Which cou’d in Peace secure his Reign,
Which cou’d in wars his Pow’r maintain,
hat hand on which no plighted vows were ever vain�
Well for so great a trust, he chose
A Prince who never disobey’d:
Not when the most severe commands were laid;
Nor want, nor Exile with his duty weigh’d:
A Prince on whom (if Heav’n its eyes cou’d close)
he Welfare of the World it safely might repose� (229–38)
Dryden irst of all illustrates the moment of taking over the symbolical power by
James to stress the importance of hereditary authority� He once more underlines
James’s virtues such as persistence and obedience to the King to persuade the
people that he is the perfect successor� he passage is also an instructive message
to the King sent by the poet� He wants to warn the monarch that if “he Welfare
of the World” is to repose on him, the King must be strong and responsible� Garrison says that for the poet “being king entails responsibility as well as authority,
piety as well as power” (Garrison 1975, 180)� By enumerating and underlining
James’s assets, Dryden draws a model of a perfect king and a perfect reign that
the subjects should expect to come�
his model of perfection is strengthened by the element of divinity that accompanies James’s ascend to the throne:
A Warlike Prince ascends the Regal State,
A Prince, long exercis’d by Fate:
Long may he keep, tho he obtains it late�
Heroes, in Heaven’s peculiar Mold are cast,
he King is Dead, Long Live he King
47
hey and their Poets are not formed in hast;
Man was the irst in God’s design, and Man was made the last�
False Heroes made by Flattery so,
Heav’n can strike out, like Sparkles, at a blow;
But e’re a Prince is to Perfection brought,
He costs Omnipotence a second thought�
With Toyl and Sweat,
With herdning Cold, and forming Heat,
he Cyclops did their strokes repeat,
Before th’impenetrable Shield was wrought�
It looks as if the Maker wou’d not own
he Noble work for his,
Before ‘twas try’d and found a Masterpiece� (429–45)
Garrison notices that the divine aid depicted in the above stanza was added “to
convince the people that James is indeed the perfect prince” (Garrison 1975, 181)�
Dryden addresses the King’s subjects in a way which was already employed in
Heroic Stanzas and the Restoration panegyrics� he poet supports his political
ailiation with the intervention of divine providence to reiterate the Divine Right
of Kings and to persuade the people that their political or religious preferences
appear as needless in the light of God’s will to appoint kings� he poet again
uses the image of the Maker as a creator of perfection, a masterpiece that cannot be criticized or denied� Dryden also suggests that God had already “try’d”
his “Noble work” by subjecting him to numerous dangers which the future king
had to overcome “With Toyle and Sweat�” If James “exercis’d by Fate” proved to
God that he is strong and courageous enough to go through the hardships of the
Exclusion Crisis, he must be accepted by the people of England as an ideal successor of Charles� In order to emphasize James’s heroism Dryden recalls the “False
Heroes made by Flattery” to remind his readers of Monmouth� Winn reminds us
that during the Exclusion Crisis “Monmouth’s supporters accused the Laureate of
making the Duke of York a false hero by lattery” (Winn 1987, 411)� It is diicult
to agree with the poet’s opponents� He did not latter James to promote him and
make him a “false hero” but deeply and genuinely believed in the rightness of the
Duke’s policy� Dryden thought he had the credential to elevate heroes by means of
his poetry� In the second half of the above stanza the poet considers himself as “a
poetic maker of heroes, like the Virgil of his epigraphs, who hopes that his verses
can give immortality” (411)� Dryden seems to think that by means of his poetry
he possesses a considerable ability to promote English authority� He believes that
his poetry is powerful enough to indicate the heroes�
By underlining James’s military dexterity, God’s providence in choosing James
as Charles’s successor, and by stressing the importance of lineal inheritance as
48
Paweł Kaptur
well as his aptness in supporting monarchs, the poet reiterates his message to the
people that James must be accepted, praised, and defended�
Like most of Dryden’s political poems, hrenodia Augustalis ends with a
prophecy�
For once, O Heav’n, unfold thy Adamantine Book;
And let his wondring Senate see,
If not thy Immutable Decree,
At least the second Page of strong contingency;
Such as consists with wills, Originally free:
Let them, with glad amazement, look
On what their happiness may be:
Let them not still be obstinately blind,
Still to divert the Good thou hast design’d,
Or with Malignant penury,
To sterve the Royal Vertues of his Mind�
Faith is a Christian’s and a Subject’s Test,
Oh give them to believe, and they are surely blest! (491–503)
he prophecy, however, slightly difers from those Dryden articulated in Heroic
Stanzas or Astrea Redux� It includes a prayer to express the poet’s hope that the
King’s subjects will be obedient to the new monarch� Garrison notices yet another
major diference in Dryden’s attitude towards the royalty:
Although the invocation of the gods on behalf of the monarch is not in itself new, Dryden’s
emphasis is strikingly diferent from what we ind in earlier poems� …Dryden deines
disobedience to the king as disobedience to God and equates established government
with divine providence� But the future of this government, and of the English nation, does
not here rest directly on God but rather on the people’s “faith” in God, and “faith” has a
strong adversary in the blind obstinance of the people� (Garrison 1975, 182)
Garrison suggests that this time the future of England heavily relies on the Englishmen’s ability to believe both in God and the King� Dryden realizes that since
multiple controversies emerged during the Exclusion Crisis and, as a result, the
vast majority of the English society lost their hope and trust in the successful reign
of the Catholic monarch, the only way to achieve social peace and political order
is to believe in the King’s goodness that God himself “hast design’d”� According to
Garrison, this “traditional analogy” between the King and God represents “a reconciliation challenged during the interregnum, recaptured at the Restoration and
now during the reign of James II asserted with more hope than conviction” (182)�
Dryden’s appealing voice “O give them to believe” appears as if the poet was
persuading his countrymen that no matter what happens ater the King’s coronation, they should ind faith in themselves and accept the new monarch as God’s
he King is Dead, Long Live he King
49
will� he prophecy at the end of hrenodia Augustalis and the panegyric itself is
the poet’s attempt to prepare the readers for the new, but for many diicult, reign
and most probably for his own impending shit�
Conclusions
hrenodia Augustalis exempliies one of Dryden’s political poems which conirms the poet’s political ailiations and his everlasting support for the Stuarts�
hroughout his early literary career and his laureateship he proved to be a fervent
proponent of strong royalty and hereditary succession� Contrary to numerous
popular beliefs promoted by critics, Dryden’s aim in supporting James was not to
secure his own private interest but to reiterate the need to maintain the continuity
of British royalty which guarantees national stability and social order� hrenodia
Augustalis was supposed to convince the people that the smooth transition from
Protestant, popular Charles to his Catholic, unpopular brother, was the best solution to provide England with powerful authority based on hereditary succession
rather than elective system, which British people had not known before� He believed in the historical continuity and legal succession of kings who, being chosen
with the assistance of God’s providence, have an absolute right to rule England�
References
Dryden, John� 1959� “hrenodia Augustalis: A Funeral Pindarique Poem Sacred
to the Happy Memory of King Charles II�” In he Poems of John Dryden, edited
by John Sergeaunt, 107–114� London: Oxford University Press�
Fraser, Antonia� 2002� King Charles II� London: Phoenix Press�
Garrison, James D� 1975� Dryden and the Tradition of Panegyric. London: University
of California Press�
Hill, Charles Peter� 1988� Who’s Who in Stuart Britain� London: Shepheard-Walwyn�
Morgan, Kenneth O� 2001� he Oxford History of Britain� New York: Oxford University Press�
Winn, James Anderson� 1987� John Dryden and His World� New Haven and London:
Yale University Press�
Marek Błaszak
he Evolution of Sailor Hero
in he 18th-Century British Novel:
A Study in Defoe and Smollett
Abstract: he aim of the article is to highlight maritime experience of Daniel Defoe and
Tobias Smollett, and to show how the two authors developed their sailor characters, specifying in this way their contribution to the creation and evolution of sailor hero in the
18th-century British novel�
Introduction
Neither of the prominent novelists named in the title of this article was a professional sailor and neither of them wrote sea novels� At the same time, both were
interested–for diferent reasons–in maritime afairs and both were acquainted
with sailing professionals; they even gained some personal experience of sailing�
his explains how sailors found their way into their ictional works as protagonists
and secondary characters� It is the aim of the following article irst to highlight
maritime experience of the two writers, and then to show how they used their
sailor characters, specifying in this way their contribution to the creation and
evolution of sailor hero in the 18th-century British novel�
1. Daniel Defoe
Daniel Defoe is practically the father of the fully-ledged English novel; as a middle-class merchant and entrepreneur, he pursued a writing career “in a mercantile
culture, …principally interested in the making of money” (Peck 2001, 20)� His
attitude both as an entrepreneur and writer was determined by the new economic
order grounded on the idea of expansive individualism, whose chief propagators
on the philosophical side were great empiricists of the 17th century such as homas
Hobbes and John Locke� In the early 18th century, capitalist interest, activity and
speculation centred on the sea, and maritime historians and critics emphasise the
speciic “alliance between [the contemporary] mariner and entrepreneur” (Cohen
2013, 66)� It is no wonder that Defoe who was bent on making money and who
was bursting with energy, should direct his attention to maritime enterprise: he
engaged in international trade and travelled by sea to continental Europe, he acted
as a shipping insurer who went bankrupt during the long war that King William III
52
Marek Błaszak
fought against France, he invested money (which he ultimately lost) in a company
formed to recover treasures from sunken ships, he played a part in starting the
South Sea Company which came to be known as the South Sea Bubble, he kept
in touch with one of his statesman patrons, Sir Dalby homas, who was governor
of the African Company’s settlement in Guinea, he also propagated the idea of
English expansion in South America whose exploitation had so much enriched
Spain (Dottin 1928, 28; Freeman 1950, 205; Moore 1958, 85–6, 224–5, 293–8)�
he eponymous hero of Defoe’s irst novel Robinson Crusoe (publ� in April
1719), who is presented in the long subtitle as a mariner of York, is in the irst place
a merchant and entrepreneur, and only perforce a mariner, as international trade
and the prospect of a quick gain at that time involved seafaring� Indeed, Robinson
Crusoe goes to sea because he has no better option in life: being a third son of the
family, he will not inherit his father’s estate due to the law of primogeniture� He is
also poorly educated, having received only “a competent share of learning, as far
as house-education and a country free-school generally goes” (Defoe 1979, 27)�
At the same time he is intent on “raising [his] fortune” (38), which leads up to his
irst investment (for which he borrows money from his relations) and personal engagement in the gold dust Guinea trade� he success of this irst enterprise, which
yields 750% net proit, is marred by the failure of the second when Robinson’s ship
is captured by a Moorish pirate� Later on in the story, when he is established as a
sugar-cane planter and merchant in Brazil, it is the anticipation of a big and easy
proit that pushes the hero on the water again� his time he undertakes a trading
voyage for Negro slaves to the western coast of Africa in the capacity of a supercargo� his expedition ends up with a shipwreck in a stormy sea and the long desert
island episode� It is characteristic that while he is on board, Robinson does not take
much interest in the ship, its type or rigging, the manner of navigation or actions
of the crew—indeed, he focuses on the ship’s cargo and in this respect manifests
a striking book-keeping accuracy: “Our ship was about 120 tun burthen, carried
6 guns and 14 men, besides the master, his boy, and my self; we had on board no
large cargo of goods, except of such toys as were it for our trade with the negroes,
such as beads, bits of glass, shells, and odd triles, especially little looking-glasses,
knives, scissors, hatchets, and the like” (61)�
he sequel to Robinson Crusoe, entitled he Farther Adventures of Robinson
Crusoe, which came out only 4 months later, begins in the familiar mode: the hero
who is now 62 years old, is determined to visit the colony of multi-national outcasts now living on his island with a view to–obviously enough–making another
kind of proit� He brings skilled cratsmen and useful tools, and divides the island
among the settlers for their individual plantations, arranging at the same time for
he Evolution of Sailor Hero in he 18th-Century British Novel
53
himself to receive “a certain rent for every particular plantation ater 11 years”
(Defoe 1959, 174)� What actually diferentiates the original from the sequel is that
in the latter the hero passes from the stage of individual enterprise to the stage of
partnership in business� his happens when—sailing as a supercargo to the coast
of Coromandel—he is cast by the mutinous crew on land in Bengal� He meets
here an English merchant who convinces him that India is “a country where, by
us who understand trade and business, a great deal of money is to be got” (226)�
Consequently they go into partnership and organise two very successful voyages
to the Far East–the irst to Sumatra, Siam (hailand) and Susham (in all probability the archipelago of Chushan islands lying south of Shanghai), and the second to
the Dutch Spice Islands (the Moluccas) and the Spanish Manillas (the Philippine
Islands)� It is noteworthy that the partners employ an international complement of
seamen, including English, Dutch, Portuguese as well as Indian� As in all previous
cases, Robinson who is the narrator provides a detailed account of the commercial
efects of these two voyages, neglecting their nautical side: “those things I leave to
others, and refer the reader to those journals and travels of Englishmen, many of
which, I ind, are published, and more promised every day” (227–8)�
Defoe’s Captain Singleton, published a year later (in June 1720), presents another face of the ictional sailor hero� he novel can be classiied as a pirate romance
and–accordingly–its protagonist and narrator Bob Singleton turns a pirate halfway
through the story� his happens when the crew of a merchant ship, of which he is
a member, stage a mutiny and take possession of the vessel� hey are determined
to “make amends for all past misfortunes” (Defoe 1983, 125)� hough those misfortunes are not speciied, maritime scholars point to several principal reasons
for mutiny among contemporary merchant and naval sailors: cruel captains, strict
discipline, overwork, bad food, and considerable delays in the payment of wages
(Novak 1962, 104)� Having become a pirate and in due time captain of a pirate frigate captured from the Spaniards, Bob Singleton conducts business whose essence
is the same as in the case of Robinson Crusoe, that is the making of money� As
one of the pirates in Captain Singleton explains, “our business was indeed ighting
when we could not help it, but…our main afair was money, and that with as few
blows as we could” (Defoe 1983, 139)� Put in other words, the novel makes the
modern reader realize that distinctions between legal and illicit trade, as well as
between privateering and piracy were oten blurred in those times� Consequently,
Bob Singleton and his mates prey “chiely upon the Spaniards” (127) just like the
contemporary English privateers who scoured the seas in privately armed ships
and legally robbed England’s maritime enemies and rivals thanks to an oicial
licence, the so-called letters of marque, issued by the government or one of its
54
Marek Błaszak
colonial representatives, that is a governor� he hero and his men also engage in
routine merchandise trade, for example with the Chinese merchants of the coast of
Formosa (Taiwan), selling them cloves and nutmegs as well as European linen and
woollen cloth, and buying from them tea and ine silks� Like ordinary merchants,
the pirates hardly ever seem to have diiculty coming into foreign ports in order
to replenish food and water supplies�
Two more interesting points in reference to the pirate sailor presented in Captain Singleton deserve attention� he irst is that the pirates form a sort of corporate
business organisation with Bob as their boss, but otherwise the ship and its cargo
belong equally to the crewmen, and all decisions with regard to their actions are
taken collectively� he second point is that in the conclusion of the novel Bob Singleton converts into a regular merchant and returns to England with his money�
his seems to be a pragmatic solution to the problem of piracy as proposed by the
author, who apparently believed that the best way to rid the seas of the pirates–at
least English pirates–would be to have them return to the mother country and
feed its market with their money�
he unnamed protagonist-narrator in Defoe’s fourth work, a ictional travel
book entitled A New Voyage Round the World by a Course never sailed before
(1725), is a daring and far-sighted merchant who undertakes circumnavigation
of the world in the easterly, and not in the customary westerly direction� It is
worth observing that in reality such a voyage was successfully completed only
half a century later by Captain James Cook� However, Defoe’s protagonist is not
a discoverer or adventurer, but–again–a sailor merchant whose chief aim is “the
advantage of trade or the hopes of purchase” (Defoe 1725, 3)� He succeeds in
his commercial-oriented circumnavigation in at least two ways: irst, when he
reaches the Philippines with his cargo of European goods, his prices appear to
be far more competitive than those of the Spanish merchants who in those times
transported their wares at an enormous cost in the westerly direction–across the
Atlantic, then by land across the Isthmus of Darien (Panama), and by water again
across the vast Paciic� Besides, having sold his European cargo in the Philippines,
Defoe’s hero loads his ship with exquisite China ware which is in great demand in
Spanish America� In this way he is able to earn twice during the voyage and “to
double the advantage we had already made” (1725, 101)�
2. Tobias Smollett
A quarter of a century ater Defoe, sailor characters appear in the novels of Tobias
George Smollett, one of the so-called Big Four prominent writers who were active in the middle and the second half of the 18th century (the remaining three
he Evolution of Sailor Hero in he 18th-Century British Novel
55
being Samuel Richardson, Henry Fielding and Laurence Sterne)� Smollett was a
Scotsman who pursued medical studies and was apprenticed to an eminent Glasgow surgeon� As his countryman, Sir Walter Scott, observed in he Lives of the
Novelists, Smollett was fond of frolic and practical jest, and already as a student
“gave several indications of his talents and propensity to satire” (Scott 1928, 73)�
In his nineteenth year he came down to London with the hope of seeing his play,
a tragedy entitled he Regicide, staged at the Drury Lane heatre� Disappointed
in this plan and with no prospects for a theatrical career, the young man joined
the navy in the spring of 1740 in the capacity of a surgeon’s mate on board of His
Majesty’s ship of the line called Chichester (Jones 1942, 40–50)� At the beginning
of the following year he sailed to the Caribbean and took part in the abortive
Cartagena expedition whose aim was to capture that port (now in Colombia) from
the Spaniards� According to Sir Walter Scott, Smollett let the navy in the West
Indies being disgusted “alike with the drudgery and with the despotic discipline”
(Scott 1928, 75)� Even though he spent only about a year in the service, the experience he had acquired and the information he had amassed proved useful when
he embarked on a literary career as a novelist�
he title character in Roderick Random, his irst novel published in 1748, follows in Smollett’s footsteps to some extent–like his creator, he is apprenticed to
a surgeon and in the 24th chapter is appointed a surgeon’s third mate on board
of a man-of-war called hunder� he ship is soon ordered to join the leet under
the command of Rear-Admiral Sir Chaloner Ogle which is sent as reinforcement
for the above-mentioned Cartagena expedition commanded by Vice-Admiral
Edward Vernon� Notwithstanding this realistic naval setting, Roderick is not a
sailor� His place in the ship is below deck–in the sick bay where his duty is to tend
seamen sufering from tropical diseases and wounds received in battle� Nevertheless, the hero proves to be a keen observer who draws memorable portraits of the
naval oicers� One of them is the irst captain of the hunder named Oakhum
who appears to be a brutal tyrant, a vulgarian, and an incompetent oicer� At one
point he becomes furious learning that 61 members of the crew are disabled by
disease and injury, and orders his surgeon to bring them to the quarter-deck for
inspection which poses imminent danger to their lives� When the poor wretches
crawl to the appointed place, the captain irst verbally abuses them and then orders
the boatswain to log them for their apparent feigning a disease� In stark contrast
to Captain Oakhum, the next commander of the hunder, Captain While, is an
efeminate dandy who comes on board “overshadowed with a vast umbrella” and
wearing “a white hat garnished with a red feather”, his long hair lowing down in
ringlets “tied behind with a ribbon�” But the oddest part of his outit is “a mask on
56
Marek Błaszak
his face, and white gloves on his hands, which … were ixed with a ring set with
a ruby on the little inger of one hand, and by one set with a topaz on that of the
other” (Smollett 1988, 194–5)�
he way naval oicers are presented in Roderick Random seems to have been
determined, on the one hand, by the author’s “propensity to satire”, as observed
by Sir Walter Scott, and on the other by the crude variety of the picaresque novel
which Smollett chose to follow� In the preface to Roderick Random he makes it
clear that the novel was modelled on Gil Blas by Alain René Le Sage� Like his
French master, Smollett aimed to describe “the knavery and foibles of life”; however, unlike Le Sage who wanted to excite mirth, his Scottish follower sought to
arouse “that generous indignation, which ought to animate the reader, against
the sordid and vicious disposition of the world” (Smollett 1988, XXXIV–XXXV)�
Consequently, Smollett reveals a marked tendency to caricature his naval creations� his is relected even in the names he chooses for them; thus, the churlish
Captain Oakhum connotes oakum—pieces of old rope soaked with tar and used
for caulking holes and cracks in the hull of a wooden ship, while the emasculate
Captain While is inevitably associated with the scent of perfumes—in his presence “the air was so impregnated with perfumes, that one may venture to airm
the clime of Arabia Felix was not half so sweet-scented” (195)�
On the other hand, the portraits of naval oicers in the discussed novel may
not have been so much exaggerated judging by the standards of the day� An eminent maritime historian provides a real-life model for Captain Oakhum–a certain
William Hervey who commanded the Superb man-of-war which belonged to
Admiral Vernon’s leet� He may have been known to Smollett by repute� One of
his inhuman orders involved logging all the sick men in the ship to check whether
they were malingering or not (Kemp 1970, 84)� As regards the extraordinary outit
of Captain While, another naval authority observes that a uniform for oicers was
introduced by the Board of Admiralty in 1748, the year of publication of Smollett’s
novel; until then the way they dressed had been let much to the discretion of the
oicers themselves (Lloyd 1961, 145)�
It might appear that the only naval oicer presented in a favourable light is Roderick’s uncle, the jovial Lieutenant Tom Bowling� Indeed, he is the only relation
who takes care of the orphaned and destitute title hero, but most importantly he
is a brave and competent sailor, just and kind to ordinary seamen, and therefore
their favourite oicer� He is obliged to quit the service ater challenging Captain
Oakhum to a duel for his insults and abuse� he positive impression that Lieutenant Bowling makes on the reader, particularly modern reader, changes when he
becomes a privateer and slaver further on in the story� He sails with Roderick to
he Evolution of Sailor Hero in he 18th-Century British Novel
57
Guinea where they buy 400 black slaves whom they transport across the Atlantic
and sell at a big proit in Spanish South America� It must be observed at this
point that indignation of the modern reader at the slave trade would not have
been generally shared by Smollett’s or Defoe’s readers, most of whom regarded
it as just one of the forms of overseas mercantile activity� he slave trade which
began in the early 15th century, continued until the second half of the 19th and
involved the translocation of about ten million black Africans across the Atlantic
to both Americas� Great Britain was “a foremost slaving power” and the biggest
slave trading centres in Europe were the English ports in London, Bristol and
Liverpool (Rawley 2003, 18 and 161)�
Several retired naval ex-servicemen appear as secondary characters in Smollett’s
second novel entitled Peregrine Pickle which came out in 1751� he most memorable of them is Commodore Hawser Trunnion who is now settled on dry ground
and supposed to lead the life of a country squire, but continues to speak and behave
as if he were still on board of his man-of-war� To his neighbours who are all landsmen he appears to be “altogether singular and odd”, as he calls his house garrison
and obliges his domestics to sleep in hammocks and to keep watches round the
clock (Smollett 1904, 14)� he house itself is surrounded by a ditch illed with
water and the only access to it is via a drawbridge� In addition to that, the courtyard is planted with patereroes, that is small pieces of artillery used on warships,
continually loaded with shot and ready for use� However, the most interesting
feature of the old commodore is his idiolect, and more precisely his sailor’s jargon
which inevitably puzzles his landsmen interlocutors� In the best scene of this kind
Trunnion and his attendants are riding to a local parish church in a strange zigzag
fashion, across the ields rather than straight along the road� A country man who
is watching them in great surprise, advises the commodore to proceed straight on,
to which the latter replies: “What! Right in the wind’s eye? …ahey! brother, where
did you learn your navigation? Hawser Trunnion is not to be taught at this time
of day how to lie his course, or keep his own reckoning� And as for you, brother,
you best know the trim of your own frigate” (39–40)�
Conclusions
Concluding the article, sailor heroes are present in the British novel practically
from its beginning� In the works of Daniel Defoe, the mariner is explicitly associated with a merchant and entrepreneur, and sailing with money making, which
was grounded in the new economic order whose chief exponents in the Age of Enlightenment were extremely active and liberal-minded middle-class men� Defoe’s
mariners also include privateers and pirates who sometimes form partnerships,
58
Marek Błaszak
or a kind of corporate bodies� It is remarkable that their activity in those times did
not difer too much from that of regular maritime traders� All of them propagate
the idea of free commerce worldwide� he Scotsman Tobias George Smollett who
served in the Royal Navy for a short time as a surgeon’s assistant, was the irst
British writer to introduce naval sailors in his novels� In most cases, however, they
are distorted and caricatured, mainly because their creator was a born satirist who
oten used ridicule and irony in the presentation of his ictional characters (including landsmen), but also because naval service at that time was extremely hard and
brutal� Nonetheless, Smollett’s noteworthy contribution to the literary portrait of
the sailor is his use of the nautical jargon� It is worth adding that in the Romantic
novel of the 19th century the sailor hero was portrayed by Jane Austen, who made
him a paragon of patriotism, and by Sir Walter Scott, who depicted him in accordance with the contemporary literary fashion as an unhappy lover� hese Romantic
sailor characters are never presented in their natural, that is aquatic, environment�
Indeed, readers had to wait until the advent of Captain Frederick Marryat in the
mid-Victorian Age for the sailor protagonist who is both a real professional and a
fully convincing and credible literary creation�
References
Cohen, Margaret� 2013� he Novel and the Sea� Princeton and Oxford: Princeton
University Press�
Defoe, Daniel� 1725� A New Voyage Round the World by a Course never sailed
before� London: A� Bettesworth and W� Mears�
Defoe, Daniel� (1720) 1983� Captain Singleton� With a Biographical Note by Nicholas
Mander� Gloucester: Alan Sutton�
Defoe, Daniel� (1719) 1979� Robinson Crusoe with an Introduction by Angus Ross�
Harmondsworth: Penguin�
Defoe, Daniel� (1719) 1959� he Farther Adventures of Robinson Crusoe� London
and Glasgow: Collins�
Dottin, Paul� 1928� he Life and Strange and Surprising Adventures of Daniel Defoe
[Vie et aventures de Daniel De Foe]� Translated from French by Louise Ragan�
London: Stanley Paul and Co�
Freeman, William� 1950� he Incredible De Foe� London: Herbert Jenkins�
Jones, Claude� 1942� Smollett Studies� Berkeley and Los Angeles: University of
California Press�
Kemp, Peter� 1970� he British Sailor. A Social History of the Lower Deck� London:
J� M� Dent and Sons�
he Evolution of Sailor Hero in he 18th-Century British Novel
59
Lloyd, Christopher� 1961� he Nation and the Navy. A History of Naval Life and
Policy� London: he Cresset Press�
Moore, John Robert� 1958� Daniel Defoe. Citizen of the Modern World� Chicago:
he University of Chicago Press�
Novak, Maximilian� 1962� Economics and the Fiction of Daniel Defoe� Berkeley and
Los Angeles: University of California Press�
Peck, John� 2001� Maritime Fiction: Sailors and the Sea in British and American
Novels, 1719–1917� New York: Palgrave�
Rawley, James� 2003� London, Metropolis of the Slave Trade� Columbia, MO: University of Missouri Press�
Scott, Walter� (1821–24) 1928� he Lives of the Novelists, edited by Ernest Rhys,
with an Introduction by George Saintsbury� London: J� M� Dent and Sons�
Smollett, Tobias� (1748) 1904� he Adventures of Peregrine Pickle� London: he
Daily Telegraph�
Smollett, Tobias� (1751) 1988� he Adventures of Roderick Random with an Introduction and Notes by Paul Gabriel Boucé� Oxford: University Press�
Katarzyna Strzyżowska
Grub Street Literary Activity
in 18th-Century London. A Flaw or
an Asset of Augustan Literature?
Abstract: he article refers to London Grub Street as a metaphor, presenting the geographical environs highlighted by the social character that the district bore in the 18th century,
and establishing what Grub Street literary activity meant� he author examines who Grub
Street writers were and what literary signiicance can be ascribed to their texts�
Introduction
Trying to ind Grub Street on the maps of contemporary London would be futile
since, around 1830, the name was changed, and it is now Milton Street near Moorields� Nevertheless, the metaphorical sense of Grub Street lives on and its role
in Augustan literature should be recognised� Naturally, topography must not be
disregarded since it provided the context, without which Alexander Pope the most
fervent critic of Grub Street, would not have made it notorious in his emblematic
satire, he Dunciad� Ater all, the metaphor was based on the reality of the area of
18th-century London, and so its full force could hardly be grasped without some
knowledge of the literal existence of the place� As Pat Rogers noted in his extensive study of Grub Street: “It [he Dunciad] is an almost topological poem: space
and distance are part of its essential mechanics” (1972, 12)� hus, in order to fully
understand the meaning of Grub Street as a metaphor, it is essential to present the
geographical environs highlighted by the social character that the district bore at
the time� More importantly, to establish what Grub Street literary activity means
and whether it provides additional dimension of Augustan literature, it is necessary
to examine who Grub Street writers were and what sort of texts were ascribed to
them, that so many men of letters at the time criticised harshly�
he economic and cultural eminence of London in eighteenth century Europe
was undeniable� It had been steadily developing since the 16th century, and let its
European competitors such as Paris behind� In England, every county contributed to the great national business of supplying London with food, coal and raw
material in exchange for inished goods, luxurious and rare products obtained
overseas� It became a symbol of national life, “… the popular pulse beat stronger
62
Katarzyna Strzyżowska
there, in the turbulence of mobs, the enterprises of trade, the scheme of politics,
the curiosity of intellect, the pursuit of amusement” (Ford 1982, 23)�
Between 1660 and 1780, London underwent a transformation from a late medieval to an early modern city� “Aristocracy and gentry locked to London to be
seen at court, to attend parliament, to settle their legal afairs, to enjoy the season
and arrange marriages for their children, and to shop” (Waller 2001, 1)� Dorothy
George also noticed that, “… it was rapidly growing in bricks and mortar than in
population as people let the crowded lanes of the City for the newer parts of the
town” (1966,15)� he importance of the ancient City (the area within the walls
administered by the Lord Mayor) was diminishing� It was still the seat of power
but industrial and residential London “… continued to grow outside her liberties and beyond her control” (George 1966, 16)� Long-established, traditional
professions connected with the Church, law and medicine were no longer in the
main stream since business and commerce, along with the well-developed port of
London, were producing numbers of bankers, contractors, clerks and all types of
new professions connected, e�g� with architecture or music, even with landscape
gardening and journalism� Moreover, the vast hordes of workers from all walks
of life lured by the opulence and unparalleled opportunities of London, not only
provided the necessary workforce, but also changed the landscape of the city and
its social composition, creating new public institutions, thus allowing the middle
class to establish itself well on social scene and continue to prosper�
Grub Street literary machine
Undeniably, 18th-century literature was afected by the velocity of socio-economic
changes, and the growth of the capital� he spirit of the time, governed by utilitarianism, feeling of responsibility, inquiry and reform of social evils, made many
renowned Augustan men of letters turn their critical eyes to the reality of their
contemporaries�
Journalists, poets, and novelists dealt with this world of cofee-house and tavern, of
church, theatre, and club, of book- and print-shop, of street-market, pleasure-garden,
and residential square, until no territory seems more familiar; here, and in many personal
record like the Journeys of Celia Fiennes, Boswell’s London Journal and Life of Johnson,
Horace Walpole’s letters, and William Hickey’s Memoirs, is portrayed personality of an
amply felt place� (Ford 1982, 23)
It is out of the question that they did outstandingly well in their task of producing literature that criticised, instructed and hopefully corrected society� However,
what they did not keep in the highest esteem, probably due to a diferent role they
had assumed for literature to play, was the growing demand of the wide reading
Grub Street Literary Activity in 18th-Century London
63
public, always hungry for news and entertainment� “he growth in prosperity
and leisure throughout English society fuelled the consumption of literature”
(Gollner 1989, 3)�
Conveniently, Grub Street writers came to cater for these needs producing
numerous texts of oten doubtful quality, but cheap and easily available for a vast
public, adding not only another dimension to 18th-literature, but also signiicantly
inluencing the status of a writer and the publishing industry� Philip Pinkus (1968)
observed that the initiation of Grub Street literary activity was accompanied by
a combination of circumstances, “…more readers, less enforcement, a compact
market, powerful political parties who needed writers—created a new situation
which became increasingly apparent by the last part of the 17th century…” (17)�
he growing size of the reading public, as mentioned above, mainly comprised
of wealthy, business-oriented Dissenters centred in London who created a new
breed of readers with wide interests� Cofee-houses that were lowering all over
the capital provided suitable premises where they could spend hours discussing
freshly printed business, political and literary matters� It cannot be overlooked,
that the lapse of the Licencing Act of 1695 gave writers more freedom, even though
the government still felt responsible for safeguarding decency in what was printed�
“But there was a sense of release, and writers had less fear about writing what they
wished” (1968, 16)� According to Gollner (1989), the absence of the Act meant
that “…irstly, the government lost direct control over what was published and,
secondly, there was no efectual way of protecting the property of booksellers,
known as copyright” (4)� Politicians of the highest ranks, like the First Secretary,
Robert Harley were quick to realise the potential of far-reaching, free press and
its impact on the public, “…they needed skilful writers, not scholars, who could
ridicule and abuse and employ every blood-and-thunder tactic of paper warfare”
(Pinkus 1968, 15)� Grub Street writers were oten their irst choice� However, one
may question whether it was the right move, due to widespread, negative associations connected with Grub Street literary activity�
he term “Grub Street” referred to the production of literary hack writers�
“Hack” has a colloquial and pejorative meaning and describes a writer who is paid
to produce a text� It derives from a word “hackney” which was used to describe
a horse that was easy to ride and could be hired� In he Dunciad, Pope aptly describes hack writing as “…all the Grub-street race” (qtd� in Sowerby 1988, 198)�
Interestingly, the etymology of the name Grub Street seems to be in line with
what it came to be associated with� In modern German, the noun “die Grube”
may stand for: pit, waste-disposal or open grave� Online Etymology Dictionary
provides the following meaning:
64
Katarzyna Strzyżowska
grub (v�)–c� 1300, “dig in the ground” from hypothetical Old English grybban, grubbian
from West Germanic *grubbjan (cognates: Middle Dutch grobben, Old High German
grubilon “to dig, search”,
grub (n�)–larva of an insect perhaps from grub (v�) on the notion of “digging insect”�
Similarly, Ronald Paulson suggests that: “…the derivation is from ‘grube’, a drain
or ditch� Forms which are found in early records are ‘Grobstrat’ and Grubbestrate
(twelth century)� he name therefore carried overtones of refuse-disposal; and
suited the satirists’rhetorical aim of connecting vice and squalor with the sewerage
of the town” (in Rogers 1971, 24)�
It has to be noted that some references to Grub Street, in the literary sense,
had been made as early as 1630 by John Taylor1 who might be classiied as a hack
writer� However, the term became more current during the Civil War when a large
number of political pamphlets were produced on demand� It is in the 18th century
when Grub Street acquired its full identity and became a term of common usage�
Much of what is known about Grub Street and hack writers, is presented by
Alexander Pope in his contemptible poem, he Dunciad�
One Cell there is, concealed from vulgar eye,
he Cave of Poverty and Poetry�
Keen, hollow winds howl thro’ the bleak recess,
Emblem of Music caused by Emptiness� (in Sowerby 1988, 198)
One of Pope’s concerns expressed in the poem was the uncontrollable growth of
journalism and book production which he feared was becoming a marketable
commodity� Ian Jack in his study of Augustan satire, observed that “he Dunciad…is not only an attack on bad writers and bad writing: it is Pope’s pessimistic
commentary on an important development of his time� It is a bitter protest against
the levelling-down of literary standards” (1971, 117)� In his picture of Grub Street
and its denizens, Pope does not look far for metaphor or conceit, mere London
streets and generally ill-reputed mob served his purpose� “he image of the City, in
Augustan satire, is a sombre one� Pope impelled by his ‘rage for order’, ixes again
and again on the thorough-fares of London in order to image disorder” (Rogers
1972, 21)� hus, it was not at all accidental that his choice of place, inhabitants
or institutions brought vivid images� Street names were descriptive labels, very
oten bearing symbolic meanings, e�g� people held a strong belief that the Great
1
John Taylor (1580–1653)–minor English poet of humble background and natural git
of verse� A pamphleteer, and journalist who called himself ‘the Water Poet’ working
as a boatman on the hames for forty years produced a number of satires, verse essays
providing a picture of his own times� (Capp 1994)
Grub Street Literary Activity in 18th-Century London
65
Fire of 1666 was God’s warning against gluttony since it started in Pudding Lane
and ended at Pie Corner� Many, like Grub Street, could also indicate what one
could ind there�
Here she beholds the chaos dark and deep,
Where nameless somethings in their causes sleep …
Maggots half-formed in rhyme exactly meet,
And learn to crawl upon poetic feet�
Here one poor word an hundred clenches makes,
And ductile dullness new meanders takes;
here motley images her fancy strike,
Figures ill paired, and similes unlike�
She sees a mob of metaphors advance,
Pleased with the madness of the mazy dance:
How tragedy and comedy embrace;
How farce and epic get a jumbled race … � (Pope in Sowerby 1988, 198)
It has to be noted that Pope was neither original nor the only one to use unpleasant
physical facts and the familiar topography of London� Many of the contemporary
Augustan satirists “…saw the moral, comic and artistic possibilities ofered up to
them by the accidents of urban ecology” (Rogers 1972, 21)� “…Swit reverts to the
dirt and rubble of the streets; his is a world of garrets, night-cellars, prostitutes” (8)�
he language of he Dunciad makes Pope’s view point of Grub Street literary activity conspicuous and puts it far from any sort of act of creation, clarity, coherence
or polite idiom–ideals he expected to ind in a literary piece� Instead, “…there are
poetic ‘Maggots’, crawling about the crannies of the Cave, along with ‘spawn’ waiting
to be hatched by ‘a warm hird day’� here are showers of sermons, replenished like
clouds ‘from some bog below’… � here is mention of ordure, evil vapours, a strange
mutant ‘vast egg’: it is like a biological catastrophe brought about by the onset of
Dulness” (Rogers 1972, 139)� It has to be irmly stated that it was neither Pope and
his satire, nor any other Augustan wits with their ill opinions of Grub Street that
brought about ill fame to the place� Pat Rogers clearly suggested that Grub Street
had acquired its notoriety for a combination of reasons before it came to stand for
the literary underworld� Studying the maps of 18th-century London, it is possible to
localise Grub Street in the parish of Cripplegate Ward Without, “Grub Street was a
mere stone’s throw from the City within the walls: but in sociological terms it was
light-years distant” (Rogers 1972, 21)� It was situated at the heart of a district long
known for its bad repute, poverty and disease� Grub Street was oten associated with
the neighbouring Moorields and Bedlam� “It… had windows that looked out both
on Bedlam and to a churchyard–on a madhouse and a burial ground” (1972, 44)
evoking obvious connotations in people’s minds about its denizens�
66
Katarzyna Strzyżowska
hus, it is not surprising that hack writers who would oten ind themselves
lodging there, had to bear a stigma of being merchandising scribblers whose work
was associated with mercenary practice rather than literary creation� Needless to
say, 18th-century public opinion coined a harsh, and straightforward opinion of
the Grub Street “… a place notable for literary crime, for poverty of invention, for
the prostitution of poetry, and for the retailing of shoddy stolen goods” (Rogers
1972, 44)…and the writers that lived there� “… the hacks were drinking, whoring
lot, abandoned to every vice–worse, they were a blasphemy against the sacred
principles of thrit, industry and cash payment” (Pinkus 1968, 13)� Interestingly
though, as mentioned above, the gentleman class and politicians, regardless of
their contemptible attitudes towards the hacks, found them useful in their political
wars� It was generally known that many of Grub Street writers dreamt of a better
life for themselves and were thus forced to sell their skills, simply to survive and
what Pinkus points at is the fact that many “…were just as learned, intelligent
and witty as the best of their present day counterparts” (1968, 14)� Having found
themselves on the verge of starvation, with family to support, as sympathetically
illustrated by William Hogarth in his sketch entitled he Distressed Poet, they had
nothing to lose, no inhibitions in writing on the most diicult and dangerous issues that could bring them trouble, pillory, imprisonment or even death� “hey
were more daring, possibly because they took themselves less seriously, because
they were poor, because, being less respectable, they had less to lose–and because
the libel laws were lax” (14)� It is unquestionable that many had a right to frown
angrily on hearing about Grub Street writing, since even hacks themselves did
not abandon the awful truth about their existence and position� One of the most
renowned, 18th-century hack, Tom Brown, whom many referred to as the prince
of Grub Street, admitted that he wrote for a living�
Believe me, sirs, as I am a sinner,
I writ that satire for a dinner …
All friends I tried, not one was willing
To credit me with one poor shilling:
In this distress, without advising,
I fell to cursed satirizing�
(qtd� in Pinkus 1968, 41)
Hence, one may easily come to understand that the bone of contention between
respectable writers and hacks was simply money� he situation of the former was
slightly better, since very oten, they had some private income or were supported
by wealthy patrons� Even though by the beginning of the 18th century an author’s
relationship with his patron changed becoming less important and less attractive
Grub Street Literary Activity in 18th-Century London
67
to the authors, Grub Street writers had no support at all, and usually had to depend
solely on their writing and agility to escape debtor’s prison�
However, it does not mean that hacks were fully independent since in order to
earn their living they had to publish their work, turning to booksellers who at the
time were a combination of modern publishers, wholesalers and retailers�2 Modern studies suggest that 18th-century booksellers were responsible for displacing
the printers and the Stationer’s Company, taking control over the publishing trade,
and applying “…commercial principles to the manufacture of literary goods”
(Ford 1982, 153)� hey were business-men, whose strength was to be found in
capital, thus they ruthlessly followed rules of trade, rather than Augustan aesthetics� Daniel Defoe, considered by many of his contemporaries as a literary tradesman rather than an artist, admitted that Grub Street was a part of this literary
industry, with booksellers in charge: “Writing, you know, Mr Applebee, is become
a very considerable Branch of the English Commerce…he Booksellers are the
Master Manufacturers or Employers� he several Writers, Authors, Copyers, Subwriters, and all other Operators with pen and Ink are the workmen employed by
the said Master Manufacturers” (in Ford 1982, 153)� Booksellers, like Grub Street
where most oten they operated, evoked feelings of contempt and their activity was
associated with literary piracy� he most prominent rogue bookseller of his time,
immortalized by Swit and Pope, and whom the latter saw as a precise opposition
to his own literary career, was Edmund Curll who was believed to represent Grub
Street’s very spirit� Paul Bains and Paul Rogers introduce him as “…a self-made
bookseller with reputation for piracy, deviousness, and obscenity” (2007, 1)� It is
undeniable that Curll was not an honourable person, there even might be some
truth in the rumour that was spread in his life time that “…he kept a stable of
writers, slept them three to a bed, advanced them money for work which, it must
be confessed, they sometimes, had no intention of completing…” (homas Amory
in Pinkus 1968, 17)� hey do underline, however, that otentimes literary history
is told from a point of view of people like Alexander Pope, who, representing
high classical culture who demonize commercial publishers and ignore wider
public and their needs� Consequently, in most minds, Edmund Curll survives as
a scandalmonger who brings shame to 18th-century literature� However, to give
him his due, it has to be admitted that whatever he decided to publish, regardless
of the quality and literary value, was dictated by his wish to please and entertain
2
An in-depth study of complex diferences between bookselling and publishing, with
reference to the position of the Stationers Company in the 18th century is provided by
Marjorie Plant in he English Book Trade (1965)�
68
Katarzyna Strzyżowska
the society� Dr John Arbuthnot, Pope’s fellow satirist, once joked that “…Curll
had managed to add a new terror to death by his practice of rushing out cheap
and inaccurate biographies of recently-dead celebrities” (in Bains and Rogers
2007,1)� He consciously thrived on controversy and scandal since he believed
that it was good for business� Pinkus claims that his publishing tactics made
him almost a myth and his name came to be closely identiied with Grub Street
literary underworld� His idea was to gain publicity that, according to Curll, was
to be guaranteed by the title page, not the content� Richard Savage, a Grub Street
writer himself, in his satire of the hack entitled An Author to be Lett, portrays a
hack with a number of references to Curll and his tactics�
My pamphlets sell many more impressions than those of celebrated writers; the secret of
this is, I learned from Curll to clap a new title-page to the sale of every half hundred; so
that when my bookseller has sold two hundred and ity copies, my book generally enters
into the sixth edition… � (Pinkus 1968, 78)
Sadly, no matter which tactics were incorporated, many Grub Street writers and
publishers were rarely rich, nor were able to change their wretched fate� heir life
was never safe, and to date there are no extensive records of hacks who managed
to escape Grub Street ghetto and enjoy a respectable life� Pinkus noted that the
18th century was not ripe enough for one to live by the pen�
Roger L’Estrange, for all his former eminence, died a broken old man� John Dunton, for
all his successes and prodigious activity, was hopelessly in debt� Tom Brown lived his
last years in poverty and ill health and died relatively young, John Tutchin, editor of the
Observator, was beaten up for a supposed libel and died soon ater� William King was
diseased and in debt and was to die shortly� George Ridpath, of the Flying-Post, had to
leave the country� (1968, 227)
In 1712, the Stamp Act introduced by the government, mainly to restrain political
propaganda slowed down Grub Street literary activity� Surprisingly, however, it
did not silence the press, nor kill Grub Street trade totally� In one of his letters to
Stella of 1712, Swit suggested that it was the end of hack writing�
Do you know that Grub Street is dead and gone last week? No more ghosts or murders
now for love or money� I plied it pretty close the last fortnight and published at least seven
penny papers of my own, besides some of other people’s; but now every single half sheet
pays a half penny to the queen� he Observator is fallen; the Medlays we jumbled together
with the Flying Post, the Examiner is deadly sick; the Spectator keeps up and doubles
its price; I know not how long it will hold� Have you seen the red stamp the papers are
marked with? Methinks the stamping it is worth a half penny� (Swit 1841, 252)
Once the shock wore of, pamphlets and poems continued to be published, but
still, it was already a signal that Grub Street phenomenon is on its way out� In
Grub Street Literary Activity in 18th-Century London
69
1755, Samuel Johnson, who in fact originated from Grub Street, immortalized it
in his dictionary� he fate of Grub Street writers was also evoked by the Victorians
who showed some sort of appreciation and recognition, dictated mainly by pity
towards hacks who were perceived as suferers and victims of society�
Conclusions
Having briely examined the Grub Street literary activity, it is not at all easy to
determine straightforwardly whether it was a law, a shameful episode in Augustan
literature or a local colour which enriched it and gave it another dimension� Facts
concerning dubious literary standards, tactics or objectives of Grub Street writers
and publishers cannot be ignored� Alexander Pope, however much he despised
them, could not restore to lies only when describing the place and its denizens
in he Dunciad� On the other hand, however, one has to take into consideration
the fact that the reality of 18th-century England, London in particular, started to
be governed by the principles of commerce which many of the Augustan wits
could accept in everyday life, but literature that was sacred for them� Grub Street
hacks and booksellers could not aford to keep literature to the chosen; they grew
sensitive to public taste and the requirements of the literary market� hey might
have lacked the literary skill, but they were quick to make up for it by ingenuity
and originality of their writing� It is thus possible to conclude, quoting Pinkus,
that “Very little of enormous quantity of their writing deserves a permanent
place in our literature, though much of it is good enough to deserve our interest”
(1968: 17), and because Grub Street writers managed to please the public palate
providing a new kind of writing, though not perfect, their activity should not be
seen as a serious blow to Augustan literature�
References
Baines, Paul. and Rogers Pat� 2007� Edmund Curll, Bookseller. Oxford: Clarendon
Press, Oxford University Press�
Capp, Bernard� 1994� he World of John Taylor the Water-Poet 1578–1653� Oxford:
Clarendon Press, Oxford University Press�
Daiches, David� 1994� A Critical History of English Literature. he Restoration to
the Present Day. Vol. II. London: Mandarin Paperbacks� Deutsch-EnglischWörterbuch� Accessed October 17, 2015� http://www�dict�cc/deutsch-englisch/
Grube�html�
Ford, Boris� (ed�) 1982� he New Pelican Guide to English Literature: From Dryden
to Johnson� London: Penguin Books�
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Katarzyna Strzyżowska
George, Mary, Dorothy� 1966� London Life in the Eighteenth Century� Harmondsworth: Penguin Books Ltd�
Gollner, Joe� 1989� he Natural History of Grub Street in Augustan England� Accessed October 17, 2015� http://jgollner�typepad�com/iles/natural_history_of_
grub_street_jgollner_1989�pdf�
Jack, Ian� 1971� Intention and Idiom in English Poetry 1666–1750.Oxford: Clarendon Press, Oxford University Press�
Online Etymology Dictionary� Accessed November 02, 2015� http://www�etymonline�
com/index�php?allowed_in_frame=0&search=grub+street�
Pinkus, Philip� 1968� Grub Street Stripped Bare� London: Constable and Company
Limited�
Rogers, Pat� 1972� Grub Street. Studies in a Subculture. London: Methuen & Co Ltd�
Roger, Pat� (ed�) 2007� he Cambridge Companion to Alexander Pope� Cambridge:
Cambridge University Press�
Sowerby, Robin� (ed�) 1988� Alexander Pope: Selected Poetry and Prose. London:
Routledge�
Sutherland, James� 1962� English Satire� Cambridge: Cambridge University Press�
Swit, Jonathan. Roscoe, homas� 1841� “Journal to Stella”� In he Works of Jonathan
Swit Containing Interesting and Valuable Papers not Hitherto Published. With
Memoir of the Author. 2 Volumes� London: Washbourne�
Waller, Maureen� 2001� 1700, Scenes from London Life. London: Sceptre�
Iryna Senchuk
he Evolution of W. B. Yeats’s Idea of a Drama:
from on Baile’s Strand to he Death of Cuchulain
Abstract: he study, based on three Cuchulain plays, focuses on Yeats’s idea of a theatre and
drama and traces the evolution of his dramatic style from On Baile’s Strand to he Death
of Cuchulain, with At the Hawk’s Well as a middle point� It aims to emphasise the interaction between the dramatic theory Yeats developed throughout his career and his works�
hough the reputation of William B� Yeats (1865–1939) as one of the major writers in English of the 20th century rests primarily on his poetry, he also identiied
himself a dramatist: “I need a theatre; I believe myself to be a dramatist; … I seem
to myself most alive at the moment when a room full of people share the one loty
emotion” (Yeats 1917)� Yeats’s contribution as a playwright has been accepted and
emphasized in a number of studies since the 1960-ies, to mention Helen Vendler’s Yeats’s Vision and the Later Plays (1963), Peter Ure’s Yeats, the Playwright
(1963), Richard Taylor’s he Drama of W. B. Yeats (1976), James W� Flannery’s
W. B. Yeats and the Idea of a heatre (1976), Katharine Worth’s he Irish Drama
of Europe from Yeats to Beckett (1978), and Richard Ellmann’s Yeats: he Man
and the Masks (1979)� More recent books on Yeats’s plays include Christopher
Murray’s Twentieth-Century Irish Drama (2000) and Michael McAteer’s Yeats and
European Drama (2010)�
Yeats saw drama both as an appropriate visual medium for his self-expression
and as the art mode that could appeal to “a deep of the mind” and make people
“share the one loty emotion�” While forming his vision of modern theatre, Yeats
rejected the realistic drama concerned with character and social problematics, the
realistic staging with its “visual coherence of the stage scene,” and the realistic acting
with its “charismatic force of bodily display” (Worthen 1991, 100, 54) and turned to
diferent experiences� he Wagnerian idea of synthetic theatre, the symbolist drama
of M� Maeterlinck and V� de l’Isle Adam, O� Wilde’s Salomé, the Nietzschean vision
of the Greek tragedy, G� Craig’s advocacy of mask and marionette, as well as the
ritual performances of the Japanese Noh plays were successively chosen as models
which Yeats used and transformed in a new structure—a coherent mythological
poetic drama of the interior, having no distinguished precedent in English:
In poetical drama there is…an antithesis between character and lyric poetry…Yet when
we go back a few centuries and enter the great periods of drama, character grows less
and sometimes disappears, and there is much lyric feeling� …we call this art poetical,
72
Iryna Senchuk
…because it delights in picturing the moment of exaltation, of excitement, of dreaming�
(Yeats 1910, 175, 177)
Like Wagner, Yeats considered poetic drama to be a perfect dramatic form where
“the inal appeal was directly to the senses, and had meaning only when it was
justiied by emotional necessity” (Styan 1983, 6)� However, using the blank verse
line, Yeats, unlike the 19th-century verse playwrights, viewed it as an integral part
of the internal structure of the play� In order to gain a formal coherence, the unity
of language, gesture and scene, he successively abandoned such traditional aspects of the 19th-century mode of poetic drama as descriptive lyrical passages and
artiicially “poetic” line constructions, realising the diference between a poetic
theatre and verse drama which is to do “with the theatre’s ability to stage the
text” (Worthen 1991, 101)� hus, the vehicle of Yeats’s poetic drama was verse,
its key mechanism was imagery, and its substance was myth: he employed myth
as a source of poetic imagery and the mythic method to structure his poetic universe� he venture into myth allowed Yeats to combine allegory and psychological
symbolism, the venture into Celtic myth also allowed him to activate national
consciousness, utilizing theatre as a vehicle to communicate the legend directly
to the audience�
hree one-act plays–On Baile’s Strand, At the Hawk’s Well and he Death of
Cuchulain–are representative as for the evolution of Yeats’s dramatic style and
technique from the conventional poetic mode to a more experimental form for
verse drama� hough all three plays took as their source Cuchulain myth, Yeats
treated it with considerable freedom: being not interested in recounting the legend
of Cuchulain for informational motives, the playwright rather used it as theme
to reveal moments of intense feeling and to communicate larger issues of nation
and politics� hus, Cuchulain transforms into the “myth-founded Mask of Ireland
which, being opposite to the modern world, was the Mask for the modern world”
(Unterecker 1959, 17), contributing to his idea of the Unity of Culture�
On Baile’s Strand (1904) is irst of Yeats’s plays to concentrate on the way heroic
Cuchulain confronts his destiny and to realise the unity of tone, setting, character
and image which is the distinguished feature of his later dance plays� J� Flannery
considers it to be “the most perfect early realisation of his dialectical drama”
(Flannery 1976, 307)� his play centres on the conlict between the physical world
of imposed social norms and material values represented by Conchubar and idealistic, individualized mode of existence personiied by Cuchulain, the conlict
between political mediocrity and heroism� he tragic dimension of the situation
is that Cuchulain, despite his heroic and freedom-loving nature, is forced to surrender to Conchubar’s will:
he Evolution of W� B� Yeats’s Idea of a Drama
73
And I must be obedient in all things;
Give up my will to yours; go where you please;
Come when you call; sit at the council-board
Among the unshapely bodies of old men�
I whose mere name has kept this country safe� (Yeats 1997, 54–55)
his conlict between an individual and community eventually transforms into
the inner conlict of Cuchulain, which drives the action of the play as tragedy—
from the scene when, realizing his alienation, the hero swears Conchubar’s oath
of obedience to the closing scene when he kills his unrecognized son, goes mad
in his grief and turns to attack the sea which “masters him”�
he structure of On Baile’s Strand depends on a double perspective� he irst
perspective is mythical, representing Cuchulain, Conchubar and Cuchulain’s
unrecognized son� he Blind Man and the Fool provide the second perspective�
he Blind Man knows about Cuchulain’s past deeds and the fate that will befall
father and son� Finally, it is he who reveals to Cuchulain the identity of the slain
warrior: “It is his own son that he has slain” (Yeats 1997, 70)� Paralleling the argument between Cuchulain and Conchubar, the Blind Man and the Fool frame the
heroic action and function as narrators to the main conlict, though they do not
take part in it� It is curious to note that in a later version of 1921, ater Yeats had
begun experimenting with Noh techniques, masks were used for the Blind Man
and the Fool only, depersonalizing them as characters and transforming them
into symbols of human destiny: “Life drits between a fool and a blind man / To
the end, and nobody can know his end” (67)� hese two could also be interpreted
as two facets of the trickster archetype� Yeats establishes a parallel between the
Fool and Cuchulain, the Blind Man and Conchubar which is already apparent
in the irst scene, when in the empty hall at Dundealgan, the Blind Man gets
into Conchubar’s chair, predicts the future ceremony of putting the oath upon
Cuchulain and enacts it, choosing the role of the High King, while the Fool is
compelled to play Cuchulain� his juxtaposition of the Fool and the Blind Man
as corresponding igures to the noble characters of mythological Cuchulain and
Conchubar contributes to the unity of image in On Baile’s Strand� To confront
diferent modes of being in On Baile’s Strand Yeats combined verse and prose:
the Blind Man and the Fool, representing the world of common reality, speak in
prose, whereas mythological Cuchulain and Conchobar, representing the heroic
world, speak in verse� So the shits from prose to verse and vice versa seem to
signal the changing of speakers and help the audience to identify the physical
world and the heroic realm�
he use of ritualistic scenes and objects as symbols is a feature which On Baile’s
Strand shares with other Cuchulain plays� he most symbolic scene here is the
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Iryna Senchuk
ritualistic ceremony presided over by three women who guard the “threshold and
the hearthstone” (Yeats 1997, 61)� Using occult forces and the bowl of ire, they
bind Cuchulain’s strength as warrior to strengthen Conchubar’s authority� In this
play, the bowl of ire, that is “tamed” ire, symbolizes the hearth and thus binds
the hero to service and obedience to the High King, his children and the tribe�
Another symbol, which destroys the illusion of equality within the community
and signiies Conchobar’s superiority, is the High King’s chair which is much
bigger than the other ones in the assembly-house� hus, the chair is not just the
object of interior, but rather a symbol of social status�
By 1916, Yeats had challenged the scenic priorities of stage realism and his
discovery of the Japanese Noh plays was an important moment in his career�
Yeats aimed at eliminating all traces of naturalistic or imitative acting and claimed
the actor to be a depersonalized symbol pointing through the gestures and the
movements of the body to a meaning beyond what was visible on the stage� In
the Noh drama, he found certain proof of his own theory of drama and a clue
to more meaningful coherence not available through the European theatrical
tradition� With the help of Japanese plays, as the playwright claimed, he had “invented a form of drama, distinguished, indirect, and symbolic, …an aristocratic
form” (Yeats 1916, ii)� Yeats praised the emotional “subtlety” and the simplicity
of the Noh form, its fusion of word, gesture and music, its stylization of character
achieved by the use of mask, and the ritualized performance� He adapted Noh
scenery which provided him with the idea of a small intimate audience meeting in
a drawing room and incorporated the use of masks, serving his idea of “impersonality” and “symbolism” in art� In his essay Certain Noble Plays of Japan Yeats wrote:
A mask will enable me to substitute for the face of some commonplace player, or for that
face repainted to suit his own vulgar fancy, the ine invention of the sculptor… A mask
never seems but a dirty face, and no matter how close you go is still a work of art; nor
shall we lose by staying the movement of the features, for deep feeling is expressed by a
movement of the whole body� (Yeats 1916, vii)
he mask allowed Yeats to objectify the personal, to give the impersonal “truth”
to the appearance and to achieve the distancing which he desired for drama�
To intensify the emotional appeal and to emphasize the psychological symbolism of his plays, Yeats incorporated into them such elements as musical accompaniment and stylized dance� Rhythmic music and the sounds of drum, gong or
zither were intended to accompany the speciic rhythmic motions of the actors�
But it is oten in the inal symbolic dance that the unity of emotion is resolved:
“…the music, the beauty of the voice all come to climax in pantomimic dance”
(Yeats 1916, i)� At the Hawk’s Well, for instance, is centred on and he Death of
he Evolution of W� B� Yeats’s Idea of a Drama
75
Cuchulain is concluded by a ritual dance which intensiies the unity of image on
stage and contributes to thematic meaning� Yeats’s adaptation of the Noh elements
difers from play to play and his four Plays for Dancers (At the Hawk’s Well among
them) as well as his later dramatic works represent a distinctive form, something
completely new in the Western and Eastern traditions�
At the Hawk’s Well (1916) is Yeats’s irst play the formal origin of which has
been sought in the Japanese drama� Although the Noh inluence in this play can
signify a departure from Yeats’s earlier crat, it also provides the playwright with
a new venue to explore the story of Cuchulain which is evoked by the Musicians
but, in fact, is not based on any of the Cuchulain legends� At the Hawk’s Well is
also Yeats’s irst play to adapt Noh scenery and, as stage directions suggest, “he
stage is any bare space before a wall against which stands a patterned screen” (Yeats
1997, 113)� he opening lyric sets up the tone and the scene of the play: the well
represented by a black cloth, the withered tree, Cuchulain climbing the mountain:
I call to the eye of the mind
A well long choked up and dry
And boughs long stripped by the wind,
And I call to the mind’s eye� (113)
he audience is immediately invited to participate, though not physically, in the action, because the verse actually calls upon the “eye of the mind”� So the audience is
asked to imagine the setting� In the Noh, setting is an integral part of the text of the
play� he stage itself is bare by Western standards and characters announce where
they are and what their surroundings look like� hus language in its evocative
role here takes precedence over representational background� In Yeats’s play, the
scene is also built verbally and identiied ritualistically with the stylized gestures
of unfolding or folding the black cloth, signifying the well� So in this play, we see
the audience and setting as supporting igures to hero’s quest�
While the irst stanza of the opening lyric sets the scene on a descriptive level,
the second stanza, sung by Musicians as they ceremoniously unfold and fold the
cloth, sets the scene on a thematic level, representing the point of view of the
hero: a short heroic life is better than a long monotonous one: “What were his
life soon done! / Would he lose by that or win?” (Yeats 1997, 114)� he ceremony
of folding and unfolding the cloth, which opens and closes the scene, along with
Musician’s utterance, “I call to the eye of the mind”, remind of some incantation
and function as attributes of the ritual of passage from the real world to “the sacred
time of myth” (Eliade), to eternity the entrance to which is guarded by a hawk-like
woman, the Guardian of the Well, that appears on the stage�
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Iryna Senchuk
Along with the Young Man who names himself Cuchulain, Yeats introduced
into his play the Old Man, “Who has been watching by his well / hese ity years”
(Yeats 1997, 115), resentfully waiting for the well water to rise� He is used mainly
as a plot device to unfold the action, a type of the omniscient narrator� It is the Old
Man who describes the Guardian of the Well and narrates her curse to Cuchulain:
…here falls a curse
On all who have gazed in her unmoistened eyes;
…hat curse may be
Never to win a woman’s love and keep it;
Or always to mix hatred in the love;
Or it may be that she will kill your children,
hat you will ind them, their throats torn and bloody,
Or you will be so maddened that you kill them
With your own hand� (119)
he Old Man, thus, foreshadows not only the action that follows but the destiny
Cuchulain encounters: his prediction connects this play to the earlier On Baile’s
Strand, completing the Cuchulain cycle� As a character, the Old Man is like the
setting which is desolate and motionless: “His movements, like those of the other
persons of the play, suggest a marionette” (115); they are synchronized with the
music and correspond to the principle of stylization that governs Yeats’s conception of the play� Harold Bloom claims the Old Man to be “an image of what Yeats
fears to become”, the “degrading” mask of age (Bloom 1970, 297)� he two dramatic igures—the Old Man and the Young Man—however, lack psychological
depth and are rather emblematic, representing two models of behaviour–that of a
coward and a hero� Unlike the Old Man, Cuchulain dares to gaze into the Guardian’s eyes, though losing his peace of mind, and, therefore, makes his choice to
be a hero� Raising his spear, he exclaims: “He comes! Cuchulain, son of Sualtim,
comes” (Yeats 1997, 122)� his assertion is that of a man who has chosen his identity� However, it is in the third person: that is, in accepting his destiny of hero, he
has depersonalized himself as an archetype�
It is crucial to the interpretation of the play to realize that Cuchulain thinks of
the Well as a source of immortality he quests for, though in Irish mythology and
folklore, it is usually viewed as a source of foresight: “He who drinks, they say, / Of
that miraculous water lives for ever” (Yeats 1997, 117)� Immortality acquires here
mystical meaning and is understood as the possession of the sacred knowledge
of the mysteries of the universe� Such interpretation inds common ground with
the ideas of Gnosticism Yeats was interested in� Like Gnostics, Yeats regarded
immortality as a mystical process of revelation experienced when “men heap his
burial-mound and all the history ends” (121)� In the light of the Gnostic teaching,
he Evolution of W� B� Yeats’s Idea of a Drama
77
the Old Man is, thus, the representation of the earthbound and materialistic beings (hyletics), who recognize only the physical reality; Cuchulain represents
those who live largely in their psyche (psychics) and have little awareness of the
spiritual world beyond matter and mind; the Well of immortality is a metaphor of
the universe, that is a source of transcendent knowledge� (So, in this play, objects
are symbols of symbols: a black cloth symbolizes a well which in turn symbolizes
immortality and wisdom�) herefore, both Cuchulain and the Old Man, being
not spiritual, fail to drink the waters of immortality� It is signiicant that in Yeats’s
play the Well is hidden within three hazels� he Celts believed hazelnuts gave one
wisdom and inspiration� he image of a hawk-like Guardian of the Well is also
symbolic: being a part of the supernatural world, “the Woman of the Sidhe” (119),
she serves as a mystical symbol of divinity and as a medium in the hero’s spiritual
progress� So the Hawk-Woman guards the sacred knowledge of the universe, the
divine wisdom, which is the Well covered with the fruit of knowledge–the hazelnuts–and illed with magic substance giving immortality–the “miraculous water”�
At the Hawk’s Well is, probably, the most symbolic of Yeats’s plays� Along with
such symbols as a “well” and a “hazelnut” as well as character symbolism, the
playwright employs the symbols of “wind” and “withered leaves”� he wind symbolizes the process of spiritual rebirth and traces the inluence of P� B� Shelley’s
Ode to the West Wind� Yeats’s play also shares with Shelley’s ode an image of
“withered leaves”: “he withered leaves of the hazel / Half choke the dry bed of
the well” (Yeats 1997, 114)� hrough a metaphor of the natural cycle, “withered
leaves” may symbolize future revival (a new birth)� On the other hand, “withered
leaves” (decayed, dried-up) may symbolize the Old Man’s wasted life because of
Cuchulain’s parallel—“You seem as dried up as the leaves” (119)�
Besides, in At the Hawk’s Well Yeats made use of incorporeal elements such as
dance, music and mask with symbolic dimension, even the marionette-like movements of the characters reinforce both the sense of unreality and the symbolism
of predestination� In his book Yeats: he Man and the Masks, Richard Ellmann
(1979) explains the symbolic method of At the Hawk’s Well and its relevance in
Yeats’s dramatic evolution:
hough the play is on Cuchulain, it has no single source in the Cuchulain legends and
is purely symbolic, the kind of play Yeats had wanted to create in the nineties but for
which he had then lacked method …Yeats had at last found an adequate medium for his
dramatic talents; the collusion which we have observed in his earlier dramas between
humanity and pattern no longer occurs when the actors wear masks, when they speak
a highly specialized language, when a choras announces that all is set within the mind’s
eye, and when the climax is a symbolic dance� (215)
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Iryna Senchuk
he stylized dance in this play is performed by a representative of the supernatural
world� It has the integral function in the pattern of the action, because the Guardian
of the Well dances to lure Cuchulain away from the rising of the immortal waters�
Furthermore, to display the interplay between diferent levels of reality in At the
Hawk’s Well, Yeats does not use shits between prose and verse: unlike On Baile’s
Strand, it is all written in verse� his signalling function is here carried out by a
combination of contrasts between music and its absence, and between masks and
painted faces� According to the stage directions, the two recognisable human characters are wearing masks, while the musicians and the Guardian of the Well have
their faces painted to resemble masks� he painted faces are there to give a physical
element to the spiritual character of the Hawk-Woman and the Musicians who, being clearly human, live a life outside the conventional society and are engaged with
the spiritual� he masks of the two human men have the efect of depersonalizing,
suggesting the timelessness of myth in patterns of action and providing what Yeats
called “separating strangeness” (distancing from life)� It is impossible to trace in
detail all of Yeats’s adaptations of elements from the Noh tradition; the important
thing is to recognize that in each case the materials of the play are controlled by
the demands of the particular play�
Yeats’s last play he Death of Cuchulain (1939) dramatizes the inal stage in the
life of his hero� hough the saga serves as a basis for this Cuchulain play, Yeats
made some alterations to suit his own purpose� His last dramatic production is
very complex because of its fractured structure, of the special characteristics of its
introduction and of the diicult allusions of the song closing it� Yeats combined
here myth, history and present� he play begins with rather realistic prologue of
the Old Man who has been “asked to produce a play”, then it moves into the mythical universe, in which the inner play takes place, and ends in the world of reality�
he supreme Irish hero’s death is, therefore, afected by two realistic fragments
framing it� As for the scenery, the stage directions indicate “A bare stage of any
period” (Yeats 1997, 263) in the tradition of the Noh drama, which ofers a great
possibility of interpretations: it may refer to all ages, all societies, all traditions,
emphasising timelessness of action� However, the curtain falls and the stage gives
way to Irish mythological past with Cuchulain, his mistress Eithne Inguba, and
the war goddess Morrigu foreshadowing hero’s death�
he Death of Cuchulain is in three scenes, each separated by the stage darkening
and the curtain falling� As the stage is plunged into darkness, pipe and drum music
begin and only then the lights come up and actors appear to commence the new
scene� Such technique stresses the fragmented impact of the play and ixes each
episode independently in an audience’s memory� he function of Musicians here
he Evolution of W� B� Yeats’s Idea of a Drama
79
is cut down to music accompaniment which serves a pause between scenes� he
irst scene shows Eithne under Maeve’s spell and Cuchulain who, notwithstanding
bad signs, decides to join the battle immediately� he second scene is constructed
of a series of “critical moments” in which various images from Cuchulain’s past
are analysed, thus completing the Cuchulain cycle� he hero re-enters the empty
stage wounded to death and tries to fasten himself to the stone so that he may die,
like a hero, upon his feet� He is followed by Aoife� he moving dialogue between
these two shapes the recollections of the tragedies they have endured in On Baile’s
Strand and At the Hawk’s Well: “Aoife, the mother of my son� We met / At the
Hawk’s Well under the withered trees� / I killed him upon Baile’s Strand /…/ You
have a right to kill me” (Yeats 1997, 268)� And though Cuchulain admits that she
has the right to kill him, the scene abruptly changes and Aoife leaves the stage� It
is the Blind Man who enters the stage; the one who is called back from On Baile’s
Strand to kill the hero for twelve pennies, using the knife with which he cuts his
food� Cuchulain mocks at his condition, realising its absurdity: “Twelve pennies!
What better reason for killing a man? / You have a knife, but have you sharpened
it?” (270)� Peter Ure (1963) comments on the scene:
his is an acceptance, but it is not a transiguration, and Aoife who had all the reason in
the heroic world for killing Cuchulain is cheated� he story in which revenge would have
meaningfully completed work, life, and death is carefully built up but does not resolve
into its climax; the actual ending… embodies a resounding irony� (82)
So the revenge play is undercut by a counter-structure which dissolves the revenge
into travesty (Murray 2000, 33)� he basic split in this scene is that between the
heroic (Cuchulain) and the anti-heroic (Blind Man), between the world airming
the values of humanity and the calculating world of reason respectively:
Cuchulain� I think that you know everything, Blind Man�
…
Blind Man� No, but they have good sense�
How could I have got twelve pennies for your head
If I had got not sense? (Yeats 1997, 270)
Although the image of Cuchulain, as in Yeats’s earlier works, embodies the heroic
ideal, here he is to confront neither the warrior nor the supernatural igure� His
enemy is the human blindness and greed which “masters” the hero� C� Murray
claims the Blind Man to be “the tool of determining history” (Murray 2000, 33)�
However, in the moment of death, Cuchulain is rewarded with a mystical vision
of his soul in the process of reincarnation: “a sot feathery shape / And is not that
a strange shape for the soul / Of a great ighting man” (Yeats 1997, 270)�
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Iryna Senchuk
Tracing the development of Yeats’s dance plays from At the Hawk’s Well to he
Death of Cuchulain, it is apparent that the role of dance gradually changes� While
the stylized dance in At the Hawk’s Well shows its subordination to words and has
the integral function in the action, the inal dance of Emer, Cuchulain’s wife, acquires supremacy over verbal expression� he dancer onstage also changes: Emer,
having no magic about her and being representative of old age and domesticity, is
diametrically opposed to the supernatural Guardian of the Well� he dance drives
Emer into the state of spiritual identiication with the hero at his death� his dance
is not a part of some stylized ritual, but rather an expression of emotional state�
he inal stage directions mediate Emer’s dance:
She so moves that she seems to rage against the heads of those that had wounded Cuchulain, perhaps makes movements as though to strike them, going three times round the
circle of the heads� She then moves towards the head of Cuchulain… She moves as if in
adoration or triumph� She is about to prostrate herself before it, …she seems motionless�
here is silence, and in the silence a few faint bird notes� (271)
here is a hint of immortality in the “few faint bird notes” which end the inner
play� his statement might stand for Cuchulain’s inal shape-changing and signify
his successful passage into immortality�
As the stage darkens slowly, we leave the timeless mythological world and are
brought back again to reality through the loud “music of some Irish Fair of our
day”� hree Yeatsian musicians appear again, this time in “ragged street-singers’
clothes”, one of them singing� he song of the Street-Singer, originally sung by the
harlot to the beggar-man, seems somewhat dissociated from the action of the play�
Yet the irst stanza serves as rather a link with the inner play, since it introduces the
mythical past by referring to relevant igures of the legendary Irish world: “I meet
them face to face, / Conall, Cuchulain, Usna’s boys, / All that most ancient race”
(Yeats 1997, 271)� he second stanza, through allusions to historical Pearse and
Connolly, focuses on the recent past which revives the heroic past: “What stood
in the Post Oice / With Pearse and Connolly? /…/ Who thought Cuchulain till it
seemed / He stood where they had stood?” (272)� he third stanza links both periods with personal present time� So, by means of references to mythical heroes and
historical and cultural realia of Ireland, the song is constructed upon the temporal
juxtaposition of three diferent periods: the mythological past, the recent historical
past and the personal present, which approach each other in the narrator’s voice�
Yeats, thus, deconstructs the epic distance between the chronotope of the inner
play and the Irish reality�
In terms of the author’s voice mode of mediation, Cuchulain plays also difer�
In all three dramatic texts both between and within the speeches, Yeats employed
he Evolution of W� B� Yeats’s Idea of a Drama
81
didascaliae to describe the actions and introduce new persons� However, in On
Baile’s Strand, Yeats used the descriptive introductory didascaliae to provide the
setting and to introduce the characters, while in the introductory commentary
to At the Hawk’s Well, the author rather focused on production elements (stage
arrangement, lighting, musical instruments and the location of masked players)
intended to emphasize “separating strangeness”, the division between audience
and stage� he playwright also introduced here three Musicians that rather serve
as mediating narrators or presenters whose function is very similar to that of an
impersonal Greek chorus–to tell the pre-history and provide commentaries� As
long as the Musicians are physically present, they are a type of an overt narrator�
However, they do not interact with Cuchulain� Furthermore, additionally framing
the play, they sing their opening and closing songs, changing the “voice” as if to
speak for one character or another, as well as fold and unfold a cloth in place of
the front curtain� his ceremony is not only a formal convention, but it also has
the practical value of allowing the actors to enter or leave the stage area, so that it
operates much as the curtain on a conventional stage� In he Death of Cuchulain,
Yeats used another presentation device–he introduced the igure of the Old Man,
“looking like something out of mythology” (Yeats 1997, 263), whose monologue,
along with the following stage directions, raises audience’s awareness of the ictional nature of theatrical representation� he Old Man assumes the role of Yeats’s
spokesman and could be regarded as his last “mask”� Providing essential clues for
the comprehension of the whole work, the Old Man’s words anticipate a summary of what will happen in the inner play in terms of its formal and structural
elements, rather than plot�
hus, three Cuchulain plays under analysis, showing a playwright continually
experimenting with dramatic form, content and style of presentation, enunciate
aspects of his dramatic theory and reveal the evolution of Yeats’s idea of a drama�
Its direction of development was toward a simplicity and clarity: in Yeats’s theatre,
the verbal dynamics of communication between the actors and the audience takes
precedence over the visual representation� Unlike On Baile’s Strand, Yeats’s late
plays are more compressed and preoccupied with limiting the time and space in
which the action unfolds; they completely rely on the techniques of “separating
strangeness”, the use of mask, dance, music, rhythm, structural and ritual repetition� Visually the late plays are restrained, condensed and focused� However, a
feature which all three plays share–along with others by Yeats–is their symbolism�
Considering changes in dramatic technique, we can assert that Yeats reconciled
theory with practice and developed theory and practice of playwriting alike: he
experimented and explored his ideas through staging� His substantial theatrical
achievement has provided his successors with a model of modern minimalist
82
Iryna Senchuk
poetic theatre of word, mind and fancy� And Yeats’s result cannot be compared
to the Noh plays while they provided him only with an idea for drama and not
with a ixed scheme�
References
Bloom, Harold� 1970� Yeats� Oxford: Oxford University Press�
Ellmann, Richard� 1979� Yeats: he Man and the Masks. Oxford: Oxford University
Press�
Flannery, James W� 1976� W. B. Yeats and the Idea of the heatre� London: Yale
University Press�
Murray, Christopher� 2000� Twentieth-Century Irish Drama: Mirror up to Nation�
Syracuse: Syracuse University Press�
Styan, J. L� 1983� Modern Drama in heory and Practice. Vol. 2: Symbolism, Surrealism and the Absurd� Cambridge: Cambridge University Press�
Unterecker, John E� (1959) 1996� A Reader’s Guide to William Butler Yeats� Syracuse:
Syracuse University Press�
Ure, Peter� 1963� Yeats the Playwright: A Commentary on Character and Design in
the Major Plays� New York: Barnes & Noble, Inc�
Worthen, W. B� 1991� Modern Drama and the Rhetoric of heater� Berkeley; Los
Angeles; Oxford: University of California Press�
Yeats, William Butler� 1916� Introduction to Certain Noble Plays of Japan: From
the Manuscripts of Ernest Fenollosa, Chosen and Finished by Ezra Pound, i–xix�
Churchtown: he Cuala Press�
Yeats, William Butler� 1997� Selected Plays� Ed� with an Introd� by A� Cave� London:
Penguin Books�
Yeats, William Butler� (1910) 2007� “he Tragic heatre”� In he Collected Works
of W. B. Yeats. Vol. IV: Early Essays, edited by Richard J� Finneran and George
Bornstein, 174–179� New York: Scribner�
Paulina Mirowska
Harold Pinter’s (Anti-)Revolutionary
Approach to Political Drama. Some Relections
on Pinter’s Grim Political Sketches
Abstract: he article addresses the expression of Pinter’s political and language concerns
embodied in his overtly political works written for the stage of the 1980s and later on,
his provocative dramatic sketches in particular, since they combine the narrow scope of
presentation with the grim realities of worldwide political violence�
In a speech he gave in 1995 at the University of Soia in Bulgaria, Harold Pinter
pointed to a vital intersection between his dramatic writings and his political
preoccupations:
It probably won’t surprise you to hear that words have dominated my life� In my own
work, I’ve always been aware that my characters tend to use words not to express what
they think or feel but…to mask their actual intentions, so that words are acting as a masquerade, a veil, a web, or used as weapons to undermine or to terrorise� But these modes of
operation are hardly conined to characters in plays� In the world in which we live, words
are as oten employed to distort or to deceive or to manipulate as they are to convey actual
and direct meaning� So that a substantial body of our language is essentially corrupt� It
has become a language of lies� hese lies in themselves can become so far-reaching, so
pervasive, so consuming that even the liar thinks he is telling the truth� As has also been
demonstrated many times, when words are used with a fearless and rigorous respect for
their real meaning, the users tend to be rewarded with persecution, torture and death�
(qtd� in Billington 1996, 371)
Pinter stresses in the speech that his prime, unswerving interest has always been in
language and expresses his keen awareness of the alarming relationship between
the creative possibilities of language and political manipulation� He stigmatises
oicial mendacity in particular—the political rhetoric that fosters the fabrication
of illusions used by oppressive systems to justify their operations and maintain
power� he article addresses the expression of Pinter’s political and language concerns embodied in his overtly political work for the stage of the 1980s and later,
and especially in his provocative dramatic sketches that combine, with success,
the narrow scope of presentation with the grim realities of worldwide political
violence�
84
Paulina Mirowska
*
In British and Irish Political Drama in the Twentieth Century, David Ian Rabey
deines political drama as follows:
“Political drama” emphasises the directness of its address to problematic social matters,
and its attempt to interpret these problems in political terms� Political drama communicates its sense of these problems’ avoidability, with implicit or explicit condemnation
of the political circumstances that have allowed them to rise and continue to exist (just
as Brecht identiies he Rise of Arturo Ui as Resistible)� In perceiving social problems as
avoidable, political drama is necessarily diverging from the worldview that the agents of
the status quo would seek to impose for the continued smooth running of society in its
present form� (1986, 1–2)
Pinter’s political playwriting clearly meant to provoke� Whereas political drama,
as traditionally deined, seeks to ofer an expressed and constructive critique of
problematic social matters it addresses as well as to reform audience opinion and
behaviour, Pinter’s approach seemed somewhat revolutionary, or, perhaps, antirevolutionary, in its overt rebellion against the prevailing assumptions and practices
of the political theatre oriented towards change�1 His political texts, with their geopolitical vagueness and rather sketchy nature of oppositional values, indicated the
artist’s distance from other committed playwrights of his generation and betrayed
his deep-rooted political pessimism, or scepticism, as to the possibility of transforming his audiences and achieving an improved civilisation� He did not seem to regard
socio-political problems of the kind he dramatised as “avoidable”, nor did he prescribe any positive ideologies or radical methodologies of change� here appears to
be little, if any, hope for resistance and subversion in Pinter’s political vision, only the
call for it� In his political works of the 1980s and 1990s, such as he Hothouse (1980),
Precisely (1983), One for the Road (1984), Mountain Language (1988), Party Time
(1991) or he New World Order (1991), one inds overwhelming power structures
that are unreceptive to critique and successful in containing and muting protest�
he plays and sketches imply the acute insigniicance and fragility of dissent in
confrontation with determined, morally bankrupt elites; they challenge their audiences to contemplate the failure of revolutionary impulses and progressive action�
Crucially, the self-satisied ruling elites in Pinter’s late political work control
and arbitrarily distort political discourse� Above all, those empowered groups
erode opposition by censoring and marginalising its voices and postulates, oten
1
For an illuminating discussion of numerous problems of classiication posed by Pinter’s
oeuvre, and in particular the controversies surrounding Pinter’s kind of political theatre,
see, for example, Merritt (1990, 170–209)�
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama
85
in a brutal fashion� In Pinter’s brief political dramas, language is the attribute of
authority, “the voice of God” (1998c, 227), deined by those in power who do
almost all the talking while dissidence is debased, criminalised and, efectively,
quelled� Furthermore, the powerful subdue dissent also in a diferent way: agents
of repressive regimes commonly invoke well-respected notions to justify tyrannical acts� Such positive terms as freedom, democracy, patriotism, justice, order or
morality are deployed in ways contradicting their received meanings and become
rhetorical alibis for perpetuated injustice and brutal tactics used against political
adversaries� In fact, it is precisely due to the popular appeal of these admirable
terms—shamelessly appropriated and corrupted by the oicial power—that the
repressive status quo becomes legitimised and consolidated�
he article focuses on Pinter’s late minimalistic political playwriting, in which
exercising authority is inextricably linked to language use (notably the lagrant
perversion of language), persecution of social others and mistreatment of women,
and where the reigning power strengthens its hold by crushing resistance to the
status quo and muling those who “never stop questioning received ideas” (Pinter
1998b, 276)� It examines in detail the most recent political sketch, Press Conference, which sheds light on how rhetorical validation of injustice proceeds through
distortion of language to rationalise, even redeem, oppression and torture� It is
argued that the dramatist’s succinct pieces reveal his scepticism about the possibility of escaping or subverting the silencing force of entrenched self-righteous
regimes whose geopolitical locations are purposefully imprecise, intimating the
perennial nature of existing inequities of power� Finally, attention is paid to the
ethical dimension of Pinter’s work� he article addresses the ways in which the
playwright—distrustful of inherited dogmas and of drama providing “a reductive
social analysis” that emulates the oversimpliied rhetoric of politicians (Quigley
2009, 9)—urged his audiences to re-examine the truth of their lives and their
societies, always guarding against facile us-versus-them divisions�
he central character of Press Conference, which iercely tackles political violence and the narrowly delineated and precarious status of critical dissent, is a
government Minister in an unnamed state, once the head of the Secret Police and
now the Minister of Culture, whose main responsibility is, as the oicial puts it,
“to protect and to safeguard our cultural inheritance against forces…intent upon
subverting it” (Pinter 2002)�2 Intriguingly, Pinter himself played the role of the
Minister when the sketch premiered at the Royal National heatre, London, in
February 2002� Here is how the Minister deines his new function:
2
he brief script in the Faber and Faber edition of the play has no page numbers�
86
Paulina Mirowska
PRESS� How do you understand your present role as Minister of Culture?
MINISTER� he Ministry of Culture holds to the same principles as the guardians of
National Security� We believe in a healthy, muscular and tender understanding of our
cultural heritage and our cultural obligations� (Pinter 2002)
“hese obligations,” the man immediately adds, “naturally include loyalty to the
free market” (Pinter 2002)� he brief play ofering “a chilling performance of
the totalitarian iron hand,” as Mary Luckhurst has put it (2009, 116), consists of
the smug Minister’s egregious responses to questions put forward by the Press
and illuminates the grim workings of repressive regimes in which renegade,
oppositional voices are silenced while the privileged in-group are free to speak
their mind with horrifying openness�
At the beginning of the conference, the Minister presents, with barefaced arrogance, the government’s policy towards “subversive families” which involved kidnapping and murdering children as well as sexually violating women� Similarly to
One for the Road, Mountain Language and Party Time, in Press Conference, too, the
state regards the family as “a threat” since it has the potential to disrupt loyalties,
undermine the sense of patriotic obligation and instil destabilising values� When
probed by the Press about the children of dissident families, the man explicates: “We
abducted them and brought them up properly or we killed them” (Pinter 2002)�
How? What was the method adopted? “We broke their necks,” he speciies� he
subversive women, he continues, were raped� “It was all part of an educational
process, you see� A cultural process”, the oicial insists (Pinter 2002)� he Minister’s
unreserved, impudent manner demonstrates how the oicial power perverts terms
of political discourse� Abduction, victimisation and murder are, appallingly, part of
civilised education and humane culture� “What was the nature of the culture you
were proposing?” the Press inquire, to which the man responds: “A culture based on
respect and the rule of law” (Pinter 2002)� As in Pinter’s earlier brief political works,
the government represented by the Minister in Press Conference also advocates adherence to moral principles and authorises unimaginable atrocities in their name�
he monstrous statements in the Minister’s rhetoric of cultural heritage are
bound to disturb not only because of their homicidal content but also due to their
form: the blunt ostentation with which they are presented to the public� he values
of social stability, respect and justice cited by the speaker do not obscure the facts
of repression, execution and terror sanctioned by the oicial authority� he government’s propaganda does not even attempt to whitewash or euphemise the stateinlicted acts of infanticide and rape� In a sense, as suggested by Charles Grimes, the
omnipotence of the ruling regime is such that it need not bother with self-validation
and ofering any persuasive rhetoric of legitimation, except as a pro forma gesture
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama
87
or “for the fun” of launting oppression in the faces of the media, “whose function
is supposedly to protest it” (2005, 136)� And, indeed, the ostentatious fashion in
which the Minister expatiates on his government’s ruthless agenda is compounded
by the sycophantic responses of the Press, whose subservience and laughing on
cue at his bullying comments only assist in perpetuating the tyranny� he oicial’s
outspokenness about the principles of the Ministry of Culture, alarmingly identical
with those of the state’s secret police force, attests to his unchecked authority: apparently, he can say, and do, what he wants without fear of censure and retaliation�
he total control over public discourse and freedom from subversion enjoyed
by the Minister in this apparently “unshakably homogenous and monolithic”
regime (Silverstein 1993, 142) allows for an uncritical embrace of the blatant disparity between act and justiication which points to an intriguing paradox about
the workings of reactionary states dramatised by Pinter� While the empowered
elites in plays and sketches such as Party Time and Press Conference champion the
need for peace, the rule of law and strict moral codes, they also resort to language
manipulation to misrepresent reality, ostensibly in complicity with the media�
he unnamed vicious regimes refer to a set of apparently transcendental values—
“unshakeable, rigorous, fundamental, [and] constant” (Pinter 1998d, 311)—while,
in postmodern manner, playing with language and reality; and yet, according
to Grimes, such a peculiar “syncretic combination” should not be perceived as
a disqualifying internal contradiction but rather as “the greatest strength of the
fascist states” in the playwright’s work (2005, 137)�
he Minister’s closing comments seem particularly despicable, as the oicial
preaches to the servile Press obliged for his “frank words”: “Under our philosophy…he that is lost is found� hank you!” (Pinter 2002)� he proselytising tone
of his unsettling address serves to play up the ambiguity inherent in the term
“minister,” which resonates with both governmental and religious associations�
he Minister in Pinter’s sketch—who believes in “the innate goodness of your
ordinary Jack and your ordinary Jill” and is “determined to protect them from
corruption and subversion with all the means at [his] disposal”—fashions himself
as an agent of a merciful doctrine which allows for “confession [and] retraction”
and brings “redemption” to all erring citizens (Pinter 2002)� In other words, this
state victimises and executes its subjects for their own beneit� Indeed, one of the
most provocative insights Pinter afords in his torture plays is that the perpetrators of brutal deeds present, and regard, themselves not as inhumane tyrants but
as agents of legitimate and righteous political doctrines, even when the measures
taken to implement them are evidently cruel� he Minister in Press Conference
has much in common with Nicolas, a verbose and complacent interrogator in
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Paulina Mirowska
One for the Road, who does not authorise infanticide, rape and torture but is
one of the “patriots” who “share a common heritage” and whose “business” is “to
keep the world clean for God” (Pinter 1998c, 232, 246)� He is also reminiscent
of Lionel and Des, two henchmen of a despotic regime dramatised in the more
recent sketch he New World Order, who do not inlict torture on their mute and
blindfolded victim but, drawing upon the language of cleansing, self-righteously
pride themselves on “keeping the world clean for democracy” (Pinter 1998b, 277)�
Since what Pinter’s late political work, including his last sketch, Press Conference, repeatedly brings to the fore is the potency and durability of the oppressive
status quo ostensibly impervious to oppositional critique, one might wonder how
such transgressive, oppositional voices can exist at all� he query could clearly be
related to the dramatist’s own biography� Pinter was well aware of the puzzling
contradictions informing his life: on the one hand, he was an acclaimed, awardwinning artist and an aluent member of the establishment, and on the other, he
passionately censured that established order for its intellectual conformity and
intolerance� As noted by his biographer, Michael Billington, Pinter’s adversaries
in Britain claimed that his artistic profession and comfortable upper-middle-class
lifestyle called into question his political expertise as well as the credibility of
his professed let-wing political convictions� He was disparagingly dismissed by
the press as a “champagne socialist” and his impassioned political stances were
generally patronised or treated with derision (Billington 1996, 308–09, 334)� Not
surprisingly, Pinter was deeply exercised by the scorn poured by the British mainstream media on his public statements and activism, and strongly objected to such
derisive attacks, seeing them as an establishment tendency towards sabotaging
intellectual dissent and suppressing any views incompatible with the prevailing
orthodoxy� He even hypothesised that such hostility witnesses to a dangerously
symbiotic relationship between the government and the corporate media which
results in iltering out inconvenient news items and banishing protest (Pinter
2000b)�3 Nevertheless, Pinter did realise the potential paradox in his position as
a privileged citizen of the state whose domestic and foreign policies he restlessly
3
In the extensive interview “Unthinkable houghts” published in 2000 by Media Lens,
Pinter and David Edwards discuss, among other things, the compromised neutrality of
corporate press, strategies of marginalising dissent and iltering out news “it to print,”
referring to the propaganda model of media control proposed by Edward Herman and
Noam Chomsky in their classic work Manufacturing Consent—he Political Economy
of the Mass Media (New York: Pantheon, 1988)�
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama
89
challenged� As he argued in an interview with David Edwards: “[I am] an outsider
in society because I simply use my critical intelligence”, but he simultaneously
admitted that he was also “very much part of the world in which [he] lived”
(Pinter 2000b, n�p�)�
Press Conference, like Pinter’s earlier dystopian political drama Party Time
or the more recent black comedy Celebration (2000), succinctly addresses such
puzzling paradoxes of dissent� If, for instance, the existing power structures are
as oppressive as his late work dramatises it, at times resorting to biting humour,
it seems legitimate to consider why such non-conformist artists as Pinter are permitted to voice their protest in the irst place� he Minister’s response explicates
the role of dissent, carefully delineating its position:
MINISTER� Critical dissent is acceptable—if it is let at home� My advice is—leave it at
home� Keep it under the bed� With the piss pot�
He laughs�
Where it belongs�
PRESS� Did you say in the piss pot?
MINISTER� I’ll put your head in the piss pot if you’re not careful�
He laughs. hey laugh�
Let me make myself quite clear� We need critical dissent because it keeps us on our
toes� But we don’t want to see it in the market place or on the avenues and piazzas of
our great cities… � We are happy for it to remain at home, which means we can pop
in at any time and read what is kept under the bed, discuss it with the writer, pat him
on the head, shake him by his hand, give him perhaps a minor kick up the arse or in
the balls and set ire to the whole shebang� By this method we keep our society free
from infection� (Pinter 2002)
“Critical dissent” is “acceptable”, we learn, only because it is kept in check, or,
metaphorically, “domesticated” (Grimes 2005, 138)� In other words, established
society tolerates oppositional thought and behaviour provided that they can be
contained and rendered largely abortive� he situation could be related to Herbert
Marcuse’s relection on the functioning of advanced technological civilisation
and its capacity to isolate, absorb and appropriate subversive impulses� In OneDimensional Man, Marcuse suggests that even though technologically developed
capitalist society, characterised by “a comfortable, smooth, reasonable, democratic
unfreedom” (1968, 1), needs the critique of art, art and culture have been integrated into the “technological universe” and institutionalised to such a degree that
their potential to efect revolutionary change withers away (xvi)� Although disruptive energies and tendencies directed against the status quo are granted space in
the established universe of discourse, they are quickly digested by the reigning
order, constrained and made void� he writers mentioned by the Minister in Press
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Paulina Mirowska
Conference are subject to a similar dynamic: while allowed to express themselves,
they nonetheless culminate in futility� “We subscribe to cultural diversity,” the government agent brazenly stresses, “we have faith in a lexible and vigorous exchange
of views; we believe in fecundity” (Pinter 2002)� Importantly, critical thinkers are
apparently believed to be capable of devising alternative visions to existing political structures—“critical dissent … keeps us on our toes”, as the Minister points
out—but they are not supposed to meddle in public life, nor temper with “the market place,” that is, the economic sphere� In his political comments, Pinter indeed
oten blamed economic factors, corporate interests and the policy of maximising
proit for censoring the freedom of expression and curbing free reporting (2005,
201–205; 2000b)� hus, theoretically, diversity of opinions, artistic exploration
and free speech are permitted, if constantly vulnerable to pressure, intimidation,
even persecution, to ensure that “our society is free from infection�” Authors are
avowedly allowed to create; they may be patted on the back, held in high esteem
and awarded prizes� Practically, however, this high regard does not cancel out
the futility of their stances and thus becomes indistinguishable from oppression�
Whatever such unorthodox free-thinkers might say, the operations of the wellentrenched status quo are ostensibly unsusceptible to reform� Social critics, artists
and the media may not be literally mute, but, reduced to impotence, they have been
virtually silenced nevertheless� According to Luckhurst, “Pinter’s zealous abusers
of freedom of expression seem to gain increasing control as his plays progress,
and by Press Conference even the broken and the traumatised have disappeared
under the swell of state controls”� And yet, the critic further perceptively notes,
“though the battle may have intensiied, and political spin continues to engulf
policy-making,” Pinter never stopped pressing his case (Luckhurst 2009, 117)�
*
It is diicult to say for sure why Pinter, who since the 1980s consistently campaigned against censorship and torture openly supporting organisations such as
Amnesty International and PEN, opted to exclude from his late political drama
certain identiiable facts and details—including contentious human rights issues
concerning Great Britain, the US, Latin America, Turkey, Serbia, the Palestinian
Authority or Iraq that he addressed with clarity and ierce resolution in numerous
speeches, essays and articles�4 One plausible explanation might be the playwright’s
4
For a representative sample of articles, essays, speeches, letters and interviews presenting Pinter’s political views, see, among others, the section “Politics” in his Various
Voices: Prose, Poetry, Politics 1948–2005 (Pinter 2005, 181–248)�
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama
91
declared long-established mistrust of “deinite statements” and “explicit moral
tags” (Pinter 1989b, 10, 12)� Pinter seemed to believe that rejecting equivocality in
favour of meticulous particularity would insult the intellectual capacity of theatregoers and inevitably lead to unfair oversimpliications, placing his writing on a par
with the reductive and moralising propagandistic theatre that he frowned upon
at the outset of his writing career in the 1960s� Pinter audiences are expected to
pick up the deployed allusions and deduce their relevance to the easily obtainable,
yet consistently neglected, facts regarding systematic manifestations of political
violence and injustice happening worldwide�
Evidently, a number of vital questions as to how to approach and evaluate political theatre arise here� For instance, one could speculate whether Pinter’s signature
ambiguity—marking also the post-1980 “political” works, which notoriously lack
geographical, temporal and political speciicity or, alternatively, very subtly allude
to familiar English contexts (Batty 2001, 113)—does not detract from the intended
political message of Pinter’s theatre� According to Benedict Nightingale, by insisting on generality in his “political” writings, Pinter runs the risk of dissipating point
and impact: “A play can easily end up by being about everywhere, and therefore
nowhere at which we are able to direct our feelings of outrage” (1990, 151)� he
absence of explicit commitment was deplored also by Pinter’s fellow-playwrights,
notably Edward Bond, John McGrath and John Arden, who criticised Party Time
precisely for its being too abstract, “unconcretised”, “taken out of context”, and
thus precluding a politically viable interpretation (Billington 1996, 333–34)� On
the other hand, it might well be suggested that if Pinter’s audiences fail to connect his characters and settings to concrete individuals and states accepting the
erosion of civil liberties and violent acts in the name of order and stability, they
have not missed the plays’ main political import at all� he dramatist apparently
trusted their judgement� he deliberate, unsettling obscurity is bound to prompt
one to question, and, possibly, to begin to pursue answers�
It is tempting to see the enguling silences in Pinter’s dark political pieces as
the conclusive, if paradoxical, message of Pinter’s political drama� Even if the existence of individual protest and resistance is theoretically acknowledged by the
playwright, the disruptive, revolutionary potentialities of dissent in his political
plots are consistently and efectively contained, difused, ruthlessly subjugated�
Pinter’s political plays and sketches of the 1980s and 1990s, such as he Hothouse,
Precisely, One for the Road, Mountain Language, he New World Order, Party Time
and, ultimately, Press Conference, conclude in muteness and in the impending extinction of subversive voices questioning the existing power structures� According
to Charles Grimes’ study of Harold Pinter’s Politics: A Silence Beyond Echo, which
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Paulina Mirowska
perceives the brute victory of power over dissidence as the central image of the
artist’s political work, Pinter’s political theatre could be summed up as “a warning
to respect human rights, paired with a lament that such a warning may never be
heeded” (2005, 220)� Admittedly, Pinter never hid his sceptical attitude towards
a writer’s capacity to change political moralities and efect an intellectual, or ethical, conversion in an audience at least partly implicated, through their myopic
complacency, in established oppressive practices� And yet, clearly separating the
act of questioning from the possibility of ofering pat panaceas for political injustice, he also remained stalwart in his conviction that subversive critique, even if
seemingly unavailing, must be attempted� Conceding that “the theatre afect[s] the
world in which we live” only a little, Pinter insisted: “But that little is something”
(1994, 92), and did not cease to confront his audiences with the sufering they
would rather conveniently overlook� As he stated in his provocative Nobel lecture
“Art, Truth and Politics” calling for intellectual endurance despite the odds and
stressing the grim alternative:
I believe that despite the enormous odds which exist, unlinching, unswerving, ierce
intellectual determination, as citizens, to deine the real truth of our lives and our societies
is a crucial obligation which devolves upon us all� It is in fact mandatory�
If such a determination is not embodied in our political vision we have no hope of
restoring what is so nearly lost to us—the dignity of man� (Pinter 2008, 17)
Similarly to the thought-provoking, conscience-pricking Nobel acceptance
speech, Pinter’s political theatre addressed citizens of modern civilised states—
whose governments publicly, although sometimes inaccurately, profess their
staunch adherence to ideals of democracy, pluralism, justice and freedom of
expression—and sought to shake them out of their self-righteous contentment
with “a vast tapestry of lies, upon which [they] feed” (Pinter 2008, 8)� Efectively
reconciling the small scale of presentation with a much larger scope of implication, Pinter’s late political pieces deeply preoccupied with human rights abuses,
especially state-sanctioned terror and brutality, invariably prompt one to relect
upon the wider relevance of the compressed dramatic situations and sensitise
against yielding blindly to glib political rhetoric, adopting a simplistic, polarised,
us-versus-them mindset as well as against the tendency to conveniently shit the
blame for the evils of ongoing inequities elsewhere� Even through his shortest
works, such as the terse but powerful political sketch Press Conference, the playwright attempted to impress upon his readers and theatregoers an unremitting
need for countering the habit of moral apathy, for looking critically at the prevailing modes of (self-)justiication and recognising individual responsibility for what
is done in their, or our, name�
Harold Pinter’s (Anti-)Revolutionary Approach to Political Drama
93
References
Batty, Mark� 2001� Harold Pinter� Horndon: Northcote Publishers�
Billington, Michael� 1996� he Life and Work of Harold Pinter. London: Faber�
Gillen, Francis, and Steven H. Gale, eds� 2008� Pinter Review� Nobel Prize/Europe
heatre Prize Volume: 2005–2008� Tampa, FL: University of Tampa Press�
Grimes, Charles V� 2005� Harold Pinter’s Politics: A Silence Beyond Echo. Madison:
Fairleigh Dickinson University Press�
Herman, Edward S., and Noam Chomsky� 1988� Manufacturing Consent—he
Political Economy of the Mass Media. New York: Pantheon Books�
Luckhurst, Mary� 2009� “Speaking Out: Harold Pinter and Freedom of Expression�”
In he Cambridge Companion to Harold Pinter, edited by Peter Raby, 105–20�
Cambridge: Cambridge University Press�
Marcuse, Herbert� 1968� One-Dimensional Man: Studies in the Ideology of Advanced
Industrial Society. Boston: Beacon�
Merritt, Susan Hollis� 1990� Pinter in Play: Critical Strategies and the Plays of Harold
Pinter� Durham: Duke University Press�
Nightingale, Benedict� 1990� “Harold Pinter/Politics�” In Around the Absurd. Essays
on Modern and Postmodern Drama, edited by Enoch Brater and Ruby Cohn,
129–54� Ann Arbor: University of Michigan Press�
Pinter, Harold� 1985� “A Play and Its Politics: A Conversation between Harold Pinter and Nicholas Hern�” In One for the Road, by Pinter, 5–24� London: Methuen�
—� 1989a� he Hothouse� In Plays One, 201–77� London: Methuen Drama�
—� 1989b� “Writing for the heatre�” In Plays One, 9–16� London: Methuen Drama�
—� 1994� Conversations with Pinter� By Mel Gussow� London: Nick Hern Books�
—� 1998a� Mountain Language. In Plays Four, 249–68� London: Faber and Faber�
—� 1998b� he New World Order� In Plays Four, 269–78� London: Faber and Faber�
—� 1998c� One for the Road� In Plays Four, 221–48� London: Faber and Faber�
—� 1998d� Party Time� In Plays Four, 279–314� London: Faber and Faber�
—� 1998e� Precisely� In Plays Four, 213–20� London: Faber and Faber�
—� 2000a� Celebration� In Celebration & he Room, 1–72� London: Faber and
Faber�
—� 2000b� “Unthinkable houghts: An Interview with Harold Pinter,” by David
Edwards� Media Lens, January 13: n�p� Accessed April 4, 2015� http://www�
medialens�org/index�php/alerts/interviews/76-unthinkable-thoughts-aninterview-with-harold-pinter�html�
—� 2002� Press Conference� London: Faber and Faber�
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—� 2005� Various Voices: Prose, Poetry, Politics 1948–2005. London: Faber and
Faber�
—� 2008� “Nobel Lecture: Art, Truth & Politics�” In Pinter Review� Nobel Prize/
Europe heatre Prize Volume: 2005–2008, edited by Francis Gillen and Steven
H� Gale, 6–17� Tampa, FL: University of Tampa Press�
Quigley, Austin E� 2009� “Pinter, Politics and Postmodernism (I)�” In he Cambridge Companion to Harold Pinter, edited by Peter Raby, 7–26� Cambridge:
Cambridge University Press�
Rabey, David Ian� 1986� British and Irish Political Drama in the Twentieth Century�
Basingstoke: Macmillan�
Silverstein, Marc� 1993� Harold Pinter and the Language of Cultural Power.
Lewisburg: Bucknell University Press�
Monika Kozub
he Final Gasps of he Catholic Big House
in Brian Friel’s Aristocrats
Abstract: he article discussed Aristocrats (1979) by Brian Friel, focusing on the way in
which the play depicts the gradual demise of the Catholic Big House in Ireland� he author
argues that the play addresses the issue of class more fully than any other of Friel’s works�
“And this was always a house of reticence, of things unspoken, wasn’t it?”
(Friel 1996, 279)
From Philadelphia, Here I Come! (1964) to Translations (1980) and Dancing at
Lughnasa (1990), Friel’s plays have delighted generations of theatre audiences in
Ireland and abroad� Aristocrats is a revealing family drama, which occurs at a dificult time in Ireland: the civil rights upheavals of the mid-1970s� First premiered
at the Abbey heatre in 1979, Aristocrats returned to the Abbey stage again in the
summer of 2014� his time the play was directed by Patrick Mason,1 an acclaimed
freelance director of theatre and opera, who has had a long association with the
Abbey heatre.
One way of looking at Friel’s Aristocrats would be to say that it is an elegiac
play in the sense that it chronicles the demise of the “Catholic Aristocracy” in
Ireland� he play depicts the story of the once inluential O’Donnells, who have
convened for the wedding of the youngest daughter, Claire, in their crumbling
home, Ballybeg Hall, and end up facing the death of their patriarch, the Father,
also known as District Justice O’Donnell� he family ind themselves on the brink
of dissolution and dispersal, Murray (1997, 170) in his book entitled TwentiethCentury Irish Drama: Mirror Up To Nation has rightly commented on Aristocrats
by saying that in the play “[o]nce again the centre cannot hold, a condition Friel
sees running like a faultline through Irish society”�
Aristocrats centres on the gap between the O’Donnells’ view of themselves and
the bleak reality of their lives� he protagonists have totally isolated themselves
from their surroundings, that is, from the peasants of the village of Ballybeg,
1
Patrick Mason (born 1951 in London) was Abbey’s Artistic Director from 1993 to
1999, and he has directed the plays of such Anglo-Irish playwrights as Brian Friel,
Hugh Leonard, Frank McGuinness, Tom Murphy, Tom Kilroy, and Tom MacIntyre�
Mason’s production of Friel’s Dancing at Lughnasa won him an Olivier nomination in
1991 and a Tony Award for Best Director in 1992�
96
Monika Kozub
but also from the Protestant landowner class, so, in a sense, they are caught
between two social and political worlds of the 1970s� he play also shows how the
O’Donnells have lost touch with their history and how they have replaced it with
a personal mythology that helps them inlate their sense of signiicance� Being
one of Friel’s inest achievements, Aristocrats, is, at the same time, one of Friel’s
least didactic plays and it ends on a note of indeterminacy� he playwright seems
to ask how much of the O’Donnells’ plight is inevitable and whether alternative
solutions are possible� hese upper-class Irish Catholics have survived wars and
famine, but the old order is collapsing� he question is: Can they forge a new
future for themselves?
Before I analyse the play, I would like to explain the term the “Big House,” as
it is a key concept in the play� In fact, Friel himself deines the term and makes
the visiting American academic, Tom, articulate it (Friel 1996, 281); however,
for the purposes of this paper I am going to familiarise the reader with a more
detailed deinition provided by Corbett� he critic, in his book entitled Brian Friel:
Decoding the Language of the Tribe, deines the “Big Houses” as being the houses
and mansions that belonged to the Anglo-Irish class, a privileged social class in
Ireland whose members were the descendants and successors of the Protestant
Ascendancy� he houses stood for the Anglo-Irish political dominance of Ireland
from the late 16th century, and many were destroyed or attacked during the Irish
Revolutionary Period (the 1910s and early 1920s)� Corbett underlines the importance of the “Big Houses” in Irish literature and says that they have become a
popular theme among Anglo-Irish authors:
he “Big House” was the symbol of the English Protestant ascendancy and has its own
place in Irish literature, chronicled by Somerville and Ross, Elizabeth Bowen, Jennifer
Johnston, and others� Squiredom was a factor of life in Britain also, but in Ireland there
was the added factor that the Big House tended to be emblematic of a dominant alien
presence� hey were largely Protestant, gentriied, and separated from locals by class and
wealth� Ater independence, the decline of the Big House was seen as an index of the rise
of the ordinary citizen� In many cases the land surrounding the houses was acquired by
the Land Commission and distributed to local farmers� hose members of the ascendancy who were able to maintain their lifestyle in the new regime watched their inluence
dwindle in the Republic� (Corbett 2002, 74–75)
he critic adds as well that in Aristocrats, Friel depicts the last generation of
Big House inhabitants, and intentionally chooses his characters to be the representatives of the Catholic gentry� he choice of Catholic over Protestant seems
obvious, as it frees Friel from the charges that he is attacking upper-class Protestants or writing a politically charged text on the consequences of British rule
in Ireland (75)�
he Final Gasps of he Catholic Big House in B� Friel’s Aristocrats
97
Aristocrats has oten been described as being one of Friel’s most Chekhovian
plays and indeed one can draw many parallels between Friel’s Aristocrats and
Chekhov’s last play, he Cherry Orchard� Both plays concern aristocratic families
who on their return to their crumbling country “Edens” ind out that they will
soon have to sell them, as they do not have suicient funds to keep them running� he families teeter on the brink of insolvency, but, at the same time, they
do nothing to save their estates and maintain their status; in both plays the theme
of cultural futility dominates over other themes�
Aristocrats was in fact based on and developed from Friel’s earlier short story
called Foundry House.2 he play repeats much of the story’s situation, yet compared with its prototype, it changes the thematic considerations by moving the
aristocratic family from background (the Hogans of Foundry House) to foreground (the O’Donnells of Aristocrats)� he play also examines the historical
changes from within the Big House and it seems that in the play Friel attempts a
more private statement on political and social issues�
It could be said that the rapid descent of the O’Donnell family is caused by
two factors� he irst one is the gradual degradation of several generations of the
O’Donnells who, by allowing this to happen, have caused their own downfall� he
second one is external and historical circumstances, that is, the Irish Revolutionary
Period, the period of political and social change on the island in the early 20th century� he irst reason is summed up by Eamon, Alice’s husband, in a conversation
which he has with Tom in Act 2� Eamon is being very ironic when he is talking
about the O’Donnell’s legal tradition; he calls their story a gripping saga (Friel 1996,
294), a great big block-buster (294) which could sell well under the following title:
Ballybeg Hall–From Supreme Court to Sausage Factory (294)� Eamon also shows
how the family’s lawyers have degraded themselves over the years: Casimir’s Great
Grandfather was Lord Chief Justice and Casimir himself is a failed lawyer–he did
not even manage to complete his studies� Perhaps I should add here as well that
Eamon is an interesting character, as he functions as a kind of bridge between the
peasants of Ballybeg and the Big House� When marrying Alice, he moved from the
village up to the Hall, so in a sense he personiies the levelling forces of modern
democratization, and as the play develops, he is witnessing the inal breakdown
of the class he married into:
2
Foundry House was collected in Friel’s collection of short stories known as A Saucer of
Larks (1962)�
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Monika Kozub
Eamon: And of course you’ll have chapters on each of the O’Donnell forebears: Great
Grandfather–Lord Chief Justice; Grandfather–Circuit Court Judge; Father–simple District
Justice; Casimir–failed solicitor� A fairly rapid descent; but no matter, no matter; good for
the book; failure’s more lovable than success� D’you know, Professor, I’ve oten wondered:
if we had had children and they wanted to be part of the family legal tradition, the only
option open to them would have been as criminals, wouldn’t it? (295)
As far as the structure of the play is concerned, the play consists of three acts, all
the acts are one-scene acts� As far as the characters are concerned, there is the
visiting American academic, Tom Hofnung (in his mid-ities), there are the
members of the O’Donnell family, and there are the villagers, Eamon (in his thirties) and Willie Diver (in his mid-thirties)� From the O’Donnell family probably
the most important characters are the Father and his son Casimir (in his thirties),
who also happens to be the only son of the house� But apart from his son, Justice
O’Donnell also has four daughters; three of the daughters, Judith (almost forty),
Alice (in her mid-thirties) and Claire (in her twenties) appear onstage, and Anna
(in her late thirties) is the one ofstage daughter whose voice can only be heard�
he American academic, Tom Hofnung, has come to Ireland to conduct research into the Big House gentry, and his very presence there is a clear sign that
their time is already gone� To Hofnung, the Irish gentry are merely a subject of
study, he treats them as if they were an endangered species, and in a way they
are� Also the title of Hofnung’s study: “Recurring cultural, political and social
modes in the upper strata of Roman Catholic society in rural Ireland since the
act of Catholic Emancipation (265) links the family more with the past and the
countryside than with the present” (Corbett 2002, 75)�
When talking about Hofnung one should also say that he is a useful character
as far as plot development is concerned although in the play plot is of secondary
interest to the interplay between the various cultures� Hofnung does not control
the plot in the way, for example, the artiicial narrator, Sir, does in Friel’s Living
Quarters, but through his skilful questioning he guides the responses of the other
characters and elicits details about their lives� Below there is an example of the
academic’s interrogation, during which he attempts to discover the family’s political views:
Tom: What was your father’s attitude?
Alice: To Eamon?
Tom: To the civil rights campaign�
Alice: He opposed it� No, that’s not accurate� He was indiferent: that was across the
Border – away in the North�
Tom: Only twenty miles away�
Alice: Politics never interested him� Politics are vulgar�
he Final Gasps of he Catholic Big House in B� Friel’s Aristocrats
99
Tom: And Judith? What was her attitude? Was she engaged?
Alice: She took part in the Battle of the Bogside� Let Father and Uncle George and Claire
alone here and joined the people in the streets ighting the police� hat’s an attitude, isn’t
it? hat’s when Father had his irst stroke� And seven months later she had a baby by a
Dutch reporter� Does that constitute suicient engagement? (Friel 1996, 272)
he character of the Father, a former judge, is the igure of patriarchal authority in
the play� He is a bedridden, incontinent victim of a stroke, who does not recognise
the people around him and mumbles incoherently� He is one of the unseen characters in the play, conined to an ofstage space and reduced to his voice� Murray
(2014, 127) has aptly described the protagonist by saying that “[h]e resembles a
dying king, but one more feared than loved�” Because the Father’s voice is broadcast through a sound system on to the stage, one gets the impression that the voice
comes, as it were, from the fabric of the building, which automatically links the
igure of the Father with the house itself, a symbol of authority in the play� It is
only at the end of Act 2 that the Father appears on stage and that happens only
seconds before he dies; he basically staggers onstage to die� In the light of the
above, it would probably be the right thing to say that Justice O’Donnell can be
perceived as yet another indication of impending extinction� It is only ater his
death that we are told of the state of despair into which the family has fallen–the
loss of the Father’s pension has made the diference between getting by and having
to leave Ballybeg Hall forever: “[w]e can’t aford it� You’ve forgotten–no, you’ve
never known–the inances of this place� For the past seven years we’ve lived on
Father’s pension� hat was modest enough� And now that’s gone” (Friel 1996, 317)�
he Father’s daughters are afected in varying degrees by his authoritarian
manner� Judith is the strongest of the four daughters and she is also the strongest character in the play� Judith is the Father’s only carer and she does her job to
the best of her ability despite the fact that he has disowned her for having had a
child out of wedlock� Anna is the daughter who managed to cut of ties with her
family; being a nun in Zambia, her knowledge of how things are in Ballybeg Hall
is very limited� Claire is childlike, fragile and incapable of functioning on her
own despite the fact that she is an accomplished classical pianist� She is soon to
be married for inancial reasons to a much older, widowed, local greengrocer� In
doing so she becomes part of a prevailing pattern of Irish life, but one which her
class had previously been exempt from� Alice is an alcoholic and her marriage to
Eamon has not worked out� She does not openly blame her Father for her lot, yet
she seems to be as emotionally damaged as her mother was� Although it is not said
directly in the play, one can infer it from the exchanges between the characters
that Alice’s mother committed suicide and that happened when she was still a
young woman, only about forty-six or forty-seven years of age�
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Monika Kozub
More than any other character, Casimir is the embodiment of the Catholic
ascendancy although we are told in the play that he has moved to live and work in
Germany (Friel 1996, 271–72)� Perhaps it will be interesting for the Polish reader
to ind out as well that when Casimir explains the reason why he was given such
a peculiar irst name (Casimir is an English form of the Polish name Kazimierz),
he says that it was his mother who favoured it and pressed for it: “Father wanted
me to be christened Gilbert Keith but Mother insisted on Casimir–he was a Polish
prince–Mother liked that” (266)�
he stage directions give Casimir a number of strange physical mannerisms,
in particular his ungainly walk and his facial tics: “[o]ne immediately gets a sense
that there is something diferent about him–as he says himself, ‘peculiar’� But what
it is, is elusive: partly his shyness, partly his physical movements, particularly the
way he walks … partly his erratic enthusiasm, partly his habit of suddenly grinning and giving a mirthless ‘ha-ha’ at unlikely times, usually when he is distressed”
(Friel 1996, 255)� Yet, Friel insists that Casimir is not ‘disturbed’, he is simply
‘peculiar,’ and his reactions and mannerisms do not belong to the modern world�
he thing that I would like to draw the reader’s attention to is the fact that
Casimir perceives himself as nothing but a member of the upper classes� What he
does is in fact in line with the approach represented by his family who, as Eamon
rightly put it, seemed to “[exist] only in its own concept of itself ” (Friel 1996,
294)� he family used to live a life of total isolation and they showed no interest
in maintaining contact with either their Protestant counterparts (294) or with the
local Irish community�
When Casimir reminisces about Ballybeg, his thoughts tend to focus on his
family’s house: “[w]hen I think of Ballybeg Hall it’s always like this: the sun shining; the doors and windows all open” (Friel 1996, 256), and on the music that
pervaded it as well as his sister, Claire, playing Chopin: “[a]lways Chopin–the
great love of her life� She could play all the nocturnes and all the waltzes before she
was ten� We thought we had a little Mozart on our hands� And on her sixteenth
birthday she got a scholarship to go to Paris” (258)�
It is really interesting that Friel makes Chopin Claire’s favourite composer and
through Casimir’s narrative he reveals a few details about his life, for example, the
fact that he was Polish and that he died in Paris: “Chopin died in Paris, you know,
and when they were burying him they sprinkled Polish soil on his grave� …Because
he was Polish” (Friel 1996, 307)� Altogether, there are two Polish references in the
play: irstly, we are told that Casimir owes his name to the fact that there was a
Polish king called Casimir, and secondly, Chopin is mentioned a few times in the
course of the play� On page 251 we learn that the musical background in the play
he Final Gasps of he Catholic Big House in B� Friel’s Aristocrats
101
is “all works by Chopin” and Casimir mentions the Polish composer when he talks
about Claire’s musical preferences (258) and when he describes Balzac’s birthday
party in Vienna (306)�
Also, in his interview with Hofnung, Casimir’s memories are strictly connected with the house� He shows Tom the items in the study that were associated
with the period of prosperity in Ireland and with the time when the house itself
was in its heyday� According to Casimir, “everything has some association” (Friel
1996, 266) in his grandiose dwelling� On the long list of the important people who
have visited the house, there are Cardinal John Henry Newman, an important
igure in the religious history of England in the 19th century, the Irish political
leader, Daniel O’Connell, and a number of renowned European writers, such as
Gerard Manley Hopkins, Gilbert Keith Chesterton, George Moore, Tom Moore
(Byron’s friend), Hilaire Belloc and William Butler Yeats� Among other things,
Casimir claims that Cardinal Newman married his grandfather and grandmother
in their house in Ballybeg (263)� He also contends that one can still see a stain
on one of the chairs which was let by the tea cups which Hopkins used to hold
in his hand (264–65), and apparently there is also a mark of Daniel O’Connell’s
riding-boots on the chaise-longue (266)�
Roche in his book entitled Brian Friel: heatre and Politics, describes Casimir
as being “[t]he supreme fantasist in Friel’s dramatic oeuvre” (Roche 2012, 58),
and it is Alice who for the irst time in the play undermines the validity of
Casimir’s memories by pointing it out to him that she does not remember Cardinal O’Donnell because he had died before she was born (Friel 1996, 265–66)�
Following Casimir’s exchange with Alice about Cardinal O’Donnell, the reader
begins to perceive Casimir’s memories as being less reliable� Accordingly, the protagonist’s claim to remember Yeats raises doubts� Friel allows just enough leeway
in the dates to make it possible, yet highly unlikely� he play takes place in the
mid-1970s, Casimir is in his thirties and Yeats died in 1939, which basically means
that Casimir was a very young boy when he met Yeats if he ever did� In the play,
Friel makes a direct reference to Yeats’ self-penned epitaph: “Cast a cold eye/On
life, on death�/ Horseman, pass by!,” which was later inscribed on his gravestone in
the cemetery of Drumclife Parish Church, Drumclife, County Sligo� Friel plays on
the wording a cold eye, which is a key phrase in Yeats’ epitaph, and the reader may
well treat it as a joke that Casimir remembers Yeats’ cold eyes: “[o]h, he was – he
was just tremendous, Yeats, with those cold, cold eyes of his� Oh, yes, I remember
Yeats vividly” (Friel 1996, 267)�
In the middle of Act 3, Tom makes Casimir confront his lies in a fairly blatant
manner and he proves it to him that Yeats and he cannot have met, because the
102
Monika Kozub
poet died two months prior to Casimir’s birth (Yeats died on 28th January, 1939
and Casimir was born on 1st April, 1939):
Tom: Well, you were born on 1st April, 1939�
Casimir: Good heavens – don’t I know! All Fools Day! Yes?
Tom: And Yeats died the same year� Two months earlier� I’ve double checked it� (Friel
1996, 309)
Now, it would be wrong to assume that Casimir was deliberately trying to misinform Tom and, at least at some level, he means what he says (Corbett 2002, 78)�
And indeed Casimir might have simply convinced himself that he took part in the
stories that constitute his fantasies� Yet another way of looking at Casimir would be
to say that he performs the role of the spokesperson for Ballybeg Hall, or perhaps
even for the Catholic Big House itself, and as his narratives develop, he familiarises
the reader with the past of these places, real and imagined�
A similar attachment to the past can be observed at the very beginning of
Act 2 where one can see Casimir on his hands and knees looking in the grass of
“the vanished tennis-court” (Friel 1996, 283) for the holes let by croquet hoops�
Having found them, Casimir and Claire play an imaginary game of croquet in
which they use neither balls nor mallets� Corbett (2002, 78) comments on this
scene by saying that “[t]here is a kind of desperate archaeology at work here and
that Casimir is driving his ingers into the ground in an attempt to ind the past”:
Claire: Come on–who’s for a game?
…
(Casimir has inished his call� He comes outside� He is uneasy but tries to hide it�)
Casimir: Well� hat’s that job done� Glad to get that of my mind� What’s been happening
out here? (Friel 1996, 292–301)
In conclusion, Aristocrats depicts the gradual demise of the Catholic Big House in
Ireland using the example of the once-prosperous O’Donnell family� It is highly
doubtful that the O’Donnells will ever be able to get over the crisis they are going
through unless, as Alice says, they make “a new start” (324)� And indeed one way of
looking at the play would be to say that it calls for the debunking of the myth of the
Big House and a rethinking in society� I would also like to draw the reader’s attention
to one important detail, namely, that the play ends with the death of the family’s
patriarch, the tyrannical Justice O’Donnell, a living reminder of the oppressive past�
It seems that his death is assigned a symbolic meaning in the sense that it puts an
end to the old order and paves the way for a new beginning, a new dispensation�
Another important aspect of the play is that it addresses more fully than other
Friel’s plays the issue of class� Note that Ballybeg Hall takes its name from the village that it “overlooks” (Friel 1996, 251), yet in no way is it a part of it� he choice of
he Final Gasps of he Catholic Big House in B� Friel’s Aristocrats
103
the word “overlook” is noteworthy, as it implies that the house surveys the village
from a height� Moreover, in the play there are two peasants from the village who
manage to enter the Big House of the O’Donnells; they are called Willie Diver and
Eamon� While Willie remains on the outside, Eamon has married into the family�
he interesting thing about Eamon is that despite the snide remarks that he makes
about the inhabitants of Ballybeg Hall, he is most emotional about abandoning
it� On the last pages of the play he admits openly that it is very diicult for him to
leave the estate, as “in a sense it has always been [his] home” (324)�
All in all, in the play, Friel is not making any kind of moral judgement as far as
the respective social classes are concerned� Rather, he gives vent to his continuing
obsession with the decline of Irish identity and the complicated nature of Irish
history, note that these themes also pervade Philadelphia, Here I Come, Translations and Dancing at Lughnasa�
he title of the play is obviously ironic, as the O’Donnell family, just like the
estate that they occupied, is on its last legs, and the occasion that they all gathered
for begins as a wedding celebration and ends as a wake� And it seems as well that
Casimir’s tall tales of the hall’s glory days are nothing more than a igment of his
imagination, nothing more than a fantasy, which is no more real than the croquet
game he plays with imaginary mallets, balls and wickets�
References
Friel, Brian� 1996� Plays One [formerly Selected Plays]; includes Philadelphia, Here
I Come!, he Freedom of the City, Living Quarters, Aristocrats, Faith Healer, and
Translations� London: Faber and Faber�
Corbett, Tony� 2002� Brian Friel: Decoding the Language of the Tribe� Dublin: he
Lifey Press�
Murray, Christopher� 2014� he heatre of Brian Friel: Tradition and Modernity�
London: Bloomsbury�
Murray, Christopher� 1997� Twentieth-Century Irish Drama: Mirror Up To Nation�
Manchester and New York: Manchester University Press�
Roche, Anthony� 2012� Brian Friel: heatre and Politics� London: Palgrave Macmillan�
Anna Pietrzykowska-Motyka
Modern Appropriations of Shakespeare:
Jane Smiley’s A housand Acres (1991)
Abstract: he article discusses the modern appropriation of William Shakespeare’s King
Lear in Jane Smiley’s novel A housand Acres (1991)� he author strives to prove how the
appropriation retains the grandeur and magniicence of the original piece, at the same time
also marginalizing, side-lining, or even downgrading the source text�
Introduction
It is no coincidence that the Shakespearean canon has provided a crucial touchstone for the scholarship of appropriation as a literary practice and form� he
aim of the article will be to discuss the modern appropriation of King Lear in
Jane Smiley’s novel, A housand Acres (1991)� One of the most recent of the
critical responses to the novel shows Jane Smiley’s reworking of King Lear as
(re)constructing an ‘alternate history’: “one that privileges the private, the domestic, the feminocentric, over the public, the national, the phallocentric” (Millard
2007, 67)� While fully conceding that to be true, the author of the present article
shall strive to prove how the appropriation retains the grandeur and magniicence of the original piece (Shakespeare’s King Lear), but at the same time it also
marginalizes, sidelines, or downgrades the original source�
1. Literary adaptation/ appropriation
To start with the deining terms, Julie Sanders (2006) introduces an important
distinction between the loosely used terms: adaptation and appropriation� he
notions of adaptation and appropriation are encompassed by a broader practice
of intertextuality. Intertextuality proves that texts refer back to the other texts and
rework them� Although both modes of reworking texts are similar in the adaptive
process “appropriation frequently afects a more decisive journey away from the informing source into a wholly new cultural product and domain” (Sanders 2006, 26)�
Shakespearean appropriations have been made with reference to many of his
plays, adapting them for the stage or the screen, or by involving them in a generic
shit (e�g� from drama to the novel)� Moreover, the Shakespearean canon has been
subject to all possible alterations–“as long as there have been plays by Shakespeare,
there have been adaptations of those plays” (Fischlin and Fortier qtd� in Sanders
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Anna Pietrzykowska-Motyka
2006, 46)� he history of the reworking, re-telling of King Lear in the twentieth
century is almost endless, and the most of these appropriations concern plays and
ilms rather than the novels (Foakes 1997, 85)�1
Let us not forget that Shakespeare himself was “an active adaptor and imitator,
an appropriator of myth, fairy tale and folklore, as well as of the works of speciic
writers as varied as Ovid, Plutarch and Holinshed” (Sanders 2006, 46)� Most of
Shakespeare’s characters or storylines were borrowed from other sources� King
Lear, for example, borrows from the old Leir play, an old play of unknown authorship, which lourished at the court in the early 1590s� However Shakespearean
version difers from the original source by primarily the tragic ending (Bate and
Rasmussen 2007, 2007)�
It is interesting to note that most adaptations may arise from some dissatisfaction with the original source� For instance, Jane Smiley explains why the story of
Shakespeare’s Lear served for her as the background for her novel A housand
Acres (1991). She says that her acceptance of the tragedy was pro-forma and she
did not like either Lear or Cordelia� She says:
Beginning with my irst readings of the play in high school and continuing through college and graduate school, I had been cool to both Cordelia and Lear� … he struck me as
the sort of the person, from beginning to end, that you would want to stay away from –
selish, demanding, humourless, self-pitying … I didn’t like Cordelia either� She seemed
ungenerous and cold, a stickler for truth at the beginning, a stickler for form at the end�
(Smiley qtd� in Cakebread 1999, 85)
A housand Acres (1991) transposes the King Lear story to the modern day and
in so doing at once illuminates Shakespeare’s original and subtly transforms it�
his astonishing novel won both of America’s highest literary awards, the Pulitzer
Prize for iction and the national Book Critics’ Circle Award� he novel focuses on
Larry (Lawrence Cook) and his family (three daughters—Ginny, Rose and Caroline) and transplants the story to the Cook family farm in Zebulon County, Iowa,
1979� he Lear story is retold through the eyes of Lear’s oldest daughter, Goneril
(Ginny)� Smiley, long dissatisied with the interpretation of Lear which privileged
the father’s needs over the daughters’, felt inclined to rewrite the original story
1
he author of the present article wants to stress two stage appropriations of Shakespeare’s King Lear, namely Edward Bond’s Lear (performed 1971) and Howard Barker’s
Seven Lears (1986)� Both plays are the main concern of the article entitled “Appropriations of Shakespeare’s King Lear in modern British drama: Edward Bond’s Lear (1971)
and Howard Barker’s Seven Lears (1989),” to be published�
Modern Appropriations of Shakespeare
107
with the aim to understand and explain the motivations of the daughters which
she felt were largely unexamined in Shakespeare’s play�
he transposition of Lear’s story in Smiley’s work involves the crossing not just
of historical and geographical but also of generic and gender boundaries (Millard
2007, 64)� In the irst place the story is rewritten by an American writer in the
20th century who is rewriting a seventeenth-century play written by a man� he
rewriting also involves a generic shit (from drama into novel): “Against the apparently objective mode of direct dramatization she sets the apparently subjective
mode of the irst person narrative” (64)� Ginny relates the events retrospectively
and in her narrative “it becomes clear that decisions not just about how to tell
a story, but about which bits of it (or, to put it in adversarial terms, whose side
of it) to tell, can never be anything but subjective, and by implication and in the
broadest sense of the word, political” (64)�
he novel parallels many pivotal scenes from King Lear such as the storm scene,
Gloucester’s blinding (paralleled by Harold Clark’s blinding), the reconciliation
between Lear and Cordelia (here: Larry and Caroline), and Lear’s death� Jess
Clark (the Edmund igure) has afairs with both Ginny and Rose, Tyler (Ginny’s
husband recalls the Albany igure, and Pete—Rose’s husband—recalls Cornwall)�
Many themes are also paralleled2 such as the infertility theme (evident in Ginny’s
ive miscarriages), the insanity theme (Larry’s erratic behaviour), women and
nature theme, appearance and reality theme, and the ingratitude theme as well�
What is a completely new addition to Lear’s story is the incest theme, recalled
by Rose in the midst of the storm scene:
“I don’t mean when we got strapped or spanked�” (Rose)
“Came ater us”? (Ginny)
“When we were teenagers� How he came into our rooms”� (Smiley 1992, 188)
Ginny cannot recall this incident at irst because, as she claims later on: “One thing
Daddy took from me when he came to me in my room at night was the memory
of my body” (Smiley 1992, 280)� When she is back in her old room in their family house, she recalls the scene which she has for long repressed in her memory:
“And so my father came to me and had intercourse with me in the middle of the
night� …I remembered his weight, the feeling of his knee pressing between my
legs, while I tried to make my legs heavy without seeming to defy him” (280)�
As Millard observes, “the storm of Smiley’s novel, like that of Shakespeare’s play,
2
King Lear Parallels are studied in many critical essays on Jane Smiley’s novel A housand
Acres, and in particular in Susan Farrell’s (2001)�
108
Anna Pietrzykowska-Motyka
has an allegorical aspect: it represents the external manifestation of the internal,
psychological tempest precipitated by Rose’s revelation” (2007, 72)�
he reason why Smiley incorporated this theme was to account for the evil
nature of Lear’s daughters (Goneril and Regan) in Shakespeare’s play� Her intention was to break from the conventional readings of the play which would locate
sympathies with Lear and Cordelia (Sanders 2001, 198)�3 Furthermore, part of
her motivation for writing A housand Acres “was to make the invisible visible,
particularly the reasons why Goneril and Reagan treat their father the way they
do” (Farrell 2001, 47)�
2. Fathers and Daughters’ heme
Angela Carter’s novel Wise Children (1991) is prefaced by the following quotation: “How many times Shakespeare draws fathers and daughters, never mothers
and daughters” (Terry qtd� in Carter 1991)� his is really true when it comes
to both Shakespeare’s King Lear and Smiley’s A housand Acres� In both texts
mothers are absent from the family: in King Lear the mother of the daughters is
mentioned only once in passing by Lear, and in Smiley’s novel the mother of the
girls had died when they were not even teenagers (Caroline, the youngest was
six)� Nevertheless, in the latter text, the image of their mother does appear quite
frequently in Ginny’s narrative, and her attempt to recollect her mother from
scraps and shreds of memories forms an important part in Ginny’s search for her
own identity� In Coppélia Kahn’s most quoted essay “he Absent Mother in King
Lear” (irst published in 1986), the author argues that in both families headed by
Lear and Gloucester the patriarchal system is preserved: “the only source of love,
power and authority is the father–an awesome, demanding presence” (2000, 257)�
Mothers in such patriarchal families are only necessary in procreation, but later
on their role is diminished; the father is the rule giver, he represents the power
and he wishes to subdue others to his will, in particular his children�
It is exactly the issue of paternal power that surfaces in both texts: the source
text and its appropriation, Lear curses Cordelia in the opening scene of the
play: “Better thou// Hadst not been born than not t’have pleased me better”
(I�1� 228–229)� In Smiley’s novel pleasing the father starts irst with feeding
Daddy, preparing his breakfast and dinner: “Daddy ate at our house on Tuesdays, Rose’s on Fridays” (Smiley 1992, 47)� In Chapter 16 of the novel Ginny
3
In accordance with such conventional interpretations, Lear’s redemption is accomplished through the agency of the holy igure of Cordelia� Among others, see Introduction to King Lear by R� A� Foakes 1997, p� 31�
Modern Appropriations of Shakespeare
109
goes early in the morning to prepare breakfast for her father: “I knew Daddy
would be annoyed at having to wait for his breakfast� Now that I was no longer
cooking for Rose, he wanted it slap on the table at six, even though there were
no ields he was hurrying to get to” (112)� On arriving at her Daddy’s house,
she realizes that there are no eggs for breakfast and that the father is irritated
by the fact that “nobody shopped over the weekend” (114)� She has a choice:
either to keep him waiting and go back and fetch the eggs from her own house,
or to fail to give him his eggs� Ginny knows that her decision is a test of her
obedience and submissiveness to her father’s whims� In the long last, she brings
him the eggs and fries his usual breakfast� his incident is really an exercise in
will power–the father is relentless in demanding absolute subservience from his
daughter even in such minute things as what he eats for breakfast or the time
of his meal� he daughter has an opportunity to fail him, to ignore his likes or
dislikes, yet she is not ready to do it�
All throughout the novel and prior to the storm scene, Ginny is aware of her
father’s power over her: “When my father asserted his point of view, mine vanished� Not even I could remember it” (Smiley 1992, 176)� Ginny’s earliest memories of her father consist in “being afraid to look him in the eye, to look at him
at all” (19)� Her father was to her a fearsome igure: “If I had to speak to him, I
addressed his overalls, his shirt, his boots� If he lited me near his face, I shrank
away from him� If he kissed me, I endured it, ofered a little hug in return” (19)�
At the same time Ginny admits that this fearsomeness was reassuring because the
father protected his family well from what her childish imagination feared most:
robbers and monsters� hey lived on the best farm, “the biggest farm farmed by
the biggest farmer” (20)� “hat it, or maybe formed, my own sense of the right
order of things” (20)�
Reversing roles between the father and the oldest daughter seems to please
Ginny a lot� Ater the car accident, Ginny feels it her duty to reprimand her father
for his foolishness which resulted in drunk driving� She recalls:
It was exhilarating, talking to my father as if he were my child, more than exhilarating to
see him as my child� his laying down the law was a marvelous way of talking� It created
a whole orderly future within me, a vista of manageable days clicking past, myself in the
foreground, large and purposeful� (148)
A couple of days later, however, her power disappears and she is very disconsolate
to see that “where was the power I had felt only a few days before, the power of
telling rather than being told?” (173)� Ater the storm scene in which Ginny is
called by her father a number of invectives such as “a dried-up whore bitch” (181),
she is wondering why her father addressed her like that and at the same time she
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Anna Pietrzykowska-Motyka
thinks that her father has had some knowledge of her adulterous relationship
with Jess Clarke� She admits that: “Certainly, a child raised with an understanding of her father’s power like mine could not be surprised that even without any
apparent source of information he would know her dearest secrets� Hadn’t he
always?” (185)� Rose thinks that Daddy overwhelms them (Ginny and herself),
but Caroline is free from his inluence on her�
Actually, Caroline is Larry’s favourite daughter and fortunate enough not to
have been involved with Larry in the incestuous afair� hat she was untouched
by incest she owes it to Rose, who confesses to Ginny that Larry told her that if
she went along with him, “he wouldn’t get interested in her” (Smiley 1992, 190)�
Rose continued the relationship with her Daddy mainly because she did not want
him to seduce Caroline, who was then only 8 or 10� But at the same time, Rose
was lattered, too, by Larry’s interest in her: “I thought that he’d picked me, me,
to be his favourite, not you, not her” (190)� Rose also states that her father did not
rape her, but seduced her, which implies that she also accepted the rules of the
relationship between them: “He said it was okay, that it was good to please him,
that he needed it, that I was special� He said he loved me” (190)�
3. A housand Acres as a downgraded version
of King Lear’s story
Although Smiley’s novel shares with King Lear primarily the tragic ending: the
family breaks apart (Larry dies, Rose dies of cancer, Pete dies in a car accident,
Ginny and Ty separate, Jess Clarke leaves Rose, Ginny leaves for the city and works
there as a waitress, the farm is sold to he Heartland Corporation), the appropriation could be also seen as a downgraded, downscaled version of the source text�
In the following pages, I shall suggest such reading of Smiley’s novel bearing in
mind which particular elements of A housand Acres delate the seriousness of
the original� Following the method of interpretation suitable for a heroi-comical
poem, I wish to transfer some of the interpretative strategies for the use in the
present article� In a heroi-comical enterprise several techniques are adopted to
help us understand the message within the text:
a� Placing of a text within a line of descent (the Lear’s story has been handed down for
centuries),
b� Grand actions and grand gestures are amusingly scaled down,
c� Mock-heroic works by setting up one igure, event, situation, term against another, so
that we both get a sense of similarity and diference (we alternate between the source
and its appropriation in the mode similar to mock-heroic strategies of interpretation)�
However the efect of such an interpretation is more complex than that:
Modern Appropriations of Shakespeare
111
i� Our judgment is challenged by the delight we take in the incongruity itself;
ii� he shits in scale make us think how we see and evaluate things;
iii� he surprising appositions cause us to look freshly and perhaps see unexpected
links between situations and ideas�4
In the irst place, the main diference between the source text and its appropriation
lies in the shits in scale; that is we observe the sudden transition from the macrocosmic view of the world to a microcosmic one� here’s no denying the fact that
everything in King Lear is on a grand scale: its philosophical reach, its preoccupation
with the condition of man, in particular “unaccommodated man”� However, Smiley stresses that “the play’s dynamics are essentially familial, microcosmic; that its
central conlicts are between siblings, genders and generations, rather than between
rival political factions” (Millard 2007, 67)� For this reason, Smiley’s book its into
“the genre of domestic realism” (Strehle qtd� in Farrell 2001, 30) —“conventional in
form and style and told by an average, reliable, middle-American narrator” (Farrell
2001, 30)�5 It amounts to saying that Lear’s mythical kingdom (England) is metonymically transformed into a farm (a mere thousand acres), and the king is turned
into a farmer: “In Zebulon County, though, my father’s thousand acres made him
one of the biggest landowners” (Smiley 1992, 131)� Likewise, Lear’s train of followers
is reduced to two men (Ken la Salle) (Kent) and Marv Carson (the Fool)�
Further downsizing the story of Lear concerns the division of the farm (in
Shakespeare’s—the kingdom) which is a starting point for a rit between the close
members of the family� Caroline is “disinherited” (similarly as Cordelia is) because
she does not seem to accept the plan:
We are going to form this corporation, Ginny, and you girls are all going to have shares,
then we are going to build this new Slurrystote, and maybe a Harveststore, too, and enlarge the hog operation� … You girls and Ty and Pete and Frank are going to run the show�
You’ll each have a third part in the corporation� (Smiley 1992, 18–19)
he consequences of division of the farm start to be apparent very early on and
Ginny observes that “it was freshly evident that he had impulsively betrayed himself by handing over his farm” (Smiley 1992, 112)� As the plot unfolds we observe
4
5
he terminology is borrowed from he Poetry of Alexander Pope by David Fairer�
Penguin Critical Studies� London: Penguin Books, 1989� pp� 55–66�
However, Farrell further claims that the events by the end of the novel grow more
preposterous and more terrifying than in the typical domestic novel, they are out of
proportion, and the characters attain almost mythical status as their actions become
excessive and monstrous at times (30)� his view, although contradictory to the interpretative path in the present article, cannot be refuted�
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Anna Pietrzykowska-Motyka
further dismemberment and portioning of the land Larry owned� Ater Pete’s
death, Ty’s departure to Texas and Ginny’s departure to St� Paul, Rose (on her
deathbed) transfers the property of the farm to Ginny and Caroline� Since the
farm is already in debt, Caroline and Ginny sell it to he Heartland Corporation�
he day before the sale they both come to the estate to take whatever is precious
to either of them� Each of the girls wants to divide the stuf between them: the
pictures, the kitchenware, towels, sheets, linen, dishes, glassware, cake plates and
napkins, all that forms the real essence of the family life� Ginny and Caroline have
no clear plan how to divide the things among them; Ginny assumes that Caroline
wants to take all that belonged to Mommy and Daddy; however the youngest
daughter cannot recognize those things easily� Ginny observes: “How can we
divide up the stuf without knowing what it means?” (Smiley, 361) Caroline, as
the youngest of the three, has spent the least time on the farm; she cannot even
recognize family members in the photos hanging on the walls� hat is why Ginny
is unwilling to divide the things between them: to Caroline most of the things do
not carry their meaning as family precious belongings; she is a stranger to them�
Ginny is well motivated to exclaim to Caroline: “So why do you want these things?
Pictures of strangers, dishes and cups and saucers that you don’t remember? It’s
like you’re just taking home somebody else’s farm childhood� You don’t know what
it means!” (362) By contrast, to Ginny everything that is part of the farm means a
lot; all the objects are familiar to her, carry their meaning with them, the history
of her family and her ancestors�
he farm, an eponymous thousand acres, becomes in the long run a collection
of utensils, unnecessary objects such as those that Ginny inds on inspecting
the barn: “three hurricane lamps, old buckets, and feed pans nested precariously
together, rakes� A pile of rusted bailing wire� On the workbench, some C clamps,
a hammer, which I picked up, a band saw, a spare ax handle” (Smiley 1992, 365)�
Larry Cook’s little kingdom is reduced to a number of tools, objects, things which
are no longer used� What once to used be a pride of place in the whole neighbourhood (the best and biggest farm) is now neglected, rusty and dusty�
Another example by which the delating of the seriousness of the original is
accomplished is the way in which the oldest girls try to stand up to their father�
For instance, executing their power over him is being delated to Ginny’s coming
too late to prepare his breakfast (Smiley 1992, 114), or taking away his car keys
to prevent him from drunk driving (148):
I looked him square in the eye� It was my choice, to keep him waiting or to fail to give
him his eggs� His gaze was lat, brassily relective� Not only wasn’t he going to help me
decide, my decision was a test� I could push past him, give him toast, cereal and bacon,
Modern Appropriations of Shakespeare
113
a breakfast without a center of gravity or I could run home and get the eggs� My choice
would show him something about me, either that I was selish and inconsiderate (no
eggs) or that I was incompetent (a lurry of activity) where there should be organized
procedure)� I did it� I smiled foolishly, said I would be right back, and ran out the door
and back down the road� (114)
In this way the mythical tragedy of King Lear is here reduced to domestic, routine
activities such as preparing breakfast for Daddy and Ginny’s concern about the
eggs: whether to bring them from her own house and cater to the father’s whims
or ignore him altogether� Millard calls this situation “a test not just of obedience,
but of her ability to please him” (2007, 71)� Ginny is faced here “with what is apparently the most mundane of dilemmas” (71), but which “takes on a retrospective
poignancy” (71)� Ginny has always been mastered by Daddy, even sexually, and she
is used to complying with his orders� Although she hesitates for a while what to do,
the more submissive and vulnerable part of her personality fails the test of assertiveness and independence� As Farrell observes, “Ginny constantly negotiates between
this outer, conforming self and her interior, more rebellious self ” (2001, 31)�
Ginny’s ultimate act of deiance and non-conformist behaviour (contrary to the
carefully controlled public image of herself as obedient daughter, wife, and a loyal
sister) (Farrell 2001, 31) is when she sleeps with Jess Clarke and when she plans
to poison Rose� Interestingly enough, the killing of Rose by Ginny is reduced to
preparing a few jars of pickles with a poisonous plant within�
he hemlock root I had minced inely with a paring knife� I decided to use it all� he
leaves and the stems I had let at the river� he root now sat on the piece of paper on the
counter� I washed the knife and the fork I’d used to hold the root while I chopped it�
… ater grinding the mince into the meat along with pepper, garlic, onion, cumin, red
pepper, cinnamon, allspice, a dash of cloves and plenty of salt, I illed the sausage casings
and tied them of every six inches� hey were about as thick as a man’s thumb� No telling
which of them were lethal and which weren’t� … It was not unlike the feeling you get
when you are baking a birthday cake for someone� hat person inhabits your mind� So I
thought continuously of Rose� (Smiley 1992, 313)
Ginny cherishes the very moment of preparing the poison for Rose, she is very
particular about the ingredients of the fatal sausages and she is sure that the taste
must appeal strongly to Rose and that her “own [Rose’s] appetite would select
her death” (Smiley 1992, 313)� On one hand, Ginny compares her sausages to a
lethal weapon, which are to kill her sister, but on the other hand she compares
the situation to baking a birthday cake for someone� he mention of “birthday” is
very uncommon in this context and may suggest the mixing of values in Ginny’s
world� Furthermore, according to Nakadate:
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Anna Pietrzykowska-Motyka
he sausage in particular constitutes an elaborate exercise in secrecy and disclosure that
combines the novel’s key themes� Ginny’s sausage can be read as a “domestic” gesture,
… a marker in her love-hate relationship with Rose …; a symbolic containment of male
power and domination; an exorcism and objectiication of the emotional poison of incest
that impinges on the present and future� (1999, 177–178)
Ironically, the jars with pickles were untouched by Rose; Ginny inds them all safely
seated on Rose’s shelves and completely forgotten� Ater inding the jars “shoved
in helter skelter owing to the jumble of passionate events, than later pushed back,
pushed aside, forgotten” (Smiley, 366), she carries them to the cellar, closes the door,
and there in the dark eyes her most intimate secret–the poisonous sausages–which
in fact let Rose unharmed� In this way, Ginny retains her clandestine, double-faced
identity, the interior self which operates side by side with her outer self� he only
way in which Ginny may express her wishes and desires is by “displacing them onto
a second, submerged self, kept carefully hidden from her family and neighbours”
(Farrell 2001, 31)� Judging Ginny, Nakadate observes that she works in terms of
equivocation, indirection and delay (1999, 178)� Ginny gets rid of the sausages,
again in the privacy of her city apartment, leaving the poison drip down the sewage,
and in this way in iteen minutes, she washes her hands clean of the evil deed which
she intended but missed altogether due to her prevarication and procrastination�
In the subplot of King Lear a signiicant role is played by Gloucester and his two
sons (the bastard son, Edmund, and the rightful one, Edgar)� In Smiley’s novel
Gloucester is paralleled by Harold Clarke, the father of Jess and Loren� What happens to Gloucester in the play (blinding), becomes also Harold’s painful experience; however it is accomplished in a totally diferent way, by means of Harold’s
new tractor� In Book 1, Chapter 4 a reader learns that Harold bought a brand new
International Harvester tractor, which became the envy of all neighbours� At the
pig roast, Harold proudly displays his new acquisition (the machinery), and also
welcomes his prodigal son, Jess, who has just come back home� he thing that is
meant to increase productivity of the land and a greater accumulation of wealth
becomes a tool of torture for poor Harold� One day, Harold decides to get on his
new tractor and work on the corn ield� he tractor breaks down, and Harold gets
down of the tractor to see why one of the knives got clogged�
Maybe he was in a hurry, … No one knows why he jiggled the hose� Possibly he only
touched it while bending down, brushed against it with his hand or his sleeve� At any
rate, the hose jerked of the knife, and with the last puf of pressure remaining in the line,
sprayed him in the face� He wasn’t wearing goggles� (Smiley 1992, 231)
When he goes to the water tank to lush his eyes, the water tank is empty:
“At this point Harold was overcome, and he simply keeled over in the ield”
Modern Appropriations of Shakespeare
115
(Smiley 1992, 232)� When the incident takes place, there is no one around who
could prevent this from happening because everyone else is doing their usual
duties: Jess is out running, Rose is helping her daughters, Lawrence is busy
talking on the porch, Ginny is dropping Pammy of, Ty is working and Pete is
buying cement� As a result, Harold loses his eyesight instantly and although he
is taken to hospital by Loren, doctors cannot do anything to help him regain his
eyes: “the corneas are eaten away” (232) and only transplants could do the job,
but they usually do not work too well� Harold’s blinding is then scaled down to
self-annihilation, self-murder or self-injury caused by a desire to show of in
the neighbourhood and by a mere bad luck� he tragedy of the man is deinitely
aggravated by the fact that he self-inlicted this injury�
Another downscaling the original concerns Larry Cook and how the daughters
try to rationalize their Dad’s behaviour� Interestingly, the youngest of them, Caroline, was long before trying to research into her father’s psychological composition
when she was in college and doing a psychology major for a while� he narrator
(Ginny) comments on it and mocks all those glib generalizations involving psychological personality tests and the psychological jargon, too:
she burbled with plausible theories about why he drank, what his personality structure
was, how we ought to administer “the Luscher Color Test,” or what we could do to break
down the barriers in his whole oral structure” (he couldn’t cry and therefore express pain,
because in fact he couldn’t bite because no doubt he had been breast fed and forbidden,
probably harshly, to bite the nipple), or he had been potty trained too early, which made
him retentive of everything� (Smiley 1992, 118)
On hearing that, Rose responds: “He’s a farmer, Caroline� hat is a personality
structure that supersedes every childhood inluence” (Smiley 1992, 118)� he
girls’ attempts at rationalizing their father’s behaviour certainly ill in the omissions in the original story of Lear� In Shakespeare’s play there were no attempts
to look at the motivation of King Lear and why he acted this way or that� Smiley’s
appropriation of the story of Lear has the potential to explain and research into
Lear’s true motives behind his insanity and his hatred against women� Larry Cook
is the subject of the test as well, and through such lens Lear’s behaviour may be
ampliied and approached�
4. he absent mother
he novel shares with feminist critics an interest in the absent mother of Shakespeare’s play (Foakes 1997, 89)� he girls (Rose and Ginny) try to trace the mother
they never knew and they fantasize about her: “she was a waitress at the restaurant of a nice hotel, and we lived with her in a Hollywood-style apartment
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Anna Pietrzykowska-Motyka
(Smiley 1992, 187),” or “I used to fantasize that Mommy had escaped and taken
an assumed name and, someday she would be back for us” (187)� he mother’s
looming presence in her oldest daughter’s life and the memories of her are still
inefectual enough to solve the old mysteries� Ginny feels she could go and ask
people about her mother, to become her biographer, to be drawn into her life, but
she inds the task “an impractical, laborious and failing substitute for what she
had missed in the last twenty two years” (94)� When her father leaves his house
and goes to live with Harold Clarke ater the storm, Ginny feels it is the right
moment to ind her mother with the departure of her father (225)� It seems then
that she wants to trace the memories of her mother to patch up what has been long
silenced, unmentioned and untold� his opinion is in keeping with the underlying interpretation of the world of the novel as “one of occlusion and efacement,
and one of the great strengths of the novel is the skill, and timing, with which it
withholds and reveals its secrets” (Millard 2007, 65)�
he downgrading, downsizing efect of Smiley’s appropriation of King Lear’s
story concerns also major shits in the narrative� For example, whereas Shakespeare
has made both older daughters dead at the end of the play, Smiley keeps Ginny
alive� he woman has to leave the farm behind and move to the city, where she
starts her new life as a single, working woman (Farrell 2001, 29)� Other characters
are similarly reduced or undermined: ater Harold’s blinding, Loren, disappears
from the text (Sanders 2001, 195)� Larry’s wife in the novel is also “a tangible absent
presence” (Smiley 1992, 200)� Verna Clarke, the mother of Jess and Loren, had
died of cancer before Jess came back home� Ginny’s ive miscarried children also
ill in the void of the unmentionable, the secret, and the absent in the narrative�
As she recalls once: “hen there was the image that things always looped back to,
those ive miscarried children” (147)� And last but not least the greatest secret of
incest is sheltered from Caroline by Ginny when they meet at the end of the novel
prior to the sale of the farm� Ginnny realizes that she should have told Caroline
the truth, but she abstained from it: “Rose would have� I didn’t” (363)� Caroline
is let believing that the older sisters are evil and that they have “a thing against
Daddy” (363)� Ginny, in turn, is let with the realization that “each vanished person
let me something, and that I feel my inheritance when I am reminded of one of
them” (370)� he fact that Smiley takes the woman’s part in revisioning the story
of Lear may be also interpreted as the downsizing of the original by shiting the
perspective of events from masculine (King Lear) to feminine (A housand Acres)�
As Millard concludes, “Smiley ofers no consolation, no happy ending; what she
does ofer, however, is an alternative, feminocentric reframing of the Lear story
which is also a compelling work in its own right” (2007, 79)� Other critics, like
Modern Appropriations of Shakespeare
117
Susan Farrell, admit that the ending is at least ambiguous; however, there is hope
for Ginny to reconstruct her new, maybe better, life�
Conclusions
he aim of the present article was to highlight the relationship between the source
text and its appropriation; in this case the appropriated text was Shakespeare’s King
Lear� Appropriating canonical literary texts has become a much-used practice for
many modern writers, including Jane Smiley and other women novelists; e�g� Angela
Carter� In Jane Smiley’s novel A housand Acres one can observe striking resemblances to the original text as well as note disparities and modiications between
the two texts� One of them involves the downgrading or downsizing of the original
source achieved by shits in scale, quality and quantity� For example, Lear’s kingdom becomes transposed to a thousand acres’ farm in Iowa, Lear’s division of his
kingdom becomes delated to the hog operation, Ginny’s miscarriages are ascribed
to water pollution in the area, Larry’s insanity is described in terms of personality
disorder, Harold Clarke’s blinding (parallel to Gloucester’s blinding) is scaled down
to self-annihilation and the absent mother in Ginny’s imagination is reduced to the
image of a waitress who has run out to Hollywood and taken a disguised name� In
efect, readers can approach Shakespeare’s Lear’s story from a diferent angle: while
bearing in mind the grandeur of the original, they can see that the potential of the
source text lies not only in retaining its original power and size, but also in the way
the source text enters into a contemporary context by negotiating with diferent
geographical space, time continuum, or more ordinary characters� In Jane Smiley’s
novel Shakespeare’s original story becomes modiied in various dimensions, giving
Lear’s story a new lavour and colouring, for example a mock-heroic one�
References
Bate, Jonathan and Eric Rasmussen� 2007� William Shakespeare. Complete Works.
Macmillan: Houndmills, Basingstoke, Hampshire�
Cakebread, Caroline� 1999� “Remembering King Lear in Jane Smiley’s A housand
Acres�” In Shakespeare and Appropriation� Edited by Desmet, Christy and
Robert Sawyer� 85–102� London: Routledge�
Farrell, Susan� 2001� Jane Smiley’s A housand Acres. A Reader’s Guide. New York/
London: Continuum�
Fairer, David� 1989� he Poetry of Alexander Pope� London: Penguin Books�
Foakes, R. A� 1997� “Introduction�” In King Lear edited by R� A� Foakes� 1–148�
London: homson Learning�
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Anna Pietrzykowska-Motyka
Kahn, Coppelia� 2000� “he Absent Mother in King Lear�” In A Shakespeare Reader: Sources and Criticism� Richard Danson Brown and David Johnson (eds)�
255–266� Great Britain: Macmillan Press Ltd�
Millard, Kenneth� 2007� “Silence, Secrecy and Sexuality: ‘Alternate Histories’ in
Jane Smiley’s A housand Acres, Carol Shields’ he Stone Diaries, and Jefrey
Eugenides’ Middlesex.” In Coming of Age in Contemporary American Fiction by
Kenneth Millard� Chapter 2� 61–81� Edinburgh: Edinburgh University Press�
Nakadate, Neil� 1999� “A housand Acres�” In Understanding Jane Smiley edited
by Neil Nakadate� 157–181� University of South Carolina Press�
Raposo, Dantas Marluce Oliveira� “King Lear and Materialist Feminism Criticism�”
Accessed 30th April 2015� http://200�144�182�130/revistacrop/images/stories/
edicao01/v01a02�pdf�
Sanders, Julie� 2001� Novel Shakespeares. Twentieth-Century Women Novelists and
Appropriation. Manchester University Press�
Sanders, Julie� 2006� Adaptation and Appropriation� London and New York: Routledge�
Smiley, Jane� 1992� A housand Acres. London: Flamingo�
Sławomir Kuźnicki
Women, Men and the Hope of Pregnancy/
Motherhood in Margaret Atwood’s
MaddAddam
Abstract: he article investigates how the society of female and male survivors is supplemented in Margaret Atwood’s MaddAddam with the elements of motherhood and
parenthood� As the author suggests, the trans-generic relations and their ofspring give
hope for the future�
Concluding the 21st century speculative trilogy that also includes Oryx and Crake
(2003) and he Year of the Flood (2010), MaddAddam (2013) concentrates on the
concept of a peaceful existence of men and women, as well as “old” people and the
perfect human clones in the post-apocalyptic world� Consequently, motherhood
and parenthood enable Atwood a drit from feminisms of her previous novels
towards a more universally understood humanism� On the one hand, the writer’s
picture of women’s communities provides the main female characters of the novel
with some kind of a framework wherein they can realise their femininity� his
parallels Nina Auerbach’s deinition:
All true communities are knit together by their codes, but a code can range from dogma
to a lexible, private, and oten semi-conscious set of beliefs� … in female communities,
the code seems a whispered and a leeting thing, more a buried language than a rallying
cry… � (1978, 8–9)
On the other, Atwood extends the scope of this notion to include men, too, as they
also inluence the way females view themselves� Additionally, the new transgenic
context plays an important part here, as the inter-speciic children, the Crakerhuman splices, surprisingly make some sort of survival and prolongation of life
in general possible� hus, the concluding remarks of MaddAddam are rather optimistic: the experiences of motherhood and pregnancy unite a woman with a man,
as well as the old humankind with its genetically enhanced version�
In brief, MaddAddam is very tightly connected to the two novels preceding
it, also presenting life before and ater the biological apocalypse triggered by
the character of Glenn/Crake� he “present” story of the novel focuses on the
plague survivors, the former scientists belonging to the MaddAddam group—including Zeb and Toby� hey are all forced to struggle not only with the adverse
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Sławomir Kuźnicki
living conditions, the direct outcome of the pandemic, but also with the highly
dangerous representatives of their own species� At the same time, the remaining
MaddAddamites learn how to reach some kind of a cultural symbiosis with the
peace-loving Crakers, the humanoids created by Crake Oryx and Crake to replace
self-destructive people in the post-apocalyptic world� Given the survival of the
whole humankind, this symbiosis has to result not only in peaceful co-existence,
but also in genetic mingling of these two versions of human beings� Consequently,
the relationships between the sexes, so frequently approached by Atwood from
a critical perspective fuelled by the patriarchal system, have to evolve and be reestablished on a completely new basis�
When discussing both women’s communities and women-men relationships,
the character of Toby seems central to Atwood’s considerations� One of the two
protagonists in he Year of the Flood, in MaddAddam she provides the readers
with her perspective on most of the events in the novel� Jeet Heer describes her:
“[t]hanks to Toby, the trilogy gains that human dimension which only the best
iction possesses�” What appears to be deining to her characteristic is her relationship with Zeb, the group’s informal leader, that has started in the previous volume
of the trilogy, but becomes the greatest concern in MaddAddam� At the beginning
of the novel, however, Toby still does not seem to believe that such a relationship is
possible in the long run� When Zeb is outside the survivors’ camp, doubts dominate Toby’s thoughts: “Her strongest desire is to have Zeb come back safe, but if
he does, she’ll have to face up once again to the fact that she’s neutral territory as
far as he’s concerned� Nothing emotional, no sexiness there, no frills� A trusted
comrade and foot soldier: reliable Toby, so competent� hat’s about it” (Atwood
2013, 27)� he absence of her lover, then, intensiies her doubts and exerts a direct
inluence on her self-esteem, as now the emotional and physical bond between
them appears to be of greatest importance for her� hat is why, when he is back,
the relief she feels has all the characteristics of a physical experience: “Toby feels
her body unclench, feels air lowing into her in a long, soundless breath� Can a
heart leap? Can a person be dizzy with relief?” (46)� And indeed, the bond they
manage to establish is both physical and emotional� his can be visible in the way
Toby perceives their intimate contacts: “She’d waited so long, she’d given up waiting� …But now how easy it is, like coming home must have been once, for those
who’d had homes� Walking through the doorway into the familiar, the place that
knows you, opens to you, allows you in� Tells the stories you’ve needed to hear�
Stories of the hands as well, and of the mouth” (49)� She describes their intimate
relationship in terms of the safety characteristic of a family home, a home that she
has longed for so long� his implies a possibility of permanence� In fact, in this
Women, Men and the Hope of Pregnancy/Motherhood
121
relationship Toby can fully realise herself and her femininity� hat is why, when
long ater the main events described in the book Zeb eventually gets killed, Toby
does not see any other reason to live� Blackbeard, her Craker pupil and another
very important character of MaddAddam, narrates:
hen Toby took very old packsack, which was pink; and into it she put her jar of Poppy,
and also a jar with mushrooms in it that we were told never to touch� And she walked
away slowly into the forest, with a stick to help her, and asked us not to follow her� (390)
here is no life without Zeb for Toby, which is even emphasised by Toby and
Zeb’s alternate narrations of the novel, where “Zeb’s cool, ironic, show-of monologues…are balanced by the tone of Toby’s introspection: warmer, more sensual,
less relentlessly knowing” (Roberts 2013)� In broader terms—as Atwood seems to
suggest—there is no possibility for women to exist without men and vice versa,
especially in a post-apocalyptic world in which a very small number of survivors
must struggle not only to endure, but also to prolong their species’ existence�
At the same time, women’s communities as such appear to be as dissimilar as
any single-sex group may be� In MaddAddam this is shown with the example of
the complicated bonds Toby establishes with Pilar, a mother-like igure for her,
and Swit Fox, one of the former MaddAddamite scientists whom she initially
views as her antagonist� And this is the latter relationship, as well as the way it
evolves, that seems more interesting in the context of the plurality of the communities women make� As the protagonist summarises the scientist’s character:
“Fox by name, fox by nature, she thinks� Handle a spraygun, indeed” (Atwood
2013, 144)� he language she uses imposes her own negative perspective on how
Fox is viewed� From the irst moments Toby meets her in the MaddAddamites’
camp, she cannot help feeling some unidentiied reluctance towards the younger
woman: “She must have been over thirty, but she was wearing what looked like
a twelve-year-old’s rule-edged nightie� Now where had she picked up that?
Toby wondered� Some looted HottTottsTogs or Hundred-Dollar Store?” (19)�
What most disturbs Toby is not just the clothes Fox wears, but the atmosphere
of sexual innuendo that she spreads around her� hat is why Toby views her as
an aged Lolita, a post-apocalyptic femme fatale whose main goal is to use her
feminine sexuality to provoke men, with complete disregard for other women:
“[Swit Fox] makes a show of yawning, stretching her arms up and behind her
head, thrusting her breasts up and out� Her straw-coloured hair is pulled into
a high ponytail, held in place by a powder-blue crocheted scrunchie” (44)� For
Toby, this unsophisticated tactics of sexual display is directly connected with Zeb
and the fact that she herself is older than Fox� According to Michele Roberts, “…
the gender politics of MaddAddam remains fairly conventional� In this fallen
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Sławomir Kuźnicki
world of hierarchical diference, men and women stand for separate values even
as they are equal in corruption”� Indeed, in viewing Fox as a typical example of a
female predator, Toby unconsciously follows the patriarchal pattern that forces
one woman to perceive another in highly unfavourable terms (i�e� as enemies),
which only helps to sustain such a system� Moreover, she actually falls victim to
the patriarchal system, which, consequently, leads her to develop some kind of an
obsession with Swit Fox, and also underestimate her own femininity� As a result,
she imagines the younger woman in Zeb’s arms� When a group comprising Zeb,
Swit Fox and a few other MaddAddamites go on a two-day long expedition, Toby
cannot suppress the bouts of irrational jealousy, which at the same time lowers
her self-esteem: “You’ve lost, she tells herself� You’ve lost Zeb� By now Swit Fox
must already have him, irmly clamped in her arms and legs and whatever oriices
appeal” (151)� Additionally, such thoughts have a very negative inluence on the
idea of female communities, weakening the bond the women should feel for one
another� his disturbing tendency reaches its peak when Toby allows herself to
formulate a shockingly sincere opinion on Swit Fox:
She consciously suppresses the word slut: a woman should not use that word about another woman, especially with no exact cause� Really? says her inner slut-uttering voice�
You’ve seen the way she looks at Zeb� Eyelashes like Venus lytraps, and that sideways leer
of the irises, like some outdated cut-rate prostibot commercial: Bacteria-Resistant Fibres,
100% Fluid-Flushing, Lifelike Moans, ClenchOMeter for Optimal Satisfaction� (97)
What is emblematic here, however, is the fact that she realises that calling Fox a
slut is equally degrading to her� hinking this way, she accepts the invitation to the
game that Fox proposes, and she accepts the position that patriarchy imposes on
her� herefore, this moment of free expression passes very quickly, and Toby simply
proves more clever than the provocative Fox: “‘Gender roles suck,’ says Swit Fox�
hen you should stop playing them, thinks Toby” (342)� Even though Toby cannot escape playing them from time to time, either, eventually she reassures herself
about the groundlessness of her accusations� his is a positive solution both for
her relations with other women and her relationship with Zeb�
As a matter of fact, even though viewed as a deep, true and mutual bond, Toby
and Zeb’s relationship can also appear a strange, or even controversial example
of pure love under the given circumstances� As the reader already knows from
he Year of the Flood, in her early years diicult conditions deprived Toby of the
chance to have children� Now she is barren, and there is no possibility of motherhood, or no chance to contribute to the community’s future� his fact becomes a
source of doubts concerning her usefulness to the other survivors� Such thoughts
also inluence the way she perceives her relationship with Zeb� First of all, he is
Women, Men and the Hope of Pregnancy/Motherhood
123
not only the informal leader of the MaddAddamites, but also a macho-type man
(the story of him being forced to kill and eat a bear is already a legend)� herefore,
Toby imagines he is desired by many a female survivor, mainly by Swit Fox, whom
she initially perceives as her enemy, a kind of a femme fatale of the entire story�
In the most desperate moments, she even views her own relationship with Zeb
as something reprehensible:
…[Zeb] should be doing what alpha males do best…So why is he wasting his precious
sperm packet? they must wonder� Instead of, for instance, investing it wisely in the ovarian oferings of Swit Fox� Which is almost certainly that girl’s take on things, judging
from her body language: the eyelash play, the tit thrusts, the hair-tut linging, the armpit
display� She might as well be lashing a blue bottom, like the Crakers� Baboons in spate�
(Atwood 2013, 89)
hese opinions of Toby’s, emotional as such, fuel her low self-esteem, and the way
she views herself as a woman� She considers herself useless to the female community� hat is why she develops such a close bond with the aforementioned Craker
child, Blackbeard� She teaches him to read and write, and unconsciously prepares
for the function of the survivors’—both the people and the Crakers—annalist�
One can even say that, unable to have her own biological children, Toby compensates by transferring her maternal feelings on to Blackbeard� She realises this
on one occasion: “She doesn’t think she could live with herself if little Blackbeard
got killed…” (343)� She almost allows herself to plunge into a kind of dangerous
illusion: “If I’d had a child, thinks Toby, would he have been like this [i�e� like
Blackbeard]? No� He would not have been like this” (138)� Eventually, she stays
rational and reasonable, which has a healing inluence on her own evaluation of
herself as a woman� Even if she cannot give birth to her own (and Zeb’s) ofspring,
by providing unselish love for Blackbeard, by taking care of the Crakers (which
triggers the process of their and the MaddAddamites’ rapprochement), and by
serving the group as their chronicler, she contributes to the survivors’ society at
least as much as those women who get pregnant� Simultaneously, she enriches
the variety of women’s community, since—as Nina Auerbach describes this phenomenon—“…communities of women have no one oicial banner to wave� …he
strongest community we can perceive is one with many voices…” (12)�
When it comes to motherhood and pregnancy, they both constitute the most
important issue in MaddAddam� It is so, because pregnancies act in the novel not
only as a sign of hope for the human race, but also as a factor that cements the survivors’ society and reinforces the combination of power and dignity in the female
characters� his last element is mostly visible in the case of Amanda, Ren’s closest
friend and Jimmy/Snowman’s former girlfriend already known from the irst two
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Sławomir Kuźnicki
volumes of the trilogy� When MaddAddam begins, she is still in the shock from
the multiple violent rapes performed on her by the two dangerous Painballers;
as Toby describes her: “She used to be so strong: nothing used to frighten her�
…Whatever has happened to Amanda—whatever was done to her by the Painballers—must have been extreme” (Atwood 2013, 96)� As a consequence of this
terrible assault, Amanda is broken, absent and passive� She does not participate in
the social life of the MaddAddamites� No wonder that once it becomes clear that
she is pregnant, the information is not met with enthusiasm� Toby recalls: “Poor
Amanda� Who could expect her to give birth to a murderer’s child? To the child
of her rapists, her torturers?” (215) However, there is one more possibility as far
as the father of Amanda’s child is concerned as there had also been an opportunity
for sexual contact between the Craker men and Amanda� As Ruth Scurr puts it:
“MaddAddam revisits the subject of female fertility in the brave new world of
gene splicing�” Although it is comforting to Amanda to believe her child has not
been fathered by one of the Painballers, the prospect of carrying a human-Craker
splice seems disturbing, too� Toby reasons: “What if Amanda is harbouring a baby
Craker? Is that even possible? Yes, unless they’re a diferent species altogether�
But if so, won’t it be dangerous? he Craker children are on a diferent developmental clock, they grow much faster� What if the baby gets too big, too fast, and
can’t make its way out?” (215) In broader terms, there appears the possibility of a
transgeneric hybrid, with not only consequences for the mother, but also for the
entire community of the MaddAddamites—and, more universally, for humanity�
Additionally, it soon turns out that Amanda is not the only pregnant woman in
the survivor’s camp, as there are two other females who are also carrying Craker
children� he irst one to realise she is pregnant is Ren� Just like Amanda, initially she is worried about the situation� She does not know what to expect if the
inter-species pregnancy is conirmed� Unlike Ren and Amanda, when Swit Fox
learns about her pregnancy, her reaction is much more optimistic: “‘hree’s a
company, says Swit Fox� ‘Count me in� Bun in the oven, up the spout� Farrow in
the barrow’” (Atwood 2013, 273)� Surprisingly, and not for the irst time, Swit
Fox, consciously or not, plays the gender roles she detests so much� he language
she uses to describe her pregnancy indicates this, as it is typical of the patriarchal
approach� Still, aware of the various possibilities such an unusual biological situation can bring, Swit Fox fully realises gravity of the situation as far as the future
of the MaddAddamites is concerned� his is visible in her conversation with the
still rather desperate Ren:
“Who’d bring a baby into this?” [Ren] sweeps her arm: the cobb house, the trees, the
minimalism� “Without running water? I mean…”
Women, Men and the Hope of Pregnancy/Motherhood
125
“Not sure you’ll have that option,” says Swit Fox� “In the long run� Anyway, we owe it to
the human race� Don’t you think?” (157)
For Swit the prospect of a hybrid child is both fascinating from the scientiic point
of view—she cannot hide her excitement and curiosity about the potential of the
child she is carrying—and promising as far as the survival and future existence
of the human race is concerned� She views it as a kind of a new beginning, full
of unexpected options� Consequently, the three pregnancies and their outcome
are presented as the irst manifestations of a new life that is born within the
MaddAddamite group in the post-apocalyptic world until then characterised
by destruction and death� When the deliveries eventually take place, it turns out
that four instead of just three babies are born, all of them human-Craker hybrids,
all of them total enigmas: “What…features might these children have inherited?
Will they have built-in insect repellent, or the unique vocal structures that enable
purring and Craker singing? Will they share the Craker sexual cycles?” (380) Even
though their future existence, as well as their co-existence with the representatives
of the old human race, still remains an open question with numerous alternatives,
the very fact of the births ills the survivors with hope� Janet Christie comments,
referring to the entire trilogy: “[t]he books hint at salvation and survival through
evolution”� hus, the four babies can be viewed as a transitional phase between old
humanity and its new version that will eventually emerge in the future�
Moreover, apart from helping the survivors realise that there actually is a future
for human race, regardless its inal shape, the births of the four human-Craker
children have a direct impact on the MaddAddamite community’s present situation� he newly-born children not only boost the human beings’ morale, but also
play a crucial role in cementing their group, with the essential roles of women as
mothers� he appearance of new life seems to reawaken the long-forgotten communal practices of the old world, as now there is a necessity to raise these children�
herefore, one can observe the return to the family as a social unit: “Crozier and
Ren appear united in their desire to raise Ren’s child together� Shackleton is supporting Amanda, and Ivory Bill has ofered his services as soi-disant father to
the Swit Fox twins� ‘We all have to pitch in,’ he said, ‘because this is the future
of the human race’” (Atwood 2013, 380)� he MaddAddamites seem to be aware
of the signiicant role they are to play, as their community is to serve as a birthplace for generations of human beings� his parallels Helena Michie’s statement:
“he question of responsibility is articulated through a collapsing of boundaries,
not only between mother and foetus but between mother and father” (67)� As a
consequence, the survivors’ community in which men and women decide to raise
children on equal bases is neither women’s nor men’s, and these children help
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Sławomir Kuźnicki
the human beings to realise it� Additionally, the diferences among the women
appear of minor importance now, when such grand aims are at stake� his is visible when, long ater Toby’s departure from the MaddAddamites and her reputed
suicide, Swit Fox gets pregnant for the second time� Blackbeard says: “hen Swit
Fox told us that she was pregnant again and soon there would be another baby�
…And Swit Fox said that if it was a girl baby it would be named Toby� And this
is a thing of hope” (390)� In the face of a common good, all the past animosities
become unimportant and futile� At the same time, the female role of mother is
rehabilitated� All three mothers understand how important their role is, giving
the community they belong to a chance at a new beginning�
Consequently, MaddAddam, the inal volume of Margaret Atwood’s speculative
trilogy, ofers some positive prospects for the future� his is especially visible in
reference to women’s role, whose signiicance lies in conscious participation in
building communities to which women and men can contribute on equal bases,
without any patriarchal prejudices� hese are no longer communities “…united
by their necessary oddity…”, as Nina Auerbach deines them (Atwood 2013, 32)�
Instead, both the experiences of pregnancy and motherhood enhance women’s
importance, as they are indispensable to the future of humanity� To state that
women ind self-realisation in motherhood would be an obvious overstatement,
but to link this state with their female awareness and to underline its necessity
in the process of the human beings’ survival seems justiied� In other words, Atwood appears to reformulate the ideas of the second-wave feminism that could
be summarised by Simone de Beauvoir’s opinion that “…pregnancy is above all a
drama that is acted out within the woman herself ” (512)� In a rather postfeminist
mode, Atwood understands that women are immersed in the worldly issues, and
thus, the male element has to be included in their endeavours to subvert the still
dominating legacy of patriarchy� Together, taking equal part in the matters of the
world, women and men are able to ensure the entire humankind’s future� And
this—however uncertain it may be—is some kind of hope� As Atwood herself
comments: “‘I think the pleasure [of anticipating the end of the world] is we like
to walk it through in advance, with a consciousness that’s still human� So you
can’t actually wipe out the human race and then tell a story about it’” (qtd� in
Brockes 2014)�
References
Atwood, Margaret� 2013� MaddAddam� London: Bloomsbury�
Auerbach, Nina� 1978� Communities of Women: An Idea in Fiction. Cambridge:
Harvard University Press�
Women, Men and the Hope of Pregnancy/Motherhood
127
Beauvoir, Simone de� 1986� he Second Sex, translated by H� M� Parshley� Harmondsworth: Penguin Books�
Brockes, Emma� 2013� “Margaret Atwood: ‘I Have a Big Following among the
Biogeeks�” he Guardian, August 24� Accessed August 11, 2014� http://www�
theguardian�com/books/2013/aug/24/margaret-atwood-interview�
Christie, Janet� 2013� “Interview: Margaret Atwood on her Novel MaddAddam�”
he Scotsman, August 31� Accessed August 11, 2014� http://www�scotsman�
com/lifestyle/culture/books/interview-margaret-atwood-on-her-novelmaddaddam-1-3069846�
Heer, Jeet� 2013� “Review of MaddAddam, by Margaret Atwood�” he National Post,
August 30� Accessed August 11, 2014� http://news�nationalpost�com/aterword/
book-review-maddaddam-by-margaret-atwood�
Michie, Helena� 1997� “Coninements: he Domestic in the Discourses of UpperMiddle-Class Pregnancy�” In Feminisms: An Anthology of Literary heory
and Criticism, edited by Robert R� Warhol and Diane Price Herndl, 57–69�
Houndmills: Macmillan Press Ltd�
Roberts, Michele� 2013� “Review of MaddAddam, by Margaret Atwood�” he Independent, August 16� Accessed August 11, 2014� http://www�independent�co�uk/
arts-entertainment/books/reviews/book-review-maddaddam-by-margaretatwood-8771138�html�
Scurr, Ruth� 2013� “Clear-Eyed Margaret Atwood� Review of MaddAddam, by
Margaret Atwood�” he Times Literary Supplement, August 14� Accessed
August 11, 2014� http://www�the-tls�co�uk/tls/public/article1300066�ece�
Viktoriia Yaremchuk
he Evolution of the Hero in C. S. Lewis’s
he Space Trilogy
Abstract: he article focuses on C� S� Lewis’s mythopoeic worldview presented in he Space
Trilogy (1938–1945)� he author discusses the way in which the protagonist of he Space
Trilogy evolves and she concludes that the religious symbolism of the hero’s evolution is
combined with Celtic and Greek mythological sources, hence leads to the creation of a
speciically national English quest hero�
While the complex of social, ethical, biological aspects and ideas concerning the
hero has been changing with time, his literary portrait has morphed and evolved
throughout history, becoming even more varied and multidimensional� It especially concerns the so-called “crisis periods” of human history, with the irst half
of the 20th century being one of the brightest/gloomiest examples as illustrated
by the Anglophone literary texts of the time� Apart from the classical Realist and
Modernist texts representing the ideas of decay, change, rebirth, evolution, there
is also the scope of marginal trends in the English literature of the epoch dwelling
upon and researching those ideas following the multilevel quests, ways, adventures
of their ictional worlds’ heroes, e�g� “he Inklings” and their associates, responsible
for rebirth of the Romantic tradition of the English literature in the 20th century�
C� S� Lewis, oten viewed as one of the key igures of “Christian Romanticism”,
was not only one of the most active members of this literary society but he also
developed, both theoretically and practically, the idea of the importance and even
the inevitability of myth evolution, alongside the hero evolution, which makes
its impact eternal:
he central idea of the Myth is what its believers would call “Evolution” or “Development”
or “Emergence,” just as the central idea in the myth of Adonis is Death and Re-birth�
…“Evolution” (as the Myth understands it) is the formula for all existence� To exist means
to be moving from the status of “almost zero” to the status of “almost ininity�” To those
brought up on the Myth nothing seems more normal, more natural, more plausible, than
that chaos should turn to order, death into life, ignorance into knowledge� … Another
source of strength in the Myth is what psychologists call its “ambivalence�” It gratiies
equally two opposite tendencies of the mind, the tendency to denigration and the tendency to lattery� In the Myth, everything is becoming everything else: in fact, everything
is everything else at an earlier or later stage of development–the later stages being always
the better� (Lewis 1974, 103–105)
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Viktoriia Yaremchuk
he diversity of C� S� Lewis’s oeuvre, its cultural engagements, rhetorical style, and
contributions to such phenomena as fantasy, science iction and children’s literature long predetermined the multiple directions of literary analysis as applied to
his major achievement in fantasy subgenres and Christian apologetics� His mythopoeic worldview was embodied, long before he Chronicles of Narnia, in creation
of a speciic iction fantasy world of he Space Trilogy (1938–1945), in which the
author drew heavily on medieval texts of Christian literature and philosophy,
criticized modern culture for its neglect of traditional values, articulated religious
interests and brought forward an intellectually examined religious account of the
world� he texts created throughout the period of World War II marked the evolution of the author’s oeuvre which manifested itself in shaping of the synthetic
and complex structure of mythopoeic world model with a special type of hero,
transforming in the course of the plot� For Lewis, the concept of evolution of hero
embraced every aspect of existence, from metaphysical and psychological notions
of “becoming” to his role in social, cultural, cosmic and universal “change” and
“transformation”� his has predetermined the Trilogy’s structure and mythopoeic
background�
Each part of the trilogy, written in diferent prose genre and style, follows formally the same main stages of the quest-myth (Frye 1963, 17) or the monomyth
in the maturation of an individual as identiied by the activities of imitation, the
rejection of imitated models, the discovery of new models, the testing of identity,
the reshaping of beliefs, the confrontation of death and the rebirth� In he Hero
with a housand Faces James Campbell presents the universally recurring Myth
of the Hero as a magniication of the formula of separation, initiation and return
enacted in the rites of passage: “A hero ventures forth from the world of common
day into a region of supernatural wonder; fabulous forces are there encountered
and a decisive victory is won: the hero comes back from this mysterious adventure with the power to bestow boons on his fellow men” (Campbell 2008, 30),
which also respectively corresponds to the parts of the trilogy� While the main
structural elements of the three novels are the quest motif, the myth about the
Fall, the image of the “secondary world”, it is the protagonist, the hero—Dr Elwin
Ransom—whose personage unites these works into a trilogy�
he author’s triune mythopoeic space falls into ictional Malacandra, Perelandra, hulcandra—planet-worlds that relect the stages of spiritual history of
mankind and the hero� In denomination of these planets the writer, inspired by
the example of fellow “Inkling” J� R� R� Tolkien, having a great interest in the construction of artiicial languages, outlined the vector of the story of each part of
the trilogy� While the irst chapters of the novel Out of the Silent Planet, the main
he Evolution of the Hero in C�S� Lewis’s he Space Trilogy
131
events of which take place on Mars (Malacandra, while “andra” means “planet”,
“earth”) and the plot of which is based on the confrontation of the planet, as well
as of the whole universe, with hulcandra or the Silent planet – the Earth, are
reminiscent of the classic “Wellsian” science iction novel, it is the third chapter
of the novel that changes the form in relation to the content and it now recalls
Plato’s dialogues or medieval dialogues of Soul and Body, decorated with fantastic
literary pictures of William Morris’s and George Macdonald’s type� Jared Lobdell
detected medieval pastoralism in such a manner of ictional world depiction,
constructed according to the laws of quest (Lobdell 2004)�
In the case of he Space Trilogy, the quest of the protagonist, which begins with
a light to Mars, is incorporated into a storyline of a sci-i novel; however, with a
number of scientiic and technical discrepancies in the text of the novel that were
noted by the writer’s contemporaries� he scientiic accuracy of the texts was not
the main objective of C� S� Lewis’s as he came out against the “anti-spirituality and
horror” of the novels by H� G� Wells and alike in the irst part of the trilogy, which
he also discussed in the essay On Stories� In the novel Out of the Silent Planet, Professor Ransom’s quest starts accidentally and typically for folklore quest legends
and medieval dream vision narratives: “THE LAST drops of the thundershower
had hardly ceased falling when the Pedestrian stufed his map into his pocket,
settled his pack more comfortably on his tired shoulders, and stepped out from
the shelter of a large chestnut tree into the middle of the road” (Lewis 1938, 9)�
At irst, we come across an allegorical igure of the Pedestrian, the so-called medieval Everyman who hears a certain “Call to Adventure,” using Campbell’s term�
However, soon Lewis adds up certain autobiographical features of his appearance:
He was tall, but a little round-shouldered, about thirty-ive to forty years of age, and
dressed with that particular kind of shabbiness which marks a member of the intelligentsia on a holiday� He might easily have been mistaken for a doctor or a schoolmaster
at irst sight, though he had not the man-of-the-world air of the one or the indeinable
breeziness of the other� In fact, he was a philologist, and fellow of a Cambridge college�
(Lewis 1938, 10)
as well as of his occupation which would be later a key factor in his evolution� he
commonplace concern in a simple household business along with the desire to get
acquainted with a mysterious professor living in the wilderness bring Ransom onto
a path to “he Rise”—a truly Gothic mansion—where the antagonists, Weston
and Devine, were experimenting on their space travel pursuits� his period of
hesitation before entering the mysterious household, the period of doubts in the
mind of a very self-conscious man could be easily correlated with the stage of
“Refusal of the Call”, which goes on through the phases of his being lured into the
132
Viktoriia Yaremchuk
house and into drinking a certain sedative drink so that his kidnapping should be
successful� hen the hero’s departure takes place on the “Supernatural Aid” stage,
where he’s transported by some unknown spacecrat from on planet to another� It
begins with his abduction by two pseudo-scientists–Weston and Devine, the latter
of which is depicted as Ransom’s former classmate, and the former is regarded by
the many researchers as an exaggerated satire on evolutionism of H� G� Wells, Olaf
Stapledon, J� B� S� Haldane� It’s worth mentioning the function of the proper names
in the novel: while the name Ransom (Eng� “Ransom”–“Atonement”) is a biblical
allusion to Jesus Christ, the protagonist of the novel was transported in a spaceship
to Mars (Malacandra) to be sacriiced to fantastic beings that inhabit the planet
for the two criminals to achieve their goals� During the journey Ransom sees a
prophetic dream in which something warns against aiding the other earthlings�
Weston is a Scientist igure, whose main aim is the achievement of eternity and
ininity of actions, striving for eradication of all the other living organisms and
settling the humankind in space, rendered as the right of the strong one, the wiser
one, i�e�, Lewis’s contemporary “West”: “We have learned how to jump of the speck
of matter on which our species began; ininity, and therefore perhaps eternity, is
being put into the hands of the human race� You cannot be so small-minded as to
think that the rights or the life of an individual or of a million individuals are of
the slightest importance in comparison with this” (Lewis 1938, 29)�
Another antagonist of the novel, Devine, whose surname fully corresponds to
his moral values and inclinations (devil-devine), lies to Malacandra in order to
collect more of the blood of the Sun, which is the Malacandrian phrase for “gold”�
Obviously Weston unites the images of vicious scientist of late Victorian science
iction with the Renaissance image of a magician as his creation seems to get a
life of his own�
his is a period of the hero’s greatest fear or even horror, the period of neverending nightmare, of hallucinations and feats of nervous breakdown within which
the author manages to include his philosophizing on the nature of the outer space,
clearly of the late medieval and Renaissance manner:
here was some kind of skylight immediately over his head–a square of night sky illed
with stars� …Pulsing with brightness as with some unbearable pain or pleasure, clustered
in pathless and countless multitudes, dreamlike in clarity, blazing in perfect blackness,
the stars seized all his attention, troubled him, excited him…here were planets of unbelievable majesty, and constellations undreamed of: there were celestial sapphires, rubies,
emeralds and pin-pricks of burning gold; far out on the let of the picture hung a comet,
tiny and remote: and between all and behind all, far more emphatic and palpable than it
showed on Earth, the undimensioned, enigmatic blackness� (Lewis 1938, 33)
he Evolution of the Hero in C�S� Lewis’s he Space Trilogy
133
Another autobiographic element of his hero’s journey was Lewis’s including his
own recollections on the nature of the Great War, the participant of which he was:
Ransom was by now thoroughly frightened–not with the prosaic fright that a man sufers
in a war, but with a heady, bounding kind of fear that was hardly distinguishable from
his general excitement: he was poised on a sort of emotional watershed from which, he
felt, he might at any moment pass either into delirious terror or into an ecstasy of joy�
(Lewis 1938, 25)
In his essay “he Quest Hero”, W� H� Auden claims that the real quest “means the
search for something not yet known; we can only imagine, the way it may go on
but we are going to comprehend the truth only in the end” (1962, 91)� Ransom
in the irst novel of the trilogy is a character who is not familiar with the spiritual
side of life, because, according to the author, he is a modern Cambridge scientist,
a linguist far away from the old values and morals� Apart from the hero’s enduring
a range of potent emotions, he goes on to the irst step of spiritual revelation while
ighting with the horror and the visions, the idea of spiritual beings surrounding
him everywhere even in presumably dead Space�
Only ater his arrival to an alien planet, “he Crossing of the First hreshold”
stage begins, Ransom comprehends his aim—to ind the sense of the planet existence, as well as its inhabitants and his own, his new self, as quest always “can
be dangerous; and it will change you” (Le Guin 1980, 93)� Since the light from
the spacecrat ater the arrival, through familiarity and fascination with beautiful
scenery to exploration of living intelligent beings that inhabit Malacandra, the
“hnau”–hrossa, sorns and eldils, which corresponds to the last stage of Departure, “he Belly of the Whale”, the acceptance of the loss of the original purity of
mankind, the hero transits into the Initiation phase—the perception of his way,
his spiritual, even religious quest—which will be held in all parts of the trilogy,
the hero of which survives the terrible trials to save the world or rather Worlds�
he moment of Professor’s meeting with Hyoi, one of the hrossa, the “he Road
of Trials” stage begins, depicting Swit’s efect on C� S� Lewis creativity; even linguistic means help to understand the relation: hrossa–horse–Houyhnhnm� In fact,
the creature resembles by description of a mixture of a seal, an otter and a pony:
It had a coat of thick black hair, lucid as sealskin, very short legs with webbed feet, a
broad beaver-like or ish-like tail, strong fore-limbs with webbed claws or ingers…the
slenderness and lexibility of the body suggested a giant stoat� he great round head,
heavily whiskered, was mainly responsible for the suggestion of seal; but it was higher in
the forehead than a seal’s and the mouth was smaller� (Lewis 1938, 55)
and, in spite of this, it surprises the earthling with high intelligence, the language:
“he creature, which was still steaming and shaking itself on the bank and had
134
Viktoriia Yaremchuk
obviously not seen him, opened its mouth and began to make noises� his in itself
was not remarkable; but a lifetime of linguistic study assured Ransom almost at
once that these were articulate noises� he creature was talking� It had language”
(Lewis 1938, 56)�
Elwin began to study it as well as the songs in which the memory of the race
was tangible, hiding in the village� he linguistic aspect is extremely important
in the hero’s evolution as it is his main instrument of dwelling with unknown,
of initiating his spiritual maturity� Hyoi teaches Ransom self-respect, courage,
dreaminess and explains his amazing calm with the acceptance of the fact that
without harm it would be impossible to understand happiness: “I do not think the
forest would be so bright, nor the water so warm, nor love so sweet, if there were
no danger in the lakes” (Lewis 1938, 76)� He reveals again to the human character
the truths that have always existed but became unclear on the Earth, explaining
at the same time the therapeutic functions of language and thinking cooperation:
A pleasure is full grown only when it is remembered� …What you call remembering is
the last part of the pleasure, as the crah is the last part of a poem� When you and I met,
the meeting was over very shortly, it was nothing� Now it is growing something as we
remember it� But still we know very little about it� What it will be when I remember it
as I lie down to die, what it makes in me all my days till then–that is the real meeting�
(Lewis 1938, 74)
“he Meeting with the Goddess” stage comes into efect as soon as Ransom lies
the hrossa tribe ater Hyoi’s being killed by Weston and Devine and comes into
contact with the world’s spiritual beings–the eldils, reminiscent of Tolkien’s elves,
whose main function is also to protect the beauty and the wisdom of the world�
hey can be also deined as the author’s mythopoeic embodiment of the Christian
mythology’s angels� hese ethereal beings, ruled on each planet of Lewis ictional
world by an Oyarsa—the main eldil, are designed invisible for a human eye as long
as they wish to remain this way which is explained by the level of their spiritual
perfection Ransom is yet to reach:
Body is movement� If it is at one speed, you smell something; if at another, you hear a
sound; if at another, you see a sight; if at another, you neither see nor hear nor know the
body in any way� …If movement is faster, then that which moves is more nearly in two
places at once� …Well, then, that is the thing at the top of all bodies-so fast that it is at
rest, so truly body that it has ceased being body at all� (Lewis 1938, 94)
he moment when the hero, having come into the close contact with nature and
lore, is able inally to hear an eldil, symbolizes the beginning of his spiritual maturity which goes hand in hand with never ceasing horror of the Oyarsa he is to
meet, mastering the impossibly steep rock covered with ice:
he Evolution of the Hero in C�S� Lewis’s he Space Trilogy
135
But death could be faced, and rational fear of death could be mastered� It was only the
irrational, the biological, horror of monsters that was the real diiculty: and this he faced
and came to terms with…Like many men of his own age, he rather underestimated than
overestimated his own courage; the gap between boyhood’s dreams and his actual experience of the War had been startling, and his subsequent view of his own unheroic qualities
had perhaps swung too far in the opposite direction� (Lewis 1938, 98)
He undertakes this next piece of the way in order to survive but there is this ever
resounding desire of saving the unprotected hrossa from the other earthlings
which singles him out as the Hero and he meets up with the Oyarsa, which can
be marked as “Atonement with the Father” stage of his evolution in quest� Both
spiritual and physical sufering he had already endured enabled him to apply
his linguistic talents to ind the way to communicate with the Oyarsa who gives
the hero a chance to understand the order of the universe and help to liberate
hulcandra (he Earth) from the unnamed sinful Oyarsa (Lucifer allusion),
who had closed the heavenly ether from the rest of the planets, turning Andra
into the hulcandra� hus, Malacandra, as well as Perelandra later, acts as a
locus of spiritual puriication and formation, as the result of which Ransom is
able to see: ‘…the human form with almost Malacandrian eyes’ at the scene of
the eldils’s trial of Weston and Devine for their deeds at the “Apotheosis” stage
(Lewis 1938, 124)�
he planet is a static world where three races of completely sinless creatures,
who once rejected the temptation, dwell, and their holiness remained with them
and inluenced the hero� he hero’s Return phase starts typically with the “Refusal
of the Return”� However, the hero is appealed to by the Oyarsa to be transformed
from the Pedestrian he was in the beginning into a Messenger, warning him: “You
are guilty of no evil, Ransom of hulcandra, except a little fearfulness� For that, the
journey you go on is your pain, and perhaps your cure: for you must be either mad
or brave before it is ended” (Lewis 1938, 141)� “he Magic Flight” stage shows the
hero’s way back to earth in the space crat now partially operated by the eldils in
the outer space, while the anti-heroes Weston and Devine struggle to disable the
hero’s return, he is miraculously returned on the Earth while in another prophetic
dream, which corresponds to the “Rescue from without” stage� “Crossing of the
Return hreshold” stage of the hero’s quest is the bridge between this novel and
the next part Perelandra, in the story of which the hero has a possibility to fulil
his promise on yet another planet, Venus, which he is magically transported onto
by the Oyarsa of Malacandra�
Both the second and the third parts of the trilogy follow the same basic stages of
the hero’s departure-initiation-return, though Perelandra roughly follows Ransom’s
spiritual puriication included into a literary form reminiscent of William Blake’s
136
Viktoriia Yaremchuk
polygeneric works of communicating the nature of good and evil� Perelandra is
Lewis’s “personal Avalon”, as he noted in a letter to his brother, his attempt not to
lose the Paradise; his account of the Blessed Islands, where outstanding heroes seek
refuge; and yet it is his Jerusalem, a place with which the writer tried to show man
before the Fall, and where other worlds’ sinners come to atone for their sins, among
which the writer’s main Sinner is Ransom but there are also allegoric-autobiographic
igures of “Lewis” and an anthroposopher B� (meaning obviously an “Inkling” Owen
Barield)� Ransom of this novel evolves considerably, becomes a man who believes,
but still doubts, but all the doubts are rejected ater the inal ight with the Serpent—
embodied in another familiar character, Weston—which is an allusion to Beowulf ’s
ight with a monster and, at the same time a tribute to the national myth� he doubts
as to the existence of Meldil the Younger (allusion to Jesus Christ) and the Senior
(God the Father) retreat in the Big Dance of nature, symbolizing victory over temptation and strengthening paradise on Perelandra� he successful completion of the
Ransom’s celestial mission symbolizes the triumph of light eldils on Perelandra and
leads the protagonist to the main task of his quest–hulcandra’s puriication from
sinful spirits and the installation of utopia and harmony on the Earth�
he last trilogy novel, hat Hideous Strength, according to George Orwell, “shares
his (Lewis’s) horror of modern machine civilisation and his reliance on the “eternal verities” of the Christian Church, as against scientiic materialism or nihilism”
(Orwell 1945, 250–51)� he author’s description of the N�I�C�E� (National Institute of Co-ordinated Experiments), with its private army, secret torture chambers
and its inner ring of agents ruled over by a mysterious character known as he
Head, concludes the setting of hero’s further evolution and serves as a warning
against the possible outcomes of the new theories following a horrible picture of
the humankind moral decay� Unlike the previous parts of the trilogy, the events take
place on hulcandra, the Earth, which stands on the brink–between democracy
and totalitarianism, good and evil, spirituality and scientiic-technical development� he ight takes place not in the “secondary world” but in the fantasy world’s
“primary” one� Unifying Christian and Celtic myths in this part, the author presents
a new interpretation of King-Fisherman legend, with Professor Ransom embodying the latter� Having passed the stages of inter-planet quest he turns into a new
Pendragon/Melchizedek, also living on only bread and wine, blessed by Oyarsas�
Having acquired new features of a wounded king-priest, Ransom performs as a
healer of bodies and souls, and receives the privilege to evoke the powerful force,
the core of mythopoeic Britain–Merlin�
hus, Elwin Ransom, undergoes major stages of evolution in the process of the
author’s visionary England (in Out of the Silent Planet) metamorphosis into the
he Evolution of the Hero in C�S� Lewis’s he Space Trilogy
137
pastoral utopia (in Perelandra) and then into dystopia (in hat Hideous Strength),
which can be understood as fundamental in conveying Lewis’s theological message: 1) the realistic hero experiencing and ighting against the inluence of scientiic prosperity and spiritual decay as well as general decadent atmosphere ater the
Great War; 2) the Renaissance romance hero going through the symbolic quest;
3) the archetypal hero of the Apocalypse era, a new Prophet for the distressed
mankind ater the two World Wars’ dehumanization phase�
References
Auden, W. H. 1962� “he Quest Hero�” he Texas Quarterly 9: 91–92�
Campbell, Joseph� 2008� he Hero with a housand Faces� New World Library�
Frye, Northrop� 1963� Fables of Identity: Studies in Poetic Mythology� New York:
Harbinger Books�
Le Guin, Ursula K� 1980� “From Elland to Poughkeepsie�” In he Language of the
Night: Essays on Fantasy and Science Fiction, edited by Susan Wood, 83–96�
Ultramarine Publishing�
Lewis, C. S. (1938) 1968� Out of the Silent Planet� New York: Macmillan�
Lewis, C. S. (1943) 2003� Perelandra� Simon & Schuster�
Lewis, C. S. (1945) 1996� hat Hideous Strength� Simon & Schuster�
Lewis, C. S. (1974) 2014� “he Funeral of a Great Myth�” In Christian Relections,
edited by Walter Hooper, 102–16� Wm� B� Eerdmans Publishing�
Lobdell, Jared� 2004� “he Scientiiction Novels of C� S� Lewis: Space and Time�”
In he Ransom Stories� McFarland�
Orwell, George� (1945) 1998� “he Scientist Takes Over� Review of C� S� Lewis,
hat Hideous Strength.” Manchester Evening News� Reprinted as No� 2720 (irst
half) in he Complete Works of George Orwell, edited by Peter Davison� XVII,
250–51�
Oksana Weretiuk
Indian Endurance in Andrew Suknaski’s
Poems and Allen Sapp’s Painting
Abstract: he article contains a comparative analysis of the artistic output of two
Saskatchewan-born artists, Andrew Suknaski and Allen Sapp, focused on the similarities in the way they relected upon Indian endurance in Western Canada�
he present article will show the artistic meeting of two prominent and honourable Canadian men at the point of Indian endurance� Both of them—Allan (later
Allen) Sapp and Andrew (later Andy) Suknaski—were born in the prairies of
Saskatchewan� Allen Sapp was born to his Indian parents in 1928 on Red Pheasant
Reserve, a reserve of Cree Nation that is located 33 km south of North Battleford
(West Central Saskatchewan), in an area known as Eagle Hills; Andrew (Andy)
Suknaski (1942–2012)—was born to his Polish mother and Ukrainian father on
a small homestead just outside the village of Wood Mountain, in South West
Saskatchewan, in the place where the European Second Nations deprived the
Indians of their ancestral homes and built their new homesteads (incidentally,
the newcomers were widely represented by Ukrainian and Polish peasants)� Only
450 km (a short distance in the vast territories of Canada) separated the places
of their birth� Both of them: the eldest child of some of the irst emigrants from
Eastern Europe and the orphan at the reserve (Allen’s mother died of tuberculosis
when he was young and he was raised by his grandparents)—grew up in severe
poverty� he biographical sources inform: Allen Saposkum, who later shortened
his last name to Sapp, was a sickly child who spent most of his childhood in
bed as the result of spinal meningitis� As the result of his illness, Sapp’s formal
education was limited and he could barely read or write in English (hompson
2004, 119)� Similarly, Andrew Suknaski, in the close homestead in which he grew
up he experienced only Polish and Ukrainian, and fulilling farming duties in
his childhood, compounded by a hard domestic atmosphere, did not favour his
education� Nevertheless, it seems to me that Saposkum had a happier and more
appealing childhood� Ater all, the artist states this in his autobiographical book:
“I was lucky: I was born into a loving family, whose roots gave me a strong sense
of identity” (Sapp 1996, 4)� He never learned to read or write but found refuge
and satisfaction in drawing pictures� His Nokum (grandmother) a very warm and
caring, moreover, she taught him to value his heritage and always encouraged him
140
Oksana Weretiuk
to continue his painting� She believed that one day he would become a real artist
and imparted in him this faith in his talent� Being bound by illness to his bed at
the reserve, Sapp received a more traditional education, and was taught his Cree
language1 and culture; he could speak very little English even when he became
adult� It was from his grandmother, Maggie Soonias, that Sapp developed his
sense of self, his values, his spiritual guidance, and his respect to his Cree heritage� As a child, his favourite activity was drawing and sketching� Maggie Soonias
made Sapp’s small conined world a place of traditional storytelling that aided the
development of his inherent love for drawing (hompson 2004, 119)�
Traditionally, the Cree Indians do not name a child when he or she is born�
Instead the community waits until that child does something unique or special,
or the child is in exceptional circumstances, and then gives him or her a name
to represent that habit or that event� he Red Pheasant Cree gave a real Indian
name to Sapp when he was eight years old and sufering from a childhood illness� he future artist was given his Indian name through detailed information
received during the spiritual experience of an old matriarch, his grandmother’s
sister Notookaso/Nootoka—this name was Kiskayetum� In English the name is
translated as “he perceives it�” Perhaps this name (to perceive—to become aware
of (something) through the senses, especially the sight; recognize or observe)
heralded his special powers of imagination and expression� Subsequently, the
artistic way of the self-educated artist began at the reserve� As an adult, in 1960,
seeking better living conditions for his wife and his son of-reserve, he moved to
North Battleford, to pursue a career as a professional artist� As luck would have
it, one day he met Dr A� B� Gonor� In 1966 the doctor arranged for him to be
tutored by Wynona Mulcaster, an art professor at the University of Saskatchewan
in Saskatoon� Gonor continued to work with Sapp, encouraging him to paint the
reserve life as he knew it�
Andrew Suknaski let home when he was not yet seventeen in order to study the
word and his own I� He travelled, worked across Canada and the whole world, from
England to Australia, before returning home seventeen years later, to stay� All along
he wrote as he travelled� He also acquired knowledge and skill at art institutions�
To develop his interest in visual arts, he studied at the Kootenay School of Art in
Nelson, BC and at the Montreal Museum of Fine Arts’ School of Art and Design,
receiving a diploma of Fine Arts from the Kootenay School in 1967� Moreover,
1
Cree language is the Algonquian language of the Cree, closely related to Montagnais�
Many words in English have been adopted from Algonquian languages, e�g� moccasin,
moose, and toboggan� Origin: from Canadian French Cris, abbreviation of Cristinaux,
from Algonquian kiristinō� ABBYY Lingvo 3x. Electronic Dictionary.
Indian Endurance in A� Suknaski’s Poems and A� Sapp’s Painting
141
he attended the University of Victoria, Notre Dame University in Nelson, the
University of British Columbia, and Simon Fraser University (see Sweeney 2006)�
His creative activity resulted in the production of original paintings, drawings
and carvings, but the magical power of the word fascinated him more and more�
As Kemeny Babineau, a Canadian poet, writer and essayist from Ontario noticed: “Beginning his career as a ine artist (painting, drawing, clay, wax sculpture)
Suknaski soon found he was writing haiku and pressing them into clay pots� he
writing started late but it had begun� here would be many more words to follow
and, just like in grade one, when Suknaski heard English for the irst time, he had
some catching up to do�” So we see: both began as visual painters, both possessed
special powers of imagination and expression, both were looking up to the realistic
pictures and events of their childhood and green years, but Suknaski was above
all a poet and Sapp is above all a painter� Both were recipients of many prestigious
Saskatchewan and national awards� Did they ever meet in real life? Probably no,
but they met, remaining in existence the First Nations in their creative works�
he life at the reserve was that Sapp knew best of all� It is no wonder that
Dr� Gonor recommended him painting the things he knew and remembered from
the reserve� hese Indian realities were the basic nature of his identity� Dr� Gonor
noticed this earlier than Sapp himself noticed� he artist needed his great success
on his irst show which Mulcaster and Dr� Gonor arranged in 1968, and where he
sold most of his paintings� he public response of Sapp’s pictures extending his
showings to other major Canadian and American cities as well as to England even
more strengthened his Cree I� Sapp more and more returns to his prior Indian
identity, which was partly “shortened” by him in Battleford–at any rate, in his
outward appearance, customs� As Sapp’s biographer recalls:
Moving to North Battleford, they [he and his wife] rented the upper story of a house, and
Sapp re-created himself into an image he felt would be accepted in the white culture� He
cut his hair short, and wore an ill-suiting ill coat and horn-rimmed glasses� He began to
paint� He painted simple scenes of mountains, streams, and animals and sold them for a
few dollars apiece on the street … � (hompson 2004, 119)
he beginner in visual art, Sap tried to satisfy a white culture in order to survive,
in some way to the detriment of his Cree ancestry� But ater his irst successes
Sapp
… reunited himself to his heritage, as not only the descendent of chiefs Red Pheasant
and Poundmaker, but as the grandson of Maggi Soonias� He braided his hair and again
wore boots and jeans, except when at powwows in his colourful beaded regalia� Dancing
at powwows and participating in traditional ceremonies was Sapp’s way to remain true
to himself and his grandmother’s teachings� (hompson 2004, 120)
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Oksana Weretiuk
Sapp’s paintings in realistic way reconstruct his life at the reserve� Mostly made
in acrylics, sometimes in oil, very colourful and bright, they center on family and
community� A lot of his canvases form a Child Cycle� Among them are the following: Native Child with Feather, N� D�, acrylic, 10x8 (Portrait of an aboriginal child
with braids and a feather in her hair);2 Nice Day to Play, 1983, acrylic, 10x12 (Summer scene, blue sky, four kids playing ball� here is a well in the middle ground,
and a house with three people and a dog in the background); Kid Has Two Dogs,
1981, acrylic, 24x36 (Winter, mostly grey colour scene, house and horses and dogs
in background; a dog is a habitué of Sapp’s paintings); Brother and Sister Playing,
1976, acrylic, 16x20 (Winter scene� A boy and a girl, presumably siblings, are playing outside of a house); One Boy Climbing a Tree, acrylic, 40�6x30�5; Playing hockey,
acrylic, 60x78; Lil’ Fellow Watching His Dad, 1994, acrylic, 55x85 (Winter scene, a
man cutting wood, a little boy and a dog watching); Playing Hockey at Sundown,
1995, acrylic, 60�96x60�96 (“A little bit of ice behind the house would be all that was
needed for a few children to play hockey” (Sapp 1996, 52)� An amusing sundown, a
cabin in the background, two dogs not far from the children); Two Lil’ Kids Sliding/
Boys sledging, 1993, acrylic, 40,6x50,8 (Beautiful carefree childhood! One boy is
knee-deep in snow and holding his sleigh, the second is happily sliding); Lil’ Fellows
Playing, 1990, acrylic, 40x50 (A little Indian boy with a little sled and a dog)� he
last two were chosen by UNICEF to be a part of the 1996 card series, celebrating
its itieth anniversary�3 All of them are presented from the child’s perspective�
he overwhelming majority of Sapp’s paintings relect Cree activities at Red
Pheasant� First of all, the author presents his closest people: Granny, mother, father, siblings, but also neighbours, acquaintances, friends or anybody he ever met�
For example, Springtime at Red Pheasant Reserve, 1972, acrylic, 24x18, shows his
beloved Granny, Maggie Soonias, feeding chickens in her yard� She is wearing a
red shirt, with one black, one brown, and two white chickens at her feet� here is
a forest in the background� My Grandfather Stretching a Weasel Skin, 1993, acrylic,
40�6x50�8 (A brown-grey scene� An old Indian man sitting and working in a cabin
with a hammer, stretching the skin which could be used to make clothing and
2
3
Sapp’s paintings can be found in Allen Sapp, I Head the Drums, Toronto, Bufalo:
Stoddart 1996, as well as at http://www�allensapp�com/about/the_life_and_art_of_
allen_sapp�html�
Allan Sapp’s life-long love for children and his desire to help them was recognized by
UNICEF (the only organization within the United Nation system dedicated exclusively
to the welfare of children), when, ater UNICEF’s careful selection processes for greeting card designs four of his paintings were selected: Puppis (in 1986), Nocum Coming
to Visit, Lil’ Fellows Playing, Two Lil’ Kids Sliding (all in 1996)�
Indian Endurance in A� Suknaski’s Poems and A� Sapp’s Painting
143
moccasins); Father Bringing in Groceries, 1970, acrylic, 20x16, apparently presents
his father standing at night-time in the doorway of a house� here is a sledge to
the let of him� his is a typical winter scene at Red Pheasant�
A part of Sapp’s paintings relects the Cree traditional activities: hunting, ishing,
cutting wood, gathering roots, berries, and seeds, knitting, cooking etc� Bringing
Jumping Deer Home, 1969, acrylic, 18x24, is one such canvas� It is a winter scene
with a clouded sky� A man on a horse is dragging a deer with a rope attached to
the horse towards a house on the horizon line� As the historical source informs:
Prior to signing treaty [Treaty 6, between the Queen and bands of Cree in 1876] Chief
Wuttunee (Porcupine) and his Cree band hunted and ished along the Battle River, and
as settlers moved into the Battleford region where they conducted trade� … � In 1878 the
band settled on their reserve in the Eagle Hills, where the land was good and there was
enough forest to enable them to hunt�4
Nokum Making Bannock, 1988, acrylic, 60x91 (Nokum is sitting near the ire and
making round bannock; there are few versions of this motif);5 Finished Cooking
Bannock, 1971, acrylic, 60�9x45�7 (An old woman, Sapp’s Nokum is sitting near the
ire and baking bannock); Making Beadwork, 1974, acrylic, 40�6x50�8 (A woman
sitting and doing beadwork with native motifs)–all present traditional cooking�
A great number of paintings present new activities which were cultivated at the
reserve by newcomers� It is worth mentioning that an Indian Reserve was (and
remains) a tract of land set aside under the treaty agreements for the exclusive use
of an Indian band� Band members possessed the right to live on reserve lands, but
the European colonizers tried to “civilize” Aboriginal peoples by introducing them
to agriculture, Christianity and a sedentary way of life� he reserve system was,
in fact, a government-sanctioned displacement of the First Nations� At the time
of Sapp’s childhood these changes were stable� hat is why we see Sapp’s fellow
tribesmen harvesting, cutting and drying hay, threshing, milking cows etc� Getting
the Cows a Cold Drink, 1968, Acrylic, 16x20 (Winter scene� A man holding an axe
near a small pool of water� Multiple cows surround the man); Loading Hay, 1991,
Acrylic, 12x16 (Winter scene, a man is loading hay into a hayrack with a pitchfork;
Taking Water Home, 1975, Acrylic, 24x36 (Winter scene, a man on a sleigh with
4
5
Christian hompson, Red Pheasant First Nation [in:] Encyclopedia of Saskatchewan�
Bannock, native Cree bread, made from lour and baked on a camp ire or in an oven�
In Northern America, the dish was quickly adopted by indigenous peoples ater it
was introduced by fur traders� In order to free up cooking equipment for other jobs,
the Cree and other First Nations utilized the less common technique of cooking their
bannock skewered on a stick�
144
Oksana Weretiuk
two horses and a water barrel on the back� he man is wearing a traditional red
shirt); Milking a Cow, 1968, Acrylic, 20x16 (Indoor scene� A man crouched down
milking a cow� here is a lantern hanging from the ceiling – a sign of civilization);
Men hreshing, 1970, Acrylic, 24x36 (Summer scene, blue clouded sky� Golden
ield, with a hay rack and thresher� A man is standing on top of the hay rack feeding hay into the thresher); Planting Potatoes, 1986, acrylic, 45x60 (A man working
with a hand plough pulled by a horse, an old woman (Nokum) and a child (Allen
as a child) have buckets in their hands; beautiful spring sky with clouds, Sapp is
the master in painting the sky); Paintings of Red Pheasant Reserve. Collage, 1971,
acrylic, 18x24 (A compound of small paintings surrounding a slightly larger painting, relecting everyday life at Red Pheasant)�
he Indian painter preserved in colours the traditional entertainment at the
reserve� Dance Hall at Stoney Reserve, 1969, Acrylic, 30x48 (Winter scene, Indian
people entering a dance hall) relects the traditional Indian inclination for dancing,
even on snow or in a primitive log cabin; Getting Ready to Sing, 1990, acrylic, 18x24
(Summer scene with summer dance, line of tents and tipis (Indian tents), with four
dancers standing nearby� Next to them there is a man holding a drum� In the immediate foreground there is a woman with a blue scarf sitting next to a pot hanging
over the ire); Pow Wow at the Battlefords, 1971, Acrylic, 30x48 (Summer scene,
cloudy sky with light green forest background; tipis set up from the foreground
to the background with people milling around; a woman cooking by a ire in the
foreground� A man dressed in ceremonial feathers in middle ground)� It must be
mentioned that Allen Sapp himself for a very long time (as long as his feet allowed)
continued to dance at powwows�6 he Round Dance, 1987, acrylic, 101�6x152�4
(hree men with hand drums in the foreground, dancers with joined hands in a
circle in a log cabin in the background)� he Round dance is usually held indoors
in diferent homes� Sun Dance on the reserve, 1992, acrylic, 121�9x182�8 (People
are praying, at tall centre pole (sacred) in the foreground)� Sun Dances are sacred
to the Cree� As Sapp notes, “At Sun Dance, prayers are said for all people and vows
to Manito, the Great Spirit� hose participating will fast for two days and nights,
and there is also singing and dancing” (Sapp 1996, 3)�
Allen Sapp’s paintings give us an intimate portrait of his own people and their
determination to survive� he artist strives to capture and preserve these forgotten
scenes of the Saskatchewan First Nations’ heritage for us and subsequent generations� Moreover, Sapp himself has become a testimony to Indian endurance,
showing a great ability to continue with an unpleasant and diicult situation�
6
Powwow—a North American Indian ceremony involving feasting and dancing�
Indian Endurance in A� Suknaski’s Poems and A� Sapp’s Painting
145
A white man, Suknaski, in a similar way, with the help of art, preserved the
Indian endurance in many of his poems; but his volume Wood Mountain Poems
(1976), with a portrait of an Indian on the cover, has changed the way of approaching the Aboriginal people in white Canadian literature� For a long time there have
been two traditional ways of literary presentation of Indians, or a dual pattern
of their image, named by Margaret Atwood “Victor/Victim” (Atwood 1991, 91).
he Indian-as-victim of white men (e�g� George Ryga’s play, he Ecstasy of Rita
Joe, 1967) and the Indian-as-victor of white men (e�g� E� J� Pratt’s long narrative
poem, Brébeuf and His Brethren, 1940), both were straight and monochrome and
eliminated the mixing of diferent qualities, a rich palette of colours� A new settler,
Suknaski could perceive Indian predestination, sufering and weakening, but at
the same time their great will for life, and to ight for their existence� His concern
for the First Nations and their place in Wood Mountain feature strongly in his
literary works� Like Sapp’s painting, Suknaski’s poetry is realistic, regional�
Wood Mountain Poems are based on the cultural history of this prairie region�
he adaptability of the Aboriginal People to their natural environment made
them good hunters� For several thousand years, bufalo hunting was conducted
primarily with the use of spears and atlatls, on the plains of southern Alberta and
Saskatchewan� In the new era they continued to rely primarily on nomadic bufalo
hunting� When almost all the bufaloes were killed as the result of uncontrolled
hunting by newcomers, the First Nations hunted other game� “Traditionally, the
Woodland Cree, also called Swampy Cree or Maskegon, relied for subsistence on
hunting, fowling, ishing, and collecting wild plant foods� hey preferred hunting larger game such as caribou (reindeer), moose, bear, and beaver… �”7 At the
reserves deer (as Sapp showed), elk (a large deer), wolves, coyotes, lynx (a wild
cat), rabbits, gophers, ducks and prairie chickens (as Sapp showed) were hunted
for food� hey continue the traditional way of life, based on hunting, ishing and
trapping� Very oten in Wood Mountain Poems the Indian hunters are tracking—
noiselessly, light and shrewdly, as in the following poem:
mishmish and hunter’s sons
Crawling soundlessly through grass –
Only the sound of wind
Only the song of the cricket
While mustahyah
Crushes crisp leaves and berries … Mishmish.
(Suknaski 2006, 46)
7
Cree http://www�britannica�com/topic/Cree�
146
Oksana Weretiuk
In another poem, on cold winter days the endless and white plain, formerly the
prehistoric “Indian deserted house,” uninhabited at present, not intruded on by
any sound, seems to whisper in the persona’s imagination, expressing sympathy
with the returning to their homes of the Sandia Man, one of the precursors of
Plains People,8 and voicing the inevitability of the loss:
SANDIA MAN
Silent ancestor of a people who travelled over
Northern trails beaten by mammoths and later bufalo
And then inally by one another henday
Sharing brazile tobacco with the blackfoot…9
Sandia Man. (Suknaski 2006, 70)
Both of them–Suknaski and Sapp are the documentarians of their own past� While
the Native artist is concentrated on his private “territory” and “time”, and recreates
the intimate facts of living at the Cree reserve, the regional poet combines intimate
space-time with historical deepness and latitude, which goes beyond his private
Woodmountain� He painted realistic portraits of his multicultural community,
with the Indian past and present� Dakota (Sioux), Blackfoot, Cree, Assiniboine,
Nez Percé and many other Indian tribes and people take up residence on the
pages of Suknaski’s volume� Well-known historical igures are the heroes of his
poems� he history of Sitting Bull10 and his Sioux tribe has become a recurrent
motif in such poems as: he Teton Sioux and 1879 Prairie Fire, he Sun Dance
at Wood Mountain, Poem to Sitting Bull and His Son Crowfoot, he Bitter Word.
8
9
Sandia Man, a prehistoric Indian group that is thought to date to 23,000 B�C�
he Blackfeet were the closest neighbours, rivals and enemy of the Cree� he Blackfoot
nation is made up of four tribes� hey include the Piegan, Siksika, Northern Piegan,
and Kainai or Blood Indians�
10 “Sitting Bull (c� 1834?- 90), was a chief of the Hunkpapa Sioux, whose success as a
medicine man and as a ighter against the white men made him a great leader of his
people� Sitting Bull (in Idian Tatanka Yotanka), bore the same name as his father, a
subchief� … Sitting Bull’s refusal to go to a reservation in 1876 resulted in the sending
of military force against his camp on the Little Bighorn River in Montana� housands
of warriors in the Sioux confederacy joined in the defense against the white troops�
Before the battle, Sitting Bull reported a vision of soldiers falling into the Indian camp�
It was interpreted as a portent of victory over the Army and was an inspiration to the
Indians” (he Encyclopedia Americana 1993, vol� 24, 852)� Sitting Bull led the Sioux
in the ight to retain their lands; this resulted in the massacre of Lt� Col� Custer and
his men at Little Bighorn� He went to Canada with a band of followers� In 1881 he
returned to the United States� Sitting Bull was killed by reservation police during the
Ghost Dance turmoil�
Indian Endurance in A� Suknaski’s Poems and A� Sapp’s Painting
147
hese lyric pieces of writing talk about the great chief–conined to the Standing
Rock reservation in North Dakota, Sitting Bull remained a symbol of he First
Nations opposition to the whites�
Sapp’s canvases are calm and peaceful: even in poverty his childhood was bright
and beautiful; rituals and traditions emitted the power of the eternal Cree spirit�
Suknaski’s poems blame point-blank white newcomers for the fact that local Cree,
Dakota–widely First Nations–peoples were in a cruel way displaced from their
land and forced to give up their traditional way of life� he poet speaks on this in
colloquial language, mostly in the form of an oral story, related by the descendants
of the witnesses and participants of these events, very oten of an Indian origin,
as in the following example:
In 1871 the father dies
and chietainship passes to young son joseph
who shares his father’s hospitality
toward white men –
white man later lust for gold in nearby mountains
and inally rustle nez percés’ cattle and ponies
(white bird’s unheeded warning
Becoming a bitter reality)
gold seekers and politicians twist truth
turning nez percés’ honour and name into a jingle –
the truth being
that the gold seekers are the rustlers
and of course
the great father of America gives nez percés
the usual ultimatum:
move to lapwai reserve or sufer the ensuing fate –
the bloodthirsty bluecoats (original emphasis, Nez Percés11 at Wood Mountain. (Suknaski
2006, 54)
Giving the voice to Aboriginal People, Suknaski, a white man, rewrote the history written by the newcomers (colonizers)� It is not surprising, that Tim Lilburn
deined Suknaski’s volume as “an act of courage�” He wrote:
he irst publication of Wood Mountain Poems in 1976 marked a beginning in the decolonization of the West Canadian literary imagination … � A few people hope for some
sort of alliance with a reviviied Cree nation; Suknaski himself in the ’70s might have
gone along with something like this� (Liburn 2006, 9–10)
11 Nez Percés [ˈpɜːsız; French pɛrse] (or Nez Percé) a member of a North American Indian
people of the Paciic coast, a tribe of the Sahaptin�
148
Oksana Weretiuk
Like Sapp, the poet created a work with the Sun Dance motif, the sacred custom
and ritual for local Indian tribes� he Sun Dance at Wood Mountain (1879) relects
not only the history, culture and the language of the Dakota and Cree, but it also
bares the soul of the Indian� his narrative poetry, written–as usual–in free verse,
tells a story about the tragic Sun Dance of 1879, the last dance of the starving
tribe� Just at the beginning, the entity telling the story introduces us to the events
with a sarcastic comment:
the plains cree called it the thirst dance
but the teton12 might have renamed it
the hunger dance (both original emphasis)
as they began to eat their starving ponies –
they must be praised for rebuilding� (Suknaski 2008, 62)
hen picturing the sacred ritual, he conveys experiences, ideas and emotions of
the participants of the Sun Dance in a vivid and imaginative way, more and more
becoming one of them� He not only “lives inside” the poem, but he lives inside
the dance circle, deeply imbued with the irreversibility of Indian fate:
… and wakatanka rightfully honoured
By the dance
Was still powerless in the tide of
White man’s greed
(and unable to save the sacred tatanka13)
he Sun Dance at Wood Mountain (1879). (Suknaski 2008, 63)
Such a transformation could not be observed by Canadian literary critics� Liza
Grekul, a researcher of Suknaski’s poetry, was one of the irst who took note of
this process:
As he explores First Nations history and mythology, Suknaski implicitly situates himself
as more than a sympathetic outsider – he presents himself as someone who understands
the Sioux people intimately enough to be a member of their community� By claiming
Sioux culture and language as his own, Suknaski makes a transition from the poet as
historian to the poet as shaman, a transition illustrated emphatically by “he First People”�
(Grekul 2005, 100)
In the aterword to the irst edition of Wood Mountain Poems, in many poems
of this volume, the author underlined the presence of his great “vaguely divided
guilt”: the feeling of a newcomer who has committed wrong towards the First
12 Teton [‘tiːt(ə)n] (also Teton Sioux) another term for Lakota Origin: the name in Dakota,
literally “dwellers on the prairie�”
13 tatanka: bufalo in Dakota (the author’s comment and spelling)�
Indian Endurance in A� Suknaski’s Poems and A� Sapp’s Painting
149
Nation (depriving the Indians of their ancestral homes and enclosing them on
reservations, rooting them out), as well as of having failed in an obligation towards
his own Polish-Ukrainian ethnicity� He was the irst to write in the 1970s about
European settlers’ guilt towards Aboriginal peoples� In such a way Suknaski, like
Sapp, relected Indian endurance in Western Canada: one tries to capture the spirit
of West Canadian Indians on canvas, the other, on the page�
References
ABBYY Lingvo 3x. Electronic Dictionary. Build: 14� 0�0� 715�
Atwood, Margaret. 1991� Survival. A hematic Guide to Canadian Literature� Concord, Ontario: Anansi�
Babineau, Kemeny� 2006� “A Bridge to Naridive: he Poetry of Andrew Suknaski�”
In Poetics. SA Canada� Summer No 6� Accessed October 21, 2015� http://www�
ottawater�com/poetics/poetics06/06Babineau�html�
Cree� http://www�britannica�com/topic/Cree�
he Encyclopedia Americana. 1993� Deluxe Home Edition� Complete in thirty
volumes, Vol� 24�
Grekul, Lisa� 2005� Leaving Shadows: Literature in English by Canada’s Ukrainians.
Edmonton� Alberta: he University of Alberta Press�
Liburn, Tim. 2006� “Preface�” In Wood Mountain Poems, Andrew Suknaski, 9–10�
Saskatoon: HAGIOS PRESS�
Sapp, Allen� 1996� I Head the Drums. Toronto, Bufalo: Stoddart�
Suknaski, Andrew� 2006� Wood Mountain Poems� Saskatoon: HAGIOS PRESS�
Sweeney, Shelley� 2006� “Suknaski, Andrew�” In he Encyclopedia of Saskatchewan Accessed November 10, 2014� http://esask�uregina�ca/entry/suknaski_
andrew_1942-�html�
hompson, Christian (ed�)� 2004� Saskatchewan First Nations: Lives Past and Present�
University of Regina� Canadian Plains Research Center�
hompson, Christian� 2006� “Red Pheasant First Nation�” In Encyclopedia of
Saskatchewan� Accessed October 15, 2015�http://esask�uregina�ca/entry/red_
pheasant_irst_nation�html�
Mirosława Buchholtz
Wars and (R)Evolutions: he Long Happy Life
of Hannah Höch (1889–1978)
Abstract: he article examines the works of the German Dada artist Hannah Höch, who
used the photomontage technique in art as a medium for her political and social commentary� he author discusses the way Höch’s collages and photomontages evolved in the
direction of abstract art while the artist transformed herself from a visual artist to a poet�
Introduction
Hannah Arendt (1906–1975) opened her 1963 book On Revolution with the following observation: “Wars and revolutions …have thus far determined the physiognomy of the twentieth century” (11)� he disastrous conlicts of her time led
the political theorist to probe beneath the surface� he “physiognomy” is what can
be seen, but a deep thinker does not take conlicts at their face value� She looks
back to and compares two outstanding examples of the 18th-century conlict: the
American Revolution (also known as the American War of Independence) and
the French Revolution� Her aim in sweeping across two continents and the formative decades in the history of the Western hemisphere is to deine mechanisms
of politics and to predict (as far as possible) what is still in store for people in the
modern world� Her ideas, confronted with theories of war by Panajotis Kondylis
and his antecedent Claus von Clausewitz, serve in the present article as a point of
departure and background to the study of visual narratives from the long creative
life of the relatively little known German Dada artist Hannah Höch�
1. Make Revolution, not War
he prominence Hannah Arendt gives to revolution in her book is a political
statement, and a form of credo� She admits that both war and revolution hinge
on violence, which is the reason “why wars have turned so easily into revolutions and why revolutions have shown this ominous inclination to unleash wars”
(1984, 18)� Since “violence itself is incapable of speech,” she argues further, both
war and revolution “occur outside the political realm, strictly speaking, in spite
of their enormous role in recorded history” (19)� It is “speech and articulation,”
Arendt insists, following Aristotle’s deinitions, that allow political phenomena
to transcend “mere physical visibility as well as sheer audibility” (19)� he central
152
Mirosława Buchholtz
issue addressed by Arendt is the one “most ancient of all, the one, in fact, that from
the beginning of our history has determined the very existence of politics,” that
is “the cause of freedom versus tyranny” (11)� his cause brings out diferences
between war and revolution� Whereas “the aim of revolution was, and always has
been, freedom” (11), “the aim of war was only in rare cases bound up with [this]
notion” (12)� War, perhaps the older of the two political phenomena, may bring
with it liberation, but, as Arendt argues, liberation is not identical with freedom�
Liberation “may be the condition of freedom but [it] by no means leads automatically to it” (29)� War, which is linked with the concepts of state and nation,
“poses the threat of total annihilation,” whereas revolution brings “the hope for
the emancipation of all mankind” (11)� Modern revolutions, Arendt claims, “are
not mere changes” (21), but radical new beginnings that seek to bring freedom understood as “participation in public afairs, or admission to the public realm”(32)�
Celebrating people’s “capacity for beginning” (221), for joint efort (174), and for
establishing a public space for freedom (124, 249, 255), Arendt also exposes the
limits of revolutionary impulse, which are drawn by the “fear of men, even of the
most radical and least conventional among them, of things never seen, of thoughts
never thought, of institutions never tried before” (258)�
From Arendt’s perspective, the American Revolution seems to have been more
of a success than the French Revolution because it did not jeopardize political
freedom by focusing on the “social question” and the welfare of the people (60, 75)�
he American Revolution accepted class diference, which on the whole did not
seem so exorbitant in the New World as it was in the Old, and opted for public,
rather than private, happiness (127, 255)� Arendt observes, however, that “the
absence of the social question from the American scene was, ater all, quite deceptive, and that abject and degrading misery was present everywhere in the form of
slavery and Negro labour” (70)� Both revolutions failed to create a lasting space for
debate and concerted efort (258), and this lost opportunity was followed by the
“failure of post-revolutionary thought to remember the revolutionary spirit and
to understand it conceptually” (232)� “Popular councils”—“a new public space for
freedom which was constituted and organized during the course of the revolution
itself ”—came to be viewed as “nothing more than essentially temporary organs
in the revolutionary struggle for liberation” (249)� Arendt, who clearly privileges
public happiness and involvement of the people in political action–objects to the
parliamentary system, for its “approach to the people [which] is from without and
from above”(248)� Parliamentary democracy reduces the people’s involvement to
voting, which is mere supporting, “while action remain[s] the prerogative of government” (271)� Arendt points to the council system as the form of government
that is best suited to the revolutionary ideal, though its task is to reconcile two
Wars and (R)Evolutions
153
contradictory endeavours: the one “of devising the new form of government” and
the other of providing “the stability and durability of the new structure” (223)� She
thus describes this ideal when referring to Jeferson’s comparable ward system1
If the ultimate end of revolution was freedom and the constitution of a public space
where freedom could appear, the constitutio libertatis, then the elementary republics of
the wards, the only tangible place where everyone could be free, actually were the end of
the great republic whose chief purpose in domestic afairs should have been to provide
the people with such places of freedom and to protect them� he basic assumption of the
ward system, whether Jeferson knew it or not, was that no one could be called happy
without his share in public happiness, that no one could be called free with- out his experience in public freedom, and that no one could be called either happy or free without
participating, and having a share, in public power� (255)
At no point in her book does Hannah Arendt mention the famous theoretical
study by Carl von Clausewitz, whose very title, On War (1832), parallels her own
efort to pinpoint political mechanisms of revolution� he respective historical and
political contexts of the two studies probably explain Arendt’s reticence� In the
post-WWII times, von Clausewitz seemed to stand for Prussian militarism, though
he died in 1831 and thus did not live long enough to witness German uniication
and rise to power later in the 19th century� he observations gathered in his book
are based on his military career in the Prussian army during the Napoleonic Wars�
However, his massive study has since its publication been put to a number of uses
by a wide readership that includes Karl Marx, Friedrich Engels, Vladimir Lenin,
Leon Trotsky, Mao Zedong, Dwight Eisenhower, George Patton, and many others�
His book served as a manual for practicing politicians at a time when Arendt,
still pondering the disaster of the recent global wars, hoped for interventions of
educated people (and not just “masses”) to create a space of freedom, rather than
merely waiting for liberation granted by political powers� he turn of the 1950s and
60s witnessed the escalation of the Cold War, and bifurcation of intellectual and
military reactions� In 1961, when Arendt was working on her book, the Clausewitz
Society was established in Berlin as “an independent, non partisan and non-proit
organization�” Fity years later its 1,000 members include mostly “oicers, active,
retired and reserve; increasingly also personalities professionally active in politics,
advanced study, economy and the media” (Olshausen 2014, 9)� he military and
the intellectual worlds still remain separate�
1
Wards were “small republics” through which “every man in the State” could become
“an acting member of the Common government, transacting in person a great portion of its rights and duties, subordinate indeed, yet important, and entirely within his
competence” (Arendt 1984, 253)�
154
Mirosława Buchholtz
Clausewitz did not live long enough to revise his text� Even von Clausewitz
scholars admit that “wading through” the volume is diicult (Holmes 2010, 1),
but, as they insist, it is worth the trouble� Exhibiting unprecedented depth of
military thinking, the book contains, as Holmes asserts “gems hidden deep inside
the detail” (2)� Uninished as the volume is, it has given rise to a variety of (mis)
interpretations� For example, von Clausewitz has been associated with the concept
of the total war, even though he actually never used this phrase� It is still debated
whether or not he was a paciist� As Christopher Bassford (2016) points out in
his summary, von Clausewitz distinguishes the following three aspects of war
“1) primordial violence, hatred, and enmity, which are to be regarded as a blind
natural force; 2) the play of chance and probability, within which the creative spirit
is free to roam; and 3) its element of subordination, as an instrument of policy,
which makes it subject to pure reason”� Bassford ofers a number of visual metaphors to illustrate the interplay of passion, reason, and chance in a given political
entity involved in war� His (as he insists, idiosyncratic) “ordering of some other
Clausewitzian concepts under the categories of the Trinity” captured in Fig� 12
is of particular interest� Grouping von Clausewitz’s concepts under the rubrics of
“Violent emotion,” “Chance and probability,” and “Rational Calculation,” Bassford pinpoints such tensions in conceptualizations of war as: the interplay of art
and science, or moral forces and operational concepts� He juxtaposes real war
and absolute or ideal war� He points to the interrelation of political and military
objectives,2 “the inherently greater strength of the defensive form of warfare”, and
war’s fundamental location in the social realm�
Von Clausewitz’s book had been viewed primarily as a military manual until in
1988 one of his most insightful readers Panajotis Kondylis efected what Christoph
von Wolzogen calls an interpretive revolution (1992, 35)� First of all, Kondylis distinguishes between von Clausewitz’s descriptive approach and the normative intent
attributed to him by his critics� Second, following in von Clausewitz’s footsteps,
Kondylis observes that a human society can neither live in a permanent state of war
without falling to pieces nor avoid conlict altogether (Horst et al� 2015, 83)� hird,
Kondylis argues that von Clausewitz does not valorise Politik (and this German
concept subsumes both “policy” and “politics”), while condemning war, but sees
2
He is best remembered for his saying “Der Krieg ist eine bloße Fortsetzung der Politik
mit anderen Mitteln” (“War is a mere continuation of policy with other means”)� For a
discussion of this claim and its mistranslation see James R� Holmes’s “Everything you
Know about Clausewitz is Wrong� he Diplomat November 12, 2014� http://thediplomat�
com/2014/11/everything-you-know-about-clausewitz-is-wrong/�
Wars and (R)Evolutions
155
both as subcategories of conlict� Unlike his predecessors who studied On War in
search of advice on military expediency, Kondylis celebrates von Clausewitz’s book
as a theory whose universality depends on its sound anthropological foundation
(Horst et al� 2015, 89)� From Kondylis’s perspective, On War is universal not only
in the sense that it applies to diferent wars fought in diferent times and places, but
also in the sense of covering social phenomena other than war�
2. Unterdada
he Dada movement sprang up in Zurich in 1916 as a reaction to the horrors of
the First World War� It soon spread across Europe� Dada communities emerged
in European capitals, including Paris and Berlin� he Dada Club was established
in Berlin in 1918 and included such artists as George Grosz, Kurt Schwitters, Max
Ernst, John Heartield, Raoul Hausmann, Richard Huelsenbeck, and Johannes
Baader� In 1920 the group organized the First International Dada Fair in Berlin� he
architect Johannes Baader was the self-appointed leader of the movement� He called
himself “Oberdada” (“Overdada”), apart from using other high-lown and wildly
exaggerated names (e�g� “Präsident des Erdballs”–President of the Globe)� He also
assigned “Dada” names to his companions� For example, Hausmann was “Dadasoph,”
Huelsenbeck–“Weltdada” (world dada), and Grosz–“Propagandadamarschall”
(marshal of propaganda) (Baader 1977, 75)� he military nickname, such as marshal, is signiicant� It sounds comic (quite intentionally), but it also (quite seriously)
indicates that the war waged by artists is not over yet� Berlin Dadaists became
involved in the social and political turmoil of their time, including the German
Revolution (Spartacist Uprising) of 1919, and that not only through their subversive
and iconoclastic art, but also by means of direct political activism�
When listing his companions, Baader does not mention Hannah Höch, who
was the only woman among Berlin Dadaists, but he occasionally mentions her by
her Dadaist name: “Dadasophin�” A collection of his writings includes “Liebesbriefe des Oberdada an die Dadasophin” (Love Letters of Oberdada to Dadasophin)� Composed of Baader’s typical witticisms and disconnected words and
phrases, they are not traditional love letters that would be comprehensible to the
third party (interceptor) (Baader 1977, 74–75)� he strange cryptic missive proves
that Baader was very much aware of her presence among Dadaists and her intellectual capacity to understand� he name “Dadasophin” is not an unequivocal
homage to her wisdom� She was no doubt exceptional, but from other Berlin Dadaists’ macho point of view, she was irst and foremost Hausmann or Dadasoph’s
lover� hus she was not a “Dadasophin” by virtue of her own perspicacity, but
because of her association with a male Dada artist called “Dadasoph�”
156
Mirosława Buchholtz
Until recently Hannah Höch was largely overlooked by traditional art history,
even though she igured prominently in the Dada movement of the 1920s� It has
been argued that she was admired by her contemporaries, such as George Grosz,
heo van Doesburg, and Kurt Schwitters (Whitechapel Gallery Website3)� According to a diferent account, however, Grosz and Helmut Herzfeld neglected her
work, and sought to exclude it from he First International Dada Fair that took
place in Berlin in the summer of 1920� She was allowed to participate only when
her partner Raoul Hausmann, who was a major igure in the group, threatened
to withdraw (Fig� 1)� heir tempestuous relationship, which had begun in 1915
ended seven years later�
Fig. 1: Raoul Hausmann and Hannah Höch at the opening of the First International Dada
Fair held at the Otto Burchard Gallery, Berlin, June 30, 1920. Höch’s photomontage
Cut with the Kitchen Knife igures prominently on the let. Photograph by Robert
Sennecke (http://www.dadart.com/dadaism/dada/022-dada-berlin.html)
3
http://www�whitechapelgallery�org/about/press/hannah-hoch/, Accessed January 7,
2016�
Wars and (R)Evolutions
157
Male Dadaists opposed Höch for a number of reasons� First of all, they objected to
her conventional training in the applied arts� From 1912 to 1914 she had studied
glass design in the School of Applied Arts in Berlin-Charlottenburg� When the
Great War broke out, the school closed and Höch returned to native town Gotha,
where she worked for the Red Cross� Since 1915 Höch continued her studies in
Berlin, this time focusing on graphic arts at the School of the Royal Museum of
Applied Arts, which, following Kaiser Wilhelm II’s abdication in 1918, had to be
renamed as the State Museum of Applied Arts (National Gallery of Art Website,
Washington, D� C�4)�
Another reason for the male colleagues’ contempt was Höch’s involvement in
commercial illustration� From 1916 to 1926, she worked for the Berlin magazine
and newspaper publisher—the Ullstein Verlag� She designed patterns for housewives’ knitting, crocheting, and embroidering, which appeared in such women’s
periodicals as Die Dame and Die praktische Berlinerin� Many undervalued her
work simply because she was a woman (Dillon 2014)� Few male artists of the
1920s were willing to accept and appreciate the work of a female colleague� In
other words, Höch faced as an artist not only the dilemmas of post-war Europe and
more speciically of the Weimar-era in Germany (which afected representatives
of both sexes), but also the misogyny that was evident even among the apparently
open-minded community of Dada-artists�
Berlin Dadaists seemed to have created what Hannah Arendt hailed some four
decades later in an entirely diferent context as the council system� he “ultimate
end” of their revolution, which followed the Great War, “was freedom and the
constitution of a public space where freedom could appear�” he Dada Club in
Berlin established the place where if not everyone, then at least the Club members could be free and where “no one could be called happy without his share in
public happiness, that no one could be called free without his experience in public
freedom, and that no one could be called either happy or free without participating, and having a share, in public power” (Arendt 1984, 255)� Arendt does not
make much of gender identity and accepts the fact that the American Founding
Fathers were men�5 To Höch, however, gender identity became an important issue that paralleled, or at times crossed, the aims of her male colleagues� Like all
councils set up in the wake of revolutionary endeavours studied by Arendt, the
4
5
http://www�nga�gov/exhibitions/2006/dada/artists/hoch�shtm� Accesssed February 16,
2016�
Recent research shows that there were bright and powerful women behind the American Founding Father, e�g� Abigail Adams� See Diane Jacobs, Dear Abigail: he Intimate
Lives and Revolutionary Ideas of Abigail Adams and Her Two Remarkable Sisters (2014)�
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Mirosława Buchholtz
Dada Club was short-lived, and fraught from the beginning with inescapable
internal conlicts�6 In view of the history of Höch’s involvement in the Dadaist
movement in Berlin, I would like to claim for her the title of the “Unterdada”
(Underdada or inferior dada), who nevertheless exempliies Arendt’s ideal of
bottom-up revolutionary efort�
3. Violence
he Great War shattered Höch’s small-town bourgeois complacency and shaped
her political consciousness� he Dada movement she joined in Berlin made political involvement both possible and meaningful� Exposing the inadequacy of
traditional art’s attempt to represent reality, Dadaists sought to relect the chaos
of the post-war times in their anti-art inventions that highlighted the nonsensical
fragmentation of reality� he foundational myth of Höch’s art was her claim that
she and Hausmann discovered the photomontage in the summer of 1918 when
they were on vacation at the Baltic Sea7� hey found inspiration in “the cut-andpaste images that soldiers on the front sent to their families” (National Gallery of
Art Website)� Photomontage was indeed a ground-breaking discovery for Höch,
who remained faithful to this technique throughout her life� It was a particularly useful medium for her political and social commentary in the 1920s� While
other Dadaists also availed themselves of this medium to comment on politics,
Höch gave her photomontages a self-relexive, provocative twist by occasionally
“incorporat[ing] lace and handiwork patterns into her montages, thus combining the traditional language of women’s crats with that of modern mass culture”
(National Gallery of Art Website)�
Her famous Cut with the Kitchen Knife Dada hrough the Last Weimar BeerBelly Cultural Epoch of Germany (Fig� 2), which she exhibited in 1920, is both
womanly and unwomanly� It is panoramic like a strategist’s map� It contains no
lace or other handiwork that would immediately tie it to the feminine sphere� It
abounds in images of cogwheels and other machine parts that appear huge in
comparison with human igures� hese images, apart from the obvious industrial
connotations, suggest—because of their shape—the perfection of a circle, and the
concept of the wheel of fortune� Male igures seem to outnumber the female ones,
but this count is deceptive as Höch makes fun of gender identity by frequently
6
7
heir inescapability is a lesson learned from von Clausewitz and mediated by Kondylis�
It was a isher village on the island of Usedom� hey saw the image of a grenadier on
which their host had pasted his own photographic portrait (Zui 2008, 114)�
Wars and (R)Evolutions
159
pasting stern male heads on top of frail or frivolous female bodies (or the other
way around)� Women’s presence in the artwork may well be camoulaged, but
the centrepiece of the photomontage is the dancing body juggling the head of
the outstanding German artist, realist and expressionist Käthe Kollwitz� One
may argue that female igures zigzag through the photomontage (and history)
from top to bottom� he title of the piece draws the viewer’s attention to the
technique and literally to the instrument used to make the artistic statement�
Words do appear occasionally, but they are used sparingly, whereas images in
their ambiguous, apparently nonsensical topsy-turviness are allowed to say much
more� he opening phrase of the title, “Cut with the Kitchen Knife” deines the
tool and the artist’s sphere of activity� he rebel with a knife comes from the
kitchen� Her utensil may be a deadly weapon, even though it is primarily used
to prepare meals�
Fig. 2: Hannah Höch, Cut with the Kitchen Knife Dada hrough the Last Weimar BeerBelly Cultural Epoch of Germany, collage, mixed media, 1919–1920 (http://www.
dadart.com/dadaism/dada/022-dada-berlin.html)
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Mirosława Buchholtz
he photomontage has been discussed lately on the internet by Beth Harris and
Steven Zucker (2015), who see it as a map of political and cultural life in the postwar Germany� hey distinguish four rectangular sections, and ofer a name for
each of them� Beginning with the upper-let corner and proceeding clockwise,
they view the sections as “Dada Propaganda,” “Anti-Dadaists,” “Dada World,”
and “Dada Persuasion�” hese names no doubt simplify the analysis and need not
be entirely adequate, but what matters, from artistic and conceptual standpoint,
is—as I would like to add—the diagonal opposition of two “dense” sections in the
upper-right and lower let corners, and the link between the lighter, freer “Dada
Propaganda” and “Dada World”� he disigurement of the empowered men (e�g�
Kaiser Wilhelm II, whose face is decorated with legs in lieu of moustache, and
General Hindenburg, who has the body of a belly dancer) testiies to strong emotion, but as in von Clausewitz’s conlicts (whether military or political), Höch’s
emotion is coupled with rational calculation (there is some order in chaos) and
chance/probability (connected with her use of clippings, which convey associations beyond what meets the eye)�
he woman’s revolution in response to (state)men’s war, takes place in the
private space of the kitchen� Whereas the war is threatening, the woman’s revolution brings hope for freedom, if none other, then at least freedom of expression�
Höch shows but she does not take sides with either of the political stances in the
post-war Germany: her sarcasm is just as scathing towards representatives of the
falling monarchy and of the rising communism� Speaking in public about personal feelings brings with it a sense of empowerment, but Höch—as well as other
Dadaists in Berlin– was aware of the political limitations of their art of protest�
“Ask[ing] themselves ‘What is the bourgeois?’” they “‘made the sad discovery
that we were all bourgeois,’ which kept the group from the Communist ailiation
of their Surrealist successors” (Jacques 2014)� he bourgeois artists of the Dada
movement did not understand “the masses,” any better than Hannah Arendt understood them a few decades later� Käthe Kollwitz did understand them, however,
and made artistic statements on their behalf� Perhaps this is the reason why she
is the pivot of Höch’s panorama�
he photomontage was too fragile to travel from Berlin to the irst Höch retrospective in Britain organized at the Whitechapel Gallery in 2014� Nearly one
hundred years before this “canonization” of Höch, her art was fragile in the metaphorical sense: her political statements did not have much weight in political
debates of her time, and her position was further complicated by her status as a
woman and a bourgeois artist� In 1920 she joined the radical letist November
Group and participated in their exhibitions throughout the decade, but her own
artistic aims and means were evolving in a diferent direction�
Wars and (R)Evolutions
161
4. Freedom
In the 1920s Höch became the epitome of the “New Woman�” She bobbed her hair,
she worked and thus enjoyed some inancial independence, she had the newly
acquired right to vote, and she felt free to live her life as she saw it� She was soon
done with men in both art and life� Her photomontages began to focus on the
lives of women as she embarked on a nine-year-long lesbian relationship with
the Dutch writer Til Brugman� Juliet Jacques looks at two portraits of Hannah
Höch dated 1926 and 1929, and claims that although the artist looks “like the New
Woman, with her short hair and androgynous dress,” she is “far from satisied,
let alone liberated” (2014)� It is worth pondering the issue of Höch’s freedom and
liberation in the context of Hannah Arendt’s claim that liberation is not identical with freedom� he former comes from the outside, and the latter—from the
inside� From this perspective, one may argue, in response to Jacques’s intuition,
that Höch’s (alleged) doubt about her liberation did not prevent her from seeking
freedom of expression on women’s behalf�
he New Woman was a reader of the mass press, “which became a venue for the
expression of desires and anxieties associated with women’s rapidly transforming
identities” (National Gallery of Art Website)� Popular magazines belonged to the
main sources of the clippings that Höch used in her photomontages� She seemed
to endorse the cultural standards the mass media promulgated, but the playful
distortion of the givens, ranging from benign humour to scathing satire, brought
into her art the element of critique, questioning, and subversion�
Fig. 3: Hannah Höch, he Bride, collage, mixed media, 1933 http://artandwomenfa2011.
blogspot.com/2011/12/quiet-girl-with-big-voice-hannah-hoch.html
162
Mirosława Buchholtz
he Bride (Fig� 3) is one out of many photomontages by Höch which look back
to the tradition of female portrait� heir strangeness derives from reassembling
of portrait fragments that belong to diferent contexts and conceptualizations of
feminine beauty� he result of startling juxtapositions is disquieting� Although
he Bride is a two-dimensional piece of work, Höch achieves dynamism by
juxtaposing the disparate angles of the long neck (proile), the eyes with the nose
(en face) and the mouth (three-quarter proile)� hese belong in addition to three
diferent women of diferent cultural backgrounds� he Negroid upper part of
the face contrasts with the overlong snow-white neck� he prominent mouth
in between is black but the skin around it is pink, which means that the mouth
belongs neither to the face above nor to the neck below� he pasted mouth(piece)
is thus an elaborate muzzle� he motif of covered mouth is also present in other
photomontages by Höch which thematise the silencing of a woman�8 he greater
part of the portrait is taken up by the elaborate headdress and veil, which deine
the woman’s role�
he message of the piece is far from straightforward� Is the woman white or
black? What makes her white or black? Is the woman beautiful? Is she ugly? What
makes her ugly or beautiful? What does it mean for her to be a bride? What makes
her a bride if the bridegroom is so obviously absent? From today’s perspective
the conlation of gender and race issues points to the juxtaposition of white male
privilege and black female lack of it, but at the time when Höch created this and
other photomontages, the dividing lines ran elsewhere; “the racial ideology…prevailed almost everywhere in the Western world in the 1920s and…would become
Germany’s oicial ideology under the Nazis” (Weitz 2007, 291)� In this and other
photomontages Höch parodies the fascination of white Europeans (both men and
women) with “uncivilized” people� At the same time she exposes the violent manner of maintaining gender roles� Men are absent in the photomontage, and the real
issue for Höch seems to be whether women fashion themselves to defy or to buy
into the existing patriarchal system, which ruthlessly imposes absurd standards of
feminine beauty (e�g� overlong neck and oversized mouth)� In he Bride and other
photomontages built out of female portraits, Höch exposes violence experienced
8
I discussed Half Breed (1924) and Indian Female Dancer (1930) in “Disigurement and
Defacement in (Post)World-War-I Art: Francis Derwent Wood, Anna Coleman Ladd,
Hannah Hoch, and Kader Attia�” World War I from Local Perspectives: History, Literature and Visual Arts, eds� Mirosława Buchholtz and Grzegorz Koneczniak� Frankfurt
am Main: Peter Lang Verlag, 2015� 185–207�
Wars and (R)Evolutions
163
by women� Making women aware of symbolic violence9 was the irst step towards
rendering them free�
Announcing the exhibition at the Whitechapel Gallery, he Guardian presented
“Artist Hannah Höch” as “armed and dangerous,” and as “the woman who took a
kitchen knife to misogyny�”10 hat indeed she did� No wonder that the Nazis had
declared her works degenerate (“entartet”), excluding her from artistic circles� She
was one of the few artists who stayed near Berlin from 1936 to 1945, choosing
inner emigration� During World War II, the rebel was once again relegated to the
kitchen�
5. Happiness
he visual message of her works became less and less overt as she gravitated
from the political to the mock-ethnographic sphere� he motif of a beautiful or
seductive mouth pasted onto the face of a tormented woman was prophetically
autobiographical� Until the end of her life Höch was seen as the Dadaist Muse of
the 1920s� Her subsequent work in the remaining ity years of her life was just
an appendix to her early Dadaist photomontages� In popular books on art, she is
viewed irst and foremost as a Dadaist� Only one short sentence and in it only one
epithet “poetic” is used to describe her post-World War II work in Meisterwerke
der Kunst. Malerei von A-Z (1994, 329)� In Jahrhunderte der Kunst (vol� 7) Höch
is mentioned merely as Hausmann’s companion (Zui 2008, 114)� Juliet Jacques
writes a little more when reviewing the exhibition at the Whitechapel Gallery� She
claims that “he collection of post-war works in Gallery 8 shows how Höch irst
borrowed elements of Dalí or Magritte’s Surrealism, and then turned towards a
more abstract style, in her ‘Fantastic Art’ which explored the ‘tension…between
the world of ideas and the real world’”� Jacques does not ind this part of Höch’s
artistic activity particularly successful� Her collages, the critic observes, become
more colourful than her Dadaist montages (which is also true about Little Sun,
Fig� 4), but—as Jacques hastens to add—they “become repetitive, being most
successful when Höch revisits her inter-war social concerns”�
9 his concept appeared decades later in the works of Pierre Bourdieu�
10 January 9, 2014� http://www�theguardian�com/artanddesign/gallery/2014/jan/09/
hannah-hoch-cutting-edge-art-whitechapel� Accesed March 3, 2016�
164
Mirosława Buchholtz
Fig. 4: Hannah Höch, Little Sun, collage, 1969. http://www.theguardian.com/
artanddesign/2014/jan/09/hannah-hoch-art-punk-whitechapel
In contrast to Cut with the Kitchen Knife, which contains more topical details than
can be grasped all at once, Little Sun, though brighter and at least on the face of it
more serene, is almost austere in its use of elements� It seems apolitical� It seems
to leave aside the question of gender equality or inequality� It juxtaposes elements
of nature (a bird’s eye and a woman’s open mouth) with geometrical forms that
also connote natural environment (the sun, leaves of grass, the horizon, sandy
background)� he red strip in the upper-right corner seems metadiscursive, as
if it were a means of attaching the image to its place, or ixing it� he contiguity
of the animal eye and the open mouth, as if they belonged to one sunny face,
makes the viewer think of the open mouth with two rows of white teeth as an
apt symbol of a predator� hese teeth can bite� Unlike other images of women,
including he Bride, Little Sun features a mouth that is not a muzzle blocking
speech and self-defence� he little sun only seems to be sweet and innocuous� he
iery leaves of grass between the sun and the viewer threaten the latter rather than
the former� And yet, viewers seem to overlook the rebelliousness of this collage�
Its bright colours imitate (or mock) happy complacency� It looks “pretty” rather
than revolutionary, and hence has provoked very few comments� What is more,
it seems to be a prime illustration of the claim that Höch traded public happiness
of political participation (which Hannah Arendt eulogized) for private happiness
of the artist’s personal freedom to choose messages and means of expression according to her own wish�
Wars and (R)Evolutions
165
6. Evolution / Endurance
Höch’s evolution as an artist has not been studied in detail� Art historians who
acknowledge her role in the Dadaist movement have become used to remarking
ruefully on the loss in the post-WWII era of the talent and revolutionary impetus
typical of her early works� Her collages and photomontages evolved in the direction of abstract art, which meant private rather than public (i�e� straightforward)
message� he visual artist who seems to have dissipated the “treasure of revolution” eventually became a poet� his may have been the price of survival, especially
in the Nazi times� Höch survived and evolved as an artist, but she endured merely
as a fossil of the short-lived Dadaist revolution of the 1910s and 20s�
In the inal pages of her study on revolution, Hannah Arendt bewails the loss
of “the spirit of revolution—a new spirit and the spirit of beginning something
new [which] failed to ind its appropriate institution� here is nothing,” she announces, “that could compensate for this failure or prevent it from becoming
inal, except memory and recollection” (1984, 280)� Such “compensating” is, as
Arendt argues, the task of poets� Höch may have become a poet precisely for this
reason: to store memories of past wars and revolutions, which were (and are) both
inescapable and temporary�
References
Arendt, Hannah� (1963) 1984� On Revolution� Harmondsworth: Penguin Books�
Bassford, Christopher� (2005) 2016� “Tip-Toe through the Trinity: he Strange
Persistence of Trinitarian Warfare�” http://www�clausewitz�com/mobile/
trinity8�htm�
Dillon, Brian� 2014� “Hannah Höch: art’s original punk�” he Guardian, January
9� Accessed March 3, 2016� http://www�theguardian�com/artanddesign/2014/
jan/09/hannah-hoch-art-punk-whitechapel�
Harris, Beth, and Steven Zucker� 2015� “Hannah Höch, Cut with the Kitchen
Knife Dada hrough the Last Weimar Beer-Belly Cultural Epoch of Germany,”
Smarthistory, November 25� Accessed March 1, 2016� http://smarthistory�org/
hannah-hoch-cut-with-the-kitchen-knife-dada-through-the-last-weimarbeer-belly-cultural-epoch-of-germany/�
Holmes, Andrew� 2010� Carl von Clausewitz’s On War: A Modern-Day Interpretation of a Strategy Classic� Oxford: Ininite Ideas�
Horst, Falk, Konstantin Verykios, and Lech Zieliński� 2015� “Obserwacja rzeczywistości a tworzenie teorii w myśli Panajotisa Kondylisa�” Studia z historii ilozoii
3�2� Accessed March 15, 2016 arhttp://dx�doi�org/10�12775/szhf�2015�032�
166
Mirosława Buchholtz
Jacques, Juliet� 2014� “he New Woman: Berlin’s feminist, Dadaist pioneer Hannah
Höch�” New Statesman, January 18� Accessed March 10, 2016� http://www�
newstatesman�com/juliet-jacques/2014/01/new-woman-berlins-feministdadaist-pioneer-hannah-h%C3%B6ch�
Kondylis, Panajotis� 1988� heorie des Krieges. Clausewitz-Marx-Engels-Lenin�
Klett-Cotta-Verlag, Stuttgart� Meisterwerke der Kunst. Malerei von A-Z� 1994�
Chur: Isis Verlag�
Olshausen, Klaus� “A Golden Anniversary with Bright Prospects for the Future�”
In Clausewitz Goes Global: Carl von Clausewitz in the 21st Century, edited by
Reiner Pommerin, 9–10� Berlin: Carola Hartmann Miles-Verlag�
Pommerin, Reiner� (ed�) (2011) 2014� Clausewitz Goes Global: Carl von Clausewitz
in the 21st Century� Berlin: Carola Hartmann Miles-Verlag�
Weitz, Eric D� 2007� Weimar Germany: Promise and Tragedy� Princeton and Oxford:
Princeton University Press�
Wolzogen, Christoph von� 1992� “Phänomenologie des Krieges� Zu Panajotis Kondylis’ Clausewitz-Studie�” Neue Zürcher Zeitung 15�1:35� Accessed March 10,
2016� http://www�kondylis�net/rezensionen/wolzogen�pdf�
Zui, Stefano� (ed�) (2005) 2008� Jahrhunderte der Kunst 7� Vol� 7� Trans Irmengard
Gabler and Karl Pichler� Berlin: Parthas Verlag�
Agnieszka Kallaus
From a Sufering Victim to the ‘Final Girl’:
Evolution of he Concept of the Gaze in Slasher
Films: Psycho and he Silence of the Lambs
Abstract: he article shows the evolution of the concept of the gaze from the male-oriented perspective in two selected ilms� he analysis demonstrates how the presentation
of masculinity and femininity in classic and modern slasher ilms afects the complexity
of the spectator’s position, which relects the transformation of sex and gender categories
in modern culture�
Introduction
he concept of the “male gaze”1 was irst introduced by a feminist critic Laura
Mulvey, in her ground-breaking essay “Visual Pleasure and Narrative Cinema”
(1975), where she applied Freud’s notion of scopophilia, the pleasure of looking,
to the relationship between the spectator and the onscreen image in the classic
cinema of the 1940s and 1950s� Mulvey argues that there are three ways of looking
at a woman: the camera, the male characters gazing at women in the ilm and the
male spectators watching the movie� She maintains that the woman is a passive
object of the man’s desirable look, which is active� According to Mulvey, man’s
and woman’s roles in ilm are determined by the two modes of pleasurable looking, voyeurism and fetishism� Voyeurism involves a controlling gaze and has associations with sadism: “pleasure lies in ascertaining guilt…asserting control and
subjecting the guilty person through punishment or forgiveness” (Mulvey 1999,
840)� Fetishism, by contrast, involves the “substitution of a fetish object or turning
1
he “classic gaze theory” and its modern interpretations were discussed at length by the
author in the articles “Classic Gaze heory and Its Modiications in Modern Cinema:
Eyes Wide Shut (1999), he Hours (2002) and A Single Man (2009)�” In he Subcarpathian Studies in English Language, Literature and Culture, Volume 2 Literature and Culture,
edited by Małgorzata Martynuska, Barbara Niedziela, Elżbieta Rokosz-Piejko� 141–152�
Rzeszów: Wydawnictwo Uniwersytetu Rzeszowskiego, 2014 and “Voyeurism in Alfred
Hitchcock’s Films and Its Impact on Modern Cinema: Rear Window and Manhattan
Murder Mystery�” In Podkarpackie Forum Filologiczne, Seria: Literatura i Kultura, edited
by Lucyna Wille and Maria Malinowska� 19–30� Jarosław: Wydawnictwo Państwowej
Wyższej Szkoły Zawodowej, 2014�
168
Agnieszka Kallaus
the represented igure itself into a fetish so that it becomes reassuring rather than
dangerous” (840)� Consequently, women appear to men either as madonnas or
whores—both ways of looking reduce women to passive objects of male desire,
without agency of their own� Mulvey’s article triggered the discussion on female
spectatorship among the feminist critics� Mary Ann Doane in her essay “Film
and the Masquerade� heorizing the Female Spectator” (1982) poses a question
whether a woman can participate in spectatorship and ind pleasure in cinema�
She argues that the female spectator is unable to feel the voyeuristic pleasure for
the lack of distance she feels when watching her own sex on the screen� Following Mulvey’s argument, Doane (1990, 48) points to the tendency “to view the
female spectator as the site for an oscillation between a feminine position and a
masculine position, invoking the metaphor of a transvestite”� Consequently, there
are two possibilities for the female viewer to experience pleasure in looking: “the
masochism of over-identiication or the narcissism entailed in becoming one’s
own object of desire, in assuming the image in the most radical way” (Doane 1990,
54)� Modern criticism diverges from the traditional gender-based interpretation
based on binary oppositions, which renders the spectatorship as either male/active
or female/passive� Carol J� Clover observes that both male and female spectators
can identify bisexually� In her discussion of horror ilms, she introduces the notion
of the “Final Girl”: a heroine who encounters the mutilated bodies of her friends,
perceives the horror of her own peril as she is chased, cornered and wounded, but
who inally pulls herself together and inds enough strength to ight back against
the attacker (Clover 1992, 35–36)� he “Final Girl”, the female victim–hero, reverses the look by—what Clover (1992) calls—the “active investigating gaze” (48),
which transforms her from a passive spectacle into an active spectator�
he following article examines various modes of looking: voyeurism, fetishism,
masochism and narcissism and their efect on the spectator in Alfred Hitchcock’s
Psycho (1960) and Jonathan Demme’s he Silence of the Lambs (1991)� Both ilms
can be classiied as slashers, which Clover (1992, 21) deines as “the immensely
generative story of a psychokiller who slashes to death a string of mostly female
victims, one by one, until he is subdued or killed, usually by the one girl who has
survived�” However, while in classic horror cinema (Psycho), the process of identiication with the female heroine ceases to exist when the woman becomes the
designated victim, in the modern horror ilm (he Silence of the Lambs), the “Final
Girl” becomes her own saviour, which turns her into a hero (Clover 1992, 59)� he
purpose of discussion is to show the evolution of the concept of the gaze from the
male-oriented perspective in Psycho, which perceives the female as a sufering
victim of the male violence, to the feminist position, which shows the female as
From a Sufering Victim to the ‘Final Girl’
169
an avenging heroine, who struggles against objectiication in he Silence of the
Lambs� he analysis will demonstrate how the presentation of masculinity and
femininity in classic and modern slasher ilms afects the complexity of the spectator’s position, which relects the transformation of sex and gender categories in
modern culture�
1. Psycho (Alfred Hitchcock, 1960)
Alfred Hitchcock’s Psycho (1960), based on Robert Bloch’s novel (1959), is a complex study of the split personality as the ilm’s villain, Norman Bates (Anthony
Perkins), sufers from schizophrenia while his psyche is dominated by his overpossessive mother� It is Bates who is the ilm’s main voyeur, but the idea of being
watched is apparent throughout the plot and involves diferent characters, including the female protagonist, Marion Crane (Janet Leigh), who is an object of the
gaze but also the subject of the narrative� Mulvey attributes power to the male gaze
and associates voyeurism with sadism, while the female is presumed as guilty and
must be punished� Following Mulvey’s argument, Doane (1990, 48) states that in
classic narrative cinema “the woman who identiies with the female character must
adopt a passive or masochistic position while identiication with an active hero…
refers to a certain ‘masculinization’ of spectatorship”�
he ilm starts with a bird’s-eye view of the city from a helicopter, which is
followed by the camera’s entrance to the hotel room through the window seeing
a young couple of lovers, Marion Crane and Sam Loomis (John Gavin), embracing and kissing each other on a bed� he irst shot of the lovers shows the upper
view of Marion as seen from Sam’s perspective, which points to Mulvey’s notion
of the (active) male gaze regarding a woman as its passive object� Marion is lying
on the bed gazing upward upon the bare-chested Sam who is standing and gazing
down at her, which signals the male dominance� Marion insists on their getting
married, which annoys Sam, who is divorced and has to pay alimony to his exwife and is not able to support a woman inancially� his further forces Marion to
steal $40�000 from her employer’s client in order to solve Sam’s inancial problems
and move forward their relationship� When Marion is running away with the
stolen money, she pulls of the highway to rest� As she is sleeping in the car, she
is intruded by a police oicer whose voyeuristic gaze is a violent assault on her
privacy� According to Mulvey, the look is associated with power – whoever wields
the gaze has the power over the one who is being watched: “he power to subject
another person to the will sadistically or to the gaze voyeuristically is turned on
to the woman as the object of both� Power is backed by a certainty of legal right
and the established guilt of the woman” (Mulvey 1975, 841)� Mulvey argues that
170
Agnieszka Kallaus
true perversion is concealed under the mask of ideological correctness: “the man
is on the right side of the law, the woman on the wrong” (ibid�)� hose who watch
are men representative of the symbolic order: policemen, guards of law� he dark,
opaque sunglasses the oicer is wearing block Marion and the spectator a chance
to see his eyes� Marion’s unease at being questioned shows how easily guilt has
manifested itself in the way she behaves� She wants to hide her secret from others,
therefore she averts the policeman’s gaze� As the spectators know Marion’s secret,
they also share Marion’s unease about the oicer’s invasive behaviour which implicates the viewer in the crime as well�
Once Marion reaches her inal destination of the Bates Motel she is under
constant male surveillance as the owner, Norman Bates, is always around� He
gives Marion the room next to his parlour, which allows him to watch her from
his oice� In his parlour, she is being watched not only by Norman, but also by
his stufed birds� he bird is the central metaphor in the ilm and puts the woman
in the position of prey� Marion’s surname is Crane, which makes her prey to
Norman, whose hobby is stuing birds (he also killed and stufed his mother in
a similar fashion)� Norman (whose mind is also female) associates himself with
a bird as well� As Robin Wood (1977, 41) observes, “Norman Bates, sitting in his
room beneath stufed birds of prey, becomes, simultaneously, the bird (from his
resemblance to it) and its victim (from his position under it)�” hus Norman holds
a psychotic position—of both an aggressor and a victim� He is an aggressor who
kills women, but he is also a victim of his over-possessive mother who represents
his castration threat� As Barbara Creed (1993, 140) remarks, “he wants to become
the mother in order to prevent his own castration–to castrate rather than be castrated�” He thus employs the two strategies described by Mulvey: voyeurism and
fetishism� He kills his mother and by stuing her body he turns it into a fetish so it
gets harmless, and then dresses in her clothes to make her absence present� In this
way, a woman, who would have appeared to Norman as a castrating monster, turns
into a fetish, which becomes “reassuring rather than dangerous” (Mulvey 1999,
840)� Norman watches Marion through a peep-hole in the wall for fear of being
watched himself� he peep-hole is covered by a picture depicting classical nudes
and rape scenes� As Norman observes Marion undress for a shower, his desire is
revealed through the paintings� He is now in control of the gaze while Marion
becomes its passive object� he scene recalls their conversation in the parlour and
Norman’s reference to “the cruel eyes studying you”2 he used to describe the experience of being under surveillance in the madhouse� He then creeps into Marion’s
2
Unless a reference is given, all dialogues in this article are quoted from the ilm footage�
From a Sufering Victim to the ‘Final Girl’
171
bathroom dressed in his dead mother’s clothes and stabs her with a knife� Here
the female is objectiied by showing her body as naked and vulnerable while he
repeatedly stabs her to death� he repeated shots of slashing, ripping and tearing
of Marion’s body with a knife make an impression of a direct attack on the ilm
audience� he director’s intention to violate the spectator can be inferred from the
remark Hitchcock added to Saul Bass’s shooting instructions for the shower scene
in Psycho “he slashing� An impression of a knife slashing, as if tearing at the very
screen, ripping the ilm” (quoted from Clover 1992, 52)� Carol Clover observes
that “Hitchcock explicitly located thrill in the equation victim = audience…Not
just the body of Marion is to be ruptured, but also the body on the other side of
the ilm and screen: our witnessing body” (ibid�)� An extreme close-up of Marion’s
dead eye staring at the spectator poses a challenge to voyeurism� By killing Marion
Norman punishes her not for what she did (stealing the money) but for what she
was—an attractive woman, a vehicle of his repressed desire�
he idea of simultaneous watching and being watched in Psycho, which is
central to horrors, is made most apparent in the mirror scenes “for the mirror is
not only a prop suitable for a representation of the split personality� It also marks
the need for introspection” (Spoto 1976, 317)� Marion oten stands before the
mirror: in the opening scene in hotel room when she is with Sam, the mirror splits
her image in half, which symbolically relects her double life� hen she uses her
compact mirror in the oice to correct the make-up just before the client comes
with the money she will decide to steal� When she is packing in her house, she is
looking in the mirror and then at the money she has stolen—behind we can see
an open bathroom with a shower, which foreshadows the fatal shower scene in
the Bates Motel� On her journey, she counts out the cash for her new car in the
salesman’s washroom and then she watches the policeman following her in the rear
view mirror of her car� Finally, in the Bates Motel as she checks in, she is relected
in the mirror which doubles her image� Her mirror image is also doubled in her
hotel room as she is talking to Bates� People who do the investigation in the Bates
Motel ater Marion’s death, detective Arbogast (Martin Balsam) and Sam Loomis
with Marion’s sister Lila Crane (Vera Miles), are relected in the mirror in Bates’s
oice in the same way as Marion� he mirror images are multiplied and superimposed on each other in the spectator’s mind, which makes the audience aware of
the thin border between illusion and reality� One of the most scary moments is
the scene when Lila sees a double relection of herself in the mirror in Mrs Bates’s
bedroom� What she (and the audience) ind frightening “is the alarming impression of a split or double personality” (Spoto 1976, 317)� he scene precedes her
discovery of the impression of Mrs Bates’s body on the bed and further uncovering of Norman’s secret, the stufed body of Mrs Bates in the basement� Hitchcock
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Agnieszka Kallaus
constantly alludes to watching by showing images of eyes, shadows and windows
which give the audience an insight into the unconscious� In the inal scene, the
camera shows Norman sitting in an empty prison cell, his eyes suspiciously looking
around while we can hear the mother’s voice as a voice-over� “hey’re probably
watching me now� Let them� As if I could do anything but just sit and stare”� he
two ideas of watching and being watched are now integrated into a single image,
just as Norman’s split personality is devoured by the mother�
As Autumn Miller (2009) remarks, classic cinema, which Psycho represents, puts
the female viewer in a diicult position of cross-gender identiication: she “is let
to either become the victim as a passive recipient to male violence (Marion) or she
transgenders herself placing herself in the position of the masochistic aggressor
(Norman)”� Raymond Bellour (1986, 319–20) states that the story contains two
separate narrative structures, Marion-cantered and Norman-cantered� hese two
narratives relect a confrontation of “two psychic structures: man and woman, the
latter destined to be the prey of the former�” As he observes, their Christian names
are in mirror-relation to one another, which encourages the audience to see in them
two complementary psychic structures, psychosis (Norman) and neurosis (Marion):
“woman the subject of neurosis, becomes the object of the psychosis of which man
is the subject” (Bellour 1986, 317)� Also, the name “Nor-man” means: “he who is
neither woman… nor man” (Bellour 1986, 329)� Norman has a confused sexual
identity, and his name supports this fragmented state� he spectator’s position is also
confused, as the viewer drits between the male and the female� S/he needs to piece
together the components of the split mind to reconstruct the coherent image� he
inal image shows Norman’s face superimposed with his mother’s skull and then the
camera shits to the car with Marion’s body emerging from the black waters of the
marsh� As Spoto (1976, 374) concludes: “All the characters of this ilm are indeed
one character, and through the use of alternating subjective camera technique, that
character is the individual viewer”� While on the surface Psycho is about the psychosis of Norman, it also comments on the split in the spectators’ minds�
2. he Silence of the Lambs (Jonathan Demme, 1991)
Both Psycho and he Silence of the Lambs deal with cross-gender issues and show
the female as an object of the (male) voyeuristic pleasure as well as the subject of
discourse� he ilms challenge the processes of audience identiication as they force
the viewers (male and female) to cross the boundary between biological sex and
gender (socially construed role)� However, while in Psycho, the female is presented
as a passive recipient to male violence, Demme’s ilm shows the woman’s active
struggle against that violence in defence of her position in the male-dominated
From a Sufering Victim to the ‘Final Girl’
173
world� he ilm poses a challenge to a conventional conception of women as passive objects, as it presents the female as an active agent of the gaze, the one who
identiies with the victims of a serial killer, but at the same time stands in their
defence� According to Mary Ann Doane, a gazing woman constitutes a threat to a
man� “For the female spectator there is a certain over-presence of the image–she
is the image� Given the closeness of this relationship, the female spectator’s desire
can be described only in terms of a kind of narcissism–the female look demands
a becoming” (Doane 1990, 45)� he female protagonist, an aspiring FBI adept
Clarice Starling (Jodie Foster), subverts the concept of “the male gaze” by turning
from the prospective victim of the male violence into an avenging heroine, who
by chasing, ighting and inally killing the serial killer, Bufalo Bill (Ted Levine),
dominates the action and acquires the gaze�
Jonathan Demme’s he Silence of the Lambs (1991) is an adaptation of homas
Harris’s 1988 novel of the same title, which won the Bram Stoker Award for Best
Novel� he opening sequence shows Clarice Starling running alone through the
woods� he irst impression about the girl is that she is running away from something, but the audience soon realize that she is a student on the FBI exercise
course� his scene determines the viewer’s perception of Clarice as a female who
is running to overcome obstacles on her way to career in the masculine profession�
Clarice is surrounded with men who regard her not as much as a professional,
but as an attractive woman� he fact that Clarice is a woman in the male-oriented
world makes her an object of sexual harassment and exposes her to the male gaze�
he next shot shows the girl in the elevator, surrounded with male FBI trainees,
their strong masculine bodies posing a sharp contrast to Starling’s frail physicality�
he girl’s embarrassment about the situation is easily observable; she is gazing up
at the ceiling as she feels the men’s eyes on her tiny body� By showing Clarice’s
perspective, the camera allows the viewer to identify with the female position but
reveals it as ambiguous, shiting between the subject and object of the gaze� he
following shot depicts Clarice in the oice of an FBI Special Agent Jack Crawford
(Laurence Fishburne), as she is looking at the photos of skinned women, victims
of a serial killer, Bufalo Bill� She then assumes an active position of the subject
who gazes at the victims� Although her probing gaze is powerful as she intensely
examines the mutilated bodies, it is also full of compassion, since she identiies
with the victims� She thus displays the qualities of narcissism as she recognizes
herself in the images of the victims, but at the same time she acquires an active
status of their protector that grants power to her gaze�
he ambiguity of Starling’s position as both an object of the male gaze and a
subject who strives to escape objectiication by reciprocating the gaze is exempliied
by Clarice’s relationship with Dr� Hannibal Lecter (Anthony Hopkins), a forensic
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Agnieszka Kallaus
psychiatrist and cannibalistic serial killer kept in the state asylum, whom she is
tasked to question in hope to get some information on Bufalo Bill� During their
irst meeting in prison, Lecter points to Clarice’s experience both as an object of
visual desire—“Don’t you feel the looks coming over your body?”—and as one
who desires to watch—“And don’t your eyes seek out the things you want” (Brill
2006, 37)� heir quasi romantic relationship is based on Lecter’s looking at Clarice
through the glass panel of his cell, which depicts an air of voyeurism as it marks the
physical distance between them� Lecter regards Starling as an object of scopophilic
pleasure and feels strong attraction to her; however, he is attracted not so much to
her physicality, but to her feminine weakness and vulnerability, which is revealed in
his sensual drawing of Clarice holding the lamb� On the other hand, Starling strives
to break away from the male gaze in her struggle to become a police oicer� In her
conversations with Lecter she looks him straight in the face as they are playing the
“quid pro quo” game which involves ofering clues about Bufalo Bill in exchange for
insights into Starling’s traumatic childhood� Nevertheless, her behaviour, however
masculine she wants to appear, oten reveals her vulnerability� She cries at the car
park ater one of the patients lings fresh semen onto her face on her irst visit to
the asylum� In contrast to her, Lecter displays strong masculinity that allows him
to exert power not only over her professional career, but also over her personal life�
As opposed to Lecter’s perception of her, Clarice sheds her femininity and
adopts a masculine role to get along with the masculine world� She does not
wear clothes that would accentuate her womanliness and behaves like a man
in order to gain respect among the oicers� Working for the FBI puts Clarice in
the position of power, which places the female on the right side of the law as the
one who punishes criminals and protects victims� She chases Bufalo Bill and
struggles to save his victim, Catherine Martin (Brooke Smith)� Unlike Marion
Crane in Psycho, who is punished by death as a victim of male’s repressed desire,
Clarice Starling is a protector of the innocent� he link between the heroines is
symbolically established through their surnames, names of birds� As Lesley Brill
(2006, 35) argues, “Neither in Psycho nor in he Silence of the Lambs, do birds
serve exclusively as victims� hey can be predators, as well as prey, and some are
both”� While Marion falls prey to male aggression, Clarice uses aggression as a
defence weapon� Her strong desire to save the innocent, which stems from her
childhood trauma as she was hearing the scream of lambs being slaughtered on
a farm, drives her towards the protection of the vulnerable� herefore, she saves
Bill’s victim Catherine Martin and inally shoots the serial killer� She thus performs a role ascribed to the masculine hero in the classic cinema� Both Clarice
and Catherine show the features of the “Final Girl”: the one who ights, resists and
inally defeats the killer-monster� “he Final Girl is boyish, in a word� Just as the
From a Sufering Victim to the ‘Final Girl’
175
killer is not fully masculine, she is not fully feminine—not, in any case, feminine
in the way of her friends� Her smartness, gravity, competence in…practical matters, and sexual reluctance set her apart from the other girls” (Clover 1992, 40)�
Unlike Clarice Starling, who adopts the masculine role in the male-dominated
world, a serial killer Jame Gumb, known as Bufalo Bill, makes a strong attempt to
become a woman� According to Clover (1992, 28), he is the most recent incarnation
of Norman Bates, “a mother-ixated would-be transsexual who, having been denied
a sex change operation, is sewing his own woman-suit out of real women’s skin”�
Both ilms draw inspiration from the crimes of a real-life serial psycho-killer Ed
Gein�3 Like Bates, whose hobby is to stuf birds, and who kills and stufs his mother
to preserve her body as a harmless fetish, Bill objectiies women by skinning them
for his female suit� Both Starling and Bill make an attempt at cross-dressing as they
use external costumes to cover up their inner trauma� Gumb wants to transform
into a woman, so he kills and skins women for punishment that he is not one of
them; the violence of the act relects his obsessive desire to transform� He treats
women as objects for their skin hence he reduces the feminine to a supericial
aspect� In his project of transformation Bill reveals his obsession with the body:
“he is obsessed with changing the surface of the body to conform to supericial
appearances� For him, identity is about the externals” (McEntee 1999, 182)� He
displays his own body to view in an exhibitionist way as he is dressing up and
dancing to his camera� He is at the same time the spectator and the spectacle, which
reveals the ambiguity of the gaze� As a sexually enigmatic igure, he also relects
the complexity of identiication processes involved in the cinematic discourse� His
night vision goggles, through which he observes his victims, connect him with the
spectator, who perceives the women through Gumb’s eyes� Bill’s victims appear to
the audience as moving images, artiicially enhanced, a relection of his own distorted perception� His approach to women is contrasted with Lecter’s, who explores
the interior psychology of his subjects for the material upon which he could feed�
In the ilm climax, when Starling pursues Bufalo Bill in the dark basement of his
3
Edward heodore “Ed” Gein (1906–1984) was an American serial psycho-killer and
grave robber� He was obsessively devoted to his mother, a religious fanatic� Ater her
death, Gein began robbing graves – he exhumed corpses from local graveyards and
fashioned trophies from their bones and skin� He was also notorious for practicing
necrophilia and experimenting with taxidermy� He then turned to murder, killing at
least two women–Mary Hogan, a tavern owner, on 8th December, 1954, and Bernice
Worden, a Plainield hardware store owner, on 16th November, 1957� Gein served as
a model for several book and ilm characters, such as Norman Bates (Psycho), Jame
Gumb (he Silence of the Lambs) and Leatherface (Texas Chainsaw Massacre)�
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Agnieszka Kallaus
hideout, she is caught in his gaze as he is watching her through his night vision
goggles� He perfectly its the role of a voyeur, as the camera shows his perspective
while he is stalking her in the basement� He keeps Clarice at a distance, which
allows the voyeur to feel unrecognised in the act of watching� We can see his hand
reaching out as if he wanted to touch his prey, but he soon retracts it as touching
would dispel the illusion of distance necessary for voyeurism� When Starling hears
the noise made by Gumb’s revolver, she swivels around and shoots him� While
shooting Bufalo Bill, Clarice is gazing straight into his eyes (hidden behind the
goggles) and in the camera’s eye� Her shooting of the monster-killer poses a direct
attack on voyeurism, as the camera shows her from his point of view, which relects
the attempt of the female spectator to ight back against voyeurism in cinema�
Conclusion
he analysis of the concept of gaze in Hitchcock’s Psycho and Demme’s he Silence
of the Lambs shows the role-transgressing potential of both the male and female
characters� he idea that appearance and behaviour do not necessarily indicate
sex is based on the understanding “that sex is life, a less-than-interesting given,
but that gender is theater” (Clover 1992, 58)� It may be the “theatricalisation of
gender” that feminizes the audience in classic ilms� Classic cinema, which Psycho
represents, tends to victimise the spectators by placing them in the positions of
(passive) recipients of male violence (Marion) or masochistic aggressors (Norman)
with confused sexual identity� More recent ilms, such as he Silence of the Lambs,
challenge the controlling male gaze through narcissism (Clarice Starling), which
accounts for the masculinization of the audience by granting the female spectator
the status of an active subject of discourse�
If Psycho, like other classic horror ilms, solves the femininity problem by obliterating
the female and replacing her with representatives of the masculine order (mostly but
not inevitably males), the modern slasher solves it by regendering the woman� We are,
as an audience, in the end “masculinized” by and through the very igure by and through
whom we were earlier “feminized�” he same body does for both, and that body is female�”
(Clover 1992, 59)
he modern feminist heroine escapes victimization through turning against her
oppressor and becoming her own and/or other victims’ saviour (Clarice Starling)�
By challenging the conventions of patriarchal order, female characters in modern slasher ilms reveal the role-transgressing potential to reverse the traditional
modes of looking in cinema� On the other hand, voyeurism of the monster-killers
(Norman Bates, Bufalo Bill) poses a direct attack on the audience as it uncovers the
nature of desire, which is constantly shiting between the two psychic structures:
From a Sufering Victim to the ‘Final Girl’
177
the male and the female, the aggressor and the victim� heir confused identity
transcends the normative sex and gender categories based on binary oppositions�
his proves Mulvey’s model insuicient in the analysis of spectatorship� By deconstructing the orthodox categories of male/female, active/passive and heterosexual/
homosexual both ilms provide an insight into the subject’s inner complexity�
References
Bellour, Raymond� 1986� “Psychosis, Neurosis, Perversion�” In Hitchcock Reader,
edited by Marshall Deutelbaum and Leland Poague, 311–331� Iowa: Iowa State
University Press�
Brill, Lesley� 2006� “Hitchcockian Silence� Psycho and Jonathan Demme’s he Silence
of the Lambs�” In Ater Hitchcock. Inluence, Imitation, and Intertextuality, edited
by David Boyd and R� Barton Palmer, 31–46� Austin: University of Texas Press�
Clover, Carol J� 1992� Men, Women and Chain Saws: Gender in the Modern Horror
Film� Princeton, NJ: Princeton University Press�
Creed, Barbara� 1993� “Dark Desires: Male Masochism in the Horror Film�” In
Screening the Male: Exploring Masculinities in the Hollywood Cinema, edited by
Steve Cohan and Ina Rae Hark, 118–133� London and New York: Routledge�
Doane, Mary Ann� 1990� “Film and the Masquerade� heorizing the Female Spectator�” In Issues in Feminist Criticism, edited by Patricia Erens, 41–57� Bloomington:
Indiana University Press�
McEntee, Joy� 1999� “‘Did He Smile His Work to See?’ he Compelling Aesthetics of
Murder in he Silence of the Lambs�” In Extensions: Essays in English Studies from
Shakespeare to the Spice Girls, edited by Susan Hosking and Dianne Schwerdt,
172–185� Adeliade: Hard Park Press�
Miller, Autumn� 2009� “An analysis of Psycho as a Freudian Psychological hriller:
Psychoanalysing Psycho.” http://voices�yahoo�com/an-analysis-psycho-asfreudian-psychological-3232885�html?cat=72�
Mulvey, Laura� 1999� “Visual Pleasure and Narrative Cinema�” In Film heory and
Criticism: Introductory Readings, edited by Leo Braudy and Marshall Cohen,
833–44� New York: Oxford University Press�
Spoto, Donald� 1976� he Art of Alfred Hitchcock. New York: Hopkinson and Blake�
Wood, Robin� 1977� Hitchcock’s Films. New York: A� S� Barnes�
Filmography
Psycho. Directed by Alfred Hitchcock� USA� 1960�
he Silence of the Lambs. Directed by Jonathan Demme� USA� 1991�
Part II
Evolution, Revolution and Endurance
in the Socio-Political Context
Joanna Durczak
Protecting the Wilderness: How a
Revolutionary Idea Evolved and Devolved,
While the Wild World was Let to Endure
Abstract: he article discusses how the idea that the wilderness should be protected
evolved and how the proposition gradually gained wider support� he author indicates
that the original biocentric emphasis of the irst advocates of wilderness protection has
been weakened as attention has been redirected onto cities and environmental justice�
As a long-time reader of American environmental literature and environmental
journalism, I became aware in the last ive or six years that the word “wilderness”
had almost disappeared from environmental discourse� So had, for that matter, the
concept of “wilderness protection”� In environmental debates and environmental
magazines there’s a great deal of emphasis these days on “averting climate catastrophe”, “preventing habitat fragmentation”, or “ighting environmental injustice”, but
somehow the two older concepts, once so absolutely central to American conservation rhetoric and conservation eforts, seem to have slipped beyond the horizon
of environmental concern� I would like to relect here on how and why the idea of
wilderness protection, once truly revolutionary, has devolved, or—let me use the
word as a transitive one—has been devolved almost out of existence, and what this
devolution signiies for the physical spaces we used to call “wilderness”�
But a few historical facts irst� he extravagant idea that the wilderness should
be protected was born in the middle of the 19th century in the minds of a few visionaries� he irst recorded proposition that some patches of the as yet uncivilized
American West should be legally made exempt from development was formulated in George Catlin’s North American Indians (1841)� Catlin, a painter, began
in 1829 a series of trips West during which he sketched western landscapes and
painted his now precious portraits of American Indians� Genuinely impressed by
his encounters with the last tribes not yet decimated and disorganized by contact
with the whites, he quickly understood that their lifestyle was inseparable from
the environment they inhabited� So he envisaged “a magniicent park” where the
land and the Indian could be protected against white civilizational zeal, frozen
in time as it were, and made exempt from the designs of Manifest Destiny� In the
park, comparable to a gigantic contemporary outdoor museum, the Indians—he
imagined—would continue hunting and sun-dancing, permitting a glimpse of
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Joanna Durczak
their culture, eternally arrested in its development, to the white hunter, the artist
and the connoisseur of the exotic� Catlin’s fantasy, though by contemporary terms
ethnocentric and colonialist, was a revolutionary proposition in 1841 to which,
of course, few gave a thought and nobody took seriously�
he idea of protecting the wilderness resurfaced some twenty years later in the
writings of H� D� horeau� At irst, he essentially rephrased Catlin’s proposition� In
“Chesuncook”, the second essay in he Maine Woods (1864), he wrote the much
quoted words: “why should not we…have our national preserves…in which the
bear and panther, and even some of the hunter race, may still exist, and not be
‘civilized of the face of the earth’…not for idle sport or food, but for inspiration
and our true recreation” (horeau 1988, 212–13)� But then, in “Walking”, an essay
written at roughly the same time though irst published in 1862, he speciied a
reason much more profound for creating those wild preserves: he saw the signiicance of wildness (and wilderness) as wellsprings of all human creativity and so of
every culture’s vitality� Hence in “Walking” he pleaded for “wildness [in which] is
the preservation of the World” (horeau 1975, 609)� Basically, like Catlin, horeau
spoke for protecting the wilderness primarily for anthropocentric reasons—for human enjoyment, spiritual sustenance, and creative inspiration� Yet, now and then
in his thinking about nature another novel idea would also get hinted on—that
wild nature had value of its own, and therefore deserved protection irrespective
of anthropocentric considerations (e�g� horeau 2000, 66)�
A generation later, the idea of preservation for non-anthropocentric reasons
found its irst prophet in John Muir� His books and publicity campaigns were
instrumental in establishing in 1890 the national park in Yosemite, and then in
1892 the Sierra Club, a politically inluential organization of wilderness lovers and
advocates� An acquaintance of heodore Roosevelt, accompanying him on some
of his wilderness expeditions, Muir had a big share in persuading the president
to declare in 1908 some 800,000 acres in the Grand Canyon a National Monument� By then, the educated American elite on the East Coast, raised on a diet of
Romantic literature and painting, as well as increasingly besieged by millennial
doubts about the beneits of the industrial civilization, had considerably warmed
up to the idea of wilderness protection� If the wilderness was God’s country (which
notion was emphatically articulated in Muir’s books and articles) it deserved the
treatment accorded to temples� However, the general public remained rather lukewarm about conservation projects; the common assumption was that they should
not conlict with human economic designs (Runte 1997)� his was especially the
understanding in the West of the country� Much to the public’s surprise, it soon
turned out that the assumption was not necessarily shared by the conservationists,
John Muir among them�
Protecting the Wilderness
183
In 1908 Muir became one of the most vocal spokesmen for the wilderness and
against the conventionally understood public interest when the two conlicted in
the Hetch Hetchy Valley� In response to the plan of the increasingly water-thirsty
city of San Francisco to secure for itself a dependable supply of good water by damming the Tuolumne river in the Sierra, Muir stood up as spokesman for the wild
valley, arguing his proposition that not only people, but all of creation, including
rocks and rivers, had rights (Nash 1982, 129)� “Given the intellectual climate of the
nineteenth century”, Max Oelschlaeger comments in his book he Idea of Wilderness “any premise that the land, plants and animals had rights bordered on lunacy”
(Oelshlaeger 1991, 98)� So, as Roderick Nash writes in his study of American
attitudes to the wilderness “San Francisco was “bewildered and incensed” at the
Eastern public’s support for Muir rather than the city� “Was not supplying water
to a large city a worthy cause, one that took priority over preserving wilderness?”
San Franciscan newspapers and magazines of the period asked, shocked by the
resistance the project generated (Nash 1982, 169)� Ater a prolonged battle, Muir
inevitably lost and the valley was dammed� However, he did manage to plant in
the American mind the idea of “the absolute, unrelational value of wild things”
(Nash 1982, 181)� Following the Hetch Hetchy controversy, public sentiments in
the United States began to rapidly tip in favour of wilderness protection even at
economic or social costs� Nash observes: “Indeed the most signiicant thing about
the controversy over the Valley was that it occurred at all� One hundred or even
ity years earlier a similar proposition to dam a wilderness river would not have
occasioned the slightest ripple of public protest” (181)�
In the years between 1910 and 1930 pro-wilderness sentiments in the United
States reached their irst peak� Nash writes about “the wilderness cult” as characteristic of those irst decades of the twentieth century (Nash 1982, 141)� In
their enthusiasm for the wild country, white middle class Americans embraced
religious, moral, aesthetic, scientiic, psychological and recreational arguments
for its preservation� he closing of the frontier and the newly awakened sense that
the wilderness had been the cradle of American national character contributed
yet another argument� If American spirit was forged in the wilds, then in order to
sustain it, every American should have an opportunity to periodically immerse
himself (less so, herself) in that primordial environment�
Meanwhile, the non-anthropocentric rationale for wildlands protection was
gestating in the mind of Aldo Leopold� Leopold was an experienced forester and
in the 30 and 40s a professor of game management and the new science of ecology
at the University of Wisconsin� He was also soon to debut as an excellent nature
writer� What many years of working in the Forest Service, prior to his university
appointment, had taught him was “thinking like a mountain,” as he phrased it in
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Joanna Durczak
his most famous essay by the same title (Leopold 1970, 137)� To do so was to think
about any environment not in terms of immediate human interests, but in terms
of the health of the ecosystem� What hunters want in the wilderness environment,
he’d explain his point, is abundance of deer; but this is not at all what the mountain
“wants�” he more deer, the greater the assault on the vegetation and the greater
the erosion of mountain slopes� he mountain “wants” only as many deer as it
can house without detriment to its soil and other life forms, and the “wish” of
the mountain should be a factor in human decisions� hus Leopold prepared the
ground for his central concept of “land ethic,” a proposition that we must “examine
each question [of land use] in terms of what is ethically and aesthetically right, as
well as what is economically expedient� A thing is right when it tends to preserve
the integrity, stability, and beauty of the biotic community� It is wrong when it
tends otherwise�” (258) To Leopold, wilderness areas were models of such perfect,
stable, and healthy natural communities� As a scientist, he wanted them preserved
for scientiic reference and as biological reserves where the evolution could take
its course untrammelled� At the same time, as an experienced forester, all too well
aware of the national history of ruthless exploitation of natural resources of the
continent, he saw wilderness protection as “ ‘an act of national contrition’ on the
part of people who had been so careless in the past…‘a disclaimer of the biotic
arrogance of homo americanus’ ” (qtd� in Nash 1982; 199)� While not precluding
economic use, he envisaged it controlled by a land ethic which would balance the
environment’s against human interests�
Leopold’s concepts of land ethic and wilderness protection were inspiration for
American lawmakers when in the early 1960s they drated the most important
legal document that regulates until this day the status of wilderness areas in the
United States—he Wilderness Act� he Act, passed in 1964, opens with a curious
mixture of ostensibly anthropocentric and surprisingly ecocentric rationalizations
for the law: he two twine around each other in a manner that suggests the lawmakers’ awareness that they were walking a tightrope and breaking a new ground
in the country’s legal history:
In order to assure that an increasing population, accompanied by expanding settlement
and growing mechanization, does not occupy and modify all areas within the United States
and its possessions, leaving no lands designated for preservation and protection in their
natural condition, it is hereby declared to be the policy of the Congress to secure for the
American people of present and future generations the beneits of an enduring resource of
wilderness� For this purpose there is hereby established a National Wilderness Preservation System to be composed of federally owned areas designated by Congress as “wilderness areas”, and these shall be administered for the use and enjoyment of the American
people in such manner as will leave them unimpaired for future use as wilderness, and
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so as to provide for the protection of these areas, the preservation of their wilderness
character, and for the gathering and dissemination of information regarding their use and
enjoyment as wilderness� (http://www�wilderness�net/nwps/legisact)
Ostensibly, the rationale for wilderness protection speciied in this document
is anthropocentric� he wilderness is designated an object of protection for the
use an enjoyment of American people, now and in the future� But their use and
enjoyment must not conlict with maintaining the “wilderness character” of the
preserved areas� he wilderness character is thereby identiied as valuable per se,
a quality that deserves protection even against the designs and appetites of the
American people� he opening sentence of the document makes it perfectly clear
that these lawmakers are aware they’re working against the tide; they harbour no
illusion that the expanding population of the country will curb its appetite to turn
the resources the wilderness stands for into capital� So they see it as proper that
that appetite be curbed by a legal measure in the name of a greater good�
In 2014, looking back at this document at its itieth anniversary, Terry Tempest Williams, a nature writer, praised it as “the act of loving beyond ourselves”
(Williams 2014, 52)� An environmental journalist, Christopher Ketcham, described
it as absolutely “unique” in the history of American legislation� Downplaying the
lawmakers’ rhetorical caution, he described the Act as “nonambiguous about whose
interests it was protecting—certainly the human interests were secondary to the
needs of ecosystems themselves�” From the long term perspective of national history, he saw the Wilderness Act as “expressing values fundamentally antithetical
to the American Way…an insult to the dictates of Manifest Destiny, a slap in the
face of American Dream” (Ketcham 2014, 44)� No wonder then, that from the start
the Act generated much resistance from the industrial lobby and that for the last
half century lawyers have been paid fortunes to ind in it the loopholes that would
open the protected areas to a whole range of economic activity� On the other hand,
the Act boosted the preservationist spirits both in the Government and at the
grassroots level� When a proposition was announced in the early sixties that two
new dams be built in the Grand Canyon, the announcement caused, as Roderick
Nash writes, “the largest outpouring of public sentiment in American conservation history”, a public resistance so ierce that, unlike the Hetch Hetchy project, the
Grand Canyon one was eventually not only abandoned; in 1968, a bill was passed
speciically prohibiting dams on the Colorado River between the already existing
Hoover and Glen Canyon dams (Nash 1982, 230)�
hus, what originated in mid-nineteenth century as a private fantasy in the
minds of Catlin and horeau evolved within more or less a century into a legislative act and into an attitude embraced by an inluential segment of American
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society—mostly white, middle-class, and educated� But then, the road started going downhill� And it is this curious downhill process that I would like to relect on
now� I cannot possibly present a complete picture of the devolution that has taken
place subsequently, but I want to at least point out some of the more interesting
moments in that half-a-century-long process�
Paradoxically, the irst setback was caused by the growth of environmental
awareness in the last four decades of the twentieth century� What the growing
understanding of environmental problems—irst, pollution, then acid rains, then
depletion of the ozone layer and, eventually, of global warming—has done to the
idea of wilderness protection was ousting it from the center of the environmental
movement’s concern� he older, checkerboard vision of the world as divided into
the privileged, primordial and unpolluted areas deserving of care and preservation
and the human-inhabited spaces undeserving of the environmentalist’s attention
simply collapsed� It collapsed under the weight of visible evidence of, for instance,
the LA smog pouring over the Sierra mountain passes into the Joshua Tree National
Park, or the documented evidence of mercury levels so high in the lake ish in the
remote and “pristine” Glacier National Park as to render them unsafe for consumption (“Contaminants” n�d�, 2)� Gradually, it became clear that the well-being
of American wilderness areas was inseparable from the well-being of the hitherto
neglected spaces surrounding them� hus by the late 1970, attention of American
environmentalists had become partly refocused on polluted industrial environments, cities, toxic dumpsites� hen the ield of vision became even wider as news
of the ozone hole and irst diagnoses of global warming reached the American
public in the early 80s and late 80s respectively� he old rhetoric of “saving the
wilderness” began to give way to the new one of “saving the planet” or “preventing
global ecological catastrophe”� Imperceptibly, the wilderness simply began to lose
its central position on the environmental agenda�
In this process of repositioning of wilderness in the environmental movement’s
sphere of concerns, a signiicant role was played by revisionist historians and
cultural critics of the 1990s� One of them, William Cronon, threw an especially
crippling bombshell into the world of American environmentalism� In 1996 he
published a collection of critical essays Uncommon Ground: Rethinking the Human
Place in Nature� Included in the volume was also his own article “he Trouble
with Wilderness, or Going Back to the Wrong Nature,” published several months
earlier also in he New Yorker� hus, the article reached a relatively large number
of readers, also from outside the strictly academic circles� What he argued in the
article was that “the wilderness” was in fact an idea, not a de facto existing physical phenomenon� he concept was time-, place- and culture-speciic� It evolved
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in the nineteenth century to give center to American sense of identity (forged in
the wilderness) and to justify American expansionism (the notion of the land as
“virgin” and uninhabited opened it to appropriation)� On top of that, Cronon
pointed to the mythology of the wilderness as responsible for the long history of
American abuse of the inhabited environments�
Idealizing a distant wilderness too oten means not idealizing the environment in which
we actually live, the landscape that for better or worse we call home� Most of our most
serious environmental problems start right here, at home, and if we are to solve those
problems we need an environmental ethic that will tell us as much about using nature as
about not using it� (Cronon 1996, 85)
Cronon’s legitimate criticism of the idea of wilderness opened the loodgates�
Within the following few years from all corners of the academy came a deluge of
articles and studies exposing the wilderness idea (not always rigorously distinguished from its designate) as “ethnocentric, androcentric, phallogocentric, unscientiic, unphilosophical, impolite, outmoded, even genocidal” (Callicott 2008,
356)� Feminist scholars focused on the concept as catering to the male fantasy of
a womanless world where American males, enfeebled by civilizational comforts,
could recover basic survival skills and the manly virtues of courage and self-reliance� Environmental historians would document many abuses committed in the
name of wilderness protection, especially the practice of evicting tribal peoples
from their homelands to make room for proposed national parks� Ecologists would
expose as scientiically inaccurate the belief that wilderness enclaves were separate
ecosystems� In the academic circles, “the wilderness” became a word used selfconsciously and with utmost caution�
To represent “the wilderness” as Cronon did as a cultural construct, moreover,
as one abused for political ends and responsible for the abuse of non-wilderness
spaces, was to pull the rug from under the environmentalists’ feet� Not only was
the reality of their constituency being questioned (or so they thought); the entire
preservationist tradition was being discredited for its complicity in the abuses
of American history� It took a while before irst responses to Cronon’s claims
began to break the shock� A frequent reaction was that one has to be a secluded
academic who’s never set his foot in a wilderness to claim that it does not physically exist� Even the always composed Gary Snyder contributed some venom to
the debate: “I’m getting grumpy” he wrote, “about the slippery arguments being
put forth by high-paid intellectuals trying to knock nature and knock the people
who value nature and still come out smelling smart and progressive” (Snyder 2008,
351)� he outraged Dave Foreman, a co-founder of the militant environmental
organization Earth First!, retorted: “his Received Wilderness Idea [Cronon’s
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term for the historical wilderness concept] is a straw dog, it does not exist on the
ground” (Foreman 2008, 381)� What does exist on the ground is “the self-willed
land… land beyond human control [which] is the slap in the face of the arrogance
of humanism” (Foreman 2008, 383), and which “has led thousands of people to
devote their time, money, and sometimes their freedom, even lives to protect [it]
from exploitation” (381)� And yet, despite such ierce denouncements of Cronon’s
proposition, the new awareness he generated of the historical abuses committed in
the name of wilderness preservation, of the elitist, white fantasy which it catered
to for at least a century, and of the costs of thinking in terms of the wilderness/
civilization binary did produce a change in the tone of environmental debates�
Cronon’s argument about the constructedness of the concept of wilderness
encouraged similar assertions about the even more slippery concept of “nature�”
“Nature” was soon deconstructed as likewise socially and culturally constructed,
as well as time speciic� Furthermore, questions about the late twentieth century
nature’s “naturalness” began to proliferate� Cultural critics of the 1990s zeroed in
on the illusoriness of the “naturalness” of many natural-looking phenomena—
including American wilderness—and proceeded to debunk them as in fact no
longer “natural” but created, turned through acts of human engagement with
them into natural/artiicial hybrids� As spectacular illustrations of the “second
nature” as it came to be known, cultural critics evoked the Yosemite Valley, landscaped for the maximum “wilderness” efect by Frederick Law Olmsted in the
1880s� Another much quoted example was the Columbia River� Several stretches
of the Columbia may be quite “natural looking,” but the river is, in fact, a feat of
modern hydro-engineering� It is a rigorously controlled watercourse sectioned
by 14 dams, with the computer-activated water low regulated by international
agreements� While some cultural critics busied themselves with deconstructing
the apparently natural as partly artiicial, others moved in the opposite direction�
In a widely appreciated book of essays Flight Maps, Jennifer Price traced back
to their sources all the materials used in the production of the quintessentially
American garden sculpture—the plastic pink lamingo� hat symbol of plastic
artiiciality, she demonstrated, is made entirely of natural materials—sand (glass
eyes), oil (plastic body), and iron ore (legs)—which fact we miss, rarely, if ever,
relecting on what exactly has been processed and reprocessed beyond recognition
into a pink aesthetic abomination�
Such blurring of distinctions between the natural and the artiicial, the wilderness and the civilized, led inevitably to a turn in thinking that refocused on the
urban in place of the wild, and reimagined the city as, in fact, “natural” and home
to unacknowledged “wildernesses�” hey were the wilderness of natural processes,
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such as weather or soil cycles, the wildernesses of fungal, bacterial and viral life,
not to speak of the very real physical semi- to completely wild enclaves in the
city, such as railroad yards or empty lots or river corridors� hese new ideas fell
upon a very fertile ground in the increasingly urbanized American imagination�
he urban wilderness quickly found its own explorers and eulogists, for instance
in Charles Siebert, the author of Wickerby. An Urban Pastoral or in Robert Michael Pyle, the author of he hunder Tree: Lessons from an Urban Wildland� In
Wickerby, the author compares his wilderness retreat in Canada with his Bronx
neighbourhood, only to conclude:
I see everything here [in Bronx] that I had at Wickerby [his wilderness home] except that
it’s all in the margins: weeds limning the sidewalks cracks; trees gathering air from vacant
lots; birds subletting rooms, cats aswirl at sills and doorsteps; dogs leaping rootops; ish
plying their portable ponds; the stars briely yielding again now to our show of lights�
(Siebert 1988, 214)
One of the consequences of this new turn in thinking has been a conceptual
dissolution of the mid-twentieth century notion of wilderness� In the language
of the Wilderness Act, wilderness is deined as “an area where the earth and
its community of life are untrammelled by man, where man himself is a visitor
who does not remain�” But now the term has become so ample as to encompass
both the roadless confusion of the Utah canyon country and the backyard of a
suburban home� A hyperbolic language frequently employed to write about the
novel idea of “urban wilderness” has not only contributed to the erosion of the
old clarity, but also more or less directly reassigned value� When one reads that
“One derelict oil terminal…contains 1,300 species per hectare, more than any
nature reserve” (Pearce 2015), one begins to wonder why bother about nature
reserves at all, instead of concentrating all conservation eforts on such derelict
oil terminals� By downplaying the diference between the urban wilderness and
wilderness, a message is being passed that the latter is only one of several forms
which wild/natural communities assume, distinct rather by virtue of its location
than by virtue of its kind� he diference between the two in size, in biological
complexity, in evolutionary potential, not to mention the quality of experience
either ofers is thus obscured, if not altogether denied�
In the history of American conservation movement, right from the very start,
there were two philosophies of wilderness preservation competing with each other�
One viewed human use, including economic use (for grazing, timber harvesting,
limited and controlled resource extraction) as compatible with the wellbeing of
the wildlands� he term used today for this tradition is resourcism� Unlike resourcism, which is fundamentally anthropocentric, the other tradition has viewed the
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wilderness enclaves as places where the needs and rights of humans are secondary to the needs and rights of nature� Not surprisingly, moderate resourcism has
always had more advocates� Radical environmentalists, such as the original Earth
First!ers or Friends of the Earth, who espoused Leopold’s land ethic with all its
implications of human self-restraint and the primacy of the ecosystem’s rights,
never enjoyed much public support� he relative success of environmental ideology in the last three decades—measured by such tokens as the degree of popular
awareness of environmental problems, presence of environmental agendas in politics and in economic calculations, or support for green technology—has always
depended on emphasizing the human beneits of adopting environment-friendly
policies� Within the modern environmental movement the least criticized factions
have been those which insist on the inseparability of environmental concerns and
human pleas—vide the environmental justice movement or ecofeminism� Both
have made discussions of environmental problems inseparable from questions of
class, race, and gender, while at the same time inevitably pushing to the margin
discussions of the future of the wilderness as almost frivolous in the context of
dire stories of social costs and health consequences of mountaintop removal in
Kentucky, fracking in Pennsylvania or oil sands extraction on Aboriginal lands�
Currently, the anthropocentric perspective seems to dominate in the environmental debate� One extreme proposition in that debate has been Aaron Sachs’s:
rather than cling to the antiquated and hardly tenable goal of keeping people and
industry away from the wilderness, he has argued in his book Arcadian America:
he Death and Life of an Environmental Tradition, Americans should reembrace
the pre-Civil War, pastoral ideal of America as Arcadia in which wild “places were
humanized but not conquered or commodiied” (Sachs 2014, 27)�
Moreover, there’s a clear revisionist tendency in environmental thinking observable in the US now, subsumed under the term “bright green environmentalism” or “neo-environmentalism�” As opposed to the movement of the past half
century, deined by its rhetoric of ecological catastrophism, bright green environmentalism, exactly as one might expect, focuses on the reasons to be optimistic
about the natural world’s future� Neo-environmentalism’s most recognizable face
is Peter Kareiva, a conservation scientist, whose foundational premise is that in
a world inhabited by seven and a half billion people the old conservation ideal
of keeping humans away from some legally protected wild enclaves is no longer
tenable� What’s needed is a program to balance the needs of humans and wild
nature, implicitly at the cost of sacriicing much of the (“overrated”) wildness of
the latter� Bright green environmentalism has a technological faction which sees
technological “modernization as a road to salvation” (Shellenberger 2011, 61)� he
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wing’s two prophets, Ted Nordhaus and Michael Shellenberger, put their faith in
geoengineering (to pull C02 from the atmosphere), clean and safe nuclear power
plants, GMO based agriculture, and desalination of ocean water to “irrigate and
grow forests in the deserts” (65)� heir solution to species and habitat extinction is
“creating new organisms and new habitats, perhaps from the DNA of the extinct
ones” (65)� As they put it in their manifesto, “Evolve,” what is needed is a new
“worldview that sees technology as humane and sacred, rather than inhumane
and profane, [a worldview that will] replace…the antiquated notion that human
development is antithetical to the preservation of nature with the view that modernization is the key to saving it” (65) When it comes to wilderness, preserving
it in some idealized pre-civilized, pre-technological condition is impossible� Nor
do such eforts make any sense—ever since the irst primitive humans entered
the game, the wilderness has been evolving under their impact� As for the oldstyle environmentalists, who see economic restraint as an answer to the world’s
environmental crisis, they are in the two authors’ eyes merely hypocrites, calling
for sacriice while “living amid historic levels of aluence and abundance” (62)�
Bright green environmentalists’ public visibility has a great deal to do with the
shock quality of their claims� For instance, they deny the reliability of the data and
the estimates on which the catastrophic prognosis for the natural world’s future
have been based� Fred Pearce, the author of he New Wild published in 2014,
claims that the much advertised horror stories of species extinction in the range
of several a day have no foundation in facts:
If anything, recorded losses are diminishing� Most of the major extinctions happened
before modern times� …he number of birds and mammals that are known to have gone
extinct between 1980 and 2000 is just nine� his year, the IUCN (International Union
for Conservation of Nature) reported no further extinctions of any species, though last
year it conirmed the demise of a Malaysian snail and an earwig on the Atlantic island of
St� Helena� his hardly constitutes a holocaust� (Pearce 2015)
Moreover, Pearce promotes the view that constant evolution (rather than climactic
stasis) is the essence of mature natural systems, and that nature is much more
resilient and adaptable than commonly believed� hus, the loss of one kind of
environment (wilderness in this case) should, in his eyes, be no cause for alarm—
“change is what drives nature to innovate” (Pearce 2015)� For him environmental
ideology of the traditional kind which seeks to protect the no longer existing “pristine nature” is “ecological antiquarianism�” “In the Anthropocene,” he writes, “we
instead need to develop a new vision of conservation that acknowledges nature’s
dynamism and ability to change and adapt� How else do we expect nature to get
by in an era of climate change?” (Pearce 2015)�
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Pearce is an Englishman, but he has his American counterpart in Jim Sterba,
a long-time correspondent for he New York Times, who claims that America,
far from losing its wildlands, has actually been undergoing a process of unprecedented “rewilding�” his is the message of his book Nature Wars (2012)� On
page ater page, Sterba makes preposterous-sounding yet trickily-phrased and
surprisingly well-documented claims about the condition of the natural world in
America� He writes, for instance: “more people live in closer proximity to more
wild animals and birds in the eastern United States today than anywhere on the
planet at any time in history” (Sterba 2012, xiv)� According to him, the largely
unnoticed regrowth of forests in the North-East, the wildlife-welcoming attitudes
and practices of suburban New Englanders, and the general loss of what Sterba
calls “nature-stewardship skills” (meaning primarily farming and hunting skills)
have all lead to an explosion of wildlife in suburban and urban areas� People
share them now with millions of deer, geese and wild turkeys, with thousands of
coyotes, bears, moose, feral pigs and cats� To North-Easterners this miraculous
environmental recovery has already become a problem—something to stoically
endure, despite a growing sense of unease� As Sterba writes:
his is a new way of living for both man and beast, and Americans haven’t yet igured out
how to do it� People have very diferent ideas regarding what to do, if anything, about the
wild creatures in their midst, even when they are causing problems� Enjoy them? Adjust
to them? Move them? Remove them? Relations between people and wildlife have never
been more confused, complicated or conlicted� (Sterba 2012, xv)
In Sterba’s interpretation of the environmental situation in the United States, it is
the well-meaning and generous humans and their property that are fast becoming
victims of wildlife rather than the other way round� Emissaries of the recovering
wilderness take advantage of lush lawns and riverside parks, shrub- and treeilled gardens, backyard ponds, garbage dumps and such open spaces as airports
and soccer ields� Meanwhile, humans, trapped in their environmentally-correct
attitudes, watch this happen, increasingly disoriented and helpless�
Where do all of these developments position the old style wilderness advocates?
Certainly, on the defensive: insecure about the place of their constituency on the
environmental agenda (so many problems seem to be more urgent at the moment),
fending of accusations of sticking to a discredited, morally and politically-suspect
concept, working against the tide of public sentiment which, understandably, feeds
on the hopeful rather than dire predictions for the future—especially on the promise of technological salvation and sustainable development� hus, there’s a great
deal of anger but also pessimism in the circles of old-style wilderness advocates
today� In bright green environmentalism they see a dangerous adversary capable
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of obliterating much of the accomplishment of the twentieth century green movement by way of ofering the public bromides which it will enthusiastically swallow�
As Derrick Jensen has put it, bright green environmentalism “tells people what
they want to hear, that you can have the industrialism and the planet too� Or to
put it another way, that you can have the planet and eat it” (Jensen 2011, 12)�
Many denounce as a similar bromide the concept of “sustainable development”,
believing this “curious plastic world”, this “most odious oxymoron” to have been
coined for publicity reasons by PR specialists working for oil corporations (Kingsnorth, 2012, 19)� Dire predictions are circulated that the Wilderness Act will be
repealed in the not so distant future as a child of another era when the world
population was mere 3 billion and the US population not even 200 million, and
when the power of multinational resource-exploiting corporations was still in
the making� To be sure, some old-timers continue working quietly for the sake of
local wildernesses, by raising alarm and mobilizing local opposition whenever yet
another patch of wild lands is designated for “improvement” by construction of
power lines, or logging access roads, or modernization of camping grounds for the
industrial tourist� But there is also a growing contingent of the disillusioned ones,
who like Paul Kingsnorth, an English environmentalist and writer with considerable following in the US, believe that an era in the history of environmentalism
has come to an end, the era of clarity about the movement’s constituency (the
wilderness), its goals (“saving nature from people…speaking for the small and the
overlooked”) (Kingsnorth 2012, 18) and position vis-à-vis the anthropocentric
civilization (critics from the ecocentric standpoint)� In his dramatic statement
“Confessions of a Recovering Environmentalist,” published in 2012 in Orion and
followed in the magazine’s electronic version by literally hundreds of supportive
comments from the equally frustrated and disappointed, Kingsnorth chastised
the environmentalism of today for having become coopted by the mainstream,
and turned completely utilitarian and completely anthropocentric, an “adjunct to
hypercapitalism: the catalyctic converter on the silver SUV of the global economy”
(21)� His long jeremiad, concludes on a statement of helplessness: “What’s to be
done about this?” he asks and then answers his own question—“probably nothing”�
So, feeling defeated, he announces his decision to withdraw from action and “go
out walking” (23)� his is not entirely a statement of desperation; since horeau,
in American environmental imagination going out walking in the wilds has always
promised some new beginning� But Kingsnorth sounds more like he’s planning to
burrow in for a long winter of inaction and relection, to wait out the movement’s
seduction by technological optimists and stewards of the abstracted planet, “with
no sign of any real, felt attachment to any small part of that Earth” (20)� “Like the
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librarian of a monastery through Dark Ages” he imagines himself in this diicult
moment “guarding the old books, as empires rise and fall outside” (28)�
Culturally, in mid-2010s, “the wilderness” is in crisis� Its meaning has become
difuse� Only ity years ago, “urban wilderness” was an oxymoron� Not anymore�
Ater an interlude of about half a century, “the wilderness” is once again beginning
to grow fuzzy with negative associations—a domain of wild creatures “responsible”
for animal-car collisions, landscape and crop damage, Lyme disease, and—Sterba’s
most outrageous example—“the downing [by geese] of US Airwaves Flight 1594 in
2009” (Sterba 2012, 277)� J� Baird Callicott has suggested that the word itself should
be eliminated from use as “hopelessly tainted and confused” to be replaced with
a term unburdened by the negative historical associations of “wilderness” and, at
the same time, expressive of the contemporary scientiic rationale for maintaining
wild enclaves� His propositions are “biodiversity reserve” or “ecosystem reserve”
(Nelson 2008, 15)� But the bureaucratic sounding terms cannot imaginatively compete with the world of associations, literary and cultural, which “the wilderness”
has always activated in American imagination� American environmental writers
and journalists who continue writing about “the wilderness” do so at the risk of
sounding antiquated or out of touch with current environmental debates� he established ones, like Wendell Berry, Kathleen Dean Moore, Gary Snyder, Rick Bass,
David Gessner, ignore the danger and take the risk� But the younger ones have
to yet work out a new language and a whole set of stories with which to respond
to the current, revisionist understanding of the wild and human obligations to it�
Meanwhile, the physical wilderness on the ground endures� Despite academic
squabbles about its reality or constructedness, naturalness or artiiciality, despite
the industrial tourist stampede, oil spills, global warming, fracking, clearcutting,
road-building, mountaintop removal, experiments in management, and myriad
other forms of anthropopressure, some 110 million acres of land in the United
States continue to bear the designation “wilderness” and remain formally protected by the as-yet unrepealed Wilderness Act� he wilderness endures, probably
weakened and impoverished, though for a non-specialist it’s impossible to form an
opinion about its condition when the data coming from the dark and the bright
green environmentalists is so fundamentally contradictory� Wherever allowed
to, the wilderness also restores and regenerates itself, though at a glacial pace�
From the point of view of the environmental purist, it regenerates in imperfect
forms—incorporating invasive species, healing over the loss of the endemic ones,
adapting to the most polluted, even radioactive environments� Messy and depleted
where the process of regeneration only begins, tainted by the admixture of the
“artiicial” and “foreign,” it is likely to fall short of traditional aesthetic and spiritual
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expectations or standards of biological health� Yet, obeying its self-willed nature, it
pushes forward and goes on, following its own inscrutable evolutionary designs,
always regenerating, metamorphosing and evolving� About this even Edward
Abbey, the most radical of wilderness defenders, would agree with Peter Kareiva�
If the wilderness does endure, we may be tempted to ask ourselves the inevitable question—are human protective eforts, then, of any signiicance? Are they
necessary at all? he answer is yes� Legal protection, even if imperfect, delays (and
at best prevents) the appropriation of wild enclaves by industry, agribusiness and
industrial tourism, and thus slows down the process of their degradation, i�e� loss
of biodiversity, biological integrity and health� Yet, there’s also another kind of protection that may be even more crucial than the legal one—the cultural protection,
of which legal protection is only a derivative� What I mean by cultural protection
is the collective efort by a whole range of culture workers—journalists, writers,
artists, ilmmakers, musicians, religious leaders, media people—to sustain in the
public the sense that biodiversity reserves, to use Callicott’s new term, constitute
a part of American heritage and are American biological insurance for the future�
he Wilderness Act of 1964 was a product of such a collective cultural efort to
which Catlin, horeau, Muir, Leopold and many others contributed over years,
creating a cultural atmosphere of emotional and imaginative support for wilderness protection� If contemporary culture stops crating and propagating stories
that will justify continuation of the protective eforts (and, instead, legitimizes
emotionally, as it seems to be doing now, the anti-protection logic), public sentiments will shit enough to approve of opening up “all the wild that remains”
(Gessner 2015, title) to human takeover� hen, even the knowledge that the wilderness will eventually recover, in say 50�000 or 100�000 years, will become very
little of a consolation�
References
Callicott, J. Baird� 2008� “Contemporary Criticism of the Received Wilderness
Idea�” In he Wilderness Debate Rages On, edited by Michael P� Nelson and
J� Baird Callicott, 355–377� Athens, Ga: he University of Georgia Press�
“Contaminants in Fish and Human Health Perspective�” National Park Service�
US Department of the Interior� PDF� Accessed November 25, 2015� <https://
www�nature�nps�gov/air/Studies/air_toxics/wacap/mtWorkshop/docs/
Contaminants_Fish-Humanan_GLACguidance_062008�pdf >�
Cronon, William� 1996� “he Trouble with Wilderness, or Going Back to the
Wrong Nature�” In Uncommon Ground: Rethinking the Human Place in Nature,
edited by William Cronon, 69–90� New York: Norton�
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Foreman, Dave� 2008� “he Real Wilderness Idea�” In Uncommon Ground: Rethinking the Human Place in Nature, edited by William Cronon, 378–397� New
York: Norton�
Gessner, David� 2015� All the Wild hat Remains. Edward Abbey, Wallace Stegner,
and the American West� New York: Norton�
Jensen, Derrick� 2011� “Bright Green Reality Check�” Orion. Nature, Culture, Place�
November/December: 12–13�
Ketcham, Christopher� 2014� “Taming the Wilderness�” Orion. Nature, Culture,
Place� September/October: 40–44�
Kingsnorth, Paul� 2012� “Confessions of a Recovering Environmentalist�” Orion.
Nature, Culture, Place� January/February: 16–23�
Kingsnorth, Paul� 2013� “Dark Ecology�” Orion. Nature, Culture, Place� January/
February; 18–29�
Leopold, Aldo� 1970� A Sand County Almanach� With Essays on Conservation from
Round River. New York: Ballantine�
Nash, Roderick� 1982� Wilderness and the American Mind� 3rd ed� New Haven:
Yale University Press�
Nelson, Michael P. and J. Baird Callicott� 2008� “Introduction: he Growth of
Wilderness Seeds�” In he Wilderness Debate Rages On, edited by Michael
P� Nelson and J� Baird Callicott, 1–17� Athens, Ga: he University of Georgia
Press�
Oelschlaeger, Max� 1991� he Idea of Wilderness� New Haven: Yale University Press�
Pearce, Fred� 2015� “On he Annihilation of Nature. he Siege Approach to Conservation�” LA Review of Books, September 16� Accessed October 25, 2015�
<https://lareviewobooks�org/review/the-siege-approach-to-conservationannihilation-of-nature>�
Price, Jenifer� 1999� Flight Maps� Adventures with Nature in Modern America� New
York: Basic Books�
Pyle, Michael� 2011� he hunder Tree: Lessons from an Urban Wildland� Corvallis,
OR: Oregon State University Press�
Runte, Alfred� 1997� National Parks: he American Experience� Lincoln: University of Nebraska Press� Accessed December 21, 2015� <http://www�nps�gov/
parkhistory/online_books/runte1/chap3�htm>�
Sachs, Aaron� 2014� Arcadian America: he Death and Life of an Environmental
Tradition. New Haven: Yale University Press�
Schellenberger, Michael and Ted Nordhaus� 2011� “Evolve: A Case for Modernization as the Road to Salvation�” Orion. Nature, Culture, Place� September/
October: 60–65�
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197
Siebert, Charles� 1998� Wickerby. An Urban Pastoral. New York: Crown Publishers�
Snyder, Gary� 2008� “In Nature Real?” In he Wilderness Debate Rages On, edited
by Michael P� Nelson and J� Baird Callicott, 351–354� Athens, Ga: he University of Georgia Press�
Sterba, Jim� 2012� Nature Wars. he Incredible Story of How Wildlife Comeback
Turned Backyards into Battlegrounds� New York: Crown Publishers�
horeau, Henry David� 1988� he Maine Woods� Hamondsworth: Penguin Books�
horeau, Henry David� 1975� “Walking�” In he Portable horeau, edited by Carl
Bode, 592–630� Harmondsworth: Penguin Books�
horeau, Henry David� 2000� Wild Fruits, edited by Bradley P� Dean� New York:
Norton�
he Wilderness Act� 1964� Accessed September 10, 2015� <http://www�wilderness�
net/nwps/legisact>�
Williams, Terry Tempest� 2014� “he Glorious Indiference of Wilderness�” Orion.
Nature, Culture, Place� September/October: 50–54�
Ian Upchurch
U-Turn if You Want to–on the Revolutionarily
Evolutionary Nature of Britain
Abstract: he paper focuses on the interplay between evolution and revolution in British
history and culture, with particular reference drawn to the Civil War and the Glorious
Revolution, the scientiic revolution in Newton’s time, scientiic revolutions in evolution
theory, the recent history of devolution in government and the Scottish independence
movement, and inally attitudes to the EU membership�
Introduction
Ever since the word evolution was separated from the word revolution to mean
that which is rolled out (Oxford English Dictionary), the two words have been
used to describe social and political processes, sometimes without clear delineation between the two� In comparison to mainland Europe, the history of the
island of Britain may be characterized as relatively free of revolutionary change,
instead displaying a more gradual evolution in response to the challenges of a
particular age� Despite that, several “revolutions” in the history of Britain are
taught in schools and popularly thought to have taken place� his paper discusses
the evidence for the proposition that ‘revolution’ is a correct term to describe
several social changes in British history and, if not, why the term persists with
reference to them�
According to some historians, the English Civil War of the 17th century should
be labelled the “English Revolution”; a claim which we should evaluate together
with the “Glorious Revolution” of 1688� Around the same time the Scientiic, or
“Newtonian” Revolution is also supposed to have started� his led to the “Darwinian Revolution”, which applied the principles of physical science to the natural
world� Finally, the modern day challenges to the United Kingdom and its place
in the European Union seem to be revolutionary in their nature�
1. Revolution versus Evolution
he concept of revolution started out describing a “circular movement” revolving around an axis (OED)� It is clearly reminiscent of the invention of the wheel,
which turned on an axle� his invention was also an example of the next meaning
of revolution, that is a “change or upheaval”� Any situation that is overturned or
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process that is turned around can be said to have undergone revolution� Finally,
as exempliied by Marxism in the 19th century, revolution came to mean the “overthrow of an established government or social order by those previously subject
to it; forcible substitution of a new form of government” (OED)� So the concept
of revolution has always described a process of change in the sense of a dramatic
change of direction refuting what has gone before�
he concept of evolution (according to the OED) originally meant a “movement or change of position”, which can already be said to have developed an ambiguous relationship with the concept of revolution� his change of position may
or may not represent a change of direction, as is clearly suggested by revolution�
Evolution went on to mean the “process of unrolling, opening out, or revealing”�
his is based on the metaphor of a rolled-up scroll with writing hidden inside�
Rotating the scroll leads to a linear movement in the appearance of the lat sheet
of paper revealing the writing� his meaning, then, combined both the revolving
movement central to revolution with the progressive movement which came to
be associated with evolution� he revealing of the writing imagined here was understood as a metaphor for enacting in the physical world the potential which is
contained in some system at the beginning� In the context of modern biology this
could be described as the expression of the genotype in the phenotype� Evolution,
then, came to mean simply the “process of development”, synonymous with the
processes of growth and organisation which turn a foetus into an adult organism�
We should note here that even while we are using a metaphor of physical rotation
(“turn”) we are clearly describing a linear process of an organism moving towards
another state� It only seems to have been a dramatic change if we compare the
beginning (e�g� a human foetus) and the end of the process (an adult human)
without regard to the time it took to eventually produce the change� his end state
is seen as ‘higher’ and ‘more developed’ than the beginning, but already in the late
19th century it was believed that somehow the foetus or the seed contained the
potential to become the adult form (which was of course justiied and explained
by the discovery of genetics in the 20th century)� What was crucial to the concept
of evolution ater Darwin was that it was a “process of gradual change from a
simpler to a more complex or advanced state” (OED)� Darwin took it for granted
that the whole of the history of life on earth had been governed by processes that
we can see operating in the natural world today� his entailed a smooth, gradual
progressive development of life from simple to complex forms� It is important to
note that this gradualism was a philosophical preference rather than an empirical
observation of nature (Gould 2009, 347); an assumption that it was not possible
to test, in the 19th century at least� Evolution became synonymous with gradual
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201
and natural development as opposed to a sudden or instigated change (oten in
contrast with revolution)� Any graphical representation of the history of a species’
development/evolution or the emergence of a particular feature was assumed to
be a straight line rising over time� his lew in the face of the earlier assertion
by William Kent, designer of Stowe garden, that “Nature abhors a straight line”
(Beers 2015, 129)� Figure 1 shows how the process of biological evolution could
look depending on the degree of belief in either gradualism or revolution� he
graphs represent the development of a hypothetical feature (such as the length of
girafes’ necks or human brain size) over time� he irst graph shows how Darwin’s smooth, gradual evolution would progress, with a very large number of tiny
steps adding up over time to a straight line increase� he second graph shows a
history of sporadic, intermittent jumps, with periods of rapid change alternating
with periods of relative stability� his is the way evolution was seen by Stephen
Jay Gould and his mechanism of punctuated equilibrium (Gould 2009)� Just as
Darwin, according to Gould himself, was inluenced by his philosophical preference for a gradual process, so too Gould may have been inluenced by his own
Marxist beliefs in shaping his process� Both of them may be imposing on nature
the straight lines that so rarely exist in nature� he third graph shows what a haphazard, organic, chaotic natural process of evolution would look like� It contains
neither a smooth even progression nor a regular series of large steps� instead it is
characterised by many diferent rates of development at diferent times, varying
from rapid change to stagnation�
Figure 1: he process of biological evolution according to diferent perspectives
his model its what we now know about actual histories of the evolution of
features, as they are inluenced by a multitude of factors which themselves vary
greatly over time� And yet, if we would like to see in the third graph evidence to
support our philosophical preferences, it is suicient simply to change the time
frame� To see the third graph as a straight line showing a smooth, even development we need to pull back the focus and show the process over a long time frame�
his will iron out the details and make the line appear to be smooth� On the other
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hand if we wish to see revolutions then we must zoom in and focus on a shorter
time frame (in a convenient period) which appears to show a sudden jump� In
this way we will see either revolutions or evolution in our history�
2. he English Civil War (English Revolution)
he conlict between Parliamentarians and Royalists (1642–1651) known as the
English Civil War was also called the English Revolution by Marxist historians (e�g�
Hill 1955)� Focussing on that nine-year period it does seem to be a revolutionary
change in the way England was governed; a transformation from monarchs who
had ruled in England for over a millennium to the Commonwealth or Protectorate
led by Oliver Cromwell (1649–1659)� We could easily imagine that the country had
been run by absolutist monarch without reform until inally the country exploded
in revolution� Such a view would ignore the reforms that had been made, including
the famous Magna Carta and, according to Schama (2003a), the more signiicant
Provisions of Oxford� While it is true that the ‘English Revolution’ established the
precedent that the monarch cannot govern without the people’s consent, demand
for this change had in fact been growing for over four centuries, at least since the
signing of the Magna Carta in 1215� Neither was this a popular revolution since
the majority of the population were not involved in the war and not enthusiastic
about the republic� his republic inally ended with the Restoration of the monarch
and the repeal of its laws� All of this means that the ‘English revolution’ was in fact
no more than a blip on the graph of the development of democracy�
3. he Glorious Revolution
he contention that the Civil War was not a complete revolution is underlined by
the fact that its central achievement was to be cemented into place in an apparently
separate, and less controversially named, revolution, in 1688� he Glorious Revolution legally established parliament as the ruling power in England� Parliament
was able to expel the Stuart dynasty under James II, and to transfer sovereignty
to their candidate, William of Orange� In so doing it established that the king
could only rule while respecting the rules imposed on the monarchy and that this
was enforceable in practice (unlike the signing of the Magna Carta, which King
John had no intention of enacting in reality) by Parliament’s power to remove
the king if necessary� Yet, like the English Civil War, this was a step in bringing
about changes that had been growing for four centuries, and, unlike the bloody
scenarios usually associated with “revolution,” it was carried out peacefully using
the instruments of law� It was also in need of continued reform to strengthen it, in
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203
the form of the Act of Settlement (1701) which settled the question of succession
to English throne (Schama 2003b)�
hese reforms were crucial for England actually avoiding a revolution in the
18th century� he possibility of a Catholic king bringing England back under the
authority of Rome was forestalled by the Act of Settlement outlawing a Catholic
monarch; and the possibility of a popular revolution being provoked by a distant
and arrogant monarch (as in the French Revolution of 1789) was prevented by
the fact that England’s developing constitution had brought the king under a
large degree of control a century earlier� If the four-century history of reforms
to the monarch’s position (culminating in the “Glorious Revolution”) had not
taken place then something much more like a real revolution would have put the
country under the power of Rome or a “Protector”, either of whom would have
transformed the subsequent history of England�
4. he Newtonian Revolution
he history of science also contains a revolution at the same time as the abovementioned political one� he “Newtonian Revolution” was started in the late 17th
century as a result of the publishing of Isaac Newton’s works on inter alia, optics,
mathematics and the motions of the planets� Science was transformed and given
the basis for new discoveries that have taken us into the modern age� Alexander
Pope wrote the following eulogy for Newton: “Nature and Nature’s laws lay hid in
night: God said, Let Newton be! and all was light” (Pope 1740, 129)� his, then,
was a revolution taking us from ignorance into knowledge; from the Dark Ages
to the Enlightenment� According to this view, Newton took society from Magic
to Rationality, and from Religion to Science� In giving us the idea of a Clockwork
Universe, which did not need God’s intervention, Newton removed the need for
religion and set science in opposition to it� Looking at this period of the history
of science (the last two decades of the 17th century) up close it certainly seems to
show a revolution�
However, while focusing on that short period it is necessary to fail to spot
important details if one is to believe in the revolution idea� In fact, Newton was
not an atheist proponent of science and rationality as the exclusive way of understanding the universe (a kind of early Richard Dawkins)� Instead Newton, in
addition to being a great scientist, was also the leading practitioner of occult arts
and alchemy in Europe (Westfall 1994)� As well as his scientiic works, Newton
also wrote on the literal and symbolic interpretation of the Bible� Most surprising of all, the credit Newton is given for the “clockwork universe” appears to be
undeserved� Newton was convinced that the universe could not run without God’s
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intervention, while it was the German mathematician Leibniz who said it could�
hese omissions and distortions serve to bolster the idea that Newton was at the
centre of a revolution, when what actually happened was that there was a gradual
change over time, relected in the fact that ideas we are now used to seeing as
opposing were held by the same people, Newton included, and that he alone was
not responsible for “turning on the light”�
5. he Darwinian Revolution
he mid-18th century saw the next scientiic revolution following publication of
Darwin’s description of the process of natural selection by which life has evolved�
he drama with which this event is sometimes described is exempliied by a quote
from Richard Dawkins: “Living organisms had existed on earth, without ever
knowing why, for over 300,000 million years before the truth inally dawned on
one of them� His name was Charles Darwin” (Dawkins 1976, 1)� Dawkins’ attempt
to build a mythology to support this scientiic story leads him to distort the historical record to it� He relegates dozens of scientists who went before Darwin and
contributed to the development of the theory of evolution (including Lamarck and
Erasmus Darwin who proposed evolution theories in the previous century along
with Wallace and Matthew who both described the process of natural selection
before Darwin) down to the level of dinosaurs and trilobites with no clue as to how
they came to be on the earth� Dawkins is lattening the line of progress made by
scientists before Darwin in order to build the case for a revolution in Darwin’s time�
In this case modern science has gone even further to build a mythical revolution,
starting with Darwin’s “Voyage of Discovery” on the HMS Beagle (1831–1836)�
he public perception of Darwin goes as follows:
1� Instead of becoming a pastor, Darwin’s life took a radical turn as he went on a
voyage around the world as the naturalist on the HMS Beagle�
2� He had his ‘eureka’ moment on the Galapagos Islands, as he was immediately
struck by the diversiication of the animals and plants�
3� He systematically collected specimens (especially the inches and giant tortoises)�
4� He let the Galapagos on a mission to change the world with his revelation�
5� He had discovered evolution�
6� He was the irst to describe the mechanism that causes it—Natural Selection�
7� He was convinced that Natural Selection was the only mechanism of evolution�
Each point in this widely known story, however, is in need of correction if one is
to discover the truth rather than a myth:
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205
1� In Darwin’s time there was no such choice: there were many pastor/naturalists�
He was not recruited as naturalist on the Beagle but only as a companion for
the captain�
2� He didn’t see the Galapagos as important when he was there; he was bored
with this desolate place�
3� He was not struck by the inches and tortoises, specimens of which he failed
to label (inches) and ate (tortoises)�
4� He wrote he was “thankful to be of…the birds, reptiles, and plants had seemed
curious, but not riveting�”
5� Many others had proposed evolution (including gradual evolution) before
this time�
6� Patrick Matthew had earlier proposed the mechanism of Natural Selection�
7� In his On the Origin of Species, he also included two other mechanisms, which he
oten said were stronger than Natural Selection� In a later edition of the book he
considered removing Natural Selection completely (Desmond & Moore 1992)�
he fact is that many scientists (along with the English resident of the Galapagos
who explained to Darwin the diferences in the tortoises’ shells from one island to
another) made contributions over a long period “before the truth inally dawned
on one of them” and replacing that history with one man’s ‘eureka’ moment can
be clearly seen as myth building intended to support the idea of a revolution� And
it continued, supposedly:
1� On reading On the Origin of Species T� H� Huxley, exclaimed “How stupid of
me not to think of that!” and accepted the theory enthusiastically�
2� here was a debate between Darwinian Evolutionists and Biblical Creationists
for acceptance of Darwin’s ideas�
3� Huxley, “Darwin’s Bulldog,” argued for Natural Selection in a famous debate
with Bishop Wilberforce in Oxford�
4� Huxley won a victory for science over religion, which Darwin was happy to see�
5� Darwin ended his life a committed atheist�
6� Despite that he would have been happy that he was given a state funeral in
Westminster Abbey�
All of these “facts” it with the idea of Darwin being at the centre of a scientiic
revolution, pitching science against religion as mutually exclusive worldviews�
Unfortunately they do not it with the actual history, wherein:
1� Huxley never believed in Natural Selection as the mechanism of evolution�
He never mentioned it during debates or in lengthy books on evolution and
privately told Darwin he was not convinced�
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2�
3�
4�
5�
6�
Ian Upchurch
here were scientists and religious ministers on both sides of the arguments�
here was no set-piece debate between Huxley and Bishop Wilberforce�
Darwin wanted peace between science and religion�
Darwin never quite became an atheist�
Darwin clearly wanted to be buried in the family plot and eaten by the worms
that he studied� (Desmond & Moore 1992)�
It seems clear that a story that in reality was very complex and convoluted has
been straightened out into a simple dialectical revolution in the way it has been
described and popularly imagined�
6. Scottish Devolution
In 1999 the Labour government attempted to settle long debate over the position
of Scotland in the United Kingdom by proposing devolution of some powers to a
Scottish parliament (which of course is quite diferent from full independence)�
he debate preceding the referendum demonstrates the choice that had to be
made between evolutionary and revolutionary approaches� Just as in the abovementioned debate over Darwinism, there were people displaying each of the ways
of thinking on both sides of the issue (see table 1)� Some supporters of devolution were also supporters of independence and hoped that a devolved parliament
taking some powers from the central government would be a “stepping stone”
eventually leading to independence—an evolutionary approach� At the same time
other supporters of devolution were opponents of independence and hoped that
the granting of limited powers would act as a ‘safeguard’ against independence—
relecting a belief in a revolutionary solution (which they hoped to avoid)� On
the other side some opponents of devolution saw it as an “obstacle” to the full
independence that they wanted to achieve—a revolutionary approach� hey were
joined in campaigning against devolution by others who saw it as a ‘slippery slope’
that would lead to independence—relecting a belief in an evolutionary solution
(which they hoped to avoid)�
Table 1: Evolutionary-and revolutionary-based positions in the Scottish devolution debate
Yes to Devolution
No to Devolution
Yes to
Independence
“Stepping stone”
“Obstacle”
No to
Independence
“Safeguard”
Evolutionary
Revolutionary
Revolutionary
“Slippery slope”
Evolutionary
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U-Turn if You Want to
he evolutionary position was perhaps justiied by the fact that the pro-independence Scottish National Party won a majority in the Scottish parliament and was able
to hold a referendum on full independence in 2014; however, the outcome of this
vote was narrowly in favour of staying in the United Kingdom, potentially settling
this question for a generation, unless something extraordinary were to happen�
7. EU membership in the balance
Something extraordinary happened in 2016� he United Kingdom was given a
referendum on whether to leave or remain in the European Union� his followed a
period of renegotiation of the terms of the UK’s membership which was intended
to appease critics of the EU and persuade them to support staying in� Again, on
each side of this debate, remain or leave, we see both evolutionary and revolutionary thinking (see table 2)� he “Vote Leave” campaign claimed to be ready to wait
and see how fundamental the reforms were before deciding whether to campaign
to leave or not� hey wanted reform if that would itself lead to a return of sovereignty to the UK parliament and eventually to leaving the EU—an evolutionary
approach� Meanwhile “Leave�EU,” the other main anti-EU campaign did not want
to see reform as they thought it would be successful in persuading voters that
enough had been done to deal with their concerns; for them only leaving would
be enough—a revolutionary approach� On the other side of the referendum, the
government’s position was to reform the UK’s relationship with the EU in order
to prevent the public from voting to leave—relecting a belief in the possibility
of a revolutionary solution (which they hoped to avoid)� hey were joined in the
campaign to remain in the EU by “Euro-enthusiasts” who did not see such a need
for reform and feared it may lead to eventually leaving—relecting a belief in the
possibility of an evolutionary solution (which they hoped to avoid)�
Table 2: Evolutionary- and revolutionary-based positions in the EU membership debate
Leave the EU
Yes to Reform
No to Reform
Wait and see (“Vote
Leave” campaign)
“Leave�EU” campaign
Evolutionary
Stay in the EU
Government position
Revolutionary
Revolutionary
Euro-enthusiasts
Evolutionary
With the result of the referendum being 52 percent in favour of leaving the EU
(across the whole of the UK) but large majorities in favour of remaining in both
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Scotland and Northern Ireland, this issue has reignited the Scottish independence debate� In July following the referendum, the new UK Prime Minister and
the Scottish First Minister began seeking a compromise that would respect both
sides’ wishes� hey were efectively trying to ind a reform that would bridge the
gap between opposite revolutions: either taking Scotland out of the UK or taking
them (against their will) out of the EU�
Conclusions
he historical examples point to one conclusion, which is that, in the British case,
evolution plus time equals revolution� Many so-called “revolutions” only appear as
such due to our perspective looking back into the distant past� When investigated
up close, these “revolutions” look much more like “evolutions” with a series of
faltering steps towards a inal “goal”, which is only seen as the product of a revolution thanks to our desire to believe in some order and structure in history and to
construct our creation myth�
British history, like the third graph above, is characterised by organic and haphazard change� Depending on ideology we can look back and see smooth evolution (the irst graph) or a series of revolutions (the second graph)� It is suicient
only to focus on the appropriate period of time and select the facts and personalities required to it with the way we would like to see these histories�
When we look in more detail at British history we see that the possibility of
revolution has been ever-present but always avoided� he evolution of British
institutions and society has enabled the country to anticipate and prevent actual
revolution� British people may look back and see revolutions that do not bear
closer examination but they are less keen on seeing revolution in their own time�
his is why the questions over the future of the United Kingdom and its place in
the European Union are so fascinating, with the UK coming closer than ever to
actually carrying out a revolution�
References
Beers, Henry A� 2015� A History of English Romanticism in the Eighteenth Century
London: Routledge�
Dawkins, Richard� 1976� he Selish Gene. Oxford University Press�
Desmond, Adrian, and James R. Moore� 1992� Darwin. London: Penguin�
Hill, Christopher� 1955� he English Revolution, 1640. London: Lawrence and
Wishart�
Gould, Stephen J� 2009� Punctuated Equilibrium. Harvard University Press�
U-Turn if You Want to
209
OED (Oxford English Dictionary) online edition www�oed�com�
Pope, Alexander� 1740� he works of Alexander Pope. London: Wordsworth Editions (1995)�
Schama, Simon� 2003a� A History of Britain: Volume 1. At the Edge of the World?
London: BBC�
Schama, Simon� 2003b� A History of Britain: Volume 2. he British Wars 1603–
1776. London: BBC�
Westfall Richard S� 1994� he Life of Isaac Newton. Cambridge University Press�
Donald Trinder
he British Guarantee to Poland of 1939 as
a Revolution in Anglo-Polish Relations
Abstract: he article presents an overview of events triggered on March 30th, 1939 when
the British Government extended a unilateral and unsolicited guarantee of independence
to the Polish Ambassador in London� he author indicates that when the ofer was accepted
by the Polish Foreign Minister, Józef Beck, a chain of events was set in motion culminating
in the outbreak of World War Two�
Introduction
His Majesty’s Government have obligations to Poland by which they are bound and which
they intend to honour� hey could not, for any advantage ofered to Great Britain, acquiesce in a settlement which put in jeopardy the independence of the State to whom they
had given their guarantee� (Reply of His Majesty’s Government to German Chancellor’s
Communications, 28th August, 1939)1
It is incredible that, less than 12 months previously, the British Prime Minister
Neville Chamberlain had lamented on National Radio “[H]ow horrible, fantastic, incredible it is that we should be digging trenches and trying on gas-masks
here because of a quarrel in a far-away country between people of whom we
know nothing” (Faber, 2008, 375–376)� In this case Chamberlain was referring
to the festering crisis in Czechoslovakia over the fate of the Sudeten Germans
that threatened to develop into armed conlict, but it is impossible to ignore the,
lest one say it, revolutionary nature of this political volte face� What is even more
stunning about the irst of the two quotes is the fact that the Prime Minister and
architect of the infamous policy of Appeasement was not only promising to defend
a country that was geographically isolated from Britain in a geopolitical sphere
that had never been of British interest, but that the British relationship with Poland
had never been intimate—in the way that the Anglo-French relationship can be
described as a love-hate relationship� In this paper, we shall attempt to portray the
events of March 1939 as a true revolution, not only in British foreign policy, but
also in Anglo-Polish relations� Consequently, the paper will be divided into three
sections, the irst of which will deal with the state of Anglo-Polish relations prior
1
Published in the British War Blue Book, 1939, p� 162�
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Donald Trinder
to the so-called Prague Coup of March 1939, the second will discuss briely the
reasons for the change in British attitudes, while the inal section will illustrate
the situation following Chamberlain’s fateful address to Parliament in which he
placed Poland at the heart of British national interests�
1. he Prelude
he irst real question is where to start our investigation into the very nature of
Anglo-Polish relations? We could reach back through the mists of time to the
very irst contacts between England and Poland, when Boleslaus the Brave provided both men and monetary support to his cousin Canute during his invasion
of England in 1015�2 It would, however, be quite absurd to suggest that a Polish
backed invasion of Saxon England had any inluence on future relations, especially when there was little concept of nationhood among either of the ledgling
countries at this time� Indeed, it is questionable as to whether the Anglo-Saxons
would even have been aware of the origins of their unwelcome guests�
We might take Henry Bolingbroke as the starting point, especially as he was
the irst (future) king of England to set foot on Polish territory� He was on his
way to lay siege to Vilnius, and was present at the request of the Teutonic Order
(Turnbull, 2004, 53–54), both of which facts would lead us to believe that he was
a most unwelcome visitor� his might account for why, less than a quarter of a
century later, King Jogaila was to refuse to come to the aid of Bolingbroke’s son,
Henry V, in his conlict with France (Davies, 1981, 93–97)� On the other hand,
one should be aware of the fact that less than 50 years later England and Poland
had actually signed a trade agreement as the Kings of Poland sought to exploit
the new-found opportunities presented by their acquisition of Danzig (Halecki,
1934, 662)�
We might take, as a less militant igure, the great 18th century parliamentarian
Edmund Burke, who made a great speech in defence of Polish liberty in the atermath of the irst partition in 1772 (Davies, 1981, 513)� However, when the Second
partition threatened to cause the downfall of the anti-revolutionary alliance that
included Britain, Russia, Prussia and Austria, Burke changed his stance� During a debate initiated by the arch-liberal Charles Fox on whether Britain should
change sides and join France in a war against the remaining powers in defence of
Polish Liberty, Burke declared that “with respect to us, Poland might be, in fact,
considered as a country on the moon” (Burke, 1816, 148)�
2
See, for example, Lawson (1993) for a full account of Cnut’s invasion of Britain, his
family tree, and the support of his Polish cousin�
he British Guarantee to Poland of 1939
213
Given that, just two years later, Poland was to disappear completely from the
map of Europe, we should probably best turn our attention to the rebirth of Poland, and the beginning of the period in question being the year 1918� At this
moment, three key igures may be discerned in Anglo-Polish relations, the irst
being Roman Dmowski, who was the efective head of the Polish negotiating team
at the Paris Peace Conference, and whose job it was to try to gain international
support for the recreation of an independent Polish state with the most generous
borders possible� In this task, Dmowski was somewhat hampered by events taking
place on the eastern borders of his phoenix state: for Poland was born into a ight
for her very existence as the Bolshevik armies of Lenin attempted to stave of the
Anglo-French backed counter-revolutionary war and expand Soviet inluence
westwards� his is where we meet the second of the inluential igures, Marshall
Józef Piłsudski� His view was radically diferent from that of Dmowski, and his
aim was to secure borders as close as possible to those which historic Poland has
occupied� His success in turning back the Red Army at the battle of Warsaw meant
that Poland was able to approach the task of settling her eastern border from a
position of relative strength (Nowak, 2015, 27–32)�
Into this equation we can add the igure of British Prime Minister David Lloyd
George� Whilst he was keen to see Poland repainted onto the map of Europe, he
was also motivated by his vision of the future, whereby a strong Germany and a
newly restored Russian Monarchy became close trading partners to help reinvigorate Britain’s shattered economy� To this end, Lloyd George refused to countenance
the despatch of British surplus war material to aid the Polish, despite making
a irm commitment to aid them against the Soviets (Davies, 1971, 134–136)�
Equally, the British sought to pin the Polish to a border roughly in line with that
of today, the infamous Curzon Line� his border was quickly made redundant
by events on the battle front and, by the Treaty of Riga, the Polish border was
established some 200 km east of that which had been propounded by the British,
which caused many, including Lloyd George himself, to brand the Polish as both
militarist and imperialist in their ambitions (Davies, 1971, 146)� Both characteristics were deemed unit for a newly reborn nation which should, in the eyes of
the British, have simply been grateful for its very existence (Roszkowski, 2002,
24)� To add to this, there were wild reports of the way in which the new Polish
government treated its minorities, especially the Jews� Despite the Publication
of the American Morgenthau Report,3 which largely exonerated Poland of any
3
he so-called Morgenthau Report was commissioned by President Woodrow Wilson
to investigate allegations of anti-Semitism in Poland and was a complete vindication of
214
Donald Trinder
complicity in anti-Semitic acts, the British press and newly empowered political
let were quick to label Poland as a central European dictatorship with highly despotic tendencies—hardly a suitable candidate for friendship (Davies, 1971, 150)�
hen there was British guilt at the harsh nature of the Versailles Treaty, which
many in Britain felt was unfair to Germany, and would cause her many years of
economic hardship—hardly what was needed in our prime European trading
partner (Taylor, 1992, 136–137)� hen there was the fact that the British turned
their attention back inwards to focus on the Empire� he very same principle of
self-determination which Wilson had included in his 14 points also meant that
many of Britain’s colonial possessions and dominions were keen to seek independence from the British Crown� hus, European afairs took a back seat� he
economic uncertainty of the British also played a part in determining foreign
policy, especially as the rebuilding of Germany was seen as a key element in
this aim� he Wall Street Crash and ensuing global economic depression further
caused the British to turn their eyes inwards, away from continental afairs, and
especially the plight of Eastern Europe (Parker, 1993, 12–16)�
hus, the French led the way in European afairs, and Poland was initially an
integral part of the French system of defensive alliances that was intended to ensure
that Germany remained “encircled” (Horne, 1990, 80–83)� When Piłsudski decided
that the French had become too defensive in their way of thinking following the
construction of the Maginot Line, he decided that Poland’s best interests lay in
the charting of a careful neutrality between the Soviet Union and Nazi Germany
(Steiner, 2005, 526–530)� hus, Poland too became engrossed in its own afairs�
One inal point which surely had a minor inluence on the frosty nature of
Anglo-Polish relations during this period was the growing support of the Polish
Government for Jewish groups of campaigners (one might even use the word
terrorist here) who were agitating for the establishment of an independent Jewish
state in the Palestine mandated area� It is certain that the British foreign oice
would not have been too thrilled at the operation in southern Poland of training
camps for Jews who would then go of to undermine the British rule in Palestine
(Bowyer Bell, 1977, 85–91)�
2. he Causa Movens
So, we may now turn to the cause of the guarantee, which started in September 1938
when the Nazis attempted to dissect Czechoslovakia� he Munich Agreement that
the behavior of the Polish government towards all ethnic minorities� Indeed, it placed
much of the blame for the harassment of Jews in Poland at the door of “outlaw soldiery”�
he British Guarantee to Poland of 1939
215
was reached was, in efect, the inal test of the policy of Appeasement� By going to
Munich to hammer out a deal with Hitler and Mussolini, Chamberlain was making a rod for his own back� His declaration of gaining ‘peace for our time’ was the
equivalent of the modern fad for “drawing a line in the sand”� he fact that both
Chamberlain and Daladier were received as heroes indicates the extent to which
the populations of Britain and France were averse to any form of armed conlict
(Parker, 1993, 182)� Not only this, but the empire-centric nature of British politics
can be summed up by the aforementioned radio address that Chamberlain made to
the British prior to his departure to the conference, in which he echoed (knowingly
or otherwise) the sentiments expressed by Burke a century and a half previously�
Czechoslovakia was not essential to British security, so why should the British
have been interested in its fate? Strangely, the afairs of India and Australia, and the
machinations of Japan in the Paciic basin were of far more concern to the average
man on the street at the time, as can be seen by the fact that the British military
planners continued to nominate Japan as the country most likely to threaten war
with the British Empire even as late as February 1939 (Postan, 1952, 58–60)�
For Poland, Munich presented the inal chance for the creation of a common
border with the one country in central Europe that could be counted as a irm
ally� hus it was at the behest of Józef Beck that the Hungarians were awarded
Subcarpathian Ruthenia in the so-called Vienna Award; a fact which was not
overlooked by the British Press (Roszkowski, 2002, 79–83)� Of greater shock to
British sensibilities was the overt way in which Beck placed an ultimatum with the
Czech Government, demanding the cession of the Zaolzie region� From a Polish
perspective this was seen as an essential territorial acquisition to enhance national
security� While from a British perspective, this was seen as an opportunistic piece
of imperialism, with Czechoslovakia as the innocent victim� Interestingly, the
press in Britain were more hostile towards Poland than Germany, despite the
fact that the whole crisis had been engineered by Berlin (Karski, 2014, 165–6)�
Less than six months ater the drama of Munich, “Peace for our time” lay in
the gutter as Germany carried out the Prague Coup and annexed the entirety of
Bohemia and Moravia into the Reich� Primarily, this made Chamberlain look
foolish as he had repeatedly claimed that Hitler was intent on nothing more than
the peaceful reconstruction of the pre-Versailles Germany, and had no further territorial ambitions in Europe (Parker, 1993, 200–201)� he immediate discomfort
of Chamberlain was nothing compared with Beck, who had to deal with a series of
‘oicial’ visits from Nazi dignitaries who came to try to persuade the Polish foreign
minister that the Polish Corridor and Danzig were, in efect, German possessions
which ought to be passed over with the minimum of fuss� his made the steering
of the ‘middle path’ much more diicult, as the crux of most ofers was based upon
216
Donald Trinder
the idea of a pact with Nazi Germany in return for territory� Beck, unsurprisingly,
skilfully declined to take up the generous ofers (Krasuski, 2000, 240–244)�
Chamberlain was further pressed by the hostile press reaction to the Nazi
transgression, and also the reaction of the MPs in London� he sum conclusion of
British thinking was that there was a need for a new strategy� Two days later, in a
speech to his constituency members in Birmingham, Chamberlain inally showed
some grit and determination and indicated that Britain had had enough� he
problem with this speech is that it was delivered without the input of the foreign
oice and without the support of a speech writer (Parker, 1993, 205–207)� As a
consequence, the Prime Minister unilaterally set Britain on the path of European
intervention which he had been so keen to avoid� he consequences of the speech
were immediate� General Ironside, the Chief of the Committee of Imperial Defence, indicated that any strategy of containment had to include Soviet Russia, for
obvious reasons of both logistics and material support (Taylor, 1976, 255–257)� At
the same time, the French retreated further into their proverbial shell as a result
of the paralysis caused by the “lurch to the let” which French Politics took in the
1930s�4 As a consequence, there was no ofensively minded nation to stand against
Hitler on the continent that had the power to back up its policy� he British Prime
Minister thus found himself as the leader of the opposition to Nazi expansionism,
and Chamberlain, wisely or otherwise, was guided by the previous French policy
of “encirclement”, initially suggesting a “peace front” consisting Poland, Hungary
and Romania (Parker, 1993, 216–217)� Frantic British diplomatic eforts were
quickly rebufed by both Budapest and Bucharest� But the pressure of a forthcoming General Election meant that Chamberlain was forced into action, despite the
lack of willing allies in the east�
As the British sought a coherent strategy that would receive backing throughout Europe, a number of things happened in short order to push Chamberlain
over the edge� Firstly, Joseph Kennedy reported that Hitler had determined upon
the complete dismemberment of Poland, taking the juiciest bits for himself� An
SIS report came to a similar conclusion that Germany was about to embark upon
the next partition of Poland� hen, a Berlin based journalist, Ian Colvin, reported
directly to Halifax and Chamberlain that he had seen the Wehrmacht marching
through Berlin in the direction of Danzig� hen, the German press started to
report both a clear anti-Polish sentiment, and that German minorities within
Poland were the subject of persecution� As a reciprocal act, the Polish press started
4
See Horne (1990) for a full discussion of the nature of the French political malaise of
the inter-war period�
he British Guarantee to Poland of 1939
217
to print alarmist reports of German agitation and aggression, with the result that
Chamberlin called an emergency cabinet meeting to discuss the issue of Polish
independence (Taylor, 1976, 256–259)� hat same day, 30th March, Chamberlain
was to address Parliament and, in an impromptu speech, he gave a unilateral guarantee of Polish territorial integrity (Parker, 1993, 215)� his unexpected move was
immediately agreed upon by Beck, who knew that the only way to avoid alliance
with Germany was through alliance with Britain� he fundamental problem with
this situation was that Chamberlain had, efectively, passed the fate of the British
Empire into the hands of the Polish Foreign Minister� Despite a number of retractions, Count Edward Raczyński, the Polish Ambassador to London, was keen to
tie the British down to a irm commitment (Karski, 2014, 194)� Consequently,
members of the Chamberlain Cabinet made a number of public pronouncements
and Beck (who was scheduled to travel to London in March as part of a series
of ongoing trade negotiations) was able to sign a tentative—if vaguely worded—
agreement pertaining to Polish territorial integrity�
3. he New Reality
As a consequence, Poland was to achieve the long-term goal set by Piłsudski of
cementing an alliance with Britain to secure the future� Britain, conversely, was
obliged to defend Polish territorial integrity� Despite a number of claims to the
contrary,5 this is exactly what the British were to do in September 1939� Despite
this strategic development, the Soviet Union, the missing piece in the puzzle,
remained isolated because of the almost pathological mistrust of Chamberlain
towards the Stalinist regime (Parker, 1993, 228)� France remained a reticent partner, and Chamberlain remained set upon the course of avoiding war with a major
European power� he one immediate alteration was that the committee of Imperial
Defence inally recognised that Germany was the prime threat to the security of
the British Empire (Postan, 1952, 84)� What did change in the ensuing period was,
primarily, Beck’s more conident position in refusing the demands of the Nazis�
He had a guarantee and he was not afraid to use it� Britain, on the other hand,
was locked in a slow drit towards Moscow� And, given Chamberlain’s loathing
of Stalin, this was a venture doomed to failure� But even had the British been in
earnest, there was absolutely no chance of bringing Poland and the Soviets into
a single coalition� As Beck himself stated “If France and England wish to renew
talks with Russia, they may do so� …As far as we are concerned, we will present
5
For a discussion of the treacherous nature of British Relations with Poland in the immediate build-up to the war, see Prazmowska (2004) or Walker (2008)�
218
Donald Trinder
no obstacle, but I will not participate in such a dangerous game” (Ciechanowski,
2008, 58)� he British and the French did increase the rate of rearmament, but
it was a case of too little, too late, as can be shown by the failure of the British to
ofer the Polish negotiating team anything concrete during the Anglo-Polish arms
talks of June and July 1939�
Concluding remarks
Which leads us on to the conclusions—Prior to the Prague coups, Eastern Europe
was a completely alien concept to British strategic thinkers, and Poland was
viewed with either scepticism or outright hostility� Appeasement was seen as the
only realistic way of avoiding war, especially for the British, who faced a much
greater threat in the Paciic from an expansionist Japan� In the meantime, Beck
was forced to steer a path of careful neutrality because of the lack of a reliable
partner in the west, and lack of internal strength at home�
Following the agreement, Eastern Europe became the main focus of thought of
British strategic thinkers, as it was inally recognised that Nazi Germany presented
the prime threat to British security� Poland was seen as the essential piece in the
puzzle because of the contiguous border with Germany� Ultimately, there was a
realisation that war was imminent and Britain needed to revert to their traditional
system of alliances that had always existed prior to previous continental expeditions� From a Polish perspective, Beck continued to seek to avoid making any
commitment to either of Poland’s two hostile neighbours, while at the same time
attempting to secure a irm commitment from the British pertaining to military
cooperation in the event of Nazi aggression�
As a result, we can say with a great deal of certainty that the British attitude
to Poland changed signiicantly� his is not the place to enter into counterfactual
debate as to whether it was the right thing to do, but it was for sure a signiicant
change in approach� From the Polish perspective, Piłsudski’s dream of alliance
with Britain became reality and an alternative to careful non-alignment inally
presented itself�
hus, we can say with a high degree of certainty that the guarantee of March
1939 presents a radical revolution for the following reasons� Firstly, Britain was
once again tied to a continental commitment that it was beyond the means of the
British Government to efectively control� Secondly, prior to the Prague Coup
Britain had been primarily concerned with Empire and the threat to stability
which Japan posed in the Paciic� In the months that followed, Germany became
the biggest threat to British security, and Poland was suddenly seen as the key to
developing a strategy of efective deterrence�
he British Guarantee to Poland of 1939
219
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1919–1945� Poznań: Wydawnictwo Poznańskie�
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Nowak, Andrzej� 2015� Pierwsza zdrada Zachodu� Warsaw: Wydawnictwo Literackie�
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1933� Oxford: Oxford University Press�
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he British War Blue Book� 1939� New York: Farra & Rinehart�
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David Jervis
“Insider” Accounts of Guantanamo:
the Good, the Bad, and the Absurd
Abstract: he article discussed a selection of irst-hand accounts of imprisonment at the
American detention camp at Guantanamo Bay, Cuba and focuses on the connection between so-called war on terrorism and the isolated American prison� he insights drawn
from the four books analysed are classiied as “the good”, “the bad”, and “the absurd”�
he very nature of prisons means that outsiders have little information about life
inside� he purpose of imprisonment is to isolate the prisoners from the outside
world, and those in positions of authority typically have little interest or incentive to reveal the institution’s inner workings� hose generalizations apply even
more starkly to the American prison at Guantanamo Bay, Cuba� Not only is it
geographically isolated, but it is under the control of the American military, communication to and from detainees is censored, and the authorities make eforts to
restrict the number and length of visits with the detainees
his is not to say that nothing is known about the prison, the prisoners, or the
Americans who interact with them� his review examines four books written by
those who have been on the “inside”� Two were written by Americans, Murder at
Camp Delta by Joseph Hickman and My Guantanamo Diary by Mahvish Rukhsana Khan� Two were written by detainees, Enemy Combatant by Moazzem Begg
and Enemy Combatant by Mohamedou Ould Slahi (edited by Larry Siems)� Collectively, they provide four perspectives: a British prisoner who has been released,
a Mauritanian prisoner who remains at Guantanamo, an American lawyer working on behalf of the prisoners, and an American soldier assigned to guard them�
No claim is made that these works provide the complete story of Guantanamo,
something that is unlikely to happen until the prison is closed and more of those
on the inside have told their stories� Moreover, the stories told here occurred
largely during the prison’s irst ive years, when circumstantial evidence suggests
that conditions were the worst, and not in the last eight years when President
Obama has been trying to close Guantanamo�
Still, this brief review provides a modest insight into life in the prison in its
early years, relying largely on the words of those who have been on the inside�
It also adds to the growing scientiic literature on the role of prisons in shaping
revolutionary leaders and their movements� Insights drawn from the books will
222
David Jervis
be classiied as good, bad, and absurd� First, however, there is a need to introduce
the Guantanamo Bay prison and the authors�
Introduction
he area around Guantanamo Bay had been granted to the United States by Cuba
soon ater the Spanish-American War (1898)� he naval base there had become
less important in the years prior to 2001� With the war on terror, the U�S� needed
a place to house those who had been captured in Afghanistan and elsewhere
and, despite its distance from Afghanistan and the fact that it initially did not
have the facilities to house large numbers of prisoners, Guantanamo was selected�
Among the reasons, it seems, was its geographical isolation and the belief, later
overturned by the U�S� Supreme Court, that prisoners on the island would not
have the same rights as those on U�S� soil� he irst detainees arrived in January
2002 and over the next fourteen years more than 770 prisoners have been housed
there� Of those, 695 have been released as of July 2016, 76 remain in the prison,
and 45 of those have been recommended for continued detention (Packard 2013;
“he Guantanamo Docket” 2016)�
he two American authors irst arrived at Guantanamo at almost exactly the
same time, Khan on January 29, 2006 and Hickman just six weeks later, on March
10� Beyond spending time on the island at the same time, they had little in common� Hickman was older and had spent much of his life in the military or corrections work in the civilian world, while Khan was a law student� Khan was the
only one of these authors who went to Guantanamo voluntarily� Why? Part of
her answer is that, while “I didn’t know whether the men at Guantanamo were
innocent of guilty…I believed they should be entitled to the same justice that
even a rapist or a murderer gets in the United States”� Moreover, as a PakistaniAmerican and a Pashto, she had much in common with many of the prisoners�
hese were “people like me and my relatives”, and she believed she had to help
(Khan 2008, 2)� hus, her role was to try to reach out to the prisoners and help
them, while Hickman’s job was to try to isolate them�
he two detainee authors, in contrast, have much in common, with one important diference: Begg was released from Guantanamo in January 2005, but Slahi is
still there� A 2008 “detainee assessment” described Slahi as “high risk, as he is likely
to pose a severe to the US, its interests, and its allies” and “of high intelligence value”�
He was recommended for release in 2010, but the Obama administration appealed
the decision and it was overturned (“he Guantanamo Docket” 2016; Rosenberg
and Savage 2016)� Among their similarities, they were born at roughly the same
time, Begg in 1968 and Slahi in 1970, were well-educated and well-travelled� heir
“Insider” Accounts of Guantanamo
223
travels took them to Afghanistan and Pakistan and to mujahedeen training camps
there, Slahi in 1991–92 and Begg in 1993–94� However, both were later critical of
al Qaeda, Osama bin Laden, and the mujahedeen� For Begg, bin Laden was hurting
the cause of Muslims by courting trouble with the U�S�, while Slahi was critical of
the large number of Muslims being killed in mujahedeen power struggles� Both had
been under investigation by security services before and ater 9/11, and both had
been cleared by local security services� However, the Americans were not satisied
and had them re-arrested� hus, began what Slahi referred to as his “endless world
tour” (Slahi 2015, 256) of detention and torture facilities in Jordan, Pakistan, and
then, Guantanamo� Begg’s “tour” was less extensive, but included stops in Kandahar
and Bagram in Afghanistan before being sent to Guantanamo�
1. he Good
It is surprising that anything good could emerge from the experiences of these
authors in Guantanamo, but each of them came to recognize, minimally, the humanity of those they had irst characterized as “the enemy”, and, in some cases, to
develop genuine concern or afection for them� his recognition probably came
most easily to Khan, since her cultural background was similar to that of many
detainees and her role required that she try to reach out to and understand them�
It came more slowly for the other authors� For their part, Americans were dealing
with both a new enemy and a new type of enemy: as Clive Staford Smith, one of
Begg’s lawyers, noted, “In the US they have always hated black people but never
feared them� During the Cold War, they feared the Soviets but never hated them�
With the Muslim world, they fear you and hate you” (Staford Smith quoted in
Begg 2006, 326, emphasis in original)� Moreover, they were guarding persons who
they believed had been responsible for or, minimally, supportive of terrorist actions
against the United States� Hickman relects this sentiment, initially describing
his one-year assignment in Guantanamo as “going away for a year and guarding
a bunch of terrorists in Cuba” (Hickman 2015, 5)� Nonetheless, he and some of
the other guards were able to overcome this hostility� he incident that irst made
Hickman realize detainees were human was an innocent one: he returned a football that had gotten out of the detainees’ compound� When a detainee thanked
him, “hanks, mate� Bloody decent of you� God bless!” Hickman began to think:
…I realized that up until that moment I had viewed the detainees as less than human�
…With their long hair and wild beards, they looked dirty, disgusting, and mad� hat
little interaction changed my perception� I couldn’t say I liked them� hey were still the
enemy� But I no longer saw detainees as subhuman� I saw them as bad people� It’s not a
huge diference, but it was deinitely a change� (Hickman 2015, 42)
224
David Jervis
Building on that initial contact, Hickman came to believe that,
As much as I hated the enemy—the guys we held inside Camp Delta—I didn’t see why
they should be treated any worse than the German or Japanese prisoners held under our
charge during World War II� he detainees were no less human than any other enemy
America had ever faced� hey were still people� (Hickman 2015, 49)
hat belief was likely one reason for his energetic pursuit of the truth about the
deaths of several detainees that forms the core of his book�
he detainees, for their part, had been arrested, imprisoned, and brutalized by
the Americans long before their arrival in Cuba� As Slahi writes, for the detainees
the environment there was “not likely to be one of love and reconciliation”:
… you have interrogators who are prepared, schooled, trained and pitted to meet their
worst enemies� And you have detainees who typically were captured and turned over to
U�S� forces without any proper judicial process� Ater that, they experienced heavy mistreatment in another hemisphere, at GITMO Bay, by a country that claims to safeguard
human rights all over the world—but a country that many Muslims suspect is conspiring
with other forces to wipe the Islamic religion of the face of the earth� (Slahi 2015, 312–13)
Yet both detainee authors report a number of positive interactions with their
captors� At irst, Slahi felt guilty about doing so: “At one point I hated myself…
I started to ask myself questions over the humane emotions I was having toward
my enemies� How could you cry for somebody who caused you so much pain and
destroyed tour life?” (Slahi 2015, 313–14) Begg writes of conversations with many
of the guards, some female, some white, some African-American, and some from
Puerto Rico and the U�S� Virgin Islands� He became especially friendly with one
female guard, Jennifer� While “I would never have imagined that I could ind a
friend in someone like her”, he did, inding common interests in poetry, classical
literature, ancient history, among other things� She told him at one point, “I know
it sounds treasonous, but I would rather sit here and talk with y’all than with the
airheads we have in the military” (qtd� in Begg 2006, 236–37)� Similarly, Slahi
reports being told things such as “I am your friend, I don’t care what anybody
says”, “I hope you get released”, “you guys are my brothers, all of you”, and “I love
you” by some of the guards, while one went so far as to tell him that “You are a
great person” (Slahi 2015, 313)�
Detainees also developed positive feelings about at least some of the guards�
Slahi went so far as to write that he had developed a “family” in Guantanamo,
consisting of the guards and his fellow detainees� “True, you didn’t choose this
family, nor did you grow up with it, but it’s a family all the same… I personally love
my family and wouldn’t trade it for the world, but I have developed a family in jail
that I care also about” (Slahi 2015, 315)� He even came to recognize that some of
“Insider” Accounts of Guantanamo
225
the interrogators were human beings: “I have been uninterruptedly interrogated
since January 2000, and I have seen all kinds of interrogators: good, bad, and
in-between”� Nonetheless, interrogators “were human beings, with feelings and
emotions” (Slahi 2015, 353)� Khan, too, uses the metaphor of a family to describe
her relationships with many of those she came into contact with� She writes that
they “showed me the human face of the war on terrorism� hough they were systematically dehumanized, to me they became like friends, or brothers, or fathers
and uncles� I oten see their faces in my dreams at night” (Khan 2008, 278–79)�
hat each of these authors came a new understanding of the other side is evident from either the irst of last words in their books� he books by the Americans
are dedicated to the detainees or their families� Khan’s dedication, in part, is “…
to my friends behind the wire”, while Hickman’s is to “Taalal al-Zabrani, father
of Yasser al-Zabrani who died at Guantanamo Bay, Cuba, while in U�S� custody,
July 9, 2006”� Books by the detainees seek common understanding with those who
had imprisoned them� he prologue to Begg’s Enemy Combatant, declares that,
“One of the more ambitious aims of this book is to ind common ground between
people on opposing sides of this new war, to introduce the voice of reason, which
is so frequently drowned by the roar of hatred and intolerance” (Begg 2006, xvii)�
Slahi asks in his last paragraph: “What do the American people think? I am eager
to know� I would like to believe the majority of Americans want to see Justice
done, and they are not interested in inancing the detention of innocent people”
(Slahi 2015, 372)�
2. he Bad
While guards and detainees in Guantanamo might be able to reach out to some on
the other side, the prevailing reality in any prison is one of hostility and violence�
his is also true at Guantanamo and will be illustrated by three elements of reality
there: torture, innocent detainees, and unexplained deaths� It is now incontrovertible that the Americans practiced torture in their prisons� While both Begg and
Slahi were subjected to extensive torture, their books do not devote too much
attention to it� What they add is the impact of particular torture techniques� his
is especially true of Slahi, who was tortured extensively and whose interrogation
regimen had been approved by Secretary of Defense Donald Rumsfeld, himself�
He was made to stand for hours, something that might not seem too stressful,
but those who have studied torture practices have concluded that, “Prisoners
who underwent long periods of standing and sitting…report no other experience
could be more excruciating” (Albert Biderman qtd� in Slahi 2015, 240)� here was
also sexual molestation: female interrogators would take of their blouses, speak
226
David Jervis
inappropriately to him, rub against his body, and fondle his genitals� Slahi wrote,
“What many [redacted] don’t realize is that men get hurt the same as women if
they are forced to have sex, maybe more due to the traditional position of the
man” (Slahi 2015, 230)� Begg spent nearly two years in solitary coninement, and
later wrote that it was “hard to describe the sense of utter desperation and claustrophobia I oten felt…isolated in a cell smaller than my toilet at home�” He spent
“countless nights praying, crying, thinking…and regretting certain decisions in
my life� When I inally did get to sleep, my dreams were illed with strange and
wonderful visions of life far away from US soldiers and concentration camps� In
fact, I hated waking up� I wished I never woke up again” (Begg 2006, 239)�
It is not surprising that detainees would report torture, and some might argue
that they have an incentive to make such reports and to exaggerate them� However,
Hickman also reports abuse of prisoners, describing the “appalling conditions” in
which the prisoners lived: “the open cells, the oven-like temperatures, the rules
against any exercise in the cells, the isolation, and the abuse by navy guards…”
(Hickman 2015, 51)� hese conditions were well-known to the military leadership,
which did nothing to alter them� Rather, as Hickman came to understand, “I was
serving a command that systematically engaged in violations of laws and codes of
conduct that military and civilian leaders swore to the world we were upholding”
(Hickman 2015, 77)� Slahi also noted the sharp contrast between American rhetoric and Gitmo reality: “President Bush described his holy war against the so-called
terrorism as a war between the civilized and barbaric world� But his government
committed more barbaric acts than the terrorists themselves” (Slahi 2015, 241)�
hese books provide evidence that at least some of those in Guantanamo were
not guilty� Both Khan and Hickman identify a 2006 study based solely on U�S�
government sources that showed that merely ive percent of those in Guantanamo
had been captured by U�S� personnel� he others had been turned over by Afghan
warlords, Pakistani intelligence, or foreign dictatorships� Hickman was “stunned”
when he learned this information, and asked “How could we be sure that all the
people handed to us by bounty hunters and warlords were anti-American terrorists?” (Hickman 2015, 104) However, the best evidence in these books that Begg
and Slahi were not guilty of the most serious charges against them is that Begg
was released ater “confessing,” and Slahi has never been tried despite “confessing�” Begg confessed that he was a long-time member of al Qaeda and had taught
in its training camps, that his book shop in Britain was a recruiting center for
al-Qaeda, and that he had given money to an individual involved in the 2000
Millennium Plot� He claims he only did so ater being threatened with indeinite
imprisonment and/or execution and, believing that his confession was so poorly
“Insider” Accounts of Guantanamo
227
written and so devoid of evidence, that it would be meaningless� It must have
been, because he was released and allowed to return to the UK in January 2005,
and police authorities there immediately allowed him to return to civilian life�
Slahi, too, “confessed,” that he was involved in both the Millennium Plot and 9/11,
although he insists he did so only to ease the physical and psychological pain he
was experiencing from torture� here is much to suggest that this is true because,
despite the confession, prosecutors could not assemble enough useable evidence
to charge him� One noted that prosecutors were trying “to ind something we could
charge him with, and that was where we were having real trouble” (Davis quoted
in Slahi 2015, xli, emphasis in the original)�
Additional evidence that many in Gitmo were not guilty or guilty of only relatively minor crimes is that most detainees have been released� As noted earlier,
almost 700 of the nearly 800 detainees housed in the prison at one time or another
have been released� Khan quotes a lawyer for one of those: “If the U�S administration believed that [the released detainee] was a threat to our national security, he
would still be at Guantanamo� he fact that he was voluntarily sent home shows
clearly that there is no basis to believe that he poses any threat” (Joshua ColangeloBryan quoted in Khan 2008, 298)�
he main focus of Hickman’s book is three deaths at Guantanamo in June 2006�
While his title suggests that the deaths were “murders”, the conclusion in the text,
itself, is that they were probably accidental; nonetheless, he believes the incident
raises many questions� he relevant events occurred on June 9, 2006 in a building
Hickman had previously discovered and referred to as “Camp No”, because it was
outside the regular camp and did not appear on any map� He knew CIA personnel
worked there, that prisoners were delivered there, and he had heard screaming
coming from the building� Hickman and his men, responsible for guarding the
entrances to the regular camp on June 9, knew that three prisoners had been
moved from the regular prison to Camp No, had been there for several hours,
were taken to the medical center upon their return to the regular camp, and were
dead at time of admission, i�e�, they had died somewhere outside of the camp,
probably at Camp No� From the start, the military misrepresented the story� he
base commander, Harry Harris, Jr�, blamed the victims, describing the deaths as
“an act of asymmetric warfare against us” by people who “have no regard for human life, neither ours nor their own” (quoted in Khan 2008, 154)� he military was
also reporting things that Hickman knew not to be true, e�g�, that the prisoners
had hung themselves in their cells� Moreover, it was implausible that there would
be three successful suicides on the same night when there had not been a single
detainee suicide prior to June 2006, despite many eforts� A full-ledged Naval
228
David Jervis
Criminal Investigative Service (NCIS) report on the incident, which Hickman
described as “the stuf of fantasy,” was released in the summer of 2008 (Hickman
2015, 121)� Working with professors and students at Seton Hall University, Hickman discovered multiple inconsistencies and mistakes in the report, leading him
to conclude that it was an efort at a cover-up� he investigation raised a number
of questions� A guard’s inspection of the cells on the aternoon of June 9, for instance, indicated that there was no contraband in them, meaning for the suicides
to happen, the prisoners would have had to assemble a lot of contraband between
the aternoon inspection and their deaths that night� here were also surprising
omissions: the June 9 oicial guard’s log, reporting the comings and goings of prisoners, was missing and there was no video evidence of what happened in the cells
that night, despite the fact that the cells were constantly monitored� Something
else that was missing was the necks of the deceased� here were no photos of them
in the oicial autopsy, nor were they returned with the bodies to their families�
his is curious, because the necks would be a crucial piece of evidence helping
to determine if the detainees died due to suicide by strangulation, as reported in
the NCIS report, or by asphyxiation by having rags forced down their throats, as
suggested in another oicial report�
Hickman concludes his investigation by arguing that,
Given the totality of the contradictions, gaps, and outright absurdities in the NCIS report,
it seemed most likely to me that the cell block guards lied about inding the detainees
hanging in their cells and cutting nooses of their necks because the men hadn’t been in
their cells� he detainees who died were the same three men I saw removed from Alpha
block earlier in the evening at the start of my shit� hey died not by hanging but as a
result of asphyxiation at a remote site, Camp No� (Hickman 2015, 195)
3. he Absurd
hese books contain details about multiple absurdities at the prison, things that
can only make the reader laugh� One absurdity from each of the books will be
identiied here� Hickman notes that he and his men received a brieing about
the Cuban rock iguana, which was protected by America’s Endangered Species
Act� he legal oicer told them, “We guard the health and well-being of these
creatures”, and that while “the use of deadly force on a detainee can be justiied
given the right circumstances [,] [t]here is absolutely no justiication for harming
an iguana” (quoted in Hickman 2015, 9)� he obvious irony is that “prisoners at
Guantanamo are entitled to fewer protections than an iguana” (Khan 2008, 40)�
Khan tells a hilarious story about lawyers being accused of smuggling contraband to their clients� he contraband? Underwear and a Speedo bathing suit! he
“Insider” Accounts of Guantanamo
229
lawyer receiving the letter, Clive Staford Smith, responded that, “I will confess
that I have never received such an extraordinary letter in my entire career”, and
then efectively ridiculed the accusation by noting that everyone and everything
entering the prison is searched and that he had not been allowed to see his client in
more than a year (quoted in Khan 2008, 93–94)� While Guantanamo commanders
were worried about preventing contraband from entering the prison, Begg writes
of the diiculty of a released prisoner getting out� He was blindfolded and shackled
on the way from his cell to the plane that would return him to London, perhaps
an absurdity in itself, but once he arrived at the plane, his guards realized that no
one had the key to unlock the shackles on his wrists� Consequently, they had to
use a pair of wire cutters to open the chains, but the irst pair used was not big
enough, so they then had to bring in a second, larger pair�
Finally, Slahi’s book reminds us that there remains much we do not know
about the inner workings of Guantanamo� Because he remains in U�S� custody, the
book’s contents had to be approved by the U�S� government before their release�
Amazingly, more than 2,500 redactions were made to the original manuscript�
Among the items that appear to have been redacted: when Slahi was sent to Guantanamo and the route he took; the names, nationalities, and gender of those who
were interrogating him (pronouns suggesting his interrogator was a female were
removed, while those indicating a male interrogator were not), and the names of
those individuals about whom he was interrogated�
here are undoubtedly many more good, bad, and absurd realities at Guantanamo, but we will only know of many of them when there are no more insiders
and those who have been imprisoned or worked there can freely tell their stories�
References
Begg, Moazzem� 2006� Enemy Combatant: My Imprisonment at Guantanamo,
Bagram, and Kandahar� London: New Press�
Hickman, Joseph� 2015� Murder at Camp Delta: A Staf Sergeant’s Pursuit of the
Truth About Guantanamo Bay� London: Simon & Schuster�
Khan, Mahvish Rukhsana� 2008� My Guantanamo Diary: he Detainees and the
Stories hey Told Me� New York: Public Afairs�
Packard, Scott� 2013� “How Guantanamo Bay Became the Place the U�S� Keeps
Detainees�” he Atlantic, September 4� Accessed February 11, 2016� www�
theatlantic�com/national/archive/2013/09/how-guantanamo-bay-became-theplace-the-us-keeps-detainees/279308�
Rosenberg, Matthew, and Savage, Charlie� 2016� “One Guantanamo Detainee
Pleads for Release, but Another Does Not Appear�” New York Times, June 2�
230
David Jervis
www�nytimes�com/2016/06/03/us/guantanamo-detainee-held-since-2001-presents-case-for-release�html?_r=0
Slahi, Mohamedou Ould� 2015� Guantanamo Diary� London: Canongate�
“he Guantanamo Docket�” 2016� New York Times� Accessed July 22, 2016� http://
projects�nytimes�com/guantanamo�
Péter Gaál-Szabó
Black Muslim Communication Strategy
in the 1950s and 1960s
From a Co-Cultural Perspective
Abstract: he text focuses on speeches and sermons delivered by major African American
religious leaders in the 1950s and 1960s which channelled the evolution of a renewed
African American (religio-)cultural identity� he speeches and sermons ultimately relect
upon the co-cultural embeddedness of the speaker, while the heterogeneity of the African
American community further complicates a coherent view of communication strategies�
Introduction
he 1950s and 1960s witness the advent of a newly emerging African American religio-cultural projection triggered by the need in the African American
community to re-establish themselves in response to white subversive challenges
and to authenticate the African American self for itself—a maneuver proving a
growing emphasis on accommodation instead of assimilation or separation� It
is, however, the latter phenomenon that I examine here vis-à-vis Black Muslim
communication patterns in the period, using co-cultural theory, an intercultural
theory positing diferent preferred outcomes, i�e�, assimilation, accommodation,
and separation; since separation forms a decisive part of the communication strategy in the speeches of leaders of the Nation of Islam, thus further colouring the
overall African American response�
he Nation of Islam and Separation
For the Nation of Islam to present itself as a distinct group it became increasingly
necessary to deine itself in opposition to both the white American nation and
African American groups� Dennis Walker connects the process to “religion-tinged
stateless nationalisms” (2005, 27) and “enclavenationalisms” (2005, 27), insisting
on the Nation’s “absorption of Arabic words and ideas to solidify into a distinctive
micronation within—and apart from—the mainly Christian African-American
enclave-nation” (2005, 27)� heir micronationalism evolves in strong transpatial tactics in establishing diferences and intracultural maneuvers to enhance connections
with the larger African American community� So when Walker refers to “further
loss of continuous spatiality or homeland that the African-American enclave-nation
232
Péter Gaál-Szabó
experienced in the late-modern and post-modern eras” (2005, 28) as a deinition of
the Nation’s micronationalism, he enlarges both on the erasure of spatial ties with
the African continent as yet a source of genealogy and on the perception of contemporary spatial displacement of the African American community in America�1
Spatial displacement does not only become the token of diference, but also the
source of building a replenishing identity, especially as spatial displacement also
signiies economic and social displacement—reasons why integration and, generally speaking, accommodation is not an option for many members of the African
American community: “To black people disenchanted with the pieties of integration
and turning the other cheek, moral exhortation to whites looked like obsequiousness, betrayal, and self-hatred—or just plain pointless” (Rieder 2008, 251–2)�
It is this dual movement that characterizes the Nation’s communication even
when acts of aggressive separation appear to dominate the interaction� Establishing diference evolves on several levels, including race, anti-Semitism, theology,
and intrareligion (relating to world Islam), while accompanying features materializing separatist objectives are presented by economic nationalism (Cruse 1987,
235)—especially in contrast to Civil Righters’ “noneconomic liberalism” (Cruse
1987, 79)—, social, and educational aspects�
he race question is prevailing in both Elijah Muhammad’s and Malcolm X’s
speeches� he blue-eyed devil theme includes the demonization of whites, including Jews, but, at the same time, the deiication of African Americans� Adopting
the condemning image of whites from his predecessor, Elijah Muhammad communicates a contrasting image of blacks:
he time is ripe for your return� You will never again be slaves to any other nation� Allah
will make you the head and not the tail� Accept your own! Stop destroying yourself trying
to be other than your own kind and patterning ater a doomed race of devils� (1965, 100)
Although his depiction of blacks mirrors their social plight in contemporary
America—in a subverted and muted position, the contrast he sets up between
blacks and whites envisions radical change, i�e�, the inversion of positioning:
he white devil’s day is over […] He was given six thousand years to rule … He’s already
used up most trapping and murdering the black nations by the hundreds of thousands�
Now he’s worried, worried about the black man getting his revenge� (qtd� in Parks 1963, 31)
1
In addition, Walker points out that another spatial facet of micronationalisms is that,
instead of becoming a coherent territorial enclave, it has been “severely fragmented
into scattered, non-connected segments or micro-patches” (2005, 29)� he patches
represent groups and even individuals contributing to the texture of the micro-nation
as “dots of micro-homelands all connected by the web” (29)�
Black Muslim Communication Strategy in the 1950s and 1960s
233
Seeking to maintain barriers—in an aggressive rather than non-assertive way—,
he strengthens group identiication, which in the given American socio-political
scene destabilizing African American self-esteem reduces feelings of uncertainty�
Muhammad’s “uncertaintysponsored zealotry” (Hogg 2012, 21) as Michael A�
Hogg identiies similar notions, arguably becomes a useful tool in articulating
boundaries, estranging as it is for white outgroup members� As Hogg observes,
“highly entitative groups that are distinctive and clearly deined are most efective
at reducing self-uncertainty” (2012, 20)� It stems from the perception of similarity, but, irst and foremost, the heightened perception of similarity based also
on comparison by contrast� On the one hand, establishing an anti-picture of the
white oppressor is similar to Bhabha’s idea of mimicry that—in Borbála Bökös’
evaluation—“can lead to the deconstruction of the colonizer either by shattering its authority or through the acquisition of a superior self-image and higher
ideological values by the colonized subject” (2007, 55); on the other, in efect less
osmosis is allowed between groups in this way and the increased perception of
ingroup homogeneity contributes to the reduction of uncertainty, counterbalancing thus the disadvantaged position of African Americans in contemporary
societal structure�2
In this way, the Nation of Islam seeks to counteract what Zafar Ishaq Ansari
identiies as “the common belief in White America” (1981, 171), according to
which “the Negro is biologically deicient, that he is a born savage, that he has
no glorious past to boast of, and that as the descendant of Ham, he is under the
unending curse of God” (Ansari 1981, 171)� he Black Muslim move represents
“counter-demonization” (Walker 2005, 276) par excellence, which serves to construct and maintain barriers through inverting the race issue� It has additional
functions, however, as it is also strategically displayed to internalize the proposed
stereotyped image in whites and to invoke self-hate (see Gould 2006, 228), and to
exemplify group strength—an assertive tool in Mark P� Orbe’s theorizing (see Orbe
1998, 59)—to raise consciousness in the African American community� As Ansari
assesses Black Muslim racist theology: “they created a new sense of belonging
and enabled the converts to look towards the future with serene self-conidence”
2
Ingroup homogeneity results from less mind attribution as Carey K� Morewedge et al�
point out� However, it they also observe that “his does not necessarily indicate that
membership in an entitative group reduces attribution of mind to individual members …, as people can explain and predict the behavior of others by using knowledge
structures such as stereotypes and naïve psychological theories without consideration
of others’ minds” (2013, 1198)—the quality of mind attribution ultimately undergirds
homogeneity and dissociating�
234
Péter Gaál-Szabó
(1981, 172)� Seeking to establish a “critical consciousness”, i�e�, to evade “the deception of palliative solutions” and “to engage in authentic transformation of reality
in order” (Freire 2005, 181), Malcolm X exhorts—still a spokesperson for Elijah
Muhammad in 1963:
But the white man is misjudging the times and he is underestimating the American socalled Negro because we’re living in a new day� Our people are now a new people� hat
old Uncle Tom-type Negro is dead� Our people have no more fear of anyone, no more
fear of anything� We are not afraid to go to jail� We are not afraid to give our very life
itself� And we’re not afraid to take the lives of those who try to take our lives� We believe
in a fair exchange�3 (1989, 68)
His communication strategy swings from one end of co-cultural communication
of non-assertive separation, reinforcing merely avoiding, to the far end, aggressive
separation, including threatening and attacking outgroup members� “Avoiding
places and gatherings” (Orbe 1998, 56)—a more physical practice—and “averting
controversies” or “topical avoidance”—a more “proactive communicative practice” (Orbe 1998, 57) represent a less militant approach to interactions, leaving
more space for political adjustment, whereas attacking pertains to verbal attacks
and threats�
Just as immigrant Muslims “denigrated heresies he presented as Islam” (Walker
1990, 377), Muhammad also distanced himself from Eastern Islam� In addition to
separation from white (Christian) America, intrareligious separation evolves from
the Nation’s theology� It is mainly due to Fard’s and Muhammad’s racist theology
culminating in the condemnation of whites, which is why the Black Muslim deity
is “a black God, and is the God of the Blacks alone” (Ansari 1981, 146)� Unlike
Malcolm X, who as a Sunni convert converges to Islam, Elijah Muhammad appears
to distance himself from world Islam over the years:
3
he parallel phenomenon can be witnessed in the white right-wing camp, attacking
the integration of African Americans and ingroup opposing fractions, e�g�, the federal
government� In his 1963 inaugural speech Alabama governor George Wallace devises
the same communication strategy Malcolm X makes use of, exemplifying strength
and raising consciousness, and even envisioning possible collaboration: “We invite
the negro citizens of Alabama to work with us from his separate racial station…as we
will work with him…to develop, to grow in individual freedom and enrichment� …
But we warn those, of any group, who would follow the false doctrine of communistic
amalgamation that we will not surrender our system of government…our freedom of
race and religion…that freedom was won at a hard price and if it requires a hard price
to retain it…we are able…and quite willing to pay it” (2011, 161)�
Black Muslim Communication Strategy in the 1950s and 1960s
235
he ignorant belief of the Orthodox Muslims that Allah (God) is some formless something (sic) and yet He has An Interest (sic) in our afairs, can be condemned in no limit
of time� I would not give two cents for that kind of God in which they believe� (qtd� in
Ansari 1981, 146)
His theology is grounded in his strategically aligned self-perception� On the one
hand, since Fard, the Mahdi, commissioned him personally, he enjoys primacy
among the prophets and surmounts them in relevance� Ansari also allures to the
fact that in his last years Muhammad even appeared to undermine the prophetic
status of the Prophet Muhammad and call him a white man (Ansari 1981, 149)�
As Ansari highlights,
Laying claim to full-ledged prophethood, Elijah Muhammad invested himself with all
the authority which, in the Islamic tradition, belongs only to a true messenger of God,
and which was conferred inally by God on Muhammad (peace be on him) since with
him prophethood came to an end� (1981, 153)
On the other, to focalize his group, prevent its disintegration through integration
into the ummah, he needs to contain inluences from Islam, too� He achieves it on
ethical grounds when he calls Eastern Muslims corrupted and hypocrites (Berg
2010, 397), dismissing them as de facto renegades (see Rokeach 1960, 78) and
theologically on racial grounds as well� In his book Our Saviour Has Arrived, he
explicitly excludes white Muslims from the Black Muslim Hereater:
he white people who believe in Islam will not enter the Hereater that is Promised to
the Lost-Found Black People� he Lost-Found People will take on a new birth� But the
white people who believe in Islam will not take on a new birth because they will not be
the people to live forever� Because of their belief in Islam, they will escape the great world
destruction that we now face� (1969, 89)
Whereas in the Islamic tradition Akhirat (“the other world” or “the spiritual
world” [Elahi 2007, 132]) and ma’ad (the “realm of Return” [Elahi 2007, 64])
represent the divine intention “that He might try you—which of you is best in
deeds” (Quran 67:3), for Elijah Muhammad the hereater serves to uphold the
racial barrier� he setting of Ramadan at Christmas represents a plastic indication
of his political overdetermination�4
Black Muslim veriication of identity relies on the assertive communication
practice of embracing both auto- and heterostereotypes, which ultimately refers
4
Some changes in Muhammad’s relationship with Eastern Muslims is shown by the fact
that he reset the observation of Ramadan according to the Islamic calendar in the 1970s
and requested an orthodox Muslim to wed his grandchildren (Clegg 1977, 255)�
236
Péter Gaál-Szabó
to the oversimpliication of both ingroup and outgroup members� In Stella TingToomey’s coinage the maneuver equals with “mindlessness,” which she sees as “the
heavy reliance on familiar frame of reference, old routinized designs or categories,
and customary ways of doing things” (1999, 46)—typical practices employed and
advocated by both Elijah Muhammad and the early Malcolm X� Mindlessness
refers primarily to the lack of openness to outgroup members and thus the refusal
of decategorization rendering their communication inlexible and divergent, and
unvarying regarding the interpretation of diferent outgroups� As Walker observes
regarding the approach to Arabs in the Black Muslim newspaper,
While the dominant trend in Muhammad Speaks was to blend the Arabs into the international Black Nation, some items did see the Arabs as whites and juxtaposed them, perhaps
correctly, with the Jews, also seen as white in this variety of communications� (2005, 327)
Black Muslim classiication is restrained to a dualism of black and non-black—a
binary which even allows for the juxtaposition of whites (Anglo-whites), Arabs,
and Jews�
A similar notion of excommunication of fellow African Americans appears
when “hand-picked upper-class Negroes” (Malcolm X 1989, 65) are criticized
for turning their back on their less fortunate brothers and sisters� Malcolm X in
his 1963 “America’s Gravest Crisis since the Civil War” identiies them as “those
uppity Negroes who do escape, never reach back and pull the rest of our people out
with them� he Black masses remain trapped in the slums” (1989, 64)� Siding with
underclass blacks—an identiicatory move on his part—Malcolm X goes beyond
raising mere class issues to debunk any myth of upward social mobility and also
to attack a segment of the African American community� He makes his critique
overtly an issue of ingroup separation by tying it to the Civil Rights leadership
and ultimately to Christianity:
hey [i�e�, black masses] reject the Uncle Tom approach of the Negro leadership that
has been handpicked for them by the white man� hese Uncle Tom leaders do not speak
for the Negro majority; they don’t speak for the black masses� hey speak for the ‘black
bourgeoisie,’ the brainwashed, whiteminded, middle-class minority who are ashamed of
black, and don’t want to be identiied with the black masses, and are therefore seeking
to lose their “black identity” by mixing, mingling, intermarrying, and integrating with
the white man� (1971, 199)
In this way, Malcolm X brings together wealth, Christianity, and immorality, as, in
his estimation, Christian leaders not only fail to cater to the needs of black masses,
but also serve the white status quo treacherously and provide for themselves egotistically� As in “he Old Negro and the New Negro” (1963) he evaluates on the
basis of a Long Island example:
Black Muslim Communication Strategy in the 1950s and 1960s
237
But as a rule, sir, in most Negro communities across the country the only thing you’ll
ind Negroes building are Negro churches� … Now here this church provides a job only
for the preacher; it provides clothing and shelter only for this Negro preacher� Now if
this Negro preacher has the ingenuity that it takes to raise a million dollars or to inance
a million-dollar project, but the only thing he can inance is a church, it’s a problem� …
But the Negro leadership, especially the religious leadership, has actually committed a
crime almost in encouraging our people to build churches� But at the same time we never
build schools; we never build factories; we never build businesses; we never build housing
and things that will solve our problem� (Malcolm X 1971, 162)
His rhetoric, on the one hand, serves to estrange black Christian leadership from
the black masses through their identiication as sell-outs; but, on the other hand,
taking up an anti-Christian position serves similar purposes to Elijah Muhammad’s distancing from world Islam� Attacking and sabotaging other groups has the
function of self-deinition by contrast, while the latter also marks the return of the
colonial power discourse in a peculiar way: as Andrea Horváth insists, “the efects
of colonization remain efective in that they move away from the axis between
colonizers and colonized toward inner diferences within the decolonized society”
(2007, 32)—here the move signifying a will to difer within a power discourse� In
the interview Malcolm X is explicit about it when he defends Elijah Muhammad
against black Christian leaders: “But those same Negroes who unite against one
Negro, you can’t get them to unite together on any problem under the sun except
against another Negro” (1971, 160)� he dichotomizing shows that the “one Negro”
standing alone is the strong man wanted, who is, at the same time, one of the black
mass� In this one picture Malcom X compresses thus racial solidarity and martyrdom—both signiicant building blocks of Black Muslim identity�
he anti-white and anti-black Christian discourse (oten accompanied by an
anti-Semitic one [Walker 2005, 286]) are treated together to provide for the general cause and explanation of African American trauma:
he black people of this country have been victims of violence at the hands of the white
men for four hundred years, and following the ignorant Negro preachers, we have thought
that it was godlike to turn the other cheek to the brute that was brutalizing us� (Lomax
1963, 202)
he twofold causality relects the distinct Black Muslim epistemology, which is
then naturally echoed in their worldview:
he Christian world has failed to give the black man justice� his Christian government
has failed to give 20 million ex-slaves justice for our 310 years of free slave labour� Despite
this, we have been better Christians even than those who taught us Christianity� We have
been America’s most faithful servants during peace time, and her bravest soldiers during
war time� And still, white Christians have been unable to recognize us and accept us as
238
Péter Gaál-Szabó
fellow human beings� Today we can see that the Christian religion of the Caucasian race
has failed us� hus the black masses are turning away from the church back to the religion
of Islam� (Malcolm X 1991, 123)
Historical grievances and contemporary politics are combined to undergird reverse biological racism in a theologizing framework� Indeed “doctrinally deined
by race” (DeCaro 1998, 136), Nation of Islam theology evolves around communicating the dichotomy between a supreme black self that Elijah Muhammad calls
the truth about black people and the devil as he calls whites: “truth to freedom
is the knowledge of God and the devil, truth of yourselves, others and the real
religion of God” (1973, 3)� Islam is then employed to facilitate liberation from the
strangling reality of African Americans by way of separation in order to carve out
a (religious) space for themselves in which an autonomous black self can dwell,
as well as to create distance by contrasting the two races morally�
Conclusion
he emphasis on separation or isolation proves a powerful communication tool
for Black Muslim speakers, even though the degree they exploit it varies with
time to a great extent� On the one hand, it can be argued that Black Muslim
communication expresses an ultimate societal critique and its source lies in their
self-conceptualization as “alien”� As Eszter Pabis insists,
to the divergence in these aesthetics a function is attributed, which enhances knowledge
in that the alien and alienated speech generates amazement, admiration, but also irritation and anxiety—a process that leads to the disclosure and inally the critique of the
conventionality of the modes of perception (2014, 20)�
On the other, the communicational diference lies predominantly in ideological
motivation and theological background: whereas Muhammad’s employment of
separation as a communication practice remains to mirror his ideological striving to realize physical separation from whites in all spheres of life and his theology backs it up by embalming black and white opposition; the Sunni Islam
convert Malcolm X opens up ater his hajj in 1964 to intercultural negotiations�
Importantly, however, their communication practice is not only directed towards
co-cultural outgroup members� Both Muhammad’s and the early Malcolm X’s
speeches show that the communicative tool of separation is adopted as a means
to maintain subgroup homogeneity even seemingly at the cost of deconstructing
ingroup alliances (with world Islam and the African American community in
general) in contrast to and in favour of their own cultural group�
Black Muslim Communication Strategy in the 1950s and 1960s
239
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Małgorzata Martynuska
Transculturality Exempliied by the Evolution
of Salsa Dance in the USA
Abstract: he article describes how in the process of transculturation salsa dance retains
its Latin traditions and undergoes constant changes while incorporating new trends from
American multi-ethnic culture� Salsa has become a unique part of the American Latinidad
that entered diferent spheres of American social life and still continues to transform�
he presence of Latina/os impacts on the formation of U�S� identity with its multiple and complex manifestations� One of these is Latin music and dance� Music
is a powerful means of expressing the sense of identity and belonging needed for
migrant culture� “here is a tendency within US popular culture to associate Latin
population with dance and dance with Latina/os” (Valdivia 2007, 401)� Nowadays
dancing to Latin music is popular not only in the USA but it has become a global
phenomenon� Latina/os have performed traditional dance styles in American
night clubs and public festivals as a reairmation of ethnic identity and as a form
of reclaiming space� he Latin dance styles and forms of body movements are
then spread among other Latina/o and non-Latina/o dancers�
he most popular forms of Latin dance are dances-of-two: salsa, bachata,1
merengue2 and Afro-Latin kizomba�3 he article examines transnational lows of
dance culture and focuses on the evolution of salsa in the USA with a particular
focus on New York City� Salsa music and dance in the USA represents a creative
fusion of traditions from Cuba, Puerto-Rico and some Afro-Caribbean inluences�
hus, salsa music and dancing can be analysed as ways of expressing hybrid identities for people who migrated from Spanish-speaking places on the Caribbean
islands to English-speaking spaces in the American mainland� Salsa music and
dance spread to American urban centres and mixed with local styles of musical
and dancing performance� Distribution of knowledge about dancing styles and
diversiication of dancers are forms of transculturation process�
1
2
3
Bachata—a style of music and dance from the Dominican Republic�
Merengue—music form for dance from the Dominican Republic�
Kizomba—a genre of music and dance originating in Angola, sung generally in
Portuguese�
242
Małgorzata Martynuska
Transnational mobility is a process that has a large impact not only on the
lives of migrants who travel to another culture but also on the host culture itself�
Because of the increasingly globalized nature of the world, cultural diferences
are no longer as clearly deined as they were in the past� he theory of transculturation challenges the traditional idea of the homogenous nature of cultures;
instead it builds on approaches which hold that there is a continuous change and
transformation of cultures (Flüchter and Schöttli 2015, 2)� his article analyses the
transcultural phenomenon of salsa music and dance that evolved into a collective
identity combining both distinct Latin heritage and a variety of cultural features
characteristic of diferent ethnic groups in American society�
1. he Mambo Era
Salsa has origins in Afro-Spanish musical traditions of Cuba but it is the Puerto
Ricans of New York who popularized the style� Since the early 1800’s Puerto Rico
has been adopting musical genres from Cuba while preserving its traditional
musical styles, such as bomba4 and plena�5 Puerto Rico and Cuba share a similar
history of Spanish domination and imported African slavery which had an impact on their musical styles� Enslaved Africans were brought to Cuba and there
they inluenced the local dance styles forming a combination of Afro-Caribbean
dance forms, such as salsa� he main African-derived element of the dance is the
isolation of various body parts, especially the separate moves of the hips that roll
and shake (Pietrobruno 2006, 32)� Tropical Latin dances have the distinctive Latin
motion of the hips and pelvis (Drake-Boyt 2011, xviii)�
According to the 2008 American Community Survey, Puerto Ricans represent
the second (ater Mexicans) largest Hispanic group in the USA (Collazo et al�
2010, 1)�6 here are more Puerto Rican Americans than Cuban Americans, which
can be explained by the history of both Caribbean islands� In 1898 with the help
of the USA both Cuba and Puerto Rico gained independence from Spain� At this
point the history of both islands difers dramatically� Cuba was let free and later
the Castro regime was imposed upon the island� Although Puerto Rico was freed
4
5
6
Bomba—one of the traditional musical styles of Puerto-Rico, relecting the mixture of
the three diferent cultures of the island, the Spanish, African and Taino (indigenous
peoples of the Caribbean)�
Plena—a genre of music and dance that blends African origins with elements from
Puerto Ricans’ wide cultural background�
here were 4�2 million Puerto Ricans in the US mainland in 2008 (Collazo et al�
2010, 1)�
Transculturality Exempliied by the Evolution of Salsa Dance
243
from Spanish rule, it became a territory occupied by the USA as the Jones Act of
1917 made the residents of Puerto Rico American citizens� hey started to travel
freely between their island and the American mainland� he great migration wave
occurred in the 1950s when more than half a million Puerto Ricans arrived in the
USA, mainly settling in the New York area� hey expressed their Latino identity
by preserving their language, food and music (Musmon 2010, 87)� New York’s
Latin culture is dominated by Puerto Ricans, which is obviously the result of the
large representation of this ethnic group in the city�
During World War I Puerto Ricans served in the American armed forces�
Among those soldiers there were many trained musicians who were playing with
Afro Americans in regiment bands, like “Hellighter’s Band”� In this way a musical
exchange began between Puerto Ricans and Afro Americans� his process was
facilitated because the majority of black artists used to live in Harlem and Puerto
Rican musicians resided in the neighbouring East Harlem, also known as el barrio�
Additionally, by the 1930s, black Harlem musicians were inluenced by musical
developments in Havana, Cuba, as new travel options and advances in sound
recording facilitated intercultural exchange between musicians in New York and
Havana� In the 1930s and 1940s Cuban music became popular in America and
Europe, but still it could not compete with Afro-American jazz� Finally, the fusion
of both musical styles occurred, creating a new musical movement, known as
mambo� he term “mambo” means “conversation with the gods” in the Kongo
language spoken by Central Africans (McMains 2015, 33)�
he story of salsa began during the mambo era of the 1940s and 1950s� In that
period the USA witnessed the mambo musical and dance craze� Palladium was
the most popular place in Manhattan to dance to Latin music� “he mambo craze
was not just about music and dancing, it was also about a visual image or style
and showmanship to complement the music” (López-Gydosh 2009, 19)� Latino
bandleaders created a visual style by having their band members all wear matching costumes reminiscent of folkloric dress� he irst Latino television star in the
United States was Desi Arnaz, known for his song I Love Lucy which featured
mambo and other Cuban rhythms� Members of his band used to wear traditional
Cuban costumes while Arnaz himself performed costumed in a tuxedo� He promoted the Latin lover image in American culture (López-Gydosh 2009, 19)� he
mambo craze set the stage for the salsa boom in the 1970s�
he Palladium was the most popular Latin dance venue in the period from
1947 to 1966 and it featured live Latin music four nights a week� One of the bands
that used to play at the Palladium was “he Big hree”—Machito, Tito Puente
and Tito Rodriguez� he Palladium also served as a place of ethnic integration as
members of diferent nationalities used to attend� Puerto Ricans, Cubans, Italians,
244
Małgorzata Martynuska
Afro Americans, among others, were dancing with one another� In this racially
diverse group Afro Americans and Afro Latina/os were well represented so the
Palladium dance loor provided a forum for interaction between difering dancing styles� Mambo music, born in Cuba, was blended with Afro Cuban danzón7
and son8 rhythms and African American jazz� Mambo dancing intermingled with
other styles popular in New York’s dance halls, such as American lindy pop, Cuban
rumba and Puerto Rican bomba (McMains 2015, 30–32)�
Latin jazz music was pioneered in New York by the Afro Cuban musician Mario
Bauzá� Machito and Bauzá started to use the word “Afro-Cuban” before other
black Americans embraced it for self-identiication� Blackness and Latinness were
always closely connected in the sphere of music and dancing� he artists liked
to identify with the African roots of their artistic expression and mambo dance
loors facilitated the cultural exchange (McMains 2015, 34)�
he mambo scene in New York is depicted in the famous movie titled he
Mambo Kings (1992, dir� Arne Glimcher) which is an adaptation of the novel “he
Mambo Kings Play Songs of Love” (1989) by Oscar Hijuelos� It narrates the immigrants’ story “in the form of several generations of Latin music” (Jeferson 2015)�
It describes how the musical genre and dancing styles (habanera9, rumba10, son)
made their way from Cuba to America where they were elaborated for American
and Latin tastes� he main characters are two brothers, Cesar Castillo and Nestor
Castillo, who lee from Cuba to New York with hopes of forging careers as musicians and they form the band called the Mambo Kings� heir roles in the ilm are
taken by Armand Assante (Cesar) and Antonio Banderas (Nestor)� he novel
became an international bestseller sensation and Americans discussed it as a text
inspired by Latin music�
2. Evolution of Salsa
Salsa is a transnational movement combining various ethnic characteristics that
crystalized in New York City� he term salsa, meaning “hot sauce” that adds lavour to meals, was coined in 1933, when Ignacio Piñeiro, a Cuban composer wrote
7
Danzón—the oicial musical genre and dance of Cuba� It was probably introduced in
Cuba by the Spanish and later inluenced by African rhythms, so danzón as a music
and dance style became a genuine fusion of European and African styles�
8 Son—a style of music and dance that originated in Cuba� It combines the music of
Spanish colonists that fused with African rhythms�
9 Habanera—a style of Cuban popular dance music of the 19th century�
10 Rumba—a music genre that originated in Cuba but is based on African styles�
Transculturality Exempliied by the Evolution of Salsa Dance
245
the song “Èchale Salsita”� It is a mode of making Latin music, oten identiied as
a pan-Latino form, a hybrid genre combing other forms of Latin-American and
Afro-Caribbean music such as jazz, blues, pop, mambo, danźon, rumba, son, chacha, merengue, cumbia,11 plena, bomba and guaguancó�12 his variety of Latin and
Afro-Caribbean music sounds and dances mixed and fused and this progression
of music and dance blending led to the formation of the New York-Caribbean
dance phenomenon known as salsa� In the late 1960s the style was known as “a
Cuban-style music played primarily by Puerto Ricans to express the New York
City Latin experience” (Musmon 2010, 86)� Until 1962 the musicians in New York
and Cuba continually interacted, inluencing one another� Although Cuba is the
musical heritage of salsa it is the Puerto Ricans who largely inluenced the style
and promoted it as a global tradition�
Salsa music and dance have been popularized by people who migrate crossing national and regional boundaries� People migrate from the Caribbean to the
USA and other countries and then support Latin cultural forms in their home
towns� Salsa can be further accessed through Latin music videos and cable television networks� In the transcultural process salsa has been transplanted into local
environments and then gained new characteristics and started to be performed
in a way shaped by its new regional character� “Even though this rising global
distribution disconnects salsa from its ties to speciic geographic locations, this
dance and music remain anchored to cultural identity” (Pietrobruno 2006, 2)�
Salsa has become a way people express their cultural heritage, regardless of their
place of residence�
In the 1960s Civil Rights Movement era, Latinos in the USA started to serve
in the military and created a sense of pride in being ethnic men� Salsa began as a
political movement that forged pan-Latino identities through musical expression
to symbolize the spirt of the barrio� Salsa music and dance also serve as a symbol
of Latin marginality in the urban environment� At the same time salsa dancing
can be a kind of Latino rebellion against the immigrants’ situation in mainstream
American culture� he Afro-Caribbean beat is used to express frustration with
the conditions in the barrio� Salsa lyrics relate stories of love and displacement or
life in the barrio, relecting the socioeconomic hardships and oppression of the
Latin diaspora� (López-Gydosh 2009, 19)�
11 Cumbia—a music genre and dance that originated in Colombia’s Caribbean coastal
region and Panama�
12 Guaguancó—a subgenre of Cuban rumba�
246
Małgorzata Martynuska
he salsa boom began in New York in the late 1980s and in New Jersey in the
mid-1990s; then it spread throughout the United States and abroad� Salsa dancing
started to be practiced not only at salsa studios but also salsa clubs and at social
events� Its global popularity is owed to the 1997 World Salsa Congress held in
San Juan, Puerto Rico� he participants of this event learned salsa dancing there
and returned to their countries and taught salsa to their students� In Puerto Rico,
instruction and performances were provided for salsa dancers from New York,
Los Angeles, Puerto Rico and Cuba so they could learn one another’s regional
styles� Currently there are numerous congresses organized all around the world
(Borland 2009, 467)�
Salsa musicians and vocalists used fashion to communicate their personal
styles and create images� he two well-known artists who contributed greatly to
the development of salsa were Willie Colón and Héctor Lavoe� Colón was known
in New York for his tough-guy image emphasized by gangster iconography and
clothing, like fedora hats and pinstriped double-breasted suits� Contrary to Colón,
Lavoe’s style was not created for publicity but rather a matter of his individual
taste� He used to wear a fashionable three-piece suit with lots of gold jewellery
which was a common practice in Puerto Rico� Colón’s style was designed for the
image of macho salsa while Lavoe’s style promoted his Puerto Rican ethnicity
(López-Gydosh 2009, 21)�
Salsa music and dance combine a movement that is constantly evolving into
new forms� Among the various new trends in salsa music there is a development
of a new sub-genre of salsa known as “Salsa Romantica” which focuses on sentimental love lyrics� It emerged at the turn of the 1980s and 1990s in New York
City and Puerto Rico� his musical style has new stars, e�g� Marc Anthony, Jerry
Rivera, Eddie Santiago, Giro Lopez and Frankie Ruiz�
3. Learning Salsa
Because salsa music is coded as dance music, it quickly spreads through the world,
not only in the Americas and the Hispanic Caribbean� his process is activated
by two forces: both the spread of the musical form and the migration of Latina/
os� he typical salsa music venues can be divided into two types: Latin clubs and
restaurants� he former involves music and dancing; the latter concerns eating
Latin food and listening to Latin music� he Latin dance studios are closely connected with the presence of salsa as they are the place where people learn how to
dance before going Latin clubs� Salsa dance studios contributed to the popularization of salsa among dancers of diferent ethnic belonging� Although some Latin
scenes are attended by both Latina/os and Anglos, “Latino audience members
Transculturality Exempliied by the Evolution of Salsa Dance
247
continue to feel a deep sense of connection of the music and—like conjunto,
Tejano, and mariachi—it reminds them of another place: their home country”
(Nowotny et al� 2010, 43)�
he experience of salsa dancing in Puerto Rico was related to family events
such as weddings and baptism� In the USA, people learn salsa in the studios where
they get knowledge about steps, body movements, and dancing in pairs� hus,
salsa dancing is not connected with family events but with a sense of achievement
according to the ethos of American individualism (Aparicio 2010, 220)� Moreover,
the codiication of salsa dance for teaching at dance studios and for stage performance in competitions eliminates its improvisational character and distances salsa
from the cultural background in which it was born (McMain 2015, 7)�
Many people learn salsa dancing before travelling to the Caribbean, which
suggests “the articulation between identity, place, and culture as performance,
for particular geographical locations are deemed as authentic places of Latinness”
(Aparicio 2010, 214–215)� People also learn salsa for the sense of belonging to
the salsa community as well as to make new friendships and increase their social
networks� People who attend dance classes get in touch with Latino culture and
as a consequence people from diferent social and ethnic groups learn together in
a friendly atmosphere eliminating ethnocentrism in the American environment
(Aparicio 2010, 218)�
People dance either freestyle salsa encompassing geographically diverse dancing practices or an elaborated style of salsa developed in studio instruction� Dance
instructors in the American cities have been successful in transferring the practice
of social dancing from the bars and ethnic ghetto parties to more cosmopolitan
social spaces� However, critics emphasize that contemporary salsa dancing is not
authentic and serves as a hegemonic reproduction of ethnic dancing� Another
criticism concerns the centrality of the sexy woman in the performance implying
the gendering of cultural space� Although salsa’s growing popularity provided
space for expressive freedom for the dancers, at the same time the studio-salsa
community created a safe environment where women’s expressive performance
is disconnected from sexual invitation� As far as the dynamics of salsa dancing is
concerned this dance requires the control of the male leader (Borland 2009, 467)�
Salsa is a dance reliant on a couple who must hold each other and move
together to the rhythm without prior choreography� A man “leads” and a woman
“follows”� On typical dance loors a man asks a woman to dance with him� On
a salsa dance loor it oten happens that a man asks irst whether a woman can
dance and then he asks her to dance� he world of transnational salsa is the world
of macho leading and feminine following� Men ask women to dance and women
wear curve-accentuating clothes and high-heeled shoes� Moreover, the majority
248
Małgorzata Martynuska
of salsa lyrics is rendered in a male voice who sings of male experiences with
women� Although salseras lead their female partners, a salsero can bring a woman
to dance only in terms of her skills and desires� hus, it is the body of the female
dancer itself that resists the patriarchal pressures (Kabir 2014, 141–142)� “In the
salsa world, the tall, blond, blue-eyed willowy igure of mainstream popular culture does not represent the feminine ideal; rather the petite curvaceous mulatta
provides an alternative model of feminine beauty” (Block and Borland 2011, 15)�
Many Latina/os who knew how to dance salsa beginning on the second beat,
because that is how people dance it in Puerto Rico, now relearn it by counting and
beginning on the irst beat� hey ind it problematic to continue with the new steps
and may go back to the style they ind authentic, because they remember it from
their hometowns� Many dance studio students attend clubs and perform the skills,
footwork, and turns that they had practiced in their lessons� However, they dance
with one another, not with Latina/os who had learned salsa at home because the
styles of vernacular dancer and the studio learner difer so much that it is diicult
for them to dance together� On the one hand, non-Latino dancers try to mimic
the Latinized body, steps and movements because they are trying to achieve a
certain degree of authenticity� On the other hand, Latina/os who learned to dance
at home have to redeine their “authentic” styles through instruction received in
the dancing studios (Aparicio 2010, 221)� Dance instructors “wage battle on two
fronts: convincing non-Latinos that they can become accomplished salseros and
convincing Latinos that dancing skill is earned through efort and practice, not
given by ethnic descent” (Bock and Borland 2011, 14)�
A diversity of salsa dance practices evolved in diferent communities� Each
group claimed privileged access to a more stylish version of salsa� “Much like the
music, salsa dance history crosses many borders, leading to both its widespread
popularity and passion by which diferent factions of supporters protect their own
salsa legacy” (McMains 2015, 6)� Salsa origins were rather low-class but both the
music and dance have been incorporated into the lifestyles of the middle classes
both in the Caribbean and beyond� he dance was originally learned at home from
family members, but the 1990s witnessed the evolution of salsa dance schools
which commercialized the style of dancing altering the ethnic style into academy salsa� Studio dancers use diferent technical elements such as complex turn
patterns which make them more visible on the dance loor� As a result Latina/o
dancers who learned salsa from family members oten feel alienated while dancing among the academy students (McMains 2015, 24)� At irst, the split between
academy and home-learned dancers causes tensions, but later this diference can
be beneicial as both groups of dancers inluence each other trying to dance together and in this way facilitating the process of transculturality�
Transculturality Exempliied by the Evolution of Salsa Dance
249
Dancers in New York enjoyed a style of salsa known as mambo, which is also
known as “New York” or “on two” salsa� Salsa is always danced on an eight count
measure� While the “on-two” dancers break on the second and sixth counts from
a closed (feet together) position, the “on-one” dancers step out on the irst and
ith counts in response to the musical accenting in the rhythm� he “on-one” salsa
is popular in Los Angeles� he shits in rhythmic emphasis from the “on-one” to
the “on-two” styles are diicult and very few dancers can practice both styles� he
New York centres for salsa dancing were the Palladium Ballroom at Broadway
and Fity-third Street (Borland 2009, 468)� Palladium era mambo, known as salsa
“on-two”, was characterized by its rhythmic structure and simplicity of partnered
moves� Additionally, it was always danced to live music� Contrary to mambo,
the salsa that developed in New York in 1980s, is danced to recorded music and
encourages more turns while dancing (McMains 2015, 30)�
Currently the “on-two” style of salsa has been experiencing a revival, which
means that many dancers who can pay for lessons can practice their skills and
achieve technical mastery through studio instruction� Despite this commercial
aspect salsa remains a metaphor of ethnic heritage revival and cultural recovery�
Many Latina/os treat salsa dancing as a way of reconnecting with their ethnicity�
Additionally, the USA has been experiencing a rapid growth in the number of
Latina/o immigrants who enrich American mainstream culture with their ethnic
heritage, including traditional music and dance� he success of such artists as
Ricky Martin has popularized Latin music to audiences broader than the USA,
which in turn stimulated additional interest in Latin musical and dancing styles
among non-Latinos as well (Borland 2009, 469)�
Salsa can also be danced in a form known as casino de rueda. It is a contemporary form of Cuban-style salsa in which a group of couples (usually four) dance
combinations of steps in a circle following a leader� Couples dance in a circle and
improvise according to the calls made by one of the male dancers� Many moves
have hand signs to complement the calls and most moves involve the swapping of
partners (Kabir 2014, 145)� he names of moves are mostly in Spanish (e�g� abajo13);
some names are in English (e�g� cross body lead); and there are also names in Spanglish (e�g� un ly14)�15 All the couples in the circle are supposed to perform in the
same way and partners are changed frequently� hey are supposed to dance with all
the members of the opposite sex� he men move clockwise and the women move
13 abajo—move backwards�
14 un ly—clap your hands�
15 “Rueda de Casino by the Latin World� A List of Moves�”
250
Małgorzata Martynuska
counter clockwise (Musmon 2010, 88)� he usage of multi-language comments
emphasises the transcultural character of this salsa dance�16
Conclusion
he appearance of a new migrant musical culture in the USA demonstrates a
space for transnational acculturation� Migrant music is an excellent way to explore
hybridization, and creation of a new borderlands culture in the region� Since salsa
performers relect the diversity of the surrounding community Latin dance can
be studied as a force of community building, as the salsa scene includes a combination of Latina/os, members of other diasporic groups and Anglos, thus, it
combines a wide ethnic hybridity� Moreover, there is a tendency for non-Latinos
to identify with Latino culture through the dance (Borland 2009, 473)� Dance
can be a way in which community members express their identity in relation to
music and ethnicity�
New dancers prove that Latino ancestry is not a necessary requirement for
their dancing abilities� However, there is some connection between the cultural
background of the dancers and their performance, as Latina/os use the dance as
a way to reconnect with their ethnicity� he diverse racial makeup of Latinidad
has an impact on the dancing community� Latina/os brought their dancing styles
from their home countries and popularized those in the USA, and then learned
other styles practiced in their dancing communities and created an ethnically diverse social base� he hybrid nature of the dance combines European and African
aesthetics as well� As a result the way people dance in the USA is an example of
transculturalism, because ethnic cultures irst enter the USA and then they are
transformed under the inluence of the cultures prevailing in local communities�
Once transplanted into the USA salsa music and dance crossed not only national
and regional boundaries but also gained followers from various classes and ethnic
groups�
Salsa studios play a vital part in the transculturation of salsa dance� hey forge
hybrid cultural identities by mixing traditional styles with new ways of dancing�
Many transnational connections can develop on the basis of salsa as there are
many dancers in the salsa community who dance due to their Latin heritage,
as well as many others whose ethnic heritage is non-Latino� While non-Latino
dancers try to move their bodies in a Latin way to achieve a certain degree of
authenticity, Latina/os redeine their styles to adjust their style to dancers who
16 In the case of Poland, some English language comments are translated into Polish, e�g�
“obrót” instead of “turn”�
Transculturality Exempliied by the Evolution of Salsa Dance
251
learned through instruction received in the salsa academies� hus, dance studios commercialized the style by altering the ethnic style into the academy salsa�
Furthermore, salsa crossed class barriers; from low-class origins it entered the
lifestyles of the middle classes and promoted the mainstream acceptance of Latino
music and dance in the USA� Currently, salsa is a transcultural movement that is
continually evolving on a global scale�
References
Aparicio, Frances R� 2010� “From Boricua Dancers to Salsa Soldiers: he Cultural
Politics of Globalized Salsa Dancing in Chicago�” In Inside the Latni@ Experience. A Latin@ Studies Reader, edited by Norma E� Cantú, and María E� Fránquiz, 211–233� New York, NY: Palgrave Macmillan�
Bock, Sheila, and Katherine Borland� 2011� “Exotic Identities: Dance, Diference
and Self-fashioning�” Journal of Folklore Research 48(1): 1–36�
Borland, Katherine� 2009� “Embracing Diference: Salsa Fever in New Jersey�”
Journal of American Folklore 122(486): 466–492�
Collazo, Sonia G., Camille L. Ryan, and Kurt J. Bauman� “Proile of the Puerto
Rican Population in the United States and Puerto Rico: 2008�” Paper presented
at the Annual Meeting of the Population Association of America, Dallas, TX,
April 15–17, 2010� Accessed June 10, 2015� https://www�census�gov/hhes/
socdemo/education/data/acs/paa2010/Collazo_Ryan_Bauman_PAA2010_
Paper�pdf�
Drake-Boyt, Elizabeth� 2011� Latin Dance� Santa Barbara, California: Greenwood
Publishing Group�
Flüchter, Antje, and Jivanta Schöttli� 2015� he Dynamics of Transculturality: Concepts and Institutions in Motion� Cham, Switzerland: Springer International
Publishing�
Hijuelos, Oscar� 1989� he Mambo Kings Play Songs of Love� New York: HarperCollins�
Jeferson, Margo� “Dancing into the Dream�” New York Times, August 27� Accessed
June 20, 2015� https://www�nytimes�com/books/99/02/21/specials/hijuelosmambo�html�
Kabir, Ananya Jahanara� 2014� “he Dancing Couple in Black Atlantic Space�”
In Diasporic Women’s Writing of the Black Atlantic. (En)Gendering Literature
and Performance, edited by Emilia María Durán-Almarza and Esther ÁlvarezLópez, 133–150� New York, NY: Routledge�
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López-Gydosh, Dilia, and Joseph Hancock� 2009� “American Men and Identity:
Contemporary African-American and Latino Style�” he Journal of American
Culture 32(1): 16–28�
McMains, Juliet� 2015� Spinning Mambo into Salsa. Caribbean Dance in Global
Commerce� Oxford, New York: Oxford University Press�
Musmon, Margaret� 2010� Latin and Caribbean Dance� New York: Chelsea House�
Nowotny, Kathryn M., Jennifer L. Fackler, Gianncarlo Muschi, Carol Vargas, Lindsey Wilson, and Joseph A. Kotarba� 2010� “Established Latino Music Scenes:
Sense of Place and the Challenge of Authenticity�” In Studies in Symbolic Interaction, Vol� 35, edited by Norman K� Denzin, 29–50� Bingley, UK: Emerald
Group Publishing Limited�
Pietrobruno, Sheenagh� 2006� Salsa and Its Transnational Moves� Lanham, MD:
Lexington Books�
“Rueda de Casino by the Latin World� A List of Moves�” Accessed June 15, 2015�
http://www�thelatinworld�nl/rueda�html�
Schneider, Britta� 2014� Salsa, Language and Transnationalism� Bristol, UK: Multilingual Matters�
Valdivia, Angharad N� 2007� “Salsa as Popular Culture: Ethnic Audiences Constructing an Identity�” In A Companion to Media Studies, edited by Angharad
N� Valdivia, 399–418� Oxford: Blackwell�
Damian Pyrkosz
Values in American Economy–
he Changing Face of the Core
Abstract: he text discusses the relation between economic progress and American values�
he author tries to provide an answer to the question whether Americans’ perception of
the core values constituting their society, and thus the economic system, has changed or
not, which could shed some light on the causes of the inancial crises�
We hold these truths to be self-evident, that all men are created equal, that they are endowed by their Creator with certain inalienable rights, that among these are Life, Liberty
and the pursuit of Happiness�
he Declaration of Independence
Introduction
he modern economic history of the USA is commonly considered the one of an
unprecedented success� For most of the 20th century, the USA was an example to
follow with regard to economic development� Simultaneously, the Americans have
always emphasized the importance of values like equality, liberty, individualism,
competition, independence, etc� hey have made a set of core values that on the
one hand were believed to be the source of their personal success, and on the other
helped build their country, largely contributed to its economic prosperity and
earned America the nickname of the land of opportunity� Yet the economic turmoil
in the irst decade of the 21st century seemed to challenge the legitimacy of the
core values� In this sense, the paper attempts to examine whether the Americans’
perception of the core values constituting the ethical basis of society, and hence the
economic system, has been subject to change in the years prior to the economic
straits� Identiication of such shits in values could efectively shed some light on
the causes of the downturn that typically go beyond the economic sphere and are
implicitly related to culture�
1. Culture and economic development
he idea that culture, viewed as a set of values, beliefs, morals, customs, social ties
and relationships, afects economic development is not new� However, up to the
second half of the twentieth century, economics had denied any claims that culture
might possibly make with regard to its impact on development analysis� Culture
254
Damian Pyrkosz
had been excluded from economic study of multiple forms of human development
and prosperity patterns across societies mainly due the economic imperialism and
mathematical sophistication (Guiso, Sapienza and Zingales 2006, 27)� he latter
was consistent with the interpretation of the problem by Jackson (2009) who also
accounted for the ahistorical (and a-institutional) character of neoclassical theory
and the demarcation of academic disciplines as the major barriers in the process
of inclusion of culture into economic analysis� he process resulted in alienation
and desocialisation of economics which concentrated on identiication of general
principles independent of human will (Wilkin 1997, 24); it eventually questioned
its sociological roots and undermined ties with sociology, politics, history and
anthropology� Under such circumstances there was no room let for a culturebased, or an inclusive at least, analysis�
he above facts and the ensuing status of culture posed something of a paradox
as the exclusion of culture from economic analysis essentially went contrary to
the propositions made by the Founding Fathers of economics� he role of culture
in the marketplace was stressed by Adam Smith in heory of Moral Sentiments
(1759)� Furthermore, he meant the book to provide the moral, theoretical and
methodological basis for his future works, including his ground-breaking he
Wealth of Nations (1776)� As Smith emphasized, people tend to behave and prioritize in a completely diferent way in social and market circumstances� he former
makes people focus on maintaining good relationships with fellow humans: in
this case they are willing to undertake benevolent acts which play a critical role
in strengthening ties, enhancement of social status, and eventually social order�
his other-regarding understanding contradicts the non-cooperative self-interest
typical of market-related actions� It lies at the roots of division of labour and its aggregate outcome—oten referred to as an invisible hand—provides proit to whole
society� In this sense, people are motivated by the mutually complementary motives of either the other-regarding sympathy or the non-cooperative self-interest,
which stem from human propensity to maximize results of relationships in the
two walks of life�
he notion that social science, including economics, is not capable of providing a comprehensive and valid analysis of civilizational development without continuous adherence to cultural circumstance was advocated by another
classical economist, John Stuart Mill� He drew attention to the fact that it was
precisely culture that made all attempts of comparisons between economic
structures and outcomes resident in various societies and countries futile and
meaninglessness�
Values in American Economy
255
…it has been a very common error of political economists [i�e� economists] consistently
to draw conclusions from the elements of one state of society, and apply them to other
states in which many of the elements are not the same� (1843, 40)1
One of the most evident examples of interdependence between culture and economics came from a landmark analysis by sociologist Max Weber in the beginning of the 20th century� he Protestant Ethic and the Spirit of Capitalism (1905)
advanced a notion that the Protestant ethic stimulated an unplanned group action leading to the development of capitalism� It was determined on the one
hand by the culture-related circumstances like religion (i�e� Protestant/Puritan
work ethos), and on the other, by civil law, bureaucratic state, predictable law
and non-dualistic economic ethic� heir coincidence prompted a course of events
resulting in the rise of capitalism� he essence of the process—oten referred to
as the Weber’s paradox—identiied Protestants’ religious beliefs as the key factor
which made the religious group follow a secular vocation and accumulate money,
which could in turn be used for investment (i�e� it stimulated economic growth)
rather than luxuries or donations� In this way, religiously motivated economic
actions provided entrepreneurial activity with a moral sense and contributed to
the development of capitalism�
Another noteworthy recognition of the role values play in the economic system was made by Karl Polanyi in the middle of the 20th century� According to
his theory, values and culture are critical not only for the well-being of society
but also in the context of economic system: economy is embedded in society and
subordinated to religion, politics and social relations� In this way, allocation of
wealth in economy should promote the values society accepts and pursues, i�e�
maintenance of social ties, accepted code of honour and generosity� he principal
objectives of a human being are the pursuit of cooperation, prestige and the enhancement of its social capital� In this way, all the values accepted by society—and
the inherent part of its culture—were indispensable elements of the economic
system and ensured its stability�
he human economy is embedded and enmeshed in institutions, economic and noneconomic� he inclusion of the noneconomic is vital� For religion or government may
be as important to the structure and functioning of the economy as monetary institutions or the availability of tools and machines themselves that lighten the toil of labour�
(2001, 250)
1
hese were the grounds for which James S� Mill went on to criticize Smith’s application
of analysis of commercial society of Great Britain and the USA to India (ibid.)�
256
Damian Pyrkosz
Unfortunately, the rise of market economy did reverse the roles between economy
and society and in efect “…physically destroyed man and transformed his surroundings into a wilderness” (Ibid�, xxv)�
Consequently, the values society thrived on were questioned, people were denied the safety net of the cultural institutions, which in turn atomized society, destroyed social ties and gave rise to growing hostility, conlict and poverty� Hence,
the culture and values which respective nations promote should be regarded as the
key factor in understanding their social processes and linking them to diferences
between the countries with regard to their economic development�
2. Deining the American core values
American society is highly diversiied� It consists of a rich mosaic of diferent political and social attitudes, religions, racial, ethnic and interest groups� However,
Americans do share some core values that deine “the American way” of perceiving
the world around and determine the manner of dealing with issues� he presence of
such core values has been critical for two reasons: on the one hand they served as
the basis for establishment of American political (government), social (norms, traditions and customs) and economic (enterprise) systems; on the other these values
are still frequently and readily referred to by the Americans themselves in politics,
workplace and family life� hey were deined by Robin Williams (1970) and include:
– freedom, absolutely central to “the American way”; the idea that people should be unconstrained by other individuals or government in pursuit of their
personal goals was at the very heart of the rise of the American nation; today
it also denotes preference for individual initiative over collective conformity;
– equality (of opportunity), individualism, or “consistent persistence”, which rewards achievement that comes from individual efort; it is a widely cherished
by the Americans belief that an individual can, through his/her work, climb
from the very bottom to the very top of social ladder (countless examples of
“rags-to-riches” stories)� In fact, an individual is expected to go ahead and use
all its potential according to individual talents and eforts as any failure to do
so is blamed on the person rather than the adverse circumstances or system;
– achievement and success, or “success emphasis”, which encourage competition;
power, respect, prestige and wealth are always derived from personal achievement, success and personal merit;
– material comfort which deines success mainly in terms of one’s ability to make
money but also denotes a high level of comfort including the spheres of housing, medical care, nutrition, cars, etc�
Values in American Economy
257
– activity and work, or “work-for-work’s-sake” attitude, which makes Americans work hard and get involved in various undertakings professionally and
in private life� his attitude shows Americans strong preference for action over
relection and controlling events rather than compliance with fate’s turns;
– practicality and eiciency determines Americans approach to their action in
terms of ability to provide for proit; preference is given to the practical over the
theoretical, getting things done rather than planning and dreaming, eiciency
over waste of time and money;
– progress, belief in the fact that present/future ofers more rewards than the past;
– democracy and free enterprise, the cornerstones of the American nationhood;
belief that individuals have rights no government can take away, government is
accountable to the people and it can be changed during free election, and market (free enterprise) is the best, though not ideal, form of economy that caters
to choices of individual consumers is absolutely fundamental to the American
worldview;
– science and technology can solve problems and improve the quality of people’s
lives; this attitude is nurtured by a belief and praise to the rational, logic and
reason;
– racism and group superiority, which contradicts nearly all the above values
but still a feature of Americans’ traits� Despite belief in equality, freedom and
democracy, still Americans’ perception of others tends to be based on gender,
race, ethnicity, and social class�
It is worth noting, that these values strengthen and complement each other on
the one hand; yet, on the other, they contradict each other which creates tensions
among American society and constantly redeines the meaning of these values�
his is particularly true when people have to face new challenges generated by
civilizational progress�
3. American (in)equality in perspective
he above picture of American values seems consistent when compared with the
one demonstrated by other nationalities� With regard to income inequality, a survey
of twenty-seven middle- and high-income countries, including the USA, revealed
that a third of Americans believed that the government is responsible for decreasing income disparity, as compared to more than two-thirds in the other countries
surveyed (Isaacs, Sawhill and Haskins 2008)� At the same time, over two-thirds of
Americans agreed with the statement that people get rewarded for intelligence and
skill, compared with a typical response of only 39 percent from all the countries�
258
Damian Pyrkosz
What’s more, just 18 percent of Americans think that being born to wealth is very
important in getting ahead (28 percent among all nationalities polled)� hese results
can be undoubtedly attributed to the American-speciic set of cultural values: probably the most common among them is the widespread belief in promotion based
of one’s own talents and hard work, rather than equality of outcomes� Hence, you
are rich because you deserve to be rich; you are poor since you have most probably failed to take opportunities for self-improvement� his could also explain why
Americans tend to more accept economic inequality than people in other countries�
What is striking in the above indings is the Americans’ distrust of government
and the resulting yearning for self-reliance: redistribution of income by means of
taxing the rich and channelling beneits to the poor/the middle class undermines
people’s incentives to take care of themselves, and thus is wary and troublesome�
he other side of the coin is that Americans are actually becoming more and
more unequal economically� A study by OECD (2015) Morgan Stanley Research
showed that Americans make one of the most unequal societies in term of income
among the developed economies� he Gini coeicient2 of income inequality for
the USA has risen from 0,39 in 1985 to 0,46 in 2013 being one of the highest inequality increases in the period among the OECD countries and much higher in
relative and nominal values compared to the OECD average rate (OECD22), i�e�
from 0,34 to 0,37 respectively� Situation is even more serious when we look at the
speciic categories of the MS Inequality Indicator Ranking (Table 1)�
Table 1: Inequality indicator and its categories for the USA and selected European countries,
2013
MS
Inequality
Gini
Wage
Workplace
Indicator Coeicients Dispersion Inclusion
Rank (MSII)
Portugal
1
4
4
5
USA
5
1
1
11
Germany
6
13
5
13
Poland
11
12
18
8
Norway
20
20
20
20
Health
Status
Digital
Access
4
6
5
12
10
3
14
11
4
20
Source: OECD (2015, 1)
2
It is the most commonly used measure of inequality: a measure of statistical dispersion aimed to demonstrate the income allocation of a country’s residents� 1 denotes
extremely unequal distribution, whereas 0 indicates perfect equality�
Values in American Economy
259
he data collected by the report and demonstrated in Table 1 shows that the
USA together with some Southern European countries (Portugal, Italy, Greece,
Spain) are the most unequal OECD countries� he US poor ranking is accredited
mainly to the very low indexes in income inequality (Gini coeicients) and wage
dispersion3, both scoring the lowest 1� Americans’ inequality in terms of health
status4 (index 6) also ranks among the lowest values in the OECD countries� he
US position improved due to relatively higher ranking in workplace inclusion5
(score 11) and digital access (score 14)� On the other hand, the US high value for
digital access actually conirms Americans’ support for scientiic and technological development�
4. American values in a comparative perspective
Personal values and their aggregates at the national level have a profound impact
on the outcome of economic activity: this is the main thesis made in conclusion
of the opinion poll conducted by the World Economic Forum in December, 2009
(2010)� It is interesting to see how Americans see their values in the context of
the inancial crisis that had shaken the world markets and the American ones in
particular in the irst decade of the 21st century� he most striking inding was
that the Americans were fully aware of the causal relationship between decline of
values and the economic downturn: over 70 percent admitted to this and the rate
was higher than the world average (67 percent)� he Americans also showed the
highest level of conidence (60 percent) in the small and medium sized business
as these which were most eager to implement values-driven approach to their
practice; at the same time, they were the most weary of the large, global multinational corporations and domestic governments� his seems to verify the highly
individualistic culture of the Americans�
3
4
5
Wage dispersion index consists of the following elements: change in Gini coeicients,
real wage growth, earnings dispersion (measured by the ratio of 9th to 1st decile limits
of earnings) and gender pay gap (diference between the median earnings of men and
women relative to the median earnings of men) (OECD 2015)�
Health status is measured by the gap in health status which is diference between the
perceived status by high and low income individuals (ibid.)�
Workplace inclusion index consists of the following: secondary education unemployment (as a share of the population), involuntary part time (as a share of the population)
and NEET (share of youth as a percentage of the 16–24 age group which is neither
employment nor in education or training) (ibid.)�
260
Damian Pyrkosz
Another conirmation of such an individualistic attitude was revealed when a
question whether businesses should be primarily accountable to their shareholders, employees, clients and customers, or all three equally was addressed: he
Americans felt the highest accountability to business shareholders� he notion of
responsibility recurred in their responses to the question on the most signiicant
values in the global political and economic systems: compared to other nationalities the US citizens most oten opted for the impact of actions on the well-being of
others (other options being preserving the environment; respecting others’ rights,
dignity, views; and honesty, integrity and transparency)�
he Americans, like other citizens of the countries with well-developed economies, predominantly lacked belief that people held the same values in personal
and professional lives (over 75 percent, one of the highest answers among the
surveyed countries)� Moreover, a higher share of Americans (over 90 percent)
than other nationalities used the quality and price criteria when shopping (others
being the environmental impact, impact on human well-being during production, and ethical values of the producer)� he two questions and the Americans’
replies indicated that in practical terms they couldn’t see a link between their
personal decisions and situation in the markets� We could also trace the roots
of this attitude back to the Americans’ preoccupation with of practicality and
eiciency�
As for sources of personal values the Americans, quite expectedly, declared
that education/family (57 percent, compared with 62 global percent rate) and
religion/faith (30 percent, compared with 21 percent global rate) are the most
important� However, only 50 percent of the Americans admitted that there was
actually a set of universal values across the world� he other half of the American
respondents were either in doubt or denied existence of such� his inding could
be particularly disturbing considering the long immigration history of the USA�
In this light, the responses proved a failure of seemingly open and multicultural
society, yet in this sense, the one incapable of establishing a common set of
values�
5. Changing values, changing outcomes
Economic development is not exclusively a product of economic factors� It is
also a subject to a wide range of social, political as well as cultural determinants,
including changes in people’s values and beliefs� A number of prominent authors
(inter alia Harrison and Huntington 2000; Hofstede 2005; Landes 1998; Polanyi
2001; Sen 2001; Jackson 2009; Guiso, Sapienza and Zingales 2006) have come to
acknowledge the role of cultural factors in the creation of conditions favourable
Values in American Economy
261
or prohibitive to the economic development of nations� In this sense, values cherished by diferent nations are the key to the understanding of the diferent patterns
of economic development� Hence, changes in values—in the cultural sphere—are
likely to induce changes in the economic one�
With reference to the values deined as the American core, a closer analysis
of the data provided by the World Values Survey reveals certain dynamics in the
values status (Table 2)� he following observations can be made:
– it seems that Americans have a stronger feeling of freedom of choice and control;
– the individualistic American culture is further reinforced by an even greater
support for diferences in income to stimulate people’s eforts;
– there seems to be a growing conviction that hard work does not necessarily
bring success as this can also be a result of connections; yet still success continues to be very important and so is the feeling of happiness;
– work continues to be important as a way to success, yet more and more Americans would like or at least wouldn’t mind work to become less important to
them in the future;
– there is an unswerving support of Americans for democracy and competition,
yet at the same we can observe a slight tendency to believe that competition is
not necessary, as there is enough wealth for everyone;
– both science and technology and tradition continue to play important role in
the Americans’ lives and form a basis of their future betterment;
– although religion continues to play an important part in Americans’ lives, yet
we may observe a slight downward trend in this respect which coincides with
increasing quite evident distrust of people; this could be explained in terms of
the slow, yet steady process of secularization of American society, quite typical
for many developed countries; the trend is conirmed by other surveys, e�g�
American Values Survey (Jones 2015)
– in terms of relationships, both family and friends remain very high on the list
of importance; at the same time Americans seems to be less tolerant to the
presence of immigrant neighbours and workers�
262
Damian Pyrkosz
Table 2: Changes in American core values according to the World Values Survey (1981–2014)
World Values Survey (1981–2014) responses (percent)
Values
Freedom6
Income
equality7
Individual8
Success9
6
7
8
9
1981–
1984
1989–
1993
1994–
1998
1999–
2004
2005–
2009
2010–
2014
None at all
20
15
16
11
13
13
A great deal
80
85
84
89
87
87
Incomes
more equal
n/a
28
52
43
37
49
Income
diferences
n/a
71
48
55
61
51
Agree
n/a
n/a
n/a
n/a
63
68
Disagree
n/a
n/a
n/a
n/a
37
33
Important
n/a
n/a
n/a
n/a
45
48
Not
important
n/a
n/a
n/a
n/a
51
50
V55� “Some people feel they have completely free choice and control over their lives,
while other people feel that what they do has no real efect on what happens to them�
Please use this scale where 1 means <<no choice at all>> and 10 means <<a great deal
of choice>> to indicate how much freedom of choice and control you feel you have
over the way your life turns out”�
V96� “Now I’d like you to tell me your views on various issues� How would you place
your views on this scale? 1 means you agree completely with the statement on the let;
10 means you agree completely with the statement on the right; and if your views fall
somewhere in between, you can choose any number in between: <<Incomes should
be made more equal>> vs� <<We need larger income diferences as incentives for
individual efort>>”�
V216� “People have diferent views about themselves and how they relate to the world�
Using this card, would you tell me how strongly you agree or disagree with each of the
following statements about how you see yourself? <<I see myself as an autonomous
individual>>”� (Strongly agree/Agree/Disagree/Strongly disagree)
V75� “Now I will briely describe some people� Using this card, would you please indicate for each description whether that person is very much like you, like you, somewhat
like you, a little like you, not like you, or not at all like you? Being very successful is
important to this person�”
263
Values in American Economy
World Values Survey (1981–2014) responses (percent)
Values
Hard work10
Happiness11
Future: less
work12
Democracy13
Competition14
1981–
1984
1989–
1993
1994–
1998
1999–
2004
2005–
2009
2010–
2014
Brings better
n/a
life
82
81
n/a
78
77
Brings no
success
n/a
17
20
n/a
23
23
Happy
91
88
93
93
93
89
Not happy
8
10
5
7
6
10
Good/don’t
mind
32
86
57
67
69
65
Bad thing
67
14
44
32
29
33
Not
important
n/a
n/a
n/a
n/a
11
13
Important
n/a
n/a
n/a
n/a
85
84
Good
n/a
86
86
82
87
84
Harmful
n/a
13
15
18
12
15
10 V100� “Now I’d like you to tell me your views on various issues� How would you place
your views on this scale? 1 means you agree completely with the statement on the let;
10 means you agree completely with the statement on the right; and if your views fall
somewhere in between, you can choose any number in between: <<In the long run,
hard work usually brings a better life>> vs� <<Hard work doesn’t generally bring success—it’s more a matter of luck and connections>>”�
11 V10� “Taking all things together, would you say you are happy”� (Very happy/Rather
happy/Not very happy/Not at all happy)
12 V67� “I’m going to read out a list of various changes in our way of life that might take
place in the near future� Please tell me for each one, if it were to happen, whether you
think it would be a good thing, a bad thing, or don’t you mind? <<Less importance
placed on work in our lives>>”�
13 V140� “How important is it for you to live in a country that is governed democratically?
On this scale where 1 means it is <<not at all important>> and 10 means <<absolutely
important>> what position would you choose?”
14 V99� “Now I’d like you to tell me your views on various issues� How would you place
your views on this scale? 1 means you agree completely with the statement on the let;
10 means you agree completely with the statement on the right; and if your views fall
somewhere in between, you can choose any number in between: <<Competition is
good� It stimulates people to work hard and develop new ideas>> vs� <<Competition
is harmful� It brings out the worst in people>>”�
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Damian Pyrkosz
World Values Survey (1981–2014) responses (percent)
Values
Wealth15
Science &
technology16
Tradition
17
Trust18
Religion19
1981–
1984
1989–
1993
1994–
1998
1999–
2004
2005–
2009
2010–
2014
At other’s
expense
n/a
43
28
n/a
39
39
Enough for
all
n/a
58
73
n/a
61
63
Makes us
worse of
n/a
n/a
n/a
n/a
21
21
Makes us
better of
n/a
n/a
n/a
n/a
75
78
Important
n/a
n/a
n/a
n/a
68
64
Not
important
n/a
n/a
n/a
n/a
28
34
Trust people
43
52
36
36
39
35
Don’t trust
57
48
64
64
61
65
Important
n/a
79
82
82
71
68
Not
important
n/a
21
17
17
29
31
15 V101� “Now I’d like you to tell me your views on various issues� How would you place
your views on this scale? 1 means you agree completely with the statement on the
let; 10 means you agree completely with the statement on the right; and if your views
fall somewhere in between, you can choose any number in between: <<People can
only get rich at the expense of others>> vs� <<Wealth can grow so there’s enough for
everyone>>”�
16 V197� “All things considered, would you say that the world is better of, or worse of,
because of science and technology?� Please tell me which comes closest to your view
on this scale: 1 means that <<the world is a lot worse of>> and 10 means that <<the
world is a lot better of>>�
17 V79� “Now I will briely describe some people� Using this card, would you please indicate for each description whether that person is very much like you, like you, somewhat
like you, a little like you, not like you, or not at all like you?: <<Tradition is important
to this person; to follow the customs handed down by one’s religion or family>>”�
18 V24� “Generally speaking, would you say that most people can be trusted or that you
need to be very careful in dealing with people?”
19 V9� “For each of the following, indicate how important it is in your life� Would you say
it is: Religion”�
265
Values in American Economy
World Values Survey (1981–2014) responses (percent)
Values
Family20
Friends21
Neighbours:
immigrants22
1981–
1984
1989–
1993
1994–
1998
1999–
2004
2005–
2009
2010–
2014
Important
n/a
98
99
99
99
98
Not
important
n/a
2
1
1
1
2
Important
n/a
94
95
96
95
93
Not
important
n/a
6
4
4
5
6
Not
mentioned
92
90
90
90
87
86
Would not
like
8
10
10
10
13
14
Source: own calculation on the basis of World Values Survey (2016)
Note: All values results, when they provided for a range of answers (typically 4, 6 or 10) were grouped
into two collective categories, i�e� airmative and negative (indicating the most extreme answers in the
table heading), unless stated otherwise; n/a denotes data was not available for this WVS wave series;
percentages do not sum up to 100 due to omission of the following response categories: “missing;
unknown”, “no answer”, “don’t know”; each footnote begins with the value code�
he idea of a nation’s commonly accepted set of values has attracted a great deal
of attention among sociologist and economists dealing with cultural determinants
of economic development� Generally, several models have been established to
demonstrate the role people’s beliefs and values play in economic development�
Hofstede (2005) distinguished and analysed shared values in diferent cultures
along ive dimensions: power distance, individualism vs� collectivism, masculinity
vs� femininity, uncertainty avoidance, and long- vs� short-term orientation� An
alternative model was proposed by Trompenaars and Hampden-Turner (1998)
It was based on a matrix of seven cultural factors (shared values) to account for
the discrepancies determined along the criteria of universalism vs� particularism,
analysing vs� integrating, individualism vs� communitarianism, inner- vs� outerdirectedness, time as sequence vs� time as synchronization, achieved vs� ascribed
20 V4� “For each of the following, indicate how important it is in your life� Would you say
it is: Family”�
21 V5� “For each of the following, indicate how important it is in your life� Would you say
it is: Friends”�
22 V39�“On this list are various groups of people� Could you please mention any that you
would not like to have as neighbors?: Immigrants/Foreign workers”�
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Damian Pyrkosz
status, and equality vs� hierarchy� Although the two frameworks difered, they
shared the same basic objective, i�e� to understand how people in diferent valuesharing cultures behave and perceive their economic and social development�
he most advanced and systematic analysis of shared values and beliefs and
their impact on the level of economic, social, political and civic development has
been performed by Inglehart and Welzel (2015)� hey used the data of the World
Values Survey (WVS) held on a regular basis among an increasing number of
countries� he analysis demonstrates two major dimensions of the cross-cultural
discrepancy in the world built along two continua between traditional and secularrational values on the one hand, and survival and self-expression values on the
other:
– traditional values are those which stress religion, family ties and values and,
respect for authority; consequently, divorce, abortion, euthanasia and suicide
are not approved of by members of these societies who also tend to demonstrate
nationalistic worldviews;
– secular-rational values place emphasis on the opposite preferences compared
to traditional values; hence, religion, traditional family values and authority
are less revered; on the other hand divorce, abortion, euthanasia and suicide
are considered moderately acceptable;
– survival values draw attention to economic and physical security; this
worldview tends to accept a relatively ethnocentric outlook and low levels of
trust and tolerance;
– self-expression values give precedence of environmental protection, growing
tolerance of foreigners, gays and lesbians and gender equality over any other
values; an important feature of this set of values is support for participation in
decision-making in economic and political life�
Values make a critical socio-cultural pool of interdependencies in the form of
developed routines, shared norms and trust that facilitate (or inhibit) interactive processes and mutual understanding in the transmission of information and
knowledge (Fischer 2002, 25)� hese seemingly non-productive ideas, i�e� shared
social values, interact with the productive (economic) sphere and afect the longrun economic development� hey become crucial for economy to grow (Kim and
Lee 2015)�
With reference to Figure 1 we can see the above dimensions of values for
various countries in a graph format� his can help us observe various country
groupings related to their predominant cultural traits� On this basis we can distinguish countries of the Baltic, Confucian, Protestant Europe, Orthodox, Catholic
Europe, South Asia, African-Islamic, Latin America and the English Speaking�
Values in American Economy
267
he position of the USA on the map conirms that Americans are a nation who
highly appreciates self-expression values of tolerance, equality, governance and
environmental protection� However, in terms of traditional v� secular-rational
values Americans place in the neutral sphere with a slight preference to the former,
thus emphasizing religion, family ties, and respect for authority�
Figure 1. Cultural map according to the World Values Survey (wave 6, 2010–2014)
Source: adapted from Inglehart and Welzel (2015)
he above map represents indexes of WVS of the last wave held in 2010–2014�
It does not show, however, shits in the Americans’ values over a time period�
Analysis of the changes in Americans’ values in the subsequent waves of the
WVS, beginning with 1990 (wave 2) and inishing in 2014 (wave 6), allows a more
profound understanding of the process (cf. Figure 2)�
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Damian Pyrkosz
Figure 2. Changes in the Americans’ values according to the World Values Survey
(waves 2–6, 1990–2014)
Source: own calculations based on Inglehart and Welzel (2015)
Following the path of value changes in Figure 2 we can observe that three basic
stages can be revealed with regard to the way Americans shited preference for
traditional v� secular-rational values and survival v� self-expression values� In the
irst stage between years 1990 and 1996 Americans became more traditional and
showed more preference for self-expression values� he next 1997–2002 period
saw a partial reversal of the trend and Americans became more secular and rational in their views; however, the tendency towards more self-expression values
remained� Finally, in the last period between 2003 and 2014, Americans continued
to emphasize more secular and rational values at the expense of those based on
tradition, religion and family; yet their penchant for self-expression traits was
abandoned and replaced by a strong liking for survival values focusing on economic and physical security at the expense of trust and tolerance� In this sense
the last period is a complete reversal of the initial 1990–1996 trend� he reasons
for the patterns of change are plentiful and should make a subject further study�
Among them are a multitude of political, social and technological changes or security issues: for example the last period, among other factors, could demonstrate
Values in American Economy
269
America’s reaction to the terrorist attacks on the World Trade Center on September 11th 2001� he inancial crisis, which began in 2007, also afected Americans’
preferences and made them rely on secular and rational values to a greater extent�
Conclusions
he above examination of the changes in values cherished by Americans and the
facts concerning the economic aspects of their lives reveal that some values like
freedom and democracy have remained intact and will survive any other wave of
economic downturn should it occur in the future� However, the excessive reliance
on market and belief in competition have changed the core of the American values
to some extent� Growing acceptance of income inequality, rising doubts about
beneits of competition, growing anxiety and distrust of people, slow yet steady
decline in importance and support for religion can be deined as the Americans
turn towards survival and secular values� Taking into consideration the fact that the
originators of the American values (Protestants, Christians) will likely not make a
majority of voters, we may expect a major remaking of the American values in the
year to come� As noted by Robert Jones, from Public Religion Research Institute,
which conducts “American Values” survey, “his sense of dislocation is economic,
it’s cultural and it’s religious” (qtd� in Pattison 2015)�
At the same time the drive towards success, higher eiciency, belief in competition have been fed by the prevailing rationale of the market logic� In this sense,
the Americans have become the product of their own nearly perfectly eicient
market economy� But it has come at a price: a price of growing income inequality,
increasing distrust of others paralleled by the anxiety about physical and economic
security� Another long-term trend is the decreasing support for religion� It seems
that the political, economic and social situation can bring further blows to the
already declining American values at their core� One thing seems certain: without
a revival of their values, Americans are going to see more economic downturns,
growing discrepancies and social unrest� he bottom line is that market economy
will neither provide nor cater for quality relationships as it does not serve this
purpose� Market rules do not build relationship�
Our understanding of the factors impacting the human socio-economic sphere
has signiicantly broadened to include the behavioural and cultural elements of
economics� Although a range of authors and surveys declare the recent economic
downturn to be a crisis of values, it remains to be seen whether there come more
changes in the American values that can prospectively produce a qualitative
change in the performance of American economy� Americans, among many other
nations, should reassess the signiicance of values that actually drive, both their
270
Damian Pyrkosz
lives and economy� Given the size of the economy and its impact on the world
markets the task is formidable� What is more, there is no need to invent new ways:
education, family and religion provide values that have driven the country’s people and that have already been the source of their country’s power for centuries�
Yet, that is not supposed to denote abandonment of market qualities� Rather, the
American culture and values may become a new source of competitive advantage
and provide for a stable and thriving economy� Yet, to accomplish this, a change of
priorities and a change of the way the Americans work, live, behave and think is
necessary; and above all freeing minds from the overriding imperative of market
eiciency� A call for a new culture?
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List of Contributors
Olha Bandrovska (Ivan Franko National University of Lviv, Ukraine)
Marek Błaszak (University of Opole, Poland)
Mirosława Buchholtz (Nicolaus Copernicus University, Toruń, Poland)
Joanna Durczak (Maria Curie-Skłodowska University in Lublin, Poland)
Péter Gaál-Szabó (Debrecen Reformed heological University, Hungary)
David Jervis (Maria Curie-Skłodowska University in Lublin, Poland)
Agnieszka Kallaus (University of Rzeszów, Poland)
Paweł Kaptur (University of Information Technology and Management in Rzeszów)
Krzysztof Kosecki (University of Łódź, Poland)
Monika Kozub (Pedagogical University of Cracow, Poland)
Sławomir Kuźnicki (University of Opole, Poland)
Małgorzata Martynuska (University of Rzeszów, Poland)
Paulina Mirowska (University of Łódź, Poland)
Anna Pietrzykowska-Motyka (Pedagogical University of Cracow, Poland)
Damian Pyrkosz (University of Rzeszów, Poland)
Iryna Senchuk (Ivan Franko National University of Lviv, Ukraine)
Katarzyna Strzyżowska (unailiated)
Donald Trinder (University of Rzeszów, Poland)
Ian Upchurch (University of Rzeszów, Poland)
Oksana Weretiuk (University of Rzeszów, Poland)
Viktoriia Yaremchuk (Ivan Franko National University of Lviv, Ukraine)